TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.100 PURPOSE
Section 2060.100
Purpose
The purpose of
this Part is to:
a) Authorize
establishment of a comprehensive and coordinated continuum of intervention and
treatment services, sensitive to the needs of local communities, for persons
with or at risk for substance use disorders (SUDs).
b) Effectuate
the role of the Illinois Department of Human Services, Division of Substance
Use Prevention and Recovery, hereafter referred to as DHS/SUPR, as the
federally-recognized Single State Authority with statutory mandates to plan,
license, and regulate substance use disorder intervention and treatment
organizations.
c) Promote
the availability of culturally-relevant, evidence-based, developmentally-
appropriate, trauma-informed care and substance use disorder services through
the implementation of standardized criteria that foster and support multiple
pathways to recovery.
d) Establish
regulations for licensure of substance use disorder intervention and treatment
organizations, including organizations focused on harm reduction and opioid use
disorder treatment.
e) Monitor
and help enforce federal guidelines and regulations for the treatment of opioid
use disorders and to serve as the lead agency for such treatment in cooperation
with the Federal Drug Enforcement Administration (DEA) and the Federal Substance
Abuse and Mental Health Services Administration (SAMHSA), Center for Substance
Abuse Treatment.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.110 APPLICABILITY
Section 2060.110 Applicability
a) This
Part shall apply to persons engaged in substance use disorder treatment and
intervention as defined in and authorized by the Illinois Substance Use
Disorder Act [20 ILCS 301/15-5], hereafter referred to as the Act. If any
applicable federal law or regulation is less restrictive than rules in this
Part, the more restrictive provisions shall apply.
b) It
is unlawful for any persons, other than those specified in the Act, to provide
substance use disorder intervention and treatment services as defined in the
Act and further defined in this Part unless the person is licensed to do so by DHS/SUPR.
The performance of these activities by any person, in violation of the
Act, is declared to be harmful to public health and welfare, and to be a public
nuisance. DHS/SUPR may undertake investigations, as specified in
Section 2060.210, to determine if intervention or treatment services are being
conducted without the requisite license. [20 ILCS 301/15-5(a)]
c) Incorporations
by Reference
Any rules or
regulations of an agency of the United States or of a nationally recognized
organization or association that are incorporated by reference in this Part are
incorporated as of the date specified, and do not include any later amendments
or editions.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.120 DEFINITIONS
Section 2060.120
Definitions
Act – The
Substance Use Disorder Act [20 ILCS 301].
Admission – Acceptance
of a person into an intervention or treatment service, after completion of
intake, assessment for a diagnosis and placement into a level of care, and
after the person has given written informed consent for treatment, has been
accepted for, and begins such treatment.
Adolescent – A
person who is at least 12 years of age and under 18 years of age. For purposes
of admission to adolescent treatment, a person between the ages of 18 and 22
may be admitted if the assessment includes justification based upon the
person's behavior, life experience, and developmental appropriateness.
Adult – A person
who is 18 years of age or older. For purposes of admission to adult treatment,
adolescents who are 16 and 17 may be admitted if the assessment includes
justification based upon the adolescent's behavior, life experience, and
developmental appropriateness.
Alcohol and Drug
Evaluation Uniform Report – The form, mandated by DHS/SUPR and produced from
the electronic Driving Under the Influence (DUI) Services Reporting System
(eDSRS), required to report a summary of the DUI evaluation to an Illinois
Circuit Court or the Illinois Office of the Secretary of State.
The American
Society of Addiction Medicine (ASAM) Criteria – Defined national standards for
level of care placement, dimensional admission, treatment planning and
assessment, continued services and transfer criteria for patients with
substance use and co-occurring conditions that organize substance use treatment
services into discrete and standardized levels of frequency and intensity
across a continuum, as developed by the American Society of Addiction Medicine
and documented in "The ASAM Criteria Third Edition: Treatment Criteria for
Addictive, Substance-Related, and Co-Occurring Conditions" (2013),
available through the American Society of Addiction Medicine, 11400 Rockville
Pike, Suite 200, Rockville, MD 20852. Effective July 1, 2025, the ASAM Criteria
documented in "The ASAM Criteria: Treatment Criteria for Addictive,
Substance-Related, and Co-Occurring Conditions, Fourth Edition" (2023),
available through the American Society of Addiction Medicine, 11400 Rockville
Pike, Suite 200, Rockville, MD 20852 shall be used for adult services licensed
under this Part.
Assessment – The
process of collecting and professionally interpreting data, from a person,
significant other, and other collateral sources, about substance use and its
consequences as a basis for establishing or ruling out a diagnosis in
accordance with the DSM-5. Assessment, utilizing the ASAM criteria, is also
used to determine the severity of the disorder and identification of the
appropriate level and intensity of substance use disorder treatment as well as
needs for other services. Assessment is on-going throughout treatment and is
also used to make continued service and discharge recommendations. Assessment
is conducted by professional staff, as defined in Section 2060.320, of an DHS/SUPR
licensed treatment organization.
Authorized
Organization Representative – A person designated by the organization as the
authority for the management, control, and operation of all services relative
to each license. This person is the primary recipient of communication from DHS/SUPR
relative to the issued license and is responsible for the dissemination of
those communications across the organization.
Biomedical –
Biological and physiological aspects of a person's condition that require a
physical health assessment and medical services. In substance use disorder
treatment, biomedical problems may be the direct result of a substance use
disorder or be independent of and interactive with a disorder, thus affecting the
total treatment plan and prognosis.
Case Management – A
coordinated approach to the delivery of health and medical treatment, substance
use disorder treatment, mental health treatment, and social services, linking
patients with appropriate services to address specific needs and achieve stated
goals. In general, case management assists patients with other disorders and
conditions that require multiple services over extended periods of time and who
face difficulty in gaining access to those services. [20 ILCS 301/1-10]
Centers for
Disease Control and Prevention (CDC) – the national public health agency of the
United States under the Department of Health and Human Services. The mission of
the CDC is centered on preventing and controlling disease and promoting
environmental health and health education in the United States.
Client – A person
who receives DUI evaluation, DUI risk education, and designated program
services as defined in Sections 2060.510 through 530, or who receives early
intervention services as defined in Section 2060.405.
Clinical
Supervision – The dedicated time that professional staff as defined in Section
2060.320 spend with a supervisor or with supervisees discussing preparation for
or performing clinical work. Clinical supervision is the administrative,
clinical, and evaluative process of monitoring, assessing, and enhancing
clinical practice performance. Clinical supervision shall be delivered in
accordance with all other provisions specified in Section 2060.325.
Clinical Treatment
– Substance use disorder treatment provided by professional staff, as defined
in Section 2060.320, that includes assessment, individual or group counseling,
treatment planning, continued service reviews, and recovery/discharge
planning. The organization may also determine that other specified activities
require the services of professional staff.
Continuing Care Plan
– A plan developed with the patient prior to discharge that identifies
recommended activities, referrals, and other recovery support that will
reinforce and enhance progress, to date.
Continuum of Care
– A structure of interlinked treatment services, either offered by one
organization or through referral to other organizations, that is designed to
meet changing needs as the patient transitions through treatment and recovery.
Department – The
Department of Human Services (DHS), Division of Substance Use Prevention and
Recovery (SUPR).
Developmentally
Appropriate – Treatment placement and services that reflect chronological,
emotional, and psychological age and that address potential long-term deficits
in developmental, psychological, and social growth that may have been
compromised due to a substance use disorder.
Diagnostic and
Statistical Manual of Mental Disorders, Fifth Edition (DSM-5) – A book
published by the American Psychiatric Association (APA) to help mental health
providers diagnose mental disorders. The Diagnostic and Statistical Manual of
Mental Disorders, Fifth Edition DSM-5 (2022), is available through the American
Psychiatric Association, 800 Maine Avenue, SW, Suite 900, Washington, DC
20024.
Director – The
Director of the Department of Human Services, Division of Substance Use
Prevention and Recovery (DHS/SUPR).
Disaster – Any
human-made or natural event, such as a flood, tornado, fire, infectious disease
outbreak, pandemic, shooting, or act of terrorism, that results in the interruption
of organization operations or inability of the organization to continue
operating or to temporarily relocate or close.
Discharge – When
services are terminated either by successful completion or some other action
initiated by the person or the organization.
Drunk and Drugged
Driving Prevention Fund (DDDPF) – A special State Treasury fund,
from which monies shall be appropriated to the Department and expended to
reimburse licensed DUI evaluation and risk education programs for the
costs of providing DUI offenders who are unable to pay for these services
with free or reduced-cost services. Monies in the Drunk and Drugged Driving
Prevention Fund may also be used to enhance and support regulatory inspections
and investigations conducted by the Department. [20 ILCS 301/50-20]
DUI – Driving
under the influence of alcohol, other drugs, or a combination thereof, as
defined in the Illinois Vehicle Title and Registration Law [625 ILCS 5] or a
similar provision of a local ordinance.
DUI Evaluation –
The service provided to a person relative to a DUI that determines the nature
and extent of the use of alcohol and/or other drugs as required by the Unified
Code of Corrections [730 ILCS 5/5-4-1] and Section 11-501.01 of the Illinois
Driver Licensing Law [625 ILCS 5/11-501.01] and in accordance with all
requirements in Section 2060.510.
DUI Risk Education
– Alcohol and other drug education services recommended for a minimum or
moderate risk classification as determined by a DUI Evaluation and in
accordance with all requirements in Section 2060.520.
Early Intervention
– ASAM Level 0.5 services that are sub-clinical and pre-diagnostic and that
include a written plan designed to further identify and address risk factors
that may be related to problems associated with substance use or that may lead
to a substance use disorder. Early intervention assists persons in recognizing
harmful consequences, facilitates emotional and social stability, and includes
referrals for higher levels of care, when necessary.
Electronic DUI
Service Reporting System (eDSRS) – The DHS/SUPR web-based application designed
to generate the Alcohol and Drug Evaluation Uniform Report and other forms and
reports associated with DUI evaluation or DUI risk education for individuals
who have violated Illinois laws relative to driving under the influence of
alcohol or other drugs. The eDSRS also summarizes all evaluation and risk
education statistics and submits bills for reimbursement from the DDDPF.
Episode of Care –
The period of service between admission for and discharge from substance use
disorder treatment. If a patient is transferred between levels of care, as a
part of continuous treatment within the same organization, this is still
considered part of the same episode of care.
Evidence-Based – A
process that incorporates an objective, balanced, and responsible use of
current research and the best available data to guide policy and practice
decisions with the goal of improving service outcomes.
Facility – Means
the building or premises that are used for the provision of licensable
services, including support services, as set forth by rule.
Good Standing –
The designation given by DHS/SUPR to an organization that has demonstrated
ability to meet all applicable requirements specified in this Part.
Harm Reduction – An
evidence-based approach that engages with people who use substances and equips
them with life-saving tools and information to create a positive change and
potentially save their lives.
Illinois Certification
Board, Inc. (ICB) – The organization that issues a credential to professionals
seeking to provide DHS/SUPR licensable substance use disorder intervention and
treatment services. This organization is also known as the Illinois Alcoholism
and Other Drug Abuse Professional Certification Association (IAODAPCA).
Individualized
Treatment – Care that is person-centered and collaboratively designed to meet a
particular patient's needs and preferences guided by services that are directly
related to a specific, unique patient assessment.
Infectious Disease
– As defined by the Illinois Department of Public Health, an "Infectious
Disease" is a disease caused by a living organism or other pathogen,
including a fungus, bacteria, parasite, protozoan, prion, or virus. An
infectious disease may, or may not, be transmissible from person to person,
animal to person, or insect to person. (See 77 Ill. Adm. Code 690.10).
Informed Consent –
Legally valid written consent, given by a client, patient or legal guardian,
that authorizes intervention or treatment services from a licensed organization
and that documents agreement to participate in those services and knowledge of
the consequences of withdrawal from such services. Informed consent also acknowledges
the person's right to a conflict-free choice of services from any licensed
organization and the potential risks and benefits of selected services. [20
ILCS 301/1-10]
Intern – A paid or
unpaid person working under a clinical supervisor in a licensed substance use
disorder treatment organization in order to obtain the necessary experience
required for the professional staff credentials as specified in Section
2060.320.
Intervention –
Categories of service authorized by an intervention license are DUI evaluation,
DUI risk education, designated program, and recovery homes for persons in any
stage of recovery from a substance use disorder.
Medication
Assisted Recovery (MAR) – The use of evidence-based FDA-approved medications
(e.g., methadone, buprenorphine, naltrexone, disulfiram, acamprosate, or other
medications) for persons with a substance use disorder who are recovery
focused. MAR recognizes that persons who are on medications for treatment of
their SUD and who identify as in recovery are in recovery since often these
medications are prescribed long term and are used after the acute phase of the
disease. MAR encompasses the use of medications that may be administered in
conjunction or not in conjunction with SUD psychosocial or recovery supports.
National Fire
Protection Association Life Safety Code (NFPA 101) – A standard that
establishes minimum requirements for building safety. It is used to protect
people from fire, smoke, and toxic fumes. It applies to nearly all types of
occupancies and structures, including residential, business, mercantile,
healthcare, daycare, and assembly occupancies. The NFPA 101, Life Safety Code
(2015) may be obtained from the National Fire Protection Association, 1
Batterymarch Park, Quincy, MA 02169
Organization – Any
public or private agency, person, association, corporation, or other unit of
State or local government acting individually or as a group that applies for or
obtains licensure to operate one or more substance use disorder intervention or
treatment services.
Patient – A person
who receives a substance use disorder treatment service as defined in this Part
from an organization licensed under this Part.
Personal
Protective Equipment – Gloves, face masks, soap, disinfectants, towels, or
other items necessary to protect staff and clients/patients/residents from or
during an infectious disease outbreak.
Physician – A
person licensed to practice medicine in all its branches pursuant to the
Medical Practice Act of 1987 [225 ILCS 60].
Policies and
Procedures – Written guidelines that outline the organization's plan for
addressing an identified mandate or issue. Policies communicate the connection
between the organization's vision and values and its day-to-day operation. A
procedure explains a specific action plan for carrying out a policy.
Recovery – means
a process of change through which individuals improve their health and
wellness, live a self-directed life, and reach their full potential. [20
ILCS 301/1-10]
Recovery Support –
means services designed to support individual recovery from a substance use
disorder that may be delivered pre-treatment, during treatment, or post
treatment. These services may be delivered in a wide variety of settings for
the purpose of supporting the individual in meeting his or her recovery support
goals. [20 ILCS 301/1-10]
Recovery Home –
Recovery-oriented supportive housing, authorized by an DHS/SUPR intervention
license, whose peer-led services, activities, and structured operations are
directed toward maintenance of recovery for persons recovering from a substance
use disorder.
Reoccurrence – A
process in which a person, who has established recovery, experiences a
recurrence of signs and symptoms of active substance use, often including
resumption of the pathological pursuit of reward and/or relief through use of
substances and other behaviors. With reoccurrence, there is often
disengagement from recovery activities. Reoccurrence has historically been
referenced as relapse.
Resident – A
person who receives services in a recovery home authorized by an intervention
license and in accordance with all standards referenced in Section 2050.540.
Residential
Treatment – Organized treatment services that include a planned and structured
regimen of care in a 24-hour residential setting. Residential services exist
on a continuum ranging from least intensive to the most intensive medically
monitored service. The ASAM levels of care licensed by DHS/SUPR as residential
treatment are Levels 3.1, 3.2, 3.5, and 3.7.
Revocation – The
termination of a treatment or intervention license, or any portion thereof, by DHS/SUPR.
Risk – The
designation, in the context of intervention services, assigned to a person who
has completed an alcohol and drug evaluation after a charge for DUI that
describes the person's probability of continuing to operate a motor vehicle in
an unsafe manner.
Secretary – The
Secretary of the Illinois Department of Human Services or the Secretary's
designee. [20 ILCS 301/1-10]
Significant Other
– The spouse, immediate family member, relative, or person who interacts most
frequently with the client or patient in a variety of settings.
Substance Abuse
and Mental Health Services Administration (SAMHSA) – Federal agency responsible
for guidance to the State Substance Use and Mental Health Authorities,
including administration of the federal block grant, defining and identifying
evidence-based practices, and translation of research to practice.
Substance Use
Disorder (SUD) – means a spectrum of persistent and recurring problematic
behavior that encompasses 10 separate classes of drugs: alcohol, caffeine,
cannabis, hallucinogens, inhalants, opioids, sedatives, hypnotics and
anxiolytics, stimulants, and tobacco, and other unknown substances leading to
clinically-significant impairment or distress. [20 ILCS 301/1-10]
Support Staff –
Any staff employed in a DHS/SUPR licensed organization that do not meet the
requirements for professional staff as specified in Section 2060.320, but that
have personal contact with SUD clients/patients/residents or their families as
part of their employment responsibilities.
Toxicology – A
chemical test that determines blood alcohol concentration (BAC) and/or a level
of specified drug concentration.
Transfer – The
process that occurs when a patient cannot, or is no longer eligible, to receive
services at an organization or the movement of the patient from one level of
care to another within the same organization.
Trauma – A result
from an event, series of events, or set of circumstances experienced by a
person as physically or emotionally harmful or life-threatening with lasting
adverse effects on the person's functioning and mental, physical, social,
emotional, or spiritual well-being.
Trauma-Informed Care
(TIC) – A strength-based service delivery approach that focuses on
understanding responsiveness to the impact of trauma, that emphasizes physical,
psychological, and emotional safety for organizations and survivors and that
creates opportunities for survivors to rebuild a sense of control and
empowerment. Trauma-Informed Care recognizes the role trauma plays in the
lives of clients/patients and seeks to shift the clinical perspective from "what's
wrong with you" to "what happened to you" by recognizing and
accepting symptoms and difficult behaviors as strategies developed to cope with
trauma.
Treatment – means
the broad range of emergency, outpatient, and residential care (including
assessment, diagnosis, case management, treatment, and recovery support
planning) that may be extended to individuals with substance use disorders or
to the families of those persons. [20 ILCS 301/1-10].
Volunteer – An
individual working under administrative or clinical supervision in a licensed
substance use disorder intervention or treatment organization.
SUBPART B: LICENSE APPLICATION REQUIREMENTS
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.200 CAPACITY AND ORGANIZATIONAL READINESS
Section 2060.200
Capacity and Organizational Readiness
a) Organizations
requesting licensure shall demonstrate sufficient capacity and fiscal,
administrative, and organizational readiness to deliver SUD intervention or
treatment services safely and effectively, and in a manner consistent with
evidence-based and developmentally- and culturally-appropriate practices.
b) To
ensure compliance with this requirement, Policies and Procedures that document
knowledge of and practical application of the rules herein are required upon
application for licensure. In addition, organizations shall demonstrate that
the Medical Director, as applicable, and any other required professional staff
are available and ready to begin delivering services on the date of licensure.
DHS/SUPR may also interview key organization staff, review documentation,
and/or conduct an on-site visit prior to licensure, to verify that the
organization has the capacity and organizational readiness to obtain licensure.
c) DHS/SUPR
also requires, at the time of submission of the license application, an
attestation that the applicant has read all applicable rules referenced in this
Part.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.205 CATEGORIES OF LICENSES
Section 2060.205
Categories of Licenses
DHS/SUPR issues
SUD intervention and treatment licenses to organizations as specified herein.
Any relocation of services attached to the license shall render such services
as unlicensed and subject to the actions and penalties specified in Sections
2060.210 and 2060.265. Licensed outpatient, DUI evaluation, DUI risk
education, and designated program services can be delivered off-site without
additional licensure if the services provided by the licensee do not exceed an
average of 15 staff hours per week delivered at the same location. Consistent
with the rules herein, services may be provided to adults and adolescents.
