Short Answer: A substance use evaluation is a clinical assessment conducted by a qualified professional to determine whether a person has an alcohol or drug use disorder and whether treatment would be beneficial. In a Michigan DUI case, an independent evaluation may also help with plea negotiations and sentencing. Obtaining the evaluation early gives the client time to begin any recommended treatment and establish a record of progress before the case reaches sentencing.
Being arrested for drunk driving does not necessarily mean that someone has an alcohol use disorder. An arrest may raise legitimate questions about a person’s relationship with alcohol, but answering those questions requires more than a review of the police report, chemical test results and prior record. A qualified evaluator considers the person’s drinking history, health, personal circumstances, and other clinical information before reaching a conclusion.
At the Barone Defense Firm, we frequently recommend a private substance use evaluation early in the representation. The evaluation can help us understand whether treatment would be appropriate and, when necessary, begin developing a sentencing mitigation strategy. It may also help the client recognize and address problems that extend beyond the criminal case.
Why Should I Get a Substance Use Evaluation After a Michigan DUI Arrest?
A private substance use evaluation provides an independent clinical assessment of whether someone has an alcohol or other substance use disorder and what treatment, if any, would be appropriate. The findings may be useful to the client personally and may also assist defense counsel during plea negotiations and sentencing.
The evaluation can help distinguish between an isolated incident involving poor judgment and a more established pattern of problematic substance use. It may identify meets the DSM-V diagnostic criteria for an alcohol use disorder, another clinical concern, or no disorder at all. Regardless of the outcome, the assessment should help explain the client’s circumstances and provide a reasoned basis for any recommendations.
A properly completed evaluation may also provide information that the defense attorney can consider when preparing mitigation materials. The potential legal value depends on the findings, the evaluator’s qualifications, and the circumstances of the case. Neither the prosecutor nor the sentencing judge is required to accept the evaluator’s conclusions, nor is the defense attorney required to provide a copy of the evaluator’s confidential report.
What Happens During a Substance Use Evaluation?
A substance use evaluation usually involves an interview with a licensed mental health or addiction professional, a review of relevant personal and clinical history, and one or more standardized assessment instruments. The evaluator uses this information to determine whether a diagnosis is appropriate and whether counseling, treatment, education, or other services might be beneficial.
Most clients can expect to discuss several areas of their lives. The process should be comprehensive enough to produce an individualized assessment rather than a conclusion based solely on the fact of a DUI arrest.
1. Personal, Medical, and Family History
The evaluator will ordinarily ask about education, employment, family relationships, physical health, prescription medications, and previous mental health treatment. The discussion may also address stress, significant life experiences, and any family history of alcohol or drug problems.
This background helps the evaluator understand whether substance use is associated with other circumstances, including psychological concerns that may require separate attention. A diagnosis should reflect the person’s overall clinical presentation rather than a single DUI episode leading to the police contact.
2. History of Alcohol and Drug Use
Clients should expect questions about the frequency and quantity of alcohol consumption, changes in drinking patterns, previous attempts to reduce consumption, and any consequences associated with substance use. The evaluator may also ask about cannabis, prescription medications, and other substances, even when the pending DUI charge involves alcohol alone.
The clinician may explore whether drinking has affected employment, relationships, health, or ordinary responsibilities. These questions are relevant to understanding the nature and potential severity of a substance use disorder.
3. Questions About the DUI Arrest
The evaluator may ask about the circumstances surrounding the arrest, including alcohol consumption, prior alcohol related arrests, and the client’s understanding of what occurred during and leading up to the instant arrest. This information provides context for the assessment, but a clinical evaluator does not determine whether the prosecution can prove the criminal charge. The evaluator should not hold or express any opinion about the pending matter because that’s outside the scope of their expertise and their role as a substance use evaluator.
Because the case may still be pending, clients should consult their defense attorney about the purpose of the evaluation and the handling of potentially incriminating information before the interview. They should answer clinical questions honestly while understanding how the resulting information will be documented and protected.
4. Written Questionnaires and Screening Instruments
Many professionals use standardized assessment instruments to supplement the interview. These tools may help identify concerning patterns of substance use, possible inconsistencies, or areas requiring further investigation. Depending on the evaluator and the circumstances, several different instruments may be used.
Important distinction: Screening is not the same as diagnosis.
A screening questionnaire can identify concerns that warrant further assessment. A clinical diagnosis requires consideration of the applicable diagnostic criteria, the individual’s history, and the evaluator’s professional judgment. A questionnaire score alone should not substitute for a comprehensive evaluation.
How Is Alcohol Use Disorder Diagnosed?
Clinicians commonly use the Diagnostic and Statistical Manual of Mental Disorders, Fifth Edition, Text Revision (DSM-5-TR) to assess alcohol use disorder. Its diagnostic framework considers 11 criteria occurring within a 12-month period, with the number of qualifying criteria helping determine severity.
