Arkansas Administrative Code
Agency 007 - Arkansas Department of Health
Division 25 - Bureau of Alcohol and Drug Abuse Prevention
Rule 007.25.97-001 - Policies and Procedures Manual for the Bureau of Alcohol and Drug Abuse Prevention - Provides regulations and operational procedures for programs funded by the Bureau of Alcohol and Drug Abuse Prevention, as well as applicants seeking funding

1. To act as a strong advocate for comprehensive alcohol, tobacco and other drug abuse, education, intervention, prevention and treatment services in Arkansas and to assure that these programs are identified and presented to lawmakers and to key decision makers.

2. To assure the provision of comprehensive treatment and prevention services to citizens of Arkansas who have an alcohol, tobacco and/or other drug abuse problem or potential problem.

3. To assure that comprehensive services are tailored to the specific needs of individuals within each county and region of the State.

4. To assure that all services provided for the alcohol and drug abuser meet minimum standards required for quality care.

5. To distribute available resources in the most cost efficient and cost effective process available.

6. To coordinate with other State agencies and voluntary agencies to assure maximum utilization of available resources and services.

7. To provide comprehensive educational and training resources that are responsive to the changing and diverse needs of alcohol, tobacco and drug abuse clients in Arkansas.

8. To provide a focus for the enhancing of criminal justice linkages with the substance abuse treatment system.

9. To coordinate, facilitate, and implement a youth violence prevention program for the State of Arkansas.

1. Even though there are generally accepted solutions to the problems of alcohol, tobacco, other drug abuse, youth violence and youth crime, local communities' problems and needs must be considered when determining successful preventive approaches.

2. Effective alcohol, tobacco, other drug abuse, youth violence and youth crime prevention and treatment activities must have local citizen input, community support, and community involvement,

3. An effective prevention plan must provide opportunities for persons to become functional and productive citizens, either through treatment, information, education, or alternative activities. All activities are important in effective prevention.

4. Effective prevention, intervention and treatment programs cannot rely on a single source of support but must utilize local resources such as existing sources of supportive services, community programs, neighborhood organizations and social services.

5. In order to assist local communities in the development of alcohol, tobacco, other drug abuse, youth violence and youth crime prevention activities, ADAP must first assist the community by generating community awareness of alcohol, tobacco and other drug abuse problems. This includes an understanding of the nature and extent of the alcohol, tobacco and other drug abuse problem, the deeper issues underlying the problem, and the need for efforts to deal with the problem.

6 Alcohol, tobacco, other drug abuse, youth violence and youth crime may reflect or contribute to underlying individual and/or community problems; the most successful prevention measures are those that deal with helping a person in the development of his inner resources (feelings, attitudes, values clarification, communication skills, etc.) so that he can deal more effectively with his role in life.

7 Alcohol, tobacco, other drug abuse, youth violence and youth crime are problems found in rural areas as well as metropolitan areas. Programs should be available to rural and small communities.

8 Information on alcohol and other drugs, youth violence and youth crime should be presented in a clear, unbiased and factual method. ADAP believes "scare tactics" are an inappropriate mechanism for conveying information to the general public.

9 Prevention is based on the knowledge that alcohol and other drug abuse is a multifaceted,

complex problem, and that alcoholism and other drug addiction is a primary, progressive but treatable disease.

10. Prevention of youth violence and youth crime is a multifaceted, complex problem but can be prevented by teaching youth to deal with the underlying problems and"alternative ways to dealing with conflict and resolving problems.

1. Prevention is the use of planned activities to reduce the risk that individuals will experience youth-related violence and/or crime, alcohol or drug-related problems in their lives. It is a positive, proactive approach that attempts to influence individuals before die earliest onset of such problems.

2. Prevention begins within communities - helping individuals to learn that they can have an impact in solving their local problems and setting local norms. Prevention emphasizes collaboration and cooperation, both to conserve limited resources and to build on existing relationships within the community. Community groups are routinely used to explore new, creative ways to use existing resources.

3. Prevention is part of a broader health promotion effort, based on the knowledge that addiction is a primary, progressive, chronic, and fatal disease. As such, it focuses on helping people develop new, more positive views of themselves. It is aimed at both users and non-users, with a goal to helping community members to achieve healthier lifestyles.

4. Community activities sometimes incorporate problem identification and referral activities, which attempt to assist individuals who have already developed inappropriate means of dealing with anger, or who have begun inappropriate use of alcohol or other drugs. Intervention may include referral to a diagnostic or treatment center.

5. Comprehensive prevention efforts target many agencies and systems, and use many strategies in order to have the broadest possible impact. Therefore, evaluation is crucial in order for communities to identify their successful efforts and to modify or abandon their unproductive efforts.

6. The overall goal for prevention is the development of healthy, responsible, productive citizens who will be unlikely to experience youth-related violence and/or crime, alcohol or drug-related problems in their lives.

