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Subpart 1.

Assessment mandate; timelines.

The placing authority shall provide a chemical use assessment for each client seeking treatment or for whom treatment is sought for substance use disorder before the client is placed in a treatment program. The assessment must be done in a language the client understands and must be completed within the time limits specified. The placing authority shall provide interpreters for people who are deaf, deafblind, and hard-of-hearing and foreign language interpretive services when necessary.


The placing authority must provide an assessment interview for the client within 20 calendar days from the date an appointment was requested for the client. The placing authority must interview clients who miss an appointment within 20 days of a subsequent request for an appointment.


Within ten calendar days after the initial assessment interview, the placing authority must complete the assessment, make determinations, and authorize services.


If the client is in jail or prison, the placing authority according to part 9530.6610, subpart 1, must complete the assessment and placement authorization. If the placing authority does not assess the client, the county where the client is held must assess the client and resolve disputes according to Minnesota Statutes, section 256G.09. The update in item D is not required if the client has been in jail or prison continuously from the time of the assessment interview until the initiation of service.


If 45 calendar days have elapsed between the interview and initiation of services, the placing authority must update the assessment to determine whether the risk description has changed and whether the change in risk description results in a change in planned services. An update does not require a face-to-face contact and may be based on information from the client, collateral source, or treatment provider.


The placing authority must provide a new assessment if six months have passed since the most recent assessment or assessment update.


A placing authority may accept an assessment completed according to parts 9530.6600 to 9530.6655 from any other placing authority or designee in order to meet the requirements of this part.

Subp. 2.

Staff performing assessment.

Chemical use assessments must be conducted by qualified staff. An individual is qualified to perform chemical use assessments if the individual meets the criteria in item A, B, or C:


The individual meets the exception in Minnesota Statutes, section 148C.11, and has successfully completed 30 hours of classroom instruction on chemical use assessments and has 2,000 hours of work experience in chemical use assessments, either as an intern or as an employee.

An individual qualified under this item must also annually complete a minimum of eight hours of in-service training or continuing education related to providing chemical use assessments.


The individual is:


licensed under Minnesota Statutes, chapter 148C, and not excluded under Minnesota Statutes, section 148C.11;


certified by the Upper Midwest Indian Council on Addictive Disorders; or


designated by a federally recognized Indian tribe and provides assessments under the jurisdiction of that tribe.


The individual meets the exception in Minnesota Statutes, section 148C.11, has completed 30 hours of classroom instruction on chemical use assessment, and is receiving clinical supervision from an individual who meets the requirements in item A or B.

Subp. 3.

Method of assessment.

The assessor must gather the information necessary to determine the application of the criteria in parts 9530.6600 to 9530.6655 and record the information in a format prescribed by the commissioner. The assessor must complete an assessment summary as prescribed by the commissioner for each client assessed for treatment services. The assessment summary and information gathered shall be maintained in the client's case record and submitted to the department using procedures specified by the commissioner. At a minimum, the assessment must include:


a personal face-to-face interview with the client;


a review of relevant records or reports regarding the client consistent with subpart 6; and


contacts with two sources of collateral information that have relevant information and are reliable in the judgment of the assessor or documentation that the sources were not available. The following requirements apply to the gathering of collateral information:


before the assessor determines that a collateral source is not available, the assessor must make at least two attempts to contact that source, one of which must be by mail;


one source must be the individual or agency that referred the client;


the assessor must get signed information releases from the client that allow the assessor to contact the collateral sources;


if the client refuses to sign the information releases, and the refusal results in the assessor not having enough information to complete the determinations required by part 9530.6620, the assessor shall not authorize services for the client; and


if the assessor has gathered sufficient information from the referral source and the client to apply the criteria in parts 9530.6620 and 9530.6622, it is not necessary to complete the second collateral contact.

Subp. 4.

Required documentation of assessment.

The client's record shall contain the following:


applicable placement information gathered in compliance with part 9530.6620, subpart 1;


the client's risk description in each dimension in part 9530.6622 and the reasons the specific risk description was assigned;


information gathered about the client from collateral contacts, or documentation of why collateral contacts were not made;


a copy of the forms completed by the assessor under subpart 3; and


a record of referrals, if other than a placement under part 9530.6622.

Subp. 5.

Information provided.

The information gathered and assessment summary must be provided to the authorized treatment program.

Subp. 6.

Confidentiality requirements.

Placing authorities must meet the following confidentiality requirements:


confidentiality of records as required under Minnesota Statutes, chapter 13, and section 254A.09;


federal regulations for the privacy of substance abuse patient information, Code of Federal Regulations, title 42, parts 2.1 to 2.67; and


federal privacy regulations under the Health Insurance Portability and Accountability Act, Code of Federal Regulations, title 45, parts 160.101 to 164.534.

Statutory Authority:

MS s 241.021; 245A.03; 245A.09; 245B.03; 254A.03; 254B.03; 254B.04; 256E.05


11 SR 1005; 16 SR 391; L 2003 1Sp14 art 11 s 11; 32 SR 2268; L 2013 c 62 s 32

NOTE: This part is repealed effective July 1, 2022. L 2020 c 74 art 3 s 13.

Published Electronically:

October 6, 2021

Official Publication of the State of Minnesota
Revisor of Statutes