Oregon Bulletin
April 1, 2011
Rule
Caption: DUII Marijuana Diversion and
Alcohol and Drug Evaluation and Screening Specialists and Approval of
Demonstration Projects.
Adm.
Order No.: ADS 2-2011
Filed with Sec. of
State: 3-8-2011
Certified to be
Effective: 3-9-11
Notice Publication
Date: 10-1-2010
Rules Adopted: 415-054-0400, 415-054-0410, 415-054-0420, 415-054-0430,
415-054-0440, 415-054-0450, 415-054-0460, 415-054-0470, 415-054-0480,
415-054-0490, 415-054-0500, 415-054-0510, 415-054-0520, 415-054-0530,
415-054-0540, 415-054-0550, 415-054-0560, 415-054-0570, 415-054-0580
Rules Repealed: 415-054-0005, 415-054-0010, 415-054-0015, 415-054-0017,
415-054-0018, 415-054-0045, 415-054-0050, 415-054-0055, 415-054-0060,
415-054-0070, 415-054-0075, 415-054-0076, 415-054-0080, 415-054-0090,
415-054-0100, 415-054-0200, 415-054-0210, 415-054-0220, 415-054-0230,
415-054-0240, 415-054-0300, 415-054-0310, 415-054-0320, 415-054-0330,
415-054-0340, 415-054-0350, 415-054-0360, 415-054-0370, 415-054-0400(T),
415-054-0410(T), 415-054-0420(T), 415-054-0430(T), 415-054-0440(T),
415-054-0450(T), 415-054-0460(T), 415-054-0470(T), 415-054-0480(T),
415-054-0490(T), 415-054-0500(T), 415-054-0510(T), 415-054-0520(T)
Subject: These new rules are revisions of existing rules
related to Marijuana Diversion and Alcohol and Drug Evaluation Specialists
(ADES) and to Demonstration Projects, and accomplish the following:
(1) Clarify the
necessary qualifications, application and recertification process and the roles
of the ADES;
(2) Newly address
conflicts of interest and continuing education requirements;
(3) Expand
sections about individual rights and documentation requirements and
(4) Clarify the
requirements which must be met in order for certification as a Demonstration
Project.
Rules Coordinator: Richard Luthe—(503) 947-1186
415-054-0400
Purpose
These rules prescribe the standards and requirements
for DUII Information Programs, for certification and services provided by
Alcohol and Drug Evaluation and Screening Specialists and for approval to
establish a demonstration project, both related to individuals ordered by the
court for DUII screening, diagnostic and referral to treatment services.
Stat. Auth.: ORS 409.410, 413.042
Stats. Implemented: ORS 409.410,
813.021, 813.206
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0410
Definitions
(1) “Alcohol and Drug Evaluation and Screening
Specialist” (ADES) means an individual who possesses a valid certificate issued
by the Addictions and Mental Health Division (Division) of the Oregon Health
Authority (Authority), as prescribed in these rules.
(2) “Assistant Director” means the Assistant Director
of the Addictions and Mental Health Division of the Oregon Health Authority.
(3) “Certificate” means a document issued to a person
by the Division which authorizes the person to practice as an ADES.
(4) “CFR 42 Part 2” means the Code of Federal
Regulations, Title 42, Volume 1, Chapter 1, Part 2 entitled Confidentiality of
Alcohol and Drug Abuse Patient Records.
(5) “Conflict of Interest” means use of a personal
relationship to obtain financial gain or avoidance of financial detriment;
making business decisions which create a pattern of biased or preferential
treatment; or initiating a professional role with someone with whom there was a
pre-existing personal relationship. The conflict of interest may be actual or
potential.
(6) “Diversion Agreement” means a petition approved by
the court meeting the criteria established in ORS 813.200 through 813.260.
(7) “Division” means the Addictions and Mental Health
Division of the Oregon Health Authority.
(8) “DUII” means driving under the influence of
intoxicants.
(9) “DUII Diagnostic Assessment” means an examination
by an ADES to determine if a person has a problem condition involving alcohol
or controlled substance as described in ORS 813.040.
(10) “DUII Demonstration Project” means an agency
approved by the Assistant Director to demonstrate the effectiveness of
combining diagnostic assessment and treatment services in a single agency or
organization for persons charged with the offense of driving under the
influence of intoxicants.
(11) “DUII Information Program” means a short term
(12-20) hours in duration), didactic alcohol and drug education program which
meets the minimum curriculum, instructor and hourly standards established by
the Division.