7. Building coordinated prevention efforts that offer multiple strategies, provide multiple points of access and coordinate and expand citizen participation in community activity is a most promising approach to preventing alcohol and other drug problems and youth-related violence and/or crime,.

8. ADAP supports a holistic approach to youdi violence, drugr alcohol, and other education including healdi education, self-appreciation and personal development for grades kindergarten through 12.

9. ADAP supports the development of alcohol and other drug abuse education, conflict resolution and crime prevention in schools. It is the philosophy of ADAP that effective education is dependent upon quality teacher training.

1. Any activity or program funded by ADAP must be consistent with the goals established by ADAP; however, funding requirements must be flexible to allow a responsiveness to individual community needs.

2. State level responsibilities to, alcohol, tobacco, other drug abuse and youth violence prevention and treatment activities in Arkansas shall be in management, coordination and technical assistance areas. Delivery of direct treatment services shall be through the administration of the Supervised Treatment and Education Program (S.T.E.P.), providing assessment and drug treatment diversion to first time non-violent offenders.

3. State level responsibilities to all funded community-based treatment and prevention programs in management, coordination and technical assistance areas shall include financial monitoring, evaluation, training, statewide data retrieval and analysis, licensure and technical assistance.

4. ADAP shall develop a Request for Proposal (RFP), Request for Application (RFA) and Progress Report and Program Proposal (PRPP) system to be used in the awarding of funds.

5. ADAP shall assure that all availability of funding announcements, press releases, RFPs, etc. will include a statement indicating the percentage of federal funds involved in the program.

6. All procurement transactions shall be conducted in a manner to provide, to the maximum extent practicable, open and free competition.

7. ADAP shall afford an opportunity to an applicant to appear before the Alcohol and Drug Abuse Coordinating Council or the Common Ground Program Committee, whichever is applicable, in matters of the award of funds, review of an application, or adjustment to an existing contract or grant.

8. ADAP shall not enforce or develop a policy or guideline for the awarding of contracts or grants, or to continue to disburse funds, which it knowingly tinds to be in conflict with any state or federal rule or regulation.

9. ADAP shall not approve for funding any application which does not comply with ADAP policies and procedures.

10. ADAP shall present the Policies and Procedures Manual affecting all contracts and grants to the Alcohol and Drug Abuse Coordinating Council for review and advice prior to its implementation. The Policies and Procedures Manual will be reviewed and updated at least annually.

11. ADAP shall present applications/proposals for service delivery which are awarded by ADAP to the Alcohol and Drug Abuse Coordinating Council for review and advice, with the exception of applications/proposals dealing with the Common Ground Program which are presented to the Common Ground Program Committee. This procedure does not apply to administrative contracts such as equipment purchases, newspaper contracts, training contracts, planning contracts or pilot projects.

12. ADAP shall encourage development of standards for alcohol and drug'abiise professionals in the state.

13. ADAP shall develop a management information system for all programs, whereby ADAP can conduct program planning activities.

14. ADAP shall allocate funds in each area of the state based on federal or state mandates, special projects and a needs based funding formula.

15. ADAP shall allocate regional funding according to the following program categories; Treatment, Prevention and Education.

16. ADAP shall initiate, if funds are available, the development of pilot projects in treatment, prevention and education which shall be evaluated for future development of model programs and activities.

17. ADAP shall assist local communities in securing all available financial assistance for provision of treatment and prevention activities.

18. ADAP may coordinate with any public or private agency or organization which can assist in collecting data on incidence and prevalence of alcohol and other drug abuse, youth violence and youth-related crime.

1. Prevention programs approved for funding must identify a target population; must develop a program in response to the identified risk factors in the target population; must assure adequate measures to involve the target group; must have short and long term objectives; and must have an adequate evaluation methodology to reflect accomplishment of short and long term objectives.

2. ADAP shall encourage all primary prevention programs to become self-sustaining after initial funding.

3. Prevention programs shall emphasize zero tolerance of youth violence and youth-related crime, illicit drug use by all persons and the use of alcohol and tobacco by youth.

1. ADAP shall develop a plan for each area of the State which shall include the present funding, utilization and need.

2. ADAP shall determine a plan for allocations of funding, (e.g., Federal mandates, special projects and a statewide funding formula, etc.).

3. ADAP will purchase outpatient and residential alcohol and other drug abuse treatment services within a reasonable ceiling rate.

4. ADAP supports the concept that non-medical as well as medical treatment models are viable and effective approaches in providing quality care.

5. Successful treatment and rehabilitation must utilize the total range of services which the individual can appropriately and productively use in the recovery process.

6. While client work may be an important part of the recovery process, the program should develop policies which safeguard the client from inappropriate work, ensure the voluntary nature of work assignments, and meet Department of Labor guidelines.

