DHS 75.18(6)(b)(b) For service levels of care in ss. DHS 75.49 to 75.59 that require a mental health professional, the role of substance abuse counselor and mental health professional may be occupied by the same individual with appropriate credentialing, and providing they are operating within the scope of their practice. DHS 75.18 HistoryHistory: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22; correction in (2) (c), (3), (6) (a) made under s. 35.17, Stats., Register October 2021 No. 790. DHS 75.19(1)(1) Caregiver background check. At the time of hire, employment, or contract, and every 4 years after, the service shall conduct and document a caregiver background check following the procedures in s. 50.065, Stats., and ch. DHS 12. A service shall not employ or contract the service if the person has been convicted of the crimes or offenses, or has a governmental finding of misconduct, found in s. 50.065, Stats., and ch. DHS 12, unless the person has been approved under the department’s rehabilitation process, as defined in ch. DHS 12. DHS 75.19(2)(2) Personnel records. Employee records shall be available upon request at the service for review by the department. A separate record for each employee shall be maintained, kept current, and at a minimum, include: DHS 75.19(2)(a)(a) A written job description including duties, responsibilities and qualifications required for the employee. DHS 75.19(2)(e)(e) A copy of a signed statement regarding confidentiality of client information. DHS 75.19(3)(3) Clinical supervision. A service shall have written policies and procedures for the provision of clinical supervision to unlicensed staff, qualified treatment trainees, and recovery support staff. Clinical supervision for substance abuse counselors, mental health professionals in-training, and qualified treatment trainees shall be in accordance with requirements in ch. SPS 162, chs. MPSW 4, 12, and 16, and ch. Psy 2. A record of clinical supervision shall be made available to the department upon request. DHS 75.19(4)(a)(a) A service shall have written policies and procedures for determining staff training needs, formulating individualized training plans, and documenting the progress and completion of staff development goals. DHS 75.19(4)(b)(b) The requirements in this subsection may be met through documentation on an employee’s annual performance evaluation that addresses professional development goals. DHS 75.19(4)(c)(c) Minimum training requirements for clinical staff include all of the following: DHS 75.19(4)(d)(d) Documentation of training shall be made available to the department upon request. DHS 75.19(4)(e)(e) Documented training for areas identified in par. (c) shall occur within 2 months of hire for new clinical staff, unless the service is able to provide documentation of the staff member’s previous training, professional education, or supervised experience addressing these areas. DHS 75.19(5)(5) Universal precautions. A service shall have written policies and procedures for infection control and prevention that adheres to federal occupational safety and health administration bloodborne pathogens standards in 29 CFR 1910.1030. DHS 75.19 HistoryHistory: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22; correction in (3), (4) (e) made under s. 35.17, Stats., Register October 2021 No. 790. DHS 75.20(1)(a)(a) With respect to general treatment service case records, the service shall do all of the following: DHS 75.20(1)(a)2.2. The service director or another designated staff member shall be responsible for the maintenance and security of patient case records. DHS 75.20(1)(a)4.4. Maintain each case record in a format that provides for consistency and facilitates information retrieval. DHS 75.20(1)(a)5.5. Whenever an edit to a signed entry in a patient’s case record is made, the service shall document the date of the edit, the name of the individual making the edit, and a brief statement about the reason for the edit, if the prior version of the edited information is not retained by the service. DHS 75.20(1)(b)(b) A patient’s case record shall include all of the following: DHS 75.20(1)(b)1.1. The patient’s name, physical residence, address, and phone contact information. DHS 75.20(1)(b)2.2. The patient’s date of birth, self-identified gender, and self-identified race or ethnic origin. DHS 75.20(1)(b)3.3. Consent for treatment forms signed by the patient or the patient’s legal guardian, if applicable, that are maintained in accordance with s. DHS 94.03. DHS 75.20(1)(b)4.4. An acknowledgment by the patient or the patient’s legal guardian, if applicable, that the service policies and procedures were explained to the patient or the patient’s legal guardian. DHS 75.20(1)(b)5.5. A copy of the signed and dated patient notification that was reviewed with and provided to the patient or the patient’s legal guardian, if applicable, which identifies patient rights, and explains provisions for confidentiality and the patient’s recourse in the event that the patient’s rights have been abused. DHS 75.20(1)(b)6.6. Results of all screening, examinations, tests, and other assessment information. DHS 75.20(1)(b)7.7. A completed copy of the standardized placement criteria and level of care assessment at admission, and subsequent reviews of level of care placement criteria. DHS 75.20(1)(b)8.8. Treatment plans, including all reviews and updates to the treatment plan. DHS 75.20(1)(b)9.9. Records for any medications prescribed or administered by the service, including any medication consent records required by s. DHS 94.09. DHS 75.20(1)(b)10.10. Copies of any incident reports or documentation of medication errors applicable to the patient. DHS 75.20(1)(b)13.13. Records of any referrals by the service, including documentation that referral follow-up activities occurred. DHS 75.20(1)(b)14.14. Correspondence relevant to the patient’s care and treatment, including dated summaries of relevant telephone or electronic contacts and letters. DHS 75.20(1)(b)15.15. Consents authorizing disclosure of specific information about the patient. DHS 75.20(1)(b)19.19. Documentation of each transfer from one level of care to another. Documentation shall identify the applicable criteria from ASAM or other department-approved placement criteria, and shall include the dates the transfer was recommended and initiated. DHS 75.20(1)(c)(c) For patients that discharge from a service and are subsequently re-admitted, a new case record shall be established for each episode of care. DHS 75.20(1)(e)(e) If