IN · rules

Ind. Court Alcohol & Drug Program Rule

Indiana Court Alcohol and Drug Program Rules

activein force · 2025-05-15 – presentcompiled-edition

Indiana Rules for Court-Administered

Alcohol & Drug Programs

Adopted, Effective December 11, 1997

Updated, Effective May 15, 2025

Table of Contents

Section 1. Applicability 2

Section 2. REPEALED 3

Section 3. Approval Requirements 3

Section 4. Definition of Terms 3

Section 5. REPEALED 6

Section 6. Compliance 7

Section 7. Initial Certification - Application and Procedures 7

Section 8. Recertification - Application and Procedures 10

Section 9. Notice of Change 12

Section 10. Denial of Application for Certification or Recertification 12

Section 11. Grounds for Denial 13

Section 12. Suspension and Revocation Procedures 14

Section 13. Grounds for Revocation 14

Section 14. Hearing Procedures 15

Section 15. Continuation of Programs 18

Section 16. Funding Authorization 18

Section 17. REPEALED 18

Section 18. Program Goals and Objectives 19

Section 19. Eligibility and Non-Discrimination 19

Section 20. Client’s Rights and Procedures 19

Section 21. Client Intake and Orientation 20

Section 22. Client Assessments 21

Section 23. Client Privacy 24

Section 24. Confidentiality of Client Records 24

Section 25. Case Management 26

Section 26. Facilities 27

Section 27. Program Management & Oversight 28

Section 28. Fiscal Management 29

Section 29. Personnel Management 30

Section 30. Professional Requirements 31

Section 31. Substance Use Education Standards 36

Section 32. Contractors 39

Section 33. Chemical Testing 41

Section 1. Applicability

Effective August 31, 2021

(a) These rules apply to any person, firm, corporation, partnership, association, foundation,

governmental unit, or agency, whether public or private, that provides or intends to provide

IC 12-23-14 court-administered alcohol and drug services to or for persons who are ordered

by the court to participate in the program.

(b) Any person, firm, corporation, partnership, association, foundation, governmental unit, or

agency, whether public or private, that provides or intends to provide any court- administered alcohol and drug service to or for persons ordered by the court to participate in the

program must submit to the requirements for certification.

Section 2. REPEALED

Effective August 31, 2021

Repealed

Section 3. Approval Requirements

Effective August 31, 2021

(a) No person, firm, corporation, partnership, association, foundation, governmental unit, or

agency, whether public or private, that provides or intends to provide court- administered

alcohol and drug services to or for persons who are ordered by the court to participate in the

program and whose services are within the scope of IC 12-23-14, shall offer, advertise,

deliver, or provide services without first obtaining provisional approval or a certificate of

approval from the Indiana Office of Court Services.

(b) A court-administered alcohol and drug services program may not provide direct substance

abuse treatment services for which a certificate of approval is required by 440 IAC 4.4-2

unless:

(1) the court makes a written determination pursuant to IC 12-23-14-7 that existing community resources are inadequate to respond satisfactorily to the demand from the court

for specific substance abuse treatment or rehabilitation services; and

(2) the court-administered alcohol and drug services program applies for and receives a

certificate of approval pursuant to 440 IAC 4.4-2 for each category of substance abuse

treatment service to be provided by the court.

Section 4. Definition of Terms

Effective May 15, 2025

The following terms, when used in these rules, shall have the meanings below unless the con-

text clearly indicates a different meaning:

"Addiction treatment services" means a broad range of planned and continuing care, treatment, and rehabilitation, including, but not limited to, counseling, psychological, medical, and

social service care designed to influence the behavior of individual alcohol abusers or drug

abusers, based on an individual treatment plan.

"Alcohol abuse" means use of alcohol to an extent that harms the individual or society.

"Alcohol and drug services program" means an entity that provides a service for persons

charged with or convicted of an infraction, a misdemeanor, or a felony and that provides substance abuse assessment, intervention, education, referral, treatment, or rehabilitation pursuant to IC 12-23-14 under the operation of a court or under a private contract between a

court and a contractor.

"Assessment" means a process of evaluating and determining an appropriate level of alcohol

and drug services intervention based on information obtained from the client in a personal

interview and from other sources to develop the individual service contract.

The program’s assessment process may incorporate the alcohol and drug assessment with

the IRAS.

"Assessment staff status" means a program staff member hired prior to January 1, 2005, who

has completed the requirements, and maintains continuing education requirements as set

forth in the rules, that make the staff member eligible to conduct assessments on an ongoing

basis.

"Case management" means goal-oriented activities that facilitate, coordinate, or monitor the

full range of basic human needs, treatment, and service resources and delivery for individual

alcohol and drug program clients.

"Case termination" means following the procedure for terminating a client’s court-imposed

obligation to participate in the services of an alcohol and drug services program.

"Certification areas" means the areas of compliance with the statutes and rules that are eval-

uated during a certification review. They include administration, program management, clin-

ical standards, facilities, fiscal management, and personnel management.

"Certified organization" means an applicant that has successfully applied for and has received

a certification of approval from the Indiana Office of Court Services.

"Client" means any person who has applied for and has received services in the program.

This term does not include persons whose only contact with the program has been through

telephone.

"Client intake" means the administrative process for admission to a program.

"Client record" means any documentation created, collected, received, or maintained by the

program on a client.

"Cognitive-based" means an approach to substance abuse education that attempts to reduce

the desire to use alcohol or drugs by weakening the beliefs that promote risky use and teach-

ing ways to modify behavior.

"Court-administered alcohol and drug service" means the same as “alcohol and drug services

program.”

"Court Substance Abuse Management Specialist" (CSAMS) means a designation and a credential awarded to staff members of alcohol and drug services programs that meet established professional standards and testing requirements.

"Documentation" means a written, paper or electronic, record acceptable as evidence to

demonstrate compliance with these rules.

"Drug" includes any controlled substance as defined in IC 35-48-1-9 and any drug as defined

in IC 9-13-2-49.1.

"Drug abuse" means the use of drugs or harmful substances to an extent that harms the individual or society.

"Education, alcohol and drug" means cognitive and affective presentation of topics relevant

to alcohol and drug abuse, the nature of alcohol and other drug dependence, the role of self-help groups in recovery, personal support systems, and relapse prevention.

"Eligibility determination" means, in the case of an alcohol and drug services program, a procedure for determining a prospective client's eligibility for admission to the program, including a review of the prospective client's legal eligibility under IC 12-23-5-7, a review of eligibility

under court-imposed rules, and recorded entries of the court's finding in each case.

"Evaluation" means a systematic process used to assess program outcomes in light of identified goals and objectives.

"Governing body" means an individual, board, or other entity that has ultimate responsibility

for the management, operation and control of the program.

"Harmful substance" means any substance used by an individual to produce the effect of a

controlled substance, although the substance is not classified as a controlled substance

under IC 35-48 or as a drug under IC 9-13-2-49.1.

"Indiana Risk Assessment System" (IRAS) means the system made up of several instruments

to be used at specific points in the criminal justice process to identify a client’s risk to

reoffend and criminogenic needs and assist with developing individual service contracts.

"Individual service contract" means a written contract between a client and an alcohol and

drug services program, appropriate to meet the identified needs of the client, which specifies

goals, activities, and services required as determined through a process of assessment.

"Policy" means a statement of the principles that guide and govern the activities, procedures,

and operations of a program.

