File No. 33039
This rule was published in the November 1, 2009, issue (Vol. 2009, No. 21) of the Utah State Bulletin.
Human Services, Substance Abuse and Mental Health
Division Rules of Administration
Notice of Proposed Rule
DAR File No.: 33039
Filed: 10/13/2009 06:31:14 AM
Purpose of the rule or reason for the change:
The division is updating this rule to eliminate sections that are outdated/unneeded or a restatement of code, and to move Sections R523-20-1, Allocation of Substance Abuse Purchase-of-Service Money; R523-20-9, Distribution of Fee-On-Fine (DUI) Funds; and R523-20-10, 20% Match Required to Be County Tax Revenue; to Rule R523-1 where they more appropriately match the intent of that rule.
Summary of the rule or change:
This amendment: 1) adds an authority section; 2) adds a purpose section; 3) deletes the Allocation of Substance Abuse Purchase-of-Service Money, which is being moved to Section R523-1-15; 4) deletes the Training Priorities and Responsibilities section permanently; 5) deletes the Research/Evaluation Priorities and Responsibilities section permanently; 6) deletes the Competition - Contracting/Subcontracting section permanently; 7) deletes the Maintenance of Effort section permanently; 8) deletes the Distribution of Fee-On-Fine (DUI) Funds, which is being moved to Section R523-1-24; 9) deletes the 20% Match Required to Be County Tax Revenue, which is being moved to Section R523-1-25; and 10) makes technical changes to numbering.
State statutory or constitutional authorization for this rule:
- Subsection 62A-15-105(5)
Anticipated cost or savings to:
the state budget:
There are no costs or savings to the state budget. All changes to this rule are technical in nature and the sections that are deleted do not carry a fiscal impact.
There are no costs or savings to local governments. All changes to this rule are technical in nature and the sections that are deleted do not carry a fiscal impact.
There are no costs or savings to small businesses. All changes to this rule are technical in nature and the sections that are deleted do not carry a fiscal impact.
persons other than small businesses, businesses, or local governmental entities:
There are no costs or savings to other persons. All changes to this rule are technical in nature and the sections that are deleted do not carry a fiscal impact.
Compliance costs for affected persons:
There are no compliance cost associated with this amendment.
Comments by the department head on the fiscal impact the rule may have on businesses:
After careful review, the Department of Human Services has determined that this rule will have no financial impact on businesses in the state of Utah.
Lisa-Michele Church, Executive Director
The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:Human Services
Substance Abuse and Mental Health
120 N 200 W
SALT LAKE CITY, UT 84103-1500
Direct questions regarding this rule to:
- Thom Dunford at the above address, by phone at 801-538-4519, by FAX at 801-538-9892, or by Internet E-mail at email@example.com
Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:
This rule may become effective on:
Mark Payne, Director
R523. Human Services, Substance Abuse and Mental Health.
R523-20. Division Rules of Administration.
R523-20-1. Allocation of Substance Abuse Purchase-of-Service Money. 1. The Board of Substance Abuse and Mental Health is granted
authority pursuant to Section 62A-15-108 Utah Code to establish a
funding formula that allocates funds to the Local Substance Abuse
Authorities. The funding formula adopted by the State Board of
Substance Abuse and Mental Health (Board) is as follows:
a. Up to 15% of the purchase of service funds may be
allocated by the State Division of Substance Abuse and Mental
Health for statewide services; the remaining 85% of these funds
will be allocated to the Local Substance Abuse Authorities as
i. Rural counties (all counties in the state except Utah,
Salt Lake, Davis, and Weber) shall be allocated a rural
differential of $11,600;
ii. Sixty percent of the remaining funds will be allocated
to each county based on the need factor derived from the
Incidence and Prevalence Studies;
iii. The remaining forty percent of the funds will be
allocated to each county based on the county's percent of the
General Population as estimated by the Utah Office of Planning
2. Cost of Living Adjustments shall be determined by the
State Division of Substance Abuse and Mental Health in accordance
with legislative appropriations.
