CHAPTER 40
CERTIFICATION REQUIREMENTS MANUAL (REPEALED)

CHAPTER 40
CERTIFICATION REQUIREMENTS MANUAL

Part I
General Provisions

24VAC35-40-10. Definitions. (Repealed.)

The terms used in this chapter shall have the following meanings unless the context indicates otherwise.

"ASAP" means Alcohol Safety Action Program formed by political subdivisions or by the commission as a criminal justice program that uses community and state services to address the problem of driving under the influence of alcohol and other drugs. ASAPs receive referrals from local courts or the commission. ASAPs deliver intervention services within locally-administered programs to specific municipal jurisdictions within the Commonwealth of Virginia pursuant to §§ 18.2-271.1 and 18.2-271.2 of the Code of Virginia.

"BAC" means blood alcohol concentration which is determined by law-enforcement personnel or other licensed organizations in accordance with procedures established in § 18.2-268.

"Certification" means the process whereby the commission evaluates an ASAP for its organization, management, fiscal standing, and overall operation. Certification also hinges on the ASAP's ability to receive referrals from courts of persons convicted of DUI.

"Classification" means a process involving the assessment of an offender's personal involvement with alcohol or other drugs and which results in referral to an appropriate intervention service (educational treatment).

"Commission" means the state agency established as the Commission on the Virginia Alcohol Safety Action Program. It is composed of two members from the House Committee for Courts of Justice, two members from the Senate Committee for Courts of Justice, two sitting or retired district court judges who regularly hear or heard cases involving DUI and who are familiar with local ASAPs, two directors of ASAPs, one representative from the law-enforcement profession, one citizen at large, one representative from the Department of Motor Vehicles and one representative from the Department of Mental Health, Mental Retardation and Substance Abuse Services.

The commission shall establish and certify ASAPs and require them to be operated in accordance with commission standards pursuant to § 18.2-271.2 of the Code of Virginia.

"Components" means the separation of actions into specifically defined areas which the VASAP system uses to offset and deter the actions of Driving Under the Influence (DUI) and potential DUI offenders. They comprise a systematic approach to educate the general public, reduce the incidence of impaired driving and drunk driving. There are five specific components defined and utilized by the VASAP system.

"Deficit" means an excess of expenditures over revenue. A planned deficit means that the ASAP, in order to conduct its program, expects to or projects that it will expend more funds than it will receive from offenders or other sources in a fiscal year. Deficit means an excess of expenditures over revenue.

"Director of ASAP" means the person who is in charge of and accountable for the operation of an ASAP. The ASAP director reports to the ASAP policy board.

"DMV" means the Commonwealth of Virginia Department of Motor Vehicles.

"DUI" means operating or driving a motor vehicle or boat under the influence of alcohol or drugs (§§ 18.2-266, 46.2-341.28 and 29.1-738 of the Code of Virginia).

"Education" means commission-approved classes provided to some offenders following classification. The intervention services include alcohol or drug education, young offender education, and intensive education.

"Enrollment" means that the offender has to report to the ASAP, obtain an intake appointment, make arrangements to pay the ASAP fee, and sign an agreement to participate as provided in §§ 18.2- 266 through 18.2-273.

"Executive director" means the executive director of the commission. This person is appointed by the commission and carries out the purposes of §§ 18.2-271.1 and 18.2-271.2 of the Code of Virginia.

"Intake" means the process wherein offenders, either individually or in groups, provide objective and subjective information to case managers for use in their classification.

"Intervention services" means direct service activities to offenders entering through a program which provides direct services. Such activities include assessment services, crisis intervention, case management services and exit activities.

"Joint exercise of powers" means ASAPs organized as provided in §§ 15.1-20 and 15.1-21 of the Code of Virginia.

"Policy board" means a group established by the ASAP which controls and gives direction to the ASAP's activities and provides input of local needs. This board may also be established in accordance with §§ 18.2-271.1 and 18.2-271.2 of the Code of Virginia by the commission.

"Treatment" means intervention services provided to offenders subsequent to a recommendation for referral by an ASAP to outpatient, inpatient or residential services treatment and provided by a certified agent or licensed program.

"VASAPDA" means the Virginia Alcohol Safety Action Program Directors' Association, a group composed of the directors of the various ASAPs established and operating in the Commonwealth.

"VASAP" means the Virginia Alcohol Safety Action Program, a probation intervention system providing services to offenders referred to the program by the courts. VASAP consists of the Commission on VASAP, the Advisory Board to the Commission on VASAP, local ASAP policy boards and local Alcohol Safety Action Programs as established in §§ 18.2-271.1 and 18.2-271.2 of the Code of Virginia.

"VMIS" means an Automated Management Information System; a computer network which provides offender profiles to the ASAPs and a mechanism for the transfer of cases and information between the ASAPs and the VASAP office.

Part II
Standards for Certification

24VAC35-40-20. Certification. (Repealed.)

All programs established or operating under § 18.2-271.1 of the Code of Virginia are required by § 18.2-271.2 to be certified by the Commission on VASAP.

Certification of Alcohol Safety Action Programs within the Commonwealth of Virginia is established to ensure administrative consistency within the system and the quality of services provided to DUI offenders, the courts and the community.

