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The Oregon Administrative Rules contain OARs filed through July 15, 2014
 
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OREGON HEALTH AUTHORITY,
ADDICTIONS AND MENTAL HEALTH DIVISION: ADDICTION SERVICES

 

DIVISION 57

STANDARDS FOR DEPARTMENT OF CORRECTIONS PRISON-BASED ALCOHOL
AND OTHER DRUGS TREATMENT PROGRAMS

415-057-0000

Purpose

These rules prescribe standards for the development and operation of adult prison-based Alcohol and other drugs Treatment Programs for the Department of Corrections (DOC) approved by the Addictions and Mental Health Division.

Stat. Auth.: ORS 413.042, 409.410 & ORS 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0010

Definitions

(1) “Assistant Director” means the Assistant Director of the Addictions and Mental Health Division of the Oregon Health Authority, or their designee.

(2) "ASAM PPC-2R" means the American Society of Addiction Medicine Patient Placement Criteria for the Treatment of Substance-related Disorders, Second Edition Revised, April 2001, which is a clinical guide used in matching individuals to appropriate levels of care, and incorporated by reference in these rules.

(3) “Care Coordination” means a process-oriented activity to facilitate ongoing communication and collaboration to meet multiple needs. Care coordination includes facilitating communication between the Doc institution transition representatives, family, natural supports, community resources, and involved providers and agencies; organizing, facilitating and participating in team meetings; and providing for continuity of care by creating linkages to and managing transitions between the program and the community.

(4) "Client" means a person receiving services in an Oregon prison-based Alcohol and Other Drugs treatment program under these rules and who has signed a written consent that complies with Section 2.35 of the federal confidentiality regulations (42 CFR Part 2).

(5) “Co-occurring Disorders" or “COD” means co-occurring substance use and mental health disorders.

(6) “Comprehensive Diagnostic Assessment" means the process for obtaining all pertinent information, ancillary and causal factors, as identified by the individual, family and collateral sources used to determine a diagnosis and develop the individualized treatment plan.

(7) “Criminal Risk Factor Assessment” of the Oregon Accountability Model (OAM) means the assessment process implemented by the Oregon DOC. The outcome is a corrections plan for every inmate that is tracked throughout an inmate’s incarceration and supervision in the community.

(8) “Criminal Risk Factors” means factors that predict criminal behavior. The risk factors are assessed at DOC central intake and integrated in the corrections plan for each inmate.

(9) “Department of Corrections Prison-Based Alcohol and Other Drugs Treatment Program” means a treatment program for adult inmates of state correctional institutions who are within the last six to twelve months of release from incarceration. The program provides Alcohol and Other Drugs treatment and recovery services and collaborates with partners to ensure a seamless re-entry into the community.

(10) "Division" means the Addictions and Mental Health Division of the Oregon Health Authority.

(11) “DOC” means the Oregon Department of Corrections.

(12) "DSM" means the "Diagnostic and Statistical Manual of Mental Disorders", published by the American Psychiatric Association.

(13) “DSM Five-axis Diagnosis” means the multi-axial diagnosis, consistent with the Diagnostic and Statistical Manual of Mental Disorders, resulting from the assessment.

(14) “Evidence Based Practice (EBP)” means clinical Alcohol and Other Drugs treatment practices that are based on generally accepted scientific research. Treatment programs document efforts to assure fidelity to a practice and measure the impact of a practice on the clients, participants and communities.

(15) "Intern or student" means an individual who is supervised by a qualified supervisor defined in section 415-057-0120 of this rule, provides a clinical or non-clinical program service, and who is enrolled in a credentialed or accredited educational program.

(16) “Oregon Accountability Model (OAM)” means the simultaneous, coordinated and efficient implementation of DOC initiatives and projects that provide a foundation for inmates to lead productive lives upon re-entry into the community.

(17) “Oregon Corrections Plan” means the specific activities the inmate performs to learn skills in order to mitigate the risk factors identified through the assessment process.

(18) “Permanent client record" means the official clinical written file for each client containing all information required by these rules. The permanent client record is maintained to demonstrate compliance with these rules.

(19) "Primary Counselor" means a program staff person who is assigned to the client and follows the case throughout the treatment process.

(20) “Program” means the Alcohol and Other Drugs Prison-Based Treatment Program.

