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BEING A LEGAL EAGLE CONFIDENTIALITY, CONSTITUTIONAL AND OTHER LEGAL ISSUES National Drug Court Institute Developed by Hon. William Meyer (Ret.) Presented/Modified.

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Presentation on theme: "BEING A LEGAL EAGLE CONFIDENTIALITY, CONSTITUTIONAL AND OTHER LEGAL ISSUES National Drug Court Institute Developed by Hon. William Meyer (Ret.) Presented/Modified."— Presentation transcript:

1 BEING A LEGAL EAGLE CONFIDENTIALITY, CONSTITUTIONAL AND OTHER LEGAL ISSUES National Drug Court Institute Developed by Hon. William Meyer (Ret.) Presented/Modified by Hon. Peggy Fulton Hora (Ret.) Senior Judicial Fellows LADCP April 13, 2012

2 Drug Court Resources  Confidentiality, ethics and legal issues chapters in Drug Court Judges’ Benchbook www.ndci.orgwww.ndci.org  Legal link on National Drug Court Resource Center www.ndcrc.org listing all drug court related cases www.ndcrc.org

3 CONFIDENTILITY IN DRUG COURT

4 HIPAA  Is provider a covered entity? Health care provider, payee or biller using electronic transmission of private health care information (PHI)  Does the court have in place a order that allows the transmission and disclosure of potential PHI in the court proceedings? 45 CFR 164.512 (a), (e) release as required by law or during administrative or judicial proceedings

5 HIPPA, cont.  Does your consent form tell the drug court participant that there is this order and that potentially PHI will be released to the drug court team as a condition of his participation in drug court? 45 CFR 164.508(b)(4) See: Drug Court Judicial Manual for sample forms

6 HIPPA, cont.  Contrary to myth, HIPAA covered entities do not include the courts, court personnel, accrediting agencies like JCAHO and law enforcement personnel including police or probation officers. GAINS CENTER, “Dispelling the Myths…” Feb. 2007

7 Confidentiality issues  HIPAA (not applicable to court)  Are there firewalls for electronic reporting?  Releases legal? Updated with personnel changes? TIP: When reviewing files for phase advancement, review releases, waivers, etc., for accuracy TIP: Every time there is a change in personnel, change release forms

8 Confidentiality Issues  Mental health & substance abuse releases of information covered by 42 CFR  Up-to-date releases  Must balance maintenance of the public record with confidentiality  Who collects, maintains, retains sensitive information?  Who has access to it?

9 Permitted and Mandatory Disclosure  Mandatory Valid Court Order Child Abuse and Neglect Cause of Death  Permitted Medical emergency Crime on premises Entity with: admin control audit/research QSO-legal, billing

10 Mandatory disclosure  Motion to Compel disclosure of identify of drug court participants cannot be denied on basis of confidentiality if information is relevant to discovery in a civil rights case United States District Court, E.D. Michigan, Southern Division. Joseph Raymond HANAS, Plaintiff, v. INNER CITY CHRISTIAN OUTREACH CENTER, INC., et al., Defendants. Civil Action No. 06-CV-10290-DT. Feb. 20, 2007.

11 Confidentiality = Closed Courtroom?  The provisions of 42 CFR 2.35 and the need for open courtrooms required denial of motion to close proceedings  Sec. 2.35: a. need to disclose as a condition of participation in program b. disclosure only to those in criminal justice system on a need to know basis c. consent

12 Courtroom as classroom/theatre  “Additionally, and equally as important, drug court status hearings must be open to all participants so that all participants can observe each other’s successes and failures.  “Every participant must be able to observe other participants’ status hearings because the hearings and the interaction with the drug court judge are an essential part of the treatment program.