"Procedure" means a series of activities designed to implement program goals or policy.

"Professional staff member" means an employee, contractor, or volunteer employed by a program and performs a minimum of 15 hours of program management, client assessment, or

client case management services as defined by these rules, each quarter of each calendar

year.

"Program" means any person, firm, corporation, partnership, association, foundation, governmental unit, or agency, whether public or private, that provides or intends to provide

court-administered alcohol or drug services to persons who are ordered by the court to participate in the program.

"Program director" means the person responsible for program management.

"Program management" means the responsibilities of a program director for the daily oversight of the program including the direct supervision of professional staff members.

"Service" means the broad range of planned care, including intervention, diagnostic evaluation, referral, case management, and monitoring, which may be extended to program clients, and which influences the behavior of such individuals toward identified goals and

objectives.

"Substance" means any drug, controlled substance, or alcohol.

"Substance abuse" means the use of alcohol or other drugs to an extent that harms the individual or society.

"Volunteer" means a person who, without direct financial remuneration, provides ongoing

services to the program.

Section 5. REPEALED

Effective August 31, 2021

Repealed

Section 6. Compliance

Effective August 31, 2021

(a) In order for a program of alcohol or drug abuse services to secure and retain a certificate

of approval, it must demonstrate compliance with the standards imposed by these rules in

the following manner:

(1) The program must comply with all the standards for a court- administered program.

Sections with an asterisk symbol “*” denotes there is commentary, located at the end of

these rules, that corresponds with the section and provides additional practical guidance.

(2) A program that demonstrates compliance with all the standards for a court- administered program shall be issued a certificate of approval that is valid for a period not to

exceed four years from the date of issue, unless otherwise revoked.

(b) A program shall be in compliance with a standard only when the requirements contained

in the standard have been met.

Section 7. Initial Certification - Application and

Procedures

Effective August 31, 2021

(a) A court with misdemeanor jurisdiction in a city or county that proposes to establish a

court-administered alcohol and drug services program under IC 12-23-14 must accomplish

the following to become certified:

(1) submit a standard application form and other materials required under subsection (f),

to the Indiana Office of Court Services;

(2) obtain a written statement from the Indiana Office of Court Services under subsection

(h) approving the establishment of the program and its plans for operation;

(3) become an established court-administered alcohol and drug services program by

obtaining approval from the legislative and appropriating body;

(4) obtain a provisional certificate of approval from the Indiana Office of Court Services

under subsection (l); and

(5) obtain a certificate from the Indiana Office of Court Services under subsection (m) for a

period not to exceed four years.

(b) The court must have the written statement from the Indiana Office of Court Services

described in subsection (h), approving the establishment of the program before the court

may do either of the following:

(1) submit a petition for approval of the program to the legislative and appropriating body

from which the court derives its funds; or

(2) set and require the assessment and collection of fees for deposit in appropriate

accounts or funds pursuant to IC 12-23-14-16 and directives and guidelines of the State

Board of Accounts.

delivery of the client-related services authorized by IC 12-23-14 until the court has received a

provisional certificate of approval under subsection (l) or certification under subsection (m).

(d) An applicant seeking initial approval shall request an application form from the Indiana

Office of Court Services.

(e) The Indiana Office of Court Services will forward to the applicant a standard initial application form.

(f) The applicant shall submit the following to the Indiana Office of Court Services:

(1) a letter requesting approval of the establishment of a court- administered alcohol and

drug services program;

(2) the completed application form and any supporting documents; and

(3) a policies and procedures manual developed in accordance with these rules.

(g) Upon receipt of all required documents, the Indiana Office of Court Services will review

the materials submitted. The Indiana Office of Court Services may conduct an on- site visit to

determine whether all requirements for certification have been met. The Indiana Office of

Court Services may offer recommendations or suggested corrections as are necessary and

appropriate.

(h) The Indiana Office of Court Services must determine if a court's request for approval of

the establishment of a court-administered alcohol and drug services program should be granted or denied. If the Indiana Office of Court Services finds that the applicant is in compliance

with all applicable requirements, the Indiana Office of Court Services must provide the applicant with a written statement approving the establishment of the court’s alcohol and drug services program and the plans for its operation. The Indiana Office of Court Services may deny

the request for approval for any reason enumerated in Section 11. If the Indiana Office of

Court Services determines that the request for approval of the establishment of a program

should be denied, the Indiana Office of Court Services must observe the procedures required

in Section 10 for denial of an application for certification.

(i) After a sponsoring court has received a written statement from the Indiana Office of Court

Services approving the establishment of the court's alcohol and drug services program and

the plans for its operation, the court may then petition the legislative and appropriating body

from which it derives its funds for final approval of the proposed program. Upon approval by

the legislative and appropriating body, by written order or resolution, the court- administered

alcohol and drug services program is established. Upon establishment of the program, the

sponsoring court:

(1) shall establish such procedures as are required by IC 12-23-14 and directives and

guidelines of the State Board of Accounts concerning the receipt of, accountability for, and

disbursement of fees collected, and other revenue or monies received pursuant to IC 12-

23-14-16; and

(2) may set and require the assessment and collection of the fees authorized by IC 12-23-

14-16.

(j) The Indiana Office of Court Services may revoke the approval of the establishment of a

court- administered alcohol and drug services program for any of the following reasons:

(1) any reason enumerated in Section 13 as a reason for revoking or setting aside a certificate; or

(2) failure of a court to receive certification for its court-administered alcohol and drug services program within one year from the date that the legislative and appropriating body

for the sponsoring court approved the establishment of the program.

(k) Whenever the Indiana Office of Court Services determines that any reason exists justifying

the revocation of the approval of the establishment of a court-administered alcohol and drug

services program, the Indiana Office of Court Services shall observe the procedures required

in Section 12 for the revocation of certification. The revocation of a certificate to provide services as a court- administered alcohol and drug services program shall also serve as revocation of the approval by the Indiana Office of Court Services to establish the program.

(l) The Indiana Office of Court Services may issue a provisional certificate of approval authorizing the program to begin the delivery of services after the program’s application has been

favorably reviewed and the site visit has been made. Provisional approval is valid for 180 days

of operation during which the Indiana Office of Court Services will review the program's

actual delivery of services and recordkeeping practices.

(m) Except as provided for in subsections (h) and (j), the Indiana Office of Court Services shall

approve a properly completed and documented application for the establishment of a court-administered alcohol and drug services program and its plans for operation and provide the

sponsoring court with a written statement of its approval if the court has demonstrated all of

the following:

(1) The services required to be performed by a court-administered alcohol and drug services program by IC 12-23-14 and these rules will be provided.

(2) Based on the program’s policies, procedures, practices, and staff, the program has the

capability to provide the services proposed.

(3) Adequate revenues and other resources will be provided to support the program and

its services.

(4) The services of the program will be delivered through methods likely to assure that clients of the program will benefit.

(5) The court and its program will be operated in compliance with the requirements of IC

12-23-14 and these rules and other applicable federal and state laws.

(n) After all requirements in subsection (m) have been met by the applicant, the Indiana

Office of Court Services shall issue a certificate of approval. The certificate is valid for a period

not to exceed four years.

Section 8. Recertification - Application and Procedures

Effective August 31, 2021

(a) The program must follow the procedures described in this section to initiate a recertification review and obtain recertification.