The Commonwealth of Virginia is geographically organized into 26 local ASAPs and three ASAP regions: the Colonial Council, the Battlefield Council and the Blue Ridge Mountains Council. A certification team is assigned to each region.

24VAC35-40-30. Methodology. (Repealed.)

A. Team composition. Each regional team consists of one commission member, one local ASAP director and one case management representative from the VASAP system. Each team member is appointed by the commission. The membership of each regional team shall be rotated among available representatives on an annual basis. The executive director of the Commission on VASAP shall serve as ex-officio member of each regional team. Team I will serve as the certification team in the Battlefield Region. Team II will serve as the certification team for the Blue Ridge Region and Team III will serve as the certification team for the Colonial Region.

B. Training. The executive director of the Commission on VASAP shall be responsible for providing training to each certification review team.

C. Information request. Prior to an on-site visit, the executive director of the Commission on VASAP will direct each program to be certified to submit necessary documentation.

D. Data and program review. Prior to the certification process, each ASAP director shall submit to the executive director requested data concerning the operation of the ASAP. After compilation of the requested information, it shall be distributed to the respective regional certification team. Each team shall review the data and perform preliminary audits. Following this review, on-site visits shall be scheduled. Additional data shall be collected and observations made during the on-site visit to validate the documentation submitted. Staff interviews, review of samples of client files and financial records as well as a physical examination of the office space shall be performed.

At the completion of the on-site review, the certification review team shall hold a summation conference with the director of the program. During this conference, the certification review team shall present areas of concern for discussion and clarification, and the ASAP director shall be given full opportunity to comment when a program is found out of compliance. The program must provide an action plan as required in 24VAC35-20-90 of the policy and procedure manual (24VAC35-20-10 et seq.).

E. Report submission. A written report of the team's findings shall be submitted to the executive director of the Commission on VASAP noting observations and recommendations of the review team. The chair of the reviewing team shall be responsible for submission of the report.

F. Recommendation of certification. The executive director shall provide the commission a report which contains recommendations for certification. The commission shall consider the recommendations of the executive director, and if necessary, review the findings, documents, documentation of compliance, as well as any other relevant material received.

G. Confidentiality. Each certification team shall adhere to all federal, state, and local laws governing confidentiality. The certification review and findings are the sole property of the Commission on VASAP. Dissemination of any information, except as expressly provided herein, constitutes a violation of confidentiality.

The Commission on VASAP shall be the sole source responsible for dissemination of any information regarding a program's certification review.

H. Standards. Each ASAP shall comply with these standards as indicated. Each standard shall be reviewed at the time of certification for compliance and at such time as the commission deems necessary in order to ensure continued compliance with standards.

24VAC35-40-40. Organization and administration. (Repealed.)

Category 1 - Statement of Purpose

Sc. 1: Each ASAP shall have a written statement of purpose which shall include its relationship to transportation safety, the courts and the community.

Sc. 2: Each ASAP shall have written goals and objectives which reflect the overall Commission on VASAP goal.

Category 2 - Authority

Sc. 1: Each ASAP shall have an independent legally-constituted policy board which has due authority for the operation of the program.

Sc. 2: The program policy board shall have written regulations and bylaws which follow the commission on VASAP policies and procedures and includes at minimum:

a. Purpose and responsibility.

b. Method of appointment of members (who, how, when, tenure).

c. Frequency of meetings

d. Parliamentary authority

e. Responsibility of independent policy board to the Commission on VASAP for adherence and compliance of local program with statewide regulations.

Sc. 3: Each ASAP shall have a program organizational chart which clearly delineates administrative and staff responsibility for program operations, and reflects positions identified through job descriptions.

Sc. 4: Each ASAP shall have an identifiable director as defined in the policy and procedure manual, 24VAC35-20-10.

Category 3 - Personnel

Sc. 1: Each ASAP shall have an explicit written job description which includes minimum, explicit job qualifications for all staff positions. The review team will sample and review descriptions for all positions on the organizational chart.

Sc. 2: Each ASAP shall have a written personnel policies and procedures manual which shall, at minimum comply with all applicable federal, state or local mandates. The manual, at minimum, shall include the following areas:

a. Benefits: Each ASAP shall have clear descriptions of personnel benefits.

b. Confidentiality: Each ASAP shall have policies and procedures regarding disclosure of defendant information which comply with all state and federal regulations. Included in these procedures shall be measures to ensure security, storage, access and destruction of all defendant records.

c. Conflict of interest: Each ASAP shall have policy and procedures to avoid any activity deemed to be in conflict with the interests of the program, as defined in the VASAP Policy and Procedures Manual, 24VAC35-20-10 et seq.

d. Affirmative action plan: Each ASAP shall promote equal employment opportunity in recruitment and selection processes by ensuring that qualification requirements do not limit or restrict employment opportunities because of race, color, religion, national origin, political affiliation, handicap, sex or age (except where there is a bona fide occupational requirement).

e. Equal employment opportunity: Each ASAP shall have policy and procedures to provide equal employment to employees and applicants for employment in all aspects of personnel management and race, color, religion, national origin, political affiliation, handicap, sex or age (except where there is a bona fide occupational requirement).

