2002-139RESOLUTION NO. 2002R-139
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
ANAHEIM ADOPTING THE ORANGE COUNTY ADULT
ALCOHOL AND DRUG SOBER LIVING FACILITIES
CERTIFICATION GUIDELINES.
WHEREAS, in 2000, the Orange County Board of Supervisors
directed the Orange County Sheriff-Coroner Department to form a
committee that included the Orange County Probation Department, the
District Attorney, the Public Defender, the Orange County Health
Care Agency, the State Parole Board, the Courts, representatives of
Orange County cities, and a wide spectrum of community providers,
in order to develop a process for certifying and monitoring adult
residential drug and alcohol facilities throughout the County of
Orange; and
WHEREAS, the Sober Living Coalition and the Orange
County Addiction Treatment Provider Association later added
representatives to the committee, and a community representative
was designated by the Board of Supervisors in August 2001; and
WHEREAS, as a result of this collaborative effort, the
Orange County Board of Supervisors adopted the Orange County
Adult Alcohol and Drug Sober Living Facilities Certification
Guidelines ("the Guidelines") by Resolution No. 01-421 on
December 11, 2001, and amended Division 6, Article 1 of Title V,
Sections 5-6-1 to 5-6-4 authorizing voluntary certification of
sober living facilities by Ordinance No. 01-017 ("the Amended
Ordinance"), on December 18, 2001; and
WHEREAS, the Amended Ordinance and the Guidelines will
promote the welfare of City and County residents by establishing a
voluntary Countywide program enabling the County to monitor sober
living facilities to which County personnel refer persons
recovering from alcohol or drug abuse or addition; and
WHEREAS, the sober living facilities covered by the
Amended Ordinance and Guidelines are facilities that are not
licensed by the State and which offer alcohol and drug-free
residences for unrelated adults who are recovering from alcohol or
drug additions, but that do not offer drug or alcohol treatment
services on site; and
WHEREAS, the Guidelines provide that reviews of sober
living facilities' compliance with Section 200 of the Guidelines,
which relates to zoning compliance and to basic safety, privacy and
sanitary features of facilities' physical plants, furnishings and
fixtures, may be completed by the local jurisdiction, or, upon
request of the local jurisdiction, by County of Orange personnel;
and
WHEREAS, it is appropriate that City personnel complete
such reviews for sober living facilities located within the City of
Anaheim that apply for certification.
NOW THEREFORE, BE IT RESOLVED by the City Council of the
City of Anaheim as follows:
1. The Guidelines, attached hereto as Exhibit "A",
are hereby approved and adopted.
2. The Planning Department Code Enforcement
Division is hereby directed to perform timely Section
200 reviews in accordance with the Guidelines, at the
request of sober living facilities located within the
City.
3. The Planning Department Code Enforcement
Division, when requested by the Orange County
Sheriff/Certification Coordinator, is hereby directed to
perform additional inspections of sober living
facilities located within City limits, for the purposes
of monitoring, investigating complaints, and verifying
correction of deficiencies, as provided in the
Guidelines.
Notwithstanding the foregoing, nothing herein shall
impact the authority and ability of the City of Anaheim to inspect
facilities within its jurisdiction to enforce applicable laws.
THE FOREGOING RESOLUTION is approved and adopted by the
City Council of the City of Anaheim this llth day of June ,
2002.
ATTEST:
~AHEIM
CItY CLER~ OF
43290.2\smann
ORANGE COUNTY
ADULT ALCOHOL AND DRUG SOBER LIVING
FACILITIES CERTIFICATION
GUIDELINES
CHAPTER 1:
ARTICLE 1:
Section 100
Section 101
Section 102
ARTICLE 2:
Section 103
Section 104
ARTICLE 3:
Section 105
Section 106
Section 107
CHAPTER 2:
ARTICLE 1:
Section 108
Section 109
Section 110
ARTICLE 2:
Section 111
Section 112
Section 113
Section 114
Section 115
Section 116
TABLE OF CONTENTS
PAGE NO.
INTRODUCTORY PROVISIONS ....................................................... 1
HISTORY AND PURPOSES OF CERTIFICATION PROGRAM ......... 1
Historical Perspective ............................................................................... 1
Purpose ...................................................................................................... 1
Reserved .................................................................................................... 2
DEFINITIONS .......................................................................................... 2
Definitions ................................................................................................. 2
Reserved .................................................................................................... 5
AUTHORITY FOR AND EFFECT OF CERTIFICATION .................... 5
Voluntary Certification ............................................................................. 5
Effect of Certification ............................................................................... 5
Reserved .................................................................................................... 6
OBTAINING CERTIFICATION .......................................................... 6
ELIGIBLE APPLICANTS ....................................................................... 6
Type of Facilities Eligible for Certification .............................................. 6
Who May Apply for Certification? ........................................................... 6
Reserved .................................................................................................... 6
APPLICATION PROCESS ...................................................................... 6
How to Obtain Application and Information ............................................ 6
Documentation to Be Submitted with Application ................................... 7
Certification Coordinator Review of Application ..................................... 9
Withdrawal of Application ..................................................................... 10
Pending Certification .............................................................................. 10
Reserved .................................................................................................. 11
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ExhiDit A
ARTICLE 3:
Section 117
Section 118
Section 119
Section 120
ARTICLE 4:
Section 121
Section 122
ARTICLE 5:
Section 123
Section 124
Section 125
ARTICLE 6:
Section 126
Section 127
CHAPTER 3:
ARTICLE 1:
Section 128
Section 129
ARTICLE 2:
Section 130
Section 131
CHAPTER 4:
ARTICLE 1:
Section 132
TABLE OF CONTENTS
PAGE NO.
CERTIFICATE OF COMPLIANCE/
PERIOD OF CERTIFICATION ............................................................. 11
Requirement to Post Certificate of Compliance ..................................... 11
Period of Certification ............................................................................ 11
Automatic Termination of Certification during One-Year
Certification Period ................................................................................. 11
Reserved .................................................................................................. 12
RENEWAL OF CERTIFICATION ........................................................ 12
Renewal of Certification ......................................................................... 12
Reserved .................................................................................................. 12
DENIAL OF CERTIFICATION ............................................................ 12
Grounds for Denial of Certification ........................................................ 12
Facility Notice and Advisement of Right to Reconsideration ................ 13
Reserved .................................................................................................. 13
RECONSIDERATION ........................................................................... 13
Procedure for Reconsideration ................................................................ 13
Reserved .................................................................................................. 14
GENERAL CERTIFICATION REQUIREMENTS ......................... 14
GENERAL REQUIREMENTS .............................................................. 14
General Requirements ............................................................................. 14
Reserved .................................................................................................. 14
CONTRACTUAL REQUIREMENTS ................................................... 14
Greater or Conflicting Contract Requirements ....................................... 14
Reserved .................................................................................................. 14
STAFF REQUIREMENTS .................................................................. 14
STAFF APPLICATION DATA ............................................................. 14
Staff Information to Be Provided with Application ................................ 14
ii.
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Section 133
Section 134
Section 135
Section 136
ARTICLE 2:
Section 137
Section 138
Section 139
Section 140
Section 141
Section 142
Section 143
Section 144
ARTICLE 3:
Section 145
Section 146
Section 147
Section 148
ARTICLE 4:
Section 149
Section 150
Section 151
Section 152
CHAPTER 5:
ARTICLE 1'
Section 153
Section 154
ARTICLE 2:
TABLE OF CONTENTS
PAGE NO.
Staff Required to Submit to Background Check .................................... 15
Falsifying Information ............................................................................ 15
County Authority to Conduct Staff Background Check ......................... 16
Reserved .................................................................................................. 16
STAFF QUALIFICATIONS AND DUTIES .........................................16
Prior Employment History of Improper Conduct ................................... 16
Paid Staff- Qualifications ...................................................................... 17
Director-Duties and Qualifications ......................................................... 17
House Manager-Duties and Qualifications ............................................. 18
Peer Coordinator -Duties and
Qualifications .......................................................................................... 19
Subsequent Criminal Activity or
Convictions of Disqualifying Offenses ................................................... 20
Reserved .................................................................................................. 21
Reserved .................................................................................................. 21
NEW STAFF DURING CERTIFICATION PERIOD ........................... 21
Qualifications of Staff Added After Certification .................................. 21
Replacement of Director and House Manager ........................................ 21
Appointment of Acting Director or House Manager .............................. 21
Reserved .................................................................................................. 22
DENIAL OF CERTIFICATION DUE TO STAFF ................................ 22
Denial of Certification Due to Lack of Staff Qualifications ................... 22
Staff Notice and Advisement of Right to Reconsideration ..................... 22
Staff Procedure for Reconsideration ....................................................... 23
Reserved .................................................................................................. 23
ADMISSION AND INTAKE REQUIREMENTS ............................. 23
ADMISSION .......................................................................................... 23
Resident Selection Criteria ..................................................................... 23
Reserved .................................................................................................. 24
INTAKE .................................................................................................. 25
111.
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Section 155
Section 156
CHAPTER 6:
ARTICLE 1:
Section 157
Section 158
Section 159
ARTICLE 2:
Section 160
Section 161
Section 162
Section 163
Section 164
ARTICLE 3:
Section 165
Section 166
Section 167
Section 168
Section 169
ARTICLE 4:
Section 170
Section 171
Section 172
Section 173
Section 174
Section 175
ARTICLE 5:
Section 176
Section 177
Section 178
TABLE OF CONTENTS
PAGE NO.
Intake Procedures .................................................................................... 25
Reserved .................................................................................................. 25
PROGRAM REQUIREMENTS ......................................................... 25
POLICIES AND PROCEDURES MANUAL ........................................ 25
Policy and Procedures Manual ............................................................... 25
Contents of Policy and Procedures Manual ............................................ 26
Reserved .................................................................................................. 27
RESIDENTS' ACTIVITIES ................................................................... 28
Staff Presence and Availability ............................................................... 28
Criminal Activity .................................................................................... 28
Residents' Court Orders and Treatment Plans ........................................ 28
Participation in Recovery Activities ....................................................... 28
Reserved .................................................................................................. 28
ALCOHOL/DRUGS/SMOKING ......................................................... 29
Drag and Alcohol Testing/Relapse Policies .......................................... 29
Prohibition against Alcohol and Non-Prescribed Drags ......................... 29
Prescription Drag Policy ......................................................................... 29
Smoking Policy ....................................................................................... 30
Reserved .................................................................................................. 30
REPORTS ............................................................................................... 30
Accurate Progress Reports ...................................................................... 30
False Reports ........................................................................................... 30
Approval of Progress Reports ................................................................. 30
Notification of Resident's Departure ...................................................... 30
Reports to Certification Coordinator ...................................................... 30
Reserved .................................................................................................. 31
INTERACTION OF RESIDENTS ......................................................... 32
Single Gender Facilities .......................................................................... 32
Co-ed Facilities ....................................................................................... 32
Reserved .................................................................................................. 32
iv.
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ARTICLE 6:
Section 179
Section 180
Section 181
ARTICLE 7:
Section 182
Section 183
Section 184
Section 185
Section 186
ARTICLE 8:
Section 187
Section 188
Section 189
Section 190
Section 191
ARTICLE 9:
Section 192
Section 193
Section 194
ARTICLE 10:
Section 195
Section 196
ARTICLE 11'
Section 197
Section 198
Section 199
TABLE OF CONTENTS
PAGE NO.
VISITORS .............................................................................................. 33
Access to Facility by Unauthorized Persons ........................................... 33
Visitation Policy ..................................................................................... 33
Reserved .................................................................................................. 33
LEAVING THE FACILITY ................................................................... 33
Resident Sign In/Out Log and Schedule ................................................. 33
Master Log for Multiple Facilities .......................................................... 34
Curfew .................................................................................................... 34
Overnight Passes ..................................................................................... 34
Reserved .................................................................................................. 35
FEES ....................................................................................................... 35
Fee Schedule ........................................................................................... 35
Delinquent Payments and Payment Plans ............................................... 35
Advance Payment of Fees and Repayment of Fees ................................ 35
Receipt for Fees ...................................................................................... 35
Reserved .................................................................................................. 35
RESIDENTS' FUNDS ........................................................................... 36
Co-mingling Funds ................................................................................. 36
General Assistance .................................................................................. 36
Reserved .................................................................................................. 36
FOOD SERVICE .................................................................................... 36
Food Service ........................................................................................... 36
Reserved .................................................................................................. 36
RESIDENTS' FILES .............................................................................. 36
Maintenance of Residents' Files ............................................................. 36
Contents of Individual Residents' Files .................................................. 37
Reserved .................................................................................................. 38
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CItAPTER 7:
ARTICLE 1:
Section 200
Section 201
CItAPTER 8:
ARTICLE 1:
Section 202
Section 203
ARTICLE 2:
Section 204
Section 205
Section 206
CHAPTER 9:
ARTICLE 1:
Section 207
Section 208
Section 209
Section 210
ARTICLE 2:
Section 211
Section 212
Section 213
Section 214
Section 215
Section 216
TABLE OF CONTENTS
PAGE NO.