(12) “Individual” means any person being considered for
or receiving services regulated by these rules including adolescents referred
pursuant to ORS 419C.443.
(13) “Individual Record” means the confidential,
permanent individual record including all documentation, written or electronic,
from the point of entry through service conclusion.
(14) “Marijuana Diversion Agreement” means a petition
approved by the court pursuant to ORS 135.907 through 135.921.
(15) “Re-referral” means a referral which occurs after
an individual disengages from initial treatment and then receives a new referral
to the same or different treatment program.
(16) “Risk” means an individual’s use of alcohol or
drugs is a problem indicated by a substantial impairment or endangerment to the
individual’s health or that of others, or because the individual’s social or
economic function is substantially disrupted.
(17) “Screening Interview” means determining the most
appropriate treatment provider and making a referral to that provider for an
individual convicted of a DUII.
(18) “Single Agency or Organization” means any one
person or business entity, any combination of persons or business entities
acting together as a program, an agency or any other arrangement which provides
or has a financial interest in providing DUII diagnostic assessment and
screening interview services approved by the Assistant Director under OAR
415-054 and any DUII treatment services defined in OAR 309-032.
(19) “Transfer” means an individual is referred from
one approved DUII treatment program to another as requested by the individual,
the ADES or the first treatment program.
(20) “Treatment Program” means an approved alcohol and
drug treatment program which meets all standards established by the Division
evidenced by a current letter of approval and which specializes in services to
individuals with court ordered DUII convictions or diversions, or marijuana
diversions.
(21) “Treatment Services” means those services provided
by the treatment program which are individualized, planned and medically
appropriate and which are designed to remediate the problem condition involving
alcohol or drugs.
(22) “Variance” means an exception from a requirement
in these rules, granted in writing by the Division on a case by case basis.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS
419C.443, 409.410, 813.021, 813.206, 813.040
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0420
Screening and Referral
(1) Each individual shall be assured the same civil and
human rights as other persons. The ADES shall provide services in a manner that
protects individual privacy and dignity.
(2) The ADES must provide the rights to the individual
in written form or in a requested primary language or other alternative format,
explain the rights and respond to the individual’s related questions.
(3) The ADES must place in the individual record the
individual’s signed acknowledgement that the individual received these rights.
(4) In addition to all applicable statutory and
constitutional rights, every individual receiving services has the right to:
(a) Participate in the selection of the treatment
program;
(b) Have the role of the court, treatment program and
ADES monitoring process explained where the DUII system is concerned;
(c) Confidentiality and the right to consent to
disclosure in accordance with 42 CFR Part 2.
(d) Give informed consent in writing prior to the start
of services, except as otherwise permitted by law;
(e) Pursuant to ORS 179.505, inspect all parts of their
individual record which originated from the ADES within five working days of
the request. The individual must obtain copies of documents which originated
from other sources from the original source. The individual may be responsible
for the cost of duplication.
(f) Receive prior notice of service conclusion or
transfer, unless the circumstances necessitating service conclusion or transfer
pose a threat to health and safety;
(g) Be free from harassment, abuse or neglect and to
report any incident of harassment, abuse or neglect without being subject to
retaliation;
(h) Have religious freedom;
(i) Be informed of the policies and procedures, service
agreements and fees applicable to the services provided;
(j) Have a custodial parent, guardian or representative
assist with understanding any information presented;
(k) Receive a copy of the ADES’s or demonstration
project’s grievance process which shall include the Division and Disability
Rights of Oregon telephone numbers. The individual shall:
(A) File a written grievance without any form of
reprisal;
(B) Receive a written response to the grievance within
30 days and
(C) File an appeal with the Division if dissatisfied
with the ADES’s response.
(l) Exercise all rights described in this rule without
any form of reprisal or punishment
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
109.675, 179.505, 430.010, 430.205 - 430.210, 430.240 - 430.640, 430.850 -
430.955, 461.549, 743A.168, 813.010 - 813.055 & 813.200 - 813.270
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0430
Administrative Requirements for
Information Programs
(1) An information program that contracts directly with
the Division or indirectly with the Division through the (CMHP) administered by
the Division shall comply with the contracting rules of the Division and
contract agents governing reimbursement for services and refunds.