f. Grievance procedures: Each ASAP shall have policy and procedures to provide for resolution of employee problems and complaints wherein employees can freely discuss their concerns and ensure that employees will have an effective procedure by which various grievances can be fairly and objectively reviewed.

g. Office hours: Each ASAP shall have stated specific hours of program operation.

h. Salary scales: Each ASAP shall have policy and procedures to assign a salary grade for each job position in accordance with local pay scales approved by the local policy board.

i. Performance appraisal: Each ASAP shall have policy and procedures to provide an effective means for appraising the work performance of employees and for providing a pay for performance system.

j. Personnel records: Each ASAP shall have policy and procedures to maintain a complete and accurate personnel record for each employee. Included in these procedures shall be measures to ensure security, storage, access and destruction of all personnel records.

k. Probationary period: Each ASAP shall have policy and procedures to require satisfactory completion of a probationary period as a prerequisite to continued employment, unless otherwise determined by local or state directives.

l. Purchasing: Each ASAP shall have a written procurement plan.

m. Reduction in force (staff): Each ASAP shall have a written reduction in force (staff) policies and procedures. An annual reduction in force plan shall include clear and distinct criteria and processes for personnel and positions affected, as well as, rationale for each proposed staff reduction and budgetary impact.

n. Standard of conduct: Each ASAP shall have written standards of conduct designed to protect the well-being and rights for all employees, to provide a safe efficient operation and to maintain compliance with public law.

o. Termination of employment: Each ASAP shall have policies and procedures for termination of employees.

p. Training: Each ASAP shall have policy and procedure to ensure that all staff participate in all Commission on VASAP training as well as to encourage and assist in staff development through academic study or through such other means to contribute to further service to the local ASAP program.

q. Travel: Each ASAP shall have policy and procedures for work related travel. Where local regulations do not exist, travel must conform with the Commonwealth of Virginia travel regulations.

Sc. 4: The certification review team will require documentation, evidence, or statements verifying action or efforts to fulfill each policy or procedure. Examples of documentation may include the following:

a. Job description;

b. Purchasing documents;

c. A copy of an EEO policy;

d. Staff interview; and

e. Travel reimbursement documents.

Category 4 - Staffing

Sc. 1: Each ASAP shall employ staff to ensure that required services are provided for each referral.

Sc. 2: Each ASAP shall employ staff to ensure that each component activity is completed.

Category 5 - Components

Sc. 1: Each ASAP shall have written action plans, policy statements and exhibits of work for each of the components.

A. Enforcement.

1. Each ASAP shall have written policy statements regarding:

a. Increasing the number of persons arrested and convicted of DUI.

b. Reducing the average BAC of arrested motorists.

2. The certification review team will require documentation, evidence, or statements verifying action or efforts used to fulfill requirements.

Examples of documentation may include the following:

-local, regional, state DUI-related training

-local, regional, state DUI-related projects/programs

-enforcement contacts, formal and informal

-services provided (roll-call activities, films, materials, etc.)

-policy board representation; and

-grant funding activity

B. Adjudication.

1. Each ASAP shall have policy statements regarding:

a. Enhanced adjudication of DUI offenders

b. Maintaining a consistent rate of DUI referrals

2. The certification review team will require documentation, evidence, or statements verifying action or efforts to fulfill the requirements. Examples of documentation may include:

-local, regional, state DUI-related training

-local, regional, state DUI-related projects/programs

-judicial contacts, formal and informal

-availability of ASAP personnel for court hearings and testimony

-services provided (administrative/clerical, personnel, presentations, evaluations, etc.)

-policy board representation

C. Case management.

1. Each ASAP shall have policy statements requiring adherence to case management policies contained in the Commission on VASAP Policies and Procedures Manual (24VAC35-20-10 et seq.).

2. The certification review team will examine up to 10% of the active caseload or no more than 150 files. Case managers will be interviewed and case management systems will be examined, including local ASAP forms and documents.

3. The team will review the following areas of regulation, and will require documentation for verification of:

a. Training

b. Transfers

c. Referral contact

d. Intake

e. Classification

f. Education/treatment referral

g. Monitoring

h. Reporting

D. Education/treatment.

1. Each ASAP shall have policy statement regarding:

a. Use of standardized VASAP curricula

-education

-intensive education

-young offenders (if applicable)

b. Use of treatment referral resources which are properly licensed

2. The certification review team will require documentation, evidence, or statements verifying action or efforts to fulfill the requirements. Examples of documentation may include:

a. Copies of service provider contracts or letters of agreement for both educational and treatment services

b. Copies of license of service providers

c. Copies of confidentiality regulations (local, state, federal)

d. Evidence of adherence to reporting guidelines from service providers:

-written receipt of referral within five working days

-Individual treatment plan within 15 days of the treatment interview

-written notice of change in treatment plan within 15 days

-verbal notice next working day, and written notice within five days, of absence or any other violation

-written progress reports every ninety days as well as final reports from treatment providers

-written final education reports

-written interim and final intensive education reports.

e. ASAP reports to service provider.

-written notice of referral summary of alcohol/drug information

-written notice of terminations, transfers, and excused and unexcused absences.

f. Evidence of instructor training for education and intensive education.