7. ADAP shall not initiate, encourage, or approve the development nor funding of programs seeking to provide treatment by modifying behavior through the use of psychosurgery, aversion therapy, or chemotherapy as a primary treatment method.

8. ADAP shall serve as the State Methadone/LAAM (Levo-Alpha-Acetyl-Methadol) Authority and shall develop standards, provide coordination and oversight of all methadone/LAAM program applications, exemptions, waivers, monitoring and closings in coordination and cooperation with the various federal agencies having regulatory oversight for methadone/LAAM programs.

9. ADAP shall require that each funded treatment program coordinate services with criminal justice systems within their service area.

10. ADAP shall require that funded treatment programs provide priority admission in the following order:

11. ADAP shall require that treatment programs notify ADAP when they reach 90 percent of their capacity to admit individuals to the program.

12. ADAP shall require that ADAP funded treatment programs be designated as receiving facilities for voluntary admissions and involuntary commitments in compliance with Act 1268 of 1995 as amended. Non-funded treatment programs may be designated as receiving facilities at their request.

13 ADAP shall develop licensure standards for all funded and non-funded treatment programs. All alcohol/other drug abuse/addiction treatment programs must comply with ADAP standards. ADAP shall accept the licensure/accreditation/certiiication of hospital-based alcohol and other drug abuse programs by the Arkansas Department of Health, the Joint Commission on Accreditation of Hospital Organizations (JCAHO), or the

Commission on Accreditation of Rehabilitation Facilities (CARF). ADAP shall also accept certification of Community Mental Health Centers by the Arkansas Division of Mental Health Services.

14 ADAP and its funded contract/grant providers shall complete the Certification Regarding Lobbying statement for contracts of $100,000 or more. This certification assures that no federal funds have been paid or will be paid for the purposes of lobbying in connection with the awarding of any Federal contract, grant, loan, cooperative agreement, and the extension, renewal, amendment or modification of any Federal contract, grant, loan or cooperative agreement.

15. ADAP shall not use Substance Abuse Prevention and Treatment (SAPT) Block Grant funds to carry out any program of distributing sterile needles for the hypodermic injection of any illegal drug or distributing bleach for the purpose of cleansing needles for such hypodermic injection.

16. ADAP shall not carry out any testing for the etiologic agent for acquired immune deficiency syndrome unless such testing is accompanied by appropriate pre-test counseling and appropriate post-test counseling.

17. It is the policy of ADAP and the State of Arkansas that the unlawful manufacture, distribution, dispensation, possession or use of a controlled substance in a state agency's workplace is prohibited.

1. ADAP will review all contracts and grants for utilization and overall effectiveness and performance. The review will include but not be limited to the following:

1. ADAP shall develop an annual state plan for the delivery of alcohol and other drug abuse services.

2. ADAP shall do planning on a regional basis or as special needs dictate.

3. ADAP shall involve special interest groups and professions in the planning process.

4. ADAP shall develop formal written coordination agreements with other Bureaus of the Department of Health as appropriate. Agreements may be developed with state governmental units which have some involvement in the areas of alcohol and other drug abuse.

1. ADAP shall place a high priority on programming for pregnant women and women with dependent children.

2. ADAP may plan and develop special emphasis programs for special population groups which include, but are not limited to, the elderly, youth, women and other minorities.

3. Any action strategy designed by ADAP will be to expand and coordinate with existing programs to assure that needs of special groups are met.

1. ADAP shall make funds available for the delivery of services through funding mechanisms known as contracts and/or grants.

2. ADAP shall not approve an application which is not consistent with its funding plan and allocations approved by the Alcohol and Drug Abuse Coordinating Council.

3. Allocated funding for programs which do not demonstrate the ability to utilize at least 90% of the programs' funds may be reallocated to other programs based on need and utilization of funds. Evaluation of utilization shall be done quarterly throughout the fiscal year.

4. ADAP reserves the right to cancel the contract/grant, reduce the funding, terminate the contract/grant or impose another sanction on a recipient for the reasons which include, but are not limited to, the following:

1 Priority for expanded level programming shall be given to the following programs:

2. Unexpected and/or unallocated funding that becomes available during the fiscal year, but which will not be continued in subsequent fiscal years, may be allocated to programs which are overutilizing funds or to activities which will not be ongoing programs.

3 ADAP reserves the right to reduce the funding of any contract/grant due to the poor performance of the contractor/grantee in fulfilling contractual obligations. Indicators of poor performance which may result in a reduced contract/grant include, but are not limited to, the following:

1. Substance Abuse Prevention and Treatment (SAPT) Block Grant:

2. Safe and Drug-Free Schools and Communities Act of 1994 (SDFSCA):

3. Other Federal Funds: ADAP will administer other federal funds according to the laws and guidelines of the federal funding source.