(b) Not less than 120 days prior to the actual expiration date of the certificate the program director must do the following:

(1) notify the Indiana Office of Court Services that the program intends to apply for recertification; and

(2) request an application for recertification.

(c) The Indiana Office of Court Services will schedule dates for a recertification review and forward to the applicant a standard application for recertification form.

(d) The program must submit the completed application along with any supporting documents and the program’s updated policies and procedures manual to the Indiana Office of

Court Services at least 30 days before the program's scheduled certification review date.

(e) Recertification review may include evaluation of each of the following:

(1) the program’s compliance with IC 12-23-14;

(2) the program’s compliance with these rules;

(3) the number, qualifications, and abilities of program staff.

(4) the qualifications and abilities of any contractor that provides services to the program

or its clients, and the contractor’s compliance with the terms of the contract;

(5) the qualifications and abilities of any treatment provider that provides treatment services to the program’s clients and the treatment provider’s compliance with the terms of

the provider referral agreement;

(6) the program’s process of obtaining client evaluations of program services and the program’s response to client suggestions; and

(7) any other issues or subjects that the Indiana Office of Court Services determines are relevant to the review.

(f) Upon initiation of the recertification review in accordance with this section, the program’s

current certification status may be maintained until the conclusion of the recertification

review and the court is either awarded a new certificate in accordance with this section or

denied recertification in accordance with Section 10 unless the court’s certification is suspended or revoked in accordance with Section 12.

(g) Upon completion of the recertification review, the Indiana Office of Court Services may

provide an executive summary of the review to the supervising judge and any program staff

the judge wishes to have present. Not later than 60 days after completion of the recertification review the Indiana Office of Court Services must send a final report to the supervising judge and program director.

(h) When the program has satisfied the requirements of this section, and the Indiana Office of

Court Services determines that all standards required by these rules have been met, the Indiana Office of Court Services must issue a new certificate for a period not to exceed four

years, in accordance with the requirements of Section 6.

Section 9. Notice of Change

Effective August 31, 2021

(a) Any applicant or holder of a certificate of approval shall give written notice to the Indiana

Office of Court Services of any change of ownership, supervising judge, program director, professional staff member, program name, type of program, or location. Notice of the change

shall be submitted to the Indiana Office of Court Services not later than 30 days after the

change takes effect. The Indiana Office of Court Services may require a new application, site

visit, or full certification review within six months of the effective date of the change.

(b) Failure of any applicant or holder of a certificate of approval to comply with subsection (a)

may result in the certificate of approval being suspended or revoked.

Section 10. Denial of Application for Certification or

Recertification

Effective August 31, 2021

(a) The Indiana Office of Court Services may deny the request for approval of an application

for certification or recertification of a program for any reason enumerated in Section 11. If

the Indiana Office of Court Services determines that a request for certification or recertification of a court alcohol and drug program should be denied, the Indiana Office of Court

Services must follow the procedures required in this section.

(b) The Indiana Office of Court Services must notify the supervising judge, by certified mail,

return receipt requested, that the Indiana Office of Court Services intends to deny the application. The notice of intention to deny must contain all the following information:

(1) a brief statement explaining the reasons for the denial;

(2) a statement that the decision to deny the application will become final unless the supervising judge submits written objections to the Indiana Office of Court Services, within 30

days, stating why the denial should not become final;

(3) if the supervising judge submits objections to the proposed denial during the 30 days

specified in subdivision (2), the court program’s current certificate remains in effect,

except in extraordinary circumstances, until the conclusion of negotiations and hearings;

and

(4) in extraordinary circumstances, the Indiana Office of Court Services may limit or deny

this period of extension if it determines that continued certified court program operations

present an imminent danger to the public health or safety.

If the supervising judge submits written objections, the Indiana Office of Court Services must

provide a full opportunity for adjustment, compromise or settling of all issues.

contention can be made, and the Indiana Office of Court Services denies the application a

second time, the supervising judge may request a hearing within 30 days of the date the

second denial is issued. The Indiana Office of Court Services must provide the hearing, and

the hearing must be conducted as described in Section 14.

Section 11. Grounds for Denial

Effective August 31, 2021

An application for certification may be denied for one (1) or more of the following reasons:

(a) violation of any rule set forth in these rules by the program, its director, staff or governing body;

(b) permitting, aiding, or abetting the commission of an unlawful act;

health or safety of any client in the program;

(d) deviation by the program from the plan of operation originally certified which, in the

judgment of the Indiana Office of Court Services, adversely affects the character, quality,

or scope of services being provided to clients;

(e) previous denial or revocation of a certificate of approval;

(f) failure of the applicant or holder of a certificate of approval to cooperate with the Indiana Office of Court Services in connection with the certification process or an investigation; or

(g) failure of the applicant or holder of a certificate of approval to provide accurate or reli-

able information (including the omission of information) on the application or regarding

the program's administration operations or service delivery practices.

Section 12. Suspension and Revocation Procedures

Effective August 31, 2021

(a) The Indiana Office of Court Services may suspend or revoke the certificate of a certified

program for any reason enumerated in Section 13. If the Indiana Office of Court Services

determines that any certified program may have committed an act, or may have engaged in

conduct or practices justifying revocation of its certificate under these rules, the Indiana

Office of Court Services must, by certified mail, return receipt requested, notify the supervising judge that the Indiana Office of Court Services has requested a hearing under subsection 14(c) to determine the issue of revocation of the program’s certificate. Notice of the

request for hearing must contain a statement of the matters of law and of fact to be determined at the hearing.

(b) The Indiana Office of Court Services may, without notice, suspend any certificate sim-

ultaneously with the institution of proceedings, under subsection (a), if the Indiana Office of

Court Services determines that there is an imminent danger to the public health or safety

which warrants this action. The suspension shall continue in effect until the conclusion of all

hearings, including judicial review thereof, unless sooner withdrawn by the Indiana Office of

Court Services or dissolved by a court of competent jurisdiction.

the revocation of a program’s certification, the Indiana Office of Court Services must observe

the procedures required in Section 14.

Section 13. Grounds for Revocation

Effective August 31, 2021

The Indiana Office of Court Services may revoke any certificate issued under these rules,

under the regulations that were in effect prior to these rules, or under 440 IAC 2-3 before its

repeal for any of the following reasons:

(a) violation of any rule set forth in these rules by the program, its director, staff, or governing body;

(b) permitting, aiding, or abetting the commission of an unlawful act;

health or safety of any client in the program;

(d) deviation by the program from the plan of operation originally certified which, in the

judgment of the Indiana Office of Court Services, adversely affects the character, quality,

or scope of services being provided to clients;

(e) failure of the applicant or holder of a certificate of approval to cooperate with the Indiana Office of Court Services in connection with the certification process or an investigation; or

(f) failure of the applicant or holder of a certificate of approval to provide accurate or reli-

able information (including the omission of information) on the application or regarding

the program's administration operations or service delivery practices.

Section 14. Hearing Procedures

Effective May 15, 2025

(a) All hearings held to determine issues relating to the denial of an application for certification or recertification, the revocation of a certificate, or compliance with staff training

requirements pursuant to Section 30 must follow the procedures described in this section.

(b) A supervising judge who submitted written objections to a denial of an application under

subsection 10(b) may file a request for a hearing.

(1) The request must be in writing and must state the reason for the request.

(2) The request may not include any reasons that were not included in the objections submitted under subsection 10(b).