E. Public Information, education and prevention (PI & E).

1. Each ASAP shall have policy statements regarding the following:

a. Prevention and reduction of DUI incidents

b. Increase public knowledge of VASAP

c. Increase public knowledge of the alcohol/drug problem in transportation safety

2. The certification review team will require documentation, evidence or statements verifying action or efforts to fulfill the requirements. Examples of documentation may include:

a. Designation of person(s) in charge of PI & E activities

b. Annual PI & E plan

c. Participation in Commission on VASAP and other statewide PI & E campaigns

d. Attendance at PI & E training workshops

e. Serve as PI & E resource for the community

F. Evaluation and certification.

1. Each ASAP shall have policy statements regarding:

a. Designation of person(s) in charge of evaluation activities;

b. Production of annual program report;

c. Evaluation of education/treatment services; and

d. Participation in state surveys/evaluation projects.

2. The certification review team will require documentation, evidence or statements verifying action or efforts to fulfill the requirements. Examples of documentation may include:

a. Automated systems reports;

b. Annual program reports;

c. Evidence of evaluations from education and treatment programs; or

d. Evidence of participation with Commission on VASAP and other statewide information gathering projects.

Category 6 - Fiscal Policies

Sc. 1: Each ASAP shall have written fiscal policies and procedures conforming to generally-accepted accounting principles. Such policies should include, at minimum, budgeting, purchasing, auditing, property management, receipt of revenue, accounts payable, accounts receivable and methods of accounting. Each ASAP shall have policies which conform to fiscal requirements provided in the policy and procedure manual (24VAC35-20-10 et seq.).

Category 7 - Security and Confidentiality

Each ASAP shall have written policies which conform to the security and confidentiality requirements provided in the Policy and Procedure Manual, 24VAC35-20-220.

The certification team will require documentation, evidence or statements verifying efforts to fulfill the requirements. Examples of documentation may include the following:

a. Release of information form;

b. Disclosure logs; and

c. File location and security.

Category 8. Waiver

Sc. 1 A justified exemption may be granted from a specific ASA certification requirement or any part thereof.

Sc. 2: The ASAP requesting a waiver shall submit the request in writing to the executive director.

Sc. 3: The executive director must act on the waiver request within 15 calendar days after receipt of the request in conformance with § 3.3 of the Policy and Procedure Manual, 24VAC35-20-10.

24VAC35-40-50. Certificate of certification (approval). (Repealed.)

The certificate of approval shall be delivered or mailed to the approved ASAP and shall be kept in custody and control of such ASAP, posted in such a manner as to be viewable by the general public.

24VAC35-40-60. Recertification. (Repealed.)

Recertification shall be based upon the ASAP's continued adherence to Standards for Certification.

ASAPs shall undergo the complete certification process every third year.

24VAC35-40-70. Final certification decision. (Repealed.)

The executive director shall file with the commission a report which details the certification reviews conducted since the last commission meeting. The commission shall review the document presented and make a certification decision. The executive director shall notify in writing the director and the policy board chairperson of each ASAP reviewed of the commission's decision.

The commission may certify, revoke certification or decline to certify an ASAP.

If the commission fails to certify or revokes an ASAP's certification, the commission may establish a new ASAP.

The commission's certification decision shall be sent to the ASAP director, the ASAP policy board chairman, political subdivisions, and the courts the ASAP serves or would serve.

In the event of certification disputes with the certification review team, or the denial of a request for waiver of certification requirements by the executive director, the ASAP director may request a hearing before the commission. The request for the hearing must be in written form from the ASAP director and submitted to the commission 30 thirty days prior to the next regularly scheduled meeting of the commission. Upon receipt of a written request, the commission or its designee shall schedule a hearing.

Failure to file such a request or to appear as scheduled shall be deemed a settlement of the certification dispute or acceptance of the executive director's waiver decision.

FORMS (24VAC35-40) (Repealed.)

Treatment Agency Report, VAS-10 (1/91).

Consent for the Release of Confidential Information, VASAP-34 (Rev. 7/90).

Financial Report.

Request for Deficit Funding.

Proposed Standard Treatment Services Agreement.

Transfer Sheet, VASAP-33 (Rev. 10/89).

Report Form, VASAP-42 (Rev. 10/89).

Certification Review Instrument/Certification Questionaire Score Sheet.

CHAPTER 41
CERTIFICATION REQUIREMENTS MANUAL

24VAC35-41-10. Certification.

A. All programs established or operating under § 18.2-271.1 of the Code of Virginia are required by § 18.2-271.2 to be certified by the Commission on VASAP.

B. Certification of ASAPs within the Commonwealth of Virginia is established to ensure administrative consistency within the system and the quality of services provided to DUI offenders, the courts and the community.

C. The Commonwealth of Virginia is geographically organized into 24 local ASAPs and three ASAP regions: the Battlefield Region, the Blue Ridge Region and the Colonial Region. Certification teams are selected for each region.

24VAC35-41-20. Methodology.

A. Team composition. Each team consists of at least one Commission on VASAP office staff member, one local ASAP director, one case management representative and any other member(s) as designated by the Executive Director of the Commission on VASAP, who shall serve as ex-officio member of each team.

