WSR 13-02-027

PROPOSED RULES

DEPARTMENT OF

SOCIAL AND HEALTH SERVICES
(Aging and Disability Services Administration)

[ Filed December 20, 2012, 4:03 p.m. ]

Original Notice.

Preproposal statement of inquiry was filed as WSR 11-09-067.

Title of Rule and Other Identifying Information: The department proposes to adopt a new chapter 388-877 WAC to establish administrative standards, and support the specific requirements for the licensing and certification of behavioral health agencies that provide mental health, chemical dependency, and/or problem and pathological gambling treatment services. This rule supports the program-specific rules the department is proposing, at the same time, for a new chapter 388-877A WAC for mental health, chapter 388-877B WAC for chemical dependency, and chapter 388-877C WAC for problem and pathological gambling.


SECTIONS IN NEW CHAPTER 388-877 WAC:

Section One -- Behavioral health services -- Purpose and scope.

WAC 388-877-0100 Behavioral health services -- Purpose and scope.

Section Two -- Behavioral health services -- Definitions.

WAC 388-877-0200 Behavioral health services -- Definitions.

Section Three -- Behavioral health services -- Agency licensure and certification.

WAC 388-877-0300 Agency licensure -- General information, 388-877-0305 Agency licensure -- Application, 388-877-0310 Agency licensure -- Deeming, 388-877-0315 Agency licensure -- Renewals, 388-877-0320 Agency licensure -- On-site reviews and plans of correction, 388-877-0325 Agency licensure and program-specific certification -- Approvals and provisional approvals, 388-877-0330 Agency licensure -- Effective dates, 388-877-0335 Agency licensure and program-specific certification -- Denials, suspensions, restrictions, revocations, and penalties, 388-877-0340 Agency licensure -- Adding a branch site, 388-877-0345 Agency licensure and program-specific certification -- Adding a new service, 388-877-0350 Agency licensure -- Change in ownership, 388-877-0355 Agency licensure -- Change in location, 388-877-0360 Agency licensure and program-specific certification -- Facility remodel, 388-877-0365 Agency licensure and program-specific certification -- Fee requirements, and 388-877-0370 Agency licensure and program-specific certification -- Appealing a department decision.

Section Four -- Behavioral health services -- Agency administration.

WAC 388-877-0400 Agency administration -- Governing body requirements, 388-877-0410 Agency administration -- Administrator key responsibilities, 388-877-0420 Agency administration -- Policies and procedures, and 388-877-0430 Agency administration -- Treatment facility requirements.

Section Five -- Behavioral health services -- Personnel.

WAC 388-877-0500 Personnel -- Agency policies and procedures, 388-877-0510 Personnel -- Agency record requirements, 388-877-0520 Personnel -- Agency requirements for supervision of trainees and interns, and 388-877-0530 Personnel -- Agency requirements for volunteers and student practicum.

Section Six -- Behavioral health services -- Clinical.

WAC 388-877-0600 Clinical -- Individual rights, 388-877-0610 Clinical -- Initial assessment, 388-877-0620 Clinical -- Individual service plan, 388-877-0630 Clinical -- Individual clinical record system, 388-877-0640 Clinical -- Record content, and 388-877-0650 Clinical -- Access to clinical records.

Hearing Location(s): Office Building 2, Lookout Room, DSHS Headquarters, 1115 Washington, Olympia, WA 98504 (public parking at 11th and Jefferson. A map is available at http://www1.dshs.wa.gov/msa/rpau/RPAU-OB-2directions.html), on February 26, 2013, at 10:00 a.m.

Date of Intended Adoption: Not earlier than February 27, 2013.

Submit Written Comments to: DSHS Rules Coordinator, P.O. Box 45850, Olympia, WA 98504, e-mail DSHSRPAURulesCoordinator@dshs.wa.gov, fax (360) 664-6185, by 5:00 p.m. on February 26, 2013.

Assistance for Persons with Disabilities: Contact Jennisha Johnson, DSHS rules consultant, by January 15, 2013, TTY (360) 664-6178 or (360) 664-6094 or by e-mail at jennisha.johnson@dshs.wa.gov.

Purpose of the Proposal and Its Anticipated Effects, Including Any Changes in Existing Rules: The new rules in chapter 388-877 WAC allow for a single set of agency administrative, personnel, and clinical policies and procedures that address specific treatment populations and levels of care. The rules will provide standardization to all behavioral health services programs, provide an agency with a streamlined certification and/or licensure process for mental health, chemical dependency, and/or problem and pathological gambling treatment programs, and eliminate the need for multiple audits when the agency provides more than one behavioral health service.

Reasons Supporting Proposal: The rules support the following: Clinical staff competency, individual rights, an initial assessment, a treatment service plan and treatment service plan review, clinical documentation, a discharge plan, a continuing care plan, patient records, a complaint procedure, and quality management. In addition, the rules merge and place into one section definitions that apply to the general behavioral health services administrative rules and the program-specific rules for mental health, chemical dependency, and problem and pathological gambling services.

Statutory Authority for Adoption: Chapters 70.02, 70.96A, 71.05, 71.24, 71.34, 74.50 RCW; RCW 74.08.090, 43.20A.890; 42 C.F.R. Part 8.

Statute Being Implemented: Chapters 70.02, 70.96A, 71.05, 71.24, 71.34, 74.50 RCW; RCW 74.08.090, 43.20A.890; 42 C.F.R. Part 8.

Rule is not necessitated by federal law, federal or state court decision.

Name of Proponent: DSHS, governmental.

Name of Agency Personnel Responsible for Drafting: Kathy Sayre, P.O. Box 45330, Olympia, WA 98504-5330, (360) 725-1342; Implementation and Enforcement: Pete Marburger, P.O. Box 45330, Olympia, WA 98504-5330, (360) 725-1513.

A small business economic impact statement has been prepared under chapter 19.85 RCW.

Small Business Economic Impact Statement

SUMMARY OF PROPOSED RULES: DSHS (the department's) division of behavioral health and recovery (DBHR) is proposing new chapter 388-877 WAC, Behavioral health services administrative requirements.

The purpose and scope of this chapter is to establish administrative standards, and support the specific requirements for the licensing and certification of behavioral health agencies that provide chemical dependency, mental health, and/or problem and pathological gambling treatment services.

Chapter 388-877 WAC:

(1) Allows for a single set of agency administrative, personnel, and clinical policies and procedures that address specific treatment populations and levels of care.

(2) Supports clinical staff competency, individual rights, an initial assessment, a treatment service plan and treatment service plan review, clinical documentation, a discharge plan, a continuing care plan, patient records, a complaint procedure, and quality management.

(3) Supports the program-specific rules in proposed chapter 388-877A WAC for mental health, chapter 388-877B WAC for chemical dependency, and chapter 388-877C WAC for problem and pathological gambling.

(4) Provides general and specific information for agency licensure and certification, including information on applications, deeming, renewals, on-site reviews and plans of correction, approvals and provisional approvals, effective dates of licensures and certification, denials, suspensions, restrictions, and revocations, adding branch sites, adding a new service, change in ownership, change in location, fee requirements, and appealing a department decision.

(5) Provides general and specific governing body requirements for agencies including administrator key responsibilities, policies and procedures, and treatment facility requirements.

(6) Provides general and specific personnel requirements including agency policies and procedures, agency record requirements, supervision of trainees and interns, and agency requirements for volunteers and student practicum.

(7) Provides general and specific requirements for clinical requirements, including individual rights, initial assessments, individual service plans, individual records, and record content.

(8) Provides a definitions section that applies to the general behavioral health services administrative rules and the program-specific rules for mental health, chemical dependency, and problem and pathological gambling services.

INVOLVEMENT OF STAKEHOLDERS AND SMALL BUSINESSES: In September 2010, DBHR's director sent a letter to stakeholders and included a copy of DBHR's "CHARTER FOR DBHR INTEGRATED WAC CHEMICAL DEPENDENCY TREATMENT AGENCIES AND COMMUNITY MENTAL HEALTH AGENCIES." This letter and charter informed stakeholders of the department's intent to codify one set of rules rather than multiple sets of rules for DBHR-licensed and/or certified agencies that treat individuals with substance use, gambling, and/or mental health conditions. A copy of this letter and the charter were posted on the DBHR internet web site. The letter invited stakeholders to attend a meeting in [at the] Yakima Conference Center on October 4, 2010, to exchange thoughts and ideas about the principles the new WAC should address. At this meeting, input was solicited and considered and e-mails to the department were encouraged. Each e-mail was responded to individually.