(21) "Quality assurance" means the process of objectively and systematically monitoring and evaluating the appropriateness of client care to identify and resolve identified problems.

(22) "Qualified Mental Health Associate (QMHA)” means a person delivering services under the direct supervision of a Qualified Mental Health Professional (QMHP) and meeting the following minimum qualifications as documented by the Local Mental Health Authority (LMHA) or designee:

(a) A bachelor's degree in a behavioral sciences field or a combination of at least three years relevant work, education, training or experience; and

(b) Who has the competencies necessary to:

(A) Communicate effectively;

(B) Understand mental health assessment, treatment and service terminology and to apply these concepts; and

(C) Provide psychosocial skills development and the ability to implement interventions prescribed in a treatment plan within the scope of his or her practice.

(23) "Qualified Mental Health Professional (QMHP)" means a Licensed Medical Practitioner (LMP) or any other person meeting the following minimum qualifications as documented by the LMHA or designee:

(a) A graduate degree in social work, psychology, a behavioral science field or recreational, art or music therapy; or

(b) A bachelor's degree in nursing and licensed by the State of Oregon; or Bachelor’s degree in occupational therapy and licensed by the State of Oregon; and

(c) Education and experience demonstrating the competencies to identify precipitating events; gather histories of mental and physical disabilities, recognizing and understanding alcohol and drug use, past mental health services and criminal justice contacts; assessing family, social and work relationships; conducting a mental status examination; documenting a multiaxial DSM diagnosis; writing and supervising a treatment plan; conducting a Comprehensive Mental Health Assessment; and providing individual, family, and group therapy within the scope of his or her practice.

(24) “Responsivity factors” means individual factors that facilitate or interfere with learning and are focused on personal characteristics that regulate an individual's ability and motivation to learn and change behavior.

(25) "Substance related disorders" are defined in DSM criteria as disorders related to taking a drug, including alcohol, to the side effects of a medication, and to a toxin exposure. The disorders include substance dependency and substance abuse, alcohol dependence and alcohol abuse, and substance induced disorders and alcohol induced disorders.

(26) “Supportive Persons” means any person approved by the DOC that the client identifies as being supportive to the recovery process of the client, including but not limited to a spouse, domestic partner, parent, child, relative, mentor, recovery coach, elder, or representative from a faith-based organization or self-help community organization.

(27) “Unusual Incidents” means an incident or circumstance involving any DOC inmate participating in the program that constitutes an immediate threat to the life or health of self, staff, another inmate, private citizen, or to the property of the DOC.

(28) "Treatment" means the specific medical and non-medical therapeutic techniques employed to assist the client in recovering from substance related disorders.

(29) "Volunteer" means an individual who provides an Alcohol and Other Drugs treatment program service or who takes part in an Alcohol and Other Drugs treatment program service and who is not an employee of the program and is not paid for services.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0020

Program Approval and Variances

(1) In order to receive a Letter of Approval or license from the Division, a program will meet the standards of OAR 415-012-0000 to 415-012-0090 and any other administrative rules applicable to the program.

(2) Requirements and standards for requesting and granting variances or exceptions to these rules for programs are found in OAR 415-012-0090.

(3) The denial, revocation, or suspension of a letter of approval or license for the program may be based on any of the grounds set forth in OAR 415-012-0060.

(4) 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 or license when he or she determines that the issuance or continuation of the letter of approval or license would be inconsistent with the public interest. In determining the public interest, the assistant Director will 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, program manager, clinical supervisor, or program staff:

(a) Any convictions under any federal or state law relating to any controlled substance or related to such person's involvement in the administration of a state-or federally-funded public assistance or treatment program;

(b) Furnishing of false or fraudulent material in any application for a letter of approval; or

(c) Any other factors relevant to, and consistent with, the public health or safety.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0030

Administrative Requirements for Treatment Programs

(1) The program will implement written policies and procedures to ensure compliance with these administrative rules, including program operations, quality assurance and reporting procedures. The policies and procedures will describe how the program will deliver treatment that ensures desired outcomes. The Quality Assurance Plan must:

(a) Include a measurement of the proportion of full-time equivalent program staff who are licensed and or certified as defined in this rule;

(b) Have and follow a supervision plan for program staff; and

(c) Have an audit process that includes:  

(A) Monitoring treatment groups and program activities to evaluate fidelity and effectiveness;

(B) Reviewing clinical charts to ensure permanent records are accurate, legible and meet documentation requirements set forth in these rules;

(C) Providing a formal mechanism for clients to give input into the delivery of treatment services and program structure that at a minimum includes client satisfaction surveys; and

(D) Providing a written policy and procedure for reporting unusual incidents to the designated DOC administrator and AMH that includes a detailed description of the event, the persons involved and the final resolution of the incident.

