Ky. Sup. Ct. Order 2024-37 36

to provide substance use or mental health treatment and counseling as

recognized by Specialty Courts and under an agreement or

memorandum of understanding (MOU) with the AOC to provide such

treatment and counseling to drug court participants. Mutual aid support

groups are not “treatment providers” under these rules.

Section 3. Key Components of a Drug Court

All drug courts shall include the following key components, as defined and

required by the U. S. Department of Justice, Office of Justice Programs:

(1) Drug courts integrate alcohol and other drug treatment services, along

with mental health and co-occurring disorders treatment, with justice

system case processing;

(2) Prosecution and defense counsel, in a non-adversarial manner, promote

public safety while protecting participants’ due process rights;

(3) Eligible participants are identified early and promptly placed in the drug

court;

(4) Drug courts provide a continuum of alcohol, drug, and other treatment

and rehabilitative services;

(5) Participants are subject to frequent alcohol and other drug testing to

monitor compliance with treatment plans;

(6) A coordinated strategy governs drug court responses to participants’

compliance;

(7) Ongoing judicial interaction with each drug court participant is essential;

(8) Monitoring and evaluation of the drug court measure the achievement of

program goals and gauge effectiveness;

(9) Continuing interdisciplinary education promotes effective drug court

planning, implementation, and operations; and,

(10) Forging partnerships among drug courts, public agencies, and

community-based organizations generates local support and enhances

drug court effectiveness.

Section 4. Administrative Office of the Courts to Oversee Funding and

Establish Policies for Drug Courts

(1) The AOC shall support drug courts statewide and administer and oversee

funding of all certified drug courts.

(2) AOC Specialty Courts shall establish policies relating to drug courts.

AOC Specialty Courts shall develop and maintain the Drug Court

Participant Handbook, which provides general guidelines of

programmatic operations to drug court participants.

Section 5. Referral for Drug Court Eligibility Review and Assessment

A written referral for an eligibility review and assessment for drug court may be

made at any time; however, no person may be referred for an eligibility review

and assessment to a drug court for civil contempt charges under KRS 222.430

– 222.480 (Casey’s Law) and KRS 202A.0811 – 202A.0831 (Tim’s Law).

Section 6. Eligibility Review and Assessment Process for Drug Court

(1) If a defendant was referred for an eligibility review and assessment

consistent with Section 5 of these rules, drug court staff shall thoroughly

explain the drug court process and the Agreement of Participation to the

defendant. The defendant may be required to sign the Agreement of

Participation with or without the presence of their attorney. If a

defendant refuses to sign the Agreement of Participation, drug court staff

shall notify the referring judge. Initial refusal by the defendant to sign the

Agreement of Participation may render them ineligible for participation in

drug court.

(2) Upon execution of the non-waiver portions of the Agreement of

Participation, drug court staff shall complete an assessment. After

completing the assessment, drug court staff shall complete a Notice of

Referral Status. The assessment, Notice of Referral Status, and any

other pertinent information regarding the defendant shall be completed

and submitted to the drug court team prior to the defendant’s next

scheduled court appearance.

(3) Eligibility of a defendant referred to drug court shall be based on the

following:

(a) Empirical evidence indicating which types of offenders can be

treated safely and effectively in drug court, using evidence-based

assessment tools and procedures; and

(b) Ensuring individuals who have historically experienced sustained

discrimination or reduced social opportunities because of their

race, ethnicity, gender, sexual orientation, sexual identity, physical

or mental disability, religion, or socioeconomic status receive the

same opportunities as other individuals to participate and succeed

in the drug court.

(c) When considering admission of a defendant who is not a resident

of the Commonwealth of Kentucky, Specialty Courts staff shall

inform the Specialty Court judge and team. Care should be given

to potential barriers and the defendant should be advised of issues

regarding transportation, housing, and the payment of services

that drug court shall not be authorized to fund for out-of-state

participants.

(4) Consequences of successful completion of drug court will be detailed

prior to the defendant’s admission into drug court and noted on the

assessment form.

Section 7. Process for Admission of Defendant into Drug Court

Upon receipt of the assessment, Notice of Defendant Referral Status, and other

pertinent information regarding the defendant, the drug court team shall

provide input into the decision for an offer of admission; however, the drug

court judge shall have the final decision-making authority concerning the offer

of admission of an eligible defendant into drug court. To determine whether to

make an offer of admission, the drug court judge and team:

(1) Shall evaluate the current charge(s)/conviction(s);

(2) Shall evaluate past criminal conviction(s), if any;

(3) Shall evaluate the results of the assessment, or risk/needs screening if

held separately from the assessment;

(4) May evaluate information regarding the victim(s), or obtained through

victim(s) conferencing, if any; and

(5) May evaluate other relevant information as identified by the drug court

judge and team.