BUILDING AND GROUNDS REQUIREMENTS ............................ 38
SECTION 200 REVIEW ........................................................................ 38
Compliance with Codes, Permits and Other Requirements Related
to Buildings and Grounds ....................................................................... 38
Reserved .................................................................................................. 41
GOOD NEIGHBOR POLICY ............................................................. 41
POLICY .................................................................................................. 41
Good Neighbor Policy ............................................................................ 41
Reserved .................................................................................................. 41
POLICY CONTENTS ............................................................................ 41
Neighborhood Complaints ...................................................................... 41
Reserved .................................................................................................. 42
Reserved .................................................................................................. 42
MONITORING AND REVIEW OF FACILITIES ........................... 42
MONITORING ....................................................................................... 42
Monitoring Certified Facilities ............................................................... 42
Notice of Deficiency ............................................................................... 43
Contract Monitoring ............................................................................... 43
Reserved .................................................................................................. 43
INVESTIGATION OF COMPLAINTS ................................................. 43
Complaint Defined .................................................................................. 43
Complaints Regarding Criminal Activity ............................................... 43
Complaints Regarding Certification Guidelines ..................................... 44
Notice of Deficiency ............................................................................... 44
Emergency .............................................................................................. 45
Reserved .................................................................................................. 45
vi.
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ARTICLE 3:
Section 217
Section 218
Section 219
Section 220
ARTICLE 4:
Section 221
Section 222
Section 223
Section 224
Section 225
Section 226
Section 227
CHAPTER 10:
ARTICLE 1:
Section 228
Section 229
Section 230
ARTICLE 2:
Section 231
Section 232
Section 233
Section 234
Section 235
Section 236
TABLE OF CONTENTS
PAGE NO.
CORRECTIVE ACTION PLANS .......................................................... 45
Deficiency ............................................................................................... 45
Corrective Action Plan ............................................................................ 45
Follow-up Review to Verify Correction of Deficiency .......................... 46
Reserved .................................................................................................. 46
SANCTIONS .......................................................................................... 46
Sanctions Defined ................................................................................... 46
Purposes of Sanctions ............................................................................. 47
Types of Sanctions .................................................................................. 47
Right to Appeal Sanctions ...................................................................... 48
Failure to Correct Deficiencies for which Sanctions Imposed ............... 48
Notice to Interested Parties ..................................................................... 48
Reserved .................................................................................................. 48
APPEAL AND HEARING ................................................................... 48
RIGHT TO APPEAL DENIAL OF CERTIFICATION OR
IMPOSITION OF SANCTIONS ............................................................ 48
Facility Right To Appeal ........................................................................ 48
Staff Right To Appeal ............................................................................. 49
Reserved .................................................................................................. 49
CERTIFICATION APPEALS BOARD ................................................. 49
Certification Appeals Board ................................................................... 49
Board Membership ................................................................................. 49
Duties of the Certification Appeals Board .............................................. 50
Filing Appeals ......................................................................................... 50
Procedures for Hearing Before the Certification Appeals Board ........... 50
Reserved .................................................................................................. 51
vii.
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ORANGE COUNTY
ADULT ALCOHOL AND DRUG SOBER LIVING
FACILITIES CERTIFICATION
GUIDELINES
CHAPTER 1: INTRODUCTORY PROVISIONS
ARTICLE 1: HISTORY AND PURPOSES OF
CERTIFICATION PROGRAM
Section 100
Historical Perspective
The County of Orange recognizes the desirability of "home" type facilities
designed for and dedicated to providing drag and alcohol free environments to
individuals with alcohol and drug addictions. To date, certain of these facilities have
operated in Orange County without a method of ensuring that these facilities provide
quality environments for recovery or provide for community safety.
In 2000, the Orange County Board of Supervisors directed the Orange County
Sheriff's Department to form a committee that included the Probation Department,
District Attorney, Public Defender, Health Care Agency, State Parole Board, the Courts,
representatives of Orange County cities, and a wide spectrum of community providers.
The Sober Living Coalition and the Orange County Addiction Treatment Provider
Association later added representatives to the committee, and a community representative
was designated by the Board of Supervisors. The purpose of this committee was to
develop a process for certifying and monitoring adult residential drug and alcohol sober
living facilities.
In 2001, by ordinance and resolution, the Board of Supervisors approved the
Orange County Adult Alcohol and Drug Sober Living Facilities Certification Program
(hereafter "Certification Program"). The standards and procedures for the Certification
Program are contained in this document, entitled "Orange County Adult Alcohol and
Drug Sober Living Facilities Certification Program Guidelines" (hereafter "the
Certification Guidelines"), and in Article 1 of Division 6 of Title V (Sections 5-6-1 et
seq.) of the Orange County Codified Ordinances.
Section 101 Purpose
The sole purpose of the Certification Program are to provide access to quality
residential facilities for persons in need of drug- and alcohol-free recovery environments,
and to promote public safety.
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Section 102 Reserved
ARTICLE 2: DEFINITIONS
Section 103
Def'mitions
The following general definitions apply to terminology used in the Certification
Guidelines, except where specifically noted otherwise:
1. ADULT - A person who is 18 years of age or older or a minor who has
been emancipated pursuant to former Part 2.7 (commencing with former section 60),
Division 1 of the Civil Code or Part 6 (commencing with section 7000), Division 11 of
the Family Code.
2. CERTIFICATE OF COMPLIANCE - A certificate that is issued by the
Orange County Sheriff-Coroner Department to a sober living facility that has applied for
certification under the Certification Guidelines and has met the requirements set forth in
the Certification Guidelines. The Certificate of Compliance is valid for one year from the
issue date.
3. CERTIFICATION APPEALS BOARD - The body having the
administrative responsibility for conducting hearings on all appeals of denial of
certification or sanctions imposed by the Certification Coordinator.
4. CERTIFICATION COORDINATOR - A lieutenant with the Orange
County Sheriff-Coroner Department who is responsible for the overall management and
coordination of the Certification Program.
5. CERTIFICATION GUIDELINES - This document, entitled "Orange
County Adult Alcohol and Drug Sober Living Facilities Certification Program
Guidelines".
6. CERTIFICATION PROGRAM - The Orange County Adult Alcohol and
Drug Sober Living Facilities Certification Program, adopted by the Orange County Board
of Supervisors in December 2001 and administered by the Orange County Sheriff-
Coroner. The standards and procedures for the Certification Program are set forth in
Article 1 of Division 6 of Title V (Section 5-6-1 et seq.) of the Orange County Codified
Ordinances and in the Certification Guidelines.
7. CERTIFIED FACILITY - A sober living facility that has been issued a
Certificate of Compliance that currently is valid.
8. COUNSELOR CERTIFYING ORGANIZATION - A statewide or
national professional organization offering counselor certifications in the field of drug or
alcohol addiction to eligible individuals. The organization must have standardized
qualifications for certification, including education and/or employment requirements.
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Counselor certifying organizations include, but are not limited to, the California
Association of Alcohol and Drug Counselors (CADAAC) and organizations providing
certification as a Certified Addiction Specialist (CAS). Local community college,
certification programs are also accepted counselor certifying organizations.
9. CONVICTION - A final judgment or a verdict or finding of guilty, a plea
of guilty, or a plea of nolo contendere.
10. COUNTY REFERRAL - A person directed to a sober living facility by
the Probation Department, the Orange County Health Care Agency or another agency of
the County of Orange for continued recovery from drug or alcohol addiction. The person
being referred still may be under the supervision of the Orange County Superior Court or
the Probation Department. This may include a person referred to a facility prior to
adjudication of his/her criminal case.
11. COURT REFERRAL - Any person directed to a sober living facility by
the Orange County Superior Court. This may include a person referred to a facility prior
to adjudication of his/her criminal case.
12. D.A.D.P. - State of California, Department of Alcohol and Drug
Programs. This is the State agency responsible for licensing of residential recovery
treatment facilities. D.A.D.P. does not license sober living facilities.
13. DAY - A calendar day unless otherwise specified.
14. DIRECTOR AND HEAD OF ADMINISTRATIVE STAFF - Also
referred to as "Director." The manager of a sober living facility who is responsible for
the supervision of all residents and of all staff employed by, or volunteering for, the
facility, and for approving all progress reports about residents' recovery that are provided
to courts, county or city agencies, or other providers of recovery services. He/she is
responsible for overall management of the facility.
15. FACILITY - Depending on context, a sober living facility or the person or
entity that operates a sober living facility.
16. HOUSE MANAGER - A person who resides at a sober living facility, or
any of multiple persons who collectively are present at the facility during curfew hours
which shall be at a minimum between the hours of 11:00 p.m. and 6:00 a.m. weekdays
and 12:00 a.m. to 6:00 a.m. on weekends, and who is/are in charge of the day-to-day
operation of the facility. The house manager shall be responsible to ensure the safety of
the building(s) and grounds; to collect fees from residents; to maintain compliance by
residents and staff with facility rules and the Certification Guidelines; and to provide
support and referral information, but not counseling or treatment, to residents of the
facility.
17. OUTPATIENT - Refers to drug and alcohol treatment programs in which
the resident does not reside at the facility where the resident receives treatment.
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18. PAROLE BOARD - State Parole Board.
19. PEER COORDINATOR - A paid staff member who assists the house
manager. The peer coordinator may oversee the household chore list and schedule; help
to facilitate facility meetings; and report concerns regarding the behavior of residents and
the maintenance of the facility to the house manager or director.
20. PROBATION DEPARTMENT - Orange County Probation Department.
21. PROGRESS REPORT - An oral and/or written report of the overall
progress towards recovery from substance abuse of a resident who is residing at a sober
living facility. Progress reports may be made due to a court order or the terms of a
resident's probation or parole, or, at the request of and with the consent of a resident, may
be made to other entities or individuals, such as the resident's therapist or referring
agency.
22. RESIDENT - An individual who resides in a sober living facility.
23. RESIDENTIAL FACILITY - Refers to programs in which the residents
reside at the facility. Hospitals are not included in this category. Facilities covered by
the Certification Guidelines are residential facilities.
24. REVOCATION OF CERTIFICATION - A disciplinary action that is
imposed by the Certification Coordinator and upheld by the Certification Appeals Board
to revoke certification of a facility. Revocation of certification is indefinite. Except in
emergency situations, a revocation will not become effective until the time for the facility
to appeal has elapsed, or if the facility appeals, until the revocation is upheld by the
Certification Appeals Board. To the extent it is clinically appropriate, all County
referrals shall be asked to move from a facility from which certification has been revoked
and will be placed in a certified facility. Except as required by law or contractual
obligations or as permitted by the Certification Guidelines, County personnel shall cease
referring individuals to a facility from which certification has been revoked.
25. SECTION 200 REVIEW - A written determination from the applicable
local jurisdiction, made following an inspection of a facility by the local jurisdiction, that
the facility is in compliance with the requirements of Section 200 of the Certification
Guidelines.
26. "SHALL" and "WILL" means mandatory, "SHOULD" means
recommend, and "MAY means permissive.
27. SOBER LIVING FACILITY - A facility offering an alcohol and drug free
residence for unrelated adults who are recovering fi.om alcohol or drug addictions. These
facilities may also be known as Transitional Living Environments. No drug or alcohol
/6069.1 AMENDED ADRFC Guidelines 6057 11-13-01 Clean w CoCo corrections 11.28 and 30.01
treatment services are provided on site. D.A.D.P. does not license such a facility to offer
residential treatment for drug or alcohol abuse or addiction.
