201 KAR 35:070E. Supervision[and work] experience

Link to law: http://www.lrc.ky.gov/kar/201/035/070E.htm
Published: 2015

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:

 
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