SATOP Administration and Service Documentation

PURPOSE: This rule establishes administrative procedures and practices in the operation of Substance Awareness Traffic Offender Programs. PUBLISHER’S NOTE: The secretary of state has determined that the publication of the entire text of the material which is incorporated by reference as a portion of this rule would be unduly cumbersome or expensive. This material as incorporated by reference in this rule shall be maintained by the agency at its headquarters and shall be made available to the public for inspection and copying at no more than the actual cost of reproduction. This note applies only to the reference material. The entire text of the rule is printed here. (1) Access. The program shall be accessible to the public by maintaining reasonable business hours and ready telephone access. (2) Admission. Substance Awareness Traffic Offender Programs (SATOPs) shall accept individuals referred by a court order, condition of probation or parole, or plea bargain who have had their driver’s license administratively revoked or suspended for reasons of an alcohol- or drug-related traffic offense. Individuals will be screened by a qualified staff person to determine program placement. Women who are pregnant must be referred to a department-certified women’s treatment program for a clinical assessment to determine service needs. (3) Conflict of Interest. An agency which operates probation services, court supervision programs, or counseling programs not certified by the department must keep these functions separate and distinct from SATOP. (A) The agency must clearly communicate to individuals that completion or the failure to complete these programs will not affect the outcome of their participation in SATOP. (4) Notice to Individuals Served. Written notice shall be provided to individuals regarding the cost of the program, dates, times, location, and requirements for successful program completion. (5) Attendance Records. Attendance records shall be maintained for each session. (6) Receipts. Receipts shall be issued for all fees collected from individuals enrolled in a SATOP. (7) Program Participation. All SATOPs shall have written policies and procedures which are followed by staff to manage situations in which an individual arrives at a program under the influence of alcohol and/or illegal drugs, is not taking prescription medication(s) as directed, or is detracting from a program due to uncooperative behavior. (A) A written report of the situation shall be prepared by the staff person(s) involved. The report shall be reviewed by the program administrator who is responsible for determining the individual’s continued participation in the program. (B) A person who has justifiably been denied access or is removed from a program is not considered to have satisfactorily completed the program. (C) Readmission to a program for an individual who has justifiably been denied access or removed shall be in accordance with the program’s policies and procedures. Proactive measures should be taken to assist individuals in reengaging in services and successfully completing a program. (D) Individuals who continue to actively use alcohol and/or illegal drugs, or do not take prescribed medication as directed while enrolled in a program, may be referred to more intensive services such as withdrawal management and substance use disorder treatment with residential support. In these instances, the individual may fulfill SATOP requirements by completing a comparable program. (8) Screening and Referral Process. Offender Management Unit (OMUs) must have written policies and procedures for conducting individualized screenings and issuing program recommendations based on screening results. (A) The screening recommendation is provided in writing to each individual at the completion of the screening. (B) Each individual is informed of their right to a second opinion from an alternative OMU and right to judicial review if he/she objects to the recommendation of the originating OMU. The notice must be in written format and signed by the individual. 1. The following criteria applies to second opinions: A. The right to a second opinion is forfeited if the individual has enrolled in the originating OMU’s recommended program; B. The alternative OMU must conduct a thorough review of the individual’s original screening recommendation and obtain a copy of the SATOP Offender Assignment form from the originating OMU (release of information is not required); C. The alternative OMU must obtain a current driving record from the Department of Revenue or other reliable source; D. The individual must pay the screening fee for the second opinion but is not required to pay the supplemental fee; and E. The OMU issuing the second opinion is the official OMU of record. The OMU is responsible for issuing the screening recommendation to the individual, monitoring the individual’s compliance with the recommendation, and notifying the originating OMU to close the individual’s record in their program. (C) An individual who objects to an OMU’s screening recommendation may file a petition for review and determination in the circuit court of the county in which the recommendation was made pursuant to sections 302.304 and 302.540, RSMo. The motion must be filed using the printed form provided by the Office of State Courts Administrator, 2112 Industrial Drive, PO Box 104480, Jefferson City, MO 65110. (9) Resources and Referrals. All SATOPs shall maintain a resource directory of area self-help groups and substance use disorder treatment programs that is readily accessible to individuals being served. (A) Each individual who receives a recommendation for substance use disorder treatment shall be given a directory of certified treatment programs for the area in which he/she chooses to obtain services. A statement shall be signed by the individual acknowledging receipt of the directory as well as notice that he/she is not required to obtain recommended services from the same agency that conducted the screening. (10) Program Evaluation. All persons participating in a SATOP shall be asked to complete a course evaluation. The evaluation process must assure anonymity. (A) Participants may be encouraged, but not required, to sign the evaluation form. (B) Evaluations