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3. DUI Programs Deficiency Report Card for Fiscal Year 2007/2008 Total Number of Programs Reviewed During Fiscal Year 07/08: Total Number of Deficiencies Cited During Fiscal Year 07/08: Most Deficiencies Cited at One Program: PROGRAM STATISTICS A:95 A:703 A:29

4. DUI Programs Deficiency Report Card for Fiscal Year 2007/2008 Least Number of Deficiencies Cited at One Program: Average Number of Deficiencies per Program: PROGRAM STATISTICS A:0 A:7

5. DUI Program Enrollments Fiscal Year 2007/2008 Total Enrollments = 150,602

6. DUI Program Enrollments Three Year History Of DUI Program Enrollments FY 2005/2006 to 2007/2008

8. Title 9, California Code of Regulations Section 9849(a), Assessment of Participant’s Alcohol or Drug Problem (a) “Within the first 60 days of participation, the program shall complete an assessment of each participant’s alcohol or drug problem.” FY 2007/2008 Top 10 Deficiencies 10 -THREE-WAY TIE Reasons for Citation: Not having the participant complete an assessment within 60 days The assessment not dated

9. (g) Except as noted in (1) and (2) below, the group counseling sessions shall be limited to 15 persons, including participants, family members, and friends of participants. (1)On an emergency basis, as defined in (2) below, 17 participants may be included in group counseling sessions. The program shall not include more than 17 participants per group counseling sessions for any reason. (2) As used in this Subsection, “emergency” means a sudden unexpected occurrence or set of circumstances which could not have been avoided, prevented, or planned for by either the program or the participant.” FY 2007/2008 Top 10 Deficiencies 10 -THREE-WAY TIE Title 9, California Code of Regulations Section 9854(g), Group Counseling Sessions

10. (3) Whenever a participant is added to a group counseling session on an emergency basis, the program shall document the nature of the emergency in the participant’s case record and on the sign-in roster.” FY 2007/2008 Top 10 Deficiencies 10 -THREE-WAY TIE Reasons for Citation: Over 15 participants allowed into a group counseling session without documentation of an emergency. A counselor calling in sick does not constitute an emergency. The program must find a substitute counselor, reschedule the group, or allow participants to attend another group, as long as class size does not exceed 15.

11. Title 9, California Code of Regulations Section 9879(i)(1), Financial Assessment to Determine Participant’s Ability to Pay Program Fees (i) “If the participant is 15 or more days delinquent in payment of program fees approved by the Department, the program may suspend education and group counseling sessions for 15 days as shown below: (1) At least 10 days prior to the period of suspension, the program shall provide the participant with a delinquency notice that contains the following information: (A) The amount of program fees currently past due; FY 2007/2008 Top 10 Deficiencies 10 -THREE-WAY TIE

12. (B) A statement that failure to pay the delinquent amount will result in suspension of education and group services. (C) A statement that failure to pay the delinquent amount by the end of the suspension period may result in an additional 30 day suspension or dismissal from the program. (D) The procedure for disputing the accuracy of the delinquency. (E) A statement notifying the participant of his/her right to request a financial assessment as specified in (h) of this section. FY 2007/2008 Top 10 Deficiencies 10 -THREE-WAY TIE

13. FY 2007/2008 Top 10 Deficiencies Reasons for Citation: Delinquency notice does not contain all the information listed in (A) through (F). Program fails to issue a delinquency notice to participant prior to dismissal. Error in issuing delinquency notice (i.e., notice does not give adequate notice to participant prior to suspension). 10 -THREE-WAY TIE (F) A statement that failure to schedule and appear for a financial assessment may result in dismissal from the program.

14. Title 9, California Code of Regulations Section 9848(g), Participant Enrollment (g) “The licensee shall provide the contract, fee agreement, and all other documents that require participant signature in all languages in which the licensee provides services. FY 2007/2008 Top 10 Deficiencies 9 - THREE-WAY TIE Reasons for Citation: Programs need to ensure that they provide all documents which requires participant signature (contract, fee agreements, confidentiality form, etc.) in all the languages in which they provide services. Spanish-speaking (or any other foreign language) participants should not be signing English documents.

15. FY 2007/2008 Top 10 Deficiencies Title 9, California Code of Regulations Section 9867(g)(1), Notice of Completion (g) “Within ten days after the date that a participant completes all program services and has paid his/her assessed program fee and any additional fees, the licensee shall: (1) Issue the original copy of the Notice of Completion in the name of the participant and immediately mail it to the Department of Motor Vehicles pursuant to Section 120.00 of Title 13. 9 - THREE-WAY TIE Reasons for Citation: Programs are not issuing the Completion Certificate within 10 days of program completion. This includes electronic submissions as well.

