440 IAC 12 — ARTICLE 12. ASSERTIVE COMMUNITY TREATMENT TEAMS

TITLE 440 DIVISION OF MENTAL HEALTH AND ADDICTION

ARTICLE 12. MENTAL HEALTH REFERRAL PROGRAMS

Rule 1

440 IAC 12-1-1 440 IAC 12-1-1 Purpose

Rule 1. Purpose

440 IAC 12-1-1 Purpose

Authority: IC 33-23-18-7

Affected: IC 33-23-18

Sec. 1. The purpose of this article is to set forth rules for the mental health referral programs created under IC 33-23-18.

(Division of Mental Health and Addiction; 440 IAC 12-1-1; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

Rule 2

440 IAC 12-2-1 440 IAC 12-2-1 Applicability

Rule 2. Definitions

440 IAC 12-2-1 Applicability

Authority: IC 33-23-18-7

Affected: IC 33-23-18

Sec. 1. The definitions in this rule apply throughout this article.

(Division of Mental Health and Addiction; 440 IAC 12-2-1; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-2-2 440 IAC 12-2-2 "Assessor" defined

440 IAC 12-2-2 "Assessor" defined

Authority: IC 33-23-18-7

Affected: IC 33-23-18-1

Sec. 2. "Assessor" has the meaning set forth in IC 33-23-18-1(1).

(Division of Mental Health and Addiction; 440 IAC 12-2-2; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-2-3 440 IAC 12-2-3 "Council" defined

440 IAC 12-2-3 "Council" defined

Authority: IC 33-23-18-7

Affected: IC 33-23-18-1

Sec. 3. "Council" has the meaning set forth in IC 33-23-18-1(2).

(Division of Mental Health and Addiction; 440 IAC 12-2-3; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-2-4 440 IAC 12-2-4 "Division" defined

440 IAC 12-2-4 "Division" defined

Authority: IC 33-23-18-7

Affected: IC 33-23-18-1

Sec. 4. "Division" means the division of mental health and addiction.

(Division of Mental Health and Addiction; 440 IAC 12-2-4; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-2-5 440 IAC 12-2-5 "Qualified adult" defined

440 IAC 12-2-5 "Qualified adult" defined

Authority: IC 33-23-18-7

Affected: IC 33-23-18-1

Sec. 5. "Qualified adult" has the meaning set forth in IC 33-23-18-1(5).

(Division of Mental Health and Addiction; 440 IAC 12-2-5; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-2-6 440 IAC 12-2-6 "Referral program" defined

440 IAC 12-2-6 "Referral program" defined

Authority: IC 33-23-18-7

Affected: IC 33-23-18-1

Sec. 6. "Referral program" has the meaning set forth in IC 33-23-18-1(6).

(Division of Mental Health and Addiction; 440 IAC 12-2-6; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

Rule 3

440 IAC 12-3-1 440 IAC 12-3-1 Creation of a referral program

Rule 3. Mental Health Referral Program Requirements

440 IAC 12-3-1 Creation of a referral program

Authority: IC 33-23-18-7

Affected: IC 33-23-18-2

Sec. 1. (a) To establish a referral program under IC 33-23-18-2, a council shall:

(1) create the guidelines of the referral program; and

(2) submit the referral program, including the guidelines, to the division for authorization of the program.

(b) A referral program may not operate until it has received written authorization to do so by the division.

(c) A referral program shall be authorized so long as the guidelines submitted comply with section 2 of this rule.

(Division of Mental Health and Addiction; 440 IAC 12-3-1; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-3-2 440 IAC 12-3-2 Minimum requirements for referral program guidelines

440 IAC 12-3-2 Minimum requirements for referral program guidelines

Authority: IC 33-23-18-7

Affected: IC 12-23-19; IC 33-23-18-4; IC 33-23-18-5

Sec. 2. (a) A referral program must operate in accordance with its submitted guidelines.

(b) The guidelines of a referral program must include the following:

(1) Names and credentials of all assessors eligible for selection in the referral program.

(2) Documentation showing that each assessor has attested to comply with IC 33-23-18-4.

(3) The establishment of a timeline, not to exceed thirty (30) days, for referrals from point of identification to referral for assessment.

(4) The designation of the location or locations where assessments may occur.