28. SUSPENSION OF CERTIFICATION - A disciplinary action taken by the
Certification Coordinator to suspend certification of a facility. A suspension is for a
specific period of time. Except as required by law or contractual obligations or as
permitted by the Certification Guidelines, County personnel shall cease referring
individuals to a facility from which certification has been suspended. At their option, or,
if applicable, at the discretion of the Superior Court, the Probation Department or the
Parole Board, residents who were residing at the facility prior to the suspension may
remain and complete their programs.
Section 104 Reserved
ARTICLE 3: AUTHORITY FOR AND EFFECT OF
CERTIFICATION
Section 105
Voluntary Certification
The Certification Program is purely voluntary. No sober living facility shall be
required to apply for or obtain certification under the Certification Guidelines. No
facility shall be required to cease operation on account of its not being certified under the
Certification Guidelines.
Section 106
Effect of Certification
1. It is anticipated that a period of approximately nine (9) months, until
October 1, 2002, will be required to process all applications for certification that are filed
during the initial response to the adoption of the Certification Program. During the
period until October 1, 2002, it is anticipated that there will not be sufficient certified
facilities to meet the demand for placement in said facilities.
2. Effective on October 1, 2002, and except as otherwise provided in the
Certification Guidelines or as required by law or contractual obligations, County of
Orange personnel, when referring a person to a sober living facility within the County of
Orange, other than a facility operated by a State agency, shall refer a person who
qualifies for admittance to a certified sober living facility only to a certified facility, if the
referring County personnel determine that space is available in a certified facility that is
suitable for the person being referred.
3. Certification, or lack of certification, is not intended to convey approval or
disapproval of any sober living facility or its programs by the County of Orange or the
Orange County Sheriff-Coroner. Rather, certification shall be for informational purposes
only.
4. Certification does not create a relationship of principal and agent between
the County of Orange and any sober living facility, or between the County of Orange and
/6069.1 AMENDED ADRFC Guidelines 6057 11-13-01 Clean w CoCo corrections 11.28 and 30.01
any of the officers, employees, agents, contractors, or volunteers of any sober living
facility.
5. On October 1, 2002, and as often thereafter as the list is updated, the
Certification Coordinator shall provide to the Orange County Superior Court the list of
certified facilities, in order to assist the Court in directing defendants into appropriate
recovery environments. The list will indicate which of the certified facilities also are
approved by the Probation Department to receive referrals from that Department.
Section 107 Reserved
CHAPTER 2: OBTAINING CERTIFICATION
ARTICLE 1: ELIGIBLE APPLICANTS
Section 108
Type of Facilities Eligible for Certification
1. Sober living facilities are eligible for certification pursuant to the
Certification Guidelines.
2. In order to obtain a Certificate of Compliance, a facility must comply with
the Certification Guidelines for each physical building comprising the facility.
Section 109
Who May Apply for Certification?
Any adult or firm, partnership, association, corporation or governmental entity
may apply for certification. Strict nondiscrimination rules applicable to government
programs shall be followed when considering applications for certification. The
Certification Program shall be administered so as to be free of any unlawful
discrimination based on ethnic group identification, race, religion, ancestry, color, creed,
sex, marital status, national origin, age, political affiliation, medical condition, physical
or mental disability, or sexual preference.
Section 110 Reserved
ARTICLE 2: APPLICATION PROCESS
Section 111
How to Obtain Application and Information
Applications and application information may be obtained by contacting the
Orange County Sheriff/Certification Coordinator, Adult Alcohol and Drug Sober Living
Facilities Certification Program, North Justice Center, 1275 North Berkeley, Fullerton,
California 92832 (Telephone: (714) 773-4520). Completed applications for certification
should be submitted to the Certification Coordinator.
o
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Section 112 Documentation to Be Submitted with Application
Each applicant facility shall submit to the Certification Coordinator a completed
application form and the following additional documents:
1. The facility's Policy and Procedures Manual (Sections 157 and 158 of the
Certification Guidelines).
2. The facility's rules for residents, including:
a. The facility's policy prohibiting alcohol or non-prescribed drugs
on the premises (Section 166 oft he Certification Guidelines);
b. The facility's' prescription drug policy (Section 167 of the
Certification Guidelines);
c. The facility's smoking policy (Section 168 of the Certification
Guidelines);
d. The facility's rules and procedures regarding co-ed interaction, if
applicable (Section 177 of the Certification Guidelines);
e. The facility's visitation policy (Section 180 of the Certification
Guidelines).
3. Copies of all forms provided to residents and potential residents, including
blank copies of all forms that residents or potential residents are required to complete
and/or sign.
4. The facility's staffinformation (Section 132 of the Certification
Guidelines).
5. The facility's resident selection criteria (Section 153 of the Certification
Guidelines).
6. The facility's policy for alternative referral (Section 153 of the
Certification Guidelines).
o
Guidelines).
The facility's intake procedures (Section 155 of the Certification
The facility's relapse policy (Section 165 of the Certification Guidelines).
The facility's fee schedule (Section 187 of the Certification Guidelines).
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10. The facility's policy regarding delinquent payments and payment plans
(Section 188 of the Certification Guidelines).
11. The facility's policy regarding refunds for advance payment of fees and
repayment of fees (Section 189 of the Certification Guidelines).
12. The facility's food services and preparation schedule and policy, if
applicable (Section 195 of the Certification Guidelines).
13. Proof that the names of all paid staff of the facility have been submitted to
the Orange County Sheriff Department for the purpose of conducting a background
check.
For those staffwho submit to voluntary fingerprint checks, the results of this fingerprint
examination will be sent directly from the Department of Justice to the Certification
Coordinator.
14. A Section 200 Review from the applicable local jurisdiction, or proof that
the facility has applied to the local jurisdiction for a Section 200 Review. The application
will not be deemed complete until the Section 200 Review is submitted. Fees for this
inspection will be paid by the facility. All pending inspections must be completed and
the Section 200 Review must be submitted to the Certification Coordinator within thirty
(30) days of the original application.
For a fee, County of Orange personnel will complete the Section 200 Review if requested
by the local jurisdiction. In addition, if the local jurisdiction is unable to complete the
Section 200 Review within the thirty (30) day period, County personnel will conduct the
inspection, for a fee, and submit the results to the Certification Coordinator.
15. Written consent, on the form provided with the application and executed
by both the director and the house manager of the facility, to inspections of the facility by
appropriate local jurisdiction or County of Orange personnel for the purposes of
determining initial compliance with the Certification Guidelines, monitoring continued
compliance with the Certification Guidelines, and investigating complaints of violation of
the Certification Guidelines.
16. Proof that the facility has obtained insurance coverage at least as extensive
in both coverage and amount as is required by County's CEO/Risk Management
Services, from an insurer that is acceptable to County's CEO/Risk Management
Services. CEO/Risk Management Services' current insurance requirements will be made
available with the application for certification.
a. The Certification Coordinator will notify the facility when it
appears that all other aspects of the application are in order and the
application for certification will be granted, so that the applicant may
obtain amendments of its insurance policies to include Orange County as
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an additional insured and to include such additional policy language as is
specified by CEO/Risk Management Services.
b. Before certification is finally granted and a Certificate of
Compliance issued, the facility must present to the Certification Coordinator
written proof that all required insurance policies have been amended to
include Orange County as an additional insured and to include such
additional policy language as is specified by CEO/Risk Management
Services.
Section 113
Certification Coordinator Review of Application
1. The Certification Coordinator will review applications for certification in
the order in which the applications became complete.
2. The Certification Coordinator shall:
a. Review each application for certification and supporting
documentation to determine completeness and compliance with the
Certification Guidelines;
b. Verify the information provided by the facility about its personnel
with information obtained by the check through the Department of Justice,
as specified in Section 133;
c. Verify that the facility has submitted either a Section 200 Review
or will have a Section 200 Review completed within thirty (30) days of the
application;
d. Make or arrange such additional inspection(s) of the facility,
interview(s) with its staff and/or residents who are court referrals,
review(s) of records and documents, or such other activities as may be
necessary or appropriate to ascertain whether the facility complies with the
Certification Guidelines;
e. Within thirty (30) working days of receipt of a completed
application, issue to the facility by mail a Certificate of Compliance, if the
facility is in compliance with the Certification Guidelines, or a written
notification of denial of certification, if the facility is not in compliance
with the Certification Guidelines;
f. If an application is still incomplete at the end of thirty (30)
working days after receipt of an incomplete application, notify the facility
in writing of the information that is missing. The facility will have thirty
(30) days from the date of the notification to provide the missing
information;
/6069.1 AMENDED ADRFC Guidelines 6057 ! 1-13-01 Clean w CoCo corrections 11.28 and 30.01
o
°
certification.
g. If an application is otherwise complete, but areas of non-
compliance with the Certification Guidelines that are susceptible of
correction within thirty (30) days are identified, notify the facility in
writing of the deficiencies, in accordance with Section 208 of the
Certification Guidelines. Thereafter, the Certification Coordinator shall
treat the application as incomplete until the deficiencies are timely and
adequately corrected.
The Certification Coordinator may terminate the review of an application if:
a. The facility fails to provide additional information or correct
deficiencies within the required time period unless good cause is shown
for delay;
b. The facility fails timely to provide a Section 200 Review;
c. The facility submits a written request to withdraw the application;
d. The facility provides false, misleading or incomplete information
on or with its application.
Termination of the review process shall not constitute denial of
Section 114
Withdrawal of Application
1. A facility may withdraw an application for certification by submitting a
written request to the Certification Coordinator.
2. Withdrawal shall not prohibit the Certification Coordinator fi.om taking
action to deny any application for certification.
Section 115
Pending Certification
A facility may request to be placed on a "Pending Certification List" if it
has met all the other requirements for certification and either or both of the following
apply:
1. The facility is currently awaiting results of its Section 200 Review by its
local jurisdiction. The local jurisdiction shall have thirty (30) days to complete the
required Section 200 Review. For a fee, County of Orange personnel will complete the
Section 200 Review if requested by the local jurisdiction. In addition, if the local
jurisdiction is unable to complete the Section 200 Review within the thirty (30) day
period, County personnel will conduct the inspection, for a fee, and submit the results to
the Certification Coordinator.
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2. The facility is currently awaiting written proof from its insurer of
amendment of its insurance policies to include Orange County as an additional insured
and to include such additional policy language as is specified by CEO/Risk Management
Services. The facility will have thirty (30) days to present such proof.
Except as may be required by law or existing contractual obligations or when no certified
facility is available to and appropriate for a client, no County referrals will be made to
facilities that are pending certification.
Section 116 Reserved
ARTICLE 3: CERTIFICATE OF COMPLIANCE/
PERIOD OF CERTIFICATION
Section 117
Requirement to Post Certificate of Compliance
1. Upon obtaining certification, a facility shall post its Certificate of
Compliance in a conspicuous place in the facility, where it can be seen by anyone
entering the facility.
2. Each facility shall make the Certificate of Compliance available for
inspection upon request.
Section 118
Period of Certification
Certification shall be effective for a one-year period and shall expire
automatically on the anniversary of the date of issuance of the Certificate of Compliance,
unless the certification earlier has been renewed.
Section 119
Automatic Termination of Certification during One-Year
Certification Period
Certification shall automatically terminate during the one year certification period
whenever the owners or operators of a certified facility:
1. Sell or transfer an ownership interest in the facility; however, when the
facility is owned by a corporation, the corporation will not be deemed to have transferred
an ownership interest in the facility when the transfer or sale was solely of stock in the
corporation and does not constitute a majority change in ownership of the stock of the
corporation;
2. Transfer to a person(s) or entity(s), other than a resident or a live-in staff
person, a right to occupy or possess all or any part of the facility;
3. Change the personnel responsible for management of the facility, without
completing the steps outlined in Sections 145-148 of the Certification Guidelines;
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Coordinator;
5.
6.
7.
days or more.
Section 120
Voluntarily surrender the Certificate of Compliance to the Certification
Move the facility to a new location;
Die (only if the facility is owned and operated by a sole proprietor); or
Actually or constructively abandon the facility for a period of thirty (30)
Reserved
ARTICLE 4: RENEWAL OF CERTIFICATION
Section 121
Renewal of Certification
1. At least sixty (60) working days prior to the expiration date noted on the
Certificate of Compliance, the Certification Coordinator shall send a notice informing the
facility of the date when the current period of certification will expire and advising the
facility that it must submit within thirty (30) days any information described in Section
112 of the Certification Guidelines that has changed during the certification period.