(2) The program will have and implement the following written personnel policies and procedures, which are applicable to all program staff, volunteers, and interns or students:

(a) Rules of conduct and standards for ethical practices of program staff, including written procedures to report misconduct to the appropriate authority;

(b) Managing incidents of alcohol and drug use by program staff that, at a minimum, comply with Drug Free Workplace Standards; 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 to these laws effective on or before the effective date of these rules. The program will give individualized consideration to all applicants who, with or without reasonable accommodation, can perform the essential functions of the job position.

(3) The program will maintain a personnel record for each program staff documenting applicable qualification standards as described in OAR 415-057-0110 to 0130 and 415-057-0150. The program will maintain the record for a period of three years following the departure of a program staff.

(4) The program 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.

(5) The program will maintain malpractice and liability insurance and be able to demonstrate evidence of current compliance with this requirement. Programs operated by a public body will demonstrate evidence of insurance or a self-insurance fund pursuant to ORS 30.282.

(6) The program will:

(a) Comply with federal regulations (42 CFR § 2 and 45 CFR § 205.50) and state statutes including ORS 179.505 and 430.399 pertaining to confidentiality of permanent client records;

(b) Accurately record all information about the client as required by these rules in the permanent client record and unless specified otherwise, within seven days of delivering the service or obtaining the information;

(c) Maintain each permanent client record to assure identification, permanency, 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;

(d) Keep all documentation legible and current;

(e) Include the date that the service was provided;

(f) Include the signature and credentials of the person providing the service and include the date of the signature;

(g) Not falsify, alter, or destroy any client information required by these rules to be maintained in the permanent client record or program records;

(h) Require that errors in the permanent client record be corrected by lining out the incorrect information with a single line in ink, adding the correct information, dating, and initialing the correction. Errors may not be corrected by removal or obliteration through the use of correction fluid or tape;

(i) Provide written description in the permanent client record of any injury, accident or unusual incident involving any client occurring during program services or on program grounds; and

(j) Permit inspection of permanent client records upon request by the Division to determine compliance with these rules.

(7) Permanent client records will be kept for a minimum of seven years. If a program is acquired by another program, the original program is responsible for assuring compliance with the requirements of 42 CFR § 2.19(a)(1) or (b), whichever is applicable.

(8) If a program discontinues operations, the program is responsible for: Transferring permanent client records to the DOC records administrator; and

(9) When a program discontinues operations, the identified DOC records administrator is responsible for:

(a) Assuring compliance with the requirement of 42 CFR § 2.19(a)(1) or (b), whichever is applicable for transferred permanent client records;

(b) Keeping all transferred permanent client records for a minimum of seven years; or

(c) With client consent, transferring permanent client records to another program.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0040

Client Rights

(1) Participation in the program will be voluntary. Clients will have their rights, responsibilities, and services explained, including expected outcomes and possible risks. The program will document informed consent in writing, assure the document is signed and dated by the client, and placed in the permanent client record prior to the start of services.

(2) The client will have the right to refuse services, including any specific procedure. Any consequence that may result from refusing the service, such as termination from the program or referral to a person having supervisory authority over the client, will be explained verbally and in writing to the client. The document will be signed and dated by both the client and the program representative, and placed in the client’s permanent record.

(3) No person will be denied services or discriminated against on the basis of age, ethnicity, gender identity, sexual orientation, religion, disability or diagnostic category unless restricted by predetermined program criteria.

(4) Each client will be assured civil rights as defined by laws that govern DOC and be assured the same human rights as other persons. The program will develop, implement and inform clients of written policies and procedures which protect clients' rights, including:

(a) Protecting client's privacy and dignity;

(b) Assuring confidentiality of records consistent with federal and state laws;

(c) Prohibiting physical punishment or physical abuse;

(d) Protecting clients from sexual activity, sexual assault, sexual coercion, sexual solicitation and sexual harassment; and

(e) Providing adequate treatment or care.