(3) The request must be filed with the Indiana Office of Court Services within 15 days after

the second denial of the application under subsection 10(c).

determination of the Indiana Office of Court Services, may file a request for a hearing to be

conducted in compliance with this section, or request the Court Alcohol and Drug Program

Advisory Committee (CADPAC) to conduct a preliminary review of the determination at the

next available meeting date prior to requesting a hearing.

(d) Within 30 days after a request for a hearing has been filed with the Indiana Office of Court

Services, CADPAC shall conduct a hearing.

(1) The hearing shall be conducted by a hearing examiner who is selected as follows:

(A) The executive director of the Indiana Office of Court Services shall create a list nam-

ing three judges who are members of the CADPAC but who are not members of the

Board of Directors of the Judicial Conference. If the majority of judges serving on

CADPAC are members of the Board of Directors of the Judicial Conference, the executive director may include one or more judges who have served on CADPAC in the past

on the list.

(B) In designating the three judges the executive director shall consider availability,

years of service on CADPAC and extent of participation.

executive director of the name selected.

(2) The hearing examiner shall conduct an informal hearing and is not required to follow

any formal rules of evidence or procedure.

(A) At least ten days before the date of the hearing, the hearing examiner shall provide

the supervising judge and the Indiana Office of Court Services with written notice of

the date, time, and place of the hearing.

(B) The party requesting the hearing must show why:

(i) the application meets the certification requirements established by the Judicial

Conference of Indiana;

(ii) the revocation of the certificate is justified; or,

(iii) the determination of the Indiana Office of Court Services is arbitrary or capri-

cious.

(D) The hearing examiner shall make an electronic recording of the hearing and may

have a written transcript prepared of the electronic recording. The supervising judge

may obtain a copy of the electronic recording or the written transcript if a written transcript has been prepared from the Indiana Office of Court Services upon payment of

the cost of the copy.

(e) Within 30 days after the hearing, the hearing examiner shall submit proposed written findings and recommendations to the supervising judge and the Indiana Office of Court Services.

(1) Objections to the findings and recommendations must be:

(A) in writing; and

(B) filed with the Indiana Office of Court Services no later than 15 days after the date

the proposed findings and recommendations were issued.

(2) The findings and recommendations will be submitted to CADPAC unless the supervising judge gives written notice within the 15 day period that he or she has decided to

withdraw the appeal.

(3) If no objections are filed and CADPAC adopts the findings and recommendations as

submitted without a hearing, those findings and recommendations become final.

(4) If either the supervising judge or the executive director of the Indiana Office of Court

Services objects to the findings and recommendations, or if CADPAC proposes to modify

or reject the findings and recommendations in the absence of any objections, CADPAC

must conduct a hearing and provide the supervising judge and the executive director of

the Indiana Office of Court Services with an opportunity to be heard orally concerning the

findings and recommendations. At least ten days before the hearing, the Indiana Office of

Court Services must give written notice of the date, time, and place of the hearing to the

supervising judge.

(5) CADPAC’s findings and recommendations must be adopted by a majority vote of the

members present and voting.

(f) The supervising judge or the executive director of the Indiana Office of Court Services may

request the Board of Directors of the Judicial Conference to review CADPAC’s decision.

(1) The request for review must be:

(A) in writing describing specific objections to the findings and recommendations adopted by CADPAC; and

(B) filed with the Indiana Office of Court Services within 15 days after the date CADPAC

renders its decision.

(2) At least ten days before the Board meeting, the Indiana Office of Court Services must

give written notice of the date, time and place of the meeting to the supervising judge.

(3) The Board’s findings and recommendations must be adopted by a majority vote of the

members present and voting and are final.

(4) The Indiana Office of Court Services shall notify the supervising judge of the Board’s

decision in writing within ten days after the decision is made.

Section 15. Continuation of Programs

Effective May 15, 2025

(a) Any program that at the time of revision of these rules is a holder of a current certificate of

approval issued under the predecessor rules may continue operations with the approval of

the Indiana Office of Court Services until scheduled re-certification review bythe Indiana

Office of Court Services is completed. All court alcohol and drug programs must comply with

these rules as revised and amended upon adoption.

(b) The Indiana Office of Court Services may take the administrative actions necessary to

ensure compliance with these rules, including, but not limited to:

(1) reviews;

(2) surveys; or

(3) inspections;

that may be scheduled or unscheduled, announced or unannounced.

(c) Any court that wishes to close its program must provide the Indiana Office of Court Services with a written Notice of Intent to Close, at least 30 days prior to closing its program, out-

lining its intent, and reasons for the closing, and plan for the transition of clients to

alternative services upon closure.

Section 16. Funding Authorization

Effective August 31, 2021

No court-administered alcohol and drug service program that is not certified by the Indiana

Office of Court Services, and no applicant whose plan of operation does not comply with

requirements for certification under these rules, shall be entitled to receive a favorable

review or recommendation from the Indiana Office of Court Services on any application for

funding of services from state, federal, or private funding sources.

Section 17. REPEALED

Effective August 31, 2021

Repealed

Section 18. Program Goals and Objectives

Effective August 31, 2021

Each certified program shall have a written statement of goals and objectives that clearly

reflects the program's philosophy and guides the operation of the program and the delivery

of services. The statement shall be reviewed annually and revised as necessary.

Section 19. Eligibility and Non-Discrimination

Effective May 15, 2025

(a) A program must have a written description of the criteria for the acceptance of substance

use-involved offenders as clients who are eligible to receive one or more services provided by

the court program.

(b) A program shall maintain a copy of the executed and filed court order or pretrial diversion

agreement for alcohol and drug services for each client referred to the program in the client’s

record to provide evidence of the client’s eligibility to receive services and any court-ordered

fees associated with the program.

unbiased, non-prejudicial, and non-harassment provision of services based upon race, sex,

gender, religion, national origin, ethnicity, disability, age, sexual orientation, marital status,

socioeconomic status, or political affiliation, and shall not permit court staff, court officials, or

others subject to the judge's direction and control to do so (See CJC Rule 2.3(B)).

(d) A program must have a form used to inform the client of the non-discrimination policy.

The form must have a signature line or a signature page for the client to acknowledge receiving a copy of the form. The program must place the signed form or signature page in the client’s record.

Section 20. Client’s Rights and Procedures

Effective August 31, 2021

(a) A program must have written policies and procedures that ensure that all clients are

informed of their rights during the orientation process. The program shall ensure that all individuals participating in the program are given a written statement of client rights and an

explanation of those rights.

(b) Each client has the following rights:

(1) the right to confidentiality under federal and state laws relating to the receipt of services;

(2) the right to be informed of the various steps and activities involved in receiving services;

(3) the right to humane care and protection from harm, abuse and neglect;

(4) the right to contact and consult with an attorney of the client's choice at the client's

expense; and

(5) the right to make an informed decision whether to participate in the program or refuse

participation and be sent back to the referring court. The client’s consent to receive program services must be in writing and included in the client's record.

alleged violations of a client's rights. The procedure must be established by policy in accordance with the following:

(1) Alleged violations of a client's rights are investigated using an established grievance procedure.

(2) The results of the investigation are:

(A) entered in the client's record; and

(B) if substantiated, entered into the personnel file of the staff member(s) involved.

(d) A program must have a form to inform each client in writing of the client’s rights described

in subsection (b). The form must contain a signature line or a signature page for the client to

indicate that the client has been provided a copy of the form and understands the information described in the form. The program must place the signed form or signature page in

the client’s record.