2. The facility also will be required to submit an updated Section 200
Review. The facility should be re-inspected and the updated Section 200 Review
submitted to the Certification Coordinator no later than fifteen (15) days before the
expiration of certification.
3. The facility must be found to be in compliance with the Certification
Guidelines in order for certification to be renewed.
Section 122 Reserved
ARTICLE 5: DENIAL OF CERTIFICATION
Section 123
Grounds for Denial of Certification
The Certification Coordinator may deny a facility's application for certification
for any of the following reasons:
Guidelines;
The facility is not in compliance with any provision of the Certification
2. The facility has failed to remedy each deficiency identified by the
Certification Coordinator within the time period specified;
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3. The facility provided false, misleading or incomplete information to the
Certification Coordinator.
Section 124 Facility Notice and Advisement of Right to Reconsideration
If the Certification Coordinator denies certification, a written notice shall be sent
to the applicant by first class mail. The notice shall:
1. Explain the reasons for denial;
2. Detail the correction(s) required to bring the facility into compliance with
the Certification Guidelines;
3. Advise the facility of the rights to reconsideration and appeal in
accordance with the Certification Guidelines.
Section 125 Reserved
ARTICLE 6: RECONSIDERATION
Section 126
Procedure for Reconsideration
1. A facility that has been denied certification may file a request for
reconsideration with the Certification Coordinator. The request shall be in writing and
shall be filed within fifteen (15) calendar days from the date of the notice of denial of
certification.
2. The Certification Coordinator shall schedule a hearing that shall be held
no later than thirty (30) calendar days after receipt of a timely request for reconsideration.
3. The Certification Coordinator shall serve a notice of hearing on the
facility, no later than ten (10) calendar days prior to the scheduled date of the hearing.
4. At the hearing before the Certification Coordinator, the facility shall be
given an opportunity to present witnesses and documentary evidence.
5. The hearing will be conducted informally and the technical roles of
evidence shall not apply. Any and all evidence that the Certification Coordinator deems
reliable, relevant and not unduly repetitious may be considered.
6. Within fifteen (15) calendar days after the hearing, the Certification
Coordinator shall issue and transmit to the facility a written decision sustaining,
reversing, or modifying his/her earlier decision.
7. The decision by the Certification Coordinator after the hearing shall be
final unless the facility or, if applicable, a member of its staff, files an appeal to the
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Certification Appeals Board pursuant to Sections 228, 229 and 234 of the Certification
Guidelines.
Section 127 Reserved
CHAPTER 3: GENERAL CERTIFICATION
REQUIREMENTS
ARTICLE 1: GENERAL REQUIREMENTS
Section 128
General Requirements
1. Each sober living facility, including sober living facilities associated with
licensed residential recovery treatment facilities, and its staff shall comply with the
Certification Guidelines.
2. Each sober living facility, including sober living facilities associated with licensed
residential recovery treatment facilities, and its staff shall comply with all rules, policies
and procedures of the facility.
Section 129 Reserved
ARTICLE 2: CONTRACTUAL REQUIREMENTS
Section 130
Greater or Conflicting Contract Requirements
Facilities certified pursuant to the Certification Guidelines may be under contract
with the County of Orange to provide alcohol and drug-free housing services. The
Certification Guidelines are not intended to supersede contractual requirements, unless
the requirements of the Certification Guidelines are greater than those in the contract. To
the extent a contract between a certified facility and the County of Orange imposes
requirements or obligations on the facility that are greater than the requirements of the
Certification Guidelines, the contract requirements and obligations shall prevail.
Section 131 Reserved
CHAPTER 4: STAFF REQUIREMENTS
ARTICLE 1: STAFF APPLICATION DATA
Section 132
Staff Information to Be Provided with Application
An application for certification and supporting documentation shall contain the
following information about the staff of the facility:
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1. A list of all staffpositions, paid or volunteer, and a clear description of the
duties of each position.
volunteer:
The following information about each staff member, whether paid or
ao
co
eo
go
i.
any.
Full name, and any other names used previously or currently;
Current residence address and phone number;
Date of birth;
Social Security number;
Driver's license number;
Education and academic achievements
Prior work experience
History of convictions, if any;
Current criminal street gang and/or prison gang participation, if
Section 133
Staff Required to Submit to Background Check
1. Prior to certification of a facility, all paid staff of the facility
shall be subject to a background check by the Orange County Sheriff's Department.
2. The director and house manager will be requested to voluntarily submit to
a more extensive background check including "live scan" fingerprinting. The results of
the fingerprint checks will be sent directly from the Department of Justice to the
Certification Coordinator.
Section 134
Falsifying Information
1. No staff member of a facility shall falsify information on his/her
application for employment or on an application for certification of a facility.
2. Falsifying information may include but is not necessarily limited to the
following: falsifying tree legal name, date of birth, current address, social security
number, or driver's license number.
3. The presence at the facility of an employee or volunteer who falsified
information on a certification application or on his/her application for employment or a
volunteer position is a violation of the Certification Guidelines and shall be grounds for
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denial of certification, if the employee or volunteer remains at the facility for more than
fifteen (15) calendar days after the director knew or should have known of the
falsification.
Section 135
County Authority to Conduct Staff Background Check
In 2001, the Orange County Board of Supervisors adopted an Ordinance to
Authorize Voluntary Certification of Alcohol and Drug Sober Living Facilities. The
ordinance includes section 5-6-4, entitled "Criminal activity by owners, operators,
managers, employees and volunteers of certified sober living facilities." That section
authorizes the Sheriff-Coroner to access summary criminal history information about
specified facility personnel pursuant to Penal Code sections 11105(b)(10) and
13300(b)(10) and sets forth the types of criminal history that disqualify individuals from
holding specified positions at certified facilities.
Section 136 Reserved
ARTICLE 2: STAFF QUALIFICATIONS AND DUTIES
Section 137
Prior Employment History of Improper Conduct
No staffmernber, paid or volunteer, of a facility shall have a prior employment
history of any of the following improper conduct:
1. Forging or falsifying documents to a court, referring agencies or an
alcohol or drug recovery facility;
2. Sexual assault or sexual harassment
3. Inappropriate behavior with staff or residents at another alcohol and drug
recovery facility that resulted in termination or resignation fi.om that facility.
Inappropriate behavior shall include, but is not limited, to the following:
a. Physical assault;
b. Embezzlement or other theft related conduct;
c. Falsifying a drug test;
d. Selling or fumishing illegal drugs;
e. Selling or furnishing alcohol to a resident; or
fi Entering into a financial agreement, venture or proposition with a
resident unless previously approved by the director of the facility.
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Section 138 Paid Staff- Qualifications
1. Prior to certification of a facility, all paid staff shall pass an Orange
County criminal justice background check conducted by the Orange County Sheriff
Department.
a. No sober living facility shall be certified if any of its paid
staff have been convicted of any of the following offenses:
(i) Sex offenses for which the person is required to
register as a sex offender under California Penal Code
section 290;
(ii) Arson offenses - Violation of Penal Code sections 451,
451.1,451.5, 452, 452.1,453, 454, or 455; or
(iii) Violent felonies, as defined in Penal Code section
667.5, which involve doing bodily harm to another person,
and for which the staff member was convicted within five
years prior to employment.
b. No alcohol or drug recovery facility shall be certified if any
of its paid staff participates in the criminal activities of a prison
gang and/or criminal street gang, as defined in Penal Code section
186.22(0.
2. No certified facility shall employ a person if that person has not passed a
criminal background check by the Orange County Sheriff's Department using the criteria
set forth in subsection 1 of Section 138 of the Guidelines.
3. Individual exceptions to staff qualifications set forth in Section 138,
subsection 1 a.(iii) may be requested if the facility deems the decision will benefit the
program. Requests for exceptions shall be submitted in writing, include appropriate
justification of request, and must be approved by the Certification Coordinator in advance
of employment.
Section 139
Director-Duties and Qualifications
1. A facility shall employ one or more persons who collectively perform the
duties of Director and Head of Administrative Staff (also known as "director") that are
set forth in Section 103 and elsewhere in the Certification Guidelines. The facility may
designate a different title for this position, and may have two or more employees perform
the duties of this position, as long as each person performing any of the duties meets the
minimum requirements set forth in the Certification Guidelines for the position. In
smaller facilities, the director also may perform the duties of other positions, as long as
he/she has adequate time during assigned work hours to perform the duties of director
and all his/her other duties, and as long as he/she meets the requirements of the
Certification Guidelines for all the positions he/she holds.
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2. Education and Experience: The director shall have education, training
and/or experience qualifying him/her to supervise drug or alcohol addicted residents,
including residents who have criminal backgrounds. Each person performing any of the
duties of the director shall also meet at least one of the following minimum requirements:
a. Possession of a four year college degree in a field related to
rehabilitation of substance abusers; or
b. Certification by a professional counselor certifying organization;
c. A minimum of eighteen (18) months full time experience as a
counselor, supervisor, or professional in a position similar to the director's
position.
Proof that (a), (b), or (c) above has been met will be required (e.g., photocopy of
professional degrees, references to show prior service in the recovery field).
3. Criminal History:
a. A director shall meet the requirements set out in Section 138 of the
Certification Guidelines.
b. In addition, no facility shall be certified if its Director and
Head of Administrative Staff is currently under parole or formal
probation supervision.
4. Training: Persons holding positions encompassing the duties of director
of a facility accepting court referrals or referrals from the Probation Department or the
Parole Board, or the director's designee, shall attend all required meetings and training
conducted by a Superior Court, the Probation Department, the Parole Board, or the
Certification Coordinator. The Certification Coordinator shall provide notice of such
required meetings and training.
5. Sobriety: The director, if he or she is a former drug or alcohol abuser,
should have a minimum of two years of sobriety, and should be participating in a
continued program of personal enhancement and recovery.
Section 140
House Manager-Duties and Qualifications
1. Each facility shall have a designated house manager or person of higher
authority such as a director, who resides at the facility and performs the duties of house
manager set forth in Section 103 of the Certification Guidelines. Alternatively, two or
more employees may perform the duties of house manager, as long as each person
performing any of the duties meets the minimum requirements for house manager set
forth in the Certification Guidelines.
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2. The facility shall clearly identify the house manager to all residents. The
lines of authority within the organization shall be clearly defined, with the director or
house manager having final authority.
3. Drug Testing: The house manager will be subject to alcohol and drug
testing as determined by the director of the facility and in accordance with applicable
law.
4. Duties:
a. The house manager's duties include the duties described for the
position in Section 103 of the Certification Guidelines.
b. A house manager shall not approve progress reports.
c. The house manager may administer drug and alcohol tests to the
residents, to the extent permitted by law.
5. Criminal History:
a. A House Manager shall meet the requirements set out in
Section 138 of the Certification Guidelines.
b. In addition, no facility shall be certified if its house
manager is under parole or formal probation supervision on the
date of the facility's application for certification or the house
manager's employment by the facility, whichever is later.
6. Sobriety: If a house manager is a former drag or alcohol abuser, he/she
should have a minimum of one year of sobriety and should be participating in a continued
program of personal enhancement and recovery.
Section 141
Peer Coordinator -Duties and Qualifications
1. If a facility has a peer coordinator, it still shall have a house manager
and/or director who resides at or is present or on call whenever residents are present at
the facility. Notwithstanding the foregoing, in case of an emergency or unforeseen
circumstance, the availability of other designated supervisory personnel to respond to the
facility shall be sufficient.
2. Duties:
a. Each facility may have a designated resident who assists the house
manager, and who may perform the duties listed in Section 103 for a Peer
Coordinator.
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b. The peer coordinator shall not supervise or provide referral
information, counseling or treatment to residents.
c. The peer coordinator shall not write or sign progress reports.
3. Compensation: A person working in the capacity of peer coordinator shall
receive compensation for his/her services.
4. Drug testing: A peer coordinator shall be subject to alcohol and drug
testing as determined by the director or house manager of the facility in accordance with
applicable law.