4. ADAP will comply with the mandates of the Cash Management Improvement Act of 1990 as amended.

5. All subgrantees shall adhere to the cost principles set forth in the U. S. Office of Management and Budget (OMB) Circular A-122 (Cost Principles for Non-Profit Organizations) or Circular A-87 (Cost Principles for State and Local Governments), as applicable, in the use of ADAP funds.

1.01 PURPOSE.

This manual provides information on the conduct of programs and activities related to the treatment and prevention of alcohol and other drug abuse in the State of Arkansas, and which have funds provided by the Department of Health, Bureau of Alcohol and Drug Abuse Prevention (ADAP). It provides guidance to prospective applicants about the steps in making application for such funds, and guidance to contractors/grantees, hereinafter referred to as "Providers," on their responsibility for accounting for such funds, reporting on progress, and observing applicable laws and regulations.

1.02 SCOPE

The provisions of this manual are applicable to all ADAP operations, including contract and grant applications administered by ADAP.

1.03 WHERE TO OBTAIN INFORMATION AND ASSISTANCE

Persons needing help in using this manual should contact ADAP. The functional Organizational Chart shown on the following page may help in that endeavor. A new applicant should contact the Director, Office of Program Compliance, the Director, Prevention Services, or that person's designee, for assistance.

1.04 AVAILABILITY OF FUNDS

Although it is the intent of ADAP to address as many of the approaches to treatment and prevention as may be brought to it, applicants and providers should be aware that there is no certainty that funds will be available for every program and every proposed project however worthwhile. Projects selected for funding may be limited geographically and numerically so that the awards will have a measurable impact on the State. Furthermore, it is also possible that funds may not be available for the continuation of every contract/grant, even if approved for the first year.

1.05 MANUAL CONTENT AND ORGANIZATION The following sections of this manual will cover: Contract/grant specifications and the application process Financial provisions General requirements Special Requirements Direct Services, and Definitions

2.00 CONTRACT/GRANT SPECIFICATIONS AND THE APPLICATION PROCESS

2.01 PROJECTS CONSIDERED ELIGIBLE FOR FUNDING BY ADAP: Federal and state laws and regulations designate certain categories which ADAP may address. An appropriate Request for Proposal (RFP), Request for Application (RFA), or Progress Report and-Program Proposal (PRPP) application will be developed for each category. The RFP, RFA, or PRPP will include requirements and instructions for the applicant. The categories are as follows:

2.02 ELIGIBLE APPLICANTS

2.03 PROHIBITIONS ON FUND USE

Applications will not be considered for programs using any procedures which seek to provide treatment by modifying behavior by means of psychosurgery, aversion therapy, or chemotherapy (except as a part of routine clinical care). This does not apply to those programs of behavior modification which involve environmental changes or social interaction where no medical procedures are used.

2.04 APPLICATION SUBMISSION AND PROCEDURES

2.05 APPEAL PROCESS FOR ADVERSE ACTION

An appeal process is available to provide a mechanism by which a provider or grant applicant may appeal adverse action by the Bureau of Alcohol and Drug Abuse Prevention relating to a program/contract/grant. Complaints which solely assert an objection to federal or state laws or regulations are not subject to appeal under this procedure.

2.06 PREREQUISITES FOR FUNDING OF THE APPLICATION

A proposed program cannot be considered for funding without the following prerequisites. Applicants should review the Request for Proposal. Request for Application or

Progress Report for the prerequisites specific to the program for which they are making application. Compliance with the following does not, however, guarantee funding.

2.07 CONTINUATION SUPPORT POLICY

Funding of a project does not imply approval for subsequent years.

2.08 AWARD PERIOD _ .

Grant awards are usually made for a twelve month period, normally coinciding with the state or federal fiscal year. Contracts or grants may be made for shorter periods after the start of the fiscal year.

2.09 GRANT APPROVAL PROCESS

3.00 CONTRACT AND GRANT FINANCIAL PROVISIONS

3.01 AWARD INSTRUMENTS

ADAP uses two types of award instruments: Grant- an award of financial assistance to an eligible recipient. Such awards may be subject to certain terms and covenants and may be conditional upon delivery of specified goods or services. Contract - a binding agreement between ADAP and the provider for the procurement of program or project related goods or services. Procurement contracts are subject to the requirements of the STATE ACCOUNTING PROCEDURES MANUAL. The grant or contract may specify the catchment area for provision of services.

3.02 PAYMENT METHOD

ADAP uses both reimbursement and advance payment. Reimbursement payment is made to all contractors and most grantees according to the specific terms of the agreement subsequent to the actual delivery of goods or services. (See Policies Regarding federal Funding requirement #4). Advance payment refers to instances where payment is made to grantees prior to the actual delivery of goods or services. The decision to make advances is based on the federal cash management requirements, the need of the project or program, the availability of funds, sound business practices, and other considerations as required. The decision to make advance payments will be at the discretion of the ADAP Director after consultation with other Bureau and Department of Health personnel and other State and/or Federal Officials as deemed necessary.