13  “The drug court participants who are observing, gain encouragement by seeing that other participants can become drug free and that the program works.  “The hearings also give the participants the opportunity to see what sanctions may be imposed and thereby help them to avoid the same behavior.... “ Florida v. Bush, Circuit Court FL (2002)

14 Former participant may call DC Ees  Drug court employees may be called to testify about whether another drug court participant (potential witness) had recently been in trouble for his conduct in drug court  They could also testify as to whether he had received favorable treatment for testifying against defendant Supreme Court of Wyoming. Kilen Patrick DYSTHE, Appellant (Defendant), v. The STATE of Wyoming, Appellee (Plaintiff). No. 01-125. Feb. 19, 2003.

15 Best Practices  Assume Confidentiality Laws apply  Designate someone on the team to be Confidentiality Compliance Officer  Provide CCO with resources  Your Consents should cover HIPAA, open courtroom and voluntariness

16 Best Practices, cont.  Follow the rule of minimization  Obtain an Administrative Judicial Order for HIPAA  Update your Releases regularly  Document your privacy policies

17 Constitutional Issues

18 Establishment Clause First Amendment

19 First Amendment Establishment Clause  Working the twelve steps requires:  Confess to God “the nature of our wrongs” (Step 5);  Appeal to God to “remove our short comings” (Step 7);  By “prayer and meditation” to make “contact” with God to achieve the “knowledge of his will” (Step 11).

20 Estalishment, cont.  Kerr v. Ferry, 95 F.3d 472, 479-80 (7th Cir. 1996) (prison violated Establishment Clause by requiring attendance at Narcotics Anonymous meetings which used “God” in its treatment approach);  Griffin v. Coughlin, 88 N.Y. 2d 674 (1996) cert. denied 519 U.S. 1054 (1997) (conditioning desirable privilege – family visitation – on prisoner’s participation in program that incorporated Alcoholics Anonymous doctrine was unconstitutional as violation of the Establishment Clause); 

21 Establishment, cont.  Inouye v. Kemna, 504 F.3d 705 (9th Cir. 9-7-2007, amended on 10/3/07)(Parole officer lost qualified immunity by forcing AA on Buddhist)  Hanas v. Inter City Christian Outreach, 542 F. Supp. 2d 683 (E.D. Mich. 2/29/08) (Drug Court program manager and drug court consultant held liable for actions related to referral to faith based program, where they knew of participant’s objections while in the program and when the program denied the participant the opportunity to practice his chosen faith –Catholicism)

22 Not all is lost   O’Conner v. California, 855 F. Supp. 303, 308 (C. D. Calif.) (no Establishment Clause violation where DWI probationer had choice over program, including self-help programs that are not premised or monotheistic deity)  In Re Restraint of Garcia, 24 P.3d 1091 (Wash. App. 2001) (same)  Americans United v. Prison Fellowship, 509 F.3d 406 (8th Cir. 12/3/07) (state supported non-coercive, non-rewarding faith based program unconstitutional First Amendment establishment clause violation, where alternative not available)

23 Alternatives to AA/NA  LifeRing Recovery http://www.unhooked.comhttp://www.unhooked.com  Secular Organizations for Sobriety/ Save Our Selves (SOS) http://www.cfiwest.org/sos/index.htm http://www.cfiwest.org/sos/index.htm  SmartRecovery® http://www.smartrecovery.org/ http://www.smartrecovery.org/

24 Area Restrictions First Amendment

25 First Amendment and Area Restrictions  Who uses place and area restrictions? Reasonable when narrowly drawn: 1) Whether the defendant has a compelling need to go through/to the area; 2) A mechanism for supervised entry into the area; 3) The geographic size of the area restricted, and 4) The relatedness between the restriction and the rehabilitation needs of the offender. See People v. Rizzo, 362 Ill. App. 3d 444 (2005).

26 Association Restrictions First Amendment

27

28 Association Restrictions  Watch who you hang out with  Not necessarily know that they are drug users or felons; look at what associates are doing and where they are located Jones v. State, 41 P.3d 1247 (Wyo. 2001) (persons of disreputable character); State v. Hearn, ___ P.3d ___ (Wash. App. 2/6/06) (prohibition against associating with drug users or dealers constitutional); Birzon v. King, 469 F.2d 1241, 1242 (2nd. Cir. 1972); Commonwealth v. LaPointe, 759 N.E.2d 294 (Mass. 2001).

