dui program - florida highway safety and motor vehiclesbmc) provides oversight, training, and...

Audit Report No. 201617-10 of 12

DUI Program April 19, 2017 Audit Report 201617-10 Executive Summary

The Driving Under the Influence (DUI) Section within the Bureau of Motorist Compliance (BMC) provides oversight, training, and monitoring for all Florida licensed DUI Programs. DUI Programs are governmental and professional non-profit organizations that are required to provide education, a psychosocial evaluation, and treatment referral services to DUI offenders to satisfy judicial and driver licensing requirements.

The goal of the Department of Highway Safety and Motor Vehicles’ (Department) DUI Section is to reduce the recidivism rate of DUI offenders by providing proper education and oversight for the DUI Programs. Section 322.292, Florida Statutes, (F.S.), provides the Department the authority to license and regulate all DUI Programs and to establish standards for the effective oversight of the DUI Programs. Chapter 15A-10 of the Florida Administrative Code (F.A.C) was established by the Department to provide minimum standards for licensing DUI Programs; including certifying personnel and regulating the conduct and courses of these programs. Compliance with these rules is required to obtain and maintain licensure and certification by the Department. As a part of the monitoring process and to ensure compliance with all applicable laws, periodic on-site visits to each DUI Program are conducted by the DUI Section. The purpose of this audit was to review the efficiency and effectiveness of the DUI on-site monitoring process, and determine compliance with applicable laws and Department policy and procedure. During our review of the DUI on-site monitoring process, we noted the following key areas in which improvements could be made:

Strengthening the quality and consistency of on-site visits;

Improving compliance with F.A.C; and

Improving the documentation of the DUI Review Board member approval process.


Background and Introduction Driving under the influence of alcohol or other impairing drugs is a crime in all 50 states and the District of Columbia. A DUI charge is taken very seriously and punished accordingly. Sections 316.192(5) and 316.193(5), F.S. requires all DUI offenders to enroll and complete a Department approved DUI Program substance abuse education course and evaluation. Prior to 1994, the Florida Supreme Court was responsible for regulating all Florida DUI Programs. However, in 1994, Section 322.292, F.S. was established to grant the Department the authority to license and regulate all DUI Programs and to establish standards for the effective oversight of the DUI Programs. The Department established Chapter 15A-10 of the F.A.C. to provide minimum standards for licensing DUI Programs; including certifying personnel and regulating the conduct and courses of these programs. Compliance with these rules is required to obtain and maintain licensure and certification by the Department. The DUI Section within BMC ensures compliance with F.S. and F.A.C. by conducting DUI Program on-site visits. DUI Programs are governmental and professional non-profit organizations that are required to provide education, a psychosocial evaluation and treatment referral services to DUI offenders to satisfy judicial and driver licensing requirements. The Departments’ DUI Section provides oversight, monitoring, education and training to DUI Program personnel, and develops curriculum for DUI courses for Florida’s 24 licensed DUI Programs. DUI Educational Courses

Each DUI Program provides client evaluation services and offers two Department- approved educational services: a Level I course for first-time DUI offenders and a Level II course for anyone who has previously attended a Level I course and has multiple offenses. The Level I course must include a minimum of 12 hours of classroom instruction with not less than two hours of drug abuse information. The Level II course must include a minimum of 21 hours of classroom time using primarily interactive educational techniques in a group setting consisting of an average of 15 students. This course focuses on the problems of the repeat offender and treatment readiness. An evaluation is conducted on all clients enrolled in a DUI Program to determine the existence of a possible alcohol or drug abuse problem. Clients are referred to appropriate treatment if necessary. The completion status of courses and substance abuse treatment (if referred) are reported to the Department. DUI Programs are client funded through the Level 1 and Level 2 course fees and may also be funded through grants. DUI registration fees and re-schedule fees are set by


Rule 15A-10, F.A.C. for all Florida DUI Programs. From the registration fees collected, DUI Programs are obligated by statute to pay the Department a $15 student assessment fee which is deposited into the Highway Safety Operating Trust Fund. For the 2015-16 Fiscal Year, the Department collected approximately $637,083.36 in assessment fees. DUI Programs also offer a voluntary intensive management program, Special Supervision Services (SSS), as a way to help with decreasing repeat DUI offenses. Section 322.271, F.S. gives the Department the authority to modify driver licenses for individuals with 5 and 10 year revocations, to legally drive during the court or Department established revocation periods for business or employment purposes only, with the supervision of a licensed DUI Program. If the Department determines the applicant is eligible to receive a restricted license, participation in a SSS Program is required for the length of the revocation period. To ensure proper oversight, SSS Programs are monitored during on-site visits. On-Site Visit Process Section 322.292(2)(f), F.S., states the Department shall oversee an ongoing evaluation to assess the effectiveness of the DUI Programs. This evaluation shall be performed by an independent group and shall evaluate the curriculum, client treatment referrals, recidivism rates, and any other relevant matters. Rule 15A-10.007, F.A.C. was established to require the DUI Program Review Board (Board) to conduct periodic on-site visits of all DUI Programs as well as unannounced visits. The Board is comprised of judges, clinicians, doctors and agency personnel.

