STATEMENT OF EMERGENCY
201 KAR 35:070E
This emergency regulation establishes the
supervision requirements and procedures for individuals obtaining supervision
experience for a credential by the board. This emergency regulation is
necessary because Kentucky is facing an epidemic of alcohol and drug abuse,
especially heroin. During the 2015 legislative session, HB 92 was signed into
the law, which took effect on June 24, 2015, that expanded the credentials
regulated by the Kentucky Board of Alcohol and Drug Counselors and services
that may be offered by qualified, credentialed individuals. No administrative
hearing can be held until the regulation is promulgated. This emergency
regulation shall be replaced by an ordinary administrative regulation. The
ordinary administrative regulation is identical to this emergency
administrative regulation.
STEVE BESHEAR, Governor
GEOFFREY WILSON, Chairperson
GENERAL GOVERNMENT
CABINET
Board of Alcohol and
Drug Counselors
(Emergency Amendment)
201 KAR 35:070E. Supervision[and
work] experience.
RELATES TO: KRS 309.083(4), 309.0831,
309.0832, 309.0833
STATUTORY AUTHORITY: KRS 309.0813(1),[and]
(3), (5),
309.083, 309.0831, 309.0832, 309.0833
EFFECTIVE: August 25, 2015
NECESSITY, FUNCTION, AND CONFORMITY: KRS
309.0813(1) requires the board to promulgate administrative regulations for the
administration and enforcement of KRS 309.080 to 309.089. KRS 309.0813(3)
requires the board to approve or disapprove those persons who shall be credentialed[certified].
KRS 309.083,
309.0831, 309.0832, and 309.0833 require[(4) requires] all applicants for registration
as an alcohol and drug peer support specialist, certification as an alcohol
and drug counselor, licensure as a clinical alcohol and drug counselor
associate, or licensure as a clinical alcohol and drug counselor to have
completed under[300 hours of board-approved experience working with
alcohol or drug dependent persons under the] direct supervision from[of]
a certified alcohol and drug counselor who has at least two (2) years of
postcertification experience or licensure as a clinical alcohol and drug
counselor.[This administrative regulation establishes the standards for
the accumulation of the required supervised work experience.]
Section 1. (1) Peer Support
Specialist Supervision. Peer support specialist supervision shall continue
throughout the period of registration.
(2)[Definitions.
(1) "Clinical supervision" means the educational process of utilizing
a partnership between a supervisor and a supervisee aimed at enhancing the
professional development of the supervisee in providing services related to the
twelve (12) core functions of the alcohol and drug counselor.
(2) "Clinical supervisor"
means a certified alcohol and drug counselor who has at least two (2) years of postcertificate
experience and who provides supervision to not more than twelve (12) applicants
in an individual or group setting at any one (1) time, and whose certificate is
currently in good standing with the board.
(3) "Work experience" is
defined as the hours spent performing the services, tasks, and reports
necessary for providing counseling or intervention to a chemically dependent
person or person's significant others.
Section 2.] Clinical
Supervision.[(1)] Clinical supervision shall consist of at least 300
hours and shall include a minimum of ten (10) hours in each of the following
twelve (12) core functions:
(a) Screening;
(b) Intake;
(c) Client orientation;
(d) Assessment;
(e) Treatment planning;
(f) Counseling;
(g) Case management;
(h) Crisis intervention;
(i) Client education;
(j) Referral;
(k) Reports and
recordkeeping; and
(l) Consultation.
(3)[(2)](a)
Clinical supervision may occur in individual or in group settings.
(b) The methods of clinical
supervision include:
1. Face-to-face;
2. Video conferencing; or
3. Teleconferencing.
(4)[(3)] A
minimum of 200 hours of clinical supervision shall be conducted face-to-face in
an individual or group setting.
(5)[(4)]
Clinical supervisors shall complete and submit the Supervisor's form in the
Application for Certification as an Alcohol and Drug Counselor, Application
for Licensure as a Clinical Alcohol and Drug Counselor Associate, or
Application for Licensure as a Clinical Alcohol and Drug Counselor[incorporated
by reference in 201
KAR 35:020, Section 10,] that
documents the 300 hours of supervision that has occurred during the work
experience.
Section 2. Except as provided, a
supervisory arrangement shall have the prior approval of the board, with both
supervisor and supervisee submitting a Supervisory Agreement to the board. The
supervisor and supervisee shall submit to the board the description of the
supervisory arrangement or a change in the supervisory arrangement at least
thirty (30) days prior to the effective date of the arrangement or change
unless extenuating circumstances prevent the submission the thirty (30) day
requirement[3. Accumulation of Work Experience. (1) 6,000 hours of work
experience shall be accumulated in a setting where chemical dependency services
are routinely provided.
