Section 5: Driver Safety Plans

Once the Intoxicated Driver Program (IDP) assessment has been completed, including determination of a Wisconsin Assessment of the Impaired Driver (WAID) finding, the assessor collaborates with the client to develop an individualized driver safety plan (DSP). The assessment process may reveal a range of issues impacting the client’s use of alcohol or other drugs. While professional judgment plays a key role in the interview and assessment process, the resulting DSP must be directly supported by the WAID finding, as outlined in Wis. Admin. Code § DHS 62.07(1).

Clients should actively participate in the development of their DSP, including discussion of preferred treatment providers and logistical considerations. This collaborative approach aligns with trauma-informed practices and supports client readiness for change. However, allowable DSP services are limited to those that explicitly address substance use or substance use disorders.

Per Wis. Admin. Code § DHS 62.07(3), each DSP must include at least one service, even in cases where no WAID criterion is identified, or if the client is considered in remission. Prior treatment engagement or remission status does not exempt a client from participating in a service.

DSPs are limited to a maximum of one year in duration, with a one-time extension of up to four months available if requested before the original end date. All DSPs, including any amended plans, must be signed by the client.

Treatment recommendations

When the WAID finding is “suspected dependency,” “dependency,” or “dependency in remission,” the DSP must include a referral to treatment services as defined under Wis. Admin. Code §§ DHS 62.07(2)(b–d). The level of care must be matched to the specific WAID finding as follows:

• For irresponsible use–borderline: the plan may recommend short-term outpatient substance use treatment [Wis. Admin. Code § DHS 62.07(2)(a)].
• For suspected dependency: the plan shall recommend substance use treatment that does not include residential or inpatient services [Wis. Admin. Code § DHS 62.07(2)(b)].
• For dependency: the plan shall recommend substance use treatment. If residential or inpatient care is recommended, the duration may not exceed 30 days [Wis. Admin. Code § DHS 62.07(2)(c)].
• For dependency in remission: the plan must still include a treatment referral, reflecting continued recovery needs [Wis. Admin. Code § DHS 62.07(2)(d)].

With a finding of "irresponsible use-borderline," Wis. Admin. Code ch. DHS 62 allows for a DSP referral of education and/or short-term outpatient substance use disorder treatment. However, an assessor should use their professional judgment to determine whether education or treatment best meets the needs of the client.

The WAID is not a diagnostic tool, and the inclusion of this category reflects clients whose substance-related consequences may be increasing but who may not meet the clinical criteria for a substance use disorder. These clients should not face more intensive requirements or higher costs (example: completing both education and treatment) than clients with more severe WAID findings. As research and practice demonstrate, overtreating individuals can be more destructive than constructive and does not yield improved outcomes.

For any finding of "suspected dependency or greater," a referral for a medication-assisted treatment evaluation must also be included. While the assessment agency initiates the referral, the treatment provider is responsible for conducting the evaluation, not the assessor.

In cases where the WAID finding is “dependency in remission,” neither the WAID nor Wis. Admin. Code ch. DHS 62 provides explicit selection criteria. Assessors may consider this finding when clients have demonstrated 12 months or more of sustained abstinence per DSM-5-TR guidelines. A Wis. Admin. Code ch. DHS 75 compliant diagnostic evaluation conducted by the treatment agency will determine the specific treatment needs under the DSP.

OWI offenses do not always involve alcohol. Assessors must also consider illicit substances and prescription medications. Clients may be hesitant to disclose full use histories due to legal consequences or stigma.

When dealing with cannabis use, assessors should remain neutral and consistent. Use the standard IDP assessment process to determine if a client’s cannabis use is recreational. The WAID tool does not include criterion specific to cannabis. However, the consequences of cannabis use can be applied to all WAID criterion.

For IDP purposes, cannabis and other drug use should be evaluated similarly to alcohol use. For example, a WAID finding of irresponsible use resulting from recreational cannabis use should result in an education referral, not treatment.

Treatment regimen and duration

While the assessment agency is responsible for completing the DOT's Driver Safety Plan Order, MV3633, specific treatment details, including regimen and duration, should be determined by the treatment agency, not the assessor. Although the form includes fields for "regimen and duration," assessors should not complete those sections. This approach aligns with Wis. Admin. Code § DHS 62.07(5), which requires the treatment agency to conduct a diagnostic evaluation and develop a treatment plan based on individualized clinical need.

This practice shift is also supported by Wis. Admin. Code ch. DHS 75, which outlines the treatment provider’s responsibility to use validated placement criteria and evidence-based assessment tools (such as The ASAM Criteria) to determine appropriate level of care. It also reduces the risk of overtreatment, which research shows can lead to higher costs and less favorable outcomes, especially when care levels exceed clinical indications.

Furthermore, the WAID is not a diagnostic instrument, and the role of assessors is not clinical. This delineation of roles supports trauma-informed care, respects professional scope, and ensures treatment planning is guided by clinical evaluation, not presumptive administrative assignment.

Community-based groups and non-mandated support services: Wis. Admin. Code § DHS 62.07(5) permits the inclusion of community-based supportive, non-mandated services such as Alcoholics Anonymous or SMART Recovery on the DSP, as long as these services are directly related to the individual’s substance use. While these may be helpful as recovery supports, participation in self-help groups must remain entirely voluntary. A client cannot be required to attend self-help groups as a condition of DSP completion.

Similarly, Wis. Admin Code ch. DHS 62 allows for an education referral to be included in a DSP when the WAID finding is "suspected dependency," "dependency," or "dependency in remission." However, this is not considered best practice in most cases. Education program objectives may not always align with clinical treatment goals. These programs are designed for individuals in the early stages of problematic use or with minimal treatment needs and are not intended to function as formal treatment.

