Section
1. Definitions.
(1) "Accredited
college or university" means an institution listed in the most recent College
Handbook published by College Board Publications, P.O. Box 886, New York, New
York 10023-0886.
(2) "Affidavit of
indigency" is defined by
KRS
31.120(3).
(3) "Alcohol and other drug-free work place"
means a program's policy to:
(a) Prohibit the
unlawful manufacture, distribution, possession, or use of a controlled
substance; and
(b) Establish the
disciplinary action to be taken if the policy is violated.
(4) "Assessment" means a procedure
administered to an individual convicted of DUI that includes the administration
of the PC-based or the online Kentucky DUI Assessment Instrument, a clinical
interview, a determination by the assessor of a client's needs, a discussion of
available options, and referral to services that provide an appropriate level
of care in relation to the client's needs.
(5) "Cabinet" is defined by
KRS
222.005(4) and means the
Office of Inspector General, Cabinet for Health and Family Services, 275 East
Main Street, Frankfort, Kentucky 40621.
(6) "Case coordination" means the monitoring
of a client's progress, including consultation with other service providers and
the court, to ensure the coordination of a client's services from assessment to
completion.
(7) "Certification"
means the process by which the division recognizes and authorizes a program,
assessor, or instructor to provide services to a client convicted of
DUI.
(8) "Certified alcohol and
drug counselor" is defined by
KRS
309.080(2).
(9) "Certified assessor" means an individual
who has been trained and approved by the division to evaluate the needs of a
client and to recommend appropriate services by conducting assessments in a DUI
program.
(10) "Certified
instructor" means an individual who has been trained and approved by the
division to provide education services in a DUI program.
(11) "Certified program" means a public or
private entity approved by the division to deliver assessment, education, or
treatment services to a client convicted of DUI.
(12) "Client" means an individual who
receives services in a DUI program.
(13) "Clinical services supervisor" means an
individual responsible for monitoring and directing assessment and treatment
services and providing consultation and instruction to clinical
staff.
(14) "Conflict of interest"
means a private relationship exists between a client and a program that will
result in:
(a) A conflict between the
program's interests and the interests of the client; or
(b) A situation in which a program's personal
or financial interest conflicts with professional responsibility.
(15) "Court" means the court in
which the client was convicted of DUI.
(16) "Courtnet disposition system" means a
statewide database maintained by the Kentucky Administrative Office of the
Courts that contains criminal conviction data from both state and local law
enforcement agencies in Kentucky.
(17) "Detoxification" means a twenty-four
(24) hour medical or nonmedical program providing:
(a) Supervised management of physical and
psychological withdrawal symptoms from a substance to which an individual has
been addicted or abusing; and
(b)
An assessment of the individual's need for further care or referral to
appropriate resources.
(18) "Division" means the Division of
Behavioral Health, Department for Behavioral Health, Developmental and
Intellectual Disabilities, Cabinet for Health and Family Services, 275 East
Main Street, Frankfort, KY 40621.
(19) "DUI" means driving under the influence
of alcohol or other drugs in violation of
KRS
189A.010.
(20) "DUI services" means assessment,
education, or treatment services provided to a client convicted pursuant to
KRS
189A.010.
(21) "Education" means a curriculum approved
by the division that provides information about the risks of alcohol and other
drugs.
(22) "Education agreement"
means a written plan outlining what a client referred for education is required
to complete to satisfy the program's requirements.
(23) "Enrollment" means the act of
registering at a certified DUI program and receiving an assessment.
(24) "Facility" means the physical area
including the grounds and building in which a program delivers
services.
(25) "Fee agreement"
means a written statement of charges to a client for services delivered by a
program that specifies the arrangements for payment of the fees.
(26) "First offender" means a person who was
convicted of a first offense under
KRS
189A.010(5)(a).
(27) "Immediate danger" means a condition in
the program which could or has caused death or serious physical
injury.
(28) "Indigent person" is
defined by
KRS
31.100(3).
(29) "Inpatient" means a hospital-based
residential service provided postwithdrawal, to an individual with a primary or
secondary diagnosis of alcohol or other drug abuse or dependency that is
designed to reduce or eliminate alcohol or other drug abuse behavior and
dependency.
(30) "Intensive
outpatient" means a structured comprehensive program of individual and group
therapeutic activities delivered in a nonresidential setting, where a client is
assisted in recovery from alcohol or other drug abuse on a scheduled and
intense basis.
(31) "Location code"
means a six (6) digit number issued by the United States Department of Health
and Human Services, Substance Abuse and Mental Health Services Administration
to each of a program's facilities.
(32) "Means test" means an objective method
used by a program to determine a client's income and resources to evaluate a
client's ability to pay for services received.
(33) "Memorandum of understanding" means a
written agreement between two (2) programs that outlines the duties and
responsibilities of a program regarding a client referral that remains in
effect until one (1) of the programs terminates the agreement in
writing.
(34) "Multiple offender"
means a person who was convicted of a second, third or subsequent offense under
KRS
189A.010.
(35) "Off the grounds" means a facility is
separated from another facility by a public road.
(36) "Outpatient" means individual and group
therapeutic activities assisting a client in recovery from alcohol or other
drug abuse, provided in a nonresidential setting on a scheduled and unscheduled
basis.
