Limitations and Prohibitions on Programs and Practitioners

Date Issued: August 4, 2017

RECIPIENTS

  • All Certified and/or Funded Providers
  • Local Governmental Units (LGUs)

APPLICABILITY

  • This Local Services Bulletin (LSB) applies to any authorized or unauthorized entity, including any individual credentialed by the New York State Office of Alcoholism and Substance Abuse Services (“OASAS” or “the Office”) or substance use disorder treatment program who provides addiction services to residents of New York state.
     
  • OASAS restricts the context in which addiction services may be delivered and authorization of persons qualified to provide such services.
     
  • Provision of substance use disorder services by unauthorized entities is prohibited in New York.

PURPOSE

The purpose of this Local Service Bulletin (LSB) is to clarify the required authorizations, limitations and prohibitions applicable to entities providing certain substance use disorder services to residents of New York State.

LEGAL AUTHORITY

Pursuant to Mental Hygiene Law, the New York State Legislature has declared the Office of Alcoholism and Substance Abuse Services (“OASAS” or the “Office”) as the primary regulator of substance use disorder services in the state. Applicable provisions include:

Section 19.07(c) grants OASAS the authority to ensure that persons who abuse or are dependent on alcohol and/or substances and their families are provided with care, treatment and rehabilitation of high quality and effectiveness, and that the personal and civil rights of persons receiving care, treatment and rehabilitation are adequately protected.

Section 19.07(d) directs the Office to foster programs for the development and credentialing or authorization of persons providing all phases of delivery of care, treatment and rehabilitation of persons who abuse or are dependent on substances and their families including, but not limited to, credentialing, approved courses of study, equivalent on-the-job experience, scope of practice and ethical standards for authorized practitioners.

Section 32.05 of the Mental Hygiene Law provides that no substance use disorder services may be established without the approval of the Commissioner.

LIMITATIONS AND PROHIBITIONS

  • No substance use disorder services may be provided as part of an arrangement between a practitioner and a program for the exchange of remuneration solely to entice an individual or a provider program to direct a potential patient to one of the parties.
     
  • Authorized practitioners and programs must provide services consistent with both state and federal laws including, but not limited to, patient confidentiality, fraud and deceptive business and marketing practices, labor and employment.
     
  • Authorized practitioners may not engage in “dual relationships” or “multiple relationships.”
     
  • Authorized practitioners may only provide substance use disorder services, including pre-admission consultations, as an employee of an authorized program.

Exceptions:

  • A substance use information service that provides information to consumers upon request about providers of substance use disorder services to enable consumers to select appropriate substance use disorder treatment programs, provided that such information service:
     
    • Provides such information at no cost to the consumer, or provides full disclosure to consumers about any fees which must be consistent with the fair market value for such information services and are not based on the potential revenue value of a potential service recipient to a substance use services program or of the goods or services provided by the program;
       
    • Does not attempt by any means to steer or lead a consumer to select or consider a particular authorized practitioner or program;
       
    • Does not provide or represent itself as providing diagnostic or counseling services or assessments of an individual’s need for substance use disorder treatment services and does not make any promises of cure or guarantees of treatment outcome;
       
    • Does not provide or arrange for transportation of a potential consumer to or from the location of an authorized program delivering substance use disorder services;

DEFINITIONS

Authorized practitioner: Means a professional credentialed by the Office pursuant to 14 NYCRR Part 853, certified or credentialed and in good standing with a certifying, credentialing or licensing authority recognized by the Office, or licensed by Article 8 of the Education law, and authorized, consistent with state law and applicable scope of practice and professional codes, to provide substance use disorder services as defined by the Office.

Authorized program: Means a substance use disorder treatment provider or program certified or approved by the Office.

Authorized substance use disorder services: Means services defined and approved by the Office for delivery to consumers or service recipients (patients, potential patients and their families) for all phases of care. Such authorized services include, but are not limited to pre-admission consultation services, assessments, engagement and referrals to treatment, diagnosis and treatment, post-admission treatment, and post-discharge recovery supports.

Dual relationship or multiple relationship: Means a professional relating to a potential service recipient, a current service recipient, or a past service recipient, their significant others or family members in more than one context whether professional, sexual, social or business. Dual relationships can occur simultaneously or sequentially (past, present or future) and have potential for abuse or conflicts of interest.

Pre-admission consultation service: Includes, but is not limited to, a service provided to a potential service recipient, by an authorized practitioner, to engage an individual to consider entering substance use disorder treatment as that term is defined in Mental Hygiene Law §1.03, identify the need for treatment, serve as a personal guide and mentor for people seeking treatment, to help a potential service recipient find resources for treatment, to identify a plan for obtaining needed treatment, or to identify a specific entity for the provision of such substance use disorder treatment.

CODE OF ETHICS and ETHICAL VIOLATIONS

Codes of Ethical Conduct and Canons of Ethical Principles for authorized practitioners set standards for authorized and unauthorized conduct, including directing practitioners to:

  • Not exploit service recipients and assure that financial practices safeguard the best interests of the service recipient;
     
  • Recognize their authorization is founded on national standards of competence which promote the best interest of society, the service recipient, and their profession;
     
  • Not promote personal gain or profit and hold service quality and the public trust above personal gain an advantage;
     
  • Not misrepresent, either directly or by implication, professional qualifications or affiliations;
     
  • Not be associated, directly or indirectly, with any services or products which in any way are misleading or incorrect;
     
  • Not offer, give, or receive commissions, rebates, or other forms of remuneration for a client referral.

PENALTIES

  • Credentials, certifications and licenses of authorized practitioners may be revoked by their licensing, certifying or credentialing agencies for violations of ethical conduct.
     
  • Unauthorized practitioners or programs in New York will be subject to actions by the Office.

SOURCES OF ADDITIONAL INFORMATION