(2) Supervised work
experience shall be in the twelve (12) core functions referenced in Section 2
of this administrative regulation to enhance the candidate's understanding and
application of the twelve (12) core functions to the practice of alcohol and
drug counseling.
(3) The work experience
may be either paid or unpaid].
Section 3.[4.] (1) All supervision
requirements shall:
(a) Be met with face-to-face
individual or group weekly contact between supevisor and supervisee except as
provided in subsection (2) of this section and Sections 12 and 15 of this
administrative regulation;
(b) Consist of not less than two (2)
hours two (2) times a month of the practice of alcohol and drug counseling; and
(c) Include additional supervision
sessions as needed.
(2) An alternative format of
supervision, including two (2) way interactive video, may be substituted for
the supervisory contact, required by subsection (1) of this section, upon
specific approval by the board.
(3) Upon a change of supervisor, a new
plan for supervision shall be submitted by the supervisor and supervisee to the
board for approval. This plan may require additional hours of supervision than
was previously aproved by the board.
(4) Upon termination of the
supervisor-supervisee relationship, the final report of supervision shall be
submitted to the board within thirty (30) days of the termination[Substitution
of Work Experience. (1) An applicant may substitute, for part of the work
experience, a degree in a related field such as:
(a) Addictions;
(b) Counseling;
(c) Psychology;
(d) Psychiatric nursing; or
(e) Social work.
(2) Requests for substitution shall
be submitted to the board along with transcripts from an accredited College or
University.
(3) Educational substitution shall
be reviewed and approved by the board based upon education relative to the
delivery of alcohol and other drug counseling.
(a)(1) A master's degree or higher
in a related field, with a specialization in addictions or drug and alcohol
counseling may be substituted for 4,000 hours of work experience.
(b) A master's degree or higher in
a related field, may be substituted for 3,000 hours of work experience.
(c) A bachelor's degree in a
related field, may be substituted for 2,000 hours of work experience.
(d) A bachelor's degree in an
unrelated field shall not qualify for a substitution of hours, and the
applicant shall provide proof of 6,000 hours of work experience as established
in Section 3 of this administrative regulation.
(4) The hours of work experience
shall be documented on the candidate's application for certification and shall
contain verification by the supervisor].
Section 4. (1) A certified alcohol and
drug counselor or licensed clinical alcohol and drug counselor who has been
approved by the board as a supervisor shall attend a board approved training
session in supervisory practices within twelve (12) months of obtaining
approval as a supervisor.
(2) A board approved supervisor shall
obtain a minimum of three (3) continuing education hours in supervision theory
or techniques in each three (3) year renewal cycle. The board shall suspend its
approval of a supervisor if the supervisor does not complete the required
continuing education.
(3) A certified alcohol and drug
counselor or licensed clinical alcohol and drug counselor shall not be the
supervisor of record for more than twelve (12) supervisees.
(4) A licensed clinical alcohol and
drug counselor associate shall only be supervised by a licensed clinical
alcohol and drug counselor.
Section 5. (1) The supervisor shall
make all reasonable efforts to be assured that each supervisee’s practice is in
compliance with this administrative regulation.
(2) The supervisor shall report to the
board an apparent violation of KRS 309.086 on the part of the supervisee.
(3) The supervisor shall inform the
board immediately of a change in the ability to supervise, or in the ability of
a supervisee to function in the practice of alcohol and drug counseling in a
competent manner.
(4) The supervisor shall control,
direct, or limit the supervisee’s practice as appropriate to insure that the
supevisee’s practice of alcohol and drug counseling is competent.
(5) The supervisor of record shall be
responsible for the practice of alcohol and drug counseling by the supervisee.
If the board initiates an investigation concerning a supervisee, the
investigation shall include the supervisor of record.
(6) For each person supervised, the
supervisor shall maintain a Supervisor Log of each supervisory session that
shall include the type, place, and general content of the session. This record
shall be maintained for a period of not less than six (6) years after the last
date of supervision.
Section 6. (1) The supervisor of
record shall submit the Supervisor Log for each supervisee to the board on an
annual basis with a Supervision Annual Report or as directed otherwise by the
board.
(2) The report shall include:
(a) A description of the frequency,
format, and duration of supervision;
(b) An assessment of the functioning
of the supervisee, including the strengths and weaknesses; and
(c) Other information which may be
relevant to an adequate assessment of the practice of the supervisee.
