AGENCY UMBRELLA-UNIT NUMBER: 14-118
AGENCY NAME: Department of Mental Health, Mental Retardation and Substance Abuse Services, Office of Substance Abuse

CONTACT PERSON: Nancy Christensen, Director, Special Projects, 40 State House Station, Augusta ME 04333

EMERGENCY RULES ADOPTED SINCE THE LAST REGULATORY AGENDA:

CHAPTER 4: Regulations for Licensing/Certifying of Alcohol and Drug Treatment Programs in the State of Maine, section 4.04K
STATUTORY AUTHORITY: 5 MRSA §§ 20005, 20024
PURPOSE: To ensure program staffing and supervision by personnel professionally qualified and experienced in alcohol and drug abuse treatment and to eliminate the requirement that personnel be qualified as one particular type of alcohol and drug abuse professional
AFFECTED PARTIES: licensed providers, consumers of services

EXPECTED 2000-2001 RULE-MAKING ACTIVITY:
(Note: the following includes information from an amendment filed on August 30, 2001.)

CHAPTER NUMBER AND TITLE: Chapter 2, Driver Education and Evaluation Programs Procedure Manual
STATUTORY AUTHORITY: 5 MRSA §20005, 5 MRSA §20073-B, 5 MRSA §20075
ADOPTED EMERGENCY RULES: No emergency rules have been adopted under Chapter 2 since the filing date of the last regulatory agenda.

LIST OF PARTS OF CHAPTER 2 TO BE REVISED:
NOTE: Section B of the 1999 Regulatory Agenda proposed for revision and adoption has been delayed and was not completed according to the "Schedule of Adoption." Therefore, the 2000 Regulatory Agenda will include those proposed revisions.

The proposed changes are listed by current section and number. The proposed revisions will be accomplished through the replace and repeal option with the combining of some sections and elimination of others.

Section A -- Definitions

Section B -- Procedure for Approval of a Driver Education and Evaluation Programs Evaluator and/or Treatment Service Provider

Section C -- The Driver Education and Evaluation Program For First Offender Adults With An OUI Without Aggravating Factors

Section D -- The Driver Education Evaluation Program For Teenagers

Section E -- The Preliminary Assessment for Teens

Section F -- The Driver Education and Evaluation Program For Adult First Offenders With An OUI With Aggravating Factors and Multiple Offenders

Section G -- The Evaluation for Multiple Offenders and Adult First Offenders with an OUI with Aggravating Factors Participating in the Weekend Intervention Program.

Section H -- The Evaluation Provided by a Community-based Service Provider

Section K -- Alcohol and Other Drug Evaluation and/or Treatment

Section L -- Administration of the Completion of Treatment Program

Section M -- Out-of-State Completions

Section N -- Military Completions

Section O -- Completion of Treatment Guidelines

PURPOSE

Section A

The following definitions will be revised to comply with current state statute:

* Community-Based Service Provider
* Private Provider

The following definition will be revised to comply with current federal statute:

* Federal Confidentiality Regulations

The following definitions will be revised or repealed and replaced to comply with proposed program changes:

* Driver Education and Evaluation Programs.
* Evaluation - Adult First Offenders with an aggravated OUI and Multiple Offenders.
* Preliminary Assessment
* Satisfactory Completion of the Driver Education and Evaluation Program for adult first offenders with an OUI with aggravating factors and for teen and adult multiple offenders.
* Satisfactory Completion of the Driver Education and Evaluation Program for adult first offenders without aggravating factors.

The following definitions will be revised or repealed and replaced to comply with terms used to describe new program staff.

* Junior Counselor
* Senior Counselor
* Supervisory Senior

Any rules that contain the above terms will be changed.

The following terms will be defined to comply with current program policy and procedures:

* Clinical Hour
* Clinical Substance Abuse Evaluation
* Instructor
* Second Opinion Evaluation
* Status Update Evaluation

Other definitions may be revised, proposed, or repealed to comply with proposed program changes.