29 Permissible or Overbroad?  “Persons with disreputable character” Permissible  “Drug dealers” Permissible  “People on probation” How do they come to court or go to group?

30 Search and Seizure including Drug Testing Fourth Amendment

31 Fourth Amendment and Related Issues  Search of person on probation and parole does not require probable cause  Why?  Reduced expectation of privacy and special need to control recidivism Griffin v. Wisconsin, 483 U.S. 868 (1987); U.S. v. Knights, 534 U.S. 112 (2001).

32 No reasonable suspicion needed  In parole case, mandatory search waiver constitutional and totally suspicionless search is upheld.  Like Knights, but goes further because does not make a finding of reasonableness, but notes cannot be harassment  “Tearing Down a Pillar of Fourth Amendment Protections” Harvard Law Review  Sampson v. California, 547 U.S. 843 (2006)

33 Search waivers in non-convicted cases  Compare State v. Ullring, 741 A.2d 1065 (Me. 1999) (search waiver as condition of bond constitutional); and In Re York, 9 Cal. 4th 1133 (Calif. 1995) (same) with  Terry v. Superior Court, 73 Cal. App. 4th 661 (Cal. App. 1999) (4th Amendment waiver improper condition in diversion case, without statutory authority) and U.S. v. Scott, 450 F.3d 863 (9th Cir. 2006) (search waiver probably improper when person on bond)

34 Random Drug and Alcohol Testing  Distinction between convicted vs. non-convicted status  As a condition of bond or pre-trial release must be reasonable and based upon individual assessment  Steiner v. State, 763 N.E. 2d 1024 (Ind. App. 2002); Oliver v. U.S., 682 A.2d 186, 192 (D.. 1996); State v. Ullring, 741 A.2d 1045 (Me.1999);

35 Drug Testing TN  P terminated from community corrections/drug court  Ordered to serve his sentence in confinement  Positive test results from drug patch which he claims was unreliable  Testified he had never failed a urinalysis test during his entire time in drug court  HOLDING?

36  Upheld  No abuse of discretion  P not a credible witness since previously revoked for positive tests Court of Criminal Appeals of Tennessee, at Jackson. STATE of Tennessee v. Justin VAULX. No. W2008-00772-CCA-R3-CD. Assigned on Briefs Jan. 6, 2009. May 13, 2009.

37 What kind of test?  Roche Varian On Trak TesTcup  No GC/MS  No violation of due process Misc.3d 1011(A), 2004 WL 2495849 (N.Y.Sup.), 2004 N.Y. Slip Op. 51326(U) Supreme Court, New York County, New York. The PEOPLE of the State of New York v. Luis DIAGO, Defendant. No. 6252/03. Nov. 3, 2004.

38 Due Process of Law 5 th /14 th Amendment

39 What to “Due” before cuffin’ and stuffin’?

40 Due Process  Procedural protections are due under the due process clause when the defendant will potentially suffer a loss to a recognized liberty or property right under the 5 th /14 th Amendment.  If due process applies, the question remains what process is due. Fuentes v. Shevin, 407 U.S. 67 (1972) Morrissey v. Brewer, 408 U.S. 471 (1972)

41 Tribal Courts  Court did not follow its policies and procedures in manual  Without proper notice of the intent to revoke, the due process provisions of the Indian Civil Rights Act are violated The Blackfeet Tribe vs. Deamarr Rutherford, Defendant. Case No. 00-AC-41. Opinion/Order. August 16, 2000