Section 7. (1) If a supevisee has more
than one (1) board-approved supervisor, the supervisors shall be in direct
contact with each other at least once every six (6) months, and they shall
provide supervisory plans and reports to the board and copies to each other.
(2) A request to have more than two
(2) supervisors at one (1) time shall require a special application to the
board which shall include detailed information as to how the supervisors shall
communicate and coordinate with each other in providing the required
supervision.
Section 8. If the supervisee is a
licensed clinical alcohol and drug counselor associate, or an applicant for a
certificate as a certified alcohol and drug counselor, the supervisor of record
shall:
(1) Review all alcohol and drug
assessments and treatment plans;
(2) Review progress notes and correspondence
on a regular basis to assess the competency of the supervisee to render alcohol
and drug services;
(3) Jointly establish with the
supervisee a supervisory plan that shall be submitted to the board and approved
within thrity (30) days of the beginning of the supervisory relationship. The
plan shall:
(a) Be updated and revised, as needed,
and submitted to the board annually;
(b) Include intended format, and goals
to be accomplished through the supervisory process; and
(c) Include methods that the
supervisor and supervisee shall employ to evaluate the supervisory process;
(4) Have direct observation of the
supervisee’s work at least semi-annually. Direct observation can be
accomplished through audiotaping, video camera, videotaping, one (1) way mirror
or as a cotherapist;
(5) Have direct knowledge of the size
and complexity of the supervisee’s caseload;
(6) Limit and control the caseload as
appropriate to the supervisee’s level of competence;
(7) Have knowledge of the therapeutic
modalities and techniques being used by the supervisee; and
(8) Have knowledge of the supervisee’s
physical and emotional well-being when it has a direct bearing on the
supervisee’s competence to practice.
Section 9. If the supervisee is a peer
support specialist, the supervisor of record shall:
(1) Jointly establish with the
supervisee a supervisory plan that shall be submitted to the board and approved
within thrity (30) days of the beginning of the supervisory relationship. The
plan shall:
(a) Be updated and revised, as needed,
and submitted to the board annually;
(b) Include intended format, and goals
to be accomplished through the supervisory process; and
(c) Include methods that the
supervisor and supervisee shall employ to evaluate the supervisory process;
(2) Review and countersign all peer
recovery service plans;
(3) Review peer recovery notes and
correspondence on an as-needed basis to assess the competency of the supervisee
to render peer recovery services;
(4) Have direct observation of the
supervisee’s work at least once every two (2) months. Direct observation can be
accomplished through audiotaping, video camera, videotaping, one (1) way mirror
or direct observation;
(5) Have direct knowledge of the size
and complexity of the supervisee’s caseload;
(6) Limit and control the caseload as
appropriate to the supervisee’s level of competence;
(7) Have knowledge of the methods and
techniques being used by the supervisee; and
(8) Have knowledge of the supervisee’s
physical and emotional well-being when it has a direct bearing on the
supervisee’s competence to practice.
Section 10. (1) The supervisee shall:
(a) Keep the supervisor adequately
informed at all times of his or her activities and ability to function; and
(b) Seek consultation from the supervisor
as needed in addition to a regularly-scheduled supervisory session.
(2) The supervisee shall:
(a) Participate with the supervisor in
establishing supervisory goals and in completing the regular supervisory
reports;
(b) Be jointly responsible with the
supervisor for ensuring that a supervisory report or plan has been sent to the
board in accordance with the reporting schedule established in Section 6(1) of
this administrative regulation; and
(c) Report to the board an apparent
violation on the part of the supervisor.
Section 11. Identification of Provider
and Supervisor of Record. The actual deliverer of a service shall be identified
to the client, and the client shall be informed of the deliverer’s credential
and name of supervisor of record. A billing for a rendered service shall
identify which service was performed by the registered alcohol and drug peer
support specialist, applicant as a certified alcohol and drug counselor,
licensed clinical alcohol and drug counselor associate, or other provider who
is supervised by the board approved supervisor of record.
Section 12. Supervision of a
Disciplined Credential Holder. (1) The board shall appoint an approved
supervisor to supervise a disciplined credential holder for the period of time
defined by the board and a member of the board to serve as a liaison between
the board and the appointed supervisor.
(2) The disciplined credential holder
shall be responsible for paying the fee for supervision.
(3) The supervisor shall have
completed the board approved training course in supervision.