(5) A statement that the treatment providers providing services through the referral program must be certified by the division as mental health and addiction forensic treatment services providers eligible to provide services under IC 12-23-19.

(6) A description of the following services available through the referral program:

(A) Mental health services.

(B) Peer support services.

(C) Other co-occurring treatment.

(D) Ancillary services.

(7) A description of the process that will be used to refer a qualified adult to the referral program.

(8) The eligibility criteria of a qualified adult for the local referral program.

(9) A description of the administrative process for a referral to treatment, under IC 33-23-18-5, including the timeline from a court's referral to the beginning of treatment.

(10) A description of the administrative process when there is a requirement for department of correction involvement.

(11) A description of the administrative process for the treatment provider to give progress reports to the court:

(A) at least once each calendar month; or

(B) at an interval determined by the court.

(12) A description of the council's complaint and grievance procedure.

(c) The council shall make the approved guidelines available to the public on request.

(Division of Mental Health and Addiction; 440 IAC 12-3-2; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-3-3 440 IAC 12-3-3 Modification of referral program

440 IAC 12-3-3 Modification of referral program

Authority: IC 33-23-18-7

Affected: IC 33-23-18

Sec. 3. A council may choose to amend the referral program guidelines at any time, so long as the change is submitted to the division before carrying out the amendments.

(Division of Mental Health and Addiction; 440 IAC 12-3-3; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-3-4 440 IAC 12-3-4 Minimum standards for treatment providers

440 IAC 12-3-4 Minimum standards for treatment providers

Authority: IC 33-23-18-7

Affected: IC 12-23-19; IC 25-23.6-1; IC 33-23-18

Sec. 4. Treatment providers in the referral program shall be licensed or certified under the following requirements:

(1) Be licensed through the Indiana professional licensing agency as one (1) of the following:

(A) A licensed mental health counselor as defined in IC 25-23.6-1-5.5.

(B) A licensed clinical social worker as defined in IC 25-23.6-1-3.

(C) A licensed marriage and family therapist as defined in IC 25-23.6-1-5.

(D) A licensed clinical addiction counselor as defined in IC 25-23.6-1-4.5.

(2) Be certified by the division as a mental health and addiction forensic treatment services provider eligible to provide services under IC 12-23-19.

(3) Follow the rules, standards, and regulations relevant to the certification or license of the provider.

(4) Follow any educational and occupational requirements relevant to the certification or license of the provider.

(Division of Mental Health and Addiction; 440 IAC 12-3-4; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-3-5 440 IAC 12-3-5 Responsibility of referral program to comply with division; investigation of complaints

440 IAC 12-3-5 Responsibility of referral program to comply with division; investigation of complaints

Authority: IC 33-23-18-7

Affected: IC 33-23-18

Sec. 5. (a) A mental health referral program that has applied for authorization, or that the division has previously authorized, shall provide information requested by the division to determine compliance with the requirements of IC 33-23-18 or this article within fourteen (14) days unless an extension is agreed upon by the program and the division.

(b) If the division receives allegations that warrant an investigation:

(1) the division may:

(A) investigate; or

(B) refer the matter to the council to conduct an investigation; and

(2) the entities involved in the local referral program shall fully cooperate with an investigation by the division or its agents.

(c) A referral program's failure to comply with a request from the division may result in removal of authorization for the referral program under section 6 of this rule.

(Division of Mental Health and Addiction; 440 IAC 12-3-5; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-3-6 440 IAC 12-3-6 Sanctions

440 IAC 12-3-6 Sanctions

Authority: IC 33-23-18-7

Affected: IC 33-23-18-8

Sec. 6. If a mental health referral program fails to comply with the requirements established under this article or IC 33-23-18, the division may use the remedies provided in IC 33-23-18-8 for a program that is not compliant.

(Division of Mental Health and Addiction; 440 IAC 12-3-6; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)

440 IAC 12-3-7 440 IAC 12-3-7 Appeals

440 IAC 12-3-7 Appeals

Authority: IC 33-23-18-7

Affected: IC 4-21.5-3; IC 33-23-18

Sec. 7. A council aggrieved by any adverse action taken under this rule may appeal under IC 4-21.5-3.

(Division of Mental Health and Addiction; 440 IAC 12-3-7; filed Nov 5, 2025, 11:43 a.m.: 20251203-IR-440240429FRA)