14-118 C.M.R. ch. 2, § B - PROCEDURE FOR APPROVAL OF A DRIVER EDUCATION AND EVALUATION PROGRAMS EVALUATOR AND/OR TREATMENT SERVICE PROVIDER

1. No individual or Program shall conduct or offer to conduct evaluation or treatment services for Driver Education and Evaluation Programs clients without a valid and current Certificate of Approval issued by the Office of Substance Abuse or a Certificate and/or license issued by the Department of Health and Human Services in accordance with these regulations.

A Driver Education and Evaluation Program Private Provider, or the same individual in a Program providing services under this chapter may not provide both treatment services and evaluation services for the same individual unless a waiver is granted on a case-by-case basis by the Driver Education and Evaluation Program. The Private Provider or counselor providing evaluation services shall give a client the name of three (3) Private Providers and/or Programs who can provide treatment services, at least one of whom must not be employed by the same Program as the counselor conducting the evaluation.

The above waiver is limited to individuals participating in the Under 21 Program or the former Moving Ahead Program.

2. Any Program applying for a Certificate of Approval as a provider of evaluation and/or treatment services for Driver Education and Evaluation Programs referrals shall have a current valid license and/or Certificate from the Department of Health and Human Services. The person responsible for Program administration must sign a "Letter of Agreement" and assure staff compliance with all applicable DEEP regulations.

3. In order to be approved as a Driver Education and Evaluation Programs Private Provider, the individual must be licensed pursuant to Maine Revised Statutes, Title 32, Chapter 81 (Alcohol and Drug Counselors). Others who may be qualified as DEEP Private Providers are psychologists, physicians, registered nurses, professional counselors, and social workers who are licensed and qualified to provide substance abuse counseling services by virtue of the requirements for that profession. Psychologists, physicians, registered nurses, professional counselors and social workers must provide documentation of qualifications that verifies that they are authorized to provide substance abuse counseling.

4. An application as a Private Provider for a Certificate of Approval or certification renewalshall be made on forms provided, on request, by the Office. All applicants for certification or certification renewal as Private Providers of evaluation or treatment services shall indicate such on their applications.

5. Individuals applying for certification as a Driver Education and Evaluation Programs Private Provider shall:

a. Submit documentation of compliance with Section B, 3 above;

b. Submit a resume;

c. Submit letters of reference with at least two being from previous employers regarding clinical ability;

d. Submit a policy and procedures manual in compliance with this Section and other appropriate sections. The policy manual shall be a complete document, with a table of contents and page numbers;

e. Agree to substantial compliance with applicable sections of these regulations by signing a Letter of Agreement; and

f. Submit all documentation in compliance with this section and other appropriate sections of this manual.

6. Individuals applying for certification or certification renewal as a Community-based Service Provider - Private Provider shall supply all information and documentation requested on and with the application. Any application will be returned to the applicant and will not be considered until properly completed and required documentation submitted.

7. A nonrefundable fee of fifty dollars ($50) shall accompany the application.

8. It is expected that the process leading to issuance or denial of a Certificate of Approval for Private Providers will be completed within sixty (60) days of receipt of the application. Certification renewal or monitoring on-site inspections shall be completed at least thirty (30) days prior to the expiration or anniversary date of the current Certificate.

9. When a Private Provider has submitted a complete application for renewal in compliance with stated timelines, the existing Certificate shall remain in effect until OSA has taken final action on the application for renewal.

10. Designated representatives of the Office shall inspect the policy and procedures manual, documentation, and site for Private Provider certification and certification renewal. The inspections shall consist of:

a. Examination of the Private Provider's policies and procedures;

b. Examination of case records

Private Providers shall maintain DEEP client case records that were open at the time of and since the most recent on-site inspection separate from other client records, or shall clearly mark those DEEP client's case records in a manner which will allow random selection by the OSA representative during on-site inspections.