Section 8. Admission of Defendant into Drug Court

Upon an offer of admission into drug court and upon the defendant’s

acceptance of the offer to enter drug court, the referring judge shall complete

an Order of Admission to Drug Court admitting the defendant. If the individual

is facing criminal charges and has yet to enter a guilty plea, then his or her

admission into drug court is conditioned upon the prosecution’s

recommendation of diversion or an alternative sentence in lieu of incarceration.

The case shall remain with or be assigned to a judge who conducts drug court

in the circuit or district where the defendant’s underlying court case is

pending. The defendant shall be required to sign the Agreement of

Participation. The Order of Admission to Drug Court will require the defendant

to report to the assigned circuit or district court judge who will conduct drug

court.

Section 9. Transfers Between Drug Courts

(1) A defendant or participant may request a transfer of venue to participate

in a drug court outside of the circuit or district where their underlying

court case is pending if the defendant has been sentenced to serve an

alternative sentence in lieu of incarceration or has entered a guilty plea

as part of a pretrial diversion program in the underlying court case.

(2) The defendant or participant may request the transfer at the time of

referral for eligibility review and assessment to the drug court or after

admission into a drug court.

(3) If a transfer is requested, the Specialty Court staff in the county where

the underlying court case is pending will initiate an informal conference

with the Specialty Courts staff in the transfer county to inquire about the

possibility of transferring the case to that drug court and to identify any

barriers that may hinder the transfer.

(4) Transfer of venue for the purpose of drug court participation shall be

authorized under the following conditions:

(a) The drug court team in the county where the defendant or

participant requests to transfer venue has agreed to accept the

defendant or participant;

(b) The defendant or participant has filed a Motion for Transfer, which

was docketed before the referring judge; and

(c) The referring judge has entered an order transferring venue of the

defendant’s or participant’s court case.

(d) The defendant’s or participant’s case will be assigned to a circuit

or district court judge who conducts drug court in the county

where venue has been transferred.

(e) Upon a participant’s successful completion, administrative

discharge, or termination from drug court, an order transferring

venue of the court case back to the county where the case

originated shall be entered and all further proceedings shall be

placed on the next available court docket in the county of origin.

(5) Expungement of a case when venue is transferred.

(a) A petition or application for expungement of a case transferred

between courts should be filed in the county of origin of the

underlying court case. The petition or application should list the

transfer county and case number so those records can be included

in the expungement order.

(b) An order granting a petition or application for expungement for the

underlying case entered in the county of origin should include the

transfer county and case number in the section of the order that

specifies agencies with custody of records to be expunged.

(c) Upon receipt of an order granting expungement of an underlying

court case entered in the county of origin, a circuit court clerk shall

certify it has no records or expunge the court record of the transfer

county and case number and certify it has completed the

expungement.

Section 10. Transfers Between Specialty Court Programs

Transfers between specialty court programs shall be permissible. Specialty court

programs include drug court, mental health court, and veterans treatment

court. Transfers between specialty court programs that require a transfer of

venue shall follow the procedure outlined in Section 9 of these rules.

Section 11. Drug Court Participant Requirements

(1) Drug court shall consist of five (5) phases as follows:

(a) Phase I – stabilization;

(b) Phase II – treatment stabilization;

(c) Phase III – social development;

(d) Phase IV – self-motivation; and

(e) Phase V – continuing care.

The five (5) phases shall take a minimum of eighteen months (18) for

felony defendants or fifteen (15) months for misdemeanor defendants to

complete.

(2) Drug court participants shall adhere to the following

minimum requirements during each phase:

(a) For Phase I, the participant shall:

i. Provide on average two (2) random urine

drug/alcohol screens per week;

ii. Complete treatment assessment and begin treatment

plan, as directed by the treatment provider;

iii. Create a case plan with the drug court team and

begin working case plan;

iv. Attend all required court sessions;

v. Obtain and/or maintain court-approved housing;

vi. Attend at least one (1) weekly individual contact with

drug court staff;

vii. Indicate an initial understanding of substance use

disorder treatment;

viii. Attend a recovery support program; and

ix. Remain free from the nonmedically indicated use of

intoxicating or addictive substances, including alcohol,

cannabis (marijuana), and prescription medications,

regardless of the licit or illicit status of the substance,

for at least thirty (30) consecutive days before being

considered for promotion to the next phase.