3.03 GENERAL CONSIDERATIONS

All subgrantees shall adhere to the cost principles set forth in the U.S. Office of Management and Budget (OMB) Circular A-122 (Cost Principles for Non-Profit Organizations) or Circular A-87 (Cost Principles for State and Local Governments) or its successors, and applicable cost principles duly promulgated by the Department of Health. All providers shall adhere to generally accepted accounting principles and/or applicable industry accounting principles established by the American Institute of Certified Public Accountants and the Comptroller General of the United States of America.

3.04 REASONABLE AND NECESSARY

All rates of payment or costs must be reasonable and necessary to ensure the provision of quality services. Under no circumstances shall the Department of Health be liable for payment in excess of the maximum contract/grant liability or for payment in excess of ADAP rates where applicable. ADAP does not enter into open-ended agreements with no limitations on the total liability to the State or Federal Government.

At the beginning of each grant period, treatment providers will submit to ADAP an estimated cost for each service. For services billed to the ADAP for treatment, ADAP reimbursement is considered full payment for that client. No additional payment can be received from the client or other party. If the provider receives a late or unexpected payment from an insurance or other third party on a client for services previously billed to ADAP, ADAP must be reimbursed for the previously billed services. This can usually be done as an adjustment to the current month's billing.

3.05 RATE CHARACTERISTICS

Payment to providers is made on a prospective basis. Prospective payment means that the payment for goods or services is final payment regardless of the actual cost to the provider.

3.06 BASIS OF RATE ESTABLISHMENT

Rates of payment for the procurement of goods or services are based on the following:

3.07 ADAP ESTABLISHED RATES

ADAP will periodically establish rates for reimbursable services which have been determined to be reasonable and necessary to ensure the provision of quality treatment services in the general statewide treatment environment (i.e., medical models, residential treatment models, community mental health centers). A thirty day advance written notice will be provided when new rates are established.

3.08 TREATMENT SERVICE CAPACITY

Treatment programs shall provide treatment services, if ADAP funding is available, within fourteen days of receipt of request for admission. Interim services (see Definitions Section, 7.08) will be provided for IDU and pregnant clients until the time of admission.

Treatment programs must notify ADAP when they reach 90% of their capacity to admit individuals to their program.

3.09 PROVISION OF SERVICES TO INDIGENT CLIENTS - -

No client may be refused treatment services due solely to an inability to pay so long as the provider has available ADAP funds. When a provider has exhausted the reimbursable amount of their contract, clients may be refused due to inability to pay.

3.10 FUNDING UTILIZATION

If utilization of total funding by category falls below 90% at the end of each quarter, at the option of the Director of ADAP, funding may be reduced or deobligated from the provider's project or program and included in a pool for reallocation. Awards of reallocated monies shall be at the discretion of the ADAP Director.

The provisions of this section are not intended to establish billing quotas for services, nor to determine the manner in which the provider shall earn income. At the discretion of the Director of ADAP, billing quotas or limits may be implemented for service allocations if necessary to ensure the achievement of program goals and objectives or if mandated by federal regulation or law.

Providers are encouraged to continue to submit bills for services provided to ADAP-eligible clients even after all ADAP funding is exhausted. ADAP may include unpaid bills on file in awarding certain types of funds (see Section 5.0123).

3.11 AUDIT

3.12 USE OF FUNDS - SPECIFIC REQUIREMENTS

3.13 ALLOWABLE COSTS

The following is a general guideline. Federal and State regulations specific to the program being funded may differ. See the RFP/RFA or Progress Report and Program Proposal for exceptions.

3.14 UNALLOWABLE COSTS

The following costs are unallowable:

3.15 CASH DEPOSITORIES

ADAP does not impose contract or grant requirements which:

3.16 PROGRAM INCOME

Program income means gross income earned from activities part or all of the cost of which is borne as a direct cost by a contract or grant. It includes but is not limited to such income in the form of fees for services performed during the award period, proceeds from sale of tangible or real property, usage or rental fees, and patent or copyright royalties. If income meets this definition, it shall be considered program income regardless of the method used to calculate the amount paid to the provider - whether, for example, by a cost reimbursement method or fixed price arrangement.

Program income may be retained by the provider only if allowed by the federal funding source and specifically authorized in writing by ADAP. If retention of program income is approved it must be deducted from the funded amount or, if approved by ADAP, used for costs which are in addition to allowable costs of the program but support the objectives of the funded program.

3.17 REIMBURSEMENT

No payment can be made until a completed W-9 is on file with the Arkansas Department of Health. The W-9 must reflect the legal name of the entity and the full mailing address for receipt of warrants. Any change in the name and address requires the completion and submission of a revised W-9.

