Chapter DHS 66

DHS 66.02 History History: Cr. Register, January, 1989, No. 397, eff. 2-1-89; corrections in (10) and (22) made under s. 13.92 (4) (b) 6. and 7., Stats., Register November 2008 No. 635.

DHS 66.03 DHS 66.03 Application for a grant.

DHS 66.03(1) (1) Eligibility. To be eligible for a TAP grant an agency shall be certified to operate one or more AODA programs under ch. DHS 75 and shall be one of the following:

DHS 66.03(1)(a) (a) A county department of community programs established under s. 51.42, Stats.;

DHS 66.03(1)(b) (b) A county department of human services established under s. 46.23, Stats.;

DHS 66.03(1)(c) (c) A private nonprofit corporation organized under ch. 181, Stats.;

DHS 66.03(1)(d) (d) A tribal agency appointed by the governing body of a federally recognized Wisconsin tribe or band of Indians;

DHS 66.03(1)(e) (e) A non-profit minority agency. In this paragraph, “minority agency” means that at least 50% of the members of the agency’s board of directors are members of a minority group and at least 50% of the persons served or to be served by the agency are members of a minority group. In this paragraph, “minority group” means blacks, Hispanics, Asians, Pacific islanders, or American Indians.

DHS 66.03(2) (2) Making application. The department shall solicit applications for TAP grants by preparing and distributing a request for proposals (RFP). Application for a TAP grant shall be made no later than the date specified in the RFP on a form furnished by the department and in accordance with instructions contained in the RFP.

DHS 66.03 Note Note: To obtain copies of the TAP RFP and the TAP grant application form, write: Bureau of Substances Abuse Services, Division of Disability and Elder Services, P.O. Box 7851, Madison, Wisconsin 53707.

DHS 66.03(3) (3) Review of applications.

DHS 66.03(3)(a) (a) The department shall review all applications for a TAP grant for compliance with the form and content specifications of the RFP, and may reject any application that fails to meet those specifications.

DHS 66.03(3)(b) (b) The department shall convene a committee to review applications that meet the form and content specifications in the RFP. The committee shall score and rank applications in accordance with the criteria described in the RFP and the weight assigned in the RFP to each criterion.

DHS 66.03(4) (4) Decision. The secretary of the department shall make the final decision on an application for a TAP grant based on the results of the review under sub. (3) (b), geographical coverage considerations and available funds. The department may reject any application or all applications and may negotiate any grant award.

DHS 66.03(5) (5) Condition. As a condition for receiving a TAP grant or other funding for TAP within the limits of funds provided, an agency shall agree in writing to comply with this chapter and funding procedures of the department.

DHS 66.03 History History: Cr. Register, January, 1989, No. 397, eff. 2-1-89; correction in (1) (intro.) made under s. 13.93 (2m) (b) 7., Stats., Register December 2004 No. 588; correction in (1) (intro.) made under s. 13.92 (4) (b) 7., Stats., Register November 2008 No. 635.

DHS 66.04 DHS 66.04 Organization and administration. Each TAP agency shall, within 6 weeks after being notified that it has been awarded a grant, provide the department with the following documents:

DHS 66.04(1) (1) Articles of incorporation or written assurances from the parent agency or organization, if any, or the TAP agency board of directors or executive director, that the TAP agency will function as a full-time and independent unit;

DHS 66.04(2) (2) An organizational chart showing the TAP agency as an independently functioning entity;

DHS 66.04(3) (3) Written confirmation that a full-time and qualified administrator with experience in the field of substance abuse or criminal justice, or both, has been appointed or hired. The confirmation shall include a job description for the TAP agency administrator; and

DHS 66.04(4) (4) Written policies and procedures governing the services and operation of the program.

DHS 66.04 History History: Cr. Register, January, 1989, No. 397, eff. 2-1-89.

DHS 66.05 DHS 66.05 Agreements and communication.

DHS 66.05(1) (1) TAP agency and criminal justice system. Each TAP agency shall negotiate a written agreement with local criminal justice system components to assure the effective and accountable operation of the local TAP and maintain necessary communications in regard to potential clients referred from the criminal justice system. The written agreement shall include:

DHS 66.05(1)(a) (a) Documentation of meetings convened by TAP agency staff with criminal justice system components, including prosecuting attorneys, courts, law enforcement officers, probation and parole agents and jail administrators, to provide them with an explanation and written description of the TAP agency mission and services and to conclude the written agreement, and to produce an outline of mutual responsibilities and procedures for client service delivery and minimum requirements for effective interagency communication;

DHS 66.05(1)(c) (c) Written procedures for the working relationship between the TAP agency and each participating criminal justice system component that specify client screening responsibilities, referral arrangements, court appearance or testimony requirements, progress reporting, termination criteria and protocols; and

DHS 66.05(1)(d) (d) A written schedule and protocol for regular communications between the TAP agency and participating criminal justice system components, including the courts.