(b) For Phase II, the participant shall:

i. Provide on average two (2) random urine

drug/alcohol screens per week;

ii. Follow all treatment recommendations, as directed

by the treatment provider;

iii. Create a case plan with the drug court team and

begin working case plan;

iv. Attend all required court sessions;

v. Obtain court-approved full-time employment, training,

education, community service, or court-approved

community engagement activities when ordered by the

court;

vi. Maintain court-approved housing;

vii. Attend at least one (1) individual contact with drug

court staff per week;

viii. Indicate an appropriate understanding of

recovery principles;

ix. Attend a recovery support program; and

x. Remain free from the nonmedically indicated use of

intoxicating or addictive substances, including alcohol,

cannabis (marijuana), and prescription medications,

regardless of the licit or illicit status of the substance,

for the at least forty-five (45) consecutive days before

being considered for promotion to the next phase.

(c) For Phase III, the participant shall:

i. Provide on average two (2) random urine

drug/alcohol screens per week;

ii. Follow all treatment recommendations, as directed

by the treatment provider;

iii. Create a case plan with the drug court team and

begin working case plan;

iv. Attend all required court sessions;

v. Maintain court-approved full-time employment,

training, education, community service, or court

approved community engagement activities when order

by the court;

vi. Maintain court-approved housing;

vii. Make arrangements to satisfy court costs, fees, or fines;

viii. Attend at least one (1) individual contact with drug

court staff per week;

ix. Indicate an appropriate understanding of recovery;

x. Begin criminal thinking curriculum through the

treatment provider;

xi. Establish prosocial activities – e.g. hobbies related to

sports, exercise, art/music, reading, gardening, etc.;

xii. Establish a recovery support system; and

xiii. Remain free from the nonmedically indicated use of

intoxicating or addictive substances, including

alcohol, cannabis (marijuana), and prescription

medications, regardless of the licit or illicit status of

the substance, for sixty (60) consecutive days,

before being considered for promotion to the next

phase.

(d) For Phase IV, the participant shall:

i. Provide on average two (2) random urine

drug/alcohol screens per week;

ii. Follow all treatment recommendations, as directed

by the treatment provider;

iii. Create a case plan with the drug court team and

begin working case plan;

iv. Attend all required court sessions;

v. Maintain court-approved full-time employment,

training, education, community service, or court

approved community engagement activities when

ordered by the court;

vi. Maintain court-approved housing;

vii. Continue to satisfy court costs, fees, or fines;

viii. Attend at least one (1) individual contact with drug

court staff every other week;

ix. Indicate an appropriate understanding of

substance use disorder treatment;

x. Engage in prosocial activities – e.g. hobbies related to

sports, exercise, art/music, reading, gardening, etc.;

xi. Attend a recovery support program; and

xii. Remain free from the nonmedically indicated use of

intoxicating or addictive substances, including alcohol,

cannabis (marijuana), and prescription medications,

regardless of the licit or illicit status of the substance,

for a total of ninety (90) consecutive days before being

considered for promotion to the next phase.

(e) For Phase V, the participant shall:

i. Provide on average two (2) random urine

drug/alcohol screens per week;

ii. Follow all treatment recommendations, as directed

by the treatment provider;

iii. Create a case plan with the drug court team and

begin working case plan;

iv. Attend all required court sessions;

v. Maintain court-approved full-time employment,

training, education, community service, or court

approved community engagement activities when

ordered by the court;

vi. Maintain court-approved housing;

vii. Continue to satisfy court costs, fees, or fines;

viii. Attend at least one (1) individual contact with drug

court staff each month;

ix. Development of continuing care plan through

treatment provider;

x. Maintain a recovery lifestyle;

xi. Maintain prosocial activities – e.g. hobbies related to

sports, exercise, art/music, reading, gardening, etc.;

xii. Maintain a recovery support program; and

xiii. Remain free from the nonmedically indicated use of

intoxicating or addictive substances, including

alcohol, cannabis (marijuana), and prescription

medications, regardless of the licit or illicit status of

the substance, for at least ninety (90) to one hundred

eighty (180) consecutive days in Phases 4 and 5 before

program completion.

(3) Drug court participants, if ordered to do so, shall comply with

additional requirements, such as support services, medical and/or

mental health referrals, and subsequent treatment

recommendations.

