1. Prepping and Maintaining the Client File Rule 15A-10.018- Provides the organization, location and the individuals responsible for the security and maintenance of the client files as well as process and documentation of providing the client with written rules and procedures concerning confidentiality, the processing of release forms, and the administering of the psychosocial evaluation.

2. Goals and Objectives Review Rule 15A-10.018 Prepping the File Forms Maintaining the file SSS Appeals Files

3. Prepping and Maintaining the Client File The client file shall include the following: Client driver record and arrest report. A lifetime driver record is required where it is available. Original Driver Risk Inventory (DRI) answer sheet. The program’s rules and regulation form shall be signed by the student with the original placed in the client file and a duplicate provided to the client.

4. Prepping and Maintaining the Client File Client rules and regulations shall include: –The requirements for course completion. –Breach of enrollment agreement. –The transfer policy and fee. –All fees for all services in the program. –Statement on confidentiality regulations. –Psychosocial evaluation process and objectives. HSMV Form 77003- Client Tracking Form, which must contain significant dates and contacts with the client, other service providers, significant others, and significant events.

5. Prepping and Maintaining the Client File HSMV Form 77008-Student Observation/Incident Report HSMV Form 77005- Treatment Referral and/or Documentation. HSMV Form 77004- Client Data Information and Interview Documentation of court and Department communication. This can be documented on the Client Tracking Form 77003.

6. Prepping and Maintaining the Client File HSMV Form 77009- Client Transfer Record. HSMV Form 77040- Interstate DUI Transfer Form HSMV Form 77031- Feedback

7. File Retention The program shall retain a complete file for a minimum of six months following completion of the education services or conviction, whichever comes last. The program shall retain a permanent record of that file of all clients who have enrolled in the program that will minimally include the name, address, date of birth, driver license number, and the status of completion. This record will also include a summary of the evaluation, as well as ancillary data secured in the interview. The client shall have access to the client file for review.

8. Maintaining the File Once a client is enrolled in treatment, has violations for Ignition Interlock or is enrolled in SSS the client will be returning monthly for periodic updates. Forms added to the file should be kept in the same order for quick access. Form 77003-the client tracking form should be updated each session.

9. Maintaining the File Check that required forms have signatures signed by the evaluator and client. Keep all receipts in order by date Keep copies of Interlock downloads in the file used for IID violation appointments and SSS appointments.

10. SSS Appeals Client is being cancelled from SSS or is being denied into SSS. The following forms should be included in the file: Form 77027- Letter Recommending Cancellation Form 77023- SSS Case Review The Case Management plan

11. SSS Appeals Form 77020-Psychosocial Evaluation Form 77025- SSS Periodic Update Interlock downloads-violations Form 77003-Client Tracking Form Form 77011- Request to Release Information Form 77021-Referral for Required Chemical Testing

12. The End