(2) An information program shall develop and implement
written policies and procedures that describe program operations. Policies and
procedures shall include a quality assurance process ensuring that clients
receive appropriate services and that the program is in compliance with
relevant administrative rules.
(3) Instructors shall have one year of education,
experience, and/or training in one or more of the following areas: social
science, psychology, counseling, alcohol/drug rehabilitation, education, or
other related field approved by the Division.
(4) If two or more staff provide services, the program
shall have and implement the personnel policies and procedures which address:
(a) Rules of conduct and standards for ethical
practices of program practitioners, including conflict of interest;
(b) The requirement of a Drug Free Workplace with
procedures for managing incidents of use and abuse and
(c) Compliance with the federal and state personnel
regulations including the Civil Rights Act of 1964 as amended in 1972, Equal
Pay Act of 1963, the Age Discrimination in Employment Act of 1967, Title I of
the Americans with Disabilities Act, Oregon civil rights laws related to
employment practices, and any subsequent amendments effective on or before the
effective date of these rules. The DUII information program shall give
individualized consideration to all applicants who, with or without reasonable
accommodation, can perform the essential functions of the job position.
(5) Personnel records for each member of the program's
staff, volunteers, and interns/students shall be kept and shall include:
(a) Résumé and/or employment application and job
description;
(b) Documentation of applicable qualification standards
and requirements;
(c) Annual performance appraisals based on
pre-established performance criteria founded on the specific responsibilities
of the position as stated in the job description;
(d) Documentation of any performance problem and formal
corrective action taken due to the problem and
(e) For volunteers or interns/students, the record need
only include information required by subsections (5)(a) and (5)(d) of this rule
and the written work plan for such person.
(6) Records shall be maintained and utilized in such a
way as to ensure program staff confidentiality and shall be retained for a
period of three years following the departure of a program staff person.
(7) Information programs receiving public funds must
comply with Title 2 of the Americans with Disabilities Act of 1990, 42 USC §
1231 et seq. after July 26, 1992.
(8) Each program shall maintain the following client
record requirements:
(a) Each record shall include all information about
clients as required by these rules in permanent client records;
(b) Maintain each client record to assure permanency,
identification, accessibility, uniform organization, and completeness of all
components required by these rules and in a manner to protect against damage or
separation from the permanent client or program record;
(c) Keep all documentation in the permanent client
record current (unless specified otherwise), within seven days of delivering
the service or obtaining the information;
(d) Include the signature of the person providing the
documentation and service;
(e) Not falsify, alter, or destroy any client
information required by these rules to be maintained in a client record or
program records;
(f) Document all procedures in these rules requiring
client consent and the provision of information to the client on forms
describing what the client has been asked to consent to or been informed of,
and signed and dated by the client. If the program does not obtain
documentation of consent or provision of required information, the reasons must
be specified in the client record and signed by the person responsible for
providing the service to the client;
(g) Require that errors in the permanent client record
shall be corrected by lining out the incorrect data with a single line in ink,
adding the correct information, and dating and initialing the correction.
Errors may not be corrected by removal or obliteration through the use of
correction fluid or tape so they cannot be read; and
(h) Permit inspection of client records upon request by
the Division to determine compliance with these rules.
(9) Client records shall be kept for a minimum of seven
years. If a program is taken over or acquired by another program, the original
program is responsible for assuring compliance with the requirements of 42 CFR §
2.19(a)(1) and/or (b), whichever is applicable. If a program discontinues
operations, the program is responsible for:
(a) Transferring fiscal records required to be
maintained under section (1) of this rule to the Division if it is a direct
contract or to the CMHP administering the contract, whichever is applicable;
and
(b) Destroying client records or, with client consent,
transferring client records to another program.
Stat. Auth.: ORS 409.010, 409.050,
409.410
Stats. Implemented: ORS 813.260
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0440
Information Program Detail
(1) A DUII information program shall include a minimum
of four sessions over a four-week period and shall include 12-20 hours of
education.
(2) Required Content/Topics of Education Curriculum:
(a) Victim’s panel when possible;
(b) A pre- and post-test that has been approved by the
Division;
(c) History, use, and definition of alcohol;
(d) Alcohol as a drug;
(e) Physiological effects of alcohol;
(f) Other drugs — legal and illegal — and
their effects on driving when used separately and/or in combination with
alcohol;
(g) Psychological and sociological consequences of
abuse of alcohol or drugs to include the effect on families;
(h) Blood alcohol concentration and effects on driving
performance;
(i) Court penalties;
(j) Motor Vehicles Division laws and penalties;
(k) Alcoholism as a problem and a disease (one hour
minimum); and
(l) Alternatives to drinking and driving.
