Chapter DHS 75

DHS 75.03(98) (98) “Treatment services” means the interventions and resources applied by a service to address the needs and goals identified in a patient’s treatment plan.

DHS 75.03(99) (99) “Unlicensed staff” means any mental health professional in training, a substance abuse counselor in training, a qualified treatment trainee, and any clinical staff of a service that are not fully and independently licensed.

DHS 75.03(100) (100) “Variance” means the granting of an alternate means of meeting a requirement in this chapter.

DHS 75.03(101) (101) “Waiver” means the granting of an exemption from a requirement of this chapter.

DHS 75.03(102) (102) “Withdrawal” means the development of a psychological and physical syndrome caused by the abrupt cessation of or reduction in heavy and prolonged substance use. The symptoms include clinically significant distress or impairment in social, occupational, or other important areas of functioning and are not due to a general medical condition or better accounted for by another mental disorder.

DHS 75.03(103) (103) “Withdrawal management” means a service, or component of a service, that provides care and interventions to address an individual’s physical or psychosocial needs related to acute intoxication or withdrawal. Withdrawal management includes intoxication monitoring, management of acute symptoms, interruption of habitual and compulsive use, and engagement in ongoing treatment services.

DHS 75.03 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22; correction in (10), (19), (50) (c), (56), (64), (75) (b), (85) (d) made under s. 35.17, Stats., and correction in numbering in (43), (51) (dm) made under s. 13.92 (4) (b) 1., Stats., Register October 2021 No. 790; CR 23-053: cr. (38m), renum. (89) to (89) (a) and am., cr. (89) (b), (c) Register September 2023 No. 813, eff. 10-1-23; correction in (89) (a) made under s. 35.17, Stats., Register September 2023 No. 813.

subch. II of ch. DHS 75 Subchapter II — Certification

DHS 75.04 DHS 75.04 Application requirements. An application for initial certification shall be on a form provided by the department and shall be accompanied by all of the following:

DHS 75.04(1) (1) Service policies and procedures required by this chapter.

DHS 75.04(2) (2) All fees required under ss. 51.04 and 51.45 (8) (a), Stats.

DHS 75.04(3) (3) Additional information needed for certification that is requested by the department.

DHS 75.04 Note Note: Certification information and applications can be found at: https://www.dhs.wisconsin.gov/regulations/aoda/certification.htm.

DHS 75.04 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22.

DHS 75.05 DHS 75.05 Department action.

DHS 75.05(1) (1) Initial certification.

DHS 75.05(1)(a) (a) Within 60 days after receipt of a complete application, the department shall review the application and either approve or deny the certification.

DHS 75.05(1)(b) (b) A certification issued by the department shall be only for persons named in the application. A certification may not be transferred or assigned without following the change of ownership provisions in s. DHS 75.07.

DHS 75.05(1)(c) (c) A certification is valid until suspended or revoked by the department, except for opioid treatment programs.

DHS 75.05(1)(d) (d) Opioid treatment programs shall be certified in accordance with s. 51.4224 (2), Stats.

DHS 75.05(2) (2) Certification denial. The department shall deny a certification to any applicant who does not substantially comply with any provision of this chapter, or who is not fit and qualified as specified in s. DHS 75.30, or who has failed to pay any fee or any outstanding amounts due to the department. The department shall provide the reasons for denial and the process for appeal of the denial in a written notice to the applicant.

DHS 75.05(3) (3) Certification suspension or revocation. The department may suspend or revoke certification for any of the reasons and under the conditions specified under ss. 51.032 and 51.45 (8) (a), Stats., or for failure to comply with this chapter. The department shall provide the reasons for suspension or revocation and the process for appeal of the suspension or revocation in a written notice to the applicant.

DHS 75.05 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22; correction in (2) made under s. 13.92 (4) (b) 7., Stats., Register October 2021 No. 790.

DHS 75.06 DHS 75.06 Biennial forms and fees.

DHS 75.06(1) (1) Every 24 months, on a date determined by the department, the service shall submit the biennial forms provided by the department, and shall submit payment of the certification continuation fees under ss. 51.04 and 51.45 (8) (a), Stats., except for opioid treatment programs under s. DHS 75.59.

DHS 75.06(2) (2) For opioid treatment programs, the service shall submit required reports in accordance with s. 51.4223, Stats.

DHS 75.06 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22.

DHS 75.07 DHS 75.07 Change of ownership.