(5) Any client labor performed as part of the client's treatment plan or standard program expectations will be agreed to, in writing, by the client, documented in the client permanent record and must comply with regulations of other agencies sharing oversight of the program.

(6) The client has the right to obtain a copy of the permanent client record defined in OAR 415-057-0010(19) within thirty calendar days of a documented request. The program will have a written procedure for client requests to review the permanent client record. Payment for cost of duplication may be required. The client will have the right to access his or her own permanent record except:

(a) When the clinical supervisor determines that disclosure of permanent client records would be detrimental to the client's treatment;

(b) If confidential information has been provided to the program on the basis that the information not be re-disclosed; or

(c) When collateral records in the permanent client record originated outside the program, the client will make the request for those records directly to the originating source.

(7) The client has the right to include any DOC-approved client-identified supportive persons in the treatment planning process.

(8) The program will develop, implement, and inform clients of policies and procedures regarding grievances specific to the program that provide for:

(a) Specific steps for clients to follow the grievance to conclusion;

(b) An opportunity for discussion of the grievance with their primary counselor;

(c) Receipt of written grievances from clients or persons acting on their behalf;

(d) Investigation of the facts supporting or disproving the written grievance;

(e) Initiating action to resolve substantiated grievances within five working days of documented receipt of grievance for clients currently in the treatment program;

(f) Initiating action to resolve substantiated grievances within thirty calendar days of documented receipt of grievance, for clients released from the DOC;

(g) Documentation in the permanent client record of the receipt, investigation, and any action taken regarding the written grievance; and

(h) Specifying contact information for the Division for further investigation if a satisfactory conclusion is not reached.

(9) Where there are barriers to services due to culture, language, gender, illiteracy, or disability, the program will develop a holistic treatment approach including support services available to address or overcome those barriers including:

(a) Making reasonable modifications in policies, practices, and procedures to avoid discrimination, unless the program can demonstrate that doing so would fundamentally alter the nature of the program, service, or activity, such as:

(A) Providing individuals to assist the program in minimizing barriers, such as interpreters;

(B) Translating of written materials to appropriate language or method of communication;

(C) To the degree possible, providing assistive devices which minimize the impact of the barriers; and

(D) Acknowledging cultural and other values which are important to the client.

(b) Not charging clients for costs of any measure, such as the provision of interpreters, that are required to provide nondiscriminatory treatment to the client; and

(c) Referring the client to the DOC program liaison for re-consideration of treatment placement should the program have a barrier providing appropriate treatment services.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0050

Admission Policies and Procedures

(1) The program will have a written policy and procedure that describes criteria to admit clients to the program. The policy and procedure will be made available to clients, program staff, and the community. The written procedure will include:

(a) Criteria for accepting or refusing admission based on the DOC individual Oregon Corrections Plan and DSM-IV criteria;

(b) Documentation that all admissions have been found appropriate for services according to the DOC individual Oregon Corrections Plan and DSM-IV criteria; and

(c) Guidelines for making referrals for individuals not admitted to the program.

(2) The program will give orientation materials to the client upon arrival to the program and document client receipt of orientation materials in the permanent client record. Written program orientation materials include:

(a) The program's philosophical approach to treatment;

(b) A description of the treatment services;

(c) Information on clients' rights and responsibilities, including confidentiality; and

(d) Information on the rules governing clients' behavior and those infractions that may result in removal from the program or other actions. At a minimum, the rules will state the consequence of using Alcohol and Other Drugs, absences from appointments, and failure to participate in the planned treatment activities.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0060

Comprehensive Diagnostic Assessment

(1) Written Procedure: The program will develop and implement a written procedure for assessing each client’s treatment needs that includes collection and assessing data obtained through interview, observation, testing, and review of previous treatment or other written records.