(3) A minimum of one urinalysis sample shall be
observed and collected during the first two weeks of a client’s DUII
information program:
(a) The sample shall be tested for at least three
controlled drugs from a list of targeted drugs specified by the Division using
the process set out in the definition of “urinalysis testing” in OAR
415-054-0010; and
(b) The program may use methods of testing for the
presence of alcohol or other drugs in the client’s body other than urinalysis
tests if the program has obtained the prior review and approval of such methods
by the Division.
(4) The DUII information program shall establish and
follow a procedure to assure communication with the evaluation specialist about
whether a client should be referred to a rehabilitation program. Clients who
test positive for illicit drugs must be referred to a DUII rehabilitation
program for assessment and further treatment.
Stat. Auth.: ORS 409.410 &
413.042
Stats. Implemented: ORS 813.010 -
813.052 & 813.200 - 813.270
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0450
Information Program Approval
(1) In order to receive a Letter of Approval (LOA) from
the Division, a DUII information program shall meet the standards set forth in
these rules and any other administrative rules applicable to the program.
(2) A DUII information program seeking approval under
these rules shall establish to the satisfaction of the Division that the local
alcoholism and other drug planning committee was actively involved in the
review of the DUII information program as it relates to the CMHP plan.
(3) The Division shall inspect at least every two years
each information program under these rules.
(4) The renewal of a letter of approval shall be
governed by OAR 415-012-0040.
(5) The denial, revocation, nonrenewal, or suspension
of a letter of approval/license for an information program may be based on any
of the grounds set forth in OAR 415-012-0060.
(6) In addition to the grounds set forth in OAR
415-012-0060, the Assistant Director may deny, revoke, refuse to renew or
suspend a letter of approval when he or she determines that the issuance or
continuation of the letter of approval would be inconsistent with the public
interest. In determining the public interest, the Assistant Director shall
consider the following factors, or any one of them, which apply to the
applicant, licensee, or any person holding a 5 percent or greater financial
interest in the program or which apply to the medical director, clinical
supervisor, or staff:
(a) Any convictions under any federal or state law
relating to any controlled substance;
(b) Furnishing of false, misleading, or fraudulent
material in an application for a letter of approval; or
(c) Any other factors relevant to, and consistent with,
the public health or safety.
(7) Without the approval of the Assistant Director, no
agency or person may provide DUII information program services to a client who
has also been referred by a judge to the same agency or person for a DUII
related diagnostic assessment. Failure to comply with this section will be
considered a violation of ORS Chapter 813. If the Assistant Director finds such
a violation, the Assistant Director may deny, suspend, revoke, or refuse to
renew a Letter of Approval.
[Publications: Publications
referenced are available from the agency.]
Stat. Auth.: ORS 409.410 &
413.042
Stats. Implemented: ORS 813.010 -
813.052 & 813.200 - 813.270
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0460
ADES Application and Certification
Process
(1) Minimum qualifications for ADES certification
include:
(a) A Bachelor Degree in social sciences, psychology,
sociology, substance abuse or a related subject with course work specific to
alcohol or other drug treatment; or
(b) Four years of full time supervised experience in
alcohol or drug evaluation, treatment or counseling; or
(c) A combination of two years of education or training
in alcohol or drug treatment, evaluation, education or counseling and two years
of full-time supervised experience in alcohol or drug service delivery.
(2) A person who wishes to be certified as an ADES must
submit a packet of information which includes at minimum an application, three
letters of reference, the completed conflict of interest form designated by the
Division and a written court Designation that explains the need for an
additional ADES in that court’s jurisdiction. Examples of need are an increased
number of DUII cases or the need for an ADES with specific language
proficiency.
(3) An applicant may be denied a certificate for
reasons which include but are not limited to insufficient education or
experience, poor reference feedback, a confirmed or potential conflict of
interest or if the Division determines a lack of need for an ADES in the
applicant’s geographical area.