B. Training. The Executive Director of the Commission on VASAP shall be responsible for appointing and providing training to each certification review team.

C. Information request. The ASAP director and policy board chairman shall be notified of the pending review at least 30 days prior to an on-site visit. The Executive Director of the Commission on VASAP shall direct each program to be certified to submit necessary documentation to include, at a minimum:  the program’s policy and procedure manual, personnel policies, the office operations manual, board minutes for the past three years, by-laws, resolutions for each participating jurisdiction, a list of all services provided, a list of the locations of all satellite offices, a list of the locations for all education/intensive education groups, the names of all instructors, copies of the most recent financial audits and other documents as requested.

D. Data and program review. Prior to the certification process, each ASAP director shall submit to the Executive Director of the Commission on VASAP the requested documentation. The Commission on VASAP staff will distribute the requested documentation to the certification team members. Each team shall review the documentation and perform preliminary reviews.  The Commission on VASAP staff shall schedule the onsite visits and select a chairperson for the certification team.  Additional data shall be collected and observations made during the on-site visit to validate the documentation submitted. A review of program operations and personnel management practices, staff interviews, review of samples of client files and financial records as well as a physical examination of the office space shall be performed.

E. Summation conferences. At the completion of the on-site review, the certification team shall hold a summation conference with the director of the program and/or the policy board chair or his designee. During this conference, the certification team shall present preliminary findings of program deficiencies, areas of attention and positive comments. The ASAP director shall be given opportunity to comment.

F. Report submission. The chairperson of the certification team shall be responsible for submission of the report. The chair shall submit the draft report to the team members for review. A written report of the team’s findings shall be submitted within 30 days of the review to the Executive Director of the Commission on VASAP, with copies to the team members, noting observations and recommendations of the certification team. The Executive Director of the Commission on VASAP shall review the findings and contact the certification team chair if necessary to discuss any changes to the report.  The Executive Director of the Commission on VASAP shall provide copies of the final report to the local program director and policy board chair.

G. Program response. The program must provide a written action plan to the Executive Director of the Commission on VASAP to correct cited deficiencies and to address areas of concern in the report within 30 days of notification as required by the VASAP Policy and Procedure Manual.

H. Recommendation of certification. A report containing recommendations for certification shall be provided to the Commission on VASAP by its executive director. The Commission on VASAP shall consider the recommendations of its executive director, and if necessary, review the findings, documents, documentation of compliance, as well as any other relevant material received.  At its discretion, the Commission on VASAP may request additional information from the ASAP.

I. Confidentiality. Each certification team shall adhere to all federal, state and local laws governing confidentiality. The certification review and findings are the sole property of the Commission on VASAP. Dissemination, in any form, of any information, except as expressly provided in this chapter, constitutes a violation of confidentiality. Each certification team member shall sign a confidentiality statement. The Commission on VASAP shall be the sole source responsible for dissemination of any information regarding a program’s certification review.

24VAC35-41-30. Organization and administration.

Each of the following shall be reviewed at the time of certification for compliance and at any such time as the Commission on VASAP deems necessary in order to ensure continued compliance. Each of the following shall adhere to the requirements cited in the Policy and Procedure Manual:

24VAC35-21-20 – Statement of purpose

24VAC35-21-60 – Goals and objectives

24VAC35-21-140 – Local staff

24VAC35-21-150 – Local organization

24VAC35-21-160 – Administrative agent

24VAC35-21-170 – Fiscal agent

24VAC35-21-180 – Policy board

24VAC35-21-185 – Requirements for local policy and procedure manuals

24VAC35-21-190 – Personnel policy guidelines

24VAC35-21-200 – Travel

24VAC35-21-210 – Training

24VAC35-21-220 – Security and confidentiality

24VAC35-21-230 – ASAP finance

24VAC35-21-240 – Offender fee distribution

24VAC35-21-280 – Audits, accounting methods and financial reports

24VAC35-21-300 – Offender fee collection

24VAC35-21-305 – Obligation to report lost, stolen or misspent revenue

24VAC35-21-310 – Transfers and fees

24VAC35-21-315 – Long-term obligation and purchase of real property

24VAC35-21-320 – Correspondence

24VAC35-21-330 – Annual reports

24VAC35-21-350 – Service agreements

24VAC35-21-360 – Offender files

24VAC35-21-370 – Records retention

24VAC35-21-380 – Transfer procedures and documentation

24VAC35-21-390 – Intrastate transfers

24VAC35-21-400 – Interstate transfers

24VAC35-21-420 – Offender services

24VAC35-21-425 – Ancillary services

24VAC35-21-430 – Financial services

24VAC35-21-440 – ASAP commitment (public information and education)

24VAC35-21-450 – Presentations and communications

24VAC35-21-480 – Information

24VAC35-21-490 – Data flow

24VAC35-21-500 – Privacy and security procedures

24VAC35-21-510 – Waivers

24VAC35-41-31. Authority.

A. Each ASAP shall have an independent legally-constituted policy board which has authority for the operation of the program.  The policy board shall operate independently of all other boards.