Categories of licenses are as follows:
a) Treatment:
A treatment license issued by DHS/SUPR authorizes SUD levels of care as
specified in Sections 2060.405 and 2060.410. The levels of care and
populations (adult/adolescent) shall be specified on the license.
b) Intervention:
An intervention license issued by DHS/SUPR authorizes one or more of the
following services:
1) DUI
Evaluation: Alcohol and drug use evaluation services for offenders charged
with driving under the influence (DUI) offenses pursuant to the Illinois
Vehicle Code [625 ILCS 5/11-501] or similar local ordinances that determine the
offender's risk to public safety and make a subsequent corresponding
recommendation for intervention to the Illinois courts or to the Office of the
Secretary of State.
2) DUI
Risk Education: Alcohol and drug risk education services for offenders charged
with DUI offenses pursuant to the Illinois Vehicle Code [625 ILCS 5/11-501] or
similar local ordinances.
3) Designated
Program: Specialized case management that includes screening, assessment,
engagement, referral, and monitoring services, pursuant to Article 40 of the
Act, for criminal justice clients who qualify for diversion to SUD treatment
instead of incarceration.
4) Recovery
Home: Supportive housing with rules, peer-led groups, staff activities, and
other structured operations directed toward support for and maintenance of
recovery for persons in any stage of recovery from an SUD.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.210 UNLICENSED PRACTICE
Section 2060.210
Unlicensed Practice
a) Whenever
DHS/SUPR determines that an unlicensed organization is engaging in or referring
to themselves as an organization that delivers licensable services, as
specified in Section 2060.205, it shall issue a letter ordering that
organization to cease and desist from engaging in the activity. The order to
cease and desist shall specify the service or services that require licensure
and shall include citation of relevant sections of the Act and this Part.
b) The
order to cease and desist shall be accompanied by notice that instructs the
organization to submit written documentation to DHS/SUPR within 10 calendar
days after receipt of the notice to support a claim that licensure is not
required or that the organization is licensed or otherwise properly authorized
to conduct the service.
c) After
the expiration of the 10-day period, if DHS/SUPR determines that the unlicensed
organization is continuing to provide services that require licensure, the
matter shall be referred to the appropriate State's Attorney or to the Office
of the Attorney General for potential legal action against the unlicensed
organization.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.215 APPLICATION FORMS
Section 2060.215
Application Forms
a) An
application for a new license, to relocate a facility, or to add an additional
level of care or population to an existing license shall be made on forms
supplied by DHS/SUPR. The application requires, at a minimum, a completed
Substance Use Disorder Services Application for Intervention/Treatment License,
and applicable attachments, which may include the following:
1) IRS
form W-9 and the letter from the IRS.
2) Documentation
from the Illinois Secretary of State or County Clerk, as applicable.
3) Schedule
A.
4) If
applicable, Board of Directors information.
5) Organization
Chart.
6) Schedule
E.
7) Schedule
L.
8) Schedule
C and documented proof of compliance with all applicable zoning and local
building ordinances.
9) If
applicable, the most recent accreditation survey.
10) Narrative
description.
11) For
treatment services, as applicable, copies of linkage agreements.
12) If
applicable, for DUI evaluation and risk education only, copies of letters of
agreement with circuit courts.
13) For
recovery homes only, copies of linkage agreements.
14) For
recovery homes only, copy of an operating budget.
15) For
recovery homes only, documentation of fire, hazard, liability and other
insurance coverages appropriate to the administration of a recovery home.
16) If
applicable, a copy of the Medicaid Certification issued by the DHS Division of
Mental Health pursuant to 59 Ill. Adm. Code 132.
17) If
applicable, proof of registration as a religious or charitable organization.
b) The
forms referenced in subsection (a) are obtained electronically at: http://www.dhs.state.il.us/OneNetLibrary/27896/documents/By_Division/OASA/2020/Substance_Use_Disorder_Services_Application.pdf.
c) The
application shall be signed by at least one representative vested with
authority to act on behalf of the organization.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.220 APPLICATION FEE
Section 2060.220
Application Fee
No application fee
is required, except as specified in Sections 2060.260 and 2060.265.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.225 PERIOD OF LICENSURE
Section 2060.225
Period of Licensure
a) Each
license issued by DHS/SUPR shall be effective for a maximum of three years.
b) At any
time during the licensure period, an additional treatment or intervention
service for the site may be requested using the license application.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.230 AUTHORIZED ORGANIZATION REPRESENTATIVE
Section 2060.230
Authorized Organization Representative
a) One
person shall be designated by the organization as the
authority for the management, control, and operation of all services relative
to each license. This person is identified as the authorized organization representative
and is the primary recipient of communication from
DHS/SUPR relative to the issued license and is responsible for the
dissemination of those communications across the organization.
b) The
licensed organization shall notify DHS/SUPR, in writing, within 10 calendar
days, of a new designation of the authorized organization representative,
including their contact information: name, title, address, phone, and email
address.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.235 OWNERSHIP DISCLOSURE REQUIREMENTS/ORGANIZATION CHART
Section 2060.235
Ownership Disclosure Requirements/Organization Chart
a) At the
time of application, if the applicant is a for-profit organization, the names
and addresses of all owners or controlling parties of the organization (whether
they are persons, partnerships, corporate bodies, or subdivisions of other
bodies) shall be fully disclosed, unless an owner or controlling party owns
less than 5% stock. This information shall also be required thereafter with
each renewal application and shall be updated in the event of a change to this
information during the licensure period.
b) At the
time of application, if the applicant is a not-for-profit organization, there
must be a Board of Directors and the name, e-mail address, and phone number of
the Chair of the Board and all board members shall be disclosed. This
information shall also be required thereafter with each renewal application and
shall be updated in the event of a change to this information during the
licensure period.
c) At the
time of application, and with each renewal application thereafter, the
applicant shall submit a current organizational chart that indicates the
management and operational structure of the organization.
d) At the
time of application, and with each renewal application thereafter, the
applicant shall attest that no owner, operator, manager, or professional staff
has had a federal registration to distribute or dispense methadone suspended or
revoked, as applicable, or has had any governmental or professional license
suspended or revoked relating to the operation of the organization or any
licensed DHS/SUPR facility.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.240 APPLICATION PROCESSING/REVIEW REQUIREMENTS
Section 2060.240
Application Processing/Review Requirements
a) Upon
receipt, DHS/SUPR will notify the organization regarding any error or omission
on the application. All requested information or corrections shall be
submitted within 60 calendar days after such notification. Failure to respond
during this time-period will result in return of the application and
termination of the process.
b) DHS/SUPR
may inquire about any data contained in the application when an examination
discloses a disparity in the information in comparison to that on file with or
received by DHS/SUPR concerning the organization, facility, staff, ownership,
and/or board of directors.
c) DHS/SUPR
may, either before or any time after the issuance of a license, request that
the organization obtain a life safety inspection by a licensed architect or
request the cooperation of the State Fire Marshal, county health departments,
local boards of health, or any other governing/regulatory organization to
investigate, if DHS/SUPR is unable through its own resources to ascertain
compliance with this Part.
d) Prior
to issuance of a license, DHS/SUPR may seek to verify that the physical,
mental, and professional capability and integrity of management, ownership, and
professional staff will assure that the applicant can deliver services with
reasonable judgment, skill, and safety. To make this determination, DHS/SUPR
may consider, but is not limited to, the following:
1) A
verbal interview with management, medical, or professional staff;
2) The
accuracy of submitted information;
3) Prior
criminal conduct by personnel;
4) Prior
violations of this Part or any other DHS/SUPR rule by the organization or by
personnel either as current employees of the organization or as employees of
any other organization that has held or holds a license from DHS/SUPR;
5) Evidence
of emotional, psychological, or physical impairment which may substantially
interfere with the provision of services due to a lack of understanding of the
rules and regulations specified in this Part, or requirements for corrective
action to the license application, or to previous violations; and
6) The
timeliness of responses to reasonable requests from DHS/SUPR.
e) DHS/SUPR
may investigate the background and/or verify the credentials of professional
staff to assure that these individuals satisfy the applicable medical and/or
professional requirements specified in this Part.
f) If
DHS/SUPR is not able to issue a license based upon the criteria outlined in
this Section, the organization shall be notified in writing of the denial. The
organization may appeal the Department's decision and request a hearing as
specified in Section 2060.398.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.245 LICENSE REQUIREMENTS
Section 2060.245
License Requirements
a) The
license certificate is the property of DHS. Licenses are nontransferable and the
license certificate shall be returned if there is a change in ownership or
management that requires a new license, if there is a change in location, or if
the license is suspended, revoked, or modified.
b) The
license issued by DHS/SUPR shall be displayed by the organization in a location
that is visible to the public.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.250 RENEWAL OF LICENSURE
Section 2060.250
Renewal of Licensure
a) Organizations
shall be notified in advance of licensure expiration and sent a renewal
application prior to the expiration. Organizations shall review and update all
information. To maintain accurate information for the DHS/SUPR Helpline, the
organization may update and remove any service that the organization has not
delivered in more than 12 months.
b) All
renewal applications shall be submitted to DHS/SUPR at least 30 calendar days
prior to the expiration date of the current license. If the organization
allows any license to expire, all services linked to that license shall cease
within 15 calendar days after the expiration of the license.
c) Prior
to renewal of a license, DHS/SUPR may seek to verify that the organization is
in good standing. To make this determination, DHS/SUPR may consider, but is
not limited to, the following:
1) Verbal
interview with management and professional staff;
2) The
accuracy of submitted information;
3) Prior
criminal conduct by personnel;
4) Current
un-resolved violations related to this Part;
5) Evidence
of emotional, psychological, or physical impairment which may substantially
interfere with the provision of services due to a lack of understanding of the
rules and regulations specified in this Part, or requirements for corrective
action to the license application, or to previous violations; and
6) The
timeliness of responses to reasonable requests from DHS/SUPR.
d) Prior
to renewal, DHS/SUPR may also investigate the background and verify the
credentials of professional staff to assure that these individuals satisfy the
applicable medical or professional requirements in this Part.
e) Organizations
shall be notified in writing of approval for renewed license or of an
incomplete, non-submitted, or non-renewed application. If DHS/SUPR decides to
renew the license for a period of less than three years or to deny renewal
based upon the criteria outlined in this Section, the organization shall be
notified in writing. The organization may appeal the decision and request a
hearing as specified in Section 2060.398. Licensure shall remain in effect
pending the final decision resulting from the hearing.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.255 CHANGE OF OWNERSHIP/DAYS AND HOURS OF OPERATION
Section 2060.255
Change of Ownership/Days and Hours of Operation
a) Each
license issued by DHS/SUPR is valid only for the premises and name of the
organization on the application and is not transferrable. A license shall be
become null and void when:
1) There
is a change in ownership involving more than 25% of the aggregate ownership
interest within a one-year period; or
2) There
is a change of 50% or more in the board of directors of a not-for-profit
organization within a one-year period.
b) To
ensure that there is no cessation of services, organizations shall submit
written notification to DHS/SUPR as soon as possible but at least 10 calendar
days prior to any of the changes in ownership described in subsection (a).
c) The
change in ownership referenced in this Section requires submission of a new
license application.
d) The
organization shall notify the DHS/SUPR Helpline Portal via telephone or online whenever
there is a permanent change in the days or hours of operation to ensure correct
and current referral information.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.260 DISSOLUTION OF THE CORPORATION
Section 2060.260
Dissolution of the Corporation
a) A
license shall become null and void and have no further effect when there is a
dissolution of the organization. Written notification shall be given to
DHS/SUPR prior to such dissolution and shall indicate where and with whom
applicable records will be stored or transferred, including the location and
the individual's contact information: name, title, address, phone, and email
address.
b) Failure
to notify DHS/SUPR within this timeframe will result in a fee of $1,000 per
license when the organization applies for a new license.
c) The
organization shall notify the DHS/SUPR Helpline Portal whenever there is a
permanent closure.
d) Any
storage or transfer of applicable records and with whom shall be as specified
in Section 2060.350 and Section 2060.370 including the location and the
individual's contact information: name, title, address, phone, and email
address.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.265 RELOCATION OF FACILITY AND SERVICES/CESSATION OF SERVICES
Section 2060.265
Relocation of Facility and Services/Cessation of Services
a) The
organization shall notify DHS/SUPR in writing at least 30 calendar days prior
to relocation of any facility or service or the cessation of any service authorized
by the license issued to the facility.
b) If
DHS/SUPR is not notified as specified herein, a fee of $1,000 will be assessed
for any relocation of a facility.
SUBPART C: INTERVENTION AND TREATMENT LICENSES – GENERAL REQUIREMENTS
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.300 FEDERAL, STATE, AND LOCAL REGULATIONS AND COURT RULES
Section 2060.300
Federal, State, and Local Regulations and Court Rules
All organizations
shall attest to compliance, on the license application, and shall comply with
all applicable provisions of State and federal constitutions, laws, regulations,
local laws, court rules and judicial orders, including, but not limited to,
the:
a) Illinois
Human Rights Act [775 ILCS 5]. The organizations shall also take affirmative
action to ensure no unlawful discrimination;
b) Americans
with Disabilities Act of 1990 [42 U.S.C. 12101];
c) Environmental
Barriers Act [410 ILCS 25] and the Illinois Accessibility Code (71 Ill. Adm.
Code 400);
d) Age
Discrimination Act of 1975 [42 U.S.C. 3001];
e) 1991
Civil Rights Act [42 U.S.C. 1981]; and
f) Health
Care Worker Self-Referral Act [225 ILCS 47].
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.305 RULE EXCEPTION REQUESTS
Section 2060.305
Rule Exception Requests
a) Licensed
organizations may submit a request to DHS/SUPR for an exception to any Section
of this Part that is not statutorily mandated; however, to maintain uniformity
in service delivery, DHS/SUPR will endeavor to keep such exceptions to a
minimum. Additionally, all rule exceptions are not permanent and may be time
limited with an expiration date.
b) Requests
shall be made in writing by the authorized organization representative to the
Director of DHS/SUPR. The request for an exception shall indicate the specific
rationale for the exception and supporting documentation, if applicable, and
must include a time-limited corrective action plan that will remove the need
for the exception.
c) Prior
to granting any exception, DHS/SUPR shall consider the following factors: the
organization's service population and size, barriers to access if the exception
is not granted, the type of services, impact on client/patient/resident
well-being if the exception is not granted, the geographic location of the
organization, the accreditation status of the organization, and an DHS/SUPR
designation of good standing with all applicable State and federal rules and
all regulations set herein.
d) Exceptions
are at the sole discretion of DHS/SUPR and the decision of the Director is
final.
e) DHS/SUPR
may revoke any exception when the circumstances for the exception no longer
exist or when any conditions imposed for the exception are not implemented or
met by the organization or are subsequently prohibited by State or federal
statute.
f) The
organization shall notify DHS/SUPR in writing within 10 calendar days after its
determination that the exception is no longer needed.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.310 FACILITY REQUIREMENTS
Section 2060.310
Facility Requirements
a) At the
time of application for initial and renewal of licensure and during the period
of licensure, all facility locations shall meet the following requirements:
1) Compliance
with any local zoning requirement documented in writing from the appropriate
local authority where the facility is located; and
2) Compliance
with fire safety regulations in accordance with rules of the Office of the
State Fire Marshal at 41 Ill. Adm. Code 100 and with the applicable sections of
the National Fire Protection Association's NFPA 101, Life Safety Code: 2015
Edition as confirmed by an attestation from a local code official, OSFM, or an
architect licensed in the State of Illinois on the Life Safety Inspection
Report. As applicable, organizations may request a time-limited exception to
complete any necessary modifications required to meet the fire safety
requirements specified in 41 Ill. Adm. Code 100.
b) At all
times, the days and hours of operation shall be displayed in a location visible
to the public.
c) Each
facility shall maintain fire, hazard, and liability insurance coverage.
d) Each
facility shall provide a safe, functional, and sanitary environment that
includes the establishment and maintenance of policies and procedures specific
to the operation of the facility.
e) Each
facility licensed for treatment shall have areas for private and confidential
assessment, individual and group counseling, and medical services that can be
separately enclosed from the areas for administration, food service,
recreation, break rooms, and public reception.
f) Each
facility shall have a disaster plan that ensures appropriate response,
preparedness, and the continuation or re-location of services, if possible,
after a disaster. This plan shall also contain requirements for annual
practice drills, identification of the role of the facility in a community-wide
disaster, and have an emergency evacuation plan, including provisions for
disabled persons. Each organization shall document the date of annual practice
drills and, as applicable, any corrective action. The authorized organization representative
or designee shall ensure that the plan is reviewed annually and distributed to
all staff who need to access and review the plan.
g) Each
facility licensed for treatment shall have policies and procedures, developed
by the Medical Director or the Medical Director's designee who meets the
definition of a physician as specified in Section 2060.120, to ensure
compliance with: the U.S. Department of Labor Rule for Occupational Exposure to
Bloodborne Pathogens, 29 CFR 1910.1030 (January 18, 2001) and annual training
requirements for healthcare workers; and the Centers for Disease Control (CDC)
and Prevention, "Guidelines for Preventing the Transmission of
Mycobacterium Tuberculosis in Health-Care Settings, 2005; MMWR 2005; 54 (No.
RR-17), December 30, 2005". The policies and procedures, detailed in this
Subpart, shall be reviewed, updated annually, and require that a tuberculosis
(TB) risk assessment be conducted annually for each facility according to the
CDC guidelines and utilizing Appendices B and C in the guidelines. The policies
and procedures shall also ensure that all staff have a TB test upon hire to
establish a baseline and then only annually based upon the annual risk
assessment. Client/patient/resident screening and education regarding
infectious disease shall follow all guidelines referenced in this subsection
and be based upon the results of the annual risk assessment.
h) Each
facility shall have first aid supplies and personal protective equipment
available in the event of a medical emergency or infectious disease outbreak.