16. Title 9, California Code of Regulations Section 9878(j), Participant Fees (j) “The program shall refund to the participant any program fee paid in advance for the services the participant did not receive. Refunds to participants who have been dismissed from the program shall be issued within ninety days from the date of dismissal. In calculating the amount to be refunded to the participant, the program shall use the program fee per unit of service approved pursuant to this regulation. FY 2007/2008 Top 10 Deficiencies Reason for Citation: Programs aren’t issuing refunds within 90 days. Programs are incorrectly calculating refunds or failing to do a refund calculation. 9 - THREE-WAY TIE

17. Title 9, California Code of Regulations Section 9848(i), Participant Enrollment (i) “At the time the participant enrolls, the licensee shall give the participant a written list of the date, time, and location of program activities the participant is scheduled to attend. The licensee shall begin providing services (i.e., face-to-face interviews, educational sessions, and group counseling sessions) within 21 days of the date that it enrolls a participant.” FY 2007/2008 Top 10 Deficiencies Reasons for Citation: Participants are not starting program activities within the 21 day period. Program is not scheduling face-to-face interviews. “Floating” schedules or “Drop-In” interviews are not permitted. 8

18. Title 9, California Code of Regulations Section 9858(f)(1), Face-to-Face Interviews (f)“The interviewer shall document the following information in each participant’s record: (1) The date, time, and length of each face-to- face interview.” FY 2007/2008 Top 10 Deficiencies Reasons for Citation: Not documenting or forgetting to document the date, time and length of each face-to-face. 7

19. Title 9, California Code of Regulations Section 9867(j), Notice of Completion (j) “The licensee shall issue Notices of Completion only for participants who have completed all program requirements, including payment in full of program fees, contained in Article 1 (commencing with Section 9848), Subchapter 3 of this Chapter.” FY 2007/2008 Top 10 Deficiencies Reasons for Citation: Participant did not sign all rosters – could not verify that the participant completed all required program activities prior to “completion.” Inconsistent information in the case record (i.e., counselor documented participation in the case record, but attendance sheet and roster states that the participant was absent on this date. Participant received a completion certificate without having to attend all program requirements as specified in the contract. 6

20. Title 9, California Code of Regulations Section 9848(f)(2)(B), Participant Enrollment (f) “The licensee shall enroll a participant by completing: (2) A participant contract, which shall list the services to be provided, program fees, payment schedule, attendance requirements and reasons for dismissal from the program, as stated in Section 9886.” (B) The intake interviewer and the participant shall sign the contract. FY 2007/2008 Top 10 Deficiencies 5 Reasons for Citation: Either the intake interviewer or the participant did not sign the contract.

21. Title 9, California Code of Regulations Section 9858(f)(2), Face-to-Face Interviews (f)“The interviewer shall document the following information in each participant’s record: (2)The counselor’s assessment of the participant’s progress regarding participation in program activities and any increased awareness in understanding his/her alcohol and/or drug related problems. For licensees that require participants to document their own progress at the end of group sessions, the licensee shall insure that program staff review and provide feedback to the participant. FY 2007/2008 Top 10 Deficiencies 4 Reasons for Citation: No documentation in case notes. Documentation must be the counselor’s written account of his/her perception of the participant’s progress. Check boxes are not acceptable. Forgetting to document the face-to-face session prior to completion.

22. FY 2007/2008 Top 10 Deficiencies Title 9, California Code of Regulations Section 9854(j), Group Counseling Sessions (j)“The licensee shall document attendance and participation at group counseling sessions in each participant record. 3 Reasons for Citation: Not documenting participation for each group counseling session. Not “circling” the participation level (when using a form with pre-printed participation levels).

23. Title 9, California Code of Regulations Section 9886(a)(5), Dismissal of Participants (a)“The DUI program shall dismiss from the program any participant who: (5)Fails to obtain a leave of absence, in accordance with Section 9876.5, when the participant is unable to attend any scheduled program services for 21 days or longer.” FY 2007/2008 Top 10 Deficiencies Reasons for Citation: Participant does not attended program services for 21 days or longer and was not on a leave of absence or suspended from the program for fees. “21 days” does not apply during the re-entry portion of the 18-month program or while the participant is on suspension. For participants who are transferring out, the participant has 21 days from the date the participant is transferred out to enroll into the receiving program. 2

24. FY 2007/2008 Top 10 Deficiencies 1 Title 9, California Code of Regulations Section 9848(f)(2), Participant Enrollment (f)“The licensee shall enroll a participant by completing: (2) A participant contract, which shall list the services to be provided, program fees, payment schedule, attendance requirements, and reasons for dismissal from the program, as stated in Section 9886.” Reasons for Citation: No contract in file. Participant did not sign a (reinstatement) contract upon re-enrollment. Remaining program services and fees were not amended to reflect actual number of program hours and fees due at time of re-enrollment.