On December 17, 2010, DBHR invited fifteen members from the Community Partner Advisory Group to Olympia to discuss stakeholder participation in the drafting of this rule. DBHR solicited and addressed stakeholder concerns at this meeting.

The department filed a CR-101 (preproposal statement of inquiry) under WSR 11-09-067 on April 19, 2011. On April 27, 2011, copies of the CR-101 were sent to tribal leaders and all stakeholders and providers listed in DBHR's listserv data base.

DBHR contracted with Northwest Resource Associates (NWRA) of Seattle to facilitate stakeholder and DBHR meetings and the drafting/content of the new rules. NWRA interviewed potential stakeholders from a list provided by DBHR of possible work group members. Volunteer participates [participants] for three work groups representing agencies statewide that provide chemical dependency, mental health, and/or problem and pathological gambling treatment program services were assembled to draft the rules. Three independent facilitators were contracted by NWRA to represent each work group in the following areas: (1) Agency licensure/certification and personnel; (2) agency administration; and (3) clinical.

A second statewide stakeholder evening meeting was hosted on June 9, 2011, at the Yakima Convention Center. NWRA and DBHR staff provided a general overview of the project charter and the project's goals and timeline. Stakeholders were invited to ask questions and offer comments and suggestions.

On June 14, 2011, at the Criminal Justice Center in Burien, Washington, NWRA hosted the first of several all-day meetings attended by volunteer members of the three work groups and DBHR staff. The groups worked on drafting the rules and NWRA distributed the drafts for review and discussion at the next meeting.

Several all-day meetings hosted by NWRA were held at Renton Technical School, Renton, Washington. The work groups continued to draft language and NWRA distributed the drafts to all participants, soliciting review and input.

On October 3, 2011, a third statewide stakeholder meeting was held at the Yakima Convention Center to allow stakeholders attending the Co-Occurring Disorder Conference to review the draft rule and participate in discussion of the rule's content.

On April 23, 2012, work group participants were invited to Lacey, Washington, to discuss the final draft of the behavioral health services administrative proposed rules. Twelve workgroup members attended this meeting and three appeared by conference call. The draft rules were distributed and discussed and several comments were offered and discussed.

In April 2012, the department sent an external review draft of the proposed language to all interested stakeholders who responded to the CR-101 (preproposal statement of inquiry) and other reviewers, including tribal leaders. The department responds to each comment received.

SMALL BUSINESS ECONOMIC IMPACT STATEMENT (SBEIS) - DETERMINATION OF NEED: Chapter 19.85 RCW, the Regulatory Fairness Act, requires that the economic impact of proposed regulations be analyzed in relation to small businesses and it outlines the information that must be included in an SBEIS. Preparation of an SBEIS is required when a proposed rule has the potential of placing a disproportionate economic impact on small businesses. The statute defines small businesses as those business entities that employ fifty or fewer people and are independently owned and operated.

Preparation of an SBEIS is required when a proposed rule has the potential of placing a disproportionate economic impact on small businesses. The statute outlines information that must be included in an SBEIS.

These proposed rules impact behavioral health agencies that provide chemical dependency treatment services, mental health treatment services, and/or problem and pathological gambling treatment services. These businesses fall under the North American Industry Classification System (NAICS) codes:


622210 - Psychiatric and substance abuse hospitals
623220 - Residential substance abuse facilities
621420 - Outpatient substance abuse and mental health centers
623220 - Residential mental health facilities
621330 - Problem and pathological gambling

The department previously determined that there were one hundred twenty-six existing for-profit chemical dependency treatment agencies that meet the criteria for small businesses under RCW 19.85.020. Subsequently, the department decided to consider economic impacts on all for-profit and publicly funded department-certified chemical dependency treatment agencies. Therefore, the industry analysis includes five hundred eighty certified chemical dependency treatment agencies. The department further determined there are about one hundred eighty business entities that provide mental health treatment services at four hundred twenty specific locations. Of the estimated one thousand services sites providing chemical dependency and mental health treatment services, about one hundred sixty business organizations maintain both a certificate for chemical dependency treatment services and a license for mental health treatment services. The department also determined there are twenty-six certified entities providing problem and pathological gambling treatment services. Of the twenty-six entities, four are private individual providers. The other twenty-two sites are located within certified chemical dependency treatment agencies.

EVALUATION OF PROBABLE COSTS AND PROBABLE BENEFITS: Since the proposed rules in the new chapter "make significant amendments to a policy or regulatory program" under RCW 34.05.328 (5)(c)(iii), the department has determined the proposed rules to be "significant" as defined by the Washington state legislature.

As required by RCW 34.05.328 (1)(d), the department has analyzed the probable costs and probable benefits of the proposed amendments, taking into account both the qualitative and quantitative benefits and costs. The department's analysis shows the costs and benefits of the proposed rules to those impacted by the rules. Impacted groups include:


DBHR-certified chemical dependency service programs owned by nonprofit businesses, for-profit businesses, public nonprofit providers, and tribal programs.
DBHR-licensed and/or -certified mental health service programs owned by nonprofit businesses, public nonprofit providers, or tribal programs.
Sole proprietors that choose to become a certified problem and pathological gambling treatment program.

COSTS: Under chapter 19.85 RCW, DBHR has considered annual costs to small businesses that are $50 or more per client. The department's analysis revealed that there are costs for the proposed new rules in chapter 388-877 WAC that will affect treatment services provided at approximately one thousand sites that meet the definition of a small business.

Agencies that wish to become department-licensed or -certified to provide behavioral health services must submit either a new agency or added service application to the department's DBHR.

The proposed chapter 388-877 WAC includes the application requirements for agencies that are not currently certified or licensed by the department, and for those that are currently certified or licensed under chapter 388-816, 388-805, or 388-865 WAC. The department is concurrently proposing to repeal these chapters and adopt new program-specific rules that regulate outpatient mental health, chemical dependency, and problem and pathological gambling programs. These new rules are being proposed as chapters 388-877A, 388-877B, and 388-877C WAC.

Costs include:

(1) A one-time cost for developing a policy and procedures manual that meets the requirements of the new rules.

(2) Updating/creating required forms.

(3) Assuring facility meets structural accessibility for current mental health programs.

(4) Complying with application requirements for added services or branch sites.

(5) Notification requirements of facility remodeling, approval for change of ownership, and voluntary program suspension or closure.

(6) Updating electronic health records.

The estimated costs for the agency's policy and procedures manual would be $0 to $5,000, depending on the agency's current chemical dependency or mental health certification or licensure. The costs would vary depending on the number and complexity of the licensed and/or certified programs and if the agency contracts with other entities to implement the programs and/or hires its own staff.

The following table identifies the types of programs and corresponding changes and estimated costs an agency may incur to implement these rules:

Types of Programs Probable Required Changes and/or Revisions Estimated Costs
Certified chemical dependency program

Policy and procedures manual

Form revision

Electronic health record revision

$0 - $5,000
Licensed and/or certified mental health programs

Policy and procedures manual

Form revision

Electronic health record revision

$0 - $5,000
Certified problem and pathological gambling programs (applies only if the program is not part of a certified chemical dependency program or licensed mental health program)

Policy and procedures manual

Form revision

Electronic health record revision

$0 - $5,000

Mitigating Costs: Costs are determined to be minor under chapter 19.85 RCW. For the rules of DSHS, "minor cost" means cost per business that is less than fifty dollars of annual cost per client or other appropriate unit of service.

The department plans to revise forms, as necessary, and post on the DBHR web site for agencies to download and copy. The cost for manual changes/revisions will be a one-time cost to the agency. The department will have staff available to answer any questions an agency may have in order to implement these rules. Agencies that choose to serve more than one client population will no longer incur costs to maintain multiple sets of policies and procedures, clinical records, and separate forms. Clients served by these agencies will be able to receive more seamless care.

BENEFITS: The benefits to the implementation of these rules include individual care, programmatic, administrative, and improved cross-systems collaboration.

(1) The new rules in chapter 388-877 WAC will integrate similar functions, such as individual service plans and rules for agency administrative, personnel, and clinical requirements.

(2) The rules provide an agency with a streamlined certification and/or licensure process for chemical dependency, mental health, and/or problem and pathological gambling treatment programs.