Examples include drinking more than intended, unsuccessful attempts to reduce drinking, cravings, continued use despite significant problems, and interference with important responsibilities. A clinician must consider the relevant diagnostic requirements rather than treating each reported event as proof of a disorder.
DSM-5-TR Classification
Number of Qualifying Criteria
Below diagnostic threshold
0–1
Mild alcohol use disorder
2–3
Moderate alcohol use disorder
4–5
Severe alcohol use disorder
6 or more
The National Institute on Alcohol Abuse and Alcoholism explains the DSM-5-TR diagnostic criteria and the relationship between diagnosis, severity, and treatment. Notably, the current framework does not treat an arrest or legal problem as a standalone diagnostic criterion.
I previously examined the diagnostic framework with clinical psychologist Dr. Elizabeth Corby in our article, Michigan Criminal Defense Lawyer’s Guide to the DSM-5 for Substance Use Disorders, published by the State Appellate Defender Office. That earlier article discusses the clinical foundations of substance use evaluations and their potential role in criminal defense. The current DSM-5-TR framework continues to recognize that severity and treatment needs differ substantially among individuals.
How Do I Find a Qualified Substance Use Evaluator?
You can locate a substance use evaluator through your defense attorney, primary care physician, an existing mental health professional, or referrals from your health insurance provider. The most important consideration is whether the evaluator has the qualifications and experience appropriate to the assessment you need.
For a Michigan DUI case, I generally recommend someone with substantial experience assessing alcohol and drug use disorders who also understands the expectations associated with court-related evaluations. This combination can help ensure that the resulting report is clinically sound and useful for the purpose for which it was requested.
What Qualifications Should I Look For?
Six considerations when selecting an evaluator
- Appropriate professional credentials. The professional should hold a license or recognized credential authorizing the relevant clinical assessment.
- Experience diagnosing substance use disorders. The evaluator should regularly assess alcohol and drug use concerns.
- Experience with court-related evaluations. Familiarity with criminal proceedings may be helpful when the report will be considered for legal purposes.
- Sound assessment methods. The evaluation should include an adequate interview, appropriate instruments, and individualized clinical reasoning.
- Independence and objectivity. The evaluator should reach an honest clinical conclusion regardless of whether the findings favor the defense.
- A useful written report. The report should explain the relevant findings, diagnosis when appropriate, and the reasons for any treatment recommendations.
Doctoral-level psychologists have advanced training relevant to complicated evaluations, but a doctoral degree is not automatically required for every substance use assessment. Other appropriately licensed and experienced clinicians may also be qualified. The best choice depends on the client’s clinical circumstances and the intended use of the report.
I also do not believe that courts should give greater weight to an evaluation merely because it comes from someone recommended by a particular lawyer or who may be familiar to the Judge. The evaluator’s training, methods, independence, and ability to explain the conclusions are more meaningful considerations and will allow the evaluation to carry more weight with the Court.
Do Healthcare Professionals Need a Specially Approved Evaluator?
Healthcare professionals may need an evaluator who satisfies requirements beyond those ordinarily associated with a private DUI assessment. This is particularly important when an evaluation is intended for Michigan’s Health Professional Recovery Program (HPRP).
Physicians, nurses, pharmacists, and other licensed healthcare professionals may face separate questions involving professional licensing, employment, credentialing, and clinical fitness to practice. An evaluation intended to support a criminal sentencing presentation is not necessarily interchangeable with one required by a professional licensing or monitoring program.
According to the HPRP’s published evaluator procedures, the program identifies approved evaluators following intake. Evaluations performed without an HPRP referral are not accepted as HPRP evaluations. Consequently, a healthcare professional who may need an HPRP assessment should coordinate the process with counsel and the program before selecting an evaluator.
A separately obtained private evaluation may still serve clinical or criminal-defense purposes. However, clients should not assume that it will satisfy HPRP requirements or that its confidentiality and reporting procedures will be the same as those governing an attorney-directed evaluation.
For additional discussion, see our page addressing Michigan DUI cases involving professional license holders. Healthcare professionals seeking appropriate peer support may also wish to read our article on Caduceus meetings for Michigan healthcare professionals.
How Much Does a Private Substance Use Evaluation Cost?
The cost varies according to the evaluator’s credentials, the complexity of the assessment, and the services included. Before scheduling, ask whether the price covers the clinical interview, questionnaires, diagnostic assessment, written report, and any necessary follow-up.
A comprehensive evaluation performed by an experienced doctoral-level clinician may be more expensive than one conducted by a master’s-level professional. However, the fee alone is not a reliable measure of quality. Clients should consider the qualifications and scope of the assessment rather than selecting an evaluator solely on price.