Section B

1. -- This rule was proposed for revision in 1999-Section B. The revision would permit adult evaluation and treatment by the same counselor. However, further study revealed that the rule was intended for clients of the "Moving Ahead" program only.

6. -- This rule was revised to require that all requested documentation be included with the application or the application will be returned until complete.

10.f. -- Will be revised to permit fire inspections of the private provider's site to be done in compliance with the policy and procedures of the authority having jurisdiction over the municipality for life safety.

10.g. -- Will be revised to require documentation of compliance with all applicable city or town ordinances for the initial certification, and for certification following changes in or adoption of ordinances that directly affect the site and/or the private provider.

10.k. -- The requirement for policy regarding infectious diseases will be limited to the provision of information regarding the availability of screening and testing services for clients identified as high risk.

12. -- This rule has been revised to clarify that all counselors providing direct clinical substance abuse services to DEEP referrals are required to participate in six (6) hours of DEEP training.

13. -- The requirement that private providers applying for certification renewal shall submit documentation of completion of DEEP approved core subject training every two years may be repealed.

Sections C - D - F - G - H - L - M - N

These sections will be revised or repealed and replaced to establish changes in DEEP requirements, program(s), and/or fees. Program requirements and fees may be changed for
1) all adult clients;
2) all multiple offenders;
3) clients under 21 years of age at the time of the offense who have reached 23 years of age at the time of registration; and
4) completion of treatment clients. An administrative fee may be established for military and out-of-state clients.

Section E

1. -- Referral for a "status update evaluation" as opposed to an "evaluation" will be proposed for those clients who are currently required to receive an evaluation when they have completed treatment six (6) months prior to submitting documentation of completion of treatment.

Section H

The first paragraph will be expanded to include the purpose of a "second opinion" and a "status update" evaluation.

1. -- Will be revised to include a requirement that the evaluator request documentation of all treatment completed by the client when conducting a status update evaluation.

1.b. -- Will be expanded to limit evaluations to a maximum of four (4) clinical hour sessions.

1.d. -- Will require documentation of the evaluation process and establish the elements of documentation

Section I

1. & 2. - This section will be clarified by adding the word "opinion" to second evaluation and clarifying that the client may contest a completion of treatment decision as a result of attending a DEEP program.

1. & 2. - The words "and, when appropriate, the court of referral" will be repealed in this and all other appropriate sections.

Section K

The following regulation will be proposed:

Clients who have completed treatment six (6) months prior to submitting documentation of treatment completion will be required to receive a "status update evaluation" to determine compliance with the definition of "Completion of Treatment."

K.6.i. -- This rule was revised to clarify that the clinical assessment summary shall contain the stage of chemical dependency in compliance with the Completion of Treatment Guidelines and to comply with current regulations and procedures.

K.12. -- Will be revised to be in compliance with the current federal confidentiality regulation cite and regulations.

K.13 -- Will be expanded to include the authority of the person of authority to store case records in compliance with federal and DEEP regulations prior to disposition in case of the private providers permanent incapacity or death.

K.14.b.(7) -- The requirement that the case record include the evaluation summary provided by the Weekend Intervention Program will be repealed to be in compliance with program changes.

K.14.(8) -- This rule will be revised to require a minimum 4 sessions of post-treatment aftercare over a thirty (30) day period.

K.18. -- Will be revised to limit the number of sessions requested in each justification for extension of treatment.

Changes will be made to clarify the section by reorganizing all regulations regarding client treatment. Regulations will be renumbered as a result of proposed regulations and section reorganization.

Section L

l.c. -- This rule was changed to eliminate clients who discontinue treatment being required to participate in the appropriate program. The requirement that clients who are determined not to need treatment shall participate in the appropriate program was changed to "may."

Section M-N

Clients who have completed treatment six (6) months prior to submitting documentation of treatment completion will be required to receive a "status update evaluation" to determine compliance with the definition of "Completion of Treatment."

An administrative fee may be established for clients completing DEEP requirements through participation in military and out-of-state programs.

Section O

The narrative of this section was edited to eliminate unnecessary information regarding the process used to develop the Completion of Treatment Guidelines.

