PURPOSE: This rule describes requirements for the delivery and documentation of services in Opioid Treatment Programs, Substance Use Disorder Treatment Programs, Comprehensive Substance Treatment and Rehabilitation Programs (CSTAR), Gambling Disorder Treatment Programs, Institutional Treatment Centers, Community Psychiatric Rehabilitation Programs (CPRP), and Outpatient Mental Health Treatment Programs.

1. (1) Screening. The organization shall implement written policies and procedures to ensure individuals seeking assistance via telephone, face-to-face contact, or by referral have prompt access to a screening to determine the need for further clinical assessment. The screening process is welcoming, conducted in a safe, culturally, and linguistically appropriate manner, and conveys a hopeful message to individuals and their families/natural supports.

   1. (A) At the individual’s first contact with the organization (whether by telephone or face-to-face) emergency, urgent, or routine service needs shall be identified and addressed as follows:

      1. 1. Emergency service needs are indicat-

ed when a person presents a likelihood of immediate harm to self or others. Qualified staff must address emergency needs immediately.

1. 2. An urgent need is one that, if not

addressed immediately, could result in the individual becoming a danger to self or others, or could cause a health risk. Appropriately qualified staff shall address urgent service needs within one (1) business day of the time the request was made.

1. 3. Routine service needs are indicated

when a person requests services or follow-up, but otherwise presents no significant impairment in the ability to care for self and no apparent harm to self or others. Routine service needs shall be addressed within ten (10) days.

1. (B) Documentation of the screening shall include, but is not limited to—

   1. 1. A brief interview with the individual

or referral source to obtain basic information and presenting situation and symptoms;

1. 2. Collection of basic demographic

information;

1. 3. Identification of requested service

needs;

1. 4. Determination of the organization’s

ability to provide the requested services; and

1. 5. Referral and coordination with alter-

nate resources when the individual’s service needs cannot be met by the screening agency.

1. (C) The organization’s quality assurance processes shall ensure trained staff uniformly administer its designated screening instrument(s). Each screening shall be signed and documented by staff.

1. (2) Admission Assessment. The organization shall implement written policies and procedures to ensure all individuals participate in an admission assessment to determine service needs. Programs should only admit individuals who will benefit from available services. Comprehensive Substance Treatment and Rehabilitation (CSTAR) programs must comply with assessment requirements specified in 9 CSR 30-3.100 and fulfill department contract requirements. Community Psychiatric Rehabilitation (CPR) programs must comply with assessment requirements specified in 9 CSR 30-4.035 and fulfill contract requirements.

   1. (A) Documentation of the admission assessment shall include, but is not limited to—

      1. 1. Personal and identifying information;
      2. 2. Presenting problem and referral

source;

1. 3. Status as a current or former member

of the U.S. Armed Forces;

1. 4. Brief history of previous substance

use and/or psychiatric treatment including type of admission(s);

1. 5. Family history of substance use dis-

orders and/or mental illness;

1. 6. History of trauma, current trauma-

related symptoms, and/or concerns for personal safety;

1. 7. Current medications and any known

allergies or allergic reactions;

1. 8. Current substance use including uti-

lization of a standardized and validated alcohol and substance-use screening instrument;

1. 9. Current mental health symptoms

including utilization of standardized and validated depression and suicide screening instruments;

1. 10. Physical health concerns including a

health screening, previously identified medical diagnoses, and identification of unmet needs with specific recommendations for further evaluation, treatment, and referral;

1. 11. Diagnosis by a licensed diagnosti-

cian, including substance use and mental health;

1. 12. Family, social, legal, and vocation-

al/educational status and functioning;

1. 13. Statement of needs, goals, prefer-

ences, and treatment expectations; and

1. 14. Signature, title, and credential(s) of

staff completing the assessment.

1. (B) The admission assessment shall be completed within seventy-two (72) hours for individuals receiving residential support or within the first three (3) outpatient visits.