5. Criminal History:
a. A peer coordinator shall meet the requirements set out in Section
138 of the Certification Guidelines.
b. In addition, no facility shall be certified if, on the date of
the facility's application for certification or the peer coordinator's
employment by the facility, whichever is later, a peer coordinator is under
parole or formal probation supervision for a violent felony, as defined in
Penal Code section 667.5.
c. A facility will not be disqualified from certification on account of
its peer coordinator's being under probation or parole supervision solely
for a non-violent offense(s), if the peer coordinator otherwise meets the
requirements of this section.
6. Sobriety: If a peer coordinator is a former drug or alcohol abuser, he/she
should have a minimum of three months of sobriety and should be participating in a
continued program of personal enhancement and recovery.
Section 142 Subsequent Criminal Activity or Convictions of Disqualifying
Offenses
Certification previously granted to a sober living facility shall be revoked and a
pending application for certification shall be denied iff
a. Any of the paid staff of a sober living facility or a peer
coordinator are convicted, while the application is pending or
during the period of certification, of any offense that would have
disqualified the facility from certification if the conviction had
occurred earlier; or
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b. It is discovered that any of the paid staff of the facility is
required to register as a sex offender pursuant to Penal Code section
290 or currently participates in the criminal activity of a prison gang
and/or criminal street gang, as defined in Penal Code section 186.22
(f); and
2. The staff member's conviction, sex offender registration requirement or
membership or participation in the criminal activities of a prison gang and/or criminal
street gang would have disqualified the facility from certification if it had occurred or had
been discovered earlier.
Section 143 Reserved
Section 144 Reserved
ARTICLE 3: NEW STAFF DURING CERTIFICATION PERIOD
Section 145
Qualifications of Staff Added After Certification
1. At a minimum, within three (3) working days of making a job offer, a
facility shall provide the Certification Coordinator with the information about the new
staffmember listed in Section 132 of the Certification Guidelines. The Sheriff's
Department thereupon will conduct a background check within two (2) business days. If
within the two (2) business days period, the background check is not completed, the
employee may begin work at the facility, subject to later completion of the background
check of the new employee to determine whether he or she meets the staff qualification
requirements of the Certification Guidelines
2. Continued employment of a new staff member who does not meet the staff
qualifications set out in the Certification Guidelines shall be grounds for suspension or
revocation of certification.
Section 146
Replacement of Director and House Manager
In order to be assured that a facility continues to meet certification standards for
the safety of residents, staff, and the community, a permanent director or house manager
shall be replaced as soon as possible, but no later than:
Director - Sixty (60) days from the date the position becomes vacant.
House Manager - Thirty (30) days from the date the position becomes vacant.
Section 147
Appointment of Acting Director or House Manager
In order to be assured that a facility continues to meet certification standards for
the safety of residents, staff, facility and the community, an acting director and acting
house manager shall be appointed no later than the following:
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1. An acting director shall be appointed as soon as possible, but no later than
72 hours after the departure of the preceding director. The acting director shall qualify
under the standards of the Certification Guidelines.
2. An acting house manager shall be appointed immediately (within 24
hours) after the departure of the preceding house manager. The acting house manager
shall, at a minimum, qualify under the standards of the Certification Guidelines for peer
coordinator.
Section 148 Reserved
ARTICLE 4: DENIAL OF CERTIFICATION DUE TO STAFF
Section 149
Denial of Certification Due to Lack of Staff Qualifications
The Certification Coordinator shall deny certification to a facility iff
1. Review of its staffing or staff's qualifications indicates that the facility is
not in compliance with Sections 133-144 of the Certification Guidelines.
2. The facility fails to remedy each deficiency identified in the written notice
of deficiency.
3. The facility provides false, misleading or incomplete information about
any of its staff positions or staff members.
Section 150
Staff Notice and Advisement of Right to Reconsideration
If the Certification Coordinator determines to disqualify a facility from
certification on account of the qualifications of a member of its staff, the Certification
Coordinator shall first send a written notice to both the facility and the staff member by
first class mail. The notice shall:
1. Explain the reasons for disqualification;
2. If the reason for disqualification is subject to correction, detail the
correction required to the particular noncompliance specified in the notice;
3. Specify a time period for compliance;
4. Advise the facility and the staff member of the fight to reconsideration and
appeal in accordance with the Certification Guidelines.
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Section 151 Staff Procedure for Reconsideration
1. A facility or a staff member or prospective staff member of a facility
whose qualifications have been determined to disqualify the facility from certification
may file a request for reconsideration by the Certification Coordinator. The request shall
be in writing and shall be filed fifteen (15) calendar days fi.om the date of the service of
the notice of denial of certification.
2. The Certification Coordinator shall schedule a hearing, which shall be
held no later than thirty (30) calendar days after receipt of a timely request for
reconsideration.
3. The Certification Coordinator shall serve notice of hearing on the facility
and the staff member, not later than ten (10) calendar days prior to the scheduled date of
the hearing.
4. At the hearing before the Certification Coordinator, the facility and the
staff member shall be given an opportunity to present wimesses and documentary
evidence. For example, letters from the Probation Department, the Parole Board or a
sponsor.
5. The hearing will be conducted informally and the technical roles of
evidence shall not apply. Any and all evidence that the Certification Coordinator deems
reliable, relevant and not unduly repetitious may be considered.
6. Within fifteen (15) calendar days after the hearing, the Certification
Coordinator shall issue and transmit to the facility and the staff member a written
decision sustaining, reversing, or modifying his/her earlier decision.
7. The decision by the Certification Coordinator after the hearing shall
become final unless the facility or staff member files an appeal to the Certification
Appeals Board pursuant to Sections 228, 229and 230 of the Certification Guidelines.
Section 152 Reserved
CHAPTER 5: ADMISSION AND INTAKE REQUIREMENTS
ARTICLE 1: ADMISSION
Section 153
Resident Selection Criteria
In order to help safeguard residents, staff, visitors, and neighbors, each certified sober
living facility shall have and adhere to written criteria for resident selection. Prospective
residents will be advised of the criteria prior to admittance, and be offered referrals to
non-certified facilities when appropriate.
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Resident Selection Criteria shall include:
1. Criminal History: The facility shall require each prospective resident to
complete a form listing any crimes specified in Section 138 of the Certification
Guidelines of which the prospective resident has been convicted and the dates and
locations of such convictions. If the prospective resident claims not to have been
convicted of any such crimes, he/she shall certify on the form that he/she has never been
convicted of any of the crimes specified in Section 138 of the Certification Guidelines.
No certified facility shall accept as a resident a person who discloses a conviction for any
of the crimes specified in Section 138 of the Certification Guidelines.
2. All criteria for selecting residents shall be objective and shall relate to the
facility's strengths or expertise in assisting in recovery from alcohol and drug addictions.
3. A facility shall not unlawfully discriminate against prospective applicants
on the basis of ethnic group identification, race, religion, ancestry, color, creed, sex,
marital status, national origin, age, political affiliation, medical condition, physical or
mental disability, or sexual preference, and shall adhere to all applicable federal and state
laws and regulations related to nondiscrimination.
4. The facility shall admit any person who meets the facility's objective and
non-discriminatory admissions criteria and who is physically and mentally able to
comply with the facility's rules. Such persons include those who otherwise qualify for
admission and who are living with Human Immunodeficiency Virus (HIV) disease, as
well as persons with a mental illness diagnosis.
5. Each facility shall comply with the applicable provisions of law pertaining
to the prohibition of discrimination against qualified persons with disabilities with respect
to admission to the facility, accessibility of the facility, and participation in the facility's
services, programs and activities, including Section 504 of the Rehabilitation Act of 1973
(29 U.S.C. § 794 et seq., as implemented by 45 C.F.R. § 84.1 et seq.), if applicable, and
with such provisions of the Americans with Disabilities Act of 1990 (42 U.S.C. § 12101
et seq. as amended) as may be applicable.
6. Before admission to the facility, the facility shall require potential
residents who show signs of any communicable disease, or who, through medical
disclosure during the intake and admission process, disclose a health related problem that
would put others at risk, to be cleared medically to reside in housing with uninfected
persons.
7. If a prospective resident is denied admission into a facility, the facility
shall have a written policy for alternative referral and shall provide a copy of that policy
to the prospective resident who is denied admission.
Section 154 Reserved
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ARTICLE 2: INTAKE
Section 155
Intake Procedures
1. The facility shall have a written intake procedure for new residents.
2. The director or house manager shall hold an intake appointment with each
new resident, during which the director or house manager shall:
a. Review and place in the new resident's file his/her treatment-
related court orders and/or treatment plan recommendations from referral
sources and others, if available;
b. Determine and document in the resident's file how the facility can
assist the new resident in implementing his/her treatment related court
orders and/or treatment plan recommendations, and so advise the new
resident;
c. Identify and document in the new resident's file any prescribed
medication used by resident;
d. Provide the new resident with a copy of the facility's rules for
residents;
e. Have the new resident sign all consent forms and confidentiality
waivers required by the facility and his/her referring agencies or the
Superior Court, and place such signed forms in the resident's file;
f. All court referrals and residents referred by the Probation
Department or the Parole Board, who have not already done so, shall sign
a waiver of confidentiality at the time of initial intake into the facility, and
the facility shall maintain that waiver in its records. The waiver shall
permit disclosure of information about the resident to whichever of the
courts, the Probation Department and/or the Parole Board is monitoring
the resident's progress.
Section 156
Reserved
CHAPTER 6: PROGRAM REQUIREMENTS
ARTICLE 1: POLICIES AND PROCEDURES MANUAL
Section 157 Policy and Procedures Manual
1. Each facility shall maintain, and have available for inspection, a Policy
and Procedures Manual.
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2. Each staff member shall be familiar with the policies and procedures
contained in the Manual.
Section 158
Contents of Policy and Procedures Manual
At a minimum, a facility's Policy and Procedures Manual shall contain the
following:
1. Employees
a. Job descriptions for all staff positions;
b. Drug testing procedures and requirements;
c. Staff discharge procedures;
d. A procedure to immediately notify the Certification Coordinator of
any change in the personnel holding staff positions.
2. Nondiscrimination/Compliance with the Law
a. A prohibition against sexual harassment by and of staff and
residents;
b. A prohibition against unlawful discrimination against employees
and applicants for employment on the basis of ethnic group identification,
race, religion, ancestry, color, creed, sex, marital status, national origin,
age, political affiliation, medical condition, physical or mental disability,
martial status, or sexual preference, in accordance with all applicable
federal and state laws and regulations. This prohibition shall extend to all
of the following: employment, upgrade, demotion or transfer, recruitment
or recruitment advertising, layoff or termination, rate of pay or other forms
of compensation, and selection for training.
c. A prohibition against unlawful discrimination in the provision of
services, the allocation of benefits or in the accommodation in facilities on
the basis of ethnic group identification, race, religion, ancestry, color,
creed, sex, marital status, national origin, age, political affiliation, medical
condition, physical or mental disability, or sexual preference in
accordance with all applicable federal and state laws and regulations.
d. Drug free work place policy, including procedures for compliance
with the California Drug Free Work Place Act, Government Code sections
8350-8357.
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e. A procedure for keeping staff and the residents informed and
updated on all aspects of the above-described policies.
3. Drug testing: Procedures for drug testing of house managers and peer
coordinators and such other staff and applicants for staff positions as the facility
specifies.
4. Prescription Medications: A prohibition against the inappropriate use of
prescribed medications on the facility premises, as described in Section 167 of the
Certification Guidelines.
5. Conflicts of Interest: A prohibition against personal and financial
conflicts of interest including a prohibition against entering into a financial agreement,
venture or proposition with a resident unless previously approved by the director of the
facility.
6. Designation of staff other than the director who may have access to
residents' files. All staffwith access to residents' files must have a legitimate need for
such access as part of performing their duties at the facility.
7. Policies to support residents' recovery efforts, as follows:
a. A requirement that staff maintain respect for the dignity of each
resident at all times;
b. A requirement that staff encourage residents to accept personal
responsibility for their behavior.
c. Recommendations about encouraging active involvement of
residents and staff with the recovery community through appropriate
activities such as drug and alcohol free social events and recovery-oriented
services and events.
d. Recommendations about providing residents opportunities to
acquire life skills for sobriety, crime free behavior, education and
employment.
e. A written drug and alcohol relapse policy and procedure for
residents, as set forth in Section 165 of the Certification Guidelines.
