908 KAR 1:310. Certification standards and administrative procedures for driving under the influence programs

l 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

of the directory. Section 4. Assessor, Instructor, and Program Administrator Certification Requirements. (1) General requirements. (a) Only an individual holding valid certification from the division shall provide DUI assessment or education services. An individual certified by the division shall not provide DUI assessment or education services except in a program that is certified by the division. (b) An individual desiring to provide assessment, program administration, or education services shall apply for certification to the division. To be certified, an individual shall: 1. Meet the requirements for certification established in this section; and 2. Complete the training required by subsection (3) of this section. (c) Â 1. Certification for an assessor, program administrator, or instructor shall be for a period of five (5) years from the date of an individual's initial certification as an assessor, program administrator, or instructor. 2. An assessor, program administrator, or instructor shall renew his or her certification in accordance with subsection (4) of this section every five (5) years. 3. Certification that is not renewed or revoked prior to the end of the five (5) year period shall automatically expire at the end of that time period. (2) Credentials for assessors, program administrators, and instructors. (a) Assessors. An individual desiring certification as an assessor shall complete twenty (20) hours of training in alcohol and other drug abuse counseling annually and, except as provided in paragraph (c) of this subsection, shall be: 1. A certified alcohol and drug counselor certified pursuant to KRS 309.080 to 309.089; 2. An individual who is licensed or certified as one (1) of the following and who meets the requirements of paragraph (b) 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

t services in the alcohol and other drug treatment field; 4. Meet the requirements for a certified DUI assessor established in paragraph (a) of this subsection; or 5. Be an individual who, on the effective date of this administrative regulation: a. Had been a program administrator for at least five (5) years; and b. Was employed as a program administrator in a DUI program certified by the division. (3) Assessor, instructor, and program administrator certification and recertification training. (a) General training requirements. 1. Only training approved by the division shall suffice as acceptable training for DUI assessor, instructor, and program administrator certification or recertification. 2. An individual desiring certification or recertification as an assessor, instructor, or program administrator shall submit a completed DUI Assessor Certification Application, DUI Assessor Recertification Application, DUI Instructor Certification Application, or DUI Instructor Recertification Application, DUI Program Administrator Certification Application, or DUI Program Administrator Recertification Application, whichever is applicable, to the division no later than the deadline date indicated on the training announcement issued by the division. 3. The application shall be accompanied by a copy of the following: a. Official transcripts; b. Diplomas; c. Certificates; d. Documentation of certification or licensure; and e. Documentation of work experience. 4. Assessor, instructor, or program administrator certification or recertification shall not be issued by the division until the fee for training is paid in full. 5. If an individual making application for an assessor, instructor, or program administrator certification or recertification training fails to meet the established requirements, the division shall deny the application and notify the applicant, in writing, of the reason for the denial. 6

sessor, instructor, or program administrator recertification shall be processed as a new application and the individual shall complete the requirements for initial certification established in subsections (2) and (3) of this section. (e) If an individual does not meet the requirements for an assessor, instructor, or program administrator at the time of his or her application for recertification: 1. The division shall deny the application for recertification and notify the individual and the program, in writing, of the reason for denial; and 2. The individual's currently held certification shall expire pursuant to subsection (1)(c)3 of this section. (5) Revocation of assessor, instructor, or program administrator certification. (a) The division shall revoke assessor, instructor, or program administrator certification if an individual: 1. Fails to comply with the requirements established in this administrative regulation; 2. Violates the Code of Ethics contained on the application for assessor, instructor, or program administrator certification; 3. Is convicted while holding certification from the division of a violent crime, hate crime, or sex crime; 4. Falsifies information on an application for DUI certification or recertification; or 5. Engages in behavior that would lead the division to determine that the safety of a client is threatened. (b) The revocation of an individual's assessor, instructor, or program administrator certification shall be for a period of three (3) years and shall be effective on the date stated in the notice sent to the individual assessor, instructor, or program administrator by the division. 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