(4) Prior to final certification the applicant must
have completed ADES specific training curriculum pre-approved by the Division,
which includes the following subjects:
(a) The scope, authorities and responsibilities of the
ADES as addressed in related Oregon Revised Statutes (ORS), Oregon
Administrative Rules (OAR) and Division policies and procedures;
(b) A summary of related roles of the court and the
treatment provider and how their roles differ from those of the ADES;
(c) A review of professional issues such as conflict of
interest, other ethics standards, confidentiality, releases of information and
individuals’ rights;
(d) The process of conducting screening interviews,
diagnostic assessments, interpreting court and other legal documents,
determining risk and formulating a screening summary, referral procedures and
reporting requirements;
(e) Determining the appropriate treatment provider for
each case based upon the screening or diagnostic assessment results and
individual needs and referral procedures;
(f) Interpretation of toxicology and urinalysis tests
results and
(g) Standards and requirements of individual permanent
records.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11; ADS
2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0470
Other Requirements
(1) The ADES shall fully cooperate with program reviews
conducted by the Division and with all corrective actions required by the
Division.
(2) During all working hours the ADES shall not be
under the influence of nor use or have present in any amounts in his or her
body any alcohol or drugs to include controlled substances, unless pursuant to
a current prescription from a licensed physician.
(3) The ADES must serve a minimum of twelve individuals
over the calendar year.
(4) The ADES must comply with Title 2 of the Americans
With Disabilities Act of 1990, 42 USC Section 12131 et seq.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0480
Screening Interview and Diagnostic
Assessments
(1) The ADES must perform a screening interview for
individuals convicted of a DUII to determine the most appropriate DUII
treatment provider in making a referral to that provider. The ADES must use
documents and procedures designated by the Division.
(2) The ADES must perform a diagnostic assessment for
individuals under a DUII Diversion Agreement to determine if the individual has
a problem condition involving alcohol or drugs including controlled substances
and to determine the most appropriate DUII treatment provider. In making the
referral to that provider the ADES must use documents and procedures designated
by the Division.
(3) Screening interviews and diagnostic assessments
shall be conducted in a face-to-face interview whenever possible. If a
telephone interview is used the ADES shall document in the individual’s record
a full explanation for the absence of a face-to-face interview.
Stat. Auth.: 409.010, 409.050,
409.410
Stats. Implemented: ORS 409.410,
813.021 813.260
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0490
Referrals
(1) The ADES shall perform the referral process by
thoroughly completing all documents and following all procedures designated by
the Division.
(2) The ADES shall provide to the individual a list of
all Division approved treatment programs:
(a) Within the geographic area preferred by the
individual and
(b) Those treatment programs in any other geographic
area capable of responding to a specific need including, but not limited to
ability to pay or seek reimbursement through insurance, primary language or
hours of treatment which allow an individual to maintain a work schedule.
(3) The process of selecting the treatment program
shall be collaborative between the ADES and the
individual, however the ADES shall make the final
determination in referring the individual to an approved DUII information or
treatment program. The ADES shall explain the rationale for the information or
treatment program which the ADES believes most closely provides services
specific to the individual’s treatment needs, including the individual’s
request for a restricted driver’s license.
(a) The ADES shall confirm that the individual
participated in the selection of the information or treatment program by
documenting in a statement which must be co-signed by the individual and placed
in the individual record.
(4) The ADES may not refer an individual to a program
if doing so may cause an actual or potential conflict of interest.
(5) Whenever possible referrals of adolescents shall be
to programs that specialize in treatment for adolescents.
(6) Within five days of the screening the ADES shall
forward to the selected information or treatment program a copy of the referral
form, the screening cover sheet and the completed screening instrument.
(7) If the individual has a court approved Marijuana
Diversion Agreement the screening and referral process is identical to those
for individuals referred for DUII charges.
(8) If the screening results indicate the individual
does not have a problem condition as defined in ORS 813.040 for the use of
marijuana the ADES shall indicate so on the screening instrument and then refer
the individual back to court.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021,813.260
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0500
Transfers, Re-Referrals and
Out-of-State Offenders
(1) When a transfer from one treatment program to
another is requested by the individual or the current treatment program, the
ADES shall consider and document the logistic, financial or other reasons for
the request and the rationale for either an acceptance or denial of the
request.
(2) A transfer may not be approved if the individual
refuses to sign a release of information which permits an exchange of verbal
and written communications between the current and the proposed next treatment
program.
(3) When the individual resides in a state other than
Oregon, the ADES may refer the individual to a treatment program licensed by
and located in the individual’s home state.
