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DUI Programs Deficiency Report Card for Fiscal Year 2007/2008

Total Number of Programs Reviewed During Fiscal Year 07/08:

Total Number of Deficiencies Cited During Fiscal Year 07/08:

Most Deficiencies Cited at One Program:

PROGRAM STATISTICS

A: 95

A: 703

A: 29

DUI Programs Deficiency Report Card for Fiscal Year 2007/2008

Least Number of Deficiencies Cited at One Program:

Average Number of Deficiencies per Program:

PROGRAM STATISTICS

A: 0

A: 7

FY 07-08

86,017, 57%

8,327, 6%

10,380, 7%

12,037, 8%

33,700, 22%141, 0%

FOP WR 6 Month 9 Month 18 Month 30 Month

DUI Program Enrollments

FY 07/08

86,017, 57%

8,327, 6%

10,380, 7%

12,037, 8%

33,700, 22%141, 0%


Fiscal Year 2007/2008

Total Enrollments = 150,602

FY 07-08

86,017, 57%

8,327, 6%

10,380, 7%

12,037, 8%

33,700, 22%141, 0%



Three Year HistoryOf


FY 2005/2006 to 2007/2008

0

20,000

40,000

60,000

80,000

100,000

120,000

140,000

160,000

FY 07/08 86,017 8,327 10,380 12,037 33,700 141 150,602

FY 06/07 80,760 7,355 11,100 7,733 31,172 147 138,267

FY 05/06 79,303 7,078 12,579 816 29,082 141 128,999

FOP WR 6 Month 9 Month18

Month30

MonthTotals

Title 9, California Code of RegulationsSection 9849(a), Assessment of Participant’s Alcohol or Drug Problem (a) “Within the first 60 days of participation, the program shall complete an assessment of each participant’s alcohol or drug problem.”

FY 2007/2008 Top 10 Deficiencies

10 - THREE-WAY TIE

Reasons for Citation:• Not having the participant complete an

assessment within 60 days• The assessment not dated

(g) Except as noted in (1) and (2) below, the group counseling sessions shall be limited to 15 persons, including participants, family members, and friends of participants.

(1)On an emergency basis, as defined in (2) below, 17 participants may be included in group counseling sessions. The program shall not include more than 17 participants per group counseling sessions for any reason.

(2) As used in this Subsection, “emergency” means a sudden unexpected occurrence or set of circumstances which could not have been avoided, prevented, or planned for by either the program or the participant.”


10 - THREE-WAY TIE

Title 9, California Code of Regulations Section 9854(g), Group Counseling Sessions

(3) Whenever a participant is added to a group counseling session on an emergency basis, the program shall document the nature of the emergency in the participant’s case record and on the sign-in roster.”


10 - THREE-WAY TIE

Reasons for Citation:• Over 15 participants allowed into a group

counseling session without documentation of an emergency.

• A counselor calling in sick does not constitute an emergency. The program must find a substitute counselor, reschedule the group, or allow participants to attend another group, as long as class size does not exceed 15.

Title 9, California Code of RegulationsSection 9879(i)(1), Financial Assessment

to Determine Participant’s Ability to Pay Program Fees

(i) “If the participant is 15 or more days delinquent in payment of program fees approved by the Department, the program may suspend education and group counseling sessions for 15 days as shown below:

(1) At least 10 days prior to the period of suspension, the program shall provide the participant with a delinquency notice that contains the following information:

(A) The amount of program fees currently past due;


10 - THREE-WAY TIE

(B) A statement that failure to pay the delinquent amount will result in suspension of education and group services.

(C) A statement that failure to pay the

delinquent amount by the end of the suspension period may result in an additional 30 day suspension or dismissal from the program.

(D) The procedure for disputing the accuracy of the delinquency.

(E) A statement notifying the participant of his/her right to request a financial assessment as specified in (h) of this section.


10 - THREE-WAY TIE


Reasons for Citation:•Delinquency notice does not contain all the information listed in (A) through (F).•Program fails to issue a delinquency notice to participant prior to dismissal.•Error in issuing delinquency notice (i.e., notice does not give adequate notice to participant prior to suspension).

10 - THREE-WAY TIE

(F) A statement that failure to schedule and appear for a financial assessment may result in dismissal from the program.

Title 9, California Code of RegulationsSection 9848(g), Participant Enrollment

(g) “The licensee shall provide the contract, fee agreement, and all other documents that require participant signature in all languages in which the licensee provides services.


9 - THREE-WAY TIE

Reasons for Citation:•Programs need to ensure that they provide all documents which requires participant signature (contract, fee agreements, confidentiality form, etc.) in all the languages in which they provide services.•Spanish-speaking (or any other foreign language) participants should not be signing English documents.


Title 9, California Code of RegulationsSection 9867(g)(1), Notice of Completion

(g) “Within ten days after the date that a participant completes all program services and has paid his/her assessed program fee and any additional fees, the licensee shall:

(1) Issue the original copy of the Notice of Completion in the name of the participant and immediately mail it to the Department of Motor Vehicles pursuant to Section 120.00 of Title 13.