1. (3) Crisis Prevention Plan. If a potential risk for suicide, violence, or other at-risk behavior is identified during the assessment process or any time during the individual’s engagement in services, a crisis prevention plan shall be developed with the individual as soon as possible.

   1. (A) At a minimum, the crisis prevention plan shall include factors that may precipitate a crisis, and skills and strengths identified by the individual to regain a sense of control and return to his/her level of functioning before the crisis or emergency.
   2. (B) Staff shall conduct a monthly case review of all critical interventions that occurred during the previous month and incorporate the results into the organization’s performance improvement processes. 9 CSR 10-7

2. (4) Individual Treatment Plan. Each individual and/or their parent or guardian shall participate in the development of a treatment plan using information from the assessment process. The individual and/or parent/guardian shall receive a copy of the plan.

   1. (A) The treatment plan shall include, but is not limited to—

      1. 1. Identifying information;

      2. 2. Objectives that—

         1. A. Are reflective of the individual’s

culture and ethnicity;

1. B. Are linked to the individual’s

assessed needs and goals;

1. C. Are achievable, measurable, time

specific, strengthsand skills-based;

1. D. Identify supports and resources

needed to meet objectives; and

1. E. Are understandable, developmen-

tally appropriate, and responsive to the disability/disorder or concerns of the individual.

1. 3. Duration and frequency of interven-

tions, staff responsible for intervention, and action steps of the individual and his/her parents/guardians, family or other natural supports;

1. 4. Other community resources and/or

peer and recovery supports necessary; and

1. 5. Signature, title, and credential(s) of

the service provider(s) completing the plan and signature of the individual and/or parents/legal guardians, as applicable. For situations when the individual does not sign the treatment plan, such as refusal, a brief explanation must be documented.

1. (B) Treatment plans shall be approved by a licensed mental health professional.

1. (5) Treatment Plan Updates. Progress toward treatment goals and objectives shall be reviewed and updated on a periodic basis with active involvement of the individual served, parent/guardian, and family members/natural supports as applicable and appropriate.

   1. (A) At a minimum, treatment plans shall be reviewed every ninety (90) days. The occurrence of a crisis or significant clinical event may require further review and modification of the treatment plan.

2. (6) Ongoing Service Delivery. The individual treatment plan guides ongoing service delivery. Services may begin before the assessment is completed and the treatment plan is fully developed.

   1. (A) Staff with appropriate training, licenses, and credentials shall provide identified services and supports.

   2. (B) Services shall be provided in accordance with applicable eligibility criteria. Decisions regarding the treatment setting, intensity, and duration of services are based on the needs of the individual including, but not limited to:

      1. 1. Need for personal safety and protec-

tion from harm;

1. 2. Severity of the behavioral health dis-

order;

1. 3. Emotional and behavioral functioning

and need for structure;

1. 4. Social, family, and community func-

tioning;

1. 5. Readiness to change;
2. 6. Availability of peer and social sup-

ports for recovery/resiliency;

1. 7. Ability to avoid high risk behaviors;

and

1. 8. Ability to cooperate with and benefit

from the services offered.

1. (C) Services shall be developmentally appropriate and responsive to the individual’s social/cultural situation and any linguistic/communication needs.
2. (D) Coordination of care is demonstrated when services and supports are being provided by multiple agencies or programs.
3. (E) To the fullest extent possible, individuals are responsible for action steps to achieve their goals. Services and supports provided by staff should be readily available to help individuals achieve their goals and objectives.

1. (7) Missed Appointments. Organizations shall implement written policies and procedures to contact individuals who miss a scheduled program activity or appointment consistent with their service needs.

   1. (A) Such efforts shall be initiated within forty-eight (48) hours unless circumstances indicate an immediate contact should be made due to the individual’s symptoms and functioning or the nature of the scheduled service.
   2. (B) Efforts to contact the individual shall be documented.

2. (8) Continuing Recovery Plan. The organization shall implement written policies and procedures for developing continuing recovery plans and discharge plans for individuals served.

