Regulation text
Agency
Alcohol and Drug Abuse Commission
Subject
Minimum Standards of Eligibility for Commission Funding for Private Nonprofit
Organizations and Municipalities
Inclusive Sections
§§ 17-226d-1—17-226d-11
C ON TEN TS
Sec. 17-226d-1. Definitions
Sec. 17-226d-2. General provisions
Sec. 17-226d-3. Grants process
Sec. 17-226d-4. Fiscal requirements
Sec. 17-226d-5. Organization and administration
Sec. 17-226d-6. Treatment and rehabilitation programs
Sec. 17-226d-7. Treatment and rehabilitation program requirements for specific
modalities
Sec. 17-226d-8. Long term care and rehabilitation programs
Sec. 17-226d-9. Shelters
Sec. 17-226d-10. Employee assistance, community awareness, prevention and inter-
vention programs
Sec. 17-226d-11. Service recipient’s rights
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Revised: 2015-3-6 R.C .S.A . §§ 17-226d-1—17-226d-11
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-1
Minimum Standards of Eligibility for Commission Funding for Private Nonprofit
Organizations and Municipalities
Sec. 17-226d-1. Definitions
For the purpose of sections 1 through 11 inclusive
(A ) “Awardee” means the municipality or nonprofit organization which is a recipient of
C ommission funding.
(B) “C hart of A ccounts” means a listing of the various fund accounts, income and expense
classifications and their respective numerical designations, if any, that an organization
utilizes to account for its financial transactions.
(C ) “C lient” means a person receiving services from an alcohol or drug abuse treatment
program which is a recipient of C ommission funding.
(D) “C ommission” means the C onnecticut A lcohol and Drug A buse C ommission.
(E) “C ommission Staff” means one or more persons employed by the C ommission in a
professional capacity whose duties include responsibility for reviewing and evaluating
program performance.
(F) “C ontinuum of C are” means the array of services including prevention, intervention
and treatment services designed to meet a variety of needs resulting from potential or actual
substance abuse.
(G) “C ounseling Session” means a scheduled meeting of 30 minutes or longer duration
where group, individual, or family counseling is provided.
(H) “Direct C osts” means those costs which can be identified specifically with a particular
cost objective.
(I) “Eligible C lients” means those persons who are unable, either directly or through third
party reimbursement or through a combination of both, to pay the full charge for services
provided by an awardee under a fee for service award.
(J) “Employee A ssistance” means a service funded by the C ommission for the purpose
of assisting employers in motivating and referring to appropriate professional assistance,
those employees whose personal problems, which may include substance abuse, have
seriously interfered with their job performance.
(K) “Excess Payments” means any payment made by the C ommission pursuant to a fee
for service award which exceeds the amount authorized for the actual services provided.
(L) “Executive Director” means the executive director of the C ommission except where
the context of a particular section indicates otherwise.
(M ) “Fee-For-Service Award” means an agreement between the C ommission and an
awardee whereby the C ommission reimburses the awardee for designated services at a
predetermined rate up to a maximum amount specified in the contract or letter of award.
(N ) “Governing A uthority” means the person or persons with ultimate authority and
responsibility for the overall operation of the awardee.
(O) “Grant” means an agreement between the C ommission and a private nonprofit
organization or municipality whereby the C ommission awards funds to carry out specified
programs, services or activities related to the prevention of, treatment of, or education about,
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-1
substance abuse pursuant to the authority of C onnecticut General Statutes section 17-226d.
(P) “Indirect C osts” means those costs incurred for a common or joint purpose benefiting
more than one cost objective and not readily assignable to the cost objectives specifically
benefited.
(Q) “N on competitive continuation award” means a subsequent award made to an
awardee based on a history of satisfactory compliance with C ommission requirements so
that the awardee may continue to offer the services originally funded by the C ommission.
(R) “Policy” means a statement of the principles which guide and govern the activities,
procedures and operations of a program.
(S) “Probation” means a C ommission decision to impose additional conditions on an
awardee who is in violation of C ommission requirements rather than terminate the awardee’s
letter of award or contract in order to provide an opportunity for the awardee to come into
compliance with C ommission requirements.
(T) “Procedure” means a series of activities designed to implement program goals or
policy.
(U) “Program” means an organizational entity operated by an awardee which provides
alcohol and/or drug abuse related services. A program may be an identified administrative
unit within a larger organization or it may consist of more than one component.
(V) “Review and evaluation” means an assessment by C ommission staff of an awardee’s
compliance with C ommission regulations and the terms and conditions of the awardee’s
contract or letter of award. The assessment may include review of an awardee’s records,
review of an awardee’s reports, on site visits, and interviews with the awardee’s employees
and any persons who receive services from the awardee’s program.
(W) “Service Recipient” means a person who receives any type of services from a
program which is a recipient of C ommission funding.
(X) “State methadone authority” means the person having the powers and duties
described in the Federal M ethadone Regulations, 21C FR 291.505.
(Y) “Substance abuse” means the use of one or more drugs, including alcohol which
significantly and negatively impacts one or more major areas of life functioning.
(Z) “Supplemental funding” means additional funding granted to an awardee by the
C ommission during the term of the awardee’s contract or letter of award.
(A A ) “Surplus”means the total amount awarded by the C ommission plus the income
received by the awardee for award supported activities which exceeds the total of allowable
expenses.
(BB) “Terminate” means a unilateral decision by the C ommission to end its financial
support of an awardee because the awardee has been found to be in violation of C ommission
requirements.
(C C ) “Treatment and rehabilitation” means one or more meetings between a client and a
program’s treatment staff wherein a broad range of planned services may be extended to
the client including diagnostic evaluation, counseling, medical, psychiatric, psychological
and supportive services which are designed to influence the behavior of clients toward
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-2
identified goals and objectives.
(DD) “Treatment staff” means those persons employed by an awardee who are directly
involved in client care and treatment.
(EE) “Unallocated funds” means those funds which, although appropriated by the
Legislature for use by the C ommission, have not been specifically designated for a particular
type of recipient by the C ommission.
(FF) “Unencumbered funds” means those funds which become available during a fiscal
year due to underexpenditure of grant funds by awardees or delayed start-up of newly
funded programs.
(Effective September 20, 1984)
Sec. 17-226d-2. General provisions
(a) Applicability
(1) Sections 17-226d-1 to 17-226d-11, inclusive, apply only to those private nonprofit
organizations and municipalities which apply for or receive state or federal funding, or both
from the C ommission for the purpose of establishing, expanding or continuing one or more
of those alcohol and/or drug abuse services authorized by C onnecticut General Statutes
section 17-226d.
(2) The provisions of sections 17-226d-1 to 17-226d-11 apply to each applicant or
awardee except where the content of a regulation or any portion thereof is expressly
applicable only to a specific group of applicants or awardees, or expressly exempts a specific
group of applicants or awardees.
(b) Minimum standards
(1) Sections 17-226d-1 to 17-226d-11 comprise the minimum standards of eligibility for
C ommission funding. M eeting the minimum requirements does not guarantee that an
applicant or awardee will receive C ommission funding, nor that funding will be awarded
in subsequent fiscal years.
(2) The C ommission may impose additional requirements beyond those contained in
sections 17-226d-1 through 17-226d-11 on any individual applicant or awardee either
through terms in the letter of award or contract between the awardee and the C ommission,
or by at least 30 days written prior notice from the C ommission that additional requirements
must be met by the applicant or awardee in order to qualify for, or continue to receive
C ommission funding. A dditional requirements may be imposed when an applicant or
awardee has limited financial management or service delivery experience, or has an
inadequate performance record, or in order to correct a specific weakness identified by the
C ommission, or in order to fulfill special service or information needs.
(c) Requirements of other agencies
(1) In order to be eligible for C ommission funding:
(A ) an awardee or applicant who is required to be licensed by the Department of Health
Services pursuant to C hapter 368v of the C onnecticut General Statutes or by the Department
of C hildren and Youth Services pursuant to Section 17-432 of the C onnecticut General
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-2
Statutes must obtain and retain such license.
(B) an awardee or applicant who is required by C hapter 368c to obtain a certificate of
need or other approval from the C ommission on Hospitals and Health C are must obtain
such certificate of need or approval.
(2) The C ommission may refuse to fund an applicant or awardee unless such applicant
or awardee can demonstrate that the physical facility at which it offers or proposes to offer
services is in compliance with all applicable local and state zoning building, health, fire and
safety standards.
(d) Commission’s discretion in awarding funds
(1) The specific amount of every award, whether by grant or by fee for service award,
is within the sole discretion of the C ommission.
(2) A ll C ommission awards are made subject to the availability of appropriated state and
federal funds.
(3) Available funds, except for those funds which are required to be allocated to specific
geographic area or type of service by state or federal statute or regulation, shall be allocated
to types of services and geographic areas of the state by majority vote of the C ommission
at a regularly scheduled meeting held in accordance with the requirements of C onnecticut
General Statutes, sections 1-21.
(e) Waiver
(1) A t the request of the applicant or awardee the executive director may issue a written
waiver of any of the requirements of sections 17-226d-1 through 17-226d-11 which are not
otherwise required by law and for which the C ommission has authorized the executive
director to grant waivers.
(2) The request for a waiver must be in writing and must be signed by the executive
director of the applicant or awardee. The waiver may be granted only if accompanied by
documentation which demonstrates that the waiver is in the best interest of the applicant or
awardee’s service recipients.
(3) Waivers shall only be issued prospectively.
(f) Utilization
The C ommission may reduce the funding of any Awardee who does not maintain the
projected utilization described in the awardee’s approved funding application.
(g) Review and evaluation
(1) The performance of each awardee shall be reviewed and evaluated at least annually
for the C ommission by C ommission staff. Such reviews and evaluations may be performed
by examining the awardee’s documents and reports, by site visits to C ommission funded
facilities administered by the awardee, or by a combination of both document review and
site visits.
(2) A n awardee’s performance shall be evaluated by a review of:
(A ) its compliance with all applicable state and federal laws and regulations including
sections 17-226d-1 through 17-226d-11, and the terms and conditions of its individual letter
of award or contract;
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-2
(B) the degree of achievement of its own self-described goals and objectives as
negotiated with the awardee and described in the awardee’s approved funding application;
(C ) its financial reports to the C ommission and annual audit; and
(D) The economy and efficiency of its operations.
(3) During any site visit, C ommission staff shall be given access to:
(A ) all program records, service recipient records including client treatment records and
clinical records, and required personnel information related to C ommission funded activities
and all fiscal records whether or not they pertain to C ommission funds;
(B) any person employed at the site who is present at the site at the time of the visit, or
any individual member of the awardee’s governing body whom the C ommission staff wish
to interview, such interviews with members of the governing body shall be scheduled at the
convenience of the members of the governing body;
(C ) all physical facilities which are utilized for C ommission funded activities;
(D) service recipients, including clients, to whom the awardee is providing alcohol or
drug abuse related services funded by the C ommission and who agree to be interviewed.
N o client identifying information shall be removed from the program premises as a result
of such interview.
(h) Required reporting
(1) Each awardee shall send the C ommission upon the request of the Executive Director
copies of any written policies, manuals, guidelines and any other documents required by
sections 17-226d-1 through 17-226d-11, except client records as defined in section 17-226d-
6. C ommission staff shall have access to all such required documents during site visits.
(2) A ny reports required by sections 17-226d-1 through 17-226d-11 or by an awardee’s
contract or letter of award shall be submitted to the C ommission in the form, manner and
at the times designated by the C ommission.