Section 21. Client Intake and Orientation

Effective May 15, 2025

(a) A program must have and observe written policies and procedures for client intake and

orientation that inform the client in writing of:

(1) the rules governing the client's conduct and behavior that could result in disciplinary

action or discharge;

(2) the hours during which services are provided;

(3) the financial arrangements including services to be provided, the rate for the services,

a reasonable projection of the time for which services will be provided and the conditions

of payment;

(4) the program’s grievance procedures, including the procedure for the review, determination, and amelioration of alleged violations of a client’s rights, discussed in section 20

(c); and

(5) information summarizing the federal confidentiality law and to whom suspected violations may be reported.

(b) The program must document compliance with subsection (a) in the client’s record.

Section 22. Client Assessments

Effective May 15, 2025

(a) A program must have written policies and procedures for scheduling and conducting client substance abuse assessments that require that:

(1) Assessment staff must document the information described in subsection (b). The completed assessment must be maintained in the client’s record.

(2) The assessment must result in a recommendation that is supported by the evidence

obtained during a personal interview with the client in addition to evidence collected from

other sources.

(3) Portions of the assessment may be completed by the client at the discretion of the program director.

(4) The procedure specifies the period, not to exceed six weeks, that may pass between

the date the judge orders the person to participate in the program and the date the program conducts the assessment.

(5) The procedure specifies the length of time that the program regularly sets aside for a

client assessment appointment.

(b) The substance abuse assessment must include information about the following:

(1) statement of the presenting problem, including the client’s version and other relevant

information which may include a probable cause affidavit, police report, or other source if

available;

(2) social and peer group;

(3) military service history;

(4) financial status;

(5) alcohol and drug use of family members;

(6) occupational and educational status;

(7) legal history and current legal status;

(8) history of medical problems;

(9) history of mental health problems;

(10) current thoughts of suicide or homicide;

(11) family history and environmental setting from which the client comes; and

(12) an alcohol and drug use history of the client, which may include:

(A) substances used, including prescription and over-the-counter drugs;

(B) year of first use of each substance;

(D) substances of preference;

(E) frequency of use of each substance;

(F) previous occurrences of overdose, withdrawal, or adverse drug reaction;

(G) method of administration of each substance; and

(H) history of previous substance abuse treatment received.

assessment using the Indiana Risk Assessment System (IRAS). If the program policy indicates

the program professional staff members will be conducting the IRAS, the procedure and practice shall meet each of the following criteria:

(1) The IRAS shall be conducted by an individual certified by the Indiana Office of Court Services in accordance with the IRAS user certification policy adopted by the Judicial Conference of Indiana Board of Directors.

(2) Reassessments shall be conducted in accordance with the IRAS policy as adopted by

the Judicial Conference of Indiana Board of Directors.

(3) A copy of the summary page of the initial assessment and any reassessments conducted shall be maintained in the client’s case management file.

(4) The confidentiality of client risk assessment information shall be maintained in accordance with the policy adopted by the Judicial Conference of Indiana Board of Directors.

(d) A program must have and observe written policies and procedures for determining client

referrals to treatment or substance abuse education courses. The policies and procedures

must include recommendation standards and require that when recommendations deviate

from these standards, documentation in the client file specifies why an alternate recommendation or no recommendation was made.

(e) Except as provided in subsection (g), the program must develop for each client a written

individual service contract (“ISC”) that identifies and responds to the evidence and recommendations determined during the substance abuse assessment. The procedure for developing the ISC must meet the following requirements:

(1) The ISC is developed by an assessment staff member.

(2) The ISC must state:

(A) the recommendations supported by the evidence;

(B) the requirements and expectations for satisfactory completion of the contract by

the client; and

(3) The ISC must be signed by the client and by an assessment staff member acknow-

ledging that the client has participated in its development and has received a copy.

(4) The individual service contract is maintained in the client's record.

(f) Changes to an individual service contract may be made by a professional staff member of

a program and must be documented in the client’s record.

(g) A program is not required to develop a new individual service contract if:

(1) the program is only implementing or monitoring the implementation of an individual

service contract on behalf of another court program; and

(2) the individual service contract is available to the implementing court program.

Section 23. Client Privacy

Effective August 31, 2021

The privacy of each client shall be respected to the maximum extent feasible at each program. At a minimum a program must:

(a) use private space for conducting intake, orientation, assessment, case management,

and education appointments; and

(b) specify in policies and procedures how client privacy is maintained regarding visitors

and other non-program personnel.

Section 24. Confidentiality of Client Records

Effective May 15, 2025

(a) A program must have written policies and procedures conforming to applicable state and

federal laws that ensure the confidentiality and security of client records. The policies and

procedures shall at a minimum:

(1) comply with all federal and state laws, including federal rules pertaining to the confidentiality of alcohol and drug abuse patient records (42 CFR Part 2);

(2) address any conflicts between federal and state law;

(3) address disclosure of information about minor clients and incompetent or deceased clients;

(4) address disclosure of information to the following:

(A) client's family or other contact person designated by the client; third-party payers;

(B) legal counsel;

(D) judicial officer;

(E) probation department;

(F) prosecutor;

(G) addiction treatment services provider; and

(H) community corrections;

(5) address disclosure without client consent including but not limited to the following:

(A) medical emergencies;

(B) research, audit, and evaluation;

(D) investigation and prosecution of clients for alleged violations, including child abuse

and neglect;

(6) address the use of a valid written consent for disclosure of client information and

forms used for making disclosure;

(7) address storage and disposal of case records in compliance with Indiana Supreme

Court Administrative Rules 6 and7;

(8) identify the person(s) responsible for authorizing disclosure of confidential information;

(9) require documentation in the client record to support all information disclosed; and

(10) address a client’s request to review the client's case record. A client's review of the client's case record shall be recorded in the case record. Any denial of a client's request to

review the case record shall be recorded in the case record, together with the reasons for

denial of the review. By policy the supervising judge may permit the withholding from the

client all or part of the client's record, including if:

(A) withholding is necessary to protect the confidentiality of other sources of information;

(B) it is determined that the information requested may result in harm to the physical

or mental health of the client or another person;

(D) granting the request will cause substantial harm to the relationship between the client and the program or to the program’s capacity to provide services in general.

(b) A program must have a release of information form to inform each client in writing of the

program’s policies and procedures described in subsection (a), and to obtain the client’s consent for the release of confidential information to specified individuals for certain purposes.

The form must meet the following requirements:

(1) contain a signature line for the client to indicate that the client understands the rights

described in the form;

(2) contain a signature line for a witness; and

(3) any blank lines remaining after the form has been completed must be crossed out or

marked “NA” to ensure the forms cannot be altered after being signed by the client.

the form in the client’s record.

Section 25. Case Management

Effective August 31, 2021

(a) A program must have written policies and procedures for recording client progress in the

client record.

(b) The client record must include progress notes that:

(1) are filed or maintained in chronological order and contain the date, and identifies the

staff member making the entry; and

(2) document any of the following:

(A) relevant contact(s) with the client; and

(B) relevant contact(s) with an individual or an agency that includes a reference to the

client.