   1. (A) Continuing recovery planning begins at admission or as soon as clinically appropriate.

      1. 1. Individuals are actively involved in

the development of their continuing recovery plan. Family members/natural supports, program staff, referral source(s), and staff or peers involved in follow-up services and supports in the community are included when applicable and permitted.

1. 2. The plan shall be signed by the staff

person who completes it. The individual served and/or parents/legal guardians, family members, or other natural supports shall receive a copy of the plan as appropriate.

1. 3. The plan identifies services and sup-

ports, designated provider(s), and other planned activities designed to promote further recovery/resiliency. The plan shall include, but is not limited to—

1. A. Date of next appointment(s) for

follow-up services or other supports;

1. B. Action steps to access personal

support system(s) or other resources to assist in community integration and obtain help if symptoms recur and additional services/supports are needed;

1. C. Safe use of medication(s) as pre-

scribed;

1. D. Referral information such as con-

tact name, telephone number, locations, hours, and days of services, when applicable; and

1. E. Action steps for maintaining a

healthy lifestyle such as exercising, volunteering, participating in spiritual support groups, and managing personal finances.

1. (B) A written discharge summary shall be completed to ensure the individual record includes documented treatment episode(s) and the outcome of each episode, including but not limited to:

   1. 1. Date of admission and discharge;
   2. 2. Identified needs at intake;
   3. 3. Referral source as applicable;
   4. 4. Services provided and the extent to

which established goals and objectives were achieved;

1. 5. Reason(s) for or type of discharge;
2. 6. Diagnosis or diagnostic impression at

last contact;

1. 7. Recommendations for continued ser-

vices and supports;

1. 8. Information on medication(s) pre-

scribed or administered, as applicable; and

1. 9. Signature of staff completing the

plan.

1. (C) Follow-up with individuals who have an unplanned discharge shall be conducted in accordance with the organization’s written policies and procedures which include, but are not limited to:

   1. 1. Clarifying the reason for the

unplanned discharge;

1. 2. Determining if further services are

needed; and

1. 3. Referring the individual to other nec-

essary services, if applicable.

1. (D) The organization shall implement written policies and procedures to ensure a seamless transition for individuals who transfer to more or less intensive services, to another component of care, or are being discharged from the program.

1. (9) Crisis Assistance and Intervention. Ready access to crisis assistance and intervention shall be available to all individuals served, when needed.

   1. (A) The organization shall directly provide or arrange for crisis assistance to be available twenty-four (24) hours per day, seven (7) days per week. Services shall be provided by qualified staff in accordance with applicable program rules, and include face-to-face intervention when clinically indicated.
   2. (B) If the organization utilizes the services of the designated Access Crisis Intervention

2. (ACI) provider for the region, a formal written agreement, memorandum of understanding, or contractual relationship shall be established and documented to support coordination of services and sharing of information to meet individual needs.

   1. (C) If crisis services are provided within the organization, there shall be more than one staff person designated to ensure coverage during leaves of absence.

3. (10) Effective Practices. The organization shall incorporate evidence-based and promising practices into its service array that are designed to—

   1. (A) Support the recovery, resiliency, health, and wellness of the individuals and families/natural supports served;
   2. (B) Enhance the quality of life for individuals and families/natural supports served;
   3. (C) Reduce symptoms or needs and build resilience;
   4. (D) Restore and/or improve functioning; and
   5. (E) Support the integration of individuals into the community.
4. (11) Clinical Review. Services funded by the department are subject to clinical review by department staff to ensure they are necessary, appropriate, likely to benefit the individual, and provided in accordance with admission criteria and service definitions. The department has authority in all matters subject to clinical review including eligibility, service definition, authorization, and limitations.
5. (12) Designated or Required Instruments. In order to promote consistency in clinical practice, eligibility determination, service documentation, and outcome measurement, the department may require the use of designated instruments in the screening, assessment, and treatment process. The required use of particular instruments is applicable to services funded by the department.