Section 12. Prosocial Activities and Strength-Based Approaches

(1) Prosocial activities shall be integrated into programming to align with the

expectations outlined in Section 11. Prosocial activities shall be

individualized to meet the needs of each participant.

(2) Examples of prosocial activities may include, but are not limited to, yoga,

meditation, praying, exercising, volunteer work, cooking, coaching,

engaging in outdoor sport activities, playing a musical instrument,

joining a support group, and chairing self-help meetings.

(3) Strength-based approaches, such as those that focus on an individual’s

self-determination and strength, shall be used in case management.

Specialty Courts staff shall adhere to the following components of

strength-based case management:

(a) Utilizing strengths-based assessments to identify a participant’s

abilities and strengths;

(b) Coordinating community resources to address the individual needs

of the participant;

(c) Person-centered planning, emphasizing the participant’s focused

goal(s) to elicit buy-in; and

(d) Building a strong professional relationship for collaboration.

(4) Examples of strength-based approaches may include, but are not

limited to, utilizing person-centered or recovery-centered language,

focusing on relationship building and collaboration, building

capacity based on individual strengths, creating and sustaining

familial support, practicing transparency and honesty,

intentionally focusing on inclusion and diversity, etc.

Section 13. Incentives, Sanctions, and Service Adjustments

(1) Incentives, sanctions, and service adjustments shall be administered

by the drug court judge. The judge will be assisted by the drug court

team who will advise the judge from their areas of expertise.

Discussion of incentives, sanctions, and service adjustments occur

during the drug court staffing. Judicial oversight must ensure that:

(a) Consequences are predictable, individualized, fair and consistent.

Positive behaviors should result in incentives, with praise and

encouragement from the judge. Negative behaviors should result in

graduated sanctions based on the participant’s current ability to

comply. Sanctions should be accompanied by appropriate service

adjustments which are distinct from sanctions and should be

suggested by a licensed treatment provider.

(b) Participants shall receive positive and negative consequences that

are equivalent to those received by other participants in the same

phase of the program who are engaged in comparable conduct.

Participants receive positive and negative consequences without

regard to their gender, race, ethnicity, nationality, socioeconomic

status, or sexual orientation.

(c) Consequences are communicated in advance. Policies and

procedures for incentives and sanctions may be specified in writing

in the Drug Court Participant Handbook and shall be

communicated with participants and the drug court team

members in advance. Policies shall provide a clear indication of

behaviors that result in an equitable range of incentives or

sanctions based on the unique needs of the participant.

(d) The drug court judge and drug court team may reserve a

reasonable degree of discretion to individualize consequences

considering circumstances presented in each case.

(e) Participants shall be allowed an opportunity to explain their

perspectives pertaining to situations which result in the imposition

of incentives, sanctions, and service adjustments. A clear

justification for the positive, negative, or service adjustment

imposed will be explained by the judge during the drug court

session.

(f) Communications with participants are delivered by the judge in

the drug court session in a professional manner. Participants shall

not be shamed, and consequences shall be presented without

anger, ridicule, foul or abusive language, or comparison.

(2) Drug courts shall seek to place emphasis on incentivizing productive and

positive behaviors in accordance with Best Practice Standards.

Incentives should occur at a ratio of at least 4:1 compared to sanctions.

The following shall be considered when responding to participant’s

positive behaviors:

(a) Opportunities for praise, rewards and encouragement should

accompany positive improvements, even if other sanctions are

administered in the same session. Small and incremental changes

in behavior should be rewarded and encouraged as well as major

achievements.

(b) “Proximal” goals, within the current ability of the participant to

comply, are rewarded, with the eventual (“distal”) goal of increasing

participant involvement in productive activities such as

abstinence, employment, and prosocial activities.

(c) Incentives may include small, tangible rewards provided by the

drug court team, a temporary decrease in drug court

requirements, and an increase or advancement in phase. Praise

and encouragement from the judge are the most effective

incentives.

(d) Cash cannot be used as incentives. General funds cannot be used

to purchase incentives other than as set forth in the KCOJ

Reimbursement for Justices’ and Judges’ Administrative Expenses

policy or other applicable court rule or procedure.

(3) Failure to comply to the requirements and other conditions established

by the drug court may result in the imposition of sanctions upon a

participant. Sanctions shall be applied with certainty and immediacy

where possible by the drug court judge with input from the drug court

team. The following shall be considered when responding to participant

noncompliance:

(a) As participants move through the phases, the consequences for

infractions may increase accordingly. Progressive sanctions shall

be utilized for continuous noncompliance along with recommended

service adjustments.