Private Providers who maintain records at a home site or multiple sites shall have all case records that were open at the time of and since the most recent on-site inspection available for random selection by the OSA representative during on-site inspections.

c. Obtaining answers to specific questions concerning compliance with these regulations;

d. Discussing, if deemed necessary, services provided by the Private Provider with appropriate individuals or clients;

e. Inspection of the physical plant, when appropriate;

f. Examination of documentation of a current fire inspection in compliance with the policy and procedures of the authority having jurisdiction over the community for life safety and the posted fire escape plan;

g. Examination of a written statement or documentation from the proper city/town authority that the site is in compliance with all applicable ordinances for the initial certification, and for certification renewal following changes in or adoption of ordinances that directly affect the site and/or the Private Provider;

h. Examination of licensure that qualifies the individual for certification as a DEEP Community-based Service Provider;

i. Examination of the documentation that assures access to services by people with disabilities;

j. Examination of documentation for an insurance program that shall be in force at all times. The insurance program shall include comprehensive liability insurance that covers the Private Provider and the client, or the Private Provider and coverage of the client through coverage of the site(s);

k. Examination of policies and procedures that assure the provision of information regarding the availability of screening and testing services for clients identified as high risk of infectious diseases. The infectious diseases include, but are not limited to HIV (Human Immune deficiency Virus), Tuberculosis, Hepatitis B, and Hepatitis C.

l. Examination of the licensure that qualifies the individual under agreement to provide clinical supervision.

11. All Community-based Service Providers, Program and Private Providers providing evaluation and/or treatment services to DEEP clients shall:

a. participate in a mandatory introductory training provided by DEEP prior to providing services for DEEP referrals.

b. complete training required by the Office of Substance Abuse Treatment Data System (TDS);

c. agree to complete all forms and/or provide data required by OSA to the satisfaction of the DEEP and OSA representative; and

d. present documentation of training completion upon request.

12. All Community-based Service Providers, Programs and Private Providers, applying for certification renewal shall submit documentation that each individual providing direct clinical services for DEEP referrals have completed at least six (6) actual hours per year of DEEP specific training that is directly related to the provision of evaluation and/or treatment services for DEEP clients. DEEP will notify Community-based Service Providers of training programs that will meet this requirement.

13. When the documentation has been examined and the on-site inspection completed, one of the following administrative actions will be taken:

a. A full Certificate of Approval to provide evaluation and/or treatment services for DEEP referrals will be granted. Private Providers will be granted a Certificate of Approval for two (2) years.

b. A Conditional Certificate of Approval will be granted;

(1) This Conditional Certificate may be issued for a period of not more than one year.

(2) During this time, the Private Provider will make the corrections required by the Office within the time specified by the Office.

c. A Provisional Certificate may be granted to an applicant who is not eligible for a full Certificate.

(1) A Provisional Certificate shall be issued to an applicant who:

(a) Has not operated a practice for which the application is made;

(b) Has a Certificate, but has not operated during the term of that Certificate;

(c) Complies with these regulations, except those which can only be documented once clients are served by the applicant; and

(d) Demonstrates the ability to comply with these regulations by the end of the provisional term. The Office shall specify what requirements need to be met before the Private Provider can apply for a full Certificate.

(2) This Provisional Certificate may be issued for a minimum of three (3) months and a maximum of one (1) year.

d. A Certificate may be denied.

14. Any Private Provider granted a Certificate for a period of one (1) or more years shall apply for a new Certificate sixty (60) days prior to the expiration date of its current Certificate. Any Private Provider granted a conditional or Provisional Certificate for a period of less than one (1) year shall apply for renewal thirty (30) days prior to the expiration of the current Certificate.

15. The listing of the Community-based Service Provider who does not submit the certification/license application prior to the expiration date of their current license/Certificate will be removed from the DEEP Providers List on the date of expiration of their license/certification. The Community-based Service Provider shallapply for and complete the certification or licensure process prior to being listed in the Providers List.

16. A current Certificate shall be displayed on the premises in a location highly visible to the public.

17. Regardless of the term of the Certificate, the Office shall monitor for continued compliance with these requirements on at least an annual basis. In addition, the Office has the right to inspect any aspect of the Community-based Service Provider's services at any time in order to protect the health and welfare of the clients.

18. The Community-based Service Provider shall notify DEEP when

a. There is a change in clinical supervision.

b. An office is opened or closed in any location.

c. There exists a waiting list for evaluation or treatment service in excess of thirty (30) days.

19. Corrective actions or sanctions that the Office may take are as follows:

a. Options available to the Office: Whenever the Office finds that a Private Provider is not in compliance with applicable statutes or rules, the office may either order a corrective action or revoke or modify the Certificate. If the office takes any of the above actions, the Private Provider is entitled to a hearing before an action becomes final. This right to a hearing is set forth in sub-section i, Appeal Options.

b. Notification of Correction Order: The office, except in cases of emergency, shall ensure that every Corrections Order is in writing and delivered to the Private Provider fifteen (15) days in advance of the final date of correction.