9 - THREE-WAY TIE

Reasons for Citation:• Programs are not issuing the Completion

Certificate within 10 days of program completion. This includes electronic submissions as well.

Title 9, California Code of RegulationsSection 9878(j), Participant Fees (j) “The program shall refund to the participant any program fee paid in advance for the services the participant did not receive. Refunds to participants who have been dismissed from the program shall be issued within ninety days from the date of dismissal. In calculating the amount to be refunded to the participant, the program shall use the program fee per unit of service approved pursuant to this regulation.


Reason for Citation:• Programs aren’t issuing refunds within 90 days.• Programs are incorrectly calculating refunds or

failing to do a refund calculation.

9 - THREE-WAY TIE

Title 9, California Code of RegulationsSection 9848(i), Participant Enrollment

(i) “At the time the participant enrolls, the licensee shall give the participant a written list of the date, time, and location of program activities the participant is scheduled to attend. The licensee shall begin providing services (i.e., face-to-face interviews, educational sessions, and group counseling sessions) within 21 days of the date that it enrolls a participant.”


Reasons for Citation:• Participants are not starting program

activities within the 21 day period.• Program is not scheduling face-to-face

interviews. “Floating” schedules or “Drop-In” interviews are not permitted.

8

Title 9, California Code of RegulationsSection 9858(f)(1), Face-to-Face Interviews(f) “The interviewer shall document the following

information in each participant’s record:(1) The date, time, and length of each face-to-

face interview.”


Reasons for Citation:• Not documenting or forgetting to document the

date, time and length of each face-to-face.

7

Title 9, California Code of RegulationsSection 9867(j), Notice of Completion

(j) “The licensee shall issue Notices of Completion only for participants who have completed all program requirements, including payment in full of program fees, contained in Article 1 (commencing with Section 9848), Subchapter 3 of this Chapter.”


Reasons for Citation: • Participant did not sign all rosters – could not

verify that the participant completed all required program activities prior to “completion.”

• Inconsistent information in the case record (i.e., counselor documented participation in the case record, but attendance sheet and roster states that the participant was absent on this date.

• Participant received a completion certificate without having to attend all program requirements as specified in the contract.

6

Title 9, California Code of RegulationsSection 9848(f)(2)(B), Participant Enrollment

(f) “The licensee shall enroll a participant by completing:

(2) A participant contract, which shall list the services to be provided, program fees, payment schedule, attendance requirements and reasons for dismissal from the program, as stated in Section 9886.”

(B) The intake interviewer and the participant shall sign the contract.


5

Reasons for Citation:• Either the intake interviewer or the

participant did not sign the contract.

Title 9, California Code of RegulationsSection 9858(f)(2), Face-to-Face Interviews(f) “The interviewer shall document the following

information in each participant’s record:

(2)The counselor’s assessment of the participant’s progress regarding participation in program activities and any increased awareness in understanding his/her alcohol and/or drug related problems. For licensees that require participants to document their own progress at the end of group sessions, the licensee shall insure that program staff review and provide feedback to the participant.


4

Reasons for Citation:• No documentation in case notes.

Documentation must be the counselor’s written account of his/her perception of the participant’s progress. Check boxes are not acceptable.

• Forgetting to document the face-to-face session prior to completion.


Title 9, California Code of RegulationsSection 9854(j), Group Counseling Sessions

(j) “The licensee shall document attendance and participation at group counseling sessions in each participant record.

3

Reasons for Citation:

• Not documenting participation for each group counseling session.

• Not “circling” the participation level (when using a form with pre-printed participation levels).

Title 9, California Code of RegulationsSection 9886(a)(5), Dismissal of Participants

(a)“The DUI program shall dismiss from the program any participant who:

(5)Fails to obtain a leave of absence, in accordance with Section 9876.5, when the participant is unable to attend any scheduled program services for 21 days or longer.”


Reasons for Citation:• Participant does not attended program services for

21 days or longer and was not on a leave of absence or suspended from the program for fees. “21 days” does not apply during the re-entry portion of the 18-month program or while the participant is on suspension. For participants who are transferring out, the participant has 21 days from the date the participant is transferred out to enroll into the receiving program.

2


1

Title 9, California Code of RegulationsSection 9848(f)(2), Participant Enrollment

(f) “The licensee shall enroll a participant by completing:(2) A participant contract, which shall list the services to be provided, program fees, payment schedule, attendance requirements, and reasons for dismissal from the program, as stated in Section 9886.”

Reasons for Citation:• No contract in file.• Participant did not sign a (reinstatement) contract

upon re-enrollment.• Remaining program services and fees were not

amended to reflect actual number of program hours and fees due at time of re-enrollment.

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Documents

program statistics

payment of program fees

group counseling sessions

threeway tie slide

participants ability

friends of participants

group services

total number of deficiencies