The duration of time for six sessions of treatment (Problem User and Late Stage) has been extended to forty-five (45) days. The recommended duration of aftercare (Middle Stage) has been revised from six (6) to four (4) contact hours to be consistent with other rules.

General

Throughout the chapter the word "which" will be changed to "that" as recommended by the computer's grammar check.

Other regulations may be revised or adopted to be consistent with Chapter 4, Regulations for Licensing/Certifying of Substance Abuse Treatment Programs in the State of Maine, or other licensing regulations affecting this chapter.

Additional regulation revisions may be required by legislation, federal mandate, recommended as a result of the hearing process, or program study/evaluation.

Others words and terms may be changed, or rules placed elsewhere in the document for readability or clarification. Spelling and grammar will be corrected where necessary.

REVISED SCHEDULE OF ADOPTION

Note: Rules were filed for adoption as emergency in August. The complete APA process for formal adoption will take place according to the following schedule:

Advertised - August
Hearing August - September
Filed August - September
Effective September - October

BENEFIT OR REGULATED PARTIES

1) Driver Education and Evaluation Programs clients
2) Approved Community-based Service Providers

ADOPTED EMERGENCY RULES
Rules identified for revision within the August 16, 2000 Regulatory Agenda and this Amendment were filed for adoption as emergency rules through the repeal and replace option.

CHAPTER 4: Regulations for Licensing/Certifying of Alcohol and Drug Treatment Programs in the State of Maine, section 4.04K
STATUTORY AUTHORITY: 5 MRSA §§ 20005, 20024
PURPOSE: To ensure program staffing and supervision by personnel professionally qualified and experienced in alcohol and drug abuse treatment and to eliminate the requirement that personnel be qualified as one particular type of alcohol and drug abuse professional.
ANTICIPATED SCHEDULE: summer 2000
AFFECTED PARTIES: licensed providers, consumers of services

CHAPTER 4: Regulations for Licensing/Certifying of Alcohol and Drug Treatment Programs in the State of Maine
STATUTORY AUTHORITY:5 MRSA §§ 20005, 20024
PURPOSE: These rules protect the health, welfare, and well-being of the clients who enter treatment in substance abuse programs as well as provide for a minimum standard of care.
ANTICIPATED SCHEDULE: winter or spring 2001
AFFECTED PARTIES: substance abuse treatment providers

Amendment dated January 31, 2001
CHAPTER 4: Regulations for Licensing/Certifying of Alcohol and Drug Treatment Programs in the State of Maine, 4.06 AMENDED, 4.06a NEW
STATUTORY AUTHORITY:5 MRSA §§ 20005, 20024
PURPOSE: These rules protect the health, welfare, and well-being of the clients who enter treatment in substance abuse programs as well as provide for a minimum standard of care. The amendments and proposed sections referenced permit detoxification to be provided in a less restrictive environment.

CHAPTER 6: Regulations for Employee Assistance Programs for Employers Operating in the State of Maine
STATUTORY AUTHORITY: PL 1989 C. 536
PURPOSE: These rules govern the provision of employee assistance programs, required prior to the request or administration of drug tests by Maine employers.
ANTICIPATED SCHEDULE: Winter or spring 2001
AFFECTED PARTIES: Employers with 20 or more full time employees who have or wish to have a substance abuse testing program.

AGENCY UMBRELLA-UNIT NUMBER: 14-191
AGENCY NAME: Department of Mental Health, Mental Retardation and Substance Abuse Services - General
CONTACT PERSON: Nancy Christensen, Director, Special Projects, 40 State House Station, Augusta ME 04333

EMERGENCY RULES ADOPTED SINCE THE LAST REGULATORY AGENDA: None

EXPECTED 2000-2001 RULE-MAKING ACTIVITY:

Amended filed March, 2001
CHAPTER (New): Services Agreement
STATUTORY AUTHORITY: 34 B MRSA §1208
PURPOSE: This chapter establishes the process by which service agreements are developed, executed, amended and terminated; required elements of service agreements; and procedures for appeal from a termination of a service agreement.
ANTICIPATED SCHEDULE: Spring 2001
AFFECTED PARTIES: Providers of services, recipients of services