(3) The rules allow an individual needing more than one behavioral health treatment service to have one client record.

(4) The rules allow a single audit for all behavioral health services programs provided by an agency, and eliminate the need for multiple audits for agencies providing more than one behavioral health service.

(5) The rules provide standardization to all behavioral health services programs.

(6) The rules merge and place into one section definitions that apply to the general behavioral health services administrative rules and the program-specific rules for mental health, chemical dependency, and problem and pathological gambling services.

The department believes that new jobs will be created as a result of small businesses complying with these rules. This opinion is supported by department-hosted stakeholder/provider discussions held at statewide stakeholder meetings and by several all-day work group sessions attended by volunteer stakeholders and DBHR staff members.

The rules in chapter 388-877 WAC require that all persons providing or supervising clinical services in a licensed or certified agency have an active department of health (DOH) license, registration or certification. If an agency elects to serve individuals in need of chemical dependency, mental health and/or problem and pathological gambling services, it must have the appropriate DOH-credentialed staff to provide the specific service(s).

Agencies that elect to provide a combination of behavioral health services under chapter 388-877 WAC must employ or contract DOH-credentialed chemical dependency staff and mental health professionals to meet the program requirements they are licensed and/or certified to provide.


"Agency" means an agency or facility operated, licensed, or certified by the state of Washington.
"Mental health professional" includes:
(1) A psychiatrist, psychologist, psychiatric nurse or social worker as defined in chapters 71.05 and 71.34 RCW.
(2) A person with a master's degree or further advanced degree in counseling or one of the social sciences form an accredited college or university who has at least two years of experience in direct treatment of persons with mental illness or emotional disturbance, that was gained under the supervision of a mental health professional and is recognized by DBHR.

CONCLUSION: The department has given careful consideration to the impact of proposed rules in chapter 388-877 WAC on small businesses. To comply with the Regulatory Fairness Act (chapter 19.85 RCW), the department has analyzed impacts on small businesses and proposed ways to mitigate costs. The department has determined the costs to be minor and has determined the probable benefits outweigh the probable costs.

Please contact Kathy Sayre if you have any questions at (360) 725-1342, toll free at 1-877-301-4557, or by e-mail at kathy.sayre@dshs.wa.gov.

A copy of the statement may be obtained by contacting Kathy Sayre, P.O. Box 45330, Olympia, WA 98504-5330, phone (360) 725-1342, fax (360) 725-2280, e-mail kathy.sayre@dshs.wa.gov.

A cost-benefit analysis is required under RCW 34.05.328. A preliminary cost-benefit analysis may be obtained by contacting Kathy Sayre, P.O. Box 45330, Olympia, WA 98504-5330, phone (360) 725-1342, fax (360) 725-2280, e-mail kathy.sayre@dshs.wa.gov.

December 20, 2012

Katherine I. Vasquez

Rules Coordinator

4259.12
Chapter 388-877 WAC

BEHAVIORAL HEALTH SERVICES ADMINISTRATIVE REQUIREMENTS

Section One--Behavioral Health Services--Purpose and Scope
NEW SECTION
WAC 388-877-0100   Behavioral health services--Purpose and scope.   The rules in chapter 388-877 WAC:

(1) Establish the following for agencies that provide behavioral health services:

(a) Licensure and certification requirements;

(b) Agency administrative requirements;

(c) Agency personnel requirements; and

(d) Agency clinical policies and procedures.

(2) Support the specific program rules in chapter 388-877A WAC for mental health, chapter 388-877B WAC for chemical dependency, and chapter 388-877C WAC for problem and pathological gambling.

[]

Section Two--Behavioral Health Services--Definitions.
NEW SECTION
WAC 388-877-0200   Behavioral health services--Definitions.   The definitions in this section contain words and phrases used in chapter 388-877 WAC for behavioral health services programs. These definitions also apply to the program-specific rules for mental health services in chapter 388-877A WAC, chemical dependency rules in chapter 388-877B WAC, and problem and pathological gambling rules in chapter 388-877C WAC.

"Administrative (fair) hearing" means a proceeding before an administrative law judge that gives a party an opportunity to be heard in disputes about DSHS programs and services.

"Administrator" means the designated person responsible for the operation of the licensed treatment agency and/or certified treatment service.

"Adult" means an individual eighteen years of age or older. For an individual eligible for the medicaid program, adult means an individual twenty-one years of age or older.

"Agency" means an entity licensed by the department to provide behavioral health services.

"Assessment" means the process of obtaining all pertinent bio-psychosocial information, as identified by the individual, and family and collateral sources, for determining a diagnosis and to plan individualized services and supports.

"Behavioral health" means the prevention, treatment of, and recovery from chemical dependency, mental health and/or problem and pathological gambling disorders.

"Branch site" means a physically separate licensed site, governed by a parent organization, where qualified staff provides certified treatment services.

"Care coordination" means a process-oriented activity to facilitate ongoing communication and collaboration to meet multiple needs of an individual. Care coordination includes facilitating communication between the family, natural supports, community resources, and involved providers and agencies, organizing, facilitating and participating in team meetings, and providing for continuity of care by creating linkages to and managing transitions between levels of care.

"Case management" means the services provided to assist individuals residing in a community setting or transitioning to a community setting to gain access to needed medical, social, educational, entitlements and other applicable services.

"Certified peer counselor" means a current or former recipient of behavioral health services, who has met the experience and training requirements of, satisfactorily passed the examination given by, and is recognized by the division of behavioral health and recovery as a certified peer counselor under WAC 388-865-0107.

"Certified" means the status given to chemical dependency, mental health, and problem and pathological gambling program-specific services.

"Certified problem and pathological gambling treatment provider" means a Washington state certified gambling counselor (WSCGC) or a nationally certified gambling counselor (NCGC), certified by the Washington State Gambling Counselor Certification Committee or the International Gambling Counselor Certification Board to provide problem and pathological gambling treatment services.

"Change in ownership" means one of the following:

(1) The ownership of a licensed behavioral health agency changes from one distinct legal owner to another distinct legal owner;

(2) The type of business changes from one type to another, such as, from a sole proprietorship to a corporation; or

(3) The current ownership takes on a new owner of five per cent or more of the organizational assets.

"Clinical record" means a paper and/or electronic file that is maintained by the behavioral health agency and contains pertinent psychological, medical, and clinical information for each individual served.

"Clinical supervision" means regular and periodic activities performed by an appropriate level of professional for clinical staff. Clinical supervision includes review of assessment, diagnostic formulation, treatment planning, progress toward completion of care, identification of barriers to care, continuation of services, authorization of care, and the direct observation of the delivery of clinical care.

"Community mental health agency (CMHA)" means a behavioral health agency certified by the department to provide a mental health service.

"Community relations plan" means a plan to minimize the impact of an opiate substitution treatment program as defined by the Center for Substance Abuse Guidelines for the Accreditation of Opioid Treatment Programs, section 2.C.(4).

"Complaint" means the expression of a dissatisfaction with a service or program which may be investigated by the department.

"Consent" means agreement given by an individual after the person is provided with a description of the nature, character, anticipated results of proposed treatments and the recognized serious possible risks, complications, and anticipated benefits, including alternatives and nontreatment. Informed consent must be provided in a terminology that the person can reasonably be expected to understand.

"Criminal background check" means a search for any record of an individual's conviction or civil adjudication related to crimes against children or other persons, including developmentally disabled and vulnerable adults. A background check includes a search and review of current and past background check applicant self-disclosures, Washington state patrol criminal history data, Washington courts criminal history data, civil adjudication proceedings, department of health disciplinary board final decisions, out-of-state court or law enforcement records, and department of corrections information. A background check may include a national fingerprint-based background check, including a federal bureau of investigation criminal history search.

"Crisis" means an actual or perceived urgent or emergent situation that occurs when an individual's stability or functioning is disrupted and there is an immediate need to resolve the situation to prevent a serious deterioration in the individual's mental or physical health, or to prevent referral to a significantly higher level of care.