(37) "Plan of correction"
means a program's written plan, including the planned correction and a date
when a correction will be made, that is submitted to the division by a program
if deficiencies are cited by the division in a program review.
(38) "Program administrator" means an
individual, or the designee of the individual, in charge of the operation of a
program who is responsible for the services provided in a program and who has
responsibility for determining if a client satisfactorily completes the
required services.
(39) "Program
code" means an alphanumeric identifier that is issued to a program by the
division at the time a program is certified.
(40) "Progress note" means a written entry in
a client's record to document client contacts, the delivery of services, and
how the goals of a client's treatment plan are being addressed.
(41) "Regional program manager" means an
individual responsible for the management of a program's county offices if a
program operating statewide has multiple county locations.
(42) "Residential" means a set of organized
and intensive individual and group therapeutic activities, provided in a
twenty-four (24) hour setting, which assists a client in recovering from
alcohol or other drug abuse.
(43)
"Residential transitional living" means a therapeutic group setting, in which:
(a) Counseling is provided either on site by
staff or off site; and
(b) A
client:
1. Resides twenty-four (24) hours a
day; and
2. Makes a social and
vocational adjustment prior to returning to family or independent living in the
community.
(44) "Revocation" means withdrawal by the
division of a program's or an individual's right to deliver services to a
client convicted of DUI.
(45)
"Self-help group" means activities provided in a self-directed peer group
setting, for a person recovering from alcohol or other drug abuse or the
effects of another person's alcohol or other drug abuse, in which support and
direction in achieving or maintaining an alcohol and drug-free lifestyle or in
learning to cope with a problem related to another person's alcohol or other
drug abuse is provided.
(46)
"Sliding fee scale" means a program's formula for providing a service to a
client at a rate lower than the program's maximum published fee.
(47) "Treatment" is defined by
KRS
222.005(14).
(48) "Treatment plan" means the written
product of the process by which a client and a clinician identify and rank a
client's problems needing resolution, establish agreed-upon immediate and
long-term specific and measurable goals, and decide on a treatment process and
the resources to be utilized.
(49)
"Twenty (20) hour education" means an education curriculum:
(a) For first offenders assessed as low risk,
that do not have an alcohol or other drug problem requiring treatment;
or
(b) As a supplement to treatment
for a first or multiple offender assessed as needing treatment.
(50) "Uniform citation" is defined
by
KRS
431.450.
Section 3.
Program Certification Requirements.
(1)
General requirements.
(a) A licensed entity
desiring to provide DUI assessment or education services shall be certified by
the division as a DUI program before providing a service at any
location.
(b) A certified DUI
program may deliver assessment, education, or treatment services statewide if
the program is:
1. Licensed in accordance
with Section 2 of this administrative regulation; and
2. Certified by the division at each service
location.
(c) A program
may be certified to provide only assessment or only education services or both
assessment and education services at a location.
(d) The division shall not certify a program
desiring to provide only education at all locations.
(e) A treatment program or facility licensed
by the cabinet to provide treatment pursuant to
902
KAR 20:160,
902 KAR
20:180, or
908
KAR 1:370, an out-of-state treatment facility licensed
by the state where the facility is located, or a federally-licensed hospital
may provide treatment services to a client referred by a certified DUI program
without receiving DUI program certification from the division.
(f) The division shall notify a program, in
writing, if certification is issued, renewed, or revoked.
(g) The division shall notify the
Transportation Cabinet, in writing, if an action is taken to revoke a DUI
program's certification or if an action by the division is appealed by a
program.
(h) If more than one (1)
certified DUI program is operated at the same location, each program shall
maintain a separate organizational identity by:
1. Conspicuously posting in a public area:
a. Each program's license;
b. Each program's DUI Program Certification
Certificate; and
c. A sign showing
the name of each program;
2. Using a separate logo or letterhead on
written materials;
3. Maintaining
client records in a separate and secure cabinet; and
4. Conducting DUI services separate from
another DUI program located at the same location.
(i) A certified DUI program shall
conspicuously post, in a public area of each facility where DUI services are
delivered by the program, its license and DUI Program Certification
Certificate.
(j) A certified DUI
program shall:
1. Deliver education and
treatment services in a facility that provides at least seven (7) square feet
of individual space for a client while receiving a service;
2. Maintain an alcohol and other drug-free
work place;
3. Obtain a criminal
background check from the Administrative Office of the Court's Courtnet
Disposition System for the administrator, and all clinical or certified staff,
that begin working in the program after April 12, 2000;
4. Ensure that an owner, program
administrator, and all clinical or certified staff that begin working in a
program after April 12, 2000 have not been released from incarceration or
probation or parole for the conviction of a violent crime, hate crime, or sex
crime within two (2) years from his or her date of employment with the program;
and
5. Maintain professional
malpractice insurance to cover all clinical or certified staff in the minimum
amount of $100,000 per occurrence.
(2) Staffing requirements.
(a) General requirements.
1. A program shall have staff certified by
the division in accordance with Section 4 of this administrative regulation to
deliver assessment and education services.
