Rule 4 Eligibility and Entrance Protocol

(a) Eligibility Chart

A. Defense Counsel submits written request to OAG for

1. Legal Eligibility Legal Determination. Eligibility

B. OAG submits a Referral Form to the Manager with NMI JUDICIARY DRUG COURT POLICIES AND PROCEDURES CITE AS: NMI Drug Ct. P.P. EFFECTIVE: DECEMBER 17, 2025 OAG’s determination of legal eligibility.

C. Drug Court Staff completes intake, screening, and assessment of the potential participant.

D. The potential participant is referred to the designated treatment provider, who conducts a clinical assessment and reviews the Team’s screening and assessment results.

E. If the treatment provider agrees that the potential participant is clinically eligible, the treatment

2. Clinical provider provides a Eligibility preliminary diagnosis, treatment recommendation, and level of care.

F. After receiving the treatment provider’s report, a Case Manager will present a summary of findings to the Team.

G. After reviewing the legal and clinical eligibility determination and receiving recommendations from the Team, the Judge determines whether the potential participant is suitable.

(b) Eligibility Process. A potential participant must be deemed legally eligible before being assessed for clinical eligibility. A potential participant must be deemed legally and clinically eligible to be suitable for the Program.

(c) Legal Eligibility is a legal determination based on the nature and type of charges filed against a potential participant as well as the potential participant’s criminal history. The OAG Criminal NMI JUDICIARY DRUG COURT POLICIES AND PROCEDURES CITE AS: NMI Drug Ct. P.P. EFFECTIVE: DECEMBER 17, 2025 Division makes the initial legal eligibility decision. The most significant components of eligibility are a demonstrated substantial substance use problem associated with criminal conduct and a consideration of public safety.

(1) Referral Letter. To initiate a determination of legal eligibility, a potential participant’s counsel must submit a written referral to the OAG Criminal Division. The written referral should be submitted after a potential participant has expressed genuine interest in entering Drug Court.

(i) Substance. The written referral shall contain, at least, the following information about the potential participant: (1) name and contact information; (2) case number and/or DPS case number; (3) bail status;

(4) interest in Drug Court; (5) substance use history;

(6) proposed home placement; and (7) waiver or non-waiver of attorney presence during intake and screening.

(ii) Form. The written referral to the OAG Criminal Division may be electronic. A copy of the referral must be attached to the referral packet that is ultimately submitted by the OAG Criminal Division to the Manager.

(iii) Timing. Requests should be made as early in the criminal process as possible. Requests may not be submitted after the entry of a guilty plea in the criminal docket in the pending matter.

(iv) Good-Faith Belief. Counsels requesting a legal eligibility determination understand that referrals must be made with a good-faith belief that the potential participant is eligible.

(v) Required Notification. If counsel for the potential participant, at any point after submitting a request but before the participant is accepted, finds that the potential participant is no longer interested in entering Drug Court, counsel shall promptly notify the Manager. After the Manager confirms that the potential participant is no longer interested in Drug Court, the entrance protocol ceases and any files regarding the potential participant are stored and/or destroyed in compliance with Commonwealth and NMI JUDICIARY DRUG COURT POLICIES AND PROCEDURES CITE AS: NMI Drug Ct. P.P. EFFECTIVE: DECEMBER 17, 2025 federal rules. If the potential participant wishes to withdraw after being accepted, exit protocols are followed.

(2) Determination of Legal Eligibility. Legal eligibility is determined by OAG.

(i) Timing. Upon receipt of a request for legal determination, the OAG has fourteen business days to determine legal eligibility.

(ii) Criteria.

(A) A potential participant is not legally eligible for Drug Court if they are a violent offender currently charged with, or who has been convicted of, an offense that is punishable by a term of imprisonment exceeding one year.

(B) A potential participant is not legally eligible for Drug Court if they have a restitution obligation that exceeds $5,000.

(C) All participants are reviewed on a case-by-case basis.

(iii) Referral. Once a legal eligibility determination is made, the OAG Criminal Division shall submit the Referral Form to the Manager and the requesting party (i.e., potential participant and/or counsel). The Referral Form shall include the OAG Criminal Division’s legal eligibility determination and contain all the information necessary to identify and contact the potential participant, as well as the potential participant’s: (1) name; (2) criminal case number and/or DPS case number; (3) bail status; (4) substance use history; (5) number of bench warrants for failure to appear in court; and (6) number of felony or misdemeanor convictions. The Case Manager will make all reasonable efforts to contact the potential participant within thirty days of receiving the referral to complete intake. If intake or clinical assessment is not completed due to the participant’s failure within thirty days and without good cause shown, the potential participant will be denied entry into the program.

(iv) Grant and Services Eligibility. Drug Court may be a recipient of grants with conditions that may limit the NMI JUDICIARY DRUG COURT POLICIES AND PROCEDURES CITE AS: NMI Drug Ct. P.P. EFFECTIVE: DECEMBER 17, 2025 pool of participants who qualify for services funded by such grants. Participants ineligible for services funded through grants will still receive the core services offered by Drug Court funded through other means.

(d) Clinical Eligibility. The Drug Court staff and designated Drug Court Treatment Provider(s) determine clinical eligibility. Clinical Eligibility is separated into the following two criteria.