6. (13) Organized Record System and Documentation Requirements. The organization must maintain an organized clinical record system that ensures easily retrievable, complete, and usable records stored in a secure and confidential manner.

   1. (A) The organization shall implement written policies and procedures to ensure—

      1. 1. All local, state, and federal laws and

regulations related to the confidentiality of records and release of information are followed;

1. 2. Electronic health record systems con-

form to federal and state regulations;

1. 3. Individual records are retained for at

least six (6) years or until all litigation, adverse audit findings, or both, are resolved;

1. 4. Ready access to paper or electronic

records requested by authorized staff and/or other authorized parties, including department staff; and

1. 5. All services provided are adequately

documented in the individual record to ensure the type(s) of services rendered and the amount of reimbursement received by the organization can be readily discerned and verified with reasonable certainty.

1. A. Adequate individual records are of

the type and in a form such that symptoms, conditions, diagnoses, treatments, prognosis, and the identity of the individual to which these things relate can be readily discerned and verified with reasonable certainty. All documentation must be available at the site where the service was rendered. The record must be legible and made contemporaneously with the delivery of the service (at the time the service was performed or within five (5) business days of the time it was provided), address the individual’s specifics including, at a minimum, individualized statements that support the assessment or treatment encounter.

1. (B) Unless specified otherwise by another payer source(s), all treatment sessions must have accompanying documentation that includes the following:

   1. 1. First name, last name, and middle ini-

tial or date of birth of the individual and any other identifying information required by a payer source, such as a Document Control Number (DCN);

1. 2. Accurate, complete, and legible

description of each service provided;

1. 3. Name, title, and signature of the

provider/staff delivering the service;

1. 4. Name of referring entity, when appli-

cable;

1. 5. Date of service (month/day/year);
2. 6. Actual begin and end time taken to

deliver a service;

1. 7. Setting in which the service was pro-

vided;

1. 8. Plan of treatment, evaluation(s),

test(s), findings, results, and prescription(s), as necessary;

1. 9. Need for the services(s) in relation-

ship to the individual treatment plan;

1. 10. Individual’s progress toward the

goals stated in the individual treatment plan; and

1. 11. For applicable programs, adequate

invoices, trip tickets/reports, activity log sheets.

1. (C) The content of the individual record must include, but is not limited to—

   1. 1. Signed consent to treatment;
   2. 2. Acknowledgement of orientation to

the program;

1. 3. Screening, assessment, treatment

plan, and related reviews/updates;

1. 4. Service delivery and progress notes;
2. 5. Continuing recovery and discharge

plan(s), as applicable.

1. 6. Documentation of any referral(s) to

other services or community resources and outcome of those referrals;

1. 7. Signed authorization(s) to release con-

fidential information, as applicable;

1. 8. Missed appointments and efforts to

reengage the individual, as applicable;

1. 9. Urine drug screening(s) or other lab

reports, as applicable;

1. 10. Crisis or other significant clinical

events; and

1. 11. Follow up for an unplanned dis-

charge, as applicable.

1. (14) The organization is subject to recoupment of all or part of reimbursement from the department if individual records do not document—

   1. (A) The service was actually provided;
   2. (B) The service was delivered by a qualified staff person;
   3. (C) The service meets the service definition;
   4. (D) The amount, duration, and length of service; and
   5. (E) The service was delivered under the direction of a current treatment plan.

AUTHORITY: sections 630.050 and 630.055, RSMo 2016.* Original rule filed Feb. 28, 2001, effective Oct. 30, 2001. Amended: Filed Dec. 12, 2001, effective June 30, 2002. Amended: Filed Nov. 5, 2018, effective June 30, 2019. ** *Original authority: 630.050, RSMo 1980, amended 1993, 1995, 2008 and 630.055, RSMo 1980. **Pursuant to Executive Orders 20-04, 20-10, and 20-12, 9 CSR 10- 7.030, subsection (2)(B) and paragraph (4)(A)5. was suspended from April 23, 2020 through December 30, 2020.