(c) The program must monitor the progress of each client in satisfactorily completing the client's individual service contract and other requirements governing the client's conduct or performance during participation in the program. The monitoring procedure must, at a

minimum, determine clients who have:

(1) failed, as scheduled or required, to comply with the individual service contract;

(2) failed to comply with the rules of conduct governing the client's participation in the

court program or of a service provider to which the client was referred; or

(3) been successfully or unsuccessfully discharged or terminated by a service provider to

which the client was referred.

(d) The program shall establish written policies and procedures for:

(1) terminating a client's court-imposed obligation to participate in the court- administered

alcohol and drug services program; and

(2) documenting that the client has:

(A) successfully complied with the individual service contract; or

(B) violated any requirement of the individual service contract.

Section 26. Facilities

Effective August 31, 2021

(a) All facilities where program services are provided must be located, constructed, equipped,

and operated in a manner that protects and preserves the privacy, confidentiality, health,

and safety of program clients and staff.

(b) The program's facilities and operations must conform to all applicable federal, state, or

local health and safety codes, including fire protection codes.

(d) To ensure client confidentiality, the program’s facilities, including waiting rooms, offices

and group areas must be arranged in a way that minimizes disclosure to the general public of

the person’s status as a client of the alcohol and drug services program. The program must

have written policies and procedures explaining how they comply with this subsection.

(e) The facilities must provide adequate space for storage of client records and permit client

records to be secured properly at all times as required under 42 CFR section 2.16. The program must have written policies and procedures that govern access to and use of these written records and conform to federal regulations.

Section 27. Program Management & Oversight

Effective May 15, 2025

(a) A program must have a governing body, which is the individual, board, or other entity that

has ultimate responsibility for the management, operation, and control of the program. The

program shall maintain on file a description of the members of the governing body.

(b) The governing body must formally designate a program director to be responsible for the

daily operation and administration of the program.

program activities. These written policies and procedures must meet the following criteria:

(1) The program's operational and administrative structure is fully documented by organ-

izational charts that depict programmatic lines of authority, identify all staff positions, and

accurately reflect current program practice.

(2) The policies and procedures manual describes the staff functions and the procedures

by which the principles and guidelines established by the governing body will be implemented into program operations.

(3) The policies and procedures manual shall be reviewed at least once every two years

and updated as needed.

(4) The policies and procedures manual is available to the governing body and staff.

(d) The program director must do the following:

(1) Prepare a written annual report, as prescribed by the Indiana Office of Court Services,

which includes:

(A) a summary of the program's activities and accomplishments;

(B) a summary of the program’s user fee fund, including beginning and ending balances and a summary of income and expenditures;

(D) statistical data and results of evaluations; and

(E) a list of the education course curriculum used by the program for the preceding

year.

(2) Submit a copy of the annual report to the Indiana Office of Court Services no later than

March 31st.

(e) Any time a program refers a client to a provider for addiction treatment services not

provided by the program, the program must determine annually that the addiction treatment

services provider is certified by the Division of Mental Health and Addiction, or certified,

licensed, or accredited by an equivalent certifying agency and maintain a copy of the provider’s certification or license.*

(f) A program must display its certificate of approval issued by the Indiana Office of Court Services authorizing it to provide program services in a prominent place in the program office. A

copy must be kept on file in the office of the Indiana Office of Court Services.

Commentary on Section 27(e).

The program is not required to enter into written referral agreements with the program’s

addiction treatment services providers; however, programs are encouraged to enter into

referral agreements as a best practice. Suggested content for a referral agreement

includes (1) initiation and acceptance of referrals; (2) exchange of client- related information; and (3) post-referral reporting responsibilities of the addictions treatment provider.

Section 28. Fiscal Management

Effective August 31, 2021

(a) The program must have developed and implemented an accounting system with the capability to ensure that financial transactions are thoroughly documented and handled in a uni-

form and consistent manner.

(b) The program must have a current budget.

(c) The program must have a documented schedule of fees for each certified service and procedures to ensure payments for services.

(d) The cost to the client for all certified services combined that are provided under any one

cause number, excluding reasonable fees for education, treatment and rehabilitation services, whether they are provided directly, by contract, or by referral, may not exceed the

amount permitted under IC 12-23-14-16.*

(e) When transferring a case to another court program, a program may charge a client a transfer fee of up to $100. The receiving program may then charge the difference between the

transfer fee and the statutory user fee cap.*

(f) The program must have effective cash handling controls and procedures that prevent theft

of funds.

(g) Money a program receives from a city or town user fee fund, or county user fee fund,

must be used to fund program services in compliance with IC 33-37-8. Upon request, a program must provide all financial information requested by the Indiana Office of Court Services

including any reports, audits, or approvals issued by the State Board of Accounts.

(h) The program must have written policies and procedures that address this section.

Commentary on Section 28(d).

The reference to “one cause number” in this section is for the purpose of determining

when an individual may be charged the court alcohol and drug program user fee. It is not

intended to have any effect on how cases are counted. A program is not required to

charge a new user fee because a client has an additional cause number, but the program

may charge an administrative or case management fee for the new cause number if additional services are required such as a new assessment or if compliance reporting will

need to go to an additional court.

Commentary on Section 28(e).

If the transferring program has charged more than $100, the transferring program must

refund the amount over $100 either to the client or the receiving program before transferring the case. A transfer between court-administered alcohol and drug programs

occurs when an assessment is completed by the receiving program. A referral between

court programs occurs any time after the assessment of the client is completed by the

sending program.

Section 29. Personnel Management

Effective May 15, 2025

(a) The program shall develop and adhere to a written personnel policies and procedures

manual, which shall contain at a minimum:

(1) employment procedures;

(2) program rules for professional conduct;

(3) a requirement that staff members adhere to the Code of Judicial Conduct and to a code

of professional ethics that is recognized by the Indiana Office of Court Services; and

(4) wages and benefits.

(b) The program shall have a system to verify credentials and qualifications of staff, volun-

teers, and consultants.

(c) The program shall maintain personnel files for each professional staff member. The personnel file shall contain, at a minimum, the following information:

(1) Date of hire by the program;

(2) A job description, which shall include, at a minimum:

(A) job title;

(B) qualifications;

(D) duties and responsibilities; and

(E) reporting and supervisory responsibilities.

(3) Documentation of the minimum job qualifications required by Section 30(b) of these

rules.

(4) Documentation of the accrued continuing education hours required by Section 30(c) of

these rules.

Section 30. Professional Requirements

Effective August 31, 2021

(a) A program must have written policies and procedures describing staff qualifications that

comply with current rules requirements.

(b) All professional staff members hired after December 31, 2004, must obtain and maintain a

Court Substance Abuse Management Specialist (CSAMS) credential* and will be allowed two

years from the date of first hire as a professional staff member to complete the requirements

for the CSAMS credential. The Indiana Office of Court Services shall award the CSAMS credential to each program staff member who provides written evidence of meeting the following requirements:

(1) A baccalaureate degree from an accredited college or university.

(2) At least nine months of full-time employment experience related to assessment, referral and case management of clients with substance abuse problems.

(3) The applicant must be employed at an Indiana Office of Court Services certified program.

(4) At least 500 hours of direct supervision within the last five years in the areas of assessment, referral and case management of substance abuse clients, with a minimum of 100

hours in assessment of clients. The 500- hour supervised practical training requirement is

not required for program staff members who hold a current substance abuse certification

recognized by the Division of Mental Health and Addiction or a current addictions counselor license regulated by the Indiana Professional Licensing Agency.