"Critical incident" means any one of the following events that must be reported to the division:

(1) Any death, serious injury, or sexual assault that occurs at an agency that is licensed by the department;

(2) Alleged abuse or neglect of an individual receiving services, that is of a serious or emergency nature, by an employee, volunteer, licensee, contractor, or another individual receiving services;

(3) A natural disaster, such as an earthquake, volcanic eruption, tsunami, urban fire, flood, or outbreak of communicable disease that presents substantial threat to facility operation or client safety;

(4) A bomb threat;

(5) Theft or loss of data in any form regarding an individual receiving services, such as a missing or stolen computer, or a missing or stolen computer disc or flash drive;

(6) Suicide attempt at the facility;

(7) An error in program-administered medication at an outpatient facility that results in adverse effects for the individual and requires urgent medical intervention; and

(8) Any media event regarding an individual receiving services, or regarding a staff member or owner(s) of the agency.

"Cultural competence" means the ability to recognize and respond to health-related beliefs and cultural values, disease incidence and prevalence, and treatment efficacy. Examples of cultural competent care include striving to overcome cultural, language, and communications barriers, providing an environment in which individuals from diverse cultural backgrounds feel comfortable discussing their cultural health beliefs and practices in the context of negotiating treatment options, encouraging individuals to express their spiritual beliefs and cultural practices, and being familiar with and respectful of various traditional healing systems and beliefs and, where appropriate, integrating these approaches into treatment plans.

"Deemed" means a status that may be given to a licensed behavioral health agency as a result of the agency receiving accreditation by a recognized behavioral health accrediting body which has a current agreement with DBHR.

"Department" means the Washington state department of social and health services.

"Designated Chemical Dependency Specialist" means a person designated by the county alcoholism and/or other drug addiction program coordinator designated under RCW 70.96A.310 to perform the commitment duties described in chapters 70.96A and 70.96B RCW;

"Designated Mental Health Professional (DMHP)" means a mental health professional designated by the county or other authority authorized in rule to perform duties under the involuntary treatment act as described in RCW 10.77.010, 71.05.020, 71.24.025 and 71.34.020.

"Disability" means a physical or mental impairment that substantially limits one or more major life activities of the individual and the individual:

(1) Has a record of such an impairment; or

(2) Is regarded as having such impairment.

"Division" means the division of behavioral health and recovery.

"Division of behavioral health and recovery" means the division within the department of social and health services (formerly the mental health division and the division of alcohol and substance abuse) that administers mental health, problem gambling and substance abuse programs authorized by chapters 43.20A, 71.05, 71.24, 71.34, and 70.96A RCW.

"Essential requirement" means a critical element of behavioral health treatment service delivery that must be present in order to provide effective treatment services. Critical elements include assessment, treatment planning and documentation of an individual's progress in treatment.

"Governing body" means the entity with legal authority and responsibility for the operation of the behavioral health agency, to include its officers, board of directors or the trustees of a corporation or limited liability company.

"Grievance" means an expression of dissatisfaction made by or on behalf of a publicly funded individual and referred to the agency or regional support network (RSN) for resolution.

"Individual" means a person receiving treatment services from a licensed behavioral health agency.

"Less restrictive alternative (LRA)" means court ordered outpatient treatment in a setting less restrictive than total confinement.

"Licensed" means the status given to behavioral health agencies by the department under its authority to license and certify mental health programs chapters 71.05, 71.34, 71.24 RCW and its authority to certify chemical dependency treatment programs chapter 70.96A RCW.

"Medical practitioner" means a physician, advance registered nurse practitioner (ARNP), or certified physician's assistant. An ARNP and a midwife with prescriptive authority may perform practitioner functions related only to specific specialty services.

"Medication administration" means the direct application of a medication or device by ingestion, inhalation, injection or any other means, whether self-administered by a resident, or administered by a guardian (for a minor), or an authorized healthcare provider.

"Mental health professional (MHP)" means a designation given by the department to an agency staff member who is:

(1) A psychiatrist, psychologist, psychiatric advanced registered nurse practitioner (ARNP), or social worker as defined in chapters 71.05 and 71.34 RCW;

(2) A person with a master's degree or further advanced degree in counseling or one of the social sciences from an accredited college or university who has at least two years of experience in direct treatment of persons with mental illness or emotional disturbance, that was gained under the supervision of a mental health professional and is recognized by the department;

(3) A person who meets the waiver criteria of RCW 71.24.260, which was granted prior to 1986;

(4) A person who had an approved waiver to perform the duties of a mental health professional (MHP), that was requested by the regional support network (RSN) and granted by the mental health division prior to July 1, 2001; or

(5) A person who has been granted a time-limited exception of the minimum requirements of a mental health professional by the department consistent with WAC 388-865-0265.

"Minor" means an individual who is not yet eighteen years of age.

"Offsite" means the provision of services by a provider from a licensed behavioral health agency at a location where the assessment and/or treatment is not the primary purpose of the site, such as in schools, hospitals, long term care facilities, correctional facilities, an individual's residence, the community, or housing provided by or under an agreement with the agency.

"Outpatient services" means behavioral health treatment services provided to an individual in a nonresidential setting.

"Patient placement criteria (PPC)" means admission, continued service, and discharge criteria found in the patient placement criteria (PPC) for the treatment of substance-related disorders as published by the American Society of Addiction Medicine (ASAM).

"Probation" means a licensing or certification status resulting from a finding of deficiencies that requires immediate corrective action to maintain licensure or certification.

"Progress notes" means permanent written or electronic record of services and supports provided to an individual documenting the individual's participation in, and response to, treatment, progress in recovery, and progress toward intended outcomes.

"Recovery" means a process of change through which an individual improves their health and wellness, lives a self-directed life, and strives to reach their full potential.

"Relocation" means a physical change in location from one address to another.

"Remodeling" means expanding existing office space to additional office space at the same address, or remodeling interior walls and space within existing office space to a degree that accessibility to or within the facility is impacted.

"Summary suspension" means the immediate suspension of a facility's license and/or program-specific certification by the department pending administrative proceedings for suspension, revocation, or other actions deemed necessary by the department.

"Supervision" means the regular monitoring of the administrative, clinical, or clerical work performance of a staff member, trainee, student, volunteer, or employee on contract by a person with the authority to give direction and require change.

"Suspend" means termination of a behavioral health agency's license or program specific certification to provide behavioral health treatment program service for a specified period or until specific conditions have been met and the department notifies the agency of the program's reinstatement.

"Vulnerable adult" means an individual who receives services from the department and has at least one of the following characteristics:

(1) A vulnerable adult as defined in chapter 74.34 RCW; and

(2) An individual admitted for detoxification or detained or committed to an involuntary treatment facility that is certified by the division.

"Youth" means an individual who is seventeen years of age or younger.

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Section Three--Behavioral Health Services--Agency Licensure and Certification
NEW SECTION
WAC 388-877-0300   Agency licensure--General information.   The department licenses agencies to provide behavioral health treatment services. To gain and maintain licensure, an agency must meet the requirements of chapter 388-877 WAC, applicable local and state rules, and state and federal statutes. In addition, the agency must meet the specific program requirements of chapter 388-877A WAC for mental health, chapter 388-877B WAC for chemical dependency, and chapter 388-877C WAC for problem and pathological gambling.

(1) An agency currently accredited by a national accreditation agency recognized by and having a current agreement with the department may be eligible for licensing through deeming. See WAC 388-877-0310.

(2) Initial applications and renewal forms for behavioral health agency licensure or certification may be downloaded at http://www.dshs.wa.gov/dbhr/daforms.shtml. Completed application packets, forms, and requests for deeming or other services should be mailed to: Division of Behavioral Health and Recovery, P.O. Box 45320, Olympia, WA 98504 5320.

(3) An agency must report to the department any changes that occur during the initial or renewal licensing or certification process. The department may request a copy of additional disclosure statements or background inquiries if there is reason to believe that offenses specified under RCW 43.43.830 have occurred since the original or renewal application was submitted.

(4) The department may grant an exemption or waiver from compliance with specific licensing or program certification requirements if the exemption does not violate an existing state, federal, or tribal law.

(a) To request an exemption to a rule in this chapter, the agency must:

(i) Submit the request in writing to the department;

(ii) Assure the exemption request does not jeopardize the safety, health, or treatment of an individual; and

(iii) Assure the exemption request does not impede fair competition of another service agency.

(b) The department approves or denies an exemption request in writing and requires the agency to keep a copy of the decision.

(c) Appeal rights under WAC 388-877-0370 do not apply to exemption to rule decisions.

(5) In the event of an agency closure or the cancellation of a program-specific certification, the agency must provide each individual:

(a) Notice of the agency closure or program cancellation at least thirty days before the date of closure or program cancellation;

(b) Assistance with relocation; and

(c) Information on how to access records to which the individual is entitled.