(b) For goals that are difficult for participants to accomplish, the

sanctions may increase slowly but progressively in magnitude over

successive infractions.

(c) For goals that are relatively easy for participants to accomplish,

higher magnitude sanctions may be administered after only a few

infractions.

(d) Consequences are imposed for the nonmedically indicated use of

intoxicating or addictive substances, including alcohol, cannabis

(marijuana) and prescription medications, regardless of the licit or

illicit status of the substance. The drug court team relies on expert

medical input to determine whether a prescription for an addictive

or intoxicating medication is medically indicated and whether

nonaddictive, nonintoxicating, and medically safe alternative

treatments are available.

(e) Incarceration is imposed judiciously and sparingly. Unless a

participant poses an immediate risk to public safety, jail sanctions

are administered only after less severe consequences have been

ineffective at deterring infractions. Jail sanctions are definite in duration

and typically last a short time. Jail sanctions over three to five days are

discouraged.

(f) Participants may be terminated from the drug court if they no

longer can be managed safely in the community or if they fail to

comply with treatment or supervision requirements. Participants

are not terminated from the drug court for continued substance

use if they are otherwise compliant with their treatment and

supervision conditions, unless they are nonamenable to the

treatments that are reasonably available in their community.

(4) Participants do not receive punitive sanctions if they are otherwise

compliant with their treatment and supervision requirements but are not

responding to the current treatment interventions. Under such

circumstances, the treatment provider may reassess the individual and

adjust the treatment plan accordingly. The following shall be considered

when making service adjustments:

(a) Adjustments to treatment plans shall be based on the

recommendations of duly trained treatment professionals.

(b) The drug court judge, with input from the treatment provider, may

order service adjustments resulting in additional referrals for

services or treatment.

Section 14. Expiration of Probationary Period

Specialty Courts staff are not authorized to continue supervising a participant

after the expiration of that participant’s probationary period.

Section 15. Suspended Status

(1) In the event a situation arises in which it becomes impracticable for a

participant to meet drug court requirements, the drug court judge shall

issue an order placing the defendant on suspended status. Examples of

impracticability may include but are not limited to, contagious or

infectious disease, short-term medical care for a family member, or any

other reason that would cause a temporary inability to meet drug court

requirements. Once the participant has the ability to resume full

participation in the drug court program, the drug court judge shall

enter an order resuming active status and returning the participant to

drug court supervision.

(2) During the time in which the participant is suspended, no credit shall be

earned toward the completion of the drug court phases.

(3) In the event that the suspended status is the result of the participant

receiving in-patient rehabilitation in a facility approved by the drug court

and the participant successfully completes rehabilitation, after the

participant has resumed standard drug court participation the treatment

provider shall assess the participant to determine the appropriate level of

care and phase. The drug court judge shall consider the

recommendation of the treatment provider and will have the discretion

to give the participant credit toward the completion of a drug court

phase(s) for the time the participant spent in the approved rehabilitation

program.

Section 16. Administrative Discharge

(1) If a drug court participant cannot complete drug court through no fault

of their own, they may be administratively discharged. If the drug court

team determines that administrative discharge is appropriate, the

Specialty Courts staff shall complete a Notice of Administrative

Discharge to provide to the drug court judge. The Notice of

Administrative Discharge shall be filed in the official court record and the

case shall be assigned to the appropriate circuit or district court judge or

venue shall be transferred as provided in Section 9.

(2) An administrative discharge does not preclude future eligibility for drug

court.

Section 17. Voluntary Termination

Participants may request voluntary termination from drug court utilizing a

Request for Voluntary Termination. Drug court participants have the right to

consult with their attorney. If the drug court judge determines that the request

is knowingly and voluntarily made, the drug court judge shall grant the

request. Upon entry of the Notice of Voluntary Termination, the case shall be

assigned to the appropriate circuit or district court judge or venue shall be

transferred as provided in Section 9.

Section 18. Involuntary Termination

(1) The Specialty Courts staff or drug court team may make a verbal

recommendation to the drug court judge to terminate a participant due

to the participant’s non-compliance. If the drug court judge agrees to

review the recommendation of termination, Specialty Courts staff shall

complete an Affidavit of Violations, requesting the drug court judge

terminate the participant from drug court. If the drug court judge

decides termination is appropriate, a Notice of Termination shall be

completed. The participant shall be notified of their termination during

the drug court session, unless the participant has absconded as

provided in subsection (2) of this Section.