(1) Correction Orders: Correction Orders shall be in writing and shall include:

(a) an identification of the law or rule violated,

(b) reasons for citing the violation.

(c) period of time in which the violation must be corrected,

(d) notice of the Private Provider's right to request a hearing,

(e) the consequences of failure to meet the conditions or request a hearing.

(2) Sending the Correction Order: The Correction Order may be delivered by regular mail to the office of the Private Provider.

c. Refusal to Issue or Renew: When a Private Provider fails to comply with the applicable laws or rules, the office may refuse to issue or renew a full, provisional, or Conditional Certificate.

d. Suspension and Revocation: The Office may suspend or revoke any full, provisional, or Conditional Certificate for violation of applicable laws, rules, or imposed conditions; committing or permitting any illegal acts or activities in the operation of the practice; or committing or permitting any acts or activities detrimental to the welfare of the client. The notice of suspension or revocation must be in writing and must be delivered to the Private Provider in hand or by certified mail. If the Private Provider cannot be reached for service in hand or by certified mail, the notice may be left at the Private Provider's site. Subject to the Private Provider's appeal rights, the license is deemed revoked when the Office has delivered in hand or by certified mail a written notice of revocation to the Private Provider or, if the Private Provider cannot be reached for service in hand or by certified mail, has left such written notice at the Private Provider's site.

e. Issuance of a Provisional Certificate: A Provisional Certificate shall be issued to a Private Provider who:

(1) has not previously operated a practice for which the application is made;

(2) is certified, but has not operated during the term of that Certificate; or

(3) complies with these requirements, except those that can only be complied with once the client is served by the applicant.

(4) demonstrates the ability to comply with these regulations by the end of the provisional term.

The Provisional Certificate shall specify what requirements must be met before the Private Provider can apply for a full Certificate.

f. Issuance of Conditional Certificate: If during the term of a Certificate or at its expiration, the Office concludes that a Private Provider has failed to comply with applicable laws or rules, the Office may issue a Conditional Certificate or change a Full or Provisional Certificate to a Conditional Certificate.

g. Amend or Modify a Certificate: If applicable laws or rules so require, the Office may amend or modify a Certificate.

h. Emergency Suspension: Whenever conditions are found which in the opinion of the Office, immediately endanger the health and safety of the client living in or attending a site, the Office may request an emergency suspension from the District Court, pursuant to 5 M. R. S. A. §10004(3).

i. Appeal Options: When the Office takes an action against the Private Provider under this sub-chapter, it shall either notify the provider in writing of the provider's right to request an adjudicatory hearing or shall file a complaint with the District Court in accordance with 5 MRSA §10051. If the Office notifies the Private Provider of the right to request a hearing, the provider may file a written request for an adjudicatory hearing within ten (10) days of receipt of the notice of action. If the request is received within the period, the proposed action will not take effect, if at all, until after the hearing. If the provider does not request a hearing, then the Office action will become final after the ten (10) day period has elapsed. It will be presumed that the provider received the notice within three (3) days of its mailing unless the provider can prove otherwise.

(1) Notification of the Public: In any proceeding determined by the Office to involve issues of substantial public interest, the Office shall notify the public in accordance with 5 MRSA §9052.

(2) Hearing Appeal: A Private Provider aggrieved by the Office hearing decision may appeal the decision pursuant to 5 MRSA §§11001 - 11008.

j. Reapplication Following Adverse Actions: A Private Provider who has been denied a Certificate or whose current Certificate has been modified, conditioned, suspended, revoked, or refused for renewal, may apply for appropriate relief when the deficiencies identified by the Office have been corrected. The provider must submit convincing documentation that the deficiencies have been corrected.

20. Any person may petition the Office to request the adoption, amendment, or repeal of any regulation. Any such petition shall be brought or mailed to the Office and shall state specifically what modification is desired. The Office shall acknowledge receipt of any petition within ten (10) days of the date of receipt. A disposition of the petition shall be made within thirty (30) days after receipt of the petition and the Office shall notify the petitioner in writing of its actions.

Notes

14-118 C.M.R. ch. 2, § B