The organization shall establish policies and procedures for each licensed
facility that ensure compliance with the CDC's recommendations for infectious
disease outbreak, as specified in CDC's "Core Infection Prevention and
Control Practices for Safe Healthcare Delivery in All Settings" (April 14,
2024) and available at
https://www.cdc.gov/infection-control/hcp/core-practices/index.html-. Each
facility shall also ensure that naloxone is readily available in the event of
an opioid overdose.
i) Each
facility that provides 24-hour care shall ensure that it can provide for basic
needs of patients/residents including, but not limited to, access to food and
clean water. If such facility also directly provides food service, it shall:
1) Provide
such service in accordance with the Dietitian Nutritionist Practice Act [225
ILCS 30], either as an employee or through a contractual agreement;
2) Have a
written plan for the provision of food service, as developed by the licensed
professional referenced in subsection (i)(1), that describes the organization
and the delivery of food service or arrangements for the provision of such
services;
3) Ensure
that all nutritional aspects of patient/resident care are under the direction
and supervision of the licensed professional referenced in subsection (i)(1);
4) Provide
a dining area that is separate from the kitchen area, is supervised and staffed
to help patients/residents when needed, and is sized and equipped to
accommodate the age and number of persons served;
5) Ensure that
the preparation and cooking of regularly scheduled hot meals is restricted to
kitchen areas that are designed and equipped to meet the requirements of the
services provided, including receiving, storage, preparation, dish and pot
washing, and waste disposal; and
6) Ensure
access to a handwashing sink and toilet and that all equipment and appliances
are installed to permit thorough cleaning of all equipment, walls, baseboards,
and non-absorbent floor material and that each kitchen has an Underwriters Laboratory
(UL)-approved five-pound class B:C dry chemical fire extinguisher.
j) If
laundry is done at the facility, the organization shall ensure that there is
space for soiled linen sorting, laundry equipment, including washers and
dryers, and clean linen storage space. If laundry is done outside the facility,
the organization shall ensure that a soiled linen storage area is provided.
k) Each facility licensed for residential treatment
(including withdrawal management) shall have a written policy that will ensure
that gender-specific and gender-identity needs of patients served are
addressed, and ensure, as applicable, that:
1) Each
bedroom is kept clean and organized;
2) Bedroom
occupancy addresses personal safety, preferences, and gender identity of
residents;
3) Bedroom
occupancy prioritizes child safety in situations where children are in
residence with a parent receiving treatment;
4) The
organization has policies and procedures to ensure the safety of children who
are in residence with a parent receiving treatment;
5) A
separate bedroom is provided for any adolescent aged 16 or 17 who is receiving
treatment in an adult treatment facility or for any person between the ages of
18 and 22 who is receiving treatment in a treatment facility for adolescents;
6) A
minimum of 80 square feet is provided in a single bedroom and 60 square feet
per bed in a multi-bedroom with no more than four beds per room;
7) At
least three feet of space is provided at the foot or head and one side of each
bed and at least three feet between each bed;
8) Bunk
beds are not used for any withdrawal management service;
9) All
beds are non-folding, at least 36 inches wide, and have a flame-retardant
mattress;
10) No
bedroom is in an attic or in an area with a floor more than three feet below
the adjacent ground level;
11) Each
room has a wardrobe, locker, or closet for each occupant;
12) Each
bedroom has a swinging door no less than 32 inches in width that opens directly
into a corridor or to the outside;
13) Each
bedroom is an outside room with not less than the equivalent of 10% of its
floor area devoted to windows that are covered with curtains, blinds, or
shades;
14) No
bedroom opens directly into a kitchen or necessitates passing through a kitchen
to reach any part of the facility;
15) Each
bathroom contains a toilet and sink and that each tub or shower is enclosed
with space for drying and dressing (the sink may be omitted from a bathroom
that services two adjacent bedrooms if each of these rooms contains a sink);
16) Bedroom
doors leading to corridors shall not be lockable from the inside;
17) One
sink, one toilet, and one bathtub or shower is provided per every eight beds on
each floor where bathrooms are not adjacent to a bedroom;
18) All bathrooms
are well lighted and vented to the outside either by means of a window that can
be opened or by an exhaust fan;
19) No
bathroom, other than for staff, shall open directly into a kitchen, pantry,
food preparation area, or food storage room; and
20) A
bathroom is accessible to each central bathing area and that a minimum of one
sink, one toilet, and one bathtub or shower for patients shall be provided on
each floor.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.315 SERVICE TERMINATION/RECORD RETENTION
Section 2060.315
Service Termination/Record Retention
a) DHS/SUPR
shall be notified in writing at least 30 calendar days prior to the date on
which cessation of any licensed service is scheduled to occur. If involuntary
termination occurs due to inability to operate (damage to facility, loss of
staff, change in management, corporate dissolution, or any other cause) the
organization shall notify DHS/SUPR in writing immediately upon termination.
b) Upon
voluntary cessation of services, all current clients/patients/residents shall
be notified in advance and referrals for continuation of services shall be made
to other DHS/SUPR licensed organizations. If cessation of services is
involuntary, clients/patients/residents shall be notified as soon as possible
and given referrals to other licensed organizations.
c) Upon cessation
of services at any licensed location, DHS/SUPR shall schedule an inspection to
ensure that any controlled substance inventory is transferred or destroyed in
accordance with the U.S. Drug Enforcement Administration (DEA) requirements in
42 CFR 1307 and 1317 through 1395 (2014), as applicable.
d) When an
organization ceases operation of any service at any location, all
patient/client/resident records, relative to that service, shall be maintained
as follows:
1) If the
organization has a current license issued by DHS/SUPR for any other treatment
or intervention service, the organization may maintain the records from the
service that has ceased operation.
2) If the
organization has no other current license for any other treatment or
intervention service, all records shall be transferred for maintenance and
storage to an DHS/SUPR licensed organization providing a treatment or
intervention service. Records from closed hospital-based programs or medical
practices can be maintained at that facility.
e) Each
client/patient/resident, who has received services within the past six years,
shall be notified of service cessation via personal mail and email. If personal
mail or e-mail is not available, they shall be notified by public posting, or
media publication regarding the location where records will be maintained and
stored within 10 calendar days after cessation of service. DHS/SUPR shall also
be notified within 10 calendar days after cessation regarding record location
and any applicable contact information necessary to verify record transfer.
f) Such
records shall be stored and maintained for a period of six years from the date
of creation or the date when last in effect, whichever is later.
g) Upon
cessation of operations, the license shall automatically become null and void
and all documentation of licensure shall be immediately surrendered to DHS/SUPR
if the license has not reached its expiration date.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.320 STAFF QUALIFICATIONS
Section 2060.320
Staff Qualifications
a) Any
staff person who delivers clinical treatment services as defined in Section
2060.410 or early intervention services as defined in Section 2060.405 in a
licensed setting shall hereafter be referenced as "professional staff"
and, shall, upon hire:
1) Hold
certification as a Certified Alcohol and Drug Counselor from the Illinois
Certification Board (ICB);
2) Be a
licensed professional counselor or a licensed clinical professional counselor
pursuant to the Professional Counselor and Clinical Professional Counselor
Licensing Act [225 ILCS 107];
3) Be a
physician licensed to practice medicine in all its branches pursuant to the
Medical Practice Act of 1987;
4) Be a
licensed clinical psychologist pursuant to the Clinical Psychology Practice Act
[225 ILCS 15];
5) Be a
licensed social worker (LSW) or licensed clinical social worker (LCSW) pursuant
to the Clinical Social Work and Social Work Practice Act [225 ILCS 20];
6) Be a licensed
marriage and family therapist pursuant to the Marriage and Family Therapy Act
[225 ILCS 55]; or
7) Be a
board-certified psychiatric-mental health nurse practitioner (PMHNP-BC) or a
physician assistant with a Certificate of Added Qualifications (CAQ) in
psychiatry in accordance with the requirements specified by the American Nurses
Credentialing Center or the National Commission on Certification of Physician
Assistants.
b) Any
staff person who provides DUI evaluations as specified in Section 2060.510, DUI
risk education as specified in Section 2060.520, or designated program services
as specified in Section 2060.530 shall:
1) Meet at
least one of the qualifications specified in subsection (a); or
2) Hold
certification as an Assessment and Referral Specialist (CARS) or a Certified Criminal
Justice Addictions Professional (CCJP) from the Illinois Certification Board
(ICB).
c) Organizations
that deliver medically monitored withdrawal management (ASAM Level 3.7 care)
shall have at least one staff, 24 hours a day, who is:
1) Appropriately
licensed and credentialed under the Nurse Practice Act [225 ILCS 65] to
administer medication in accordance with an order from a physician, nurse practitioner,
or physician assistant and to conduct an alcohol- and drug-focused nursing
evaluation at the time of patient admission and throughout the length of stay;
or
2) A
certified emergency medical technician pursuant to Section 4.12 of the
Emergency Medical Services (EMS) Systems Act [210 ILCS 50/4.12] who has
completed at least 40 clock hours of formal training in the field of substance
use disorder treatment.
d) Any
other staff who provide direct patient care that is not defined as a clinical treatment
service shall be supervised by professional staff in accordance with the
requirements in Section 2060.325.
e) Paid
and unpaid interns or volunteers may be used to deliver clinical services and
in all cases shall be supervised by professional staff as specified in Section
2060.325. Additionally, the number of volunteers and interns on duty shall not
exceed the number of professional staff on duty. Supervision must be
documented by time, date, duration, and supervisory signature in the intern or
volunteer personnel record and must be separate from regular patient staffing.
This supervision shall also be verifiable by time, date, duration, and
supervisory signature on all clinical services documented by the intern or
volunteer in the patient record.
f) Any new
staff, including interns, who provide clinical treatment services or assessment
services in a licensed designated program who do not, when hired, meet the
requirements of subsections (a) or (b), shall:
1) Obtain
one of the required credentials no later than two years from the date of
employment or internship. Previous work experience, paid or unpaid, in the SUD
field is considered cumulative and shall be counted as part of this two-year
requirement;
2) Not
work in any clinical supervisory capacity until such requirements are met;
3) Not
provide any clinical treatment service or assessment service that is not
supervised by a professional staff as specified in Section 2060.325, until such
person has obtained the credential specified in subsections (a) or (b). Organizations
shall have policies and procedures that identify the methodology and time frame
utilized for continued supervision of any non-credentialed clinical staff. Supervision
shall be documented in the staff personnel record by time, date, duration, and
supervisory signature and include a brief synopsis of the covered content.
Supervision shall also be verifiable by time, date, duration, and supervisory
signature on all clinical services documented by the supervisee in the
client/patient record;
4) Be
prohibited from providing clinical treatment services or assessment services in
a designated program after the required two-year period until the requirements
of subsections (a) or (b) are met; and
5) Sign
and adhere to the established code of ethics developed by the applicable
certifying or licensing body.
g) The
organization shall inform and obtain the written consent of each client/patient
who will be receiving services from any staff working under supervision and
ensure that the client/patient gives written consent to have services delivered
in this manner.
h) Notwithstanding
the requirements specified in this Section, staff who provide DUI evaluations
and DUI risk education shall meet the requirements specified in subsections (a)
or (b) when hired.
i) Staff
who will provide services as a recovery home operator or manager, as specified
in Section 2060.540, shall, upon hire, hold certification as a National
Certified Recovery Specialist (NCRS) from the National Association for
Alcoholism and Drug Abuse Counselors (NAADAC), or as, a Certified Peer Recovery
Support Specialist (CPRS), a Certified Recovery Support Specialist (CRSS), or
any other alcohol or drug (AOD) credential from ICB or receive such
certification within two years of the date of employment under the supervision
of staff holding one or more of the credentials specified in this subsection.
j) It is
the responsibility of each organization to verify with documentation that all
applicable staff referenced herein meet the requirements outlined in this
Section.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.325 SUPERVISION
Section 2060.325
Supervision
a) Each
licensed treatment organization shall ensure management and oversight of all
professional staff by a clinical supervisor who meets the staff requirements
specified in Section 2060.320(a). Supervision may be in-person or virtual and
include group supervision. Professional staff shall have access to a clinical
supervisor for immediate consultation and supervision of clinical services.
b) Each
licensed DUI evaluation, DUI risk education, or designated program intervention
organization shall designate a supervisor who meets at least one of the
requirements specified in Section 2060.320(a) or (b). Supervision may be
in-person or virtual and include group supervision.
c) All
intervention and treatment professional staff referenced in this Section shall
receive monthly supervision.
1) If
group supervision is utilized, the size of the group shall be conducive to the
topic being discussed.
2) Supervision
shall be documented in the personnel record of the person receiving supervision
or in a format identified by the organization with time, date, duration, and
supervisory signature and include a brief synopsis of the content covered.
d) Supervision
for interns or any employee who has not obtained the appropriate credential for
"professional staff" shall be conducted in accordance with the
provisions specified in Section 2060.320(f)(3).
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.330 STAFF DEVELOPMENT AND TRAINING REQUIREMENTS
Section 2060.330
Staff Development and Training Requirements
a) The
organization shall ensure, through implementation of an annual plan, that staff
development and training is made available to all staff, as applicable or
required in this Section. The organization's staff development and training
plan shall address the need for cultural, linguistic, and special population
proficiency as it relates to those client/patients or residents that the
organization serves. In-service training shall also be part of the plan to
ensure that information obtained by staff at required training is disseminated
to other organization staff, as applicable. In-service training refers to
training and development programs offered by organizations to employees from
time to time to improve their skills, knowledge, and competency while they are
still on the job.
b) All
organizations shall provide orientation, within the first 10 working days after
employment and annually thereafter, to all staff, including paid and unpaid
interns and all volunteers, that shall include, at a minimum, an overview of
all organization policies and procedures, including:
1) The
specific duties assigned to each employee;
2) All
emergency preparedness plans;
3) Familiarization
with existing staff backup and support;
4) All
required training;
5) A
general overview of Part 2060;
6) Information
on bloodborne pathogens, Hepatitis C and universal precautions, the importance
of tuberculosis control and personal hygiene, the responsibilities, and
requirements for all staff regarding infectious disease control;
7) Information
on infectious disease relative to the etiology and transmission of infection
and associated risk behaviors, the symptomology of infectious disease and
clinical progression of HIV infection to AIDS and the relationship of
infectious diseases to substance use disorders, the purposes, uses, and meaning
of available testing and test results, and sensitivity to the issues of a
patient with infectious disease;
8) An
overview of the principles and regulations governing patient confidentiality
(42 CFR 2) and the Health Insurance Portability and Accountability Act (HIPAA)
(42 U.S.C. 1320 et seq.), client/patient rights, all related federal and State
statutes, and all recordkeeping requirements regarding confidential
information;
9) A
review and copy of the organization's quality improvement plan and policies and
procedures manual as referenced in Section 2060.340;
10) A review
of the mandatory reporting requirements as specified by the Illinois Department
of Children and Family Services (DCFS) and how those requirements relate to job
specifications and any applicable professional staff, including paid/unpaid
interns or volunteers; and
11) Opioid
overdose education and training that includes how to recognize an overdose and
instruction on how to administer naloxone.
c) All new
staff, including paid/unpaid interns and volunteers, who will provide clinical
treatment services shall attend at least one training offered by DHS/SUPR
relative to application of the ASAM Criteria within the first six months of employment.
All other staff providing clinical treatment services shall have documentation
of ASAM training or obtain such training. Thereafter, all such staff shall
attend ASAM training at least once every five years, unless an earlier
timeframe is determined by DHS/SUPR. This ASAM training shall be offered by DHS/SUPR
free of charge.
d) All new
professional or support staff, including paid/unpaid interns and volunteers,
who work in intervention or treatment organizations shall attend a Part 2060 training
offered by DHS/SUPR within the first six months of employment. All other
existing staff providing these services shall attend a Part 2060 training.
Thereafter, all such staff shall attend a Part 2060 training at least once
every five years unless an earlier timeframe is determined by DHS/SUPR. All
Part 2060 training shall be offered free of charge.
e) All
staff providing DUI evaluation or risk education services shall attend one DUI
training offered or approved by DHS/SUPR within the first six months of
employment. Thereafter, all such staff shall attend DUI training offered or
approved by DHS/SUPR at least once every five years unless an earlier timeframe
is determined by DHS/SUPR.
f) Staff
who meet the requirements of Section 2060.320(a) or (b) shall obtain a minimum
of six continuing education credits that are specific to SUD evidence-based
practices and/or any specific population or service offered by the organization
during each credentialing cycle. The mandatory training referenced in
subsections (c), (g), (h) and (i) can be used to meet this requirement.
g) If the
organization self-identifies as offering treatment services for individuals
with special needs due to gender, sexual orientation, English language proficiency,
age, or medical or psychiatric diagnosis, it shall ensure that at least one
professional staff obtains a minimum of six continuing education credits that
are targeted to the applicable specialty service during each credentialing
cycle.
h) Any
professional staff who provide clinical supervision shall obtain a minimum six
continuing education credits specific to supervision skills during each
credentialing cycle.
i) Professional
staff who provide assessment and specialized case management services under the
authority of a designated program license shall obtain a minimum of six
continuing education credits during each credentialing cycle that are specific
to evidence-based practices that have proven to be effective interventions at
the intersection of criminal justice and behavioral health.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.335 PERSONNEL REQUIREMENTS AND PROCEDURES
Section 2060.335
Personnel Requirements and Procedures
a) All
professional staff as specified in Section 2060.320(a) and (b) or any staff
working under supervision as specified in Section 2060.320(f) shall:
1) Be at
least 18 years of age; and
2) Not
have been convicted of any felony under any law of the United States two years
prior to the date of employment or anytime during employment unless an
exception is granted by DHS/SUPR as specified below in subsection (d).
b) All
professional staff as specified in Section 2060.320(a) and (b) who provide DUI
evaluation or risk education shall not have a suspension or revocation of
driving privileges for an alcohol- or drug-related driving offense for at least
two years prior to the date of employment or anytime during employment. If the
suspension or revocation occurs during employment, such person cannot resume
the provision of services until two years from the date of the revocation or
suspension.
c) Verification
of the requirements specified in subsection (a) and the staff qualifications
specified in Sections 2060.320 and 2060.415 shall be documented on the DHS/SUPR
Schedule L and E, respectively, upon employment and submitted, as applicable,
at the time of application for licensure and upon renewal.
d) An
exception may be requested from DHS/SUPR for any person who does not meet the
requirements specified in subsection (a). Exception requests will be evaluated
on criteria including, but not limited to, time since the offense occurred,
evidence of rehabilitation, and the number and type of convictions. A Schedule
L for the person shall accompany the exception request and the organization
shall have a policy to ensure that delivery of services is prohibited for such
person unless the exception is granted or for any staff who does not meet the
requirements specified in subsection (a) any time during employment.
e) Each
organization shall establish and maintain a comprehensive set of personnel policies
and procedures that are approved by management or, if applicable, the Board of
Directors. These policies and procedures must, at a minimum, address hiring,
training, evaluation, promotions, disciplining and termination, and the process
for handling employee or client/patient/resident complaints or grievances.
Additionally, the policies and procedures shall include the process for
handling instances of suspected or confirmed client/patient/resident
abuse/assault and or neglect by staff. The reporting procedure shall also
include when to report to law enforcement and the requirements for notifying DHS/SUPR.
The organization shall ensure that personnel policies and procedures are
readily available to all staff, including interns and volunteers, and that any
changes are distributed to staff at least once annually.
f) Each
organization shall provide documentation that any new or revised personnel policies
and procedures are reviewed and approved, at least once annually, by the authorized
organization representative or management designee, or as applicable,
organization ownership or Board of Directors.
g) Each
organization shall have a policy and procedure for addressing, intervening, and
reporting to DHS/SUPR or the applicable credentialing body, when there is any
staff violation of the code of ethics established by the organization and/or
the applicable certifying or licensing body that negatively impacts
client/patient/resident care or could impact any staff credential or license.
h) Each
organization shall establish and maintain job descriptions detailing the duties
and qualifications for all positions, including volunteers, interns, and unpaid
personnel.
i) The
organization shall determine the criteria for full- and part-time employees,
contractual employees, interns, and volunteers and have such criteria in
writing.
j) Upon
hire, and prior to every license renewal cycle, the organization shall perform
background checks for all employees, contractual employees, volunteers, and
interns. At a minimum, the review shall include:
1) Conducting
a background check using the free online National Sex Offender Registry at https://www.nsopw.gov/
for all staff;
2) Conducting
an additional background check using the Child Abuse and Neglect Tracking
System (CANTS), maintained by the Illinois Department of Children and Family
Services (DCFS) and authorized by the Abused and Neglected Child Reporting Act
[325 ILCS 11.1(15)] for any staff that have contact with children or
adolescents or provide clinical services or any other supportive services for a
child or adolescent who is receiving intervention or treatment, or is receiving
childcare at a facility or is residing at a facility with a parent receiving
intervention or treatment services.
3) Complying
with a procedure that precludes hiring of persons based on the reasons specified
in this Section and as set forth in 89 Ill. Adm. Code 385.50(a) and of those
convicted of, or with pending charges of, crimes as set forth in 89 Ill. Adm.