(2) If a participant has absconded for a period of at least fifteen (15) days,

the drug court judge may sign a Notice of Termination without the

participant being notified and present during the drug court session.

(3) Upon entry of the Notice of Termination, the case shall be assigned to the

appropriate circuit or district court judge or venue shall be transferred

as provided in Section 9 for further proceedings.

(4) The Notice of Termination shall be filed in the official record.

(5) All participants listed as “suspended-absconded” shall be reviewed monthly

with the drug court judge and drug court team.

Section 19. Successful Completion of Drug Court

(1) A participant shall be determined to have successfully completed drug

court when they have:

(a) Completed all five (5) drug court phases;

(b) Paid all restitution owed, unless the participant is unable to pay

restitution in full while in drug court, in which case the drug court

team may require a reasonable amount be paid;

(c) No criminal charges pending against them; and

(d) Paid all court costs, fines, and/or fees owed pursuant to KRS

533.030 before graduation if required to do so by the drug court

judge after consultation with the drug court team.

(2) Upon successful completion of drug court, the sentencing judge may:

(a) Dismiss the underlying charge(s) if the participant was on

diversion but only when restitution, if any, has been paid in full;

(b) Modify the probated sentence to be conditionally discharged, but

only when restitution, if any, has been paid in full; or

(c) Enter an order resolving, dismissing, or disposing of a contempt

charge.

(3) A drug court graduation should be held within ninety (90) days of the

participant’s successful completion of all five (5) phases of drug court, or

at the discretion of the drug court judge.

Section 20. Drug Court Staffings

(1) The drug court judge and Specialty Courts staff shall attend staffings

prior to drug court sessions. The prosecutor, defense attorney, and other

drug court team members are encouraged to attend these staffings.

Drug court staffings shall be confidential and non-team members shall

not attend absent extraordinary circumstances. If there is an

extraordinary need for a non-team member to attend, upon approval by

the drug court judge, the non-team member shall be allowed to attend

the staffing, but only after signing a confidentiality agreement.

(2) At a drug court staffing, the drug court team shall discuss the following:

(a) Whether to admit potential participants into drug court;

(b) Appropriate behavior modification responses for violations by

current participants;

(c) Achievements and phase advancement of participants who will be

attending the drug court session; and

(d) Other pertinent issues relating to drug court participants.

Section 21. Drug Court Sessions

(1) A drug court judge shall conduct drug court sessions as follows:

(a) One (1) drug court session per week, unless weekly sessions are

not possible, then a drug court judge shall conduct at least two (2)

drug court sessions per month; and

(b) May be conducted in person, virtually, or a combination thereof.

(2) Drug court judges shall maintain an official court record of all drug court

sessions through written or recorded means.

Section 22. Confidentiality

(1) Drug court proceedings, including drug court staffings and sessions,

shall be confidential, and all proceedings shall be closed unless otherwise

authorized by the drug court judge.

(2) Documents contained in a participant’s drug court case file shall be

confidential, not subject to disclosure, and maintained separately from

the underlying court case file, except for those documents specified in

Section 23 of these rules.

(3) In accordance with federal regulations regarding substance abuse

treatment programs, drug court team members shall sign a

confidentiality agreement.

(4) Drug court team members shall comply with state and federal

confidentiality laws regarding treatment information.

Section 23. Filing of Drug Court Documents

Upon utilization of any of the following documents, the document(s) shall be

filed by the Specialty Courts staff with the appropriate court clerk for inclusion

in the court record of the underlying court case file:

(1) Order Referring for Assessment to Drug Court;

(2) Drug Court Notice of Defendant Referral Status;

(3) Order of Admission;

(4) Motion for Transfer;

(5) Order Transferring;

(6) Order Designating Temporary Inactive Status;

(7) Order Resuming Active Status;

(8) Order Extending Probation;

(9) Notice of Voluntary Termination;

(10) Notice of Violations (shall only be filed when the violations result in

termination);

(11) Notice of Termination; and

(12) Acknowledgement of Successful Completion or Notice of

Administrative Discharge.

Section 24. Collection of Fees

(1) Specialty Courts staff shall not collect any fees, fines, or other costs from

participants at any time.

(2) Drug court judges shall not impose financial sanctions of any kind.

(3) No drug court judge or Specialty Courts staff shall collect monies for use

by the drug court through forfeiture, plea agreements, sanctions, fees,

fines or other costs, other than those referred to herein.

Section 25. Drug Testing

(1) Drug testing is a vital component of drug courts.

(2) The following procedures shall apply to all drug courts.