(5) The practical training must be supervised by a person who has at least two years of

experience in the criminal justice field and one of the following:

(A) a current CSAMS credential;

(B) assessment staff status obtained under subsection (c);

and Addiction, or a current addictions counselor license regulated by the Indiana Professional Licensing Agency.

(6) Attendance and completion of an Indiana Office of Court Services staff orientation training.

(7) A signed statement indicating that the applicant understands and will adhere to the

CSAMS Code of Ethics and the Code of Judicial Conduct.

(8) A passing score on the CSAMS test obtained within the first two years from the date of

initial hire as a professional staff member at a certified court alcohol and drug program.

(A) Applicant must submit a test registration form with a testing fee of $50 in the form

of a cashier’s check, money order, or claim voucher payable to the Indiana Office of

Court Services on or before the date of the test.

(B) The Indiana Office of Court Services will offer the written test a minimum of four

times per year.

the test two times shall not be permitted to take the test again until after attending an

Indiana Office of Court Services approved training in preparation for testing a third

time. If the applicant does not receive a passing score on the CSAMS test within two

years from the date of hire as a professional staff member, the applicant may no

longer perform professional staff member job duties as defined in these rules except

as authorized by the Indiana Office of Court Services. Generally, extensions will not be

granted past the two years from the date of initial hire to complete the CSAMS

required hours of direct supervision as defined in subsection (b)(4) of this section, or

for the completion of the CSAMS training requirements as defined or as referenced in

subsection (b)(6) of this section.

(D) An applicant may take the test one time during the first year of hire as a professional staff member. Applicants passing the test within the first year of hire:

(i) must complete half of the required hours of supervised practical training under

subsection (b)(4) of this section.

(9) A completed CSAMS application with all required documentation submitted to the Indiana Office of Court Services, Justice Services Division, Attention: CSAMS Credential.

(10) The program director shall approve and maintain documentation that each person

with a CSAMS credential performed at least 15 hours each quarter of each calendar year

in professional staff member duties duties and/or problem-solving court case management as defined by the Problem-Solving Court Rules in the staff member’s personnel

file.

(11) The CSAMS credential must be maintained in accordance with subsection (f) of this

section.

(12) A professional staff member who does not maintain his/her CSAMS credential by failing to obtain the required quarterly professional staff member hours is prohibited from

continuing to perform his/her job functions as defined in Section 4 of these rules except

as authorized by the Indiana Office of Court Services. The program director may submit a

written exception request or accommodation for staff who do not meet their quarterly

hour requirement. The Indiana Office of Court Services’ determination under this section

may be appealed as outlined in section 10 of these rules. Reactivation of the CSAMS credential shall be in accordance with Section 30(f).

(c) A professional staff member hired before January 1, 2005, who performs client assessments and has achieved assessment staff status is not required to obtain the CSAMS credential. Assessment staff status shall be maintained as follows:

(1) The program director shall approve and maintain documentation that each person

with assessment staff status performed at least 15 hours each quarter of each calendar

year in professional staff member duties in the staff member’s personnel file.

(2) Assessment staff obtain continuing education as required by subsection (e) of this section.

(3) A professional staff member who does not maintain his/her assessment staff status by

failing to obtain the required quarterly assessment hours is prohibited from continuing to

perform his/her job functions as defined in Section 4 of these rules except as authorized

by the Indiana Office of Court Services. The program director may submit a written exception request or accommodation for staff who do not meet their quarterly hour requirement. The Indiana Office of Court Services’ determination under this section may be

appealed as outlined in section 10 of these rules. Reactivation of assessment staff status

shall be in accordance with Section 30(f).

(d) All professional staff members employed after June 30, 2004, including program directors,

shall attend a staff orientation program conducted by the Indiana Office of Court Services

within one year from the date that the staff person is initially hired.*

(e) Continuing education.

(1) Each professional staff member shall obtain 12 hours of continuing education relevant

to the staff member’s program job functions for each calendar year after the year in which

the CSAMS credential or assessment staff status was obtained. At least six hours of the

annual education requirement shall contain information on evidence-based practices.

(2) Each program director shall:

(A) approve and maintain documentation of the continuing education hours in the staff

member’s personnel file; and

(B) no later than March 31st of each year, notify the Indiana Office of Court Services of

any staff member who failed to fulfill the continuing education requirements for the

previous year, the reason for the failure, and the proposed corrective action to be

taken.

(3) A professional staff member who does not maintain his/her professional staff member

status by failing to obtain the required annual continuing education hours is prohibited

from performing his/her job functions as defined in Section 4 of these rules except as

authorized by the Indiana Office of Court Services.

(A) The Indiana Office of Court Services shall send written notice to the supervising

judge and program director of a professional staff member’s failure to maintain professional staff member status as required by this subsection.

(B) The Indiana Office of Court Services shall notify the supervising judge and program

director in writing of the Indiana Office of Court Services’ decision to impose a suspension on a professional staff member’s ability to perform his/her job functions.

day following the date of the written notification to the supervising judge unless the

supervising judge submits specific written objections to the Indiana Office of Court Services before the expiration of the 30-day period.

(D) If the Indiana Office of Court Services and the supervising judge are unable to

resolve all points of contention, the supervising judge may request a hearing in accordance with Section 14 of these rules.

(f) Reactivation of professional staff member status.

(1) A person who is no longer employed by a certified court alcohol and drug program as a

professional staff member may allow the person’s CSAMS credential or assessment staff

status to become inactive for a period of not more than three years from the date last

employed as a professional staff member by a certified program.

(2) To reactivate the person’s professional staff member status, the person shall:

(A) If no more than one year has elapsed since the date of last employment as a professional staff member with a certified program, the person shall document that the

person obtained the required continuing education hours for the months of the initial

year of re- employment as a professional staff member and thereafter in accordance

with these rules.

(B) If at least one year but no more than three years have elapsed since the date of last

employment as a professional staff member with a certified program, the person shall

document that the person obtained the required continuing education hours for the

months of the initial year of re-employment as a professional staff member and thereafter in accordance with these rules, and shall attend a staff orientation program conducted by the Indiana Office of Court Services within one year from the date that the

person resumes employment as a professional staff person.

(3) A person whose professional staff member status is reactivated under this subsection

is exempt from the requirements in subsection 30(b).

(4) A person who is no longer employed by a certified court alcohol and drug program as a

professional staff member for a period more than three years from the date of last

employment with a certified program is required to obtain the CSAMS credential in accordance with subsection (b) of this section upon re-employment as a professional staff member.

Commentary on Section 30(b).

The CSAMS test will contain a section that is specific to working for a court program, a

section that tests substance abuse knowledge, and a section related to conducting

assessments and referrals.

Commentary on Section 30(d).

Administrative staff members are encouraged to attend staff orientation.

Section 31. Substance Use Education Standards

Effective May 15, 2025

(a) This section applies to all substance use education courses that a court alcohol and drug

program requires a client to complete, regardless of whether the court program offers the

substance use education course directly to the client, by contract, or by referral.

(b) A program must have written policies and procedures describing:

(1) the different substance use education courses it provides to clients; and

(2) the procedure for determining placement of a client into a course pursuant to Section

22(d).

program clients:

(1) Substance Use Information. A course that provides clients with at least eight hours of

information on substance use issues that is documented by research.

(2) Basic Substance Use Education. A course that includes at least ten hours of cognitive-based substance use education that:

(A) is documented by research; and

(B) contains a substance use self-assessment module.