Code 385.60(a). The organization shall also have and follow procedures
allowing for waiver of these restrictions based on 89 Ill. Adm. Code Sections
385.50(b), 385.60(d) through (e), and 385.70(b); and
4) Complying
with policies and procedures to ensure the protection of other staff or
client/patient/residents during the interim between initial submission of the
staff background check and obtaining the results. These policies must identify
any staff limitations regarding the delivery of SUD intervention or treatment
services during this interim. The organization is responsible for all such
hiring and service delivery decisions and the results thereof and for following
recordkeeping procedures consistent with 89 Ill. Adm. Code 385.90.
k) The
organization shall, at a minimum with each license renewal cycle, comply with
all requirements for background checks specified in this Section for all
applicable staff and update all Schedules L and E, as applicable.
l) The
organization shall establish and maintain individual personnel records for all
employees, volunteers, and interns, paid and unpaid, that minimally include the
following components:
1) Documentation
of current education, experience, licensure, and/or certification;
2) Employment
status of the individual (e.g., hire date, full- or part-time status, promotion
date, change in job description, termination date);
3) Documentation
of Schedule L or E, as applicable, and all relevant background checks and or
exception requests;
4) Documentation
of required training;
5) Documentation
of required supervision with time, date, and duration;
6) Review
of individual employee's performance in accordance with organization policy;
and
7) A copy
of the applicable professional code of ethics for the employee's credentials or
as specified in Section 2060.320(f)(5).
m) The
organization shall maintain the personnel record for a period of five years
from the last date of employment.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.340 QUALITY SYSTEMS REQUIREMENTS
Section 2060.340
Quality Systems Requirements
a) The
organization shall design and implement a quality improvement plan that
incorporates all requirements specified in this Part. The quality improvement
plan shall be approved by the authorized organization representative or
management designee and, if applicable, controlling ownership or board of
directors and annually reviewed and revised as necessary.
b) The
quality improvement plan shall be written and shall contain, at a minimum:
1) A
mission statement for the organization's DHS/SUPR licensed services;
2) A
method of evaluation to assess achievement of the organization's mission;
3) Identified
strategies designed to achieve successful intervention and treatment outcomes;
4) A
policy and procedure for obtaining and responding to feedback from persons
served and community stakeholders;
5) A
method to review and evaluate the use of medications utilized in any level of
care that are directly provided by the organization;
6) A
method of risk management that, at a minimum, includes:
A) Review
and analysis of any incident or significant incidents and the correct reporting
procedure as specified in Section 2060.385;
B) Design
and implementation of necessary procedures to address any identified risks; and
C) As
applicable to Opioid Treatment Programs that are licensed by DHS/SUPR to
dispense Methadone, a "Diversion Control Plan" in accordance with the
requirements specified in Section 2060.420(g)(5); and
7) A utilization
management plan, as specified in subsection (c), for the ongoing review and
assessment of delivered services and outcomes. Utilization management is
required for all authorized treatment and intervention licenses for designated
programs, and DUI evaluation licensees. It is not required for intervention
licenses for DUI risk education or recovery home licensees.
c) Utilization
management shall be conducted by a person who did not deliver or supervise the
services under review. This person can work directly for the organization or
be a contractor. In all cases, utilization management for treatment services
shall be conducted by persons who meet the qualifications specified in Section
2060.320(a) or (b) for DUI evaluation or designated program services.
Utilization management shall be conducted at least quarterly in accordance with
the following:
1) For
treatment licensees, a random sample of a minimum 15% or 50 patient records
(whichever is less) that received services or were closed during the applicable
quarter and that are representative of all authorized levels of care and
locations. Utilization management for these records shall review the
following:
A) The
medical or clinical necessity supporting the placement or continued service in
the current level of care;
B) The
appropriateness and clinical necessity for treatment plan goals and objectives
as they relate to assessed need;
C) Verification
of the time, date, and duration of all services and the signature requirements
in each patient record as specified in this Part; and
D) Timely delivery
of assessed clinical and case management services.
2) For DUI
evaluation or designated program intervention licensees, a random sample of a
minimum 15% or 20 client records (whichever is less) that received services or
were closed during the applicable quarter and that are representative of each authorized
service and location. Utilization management for these records shall review
the following:
A) The
appropriateness of the diagnosis or risk category assignment, as applicable,
based upon the established criteria specified in this Part for the applicable authorized
services provided by an intervention licensee relative to an SUD assessment or
risk category assignment; and
B) The
appropriateness of the subsequent recommended intervention or referral for
treatment, based upon the diagnosis or risk assignment, as applicable.
3) If the
random sampling of client or patient records indicates incorrect information,
the organization shall develop and implement a corrective action plan to
address the identified problems.
4) The
organization shall issue a report, at least quarterly, that documents the
findings from utilization management and make all such reports available, at
least annually, to all credentialed staff, controlling ownership, and board of
directors.
d) All
organizations shall develop and maintain a written policies and procedures
manual that describes all operational procedures. At a minimum, the manual
shall contain an organization chart and a description of the process the
organization will use to ensure compliance with all applicable rules referenced
in this Part and any other local, State, and federal regulatory requirements.
This manual shall be approved by controlling ownership or the board of
directors, and any new or revised policies shall be reviewed annually. The
organization shall also ensure that staff receive and review updated sections
to the manual at least annually.
e) Treatment
licensees who are not otherwise required to report data electronically shall
maintain statistics that, at a minimum, summarize the demographic information
specified in Section 2060.370(d)(9) and that summarize for each licensed
treatment facility:
1) Total
number of patients, by level of care;
2) The
average length of time between initial date of contact and the first treatment
service;
3) Total
number of assessments and admissions, by level of care;
4) Total
number of substance use diagnoses, by type;
5) The
average length of stay in each level of care; and
6) Discharges
by type and level of care.
f) The
statistics maintained pursuant to subsection (e) shall be made available upon
request by DHS/SUPR and/or during inspections.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.345 SERVICE FEES AND POLICY
Section 2060.345
Service Fees and Policy
a) The
organization shall establish one fee schedule that specifies the standard fee
charged for each treatment, intervention, or support service (e.g., toxicology
screens, administrative functions such as copying, etc.) and a policy regarding
billing and collection.
b) The fee
schedule shall be made available to each person receiving the service and
signed and dated by that person. The fee schedule shall indicate the estimated
amount the person will be responsible to pay, along with any relevant payment
schedule for each service.
c) The fee
schedule shall be updated annually or whenever there are changes that impact
the amount of payment due from the person.
d) The
organization shall ensure that the person is made aware of benefits that they
might qualify for that could subsidize the cost of their services. This
includes identification of any third-party payment benefits, including
Medicaid, other health insurance or State or federal funds, and how to make
application for them. The organization shall also ensure that the person is
made aware of any third-party billing that will be utilized and informed of the
right to opt out of this type of billing and, instead, self-pay for the
service.
e) Organizations
that do not have certifications or contracts with third-party payors for which
the person has or is eligible for coverage or benefit shall make referral
options available to such person for services from alternate organizations who
have the applicable coverage. All referrals shall be made as specified in
Section 2060.380.
f) Billing
or documentation errors made by the organization shall not result in additional
cost to the individual receiving the service.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.350 CONFIDENTIALITY PATIENT INFORMATION
Section 2060.350
Confidentiality – Patient Information
a) The
organization shall have written policies and procedures to control access to
and use of records and information that are governed by the Confidentiality of
Substance Use Disorder Patient Records regulations (42 CFR 2) and Article
30-5(bb) of the Act and to control access to and use of protected health
information governed by the Health Insurance Portability and Accountability Act
(HIPAA), 42 U.S.C. 1320 et seq., and the regulations promulgated thereunder at
45 CFR 160, 162 and 164. All policies and procedures shall be consistent with
said regulations and statutes and include a standard release form to obtain
patient consent for release of confidential information. Nothing in this Part
shall be construed as having the effect of imposing HIPAA requirements on an
organization to whom HIPAA does not apply.
b) The
regulations referenced in this Section apply to any records concerning any
person who has been a patient, regardless of whether or when that person ceased
to be a patient.
c) When DHS/SUPR
requests a record or information subject to the regulations in 42 CFR 2 for
audit, evaluation, research, or other authorized purposes, it shall, in
writing:
1) Indicate
the purpose for obtaining the information;
2) Agree
to maintain the information in accordance with security requirements of said
laws;
3) Agree
to comply with limitations on disclosures in said laws;
4) Agree
to destroy the information upon completion of its use and as and when permitted
by the State Records Act [5 ILCS 160]; and
5) Indicate
the authorized personnel to whom such information is to be submitted.
d) Organizations
providing a DUI evaluation or risk education intervention service shall
disclose offender information, as allowed by law, as these services are not
covered under 42 CFR 2. However, the informed consent procedures specified in
Section 2060.360 shall be utilized to allow for such disclosure to Illinois
court officials, the Illinois Office of the Secretary of State, and DHS/SUPR
for adjudicating and court monitoring of DUI cases, resolution of driver's
license suspensions or revocations, and for monitoring authorized services.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.355 CONFIDENTIALITY PATIENT PROTECTION HIV ANTIBODY AND AIDS STATUS
Section 2060.355
Confidentiality – Patient Protection – HIV Antibody and AIDS Status
a) The organization
shall have written policies and procedures controlling access to records and
information governed by the AIDS Confidentiality Act [410 ILCS 305] (AIDS Act),
and the AIDS Confidentiality and Testing Code (77 Ill. Adm. Code 697) (AIDS
Code) that protect the identity and test results of a person who receives an
HIV test.
b) This
Section does not apply to HIV/AIDS risk education that is provided to all
persons. This Section does apply to information regarding requests for or
participation in HIV/AIDS pre- and post-test counseling.
c) An HIV
antibody or AIDS test cannot be required as a condition of SUD treatment and a
person cannot be required to disclose or to sign an authorization for release
of information concerning their HIV antibody test or HIV status as a condition
of SUD treatment.
d) A
person who wishes to be tested for HIV antibodies shall be informed that they
may undergo testing anonymously and given information about organizations that
conduct testing.
e) Unless
disclosure is otherwise authorized by State or federal statute or rule, no
information governed by the AIDS Act and the AIDS Code shall be released by an
organization or by any member of its staff to any other person or entity unless
there is a legally-effective consent or another exception in accordance with
the statute or rule. Release of information which is allowed by consent or by
statute and rule shall be done only to the extent provided within the consent.
f) The
organization shall have a policy regarding how and what shall be recorded if a
person self discloses HIV status during treatment or if the person requires the
administration of medications or other services by staff that provide AIDS
treatment. The policy shall protect the confidentiality of the person, protect
their right to give consent for disclosure of HIV status, and shall limit
disclosure to only what is necessary to accomplish the purpose of the disclosure.
The organization shall ensure that the informed consent form required in
Section 2060.360 contains the authorization requirement for disclosure of this
information.
g) Documentation
of any HIV or AIDS counseling service or testing shall be kept confidential in
accordance with the AIDS Act. Organization staff shall not have access to such
counseling and testing records unless otherwise authorized in writing by the
patient's consent.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.360 INFORMED CONSENT
Section 2060.360
Informed Consent
a) Each
organization shall have an informed consent procedure to obtain legally valid signed
consent from the person or legal guardian for intervention or treatment
services and that documents agreement to participate in those services,
knowledge of the consequences of withdrawal from such services, and that allows
for authorization or decline of the access to and/or release of confidential
medical information. Consent may be obtained electronically.
b) The
informed consent must also acknowledge the right to a conflict-free choice of
services from any licensed organization and an understanding of the potential
risks and benefits of selected services.
c) The
informed consent shall contain a section that allows, as applicable, for
authorization or decline (for self or significant others or family members) of
participation in or the use of the following:
1) Experimental
medications;
2) Experimental
assessment procedures;
3) Recording
on audiovisual equipment;
4) Participation
in research projects; and
5) Testing
for HIV.
d) The
informed consent shall be signed and dated by the person receiving the service
prior to the initiation of authorized intervention or treatment services.
e) A copy
of the informed consent shall be provided to the person receiving the service,
upon request.
f) The
informed consent may be combined with the client/patient/resident rights
document as referenced in Section 2060.365 if there are separate signature
authorizations for each document.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.365 CLIENT/PATIENT/RESIDENT RIGHTS
Section 2060.365
Client/Patient/Resident Rights
a) To
ensure that a client/patient/resident's rights are protected, each organization
shall have a written statement that describes the rights of such persons as
specified in Article 30 of the Act. The rights document can be a form provided
by DHS/SUPR or be designed by the organization, but shall contain, at a
minimum, the following components:
1) That
access to services shall not be denied on the basis of, including but not
limited to, race, color, sex, religion, national origin, ancestry, age (40 and
over), order of protection status, marital status, sexual orientation
(including gender-related identity), HIV status, physical or mental disability,
unfavorable discharge from military service, pregnancy, citizenship status,
employment status, familial status, or arrest record;
2) That
there is access to services, either through direct service or referral, for any
person on MAR or who has specific needs related to MAR;
3) Assurance
that HIV/AIDS status and testing remains confidential;
4) Assurance
that all treatment services remain confidential, as specified in 42 CFR 2;
5) The
right to nondiscriminatory access to services, as specified in the American
with Disabilities Act of 1990;
6) The
right to give or withhold informed consent for intervention or treatment
services;
7) The
right to refuse a specific treatment procedure and to be informed of the
consequences of such refusal; and
8) The
right of any adolescent to consent to treatment without approval of the parent
or legal guardian in accordance with the Consent by Minors to Medical Procedures
Act [410 ILCS 210].
b) Prior
to the initiation of services, the client/patient/resident shall attest by
signature and date that they have reviewed and received a copy of the written
statement of rights and this signatory document shall be maintained in the
client/patient/resident record.
c) The
statement of client/patient/resident rights shall be displayed in an area
accessible to clients/patients/residents.
d) The
organization shall inform each client/patient/resident of the route of appeal available
when a person disagrees with the organization's decision or policies and of how
to file a formal complaint with DHS/SUPR.
e) The
organization shall comply with the right of any adolescent to consent to
treatment services without approval of the parent or legal guardian in
accordance with the Consent by Minors to Medical Procedures Act [410 ILCS 210].
f) As
required by Sections 2060.350 and 2060.355, the client/patient/resident shall
be given written notice of the uses and disclosures of protected health
information that will be collected and maintained, and the rights provided by
law.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.370 RECORDKEEPING REQUIREMENTS
Section
2060.370 Recordkeeping Requirements
a) The
organization shall maintain records, including, but not limited to, the
following:
1) Intervention/treatment
service records;
2) Organizational
records including policies and procedures;
3) Personnel
records; and
4) All
other documents required in this Part.
b) Required
records shall be maintained, and accessible to DHS/SUPR, for a period of not
less than six years from the date of the last service. "Accessible to DHS/SUPR"
means that organizations shall retain ownership of all records referenced
above, regardless of any external contract or agreement for recordkeeping,
billing, etc. If an inspection is initiated within the required retention
period, the records shall be retained until the inspection is completed and all
issues are resolved. This provision is not construed as a statute of
limitations. Organizations may elect to keep records beyond the six-year
period or shall delete records in a manner consistent with confidentiality requirements.
c) Required
records shall be readily available for inspection and copying by DHS/SUPR, as
applicable.
d) Organizations
shall adhere to the following regarding client/patient records:
1) All
records shall be maintained electronically or in written form and shall be
protected in a locked room, locked file, safe, or similar container or in
computer records with secure, limited access. If maintained electronically, a
hard copy of required information shall be made available upon request by DHS/SUPR;
2) If the
record is not maintained electronically, each signature on a hard copy record
shall be in ink or typed and dated. All additional entries shall be typed or
in ink and indicate the time and duration of each service. Additionally, if
the organization provides services that are authorized by DHS/SUPR at multiple
facilities, one record can document all such services;
3) Records
shall be kept in the facility where the person is receiving services and shall
be directly accessible to the staff providing the service;
4) The
compilation, storage of, and accessibility to records, including electronic
records, shall be governed by written policies and procedures in accordance
with 42 CFR 2, HIPAA, and all other applicable State and federal laws;
5) All
information, regardless of format, shall be secured from theft, loss, or fire
and records maintained electronically shall have a back-up system to safeguard
records in the event of operator or equipment failure;
6) Electronic
or digital signature on records is acceptable when the organization has
established the necessary policies and procedures to:
A) Safeguard
the issuance and identity of users;
B) Ensure
uniqueness in issuance of signature;
C) Regularly
review the usage of signature;
D) Ensure
adequate safeguards within the system upon application of signatures to
documents; and
E) Audit
users to remove unnecessary, unused, and abusers on a regular frequency;
7) Any
entry made on the record that is in any other language than English shall have
an accompanying English translation;
8) The
record shall contain the signatory documents that indicates the person was
informed of their rights and that informed consent was given for any service;
9) The
record shall contain, in a standardized format, the following demographic
information:
A) Unique
identifier or Registered Identification Number (RIN), if applicable;
B) Initial
date of contact;
C) Name,
street address, city, state, zip code;
D) Telephone
number;
E) Date of
birth;
F) Sex or
gender identity;
G) Race and
ethnicity;
H) Veteran
status;
I) Marital
status;
J) Educational
level;
K) Type of
health insurance;
L) Employment
status;
M) Annual
income for any person that requests a subsidized or reduced fee for services
and all proof of income documents unless this information is kept in a separate
financial record;
N) A dated,
signed service fee statement, as specified in Section 2060.345(b), unless this
information is kept in a separate financial record;
O) Primary
language; and
P) Referral
source and, as applicable, release of information forms.
10) The
record shall contain all other required documentation specified by service type
in Subparts D and E of this Part; and
11) The
organization shall have a process to ensure that records comply with the
requirements referenced in this Part. As such, the recordkeeping system shall
be reviewed at least annually and any necessary corrective action made part of
the quality improvement plan referenced in Section 2060.340(a).
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.375 EMERGENCY CARE
Section 2060.375
Emergency Care
a) The
organization shall have a written plan which specifies how emergency care will
be provided for a psychiatric/medical problem or for an unforeseen interruption
of some or all services.
b) The
plan shall specify how emergency care will be provided by the organization or
through referral and shall identify staff who are authorized to initiate
emergency care, the method for exchange of records when necessary, the method
of transfer for care, if applicable, to another facility, and the method of
notification to clients/patients/residents or other authorized entities
regarding the emergency and any subsequent necessary transfers.
c) The
plan shall include how staff, clients/patients/residents, and significant others
will be provided information concerning overdose prevention medication and
access to it and continued access to MAR, as applicable, in the event of
emergency transfer.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.380 REFERRAL PROCEDURE
Section 2060.380
Referral Procedure
a) The
organization shall have policies and procedures to ensure that each
client/patient/resident is informed of SUD services provided by other
appropriately licensed organizations and that options are available to access
services or levels of care that are not available within the organization.