(2) Assessment: The diagnostic assessment will be documented in the permanent client record. The assessment will include:

(a) Clinical formulation of presenting problems; the six dimensions of the ASAM PPC 2-R; important biological, psychological and social factors; medical and trauma history; clinical events and course of substance use or mental illness including onset, duration and severity of presenting concerns; consumer or family expectations for recovery; justification for treatment services and prognosis; current medication regime; and data to support a DSM Five-axis Diagnosis;

(b) A Criminal Risk Factor Assessment and the individual Oregon Corrections Plan;

(c) Documentation of the client’s self-identified cultural background, including level of acculturation, knowledge of own culture, primary language, spiritual or religious interests, and cultural attitude about Alcohol and Other Drugs use;

(d) The date of the assessment;

(e) The signature, signature date, and credentials of the program staff member completing the assessment; and

(f) If Alcohol and Other Drugs treatment is not appropriate or contraindicated, include a written statement justifying the determination.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0070

Treatment Planning and Documentation of Treatment Progress

(1) An individualized treatment plan will be developed and placed in the client record no later than 14 days from placement in the program. The treatment plan will include:

(a) The primary client-centered problems and strengths as determined by the client, the DOC individual Oregon Corrections Plan and the comprehensive diagnostic assessment;

(b) Individualized treatment objectives that were developed in collaboration with the client;

(c) Applicable service and support delivery details including frequency and duration of each service;

(d) Documentation of participation of any supportive person involved in the development of the treatment plan or client’s refusal to include any supportive person;

(e) The date and signature of the client; and

(f) The signature of the program staff with credentials and date of the signature.

(2) At a minimum of once every seven days, program staff will document in the permanent record a comprehensive summary of the client’s progress toward achieving the individualized treatment objectives in the client’s treatment plan and any current obstacles to recovery and include documentation of any participation of the supportive person in treatment services or activities, and their input of client’s progress toward individualized treatment objectives.

(3) The individual treatment plan will be reviewed and modified with the client, assigned program staff and any supportive person every 30 days, or more often as clinically appropriate.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0080

Continuing Care Planning

(1) Continuing care planning will begin no less than 45 days prior to the client’s anticipated discharge from the program. Continuing care planning will include:

(a) At least one continuing care staffing, in person or by telephone, between the client, treatment program representatives, DOC institution transition representatives, a post-prison community corrections representative, community-based continuing care representatives, and any supportive person (s);

(b) Referrals to continuing care community-based Alcohol and Other Drugs and mental health treatment providers; and

(c) Documentation that contact was made with the community continuing care services provider to schedule an appointment within seven days of the client’s anticipated release from the program.

(2) No less than 14 days prior to the client’s anticipated discharge from the program, a comprehensive treatment summary will be written and placed in the permanent client record. Copies of the document will be sent to the DOC institution transition staff, continuing care provider and to the community corrections representative. The summary will include:

(a) A copy of a valid Consent To Release Information form;

(b) A copy of the comprehensive diagnostic assessment and latest treatment plan;

(c) A summary of the client’s treatment history, progress in meeting individualized treatment objectives and any unresolved problem areas client is continuing to address from the treatment plan;

(d) A current level of care assessment that is consistent with the six dimensions of the ASAM PPC 2-R adult level of care index and includes documentation of any co-occurring substance related and mental health disorders (COD);

(e) The criminogenic risk level as indicated in the DOC individual Oregon Corrections Plan;

(f) The legal status of the client;

(g) The client’s current stage of change and recommendations on how best to engage the client;

(h) Any client responsivity factors that should be considered in treatment planning and community-based continuing care provider staff assignments;

(i) A relapse prevention plan; and

(j) Recommendations for an initial community-based treatment plan.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0090

Treatment Services

(1) The program will provide to each client clinically appropriate services based on best practices for prison-based Alcohol and Other Drugs programs that facilitate desired service outcomes as identified by the individual, and family, when applicable, and address the objectives identified in the treatment plan.

(2) Treatment services provided for clients in prison-based Alcohol and Other Drugs treatment programs will be evidence-based and at a minimum include:

(a) Cognitive behavioral interventions;

(b) Motivational interventions;

(c) Relapse prevention;

(d) Gender specific services;

(e) Cultural relevance;

(f) Healthy relationship education related to parenting, family, significant others, employers, and the community;

(g) Services that address special needs such as trauma, domestic violence, sexual or physical abuse, and self sufficiency; and

(h) Therapeutic community model for residential programs.

(3) Each client admitted to the program will be assigned a primary counselor.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0100

Clinical Supervision

Persons providing services to program clients in accordance with this rule will receive supervision by a qualified Clinical Supervisor, as defined in these rules, related to the development, implementation and outcome of services.

(1) The objective of clinical supervision is to assist staff, interns, students and volunteers to increase their skills, improve quality of services to individuals, and supervise program staff, interns, students and volunteers’ compliance with program policies and procedures.