B. The program policy board shall have written regulations and bylaws which follow the Commission on VASAP Policy and Procedure Manual and include at a minimum:

1. Purpose and responsibility (24VAC35-21-180)

2. Method of appointment of members (24VAC35-21-180)

3. Frequency of meetings (24VAC35-21-180)

4. Parliamentary authority (24VAC35-21-180)

5. Responsibility of the independent policy board to the Commission on VASAP for adherence and compliance of the local program with statewide regulations (24VAC35-21-180)

C. Each ASAP shall have a program organizational chart which clearly delineates administrative and staff responsibility for program operations, and reflects position hierarchy identified through job descriptions. (24VAC35-21-140)

D. Each ASAP shall have a program director as defined in the Commission on VASAP Policy and Procedure Manual.  (24VAC35-21-10)

E. Each ASAP shall maintain copies of its quarterly board meeting minutes. Minutes of each full policy board meeting, as well as executive committee meetings and any other subcommittee meetings conducted by the ASAP, shall be forwarded to the Executive Director of the Commission on VASAP on a quarterly basis. (24VAC35-21-180)

24VAC35-41-32. Personnel.

A. Each ASAP shall have written descriptions for all positions that shall include minimum, explicit qualifications. (24VAC35-21-190)

B. Each ASAP shall have a written personnel policy and procedure manual.  The manual shall be distributed to each staff member upon commencement of employment.  The manual shall comply with all applicable federal, state or local mandates and shall include, at a minimum, the following areas (24VAC35-21-190):

1.  Equal employment opportunity: Each ASAP shall have policy and procedure to provide equal employment opportunities to employees and applicants for employment in all aspects of personnel management without regard to race, color, religion, national origin, political affiliation, handicap, sex or age (except where there is a bona fide occupational requirement).

2.  Employment procedures: Each ASAP shall comply with all standards approved by the local policy board regarding recruitment, screening, salary structure, hiring, and minimum qualifications.

a.   Vacancies shall be announced at least two weeks before the last date on which applications will be accepted.

b.   Vacancy announcement shall include the title, pay grade and/or salary range of the position; identification of the work site; a description of the typical tasks and level of responsibility of the work to be performed; any unusual working conditions not otherwise apparent; the minimum qualifications required and any special or preferred qualifications; the time, place and manner of application, including the closing date for accepting applications if such has been established; the nature of the tests or other screening processes, including interviews, to be used; and a notation that the employing agency is an equal opportunity employer.

3.  Salary scales: Each ASAP shall have policy and procedure to assign salary grades for each position in accordance with pay scales approved by the local policy board.

4.  Probationary period: Each ASAP shall have policy and procedure to require satisfactory completion of a probationary period as a prerequisite to continued employment, unless otherwise determined by local or state directives.

5.  Training: Each ASAP shall have policy and procedure to ensure that all staff participate in any required Commission on VASAP training and shall encourage and assist employees in continuous staff development.

6.  Performance appraisal: Each ASAP shall have policy and procedure to provide an effective means for at least annually appraising the work performance of employees and for providing a pay for performance system.

7.  Benefits: Each ASAP shall have clear descriptions of personnel benefits.

8.  Standards of conduct: Each ASAP shall have written standards of conduct designed to protect the well-being and rights of all employees, to provide a safe, efficient operation and to maintain compliance with public law.

9.  Grievance procedures: Each ASAP shall have a policy to provide for resolution of employee problems and complaints wherein employees can freely discuss their concerns and ensure that employees will have an effective procedure by which various grievances can be fairly and objectively reviewed.

10.  Termination of employment: Each ASAP shall have policy and procedure for termination of employees.

11.  Reductions in force (staff): Each ASAP shall have a written reduction in force (staff) policy and procedure that shall include clear and distinct criteria and processes for personnel and positions affected.  The policy shall be reviewed annually.

12.  Personnel records: Each ASAP shall have policy and procedure to maintain a complete and accurate personnel record for each employee.  Included in these procedures shall be measures to ensure security, storage, access and destruction of all personnel records.

13.  Confidentiality: Each ASAP shall have policy and procedure regarding disclosure of offender information, which comply with all state and federal regulations.

14.  Conflict of interest: Each ASAP shall have policy and procedure to avoid any activity deemed to be in conflict with the interests of the program.  Personnel of each ASAP are subject to conflict of interest laws as found in the Code of Virginia).  Conflicts of interest include but are not limited to the following:

a.   ASAP employees shall not disclose to any person, not entitled thereto, information gained through their office or employment, or otherwise use such information for their personal gain or benefit.

b.   ASAP employees shall not accept any gifts, gratuities, favors or services from offenders, from any individual or agency who may seek to supply goods or services to the Commission on VASAP or the ASAP, or from a member of the policy board.  The terms “gifts, gratuities, favors or services” include but are not limited to: moneys, credits, discounts, seasonal or special occasion presents, eatables, drinks household appliances, furnishings, clothes, loans of goods or money, tickets to sporting or cultural events, transportation, vacations, travel or hotel expenses or any form of entertainment.