These procedures shall contain the following:
1) A
release of information form that documents the written, dated signature of the
client/patient/resident for communication, referral, transfer, or re-release of
any relevant portion of the record, including consent or non-consent for the
release of confidential medical information, if applicable; the reason for
referral; a summary of services received to date; additional services needed or
requested; and any necessary continued coordination of services;
2) A
process to inform about and assist clients/patients/residents with access to
reasonable community resources, vocational rehabilitation, education, and
employment services, if requested or identified as an assessed need;
3) The
method by which a client/patient/resident may request a referral to the
DHS/SUPR Helpline (1-833-2-FIND-HELP); and
4) A
process to ensure that all clients/patients/residents are offered an evaluation
by a qualified prescriber regarding MAR, including a determination if it is
medically necessary.
b) All
referrals made for SUD intervention or treatment services, as defined in this
Part, shall only be made to organizations licensed under this Part, to those
individuals or organizations that are specifically exempted from licensure as
specified in Section 15-5 of the Act or to similarly licensed and regulated
organizations in other states.
c) Organizations
shall also establish policies and procedures to ensure compliance with the
Health Care Worker Self-Referral Act [225 ILCS 47] which prohibits entering
into an arrangement under which a patient seeking mental health or SUD
treatment is referred to a mental health or SUD organization in exchange for a
fee, a percentage of the organization's revenues that are related to the
patient, or any other remuneration that takes into account the volume or value
of the referrals.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.385 INCIDENT AND SIGNIFICANT INCIDENT REPORTING
Section 2060.385
Incident and Significant Incident Reporting
a) An
incident is any action that led to, or is likely to lead to, an adverse effect
on client/patient/resident services because it is a deviation from established
procedures. These incidents shall be documented in writing immediately,
reported to supervisory staff, as applicable, and available for review by DHS/SUPR
staff as necessary or during inspection.
b) A
significant incident is any occurrence which, regardless of the type of service
the client/patient/resident may be receiving:
1) Requires
the services of the coroner;
2) Renders
the facility inoperable;
3) Involves
the alleged sexual or physical abuse or assault of staff or a
client/patient/resident;
4) Involves
any alleged act that requires mandatory reporting to the professional staff
licensing or credentialing body; or
5) Involves
any sanction imposed against the licenses or certification of any professional
staff member.
c) DHS/SUPR
shall be notified verbally in person or over the phone of any significant
incident within 24 hours after its occurrence.
d) A
written report of any significant incident shall be submitted to DHS/SUPR
within ten calendar days after the occurrence and, if applicable, a copy of the
coroner's report shall be submitted within five calendar days of receipt by the
organization or as part of submission of the written report.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.390 COMPLAINTS
Section 2060.390
Complaints
a) A
complaint may be filed by clients/patients/residents or organization staff with
DHS/SUPR regarding non-compliance with this Part.
b) When
the license is issued, DHS/SUPR will also issue a poster that contains the contact
information, including DHS/SUPR's phone number and email.
c) This
poster shall be displayed at the licensed site in a location that is visible to
the public.
d) Complaints
may be received verbally but shall be documented in writing by the complainant,
with supporting documentation if applicable, before official DHS/SUPR action is
undertaken; however, nothing herein shall prohibit DHS/SUPR from immediate
investigation of a verbal complaint if deemed necessary by DHS/SUPR or other
State or federal investigatory entities.
e) DHS/SUPR
shall notify the organization of any complaints it receives about the
organization or its services.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.392 COMPLIANCE INSPECTIONS
Section 2060.392
Compliance Inspections
a) DHS/SUPR
shall conduct inspections of licensed organization facilities and services to
ensure adherence with all regulations in this Part.
b) Inspections
may occur at any reasonable time but in general shall be routinely scheduled
and, unless otherwise determined by DHS/SUPR, may also include a pre-licensure
facility inspection.
c) Inspections
of treatment and intervention service records as well as the practical
application of administrative policies and procedures to determine compliance
with all intervention/treatment standards contained within this Part are
conducted on site or virtually at the discretion of DHS/SUPR. A facility
inspection may also be conducted. Inspections are conducted as close to real
time as possible using a sample of client/patient/resident records or,
depending on the nature of the review, all records during an identified period
of time. Upon completion of the inspection, organizations are determined to be
in good standing or are issued written documentation of the violations with a
time for corrective action as specified in Section 2060.396.
d) During
any period of corrective action, the organization may request or may be
required to participate in technical assistance from DHS/SUPR or its technical
assistance/training organizations.
e) DHS/SUPR
employees are authorized to enter the facility with access to all areas and all
records related to DHS/SUPR authorized services. DHS/SUPR employees may also
make inquiries of organization staff and client/patients/residents. (See 20 ILCS
301/45-5)
f) If the
organization denies consent to inspect, DHS/SUPR will seek access pursuant to
Section 45-5 of the Act. Refusal to consent to any type of inspection or to
allow copying or photographing may also be sanctioned in accordance with
Section 2060.396.
g) When
inspections are part of routine procedure, organizations shall be notified in
advance.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.394 INVESTIGATIONS
Section 2060.394
Investigations
a) DHS/SUPR
may, at its own initiation, and shall upon the sworn complaint in writing of
any person setting forth charges which, if proved, indicate criminal activity
and/or would constitute grounds for sanction as specified in Section 2060.396,
conduct its own announced or unannounced investigation.
b) DHS/SUPR
employees are authorized to enter the facility with access to all areas and all
records related to DHS/SUPR. DHS/SUPR employees may also make inquiries of organization
staff and clients/patients/residents. (See 20 ILCS 301/45-10)
c) DHS/SUPR
may also refer such matters for investigation to the appropriate legal
authority.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.396 SANCTIONS
Section 2060.396
Sanctions
a) Failure
to comply with the requirements of this Part may result in imposition of a
sanction on the DHS/SUPR license.
b) DHS/SUPR
action to impose a sanction may occur during or after the specified time for
corrective action when there is failure on the part of the organization to
ameliorate all or a portion of the identified violations except in cases in
which DHS/SUPR determines that immediate action is necessary to protect the
public interest, safety, or welfare. (See 20 ILCS 301/45-20(a)(1))
c) Upon
conclusion of the period of corrective action, DHS/SUPR shall consider one or
more of the following factors in determining whether to pursue a sanction:
1) The
extent and nature of the violations;
2) The
effort made by the organization to respond to a complaint inquiry by DHS/SUPR
and the effort to comply with corrective action, including the ability to
complete corrective action within the established time frame;
3) Any
history of repeated non-compliance with regulatory requirements; and
4) The
potential for harm to a client/patient/resident or the public as a result of
the violations or failure to complete corrective action.
d) Nothing
contained herein shall preclude DHS/SUPR from imposing a sanction against an
organization that has complied with corrective action. In such case, the
factors enumerated in subsection (c) shall be considered by DHS/SUPR in
determining whether and to what extent the following sanctions should be
imposed:
1) Administrative
Warning: The written administrative warning establishes a probationary period,
identifies the violations, the required continued corrective action, and
includes a warning that additional violations or lack of corrective action may
result in a more severe sanction. A time frame will be established by DHS/SUPR
for completion of the corrective action; however, this time frame shall not
preclude DHS/SUPR from requiring a restriction on new admissions and all
services during the probationary period if deemed necessary for
client/patient/resident safety.
A) On or
before completion of the probationary period specified in the administrative
warning, DHS/SUPR shall determine if the organization has successfully
addressed or eliminated the violations and is now in good standing. When this
occurs, the organization shall be notified in writing.
B) If the
organization does not complete the corrective action within the probationary
period, DHS/SUPR may elect to extend the probation and/or impose additional
sanctions as specified in this Section.
2) Summary
Suspension: If DHS/SUPR finds that there is an imminent danger to
the public health or safety which requires emergency action, and if
DHS/SUPR incorporates a finding to that effect in its order, summary
suspension of a license may be ordered pending proceedings which shall be
instituted within 14 days to determine whether the summary suspension shall
remain in effect until conclusion of a formal hearing on the merits. [20
ILCS 301/45-30].
3) Suspension:
After a hearing, as specified in Section 2060.398, and formal action by an
administrative law judge, DHS/SUPR will issue a license suspension which is a
temporary withdrawal of a license or service for a specified time or
indefinitely, during which corrective action is taken to rectify violations
that led to the suspension. Upon conclusion of the corrective action, DHS/SUPR
will either reinstate or pursue revocation of the license.
4) Revocation:
After a hearing, as specified in Section 2060.398, and formal action by an
administrative law judge, DHS/SUPR will issue a license revocation which is
termination of a license or service. Upon revocation, the organization or any
ownership of that revoked organization shall not re-apply for any type of DHS/SUPR
license for a period of five years and any such re-application shall contain
verifiable proof that violations will not re-occur.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.398 HEARINGS
Section 2060.398
Hearings
a) An
organization may request a formal administrative hearing regarding action on
the part of DHS/SUPR to suspend, revoke, or not issue or renew a license,
except in cases in which DHS/SUPR determines that immediate action to summary
suspend is necessary to protect the public interest, safety, or welfare.
b) All
hearings regarding DHS/SUPR licenses shall follow the procedures set forth in
89 Ill. Adm. Code 508.
c) Any
organization receiving a "Notice of Opportunity for Hearing" shall
file for such hearing within 30 calendar days of notice or the hearing rights
afforded under this rule shall be deemed waived.
d) Both
the burden of going forward with evidence and the burden of proof rest with the
party requesting a hearing. The burden of proof is to show by a preponderance
of the evidence that the DHS/SUPR decision is contrary to the evidence on
record when taken as a whole.
e) Any
organization that requests a hearing to contest a proposed sanction by DHS/SUPR
shall have that action stayed pending the final administrative hearing
decision.
SUBPART D: TREATMENT SERVICE REQUIREMENTS
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.400 STRUCTURE AND PHILOSOPHY
Section 2060.400
Structure and Philosophy
a) SUD
treatment is part of the DHS/SUPR recovery-oriented continuum of care and is
offered in varying degrees of intensity based upon the individualized continuum
treatment plan developed for the patient and the requirements for each level of
care as specified herein. In all cases, treatment must be patient-centered,
individual care that is trauma informed and that recognizes and builds upon the
patient strengths and strategies they have developed to survive in often
inhospitable environments with culturally dominant messages that often devalue
them. SUD treatment helps counter those experiences by providing
relationships, connections, and space where patients are treated with dignity,
where their experience in the real world is witnessed, and where their
strengths and needs are seen and valued.
b) Organizations
shall inform all patients of their treatment and recovery philosophy regarding
abstinence, harm reduction, and MAR. This information shall also be
communicated through the DHS/SUPR Helpline portal in order to assist with
referrals. Organizations that do not provide treatment based upon harm
reduction and MAR shall have policies and procedures that ensure that patients
seeking this type of treatment are not denied access to care and not subject to
discrimination based upon their preference for a form of treatment not offered
or endorsed by the organization.
c) Treatment
services are segregated by age (adult or adolescent), but some flexibility is
allowed for adults and adolescents to participate together when it is
determined to be developmentally appropriate as defined in Section 2060.120 and
documented accordingly in the assessment and subsequent treatment plans.
d) All
levels of care authorized under a treatment license shall be structured and
delivered in accordance with the guidelines specified in the ASAM Criteria as
defined in Section 2060.120. Treatment services, including individual and
group sessions, offered within a level of care shall be linked to the assessed
needs of each patient and not reflect programmatic structures (i.e., where all
patients receive identical treatment in a pre-determined time frame or
content).
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.405 LEVELS OF CARE EARLY INTERVENTION
Section 2060.405
Levels of Care – Early Intervention
Early Intervention
is authorized by a treatment license as follows:
a) Early intervention
services may be sub-clinical and pre-diagnostic and/or designed to screen,
identify, and address risk factors that may be related to problems associated
with SUDs and to assist individuals in recognizing harmful consequences. These
services facilitate emotional and social stability and involve referrals for treatment,
as needed. The assessment and all clinical services shall be delivered by
professional staff who meet the requirements specified in Section 2060.320(a).
Other Early Intervention services are not required to be delivered by
professional staff as defined in Section 2060.320(a).
b) Early intervention
includes a planned and structured regime of services based upon identified risk
factors. The length of service may be pre-determined by an external referral
source (e.g., courts, impaired driver intervention, student assistance
programs) and/or based upon the individual's ability to comprehend the
information provided and to use that information to make behavioral changes to
avoid continued problems.
c) Services
may begin upon completion of an ASAM assessment that does not result in an SUD diagnosis
and/or an immediate need for treatment. The ASAM assessment must identify at
least one risk factor that could result in the development of an SUD.
d) All
services must relate to the risk factors identified in the ASAM assessment and
shall follow all other service requirements as specified in this Part.
e) All
services shall be identified in an Early Intervention service plan that is
developed with the client. The plan must identify interventions that address
the identified risk factors and include strategies to assist the client in
reduction or elimination of the at-risk behavior.
f) The
Early Intervention service plan shall be developed during the first service
following the ASAM assessment and admission and reviewed for continuing service
after every 10 hours of services or every 60 calendar days, whichever occurs
sooner.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.410 LEVELS OF CARE TREATMENT
Section 2060.410
Levels of Care – Treatment
a) Level 1
– Outpatient – Clinical services that are non-residential and that include
assessment, treatment planning, continued assessment and service reviews, SUD
individual and group treatment and discharge planning. Supportive services that
enhance recovery may also include case management, MAR, patient education, and
recovery support planning. All services shall be delivered according to the
requirements specified in this Part. The frequency and intensity of such
services are determined by patient need but are generally provided in regularly
scheduled sessions of fewer than nine hours of clinical services per week for
adults and fewer than six hours of clinical services per week for adolescents.
b) Level 2
– Intensive Outpatient – Clinical services that are non-residential and that
include assessment, treatment planning, continued assessment and service
reviews, SUD individual and group treatment, and discharge planning.
Supportive services that enhance recovery may also include case management,
MAR, patient education, and recovery support planning. All services shall be
delivered according to the requirements specified in this Part. The frequency
and intensity of such services are determined by patient need but are generally
9-19 hours of clinical services per week for adults and 6-19 hours of clinical
services per week for adolescents.
c) Level
2.5 – Partial Hospitalization – Clinical services that are non-residential and
that include assessment, treatment planning, continued assessment and service
reviews, SUD individual and group treatment, and discharge planning.
Supportive services that enhance recovery may also include case management,
MAR, patient education, and recovery support planning. Services typically
average five hours of individualized clinical service per day that are a mix of
individual and group counseling based upon the assessed needs of the patient.
Level 2.5 generally includes 20 or more hours per week of intensive clinical
services with direct access to psychiatric, medical, and laboratory services
which help to meet identified needs that might warrant daily monitoring or
management but that can be appropriately addressed in an outpatient setting.
d) Level
3.1 – Clinically-Managed Low Intensity Residential – Low intensity clinical
services that include assessment, treatment planning, continued assessment and
service reviews, SUD individual and group treatment, and discharge planning in
a residential setting. Supportive services that enhance recovery may also
include case management, MAR, patient education, and recovery support
planning. Historically referenced as halfway houses or residential extended
care, organizations shall identify, through administrative policy, staff/patient
ratios that ensure patients can access all recommended hours of treatment.
Level 3.1 requires staff, awake and on duty, 24-hours a day, seven days per
week, with clinical services delivered by professional staff at least five
hours per week that primarily focus on the application of recovery skills,
relapse prevention, and emotional coping strategies. Services are most
appropriate for patients who need time and structure to practice and integrate
their recovery and coping skills in a residential supportive environment.
e) Level
3.2 – Clinically-Managed Residential Withdrawal Management – Level 3.2 care
requires staff, awake and on duty, 24-hours a day, seven days per week, who
provide supervision, observation, and support in a residential setting for
patients who are intoxicated or experiencing withdrawal. Withdrawal management
allows for the induction/stable dose of MAR or withdrawal from a licit or
illicit substance with no MAR if that is not indicated or per patient
preference. Services emphasize peer and social support rather than medical or
nursing care and follow clinical protocols for referral and transfer of
patients whose conditions deteriorate and appear to need medical or nursing
interventions. Clinical services, delivered by professional staff, include
assessment, treatment planning, continued assessment and service reviews, SUD
individual and group treatment, and discharge planning. Supportive services
that enhance recovery may also include case management, MAR, patient education,
and recovery support planning. Historically referenced as social setting
detoxification, Level 3.2 services focus on stabilization, enhancing the
patient's understanding of SUDs, and referral to the appropriate level of care
for continuation of treatment.
f) Level
3.5 – Clinically-Managed Medium to High Intensity Residential Services – Level
3.5 care requires staff, awake and on duty, 24-hours a day, seven days per
week. Clinical services range from medium to high intensity in a residential
setting and organizations shall identify, through administrative policy,
staff/patient ratios that ensure patients can access all recommended hours of
treatment. Services include assessment, treatment planning, continued
assessment and service reviews, SUD individual and group treatment, and
discharge planning. Supportive services that enhance recovery may also include
case management, MAR, patient education, and recovery support planning. Level
3.5 services are tailored to the patient's readiness to change and are most
appropriate for patients whose SUD is so severe that it requires a 24-hour
supportive treatment environment to initiate or continue a recovery process
that has failed to progress. Services help patients stabilize and focus on the
development of recovery skills so that they do not immediately continue to use
in an imminently dangerous manner upon transfer to a less intensive level of
care. Lengths of services are variable with services designed to support
ongoing recovery rather than resolve all identified social and psychological
problems. Clinical services must be offered daily and average a minimum of 25
hours per week, 7 days per week, over the length of stay.
g) Level
3.7 – Medically-Monitored Inpatient Withdrawal Management – Level 3.7 care
requires staff, 24-hours a day, awake and on duty, seven days per week, who
meet the requirements specified in Section 2060.320(c). This level of
withdrawal management allows for the induction or stable dose of MAR or
withdrawal from a licit or illicit substance with no MAR if that is not
indicated or per patient preference. All services are delivered primarily by
medical and nursing professionals for patients whose withdrawal signs and
symptoms are sufficiently severe to require 24-hour evaluation in a residential
setting. Medical services are delivered under a defined set of
physician-approved and -monitored procedures or protocols. Clinical services
include assessment, treatment planning, continued assessment and service
reviews, SUD individual and group treatment, and discharge planning.
Supportive services that enhance recovery may also include case management,
MAR, patient education, and recovery support planning. Level 3.7 services
focus on stabilization until withdrawal signs and symptoms are sufficiently
resolved and the patient can be safely managed at a less intensive level of
care or, conversely, referred for more acute medical management in an inpatient
setting.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.415 MEDICAL DIRECTOR/MEDICAL STAFF
Section 2060.415
Medical Director/Medical Staff
a) All
organizations providing services authorized by a treatment license shall
designate a medical director, licensed and in good standing, who shall oversee
all medical requirements and procedures, as applicable and as referenced in
this Part. The medical director shall have the following staff qualification
relative to each service or level of care specified below:
1) The medical
director for any Opioid Treatment Programs (OTP), as specified in subsection
(i), shall be a physician licensed to practice medicine in all its branches
pursuant to the Medical Practice Act of 1987 [225 ILCS 60].
2) The medical
director for any Level 3 treatment service, as specified in Section 2060.410(d)
through (g), shall be a physician licensed to practice medicine in all its
branches pursuant to the Medical Practice Act of 1987 or a licensed advanced practice
registered nurse pursuant to the requirements specified in the Nurse Practice
Act [225 ILCS 65/65-43].