(a) Drug testing shall be administered to all participants on a frequent

and random basis. Participants in all phases will be randomly

tested at least two (2) times per week.

(b) Drug tests performed by individuals other than the Specialty

Courts staff, the drug court team, or a drug testing vendor under

contract or MOU with the AOC shall not be admissible in drug

court.

(c) All participants shall be required to make daily telephone contact,

utilizing a toll-free telephone number, wherein a recording

announces phase(s) and times for specimen collections for each

drug court.

(d) Instant, laboratory, and other drug tests supplied by the drug

court shall be utilized for drug court participants only. Inventory

of supplies shall be audited on a random basis.

(e) Trauma informed practices, for the purpose of drug testing, shall

be clearly identified and followed. Training will be provided to all

Specialty Courts staff.

Section 26. Monitoring and Evaluation of Drug Courts

Drug courts are committed to ensuring fidelity to Best Practice Standards and

will measure their effectiveness through the following practices:

(1) Reviewing drug court outcomes by monitoring participant enrollment in

and attendance to scheduled appointments, drug and alcohol test

results, graduation rates, lengths of stay, in-program technical

violations, and new arrests;

(2) Monitoring recidivism rates, including new arrests, new convictions, and

new incarcerations, for at least two years following each participant’s exit from

the drug court;

(3) Participating in independent evaluations of adherence to best practices

and participant outcomes, and developing and implementing remedial

action plans based on the recommendations of the evaluator, in order to

address deficiencies with fidelity;

(4) Continually monitoring admission rates, services delivered, and

outcomes achieved for members of groups that have historically

experienced discrimination;

(5) Creating remedial action plan(s) to correct disparities and examine the

success of the remedial actions; and

(6) Maintaining an electronic case management database to track

participant engagement, program outcomes, and provide real-time

program statistics.

Section 27. Authorization for Drug Court Judges and New Drug Courts

(1) Before presiding over a drug court, a judge shall submit a request to

SPCrequest@kycourts.net for approval by the Chief Justice of the

Kentucky Supreme Court. If approved, the Chief Justice shall enter an

order establishing the judge’s jurisdictional authority.

(2) AOC Specialty Courts shall provide appropriate training to the drug

court judge and Specialty Courts staff.

Section 28. Drug Court Team Training

(1) Drug court teams shall attend a formal pre-implementation training

before starting a new drug court. Training shall include, but is not

limited to, information on Best Practice Standards and the roles and

responsibilities of the drug court team members.

(2) Drug court team members who are asked to join an existing team shall

attend an orientation where they will be introduced to the drug court

model and receive training on local practices, if any. New drug court

team members, including judges, will receive training that includes, but

is not limited to, information on Best Practice Standards and the roles

and responsibilities of the drug court team members.

(3) Drug court team members, including judges, shall attend continuing

education training at least once a year to ensure they have the most up-to-date knowledge about best practices on topics including substance

use disorder and mental health treatment, complementary treatment

and social services, behavior modification, community supervision, team

decision making, and constitutional and legal issues in drug courts.

Section 29. Kentucky Court of Justice Specialty Courts Certification

Board

(1) Statement of Purpose and Scope. The Certification Board shall:

(a) Establish and oversee all aspects of the specialty courts

certification process as set forth in Section 30 of these rules,

including but not limited to, the establishment of certification

requirements and criteria consistent with the Best Practice

Standards, submission of certification requests or applications and

timeframes for courts that require an improvement plan;

(b) Conduct an annual review of these rules, the Court of Justice

Rules of Administrative Procedure, AP Part XIII, Procedures for

Specialty Courts, and recommend any necessary updates or

revisions to the Supreme Court;

(c) Assess certification observation procedures, processes, and forms

developed and implemented by AOC Specialty Courts;

(d) Establish a communication plan for the specialty courts

certification process with local court jurisdictions, the court

system, and if appropriate, the public;

(e) Define timelines for the ongoing assessment and review procedures

for certified specialty courts;

(f) Submit local jurisdiction certification recommendations to the

Chief Justice for final approval;

(g) Provide to the Chief Justice a list of those jurisdictions that are on

improvement plans, as well as the timelines for future certification

review and consideration; and

(h) Other matters as directed by the Chief Justice.

(2) Certification Board Members. The eleven (11) member Kentucky Court

of Justice Specialty Courts Certification Board shall be appointed by the

Chief Justice of the Supreme Court and shall serve up to a 3-year term.

Members may be reappointed by the Chief Justice to the Certification

Board for one additional 3-year term.