42 Adult Rights=Juvenile Rights  Juvenile proceedings must be in conformity with the essentials of due process and fair treatment as guaranteed by the Due Process Clause of the Fourteenth Amendment of the Constitution of the United States.  In re Gault, 387 U.S. 1(1967); In Re R.W.S. 2007 ND 37  "[N]either the Fourteenth Amendment nor the Bill of Rights is for adults alone." In re Gault, 387 U.S. 1, 13, 87 S.Ct. 1428, 18 L.Ed.2d 527 (1967).  Nicholas v. People, 973 P.2d 1213 (Colo. 1999); IN RE CT, 2006 WY 101, 140 P.3d 643 (2006)

43 Do Due Process?  Parole Morrissey v. Brewer 408 U.S. 471 (1972)  Probation Gagnon v. Scarpelli 411 U.S. 778 (1973)  Pre-Plea Diversion Wood v. U.S. 622 A.2d 67 (DC Cir., 1993); Deurloo v. State 690 NE2d 1210 (Ind.Ct.App., 1998) Contra WA and NJ  Post-Plea Diversion State v. Rogers, 170 P.3d 881 (Idaho 2007)

44 Due Process  Revocation=Termination People v. Anderson, 833 N.E.2d 390 (Ill. App. 2005); State v. Cassill-Skilton, 122 Wash. App. 652 (Wash. App. 2004); Hagar v. State, 990 P.2d 894 (Ok. 1999).

45 Discussion Question  When participant enters into drug court and signs the contract he/she waives their right to a hearing. It’s a matter of contract law, not Constitutional law.

46 It’s a contract  Due process concerns are therefore sufficiently allayed through the contract-based means commonly used to remedy breaches of agreements between the State and a defendant.  By this opinion we do not wish to dissuade a judge from following termination procedures in drug court akin to those employed in a probation revocation process. To the contrary, in order to eliminate uncertainty and the appearance of unfairness, we encourage courts to do so.  What is recommended is not, however, the equivalent of what is required. STATE v. ROGERS, 31264 (Idaho Ct. App. 8/22/2006)

47  Supreme Court of Idaho did not even mention the contract analysis  Key was diversionary program where guilty plea entered thus due process was required  Rogers Reversed State v. Rogers, 170 P.3d 881 (Idaho 2007) Appellate Court reversed

48 How much jail invokes DP?  Any loss of liberty triggers Due Process rights.  Jail time of more than 6 days increases recidivism rates

49 Courts that use jail greater than 6 days have worse (higher) recidivism

50 Elements of a Due Process Hearing (1) written notice of the time and place of the hearing; (2) disclosure of evidence; (3) a neutral fact-finding body or person;

51 ( 4) opportunity to be heard in person and to present witnesses and documentary evidence; (5) the right to cross-examine adverse witnesses; and, (6) a written statement by the fact finder as to the evidence relied on and the reasons for revoking the conditional liberty  What’s missing?  No Federal right to counsel – state mandate Gagnon v. Scarpelli, 411 U.S. 778, 781-782 (1973)

52 No counsel at termination hearing  Due process rights not violated by not having counsel represent probationer at drug court termination hearing  “Drug Court" is not a "court" in the jurisprudence sense it is a drug treatment program administered by the court system  Termination from drug treatment program not subject to due process protections any more than participation in a private drug treatment program would have been Court of Appeals of Kentucky. Keith Aaron DUNSON, Appellant, v. COMMONWEALTH of Kentucky, Appellee. No. 1999-CA- 001253-MR. Aug. 3, 2001. Case Ordered Published by Court of Appeals Oct. 5, 2001.