3) The medical
director for any Level 1, 2, or 2.5 treatment service, as specified in
2060.410(a) through (c), shall be a physician licensed to practice medicine in
all its branches pursuant to the Medical Practice Act of 1987, a licensed advanced
practice registered nurse pursuant to the Nurse Practice Act, or a licensed
physician assistant pursuant to the Physician Assistant Practice Act of 1987
[225 ILCS 95/1].
b) The medical
director may be full- or part-time or serve on a consulting or voluntary
basis. At the time of application for license, the DHS/SUPR Schedule E must be
completed for the medical director.
c) DHS/SUPR
shall be notified any time there is a change in medical director, within ten
calendar days of such change. When this occurs, a Schedule E shall also be
submitted. All Schedule Es must be kept on file by the organization and
available for review upon request by DHS/SUPR.
d) The
organization shall immediately notify DHS/SUPR in writing when there is a leave
of absence or permanent change of the medical director.
e) The medical
director and all other medical and nursing staff shall read and comply with
this Part.
f) The medical
director shall develop and approve all medical services for the organization
and develop clinical protocol for mandated treatment as specified in Section
2060.450(b)(1).
g) The
organization shall ensure that the medical director and all medical staff under
the medical director's supervision comply with the requirements in Section
2060.330(b) regarding employee orientation, Sections 2060.335(a), (j), and (k)
regarding personnel requirements, Section 2060.420(g)(5) regarding the
Diversion Control Plan required for Opioid Treatment Programs (OTP), and
Section 2060.310(g) regarding infectious disease control.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.420 MEDICAL SERVICES
Section 2060.420
Medical Services
a) The medical
director shall oversee and authorize protocol for all medical services that are
referenced herein and offered by the licensed treatment organization. Any
other physician, nurse practitioner, or physician assistant delivering any of
the medical services referenced herein shall be supervised according to the
requirements outlined in the Medical Practice Act of 1987, the Nurse Practice
Act [225 ILCS 65/65-43], or the Physician Assistant Practice Act [225 ILCS 95],
as applicable, unless otherwise specified.
b) Medical
Review: The medical director shall determine the medical criteria that, if
identified in Dimension 1, 2, or 3 of the ASAM assessment or anytime during an
ongoing episode of care, would delay or prohibit admission to or continuation
of treatment until a medical review is conducted. The purpose of the medical
review is to determine the immediate need for emergency care or a physical or
psychiatric examination and to determine if and or when the patient can
continue with services in a manner that is safe for the patient, other
patients, and organization staff. In addition to any other criteria identified
by the medical director, a medical review shall be required for any patient
under the age of twelve, any pregnant woman in need of withdrawal management,
and any patient with signs or symptoms of an infectious disease. If determined
necessary, medical review shall be documented by time, date, and signature in
the patient record. The method for this review and receipt of this
documentation shall be determined by the organization.
c) The medical
director shall also develop a format to ensure that the following information
is collected from all patients as part of Dimension 1, 2, and 3 ASAM assessment
inquiry:
1) Primary
complaint per patient;
2) Date of
the last physical exam and identification of the patient's primary care
physician;
3) History
of any SUD;
4) History
of any withdrawal symptoms;
5) Evidence
and/or history of any infectious or communicable disease, including current
symptoms;
6) History
of concurrent medical symptoms, complications, or conditions, including sexual
activity and risk for pregnancy or other sexually transmitted infections
(STIs);
7) Determination
of the need to verify pregnancy status, as applicable;
8) History
of concurrent psychiatric symptoms, complications, or conditions, including
suicide or homicide potential;
9) History
of trauma, including physical, verbal, emotional, and sexual;
10) Hospitalizations;
and
11) Medications
currently prescribed and any allergies.
d) Physical
Examinations: The medical director shall develop protocol and authorize
procedures for any physical examination, the components of the physical
examination, and the professional requirements for any individual who will
conduct physical examinations and review laboratory results, in the same
facility, under the supervision of the medical director.
1) Physical
examinations and associated laboratory tests are required during or after
admission, and every 12 months thereafter, for any patient who will be
prescribed Methadone or other medications for MAR. For any patient receiving
MAR from another provider other than the licensed organization, another
physical is not required but documentation of the previous and ongoing physicals
shall be available for review in the patient record.
2) Physical
examinations are not required for patients in Level 1, 2, or 3.1 care unless
they are receiving MAR or unless required after medical review. If required,
the physical shall be completed within 7 calendar days after admission unless a
different timeframe is determined by the medical director.
3) Physical
examinations are required for any patient in Level 3.2, 3.5, or 3.7. Such
physical examinations shall be part of the initial treatment plan and shall be
completed within 24 hours after admission if the patient is pregnant and/or on
MAR or in Level 3.2 or 3.7 withdrawal management. All other patients shall
receive a physical within 72 hours after admission, unless a different
timeframe is determined by the medical director. Patients may provide
documentation of a physical examination completed within 30 calendar days prior
to admission for review and acceptance by the medical director in lieu of this
requirement.
4) Each
patient shall receive a referral and contact information for any medical,
surgical, obstetric, prenatal, or psychiatric treatment deemed necessary as a
result of the physical examination. Documentation of this referral shall be
included in the patient record.
e) Medication
Assisted Recovery: The medical director shall develop procedures to ensure
that all such patients receive information about their options for any type of
MAR and that appropriate referrals are made for any type of MAR not offered by
the organization. Such procedures shall also ensure that patients are not
denied access to treatment services or required to participate in such services
because of their MAR for an OUD or any other SUD.
f) Medication
Dispensary Services: The organization shall follow the policy and procedures
developed by the medical director, for any patient in Level 3 care, relative to
the administration of all prescription and non-prescription medication and
shall ensure that patients are not denied access to medications during their SUD
treatment. Medication dispensary services shall be in accordance with the
Medical Practice Act of 1987 [225 ILCS 60]; the Pharmacy Practice Act [225 ILCS
85]; the Illinois Controlled Substances Act [720 ILCS 570]; the Special
Packaging of Household Substances for Protection of Children, commonly known as
the Poison Prevention Packaging Act (15 U.S.C. 1471); Substances Requiring
Special Packaging (16 CFR 1700.14); and rules and regulations of the U.S. Drug
Enforcement Administration (21 CFR 1300). The administration or dispensing of
patient-owned medications during any Level 3 care service shall comply with the
following:
1) Patients
shall surrender all medications upon admission;
2) Medications
brought by patients shall not be administered unless they can be identified;
3) Self-administration
of medication shall be permitted and observed;
4) Self-administration
of medication shall be documented and include the date, time, dosage of all
medications, and signature of the staff person who observed the
self-administration;
5) In
those cases where patients are unable to self-medicate, medication shall be
dispensed or administered as specified by the medical director;
6) All
medications surrendered by the patient at admission that are not used shall be
packaged, sealed, stored, or disposed of in accordance with established
procedure, or if approved by the medical director, returned to the patient at
the time of discharge; and
7) Medications
for minors who are in residence with patients shall be reviewed by the medical
director or physician, nurse practitioner, advanced practice registered nurse
or physician assistant working under their supervision. Permission to keep
medication at bedside in their possession and to self-administer to a dependent
child shall be given by the medical director or physician, nurse practitioner,
advanced practice registered nurse or physician assistant working under their
supervision.
g) Opioid
Treatment Program (OTP): DHS/SUPR authorizes, regulates, and inspects
organizations that also provide Methadone for patients diagnosed with an opioid
use disorder (OUD). These organizations shall meet the following requirements:
1) Satisfy
all applicable requirements under 42 CFR 8
(www.samhsa.gov/medication-assisted-treatment) and all Federal Drug Enforcement
Administration (DEA) requirements (https://www.deadiversion.usdoj.gov/)
specific to the treatment of an OUD and the delivery, storage, security, and
accountability of Methadone. Documentation of SAMHSA approval, DEA
registration, and accreditation must be maintained on-site and available for
DHS/SUPR review on demand. The organization shall notify DHS/SUPR in writing
immediately upon any change or delay in accreditation approval status.
DHS/SUPR authorization for Methadone use in any level of care is considered
conditional for a maximum of one year or until confirmation of the applicable
accreditation approval and authorization from the DEA is received by DHS/SUPR.
If the organization is not able to achieve full compliance within the maximum
one-year period, authorization to continue admissions will be suspended and the
licensed organization may be subject to additional sanctions as specified in
Section 2060.396;
2) Forward
to DHS/SUPR as the State Methadone Authority, copies of all Substance Abuse and
Mental Health Services Administration (SAMHSA) Center for Substance Abuse
Treatment (CSAT)-approved accrediting body survey reports, organization
responses to these surveys, accrediting body responses and subsequent
documentation of accrediting body awards or denials. DHS/SUPR shall review
these documents and require corrective action as specified in Section 2060.396;
3) Be
responsible for the following if automated dispensing machines are used:
A) Calibrating
the machine on a weekly basis according to manufacturer
procedures/specifications;
B) Limiting
access to medical order entries (changes in dosage, pickup orders) to licensed
physicians only;
C) Printing
daily activity reports for patient dispensing, bottle control, and no shows;
D) Taking
physical drug inventories and updating the machines daily; and
E) Printing
all reports when requested by DHS/SUPR;
4) Organizations
who treat patients receiving Methadone in any level of care shall be subject to
all applicable clinical treatment requirements specified in this Subpart and in
42 CFR 8.12(f)(5)(i) (Counseling Services); however, patients who are reluctant
or who refuse to participate in clinical services shall not be denied Methadone
while the organization simultaneously attempts to provide motivational or
engagement treatment strategies;
5) Each
organization shall maintain a current Diversion Control Plan (DCP) as part of
its quality improvement plan referenced in Section 2060.340(6)(c). At a
minimum, the DCP shall include specific measures to reduce the possibility of
diversion of controlled substances from legitimate treatment use and assign
specific responsibility to the medical director and staff for implementation.
Organizations are responsible for testing each component of the DCP and
documenting the results at least quarterly. The DCP shall incorporate a "Daily/Weekly
Medication Accounting Sheet" and an "Exception Medication Record"
which may be maintained electronically. Any other reports required by the DEA
(21 CFR 1300 et seq.), whether manual or automated, must be printed and signed
daily by dispensing staff;
6) Each
organization shall require OTP patients to undergo a complete, fully-documented
physical examination by a physician, nurse practitioner, or physician assistant
before admission to the OTP and ingestion of the initial dose of Methadone;
however, a physician must review and sign off on all physicals and see the
patient prior to admission and administration of the first dose. The physician
is the only staff member who can order Methadone treatment and assign the
medication dose. The physical examination shall cover major organ systems and
the patient's overall health status and shall document indications of
infectious disease, pulmonary, liver, and cardiac abnormalities, vital signs,
general appearance of head, eyes, ear, nose, throat, chest, abdomen,
extremities, and skin and physical evidence of drug use, and a medical judgment
of the extent of the opioid use disorder. Women shall receive a pregnancy test
at the organization site or by referral to a health center. The results of all
tests, laboratory work, and other processes related to the initial medical
examination shall be reviewed with the patient and documented in the patient
record within fourteen days of admission. Physical exams and associated
laboratory tests are required every 12 months for all OTP patients;
7) The
organization shall ensure that the initial dose of Methadone does not exceed 30
milligrams and the total dose for the first day does not exceed 40 milligrams
unless the medical director documents in the patient's record that a 40
milligrams dose was not enough to suppress opiate abstinence symptoms;
8) A
recipient identification number (RIN) must be obtained from DHS/SUPR for each
OTP patient which shall be used in all circumstances requiring patient identification
(e.g., medication logs, take-home bottles, exception requests, and general
correspondence);
9) A
minimum of eight random toxicology tests per year, including the initial
toxicology test shall be administered to each patient (42 CFR 8). Organizations
shall ensure that a result from an initial toxicology test that is negative for
opioids is not exclusionary criteria for admission to OTP and also not the sole
determinant of an OUD diagnosis. Organizations shall also ensure that
toxicology tests that are positive for opioids or other substances are
addressed promptly with patients by clinicians and as a part of continued risk
assessment and treatment planning;
10) Each
organization shall submit opiate dispensing information on a weekly basis;
11) Each
organization shall have a policy regarding take-home medication in accordance
with SAMHSA regulations and exceptions under 42 CFR 8. The organization shall
request and have appropriate CSAT approvals for any policy exceptions to
regulations as well as policies regarding supplies of take-home medication. An
exception may be made to the policy regarding take-home medication which would
permit a temporary or permanently reduced attendance schedule, if in the
reasonable clinical judgement of the physician:
A) The
patient has been found to be responsible in handling narcotic drugs and has a
physical disability which interferes with the patient's ability to conform to
the applicable mandatory attendance schedule; or
B) The
patient has been found to be responsible in handling narcotic drugs and there
are exceptional circumstances such as illness or infectious disease, family
crises, travel, or other hardship;
12) The
rationale for each exception pursuant to subsection (g)(11) and the physician's
approval must be documented by signature and date in the patient record.
13) Each
organization shall have policies and procedures regarding staff and patient
safety during all hours of operation. Organizations utilizing security guards
or metal detectors shall have specific policies and procedures relative to
their operation or scope of responsibilities.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.425 WITHDRAWAL MANAGEMENT
Section 2060.425
Withdrawal Management
a) The medical
director shall develop protocols and authorize procedures for patients
experiencing withdrawal symptoms or in need of medically-managed services in
any level of care authorized by the DHS/SUPR license. The protocols shall be
inclusive of the staff qualifications specified in Section 2060.320(c).
b) The medical
director shall develop a standing order for the treatment plan for any medical
services that may be required during withdrawal management. The standing order
for withdrawal management treatment shall be designed to assist patients in
achieving stability in a safe environment, with access to medical intervention,
if necessary, for the length of time the patient is receiving withdrawal
management.
c) An ASAM
assessment shall begin as soon as the patient is physically and emotionally
stable enough to participate and shall determine the diagnosis and if the
patient will be transferred to a higher or lower level of care.
d) The
length of services or time spent receiving withdrawal management services is
dependent on the patient's emotional and physical stability and a determination
of when they are ready to begin or resume participation in the recommended
level of care. This determination shall be made through a continuing service
review every 24 hours after confirmation of the initial diagnosis and level of
care and in accordance with the requirements specified in Section 2060.475.
e) The
organization shall ensure that information about medication assisted treatment
and referral, if applicable, is provided to every patient requesting or
receiving withdrawal management.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.430 INTAKE
Section 2060.430
Intake
a) Prior
to the initiation of the ASAM assessment, or, in the case of an impaired
patient, as soon as stabilization permits, the following information shall be
provided to the patient and obtained from the patient:
1) Collection
of all required demographics, as specified in Section 2060.370(d)(9);
2) The
hours and days of operation when services are available;
3) Identification
of any third-party payment benefits;
4) Collection
of income verification, if applicable;
5) A fee
schedule in accordance with the requirements in Section 2060.345 that also
identifies any cost to the patient that may not be covered by third party
insurance including Medicaid and Medicare; and
6) The
admission and exclusionary criteria applicable to the individual's conduct or
care or that may prohibit a person from receiving necessary services from the
licensed organization.
b) The
organization shall identify the qualifications and training for any staff who
will initiate and complete the intake process.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.435 ASSESSMENT
Section 2060.435
Assessment
a) Assessment
precedes admission to treatment and then is ongoing throughout treatment as
continuing service review. The initial goal of assessment is to obtain
sufficient information to determine the need for stabilization, obtain a
diagnosis, and an initial recommendation for placement in a level of care so
that the patient can access and initiate services as soon as possible.
b) Assessment
is conducted in accordance with the six dimensions of the ASAM Criteria and
includes the biopsychosocial assessment and risk/severity rating and an
immediate need profile. The apparent severity of the patient's condition and
impairment shall guide how comprehensive the initial biopsychosocial assessment
for placement needs to be prior to admission.
c) Assessment
is a clinical service and shall be conducted by professional staff.
d) Assessment
shall include a review of any specific conditions or recommendations from a
referral source including any prior screenings, evaluations, or assessments.
e) Assessment
shall include a review of any specific conditions of any court order or other
referral that may require completion of a specified level of care or number of
hours. If a court order or referral differs from the level of care or number
of hours that are subsequently determined by the assessment, the organization
shall have procedures in place to reconcile with the court or referral source
and allow admission in accordance with the requirements specified in Section
2060.450 regarding mandated treatment.
f) The assessment
shall be organized according to the six dimensions of the ASAM Criteria and
conclude with a diagnosis, as defined in the Diagnostic and Statistical Manual,
Fifth Edition (DSM-5), and a recommendation for placement in a level of care.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.440 TREATMENT PLANS
Section 2060.440
Treatment Plans
a) Upon
admission to any treatment level of care, the assessment shall be reviewed, and
updated if needed, with the patient, to develop an individual person-centered
treatment plan that is age, developmentally, gender identity, and culturally
appropriate. The biopsychosocial assessment and immediate needs profile shall
guide the development of the plan.
b) Development
of the initial treatment plan shall begin during the first day of residential
care in Level 3.1 or 3.5 and with the first treatment service in Level 1, 2,
and 2.5. As specified in Section 2060.425(b), standing orders for treatment
plans for Level 3.2 and 3.7 are acceptable. All treatment plans shall address
the patient's presenting concern, the most immediate needs identified in the
assessment, and the goals and objectives that will assist the patient with stabilization
and in transitioning to less intensive levels of care and recovery support.
c) If
confirmation of the initial treatment plan is required, as specified in Section
2060.445, such confirmation shall take place within the required time frames
specified in that Section.
d) All
treatment plans shall be signed and dated by the patient, the professional
staff who completed the plan, and, as applicable, any professional staff who
provided the confirmation.
e) All
treatment plans shall address needs identified in the assessment that have been
prioritized with the patient. Each identified priority shall list at least one
goal for resolution or reduction of the problem with measurable and observable
objectives for achievement. The treatment services that will be used to meet
the goals and objectives shall be identified and include the location,
intensity, and duration of those services with a timetable for achievement that
is within the time frame of the patient's expected participation.
f) All
treatment plans shall identify the need and frequency of or referrals for case
management or any other activities or consultations planned for the patient or
any other family members or significant others.
g) All
treatment plans shall identify any referral for recovery support and specify
the individual or entity that will provide the service.
h) All
treatment plans shall be updated to reflect resolution or establishment of
identified problems or goals and in accordance with the continued service
review criteria specified in Section 2060.475.
i) All
treatment plans shall identify the type of measurement (hours or days) used for
continued service reviews and this measurement shall remain unchanged until the
next review.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.445 CONFIRMATION OF DIAGNOSIS, INITIAL PLACEMENT, AND INITIAL TREATMENT PLAN
Section 2060.445
Confirmation of Diagnosis, Initial Placement, and Initial Treatment Plan
a) The medical
director, or the physician, nurse practitioner, or physician assistant working
under the medical director's supervision, shall review the assessment, confirm
the diagnosis, initial placement in care and initial treatment plan, for any
patient who was identified for medical review as specified in Section
2060.420(b).
b) If not identified
for medical review and confirmation, as specified above, review of the
assessment, confirmation of diagnosis, initial patient placement, and initial
treatment plan is only required for staff who do not meet the qualifications
specified in Section 2060.320(a)(2) through (7). Confirmations for staff who
only have the professional staff qualification specified in Section
2060.320(a)(1) shall be conducted by any professional staff who meet the
qualifications in Section 2060.320(a)(2) through (7).
c) When confirmation
is required pursuant to subsections (a) or (b) , these confirmations shall be
made within 24 hours of admission for any patient in Level 3.2 or 3.7
withdrawal management care unless the patient is unable to participate and the
medical director authorizes a longer timeframe, within 72 hours of admission
for any patient in Level 2.5 or 3.5 care and within 7 calendar days of
admission for patients in Level 1, 2, or 3.1 care.
d) All
confirmations shall be authorized by signature and date in the patient record,
indicating that the assessment has been reviewed and specifying agreement or a
change in the recommended diagnosis and level of care.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.450 MANDATED TREATMENT
Section 2060.450
Mandated Treatment
a) Patients
with SUDs often initiate services resulting from a court order or employment
that require completion of a specified early intervention (Level 0.5) or
treatment level of care or a finite number of service hours; however, these
directives shall not remove the responsibility of the organization to
administer an ASAM assessment, as specified in Section 2060.435, and to
communicate to the referral source or any third-party payor any subsequent
recommended change in level of care or the length of individual treatment.