3.18 UNEXPENDED FUNDS

If advance payment reimbursement was made, any ADAP funds remaining at the end of a contract/grant period must be returned to ADAP. A written request to retain unexpended funds (including budget) may be addressed to ADAP Director. If approved. these funds may be retained by the contractor/grantee. A request for retention of funds must be addressed in writing (including budget) to the Director, Division of Financial and Data Management

3.19 INDIRECT COSTS

Indirect costs shall be allowable only when special approval is given, in writing, from the ADAP Director. Generally this shall not exceed 10%. Indirect costs are costs incurred by an organization that are not readily identifiable with a particular project or program but are necessary to the operation of the organization and the performance of its program.

A copy of the Federally approved indirect cost rate, or a cost allocation showing the items and expense included and the method used to equitably distribute the cost must be maintained by the provider and submission of a copy to ADAP may be required before indirect costs are allowed for a particular ADAP grant or contract.

4.01 ACCESSIBILITY OF FACILITIES

Facilities, programs, and services supported in part or in whole with funds provided by ADAP will be so located as to be readily accessible, available* and responsive to the needs of the population to be served without discrimination because of sex, race, disability, age, religion, color, national origin, or duration of residence. Services for alcohol and other drug abuse prevention, treatment or youth violence and/or crime prevention will be actively publicized so as to be generally known to the population to be served.

4.02 EQUAL OPPORTUNITY

Equal employment opportunity will be assured by all programs. Discrimination in any aspect of personnel administration based on race, sex, age, color, national origin, religion, disability or political affiliation is prohibited except where age, sex, or physical requirements constitute a bona fide occupational qualification. No qualified applicant will be denied employment in a position wholly or partly supported by funds provided by ADAP solely on the basis of a prior history of alcohol or drug dependence. An Affirmative Action Plan shall be prepared and retained for review.

4.03 LICENSURE

All persons, partnerships, associations or corporations establishing, conducting, managing, or operating an alcohol and drug abuse treatment program must be licensed by the Bureau of Alcohol and Drug Abuse Prevention as provided by Act 173 of 1995.

4.04 TR EATMENT REQUIREMENTS

4.05 ON FILE REQUIREMENTS

4.06 PARTICIPATION IN CONFERENCE

The provider must participate in a minimum of one local or statewide sponsored coordinating conference, training seminar, or training workshop as so directed by ADAP if deficiencies are identified which require specific training.

4.07 SUBCONTRACTED SERVICES

4.08 ADVERTISING AND PUBLICITY

Contract/grant funds or matching funds to be spent for advertising or publicity must be clearly identified in the program contract/grant line item budget and the advertising or publicity materials must have prior written approval of ADAP before implementation. All publicity and advertising materials, releases, etc., must identify the program as an affiliate of the Bureau of Alcohol and Drug Abuse Prevention. In addition, treatment programs shall conduct an active publicity campaign for alcohol and other drug abuse treatment utilizing all available public service announcements in the local news media.

4.09 AUDIO-VISUAL MATERIALS

All audio-visual materials used by the project must have prior content approval from the ADAP Prevention Services Director before purchase obligation is incurred. Review copies must, where feasible, be furnished to ADAP.

4.10 BOOKS. TAPES. FILMS AND OTHER LITERATURE

All books, tapes, films, and other literature must have prior content approval from the ADAP Prevention Services Director before purchase obligation is incurred. Review copies must, where feasible, be furnished to ADAP.

4.11 VOLUNTEERS

If volunteer services are included in the terms of the contract/grant, the provider is responsible for the overseeing of the volunteers and for the monitoring of services provided by these individuals.

4.12 TERMINATION OF CONTRACT/GRANT

Either party has the right to terminate a contract/grant on 30-day written notice to the other party. Immediate termination may also result by failure of the provider to meet ! contractual or grant obligations or licensure standards.

The ADAP reserves the right to immediately terminate a contract/grant if the public health or safety is placed in imminent peril.

5.00 SPECIFIC REQUIREMENTS

5.01 ALCOHOL/DRUG TREATMENT CONTRACT/GRANT REQUIREMENTS

5.02 PRIMARY PREVENTION. EDUCATION. PROBLEM IDENTIFICATION AND REFERRAL CONTRACT/GRANT REQUIREMENTS All prospective applicants must comply with ADAP procedures and the appropriate RFP or RFA format when making application. The services to be provided must reflect and promote ADAP's basic policies and philosophies regarding that service category. Community acceptance of, commitment to, and involvement with the program are necessary elements. The program should complement and support the local treatment and rehabilitation services. Contract/grant awards reflect only a one year funding period. Special short-term programs may be funded and may require special application and reporting procedures.