According to BMC On-Site Visit procedures, an on-site visit schedule for all the DUI Programs is proposed by the BMC. The on-site visit schedule will be adopted at a regular Board meeting or by the Bureau Chief following a review with prospective Board members. On-site visits are subsequently conducted in accordance with the approved on-site visit schedule. An on-site visit is the primary way the Department provides oversight of DUI Programs. The Compliance Review Form is a guide used when performing on-site visits to gather information and measure if DUI Programs are adhering to administrative rules and all other necessary requirements. While performing on-site visits, curriculum, client treatment referrals, recidivism rates, SSS Programs and any other relevant matters are assessed. Members of the Department’s DUI Section along with Board members perform on-site visits. Periodic on-site visits of all programs are conducted at least once every 24 months. Upon the completion of the on-site visit, members discuss the overall compliance of the


DUI Program, including any deficiencies the program may need to address. An exit interview is scheduled and this information is then shared with the DUI Program. A final report, detailing the on-site visit as a whole, is sent to DUI Programs. If deficiencies are noted, the DUI Program is required to respond in writing, documenting correction of those deficiencies within 30 calendar days after the receipt of the final report. After compliance issues are addressed and BMC receives requested documentation, a clearance letter is provided to the DUI Program coordinator stating that the program is now in compliance with Chapter 15A-10, F.A.C. A letter and a copy of the final report reflecting the satisfied deficiencies, is also provided to the chief judge of the DUI Program’s circuit, stating the program is in compliance with Rule 15A-10, F.A.C. However, failure to satisfy the deficiencies within the specified timeframe results in the suspension or revocation of the DUI Program license.

Findings and Recommendations

During our review of the DUI on-site monitoring process, we noted the following key areas in which improvements could be made: DUI Program Oversight Finding No. 1: The Department’s oversight of DUI Programs and their adherence to F.A.C. would be strengthened through improvements to the documentation, reporting, and quality review function of the DUI Program on-site compliance visits. Section 15A-10.007(1) F.A.C., requires on-site visits be processed in accordance with the Compliance Review Form (HSMV 77038) to determine compliance with F.A.C rules. Chapter 15A-10 also provides numerous requirements for the management and operation to be a licensed DUI Program. During our review of the on-site visits conducted during the 2015 and 2016 calendar years, we noted the Compliance Review Form (HSMV 77038) was not used and a DUI Site Visit Process Guide was used in its place. We reviewed the DUI Site Visit Process Guide to determine if it included all applicable 15A-10 F.A.C. rules and determined 6 applicable F.A.C. rules were not included. We also determined portions of the DUI Site Visit Process Guide did not consistently address the applicable F.A.C. rules. Follow-up discussion with BMC management determined the DUI Site Visit Process Guide should not have been used, and effective immediately it would not be used for future on-site visits. BMC management also stated the Compliance Review Form (HSMV 77038) needed to be reviewed as it did not address all applicable F.A.C. rules.


Our review of documentation for 10 on-site visits of DUI Programs noted the DUI Site Visit Process Guide was not maintained for one and not fully completed for seven: including sections related to cash handling, DUI client fees, DUI client files, IID requirements and services, and treatment providers and referrals. Final reports for the 10 on-site visits did not address all requirements of the F.A.C. and conclusions in the reports were not always supported by the DUI Site Visit Process Guides. For example, one final report does not state whether rules 15A-10.040 or 15A-10.042 are in compliance or not, while the process guide says they are. Recommendation We recommend the BMC review and revise the Compliance Review Form to ensure all applicable 15A-10 F.A.C. rules are included. We also recommend the BMC ensure the Compliance Review Form (HSMV 77038) is used for on-site visits. Furthermore, we recommend the BMC include the compliance status of all applicable F.A.C. rules from the Compliance Review Form in the Final Report. Moreover, we recommend the BMC implement a quality review process to improve the quality and consistency of on-site visits and review documentation. Management Response The Bureau of Motorist Compliance is currently revising the Compliance Review Form to ensure all aspects of Chapter 15A-10, F.A.C., will be reviewed prior to the audit, or audited during the on-site visit. The Compliance Review Form, HSMV 77038, is being mailed to all licensed DUI Programs to ensure compliance with F.A.C. In addition, for future on-site visit cycles the form will be distributed to all DUI Programs 6 weeks prior to the initiation of the on- site visits to ensure that all DUI Programs are provided with adequate time to complete and return the form in compliance with Rule 15A-10.007, F.A.C.. Each Final Report will be reviewed by the member performing the site visit, the Unit Supervisor, the Program Manager and the Bureau Chief prior to providing the report to the DUI Program. Staff reviews will include a thorough review of the report to ensure that compliance or non-compliance with all aspects of Chapter 15A-10, F.A.C. are included in the final report.