2. Certified, clinical or administrative
staff shall not currently be employed as:
a. A
law enforcement officer;
b. A
correctional officer, other than in a certified DUI program that is located in
a jail, prison or correctional facility;
c. A probation and parole officer;
d. An attorney;
e. An employee of the Administrative Office
of the Courts;
f. An employee of
the division; or
g. A
judge.
(b)
Program administrator.
1. A program
administrator shall be responsible for the services delivered in a program and
knowledgeable of:
a. The requirements
established in this administrative regulation, and
KRS
189A.040 and
189A.045;
b. In a federally assisted program, the
requirements for confidentiality established in
908
KAR 1:320; and
c. In a nonfederally assisted program, the
requirements for confidentiality established in
KRS
222.271(1).
2. A program administrator shall
ensure:
a. A program implements and complies
with all applicable administrative regulations and statutes;
b. Staff having primary responsibility for
delivering DUI services, including regional program managers, comply with:
(i) The requirements established in this
administrative regulation, and
KRS
189A.040 and
189A.045;
(ii) In a federally assisted program, the
requirements for confidentiality established in
908
KAR 1:320; and
(iii) In a nonfederally assisted program, the
requirements for confidentiality established in
KRS
222.271(1);
c. An individual involved in the
operation of the program or in the delivery of client services engages in
ethical practices and abides by the Code of Ethics contained on the Application
for DUI Program Certification or the Application for DUI Program
Recertification, whichever is applicable;
d. A program shall not accept a client if a
conflict of interest exists between the program and the client;
e. Staff providing assessment and education
services are certified by the division and that they complete training required
by the division; and
f. Attendance
by a client is documented in the client's record.
3. A program administrator shall:
a. Investigate a complaint received from the
division and shall, upon request, provide the division with records pertaining
to the complaint;
b. Personally
attend, or have a representative of the program attend, at least one (1)
statewide DUI meeting annually. The division shall conduct statewide DUI
meetings on a semiannual basis; and
c. Maintain a written record of quarterly
face to face meetings with the clinical services supervisor to document review
of the clinical supervision notes.
(c) Clinical services supervisor. There shall
be clinical supervision provided at all locations by a clinical services
supervisor who meets the requirements established in paragraph (d) or (f) of
this subsection.
(d) Except as
provided in paragraph (f) of this subsection, the clinical services supervisor
shall be:
1. A certified alcohol and drug
counselor certified pursuant to
KRS
309.080 to
309.089,
who has 4,000 hours of clinical work experience postcertification; or
2. An individual who is licensed or certified
as one (1) of the following and who meets the requirements of paragraph (e) of
this subsection:
a. Physician licensed under
the laws of Kentucky to practice medicine or osteopathy, or a medical officer
of the government of the United States while engaged in the performance of
official duties;
b. Psychiatrist
licensed under the laws of Kentucky to practice medicine or osteopathy, or a
medical officer of the government of the United States while engaged in the
performance of official duties, who is certified or eligible to apply for
certification by the American Board of Psychiatry and Neurology,
Inc.;
c. Licensed psychologist
licensed to practice psychology by the Kentucky Board of Examiners of
Psychology in accordance with
KRS
319.050;
d. Certified psychologist with autonomous
functioning certified to function without supervision in an area specified by
the Kentucky Board of Examiners of Psychology in accordance with
KRS
319.056;
e. Certified psychologist with 6,000hours of
postcertification practice certified by the Kentucky Board of Examiners of
Psychology in accordance with the requirements and limitations established in
KRS
319.056;
f. Psychological associate with 6,000hours of
postcertification practice certified by the Kentucky Board of Examiners of
Psychology in accordance with the requirements and limitations established in
KRS
319.064;
g. Licensed clinical social worker licensed
for the independent practice of clinical social work by the Kentucky Board of
Social Work in accordance with
KRS
335.100;
h. Certified social worker with 6,000hours of
postcertification clinical practice in psychiatric social work licensed by the
Kentucky Board of Social Work in accordance with
KRS
335.080;
i. Registered nurse licensed by the Kentucky
Board of Nursing in accordance with KRS Chapter 314 with a master's degree in
psychiatric nursing from an accredited college or university and 6,000hours of
clinical experience in psychiatric nursing;
j. Registered nurse who:
(i) Is licensed by the Kentucky Board of
Nursing in accordance with KRS Chapter 314 with a bachelor's degree in nursing
from an accredited college or university;
(ii) Is certified as a psychiatric and mental
health nurse by the American Nurses Association; and
(iii) Has 6,000hours of clinical experience
in psychiatric nursing;
k. Licensed marriage and family therapist
licensed by the Kentucky Board of Licensure of Marriage and Family Therapists
in accordance with the provisions of
KRS
335.330;
l. Licensed professional clinical counselor
licensed by the Kentucky Board of Licensed Professional Counselors in
accordance with the provisions of
KRS
335.525(1); or
m. Licensed professional art therapist
licensed by the Kentucky Board of Licensure for Professional Art Therapists in
accordance with the provisions of
KRS
309.130.
(e) A certified or licensed professional
meeting the requirements established in paragraph (d)2 of this subsection shall
have:
1. Completed eighty (80) hours of
training in alcohol and other drug abuse counseling, within four (4) years
immediately prior to the date of assuming responsibility as a clinical services
supervisor in a DUI program or within two (2) years immediately after assuming
responsibility as a clinical services supervisor in a DUI program;
and
2. 4,000 hours of work
experience in the alcohol and other drug treatment field postdegree.