am 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

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 6. Assessment Requirements. (1) Assessment process. (a) 1. Except as provided in subparagraph 2 of this paragraph, a program providing assessment services shall administer the Kentucky DUI Assessment Instrument to a client receiving a DUI assessment. A program may use supplemental assessments in addition to the Kentucky DUI Assessment Instrument. 2. A program shall have six (6) months from the 2011 effective date of this administrative regulation to comply with the requirement that the Web-based Kentucky DUI Assessment Instrument be administered in every DUI assessment. During this six (6) month transitional period, a program shall: a. Meet the requirements for a DUI assessment established in this administrative regulation; and b. Enter all new assessment records via the Internet. 3. For users of the PC-based Kentucky DUI Assessment Instrument, the Kentucky DUI Assessment Instrument records and the completion and noncompliance reports shall be electronically downloaded and sent either on removable computer media, or via email to the division, or its designee, on a monthly basis. Written notification shall be sent to the division or its designee, in lieu of electronic records if records or reports are not available for download. 4. For users of the Web-based Kentucky DUI Assessment Instrument, new assessment records shall be entered via the internet within three (3) business days of the assessment. Completion and noncompliance information shall be entered within three (3) business days of a client's completion or noncompliance. (b) The Kentucky DUI Assessment Instrument printout generated at a client's assessment shall: 1. Be signed and dated by the assessor and client; 2

nt Instrument, new assessment records shall be entered via the internet within three (3) business days of the assessment. Completion and noncompliance information shall be entered within three (3) business days of a client's completion or noncompliance. (b) The Kentucky DUI Assessment Instrument printout generated at a client's assessment shall: 1. Be signed and dated by the assessor and client; 2. Contain comments by the assessor explaining the referral decision; and 3. Be placed in the client's file at least thirty (30) calendar days after the client's assessment. (c) An assessment shall be conducted: 1. At a program's certified location; or 2. If a court orders an assessment of an individual that is incarcerated, in a jail or a prison. (d) A DUI assessment shall be conducted in person, and shall include: 1. Administration of the Kentucky DUI Assessment Instrument; 2. A private face-to-face clinical interview conducted by a certified DUI assessor, using the assessor's own clinical interview with the findings of the interview recorded on the check list provided in the Kentucky DUI Assessment Instrument; 3. Consideration of referral options and the client's resources that are documented in the Kentucky DUI Assessment Instrument; 4. A determination of the severity of the client's problem; 5. Referral to a program of the client's choice that offers a service at the level of care appropriate to the severity of the client's problem; and 6. The cosigning by the client and assessor of the following forms developed by the program: a. Fee agreement; b. Client rights statement; c. Confidentiality statement; d. Freedom of choice statement and a referral agreement; e. Confirmation that a client received an assessment statement; f. Authorization for release of information; g. Certificate of enrollment; and h. Kentucky DUI Assessment Instrument printout. (e) Â 1. Except as provided in subparagraph 2 of this paragraph, a DUI assessment shall be conducted by an assessor holding valid certification from the division. 2

tion and completion requirements for education sessions. (a) A program shall maintain a sign-in sheet for an education session that includes the: 1. Name of the curriculum; 2. Title and number of the session; 3. Date, time, location, and name of the instructor; and 4. Client name and signature. (b) A program shall require a client to: 1. Attend and participate in each session of a curriculum; 2. a. If the client is a first offender, attend each session of the curriculum in any order; or b. If the client is a multiple offender, except as provided by paragraph (c) of this subsection, attend sessions in sequence beginning with chapter 1; 3. Comply with a program's rules of conduct; and 4. Pay required fees. (c) If a client who is a multiple offender cannot attend a session, due to an emergency, a program shall allow the client to attend a session out of sequence the next time the chapter is presented by a program. Documentation of the emergency shall be maintained in the client's file. (d) If a client is receiving education at a program other than the program from which the assessment was received, the program administrator shall notify the individual responsible for the client's case coordination if the client: 1. Demonstrates a need for service at a different level of care; 2. Satisfactorily completes education; or 3. Is noncompliant. (e) If a client is receiving education at the program from which the assessment was received, the program administrator shall: 1. Determine if the client has satisfactorily completed the DUI education service; and 2. Report compliance or noncompliance in accordance with Section 6(3)(a)2 of this administrative regulation. (f) A program administrator shall ensure that a client's record contains documentation showing compliance with the requirements established in this subsection. Section 9. Treatment Requirements. (1) General requirements. (a) A DUI program desiring to provide treatment services shall: 1

lication", 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.