(4) The supervisor shall:
(a) Review the originating complaint,
agreed order, or findings of the disciplinary hearing;
(b) Meet with the disciplined
credential holder and the board liaison to:
1. Summarize the actions and concerns
of the board;
2. Review the goals and expected
outcomes of supervision submitted by the board liaison;
3. Develop a specific plan of
supervision approved by the board; and
4. Review the reporting requirements
that shall be met during the period of supervision;
(c) Meet with the disciplined
credential holder at least weekly, on an individual face-to-face basis for a
minimum of one (1) hour unless modified by the board;
(d) Submit a quarterly report to the
board which reflects progress, problems, and other information relevant to the
need for board-mandated supervision;
(e) Make all reasonable efforts to
insure that the disciplined credential holder’s practice is in compliance with
KRS 309.080 to 309.089, and 201 KAR Chapter 35;
(f) Report to the board any apparent
violation on the part of the disciplined credential holder;
(g) Immediately report to the board in
writing a change in the ability to supervise, or in the ability of the
disciplined credential holder to function in the practice of peer recovery
support or substance use disorders counseling in a competent manner;
(h) Review and countersign assessments
as needed or appropriate;
(i) Review and countersign service or
treatment plans as needed or appropriate;
(j) Have direct observation of the
disciplined credential holder’s work on an as-needed basis;
(k) Have direct knowledge of the size
and complexity of the disciplined credential holder’s caseload;
(l) Have knowledge of the therapeutic
methods, modalities, or techniques being used by the disciplined credential
holder; and
(m) Have knowledge of the disciplined
credential holder’s physical and emotional well-being when it has a direct
bearing on the disciplined credential holder’s competence to practice.
(5) The supervisor shall control,
direct, or limit the disciplined credential holder’s practice as appropriate to
ensure that the disciplined credential holder’s practice is competent.
(6) The supervisor shall contact the
board liaison with any concern or problem with the disciplined credential
holder, his or her practice, or the supervision process.
(7) A final meeting shall be scheduled
within thirty (30) days of the end of the established supervision period to
summarize the supervision. The meeting shall include the supervisor,
disciplined credential holder, and board liaison. A written summary of the
supervision shall be submitted by the supervisor to the board two (2) weeks
following this meeting with a copy to the board liaison.
Section 13. Graduate Students in Programs
Emphasizing Substance Use Disorders Counseling. Graduate-level students in
programs that emphasize alcohol and drug counseling who are providing services
in health care settings that provide alcohol and drug counseling including
independent practice settings shall:
(1) Be supervised by a licensed
clinical alcohol and drug counselor or certified alcohol and drug counselor;
(2) Be registered for practicum credit
on the transcript in his or her course of study;
(3) Clearly identify their status as
unlicensed trainees in the field of alcohol and drug counseling to all clients
and payors;
(4) Give to all clients and payors the
name of the supervising licensed clinical alcohol and drug counselor or
certified alcohol and drug counselor responsible for the student’s work; and
(5) Not accept employment or placement
to perform the same or similar activities following the completion of their
university-sanctioned placement, regardless of the job title given, unless the
student holds a certificate or license from the board.
Section 14. Incorporation by
Reference. (1) The following material is incorporated by reference:
(a) "KBADC Form 3, Supervisory
Agreement", June
2015;
(b) "KBADC Form 4, Request to
Provide Supervision", June 2015;
(c) "KBADC Form 6, Peer Support
Specialist Supervisory Agreement", June 2015;
(d) "KBADC Form 7, Supervision
Evaluation", June 2015;
(e) "KBADC Form 8, Peer Support
Specialist Verification of Supervision", June 2015;
(f) "KBADC Form 9, Supervision
Evaluation for Peer Support Specialist", June 2015;
(g) "KBADC Form 13, Verification
of Clinical Supervision", June 2015; and
(h) "KBADC Form 14,
Supervision Annual Report", June 2015.
(2) This material may be inspected,
copied, or obtained, subject to applicable copyright law, at the Kentucky Board
of Alcohol and Drug Counselors, 911 Leawood Drive, Frankfort, Kentucky, Monday
through Friday, 8:30 a.m. to 5 p.m.
GEOFFREY WILSON, Board Chairperson
APPROVED BY AGENCY: July 1, 2015
FILED WITH LRC: August 25, 2015 at 3 p.m.
CONTACT PERSON: Kelly Wells, Board
Administrator, Division of Occupations and Professions, 911 Leawood Drive,
Frankfort, Kentucky 40602, phone (502) 782-8814, fax (502) 696-5898.
REGULATORY IMPACT
ANALYSIS AND TIERING STATEMENT
Contact person: Kelly Wells
(1) Provide a brief summary of:
(a) What this administrative regulation
does: This administrative regulation establishes the procedure to obtain
supervision for registration, certification, and licensure.