DHS 75.07(1) (1) Change of ownership. A change of ownership of a service occurs when the service does any of the following:

DHS 75.07(1)(a) (a) Removes, adds, or substitutes an individual as a partner in the association, dissolving the existing partnership and creating a new partnership.

DHS 75.07(1)(b) (b) Removes, adds, or substitutes any member in a limited liability company.

DHS 75.07(1)(c) (c) Makes a change in a corporate structure under which the same corporation no longer continues to be responsible for making operational decisions or for the consequences of those decisions.

DHS 75.07(2) (2) Duties of the transferor.

DHS 75.07(2)(a) (a) The transferor shall notify the department within 30 days before the change of ownership of a service and shall include the name and contact information of the transferee.

DHS 75.07(2)(b) (b) The transferor remains responsible for the operation of the service until the department issues certification to the transferee, unless the service voluntarily closes and relocates all clients.

DHS 75.07(2)(c) (c) The transferor shall disclose to the transferee any existing department waiver, variance, or outstanding deficiencies. The transferee shall apply for continuation of any existing waivers or variances, if necessary.

DHS 75.07(2)(d) (d) The transferor shall follow the requirements for transferring financial responsibility under ch. 51, Stats.

DHS 75.07(2)(e) (e) The transferor shall notify a clients or client’s legal representative no less than 7 days in advance of the transfer of ownership.

DHS 75.07(3) (3) Duties of the transferee. When there is a change of ownership, the transferee shall notify the department of the transfer, and shall submit a complete application as required under s. DHS 75.04 at least 30 days prior to the final transfer date.

DHS 75.07 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22.

DHS 75.08 DHS 75.08 Agency closure.

DHS 75.08(1) (1) Any service that intends to close shall provide written notice to each client by mail or electronic mail to the client’s last known address, to each client’s legal representative, if applicable, and the department at least 30 days before closing. The notice shall include the client’s right to obtain treatment records as prescribed in s. DHS 92.05 and ch. DHS 94.

DHS 75.08(2) (2) The service shall provide assistance to clients for continuity of necessary services, including written notice of alternate service providers.

DHS 75.08 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22.

DHS 75.09 DHS 75.09 Ongoing compliance and enforcement actions.

DHS 75.09(1) (1) Inspections.

DHS 75.09(1)(a) (a) The department may make announced and unannounced inspections of a certified service to verify compliance with this chapter, to investigate complaints received regarding the services provided, or as part of an investigation into the cause of death of a client.

DHS 75.09(1)(b) (b) To ensure compliance with this chapter and other applicable statutes and regulations, the department shall have access to all service documents, open and closed client records, and staff member files at any time.

DHS 75.09(2) (2) Enforcement.

DHS 75.09(2)(a) (a) Statement of deficiency. Upon determining that the service is in violation of any requirement of this chapter, the department shall promptly serve a statement of deficiency to the governing authority or entity owner or designated representative of the service.

DHS 75.09(2)(b) (b) Plan of correction.

DHS 75.09(2)(b)1. 1. Within 10 business days of receipt of the statement of deficiency, the service shall submit a plan of correction to the department for approval, detailing how the service will correct the violation or how the service has corrected the violation. The department may require that a plan of correction be submitted for approval within a shorter specified time for violations the department determines may be harmful to the health, safety, welfare, or rights of clients.

DHS 75.09(2)(b)2. 2. The department may require the service to modify the proposed plan of correction before the department approves the plan of correction.

DHS 75.09(2)(b)3. 3. Failure to submit an approved plan of correction shall be grounds for denial, suspension, or revocation of the certification.

DHS 75.09(3) (3) Appeals.

DHS 75.09(3)(a) (a) If the department denies, revokes, suspends, or refuses to renew certification, the service may request an administrative hearing under ch. 227, Stats.

DHS 75.09(3)(b) (b) A request for a hearing shall be received in writing to the department of administration’s division of hearings and appeals within 10 days after the date of the notice of the department’s action under s. DHS 75.05.

DHS 75.09(3)(c) (c) If a timely request for hearing is made, the department’s decision to revoke, suspend, or refuse to renew certification is stayed pending the outcome of the appeal, unless the department finds that the health, safety or welfare of patients requires that the action take effect immediately. A finding of a requirement for immediate action shall be made in writing by the department.

DHS 75.09 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22.

DHS 75.10 DHS 75.10 Investigation, notification, and reporting requirements.