(f) A person shall qualify as a
clinical services supervisor under this administrative regulation if, on April
12, 2000, the person:
1. Met the requirements
for clinical services supervisor as established in 908 KAR
1:050 and 908 KAR
1:190;
2. Had been a clinical
services supervisor for at least five (5) years; and
3. Was employed as a clinical services
supervisor in a DUI program certified by the division.
(g) A clinical services supervisor shall
complete:
1. A division approved twelve (12)
hour training in clinical supervision, within six (6) months of assuming
responsibility as the clinical services supervisor in a DUI program;
and
2. Twenty (20) hours of
training in alcohol and other drug abuse treatment annually.
(h) A clinical services supervisor
shall:
1. Assist a program administrator in
the investigation of a complaint against a program if a complaint concerns an
assessment, education, or treatment service;
2. Provide clinical supervision to no more
than six (6) staff delivering assessment and treatment services to clients
convicted of DUI; and
3. Maintain
clinical supervision notes to document each supervisory session including the
length of the session, content of the session, all observations of assessment
and treatment services, and recommendations for improvement of knowledge base
and facilitation skills.
(3) Application for program certification.
(a) An individual or other entity seeking DUI
program certification shall:
1. Submit a
completed Application for DUI Program Certification to the division;
2. Submit a Program Survey Form for each
location where the applicant desires to provide DUI assessment, education or
treatment services and all documentation required by the division;
and
3. Sign the application, with
his or her signature certifying compliance with:
a. The Code of Ethics contained on the
Application for DUI Program Certification;
b. The requirements established in this
administrative regulation, and
KRS
189A.040, and
189A.045;
and
c. The requirements for
confidentiality established in:
(ii)
KRS
222.271(1) for a
nonfederally-assisted program.
(b) A Program Survey Form shall be completed
for each location:
1. At the time of
application for program certification or recertification; or
2. If a program opens a new
location.
(c) A Program
Survey Form shall contain the:
1. Type of
services provided;
2. Maximum fee
for a service;
3. Name of the
curriculum delivered at the location;
4. Name and telephone number of the contact
person for the location;
5. Hours
of operation when an office is staffed;
6. Address of the office where the client
files for the location are maintained and stored;
7. Name and title of each certified staff
person providing assessment or education services at the location;
and
8. Name of the clinical
services supervisor for the location.
(d) The division shall review an application,
verify the information, and certify a program if the program:
1. Submits a completed Application for DUI
Program Certification to the division;
2. Is a licensed entity in accordance with
Section 2 of this administrative regulation; and
3. Has staff certified by the division to
deliver the required services.
(e) The division shall assign a program code
and issue a letter and DUI Program Certification Certificate if a program is
certified. The program code shall be used for verification of program
certification on correspondence to the court, the Transportation Cabinet, and
the division.
(f) Each program
location shall have an additional location code issued by the division that
shall be used in conjunction with a program code to identify a program and the
exact location where a service is delivered.
(g) Program certification shall be issued by
the division for a period of two (2) years, and shall be renewable unless
previously revoked.
(h) Program
certification shall not be transferred and shall apply to the individual or
other entity named in the Application for DUI Program Certification or the
Application for DUI Program Recertification, whichever is applicable, approved
by the division.
(i) If there is a
change of ownership, the new owner shall apply for program certification in
accordance with the requirements established in this subsection.
(4) Application for DUI program
recertification.
(a) A program administrator
shall request program recertification on a completed Application for DUI
Program Recertification at least thirty (30) calendar days prior to the
expiration of the program's certification.
(b) If program certification expires, a
program administrator shall submit a completed Application for DUI Program
Recertification within sixty (60) calendar days of the expiration date. The
program shall be considered a new applicant if the Application for DUI Program
Recertification is not made within sixty (60) calendar days of the expiration
date.
(c) If program certification
lapses for sixty (60) calendar days or more, the division shall notify a
program administrator, in writing, that the program is not eligible to deliver
DUI services and the program shall:
1. Notify
active clients in writing;
2. Refer
a client and transfer case coordination responsibility of a client's case to a
program of the client's choice; and
3. Submit to the division a list of active
clients with a copy of each client's referral form stating the name of the
program to which each client was referred.
(d) A program administrator shall meet the
requirements established in paragraph (a) of this subsection before a program
is recertified.
(5)
Denial of program certification and recertification. The division shall deny a
program's application for certification or recertification if:
(a) A program fails to meet certification
requirements;
(b) Program
certification has been denied or revoked by the division within the last three
(3) years;
(c) A current owner,
program administrator, clinical services supervisor, or other principal had his
or her assessor, instructor, or program administrator certification revoked by
the division within the last three (3) years; or
(d) The division is in the administrative
hearing process to revoke the assessor, instructor, or program administrator
certification of a current owner, program administrator, or clinical services
supervisor.
(6) Program
changes.
(a) A program administrator shall
notify the division and the cabinet, in writing, if there is a change in
ownership, program name, or program location.