AGENCY UMBRELLA-UNIT NUMBER: 14-193
AGENCY NAME: Department of Mental Health, Mental Retardation and Substance Abuse Services, Mental Health Services
CONTACT PERSON: Nancy Christensen, Director, Special Projects, 40 State House Station, Augusta ME 04333

EMERGENCY RULES ADOPTED SINCE THE LAST REGULATORY AGENDA: none

EXPECTED 2000-2001 RULE-MAKING ACTIVITY:

Amendment dated January 31, 2001
CHAPTER 2: Mental Health Request Package (REPEAL)
STATUTORY AUTHORITY: 34-B MRSA § 3064
PURPOSE: Standards for requests for funding for FY83.

CHAPTER 6: Mental Health Licensing Regulations
STATUTORY AUTHORITY: 34B MRSA §§3603, 3606
PURPOSE: These rules govern the provision of mental health services in the State of Maine.
ANTICIPATED SCHEDULE: winter or spring 2001
AFFECTED PARTIES: all mental health agencies, facilities or programs as defined by 34B MRSA §§3601 and 3606 or funded by the Department of Mental Health, Mental Retardation and Substance Abuse Services.

CHAPTER 18: Rules for the Licensure of Residential Child Care facilities
STATUTORY AUTHORITY: 22 MRSA §8101 et seq.
PURPOSE: These rules govern the provision of residential services to children in the State of Maine.
ANTICIPATED SCHEDULE: winter or spring 2001
AFFECTED PARTIES: providers of licensed residential child care services.

NEW RULE: Review of Requests for Out-of-State Treatment for Adults
STATUTORY AUTHORITY: 34B MRSA §3003
PURPOSE: To ensure fair, timely, accountble and cost effective access to out-of-state mental health treatment for adults.
ANTICIPATED SCHEDULE: summer or fall 2000
AFFECTED PARTIES: persons seeking out-of-state treatment funded by Department of Mental Health, Mental Retardation and Substance Abuse Services

AGENCY UMBRELLA-UNIT NUMBER: 14-197
AGENCY NAME: Department of Mental Health, Mental Retardation and Substance Abuse Services, Mental Retardation Services
CONTACT PERSON: Nancy Christensen, Director, Special Projects, 40 State House Station, Augusta ME 04333

EMERGENCY RULES ADOPTED SINCE THE LAST REGULATORY AGENDA: none

EXPECTED 2000-2001 RULE-MAKING ACTIVITY:

CHAPTER 5: Regulations Governing the Use of Restraints in Community Settings, Section 1
STATUTORY AUTHORITY: 34 B §5605 et seq., CAB v Duby
PURPOSE: These regulations apply to emergency intervention procedures in community settings for persons with mental retardation.
ANTICIPATED SCHEDULE: winter or spring 2001
AFFECTED PARTIES: providers of services to persons with mental retardation, persons with mental retardation.

CHAPTER 5: Regulations Governing the Use of Restraints in Community Settings, Section 2
STATUTORY AUTHORITY: 34 B §5605 et seq., CAB v Duby
PURPOSE: These regulations apply to emergency intervention procedures in community settings for persons with mental retardation.
ANTICIPATED SCHEDULE: spring 2001
AFFECTED PARTIES: providers of services to persons with mental retardation, persons with mental retardation.

The following amendment was received on August 30, 2001:
CHAPTER (New), Rule Describing Grievance and Appeals Procedures for Persons with Mental Retardation
STATUTORY AUTHORITY: 34 B MRSA §1203(4)
PURPOSE: This rule has been developed in partial fulfillment of requests by the Special Master of the Community Consent Decree. Its purpose is to clarify and formalize the process by which persons with mental retardation and autism can seek to enforce their rights.
ANTICIPATED SCHEDULE: fall 2001
AFFECTED PARTIES: recipients and providers of services