the service discontinues operations or is taken over by another service, records containing patient identifying information shall be turned over to the replacement service, as permitted by applicable state and federal confidentiality requirements. DHS 75.20(2)(2) Case records for persons receiving only screening and referral. A treatment service shall have a written policy and procedure regarding case records for individuals that receive only screening, consultation, or referral services. The policy and procedure shall include: DHS 75.20(2)(a)(a) Information to be obtained for phone and in-person screening, consultation, or referral. DHS 75.20(2)(b)(b) Assurance that screening includes an individual’s pregnancy status. DHS 75.20(2)(c)(c) Assurance that screening, consultation, and referral procedures address individual risks and needs. DHS 75.20 HistoryHistory: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22; correction in (1) (a) 3., (b) 3., 9. made under s. 35.17, Stats., Register October 2021 No. 790. DHS 75.21DHS 75.21 Confidentiality. A service shall have written policies, procedures and staff training to ensure compliance with applicable confidentiality provisions of 42 CFR part 2, 45 CFR parts 164 and 170, ss. 51.30, 146.816 and 146.82, Stats., and ch. DHS 92. Each staff member shall sign a statement acknowledging responsibility to maintain confidentiality of personal information about persons served. DHS 75.21 HistoryHistory: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22; correction made under s. 35.17, Stats., Register October 2021 No. 790. DHS 75.22(1)(1) Application. A service under this chapter that delivers treatment services to minors shall identify within their application to the department each level of care that will provide treatment services for minors. DHS 75.22(2)(2) Statutory requirements. A service that delivers treatment services to minors shall adhere to all applicable requirements outlined in ss. 51.13, 51.138, 51.14, 51.47 and 51.48, Stats. DHS 75.22(3)(3) Family involvement. Services for minors shall include the involvement of a parent, guardian, or other family members whenever possible. DHS 75.22(4)(4) Staff qualifications. Staff delivering services to minors shall have training, experience, or education specific to the treatment of substance use and mental health for minors and shall practice within their scope. A record of relevant training, experience, or education shall be documented in the personnel record. DHS 75.22(5)(5) Staff training. A service that delivers treatment services to minors shall provide training to clinical staff in the areas of adolescent development, family systems, child abuse and neglect, and involuntary treatment laws for minors, unless the service is able to provide documentation of the staff member’s previous training, professional education, or supervised experience addressing these areas. A record of required training shall be documented in the personnel record. DHS 75.22(6)(6) Separation of services. Services for minors shall be separate from adult services, with the exception of specialized groups addressing the needs of transitional-age youth. Services for transitional-age youth shall be separate from other services for minors or adults. DHS 75.22(7)(7) Policies and procedures. A service that delivers treatment services to minors shall have written policies and procedures to address specific safety needs of minors, including consideration of vulnerability related to adult populations served within the facility, adequacy of supervision for service delivery, and services addressing specific needs of youth. DHS 75.22 HistoryHistory: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22. DHS 75.23(1)(a)(a) Services delivered under this chapter shall adhere to standardized levels of care as defined in this chapter. A service shall apply the ASAM criteria or other department-approved placement criteria to determine the appropriate level of care, and services shall be delivered consistent with that level of care. DHS 75.23(1)(b)(b) A service shall not deliver or purport to deliver a service for which they do not possess certification by the department under this chapter. DHS 75.23(2)(2) Use of asam or other department-approved placement criteria. DHS 75.23(2)(a)(a) A service shall utilize ASAM placement criteria or other department-approved placement criteria to determine the level of care that is matched to a patient’s needs and risk level. DHS 75.23(2)(b)(b) In order to be approved by the department, other placement criteria must include all of the following: DHS 75.23(2)(b)1.1. A multi-dimensional assessment tool that captures behavioral health, physical health, readiness for change, social risk levels and directly correlates risk level to service levels of care based on frequency and intensity of the service. DHS 75.23(2)(b)2.2. Proof that the criteria is accepted and utilized within professional organizations in the field of healthcare and allows for consistency of interpretation across settings and providers. DHS 75.23 NoteNote: Copies of the ASAM Criteria: Treatment Criteria for Addictive, Substance-Related, and Co-Occurring Conditions (published October 24, 2013) are on file in the department’s division of care and treatment services and the legislative reference bureau, and may be obtained from ASAM at 11400 Rockville Pike, Suite 200, Rockville, MD 20852, or https://www.asam.org/asam-criteria/text. DHS 75.23(3)(3) Level of care transfer. A service that offers more than one level of care under this chapter shall identify in the clinical record which level of care the patient is receiving based on the clinical assessment. When a level of care transfer is completed as indicated by assessment or treatment plan review, the service shall document the level of care transfer in the record and shall thereafter meet the service requirements for the indicated level of care. DHS 75.23(4)(a)(a) If a patient is receiving services in more than one level of care at a given time, the service shall adhere to all applicable standards for each level of care, and to the level of care standard with the highest requirement when more than one apply. DHS 75.23(4)(b)(b) If a patient is receiving services in more than one level of care at a given time, the patient shall be listed on a roster or patient list for each level of care in which they receive services. DHS 75.23 HistoryHistory: CR 20-047: cr. Register October 2021 No. 790, eff. 10-1-22.
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