DHS 66.05(2) (2) TAP agency and treatment agencies. Each TAP agency shall establish and maintain working relationships and mutual agreements with treatment agencies to assure the availability of treatment agency options, effective client referrals and necessary tracking and monitoring activities. The establishment and maintenance of working relationships and mutual agreements shall be evidenced by the following:

DHS 66.05(2)(a) (a) Within 6 weeks after the start-up of the program, documentation of meetings convened by TAP personnel with representatives of state and local authorities that license, approve or certify substance abuse treatment providers to:

DHS 66.05(2)(a)1. 1. Provide them with an explanation and written description of TAP services and requirements; and

DHS 66.05(2)(a)2. 2. Solicit cooperation from treatment agencies that are willing to serve TAP clients and provide a locally available continuum of care;

DHS 66.05(2)(b) (b) A written agreement between the TAP agency and each cooperating treatment agency that at a minimum specifies client eligibility criteria for participation in TAP, standard procedures for referrals, services usually provided during treatment, treatment success and failure criteria and routine TAP monitoring, progress reporting and termination notification requirements; and

DHS 66.05(2)(c) (c) A written schedule and protocol for regular communications between the TAP agency and cooperating treatment agencies.

DHS 66.05 History History: Cr. Register, January, 1989, No. 397, eff. 2-1-89.

DHS 66.06 DHS 66.06 Eligibility for treatment. Any person is eligible for treatment if he or she:

DHS 66.06(1) (1) Is involved with the criminal justice system as evidenced by a formal charge or diversion agreement; is charged with or convicted of a misdemeanor or a felony; or is currently or has previously been determined drug dependent as evidenced by the client’s own testimony, medical or social histories from treatment agencies, a physical examination or a urinalysis or other laboratory test;

DHS 66.06(2) (2) Has given informed voluntary consent to participate, as evidenced by the person’s signature on a written agreement to participate and to comply with TAP requirements, including the release of information for monitoring client participation and progress, that are detailed in the written agreement. The agreement shall be read to or by the client before the client signs it; and

DHS 66.06(3) (3) If a parolee or probationer under supervision of the department of corrections is recommended as appropriate for participation by his or her probation and parole agent.

DHS 66.06 History History: Cr. Register, January, 1989, No. 397, eff. 2-1-89.

DHS 66.07 DHS 66.07 Early identification of potential clients. To assure the earliest possible identification and screening of potential TAP clients within the criminal justice system, each TAP agency shall develop:

DHS 66.07(1) (1) Written procedures for the initial screening of potential TAP clients, for use by cooperating criminal justice system components. The procedures shall clearly specify TAP agency and criminal justice system responsibilities to ensure that potential TAP clients are identified from the pool of detainees, arrestees and offenders; and

DHS 66.07(2) (2) Records that document that the TAP agency has sought to have potential clients referred to it by the criminal justice system at the earliest point possible in the involvement of these persons with the criminal justice system.

DHS 66.07 History History: Cr. Register, January, 1989, No. 397, eff. 2-1-89.

DHS 66.08 DHS 66.08 Assessment and referral for treatment and monitoring.

DHS 66.08(1) (1) Assessment. Each TAP agency shall have a standardized assessment process for persons referred from the criminal justice system to ensure that all eligibility criteria are met and that a person who is referred for TAP is appropriate for the program. The assessment process shall include:

DHS 66.08(1)(a) (a) A face-to-face interview with each potential client by a qualified TAP staff member within a specified period of time after the date of the initial referral from the criminal justice system;

DHS 66.08(1)(b) (b) Application of standardized assessment instruments and procedures for confirming the eligibility of a potential client, including instruments and procedures that disclose a potential client’s drug dependent status and current and past involvement with the criminal justice system;

DHS 66.08(1)(c) (c) A determination of the most appropriate type of AODA treatment for each client; and

DHS 66.08(1)(d) (d) The client’s agreement to participate in TAP, including his or her understanding of confidentiality requirements and his or her agreement to follow TAP agency and treatment agency policies and procedures.

DHS 66.08(2) (2) Referral. Within 48 hours after the assessment under sub. (1) is completed, excluding weekends, a client shall be referred to a treatment program. If a treatment placement is not immediately available, TAP staff shall monitor the client during the interim period.

DHS 66.08(3) (3) Testing of specimens. Each TAP agency shall:

DHS 66.08(3)(a) (a) Have written procedures for conducting urinalysis and other tests that detect the presence of drugs used by a client, including procedures for collecting, processing and analyzing specimens and recording positive results;

DHS 66.08(3)(b) (b) Maintain records of all specimens collected and the frequency of testing for each phase of a client’s TAP participation and progress. A client referred to outpatient treatment shall comply with on-site, random requests for specimen submissions at least during the first 6 months of TAP participation; and

DHS 66.08(3)(c) (c) Have a written contract with a laboratory certified under 42 CFR 493 to conduct confirmatory urinalyses and other tests of specimens. The contract shall delineate all quality control procedures and standards and shall specify how a chain of custody of the specimen will be established to ensure that the urinalysis and other tests are legally acceptable evidence.