(b) The necessity of this administrative
regulation: The necessity of this regulation is to establish the procedure to
obtain supervision.
(c) How this administrative regulation
conforms to the content of the authorizing statutes: The regulation is in
conformity as the authorizing statute gives the board the ability to promulgate
regulations regarding the requirements for supervision for registration,
certification, and licensure.
(d) How this administrative regulation
currently assists or will assist in the effective administration of the
statutes: This regulation will assist in defining the expectations of the
board; providing the board with more oversight, and establishing the procedure
to obtain supervision.
(2) If this is an amendment to an
existing administrative regulation, provide a brief summary of:
(a) How the amendment will change this
existing administrative regulation: The amendments expand the credential
holders who are to be supervised; cap the number of supervisees that a
supervisor may supervise; establish reporting requirements; and provides for
the supervision of disciplined credential holders and graduate students.
(b) The necessity of the amendment to
this administrative regulation: The amendments are necessary to expand since
new credentials have been established in the last legislative session and
provide the board with more oversight of the supervision process of an
applicant or licensee.
(c) How the amendment conforms to the
content of the authorizing statutes: The regulation is in conformity as the
authorizing statute gives the board the ability to promulgate regulations
regarding the requirements for supervision for registration, certification, and
licensure.
(d) How the amendment will assist in the
effective administration of the statutes: This regulation will assist in
defining the expectations of the board; providing the board with more
oversight, and establishing the procedure to obtain supervision.
(3) List the type and number of
individuals, businesses, organizations, or state and local governments affected
by this administrative regulation: The board is unable to determine the exact
number of persons who would be impacted by this regulation since the
applications vary from month to month. There are presently 859 Certified
Alcohol and Drug Counselors.
(4) Provide an analysis of how the
entities identified in question (3) will be impacted by either
the implementation of this administrative
regulation, if new, or by the change, if it is an amendment, including:
(a) List the actions that each of the
regulated entities identified in question (3) will have to take to comply with
this administrative regulation or amendment: A credential holder will only be
affected if the holder is a supervisor. The credential holder would have to go
through continuing education annually to be allowed to supervise.
(b) In complying with this administrative
regulation or amendment, how much will it cost each of the entities identified
in question (3): The only costs associated with this regulation are indirect
ones imposed on the supervisor who must satisfy his continuing education
requirement.
(c) As a result of compliance, what
benefits will accrue to the entities identified in question (3): The credential
holders and applicants will be able to document the supervision received and
provide the board with more oversight during the supervision process.
(5) Provide an estimate of how much it
will cost to implement this administrative regulation:
(a) Initially: No new costs will be
incurred by the changes.
(b) On a continuing basis: No new costs
will be incurred by the changes.
(6) What is the source of the funding to
be used for the implementation and enforcement of this administrative
regulation: The board’s operations are funded by fees paid by credential
holders and applicants.
(7) Provide an assessment of whether an
increase in fees or funding will be necessary to implement this administrative
regulation, if new, or by the change if it is an amendment: There are no
increases in fees or funding is required to implement this administrative regulation.
(8) State whether or not this
administrative regulation establishes any fees or directly or indirectly
increases any fees: There are no new fees or fee increases associated with the
amendments.
(9) TIERING: Is tiering applied? Tiering
was not applied as the regulation is applicable to all credential holders. This
regulation does not distinguish between similarly situated individuals on the
basis of any factor.
FISCAL NOTE ON STATE OR
LOCAL GOVERNMENT
1. What units, parts or divisions of
state or local government (including cities, counties, fire departments, or
school districts) will be impacted by this administrative regulation? Kentucky
Board of Alcohol and Drug Counselors.
2. Identify each state or federal statute
or federal regulation that requires or authorizes the action taken by the
administrative regulation: KRS 309.0813(1), (3), (5). 309.083, 309.0831, 309.0832, and
309.0833.
3. Estimate the effect of this
administrative regulation on the expenditures and revenues of a state or local
government agency (including cities, counties, fire departments, or school
districts) for the first full year the administrative regulation is to be in
effect. None.
(a) How much revenue will this
administrative regulation generate for the state or local government (including
cities, counties, fire departments, or school districts) for the first year?
None.
(b) How much revenue will this
administrative regulation generate for the state or local government (including
cities, counties, fire departments, or school districts) for subsequent years?
None.
(c) How much will it cost to administer
this program for the first year? None
(d) How much will it cost to administer
this program for subsequent years? None
Note: If specific dollar estimates cannot
be determined, provide a brief narrative to explain the fiscal impact of the
administrative regulation.
Revenues (+/-):
Expenditures (+/-):
Other Explanation:
