ALABAMA DEPARTMENT OF YOUTH SERVICES

ADMINISTRATIVE DIVISION

ADMINISTRATIVE CODE

CHAPTER 950-1-3 APPROVAL FOR SERVICE PROVIDERS WHO PROVIDE TREATMENT TO CRIMINAL JUVENILE SEX OFFENDERS

TABLE OF CONTENTS

950-1-3-.01 Introduction

950-1-3-.02 Statutory Authority

950-1-3-.03 Glossary

950-1-3-.04 Administration

950-1-3-.05 Qualifications Of Therapists

950-1-3-.06 Professional Fees And Charges

950-1-3-.07 Intake Policy And Procedures

950-1-3-.08 Assessment And Individual Treatment Plan

950-1-3-.09 Maintenance Of Records

950-1-3-.10 Ethical Standards

950-1-3-.11 Conducting The Risk Assessment

950-1-3-.12 The Use Of Physiological Measurements

950-1-3-.13 Aversive Techniques

950-1-3-.14 Research Involving Juvenile Sex Offender Programs

950-1-3-.15 Application For Approval

950-1-3-.16 Revocation Of Approval

950-1-3-.17 Appeal For A Fair Hearing

950-1-3-.18 Effective Date

950-1-3-.01 Introduction.

(1) The Alabama Department of Youth Services has statutory responsibility to approve treatment providers who work with "criminal juvenile sex offenders" as provided by the Community Notification Act of 1999. The Act mandates that juveniles who commit criminal sexual offenses receive treatment. Individuals who provide treatment services to these juveniles are required to be approved by the Alabama Department of Youth Services.

(2) The Director of the Alabama Department of Youth Services appointed a "panel of experts" to develop a set of standards that could be used in the approval process. The Department of Youth Services Board approved these recommended standards on September 28, 2001. The rules presented herein incorporate those standards into administrative procedures as required by Alabama statute.

(3) The rules presented herein are applicable to persons who provide treatment services to "criminal juvenile sex offenders" as defined by Alabama statute. Said individuals who are or in the future believe they will be providing treatment services to this population are required to follow these rules.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.02 Statutory Authority.

(1) The Department of Youth Services is vested with authority to make and enforce all rules and regulations, which are necessary and appropriate to the proper accomplishment of the duties and functions vested in the department by law with respect to youth services. Among the functions of the Department of Youth Services is the authority to license facilities for delinquent youth.

(2) Juveniles who are found to be delinquent for a criminal sex offense are required to receive sex offender treatment by a licensed sex offender treatment program (§15-20-27). A written report on the assessment of risk for sexually re-offending shall be prepared by a "sexual treatment program" approved by the Department of Youth Services (§15-20-21).

(3) Definitions (§13A-6-60) that apply to this rule are:

(a) Sexual intercourse – such term has its ordinary meaning and occurs upon any penetration, however slight; emission is not required.

(b) Deviate sexual intercourse – any act of sexual gratification between persons not married to each other involving the sex organs of one person and the mouth or anus of another.

(c) Sexual contact – any touching of the sexual or other intimate parts of a person not married to the actor, done for the purpose of gratifying the sexual desire of either party.

(d) Mentally defective – such term means that a person suffers from a mental disease or defect, which renders him [or her] incapable of appraising the nature of his [or her] conduct.

(e) Mentally incapacitated – such term means that a person is rendered temporarily incapable of appraising or controlling his [or her] conduct owing to the influence of a narcotic or intoxicating substance administered to him [or her] without his [or her] consent, or to any other incapacitating act committed upon him [or her] without his [or her] consent.

(f) Physically helpless – such term means that a person is unconscious or for any other reason is physically unable to communicate unwillingness to an act.

(g) Forcible compulsion – physical force that overcomes earnest resistance or a threat, express or implied, that places a person in fear of immediate death or serious physical injury to himself [or herself] or another person.

(4) Criminal sex offenses referred to in this rule are as defined as follows:

(a) Rape in the first degree or second degree.

1. A person commits the crime of rape in the first degree (§13A-6-61) if:

(i) He [or she] engages in sexual intercourse with a member of the opposite sex by forcible compulsion; or

(ii) He [or she] engages in sexual intercourse with a member of the opposite sex who is incapable of consent by reason of being physically helpless or mentally incapacitated; or

(iii) He [or she], being sixteen (16) years or older, engages in sexual intercourse with a member of the opposite sex who is less than twelve (12) years old.

2. Rape in the first degree is a Class A felony.

3. A person commits the crime of rape in the second degree (§13A-6-62) if:

(i) Being sixteen (16) years old or older, he [or she] engages in sexual intercourse with a member of the opposite sex less than sixteen (16) and more than twelve (12) years old; provided, however, the actor is at least two (2) years older than the member of the opposite sex;

(ii) He [or she] engages in sexual intercourse with a member of the opposite sex who is incapable of consent by reason of being mentally defective;

4. Rape in the second degree is a Class B felony.

(b) Sodomy in the first degree or second degree (§§13A-6-63 and 13A-6-64).

1. A person commits the crime of sodomy in the first degree if:

(i) He [or she] engages in deviate sexual intercourse with another person by forcible compulsion; or

(ii) He [or she] engages in deviate sexual intercourse with a person who is incapable of consent by reason of being physically helpless or mentally incapacitated; or

(iii) He [or she], being sixteen (16) years old or older, engages in deviate sexual intercourse with a person who is less than twelve (12) years old.

2. Sodomy in the first degree is a Class A felony.

3. A person commits the crime of sodomy in the second degree if:

(i) He [or she], being sixteen (16) years old or older, engages in deviate sexual intercourse with another person less than sixteen (16) and more than twelve (12) years old;

(ii) He [or she] engages in deviate sexual intercourse with a person who is incapable of consent by reason of being mentally defective.

4. Sodomy in the second degree is a Class B felony.

(c) Sexual torture (§13A-6-65.1).

1. A person commits the crime of sexual torture:

(i) By penetrating the vagina or anus or mouth of another person with an inanimate object by forcible compulsion with the intent to sexually torture or to sexually abuse;

(ii) By penetrating the vagina or anus or mouth of a person who is incapable of consent by reason of physical helplessness or mental incapacity with an inanimate object, with the intent to sexually torture or to sexually abuse;

(iii) By penetrating the vagina or anus or mouth of a person who is less than twelve (12) years old with an inanimate object, by a person who is sixteen (16) years old or older with the intent to sexually torture or to sexually abuse.

2. The crime of sexual torture is a Class A felony.

(d) Sexual abuse in the first degree and second degree (§§13A-6-66 and 13A-6-67).

1. A person commits the crime of sexual abuse in the first degree if:

(i) He [or she] subjects another person to sexual contact by forcible compulsion;

(ii) He [or she] subjects another person to sexual contact who is incapable of consent by reason of being physically helpless or mentally incapacitated;

(iii) He [or she], being sixteen (16) years old or older, subjects another person to sexual contact who is less than twelve (12) years old.

2. Sexual abuse in the first degree is a Class C felony.

3. A person commits the crime of sexual abuse in the second degree if:

(i) He [or she] subjects another person to sexual contact who is incapable of consent by reason of some factor other than being less than sixteen (16) years old;

(ii) He [or she], being nineteen (19) years old or older, subjects another person to sexual contact who is less than sixteen (16) years old, but more than twelve (12) years old;

(iii) Sexual abuse in the second degree is a Class A misdemeanor, except that if a person commits a second or subsequent offense of sexual abuse in the second degree within one (1) year of another sexual offense, the offense is a Class C felony.

(e) Enticing a child to enter a vehicle, room, house, office, or other place for immoral purposes (§13A-6-69).

1. It shall be unlawful for any person with lascivious intent to entice, allure, persuade or invite, or attempt to entice, allure, persuade or invite, any child under sixteen (16) years of age to enter any vehicle, room, house, office or other place for the purpose of proposing to such child the performance of an act of sexual intercourse or an act which constitutes the offense of sodomy or for the purpose of proposing the fondling or feeling of the sexual or genital parts of such child or the breast of such child, or for the purpose of committing an aggravated assault on such child, or for the purpose of proposing that such child fondle or feel the sexual or genital parts of such person. Any person violating the provisions of this section shall, for the first violation, be punished by a fine not to exceed $5,000.00 or by confinement for a term not to exceed five (5) years, or by both fine and imprisonment; and any person who shall be convicted for the second violation of this section shall be punished by confinement in the penitentiary for not less than two (2) nor more than ten (10) years, and such person shall not be eligible for probation.

(f) Promoting prostitution in the first degree or second degree (§§13A-12-111 and 13A-12-112).

1. A person commits the crime of promoting prostitution in the first degree if he [or she] knowingly:

(i) Advances prostitution by compelling a person by force or intimidation to engage in prostitution, or profits from such coercive conduct by another; or

(ii) Advances or profits from prostitution of a person less than sixteen (16) years of age.

2. Promoting prostitution in the first degree is a Class B felony.

3. A person commits the crime of promoting prostitution in the second degree if he [or she] knowingly:

(i) Advances or profits from prostitution by managing, supervising, controlling or owning, either alone or in association with others, a house of prostitution or a prostitution business or enterprise involving prostitution activity by two (2) or more prostitutes other than the defendant; or

(ii) Advances or profits from prostitution of a person less than eighteen (18) years of age.

4. Promoting prostitution in the second degree is a Class C felony.

(g) Violation of the Alabama Child Pornography Act.

1. Dissemination or display of obscene matter (§13A-12-191).

(i) Any person who shall knowingly disseminate or display publicly any obscene matter containing a visual reproduction of a person under the age of seventeen (17) years engaged in any act of sadomasochistic abuse, sexual intercourse, sexual excitement, masturbation, breast nudity, genital nudity, or other sexual conduct shall be guilty of a Class B felony.

2. Possession of obscene matter (§13A-12-192).

(i) Any person who knowingly possesses with intent to disseminate any obscene matter containing a visual reproduction of a person under the age of seventeen (17) years engaged in any act of sadomasochistic abuse, sexual intercourse, sexual excitement, masturbation, breast nudity, genital nudity, or other sexual conduct shall be guilty of a Class B felony. Possession of three (3) or more copies of the same obscene material is prima facie evidence of possession with intent to disseminate the same.

(ii) Any person who knowingly possesses any obscene matter containing a visual reproduction of a person under the age of seventeen (17) years engaged in any act of sadomasochistic abuse, sexual intercourse, sexual excitement, masturbation, genital nudity, or other sexual conduct shall be guilty of a Class C felony.

(h) Kidnapping of a minor, except by a parent in the first or second degree (§§13A-6-43 and 13A-6-44).

1. A person commits the crime of kidnapping of a minor in the first degree if abducts another person with intent to:

(i) Hold him [or her] for ransom or reward; or

(ii) Use him [or her] as a shield or hostage; or

(iii) Accomplish or aid the commission of any felony or flight there from; or

(iv) Inflict physical injury upon him [or her], or to violate or abuse him [or her] sexually; or

(v) Terrorize him [or her] or a third person; or

(vi) Interfere with the performance of any governmental or political function.

2. A person does not commit the crime of kidnapping in the first degree if he [or she] voluntarily releases the victim alive, and not suffering from serious physical injury, in a safe place prior to apprehension. The burden of injecting the issue of voluntary safe release is on the defendant, but this does not shift the burden of proof. This subsection does not apply to a prosecution for or preclude a conviction of kidnapping in the second degree or any other crime.

3. Kidnapping in the first degree is a Class A felony.

4 A person commits the crime of kidnapping in the second degree if he [or she] abducts another person.

5. A person does not commit a crime under this section if:

(i) The abduction is not coupled with intent to use or to threaten to use deadly force;

(ii) The actor is a relative of the person abducted; and

(iii) The actor's sole purpose is to assume lawful control of that person. The burden of injecting the issue of defense under this subsection is on the defendant, but this does not shift the burden of proof.

6. Kidnapping in the second degree is a Class B felony.

(i) Incest (§13A-13-3).

1. A person commits incest if he [or she] marries or engages in sexual intercourse with a person he [or she] knows to be, either legitimately or illegitimately:

(i) His [or her] ancestor or descendant by blood or adoption; or

(ii) His [or her] brother or sister of the whole or half-blood or by adoption; or

(iii) His [or her] stepchild or stepparent, while the marriage creating the relationship exists; or

(iv) His [or her] aunt, uncle, nephew or niece of the whole or half-blood.

2. A person shall not be convicted of incest or of an attempt to commit incest upon the uncorroborated testimony of the person with whom the offense is alleged to have been committed.

3. Incest is a Class C felony.

(j) Soliciting a child by computer for the purposes of committing a sexual act by transmitting obscene material to a child by computer (§13A-6-110).

1. In addition to the provisions of §13A-6-69, a person is guilty of solicitation of a child by a computer if the person is nineteen (19) years of age or older and the person knowingly, with the intent to commit an unlawful sex act, entices, induces, persuades, seduces, prevails, advises, coerces, or orders, by means of a computer, a child who is less than sixteen (16) years of age and at least three (3) years younger than the defendant, to meet with the defendant or any other person for the purpose of engaging in sexual intercourse, sodomy, or to engage in a sexual performance, obscene sexual performance, or sexual conduct for his or her benefit.

2. Solicitation of a child by computer is a Class B felony.

3. A person is guilty of transmitting obscene material to a child if the person transmits, by means of any computer communication system allowing the input, output, examination, or transfer of computer programs from one computer to another, material which, in whole or in part, depicts actual or simulated nudity, sexual conduct, or sadomasochistic abuse, for the purpose of initiating or engaging in sexual acts with the child.

4. For purposes of determining jurisdiction, the offense is committed in this state if the transmission that constitutes the offense either originates in this state or is received in this state.

5. A person charged under this section shall be tried as an adult and the record of the proceeding shall not be sealed nor subject to expungement.

6. Transmitting obscene material of engaging in sexual intercourse, sodomy, or to engage in a sexual performance, obscene sexual performance, or sexual conduct for his [or her] benefit to a child is a Class B felony.

(k) Any solicitation, attempt, or conspiracy to commit any of the offenses listed as criminal sex offenses (§15-20-21).

(l) Any crime committed in any state or a federal, military, Indian, or a foreign country jurisdiction which, if it had been committed in this state under the current provisions of law, would constitute an offense if listed in paragraphs (a) to (k), inclusive (§15-20-21).

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.03 Glossary.

(1) Abstinence - refraining from behaviors by one’s own decision. Sex offenders refraining from pursuing and/or engaging in behaviors that were part of their offense history, including deviant thoughts and fantasies.

(2) Abstinence Violation Effect (AVE) - a term used to describe a variety of changes in beliefs and behaviors that can result from engaging in a lapse. Among the components of the AVE is a sense that treatment was a failure; a belief that the lapse is a result of being weak-willed and unable to create personal change; a failure to anticipate that lapses will occur; and recalling only the positive aspects of the abusive behavior (also referred to as the problem of immediate gratification). When sexually abusive youths are not prepared to cope with the AVE, the likelihood of relapse increases. The AVE is experienced most strongly when clients believe that lapses should never occur.

(3) Abuse-specific - the treatment issues essential to developing internalized self-control to prevent re-engaging in sexually abusive behavior. Issues include the assault pattern, chain or cycle; cognitive distortions; reduction of inappropriate arousal; history of victimization or trauma; relapse prevention; and interpersonal and socialization skill development (e.g., anger management, assertiveness, stress management, communication skills, and appropriate interpersonal interactions) as related to abuser issues.

(4) Adjudication - the process of rendering a judicial decision as to whether the facts alleged in a petition or other pleading are true; an adjudicatory hearing is that court proceeding in which it is determined whether the allegations of the petition are supported by legally-admissible evidence.

(5) Aftercare - a legal status created by order of the committing court at the time of release from a state training school whereby a youth is permitted to return to the community subject to supervision by the court or any agency designated by the court and subject to return to the court at any time during the aftercare period.

(6) Ancillary services - ancillary services can be provided by individuals who have neither a license nor the necessary experience to meet the standards for independent practice with his [or her] population. Any such services provided should be in conjunction with and under the supervision of approved service providers. Services can include case management and assisting an approved therapist in group activities and other related services to clients while under direct supervision.

(7) Assertiveness - bold statement of one's position without aggression.

(8) Assessment - the process of collecting and analyzing information about a sexually abusive youth so that appropriate decisions can be made regarding sentencing, supervision, and treatment. An assessment does not and cannot determine guilt or innocence and it can be used to determine whether and individual fits the profile of an offender who will commit future offenses.

(9) Autoeroticism - self-stimulation/masturbation.

(10) Boundary/Limit - an imaginary wall or line that keeps us feeling safe, comfortable, and protected. A boundary can be a thing, a place, a thought or a feeling.

(11) Clinical polygraph - a diagnostic instrument and procedure designed to assist in the treatment and supervision of sex offenders by detecting deception or verifying truth of statements by persons adjudicated as sex offenders. Three types of polygraph examinations used are:

(a) Sexual history disclosure test - refers to testing the accuracy of the offender’s report of his [or her] entire sexual history, generally through the completion of a comprehensive sexual history questionnaire.

(b) Instant offense disclosure test - refers to testing the accuracy of the offender’s report of his [or her] behavior in a particular sex offense, usually the most recent offense related to his [or her] being criminally charged.

(c) Maintenance/Monitoring test - refers to testing the verification of the offender’s report of compliance with supervision rules and restrictions.

(12) Coercion - the use of tricks, bribes, force, threats or intimidation to get someone to go along with what you want to do. Coercion is the tool used to get victims to comply or cooperate.

(13) Cognition - mental processes such as thinking, visualizing, and memory functions that are created over time based on experience, value development and education.

(14) Cognitive distortion - a thinking error or irrational thought that sex offenders use to justify their behavior or to allow themselves to experience abusive emotions without attempting to change them. Cognitive distortions are ways sex offenders make excuses justifying and minimizing their sexually abusive behavior. In essence, these are self-generated excuses for taking part in one’s relapse patterns. These thoughts distort reality.

(15) Cognitive restructuring - a treatment technique wherein the client is helped to become aware of distorted thinking styles and attitudes that support sexual offending and/or other problem behaviors and is encouraged to change those cognitions through confrontation and rebuttal.

(16) Community notification laws - laws which allow or mandate that law enforcement, criminal justice, or corrections agencies give citizens access to relevant information about certain convicted sex offenders living in their communities.

(17) Confidentiality - a restriction on repeating communications to a third party. Some things cannot remain confidential such as: acts or behaviors that would be injurious to oneself or others; things against the law; and other things that are explained prior to beginning treatment.

(18) Consensual act - an act whose nature and ramifications are fully understood by all participating parties. Any participating party has the right to stop the activity.

(19) Coping skills - tools used in order to help one deal with their high risk factors.

(20) Criminal sex offense - a crime of a sexual nature, which would be a crime if committed by an adult, when made the basis of an adjudication of delinquency in any juvenile court in Alabama.

(21) Cruising - the active seeking out of a victim for purposes of engaging in deviant sexual activity. May also create arousal without any actual sexual activity with a victim. May constitute a lapse.

(22) Deception - intentional lying to others in an attempt to hide one’s actions, thoughts or plans. Polygraph operators use the terms "deception" noted when examinations indicate a person was lying in response to a question or "no deception" if answer appears truthful.

(23) Defensiveness - denial, lying to self and others, minimizing, justifying, blaming drugs/alcohol, self-pity, taking "victim stance", rage at allegations.

(24) Denial - a psychological defense mechanism in which the offender may act shocked or indignant over the allegations of sexual abuse. Differentiated types of denial include: factual denial, denial of denial, denial of awareness of the act, denial of impact of the act on the victim, denial of responsibility, denial of grooming behavior, and denial of sexual intent.

(25) Despair - fear of getting caught, transitory guilt/shame, "I’m sorry", self-disgust, powerlessness-hopelessness, zero-state, and loss of self-importance.

(26) Deterrents - things one uses to get out of his [or her] cycle. Deterrents can be things like talking to someone else, or even playing basketball.

(27) Deviant arousal - the sexual arousal to paraphilic behaviors. Deviant arousal is a sex offender’s pattern of being sexually aroused to deviant sexual themes. Not all sex offenders have deviant arousal patterns. Part of treatment program is to help offender identify these arousal patterns and implement their relapse prevention plan.

(28) Disassociation - inability to recall important personal information, usually traumatic or of a stressful nature. This lack of recall is too extensive to be explained by normal forgetfulness. Other features may include depressive symptoms, anxiety, and depersonalization. Disassociation is seen in many sexual abuse victims as the separation of some mental or behavioral processes from ones’ perception in order to avoid overwhelming emotion.

(29) Discharge readiness - the point at which it appears to a multi-disciplinary team working with the offending youth that he [or she] has completed and internalized the techniques learned in their residential treatment program and are able to implement their relapse prevention plan. The professional staff has completed the risk assessment report, prepared the report for the juvenile court judge and is prepared to testify in court to the treatment outcome. The professional is also prepared to give recommendation(s) regarding after care. The judge determines a level of risk the youth presents to the community and, if a less restrictive setting is indicated, the judge will discharge the youth from the Department of Youth Services facility.

(30) Disinhibitors - internal or external motivators (stimuli) which decrease reservations or prohibitions against engaging in sexual activities. An example of an internal disinhibitor is a cognitive distortion (e.g., "that 8 year old is coming on to me," or "she said no, but she really wants to have sex with me"). Alcohol and drug use are examples of external disinhibitors.

(31) Empathy - a capacity for participating in the feelings and ideas of another. Empathy is a critical psychological health skill, and crucial to all relationships.

(32) Empathy awareness - the ability of the sexually offending youth noticing the cues of self and others. The youth should be able to interpret the cues accurately, without jumping to conclusions and becoming able to validate interpretations.

(33) Empathy for victim - ability to notice cues mentioned above, and to validate interpretations. Understanding how one’s sexually abusive behaviors affect the victim(s); understanding someone else’s perspective.

(34) False resolve - "It will never happen again", looking for instant cures, "religious conversion", superoptimism.

(35) Family clarification - the therapeutic family session in which the sexually abusive behaviors and events are made clear to everyone by the abuser.

(36) Family reconciliation - the therapeutic process that ends with a resolution of problems and conflict areas that allows a family to have a healthy, non-abusive relationship. Family reconciliation must take place before family reunification can occur. Reconciliation may take place without reunification, although reunification should not occur without reconciliation.

(37) Family reunification - this is the joining again of the family unit as part of a sex offender’s treatment plan. It is a step-by-step process with achievable goals and objectives.

(38) Grooming - the process of manipulation often utilized by child molesters, intended to reduce a victim’s or potential victim’s resistance to sexual abuse. Typical grooming activities include gaining the child victim's trust or gradually escalating boundary violations of the child’s body in order to desensitize the victim to further abuse.

(39) High risk factors (HRF) - a set of internal motivations or external situations/events that threaten a sex offender’s sense of self-control and increase the risk of having a lapse or relapse. High risk factors usually follow seemingly unimportant decisions (SUD’s).

(40) High risk situations - any thing, place, feeling, thought or event that will make an offender more likely to commit a sexual offense.

(41) Homophobia - showing great dislike or fear of homosexuals.

(42) Incest - sexual relations between close relatives, such as father and daughter, mother and son, sister and brother. This also includes other relatives, step children, and children of common-law marriages.

(43) Informed consent statement - a clinical document signed by a sexually abusive youth, which becomes part of the treatment record and may be admissible in court. It implies that the sexually abusive youth understands the benefits and risks of a particular treatment procedure and may voluntarily withdraw from the procedure without consequence (often applies to the use of aversive therapy). Document may also contain statements regarding the type of information that will not remain confidential.

(44) Isolate - shut off one’s feelings from others.

(45) Individualized service plan (ISP) - a document outlining the essential treatment issues, which must be addressed by the sex offender. Treatment plans often consist of core problem areas to be addressed in treatment such as cognitive restructuring, emotional development, social and interpersonal skills enhancement, lowering of deviant sexual arousal, anger management, empathy development, understanding of the sexual abuse cycle, and the formulation and implementation of a relapse prevention plan. These plans also include the strengths of the offender that can be built on in the course of treatment. These plans will include:

(a) Strengths;

(b) Problem(s) to be addressed;

(c) Treatment proposed;

(d) Goals of treatment (short and long term goals);

(e) Who is responsible for what steps in the plan; and

(f) Time frame to meet goals.

(46) Juvenile - an individual under the age of eighteen (18), or under nineteen (19) years of age and before the juvenile court for a matter arising before that individual’s eighteenth (18th) birthday.

(47) Juvenile criminal sex offender - a child adjudicated delinquent of a criminal sex offense as defined by the statute.

(48) Lapse - an emotion, fantasy, thought, or behavior that is part of a sex offender’s cycle and relapse pattern. Lapses are not sex offenses. They are precursors or risk factors for sex offenses. Lapses are not failures and are often considered as valuable learning experiences.

(49) Least restrictive environment - the environment in which a sex offender lives that decreases security offered by the physical structure (e.g., increased number of roommates), reduces the level/intensity of supervision, allows greater access to unsupervised leisure time activities, and permits community or family visits. The least restrictive environment is usually the result of significant treatment progress or compliance with the treatment program and environment.

(50) Level of risk - the degree of danger a sex offender is believed to pose to potential victims or the community at large. A professional who is trained or qualified to assess sex offender risk determines the likelihood or potential for a sex offender to re-offend.

(51) Lying by omission - leaving out important parts of information.

(52) Maladaptive coping response (MCR) - an apparent effort to deal with a risk factor or lapse that actually enables the sex offender to get closer to relapse (e.g., an angry rapist who decides to take a drive and picks up a female hitch-hiker, or a child molester who knows that he has a problem with alcohol and decides to have a drink because he is upset).

(53) Megan’s law - the first amendment to the Jacob Wetterling Crimes Against Children and Sexually Violent Offenders Act. This was passed in October 1996 and requires states to allow public access to information about sex offenders in the community. This federal mandate was named after Megan Kanka, a seven-year old girl who was raped and murdered by a twice-convicted child molester in her New Jersey neighborhood.

(54) Minimization - an attempt by the offender to downplay the extent of abuse and/or the impact of the abuse of the victim. "She did not cry", "she wanted it".

(55) Mitigating circumstances - conditions may exist that make the juvenile sexual offender unable to understand the seriousness of their actions on their victim(s). Conditions may include the offender participating in the offense under coercion or duress; a lack of sufficient capacity on the part of the sex offender for judgment due to physical or mental impairment; or sincere remorse and a course of action undertaken to demonstrate restitution, responsibility, and culpability.

(56) Multi-disciplinary team - a variety of professionals (e.g., psychologists, psychiatrists, clinical social workers, counselors, educators, medical personnel, recreational staff, paraprofessionals, criminal justice personnel, volunteers, and victim advocates) working together to evaluate, monitor and treat sex offenders.

(57) Paraphilia - a psychosexual disorder that includes recurrent, intense, sexually arousing fantasies, urges, and/or thoughts that usually involve humans, but may also include non-human objects. Suffering of one’s self or partner, children, or non-consenting persons is common. A deviation in normal sexual interests and behavior that may include:

(a) Bestiality (Zoophilia) - sexual interest or arousal to animals.

(b) Coprophilia - sexual interest or arousal to feces.

(c) Exhibitionism - exposing one’s genitalia to others for purposes of sexual arousal.

(d) Frottage - touching or rubbing against a non-consenting person.

(e) Fetishism - use of nonliving objects (e.g., shoes, undergarments, etc.) for sexual arousal that often involves masturbation.

(f) Hebophilia - sexual interest in, or arousal to, teens/post-pubescent children.

(g) Klismophilia - sexual arousal from enemas.

(h) Necrophilia - sexual interest in, or arousal, to corpses.

(i) Pedophilia – an unnatural attraction to prepubescent children (generally age thirteen (13) years or younger) including recurrent, intense, sexually arousing fantasies, sexual urges, or behaviors involving sexual activity.

(j) Pederasty - sexual interest in, or arousal to, adolescents.

(k) Sexual masochism - sexual arousal/excitement from being humiliated, beaten, bound, or made to suffer.

(l) Sexual sadism - sexual arousal/excitement from psychological or physical suffering of another.

(m) Telephone scatologia - engaging in uninvited, sexually explicit talk with another person via the telephone. This is often referred to as "obscene phone calling".

(n) Transvestic fetishism – is described as fantasies and sexual urges to dress in opposite gender clothing as means of arousal and as an adjunct to masturbation or coitus.

(o) Voyeurism - observing unsuspecting individuals, usually stranger, who are naked, in the act of dressing or undressing, or engaging in sexual activities.

(58) Positive treatment outcome - significantly lower risk of sexually abusive behavior as a result of attaining/developing a higher level of internal control. Positive treatment outcomes include observable changes in behaviors; thoughts and attitudes associated with sexual abusing that indicate a significantly lower level of risk for abusing.

(59) Precursors - a general term used to describe seemingly unimportant decisions (SUDs), maladaptive coping responses (MCRs), risk factors, lapses, and the abstinence violation effect (AVE). Precursors are events that occur prior to a sex offense and are described as follows:

(a) Perpetuating precursors - thoughts, feelings, and behaviors, which are generally ongoing problems in the sex offender’s life and often help maintain him [or her] in the pretend-normal phase of the cycle and trigger the relapse process (e.g., unresolved angers, alcohol, and drug abuse, and low self-esteem). The pretend-normal phase of the deviant cycle for a sex offender is the phase in which the offender attempts to cover up his [or her] behavior by engaging in "normal daily routines" that do not include sexually deviant behavior.

(b) Precipitating precursors - thoughts, feelings, and events which generally began during the sex offender’s childhood which influence the way he [or she] currently thinks, feels and he [or she] behaves (e.g., thoughts, and feelings experienced today that are a result of abuse during childhood).

(c) Predisposing precursors - thoughts, feelings, and events which occur in the sex offender’s life which trigger the deviant cycle and relapse process. These precursors are usually high risk factors and triggers which precede acting out (e.g., arguments with others, isolation, etc.)

(60) Programmed coping responses - coping responses and interventions that are well practiced by the offender so that they are used automatically when he [or she] is faced with a risk factor or high risk situation.

(61) Projecting - pretending that one’s feelings are coming from the other person. Projecting lets one pretend that the victim was the one with the sexual feelings and the initiator.

(62) Psychopharmacology - the use of prescribed medications to alter behavior, affect, and/or the cognitive process.

(63) Recidivism - commission of a crime after the individual has been criminally adjudicated for a previous crime.

(64) Release - discharge from the custody of the Department of Youth Services or other juvenile detention, or placement on probation or parole or aftercare, or placement into any facility or treatment program that allows the offender to have unsupervised access to the public.

(65) Relapse - a re-occurring sexually abusive behavior or sex offense.

(66) Release of information - the sharing of information among individuals managing sexually abusive youths (e.g., two-way information release between treatment providers and legal professionals includes the sharing of sexually abusive youth’s legal and treatment records and other information necessary for the effective monitoring and supervision).

(67) Relapse prevention - a multidimensional model incorporating cognitive and behavioral techniques to treat sexually abusive/aggressive behavior. Helping the offender maintain control of his [or her] problem sexual behavior over time and across situations.

(68) Re-offend - commit another sexual crime.

(69) Responsible agency - for a juvenile criminal sex offender being released from the Department of Youth Services, the responsible agency is the Department of Youth Services.

(70) Risk assessment - a written report to the committing court on the assessment of risk for sexually re-offending conducted by a sexual treatment program approved by the Department of Youth Services. The report shall include, but not be limited to, the following regarding the criminal sex offender: criminal history, mental status, attitude, previous sexual offender treatment and response to treatment, social factors, conditions of release expected to minimize risk of sexual re-offending and characteristics of the criminal sex offense.

(71) Risk factors - a set of internal stimuli or external circumstances that threaten sex offender’s self-control and thus increases the risk of lapse or relapse. Characteristics that have been found through scientific study to be associated with increased likelihood of recidivism for known sex offenders. Risk factors are typically identified through risk assessment instruments. An example of a sex offender risk factor is a history of molesting boys.

(72) Risk level - the determination by evaluation of a sex offender’s likelihood of re-offense, and, if the offender re-offends, the extent to which the offense is likely to be traumatic to potential victims. In Alabama this judicial determination is based on the 1999 Community Notification Act. Sexual offenders who exhibit fewer offenses, less violence, less denial, a willingness to engage in treatment, no or few collateral issues (e.g., substance abuse, cognitive deficits, learning disabilities, neurological deficits, and use of weapons) are considered lower risk than those whose profile reflects more offenses, violence, etc. Risk level is changeable, depending on behaviors exhibited within a treatment program. Disclosures of additional, previously unknown offenses or behaviors may also alter the offender’s assessed level of risk.

(73) Sadism - the achievement of sexual gratification by inflicting physical or psychological pain and/or humiliation upon another.

(74) Sentencing court - the court of conviction or the court that determines sentence as a result of conviction or adjudication.

(75) Seemingly unimportant decisions (SUDs) - decisions sex offenders make that seem to them to have little bearing on whether a lapse or relapse will occur. SUDs actually allow sex offenders to get closer to high-risk factors that increase the probability of another offense (e.g., a pedophile who decides to go holiday shopping at a mall on a Saturday afternoon or decides to go to a Walt Disney movie on a Saturday afternoon is making a Seeming Unimportant Decision—the certain presence of children in the mall or the inevitable presence of children at the theater creates a high-risk factor that may lead to lapse or relapse).

(76) Sexual abuse cycle - the pattern of specific thoughts, feelings, and behaviors which often lead up to and immediately follow the acting out of sexual deviance. This is also referred to as "offense cycle," or "cycle of offending."

(77) Sexual abuse specific - a term used to imply that aspects of treatment, assessment, and programming are targeting sexually abusive behaviors and not generic problems. Sexual abuse specific treatment often includes limited confidentiality, involuntary client participation, and a dual responsibility for the therapist: meeting the offender’s needs while protecting society.

(78) Sodomy - deviant sexual contact (See legal definitions).

(79) Successful completion - a sex offender’s graduation from a program with a discharge statement stating that he [or she] has successfully demonstrated all skills and abilities required for safe release from the program.

(80) Thinking errors - twisted thinking used to tell oneself that something known to be wrong is not really bad.

(81) Treatment models - various treatment models are employed with sex offenders. The Accountability-Based Sexual Offender Program and the After-Care Program (AC) uses a combination of the following:

(a) Central treatment model - a multi-disciplinary approach to sex offender and sexual abuser treatment that includes all program components (e.g., clinical, residential, educational, etc.).

(b) Cognitive/behavioral treatment model - a comprehensive, structured treatment approach based on sexual learning theory using cognitive restructuring methods and behavioral techniques. Behavioral methods are primarily directed at reducing arousal and increasing pro-social skills. The cognitive behavioral approach employs peer groups and educational classes, and uses a variety of counseling theories.

(c) Family systems treatment model - is used in the AC Program by including the family members in the treatment process. A variety of counseling theories is used.

(d) Relapse prevention (RP) treatment model - a three dimensional, multimodal approach specifically designed to help sex offenders maintain behavioral changes by anticipating and coping with the problem of relapse. The focus of both assessment and treatment procedures is on the specification and modification of the steps in this chain, from broad lifestyle factors and cognitive distortions to more circumscribed skill deficits and deviant sexual arousal patterns. The focus is on the relapse process itself which:

1. Teaches clients internal self-management skills;

2. Plans for an external supervisory component;

3. Provides a framework within which a variety of behavioral, cognitive, educational, and skill training approaches are prescribed in order to teach the sex offender how to recognize and interrupt the chain of events leading to relapse.

(82) Treatment providers - persons who provide direct treatment services to criminal juvenile sex offenders shall have completed a graduate degree at the master’s level or above from an accredited university in one of the following recognized mental health professions: psychiatry, psychology, social work, marriage and family counseling, counseling or psychiatric nursing. Persons who possess other graduate degrees in a related field or persons in training at the graduate level in one of the recognized mental health professions can assist in a treatment program as a co-facilitator or case manager. These persons shall be professionally supervised by a trained clinician from one of the above-designated disciplines.

(83) Trigger - an external event that begins the abuse or acting out cycle (i.e., seeing a young child, watching people argue, etc.).

(84) Types of rapists – clinically defined as an individual who engages in forcible sexual penetration of a child or an adult (vaginal, oral, or anal) with a penis, finger or object. Motivators for committing sexual acts on others include; anger, power, or eroticism.

(85) Victim-stance - a tendency for offenders to consider themselves the real victim, no matter how aggressive their behavior toward other people.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.04 Administration.

(1) The service provider shall have a program document that describes the operation of the juvenile sex offender program. The overview to the program shall describe the theoretical approaches used by the service provider and the manner in which services are delivered. The program description shall be available to the juvenile courts in the community catchment area served by the treatment provider and to the Alabama Department of Youth Services.

(a) It is recognized that program material may vary based on the size of the service organization. Sole proprietary type services offered by a single therapist who works with this population shall provide a program manual. Offices with multiple therapists should have a policy and program manual that provides information about how the organization is structured as well as how services are provided which meet the needs of juvenile sex offenders.

(2) Oversight is vested in a single person who has overall clinical responsibility for the treatment program.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.05 Qualifications Of Therapists.

(1) Persons who provide direct treatment services to criminal juvenile sex offenders shall have completed a graduate degree at the master’s level or above from an accredited university in one of the following recognized mental health professions: psychiatry, psychology, social work, marriage and family therapists, counseling, clinical nursing specializing in mental health, or psychiatric nursing at the practitioner level. Persons who possess other graduate degrees in a related field or persons in training at the graduate level in one of the recognized mental health professions can assist in a treatment program as a co-facilitator or case manager. These persons shall be professionally supervised by a trained clinician from one of the above-designated disciplines.

(a) Only persons with recognized graduate degrees designed to prepare a person to provide clinical services should be engaged in providing primary services to criminal juvenile sex offenders. However, it is known that other persons such as nurses, pastoral counselors, and graduate students in field internships or practicums do provide services to adjudicated delinquent youth. Thus, these persons may provide ancillary services to treatment programs for this population, assuming they also meet other requirements described herein. All degrees should be on file or posted at a readily accessible location.

(2) Persons who provide direct treatment services to criminal juvenile sex offenders shall be licensed to practice in their professional discipline by the appropriate State of Alabama licensing authority. Clinicians shall be certain that they are licensed at the appropriate level for the type of practice in which they are engaged. License eligible providers of direct therapeutic services to this population must be in the process of completing licensing procedures by their respective discipline and must be under the direct supervision of a licensed professional. Persons who are exempted by State statute from the licensure requirements can also practice with this population if they meet the other requirements, as described herein, and if they are supervised by an approved licensed professional.

(a) Only persons who are licensed to practice in the State of Alabama are eligible to provide direct therapeutic services to this population. The licensing requirements vary among the professional disciplines. The individual practitioner should have completed sufficient hours to acquire clinical competence. Students in graduate internships, license eligible professionals working with this population, license exempt State agency staff and residential program staff may work directly with clients, but only if a licensed professional supervises them and signs approval as the final authority on clinical practice and treatment planning. A one (1) year grace period will be allowed for mental health professionals currently working with this population to have an opportunity to meet this rule from the date of adoption by the Department of Youth Services director. After the rules have been adopted mental health professionals will have a one (1) year grace period from the initial date of beginning work with this population. During these grace periods professionals not meeting the rules shall be supervised by a mental health professional that meet the requirements as specified by these rules.

(3) Persons who provide direct treatment services to criminal juvenile sex offenders in a treatment program shall have a minimum of two (2) years of supervised experience with clinical populations of adolescents. At least one (1) year of that experience must have been with youth that were in treatment for sex offending behavior. Receipt of certification from a juvenile sex offender certification program can be substituted for six (6) months of the clinical practice experience requirement, but only if the certification program requires an internship/practice component. Professionals who received their graduate degrees prior to 1990, and who otherwise meet the conditions above, are not required to have one (1) year of their supervised experience to be in the treatment of juvenile sex offenders. Persons who provide direct services to juveniles in a treatment program are not required to have the two (2) years of experience if they are directly supervised by a professional who has at least five (5) years of post graduate experience with juveniles and who meets licensure requirements to carry out supervision. Practitioners who have neither a required level of licensure or the required experience with this population can work only in ancillary roles with criminal juvenile sex offenders until they acquire the required professional experience and licensure.

(a) Persons who provide independent treatment services to this population should have considerable experience with adolescents who manifest various emotional and social problems. This experience should be obtained through a system of intensive training and supervision of at least two (2) years duration, with one (1) year focused on the treatment of adolescent sexual offenders. However, it is recognized that specialized treatment of juvenile sexual offenders has primarily emerged during the last decade. Treatment specialists were trained to deal with multiple problems which adolescents experience, rather than focusing specifically on sex offending. Therefore, a therapist who received training prior to 1990 is not expected to have had specialized experience with juvenile sex offenders. Providers who do not meet the full criteria outlined in section 950-1-3-.05(3) and thus require supervision for their work with juvenile sex offenders are required to be supervised by an approved juvenile sex offender treatment provider. The supervisor shall provide supervision sufficient to ensure that the treatment provided meets the standards of care. Ordinarily, this would mean face-to-face supervision of one (1) hour per week, review of records, and written approval of the treatment services.

(4) Providers of direct treatment services to juvenile sex offenders shall be involved in continuing education and professional development activities appropriate to their professional practice. It is expected that while meeting the continuing education requirement of their respective licensing authority, approved juvenile sex offender service providers will receive, at minimum, six (6) hours annually of specialized training and continuing education in working with adolescents with mental and emotional disorders and in the assessment, treatment and/or management of sex offenders. Documentation shall be on file to verify the receipt of this annual training requirement.

(a) It is expected that service providers who work with juvenile sex offenders will continually be engaged in professional development activities which aid them in knowing current literature, treatment approaches, and promising research findings in this specialized field of practice. The expected six (6) hours of training specific to the treatment of juvenile sex offenders can be included in the continuing education requirement of the provider’s respective profession if they meet the requirement of the appropriate licensing authority.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.06 Professional Fees And Charges.

(1) Arrangements for all fees and payment schedules are to be discussed in full with a written contract to be signed by the provider and the client and parent/guardian at the beginning of an assessment or a therapeutic relationship. It is strongly encouraged that this take place at the first meeting and not later than the second meeting. No fee change will be made without a modified written agreement signed by the provider, client, and parent/guardian.

(2) Bartering for services can result in a multiple relationship; therefore, is considered unethical.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.07 Intake Policy And Procedures.

(1) Juveniles included under these rules shall be adjudicated for a sex offense as a "criminal juvenile sex offender" as defined by Alabama statutes.

(a) These rules establish a recognized quality of care to be provided to any juvenile sex offender. However, the only persons covered specifically under these standards are those who have been adjudicated as a criminal juvenile sex offender. Direct treatment as defined in these rules means intervention related to the juvenile's sex offense(s).

(2) The court that has original jurisdiction of the juvenile shall mandate juvenile sex offender treatment by a person approved as a service provider. This treatment can either be provided while incarcerated or through outpatient services while on probation or in pre-commitment or post-commitment treatment / aftercare, or any combination thereof. Documentation of the court’s order shall be incorporated in the individual’s treatment file.

(a) Informed consent/acknowledgment is considered an essential component of the provision of any professional service. At the time of the initial appointment, each client and parent/guardian of a juvenile shall be informed both verbally and in writing of the types of services proposed and the limits of privilege and confidentiality.

(3) The therapist shall make every effort to receive "discovery material" from the various agencies of the justice system; i.e., police, probation, prosecution, and the court. In addition, the therapist should collect information from clients regarding other psychosocial documents as available from the following:

(a) Medical records;

(b) Psychological/psychiatric reports;

(c) Grievance and disciplinary records;

(d) Referrals to other agencies;

(e) Authorization and agreement forms signed by both the parent/guardian and juvenile.

