Section 20. Confidentiality of Records
Effective April 7, 2021
(a) A problem-solving court shall develop and observe written policy and procedure that ensures the confidentiality and security of participant records in accordance with all applicable laws. All information contained in problem-solving court participant case management files is confidential and may only be released in accordance with the appropriate legal authority or problem-solving court policy and procedure as established under this section.
(b) A problem-solving court shall develop and observe policy and procedure governing the release of participant records in problem-solving court participant case management files not otherwise governed by subsection (c) of this section.
(c) A problem-solving court that refers participants to substance abuse services shall develop and observe written policy and procedure, conforming to applicable state and federal laws, that ensures the confidentiality and security of these participant records. At a minimum, the policy and procedure shall include the following:
(1) The confidentiality of drug and alcohol abuse patient records in compliance with 42 CFR Part 2, including:
(A) What information is confidential.
(B) Who is covered by the regulations, including minor participants, mentally incompetent participants and deceased participants.
(C) When disclosure of protected information requires consent.
(D) When disclosure of protected information does not require consent.
(E) The execution of release of information forms as required in subsections (d) and(e) of this section.
(F) Participant access to records.
(G) Documentation in the participant case management file of the release of all confidential information.
(d) A problem-solving court that admits a participant under a criminal case number and refers that participant to substance abuse services shall create and utilize a criminal justice (non- revocable) release of information form in compliance with 42 CFR Part 2 to obtain the participant’s consent for the release of confidential information to and among the problem- solving court team members and providers for the purpose of monitoring the participant’s progress in problem-solving court.
(1) The staff member completing the consent form shall cross out or mark “NA” on any blank lines remaining after the form has been completed to ensure the form is not altered after execution and sign the consent form.
(2) The release of information form with the participant’s original signature shall be maintained in the participant’s file.
(3) A copy of the signed release of information form shall be provided to the participant.
(e) A problem-solving court that admits a participant under a juvenile case number or a civil case number and refers that participant to substance abuse services shall create and utilize a general (revocable) release of information form in compliance with 42 CFR Part 2 to obtain the participant’s consent for the release of confidential information to and among the problem- solving court team members and providers. A problem-solving court that admits a participant under a criminal, delinquency or civil case number and refers that participant to substance abuse services may also create and utilize a general (revocable) release of information form in compliance with 42 CFR Part 2 to obtain the participant’s consent for the release of confidential information to other individuals designated by the participant.
(1) The staff member completing the consent form shall cross out or mark “NA” on any blank lines remaining after the form has been completed to ensure the form is not altered after execution and sign the consent form.
(2) The release of information form with the participant’s original signature shall be maintained in the participant’s file.
(3) A copy of the signed release of information form shall be provided to the participant.
(f) Chronological case summary entries shall be brief and contain only non-confidential information to the extent possible.
(g) In order to protect participant confidentiality, the problem-solving court’s facilities, including waiting rooms, offices, chemical testing facilities, and group areas other than the court room shall be arranged in a way that minimizes disclosure of confidential information to the general public.
(h) The facilities shall provide adequate space for the storage of all participant case management files and permit participant case management files to be properly secured at all times as required under federal regulations and state rules. All participant records created or maintained in electronic format shall be properly secured at all times with security measures designed to ensure access is restricted to authorized staff only. The problem-solving court shall comply with Ind. Administrative Rule 6 and Ind. Administrative Rule 7 governing the storage, retention and disposal of judicial records.