(b) A program administrator shall notify the
division, in writing, on a Report of Change Form if there is a change at a
location in:
1. Services delivered;
2. Maximum fee charged for a
service;
3. Hours of operation when
an office is staffed;
4. Location
of client records;
5. Scheduling
telephone number;
6. Contact
person;
7. Clinical services
supervisor; or
8. Other program
information printed in the DUI directory.
(7) Records.
(a) General requirements.
1. A program shall designate on a Program
Survey Form, at the time of application for program certification, where the
client records for each location and the administrative records for the program
will be maintained and stored.
2. A
program administrator shall notify the division, in writing, on a Report of
Change Form, if the program changes the location where client or administrative
records are maintained and stored.
3. A program administrator shall ensure that
written and electronic client and administrative records are:
a. Stored in a locked cabinet or computer
only accessible to authorized staff;
b. Kept confidential:
(i) In a federally assisted program pursuant
to
908
KAR 1:320; or
(ii) In a nonfederally assisted program
pursuant to
KRS
222.271(1);
c. Retained for at least five (5)
years from the last date of service or action taken; and
d. If destroyed after a five (5) year period
of retention, either burned, shredded or deleted electronically in a manner
that is unrecoverable.
4. A program shall maintain a record of fees
paid by a client.
(b)
Administrative records. A program shall maintain administrative records that
include:
1. Policy and procedure
manual;
2. Copies of curricula,
handouts, and videos;
3. Hours of
operation for each location;
4. Fee
schedule and means test for determining indigency;
5. Cabinet report from most recent licensure
inspection;
6. Memoranda of
understanding;
7. Copies of the
division's certification letters for assessors, instructors, and program
administrators on staff;
8.
Complaint file;
9. Assessment,
education, and treatment rosters or sign in sheets; and
10. Clinical supervision notes.
(c) Client records.
1. A program shall release a client's record
or disclose confidential information about the client in accordance with the
client's written permission through a signed authorization for release of
information.
2. A program shall
release a client's record, with the client's written authorization for release
of information, if:
a. The division or its
designee requests release of a record; or
b. A client is referred to another program
for education or treatment services.
3. A program shall release a client's record
upon receipt of a court order.
4. A
program shall open a separate written or electronic record for a client at the
time of assessment, or upon enrollment in education or admission to treatment,
if the client is referred to another program after receiving an
assessment.
5. Client records shall
include the following forms developed by the program and signed by the client:
a. Client rights statement;
b. Client notice of confidentiality and
confidentiality agreement;
c. Fee
agreement;
d. Authorization for
release or disclosure of information; and
e. As applicable, the information required by
subparagraphs 6, 7, or 8 of this paragraph.
6. If a client receives an assessment, his or
her record shall include:
a. The items
required by subparagraph 5 of this paragraph;
b. An AOC 494 form (Notice to Attend Alcohol
Driver Education Program) or a court order;
c. Uniform citation;
d. Kentucky DUI Assessment Instrument
printout;
e. Clinical interview and
interview notes;
f. Freedom of
choice statement;
g. Confirmation
and acceptance of assessment statement;
h. Referral agreement, if
applicable;
i. Certificate of
enrollment;
j. Case coordination
contacts; and
k. Certificate of
completion or notice of noncompliance.
7. If a client receives education, his or her
record shall include:
a. The items required by
subparagraph 5 of this paragraph;
b. An education agreement signed by the
client; and
c. A record of
attendance.
8. If a
client receives treatment, his or her record shall include:
a. The items required by subparagraph 5 of
this paragraph;
b. A treatment plan
signed by the client and the clinician and treatment plan reviews signed by the
clinician;
c. Progress notes signed
and dated by the clinician, recorded after each client contact documenting the
type of contact or service provided, and the client's participation;
and
d. A discharge summary
documenting completion or noncompliance signed and dated by the
clinician.
(8) Fees. The fee for assessment, education,
or treatment shall be established by a program and paid by a client pursuant to
KRS
189A.040 in accordance with this subsection.
(a) A fee for assessment shall include all
fees associated with screening, intake, clinical interview, client transfers,
monitoring of client progress, and all other case coordination activities
including exit or discharge interviews.
(b) A fee for education shall include only
those costs associated with the delivery of the Prime for Life Risk Reduction
Program (PRI) Twenty (20) Hour Curriculum including any cost for participant
manuals.
(c) A fee for treatment
shall:
1. Include those costs involved in
delivering individual or group counseling and the fee for treatment plan
reviews; and
2. Not include a
separate fee for case coordination activities.
(d) A DUI program shall not charge a fee for
group outpatient sessions not attended.
(e) The fee schedule published in the DUI
directory shall be posted in a public area of each facility visible to a
client.
(f) The fee a client is
charged shall not exceed a program's maximum published fee.
(g) A program shall explain the program's fee
and payment requirements to the client at the time of the assessment or upon
enrollment in education or admission to treatment, if the client is referred to
another program after receiving an assessment.
(h) A program shall not charge a client a fee
unless the client has signed a fee agreement.
(i) A program's sliding fee scale shall be
based on a means test and applied objectively to a client to determine a
client's ability to pay.