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Reviser's note: The typographical error in the above section occurred in the copy filed by the agency and appears in the Register pursuant to the requirements of RCW 34.08.040.
NEW SECTION
WAC 388-877-0305   Agency licensure--Application.   To apply for licensure to provide any behavioral health service, an agency must submit an initial application that is signed by the agency's designated official.

(1) The application must include the following:

(a) A copy of the agency's master business license that authorizes the organization to do business in Washington state;

(b) A list of the specific program services for which the agency is seeking certification;

(c) A copy of the report of findings from a criminal background check of the administrator and any owner of five percent or more of the organizational assets;

(d) The physical address of any agency operated facility where behavioral health services will be provided;

(e) A statement assuring the agency meets American Disability Act (ADA) standards and that the facility is appropriate for providing the proposed services;

(f) A copy of the policies and procedures specific to the agency;

(g) A staff roster, including each staff member's credentials under department of health (DOH) rules for professional standards and licensing if credentials are required for the position;

(h) A copy of a current DOH residential treatment facility certificate if the agency is providing chemical dependency residential treatment or mental health residential treatment; and

(i) Payment of associated fees.

(2) The department conducts an on-site review as part of the initial licensing or certification process (see WAC 388-877-0320).

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NEW SECTION
WAC 388-877-0310   Agency licensure--Deeming.   (1) The department may deem an agency to be in compliance with state minimum standards for licensure and program-specific certification based on the agency being currently accredited by a national accreditation agency recognized by and having a current agreement with the department.

(2) To be considered for deeming, an agency must submit a request to the department signed by the agency's designated official.

(3) Deeming will be in accordance with the established written agreement between the accrediting agency and the department.

(4) Specific licensing and certification requirements of any:

(a) State rule may only be waived through a deeming process consistent with the established written agreement between the accrediting agency and the department.

(b) State or federal law will not be waived through a deeming process.

(5) An agency operating under a department-issued provisional license or program-specific certification is not eligible for deeming.

(6) Any service added to an agency's existing services is:

(a) Considered provisional until the requirements in WAC 388-877-0345 are met and the department approves the service; and

(b) Not eligible for deeming until the service has been reviewed by the accrediting agency.

(7) Any branch site added to an existing agency:

(a) Must meet the requirements in WAC 388-877-0340; and

(b) Is not eligible for deeming until the site has been reviewed by the accrediting agency.

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NEW SECTION
WAC 388-877-0315   Agency licensure--Renewals.   A department-issued license, including program-specific certification, expires twelve months from the effective date. To renew a license or certification, an agency must submit a renewal request signed by the agency's designated official.

(1) The original renewal request must:

(a) Be received by the department before the expiration date of the agency's current license; and

(b) Include payment of the specific renewal fee (see WAC 388-877-0365).

(2) The department may conduct an on-site review as part of the renewal process (see WAC 388-877-0320).

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NEW SECTION
WAC 388-877-0320   Agency licensure--On-site reviews and plans of correction.   To obtain and maintain licensure to provide behavioral health services, including program-specific certification, each agency is subject to an on-site review to determine if the agency is in compliance with the minimum licensure and certification standards.

(1) A department review team representative(s) conducts an entrance conference with the agency and an on-site review that may include:

(a) A review of:

(i) Agency policies and procedures;

(ii) Personnel records;

(iii) Clinical records;

(iv) Facility accessibility requirements;

(v) The agency's internal quality management process that demonstrates how the agency evaluates program effectiveness and individual participant satisfaction; and

(vi) Any other information, including the criteria in WAC 388-877-0335 (1)(b), that the department determines to be necessary to confirm compliance with the minimum standards of this chapter.

(b) Interviews with:

(i) Individuals served by the agency; and

(ii) Agency staff members.

(2) The department review team representative(s) concludes an on-site review with an exit conference that includes, if applicable:

(a) A discussion of findings;

(b) A statement of deficiencies requiring a plan of correction; and

(c) A plan of correction signed by the agency's designated official and the department review team representative.

(3) The department requires the agency to correct the deficiencies listed on the plan of correction:

(a) By the negotiated time frame agreed upon by the agency and the department review team representative; or

(b) Immediately if the department determines consumer health and safety concerns require immediate corrective action.

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NEW SECTION
WAC 388-877-0325   Agency licensure and program-specific certification--Approvals and provisional approvals.   (1) The department grants an initial or provisional license or program-specific certification to an agency when:

(a) The application and agency policy and procedures submitted meet the requirements of WAC 388-877-0305(1);

(b) An on-site review is conducted under WAC 388-877-0320 and the agency corrects any noted deficiencies within the agreed upon time frame; and

(c) The department determines the agency is in compliance with the licensure and program-specific certification standards.

(2) The agency must post the department-issued license or certification in a conspicuous place on the facility's premises, and, if applicable, on the agency's branch site premises.

(3) See WAC 388-877-0330 for license and program-specific certification effective dates.

(4) See WAC 388-877-0315 for agency requirements for renewing licensure.

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NEW SECTION
WAC 388-877-0330   Agency licensure--Effective dates.   An agency's license is effective for up to twelve months from the effective date, subject to the agency maintaining compliance with the minimum license and program-specific certification standards in this chapter, and chapters 388-877A, 388-877B, and 388-877C WAC.

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NEW SECTION
WAC 388-877-0335   Agency licensure and program-specific certification--Denials, suspensions, restrictions, revocations, and penalties.   (1) The department may deny issuing or renewing a license or a specific program certification, place an agency on probation, or suspend, restrict, or revoke an agency's license or specific program certification for any of the following reasons, as applicable:

(a) The agency fails to meet the requirements in this chapter or other applicable state minimum standards or state and federal laws.

(b) The agency owner or agency administrator:

(i) Had a license or specific program certification issued by the department subsequently denied, suspended, or revoked;

(ii) Was convicted of child abuse or adjudicated as a perpetrator of substantiated child abuse;

(iii) Was convicted of abuse of a vulnerable adult or adjudicated as a perpetrator of substantiated abuse of a vulnerable adult;

(iv) Obtained or attempted to obtain a health provider license, certification, or registration by fraudulent means or misrepresentation;

(v) Committed, permitted, aided or abetted the commission of an illegal act or unprofessional conduct as defined under RCW 18.130.180;

(vi) Demonstrated cruelty, abuse, negligence, misconduct, or indifference to the welfare of a patient or displayed acts of discrimination;

(vii) Misappropriated patient (individual) property or resources;

(viii) Failed to meet financial obligations or contracted service commitments that affect patient care;

(ix) Has a history of noncompliance with state or federal rules in an agency with which the applicant has been affiliated;

(x) Knowingly, or with reason to know, made a false statement of fact or failed to submit necessary information in:

(A) The submitted application or materials attached; or

(B) Any matter under department investigation.

(xi) Refused to allow the department access to view records, files, books, or portions of the premises relating to operation of the program;

(xii) Willfully interfered with the preservation of material information or attempted to impede the work of an authorized department representative;

(xiii) Is currently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participating in transactions involving certain federal funds (this also applies to any person or business entity named in the agency's application for licensure or certification);

(xiv) Does not meet criminal background check requirements;

(xv) Fails to provide satisfactory application materials; or

(xvi) Advertises the agency as certified when licensing or certification has not been granted, or has been revoked or canceled.

(c) The department determines there is imminent risk to consumer health and safety.

(d) The agency's licensure or specific program certification is in probationary status and the agency fails to correct the noted health and safety deficiencies within the agreed-upon time frames.

(e) The agency voluntarily cancels licensure or certification.

(f) The agency fails to pay the required license or certification fees.

(g) The agency stops providing the services for which the agency is certified.

(h) The agency changes ownership without notifying the department.

(i) The agency relocates without notifying the department.

(2) The department sends a written notice to deny, suspend, revoke, or modify the licensure or certification status (see RCW 43.20A.205) that includes the reason(s) for the decision and the agency's right to appeal a department decision (refer to WAC 388-877-0370).

(3) If an agency fails to comply with the requirements of this chapter, the department may:

(a) Assess fees to cover costs of added licensing and program-specific certification activities, including when the department determines a corrective action is required due to a complaint or incident investigation;

(b) Stop referral(s) of an individual who is a program recipient of a state and/or federally-funded program; and

(c) Notify the county alcohol and drug coordinator, regional support network (RSN) and/or local media of stopped referrals, involuntary cancellation, suspensions, revocations, or nonrenewal of the agency's license or program-specific certification(s).