Timely On-Site Visits Finding No. 2: Improving compliance with F.A.C. would strengthen DUI Program oversight. Rule 15A-10.007 F.A.C., requires the Board to conduct periodic on-site visits of all DUI Programs as well as unannounced visits. The Rule also requires on-site visits to each program be conducted at least once every 24 months and each DUI Program to complete and submit the Compliance Review Form (HSMV 77038) at least six calendar weeks prior to the on-site visit. Additionally, BMC On-Site Visit procedures require a letter be sent to each DUI Program requesting a completed Compliance Review Form (HSMV 77038) be submitted to BMC within 30 days of receipt. If the Compliance Review Form is not received BMC is to contact the DUI Program and make a note within the on-site visit program file. Our review of on-site visits for the 24 DUI Programs conducted during the 2015 and 2016 calendar years, determined on-site visits were not performed as required. Specifically, no unannounced on-site visits were conducted and 10 on-site visits (42%) were not conducted timely; ranging from 733 – 1,008 days between on-site visits. Furthermore, no DUI Program submitted the required Compliance Review forms, as BMC did not request the forms be completed and submitted. Recommendation We recommend the BMC establish procedures to ensure on-site visits are completed as required and include a component of unannounced on-site visits. Management Response The Bureau of Motorist Compliance is currently in the process of reviewing and amending Chapter 15A-10, F.A.C. As a component of this review, we will also be creating an operations procedure manual for all procedures that are the responsibility of the Department’s DUI section Board members. The Bureau will ensure that the on-site visit schedule complies with Rule 15A-10.007, F.A.C., which requires that each DUI Program is monitored at least once every 24 months. The previous on-site visit date will be used to project the next scheduled visit. Unannounced site visits will be incorporated into the schedule.


Review Board Members Finding No. 3: Documentation of the Board member approval process should be improved. Rule 15A-10.007, F.A.C. requires members of the Board be appointed by the Executive Director of the Department. Criteria for membership requires that the member be employed in or have a history of employment in criminal justice, finance, accounting, business administration, public administration or human services. Persons who receive compensation from or who serve in a voluntary capacity on the Board of Directors of a licensed DUI Program are not eligible for membership. Our review of the 10 Review Board members noted for 6 (60%) of the Board members, documentation of their appointment by the Executive Director was not maintained. We also noted currently the BMC only verbally verifies Board members do not received compensation or served in a voluntary capacity on the Board of Directors of a licensed DUI Program as part of the nomination process. Recommendation We recommend the BMC implement a process to maintain documentation of Board member approval. We also recommend the BMC require Board members annually complete an Independence statement. Management Response The Bureau of Motorist Compliance actively pursued additional volunteer members for the on-site audits in 2016. The existing members of the on-site review team have been participating in the process for over 15 years and Bureau staff were unable to locate any appointment documentation for those members. The Bureau will create a formal process for the approval and renewal of appointments to the Review Board. The process will include maintaining written documentation of Board member approval and an annual attestation signed by each Board member as to their compliance with Rule 15A-10.007, F.A.C.


Purpose, Scope, and Methodology

The purpose of this audit was to review the efficiency and effectiveness of the DUI on-site monitoring process and compliance with applicable laws, Department policy, and procedure. The scope of this audit included reviewing on-site visits conducted within the 2015-16 on-site visit schedule and reviewing standard documents used for monitoring on-site visits through November 1, 2016. The methodology included:

Reviewing applicable statutes, rules, and procedures;

Reviewing documents specific to performing DUI on-site visits for accuracy and compliance;

Reviewing DUI Review Board Member documentation for compliance; and

Interviewing appropriate Department staff.


ATTACHMENT - Management Response

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