Insurance coverage also varies. An evaluation requested primarily for a criminal proceeding will not be covered, even when treatment services provided by the same professional might qualify for benefits. Confirm the charge and any available coverage directly with the evaluator or insurer.
When Should I Schedule a Substance Use Evaluation After a DUI Arrest?
In many Michigan DUI cases, I recommend scheduling the evaluation early in the representation, rather than waiting until a plea agreement or sentencing date. Early assessment allows enough time to identify any appropriate treatment and begin following recommendations while the criminal case is pending.
At the Barone Defense Firm, our approach is that sentencing mitigation begins when the client retains counsel. The defense should begin learning about the client’s circumstances, identifying potential problems, and documenting constructive steps from the outset. An independent evaluation may provide an important clinical foundation for that process.
When treatment is indicated, a client who begins promptly may have months to develop a meaningful record of participation and progress. That history can be more informative than a last-minute commitment to seek treatment shortly before sentencing. The legal value of any rehabilitation record depends on its relevance, credibility, and the circumstances of the case.
Equally important, appropriate treatment should not be postponed simply because the criminal case remains unresolved. The client’s health and long-term well-being should remain important considerations independent of any sentencing benefit.
For more information about developing a sentencing presentation, see our discussion of collateral consequences and sentencing mitigation in Michigan criminal cases.
What Happens After the Evaluation Is Completed?
The evaluator ordinarily prepares a written report summarizing the information considered, the clinical findings, any diagnosis, and recommendations for treatment or other services. The report should explain the basis for the conclusions rather than merely assigning a diagnostic label.
Treatment recommendations vary. Some clients may benefit from education or individual counseling, while others may need more comprehensive intervention. An evaluator may also conclude that formal treatment is unnecessary. These determinations should reflect the client’s clinical needs, not a predetermined expectation that every person arrested for DUI must enter treatment.
If treatment is recommended, the client should discuss the proposed plan with the evaluator and counsel. The purpose is to identify appropriate care and, when relevant, develop an accurate record of participation and progress.
Will My Private Substance Use Evaluation Remain Confidential?
One concern clients sometimes have about a substance use evaluation is whether the information they share with the evaluator might later be disclosed to the prosecutor, judge, or even a jury. An evaluation may involve discussing highly personal matters, including alcohol consumption, family relationships, medical history, and past experiences that have little to do with the pending DUI charge. Clients understandably want to know who will have access to that information and whether they will have any control over its disclosure.
At the Barone Defense Firm, we take that concern very seriously. When we arrange a private substance use evaluation, our practice is to have the completed report sent exclusively to our office. We maintain that report in strict confidence, and no information from it is voluntarily released to the prosecutor, probation department, court, or anyone else without the client’s prior approval. We review the findings with the client before making any decision about whether the report should be used in the criminal case.
Your Story Should Not Be Told Without Your Consent
One of the most difficult aspects of facing criminal charges is the loss of control over how others see you. Police reports, criminal allegations, and court proceedings can create an incomplete picture of who you are, often reducing a complicated life to a single incident. A private substance use evaluation offers an opportunity for a qualified professional to understand your circumstances more fully. Just as importantly, when the evaluation is arranged through our firm, you retain control over whether that assessment becomes part of your criminal case. We will not voluntarily disclose it without your prior approval.
Confidentiality is therefore central to how we approach these evaluations. Appropriate professional privileges and confidentiality laws may provide additional protections, although those protections have legal exceptions. We discuss those limitations with clients before arranging an assessment. Our objective is to ensure that clients can approach the evaluation with confidence, knowing that their personal information will be treated with the seriousness and discretion it deserves.
Michigan law recognizes protections for certain psychologist-patient communications under MCL 333.18237.
How Is a Private Substance Use Evaluation Different From the Court’s NEEDS Assessment?
A private substance use evaluation differs significantly from the screening commonly performed by Michigan probation departments before sentencing. Although both processes may address alcohol and drug use, they are conducted by different professionals, use different methods, and serve different purposes.
In many Michigan DUI cases, the court’s screening is performed by a probation officer using a computerized instrument known as NEEDS. The probation officer will rarely have any specialized training in administering substance use screening instruments, but even if they do, they are not functioning as a licensed psychologist or other mental health professional conducting a comprehensive clinical evaluation. Nevertheless, the results are incorporated into the presentence investigation and may influence the probation department’s sentencing recommendations, which may seem biased or unfair.
This distinction matters because screening instruments have limitations. The NEEDS assessment relies heavily on responses to standardized questions and computerized scoring. Although those results may help identify potential concerns and the need for further assessment, a numerical score cannot, by itself, establish a reliable clinical diagnosis of alcohol use disorder. Diagnosis requires the application of recognized clinical criteria, consideration of the person’s history, and professional judgment.