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NEW SECTION
WAC 388-877-0340   Agency licensure--Adding a branch site.   To add a branch site, an existing licensed behavioral health agency must notify the department and submit an application that is signed by the agency's designated official.

(1) The agency must also submit the following:

(a) A statement assuring the branch site meets American Disability Act (ADA) standards and that the facility is appropriate for providing the proposed services;

(b) A written declaration that a current copy of agency policies and procedures is accessible to the branch site and that the policies and procedures have been revised to accommodate the differences in business and clinical practices at that site; and

(c) Payment of fees (see WAC 388-877-0365).

(2) Each nonresident branch facility is subject to review by the department to determine if the facility is:

(a) Suitable for the purposes intended;

(b) Not a personal residence; and

(c) Approved as meeting all building and safety requirements.

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NEW SECTION
WAC 388-877-0345   Agency licensure and program-specific certification--Adding a new service.   To add a new service, a licensed behavioral health agency must request and submit an abbreviated application that is signed by the agency's designated official. The application must include the following:

(1) The name of the administrator providing management or supervision of services;

(2) The physical address of the agency-operated facility where the new service will be provided;

(3) A description of the agency's policies and procedures relating to the new service;

(4) The name and credentials of each staff member providing the new service; and

(5) Payment of fees (see WAC 388-877-0365).

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NEW SECTION
WAC 388-877-0350   Agency licensure--Change in ownership.   When a licensed behavioral health agency changes ownership, the department requires:

(1) A new license application (see WAC 388-877-0305);

(2) Payment of fees (see WAC 388-877-0365); and

(3) A statement regarding the disposition and management of clinical records in accordance with applicable state and federal laws.

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NEW SECTION
WAC 388-877-0355   Agency licensure--Change in location.   When a licensed behavioral health agency relocates to another address, the department requires:

(1) The agency to notify the department in writing of the new address at least thirty days before moving;

(2) A new license application (see WAC 388-877-0305); and

(3) Payment of fees (see WAC 388-877-0365).

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NEW SECTION
WAC 388-877-0360   Agency licensure and program-specific certification--Facility remodel.   When a licensed behavioral health agency changes the accessibility of the facility by remodeling, the department requires the agency to:

(1) Notify the department in writing of the facility remodel at least thirty days before the day the remodeling begins; and

(2) Ensure the facility's remodel meets all city and county codes, and state accessibility requirements.

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NEW SECTION
WAC 388-877-0365   Agency licensure and program-specific certification--Fee requirements.   (1) Payment of licensing and specific program certification fees required under this chapter must be included with the initial application, renewal application, or with requests for other services.

(2) Payment of fees must be made by check, bank draft, electronic transfer, or money order made payable to the department.

(3) The department may refund one-half of the application fee if an application is withdrawn before certification or denial.

(4) Fees will not be refunded when licensure or certification is denied, revoked, or suspended.

(5) The department charges the following fees for approved chemical dependency treatment programs:


Application Fees for Agency Certification for Approved Chemical Dependency Treatment Programs
New agency application $1,000
Branch agency application $500
Application to add one or more services $200
Application to change ownership $500
Initial and Annual Certification Fees for Detoxification, Residential, and Nonresidential Services
Detoxification and residential services $100 per licensed bed, per year, for agencies not renewing certification through deeming
$50 per licensed bed, per year, for agencies renewing certification through deeming per WAC 388-877-0310
Nonresidential services $750 per year for agencies not renewing certification through deeming
$200 per year for agencies certified through deeming per WAC 388-877-0310
Complaint/Incident Investigation Fees
All agencies $1,000 per substantiated complaint investigation and $1000 per substantiated incident investigation

(6) Agency providers must annually complete a declaration form provided by the department to indicate information necessary for establishing fees and updating certification information. Required information includes, but is not limited to:

(a) The number of licensed detoxification and residential beds; and

(b) The agency provider's national accreditation status.

(7) The department charges the following fees for approved mental health treatment programs:


Initial Licensing Application Fee for Mental Health Treatment Programs
Licensing application fee $1,000 initial licensing fee
Initial and Annual Certification Fees
Evaluation and treatment (E&T) bed fees $90 initial certification fee, per bed
$90 annual certification fee, per bed
Initial and Annual Licensing Fees for Agencies not Deemed
Annual service hours provided: Initial and annual licensing fees:
0-3,999 $728
4,000-14,999 $1,055
15,000-29,999 $1,405
30,000-49,999 $2,105
50,000 or more $2,575
Annual Licensing Fees for Deemed Agencies
Deemed agencies licensed by DBHR $500 annual licensing fee
Complaint/Incident Investigation Fee
All residential and nonresidential agencies $1,000 per substantiated complaint investigation and $1,000 per substantiated incident investigation

(8) Agencies providing nonresidential mental health services must report the number of annual service hours provided based on the division of behavioral health and recovery's (DBHR's) current published "Service Encounter Reporting Instructions for RSN's" and the "Consumer Information System (CIS) Data Dictionary for RSN's". These publications are available at: http://www.dshs.wa.gov/dbhr/mhpublications.shtml.

(a) Existing licensed agencies must compute the annual services hours based on the most recent state fiscal year.

(b) Newly licensed agencies must compute the annual service hours by projecting the service hours for the first twelve months of operation.

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NEW SECTION
WAC 388-877-0370   Agency licensure and program-specific certification--Appealing a department decision.   (1) To appeal a decision made by the department, an agency must file a written request for a hearing:

(a) Signed by the agency's administrator.

(b) Within twenty-eight days of the date of the department's written decision.

(c) To the Board of Appeals, P.O. Box 2465, Olympia, WA 98504, with a method that shows proof of receipt.

(d) That includes all of the following:

(i) A copy of the department's decision that is being contested.

(ii) The agency's reason for contesting the decision.

(iii) The specific rules, laws, and policy the agency believes are being violated.

(2) A decision will be made following the requirements of the Administrative Procedure Act, chapter 34.05 RCW, and chapter 388-02 WAC.

(3) The department may order a summary suspension of the agency's license or certification pending completion of the appeal process when the preservation of public health, safety, or welfare requires emergency action.

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Section Four--Behavioral Health Services--Agency Administration
NEW SECTION
WAC 388-877-0400   Agency administration--Governing body requirements.   An agency's governing body is responsible for the conduct and quality of the behavioral health services provided. The agency's governing body must:

(1) Assure there is an administrator responsible for the day-to-day operation of services.

(2) Maintain a current job description for the administrator, including the administrator's authority and duties.

(3) Approve the mission statement for the services provided.

(4) Notify the department within thirty days of changes of the administrator.

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NEW SECTION
WAC 388-877-0410   Agency administration--Administrator key responsibilities.   (1) The agency administrator is responsible for the day-to-day operation of the agency's licensed or certified behavioral health treatment services, including:

(a) All administrative matters;

(b) Individual care services; and

(c) Meeting all applicable rules, policies, and ethical standards.

(2) The administrator must:

(a) Delegate to a staff person the duty and responsibility to act in the administrator's behalf when the administrator is not on duty or on call.

(b) Ensure administrative, personnel, and clinical policies and procedures are adhered to and kept current to be in compliance with the rules in this chapter, as applicable.

(c) Employ sufficient qualified personnel to provide adequate treatment services, facility security, the safety of each individual, and other identified needs of individuals receiving services.

(d) Ensure all persons providing clinical services are credentialed for their scope of practice as required by the department of health.

(e) Identify at least one person to be responsible for clinical supervision duties.

(f) Ensure that there is an up-to-date personnel file for each employee, trainee, student, volunteer, and for each contracted staff person who provides or supervises an individual's care.

(g) Ensure that personnel records document that Washington state patrol background checks consistent with RCW 43.43.830 through 43.43.834 have been completed for each employee in contact with individuals receiving services.

(3) The administrator must ensure the agency develops and maintains a written internal quality management process that:

(a) Addresses the clinical supervision and training of clinical staff;

(b) Monitors compliance with the rules in this chapter, and other state and federal rules and laws that govern agency licensing and certification requirements; and

(c) Continuously improves the safety and quality of care in response to all of the following:

(i) Critical incidents;

(ii) Complaints; and

(iii) Grievances.