(3) A n awardee whose funding is canceled or terminated or who unilaterally closes a
C ommission funded program providing alcohol or drug abuse services shall submit a final
financial report to the C ommission within 30 days of the date of the cancellation, termination
or program closure.
(i) Technical assistance
(1) Technical assistance may be made available to any awardee who requests it in
writing. Such assistance shall be provided only if the executor director determines that:
(A ) The awardee is in need of assistance and
(B) The C ommission has the resources to provide the requested assistance.
(j) Research projects
Individual awardees shall, upon written notification from the C ommission, cooperate and
make available that information necessary for the conduct of research and evaluation
activities undertaken or sanctioned by the C ommission.
(k) Acknowledgement of Commission support
Each awardee shall acknowledge C ommission support and funding in any brochures,
newsletters, pamphlets, annual reports or other written material pertaining to programs and
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-3
activities funded by the C ommission.
(Effective September 20, 1984)
Sec. 17-226d-3. Grants process
(a) Application procedure
(1) A ll applicants
(A ) Each applicant for C ommission funding shall apply on forms designated by the
C ommission and shall submit all information requested on the application form and copies
of all documents required by sections 17-226d-1 through 17-226d-11 and copies of all
subcontracts.
(B) The application of a nonprofit organization shall be signed by a signatory authorized
by the organization’s board of directors. The application of a municipality shall be signed
by a signatory authorized by the municipality.
(C ) The services for which an applicant seeks C ommission funding must be consistent
with plans adopted by the C ommission.
(2) Each awardee applying for noncompetitive continuation awards shall prepare and
submit a yearly funding application at a time and in a manner designated by the executive
director and shall include with such application all information and documents required by
sections 17-226d-1 through 17-226d-11 and the C ommission.
(3) Unsolicited proposals
(A ) N ew and expanded services
A ny organization or municipality which intends to submit an application to the
C ommission for funding for new or expanded services shall send notice of intent to submit
such application to the executive director for staff review and comment at least 30 days
prior to submission of a formal application.
A n applicant seeking funding for new or expanded services shall, in addition to fulfilling
the requirements of section 17-226d-3 (a), demonstrate and document either:
(i) that there is a need for new or expanded services and that the need is currently unmet
or,
(ii) that the level of service available is inadequate in the area the applicant proposes to
serve or,
(iii) that funding from other sources is inadequate or is no longer available or was never
available.
(B) Supplemental funding for existing services
To qualify for supplemental funding an awardee’s program must be in current compliance
with C ommission regulations and requirements.
Awardees applying for supplemental funding for existing services may submit
applications for such funding at any time on a form designated by the C ommission. The
awardee shall submit:
(i) information which demonstrates that supplemental funding is needed, and,
(ii) documentation that demonstrates attempts have been made by the awardee to garner
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-3
funds from other sources and that such attempts have been wholly or partially unsuccessful.
(4) The C ommission may, in its discretion, request proposals to meet service needs or to
establish research or demonstration projects. A pplicants responding to such C ommission
requests for proposals shall submit their proposals in the form, time and manner stated in
the C ommission’s request for such proposal.
(b) Review of applications
(1) A pplications for noncompetitive continuation awards shall be reviewed for
completeness, compliance with C ommission requirements and to determine whether the
applicant’s proposed budget is consistent with the amount of available funds allocated to
the program by the C ommission.
(2) N ew and competitive applications, including applications submitted in response to
C ommission requests for proposals, shall be reviewed for completeness and compliance
with C ommission requirements. The staff shall make recommendations based on this review
which the executive director shall report to the C ommission.
(3) Review of unsolicited proposals
The Executive Director shall notify the C ommission of the receipt of all unsolicited
proposals. Such notice shall occur at regularly scheduled C ommission meetings.
(A ) Unsolicited proposals for new and expanded services shall be reviewed only if
unallocated funds are available. Proposals which are not reviewed shall be retained at the
C ommission’s offices for one year from the date of receipt and shall be reviewed at any
time during the one year period that unallocated funds become available.
A n unsolicited proposal for new or expanded services will be presented to the
C ommission by the executive director only if all of the following criteria are determined to
have been met:
(i) The service is needed in the area to be served.
(ii) N o less costly or more effective alternative to provide the needed services is available.
(iii) A ll C ommission application requirements have been fulfilled.
(iv) Funding is demonstrably available from other sources to fund the portion of the
applicant’s budget in excess of the award sought from the C ommission.
(v) The applicant is able to demonstrate the ability to provide the proposed services.
(vi) The applicant has proposed a reasonable start up time and demonstrates the ability
to meet scheduled goals.
(B) A pplications for supplemental funding for existing services shall be reviewed only if
unallocated or unencumbered funds are available. A pplications which are not reviewed shall
be retained at the C ommission offices until the end of the fiscal year and shall be reviewed
if and when unencumbered funds become available during that time. A pplications for
supplemental funding shall be presented to the C ommission by the executive director only
if all the following criteria are determined to have been met:
(i) A ll C ommission application requirements have been fulfilled;
(ii) The applicant can demonstrate that attempts to obtain funding from other sources
have been unsuccessful or only partially successful; and,
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-3
(iii) The applicant does not intend to annualize the supplemental award.
(C ) The C ommission may choose to accept, reject, modify or table for further study any
unsolicited proposal presented to it by the executive director.
(c) Notice and acceptance
(1) Each applicant shall receive notice that the C ommission has received its proposal
within thirty days of the date the C ommission receives the proposal. When the C ommission
votes to accept or reject an applicant’s proposal the applicant will receive written notice of
the C ommission’s action within thirty days of such action.
(2) The C ommission’s award is contingent upon the applicant’s acceptance of any
additional or special terms and conditions listed in the letter of award or contract and any
changes in the funding application. The applicant shall indicate acceptance of the award
and any special or additional conditions it contains by signing and returning it to the
C ommission’s offices. The award shall become final only upon receipt by the applicant of
a fully executed copy of the contract or letter of award.
(d) Amount and duration of the award
The amount and duration of each award is the sole discretion of the C ommission. A ll
awards are made subject to the availability of appropriated funds.
(e) Subcontracting
N o work or services funded by a C ommission award shall be performed for the awardee
by a subcontractor without the prior written approval of the executive director.
Subcontractors are subject to all the requirements and conditions imposed on the awardee
or applicant by sections 17-226d-1 through 17-226d-11 and the awardee’s letter of award
or contract.
(f) Modifications
(1) The awardee shall obtain the prior written approval of the executive director before
making modifications which would alter the awardee’s program as described in the awardees
approved funding application.
(2) A ll revisions to the awardee’s budget except those revisions explicitly permitted by
the terms of the letter of award or contract:
(i) must have the prior approval of the awardee’s governing authority or be signed by the
chairperson of the awardee’s Board of Directors;
(ii) must be requested on the form designated by the C ommission;
(iii) must be submitted and approved by the executive director no later than 30 days after
the end of the fiscal year for which the revision is being sought.
The awardee shall be notified of the action taken on the budget revision request within
30 days of receipt of the request by the C ommission.
(g) Payments
(1) Awardees shall use funds awarded by the C ommission only for expenditures which
are properly documented and which are authorized by the terms and conditions of the
awardee’s letter of award or contract, or by the written permission of the C ommission.
(2) Periodic payments of funds to awardees are contingent upon the awardee’s continuing
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-3
compliance with C ommission requirements including but not limited to submission of
periodic progress reports as required by the letter of award or contract.
(3) Initial payments under new awards shall be made only after the letter of award or
contract has been fully executed; all C ommission requirements and conditions have been
met; a certificate of need, if required, has been obtained from the C ommission on Hospitals
and Health C are; and the awardee is ready to begin program implementation.
(4) Payments for continuation awards shall be made periodically. A n initial advance
payment shall be made to the awardee at the beginning of each fiscal year. Subsequent
payments will be processed in advance provided the awardee’s previous quarterly report
was received when due and was approved by the C ommission. A dvance payments will not
be processed for any awardee who has failed to submit a quarterly report for the previous
quarter. If any awardee submitted his previous quarter’s report more than 15 days after the
day it was due, or is not in compliance with the C ommission’s requirements, subsequent
payments to that awardee will not be processed until after the awardee’s quarterly report
has been received, reviewed and approved by C ommission staff. Quarterly and year end
reports shall be submitted on a form and in a time and manner designated by the
C ommission but no later than 15 calendar days after the end of each award quarter.
When staff review of any financial report or on site examination of an awardee’s financial
records indicates underexpenditures of award funds are likely to occur at the end of the
fiscal year, or the awardee has refused access to service recipient or financial records during
a review or evaluation by C ommission staff the executive director may withhold or reduce
one or more subsequent payments to the awardee. In the case of a fee for service award, if
staff review of the awardee’s financial reports or on site examination of the awardee’s
financial records indicates that the services covered by the fee for service award will be
underutilized as defined in the individual awardee’s fee for service award at the end of the
fiscal year, the executive director may alter the payment schedule for the balance of that
fiscal year.
A n awardee may request an advance or emergency payment by making a written request
explaining the need for such payment to the executive director. The executive director may
authorize such payment if he determines that there is justification to do so. A ny emergency
or advance payment is made subject to approval of subsequent documentation of
expenditures.
(h) Termination or probation
(1) The C ommission may vote to terminate an award or place an awardee on probation
if it finds:
(A ) A documented history of noncompliance with C ommission regulations or the terms
and conditions of the contract or letter of award.
(B) The awardee or any person employed by the awardee has made false or misleading
statements to the C ommission in order to obtain C ommission funding.
(C ) The awardee or any person employed by the awardee has permitted, aided or abetted
an unlawful act or acts at the program facility.
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-4
(D) The awardee has altered the nature and scope of the program without prior
C ommission approval.
(E) The awardee has refused to grant access to C ommission staff to the awardee’s
program records including client treatment records and client clinical records or program
financial records during a review and evaluation visit to the awardee’s program.
(Effective September 20, 1984)
Sec. 17-226d-4. Fiscal requirements
(a) Accounting system
(1) Each awardee shall utilize an accounting system which conforms to generally
accepted accounting principles applicable to recipients of state and federal funds. Such
system shall separately account for income and expenditures related to C ommission funded
projects and programs.
(2) The awardees accounting system shall meet the following minimum requirements:
(A ) The system shall have a chart of accounts
(B) The system shall provide sufficient information to separately identify the receipt and
expenditure of C ommission funds and shall keep on file copies of all financial reports
submitted to the C ommission.
(C ) The following accounting records and related documentation shall be made and
retained:
(i) a general ledger,
(ii) a cash receipts journal,
(iii) a cash disbursement journal,
(iv) individual payroll records for all staff members employed by the awardee,
(v) all bank statements and canceled checks,
(vi) all invoices, purchase orders, vouchers and paid bills,
(vii) employee attendance records,
(viii) copies of all contracts and lease agreements to which the awardee is a party, and,
(ix) any other financial documentation that the C ommission may require by regulation
or by the terms and conditions of the awardee’s individual letter of award or contract.
(D) The system shall provide accurate and current financial reporting information.