c.   ASAP employees shall not contract for or provide supplemental services to an ASAP for which they are employed on a full-time basis.  In the event of a violation of the conflict of interest policy, the ASAP director or chairperson of the ASAP policy board shall execute a review procedure.  ASAP directors shall initiate, conduct and complete a thorough review of any alleged breach of conflict of interest policy by an employee of the ASAP they administer.  Such review shall be initiated within 10 working days from the date of receipt of the allegation.  Upon both initiation and termination of the review, the ASAP director shall notify the Executive Director of the Commission on VASAP and the policy board in writing.  A complete report of the review shall be filed no later than thirty 30 days after the date of the initiation of the review.  Employees of an ASAP found in violation of these policy guidelines shall be dealt with by the ASAP director in accordance with ASAP personnel policy or state law as applicable.  If an ASAP director is subject to review for a breach of any conflict of interest policy, the Executive Director of the Commission on VASAP shall execute the review procedure unless such review is undertaken by the policy board.  The Commission on VASAP shall be informed of the results of the review by its executive director within thirty 30 days of initiation of the review.  When conducting a review, the policy board shall adhere to the same time parameters established for reviews conducted by the ASAP director.  The policy board shall file a completed report within 30 days of initiation to the Executive Director of the Commission on VASAP.  A director found in violation of these personnel policy guidelines shall be dealt with in accordance with ASAP policy or state law where applicable.

d.  No employee of an ASAP shall directly or indirectly supervise another ASAP employee who is a dependent or member of his or her immediate family.

15.  Office hours: Each ASAP shall have stated and posted specific hours of program operation.

16.  Travel: Each ASAP shall have policy and procedure for work-related travel.  Where local regulations do not exist, travel must conform to the Commonwealth of Virginia travel regulations.

17.  Purchasing: Each ASAP shall have a written procurement plan.

18.  Offender records: Each ASAP shall have written policy for maintaining the security and confidentiality of offender records.  Such policies shall conform to all applicable federal, state and local laws and regulations.  Included in these procedures shall be measures to ensure security, storage, access and destruction of all offender records.

19.  Sexual harassment: Each ASAP shall have policy and procedure in compliance with federal, state and local requirements to investigate allegations of sexual harassment, and to address any documented instances of harassment in order to protect the well-being and rights of all employees and provide a safe working environment.

20.  Each ASAP shall have a written policy that addresses outside employment by ASAP employees.

21.  Each ASAP shall have written documentation, signed by each employee, verifying receipt of the personnel policy and procedure manual.

C. The certification review team will require documentation, evidence, or statements verifying action or efforts to fulfill each policy or procedure. Examples of documentation may include the following:

1. Position descriptions;

2. Purchasing documents;

3. A copy of an EEO policy;

4. Staff interviews; and

5. Travel reimbursement documents.

24VAC35-41-33. Staffing.

A. Each ASAP shall employ staff to ensure that required services are provided for each referral.

B. Each ASAP shall employ staff to ensure that each component activity is completed.

24VAC35-41-34. Components.

Each ASAP shall have a written policy statement that supports the VASAP components, a written action plan and exhibits of work which reflect each component, as cited in 24VAC35-21-50.

A. Enforcement: VASAP enhances law enforcement efforts to reduce alcohol and other drug-related crashes by providing training to detect and apprehend those driving under the influence.  The certification team will require documentation, evidence, or statements verifying action or efforts used to address this component.  Examples of documentation may include the following:

1.  local, regional, state DUI-related training

2.  local, regional, state DUI-related projects/programs

3.  enforcement contacts, formal and informal

4.  services provided (roll-call activities, films, materials, etc.)

5.  policy board representation; and

6.  grant funding activity

B. Adjudication: VASAP, prosecutors and courts work together to ensure the efficient processing of those convicted of driving under the influence and referred to VASAP for probation. The certification team will require documentation, evidence, or statements verifying action or efforts to address this component. Examples of documentation may include:

1. local, regional, state DUI-related training

2. local, regional, state DUI-related projects/programs

3. judicial contacts, formal and informal

4. availability of ASAP personnel for court hearings and testimony

5. services provided (administrative/clerical, personnel, presentations, evaluations, etc.)

6. policy board representation

C. Case management/offender intervention – VASAP ensures that each offender is supervised by a case manager who screens the offender and determines the most appropriate intervention, treatment, or probationary services.

1. Each ASAP shall have policy statements requiring adherence to case management policies contained in the Commission on VASAP Policy and Procedure Manual (24VAC35-21).

2. The certification review team will examine up to 10% of the active caseload or no more than 150 files. Case managers will be interviewed and case management systems will be examined, including local ASAP forms and documents.

3. The team will review the following areas of regulation, and will require documentation for verification of:

a. Training

b. Transfers

c. Referral contact

d. Intake

e. Classification

f. Education/treatment referral

g. Monitoring

h. Reporting

i.  Evaluations

4. The certification team will require documentation, evidence, or statements verifying action or efforts to address this component. Examples of documentation may include:

a. Copies of service provider contracts or letters of agreement for both educational and treatment services

b. Copies of licenses of service providers

c. Copies of confidentiality regulations (federal, state, local)

d. Evidence of adherence to reporting guidelines from service providers:

(1) written receipt of referral within five working days

(2) individual treatment plan within 15 days of the treatment interview

(3) written notice of change in treatment plan within 10 days

(4) verbal notice next working day, and written notice within five days, of absence or any other violation