These directives may also require increased case management and reporting with
referral sources.
b) Organizations
that accept patients with mandated treatment requirements shall:
1) Adhere
to criteria and associated clinical protocol developed and approved by the medical
director that will allow admission and initial placement in the mandated level
of care contained in the directive so that the patient can promptly initiate
services;
2) Have
policies and procedures for the timely receipt and use of any prior screening
or assessment information to minimize duplication of services;
3) Follow
all requirements for any required medical review and confirmation of diagnosis,
initial placement, and treatment plan as specified in Section 2060.445;
4) Follow
all requirements in Subpart D regarding the delivery of SUD clinical services;
5) Ensure
that the patient and referral source has been informed that third-party
insurance coverage may not authorize treatment in a level of care not deemed
medically or clinically necessary;
6) Obtain
all necessary patient authorizations to ensure effective and timely
communication with the referral source regarding patient progress, recommended
changes in intensity or duration of treatment, discharge from treatment, and
the patient's continuing care plan; and
7) When
possible, obtain agreements with referral sources regarding resolution of any
discrepancy between the mandated treatment directive and the subsequent
assessment, diagnosis, placement, and continued service recommendations.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.455 GROUP TREATMENT
Section 2060.455
Group Treatment
a) Prior
to admission, patients shall be informed of the amount of group treatment that
may be part of any level of care and shall be given the option to participate
in any recommended group treatment. If the patient exercises the option to not
participate in a level of care based on the amount of group treatment, the
organization shall offer a less restrictive level of care. Counseling and
didactic groups for substance use disorder treatment are as follows:
1) Counseling
groups are a therapeutic activity with the primary purpose of allowing patients
or significant others an opportunity to process issues related to their
treatment in a group setting. Counseling groups can have a specific focus but
are generally process oriented and less educational. All counseling groups
shall be facilitated by professional staff. Justification for any patient who
participates in a counseling group shall be documented as an assessed need and
relate to the treatment plan. Counseling groups shall at no time exceed 16
patients per group.
2) Didactic
groups are a therapeutic activity with the primary purpose of educating
patients or significant others on a specific treatment-related topic in a group
setting. All didactic groups shall be led or supervised by professional staff
or by other professionals with credentials specific to the subject matter of
the didactic group following a lesson plan or outline approved by the
organization. For example, a licensed dietitian might lead a group on
nutrition. Justification for any patient who participates in a didactic group
shall be documented as an assessed need and relate to the treatment plan. Didactic
groups shall generally not exceed 24 people.
b) Organizations
shall have a sign-in and sign-out process for each group session. Each patient
participating in the group shall sign-in and sign-out and indicate the time and
identity by full or partial name. The organization's process shall include the
date, duration of each group session, group topic, and the name of professional
staff and credentials. Group sign-in and sign-out documentation shall be made
available to DHS/SUPR for review upon request and maintained in original form
by the organization.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.460 PATIENT EDUCATION
Section 2060.460
Patient Education
a) Each
organization shall ensure that patient education is part of each patient's
treatment plan or offered prior to development of the treatment plan. Patient
education may be provided individually or in a group and shall be provided to
each patient at least once during an episode of care and documented in the
patient record.
b) Mandatory
elements of patient education shall include, at a minimum, information about:
1) The
benefits and risks of MAR;
2) As applicable,
all medications authorized by the medical director for treatment of SUD, OUD,
or any co-occurring disorder;
3) Toxicology
testing protocol, as applicable;
4) The
organization's treatment and recovery philosophy and description of recovery
support services;
5) Treatment
protocol and all rules and consequences relative to patient conduct;
6) Infectious
disease risk reduction, including information about the prevention of
tuberculosis, Hepatitis C, HIV/AIDS, and other sexually-transmitted infections.
Education shall also include infectious disease etiology and transmission,
associated risk behaviors (including information about needle sharing, sexual
transmission, transmission to infants, etc.), symptomology, and clinical
progression and the relationship to SUD behavior;
7) The
availability of counseling and testing services for infectious disease and the
specific regulations regarding confidentiality relative to HIV/AIDS;
8) As
applicable, overdose prevention training relative to recognition of and
response to an opioid overdose and the use and administration of naloxone; and
9) Information
about the effect of alcohol, cannabis, illicit drugs, and prescription
medications on overall health and safety and their impact on safely operating a
motor vehicle.
c) Upon
completion of all mandatory education specified in this Section, documentation
indicating the type of education and the date received shall be noted in the
patient record.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.465 RECREATIONAL ACTIVITIES
Section 2060.465
Recreational Activities
a) Recreational
activities are allowed as part of the patient's treatment in any level of care
if they are identified as an assessed need and can contribute to ongoing
recovery support.
b) All
recreational activities shall be conducted in the presence of and under the
direct supervision of staff who have basic knowledge of the activity and its
relevance to the patient's treatment.
c) Recreational
activities shall not average more than of the treatment
services for any patient in any ASAM level of care.
d) Recreational
activities shall be documented by time, date, and duration in the patient
record.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.470 PROGRESS NOTES AND DOCUMENTATION OF SERVICE DELIVERY
Section 2060.470
Progress Notes and Documentation of Service Delivery
a) Patient
progress shall be documented by note in the patient record and shall be
consistent with the assessment and treatment plan goals and objectives. At a
minimum, progress notes include a chronological documentation of progress in
treatment, any change in patient behavior, and a description of the patient's
response to treatment. Progress notes also document patient outcomes,
toxicology results, missed dosing for patients on MAR, referrals for case
management, recovery support, and any other incident that may have an impact on
patient progress in treatment.
b) Progress
notes shall document each service delivered, location of the service delivery
and the date, time, and duration of each service.
c) Progress
notes shall include the name and credentials of the individual who provided the
service. As applicable, progress notes shall also be signed and dated by the
individual making the entry. Electronic signatures or initials must meet all
specifications for electronic signature specified in Section 2060.370(d)(6).
d) Service
delivery can be summarized in a progress note prior to each continued service
review for patients in Level 1 or 3.1 care, every 14 calendar days for patients
in Level 2 care, and daily for patients in Level 3.2, 3.5 or 3.7 care.
e) Any
progress note that includes a subjective interpretation of the patient's
progress shall include a description of the actual behavior.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.475 CONTINUED SERVICE REVIEW CRITERIA
Section 2060.475
Continued Service Review Criteria
a) A
continued service review is an examination and comparison of the current
treatment plan and all subsequent progress notes as they relate to each of the
six dimensions of the ASAM criteria and the identification of any new problems
that need to be addressed. The resolution of current goals and objectives or
the identification of new problems will determine:
1) Amendments
to the treatment plan;
2) Continuation
in the current level of care;
3) Transfer
to a different level of care;
4) Discharge;
or
5) Determination
of the next review date.
b) A
continued service review may occur at any time to determine continued service
in the current level of care or to update components of the treatment plan if
needed; however, at a minimum, continued service review shall occur:
1) Every
60 calendar days or after every 10 hours of treatment (whichever occurs first)
for patients in Level 1 and 3.1 care;
2) Every
30 calendar days or after every 27 hours of treatment (whichever occurs first)
for any patient in Level 2 care;
3) Every
14 calendar days or after every 40 hours of treatment (whichever occurs first)
for any patient in Level 2.5 care;
4) Every 7
calendar days for any patient in Level 3.5 care;
5) Every
24 hours for any patient in Level 3.2 or 3.7 care, unless another time frame is
specified by the medical director; or
6) For
patients receiving medication in an opioid treatment program (OTP), and not
receiving any clinical treatment service in any of the above referenced levels
of care, every 30 days during the first 90 days of medication and every 90 days
thereafter for any patient who has demonstrated 90 days of stable participation
and for whom there has been no biomedical complication or change.
c) The
continued service review shall include the participation of the patient and be
documented by progress note in the patient record. The documentation shall be
signed and dated by the patient and professional staff who conducted the review
and dated and signed by the medical director, physician, nurse practitioner, or
physician assistant working under their supervision only if there is a
significant bio-medical change in ASAM Dimension 1 or 2 that requires medical
or nursing monitoring or if there is a significant change in an identified
mental health problem in ASAM Dimension 3 that requires a change in medication
management or monitoring.
d) When a
continued service review recommends patient transfer to another level of care
or discharge, such change will be completed within 48 hours after the date of
the continued service review.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.480 CONTINUING CARE PLAN AND DISCHARGE
Section 2060.480
Continuing Care Plan and Discharge
a) Organizations
shall develop a continuing care plan with input from the patient and, if
possible, prior to discharge for any patient no longer meeting the criteria for
continued active treatment at that organization. The continuing care plan
shall contain the following information as appropriate for each individual
patient:
1) Strategies
to avoid a recurrence of problematic substance use that also identifies actions
to re-engage in treatment should this occur;
2) Activities
planned by the organization to support continued recovery;
3) Specific
and measurable patient involvement if accountability by the patient is required
for any case management or monitoring organization (e.g., courts, probation
offices, the Illinois Secretary of State, parole officers, employers, the
Illinois Department of Children and Family Services, etc.); and
4) If not
already provided, identification of community and recovery support services
that can help to maintain, support, and enhance progress made in treatment and
the patient's recovery capital, including referrals for stable housing, if
needed.
b) Organizations
shall develop discharge and exclusionary criteria consistent with customary
clinical standards. All patients shall be informed of the criteria at intake,
as specified in Section 2060.430.
c) Upon
completion of treatment services from the organization, a discharge summary
shall be completed for each patient within 15 calendar days after discharge.
The most recent continued service review can be substituted for the discharge
summary; however, in both cases, the document shall contain the following:
1) The
reason for discharge;
2) Progress
of the patient relative to each goal and objective in the treatment plan;
3) An
assessment statement of the patient's condition at discharge, including any
continued use of prescribed medication; and
4) The
patient's continuing care plan.
d) If
possible, a copy of the discharge summary and continuing care plan should be
provided to the patient upon discharge but, in all cases, made available to the
patient upon request.
SUBPART E: INTERVENTION SERVICE REQUIREMENTS
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.500 GENERAL REQUIREMENTS
Section 2060.500
General Requirements
a) Organizations
that are licensed for an intervention service, as identified in this Subpart,
shall also meet all applicable requirements in Subparts A, B, and C of this
Part unless otherwise specified.
b) Any organization
that provides an intervention service to any client/resident under a specific
administrative or court order that mandates the type of intervention shall
comply with the following:
1) Have
protocols that allow the client/resident to promptly initiate the mandated
service;
2) Deliver
the intervention service in accordance with the mandate in the administrative
or court order;
3) Communicate
with the referral source regarding any recommended change in the intervention
service, if the recommendation differs from that identified in the
administrative or court order;
4) Communicate
with the referral source, if it is identified that the client/resident needs
additional hours of intervention or needs to initiate treatment services; and
5) Obtain
all necessary contact information to ensure effective and timely communication
with the referral source regarding the client/resident participation in and or
successful or unsuccessful completion of the intervention service and any
additional recommendations.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.510 DUI EVALUATION
Section 2060.510
DUI Evaluation
a) The
purpose of the DUI evaluation is to conduct an initial screening to obtain
significant and relevant information from a DUI offender about the nature and
extent of the use of alcohol and other drugs, in order to:
1) Identify
the offender's risk to public safety for the referring circuit court or the
Illinois Office of the Secretary of State (SOS); and
2) Make a
recommendation of intervention, treatment, or a combination thereof for the DUI
offender to the referring circuit court or SOS.
b) DUI
evaluation services shall be provided to any offender, regardless of ability to
pay, in accordance with 20 ILCS 301/50-20 as follows:
1) If an
offender provides proof of income that meets the federal poverty income guidelines
issued annually by the U.S. Department of Health and Human Services and adopted
by DHS/SUPR, the organization shall bill the Drunk and Drugged Driving
Prevention Fund (DDDPF) through the eDSRS for reimbursement of the evaluation.
Acceptable documents to prove income include, but are not limited to, the most
recent income tax return or any documents attesting to any change in status
from the last income tax filing, such as payroll stubs, proof of unemployment,
or verification of disability or Medicaid coverage.
2) Reimbursement
from the DDDPF is subject to availability of funds. If notified by DHS/SUPR
that funding from the DDDPF is not available, organizations shall identify, on
the fee schedule required in Section 2060.345, the amount that will be assessed
to the DUI offender and the collection procedure.
3) The fee
schedule shall also specify the amount that may be assessed to the DUI offender
if the organization's standard evaluation fee exceeds the DHS/SUPR rate of
reimbursement from the DDDPF; however, the assessed amount shall not exceed the
difference between the organization's standard fee and the DHS/SUPR
reimbursement rate.
4) In all
cases, if reimbursement from the DDDPF or from the DUI offender who has proven
inability to pay is not received by completion of the service, the organization
shall still release the evaluation to the referring circuit court or to the
offender for an SOS hearing.
5) Evaluations
can be held by the organization for any DUI offender who has not proven
inability to pay and who refuses to pay the cost of the evaluation.
6) Organizations
choosing not to submit reimbursement claims from DDDPF shall still provide
services to DUI offenders with proven inability to pay in accordance with this
Part and the organization shall bear the cost of the service.
c) The DUI
evaluation shall include the ability to observe client behavior. The identity
of the client and the significant other, if interviewed, shall be verified
through picture identification.
d) Each
DUI offender shall be provided the DHS/SUPR brochure that explains the DUI
evaluation process and it shall be read by or to the offender prior to the
initiation of the service. Each DUI offender shall also be provided a standard
form, produced by the DHS/SUPR eDSRS, that is for DUI offender informed consent
and that, in addition to the specifications required in Section 2060.360,
contains the following:
1) States
that any information provided by the DUI offender will be released to the referring
circuit court, the Office of the Secretary of State and DHS/SUPR, and that no
offender consent is required for this disclosure;
2) Identification
by the DUI offender of where they obtained any previous evaluations as a result
of the most current DUI offense and to provide a copy of those evaluations, if
completed; and
3) A
signature line for the DUI offender that, by signature, indicates understanding
of the DUI evaluation process and disclosure requirements. A copy of this form
shall be placed in the DUI offender's client record.
e) If the
DUI offender refuses to sign informed consent or provide copies of other
completed evaluations, written notice of that refusal shall be sent to the referring
circuit court or to the Office of the Secretary of State, as applicable, and
the evaluation process shall be terminated.
f) The
organization shall have written policy and procedure to ensure the prohibition
of disclosure of any DUI evaluation to any other party other than the DUI
offender, the circuit court, the Illinois Office of Secretary of State, and
DHS/SUPR without the written consent of the DUI offender.
g) The
interview, to obtain the necessary information to complete the evaluation,
shall be structured and scheduled to ensure that, prior to completion, the
following occurs:
1) Collection
of a comprehensive chronological history of alcohol and or other drug use from
first use to present, including all prescription and over-the-counter
medications, and exposure to intoxicating compounds and illicit drugs. The
frequency and pattern of use by type and amount shall be identified as well as
any change in the use pattern and the reason for the change. Collection of
this information shall be obtained in a format separate from the Alcohol and
Drug Evaluation Uniform Report and available for DHS/SUPR review upon request;
2) A
determination of the extent to which the alcohol and or drug use has caused
marital, family, legal, social, emotional, vocational, physical, or economic
distress or impairment;
3) An
analysis of the DUI offender's verbal description of:
A) Alcohol
and drug related legal history, driving history (all offenses), and any related
alcohol or drug use or other chemical test results and the type of alcohol or
other drugs that resulted in all arrests, including the most recent DUI arrest;
B) History
of alcohol or other drug evaluations or screenings, SUD treatment, and recovery
support involvement, including self-help groups;
C) Family
history of SUDs and use of alcohol and or other drugs;
D) Alcohol-
and drug-related criminal record;
E) History
of any arrests or convictions for boating under the influence (BUI) or
snowmobiling under the influence (SUI); and
F) Any
rescinded statutory summary suspensions and any other dismissed alcohol- and
drug-related driving arrests and the reasons for the rescinded action or
dismissal. This information shall be considered as part of the overall
analysis of the DUI offender's history, but shall not be used or substituted
for the alcohol- and drug-related driving dispositions specified in subsection
(g)(4)(B) in determining a risk level.
4) An
analysis of:
A) Objective
test results from either the Driver Risk Inventory (DRI), the Adult Substance
Use and Driving Survey-Revised for Illinois (ASUDS-RI), or any other test
approved for use by DHS/SUPR in accordance with Section 2060.305;
B) The DUI
offender's current driving record, as documented on the Alcohol/Drug-Related
Driving Offenses summary form from the Office of the Secretary of State or a
copy of the actual Court Purposes driving abstract supplied to the referring circuit
court by the Office of the Secretary of State; and
C) The Law
Enforcement Sworn Report (issued to the DUI offender at the time of the arrest
for DUI) that identifies the chemical test result, BAC, or the refusal to
submit to chemical testing relative to the most current DUI arrest.
h) Based
upon all information obtained during the evaluation, the organization shall
determine the DUI offender's risk to public safety. The assignment of risk is
considered an initial finding that may be subject to change whenever additional
information is obtained during any subsequent evaluation. The risk assignment
shall be minimal, moderate, significant, or high, as follows:
1) Minimal
Risk: The offender has:
A) No prior
convictions or court-ordered supervisions for DUI, BUI, or SUI, no prior
statutory summary suspensions, and no prior reckless driving conviction or
court-ordered supervision reduced from DUI, BUI, or SUI. This rule includes
offenses that occur in other states as well as Illinois, and regardless of
whether the offense has been recorded on the offender's Illinois driving
record; and
B) A BAC of
less than .15, as a result of the most current DUI, BUI, or SUI arrest; and
C) No identified
pattern of alcohol- or drug-impaired driving; and
D) No other
symptoms of a substance use disorder.
2) Moderate
Risk: The offender has:
A) No prior
convictions or court-ordered supervisions for DUI, BUI, or SUI, no prior
statutory summary suspensions, and no prior reckless driving conviction or
court-ordered supervision reduced from DUI, BUI, or SUI. This rule includes
offenses that occur in other states as well as Illinois, and regardless of
whether the offense has been recorded on the offender's Illinois driving
record;
B) A BAC of
.15 to .19 or an implied consent refusal, as a result of the most current DUI, BUI,
or SUI arrest; or
C) At most,
one symptom of a substance use disorder.
3) Significant
Risk: The offender has:
A) Prior to the must current offense, one prior conviction or
court-ordered supervision for DUI, BUI, or SUI, or one prior statutory summary
suspension, or one reckless driving conviction, or court-ordered supervision
reduced from DUI, BUI, or SUI. This rule includes offenses that occur in other
states as well as Illinois, and regardless of whether the offense has been
recorded on the offender's Illinois driving record; and
B) A BAC of
.20 or higher, as a result of the most current arrest for DUI, BUI, or SUI; or
C) Two or
three symptoms of a substance use disorder.
4) High
Risk: The offender has:
A) Prior to
the most current offense, any combination of two or more of the following
alcohol or drug-related offenses: court-ordered convictions or court-ordered
supervisions for DUI, BUI, or SUI or prior statutory summary suspensions or
reckless driving convictions or supervisions reduced from DUI, BUI, or SUI that
arise out of separate incidents. This rule includes offenses that occur in
other states as well as Illinois, and regardless of whether the offense has
been recorded on the offender's Illinois driving record; or
B) Four or
more symptoms of a substance use disorder.
i) After
a determination of risk, a corresponding intervention shall be recommended;
however, the recommendation shall be viewed as the minimum necessary and, as
such, not the determinate intervention. Any subsequent information relevant to
the DUI offender's substance use, impaired driving, or arrest history
discovered during the DUI offender's participation in risk education or early
intervention shall be considered pertinent in formulating a recommendation for
further services necessary to reduce the risk to public safety. Initially, the
following interventions for each risk level shall be selected and recommended:
1) Minimal
Risk: Successful completion of a minimum of ten hours of DUI risk education,
as defined in Section 2060.520.
2) Moderate
Risk: Successful completion of a minimum of ten hours of DUI risk education,
as defined in Section 2060.520; a minimum of 12 hours of SUD early intervention
from an organization authorized in accordance with the specifications in
Section 2060.110 and, as further defined in Section 2060.405, provided no more
than three hours per day over a minimum of four weeks; successful completion of
any and all additional recommended early intervention or treatment and, as
applicable, ongoing participation in all activities specified in the continuing
care plan.