(E) The system shall be integrated with systems of internal controls designed to safeguard
funds and assets, check the accuracy and reliability of accounting data, promote operational
efficiency and encourage adherence to management policies.
(F) The system shall include procedures for regular inventories and procedures for the
disposition of property and funds derived from the sale of property purchased in whole or
in part with C ommission funds.
(G) The system shall include procedures for recording the actual time each employee of
the awardee works.
(3) Each awardee’s accounting records and related documentation shall be maintained
by the awardee for a period of at least three years from the end of the fiscal year. Such
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-4
records shall be stored in a place safe from loss or damage by fire, theft, water or other
causes. Such records shall be made readily available for review and inspection upon the
request of the C ommission staff.
(b) Allowable and unallowable costs
(1) Awardees may include in their budgets direct and indirect costs including use charges
for buildings, capital improvements and usable equipment.
(2) Individual expenditures may be made for items and services listed in an awardee’s
approved budget without obtaining any additional C ommission approval.
(3) A n awardee must obtain the prior written approval of the executive director for the
recovery during one award period of unrecovered allowable costs incurred during a previous
award period, or for any costs listed in the awardee’s letter of award or contract which
require such prior written approval.
(4) The following costs are unallowable:
(A ) capital expenditures for construction or renovation,
(B) bad debts,
(C ) costs of idle facilities,
(D) royalties,
(E) depreciation or use charges for donated assets,
(F) fines and penalties resulting from violations of federal, state or local law,
(G) monetary judgments against the awardee or the cost of out of court settlements from
any civil lawsuits to which the awardee is a party,
(H) actual losses which could have been covered by insurance but were not, unless such
losses are specifically provided for in the awardee’s letter of award or contract,
(I) costs of investment counsel,
(J) an excess of costs over income from another grant or contract,
(K) contributions to a contingency reserve fund, and,
(L) major medical equipment.
(5) When reporting income received from fund raising, an awardee may deduct the costs
of fund raising from the total amount received to determine the amount of income.
(c) Review and disallowance of costs
(1) A n awardee’s specific expenditures from each budget category shall be reviewed and
may be disallowed by C ommission staff during on site reviews or reviews of the reports
and annual audits which awardees are required to submit to the C ommission if such costs
are determined to be unallowable, unreasonable or improperly allocated or if there is
improper, inadequate or no documentation supporting the costs. In review of such reports
and audits, the C ommission staff shall utilize the following criteria:
(A ) Reasonableness: A cost shall be deemed to be reasonable if:
(i) it does not exceed that which would be incurred by an ordinarily prudent person;
(ii) it is ordinary and necessary for the awardee’s operation of the funded program within
the restraints and requirements imposed by generally accepted business practices, arms
length bargaining, federal and state law and regulation and the terms and conditions of the
- 11 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-4
awardee’s contract or letter of award;
(iii) it is consistent with the purposes for which the funded program was organized; and,
(iv) it does not significantly deviate from the awardee’s established practices
(B) A llocability. A cost shall be deemed to be allocable if:
(i) it is chargeable to a particular award in accordance with the relative benefits received;
(ii) it benefits and is incurred for the funded program; and,
(iii) it is necessary to the overall operation of the awardee.
(2) When, during the course of a review by C ommission staff of financial reports or the
annual audit or an onsite review of the awardee’s financial records, a cost is identified as
unallowable, unreasonable or improperly allocated, or the supporting documentation is
inadequate, improper or there is no documentation, the awardee shall be notified in writing
that such cost has been questioned and will be disallowed unless the awardee submits
documentation within 30 days of receipt of such notification, which supports the awardee’s
position that such cost is allowable, reasonable or properly allocated.
(3) If the awardee fails to submit such documentation as required in subsection (2) above,
or if such documentation fails to support the awardee’s contention that such cost should be
allowed, the executive director shall notify the awardee that the cost has been disallowed
and the awardee shall return to the C ommission funds equivalent to the portion of the award
expended on the disallowed cost.
(d) Procedures for determining client eligibility under fee for service award
(1) Each fee for service awardee must have documentation for each client charged to the
fee for service award which demonstrates that there was a determination made at the time
of intake of the client’s ability to pay and the availability of third party reimbursement.
Redeterminations of eligibility shall be done whenever there is a change in the clients
employment, financial or third party reimbursement status.
(2) Each client who is determined by the awardee to be able to pay the full fee is
ineligible for coverage under a fee for service award. In such cases where fees have been
assessed but not paid they may be designated as bad debts by the awardee.
(e) Disposition of surplus or excess funds
(1) When the C ommission staff determines through a review of an awardee’s audited
financial statement or final expenditure report that the awardee has a surplus, the surplus
shall be disposed of in the following manner:
(A ) The awardee shall return to the C ommission that portion of the surplus which is
proportionate to the C ommission’s award of state funds applied to the awardee’s approved
operating expenses.
(B) That portion of the surplus which is proportionate to the C ommission’s award of
federal funds applied to the awardee’s approved operating expenses, shall, upon written
notice to the awardee, be disposed of at the sole discretion of the C ommission in one of the
following ways:
(i) The surplus may be offset against a continuation award to the awardee,
(ii) The surplus may be used as a carryover in a subsequent budget of the awardee, or,
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-4
(iii) The surplus may be returned to the C ommission.
(2) The awardee may designate a portion of unrestricted operating income or public
support which is in excess of funding received from the C ommission for special or future
use if such funds are not needed for current operating expenses. Funds so designated shall
not be deemed a surplus and the requirements of subsection (1) of this section shall not
apply if such designation was authorized by the awardee’s governing authority and received
the executive director’s approval.
(3) The requirements of subsection (1) of this section shall not apply to any awardee
who operates an employee assistance program funded by the C ommission. A ny funds
received by such awardee for employee assistance services provided by contract to an
organization shall not be deemed surplus for the purposes of this section.
(4) Whenever the C ommission staff determines, through a review of any awardee’s final
expenditure report, or fiscal or client records that excess payments have been made under
a fee for service award, the awardee shall return to the C ommission a payment representing
the amount of the excess.
(f) Requirements for handling Commission funds
(1) Each awardee shall have written policies and procedures to safeguard the awardee’s
assets against loss from unauthorized use or disposition and to ensure the reliability of
financial records and maintain fiscal accountability.
(2) A ll funds received from the C ommission shall be deposited only in federally insured
accounts. Interest earned on C ommission funds deposited in such accounts shall be reported
as program income and may be used only for those activities authorized by the terms of the
letter of award or contract.
(3) When an awardee is a nonprofit organization each check drawn on an account in
which C ommission funds are deposited shall be signed by two signatories, who shall be
authorized by the awardee’s board of directors to be signatories.
(g) Procurement standards
Each awardee shall establish written policies and procedures governing the procurement
of goods and services. Such policies and procedures shall be based on the principle of free
competition among potential suppliers.
(h) Fee schedules and billing
(1) Awardees providing services other than treatment may impose a charge on service
recipients for all or part of the cost of the services rendered.
(2) Awardees shall impose a charge on service recipients for all or part of the cost of
treatment services rendered by the awardee to such service recipients.
(3) Whenever an awardee imposes a charge for services, such charge shall be in
accordance with a written fee schedule which shall be based on a determination of the actual
cost of the services rendered and the service recipients’ ability to pay the fee. The fee
schedule shall be reviewed and revised at least once each year to reflect actual changes in
the cost of rendering services to service recipients and the charges assessed to each
individual service recipient shall be made according to a sliding scale based on the service
- 13 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-4
recipient’s ability to pay. Each awardee imposing a charge for services shall design and
implement a system for the collection of delinquent accounts.
(4) Awardees shall endeavor to obtain reimbursement for services rendered either from
the recipient of such services or from third party payors from whom the service recipient
may be eligible to receive benefits or from both.
(i) Annual audits
(1) Each awardee shall have prepared an annual audit of its financial operations and
records. The audit shall be prepared by an independent C ertified Public A ccountant having
no direct or indirect financial interest in the awardee’s program. The auditor shall utilize
generally accepted auditing standards and whatever tests are normally considered necessary
to meet the standards of the profession.
(2) The scope of the audit may be limited to C ommission funded activities provided such
activities are separate and distinct, from other activities not funded by the C ommission.
When C ommission funded activities are not separate and distinct, a total audit of the
awardee’s program shall be done and shall include a supplemental statement identifying all
expenditures associated with C ommission funding. The decision on whether or not an audit
must include all of the awardee’s activities is in the sole discretion of the C ommission.
(3) The auditor shall prepare a management letter which shall be submitted with the audit
to the C ommission within 120 days of the end of the fiscal year. A t the written request of
the executive director the awardee shall supply information to the C ommission concerning
the auditor’s professional qualifications.
(4) The C ommission staff shall review the audit and shall determine whether it meets
minimum standards of acceptability in that it conforms to the requirements of sections 17-
226d-1 through 17-226d-11 and that it conforms to generally accepted auditing standards.
If an audit is determined to be unacceptable, the awardee shall be notified in writing of the
deficiencies in the audit and the remedial action that is required of the awardee.
(j) Insurance and bonding
(1) The awardee shall ensure that all persons employed by the awardee who are engaged
in accounting functions or are responsible for guarding assets are bonded at a level
acceptable to the C ommission.
(2) The awardee shall obtain insurance coverage sufficient to protect the awardee against
full or partial losses of the awardee’s physical and financial assets and to hold harmless the
State of C onnecticut from any insurable cause whatsoever. Insurance coverage shall include
but not necessarily be limited to:
(A ) Property insurance covering losses due to fire, theft and accident;
(B) Liability insurance on the awardees property and vehicles;
(C ) Worker’s compensation insurance for the awardee’s employees; and,
(D) Officer’s and director’s liability insurance.
(k) Transfer of funds
(1) With the prior written permission of the executive director an awardee may
temporarily transfer funds between one program operated by the awardee and funded by
- 14 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-4
the C ommission under one contract or letter of award and a second program operated by
the awardee and funded by the C ommission through another contract or letter of award.
(2) The awardee shall apply for permission to make a temporary transfer of funds by
making a written request to the executive director, which shall include reasons justifying
the transfer, the anticipated duration of the transfer and a description of how the transferred
funds will be repaid. Such request shall be signed by the presiding officer of the awardee’s
governing authority.
(3) Upon receipt of a request to transfer funds between two programs funded by the
C ommission, the executive director may authorize the transfer if he determines that:
(A ) The transfer is necessary to ensure uninterrupted program operation;
(B) The funds will not be needed by the transferor during the period of time they are to
be used by the transferee; and,
(C ) The transferee can realistically expect to repay the transferred funds at the time stated
in the request.
(l) Equipment and inventory
(1) The C ommission shall have an interest in all equipment which was purchased by the
awardee in whole or in part with C ommission funds. The C ommission’s interest shall be
equivalent to the percentage of the C ommission’s contribution toward the purchase price.
The C ommission shall not have an interest if the equipment was purchased with funds
accumulated in the awardee’s depreciation account.
(2) When C ommission funding to an awardee ceases because the program no longer
operates or because the C ommission award was terminated, the C ommission may in its sole
discretion require any of the following dispositions of property in which it has an interest:
(A ) The awardee may be permitted to retain and use the property.