(j) If a
client states that he or she is an indigent person, a program shall refer the
client to the court to have an affidavit of indigency executed by the court. A
program shall:
1. Accept a client determined
indigent by the court; and
2.
Deliver services free of charge or for the amount specified by the
court.
(9)
DUI directory.
(a) The division shall:
1. Publish annually on July 1 of each year a
directory of all certified DUI programs; and
2. Issue additions, revisions, and
corrections quarterly on October 1, January 1, and April 1, of each year as
changes occur.
(b) The
directory shall include DUI programs certified to provide DUI assessments and
shall be distributed upon request to the following:
1. District court judges;
2. Circuit clerks;
3. Certified DUI programs; and
4. The public.
(c) The directory shall have a county section
that includes:
1. The location of each program
having an assessment center in a county;
2. The services provided at each program
location;
3. The maximum fee for a
service; and
4. Specific terms and
conditions related to DUI services that are required by a program.
(d) A program administrator shall
report changes for the directory to the division, on a Report of Change Form,
at least thirty (30) calendar days prior to the publication dates established
in paragraph (a) of this subsection. If the division does not receive a Report
of Change Form by the deadline date, the division shall hold a change until the
next scheduled publication of the directory.
Section 5. Certified Program, Assessor,
Instructor, or Program Administrator Complaints and Program Monitoring.
(1) Complaints.
(a) An individual may submit a complaint
related to a certified program, a certified assessor, a certified instructor,
or a program administrator that is not resolved by a program through its
grievance procedure to the division.
(b) A program shall be responsive and make an
effort to resolve a client's complaint through its grievance
procedure.
(c) A complaint shall be
submitted to the division, in writing, on a DUI Complaint Form or in a
letter.
(d) The division shall
investigate a complaint, notify the complainant and the program, in writing, of
the results of the investigation and take any necessary action.
(e) The division shall notify a professional
licensing or certification board, in writing, at the conclusion of an
investigation of the results of the investigation if a complaint is related to
a violation of a standard established by a professional board or a statutory
violation relating to the board's jurisdiction.
(2) Program reviews.
(a) The division shall conduct periodic
program reviews to determine if a program is in compliance with the
requirements established in this administrative regulation, and
KRS
189A.040 and
189A.045.
(b) A program review shall consist of one (1)
or more of the following:
1. An interview
with either a program administrator or a clinical services
supervisor;
2. Completion of a
Comprehensive DUI Program Review Form;
3. A review of administrative
records;
4. A review of client
records using the Client Record Review form;
5. Off-site monitoring by division staff of
assessment records submitted by a program;
6. Observation of an assessment, education,
or treatment service using the Assessment Observation Form, Education
Observation Form, or Treatment Observation Form, as indicated by the type of
service observed;
7. Client
interviews using the Client Evaluation of Assessment Program, the Client
Evaluation of Treatment Program, or the PRI Client's Evaluation of Education
Services Received;
8. The review of
other materials necessary to determine compliance with this administrative
regulation, and
KRS
189A.040 and
189A.045;
or
9. Physical inspection of a
program's facility.
(c)
The division shall notify a program, in writing, at least two (2) weeks prior
to the date of an announced program review.
(d) A program review may be made at any of a
program's locations and may be unannounced.
(e) A program shall:
1. Allow a division representative access to
a facility;
2. Provide a copy of
records and materials requested; and
3. Allow a division representative to attend
and observe an assessment, education class, or treatment session conducted by
the program.
(f) The
division shall issue a written report of findings and provide a copy of the
results of its program review to the program within ninety (90) calendar days
after completion of a program review.
(3) Plan of correction.
(a) The division shall require a program that
is not in compliance with the requirements established in this administrative
regulation, and
KRS
189A.040 or
189A.045
to submit an acceptable plan of correction to the division within thirty (30)
calendar days from the date a program receives a report of findings from the
division.
(b) The plan of
correction shall:
1. Be developed with
participation of the program administrator, the clinical services supervisor,
and any staff responsible for the implementation of the corrective action for
the deficiencies noted in the program review;
2. Contain a descriptive plan of action
including a time schedule for achieving implementation of the corrective
actions for the deficiencies;
3. Be
accompanied by copies of any forms developed and utilized to bring the program
into compliance, including those forms required by Section 3(7)(c)5. to 8. of
this administrative regulation; and
4. Be signed by the DUI Program Administrator
and any staff involved in the development of the plan of correction and for the
implementation of the corrective action for the deficiencies.
(c) The division may conduct a
follow-up program review to ensure:
1. The
plan of correction has been implemented; and
2. The program is in compliance with this
administrative regulation, and
KRS
189A.040 and
189A.045.
(d) If the division conducts a
follow-up program review, a copy of the Follow-up DUI Program Review form shall
be issued to the program within ninety (90) calendar days of the completion of
the follow-up program review.
(e)
If a plan of correction has not been implemented, the division shall take
action to revoke program certification.
(4) Voluntary closure.
(a) A program desiring to close voluntarily
shall:
1. Notify the division, in writing,
that it will voluntarily surrender its program certification by mailing to the
division its DUI Program Certification Certificate;
2. Stop accepting client referrals;
3. Notify active clients in
writing;
4. Refer a client and
transfer case coordination responsibility of a client's case to a program of
his or her choice; and
5. Submit to
the division, within ten (10) calendar days of the notification made under
subparagraph 1 of this paragraph, a list of active clients and a copy of the
following information for each client:
a.