DHS 75.10(1) (1) Death reporting.

DHS 75.10(1)(a) (a) Patient death related to physical restraint, psychotropic medication, or suicide. No later than 24 hours after a service becomes aware of the death of a patient, the service shall report the death to the department if there is reasonable cause to believe the death was related to the use of a physical restraint or psychotropic medication, or was a suicide.

DHS 75.10(1)(b) (b) Patient death related to an accident or injury. When a patient dies as a result of an incident or accident at the service location not related to the use of a physical restraint, psychotropic medication, or suicide, the service shall send a report to the department within 3 working days of the patient’s death.

DHS 75.10 Note Note: Information and forms for statutorily reportable deaths and reporting procedures can be found at: https://www.dhs.wisconsin.gov/regulations/report-death/definitions.htm.

DHS 75.10(2) (2) Investigating and reporting abuse, neglect, or misappropriation of property.

DHS 75.10(2)(a) (a) Caregiver abuse or neglect.

DHS 75.10(2)(a)1. 1. When a service receives a report of an allegation of abuse or neglect of a client, or misappropriation of property at the service location, the service shall take immediate steps to ensure the safety of all clients.

DHS 75.10(2)(a)2. 2. The service shall investigate and document any allegation of abuse or neglect of a client, or misappropriation of property by a caregiver. If the service’s investigation concludes that the alleged abuse or neglect of a client or misappropriation of property meets the definition of abuse or neglect of a client, or of misappropriation of property, the service shall report the incident to the department on a form provided by the department, within 7 calendar days from the date the service knew or should have known about the abuse, neglect, or misappropriation of property. The service shall maintain documentation of any investigation.

DHS 75.10(2)(b) (b) Other reporting. Filing a report under sub. (1) or (2) does not relieve the service or other person of any obligation to report an incident to any other authority, including law enforcement, the coroner and DSPS.

DHS 75.10(3) (3) Notification of changes affecting a client.

DHS 75.10(3)(a) (a) The service shall immediately notify the client’s legal representative, as applicable, when there is an incident or injury to the client or a significant change in the client’s physical or mental condition.

DHS 75.10(3)(b) (b) The service shall immediately notify the client’s legal representative, as applicable, when there is an allegation of physical, sexual, or mental abuse, or neglect of a client. The service shall notify the client’s legal representative within 72 hours when there is an allegation of misappropriation of property.

DHS 75.10(3)(c) (c) The service shall give the client or the client’s legal representative, as applicable, a 30-day written notice of any change in charges for services that will be in effect for more than 30 days.

DHS 75.10(4) (4) Documentation. All written reports required under this section shall include, at a minimum, the time, date, place, individuals involved, details of the occurrence, and the action taken by the provider to ensure clients’ health, safety and well-being.

DHS 75.10 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22.

DHS 75.11 DHS 75.11 General records and retention.

DHS 75.11(1) (1) The service shall retain all records required under this chapter for 7 years, unless otherwise specified in subs. (2) and (3).

DHS 75.11(2) (2) Client records shall be retained as specified in ch. DHS 92 and in 42 CFR part 2.

DHS 75.11(3) (3) Employee records shall be retained for 3 years following an employee’s separation from employment at the service.

DHS 75.11(4) (4) A service shall have a written policy and procedure for administrative review and maintenance of records related to incident reports.

DHS 75.11 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22; correction in (1) made under ss. 13.92 (4) (b) 4. and 35.17, Stats., and correction in (2) made under s. 35.17, Stats., Register October 2021 No. 790.

DHS 75.12 DHS 75.12 Telehealth services.

DHS 75.12(1) (1) All requirements in this chapter shall also be applicable to telehealth services delivered under this chapter.

DHS 75.12(2) (2) Services delivered through telehealth shall be of sufficient quality to be functionally equivalent.

DHS 75.12 History History: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22; CR 23-053: am. (2) Register September 2023 No. 813, eff. 10-1-23.

DHS 75.13 DHS 75.13 Waivers and variances.

DHS 75.13(1) (1) Exception to a requirement.

DHS 75.13(1)(a) (a) The department may grant a waiver or variance if the department determines that the proposed waiver or variance will not jeopardize the health, safety, welfare, or rights of any client.

DHS 75.13(1)(b) (b) A written request for a waiver or variance shall be sent to the department on a form provided by the department and includes justification that the waiver or variance will not adversely affect the health, safety, or welfare of any client for the requested action.