(2) Clinical Supervision will be specified through a current written agreement, job description, or similar type of binding arrangement between the Clinical Supervisor and the program staff, intern, student or volunteer which describes the Clinical Supervisor's oversight responsibility, including documentation of supervision no less than two hours per month. The two hours will include one hour of face-to-face contact for each person supervised, or a proportional level of supervision for part-time staff.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0110

Program Staff

(1)(a) Program staff will at the time of hire:

(b) Have documented competence in the following essential job functions in an Alcohol and Other Drugs program including:

(A) Conducting comprehensive diagnostic Alcohol and Other Drugs assessment, developing treatment plans, providing care coordination, providing individual and group counseling, and following documentation policy and procedures set forth in these rules; and

(B) Except as provided in section (4) of this rule, hold a current certification or license in Alcohol and Other Drugs counseling or hold a current license as a health or allied provider issued by a state licensing body.

(2) For program staff holding a certification or license in Alcohol and Other Drugs counseling, qualifications for the certificate or license must have included at least:

(a) 750 hours of supervised experience in Alcohol and Other Drugs counseling;

(b) 150 hours of alcohol and drug education and training; and

(c) Successful completion of a written objective examination or portfolio review by the certifying body.

(3) For program staff holding a health or allied provider license, such license or registration will have been issued by one of the following state bodies and the program staff person will possess documentation of at least 60 contact hours of academic or continuing professional education in the treatment of substance related disorders:

(a) The Board of Medical Examiners;

(b) The Board of Psychologist Examiners;

(c) The Board of Licensed Social Workers;

(d) The Board of Licensed Professional Counselors and Therapists; or

(e) The Board of Nursing.

(4) Program staff who do not hold a certificate or license that meets the standards identified in sections (2) or (3) of this rule will apply to a qualified credentialing organization or state licensing board within three months of the date of hire and achieve certification or licensure meeting the standards of sections (2) or (3) of this rule within 24 months of the application date.

(5) Additional Training Requirements:

(a) Within the first six months of hire, program staff will receive training on evidenced-based practices for clients with criminal behavior; and

(b) At least 10 hours of professional development toward recertification credits every two years specific to offenders with substance related disorders.

(6) Recovering program staff: Any program staff, clinical supervisor, program manager, student, intern or volunteer applying or hired to provide services who are recovering from substance related disorders must be able to demonstrate continuous sobriety under nonresidential, independent living conditions for the immediate past two years.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0120

Clinical Supervisor

(1) The program will have an identified clinical supervisor who has:

(a) A Bachelor's degree in social services and four years of paid full-time experience in direct Alcohol and Other Drugs counseling; or

(b) A Master's degree in social services and two years of paid full-time experience in direct Alcohol and Other Drugs counseling; or

(c) Holds a current certification or license in Alcohol and Other Drugs counseling; or

(d) Holds a current license as a health or allied provider issued by a state licensing body; and

(e) Has documented training or education in evidence-based treatment interventions for clients with criminal behavior.

(2) For clinical supervisors holding a certification or license in Alcohol and Other Drugs counseling, qualifications for the certificate or license must have included at least:

(a) 300 alcohol and drug education and training hours;

(b) 4,000 hours of supervised experience in Alcohol and Other Drugs counseling; and

(c) Successful completion of a written objective examination or portfolio review by the certifying body.

(3) For clinical supervisors holding a health or allied provider license, such license or registration will have been issued by one of the following state bodies and the supervisor will possess documentation of at least 120 contact hours of academic or continuing professional education in the treatment of substance related disorders:

(a) The Board of Medical Examiners;

(b) The Board of Psychologist Examiners;

(c) The Board of Licensed Social Workers;

(d) The Board of Licensed Professional Counselors and Therapists; or

(e) The Board of Nursing.

(4) Any clinical supervisor will have knowledge and experience demonstrating competence in the performance of the following essential job functions for clients with criminal behavior including:

(a) The process to accept clients into the program;

(b) Conducting comprehensive diagnostic assessments in coordination with the DOC individual inmate Corrections Plan;

(c) Providing individual, group, family, and other counseling;

(d) Providing regular observation and monitoring of program staff and giving feedback to improve service delivery quality and program staff performance;

(e) Coordinating development opportunities for program staff who conduct the comprehensive diagnostic assessment, developing the treatment plans, providing care coordination, and collaborating with community resources including self-help groups; and

(f) Assuring the clinical integrity of all permanent client records assigned to program staff under their supervision, including timely entry of documentation, correctness of information, assuring appropriate clinical rationale for assessment, treatment plans, progress notes, and continuing care planning consistent with policies and procedures in these rules.

