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

 

DIVISION 54

STANDARDS FOR APPROVAL OF DUII ALCOHOL/OTHER DRUG INFORMATION
AND DUII ALCOHOL/OTHER
DRUG REHABILITATION PROGRAMS

415-054-0020

DUII Alcohol/Other Drug Information Program Detail

(1) A DUII information program shall include a minimum of four sessions over a four-week period and provide 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) Urinalysis Testing: 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) Client Evaluation and Rehabilitation Services: 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 & 409.420
Stats. Implemented: ORS 813.010 - 813.052 & 813.200 - 813.270
Hist.: MHD 6-1981(Temp), f. & ef. 11-25-81; MHD 10-1982, f. & ef. 5-7-82; ADAP 3-1992, f. 12-3-92, cert. ef. 3-31-93, Renumbered from 309-054-0020; ADAP 1-1996, f. & cert. ef. 5-17-96; ADS 2-2008, f. & cert. ef. 11-13-08

415-054-0030

Program Approval

(1) Letter of Approval: In order to receive a Letter of Approval from the Division under the process set forth in OAR 415-012-0000 to 415-012-0090, 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) Inspection: The Division shall inspect at least every two years each information program under these rules.

(4) Renewals: The renewal of a letter of approval shall be governed by OAR 415-012-0040.

(5) Denial, Revocation, Nonrenewal, or Suspension: 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 any 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 & 409.420
Stats. Implemented: ORS 813.010 - 813.052 & 813.200 - 813.270
Hist.: MHD 6-1981(Temp), f. & ef. 11-25-81; MHD 10-1982, f. & ef. 5-7-82; ADAP 3-1992, f. 12-3-92, cert. ef. 3-31-93, Renumbered from 309-054-0030; ADAP 1-1996, f. & cert. ef. 5-17-96; ADS 2-2008, f. & cert. ef. 11-13-08

415-054-0040

Variances

A variance from these rules may be granted to any agency in accordance with the procedures described in OAR 415-012-0090.

Stat. Auth.: ORS 409.410 & 409.420
Stats. Implemented: ORS 813.010 - 813.052 & 813.200 - 813.270
Hist.: MHD 10-1982, f. & ef. 5-7-82; ADAP 3-1992, f. 12-3-92, cert. ef. 3-31-93, Renumbered from 309-054-0040; ADAP 1-1996, f. & cert. ef. 5-17-96; ADS 2-2008, f. & cert. ef. 11-13-08

Standards for Certification as an Alcohol and Other Drug Screening Specialist (ADSS)

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
Stats. 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
Stats. 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
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; 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.: ORS 409.410, 413.042
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
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

415-054-0500

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
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

415-054-0520

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
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

415-054-0530

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
Stats. 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
Stats. 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
Stats. 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
Stats. 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
Stats. 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
Stats. Implemented: ORS 409.410, 813.021, 813.260
Hist.: ADS 2-2011. f. 3-8-11, cert. ef. 3-9-11

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