(B) The property may be sold, in which case the awardee may deduct and retain 10% of
the proceeds of the sale to compensate it for the costs of selling the property and shall return
to the C ommission a percentage of the remaining proceeds equivalent to the percentage of
C ommission funds used to purchase the property originally.
(C ) When the C ommission has provided 100% of the purchase price of the property it
may:
(i) transfer the property to another C ommission funded program or,
(ii) take possession of the property and use it as it sees fit in the performance of its duties.
(3) Awardees shall prepare yearly inventories of all equipment purchased with
C ommission funds which has a value of $300 or more and has a useful life of three or more
years; or that has a value of $500 or more if the useful life is less than three years.
(m) Commission rights to material produced with Commission funds
The C ommission shall have an unrestricted right to publish, disclose, distribute and
otherwise use in whole or in part any reports, data, curricula or any other material including
printed, written or photographic material, films and video and audio tapes without the
payment of royalties to the awardee, when such material has been produced in whole or in
part with C ommission funds pursuant to an award that specifically requires the awardee to
- 15 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-5
produce such material.
(n) Local resources
(1) Each private, non profit organization which receives C ommission funding shall
actively attempt to utilize local resources for financial support or goods or services to
supplement the funds received by the C ommission.
(2) Awardees shall document their compliance with this requirement by indicating in
their funding applications for continuation awards the efforts they have made and plan to
make to encourage local participation, and the results of such efforts.
(3) A pplicants for C ommission funding for new programs shall indicate in their
applications the means by which they will obtain local participation.
(o) Maintenance of effort
C ommission funding shall not be used by any awardee to supplant or replace funding
from other sources unless the C ommission’s contract or letter of award with the awardee
explicitly authorizes the awardee to do so.
(p) Financial reporting to the governing authority
Each awardee’s board of directors or other governing authority shall require that the chief
administrative officer employed by the awardee shall make regular reports to the governing
authority concerning the financial status of the programs operated by the awardee.
(Effective September 20, 1984)
Sec. 17-226d-5. Organization and administration
(a) Governing authority
(1) Each awardee shall have a governing authority which shall be ultimately responsible
for ensuring the awardee’s compliance with C ommission requirements.
(2) The governing authorities of nonprofit organizations shall be boards of directors,
which shall be representative of the community and the target population which the awardee
serves. Awardees shall endeavor to include former service recipients among the board
membership and each board of directors shall include at least one health care professional
knowledgable about the treatment or prevention of substance abuse.
(3) Each awardee’s board of directors shall have by-laws which shall include, but need
not be limited to:
(A ) a list of the officers of the board;
(B) a description of the officer’s duties;
(C ) a description of the way in which the board conducts business; and,
(D) the terms of office of board members and officers and the method by which each
are chosen.
(4) The board shall provide an orientation program for all new board members which
shall familiarize them with the awardee’s operations and their duties, responsibilities and
potential liabilities as members of the board.
(5) Each board of directors shall meet at least quarterly and shall keep written minutes
of each meeting.
- 16 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-5
(b) Governing authority responsibilities
The responsibilities of each awardee’s governing authority shall include, but need not be
limited to overseeing and approving:
(1) establishment of the awardee’s philosophy, goals and objectives which shall be
formulated to demonstrate the awardee’s awareness of the demographic characteristics of
the population it proposes to serve;
(2) establishment of accounting policies and procedures which fulfill the requirements
of section 17-226d-4 and include, but are not necessarily limited to:
(A ) listing the type of records to be kept;
(B) accounting procedures;
(C ) procurement policies;
(D) the method of inventory control;
(E) guidelines for controlling expenditures;
(F) fulfilling C ommission accounting requirements;
(G) a method for preparing financial statements;
(H) responsibility for the budget preparation process; and,
(I) responsibility for the chart of accounts.
(3) management and use of, and accounting for, the awardee’s assets;
(4) control and approval of the awardee’s activities and major financial transactions;
(5) review and approval of the awardee’s annual budget and any revisions thereof;
(6) review and approval of awardee’s executive director’s salary increases;
(7) fund-raising efforts;
(8) review and approval of the awardee’s policies and procedures;
(9) appointment, review and evaluation of the awardees executive directors and
assignment of the executive director’s duties;
(10) designation of two or more persons to act as signatories on checks as required by
section 17-226d-4 (e) (3); and,
(11) yearly planning, review and revision of the awardee’s goals and objectives.
(c) Organizational chart
Each awardee shall have an organizational chart which shall be reviewed and updated
annually. Such charts shall illustrate the organizational structure, lines of authority and all
staff positions within the awardee’s organization.
(d) Philosophy and policy
(1) Each awardee shall include in its philosophy a statement of the awardee’s
philosophical approach to services which shall include, but need not be limited to:
(A ) a description of the relationship between the needs of the persons served by the
awardee and the awardee’s approach to treatment; and,
(B) a description of the relationship between community needs and the awardee’s
approach to treatment.
(2) Each awardee shall have a written description of its treatment or service policy which
shall be used in inservice training, staff recruitment and orientation and as a basis for
- 17 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-5
relationships with the community and shall be reviewed at least annually and updated when
necessary.
(e) Nondiscrimination policy
(1) N o awardee shall discriminate or permit discrimination against any person or group
of persons in outreach, admission or treatment activities on the basis of race, color, religious
creed, age, marital status, national origin, sex, sexual preference, mental retardation or
physical disability, including but not limited to blindness.
(2) Each awardee shall have and utilize a written policy on nondiscriminatory practices.
(3) A program which has been established to provide services to a specific target
population shall not be deemed to be in violation of subsection (1) of this section provided
such program refers any individual found ineligible for admission to the program to an
appropriate facility.
(4) N o person shall be denied admission to a C ommission funded program or service
solely or jointly because of:
(A ) the inability to pay all or part of the cost of services, directly or through third party
reimbursement.
(B) the number of prior admissions to treatment, except where the programs admission
criteria requires a certain number of prior admissions.
(C ) the length of time since last treatment.
(D) the location of last treatment.
(E) a refusal to undergo previous treatment.
(f) Confidentiality
Each awardee shall have and utilize a written policy and procedure for ensuring the
confidentiality and security of service recipient records and identifying information which
conforms to the requirements of state and federal confidentiality law and regulations
including, C onnecticut General Statutes Section 17-155bb and 42 C FR 2. Such policy shall
include, but need not be limited to:
(1) a description of the process and requirements for disclosure of confidential
information;
(2) copies of forms for documenting the disclosure of confidential information and for
obtaining the written consent of the service recipient when such consent is required; and,
(3) staff training in the requirements of state and federal laws related to confidentiality
of client records.
(g) Awardee’s executive director
Each awardee shall appoint an executive director whose duties and qualifications shall
be established by the awardee’s governing authority and who shall be responsible for day-
to-day operations.
(h) Personnel requirements
(1) Each awardee shall have and follow written personnel policies for all staff and
consultants which shall be included in a Personnel Policies’ and Procedures’ M anual which
shall include but need not be limited to:
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-5
(A ) a description of the methods and procedures to be used to supervise all personnel;
(B) A job description for each staff or consulting position which includes at least a
description of:
(i) the credentials required for employment in the position;
(ii) the duties and responsibilities of the position;
(iii) the minimum levels of education and training required for the position;
(iv) related work experience required for the position;
(v) reporting and supervisory responsibilities of the position;
(vi) salary range of position; and,
(C ) A description of policies covering at least the following topics:
(i) recruitments, benefits, promotion;
(ii) training and staff development;
(iii) employee assistance available to the awardee’s staff;
(iv) disciplinary systems, suspension and termination policies;
(v) performance review;
(vi) rules of conduct;
(vii) wages, hours and salary administration;
(viii) grievance mechanisms; and
(ix) equal employment opportunity and affirmative action policies.
(2) Each person hired or promoted by the awardee shall meet the qualifications of the
position to which that person is appointed, and the various disciplines represented on the
program staff shall meet any state or federal legal requirements for certification, licensing
and/or registration within their respective disciplines.
(3) A ll counselors providing counseling services to clients in each awardee’s program
shall receive direct supervision at least one hour per week from a senior member of the
awardee’s clinical staff.
(4) The awardee shall maintain a personnel record for each employee. Such records shall
be kept confidential. Each personnel record shall include, but need not be limited to:
(A ) a copy of the employee’s application for employment;
(B) verification of the employee’s credentials or certification;
(C ) verification of the employee’s education and training;
(D) the employee’s salary history;
(E) appraisals of the employee’s performance;
(F) a record of any disciplinary action taken against the employee within the preceeding
two year period and the reasons for such action;
(G) commendations of the employee; and,
(H) incident and accident reports involving the employee and the results of any
investigations taken in response to such reports.
(5) Awardees shall not discriminate against any person or group of persons in hiring or
promotion of employees on the basis of race, color, religious creed, age, marital status,
national origin, sex, sexual preference, mental retardation or physical disability, including
- 19 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-5
but not limited to blindness, unless it is shown by such Awardee that such disability prevents
performance of the work involved in any manner prohibited by the laws of the United States
or of the State of C onnecticut, and shall provide the C ommission on Human Rights and
Opportunities with such information requested by that C ommission concerning the
employment practices and procedures of the Awardee as relate to the provisions of Section
4-114a of the C onnecticut General Statutes, as amended. The awardee shall make reasonable
efforts to take into account the composition of service recipients and the community when
hiring and promoting employees.
(6) Awardees shall have and use a plan for staff development and training which shall
include training in the requirements of state and federal laws which are applicable to the
awardee’s program and training in emergency medical care for staff providing direct services
to clients.
(7) Awardees shall employ sufficient clinical staff with documented experience and
training in substance abuse to adequately meet the treatment goals for each of the persons
serviced by the awardee’s program or programs and to meet the awardee’s goals and
objectives.
(i) Conflict of interest
(1) N o person shall serve as a member of an awardee’s governing authority or be
employed by an awardee if a conflict of interest exists between the person’s responsibilities
as a member of the governing authority or employee and his personal financial interests or
those of any member of his immediate family.
(2) Business dealings for profit between the awardee and a member of the awardee’s
governing authority, a paid employee of the awardee or a member of the immediate family
of either; are deemed a conflict of interest unless an open bid system is used, the basis for
accepting the bid is documented in the program’s financial records and, if a member of the
governing authority or member of the immediate family is involved, the member of the
governing authority refrains from voting on the issue.
(3) Whenever an employee or member of the governing authority sells goods or services
to the awardee at cost, the actual cost shall be documented in the awardee’s financial records.
(j) Policies and procedures
(1) Every awardee shall have a written policies’ and procedures’ manual which shall
include, at a minimum, all written policies and procedures required by sections 17-266d-1
through 17-266d-11, which shall be written in language understandable to the average
person, and shall be reviewed at least annually and revised as needed.
(2) The manual shall be available upon request to staff, volunteers, service recipients,
members of the community and C ommission staff and shall be routinely used in orientation
and training programs for new members of the governing authority, staff and volunteers.
(k) Volunteers
The services of volunteers may be utilized by awardees provided:
(1) the volunteers are supervised by qualified paid staff;
(2) the use of volunteers is in accordance with the provisions of a written volunteer plan;
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-6
(3) all volunteers receive training and a thorough orientation to program rules, operations,
all program policies and procedures and federal confidentiality regulations and client’s rights
before beginning to work in the program.