Indeed, the Michigan State Court Administrative Office’s Manual for District Court Probation Officers expressly states that probation officers do not perform clinical diagnoses or develop treatment plans. Their role is to assess whether an individual is likely to benefit from rehabilitative services and make appropriate recommendations to the sentencing judge.
By comparison, a comprehensive private substance use evaluation conducted by a qualified clinician involves a more individualized examination of the person’s alcohol and drug use history, psychological circumstances, and relevant diagnostic criteria. The clinician can evaluate whether an alcohol use disorder exists, assess its severity, and make treatment recommendations supported by the clinical findings.
The distinction becomes particularly important when a computerized screening report appears to assign a diagnosis or degree of substance use severity that is not supported by an independent clinical evaluation. In those circumstances, defense counsel may have a sound basis to question the screening result and present more comprehensive clinical evidence for the court’s consideration.
Michigan law nevertheless requires screening and assessment before sentencing for specified DUI convictions under MCL 257.625b(5). A private evaluation does not automatically replace that requirement. For a detailed explanation of the court-administered process, see our article, The NEEDS Assessment in a Michigan DUI Case.
Frequently Asked Questions About Substance Use Evaluations
Does a Substance Use Evaluation Mean I Must Attend Alcoholics Anonymous?
No. An evaluator may recommend AA, another recovery-support program, individual counseling, formal treatment, education, or no treatment, depending on the findings. The recommendation should be individualized. For a discussion of the available options, see Should I Go to AA After a Michigan DUI Arrest?
Can a Substance Use Evaluation Be Done Online?
Some qualified evaluators offer remote assessments using secure video appointments. Whether that format is appropriate depends on the complexity of the evaluation, the professional’s clinical judgment, and the requirements of the intended recipient. If the assessment is for a court, licensing authority, or monitoring program, confirm that the format will be acceptable before scheduling.
What if the Evaluator Says I Do Not Need Treatment?
An evaluator may conclude that a person does not meet the diagnostic criteria for a substance use disorder or that formal treatment is not clinically indicated. The report should explain the clinical basis for that conclusion. This does not determine the outcome of the DUI case or prevent the court from imposing lawful education or rehabilitative conditions.
Can a Private Evaluation Help Reduce My DUI Sentence?
It may provide information relevant to plea negotiations or sentencing, particularly when supported by appropriate follow-through and a documented history of progress. However, the prosecutor and judge are not bound by the evaluation, and no particular outcome can be guaranteed. The report’s usefulness depends on the facts, findings, and applicable law.
Attorney Insight: Why I Recommend Starting Early
In my experience defending Michigan DUI cases, I have found that sentencing mitigation is most effective when it begins at the start of the representation. Waiting until a plea agreement has been reached can deprive the client of valuable time to understand and address any underlying issues.
That is one reason I frequently recommend an independent substance use evaluation early in the case. It provides clinical information that may help us make better decisions about treatment and defense strategy. If treatment is appropriate, early participation also creates the opportunity to demonstrate meaningful progress over time rather than making promises shortly before sentencing.
I encourage clients to approach treatment as something more than a legal obligation. When treatment is clinically appropriate, its greatest value may be the lasting improvement it produces in the client’s health, relationships, and quality of life. Those benefits matter regardless of the ultimate outcome of the criminal case.
About the Author
Patrick T. Barone is the founding and managing partner of Barone Defense Firm, a Michigan criminal defense practice with offices in Birmingham and Grand Rapids. Nationally recognized for his work in DUI defense, he has spent much of his career studying and teaching the scientific, legal, and behavioral dimensions of intoxicated-driving cases.
Barone has authored or co-authored five books, including the two-volume treatise Defending Drinking Drivers, contributed six book chapters, and published more than 130 articles. His undergraduate education in biology informs his work with forensic and clinical evidence. He is also a board-certified Trainer, Educator, and Practitioner in Psychodrama, Sociometry, and Group Psychotherapy, and regularly teaches trial advocacy and related subjects to lawyers.
His published work includes Michigan Criminal Defense Lawyer’s Guide to the DSM-5 for Substance Use Disorders, co-authored with clinical psychologist Dr. Elizabeth A. Corby. The article reflects his longstanding interest in the role of accurate clinical assessment in criminal defense, treatment planning, and sentencing mitigation.
Speak With a Michigan DUI Defense Attorney
A substance use evaluation may be an important part of an individualized DUI defense strategy, but the timing, evaluator selection, and handling of the report deserve careful consideration. These decisions are best made with an understanding of the potential legal consequences and the client’s particular circumstances.
Barone Defense Firm represents clients throughout Michigan facing DUI and other serious criminal charges. To discuss your case, call 1-877-ALL-MICH (877-255-6424).