Name, address and telephone number;
b. Date of birth and either the client's
Social Security or driver's license number;
c. DUI conviction number;
d. Date of assessment and referral
information including level of care and agency to which a client is
referred;
e. Number of sessions
completed;
f. Date of last
attendance; and
g. Reason for
noncompliance if a client is noncompliant.
(b)
1. A
program that voluntarily surrenders its certification in compliance with the
requirements established in paragraph (a) of this subsection may reapply for
program certification at any time.
2. The division shall revoke the program
certification of a program that voluntarily surrenders its certification if the
program fails to comply with the requirements established in paragraph (a) of
this subsection. The revocation shall be in accordance with the requirements
established in subsection (5)(d) of this section.
3. If a program voluntarily surrenders its
certification following an action by the division to revoke the program's
certification, revocation shall be in accordance with subsection (5)(d) of this
section.
(5)
Revocation of program certification.
(a) The
division shall revoke the certification of a program that is not in compliance
with the requirements established in this administrative regulation, and
KRS
189A.040 or
189A.045.
(b) The division shall immediately revoke a
program's certification if it determines there is an immediate danger to
clients.
(c) The division shall
revoke the certification of a program that has failed to implement the plan of
correction submitted to the division as a result of a program review.
(d) The revocation of program certification
shall be:
1. For a period of three (3) years;
and
2. Effective on the date stated
in the notice sent to the program by the division.
(e) If the division revokes program
certification, a program shall:
1. Stop
providing DUI services;
2. Stop
accepting client referrals;
3.
Notify active clients in writing;
4. Refer a client and transfer case
coordination responsibility of a client's case to a program of his or her
choice; and
5. Submit to the
division, within ten (10) calendar days of the notification from the division,
a list of active clients and a copy of the following information for each
client:
a. Name, address and telephone
number;
b. Date of birth and either
the client's Social Security or driver's license number;
c. DUI conviction number;
d. Date of assessment and referral
information including level of care and the name of the program to which a
client is referred;
e. Number of
sessions completed;
f. Date of last
attendance; and
g. Reason for
noncompliance if a client is noncompliant.
Section
7. Additional Client Considerations.
(1) Out of state clients and program.
(a) A non-Kentucky licensee convicted of DUI
in Kentucky may attend an out of state program without referral. Notification
to or approval by the division shall not be required. The client shall bear the
burden of demonstrating to the satisfaction of the court and Kentucky
Transportation Cabinet that the out of state program:
1. Is licensed or otherwise authorized to
provide DUI services;
2. Complies
at a minimum with the requirements of this administrative regulation;
and
3. Satisfies the requirements
of KRS Chapter 189A.
(b)
If a client receives an assessment from the Kentucky Certified DUI Program and
chooses education or treatment services in another state, the Kentucky
Certified DUI Program shall:
1. Locate an out
of state program;
2. Contact the
out of state program to arrange the client's enrollment;
3. Send the program receiving the referral a
DUI Referral Report Form and a Case Coordination Form, which are part of the
Kentucky DUI Assessment Instrument; and
4. Provide case coordination.
(c) A Kentucky licensed driver and
resident convicted of DUI pursuant to
KRS
189A.010(1)(a) through (f)
shall receive a DUI assessment in Kentucky. Referral to an out of state program
may be allowed if the program is licensed to provide services at the level of
care necessary to satisfy Kentucky's requirements.
(d) If a non-Kentucky licensee with an out of
state conviction attends a Kentucky Certified DUI Program, compliance reporting
and case coordination shall be in accordance with the requirements of the
convicting state.
(2)
Clients with special needs.
(a) If a client is
identified as having a special need at the time of assessment, a program shall
provide services either directly or through referral according to the
following:
1. Questions and instructions shall
be read orally to a client who is unable to read and responses shall be
recorded for a client who is unable to write;
2. A qualified interpreter shall be provided
for a deaf client;
3. Reasonable
accommodations shall be made for a client who is unable to communicate in
English; and
4. A pregnant client
shall be referred for prenatal care.
(b) A program shall document in a client's
record special needs services the client receives.
(c) Responsibility for payment of a special
need service shall be according to the following:
1. A program shall be responsible for payment
of interpreter services pursuant to
KRS
30A.415; and
2. A client shall be responsible for payment
of other services required because of a special need pursuant to
KRS
189A.040.
(d) A program shall comply with the rules of
confidentiality established in:
1.
908
KAR 1:320 if providing interpreter services to a
client in a federally-assisted program; or
2.
KRS
222.271(1) if providing
interpreter services to a client in a nonfederally-assisted program.
(3) A client that
receives treatment before an assessment. If a client receives treatment after
being charged with DUI, without first receiving an assessment, a program shall:
(a) Obtain a copy of a court order from the
court and a copy of the client's uniform citation;
(b) Conduct an assessment and case
coordination in accordance with Section 6(1) and (3) of this administrative
regulation; and
(c) Give the client
credit for treatment received since his or her DUI arrest if it can be
documented that the treatment was at the level of care needed by the client
based on the assessment conducted pursuant to paragraph (b) of this
subsection.