3) Significant
Risk: Successful completion of a minimum of ten hours of DUI risk education,
as defined in Section 2060.520; successful completion of a minimum of 20 hours
of SUD treatment from an organization authorized in accordance with the
specifications in Section 2060.110 and, as further defined in Section 2060.410
and, upon completion of all recommended treatment and, after discharge, active
on-going participation in all activities specified in the continuing care plan.
4) High
Risk: Successful completion of a minimum of 75 hours of SUD treatment from an
organization authorized in accordance with the specifications in Section
2060.110 and as further defined in Section 2060.410; successful completion of
all recommended treatment and, after discharge, ongoing participation in all
activities specified in the continuing care plan.
j) A
summary of the DUI evaluation, the assigned risk level, and the corresponding
intervention shall be documented on the DHS/SUPR Alcohol and Drug Evaluation
Uniform Report which is produced by the eDSRS. All sections of this form shall
be complete and signed by the evaluator and the DUI offender. The eDSRS is the
only mechanism that shall be used to produce the Alcohol and Drug Evaluation Uniform
Report and, other than original signatures, shall have no other handwritten
information on the report. Handwritten information invalidates the Uniform
Report and it cannot be used for the purposes described herein. If it is
necessary to submit additional information other than that contained on the
Uniform Report, a separate addendum signed by the evaluator can be attached to
the Uniform Report.
k) Upon
completion of the evaluation:
1) A copy
of the Alcohol and Drug Evaluation Uniform Report containing original
signatures shall be provided to the DUI offender upon completion of payment or
as otherwise specified in subsection (b)(4).
2) Any DUI
offender that receives a recommendation of SUD early intervention or treatment
shall be referred for the appropriate service to an organization authorized in
accordance with the specifications in Section 2060.110 and as further defined
in Sections 2060.405 and 2060.410.
3) Any DUI
offender that receives a recommendation of DUI risk education shall be referred
to an organization authorized for this service by DHS/SUPR.
4) All DUI
offenders shall verify that they have been shown, prior to referral, a list of
appropriately-licensed organizations that can deliver the recommended
intervention, unless being shown a referral list is contrary to local court
rules. This verification of conflict-free choice of organizations shall be by
DUI offender signature on the DHS/SUPR Referral List Verification form.
l) The
evaluation is complete when all of the information required in subsections (a)
through (k) has been obtained and the Alcohol and Drug Evaluation Uniform
Report is signed by the DUI offender. The Alcohol and Drug Evaluation Uniform
Report shall be provided directly to the referring circuit court unless another
repository is specified by court rule.
m) Evaluations
shall be scheduled and completed so that the Alcohol and Drug Evaluation
Uniform Report can be sent directly to the referring circuit court at least
five calendar days prior to the DUI offender's court date unless otherwise
specified by court rule.
n) The
evaluator shall be available to provide testimony relative to the DUI
evaluation when summoned by the circuit court.
o) The referring
circuit court or the Office of the Secretary of State, whichever is applicable,
shall be notified by the evaluator within five calendar days when a DUI
offender does not complete or refuses to sign the evaluation or does not return
to sign the evaluation after 30 calendar days from date of last contact. This
information shall be communicated using the DHS/SUPR Notice of
Incomplete/Refused DUI Evaluation form. A copy of the incomplete or refused
evaluation or partial narrative format shall be attached to the form.
p) In
addition to the requirements specified in Section 2060.370, the following
documents shall also be contained in the DUI offender's record:
1) A copy
of the DUI offender's Alcohol and Drug Evaluation Uniform Report and narrative
information documented on a format that supports the conclusions in the Uniform
Report;
2) A copy
of the Driver Risk Inventory (DRI) or the ASUDS-RI test;
3) Documentation
to support any subsequent change in risk assignment or intervention;
4) A copy
of the Informed Consent Release form;
5) Documentation
of the DUI offender's driving record and any chemical test or refusal results;
6) a copy
of the Notification of Incomplete/Refused Evaluation form, if applicable; and
7) a copy
of the Referral List Verification form.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.520 DUI RISK EDUCATION
Section 2060.520
DUI Risk Education
a) DUI risk
education can be provided either in person or online, in accordance with the requirements
of this Section. The purpose of DUI risk education is to provide orientation
regarding the impact of substance use on driving skill and to further explore
the personal ramifications of substance use.
b) DUI
risk education services shall be provided to any DUI offender regardless of
ability to pay, in accordance with 20 ILCS 301/50-20 and as follows:
1) If a
DUI offender provides proof of income that meets the most recent guidelines
adopted by DHS/SUPR, the organization shall bill the DDDPF through the eDSRS
for reimbursement for the risk education. Acceptable documents to prove income
include, but are not limited to, the most recent income tax return or any
documents attesting to any change in status from the last income tax filing,
such as payroll stubs, proof of unemployment, or verification of disability or
Medicaid coverage.
2) Reimbursement
from the DDDPF is subject to availability of funds. If funding from the DDDPF
is not available, organizations shall identify, on the fee schedule required in
Section 2060.345, the amount that will be assessed to the DUI offender and the
collection procedure.
3) The fee
schedule shall also specify the amount that may be assessed to the DUI offender
if the organization's standard fee for DUI risk education exceeds the DHS/SUPR
rate of reimbursement from the DDDPF; however, the assessed amount shall not
exceed the difference between the organization's standard fee and the DHS/SUPR
reimbursement rate.
4) In all
cases, if reimbursement from the DDDPF or from the DUI offender who has proven
inability to pay is not received by completion of the service, the organization
shall still release proof of DUI risk education completion to the referring
circuit court or to the offender for a SOS hearing.
5) Proof
of completion of DUI risk education can be held by the organization for any DUI
offender who has not proven inability to pay and who refuses to pay the cost of
the risk education.
6) Organizations
choosing not to submit reimbursement claims from DDDPF shall still provide
services to DUI offenders with proven inability to pay in accordance with this
Part and the organization shall bear the cost of the service.
c) The DUI
risk education curriculum can be designed by the organization or be part of a
nationally-recognized and standardized package designed to educate impaired
drivers through classroom or online instruction. The curriculum used shall be
submitted to DHS/SUPR at the time of application for licensure, upon any
curriculum modification or change in method of delivery, and at each renewal.
At a minimum, the curriculum shall contain the following:
1) Physiological
and pharmacological impact of alcohol and other substance use, including any
residual impairment on driving performance;
2) Information
about alcohol and other frequently used drugs, legal and illegal, and how they
contribute to the overall incidence of criminal justice cases, accidents and
fatalities, domestic violence, etc.;
3) The
impact of all drugs, legal and illegal, and the immediate impact on driving
when used separately or in combination with alcohol;
4) A video
or in-person presentation on victim impact;
5) Information
about SUDs and the impact on individuals and families including factors that
influence the formation of patterns of use and the development of disorders;
6) The
impact of trauma, both past and present, and how that may affect substance use
behavior;
7) Information
about current Illinois impaired driving laws and associated penalties and the
Illinois Secretary of State hearing process for restricted driving privileges
or full reinstatement;
8) Information
about treatment and recovery support services and how to contact them for any
problem that may increase the risk for a future substance use-related
difficulty; and
9) A
minimum of ten hours of instruction, divided into at least four sessions held
on different days with no session exceeding three hours in length. Photo
identification is required for each participant. Identity verification is
required for online instruction. If online instruction is utilized, it shall
include periodic quizzes or poll questions to ensure active participation.
d) Audio-visual
presentations shall not comprise more than 25% of the total class time.
e) No more
than 24 participants shall be permitted in any one class session.
f) Written
rules that address the following shall be developed and provided to each DUI
offender upon enrollment:
1) Criteria
for enrollment;
2) Criteria
for involuntary termination;
3) Responsibilities
of the DUI offender regarding attendance and classroom or online etiquette and
behavior;
4) Sobriety
and non-prescription drug use during class; and
5) Course
outline, content, and class schedule.
g) Prior
to enrollment in DUI risk education, the organization shall obtain a copy of
the DUI offender's completed Alcohol and Drug Uniform Report indicating that
risk education has been recommended.
h) The
organization that completed the evaluation or, if applicable, the early
intervention, shall be notified in writing if information is discovered or
disclosed while the DUI offender is enrolled in DUI risk education that
indicates that the offender was not correctly evaluated and is in need of
additional services. This written notification shall also be made to the referring
circuit court or the Illinois Office of the Secretary of State, as applicable.
i) A pre-
and post-test shall be administered to the DUI offender to assess the
effectiveness of the service and any increase in knowledge. The pre- and
post-test format shall be submitted to DHS/SUPR at the time of application for
licensure and at each renewal. In all cases, the post-test to verify
successful completion, as specified herein, shall be in person or administered using
a remote or virtual secure live proctored format.
j) The referring
circuit court or the Illinois Office of the Secretary of State, as applicable,
shall be notified within five calendar days when a DUI offender is
involuntarily terminated from DUI risk education. This information shall be
communicated using the DHS/SUPR Notice of Involuntary Termination from DUI risk
education form produced by eDSRS.
k) In
order to successfully complete DUI risk education, the DUI offender shall
attend each session in its entirety and in proper sequence and achieve a score
on the post-test of at least 75%. Each DUI offender attending in-person shall
sign an attendance verification for every class on the date attended and
include the session number, topics, time, and duration of the session.
Organizations using an online curriculum shall have a method to obtain this
same information for each session.
l) Upon
successful completion, a DUI Risk Education Certificate of Completion shall be
issued to each DUI offender. The certificate is produced by the eDSRS. All
sections of this certificate shall be completed and signed by the DUI risk education
instructor.
m) The DUI risk
education instructor shall be available to provide testimony relative to the
offender's participation in risk education when summoned by the referring circuit
court, the Illinois Office of the Secretary of State, or as requested by the
DUI offender or their attorney.
n) In
addition to the requirements specified in Section 2060.370, the following
documents shall also be contained in the DUI offender's client record:
1) A copy
of the Alcohol and Drug Evaluation Uniform Report;
2) The
pre- and post-test specifying percentage scores;
3) A copy
of the DUI risk education certificate of completion;
4) A copy
of the Notice of Involuntary Termination from DUI Risk Education form, as
applicable; and
5) A copy
of any written notification regarding a change in the risk level assignment and
recommended intervention.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.530 DESIGNATED PROGRAM
Section 2060.530
Designated Program
a) The
DHS/SUPR designated program license authorizes organizations to provide SUD
assessment and specialized case management services to Illinois courts for any
individual charged with or convicted of an eligible offense and who may elect
diversion to treatment, under the supervision of the designated program, as an
alternative to incarceration, or as a condition of release after incarceration,
pursuant to the specifications in Article 40 of the Substance Use Disorder
Act. The designated program shall provide the services specified in this
Section in a uniform manner to circuits of the Illinois courts throughout the State,
either directly or by subcontract or referral.
b) Staff
who provide designated program services shall meet at least one of the
professional staff requirements specified in Section 2060.320(a) or (b).
c) Organizations
authorized to provide designated program services shall establish policies and
procedures, and submit them at the time of application for licensure or anytime
thereafter if changes are made, that shall:
1) Identify
the proposed court or jurisdiction where designated program services will be
delivered;
2) Specify
how each service in this Section will be provided in relation to the operation
of the referring circuit court;
3) Include
a copy of any applicable court rules or procedures for the provision of the
service; and
4) Identify
how the designated program will adhere to these court rules and procedures.
d) Specialized
Case Management: The designated program shall have procedures for and deliver
specialized case management as follows:
1) Scheduling:
Manage scheduling so that designated program clients are given priority to
initiate services as close as possible to the date of referral;
2) Authorizations:
Obtain all authorizations for informed consent and release of any confidential
information in accordance with specifications in Sections 2060.350 and
2060.360;
3) Demographics:
Collect demographic data in accordance with the specifications in Section
2060.370(d)(10);
4) Assessment:
Conduct an assessment, in accordance with the specifications in Section
2060.435, to determine if the client is likely to be rehabilitated through SUD
treatment. The designated program shall ensure that the assessment:
A) Evaluates
the client's current severity of the disorder and comorbid conditions;
B) Identifies
any criminogenic needs that should be targeted in treatment;
C) Determines
if the client would benefit from additional social services or recovery
supports or has a current need for MAR; and
D) Recommends
the appropriate level of care for the client.
5) Recommendation:
Make a recommendation in a findings letter to the referring circuit court
regarding the result of the assessment and if the client is likely to benefit
from participation in SUD treatment. Such notification shall be made to the
probation office unless otherwise ordered by the court. Written notification
regarding the result of the assessment and its subsequent recommendation shall
also be given to the client.
6) Referral:
Make appropriate referral for SUD treatment, so that clients can begin such
services as soon as possible. In making such referral, the designated program
shall: disclose which referrals are self-referrals to the same organization
holding the designated program authorization, ensure that the client is given
other treatment options and make the client aware of their right to a choice of
services from any licensed organization.
7) Case
Planning: Identify case planning goals that link to any need identified in the
assessment and that include all referrals for treatment, other social services,
or recovery support, including housing, education, and employment.
8) Individual
and Group Monitoring: Identify all contacts scheduled with the client during
the period of time that the client is under the supervision of the designated
program. Ensure, through regular contact with the treatment organization, that
all individual and group services delivered by the designated program are not
duplicative of any treatment services that the client may also be
simultaneously receiving.
9) Service
Delivery: Provide individual and group services designed to engage, motivate,
or support the client's participation during their period of supervision under
the designated program. These services shall address needs identified in the
ASAM assessment related to other social determinants of health and encourage
the client's continued participation in any recommended treatment.
10) Tracking
and Measuring Compliance: Identify the methods that the designated program
will use to track and measure compliance, including a specification of the
criteria the client must meet to continue participation in the designated
program. The criteria shall also include the factors that would require
re-assessment or amended recommendations to the referring circuit court.
11) Recovery
Support: Identify any recovery support needs the client may have that will
assist in reducing barriers to accessing treatment or other needed services or
for participation in individual or group monitoring with the designated
program. Make referrals or arrangements for these supports as needed.
12) Communications:
At a minimum, monthly reports shall be sent to the referring circuit court
that indicate: the status of the client, progress made toward completion of
any designated program individual or group activities, information on admission
to treatment and progress in achieving treatment goals and objectives, and any
changes in status from the last report, including the date of last communication
with the client, if applicable.
13) Court
Appearances: Designated program staff shall be made available for all
requested court appearances including any status or violation hearing. All
such activity shall be documented in each client file, including any decisions
of the court and any subsequent required actions.
e) Documentation:
Client records shall be maintained, as specified in Section 2060.370. In
addition, each client record shall include:
1) All
informed consent and consent to release information forms;
2) A copy
of the assessment with recommended intervention;
3) Copies
of all correspondence;
4) The
service plan for the client, progress notes, and documentation of all
attendance;
5) Any
toxicology results;
6) Documentation
of status reports (written or verbal) from treatment organizations;
7) Documentation
of all designated program staff court appearances; and
8) Any
documents related to the client's discharge from designated program services.
f) Discharge:
The designated program shall establish procedures for discharge of the client
from all services. These procedures, at a minimum, shall:
1) Identify
the process for review of a client's progress in treatment to determine if a
change of status is justified;
2) Identify
the factors that determine successful or unsuccessful discharge;
3) Contain
the specific instances that would lead to discharge or a change in status;
4) Identify
the process for notification to the client and the referring circuit court when
there is a change in status or prior to and upon successful or unsuccessful
discharge; and
5) Identify
the procedure that will be used to ensure that written reports of successful
discharge are sent to the referring circuit court within 10 calendar days after
discharge and that reports of unsuccessful discharge are sent within three
calendar days after discharge.
 | TITLE 77: PUBLIC HEALTH
CHAPTER X: DEPARTMENT OF HUMAN SERVICES SUBCHAPTER d: LICENSURE
PART 2060
SUBSTANCE USE DISORDER TREATMENT AND INTERVENTION SERVICES
SECTION 2060.540 RECOVERY HOMES
Section 2060.540
Recovery Homes
a) Recovery homes are a service authorized by a DHS/SUPR
intervention license and provide housing for residents recovering from an SUD.
Services, in addition to housing, help to build upon the strengths and
strategies residents may have developed to survive in often inhospitable
environments with culturally dominant messages that often devalue them.
Recovery homes help to counter those experiences by providing relationships,
connections, and spaces where residents are treated with dignity, where the
resident's experience in the real world is witnessed, and where the resident's
strengths and needs are seen and valued. Recovery home staff assist with
access to other ancillary recovery support or skill building activities that
can help residents in obtaining or maintaining a lifestyle free of an SUD.
Structured operations are directed toward initiation or maintenance of recovery
for persons who exhibit treatment resistance, a potential for symptom
recurrence, or lack a suitable recovery living environment. Residents may also
have recently completed SUD treatment, may still be receiving outpatient
treatment, or may be participating in MAR.
b) Recovery
homes shall inform all residents of their recovery philosophy and any
subsequent residency requirements regarding abstinence, harm reduction, and
MAR.
c) Recovery homes
licensed by DHS/SUPR shall adhere to applicable requirements in Subparts A, B,
and C of this Part and meet the following criteria:
1) Ensure
that the licensed recovery home is listed on the DHS/SUPR Recovery Residence
Registry;
2) Provide
a homelike environment for congregate living;
3) Have a
procedure and documentation to ensure that all residents have a substance use
diagnosis and need assistance to strengthen or maintain recovery capital
relative to the SUD;
4) Have a
procedure and documentation to ensure that residents receiving recovery home
services are actively seeking assistance in obtaining and helping fellow
residents maintain an SUD recovery-oriented lifestyle and, ultimately,
permanent stable housing;
5) Offer
regularly-scheduled community gatherings and recovery education groups, led by
peers, held a minimum of five days per week with activities that include
self-help groups or other recovery activities designed to meet each resident's
specific social or cultural needs;
6) Ensure that
each resident has an individual recovery plan that contains measurable goals
and objectives that, at a minimum, identify steps to secure stable permanent
housing, needed support services and activities, and employment and vocational
skill building services. Each plan shall also address how it will help build
support within the recovery home for each resident and how treatment can be
accessed, if necessary;
7) Have an
established referral network for use by residents for any necessary medical,
mental health, SUD, vocational, or employment resources, including one referral
agreement, if applicable, with an organization that provides medication
assisted treatment;
8) Have a
policy and procedure to ensure prompt intervention and referral for necessary
medical or treatment services if a resident has a reoccurrence of SUD symptoms;
9) Have a
budget that specifies monthly operating expenses and that demonstrates
sufficient income to meet these expenses plus an emergency reserve of a minimum
sum equivalent to the total of two months of operating expenses; and
10) Have
written documentation of compliance with all applicable local zoning and
building ordinances and the applicable fire and life safety requirements
specified in Section 2060.310(a)(2).
d) Recovery
homes shall have at least one full-time recovery home operator who is
responsible for the daily operations at the recovery home and who meets the
credentialing requirements specified in Section 2060.320(a) or (i).
e) Recovery
homes shall have at least one recovery home manager on site who oversees all recovery
home activities under the direction of the recovery home operator. All recovery
home managers shall meet the credentialing requirements specified in Section
2060.320(a) or (i).
f) The recovery
home operator may also function as the recovery home manager, as long as the
requirements of both positions are met.
g) Recovery
homes may use residents for staff coverage if they meet the credential
specified in Section 2060.320(i), are compensated for their time through
payroll, rent subsidy, or both, and if such obligation does not interfere with
the ability of the resident to secure full-time employment.
h) Recovery
homes shall conduct a background check to ensure that no staff or resident is
on the National Sex Offender Registry at https://www.nsopw.gov/ if children or
adolescents are living in or receiving services.
i) Recovery
homes shall make every effort to ensure that residents have permanent stable
housing upon discharge. These efforts include, but are not limited to,
agreements or ongoing active contact with local recovery support and housing
organizations.
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