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NEW SECTION
WAC 388-877-0420   Agency administration--Policies and procedures.   Each agency licensed by the department to provide any behavioral health service must develop, implement, and maintain administrative policies and procedures to meet the minimum requirements of this chapter. The policies and procedures must demonstrate the following, as applicable:

(1) Ownership. Documentation of the agency's governing body, including a description of membership and authorities, and documentation of the agency's:

(a) Articles and certificate of incorporation and bylaws if the owner is a corporation;

(b) Partnership agreement if the owner is a partnership; or

(c) Sole proprietorship if one person is the owner.

(2) Licensure. A copy of the agency's master business license that authorizes the organization to do business in Washington state that:

(a) Includes the entity's name, firm name, or registered trade name; and

(b) Lists all addresses where the entity performs services.

(3) Organizational description. An organizational description detailing all positions and associated licensure or certification, updated as needed.

(4) Agency staffing and supervision. Documentation that shows the agency has staff members:

(a) Adequate in number to provide program-specific certified services to serve the agency's caseload of individuals; and

(b) Who provide treatment in accordance to regulations relevant to their specialty or specialties and registration, certification, licensing, and trainee or volunteer status.

(5) Interpreter services for individuals with Limited English Proficiency (LEP) and individuals who have sensory disabilities. Documentation that demonstrates the agency's ability to provide or coordinate services for individuals with LEP and individuals who have sensory disabilities.

(a) Certified interpreters or other interpreter services must be available for individuals with limited English speaking proficiency and individuals who have sensory disabilities if required by agency certification or licensure or certification; or

(b) The agency must have the ability to effectively provide, coordinate or refer individuals in these populations for appropriate assessment or treatment.

(6) Reasonable access for individuals with disabilities. A description of how reasonable accommodations will be provided to individuals with disabilities.

(7) Nondiscrimination. A description of how the agency complies with all state and federal nondiscrimination laws, rules, and plans.

(8) Fee schedules. A copy of the agency's current fee schedules for all services must be available on request.

(9) Funding options for treatment costs. A description of how the agency works with individuals to address the funding of an individual's treatment costs, including a mechanism to address changes in the individual's ability to pay.

(10) State and federal rules on confidentiality. A description of how the agency implements state and federal rules on individuals' confidentiality consistent with the service or services being provided.

(11) Reporting and documentation of suspected abuse, neglect, or exploitation. A description how the agency directs staff to report and document suspected abuse, neglect, or exploitation of a child and vulnerable adult consistent with chapters 26.44 and 74.34 RCW.

(12) Protection of youth. Documentation of how the agency addresses the protection of youth participating in group or residential treatment with adults.

(13) Reporting the death of an individual seeking or receiving services. A description of how the agency directs staff to report to the department within one business day the death of any individual which occurs on the premises of a licensed agency.

(14) Reporting critical incidents involving individuals. A description of how the agency directs staff to report to the department within two business days any critical incident that occurs involving an individual, and actions taken as a result of the incident.

(15) A smoking policy. Documentation that a smoking policy consistent with the Washington Clean Indoor Air Act, Chapter 70.160 RCW, is in place.

(16) Outpatient evacuation plan. For a nonresidential agency, an evacuation plan for use in the event of a disaster or emergency that addresses:

(a) Different types of disasters or emergencies;

(b) Placement of posters showing routes of exit;

(c) The need to mention evacuation routes at public meetings;

(d) Communication methods for individuals, staff, and visitors, including persons with a visual or hearing impairment or limitation;

(e) Evacuation of mobility impaired individuals; and

(f) Evacuation of children if child care is offered.

(17) Individual rights. A description of how the agency has individual participation rights and policies consistent with WAC 388-877-0600.

(18) Individual complaints and grievances. A description of how the agency addresses an individual's complaint and/or grievance.

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NEW SECTION
WAC 388-877-0430   Agency administration--Treatment facility requirements.   Each agency licensed by the department to provide any behavioral health service must ensure that its treatment facility:

(1) Is accessible to an individual with a disability.

(2) Has a reception area separate from living and therapy areas.

(3) Has adequate private space for personal consultation with an individual, staff charting, and therapeutic and social activities, as appropriate.

(4) Has secure storage of an individual's active or closed confidential record.

(5) Has secure, locked storage of poisonous external chemicals and caustic materials.

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Section Five--Behavioral Health Services--Personnel
NEW SECTION
WAC 388-877-0500   Personnel--Agency policies and procedures.   Each agency licensed by the department to provide any behavioral health service must develop, implement, and maintain personnel policies and procedures. The policies and procedures must meet the minimum requirements of this chapter and include the following, as applicable:

(1) Hiring practices. Identification of how the agency:

(a) Ensures all persons providing or supervising clinical services have an active registration, certification, or license granted by the department of health consistent with the services provided; and

(b) Ensures the requirements of WAC 388-06-0170 are met if the agency provides services to youths.

(2) Background checks. Identification of how the agency conducts Washington state background checks on each agency employee in contact with individuals receiving services, consistent with RCW 43.43.830 through 43.43.842.

(3) Excluded provider list. A description of how the agency conducts a review of the list of excluded individuals/entities (LEIE) searchable database (found on the Office of Inspector General, U.S. Department of Health and Human Services website at http://oig.hhs.gov) for each employee in contact with individuals receiving services, to include a procedure on how the agency:

(a) Reviewed the LEIE database at the time of the employee's hire and annually thereafter; and

(b) Assured the employee is not currently debarred, suspended, proposed for debarment, declared ineligible, or voluntary excluded from participating in transactions involving certain federal funds.

(4) Drug free workplace. Identification of how the agency provides for a drug free work place that includes:

(a) A philosophy of no tolerance of illegal drug-related activity;

(b) Agency program standards of prohibited conduct; and

(c) Actions to be taken in the event a staff member misuses alcohol or other drugs.

(5) Supervision. Identification of how supervision is provided to assist program staff and volunteers to increase their skills, and improve quality of services to individuals and families.

(6) Staff training. A description of how the agency provides training within thirty days of an employee's hire date and annually thereafter:

(a) Consistent with the agency's certified or licensed services.

(b) On cultural competency that assists staff in recognizing when cultural barriers interfere with clinical care.

(c) That includes a review of:

(i) Procedures for how to respond to individuals in crisis;

(ii) Emergency procedures;

(iii) Program policies and procedures;

(iv) Rights for individuals receiving services and supports;

(v) Population-specific information; and

(iv) An overview of applicable community resources.

(d) To meet the requirements of this chapter.

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NEW SECTION
WAC 388-877-0510   Personnel--Agency record requirements.   Each agency licensed by the department to provide any behavioral health service must maintain a personnel record for each person employed by the agency.

(1) The personnel record must contain the following:

(a) Documentation of annual training, including documentation that the employee successfully completed training on cultural competency (see WAC 388-877-0500 (6)(b)).

(b) A signed and dated commitment to maintain patient (individual) confidentiality in accordance with state and federal confidentiality requirements.

(c) A record of an orientation to the agency that includes:

(i) An overview of the administrative, personnel and clinical policies and procedures.

(ii) The duty to warn or to take reasonable precautions to provide protection from violent behavior when an individual has communicated an actual imminent threat of physical violence against a reasonably identifiable victim or victims. Taking reasonable precautions includes notifying law enforcement.

(iii) Staff ethical standards and conduct, including reporting of unprofessional conduct to appropriate authorities.

(iv) The process for resolving client complaints and/or grievances.

(v) The facility evacuation plan.

(d) A copy of the staff member's valid current credential issued by the department of health for their scope of practice.

(e) For noncontract staff, a copy of a current job description, signed and dated by the employee and supervisor which includes:

(i) A job title;

(ii) Minimum qualifications for the position; and

(iii) A summary of duties and responsibilities.

(f) For contract staff, formal agreements or personnel contracts that describe the nature and extent of patient care services, may be substituted for job descriptions.

(g) Performance evaluations conducted by the immediate supervisor or designee.

(2) Staff members who have received services from the agency must have personnel records that:

(a) Are separate from clinical records; and

(b) Have no indication of current or previous service recipient status.

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NEW SECTION
WAC 388-877-0520   Personnel--Agency requirements for supervision of trainees and interns.   Each agency licensed by the department to provide any behavioral health service must ensure the following supervision requirements are met for trainees and interns:

(1) Each trainee and intern who receives training at an agency must be assigned a supervisor who has been approved by the agency administrator or designee.