(Effective September 20, 1984)
Sec. 17-226d-6. Treatment and rehabilitation programs
(a) Admission criteria
(1) Each program shall have and utilize written admission criteria which shall be available
to clients, staff, the community and the C ommission.
(2) N o person shall be admitted to a program unless he meets the program’s admission
criteria and any person who is ineligible because he does not meet the admission criteria
shall be referred back to the original referring agency or to another appropriate agency.
(3) The written admission criteria shall include, but need not be limited to consideration
of the following factors:
(A ) age
(B) sex
(C ) physical health
(D) mental status
(E) previous treatment history
(F) history of substance abuse
(G) current use of mood altering substances
(b) Intake procedure
(1) Each program shall have and utilize a written intake procedure which shall include,
but need not be limited to:
(A ) A procedure for making and accepting referrals pursuant to the requirements of
section (i) of this regulation.
(B) A procedure for determining whether or not the client meets the program’s admission
criteria and is appropriate for the program.
(C ) A time limit or number of visits within which initial assessment of persons admitted
to the program will be completed. In no case shall the time for completing the intake
procedure exceed 90 days or 3 counseling sessions.
(2) Each program shall, during the intake procedure, collect at least the following
demographic information on a standardized form from each person seeking admission to
the program:
(A ) name
(B) home address
(C ) telephone number
(D) date of birth
(E) sex
(F) race/ethnicity
(G) marital and family status
- 21 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-6
(H) employment status and employer
(I) education
(J) current family income
(K) next of kin
(L) social security number
(M ) criminal justice system status
(N ) referral source
(O) insurance coverage
(P) date of initial contact
(Q) date of interview
(R) signature and title of intake worker
(3) Each client’s history shall be completed by a member of the program’s treatment staff
and shall include, but need not be limited to the following information:
(A ) presenting problem
(B) history of substance abuse and problems
(C ) family and personal history
(D) education and employment history
(E) medical history
(F) history of arrests and convictions
(G) previous treatment history
(c) Orientation
(1) Each client admitted to a program shall receive an orientation in accordance with a
written orientation policy and procedure.
(2) Such orientation shall include, but need not be limited to explaining in language
understandable to each client:
(i) the program’s policies, goals and objectives;
(ii) the services offered by the program and through referral to other service providers;
(iii) the program’s hours of operation;
(iv) the fee policy and fee schedule;
(v) the client’s rights;
(vi) the program’s expectations of the client;
(vii) the protection and restrictions which derive from state and federal confidentiality
law and regulations;
(viii) the program’s rules and procedures and the consequences to the client of infractions
of such rules; and,
(ix) the program’s termination and discharge procedures
(d) Assessment procedure
(1) Each program shall have and utilize a written policy and procedure for assessing all
clients admitted to the program. A t a minimum the assessment shall include a written
synthesis of information obtained during the intake procedure, which synthesis shall identify
the client’s strengths and the staff person’s observations of the client’s personality
- 22 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-6
functioning and those situational factors which have contributed to the client’s current
dysfunction.
(2) The assessment shall be used as a guide to the formulation of the client’s treatment
plan.
(e) Treatment plan
(1) Each program, except detoxification programs shall, with the participation of the
client, prepare a written individualized treatment plan for each client which shall address
client needs of care within the context of community and client resources. Development of
such plan shall begin upon admission.
(2) Each treatment plan shall be in writing and shall include at a minimum:
(A ) a description of the client’s identified problems to be addressed during treatment;
(B) goals which include a specific time for achievement
(C ) methods of attainment by which such goals may be achieved;
(D) the name and title of the client’s primary counselor;
(E) evidence that the client has participated in the formation of his own treatment plan,
such as:
(i) the client’s signature on the treatment plan;
(ii) a contract between the client and the program;
(iii) treatment goals identified by the client through notations on a checklist of possible
goals or a narrative signed by the client and made a part of the treatment plan.
(3) Each client’s treatment plan shall be reviewed periodically for completeness and
appropriateness in accordance with a written standardized policy and procedure designed
to ensure that the plan remains applicable to the changing needs of the client. The client’s
individual record shall contain written evidence of such periodic review, assessment of the
client’s progress and any revisions which have been made in the plan based on the required
reviews. Treatment plans shall be reviewed no less frequently than:
(A ) weekly for residential intensive programs;
(B) for residential intermediate and long term treatment and rehabilitation programs and
day/evening programs, 30 days after preparation of a treatment plan, then every 60 days
thereafter;
(C ) for outpatient programs 30 days after preparation of a treatment plan for the first
review, 60 days after the first review for the second review and 90 days thereafter; and,
(D) for methadone maintenance programs 30 days after preparation of the treatment plan,
90 days after the first review for the second review and every 6 months thereafter.
(f) Aftercare
Each treatment and rehabilitation program, which has an aftercare component, shall offer
aftercare services to clients in accordance with a written aftercare plan.
The plan shall include, but need not be limited to:
(1) a description of the objectives, policies and procedures of its aftercare services;
(2) a description of the specific aftercare services available to clients; and,
(3) policies and procedures for periodic review of aftercare services which are provided.
- 23 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-6
(g) Discharge summary
Each program shall prepare a written discharge summary for each client who completes
a course of treatment or leaves the program. Such summary shall be prepared by the client’s
primary counselor and shall be recorded in the clients record and shall include but need not
be limited to:
(1) an evaluation of the client’s progress toward the goals described in the client’s
treatment plan,
(2) the reason for discharge and other information, if any, pertaining to the client’s course
of treatment,
(3) a summary of all recommendations, if any, made to the client upon the clients leaving
the program, and
(4) a list of any referrals made to other organizations or service providers at the time the
client leaves the program.
(h) Referrals
(1) Each program shall have and utilize a written policy and procedure for client referrals
as part of a comprehensive network of care, which shall include, but need not be limited to:
(A ) a procedure for referral and monitoring of persons on a waiting list for admission to
the program;
(B) procedures for referral of clients between specific components of the awardee’s
program; and,
(C ) current information on, and referral to, self-help groups.
(2) Each program shall maintain a list of referral sources and resources which is
periodically updated.
(i) Client record system
(1) Each program shall use a standardized record keeping system and maintain an
individualized record for each client admitted to the program which shall document the
changing status, needs and activities of the client as treatment progresses and shall include,
but need not be limited to:
(A ) all standardized statistical information as required by sections (b) of this regulation,
and emergency information;
(B) all parts of the client’s individualized treatment plan as required by section (e) of this
regulation;
(C ) all client assessments performed, including documentation of client problems and
needs;
(D) the results of all physical, psychological, medical, laboratory and vocational
examinations and tests shall be included with the signature and title of the person
administering the test or performing the examination;
(E) all referrals to services deemed to be necessary to the client but not provided by
admitting facility;
(F) progress notes, signed and dated by the originator and listing all events which have
impacted the client’s progress in attaining goals such notes shall be kept as follows:
- 24 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-6
(i) daily for residential detoxification programs
(ii) weekly for residential and day/evening programs
(iii) per counseling sessions for outpatient and methadone programs;
(G) a discharge summary for all clients who have left the program.
(2) Each program shall have and utilize a policy and procedures for maintaining the
security of client records which shall be in conformity with the requirements of the federal
confidentiality regulations, 42 C FR 2.17.
(3) Each program shall have and utilize a policy and procedure for closing and storing
client records. The policy and procedure shall include, but need not be limited to the
following provisions:
(A ) the entire record shall be maintained for a period of at least five years after closure
and shall be protected against loss, damage or breach of client confidentiality;
(B) after 5 years such records may be destroyed by shredding or burning; and,
(C ) the policy shall specify under what circumstances a record is to be closed.
(j) Provision of medical services and medication
(1) M edical alcohol detoxification programs, residential programs and methadone
programs shall ensure that each client shall have a complete medical history and physical
examination.
(2) M ethadone programs shall perform the following laboratory tests:
(A ) complete blood count and differential
(B) serological test for syphilis
(C ) routine and microscopic urinalysis
(D) routine screening for drugs
(E) M ulti-phasic chemistry profile
(F) Tine test followed by a chest x-ray only if the skin test is positive
(G) A ustralian A ntigen, EKG and biological tests for pregnancy if clinically indicated.
(3) Each program shall have and utilize a written policy and procedure for administration,
storage and self-administration of all medications. A ll medications shall be marked,
regularly inventoried and stored in a locked cabinet.
(4) Each program shall have a fully-equipped first aid kit on the premises at all times the
program is in operation.
(5) When a client is referred from another program and there is no break in the treatment
regimen, a physical examination as required by subsection (2) above need not be repeated
by the program accepting the referral. A record of physical examination from the referring
program shall be included in the intake information in the client’s record.
(k) Meals
Residential programs and detoxification programs shall provide at least three nutritionally
balanced meals for each client each day.
(Effective September 20, 1984)
- 25 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-7
Sec. 17-226d-7. Treatment and rehabilitation program requirements for specific
modalities
(a) Residential medical detoxification programs
(1) Services provided
Each residential medical detoxification program shall provide the following services:
(A ) medical management of the detoxification process from alcohol or drugs or both;
(B) medical and psycho-social assessments of the needs of each client admitted to the
program;
(C ) referral of all clients to ongoing treatment for whom the assessment has indicated
the desirability of continuing participation in the treatment process; and,
(D) motivational counseling to encourage continuing client participation in the treatment
process; and,
(E) knowledge about and access to self-help groups.
(2) A dditional admission criteria
In addition to the requirements of section 17-226d-6 (a) each residential medical
detoxification program shall require that each person admitted to the program shall:
(A ) be an alcohol or drug dependent person who is intoxicated by drugs or alcohol at
the time of admission;
(B) be at risk of experiencing serious medical complications without medical monitoring
of the detoxification process; and,
(C ) be likely to require the administration of medications or other services by medical
personnel under the supervision of a licensed physician, in order to reduce or eliminate the
effects of withdrawal from alcohol or drugs on the body.
(3) Hours of operation
Each residential medical detoxification program shall operate 24 hours per day, seven
days a week. Each residential medical alcohol detoxification program shall accept for
admission at all times, persons who meet the program admission criteria and for whom
space is available.
(4) Length of stay
C lients may remain in residential medical detoxification programs no longer than 5 days
for alcohol detoxification and 14 days for drug detoxification unless there is a statement
signed by a physician in the client’s record stating why it is necessary for the particular
client to remain in the program for a longer period of time.
(5) Staffing
(A ) Each residential medical detoxification program shall have a licensed physician on
the staff or under contract who shall be responsible for supervising all medical services
provided by the program. The program shall specify the physician’s duties in writing and
shall maintain written records of the number of hours and specific functions performed by
the physician for the program.
(B) A minimum of one licensed nurse shall be on duty at all times.
(C ) A minimum of one paid staff person shall be on duty at all times in addition to the
- 26 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-7
nurse required by subsection (B).
(D) There shall be a client to staff ratio at all times no greater than one staff person on
duty for each 10 clients in residence.
(6) M edical services
In addition to the requirements of section 17-226d-6 (j) each residential medical
detoxification program shall provide the following medical services:
(A ) M edical screening by a physician, nurse or physician’s assistant at the time of
admission for each client to exclude clients who have any serious injury or other medical
condition requiring referral to a hospital; and,
(B) Each client admitted to a residential medical detoxification program shall be
examined by a physician within 24 hours after admission unless the client was examined
by a physician immediately before admission pursuant to the requirements of 17-226d-6
(j) (5) and orders were written by the examining physician.