(3) Advanced Substance Use Education.* A course that includes at least 20 hours of cognitive-based substance use education that:

(A) is documented by research;

(B) contains a substance use self-assessment module; and

(d) CADPAC has approved substance use education courses developed by:

(1) Prime for Life

(2) The Change Companies

(3) Any substance use education curriculum developed and provided by a Division of

Mental Health and Addiction certified provider.

A certified court alcohol and drug program may petition CADPAC to adopt for use additional

curricula that are listed on the Evidence-Based Practices Resource Center or have been

reviewed and deemed effective based on research by contacting IOCS and requesting to be

placed on the next CADPAC meeting agenda to present the curriculum to the Committee for

approval.

(e) The program may employ program staff or contractors to teach substance use education

courses provided the individual meets the requirements for a court substance abuse

instructor. The program director must approve the instructor’s qualifications. A court substance abuse instructor must meet each of the following minimum qualifications:

(1) substance use expertise demonstrated by any of the following:

(A) designation as a professional staff member under Section 30;

(B) certification by the Indiana Counselors Association of Alcohol and Drug Abuse

(ICAADA); or

another professional organization, that the program director considers to be acceptable;

(2) criminal justice expertise, which includes knowledge of and experience dealing with

courts and the criminal justice system,

(3) training and experience as a teacher or instructor, and

(4) trained or credentialed to deliver the curriculum in compliance with all specifications

required by the curriculum provider.

Commentary on Section 31(c).

Based upon the assessment, substance use information may be appropriate for certain

court alcohol and drug program clients. However, substance use education is different in

that it examines and challenges the thought process of offenders and concentrates on

behavior modification, including identifying the actions the client would need to take to prevent recidivism. Substance use education also provides the client with an opportunity for

a substance use self-assessment. The 20-hour substance use education course is specifically structured and designed for those clients who have been identified, through the

assessment process as needing a course of instruction that is designed primarily for substance users with some symptoms indicating a progression toward dependence. Cognitive-based education approaches in the substance use field are characterized by the

following:

1. Collaboration between instructor and clients to build trust.

2. Active client participation.

3. Self-guided discovery and empirical testing of beliefs.

4. Highly structured and focused content.

5. Concrete problem-solving techniques for alcohol or drug problems.

Section 32. Contractors

Effective May 15, 2025

(a) A court or its court program may contract with a person, firm, corporation, association, or

governmental entity, including another court or court program, to provide one or more services for the court program except eligibility determination and case termination. A contractor must possess and demonstrate the capability to provide contractual services for the

program in a manner that meets all the requirements contained in IC 12-23-14, these rules,

and all other applicable laws, rules and regulations that apply to the services the contractor

provides.

(b) If a program contracts for one or more services, neither the contractor nor any person performing services under the contract may:

(1) be an employee of the program; and

(2) receive compensation from the program for services other than the contracted services.

(c) If a contractor contracts to provide a program with client assessments or case management services, each individual providing these services to clients under contract must

obtain and maintain a CSAMS credential in accordance with Section 30(b).

(d) This subsection applies to a contract-based program that is operated by an addictions

treatment services provider. The program must have written policies and procedures that, at

a minimum, meet the following requirements:

(1) A judge ordering a defendant to participate in the program shall inform the defendant

of each of the following:

(A) The court program is operated by an addictions treatment services provider who

provides the court program services and provides treatment at an additional cost.

(B) If treatment is recommended, the defendant will be provided with a list of acceptable treatment providers and the defendant has a right to select any provider on that

list without coercion or fear of retaliation.

information about the various treatment providers on the list before deciding which

provider to select.

(D) The defendant has a right and is encouraged to report to the court or to the Indiana

Office of Court Services any pressure to select the contract program’s agency as the

defendant’s treatment provider.

(E) Any treatment options that may be available for free or at a reduced cost for indigents or any funding options that may be available to pay for or offset the cost of treatment for indigents.

(2) The program director of a contract-based court alcohol and drug program that

provides treatment to any of its court-ordered clients shall do the following:

(A) Provide each court-ordered client who is referred to treatment a list of acceptable

treatment providers located within the county and surrounding counties.

(B) Give the client a reasonable period of at least 72 hours to consider which treatment

provider to select before requiring the client to report the client’s choice back to the

program.*

gain no favor by selecting the agency with the court contract and the client will not lose

favor by selecting another agency.

(D) Permit a court ordered client to propose a treatment provider not represented on

the list provided the client proposed provider meets the minimum standards required

by the Indiana Office of Court Services and the Division of Mental Health and Addiction

and is able to provide the required treatment.

(E) Report every six months to the supervising judge how many clients were referred to

the program, and of those referred to the program how many were referred to treatment, and how many were ultimately referred to each of the treatment providers on

the list, including how many resulted in self referrals for the program and how much

revenue was generated by those self-referrals.*

(F) File a disclosure in compliance with IC 35-44-1-3(d).

Commentary on Section 32(d).

Under this subsection the client has a right to at least 72 hours to gather information and

decide as to what treatment provider to use. If the client indicates that the client is ready to

make a decision in less than 72 hours, the program may record and act on that decision at

an earlier time, provided the program obtains the client’s signature indicating that the client was offered up to 72 hours to decide.

Commentary on Section 32(d)(2)(e).

Upon request, the Indiana Office of Court Services will provide technical assistance to a

contract-based program that must report the information required under subsection (d)(2)

(e) as needed to create the capacity to track the information required.

Section 33. Chemical Testing

Effective August 31, 2021

(a) The program may require clients to submit to chemical testing to determine the client’s

use of alcohol and drugs. A client is liable for the costs of chemical tests required by the program.

(b) If the program requires clients to submit to chemical testing, the program shall develop

and observe written policy and procedures for scheduling and conducting chemical tests, to

include:

(1) The specific method or methods of chemical testing used.

(2) What samples are collected and tested, such as urine, blood, breath, sweat or saliva.

(3) Substances identified by testing.

(4) The cutoff level for each substance.

(5) A description of the program’s collection protocols, including baseline testing, random

testing procedures, for-cause testing policy, testing location, testing hours, client reporting

timeframe following notice based on the type of sample(s) collected, and staff responsible

for specimen collection.

(6) Collection procedures including witnessed collection, staff training and sample chain of

custody.

(7) The program’s policy on missed tests, adulterated samples, dilute samples, and inadequate samples.

(8) The cost of and payment procedures for chemical testing.

(9) Circumstances requiring a confirmation test, if any.

(A) The program’s procedures for confirmation including the type of confirmation test

used.

(B) The party responsible for paying the cost of a confirmation test.

Provenance

Source: rules.incourts.gov
Retrieved: 2026-10-02
Edition: supplied-in-18-2025-05-15
Content hash: c1e7e207dcdb1c5ae3bce36d4ece558d872d35e326c499c830c6c7350eb07c7d

View the official source →

The link goes to the issuing authority’s own document — the one we read to produce this record. Where a source publishes whole titles rather than sections, your browser may need a moment to jump to the provision.

Unofficial copy of government-published law, reproduced from official sources with full provenance. Not an official publication; verify against official sources before relying on it in a filing. Records in the 'guidance' corpus, and only that corpus, are sub-regulatory (interpretive guidelines, survey procedures) and are not binding law. Validity bounds follow each jurisdiction's declared temporalBasis.

Coverage · API docs