Section 159 Reserved
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ARTICLE 2: RESIDENTS' ACTIVITIES
Section 160
Staff Presence and Availability
1. At each facility, a person or persons performing the duties of director
and/or house manager shall reside at the facility or shall be present at the facility during
curfew hours, which shall be, at a minimum, between the hours of 11:00 p.m. and 6:00
a.m. weekdays and 12:00 a.m. to 6:00 a.m. weekends. Whenever a director or house
manager is not present at the facility, a responsible member of the facility's staff shall be
on call to respond to the facility within twenty (20) minutes of being summoned. The
phone number that the certification coordinator can call to summon a staffmember to the
facility within twenty (20) minutes shall be on file with the certification coordinator at all
times.
2. The staff person in charge shall be readily identifiable at all times.
3. Each facility shall designate and post the hours that individual staff
members will be on site.
Section 161
Criminal Activity
No type of criminal activity shall be promoted, condoned or permitted at the
facility or at any activity associated with the facility.
Section 162 Residents' Court Orders and Treatment Plans
1. Facility staff shall support and cooperate with all residents' known court
orders and accommodate residents' schedules for compliance with the residents'
treatment plans.
2. Failure to support a resident's court orders shall be deemed a serious
violation of the Certification Guidelines, resulting in suspension or revocation of
certification.
Section 163
Participation in Recovery Activities
1. The facility shall provide adequate opportunities for residents to
participate in activities consistent with the stated goals and objectives of their treatment
plans.
2. Facility staff shall encourage all residents to be active during the day in
activities appropriate to recovery, e.g., participating in treatment or counseling, attending
school, working a job, searching for a job or performing other activities that are
appropriate for recovery.
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Section 164 Reserved
ARTICLE 3: ALCOHOL/DRUGS/SMOKING
Section 165
Drug and Alcohol Testing/Relapse Policies
1. The Parole Board, the Probation Department, and the Superior Court may
impose mandatory drug testing on residents and provide such testing. Each facility shall
facilitate its residents' compliance with such mandatory testing requirements.
2. The facility may, but is not required to, adopt a policy requiring residents,
including residents without mandatory testing requirements, to submit to drug tests in
order to determine whether residents remain sober while residing at the facility. If such a
policy is adopted, the facility shall be solely responsible for ensuring that all legally
required consent forms are signed by residents and that all legal requirements pertaining
to such testing are satisfied.
3. The frequency of tests should be noted in each resident's file.
4. Resident's drug test results shall be kept confidential to the extent required
by law. Except as may be required by court orders and/or the terms of residents'
probation or parole, residents' test results will not be disclosed to the Certification
Coordinator.
5. If it is the policy of the facility to require drug tests of residents who do
not have mandatory drug test requirements imposed by court orders and/or the terms of
probation or parole, the facility shall have a written relapse policy and procedure
describing the actions to be taken when such a resident tests positive for alcohol and/or
drug use.
6. The facility shall have a similar written relapse policy applicable to
residents who do not participate in drug tests and to relapses discovered by methods other
than drug tests.
Section 166
Prohibition against Alcohol and Non-Prescribed Drugs
The facility shall have a written policy prohibiting alcohol and any drugs other
than prescription medication on the premises. This policy shall be prominently posted at
the facility.
Section 167
Prescription Drug Policy
1. The facility shall have a written policy regarding the possession, use and
storage of residents' prescribed medications. The facility may not dispense medication,
but must make it available to residents.
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2. The facility shall prohibit the possession of prescription medication by any
resident other than the resident for whom it is prescribed, and in any quantity greater than
the amount prescribed.
Section 168
Smoking Policy
The facility shall have and enforce a written smoking policy designating places in
or around the facility as the only places where smoking is permitted.
Section 169 Reserved
ARTICLE 4: REPORTS
Section 170
Accurate Progress Reports
1. The facility shall provide accurate reports about a resident's progress to
courts, the Probation Department and the Parole Board, in accordance with residents'
court orders and/or the terms of residents' probation or parole.
2. Upon the request and with the consent of a resident, the facility shall
provide accurate reports about the resident's progress to the resident's referring agency or
personnel involved in the resident's recovery, such as therapists.
Section 171
False Reports
It is a felony to prepare any type of written instrument that is false or antedated,
with intent to present it for any judicial trial or proceeding or inquiry. (Penal Code
section 134).
Section 172
Approval of Progress Reports
The Director shall approve all progress reports issued by the facility.
Section 173
Notification of Resident's Departure
If a county referral or a court referral moves out of the facility, or is temiinated
for cause from a facility, the appropriate court, or referring County department or agency
shall be notified within 24 hours or the next working day.
Section 174
Reports to Certification Coordinator
1. Each facility shall follow the procedures prescribed in this section if any
events identified in subsection (3) of this section occur.
2. Upon the occurrence of any of the events identified in subsection (3) of
this section, the director or house manager of the facility shall make a telephonic report to
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the Certification Coordinator within one (1) working day. The telephonic report shall be
followed by a written report within seven (7) working days of the event. If a report that
meets the requirements of this section is made to State or local authorities, a copy of such
report will suffice for the written report to be submitted to the Certification Coordinator.
3. Events that require reporting shall include:
a. Death of any resident due to any cause.
b. Any facility-related injury of a resident or staff member, which
requires medical treatment.
c. All cases of communicable disease reportable under section 2502
of Title 17, Califomia Code of Regulations. Such cases of communicable
disease shall be reported only to the local health officer.
d. Poisonings.
e. Catastrophes such as flooding, tomado, earthquake or any other
natural disaster.
f. Fires or explosions that occur on the premises or grounds.
g. Any criminal activity that occurs on the premises or the grounds of
the facility.
4. Information provided in the report shall include the following:
a. Resident's and/or staff member' s name, age, sex, and date of
admission.
b. Date, time, and nature of the event.
c. Attending physician's name, findings and treatment, if available.
5. Any change in the facility owner or operator's mailing address shall be
reported to the Certification Coordinator within ten (10) working days following the
change.
Section 175 Reserved
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ARTICLE 5: INTERACTION OF RESIDENTS
Section 176
Single Gender Facilities
Single gender facilities are encouraged but not required. The rules and
regulations for single gender facilities shall include, but need not necessarily be limited to
the following:
1. Residents shall wear appropriate attire when in shared areas of the facility
and in the presence of other residents, staff or visitors.
2. Sexual harassment of residents or staffis prohibited. Sexual harassment
policies, procedures and rights shall be posted in the facility along with the name and
telephone number of a contact person.
3. Staff shall not engage in behavior with any resident that leads to a
romantic or sexual relationship while the resident is residing at the facility.
Section 177
Co-ed Facilities
If the facility has both male and female residents, it shall have written rules and
procedures regarding co-ed interaction, including but not necessarily limited to the
following:
1. Residents shall wear appropriate attire when in shared areas of the facility
and in the presence of other residents, staff or visitors.
2. Male and female residents shall not share bedrooms.
3. Sexual harassment of residents or staffis prohibited. Sexual harassment
policies, procedures and rights shall be posted in the facility along with the name and
telephone number of a contact person.
4. Staff shall not engage in behavior with any resident that leads to a
romantic or sexual relationship while the resident is residing at the facility.
5. A facility is permitted to make exceptions to the foregoing rules in
situations that a court or residents' referring agencies deem appropriate, e.g. if a married
couple or a couple in a long term committed relationship enter a facility as a couple,
some of the foregoing rules would be inapplicable to them.
Section 178 Reserved
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ARTICLE 6: VISITORS
Section 179 Access to Facility by Unauthorized Persons
Access to the facility by individuals who are neither residents, facility staff,
volunteers, nor authorized visitors shall be monitored by the facility and limited so that
neither the program nor the comfort of residents is disrupted by such access.
Section 180 Visitation Policy
The facility shall have a written visitation policy. The following are the minimum
requirements:
1. All visitors shall sign in and out of the facility, using their full names;
2. Visitors shall be permitted in the facility only between such hours as the
facility may designate, but in no event after 10:00 p.m. or before 8:00 a.m.;
3. There shall be designated visiting areas, which shall be located in the
common living areas of the facility, and which shall be available to all residents for
meetings and receiving and entertaining guests. The bedrooms and garages shall be off
limits for visitors and shall not be used at any time for visits or meetings without the prior
written approval of the Certification Coordinator, the Probation Department or the
Orange County Health Care Agency;
4. No visitors shall be permitted on the premises while intoxicated;
5. Visitors shall not be left alone in the facility at any time;
6. Regulations regarding children visiting the facility shall include:
a. Specific hours for visitation;
b. The type of supervision required; and
c. Restriction of children to the common areas.
Section 181 Reserved
ARTICLE 7: LEAVING THE FACILITY
Section 182 Resident Sign In/Out Log and Schedule
1. The facility shall maintain a resident sign in and sign out log for all
residents who are court or county referrals.
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2. Each resident who is a court referral or a county referral shall be required
to sign his/her complete name in the log with the time that he/she left the facility and the
location and telephone number of his/her destination.
3. Each resident who is a court referral or a county referral shall be required
to sign his/her complete name in the log upon returning to the facility, and the time
he/she returned.
The facility shall retain its sign in/sign out logs for a minimum of one (1)
5. Every resident's schedule for treatment, work, education or other activities
shall be provided to, and maintained by, the facility management.
6. Every resident's schedule shall include the location and telephone number
where the resident can be reached.
7. Every resident shall be required to notify the management of any change
in his/her schedule for treatment, work, education or other activities.
Section 183
Master Log for Multiple Facilities
Programs with multiple residential facilities shall maintain a current master log of
all residents at all of the program's certified facilities. The master log shall be maintained
and shall be available at the program's business office or main facility.
Section 184 Curfew
The facility shall have a curfew for residents starting no later than 11:00 p.m. on
weeknights and 12:00 a.m. on weekends and ending no earlier than 6:00 a.m. on any day.
Allowable exceptions may include residents who work during these hours and residents
who have prior approval of the facility's staff, the Health Care Agency, or the resident's
Probation Officer or Parole Officer.
Section 185
Overnight Passes
1. Overnight passes may be given to a resident after he/she becomes eligible,
at the discretion of and with the approval of the director or house manager, or on order of
a Superior Court, the Probation Department or the Parole Board. No overnight pass shall
be granted if it would conflict with any existing court order.
2. When going on an overnight pass, a resident shall be required to sign in
and out of the facility on the resident sign in and sign out log.
185.
The facility will notify the referring agency of any violation of Section
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Section 186 Reserved
ARTICLE 8: FEES
Section 187 Fee Schedule
1. The facility shall have a written fee schedule that is provided to all
residents and posted at the facility.
2. The current fee schedule shall be provided to the Certification
Coordinator.
3. At the time of acceptance and admission into the facility, each resident
shall be informed of the exact fees required, and fee payment policies and procedures.
4. The facility may establish a reasonable and appropriate fee, to be approved
in advance by the Certification Coordinator, for any drug or alcohol testing conducted by
the facility.
5. The resident shall be informed of all items that are provided by the facility
and which personal items residents must provide themselves.
6. Residents shall not be charged a relapse or re-entry fee.
Section 188
Delinquent Payments and Payment Plans
1. The facility shall have a written policy regarding delinquent payments and
payment plans.
2. If a resident has not paid the amount due, the decision whether to
terminate the resident, extend a grace period or make a payment plan arrangement is at
the discretion of the director.
Section 189
Advance Payment of Fees and Repayment of Fees
The facility shall have a written policy regarding refunds for advance payment of
fees and repayment of fees.
Section 190
Receipt for Fees
A resident shall be given a signed receipt at the time of payment of any fees.
Section 191 Reserved
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ARTICLE 9: RESIDENTS' FUNDS
Section 192 Co-mingling Funds
Staff shall not co-mingle their own funds or the facility's funds with residents'
funds.
Section 193 General Assistance
If the facility accepts a resident's General Assistance rent allowance, the facility
shall follow all procedures required by the Orange County Social Services Agency.
Section 194 Reserved
ARTICLE 10: FOOD SERVICE
Section 195 Food Service
1. If food service is offered by the facility, the facility shall provide the
residents with the facility's food services and preparation schedule and policy.
The kitchen shall be clean.