53 Record and Due Process Given the therapeutic component of problem-solving-court programs, we are not prepared to say that each and every action taken in such a proceeding must be a matter of record. But we have no difficulty in concluding that when a judge of a problem-solving court conducts a hearing and enters an order affecting the terms of the juvenile's probation, the proceeding must be on the record. We agree with other courts which have held that where a liberty interest is implicated in problem- solving-court proceedings, an individual's due process rights must be respected. IN RE INTEREST OF TYLER T., 279 Neb. 806 (2010)

54 Recent Due Process/Drug Court Cases Participant had no opportunity to participate in the termination decision. When deciding whether to revoke Harris' liberty and impose the terms of the plea agreement he was entitled to the opportunity to be heard regarding the propriety of the revocation of his liberty interest. HARRIS v. COMMONWEALTH, 279 Va. 541 689 S.E.2d 713 (Va. 2-25-2010) In termination from drug court, due process rights include: written notice of the claimed violations, disclosure of the evidence against him, an opportunity to be heard and present evidence, the right to confront and cross- examine witnesses, and a neutral and detached hearing body GOSHA v. STATE, 48A02-0912-CR-1210 (Ind.App. 5-28-2010)

55  Nebraska's Supreme Court ruled that the state carries the burden of proving an offender should be expelled from a post-conviction drug court program and that it should not be up to that person to prove why he or she should not be.  STATE V. SHAMBLEY 281 Neb. 317 (2011)

56 Hearsay at termination hearing  At a termination hearing the minimal due process rights an offender possesses include the right to confront adverse witnesses, unless good cause exists not to allow the confrontation.  A court may consider alternatives to live testimony including affidavits and other documentary evidence that would otherwise be considered hearsay.  However, hearsay evidence should be considered only if there is good cause to forgo live testimony. Court of Appeals of Washington, Division 1. STATE of Washington, Respondent, v. Eddie James FRANCIS, Appellant. Nos. 59771-0-I, 59772-8-I, 59773-6-I. July 21, 2008.

57 What if it’s not a termination?  When intermediate sanctions are going to be imposed, what Due Process is due?  Is there a difference between weekend garbage pick up and writing an essay?  What about increasing testing?  Does changing level of care require a hearing? What if it’s going from IOP to Live in?

58 No hearing rights for non-custodial sanctions  Many diversionary programs are informal in nature, and we do not want to unnecessarily impede the functioning of diversionary programs.  The principles articulated in this opinion apply only when a participant in a diversionary program is facing termination from the program because that is when the participant faces a loss of liberty.  Intermediate sanctions imposed in these programs do not implicate the same due process concerns, and continued use of informal hearings and sanctions need not meet the procedural requirements articulated here.  State v. Rogers, 170 P. 3d 881 (Idaho 10/22/07)

59 Involuntary Placement in Drug Court  Juvenile drug court program as a special term of standard probation  Involuntary placement in drug court does not violate due process, equal protection, 5 th Am. right against self incrimination  Why? Court of Appeals of Arizona, Division 1, Department E. In re MIGUEL R., In re Jose J. Nos. 1CA-JV 02- 0016, 1CA-JV 02-0072. Feb. 25, 2003.

60 Equal Protection 5 th /14 th Amendment

61 Discretionary entry or exclusion 1. Is it a suspect class or does it involve a fundamental right? STRICT SCRUTINY 2. Is it a semi-suspect class? IMMEDIATE SCRUTINY 3. Not suspect class or fundamental right? RATIONAL RELATIONSHIP TO A GENUINE GOVERNMENT INTEREST

62 Drug Court is not a “Right”  There is no Constitutional right to participate in Drug Court United States District Court, W.D. North Carolina. Brent JACOBY, Plaintiff, v. BUNCOMBE COUNTY Drug treatment PROGRAM et., al, Defendants. No. 1:09CV304-03-MU. Aug. 13, 2009.