(4) A client
with multiple DUI convictions. If a client presents for an assessment with
multiple unresolved DUI convictions, a program shall:
(a) Obtain a copy of the client's uniform
citation and an AOC 494 form or court order for each conviction;
(b) Conduct one (1) assessment and case
coordination in accordance with Section 6(1) and (3) of this administrative
regulation;
(c) Refer the client to
treatment at a level of care appropriate to satisfy the client's clinical needs
and all of the client's DUI convictions; and
(d) Complete a separate completion report for
each of the client's convictions.
(5) A client convicted of DUI while enrolled
in a program. If a client receives a subsequent conviction for DUI while
enrolled in an education or treatment program, a program shall:
(a) Obtain a copy of the client's uniform
citation and an AOC 494 form or court order for the subsequent
conviction;
(b) Conduct another
assessment and case coordination in accordance with Section 6(1) and (3) of
this administrative regulation;
(c)
Refer the client to a level of care appropriate to satisfy the client's
clinical needs and all of the client's DUI convictions;
(d) Document the client's file to show that
the client's admission to treatment began at the time the client was
reassessed; and
(e) Complete a
separate completion report for each of the client's convictions.
(6) Prior services received by a
client. If a client requests services after being reported non-compliant, a
program shall:
(a) Refer the client back to
the court for a new court order;
(b) Conduct a DUI assessment; and
(c) Give the client credit for prior services
if it can be documented that:
1. The services
were at the level of care indicated by the assessment;
2. The services were received within the last
six (6) months; and
3. The client
is progressing in accordance with the completion requirements.
(7) Early release of a
second offender. If the program responsible for a client's case coordination
determines a second offender, who has completed at least six (6) months of the
treatment that was recommended based on the client's assessment, has completed
a program prior to the end of the one (1) year period ordered by the court, the
administrator of the program shall send a written report notifying the court
that the client has completed the program.
(8) A client under twenty-one (21) years of
age. If a client is under twenty-one (21) years of age, a program shall deliver
services:
(a) In accordance with the
requirements established in this administrative regulation if the client is
convicted of DUI pursuant to
KRS
189A.010(1)(a) through (d);
or
(b) In accordance with a court
order, not subject to the requirements established in this administrative
regulation, if the client is convicted pursuant to
KRS
189A.010(1)(e).
(9) Early release of a first
offender referred to treatment. A first offender referred to treatment may be
deemed appropriate for release prior to the expiration of the ninety (90) day
requirement if the offender:
(a) Has achieved
all goals and objectives stated in the treatment plan;
(b) Has completed a minimum of two (2) months
in treatment;
(c) Has received the
recommendation of the assessor providing case coordination; and
(d) Has met all completion
requirements.
(10)
Clients under the influence of alcohol or other drugs. If a client presents for
services under the influence of alcohol or other drugs:
(a) The DUI program staff shall protect the
safety and welfare of all clients by arranging for the impaired client's
removal from the facility;
(b) The
DUI program administrator or the clinical services supervisor shall contact the
case coordinator; and
(c) The case
coordinator shall re-evaluate the level of care appropriate to address the
client's problem.
Section 11. Incorporation by
Reference.
(1) The following material is
incorporated by reference:
(a) "Application
for DUI Program Certification", October 2011;
(b) "Application for DUI Program
Recertification", October 2011;
(c)
"Assessment Observation Form", October 2011;
(d) "Client Evaluation of Assessment
Program", October 2011;
(e) "Client
Evaluation of Treatment Program", October 2011;
(f) "Client Record Review", October
2011;
(g) "Comprehensive DUI
Program Review Form", October 2011;
(h) "DUI Complaint Form", October
2011;
(i) "DUI Assessor
Certification Application", October 2011;
(j) "DUI Assessor Recertification
Application", October 2011;
(k) "DUI
Program Certification Certificate", October 2011;
(l) "DUI Instructor Certification
Application", October 2011;
(m)
"DUI Instructor Recertification Application", October 2011;
(n) "DUI Program Administrator Certification
Application", October 2011;
(o)
"DUI Program Administrator Recertification Application", October
2011;
(p) "Education Observation
Form", October 2011;
(q) "Follow-up
DUI Program Review", October 2011;
(r) "PRI Client's Evaluation of Education
Services Received", October 2011;
(s) "Program Survey Form", October
2011;
(t) "Report of Change Form",
October 2011;
(u) "Treatment
Observation Form", October 2011;
(v) AOC-494, "Notice to Attend Alcohol Driver
Education Program", May 1996;
(w)
"Memorandum of Understanding", October 1, 1998;
(x) "Roster of Assessments", October 1,
1998;
(y) "Kentucky DUI Assessment
Instrument", October 2011; and
(z)
"Prime for Life Risk Reduction Program (PRI) Twenty (20) Hour Curriculum",
February 1, 2005.
(2)
This material may be inspected, copied, or obtained, subject to applicable
copyright laws, at the Department for Behavioral Health, Developmental and
Intellectual Disabilities, Division of Behavioral Health, 275 East Main Street,
Frankfort, KY 40621, Monday through Friday, 8 a.m. to 4:30 p.m.