6.00 DIRECT SERVICES

6.01 SUPERVISED TREATMENT AND EDUCATION PROGRAM fS.-T.E.P.I Direct services Eire provided by the Supervised Treatment and Education Program (S.T.E. P.). This is a drug diversion court with an ADAP assessment component (Central Intake Unit) and a treatment program grantee component.

7.00 DEFINITIONS

The definitions provided here are intended to assist the reader in understanding some major terms and documents as used routinely by ADAP. The list is not all inclusive. The reader is referred to ADAP Licensure Standards, the ADMIS Manual, the Request for Proposal (RFP), Request for Application (RFA), or Progress Report and Program Proposal (PRPP) package of instructions, and to the appropriate contract or grant document for further clarification or specific project areas.

7.01 ALCOHOL AND DRUG ABUSE COORDINATING COUNCIL - A twenty-five member board of review authorized by Act 855 of 1989 and reconstituted by Act 551 of 1995. The Coordinating Council has the responsibility for overseeing all planning, budgeting and implementation of expenditures of state and federal funds allocated for alcohol and drug education, prevention, treatment and law enforcement. The Coordinating Council has established a committee structure which includes a Treatment and Prevention Committee and a Law Enforcement Committee. The Treatment and Prevention Committee reviews applications for funding through the Bureau of Alcohol and Drug Abuse Prevention.

7.02 ALCOHOL/DRUG MANAGEMENT INFORMATION SYSTEM (ADMIS)

A data collection system developed and operated by ADAP to be used in alcohol and drug abuse prevention treatment programs. See Section 5.013 - 5.014 for ADMIS reporting on treatment services and Section 5.022 - 5.023 for ADMIS reporting on prevention services.

7.03 COMMON GROUND PROGRAM COMMITTEE - A twenty-three member board authorized by Act 1203 of 1995 and reconstituted by Act 715 of 1997. The Common Ground Program Committee has the responsibility of reviewing grants and making recommendations regarding grantee's performance; developing criteria and priorities for grant programs based upon the recommendations of the Governor's Youth Summit on Violence Prevention and the regional summits, public hearings, and/or surveys thereafter; recommending grant recipients to the Governor and the legislature; developing information about the program to be disseminated to the public; report results of the program to the Governor and the General Assembly.

7.04 CONTINUED CARE - The component of the treatment process which assures the provision of a continued contact with the client. The continued care plan will follow the termination of services from the primary care modality (medical detoxification, observation and RADD services), designed to support and to increase the gains made to date in the treatment process. The continued care plan development will start prior to discharge and when possible involves participation of the client's significant others. At a rmriimum this will include participation in at least four (4) outpatient group counseling sessions and involvement in community based support groups.

7.05 DAY CARE FOR CHILDREN

7.06 INTAKE AND ASSESSMENT FOR SUBSTANCE ABUSE - A one time charge per client per admission. Admission is defined as at least a unit of residential service, a unit of day treatment, or four units (1 hour) of outpatient counseling in addition to the day the client was assessed. The client cannot be admitted and discharged on the same day. Assessment for Substance Abuse must include the administration of an interview to provide information on the client the client's alcohol/drug taking history, employment history, family background, and prior treatment episodes. The administration of the Addiction Severity Index (AST) must be included. Other items which may be included are physical exam, drug testing and other screening or assessment tools for substance abuse and mental health.

7.07 INTENSIVE OUTPATIENT SERVICE - Services provided in an outpatient environment to a client that lasts two or more hours per day for three or more days per week. At a minimum, services include alcohol and other drug treatment and case management. Other services include but are not limited to, family counseling, parenting skills training and job training. A unit of service is a two consecutive hour period.

7.08 INTERIM SERVICES - Interim substance abuse services means services that are provided until an individual is admitted to a substance abuse treatment program. At a minimum, interim services include counseling and education about HIV and tuberculosis (TB), about the risks of needle-sharing, the risks of transmission to sexual partners and infants, and about steps that can be taken to ensure that HIV and TB transmission does not occur, as well as referral for HTV or TB services if necessary. For pregnant women, interim services also include counseling on the effects of alcohol and drug use on the fetus, as well as referral for prenatal care.

7.09 LICENSURE STANDARDS FOR ALCOHOL AND/OR OTHER DRUG ABUSE/ADDICTION TREATMENT PROGRAMS - Those Licensure Standards which were developed and revised by ADAP and ADAP Standards Review Committee, they contain criteria by which treatment programs are reviewed in the Licensure process.

7.10 MEDICAL DETOXIFICATION - Includes 24-hour medically supervised care in a hospital setting or medical model facility. Includes a short-term treatment (3 days), during which time prescribed medication is used to restore physiological functioning after it has been upset by toxic agents, including alcohol. Service shall be under the supervision and guidance of a licensed physician. Service is allowable only after a Regional Alcohol and Drug Detoxification (RADD) evaluation. The unit of service is a day and the limit per client is three days. Additional days require prior ADAP approval.