Food shall be properly maintained and stored.
The facility may provide meals, which may be included in the fees paid by
4.
residents.
5.
6.
Section 196
Residents may be responsible for their own food items.
There shall be adequate seating in the dining area.
Reserved
ARTICLE 11: RESIDENTS' FILES
Section 197 Maintenance of Residents' Files
All files pertaining to residents shall be handled in the following manner:
1. All files shall be kept in a locked cabinet.
2. Residents' files shall not be co-mingled.
3. Access shall be limited to the director and other personnel with a
legitimate need for access who are specified in the facility's policies and procedures.
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4. Each staff member, paid or volunteer, with access to residents' files shall
be required to agree in writing with the facility to maintain the confidentiality of the
records and information in such files unless required by law to disclose file records or
information. This agreement shall specify that it is effective irrespective of the
subsequent resignation or termination of the staff member.
Section 198
Contents of Individual Residents' Files
The content of individual residents' files shall include, but need not be limited to,
the following:
1. A personal information form which contains:
a. Personal data for proper identification;
b. Length of sobriety and prior recovery experience;
c. The names of the resident's current outpatient treatment and
educational facilities;
d. The name of the source of referral to the facility.
2. Copies of the resident's currently effective court orders, if any.
o
others.
The resident's recovery plan recommendations from referral sources and
4. Notations about how the facility can assist the resident in implementing
his/her recovery-related court orders and/or recovery plan recommendations.
5. List of prescribed medication used by the resident.
6. Signed originals of all consent forms and confidentiality waivers required
by the facility or the residents' referring agencies or the Superior Court. For all court
referrals and residents referred by the courts, the Probation Department or the Parole
Board, the resident's file must include a waiver of confidentiality, signed at the time of
the resident's initial intake into the facility, to permit disclosure of designated
information about the resident to whichever of the courts, the Probation Department
and/or the Parole Board is monitoring the resident's progress.
7. Copies of all progress reports and all correspondence written by the staff
regarding the resident.
8. Dates and results of all drug and alcohol tests and all forms related to such
tests, including consent forms and/or court orders.
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9. Overnight pass information.
10. Dates of the resident's entry and completion or termination from the
facility, including the circumstances of his/her exit.
11. The resident's fee payment record, including amount of fee(s), and the
date(s) and amount(s) of payment.
12. A copy of the facility's rules and resident in-take forms, signed and dated
by the resident upon entry to the facility.
Section 199 Reserved
CHAPTER 7: BUILDING AND GROUNDS
REQUIREMENTS
ARTICLE 1: SECTION 200 REVIEW
Section 200 Compliance with Codes, Permits and Other Requirements Related
to Buildings and Grounds
Prior to certification, each sober living facility shall obtain from the applicable
local jurisdiction an inspection and a written determination [called a "Section 200
Review"] that the facility complies with all of the following requirements:
Conformance with all locally applicable and regularly enforced zoning
regulations.
2. Possession of all required local, county and state permits.
3. Conformance with applicable fu'e safety standards, including occupancy
limit, smoke detectors and emergency exit plan.
4. Building and Grounds Requirements.
The facility shall be clean, safe, sanitary and in good repair at all
times.
b. The interior of the facility shall be free of flies and other insects.
c. The facility shall provide for the safe disposal of contaminated
water and chemicals used for cleaning purposes.
d. Living areas in the facility shall be separate and secure.
Permanent walls, floors, ceilings and doors shall enclose the facility's
living, sleeping, bathing and toileting areas. This does not preclude the
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use of more than one building or the use of wing(s) of a building or
floor(s) of a building in meeting this requirement.
e. All residents shall be protected against safety hazards within the
facility through provision of appropriate protective devices, including, but
not limited to, non-slip material on rugs.
f. All outdoor and indoor passageways, stairways, inclines, ramps,
open porches, and other areas of potential hazard shall be kept free of
obstructions.
g. Permanent or portable storage space shall be available for storage
of facility equipment and supplies. Facility equipment and supplies shall
be stored in appropriate space and shall not be stored in space designed for
other activities.
h. Every in-ground pool and every above-ground pool that cannot be
emptied after each use shall have an operative pump and filtering system.
i. Adequate living space for each resident in the bedrooms and
bathrooms shall be provided as follows:
(i) Bedrooms shall not be overcrowded. The definition of a
bedroom for the purposes of this requirement is the definition
contained in the Uniform Building Code. There should be a
minimum of 70 square feet for the first two people and 50 square
feet for each additional person in bedrooms.
(ii) Each resident shall have a closet and dresser space made
available to him/her.
j. Adequate bathing, hand washing and toilet facilities shall be
provided with a maximum ratio of one bathroom facility per six (6)
residents. Space for each resident's toilet articles shall be provided.
k. The bathrooms shall be clean, shall provide privacy, and shall
contain general hygiene items such as soap and toilet paper.
1. When female and male residents are housed in the same facility,
the facility shall ensure minimal personal security and privacy, which shall
include the following:
(i) Separate and adequate toilet, hand washing, and bathing
facilities for females and males. Such facilities shall be in
proximity of designated sleeping quarters.
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(ii) Separate and adequate sleeping areas for females and males.
Such areas shall be enclosed by permanent walls, which extend
from the floor to the ceiling and have permanent doors.
m. Locks shall be placed on all exterior doors and windows in order to
maintain proper security.
Fixtures, Furniture, Equipment and Supplies:
a. A comfortable temperature for residents shall be maintained at all
times.
b. All window screens shall be in good repair and be free of insects,
dirt and other debris.
c. The facility shall provide lamps or lights as necessary in all rooms
and other areas to ensure the safety of all persons in the facility.
d. Hot water faucets used by residents for personal care shall meet the
following requirements:
(i) Hot water delivered to plumbing fixtures used by the residents
shall not be less than 105 degrees Fahrenheit (40.5 degrees
Celsius) and not more than 130 degrees Fahrenheit (54.4 degrees
Celsius).
(ii) Taps delivering water at 131 degrees Fahrenheit (54.9 degrees
Celsius) or above shall be prominently identified with warning
signs.
e. All toilets, hand washing and bathing facilities shall be maintained
in safe and sanitary operating conditions.
f. Solid waste shall be stored, located and disposed in such a manner
that it will not transmit communicable diseases, emit odors, create a
nuisance, or provide a breeding place or food source for insects or rodents.
(i) All containers, including movable bins, used for storage of
solid waste shall have tight fitting covers that are kept in place.
The containers and covers shall be in good repair, leak proof and
rodent proof.
(ii) Solid waste containers, including movable bins, receiving
putrescible waste shall be emptied at least once per week or more
ot'ten if necessary to comply with subsection (f) above.
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g. The facility shall provide each resident with clean linen in good
repair, including lightweight, warm blankets; top and bottom sheets;
pillowcases; mattress pads; bath towels and wash cloths. The quality of the
linen provided shall permit changing, at a minimum, once a week or with
greater frequency if needed.
h. The facility shall provide each resident with an individual bed
maintained in good repair, equipped with good springs and a clean
mattress, and supplied with pillow(s), and with bed linens as described
above. Bunk beds are not excluded provided they otherwise meet the
requirements of this Section 200.
Section 201 Reserved
CHAPTER 8: GOOD NEIGHBOR POLICY
ARTICLE 1: POLICY
Section 202
Good Neighbor Policy
1. The purpose of the Certification Guidelines is to promote safe and
effective services for residents with substance abuse issues. Neighborhood support of an
alcohol or drug recovery facility enhances the facility's ability to meet this goal.
2 To increase the likelihood that the residents of the facility are able to be
integrated into the community with an improved quality of life, it is required that each
facility shall adopt a good neighbor policy similar to the one enumerated here.
3. A good neighbor policy must include, but would not necessarily be limited
to, the policies outlined in Sections 204-206 of the Certification Guidelines.
Section 203 Reserved
ARTICLE 2: POLICY CONTENTS
Section 204 Neighborhood Complaints
You are in a better position if you have the first opportunity to respond to
concerns.
1. Each facility shall ensure that the neighboring residents are advised about
whom to contact at the facility if they have complaints or questions, and how to get in
contact with that person.
2. Each facility shall develop a written protocol of procedures for staff to
follow when a complaint is received.
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3. Each facility shall train the staffmember(s) responsible for receiving
complaints and questions to field complaints in a positive way.
4. If a neighbor's complaint is legitimate, the facility shall address it with a
commitment that steps will be taken immediately to prevent its happening again. Then,
the facility shall review its systems and/or staff to make changes or improvements as
needed.
Section 205 Reserved
Section 206 Reserved
CHAPTER 9: MONITORING AND REVIEW OF
FACILITIES
ARTICLE 1: MONITORING
Section 207
Monitoring Certified Facilities
1. On site follow-up monitoring of any certified sober living facility may be
conducted by the Certification Coordinator or any agency referring residents to the
facility to determine continuing compliance with any of the requirements of the
Certification Guidelines. Each certified sober living facility shall be inspected at least
once during each period of certification to insure compliance with the Certification
Guidelines, and follow-up inspections shall be conducted as needed.
2. The purpose of these inspections will be solely to determine whether the
facility continues to meet the Certification Guidelines. These inspections shall not be
used as an excuse to conduct searches for evidence of crime without required probable
cause, warrant or consent.
3. The monitoring personnel may conduct a site inspection of the facility,
may interview facility staff and/or residents in private, and may review facility records,
with or without advance notice, at any reasonable time, upon presentation of proper
identification, in order to determine compliance with the Certification Guidelines. The
facility's staff shall cooperate with the monitoring personnel and assist hirrd her upon
request. The inspection shall be conducted with due regard for the privacy of residents.
Monitoring personnel shall not access any files of residents unless there is a court order
permitting such access or the resident has given written informed consent.
4. After completion of the monitoring review, the monitoring personnel shall
prepare a written report. All reports shall be submitted to the Certification Coordinator
and a copy provided to the facility inspected.
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Section 208 Notice of Deficiency
1. If deficiencies are identified, a written notice of deficiency, listing all
deficiencies, shall be mailed to the facility's director or his/her designee within ten (10)
working days of completion of the monitoring review.
2. The notice of deficiency shall specify:
a. The section number of the Certification Guidelines or the title and
code section number of each statute or regulation which has been violated,
if relevant;
b. The manner in which the facility fails to comply with the specified
section of the Certification Guidelines or statute/regulation;
c. Recommended corrections;
d. The date by which each deficiency shall be corrected;
e. Procedure for appeal to the Certification Appeals Board.
3. The facility's director or his/her designee shall respond to the notice of
deficiency and prove compliance to the Certification Coordinator in writing within the
time specified in the notice of deficiency.
Section 209 Contract Monitoring
Nothing in this Article supersedes monitoring and review of a contract provider
by the Orange County Health Care Agency, or any other County agency, pursuant to the
terms of a contract between that provider and the County of Orange.
Section 210 Reserved
ARTICLE 2: INVESTIGATION OF COMPLAINTS
Section 211
Complaint Def'med
A complaint is a formal or informal negative charge or allegation regarding a
violation of an applicable section of the Certification Guidelines. A complaint may
include, but is not limited to, the following issues: criminal activity, resident safety,
zoning codes, staff or resident use of drugs, or facility safety.
Section 212
Complaints Regarding Criminal Activity
All complaints about criminal activity at a facility shall be immediately reported
to the law enforcement agency having jurisdiction where the facility is located.
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Section 213 Complaints Regarding Certification Guidelines
1. Any person may file a complaint regarding a violation of an applicable
section of the Certification Guidelines by contacting the Certification Coordinator in
person, by telephone, in writing, or by any other automated or electronic means.
2. To the extent permitted by law, the Certification Coordinator shall keep
confidential the identity of the complainant, unless authorized by the complainant to
disclose his/her identity.
3. If requested by the complainant, the Certification Coordinator shall notify
the complainant, in writing, of the results of the investigation, to the extent that such
information legally may be disclosed to a member of the public.
4. The Certification Coordinator shall cause to be investigated by the
appropriate authority all complaints filed against the facility or staff. The Probation
Department shall investigate issues related to probationers at the facility.