The Certification Board will consist of nine (9) members of the Judiciary,

one (1) Circuit Court Clerk, and the AOC Director or designee. The nine (9)

members of the Judiciary shall consist of the following:

(a) Three (3) current drug court judges (at least one (1) from circuit

court and one (1) from district court);

(b) One (1) current veterans treatment court judge;

(c) One (1) current mental health court judge;

(d) One (1) current family recovery court judge;

(e) One (1) current juvenile recovery court judge;

(f) One (1) retired judge with experience presiding over a specialty

court; and

(g) One (1) “at large” judge (from circuit, district, or family courts).

(3) Designation of a Certification Board Chair and Vice-Chair. The Chief

Justice will select one (1) board member to serve as the Certification

Board Chair and one (1) additional board member to serve as the

Certification Board Vice-Chair. The Chair or Vice-Chair may be

responsible for setting the agenda, calling the meeting to order, and

adjourning the meeting, and designating the date, time, and location of

meetings.

(4) Quorum. Six (6) board members shall constitute a quorum in order to

transact business. All determinations shall be made by a majority of

board members in attendance. Board members may attend meetings via

in-person, video, or telephone conference. Board members shall recuse

from any business before the Certification Board involving a specialty

court over which they preside.

(5) Records. Pursuant to KRS 26A.200, all records received, generated,

kept, or maintained by or on behalf of the Certification Board shall be the

property of the KCOJ and are subject to the control of the Supreme

Court of Kentucky. All records created for or generated by the

Certification Board shall not be considered Administrative Records of the

AOC as defined by AP Part XVII.

(6) Staff Support. The AOC will provide staff support to the Certification

Board.

Section 30. Drug Court Certification Process

(1) Drug courts participating in the certification program shall fulfill all

certification requirements established by the Certification Board.

(2) No drug court may be certified unless it is recommended for certification

by the Certification Board.

(3) Each drug court judge participating in the certification program will

submit a certification application for review of local program operations.

This will include all components referenced within the Kentucky

Specialty Courts Quality Assurance and Fidelity Model.

(a) If a judge seeks to participate in the certification program,

Specialty Courts certification staff will work in tandem with the

judge to complete the application process, to identify

opportunities, and to identify and overcome any barriers.

(b) If a drug court participating in the certification program is not yet

certified and/or has new judicial leadership, Specialty Courts

certification staff will consult with the drug court judge and drug

court team to discuss their intent to apply for certification and the

application process.

(c) If a certified drug court undergoes new judicial leadership,

Specialty Courts certification staff will consult with the drug court

judge and drug court team to discuss their intent to maintain

certification, pending the next certification review.

(4) Specialty Courts certification staff will initiate a meeting with the drug

court judge and Specialty Courts staff to obtain necessary information

after an application is submitted.

(5) Specialty Courts certification staff shall provide a final report to the

Certification Board for review and consideration in support of

certification. The final report shall include:

(a) A review of the drug court’s compliance with these rules,

Memorandums of Agreement (MOAs), Memorandums of

Understanding (MOUs), and various fiscal considerations, such as,

drug testing, treatment supports, and Medicaid/insurance

applications;

(b) A summary of Best Practice Standards implemented by the drug

court;

(c) Any specialty court highlights, innovative approaches, and/or

exemplary practices;

(d) All areas of concern regarding Best Practice Standards established

by these rules;

(e) Recommendations for technical assistance, training, and areas of

improvement;

(f) A summary of the observation tool findings; and

(g) Any additional observations or recommendations.

(6) The Certification Board will review the Final Report and submit a

recommendation to the Chief Justice.

(7) The Chief Justice will make a determination of certification.

(a) If approved, the Chief Justice will issue an order of certification;

(b) If an improvement plan is necessary, the Specialty Courts

certification staff will collaborate with the drug court judge and

Specialty Courts staff to develop the plan and resubmit for

certification.

(8) Compliance with these rules, certification criteria, and the Best Practice

Standards shall be reviewed every three (3) years through internal

mechanisms including peer reviews and Specialty Courts certification

staff assessments. Information gleaned from those reviews and

assessments will be used to assist with evaluations of local specialty

court outcomes. A report of all drug court certification reviews will be

compiled and provided to the Certification Board. The Certification

Board will review the certification reviews and submit a

recommendation to the Chief Justice.

This order shall be effective January 1, 2025, and until further order of

this Court.

Entered this 12th day of December 2024.

All sitting; all concur.

CHIEF JUSTICE