(4) The ADES’ roles concerning out-of-state offenders
shall be identical as those for Oregon residents.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0510
Monitoring
The ADES shall monitor the individual throughout the
information or treatment process by:
(1) Verifying the individual began the information or
program within 30 days of the referral;
(2) Verifying whether or not the individual
satisfactorily completed all requirements of the program;
(3) Notifying the court concerning the individual’s
compliance with program requirements and
(4) Documenting in the individual record each contact
with the program and the court.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0520
Individual Records and Fees
(1) The ADES must develop and maintain a confidential
permanent individual record for each individual. The record must, at minimum
include a copy of:
(a) All legal documents received;
(b) A form signed by the individual acknowledging
receipt of confidentiality rights pursuant to 42 CFR Part 2;
(c) All completed documents required in these rules and
any related Division procedures;
(d) Documentation of each contact related to the
individual’s case;
(e) All status reports and other documents received
from the DUII approved treatment program;
(f) All documents related to any re-referral or request
for transfer from one treatment program to another and
(g) All documents related to any out-of-state
referrals.
(2) Any errors in the individual record shall be
corrected by drawing a single ink line through the error and adding the
correction date and ADES’s initials. The use of correction fluid or tape or any
other attempt to make the error illegible is unacceptable.
(3) The ADES shall maintain each individual record for
seven years in a location which assures accessibility, organization, the
individuals’ confidentiality and which protects against damage or loss.
(4) Pursuant to ORS 813.021 and 813.240, the ADES may
charge $150.00 for their services to each individual.
(a) The ADES must itemize in the individual record all
fees received by the individual, indicating the service(s) provided and any
outstanding fees.
(5) The ADES shall permit the Division to inspect all
permanent records to determine compliance with these rules.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 4-2010(Temp), f. &
cert. ef. 9-20-10 thru 3-9-11; ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11
415-054-0530
Reporting Requirements
(1) By the 10th of each month, the ADES shall send to
the Division the monthly report of DUII and marijuana diversion individuals
served by the ADES caseload.
(2) Any potential or actual conflict of interest must
immediately be declared to the Division on the designated form.
(3) An ADES who decides to close the business
voluntarily must notify the Division in writing within 60 days of the proposed
closure with a plan for:
(a) Transferring service responsibility for each
individual the ADES is currently monitoring to another ADES, who agrees in
writing to the plan and
(b) Secure storage of all individual records less than
seven years old, pursuant to OAR 166.040. The Division may approve a plan to
transfer the records to another ADES within the same court jurisdiction who
indicates in writing the willingness to accept responsibility for their secure
storage.
(4) When a program is discontinued, its current
certificate is immediately void and shall be returned to the Division. A
discontinued program is one which has terminated its services for which it had
been approved or licensed.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 2-2011. f. 3-8-11,
cert. ef. 3-9-11
415-054-0540
Revocation, Non-renewal or
Suspension of the ADES Certificate
The Division may deny a request for a certificate
renewal, or may revoke or temporarily suspend an existing ADES certificate when
it finds any of the following:
(1) The ADES has substantially failed to comply with
applicable administrative rules, state or federal law or with local codes or
ordinances;
(2) Failure to demonstrate competencies specified in
these rules;
(3) Received a prior denial, suspension, revocation or
refused renewal of any other Authority license or certificate;
(4) The applicant or ADES submits fraudulent or untrue
information to the Division;
(5) The applicant or ADES has a history of, or
currently demonstrates financial insolvency including but not limited to filing
for bankruptcy, a foreclosure or failure to pay taxes;
(6) The applicant or ADES refuses to allow immediate
access and onsite inspection by the Division;
(7) The applicant or ADES is found to have permitted,
aided or abetted the commitment of an unlawful act;
(8) Deviation by the ADES from the plan or operation
originally approved and certified which, in the judgment of the Division,
adversely affects the quality or scope of the intended services;
(9) Does not meet the minimum requirement of serving a
minimum of one individual per month over the course of one year;
(10) Failure to allow an individual to exercise rights
as defined in these rules;
(11) Failure to declare in writing any potential or
actual conflict of interest or
(12) Failure to fully comply with any corrective action
plan designated by the Division.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 2-2011. f. 3-8-11,
cert. ef. 3-9-11
415-054-0550
Demonstration Project Approval
Process
(1) Only an ADES with a valid certificate and a single
agency or organization with a valid letter of approval to provide treatment
services may be approved as a demonstration project.