DHS 66.08(4) (4) Case management.

DHS 66.08(4)(a) (a) The TAP agency shall develop an individualized written case management plan for each client. The plan shall be approved by the client and the treatment agency. The plan shall specify:

DHS 66.08(4)(a)1. 1. The treatment services to be delivered;

DHS 66.08(4)(a)2. 2. The frequency of and justification for contacts with TAP agency and treatment agency counselors; and

DHS 66.08(4)(a)3. 3. The content and frequency of treatment agency progress reports to the TAP agency and the referring criminal justice system component.

DHS 66.08(4)(b) (b) The referring criminal justice system component shall be kept informed about each referred client’s progress, as follows:

DHS 66.08(4)(b)1. 1. The TAP agency shall give written notice of the person’s admission into the TAP program and placement of the client in a treatment program, and shall submit a copy of the case management plan under par. (a) to the criminal justice system component;

DHS 66.08(4)(b)2. 2. The TAP agency shall require treatment agencies to submit treatment progress reports to the TAP agency and the criminal justice system component, at least monthly; and

DHS 66.08(4)(b)3. 3. The TAP agency shall, within 24 hours after a client’s termination, notify the referring criminal justice system component of the client’s termination.

DHS 66.08(4)(c) (c) The TAP agency shall maintain a separate file for each TAP client, which shall include:

DHS 66.08(4)(c)1. 1. A record of all treatment services provided to the client from admission to termination; and

DHS 66.08(4)(c)2. 2. Written and signed notations by each TAP agency counselor involved with the client, specifying the date and content of all face-to-face and telephone contacts with the client, the referring justice system component and the client’s treatment agency.

DHS 66.08(5) (5) Termination criteria. Each TAP agency shall establish written criteria for successful and unsuccessful termination of clients from TAP participation. The criteria shall be agreed to by cooperating criminal justice system components and treatment agencies and shall include:

DHS 66.08(5)(a) (a) In regard to criteria measuring successful termination:

DHS 66.08(5)(a)1. 1. Completion of a written case management plan as required under sub. (4) within 15 days after admission into TAP; and

DHS 66.08(5)(a)2. 2. Compliance with any court order or other legal order relating to the client; and

DHS 66.08(5)(b) (b) In regard to criteria measuring unsuccessful termination:

DHS 66.08(5)(b)1. 1. The client’s unexcused absence from a specified number of scheduled TAP agency or treatment agency appointments;

DHS 66.08(5)(b)2. 2. The client’s continued alcohol or other drug use or abuse as documented by a specified number of positive urinalysis tests or other test of specimens;

DHS 66.08(5)(b)3. 3. Re-arrest of the client; or

DHS 66.08(5)(b)4. 4. The client’s lack of participation or cooperation in the treatment program as documented by the treatment agency counselor’s written complaints of the client’s non-compliance with TAP agency or treatment agency requirements.

DHS 66.08 History History: Cr. Register, January, 1989, No. 397, eff. 2-1-89.

DHS 66.09 DHS 66.09 Staff training. Each TAP agency shall:

DHS 66.09(1) (1) Ensure that all staff understand the TAP agency mission, philosophy and operating procedures;

DHS 66.09(2) (2) Have a written master plan for staff training that identifies training goals and specifies training procedures and schedules;

DHS 66.09(3) (3) Prepare and annually update a written training plan for each staff member. Each staff member shall receive at least 32 hours of training each year on pharmacology, sentencing practices, assessment of drug dependency, substance abuse treatment modalities, treatment expectations and case management; and

DHS 66.09(4) (4) Maintain a personnel file for each staff member that includes his or her written job responsibilities and performance guidelines and a record of in-service training completed.

DHS 66.09 History History: Cr. Register, January, 1989, No. 397, eff. 2-1-89.

DHS 66.10 DHS 66.10 Data collection.

DHS 66.10(1) (1) Upon request of the department, each TAP agency shall submit the following program information to the department on forms provided by the department:

DHS 66.10(1)(a) (a) The number of potential clients identified and referred to the TAP agency from each cooperating criminal justice system component;

DHS 66.10(1)(b) (b) The number of clients admitted by the TAP agency;

DHS 66.10(1)(c) (c) Each client’s socio-economic and demographic characteristics, including age, race, sex, education and employment status;

DHS 66.10(1)(d) (d) The criminal charge against each client, the client’s drug dependent status, the primary drug of abuse or other diagnosis and the results of urinalysis and other diagnostic testing;

DHS 66.10(1)(e) (e) Each client’s treatment progress and status, and any client rearrests and intervening court appearances;