5. The authority selected to investigate the complaint may conduct a site
inspection of the facility, may interview facility staff and/or residents in private, and may
review facility records with or without advance notice, at any reasonable time, upon
presentation of proper identification, in order to determine compliance with the
Certification Guidelines. The facility's staff will cooperate with the investigator and
assist him/her upon request. The inspection shall be conducted with due regard for the
privacy of residents. Complaint investigators shall not access any files of residents unless
there is a court order permitting such assess or the resident has given written informed
consent.
6. After completion of the investigation, the authority investigating the
complaint shall prepare a written report. All reports shall be submitted to the
Certification Coordinator. The complaint investigation is complete when all evidence has
been inspected and all witnesses who have information relevant to the allegations have
been interviewed.
Section 214
Notice of Deficiency
1. If a complaint investigation discloses deficiencies, a written notice of
deficiency, listing all deficiencies, shall be mailed to the facility's director or his/her
designee within five (5) working days of completion of the investigation.
2. The notice of deficiency shall specify:
a. The section number of the Certification Guidelines or title and
code section number of each statute or regulation that has been violated, if
relevant;
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b. The manner in which the facility fails to comply with the specified
Guidelines or statute/regulation;
c. Recommended corrections;
d. The date by which each deficiency shall be corrected;
e. The procedure for appeal to the Certification Appeals Board.
3. The facility's director or his/her designee shall respond to the notice of
deficiency and prove compliance to the Certification Coordinator in writing within the
time specified in the notice of deficiency.
Section 215
Emergency
If the Certification Coordinator or any of its allied agencies determines that there
is an emergency situation that jeopardizes the public safety and/or the safety of the
facility's residents, the Certification Coordinator shall recommend to referring County
agencies and the Superior Court that referrals to the facility be suspended immediately
pending further investigation. Examples: Owner/Director of a program using drugs,
sexual harassment of residents or criminal activity at the facility.
Section 216 Reserved
ARTICLE 3: CORRECTIVE ACTION PLANS
Section 217 Deficiency
A "deficiency" means a failure to comply with the Certification Guidelines or
applicable laws. A deficiency may be a cause for a denial of certification or notice of sanction.
Section 218
Corrective Action Plan
1. When a facility is sent a notice of deficiency, the director of the facility shall
submit to the Certification Coordinator written verification of correction for each
deficiency that is identified in the notice of deficiency. The written verification shall
substantiate that the deficiency has been corrected and specify the date when the deficiency
was corrected. The written verification shall be postmarked no later than the date specified
in the notice of deficiency.
2. If the facility cannot correct a deficiency by the date specified in the notice
of deficiency, the director shall submit a written corrective action plan to the Certification
Coordinator. The written corrective action plan shall be postmarked no later than the
date specified in the notice of deficiency.
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3. The written corrective action plan shall:
a. Specify the steps already taken and to be taken in the future to
correct the deficiency;
b. Specify a date when the deficiency will be corrected.
consider:
In reviewing the corrective action plan, the Certification Coordinator shall
a. Potential hazards presented by the deficiency;
b. Number of residents impacted;
c. Whether the documentation submitted by the director demonstrates
that the deficiency will be timely corrected.
5. Within fifteen (15) days of receipt of the written verification and/or
corrective action plan, the Certification Coordinator shall notify the director in writing,
by first class mail, whether the written verification and/or corrective action plan has been
approved.
Section 219
Follow-up Review to Verify Correction of Deficiency
1. The Certification Coordinator, Orange County Health Care Agency,
Probation Department and/or appropriate local jurisdictions may conduct follow-up
reviews to determine if the facility has corrected all deficiencies specified in the notice of
deficiency.
2. If a follow-up review indicates that a deficiency has not been corrected on
or before the date specified in the notice of deficiency or subsequently approved
corrective action plan, the Certification Coordinator shall impose a sanction pursuant to
Sections 221-227 of the Certification Guidelines.
Section 220 Reserved
ARTICLE 4: SANCTIONS
Section 221
Sanctions Def'med
A sanction is a disciplinary action taken by the Certification Coordinator that is
designed to secure enforcement of the Certification Guidelines by imposing a penalty for
a violation of the Guidelines.
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Section 222 Purposes of Sanctions
1. The purposes of imposing sanctions are:
a. To protect the safety of the community and the residents.
b. To assist the certified facility in maintaining a quality level of
continuing care and service.
2. All sanctions imposed shall be handled on an individual basis.
Section 223
Types of Sanctions
1. The Certification Coordinator may impose sanctions for a violation of the
Certification Guidelines. The sanctions may include any one or more of the following:
a. Counseling: A verbal reprimand and recommendations to the
facility director of possible remedies that the facility might explore.
Corrective action by the provider is expected.
b. Letter of Reprimand: This document places the facility on notice
that the violation will be made a permanent part of the facility's file with
the Certification Coordinator. This is an offense, which if it continues,
may result in imposition of more severe sanctions. This letter should
contain a description of the problem and recommended corrective action
with an expected date of completion.
c. Suspension of Certification: A disciplinary action taken by the
Certification Coordinator to suspend certification. A suspension is for a
specific period of time. Except as required by law or contractual
obligations or as pernfitted by the Certification Guidelines, County
personnel shall cease referring individuals to a facility from which
certification has been suspended. At their option, or, if applicable, at the
discretion of the Superior Court, the Probation Department or the Parole
Board, residents who were residing at the facility prior to the suspension
may remain and complete their programs.
d. Revocation of Certification: A disciplinary action that is imposed
by the Certification Coordinator to revoke certification of a facility.
Revocation of certification is indefinite. Except in emergency situations, a
revocation will not become effective until the time for the facility to
appeal has elapsed, or if the facility appeals, until the revocation is upheld
by the Certification Appeals Board. To the extent it is clinically
appropriate, all County referrals shall be asked to move from a facility
from which certification has been revoked and will be placed in certified
facilities. Except as required by law or contractual obligations or as
permitted by the Certification Guidelines, County personnel shall cease
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referring individuals to a facility from which certification has been
revoked.
Section 224
Right to Appeal Sanctions
A facility has a right to appeal any sanction that is imposed on it. When imposing
sanctions consisting of a letter of reprimand, suspension of certification or revocation of
certification, the Certification Coordinator shall advise the facility of the procedures for
appeal.
Section 225
Failure to Correct Deficiencies for which Sanctions Imposed
Failure to correct deficiencies for which sanctions were imposed may result in the
imposition of more severe sanctions.
Section 226
Notice to Interested Parties
If a facility's certification is suspended or revoked, the Certification Coordinator
shall give written notice of the sanction to the District Attorney, the Orange County
Superior Court, the Probation Department, the Orange County Health Care Agency, the
Parole Board and other interested County agencies and to the city where the facility is
located.
Section 227 Reserved
CHAPTER 10: APPEAL AND HEARING
ARTICLE 1: RIGHT TO APPEAL DENIAL OF
CERTIFICATION OR IMPOSITION
OF SANCTIONS
Section 228
Facility Right To Appeal
1. If a facility has been denied certification, and the request for
reconsideration has been denied, the director of the facility may file an appeal to the
Certification Appeals Board at the District Attorney's Office. All appeals shall be
forwarded through the Certification Coordinator to the Certification Appeals Board.
2. If a sanction consisting of a letter of reprimand, suspension of certification
or revocation of certification has been imposed on a facility, the director may file an
appeal to the Orange County District Attorney's Certification Appeals Board. A prior
request for reconsideration to the Certification Coordinator is not available for an
imposition of a sanction. All appeals will be forwarded through the Certification
Coordinator to the Certification Appeals Board.
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Section 229 Staff Right To Appeal
1. A staff member or prospective staff member of a facility whose
qualifications or lack thereof have been determined to disqualify the facility from
certification, and whose request to the Certification Coordinator for reconsideration has
been denied, may file an appeal to the Certification Appeals Board.
2. If a sanction consisting of a letter of reprimand, suspension of certification
or revocation of termination has been imposed on a facility as a result of the
qualifications or lack thereof of a staff member, the staff member and/or the facility's
director and head of administrative staff may file an appeal to the Certification Appeals
Board. (There is no request for reconsideration by the Certification Coordinator available
for an imposition of a sanction.)
Section 230 Reserved
Section 231
ARTICLE 2: CERTIFICATION APPEALS BOARD
Certification Appeals Board
The Certification Appeals Board shall be the administrative responsibility of the
Orange County District Attomey's Office. The District Attorney's Office will conduct
all appeal hearings before the Certification Appeals Board.
Section 232 Board Membership
1. The Certification Appeals Board shall consist of five (5) members
designated by their respective organizations, as follows:
a. One former employee or director of a sober living facility, who is
not currently affiliated with a sober living facility.
b. One current or retired city manager or assistant city manager.
c. One current or retired deputy probation officer or police officer.
d. One current or retired deputy public defender.
e. One member who is employed by the Orange County Health Care
Agency, Behavioral Health Services.
2. The members shall be nominated and appointed in accordance with rules
of the Board of Supervisors to be filed with the Clerk of the Board.
3. The term of each member shall be three years. The members shall serve
staggered terms so that no more than three members' terms will lapse in the same year.
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4. A vacancy shall exist and shall be reported to the Board of Supervisors or
its designee whenever a member fails to attend more than three consecutive meetings of
the Certification Appeals Board without good cause.
Section 233
Duties of the Certification Appeals Board
1. It shall be the function of the Certification Appeals Board, upon request, to
review the decisions of the Certification Coordinator when there is an appeal filed for a
denial of certification and/or the imposition of sanctions.
2. The Certification Appeals Board shall meet at least once a year and shall
appoint a chairperson at its first meeting each year.
Section 234
Filing Appeals
1. The director of a facility whose application for certification has been
denied or that is being sanctioned, and when applicable, a staff member or prospective
staffmember of a facility on whose qualifications or lack thereof the denial or sanction is
based, may file an appeal in writing of the denial of certification or sanction. No
particular form is required. The appeal must be received within ten (10) days from the
date the notice of denial of certification or imposition of sanction is received.
2. The appeal should be addressed to: Orange County Sheriff/Certification
Coordinator, Adult Alcohol and Drugs Sober Living Facilities Certification Program,
North Justice Center, 1275 North Berkeley, Fullerton, California 92832 (Telephone:
(714) 773-4520).
3. The Certification Coordinator shall forward the appeal and all supporting
documentation to the Certification Appeals Board via the District Attorney's Office.
Section 235
Procedures for Hearing Before the Certification Appeals Board
1. If an appeal is timely filed, the District Attorney's Office shall schedule a
hearing before the Certification Appeals Hearing Board within thirty (30) days, but no
sooner than ten (10) days after the appeal was filed by the facility or staff member.
2. The District Attorney's Office shall provide the facility and/or staff
member with written notice of the hearing, giving the time, date, and location of the
hearing.
3. During the hearing, the facility and/or staff member shall be given the
opportunity to present evidence including, but not limited to, sworn testimony, sworn
affidavits, and documentary evidence.
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4. The District Attorney and/or the Certification Coordinator may also
present evidence as noted above.
5. At the close of the hearing, the Certification Appeals Board may uphold or
overturn the decision to deny certification or uphold, set aside, or modify the sanctions,
as applicable. The Board members shall make their individual decisions based upon a
preponderance of the evidence presented at the hearing.
6. A majority vote of the Board members present determines the result.
There must be a minimum of three members voting.
7. Within five (5) calendar days after the heating, the Certification Appeals
Board shall issue and transmit to the facility and/or staff member a written decision
sustaining, reversing, or modifying the Certification Coordinator's decision.
8. The Certification Appeals Board's decision shall be the final
administrative determination.
Section 236 Reserved
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STATE OF CALIFORNIA )
COUNTY OF ORANGE ) ss.
CITY OF ANAHEIM )
I, SHERYLL SCHROEDER, City Clerk of the City of Anaheim, do hereby certify that the foregoing
Resolution No. 2002R-139 was introduced and adopted at a regular meeting provided by law, of
the Anaheim City Council held on the 11th day of June, 2002, by the following vote of the
members thereof:
AYES:
MAYOR/COUNCIL MEMBERS: Feldhaus, Kring, Tait, M¢Cracken, Daly
NOES:
MAYOR/COUNCIL MEMBERS: None
ABSTAINED:
MAYOR/COUNCIL MEMBERS: None
ABSENT:
MAYOR/COUNCIL MEMBERS: None
C~ CLERK OF THE CITY OF ANAHEIM
(SEAL)