7.11 OBSERVATION DETOXIFICATION - Includes monitoring on a 24-hours per day basis of a client who is undergoing mild withdrawal in a residential/live in setting. Monitoring will consist of taking the client's vital signs every two hours, or more frequently if indicated, until results remain within the normal range for at least four hours. Vital signs will be taken by a staff member trained and certified by ADAP, a Medical Doctor, Registered Nurse, Licensed Psychiatric Technical Nurse or Licensed Practical Nurse. The facility shall establish approved emergency medical procedures. These services shall be available should the client's condition deteriorate and emergency procedures be required. A unit of service is one day. Services are limited to two days per RADD admission. Additional days require prior ADAP approval.

7.12 OUTPATIENT SERVICE - FAMILY- Counseling provided in an outpatient environment to a substance abuse client and/or family members and/or significant other. Although the client is usually present at these sessions, these sessions are reimbursable if the client is not present. Services to all members of the family or significant other may be reimbursed. A unit of service is 15 minutes or any part thereof.

7.13 OUTPATIENT SERVICE - GROUP - Counseling provided in an outpatient environment to more than one substance abuse client. Services to all members of the group may be reimbursed. A unit of service is 15 minutes or any part thereof.

7.14 OUTPATIENT SERVICE - INDIVIDUAL - Includes care provided to a substance abuse client in an outpatient environment. Outpatient service is provided to the client only. A unit of service is 15 minutes or any part thereof.

7.15 PRIMARY PREVENTION STRATEGIES

7.16 PROGRESS REPORT AND PROGRAM PROPOSAL fPRPP) - That process by which current contracted providers of prevention or treatment services are evaluated, and their grant is either renewed, not renewed, or renewed pending contingencies placed by ADAP Alcohol and Drug Abuse Coordinating Council or the Common Ground Program Committee, whichever is applicable. This process involves submitting to ADAP, or an outside evaluator, a document which reports the activities of the provider during the current grant period, and outlines a proposed program for the upcoming grant period. Other performance indicators such as licensure visits, service-to-billing audits, case reviews, site visit reports and ADMIS reporting are taken into account during this process.

7.17 REGIONAL ALCOHOL AND DRUG DETOXIFICATION SERVICES fRADD SERVICES')- A one time charge per admission for a client presenting themselves for medical detoxification from substance abuse. The RADD services process will provide the client with up to three days residential treatment with a continued care plan which will include up to four outpatient group counseling sessions. All or part of these services may be provided to individualize the treatment to meet the client's needs. A unit of service will include the following:

7.18 REGIONAL DETOXIFICATION SPECIALIST - A person trained and certified by the Bureau of Alcohol and Drug Abuse Prevention. Training will provide competency at a minimum, in the following areas:

7.19 REQUEST FOR PROPOSAL (RFP) OR REQUEST FOR APPLICATION(RFA)

- That process by which potential providers of a particular service submit a proposal/application to ADAP in which specific administrative and procedural information about the particular program is included. This is a competitive process whereby the applicant with the most effective project which most closely fits with the original request is awarded funds.

7.20 RESIDENTIAL SERVICE - Includes care provided to a substance abuse client who is not ill enough to need admission to medical detoxification or observation detoxification, but who has need of more intensive care in the therapeutic setting with supportive living arrangements. This service shall include at a minimum, individual and group therapy, case management and room and board. In addition to the minimum services, residential service may include drug testing, medical care other than detoxification, and other appropriate services. A unit of service is a day. Unless otherwise specified in the Notice of Grant Award or other ADAP agreement, clients reported to or paid through ADAP funding should not be reported or billed while away from the facility on weekend or holiday passes, if the client is hospitalized, or for any reason absent, even though a bed or slot may be held pending their return.

7.21 RESIDENTIAL SERVICES FOR ADOLESCENTS (COMPREHENSIVE) (CRSA)

- Services at a minimum include: A multidisciplinary treatment staff, including certified/licensed alcohol and drug counselors, licensed mental health counselors, nursing staff, certified service coordinators (case managers), licensed teacher(s), a psychiatrist, daily available nursing care, a licensed school as a component of the program and family therapy. Licensure by ADAP, DCFS, and CARF or JCAHO is required, programming for dually diagnosed clients is available. At facilities designated as a CRSA, a unit of service will be one day for the client.

7.22 RESIDENTIAL SERVICES AT PREGNANT AND PARENTING WOMEN'S LIVING CENTERS (PPWLC'S) - Services at a minimum include case management, alcohol and other drug treatment, child care, transportation, medical treatment, room and board, education/job skills training, parenting skills training, aftercare planning, and family counseling. Payment received from the ADAP covers all services except for day care, which may be billed separately on other ADAP grants, if the provider so desires. At facilities designated as PPWLC's. a unit of service will be one day for a family.