(4) A provider shall conduct an administrative meeting covering, both verbally and in writing, the following: treatment program facilitation, fees, acknowledgment, and limited confidentiality. It is highly desirable for the parent/guardian to participate in the intake process.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.08 Assessment And Individual Treatment Plan.

(1) The treatment provider shall conduct an assessment of the juvenile sex offender during the initial stage of treatment. The intake assessment should ordinarily take ten (10) days from the initial contact with the client and it shall be completed in no longer than twenty-one (21) days. The initial comprehensive assessment shall include but is not limited to a comprehensive developmental history with a parent, legal guardian, or relative who has knowledge of the juvenile’s history, a comprehensive sexual history from multiple data sources including self report, medical history, family history, social history, educational history, employment history, psychiatric/psychological history, alcohol/drug history, delinquency history to include both sexual and non-sexual activities, review of collateral data as described under rule 950-1-3-.07, a critical professional opinion/evaluation of the above information with implications for treatment.

(a) In order to effectively treat juvenile sexual offenders it is imperative that a thorough assessment is done to determine the environmental as well as the behavioral, intellectual, and psychosocial factors that may be contributing to the offending behaviors. The initial assessment should be completed with the understanding that assessment is an on-going process and will continue through out the treatment process. Every reasonable effort should be made to interview parents, legal guardians or relatives as a part of assessment interviewing. If inclusion is not possible the reason(s) should be documented. Relevant, ancillary testing is strongly recommended in conjunction with the psychosocial assessment. These rules are not intended to supercede other mandated timetables or other requirements the provider is required to uphold by other entities.

(2) An individualized treatment plan for juvenile sex offenders shall be developed within seven (7) days of completion of the initial intake assessment. The treatment plan shall be monitored and reviewed every thirty (30) days by the provider(s) working with the juvenile. This plan shall include, but not be limited to:

(a) Relevant aspects of the initial assessment;

(b) A statement of the specific strengths, needs and limitations of the juvenile;

(c) A description of the intermediate and long range goals with a projected timetable for their attainment;

(d) A statement and explanation of the approaches and methods to be used;

(e) A statement of the least restrictive setting and surveillance/monitoring necessary to achieve these goals with care given to ensuring the rights of the juvenile and the safety of the community-at-large;

(f) A specification of the professionals and other staff members who are responsible for assisting in the attainment of goals;

(g) A notation of any therapeutic tasks to be required of the juvenile;

(h) A description of any rights or restrictions as determined by the juvenile’s treatment team and/or therapist;

(i) Criteria for discharge either to a less restrictive setting or from treatment with a projected date for completion of the program.

(3) A therapeutic treatment regimen should take into consideration all aspects of the juvenile’s capabilities including strengths and needs. The treatment regimen should be applicable relative to the juvenile's development. This determination should be made based on the initial and on-going assessment of the juvenile in order to provide appropriate and effective intervention. The treatment plan should be relevant, specific, and within the context of the least restrictive setting. However, the treatment plan should demonstrate that consideration was given to the rights of the juvenile as well as the safety of the youth’s victim(s) as well as the community-at-large. The plan shall be developed, implemented, and monitored by qualified professionals and appropriate staff members.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.09 Maintenance Of Records.

(1) A written body of policy and procedures establishes the program's management of case records including, at a minimum, the following areas:

(a) The establishment, use, confidentiality, and content of juvenile records;

(b) The right to privacy;

(c) Secure placement and preservation of records;

(d) A schedule for retiring or destroying inactive records.

(2) The program administration maintains a record on each juvenile in a master file that includes, at a minimum, the following information:

(a) Initial intake information form;

(b) Case information from referral source, if available;

(c) Case history/social history;

(d) Medical records, when available;

(e) Psychological/psychiatric reports, if available;

(f) Individual plan or program;

(g) Signed release-of-information forms, when required;

(h) Evaluation and progress reports;

(i) Current employment data, if applicable;

(j) Program rules and disciplinary policy, signed by the juvenile;

(k) Documented legal authority to accept the juvenile;

(l) Grievance and disciplinary records;

(m) Referrals to other agencies, if applicable;

(n) Individual educational plans (IEP), if applicable;

(o) Pertinent educational information;

(p) Final discharge or transfer report;

(q) Vocational plans, if applicable;

(r) Informed consent/Acknowledgment form.

(3) Each service provider shall follow the standards promulgated by their own professional discipline, as well as relevant State laws, policies, and procedures, regarding maintenance of case records.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.10 Ethical Standards.

(1) The service provider shall follow the ethical standards promulgated by their own professional discipline and by the appropriate State of Alabama licensing authority.

(2) A standard of professional conduct and competence must be upheld by service providers. Services providers must not permit personal feelings related to the client's crimes or behavior interfere with professional judgment. Should a provider be unable to render professional service for a particular client for any reason, he [or she] will make an appropriate referral.

(3) Service providers will deliver services in a manner that maintains the dignity and worth of the client. Furthermore, providers should be knowledgeable about, sensitive to, and competent to practice with diverse ethnic, racial, social, and cultural groups.

(4) Service providers must uphold a high standard in their relationships with clients. Informed consent is an essential component of professional service. However, in the case of juvenile offenders, the right to freely consent is circumscribed by the nature of the consequences for failing to cooperate. For this reason, it is critical for practitioners to make every effort to gain the juvenile client's assent and similarly engage the client's parent or guardian in the therapeutic process. The practitioner must do so while still meeting his [or her] professional responsibility to fully inform the client and the client's parent or guardian, in age-appropriate language, both verbally and in writing, of the following:

(a) The type and extent of service proposed;

(b) Alternatives to the type of service proposed;

(c) Extent to which, if any, client has the right to refuse service;

(d) Potential risks and benefits involved;

(e) Limits of privilege and confidentiality;

(f) Time frame covered by the consent.

(5) Service providers shall inform clients and their guardians of the limits of confidentiality in accordance with professional and legal requirements. In particular service providers shall inform clients and guardians of the provider's responsibility to the larger society or specific legal obligations that may supersede the loyalty owed clients.

(6) Service providers shall not communicate to others, except under those conditions specified below, any information, data or reports on the client without signed authorization from both the juvenile client and the client's legal guardian.

(7) Service providers may communicate information to others without written permission under the circumstances listed below. In all cases, information disclosed should be the least amount of confidential information necessary to achieve the desired purpose and only information, which is directly relevant to the purpose for which the disclosure is made. These situations include:

(a) The client presents a clear and immediate danger to another individual; or

(b) The client is himself [or herself] in clear and immediate danger; or

(c) There is an obligation to comply with specific statutes requiring reporting of abuse to authorities; or

(d) There is a court order or legal responsibility to report information in the process of an on-going legal proceeding.

(8) Service providers should inform clients, to the extent possible, about the disclosure of confidential information and the potential consequences, when feasible, before the disclosure is made. This applies whether the confidential information is disclosed on the basis of a legal requirement or client consent.

(9) Service providers will store client records to ensure both security and confidential.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.11 Conducting The Risk Assessment.

(1) Treatment providers shall conduct a risk assessment of criminal juvenile sex offenders to provide to the court of original jurisdiction in order to facilitate the court’s determination of the risk the juvenile poses to the community. This risk assessment shall follow the guidance provided by the 1999 Sex Offender Notification Act that is applicable to adjudicated criminal juvenile sex offenders. The risk assessment shall be approved and signed by a licensed mental health professional that meets the standards herein.