(b) Social-setting alcohol detoxification
(1) Services provided
Each social-setting alcohol detoxification program shall provide the following services:
(A ) counseling and other supportive non-medical services to clients who are
experiencing physical withdrawal from alcohol;
(B) continual observation of clients during the withdrawal process;
(C ) motivational counseling to encourage continuing client participation in the treatment
process;
(D) referral to ongoing participation in the treatment process; and,
(E) knowledge about the access to self-help groups
(2) A dditional admission criteria
In addition to admission criteria developed pursuant to the requirements of 17-226d-6
(a), each social-setting alcohol detoxification program shall formulate admission criteria
which ensure that:
(A ) Each client admitted to the program has been observed and evaluated by staff trained
to determine whether the client is eligible for admission to a social-setting alcohol
detoxification program.
(B) C lients shall not be admitted to the program who:
(i) are unconscious or have obvious life threatening medical conditions, such clients shall
be sent directly to a hospital;
(ii) exhibit symptoms of dual addiction or psychotic behavior, or have had a heart attack
within 6 months shall be referred to an appropriate medical facility.
(C ) C lients who exhibit or state that they have any of the following symptoms shall be
sent to a hospital emergency room for immediate screening and must have a written medical
clearance, signed by a licensed physician before they can be admitted to the program:
(i) a blood alcohol level of .3 or greater;
(ii) severe abdominal pain;
(iii) irregularities in skin color;
- 27 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-7
(iv) chest pain, vomiting or passing blood; or,
(v) evidence of recent traumatic injury.
(3) Hours of operation
Each program shall operate 24 hours per day, 7 days per week and shall accept admissions
at anytime.
(4) Length of stay
C lients may remain in a social-setting alcohol detoxification program no longer than 5
days unless there is a statement signed by a certified alcoholism counselor in the client
record stating why it is necessary for the particular client to remain in the program for a
longer period of time.
(5) Staffing
(A ) A ll professional staff employed by the program shall be trained in first aid and
cardiopulmonary resuscitation and shall have additional training from a physician to
recognize the onset of medical problems associated with withdrawal from alcohol.
(B) There shall be at least two paid staff persons on duty at all times.
(C ) There shall be a client to staff ratio at all times no greater than one staff person on
duty for each 10 clients in residence.
(6) M edical care agreements
Each program shall have a written agreement with one or more licensed physicians to
provide staff training as required by subsection (5) (A ) of this section.
(c) Residential programs
(1) Residential programs shall provide residential accommodations and meals and one
or more of the following services to clients:
(A ) Intensive services shall at a minimum include:
(i) a short term program of up to 30 days duration;
(ii) daily group and/or individual counseling sessions, alcohol education, and knowledge
about, and access to, self-help groups.
(B) Long term treatment and rehabilitation services shall at a minimum include:
(i) daily group and, or individual counseling;
(ii) a minimum of 20 hours per week of treatment which may include activities such as
individual, group or family counseling, lectures, discussions or films;
(iii) knowledge about and access to self help groups.
(C ) Intermediate services which shall, at a minimum include:
(i) a program of more than 30 days duration;
(ii) counseling on an individual and/or group basis at least 3 days per week;
(iii) introduction to self-help groups;
(iv) assistance in finding and retaining gainful employment or entering an educational
or vocational training program;
(v) a minimum of 3 hours of counseling per week for each client for the first 30 days
treatment and a minimum of one counseling session per week thereafter.
(2) A dditional admission criteria
- 28 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-7
In addition to admission criteria developed pursuant to the requirements of 17-226d-6
(a), residential programs shall not admit:
(A ) any person in need of detoxification from alcohol or drugs;
(B) any person who would be an appropriate candidate for outpatient or day/evening
treatment.
(C ) any person for intermediate services for whom gainful employment is not a
reasonable expectation as determined by the initial assessment.
(3) Hours of operation
Each residential program shall operate seven days a week, 24 hours per day.
(4) M edical services
Each residential program shall arrange for the provision of medical services for illness
or injury which occur during the course of the client’s stay in the program. The program
may provide such services through a staff physician or through a contract or contracts with
licensed physicians, clinics or hospitals.
(5) Staffing
A paid staff person shall be physically present overnight and shall have ready access to
back up clinical staff at each residential program.
(d) Day/evening programs
(1) Services offered
Each day/evening treatment program shall, at a minimum provide the following services
to its clients:
(A ) a short term non-residential program operating a minimum of 5 hours a day, 5 days
a week if a daytime program or a minimum of 3 hours an evening 3 evenings a week if an
evening program;
(B) a planned program of activities including substance abuse education and an
introduction to the concept of self-help groups;
(C ) daily individual, group or family counseling each day the program is in operation;
(D) a minimum of fifty percent of each client’s time at the program shall be spent in
individual, group or family counseling sessions and other activities such as lectures,
discussions or films.
(e) Outpatient programs
(1) Services offered
Each program shall provide the following minimum services:
(A ) individual, family or group counseling on an outpatient basis;
(B) a minimum of one counseling session per client per week except when the client
record includes an explanation why less frequent counseling is appropriate, however, any
client who receives less than one counseling session within a 30 day period shall be
discharged from the program; and,
(C ) knowledge about and access to self-help groups.
(2) Hours of operation
Each outpatient program shall operate at least 5 days a week, eight hours a day. Each
- 29 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-7
program shall be open at least one evening a week or two hours a week outside of the hours
of 9:00 a.m. to 5:00 p.m. to accommodate the needs of clients who work during the day.
(3) M edical services
Each outpatient program which dispenses prescription drugs as part of their planned
treatment regimen shall:
(A ) employ a medical director who shall be responsible for overseeing the administration
of all drugs to clients;
(B) give physicals in accordance with the requirements of section 17-226d-6 (1) to all
clients prior to the start of drug therapy.
(f) Methadone programs
(1) Except where this section imposes other or more stringent specific requirements, any
program offering methadone maintenance or methadone detoxification shall abide by the
Federal M ethadone Regulations, 21 C FR 291, which are hereby incorporated by reference.
(2) A dmission criteria
(A ) N o program shall admit any person to maintenance treatment who: is less than 18
years old unless the program has documented evidence that the person has made at least
two attempts at drug free treatment.
(B) A program may establish admission criteria which is more stringent than the federal
requirements with the prior written approval of the State M ethadone A uthority.
(3) Required documentation
In addition to the requirements of subsection (i) of section 17-226d-6 each methadone
program shall record the following information in the client’s record:
(A ) all changes in the client’s medication schedule;
(B) all changes in dosage;
(C ) in any case where a replacement dosage of methadone must be dispensed to a client
during a single day the reasons why such replacement dosage was dispensed shall be
recorded in the client’s record; and,
(D) at any time the program physician orders that a urine screening or other required
laboratory tests not be given the reasons for the order shall be recorded and signed by the
physician.
(4) Hours of operation
(A ) Inpatient programs shall be open 24 hours per day, seven days a week.
(B) Outpatient detoxification programs shall be open seven days a week.
(C ) Outpatient maintenance programs shall be open a minimum of six days a week.
(5) Physicals and laboratory examinations
(A ) Each program shall ensure each client has a physical examination upon admission
to the program and at least annually thereafter in accordance with the requirements of section
17-226d-7 (j). The annual physical may be performed by the client’s personal physician.
(B) When a client who has left the program seeks readmission less than 6 months after
receiving a required physical, only a urine screening need be performed unless other tests
as required by section 17-226d-6 (j) (2) are medically indicated.
- 30 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-7
(C ) A client who seeks readmission more than six months after receiving a required
physical shall receive a physical and all laboratory tests as required by subsection (A ) of
this section.
(6) Each program shall have and utilize a written procedure for dispensing methadone
to clients which shall include but need not be limited to the following requirements:
(A ) Subject to the exceptions listed in subsection (8) below, all methadone dispensed by
the program shall be consumed on the program’s premises in the presence of the program
staff member who dispensed the drug.
(B) A written description of the circumstances under which a replacement dosage may
be administered to a client.
(C ) Whenever a program permits clients to have take home dosages of medication, the
program shall warn clients of the dangers of accidental poisoning of children or other
members of the client’s household and shall advise clients as to the proper and safe storage
of methadone in the client’s home.
(D) A ll methadone dosages dispensed for off-premises consumption shall be dispensed
in child-proof containers with a warning label.
(7) C ounseling
Each methadone program shall provide a minimum of one counseling session per month
for each client.
(8) Permissible off-premises consumption
Each program which allows off-premises consumption of methadone dispensed by the
program shall do so in accordance with a written procedure which shall include but need
not be limited to, whichever of the following circumstances are applicable to the program:
(A ) Each program which operates six days a week may give each enrolled client one
take-home dosage of medication each week.
(B) Each program which has a written policy and criteria permitting decreasing
attendance may give any client who qualifies up to a 6 day supply of methadone no more
frequently than every 7th day in accordance with the requirements of the Federal M ethadone
Regulations.
(C ) When an enrolled client is so ill that he is unable to physically come to the program
for his medication the program physician may:
(i) A uthorize delivery of the medication to the client provided that either a licensed nurse
or a licensed physician, accompanied by one other person employed by the program,
delivers the medication.
(ii) Obtain the approval of the Federal Food and Drug A dministration and the State
M ethadone A uthority to permit a relative or other individual to pick up a single dose of
medication and deliver it to the client.
(D) Holidays
(i) Each outpatient program regardless of its regular schedule may close for the holidays
of Independence Day, Thanksgiving, C hristmas Day and N ew Year’s Day and may provide
a single dose of take-home medication for each client enrolled in the program for each
- 31 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-8
holiday.
(ii) Each outpatient maintenance program, regardless of its normal schedule may close
for official state holidays other than those listed in subsection (i) above and may provide a
single dose of take-home medication for each client enrolled in the program for each holiday
provided the reason for the take-home dose is recorded in each client’s record.
(E) Travel
(i) Each program which allows take-home medication to be dispensed for client travel
shall have and utilize written criteria describing the circumstances under which such take-
home doses for travel are permitted.
(ii) When a client requests take-home medication for travel which will last more than
seven days but less than 15 days the program must obtain the prior written approval of the
State M ethadone A uthority before dispensing the take-home medication.
(iii) When a client requests take-home medication for travel which will last 15 days or
more the program must obtain the prior approval of both the Federal Food and Drug
A dministration and the State M ethadone A uthority before dispensing the take-home
medication.
(9) Involuntary detoxification
(A ) Each program shall have and utilize a written procedure for the detoxification of
clients who have been expelled from the program, which procedure shall conform to the
requirements of section 17-226d-11 (g).
(B) Detoxification of clients expelled from the program shall occur at the expelling
program’s facilities unless the client has been expelled for violent behavior or threats of
violence, in which case the program is not obligated to provide detoxification, but may
make a referral to another program.
(C ) A program shall have no further responsibility to provide treatment to, or take any
other action on behalf of, a client who has been expelled from the program and who has
been offered the opportunity to contest the expulsion pursuant to the requirements of section
17-226d-11 (g) and who has rejected the program’s arrangements for detoxification provided
pursuant to subsections (A ) and (B) of this section.