Clients referred to treatment who do not meet diagnostic criteria: Occasionally, a client may be referred to treatment through the DSP but is later found, through a formal clinical assessment, not to meet diagnostic criteria for a substance use disorder. This highlights the limitations of the WAID tool, which is not diagnostic, and reflects the challenge of building individualized plans through a non-clinical assessment process.

In these cases, the diagnostic assessment itself may fulfill the treatment requirement. If the provider confirms that no further services are necessary and the DSP contains no other conditions, the assessor may close the plan and report compliance to DOT. The assessor may use the diagnostic findings to revise the DSP. If the new finding supports an education referral instead of treatment, the DSP must be amended accordingly.

Referrals

Monitoring compliance

Ongoing monitoring is an essential part of the DSP process. Under Wis. Admin. Code § DHS 62.09, the assessment agency is responsible for tracking client compliance with all conditions listed on the DSP and reporting progress to DOT.

Monitoring activities include:

• Verifying completion of alternative education or treatment services.
• Communicating with service providers to confirm attendance and participation.
• Ensuring documentation is collected and maintained for all DSP components.

Agencies should focus on timely DSP completion through frequent contact with all involved parties and proactive problem-solving. Use structured internal systems to track deadlines, request updates from providers, and respond promptly to potential noncompliance.

Monitoring should be strengths-based, with the goal of assisting clients in successfully fulfilling their DSP rather than seeking out violations. Assessment agencies are not enforcement entities; instead, they serve as intermediaries who help clients understand requirements, access services, and maintain compliance with state-imposed conditions. If a client encounters legitimate barriers (examples: illness, transportation, childcare), assessors are encouraged to work with service providers to adjust schedules or identify alternative options when appropriate.

A client may be found noncompliant if they:

• Do not register with the assessment facility within 72 hours after the date of an order by a court or by DOT.
• Do not appear for a scheduled assessment.
• Do not give informed written consent to release information.
• Do not provide sufficient information to complete the Wisconsin Assessment of the Impaired Driver (WAID) or allow any collateral contacts to verify unclear areas, thus preventing completion of a competent assessment.
• Do not pay for the assessment.
• Do not complete the assessment within 14 days after the court order or DOT order or within an approved request for an extension made under Wis. Admin. Code § DHS 62.07 (1) (a).

The assessment facility should report a client’s compliance or noncompliance with an assessment to the DOT and the client, using Driver Safety Plan Report, MV 3631.

The assessment facility should notify the client of their status of noncompliance with an assessment at least five working days before submission of the final report to DOT. The notice should specify how the client did not comply.
Clients may not be found noncompliant based on behaviors or outcomes that fall outside the scope of the DSP or that are not authorized under Wis. Admin. Code ch. DHS 62.

• Relapse or continued use of alcohol or other substances is not grounds for noncompliance unless it results in failure to complete a required DSP component.
• Failure to maintain abstinence cannot be used as a reason for noncompliance if abstinence is not part of the DSP.
• A poor attitude or disagreement with the assessor’s recommendations does not justify a noncompliance status.

Assessors should use clear, objective criteria when determining DSP compliance status. Documentation of all client interactions, provider communication, and service updates should be maintained in the client’s file. Whenever possible, assessors should seek to support reengagement before reporting noncompliance to the DOT.

Assessment agencies are not punitive entities. The primary purpose of monitoring compliance is to support successful completion of the plan, not to seek out violations. Consistent, equitable, and trauma-informed approaches to DSP monitoring improve client engagement and system credibility.

Extension requests

Per Wis. Admin. Code § DHS 62.07(5)(f), the maximum length of a DSP is one year from the date the plan is initiated. However, a one-time extension of up to four months may be granted under certain circumstances.

The following criteria must be met to quality for an extension.

• The extension must be requested by the assessment agency.
• The request for an extension must be made prior to the expiration of the original one-year plan.
• The extension request must be submitted to DOT using the appropriate form or process.

Agencies should have internal procedures for monitoring DSP timelines and identifying when an extension may be warranted. Assessment staff should proactively follow up with clients and providers to determine whether services will be completed on time. If an extension becomes necessary, the request should clearly indicate the reason, the expected date of completion, and any outstanding requirements.

It is important to note that Wis. Admin. Code ch. DHS 62 permits only one extension per DSP. Agencies should plan accordingly to avoid situations where clients are unable to complete requirements due to administrative delays or missed deadlines.

Amendments

Wis. Admin. Code § DHS 62.07(5)(g) allows DSPs to be amended during the plan period when necessary. Amendments may be made for a variety of reasons, including changes in client circumstances, updated WAID findings, or new information received from education or treatment providers.

Common reasons for plan amendments include:

• A change in the WAID finding based on updated or collateral information.
• A mismatch between the client and referred service (example: education referral when treatment is more appropriate, or vice versa).
• The client moves and requires referral to a different provider.
• A service becomes unavailable or otherwise inaccessible.
• A clinical assessment determines whether a different level of care is needed.

Plan amendments must be documented using the DOT Driver Safety Plan Order, MV3633, and signed by the client. If the amendment reflects a change in WAID finding, the revised WAID form should also be included in the client file, along with documentation supporting the change.

Best practice encourages assessors to treat DSP amendments as an opportunity to improve alignment between client needs and services, rather than as a sign of failure. Amending a DSP to reflect current and accurate information supports client success, promotes fairness, and reinforces trauma-informed principles.

Go back - Section 4: Assessments
Next - Section 6: Fees