(5) written progress reports within 60 days of intake and every 60 days thereafter as well as final reports from treatment providers within 15 days of discharge

(6)  copies of education class schedules

(7) written final education reports

(8)  midterm and interim intensive education reports

e. ASAP reports to service provider:

(1) written notice of referral summary of alcohol/drug information

(2) written notice of terminations, transfers, and excused and unexcused absences

f. Evidence of attendance at commission required training for facilitators

D. Public information: VASAP helps reduce the number of drunk driving injuries and fatalities by increasing public awareness through education, and by encouraging responsible decision making.  Each program conducts local public information efforts with training and support from the Commission on VASAP. The certification review team will require documentation, evidence or statements verifying action or efforts to address this component. Examples of documentation may include:

1. Designation of person(s) in charge of public information activities

2. Written record of public information activities/annual public information plan

3. Participation in Commission on VASAP and other statewide public information campaigns

4. Service as a public information resource for the community

E. Certification: The Commission on VASAP is responsible for periodically evaluating and recertifying each ASAP ensuring that services in the communities are effective, consistent and appropriate. The certification review team will require documentation, evidence or statements verifying action or efforts to address this component. Examples of documentation may include:

1. Management information system reports

2. Annual program reports

3. Evidence of evaluations from education and treatment programs; or

4. Evidence of participation in Commission on VASAP and other statewide information gathering projects

24VAC35-41-35. Fiscal policies.

Each ASAP shall have written fiscal policies and procedures conforming to generally-accepted accounting principles and in conformance with the VASAP Policy and Procedure Manual (24VAC35-21-10).  Such policies shall include:

A.  Audits - Audits will be performed annually by the Commission on VASAP.  Additional audits can be performed by local CPA firms.

B.  Budgets - Budget documents must be submitted to the Commission on VASAP as required in the Policy and Procedure Manual.  There shall also be in place a method for budget revisions.

C.  Accounting - Programs shall establish a standard accounting method, i.e. cash accrual or modified accrual.

D.  Fiscal agent - Each program shall have a fiscal agent which is a county, city or town of the Commonwealth; approved bookkeeper; or certified public accountant which serves as a fiscal agent as defined by the Code of Virginia.

E.  Purchasing - ASAPs must conform with local fiscal agent policy and procedures, local policy board policy and procedure as well as the Procurement Act of Virginia.

F.  Payroll - Documentation of all payroll activities shall be maintained.

G.  Revenue - Programs shall use the approved management information system to document and receipt all income to the program, to verify payment type and to provide reconciliation of daily revenue deposits.  The program shall devise a method to separate fiscal duties and responsibilities among staff to provide proper checks and balances.  The program shall have written procedures for accounts receivable.

H.  Commission on VASAP monthly reports and state share fees - Each program shall provide documentation of timely submission of monthly reports and payments of state share fees to the Commission on VASAP office as required by the Code of Virginia.

24VAC35-41-36. Security and confidentiality.

Each ASAP shall have written policies which conform to the security and confidentiality requirements provided in the Commission on VASAP Policy and Procedure Manual.  The certification team will require documentation, evidence or statements verifying efforts to address this component. Examples of documentation may include the following:

A. Release of information form

B. Disclosure logs

C. File location and security

D. Research projects

E. Personnel files

24VAC35-41-37. Waiver.

The certification team shall review any waivers granted by the Executive Director of the Commission on VASAP to the local program.

24VAC35-41-40. Certificate of certification (approval).

The certificate of approval shall be delivered or mailed to the approved ASAP and shall be kept in custody and control of such ASAP, posted in such a manner as to be viewable by the general public.

24VAC35-41-50. Recertification.

Recertification shall be based upon the ASAP's continued adherence to standards for certification. ASAPs shall undergo the complete certification process every third year.

24VAC35-41-60. Final certification decision.

A. The Executive Director of the Commission on VASAP shall file with the commission a report that details the certification reviews conducted since the last commission meeting. The Commission on VASAP shall review the document presented and make a certification decision. The Executive Director of the Commission on VASAP shall notify in writing the local program director and the policy board chair of each ASAP reviewed of the commission's decision.

B. The Commission on VASAP may certify, conditionally certify, revoke certification or decline to certify an ASAP.

C. If the Commission on VASAP fails to certify or revokes an ASAP's certification, the commission may establish a new ASAP.

D.  If an ASAP is conditionally certified, the Commission on VASAP will establish a time frame for the local program to correct all deficiencies cited.  The commission may revoke the conditional certification of any program that fails to correct cited deficiencies within the specified time frame.

E. The commission's certification decision shall be sent to the ASAP director, the ASAP policy board chairman, political subdivisions, and the courts the ASAP serves or would serve.

F. In the event of certification disputes with the certification review team, or the denial of a request for waiver of certification requirements by the Executive Director of the Commission on VASAP, the ASAP director may request a hearing before the commission. The request for the hearing must be in written form from the ASAP director and submitted to the commission 30 days prior to its next regularly scheduled meeting. Upon receipt of a written request, the Commission on VASAP or its designee shall schedule a hearing. Failure to file such a request or to appear as scheduled shall be deemed a settlement of the certification dispute or acceptance of the Commission on VASAP Executive Director's waiver decision.