(Effective September 20, 1984)
Sec. 17-226d-8. Long term care and rehabilitation programs
(a) Hours of operation — Each program shall operate 24 hours per day, seven days per
week.
(b) Admission criteria
(1) Each program shall have and utilize written admission criteria which shall be
available to service recipients, staff, the community and the C ommission.
(2) N o person shall be admitted to a program unless he meets the program’s admission
criteria and any person who is ineligible because he does not meet the admission criteria
shall be referred elsewhere.
(3) The written admission criteria shall include, but need not be limited to consideration
- 32 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-8
of the following factors:
(A ) age
(B) sex
(C ) physical health
(D) mental status
(E) previous treatment history
(F) history of alcohol abuse
(G) current use of alcohol
(4) N o person may be admitted to the program who does not have a documented past
and current history of multiple admissions to alcohol abuse or alcoholism treatment
facilities.
(5) Program shall not exclude any service recipient from readmission who has had
occasional lapses in sobriety so long as the service recipient is sober at the time of admission.
(c) Intake procedure
(1) Each program shall have and utilize a written intake procedure which shall include
but need not be limited to:
(A ) A procedure for making and accepting referrals pursuant to the requirements of
section (g) of this regulation.
(B) A time limit within which initial assessment of service recipients admitted to the
program will be completed.
(C ) A procedure for determining whether or not the service recipient meets the program’s
admission criteria and is appropriate for the program.
(2) Each program shall, during the intake procedure, collect at least the following
demographic information on a standardized form from each person seeking admission to
the program:
(A ) N ame
(B) Home A ddress
(C ) Telephone N umber
(D) Date of Birth
(E) Sex
(F) Race/Ethnicity
(G) M arital and Family Status
(H) Employment Status and Employer
(I) Education
(J) C urrent Family Income
(K) N ext of Kin
(L) Social Security N umber
(M ) C riminal Justice System Status
(N ) Referral Source
(O) Insurance C overage
(P) Date of Initial C ontact
- 33 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-8
(Q) Date of Interview
(R) Signature and Title of Intake Worker
(3) Each service recipient history shall be completed by a member of the program’s
treatment staff and shall include, but need not be limited to the following information:
(A ) presenting problem
(B) history of substance abuse and problems
(C ) family and personal history
(D) education and employment history
(E) medical history
(F) history of arrests and convictions
(G) previous treatment history
(d) Orientation
(1) Each person admitted to a program shall receive an orientation in accordance with a
written orientation policy and procedure.
(2) Such orientation shall include, but need not be limited to explaining in language
understandable to each service recipient:
(A ) the program’s philosophy, goals and objectives;
(B) the services offered by the program;
(C ) the program’s hours of operation;
(D) the fee policy, fee schedule and that no person shall be denied services because of
his inability to pay for such services;
(E) service recipient’s rights;
(F) the program’s expectations of the service recipient;
(G) the protection and restrictions which derive from the federal confidentiality
requirements;
(H) the program’s rules and procedures and the consequences of infractions of such rules;
and,
(I) the program’s termination and discharge procedures.
(e) Assessment procedure
(1) Each program shall have and utilize a written policy and procedure for assessing all
persons admitted to the program. A t a minimum the assessment shall include a written
synthesis of information obtained during the intake procedure, which synthesis shall identify
the service recipient’s strengths and the staff person’s observations of the service recipient’s
personality functioning and those situational factors which have contributed to the service
recipient’s current dysfunction.
(2) The assessment shall be used as a guide to the formulation of the service recipient’s
service plan.
(f) Service plan
(1) Each program shall prepare an individualized, written plan which states the service
recipient’s problems and describes the services to be provided by the program to address
the problems related to, or resulting from, the service recipient’s alcoholism.
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-8
(2) Each service plan shall be reviewed periodically for completeness and
appropriateness in accordance with a written standardized policy and procedure designed
to ensure that the plan remains applicable to the changing needs of the service recipient.
The service recipient’s records shall contain written evidence of such periodic review,
assessment of the service recipient’s progress and any revisions that have been made in the
plan as a result of the review.
(g) Referrals
(1) Each program shall have and utilize a written policy and procedure for service
recipient referrals as part of a comprehensive network of care. Such policy shall include,
but need not be limited to:
(A ) a description of the circumstances or conditions under which a referral shall be made,
accepted or rejected;
(B) procedures for referral of service recipients between specific components of the
awardee’s program; and,
(C ) current information on, and referrals to, self-help groups.
(h) Service recipient records
(1) Each program shall use a standardized record-keeping system and shall maintain an
individualized record for each service recipient admitted to the program which shall
document the changing status, needs and activities of the service recipient. Such record
shall include, but need not be limited to:
(A ) all standardized statistical information as required by section (c) of this regulation
and emergency information;
(B) all parts of the service recipient’s individualized service plan as required by section
(f) of this regulation;
(C ) all assessments of the service recipient performed by program staff, including
documentation of the service recipient’s problems and needs;
(D) the results of all physical, psychological, medical, laboratory and vocational
examinations and tests including the signature and title of the person who administered the
test or performed the examination;
(E) a weekly summary of the service recipient’s activities as listed in the service plan;
and,
(F) a discharge summary for each service recipient who has left the program.
(2) A ll active records shall be kept in locked files in a secured room.
(3) Each program shall have and utilize a policy and procedure for closing and storing
service recipient records. The policy and procedure shall include, but need not be limited
to the following provisions:
(A ) the entire record shall be maintained for a period of at least five years after closure
and shall be protected against loss, damage, or breach of confidentiality;
(B) after five years such records may be destroyed by shredding or burning; and,
(C ) the policy shall specify under what circumstances a record is to be closed.
(i) Medical services and medication
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-9
(1) Each program shall ensure that each person admitted to the program shall have a
complete medical history and physical examination.
(2) Each program shall have and utilize a written policy and procedure for administering,
storing and self administration of all medications. A ll medications shall be marked, regularly
inventoried and stored in a locked cabinet.
(3) Each program shall have a fully equipped first aid kit on the premises at all times the
program is in operation.
(4) When a service recipient is referred from another program and there is no break in
the treatment regimen, a physical examination as required by subsection (1) above need not
be repeated by the program accepting the referral. A record of the physical examination
from the referring program shall be included in the intake information recorded in the service
recipient’s record.
(j) Staffing
A t least one paid member of the program’s staff shall be on duty during the night.
(k) Meals
Each program shall provide at least three nutritionally balanced meals for each service
recipient each day.
(Effective September 20, 1984)
Sec. 17-226d-9. Shelters
(a) Screening
(1) Each program shall have and utilize a written screening procedure which shall
include, but need not be limited to:
(A ) a process whereby all persons entering the program are screened for obvious signs
of illness or injury and those exhibiting such signs are referred to a medical facility;
(B) a requirement that all persons entering the program shall surrender any weapons,
alcoholic beverages and drugs in their possession;
(C ) all screening for entrance to a program with sleeping accommodations shall be
conducted during regularly scheduled hours;
(D) information including but not necessarily limited to the following shall be obtained
from each person entering the program:
(i) Shelters shall obtain information on each service recipient’s age, race and sex; and,
(ii) Shelters shall also keep a record of all referrals made or accepted by the program.
Such information shall be submitted quarterly to the C ommission in the time, manner
and form required by the C ommission.
(E) all persons entering the program shall be informed of program rules and procedures
and the possible consequences of infractions of such rules.
(2) N o person shall be permitted to enter the program’s facilities who has not been
screened in accordance with the program’s screening procedure.
(b) Referrals
(1) Each program shall maintain a list of referral sources and resources which is
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-9
periodically updated.
(2) Each program shall have and utilize a procedure for referring to an appropriate facility
any person who expresses an interest in obtaining treatment for alcohol or drug abuse and
shall have available current information on self-help groups for substance abusers.
(3) Each program shall have a written procedure for accepting into the program any
person who has been initially refused admittance because of illness or injury and referred
to a medical facility as required by subsection (a) (1) (A ) of this regulation. Such procedure
shall include, but need not be limited to:
(A ) a requirement that the person have a written medical clearance before the person
may be permitted to enter the program;
(B) medical clearances shall be recorded by the program in a log as required by section
(c) of this regulation.
(c) Logs
Each program shall maintain a written log which shall include, but need not be limited
to:
(1) a record of all significant events which occur during the program’s daily operations;
(2) a record of the names of any persons permanently or temporarily denied access to
the program’s facilities and the reasons for the denial of access; and,
(3) a copy of all medical clearances received pursuant to the requirements of subsection
(b) (3) of this regulation.
(d) Provision of medical services
(1) Each program shall have and utilize a written policy and procedure for storing and
self-administration of all medications which shall include a provision that all medication
be marked and stored in a locked cabinet.
(2) Each program shall have a fully equipped first aid kit on the premises at all times the
program is in operation.
(e) Program schedule
Each program shall have and utilize a written procedure for the provision of program
services which includes a schedule of standard times for:
(1) screening persons for admission;
(2) serving meals, if meals are offered by the program;
(3) bathing or showering, in programs with sleeping accommodations; and,
(4) lights out, if the program provides sleeping accommodations.
(f) Staffing
(1) Each program shall have and utilize written policies and procedures for training
program staff which shall include, but need not be limited to:
(A ) training in knowledge of, and sensitivity to, the problems of substance abuse and
addiction; and,
(B) training in first aid and cardiopulmonary resusitation.
(2) Each program shall have at least the following minimum staffing:
(A ) one paid staff member on duty at all times the program is in operation, all other
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-10
positions may be filled by trained volunteers;
(B) one paid staff member on duty overnight for each 25 service recipients for programs
which provide sleeping accommodations; and
(C ) two paid staff members on duty during screening and mealtimes in programs with
sleeping accommodations;
(g) Security
Each shelter offering sleeping accommodations shall have a policy and procedures
dealing with security. Such policy and procedures shall include but need not be limited to:
(1) provisions for ensuring persons entering the program do not have access to weapons,
alcoholic beverages or drugs while at the program’s facilities;
(2) provisions for the protection of service recipients and staff during the screening
process; and
(3) provisions for the protection of service recipients and their property while they are
sleeping.
(Effective September 20, 1984)
Sec. 17-226d-10. Employee assistance, community awareness, prevention and
intervention programs
(a) Employee assistance programs
(1) Each Employee A ssistance program shall at a minimum have and utilize the
following written materials:
(A ) A detailed written description of all services which the program is able to provide
to local business and industry in the geographical area served by the program.
(B) A written fee structure for all services which the program offers.
(C ) A written sample contract for the program’s services.
(D) A written description of the program’s marketing strategy which identifies specific
program objectives and describes how the program will meet these objectives.
(E) A written plan for record keeping and program evaluation which at a minimum
measures the achievement of program objectives.
(2) Each Employee A ssistance program shall document the services it provides through:
(A ) Written summaries of its marketing activities which indicate how the activities relate
to its marketing strategy;
(B) C opies of all contracts which the program has executed with business and industry;
and,
(C ) A written outline of the training sessions conducted with managers and supervisors
employed by businesses and industries which have contracted for the program’s services.
(b) Community awareness programs
(1) Each C ommunity Awareness program shall be composed of three component
services:
(A ) Public Information Services through such activities as health fairs, distribution of
informational pamphlets, film or book-lending libraries, public service announcements and
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-10
speaker’s bureaus; by which the program shall attempt to increase community awareness
of a broad range of issues related to substance abuse.