(1) Criteria One. Criteria One of clinical eligibility consists of the following preliminary matters and clinical assessments made by the Staff.

(i) Preliminary Matters. Upon receipt of the Referral Form, the Case Manager shall contact the potential participant’s counsel to determine: (1) whether Drug Court may initiate contact with potential participant directly and (2) whether the potential participant wants counsel to be present at the Intake Interview. If the participant wants counsel to be present during the Intake Interview, the Case Manager shall include counsel.

(ii) Intake Interview. During the Intake Interview, the Case Manager collects demographic information, orients the potential participant to the Program requirements, and assesses whether the potential participant is genuinely interested in Drug Court. If the potential participant wishes to proceed, the potential participant must sign requisite forms, including but not limited to, the Consent for Disclosure/Release of Confidential Information Form.

(iii) Screening. Following the Intake Interview, the potential participant’s substance use disorder is evaluated using a screening tool. To ensure the validity of the screening results, the potential participant’s counsel shall not be present during the screening. Nothing from the screening process may be used against a potential participant if they are determined to be ineligible for or later terminated from Drug Court.

(iv) Assessment. During the initial case planning appointment, the potential participant’s criminogenic risk and need for treatment are assessed. To ensure NMI JUDICIARY DRUG COURT POLICIES AND PROCEDURES CITE AS: NMI Drug Ct. P.P. EFFECTIVE: DECEMBER 17, 2025 the validity of the assessment results, the potential participant’s counsel shall not be present. Nothing from the assessment process may be used against a potential participant if they are determined to be ineligible for Drug Court, or if the participant is later terminated from the Program.

(v) Referral Packet. Case Managers prepare and forward a referral packet to the designated treatment provider for a review of the Drug Court staff’s findings. The referral packet includes copies of the intake form, disclosure form, screening results, and assessment results. Case Managers coordinate an appointment with the treatment provider for the potential participant.

(2) Criteria Two. Criteria Two of the clinical eligibility determination is performed by the designated treatment provider. To maintain accuracy of testing results, the designated treatment provider shall conduct the following tasks and assessments timely and in accordance with best practice standards.

(i) Clinical Assessment. After referral from Drug Court, the designated treatment provider shall timely interview the potential participant to evaluate a potential participant’s substance use disorder and any potential co-occurring disorders. This time frame is meant to ensure the validity of assessment results.

(ii) Confirmation of Screening. After conducting the clinical assessment, the designated treatment provider shall determine the accuracy of the participant’s screening results.

(iii) Treatment Recommendation. Based on the clinical information gathered, the designated Treatment Provider shall develop an individualized treatment recommendation for the potential participant.

(A) The treatment recommendation shall be timely submitted to the Manager.

(B) The Manager may contest the proposed treatment plan.

(e) Initial Staffing. After determination of a participant’s legal and clinical eligibility, an initial staffing is held to report the findings to the Judge. NMI JUDICIARY DRUG COURT POLICIES AND PROCEDURES CITE AS: NMI Drug Ct. P.P. EFFECTIVE: DECEMBER 17, 2025

(1) Summary of Findings. The participant’s assigned Case Manager shall compile the legal and clinical eligibility assessment results and submit a Summary of Findings report to the Manager, who shall review and timely submit to the Team prior to the initial staffing.

(2) Presentation of Summary of Findings. At the initial staffing, the assigned Case Manager shall present the Summary of Findings to the Team.

(3) Suitability; Judge’s Decision. During the initial staffing, the Judge considers the Team’s findings and recommendations regarding the potential participant’s suitability for Drug Court. The Judge then decides whether the potential participant is suitable.

(i) Timing. Unless good cause is shown, the Judge’s decision to accept or reject a potential participant is made during the initial staffing.

(ii) Form. The Judge documents the Court’s decision by completing the Summary of Findings form.

(iii) Next Steps. If the Judge finds that the potential participant is suitable, the Judge shall order the participant to appear with their passport and any other travel documents at an Initial Drug Court Hearing. The passport and any other travel documents shall remain in the custody of the Drug Court Program until the participant graduates, is terminated, or is otherwise discharged from the Program. If the Judge finds that the potential participant is not suitable, the Court shall issue an Order which informs the potential participant of their denial of entry into the program, and returns the matter to the criminal docket.

(f) Initial Drug Court Hearing. The potential participant and their counsel must be present at the Initial Hearing. The Initial Hearing is a Change of Plea hearing. The potential participant is advised of their rights, waives said rights, and submits a guilty plea to be held in abeyance pursuant to NMI Rule of Criminal Procedure 11-

1. Admission requires participants to sign and submit the Drug Court contract and Plea Held in Abeyance agreement. If necessary, the Drug Court Clerk prepares any Orders triggering case assignment to Drug Court, release from custody, exoneration of bail or property, sealing of documents and/or vacating hearings in the criminal matter for the Presiding Judge’s or the assigned Judge’s review and approval. NMI JUDICIARY DRUG COURT POLICIES AND PROCEDURES CITE AS: NMI Drug Ct. P.P. EFFECTIVE: DECEMBER 17, 2025