(2) The assigned supervisor:

(a) Must be credentialed by the department of health for their scope of practice;

(b) Is responsible for all individuals assigned to the trainee or intern they supervise; and

(c) Must review clinical documentation with the trainee or intern as part of the supervision process.

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NEW SECTION
WAC 388-877-0530   Personnel--Agency requirements for volunteers and student practicum.   Each agency licensed by the department to provide any behavioral health service is responsible to provide orientation to any volunteer or student assisting the agency. In addition, the agency must ensure and document that:

(1) Each volunteer meets the qualifications of the position they are assigned.

(2) Each student who uses the agency as a setting for student practicum is supported by an educational institution.

(a) The agency and the educational institution must have a written agreement that describes:

(i) The nature and scope of student activity at the treatment setting; and

(ii) The plan for supervision of student activities.

(b) The agency must obtain and retain a confidentiality statement signed by the student and the student's academic supervisor.

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Section six--Behavioral health services--Clinical
NEW SECTION
WAC 388-877-0600   Clinical--Individual rights.   (1) Each agency licensed by the department to provide any behavioral health service must develop a statement of individual participant rights applicable to the service categories the agency is licensed for, to ensure an individual's rights are protected in compliance with chapters 71.12, 70.96A, 71.05, and 71.34 RCW. In addition, the agency must develop a general statement of individual participant rights that incorporates at a minimum the following statements. "You have the right to:

(a) Receive services without regard to race, creed, national origin, religion, gender, sexual orientation, age or disability;

(b) Practice the religion of choice as long as the practice does not infringe on the rights and treatment of others or the treatment service. Individual participants have the right to refuse participation in any religious practice;

(c) Be reasonably accommodated in case of sensory or physical disability, limited ability to communicate, limited English proficiency, and cultural differences;

(d) Be treated with respect, dignity and privacy, except that staff may conduct reasonable searches to detect and prevent possession or use of contraband on the premises;

(e) Be free of any sexual harassment;

(f) Be free of exploitation, including physical and financial exploitation;

(g) Have all clinical and personal information treated in accord with state and federal confidentiality regulations;

(h) Review your clinical record in the presence of the administrator or designee and be given an opportunity to request amendments or corrections;

(i) Receive a copy of agency complaint and grievance procedures upon request and to lodge a complaint or grievance with the provider if you believe your rights have been violated; and

(j) File a complaint with the department when you feel the agency has violated a WAC requirement regulating behavior health agencies.

(2) Each agency must ensure the applicable individual participant rights described in subsection (1) of this section are:

(a) Provided in writing to each individual on or before admission;

(b) Available in alternative formats for individuals who are blind;

(c) Translated to the most commonly used languages in the agency's service area;

(d) Posted in public areas; and

(e) Available to any participant upon request.

(3) Each agency must ensure all research concerning an individual whose cost of care is publicly funded is done in accordance with chapter 388-04 WAC, protection of human research subjects, and other applicable state and federal rules and laws.

(4) In addition to the requirements in this section, each agency enrolled as a medicare and/or medicaid provider must ensure an individual seeking or participating in behavioral health treatment services, or the person legally responsible for the individual is informed of their medicaid rights at time of admission and in a manner that is understandable to the individual or legally responsible person.

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NEW SECTION
WAC 388-877-0610   Clinical--Initial assessment.   Each agency licensed by the department to provide any behavioral health service is responsible for an individual's initial assessment.

(1) The initial assessment must be:

(a) Conducted in person; and

(b) Completed by a professional appropriately credentialed to provide chemical dependency, mental health, and/or problem and pathological gambling services as determined by state law.

(2) The initial assessment must include and document:

(a) Individual identifying information;

(b) Presenting issues;

(c) Name of the individual's medical provider(s);

(d) Medical concerns;

(e) Medications currently taken;

(f) Brief mental health, substance use, and problem and pathological gambling histories;

(g) Any identification of risk of harm to self and others, including suicide and/or homicide. A referral for provision of emergency/crisis services must be made if indicated in the risk assessment;

(h) Information that a person is court ordered to treatment or is under the supervision of the department of corrections; and

(i) Treatment recommendations.

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NEW SECTION
WAC 388-877-0620   Clinical--Individual service plan.   Each agency licensed by the department to provide any behavioral health service is responsible for an individual's service plan as follows:

(1) The individual service plan must:

(a) Be completed or approved by a professional appropriately credentialed to provide mental health, chemical dependency, and/or problem and pathological gambling services.

(b) Address age, gender, cultural, strengths and/or disability issues identified by the individual or, if applicable, the individual's parent(s) or legal representative.

(c) Be in a terminology that is understandable to the individual and the individual's family.

(d) Document that the plan was mutually agreed upon and a copy was provided to the individual.

(e) Demonstrate the individual's participation in the development of the plan.

(f) Document participation of family or significant others, if participation is requested by the individual and is clinically appropriate.

(g) Be strength-based.

(h) Contain measurable goals or objectives, or both.

(i) Be updated to address applicable changes in identified needs and achievement of goals and objectives.

(2) When required by law, the agency must notify the required authority of a violation of a court order or nonparticipation in treatment, or both.

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NEW SECTION
WAC 388-877-0630   Clinical--Individual clinical record system.   Each agency licensed by the department to provide any behavioral health service must:

(1) Maintain a comprehensive clinical record system that includes policies and procedures that protect an individual's personal health information; and

(2) Ensure that the individual's personal health information is shared or released only in compliance with applicable state and federal law.

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NEW SECTION
WAC 388-877-0640   Clinical--Record content.   Each agency licensed by the department to provide any behavioral health service is responsible for an individual's clinical record content. The clinical record must include:

(1) Documentation the individual received a copy of counselor disclosure requirements established under RCW 18.19.060.

(2) Demographic information.

(3) An initial assessment.

(4) Documentation of the individual's response when asked if:

(a) The individual is under department of corrections (DOC) supervision.

(b) The individual is under civil or criminal court ordered mental health or chemical dependency treatment.

(c) There is a court order exempting the individual participant from reporting requirements. A copy of the court order must be included in the record if the participant claims exemption from reporting requirements.

(5) Documentation that the agency met all the following requirements when an individual informs the agency that the individual is under supervision by DOC due to a less restrictive alternative or DOC order for treatment:

(a) The agency notified DOC orally or in writing. The agency must confirm an oral notification with a written notice by electronic mail or fax.

(b) The agency obtained a copy of the court order from the individual and placed it in the record when the individual has been given relief from disclosure by the committing court.

(c) When appropriate, the agency requested an evaluation by a designated mental health professional (DMHP) when the provider becomes aware of a violation of the court-ordered treatment and the violation concerns public safety.

(6) The initial and any subsequent individual service plan that include:

(a) All revisions to the plan, consistent with the service(s) the individual receives; and

(b) Documentation of objective progress towards established goals as outlined in the plan.

(7) Documentation the individual was informed of applicable federal and state confidentiality requirements.

(8) Documentation of confidential information that has been released without the consent of the individual under RCW 70.02.050, 71.05.390, and 71.05.630, and the Health Insurance Portability and Accountability Act (HIPAA).

(9) Documentation that any mandatory reporting of abuse, neglect, or exploitation consistent with chapters 26.44 and 74.34 RCW has occurred.

(10) If treatment is not court-ordered, documentation of informed consent to treatment by the individual or individual's parent, or other legal representative.

(11) If treatment is court-ordered, a copy of the detention or involuntary treatment order.

(12) Documentation of coordination of care, as needed.

(13) Documentation of all service encounters.

(14) Medication records, if applicable.

(15) Laboratory reports, if applicable.

(16) Properly completed authorizations for release of information, if applicable.

(17) Copies of applicable correspondence.

(18) Discharge information.

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NEW SECTION
WAC 388-877-0650   Clinical--Access to clinical records.   Each agency licensed by the department to provide any behavioral health service must:

(1) Provide access to an individual's clinical record at the request of the individual or, if applicable, the individual's designated representative, and/or legal representative. The agency must:

(a) Review the clinical record before making the record available in order to identify and remove:

(i) Any material confidential to another person, agency, or provider; and

(ii) Reports not originated by the agency.

(b) Make the clinical record available to the requester within fifteen days of the request.

(c) Allow appropriate time and privacy for the review.

(d) Have a clinical staff member available to answer questions.

(e) Charge for copying at a rate not higher than defined in RCW 70.02.010(12).

(2) Make an individual's clinical record available to department staff as required for department program review.

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