(B) Educational Services through formal, structured presentations during which the
program shall attempt to impart specific knowledge related to substance abuse to an
identified target audience; and,
(C ) Referral Services through which the program shall provide assistance in locating
appropriate services for persons with service needs related to substance abuse;
(2) Each C ommunity Awareness program shall prepare a written annual plan which shall
include a description of the program and of the specific activities it intends to engage in,
the staff who will participate in such activities and the relationship of each activity to the
program’s goals and objectives.
(3) Each C ommunity Awareness program shall document the services it provides through
the following means:
(A ) Written summaries of any activities undertaken by the program including copies of
any printed material, press releases and such other material as may demonstrate the nature
and scope of services.
(B) Written description of any educational presentations made by program staff including
the date on which the presentation was made, the place where it was made, the audience to
which it was directed, an estimate of the number of participants and a brief summary of the
content of the presentation.
(C ) A log of all referrals made by the program.
(c) Prevention
(1) Each Prevention program shall prepare a written annual plan which shall include:
(A ) a description of the program’s goals and objectives.
(B) a description of the target population the program intends to serve.
(C ) a description of the activities the program intends to engage in and their relationship
to the program’s goals and objectives.
(D) a list of the staff and a description of the tasks they will fulfill.
(E) a description of the procedures the program will use for evaluating its activities.
(2) Each Prevention program shall have a written policy and procedure for referrals of
service recipients as part of a comprehensive continuum of care. Such policy shall include
maintaining a list of referral sources which is periodically updated.
(3) Each Prevention program shall document the services it provides in each of the
following ways which is compatible with the services it offers:
(A ) written material used for recruitment of service recipients,
(B) written summaries of demographic data if such data is obtained from persons who
have received program services,
(C ) copies of curricula or training materials used by the program,
(D) pre and post course test results or service recipient evaluations of training sessions
given by the program,
(E) summaries of training or educational activities, and
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-10
(F) training or educational activity schedules, and attendance lists if such lists are
customarily obtained during such activities.
(d) Intervention programs
(1) Each Intervention Program shall prepare a written annual plan which shall include:
(A ) a description of the program’s goals and objectives,
(B) a description of the activities the program intends to engage in and their relationship
to the program’s goals and objectives,
(C ) a list of the staff and a description of the tasks they will fulfill, and
(D) a description of the procedures the program will use for evaluating its activities.
(2) Each Intervention program shall have written criteria and procedures for recruitment
and screening of service recipients. Such criteria shall include:
(A ) a description of the target population from which the program will attempt to recruit
service recipients,
(B) a description of how the program will attempt to recruit such persons,
(C ) samples of any materials used by the program in its recruitment efforts, and
(D) a written selection procedure which shall include a description of the criteria used
to screen and select individuals who will most closely match the program’s goals.
(3) Referrals
(A ) Each Intervention program shall have and utilize a written policy and procedure for
referrals of service recipients as part of a comprehensive continuum of care. Such policy
shall include, but need not be limited to:
(i) A description of the circumstances or conditions under which a referral shall be made.
(ii) A description of the circumstances and conditions under which members of a service
recipient’s immediate family may be referred to other organizations or service providers.
(iii) A procedure by which persons inappropriate for the services of an intervention
program are referred to other services which can better meet their service needs.
(B) Each Intervention program shall maintain a list of referral sources and resources
which is periodically updated.
(C ) Each Intervention program shall maintain a written log of all referrals made by the
program.
(4) Each Intervention program shall document the services it provides through one or
more of the following ways which is compatible with services it offers:
(A ) Written material used for recruitment or selection of service recipients;
(B) Written summaries or demographic data obtained from persons who have received
program services;
(C ) The program’s log of referrals;
(D) A record shall be kept for each service recipient who receives short-term counseling
or crisis intervention. Such record shall include but need not be limited to:
(i) demographic information including but not necessarily limited to: name, home
address, telephone number, date of birth, sex, race/ethnicity, marital and family status,
employment status, employer and education;
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-11
(ii) a description of the immediate problem which resulted in the Intervention services
being sought;
(iii) a counselor’s assessment of the service recipient’s needs;
(iv) a summary of counseling sessions and the dates on which they occurred;
(v) the date on which the service recipient’s relationship with the program ended and
the resolution of the immediate problem which required the short-term counseling; and,
(vi) a confidentiality form signed by the service recipient and a release of information
form signed by the service recipient if information concerning the service recipient was
released by the program.
(E) Summaries of hotline activities including a log of calls received by the program.
(5) Each person who receives services from an Intervention program shall receive a brief
orientation to the program in accordance with a written orientation policy and procedure.
The orientation shall include but need not be limited to explaining in language
understandable to the service recipient:
(A ) The program’s approach to services, goals and objectives;
(B) The services offered by the program and through referral by other service providers;
(C ) The program’s hours of operation;
(D) The fee policy, fee schedule and the fact that no person shall be denied services
because of his inability to pay for such services;
(E) The program’s expectations of the service recipient;
(F) The protections and restrictions which derive from state and federal confidentiality
requirements; and,
(G) The program’s rules and procedures and the consequences of infractions of such
rules.
(6) Each Intervention program shall have and utilize a written policy and procedure for
obtaining an assessment and history of all persons who receive counseling from the program
to determine whether the service recipient meets the program’s criteria for such counseling
service.
(7) Each service recipient who receives more than two sessions of counseling is deemed
to be receiving treatment and the awardee must comply with the requirements of Section
17-226d-6 in providing such services.
(Effective September 20, 1984)
Sec. 17-226d-11. Service recipient’s rights
A ll service recipients receiving alcohol or drug abuse-related services from any program
funded by the C ommission shall be accorded the following minimum rights by such
programs in addition to any other rights they might have under state or federal law or
regulations.
(a) Notice of rights and requirements
(1) The program shall notify all service recipients to whom it provides services of all
rights, responsibilities and program rules relating to the service recipient’s participation in
- 41 -
Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-11
the program, including but not necessarily limited to those rights listed in this section, and
the service recipient’s right to have all records, correspondence and conversations relating
to his treatment kept confidential. The program shall also notify all service recipients of
changes in program rules as they occur.
(b) Voluntary participation
(1) Programs shall not use coercion or force to induce any person to enter, accept or
remain in treatment, except that programs may accept for treatment any person who is
brought to, transferred to, or committed to, the program under the authority of any
C onnecticut statute, including but not limited to those statutes authorizing protective
custody, emergency treatment or involuntary commitment of alcoholics, involuntary
commitment of drug addicts and the treatment for alcohol or drug abuse of persons in the
custody of the C ommissioner of C orrections.
(2) Persons admitted to a program shall not be forced to accept or participate in any type
of treatment or counseling against the person’s will, however a program may refuse to
continue serving any person who refuses to participate or accept treatment.
(3) A t the request of the service recipient or any member of the service recipient’s
immediate family, the full range of alternative treatments shall be described and programs
or individuals identified, who can supply those alternatives which the admitting program
does not offer.
(c) Informed consent
(1) The risks, side effects and potential benefits of all treatment offered to the service
recipient and the various steps and activities involved in the treatment process shall be
explained to the service recipient.
(2) Service recipients shall, if physically and mentally able to do so, give written consent
before any treatment is begun. When such consent cannot be given because of the service
recipient’s physical or mental state, a written explanation for the lack of written consent
shall be placed in the service recipient’s records.
(3) If a program serves a target population whose primary language is not English, any
required material shall be written in the target population’s language of literacy.
(4) Whenever a program admits a service recipient who is illiterate, all required written
materials shall be explained to the service recipient and a notation shall be placed in the
service recipient’s file explaining exactly how the required information was given to the
service recipient, when and by whom.
(5) The risks, benefits and nature of any innovative, experimental, unusual or hazardous
treatment or medication shall be fully explained to the service recipient, and the service
recipient’s written consent to the treatment obtained, before any such treatment is begun.
(d) Physical restraint policy
(1) A medical detoxification program may use physical restraint against a service
recipient only to prevent the service recipient from harming himself or others, only after all
other alternatives have been exhausted and only in accordance with a written policy for the
use of physical restraint which shall include requirements for frequent observations by staff
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-11
of any person in physical restraint and a written record of each such observation. N o other
type of program may utilize physical restraint.
(2) Before physical restraint may be used on any service recipient the medical director
must give written authorization. Such written authorization, and an explanation of the
reasons such restraint was necessary, shall be recorded in the service recipient’s record.
(3) Physical restraint shall be discontinued as soon as it is determined by the medical
director that the service recipient is no longer an immediate danger to himself or others.
(e) Use of service recipient labor
Programs which utilize the labor of service recipients shall ensure that all such labor shall
be performed voluntarily in safe working conditions. Programs shall compensate service
recipients at the prevailing wage rate for the work performed or shall obtain a written waiver
from the service recipient which states the reasons why the work is being performed without
compensation.
(f) Visitors, mail and telephone policies
(1) Residential treatment programs shall permit service recipients to receive visitors,
make and receive telephone calls and send and receive mail at reasonable times and subject
to reasonable program rules and regulations. Such program rules and regulations shall be
in writing and shall be explained to all service recipients upon admission to the program.
(2) The program shall designate specific areas as places where service recipients shall
meet with visitors. A ll visitors shall be informed of the programs rules relating to their
conduct during visits.
(3) The program shall inform service recipients in advance when visitors are expected
and all visits shall be conducted so as to cause minimal interruption of normal activities.
(4) When visitors or telephone or mail communications are contraindicated by the service
recipient’s condition, the service recipient’s record shall indicate the reasons for the
restrictions and that an explanation of the restrictions has been given to the service recipient.
(g) Involuntary discharge
(1) Each treatment program shall have a written involuntary discharge policy which shall
include a requirement that all service recipients shall be informed upon admission of
program rules and regulations, violation of which is grounds for involuntary discharge from
the program, and shall sign a statement indicating that the service recipient understands the
rules. Such statements shall be maintained in each service recipient’s record.
(2) When a program has decided to discharge a service recipient for cause, a written
statement from the program shall be mailed to the service recipient’s home address or hand
delivered. The notice shall contain detailed information justifying the discharge and
informing the service recipient of his right to request a review of the discharge.
(3) If a service recipient who has been involuntarily discharged from a program requests
a review within the time allowed by the program for such request, the program will provide
such review. A t a minimum the review shall include:
(A ) A n opportunity for the service recipient to meet with a person or persons designated
by the awardee to present his reasons why the decision to discharge him should be reversed.
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services
Revised: 2015-3-6
Alcohol and Drug Abuse Commission
R.C .S.A . §§ 17-226d-1—17-226d-11
§17-226d-11
(B) The person or persons with whom the service recipient meets shall have the authority
to reverse the decision to discharge and to reinstate the service recipient in the program.
(4) A timely request for a review by the service recipient shall have the effect of staying
the discharge until after the reviewer makes a decision, except that a discharge shall become
effective immediately if the reasons for the discharge include physical violence or the threat
of physical violence when there is reason to believe such threat indicates a genuine
possibility of actual physical violence directed against another service recipient or a program
staff member.
(Effective September 20, 1984)
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Regulations of Connecticut State Agencies
TITLE 17. Public A ssistance & Welfare Services