(2) Requests for approval under these rules must
include a narrative which describes or otherwise addresses the following:
(a) That a clearly defined and significant problem
exists in the separate provision of diagnostic assessment, information and
treatment services as defined in these rules;
(b) The problem cannot be resolved as long as the
diagnostic assessment, information and treatment functions are performed by
separate agencies or organizations;
(c) There is relevant research or other data which
shows that a particular method for combining the performance of these functions
in a single agency is an effective and appropriate means of resolving the
problem;
(d) The person or agency proposing to conduct a
demonstration of the particular method has, and can maintain for the duration
of the project:
(A) The appropriate clinical and managerial knowledge,
skills and abilities required by administrative rule for ADES services,
information and treatment programs and
(B) A process to evaluate the effectiveness of the
demonstration project which:
(i) Is conducted independent of the demonstration
project;
(ii) Compares the demonstration project program with
non-project programs;
(iii) Compares outcomes of post-project service
recipients to those in a control group;
(iv) Includes the cost effectiveness of the
demonstration project and
(v) Includes cost savings to service recipients.
(e) An assurance the applicant has not previously
failed to resolve problems or satisfactorily conduct or complete other programs
or projects for private or public entities;
(f) The effect on other ADES, information and treatment
programs and whether referrals will also be made to outside agencies and
(g) The geographic location to be served; the
participating persons or agencies and their respective roles in the proposed
project; the length of time proposed for the project and the expected outcomes.
(3) The application packet must also include:
(a) Letters of endorsement from courts and other
relevant persons or agencies;
(b) Written assurances of participation by each
proposed participant;
(c) Documentation that the request for approval has
been reviewed and a recommendation made by the Community Mental Health Program
director of the proposed geographic area and the local alcoholism and drug
planning committee and
(d) Any additional information requested by the
Division.
(4) Approval of a demonstration project is at the
discretion of the Assistant Director. The Division shall review requests and
shall notify the requestor of the approval or denial within 60 days of the date
the request is received by the Assistant Director.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 2-2011. f. 3-8-11,
cert. ef. 3-9-11
415-054-0560
Demonstration Project General
Requirements
(1) The approved demonstration project must comply with
all ADES, information and treatment program requirements detailed in OAR
415-054 and 309-032.
(2) The effectiveness of the approved demonstration
project must be evaluated as agreed upon between the applicant and the
Division.
(3) Results of the program evaluation must be submitted
to the Division within timelines approved by the Assistant Director.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 2-2011. f. 3-8-11,
cert. ef. 3-9-11
415-054-0570
Revocation or Denial of Approval
for Demonstration Projects
(1) Approval of an application for a demonstration
project is at the Assistant Director’s discretion.
(2) The Assistant Director may deny, revoke or refuse
to renew approval for any of the reasons detailed in OAR 415-054 or due to a
finding that the demonstration project is not resolving the problems explained
in the original application.
(3) The Assistant Director may refuse to renew approval
if the program evaluation required under these rules fails to demonstrate the
effectiveness of combining the diagnostic assessment and the treatment
functions within a single agency or organization.
(4) When a request for approval to operate a
demonstration project is denied, a current approval is suspended or revoked, or
renewal is denied, notice of the action shall be sent by certified mail and
shall include information about contested case hearings.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 2-2011. f. 3-8-11,
cert. ef. 3-9-11
415-054-0580
Variances
(1) A variance request must be submitted to the
Division in writing and must include:
(a) The section of the rule for which the variance is
sought;
(b) The reason for the request and the proposed
alternative plan and
(c) If temporary in nature, a timetable for compliance
with the related rule.
(2) If the request is denied an appeal may be made to
the Assistant Director whose decision shall be final.
(3) The document from the Division granting a variance
must remain in the ADES’s permanent business file.
Stat. Auth.: ORS 409.410, 413.042
Statutes Implemented: ORS 409.410,
813.021, 813.260
Hist.: ADS 2-2011. f. 3-8-11,
cert. ef. 3-9-11
Notes
1.) This online version of the OREGON BULLETIN is provided for convenience of reference and enhanced access. The official, record copy of this publication is contained in the original Administrative Orders and Rulemaking Notices filed with the Secretary of State, Archives Division. Discrepancies, if any, are satisfied in favor of the original versions. Use the OAR Revision Cumulative Index found in the Oregon Bulletin to access a numerical list of rulemaking actions after November 15, 2010.
2.) Copyright 2011 Oregon Secretary of State: Terms and Conditions of Use |