63 Equal Protection  Defendant excluded from drug court because he was HIV positive  Equal protection challenge  Americans with Disabilities Act challenge  Held: Rational relation to legitimate government interest because medical regimen too complicated to participate in Drug Court. ADA does not apply because drug court is not an Activity of Daily Lliving (ADL) Evans v. State, 293 Ga. App 371, ___ S.E. 2d ___ (Ga. App. 8/22/08)

64 No Right to Hearing for Rejection  May defer to the DA’s decision about admission to DTC  DA may be gatekeeper for admission New Jersey v. Jones, Superior Court Appellate Division, 5-19-09 People v. Forkey, NY 4-8-10 CONTRA District Court of Appeal of Florida, Third District. Samson LOUIS, Appellant, v. The STATE of Florida, Appellee. No. 3D08-506. Nov. 12, 2008.  BUT exclusion by DA re:“gang membership” reviewed and rejected by judge OK. High standard.  New Jersey v. Woodward, Superior Court Appellate Division, 6-8-11

65 Double Jeopardy 5 th /14 th Amendment

66 Double Jeopardy  Juvenile participant broke curfew and mistreated animals—sanctioned in drug court  53 days later DA filed new charges Double jeopardy? 1. Sanction in JDC like probation revocation 2. VOP not a stage of criminal proceeding— not guilt or innocence but compliance with terms of supervision so no double jeopardy In Re O.F., 2009 ND 177 (10/13/09)

67 Miscellaneous Legal Issues

68 Drug Court Credits?  P “flunked out” of drug court and was sentenced to prison  Is P entitled to sentencing credits for the time he spent in the drug court program?  We don’t know although we suspect _____  Not proper grounds for appeal Court of Criminal Appeals of Tennessee, at Nashville. STATE of Tennessee v. Noah Chris RUSS. No. M2007-00676-CCA-R3-CD. Assigned on Briefs Aug. 14, 2007. March 10, 2008. Appeal from the Circuit Court for Lawrence County. Court of Criminal Appeals of Tennessee, at Nashville. STATE of Tennessee v. Jimmy CANTRELL. No. M2007-00048-CCA-R3-CD. Assigned on Briefs Aug. 15, 2007. Dec. 18, 2007. Appeal from the Circuit Court for Rutherford County, No. F-47455

69 Grounds for Termination  Threatening the staff and threatening suicide are sufficient grounds for termination  “Treatment resistant”  May be related to his medication for Parkinson’s  Termination upheld Court of Criminal Appeals of Tennessee, at Knoxville. STATE of Tennessee v. Daniel GONZALEZ, Jr. No. E2009-01863-CCA-R3-CD. Assigned on Briefs Aug. 24, 2010. Jan. 12, 20

70 More grounds  Falsifying peer support group attendance cards  Lied to the court  “Drug court participants are entitled to the same minimal due process rights as persons facing alleged probation, parole, SSOSA, or conditions of sentence violations.” Court of Appeals of Washington, Division 1. STATE of Washington, Respondent, v Lorenzo BELL, Appellant. No. 59784-1-I. April 27, 2009.

71 FTA and Absconding  Failed to report  Didn’t attend court review  Sufficient grounds to revoke and resentence to state prison Court of Criminal Appeals of Tennessee, at Knoxville. STATE of Tennessee v. Daniel GONZALEZ, Jr. No. E2009-01863-CCA-R3-CD. Assigned on Briefs Aug. 24, 2010. Jan. 12, 2010

72 Best Practices  Provide a secular alternative to AA or written waiver  Place and Area restrictions rationally related to rehabilitation and narrowly drawn  Written, knowing 4 th Amend. Waiver

73  Provide DP protections at sanctions hearing if participant denies factual basis and jail possible sanction  Provide equal access to drug court participation to all and be sure ground for exclusion pass muster  Defendant can recuse Judge for revocation, or written waiver  Ensure participant knows what (s)he getting into (Boykin advisement)

74 Resources  LEGAL ACTION CENTER, “Confidentiality and Communication”, (LAC 2006)  NDCI, “Ethical Considerations for Judges and Attorneys in Drug Court” (May 2001)  NDCI, “Federal Confidentiality Laws and How They Affect Drug Court Practitioners” (2001)  NDCI, “Critical Issues for Defense Attorneys in Drug Court” (2003)  GAINS CENTER, “Dispelling the Myths…” Feb. 2007  Chapter 9 in Drug Court Judicial Manual available on line at www.alllrise.org


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