shall be retained by the program for one (1) calendar year. (11) Data Collection. The program shall cooperate with all SATOP quality assurance and data collection requirements regarding the program operation, individual demographics, or other data collection that may be required by the department. (12) Organized Record System and Individual Records. All SATOPs must maintain an organized record system which ensures easily retrievable, complete, and usable records. Records must be stored in a secure and confidential manner in accordance with state and federal requirements. (A) Records required by the department shall be maintained in paper form or electronic medium at the location services are provided or at the provider’s address of record with the department. (B) Copies of records must be provided upon request by the department or its authorized representative(s), regardless of the medium in which they are maintained. (C) Individual records must be retained for at least six (6) years or until all litigation, adverse audit findings, or both, are resolved regardless of the medium in which they are maintained. (D) Individual records for OMUs shall include, but are not limited to: 1. Demographic information; 2. Proper signed release of information forms, as applicable; 3. Signed acknowledgement by the individual indicating receipt of— A. Individual rights, responsibilities, and grievance procedures; B. Screening recommendation; C. Notice of option for a second opinion and judicial review; D. List of referral sources; and E. Notice that services may be obtained from another provider; 4. Driving record check by the Department of Revenue (if another source is used, provider is responsible for ensuring its reliability); 5. Documentation of an individualized screening including date administered, name and signature of the SATOP Qualified Professional, summary of results including substance use history, and education or treatment recommendation; 6. SATOP Offender Assignment form; and 7. SATOP Completion Certificate (if program was completed). (E) Individual records for persons enrolled in an education program shall include, but are not limited to: 1. Dates of attendance; 2. Demographic information; 3. Scored pretest(s) and posttest(s) measuring knowledge gain and attitude change; 4. Proper signed release of information forms, as applicable; 5. Signed acknowledgement by the individual indicating receipt of individual rights, responsibilities, and grievance procedures, list of referral sources, and notice that services may be obtained from another provider; 6. Results of blood alcohol content (BAC) tests, as applicable; 7. SATOP Offender Assignment form; and 8. SATOP Completion Certificate (if program was completed). (F) Individual records for persons enrolled in the Clinical Intervention Program and Serious and Repeat Offender Program shall include, but are not limited to: 1. Consent to treatment; 2. Proper signed release of information forms, as applicable; 3. Individual treatment plan; 4. Treatment plan reviews and updates; 5. Continuing recovery plan based upon the principles of recovery and resilience as identified in 9 CSR 10-7.010(7) including at a minimum: A. Date of next appointment for follow-up services or other supports; B. Action steps to access personal support system(s) or other resources to assist in continuing his/her recovery, wellbeing, and community integration or if symptoms recur and additional services/supports are needed; C. Instructions for safe use of medication(s) as prescribed; and D. Referral information such as contact name, telephone number, locations, hours, and days of services, when applicable; 6. Discharge plan that includes, but is not limited to: A. Admission date; B. Reason for admission; C. Referral source; D. Reason for or type of discharge; E. Date of discharge; F. Description of services provided and the extent to which established goals and objectives were achieved; G. Recommendations for continued services and supports; H. Medical status and information on medication(s) prescribed or administered, when applicable; and I. Signature of staff completing the plan. (13) Additional Record Requirements for the Adolescent Diversion Education Program (ADEP). For individuals participating in the ADEP who are under the age of eighteen (18) and are not emancipated, there shall be documentation showing— (A) Efforts to involve the parent or guardian in the program; (B) Results of the efforts, that is, whether the parent or guardian participated and the extent of participation; and (C) Where applicable, the parent or guardian’s view of substance use patterns and possible effects on family, social, legal, emotional, physical, financial, educational, and vocational functioning. (14) Compliance. Failure to adhere to the stipulations, conditions, and the requirements set forth in this rule shall be considered cause for revocation or denial of program certification. AUTHORITY: sections 302.304, 302.420, 302.425, 302.540, 302.580, 630.050, 630.053, 630.655, and 631.010, RSMo 2016, and section 577.001, RSMo Supp. 2020.* This rule was originally filed as 9 CSR 30-3.730. Original rule filed Nov. 2, 1987, effective May 15, 1988. Emergency amendment filed May 3, 1994, effective July 1, 1994, expired Oct. 28, 1994. Emergency amendment filed Oct. 17, 1994, effective Oct. 28, 1994, expired Feb. 24, 1995. Amended: Filed May 3, 1994, effective Nov. 30, 1994. Amended: Filed April 29, 1998, effective Oct. 30, 1998. Moved to 9 CSR 30-2.202 and amended: Filed Feb. 28, 2001, effective Oct. 30, 2001. Amended: Filed June 15, 2004, effective Jan. 30, 2005. Amended: Filed Feb. 16, 2018, effective Aug. 30, 2018. Amended: Filed Nov. 4, 2020, effective May 30, 2021. *Original authority: 302.304, RSMo 1961, amended 1972, 1973, 1979, 1983, 1984, 1989, 1991, 1996, 1999, 2001, 2002, 2003, 2008, 2012, 2013, 2014, 2015; 302.420, RSMo 1987, amended 1991, 1993, 1996, 2003, 2014; 302.425, RSMo 1987, amended 1991, 1996, 2014; 302.540, RSMo 1983, amended 1984, 1993, 1996, 2001, 2002, 2003, 2014; 302.580, RSMo 1982, amended 1993, 1996, 2003, 2014; 577.001, RSMo 1982, amended 1986, 1996, 2005, 2014, 2015, 2016, 2017, 2018, 2020; 630.050, RSMo 1980, amended 1993, 1995, 2008; 630.053, RSMo 1993, amended 1995, 1996, 2011; 630.655, RSMo 1980; and 631.010, RSMo 1980.