(5) If the program's manager meets the qualifications of the Clinical Supervisor, the manager may be the clinical supervisor.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0130

Program Manager

(1) The program will have a program manager who:

(a) Oversees the day to day program operations;

(b) Is responsible for compliance with the requirements of these rules; and

(c) Is located at the site specific to the letter of approval or license.

(2) The program manager will have knowledge and paid full-time experience demonstrating competence in the performance or oversight of the following essential job functions:

(a) For contracted programs, planning, budgeting, and fiscal management;

(b) Supervision of program staff;

(c) Personnel management including employee performance assessment;

(d) Data collection, program evaluation and quality assurance; and

(e) Meeting reporting requirements.

(3) The program manager will have paid full-time experience working with offenders for a minimum of three years that includes implementing evidence-based practices for clients with criminal behavior.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0140

Use of Volunteers

Volunteers may provide only non-clinical services unless the individual has the required credentials to provide a clinical service. A Program utilizing volunteers will have the following:

(1) A written policy regarding volunteers that includes:

(a) Specific responsibilities and tasks of volunteers, based on their credentials;

(b) Procedures and criteria used in selecting volunteers, including sobriety requirements for individuals recovering from substance related disorders consistent with DOC policy;

(c) Specific accountability and reporting requirements of volunteers; and

(d) Specific procedure for reviewing the performance of volunteers and providing direct feedback to them by a supervisor.

(2) Volunteers will complete an orientation and training program specific to their responsibilities before they participate in program assignments. The orientation and training for volunteers will:

(a) Include a thorough review of the program's philosophical approach to treatment;

(b) Include information on clients’ rights including confidentiality regulations;

(c) Explain procedures for reviewing performance and providing feedback to volunteers;

(d) Explain procedure for discontinuing a volunteer's participation; and

(e) Document each volunteer’s completion of orientation in program records.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

415-057-0150

Co-occurring Substance Related and Mental Health Disorders (COD)

(1)(a) In addition to the general standards for prison-based Alcohol and Other Drugs treatment programs under OAR 415-057-0000 through 415-057-0140, programs approved and designated to primarily provide treatment services for people with COD will meet the following standards:

(b) The program will develop written policies and procedures that include program philosophy, acceptance criteria, program content, and providing concurrent substance related treatment and mental health interventions documented in one integrated client record.

(2) COD Program Content: The program for people with COD will include at a minimum an array of treatment options including:

(a) Individual medication evaluation and treatment;

(b) Motivational strategies;

(c) Symptom and medication management;

(d) Care coordination;

(e) Wellness management; and

(f) Relapse prevention.

(3) COD Program Staffing Patterns: The program that provides services and activities to persons with COD will have at a minimum, one full-time QMHP on staff. Caseloads will average 12 clients for each program staff member. Additional masters level practitioners and QMHAs will be scheduled with the consideration of client mental health needs.

(4) COD Program Staffing Qualifications: Staff demonstrate competency in the treatment of co-occurring mental health and substance related disorders. Competencies will include ability to evaluate:

(a) If there is a chronic condition that creates risk or complicates treatment;

(b) If there is cognitive, emotional or behavioral condition severe enough to warrant specific mental health treatment;

(c) Ability of client to manage activities of daily living; and

(d) Ability of the client to cope with emotional, behavioral and cognitive problems.

(5) Additional Training Requirements: Of the 10 hours required in section 415-057-0130(4)(b), at least 8 hours of professional development toward recertification credits every two years specific to COD.

(6) Program Clinical Supervision Staff Qualifications: Clinical Supervision and case consultation is provided on-site by individuals with both CADC and QMHP credentials.

Stat. Auth.: ORS 413.042, 409.410 & 409.420
Stats. Implemented: ORS 430.240 - 430.640, 430.850 - 430.955, 813.010 - 813.052 & 813.200 - 813.270
Hist.: ADS 2-2010, f. & cert. ef. 5-6-10

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