(a) The 1999 Act requires that treatment providers provide information to the committing court, sixty (60) days prior to recommended discharge, levels of risk that the juvenile poses to the community. In addition, the risk assessment should systematically follow a proscribed format. The issues that shall be included in the risk assessment include, but are not limited to, the following: criminal history, mental status, attitude, previous sex offender treatment, response to treatment, social factors, conditions of release expected to minimize risk of sexual re-offending, and characteristics of the criminal sex offense. There is an evolving knowledge base of factors identified as important to completing accurate risk assessment or as otherwise provided by law. Other factors such as victim empathy, social skill development, and psychosexual development level, age appropriate behavior, and anger management and control are typically incorporated in model risk assessment tools. The Department of Youth Services makes use of several risk assessment tools, one of which was developed specifically to meet requirements of the 1999 Act. A number of other specialized risk assessment tools have been developed in this field of practice. Practitioners who practice with this population should be familiar with these tools.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.12 The Use Of Physiological Measurements.

(1) Use of the penile plethysmograph is permitted only in patient programs that work with criminal juvenile sex offenders on a case-by-case basis with prior approval. Related state statutes must be considered in the development of a treatment plan that might include the use of the penile plethysmograph.

(a) Although there are no state statutes that specifically deal with the use of the plethysmograph on juveniles, the State of Alabama does have definitive statutes regarding introduction of sexually provocative material by an adult to a minor. Therefore, the use of this instrumentation is deemed to be a high-risk practice and thus is not recommended for outpatient treatment.

(2) Treatment providers shall use polygraph examinations for the purposes of aiding in the detection of deception and discovering the commission of undetected offending behaviors. The results of the polygraph examination shall not be the only factor to be considered, in making decisions about termination of treatment or recommendations regarding probation revocation. A licensed polygraph examiner who has experience in examining sex offenders shall administer these examinations.

(a) There is wide acceptance nationally of the potential value of polygraph examinations in providing an effective and relatively low cost alternative to other methods of surveillance of sex offenders. The results of the polygraph examinations can be used to aid the clinician and the probation supervisor in understanding the need for other surveillance techniques that may be required and in evaluating the manner in which the youth is engaged in treatment.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.13 Aversive Techniques.

(1) For adolescents in treatment for sex offenses, non-aversive procedures are always to be the first intervention trial. Only in circumstances in which non-aversive procedures have not been effective in reducing deviant arousal, should aversive procedures be considered. Prior to implementing any aversive control procedure, providers should consult with other providers to obtain verification for the necessity and appropriateness of the planned intervention. In addition, full specific informed written consent should be obtained from both the adolescent and his or her guardian prior to implementing any aversive control procedure. Moreover, only odor aversion and verbal satiation aversive procedures should be used in an outpatient treatment context and these should only be used by providers familiar with the ethical and clinical considerations of their use. If providers have any doubts about the use of these procedures, they should seek additional professional consultation.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.14 Research Involving Juvenile Sex Offender Programs.

(1) All research involving criminal juvenile sex offenders must receive approval by an appropriate Institutional Review Board (IRB) using standards set by the U.S. Department of Health and Human Services National Institutes of Health Office for Protection from Research Risks.

(2) Professionals involved in research must obtain voluntary and written informed assents from juvenile participants and voluntary and written informed consents from parents/ guardians of juvenile participants. Such consent must be obtained in such a manner so as to avoid real or perceived coercion to participate. Information must be in language understandable by the participant and his [or her] representative. Since the clients of the Department of Youth Services criminal juvenile sex offender treatment programs are especially vulnerable to coercion and/or influence, appropriate safeguards must be included to protect the rights and welfare of those research participants.

(3) A final report on any research involving clients of a criminal juvenile sex offender treatment program must be submitted to the Department of Youth Services to be kept on file. Professionals engaged in research activities should carefully consider possible consequences and should follow established guidelines for the protection of evaluation and research participants. These guidelines are available upon request from the Department of Youth Services.

(a) Juvenile sex offender treatment professionals should keep current with emerging research knowledge relevant to juvenile sex offender treatment. Professionals should be encouraged to contribute to the knowledge base of the field through various research endeavors.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.15 Application For Approval.

(1) Persons who desire to provide therapeutic services to criminal juvenile sex offenders must submit an application for approval to the Department of Youth Services. Application packages are available upon request from the Department of Youth Services. Submitted applications must provide notarized certification of truth. Organizations that employ multiple therapists must complete separate forms for each practitioner.

(a) Persons who provide direct treatment services to criminal juvenile sex offenders will provide the necessary personal information required for the Department of Youth Services to conduct or to have conducted an authorized criminal records check and clearance with the Child Abuse/Neglect Central Registry. The applicant will pay for the costs associated with this investigation. Persons currently charged with or convicted of an offense involving moral turpitude cannot be engaged in therapeutic practice with criminal juvenile sex offenders.

(b) Organizations who are engaged in practice with this population shall arrange for a criminal records check through the Department of Youth Services and the central registry clearance of all candidates who are engaged in activities involving juvenile sex offenders.

(c) Providers working with criminal juvenile sex offenders must carry adequate liability insurance and provide the Department of Youth Services with written verification that the insurance coverage is in force. The provider must have a minimum of $1,000,000.00 liability coverage with $500,000.00 for each occurrence. Verification of coverage should be provided at the time of the application for approval as a provider and annually thereafter by November 30th of each year. A provider must notify the Department of Youth Services immediately upon the cancellation of said liability coverage.

(d) The Department of Youth Services will utilize reviewers from an arranged panel, which includes persons who represent the recognized mental health disciplines to review all applications. The requirements mandated by these rules will be used to evaluate the applications. Providers approved for practice with criminal juvenile sex offenders will be approved for three (3) years.

(e) Renewal applications shall be submitted during the third (3rd) year, at least six (6) months prior to expiration. Criminal records checks and documentation of licensure will be required as a part of the application renewal process.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.16 Revocation Of Approval.

(1) Conditions for revocation of approval of a therapist

(a) The Department may revoke or refuse to renew the approval of a therapist to work with juvenile criminal sex offenders for the following:

1. Disciplinary action by the licensing authority of the therapist’s profession that results in the revocation or suspension of the license by the licensing board.

2. Notification of a charge of, or conviction of, moral turpitude involving a child as defined by Alabama statute.

3. Notification of an allegation of child abuse as reported to the Alabama Department of Human Resources.

4. Failure to provide documentation of liability insurance as required by these rules.

5. Furnish or make any misleading or false statement or report to the Department.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.17 Appeal For A Fair Hearing.

(1) Procedure for appeal and review

(a) In the event an application for approval is denied, an approval is revoked, or a renewal of an approval is denied, the aggrieved party may appeal to the Department of Youth Services for a fair hearing.

(b) The decision or action of the Department of Youth Services on any fair hearing shall be final and binding.

(c) Any aggrieved party is entitled to a review of the final decision or action by filing a petition for review with the Circuit Court of Montgomery County, Alabama, within thirty (30) days from the date of the final decision or action.

(d) Notice and opportunity for a fair hearing and notice of right to counsel shall be given to the appellant by the Department of Youth Services, along with a copy of the Regulations and Procedures for Hearings.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.

950-1-3-.18 Effective Date.

Author: Department of Youth Services, Administration Division

Statutory Authority: Code of Ala. 1975, Title 44; §§15-20-1 through 15-20-36; §§13A-6-60 through 13A-6-111.

History: New Rule: August 16, 2002; effective September 20, 2002.