3. Funds approved for a local authority, based on the funding
formula, belong to that authority. In the event that there is an
unexpended amount at the end of the year, the local authority will
be allowed to carry these unexpended funds over into the next
contract period, provided that the Division can carry the funds
over. The only exception to this carryover authority will be that
if the unexpended funds cause the state to not meet the statewide
set-aside requirements. The division will contract these unexpended
funds to other local authorities who can provide the services to
fulfill the set-aside requirements. The division shall monitor the
fund balances and the set-aside spending throughout the year. The
decision to transfer funds will be negotiated in March of each year
with any local authority that will not expend all of their
R523-20-3. Training Priorities and
Responsibilities. 1. The Division of Substance Abuse and Mental Health shall
make State staff training the number one training priority.
Statewide training shall be limited to the Fall Conference,
Networking Conference, Governor's Youth Conference, and joint
conferences with the State Office of Education. Local programs
shall have the primary responsibility to assure training is
available for their staff. The Division assists the local
programs by being the central clearing point for training needs
and educational opportunities.
R523-20-4. Research/Evaluation Priorities and
Responsibilities. 1. The Division of Substance Abuse and Mental Health shall
have, as a primary focus under research and evaluation, the
a. Evaluation of needs;
b. Evaluation of program outcomes;
c. Evaluation of community impact; and
d. Evaluation of cost benefit.
2. The Division of Substance Abuse and Mental Health
a. Provide the State Board of Substance Abuse with
evaluation or other research findings to be considered in the
formulation of program policy and contracting for services;
b. Assist parties in obtaining funding for evaluation or
other research activities pertaining to substance abuse;
c. Review and disseminate evaluation or other research
findings to the Board, service providers and the general
d. Whenever feasible, consider contracting as a means of
conducting evaluation or other research projects;
e. Notify the Utah Behavioral Health Care Network and the
Board of Substance Abuse and Mental Health of the proposed
research activity and before beginning any research activity
obtain approval of the proposed research activity from the Board
at its next regularly scheduled meeting;
f. The Division shall establish with the Board an evaluation
process in consultation with the providers.
]R523-20-5. Continuum of Services.
1.] Prevention means a proactive comprehensive program
which provides a broad array of activities and services designed to
discourage the use of alcohol, tobacco and other drugs directed at
individuals who have not been identified to be in need of
treatment. These activities and services must be provided in a
variety of settings for both the general population as well as
targeted subgroups who are at high risk for substance abuse.
2.] Treatment means those services which target
individuals or families who are functionally impaired
psychologically, physically, or socially in association with the
patterned abuse of or dependence on alcohol, tobacco, or other
drugs. This includes only those individuals upon whom a written
consumer record, as defined in licensing standards (Rule R501-2-5B)
as adopted by the [ Board] of Substance Abuse and Mental Health, is
R523-20-6. Funding of Medical Detoxification Programs.
Medical detoxification programs shall not be funded by the Division on an ongoing basis.
R523-20-7. Competition -
Contracting/Subcontracting. 1. It is the policy of the Board of Substance Abuse and
Mental Health to accept the September 1985 recommendation on
contracting/subcontracting made by the Role Review
a. The Division is responsible for:
i. Defining the continuum of services that must be provided
within and across the district(s).
ii. Establishing and assisting in the establishment of
contracts that specifically identify the districts'
responsibilities in regard to bidding, technical assistance, MIS
reporting, deadlines, local match, etc.
iii. Requiring that each district submit its district plan
for review and acceptance by the Division and/or Board prior to
funding being authorized.
iv. The establishment of monitoring and evaluation
procedures which will insure:
A. That state or local procurement policies are followed on
B. That MIS data is accurate, reported as required and on
C. That costs accurately reflect the actual costs of
providing the service.
D. That district programming is in compliance with its
objectives and those required by the Division.
v. Continued direct contracting and monitoring of all
programs operated in/by State institutions.
vi. The Division will also continue to contract directly
with other agencies/institutions, on a competitive bid basis, for
research and demonstration projects when necessary. The criteria
the Division will use when deciding to directly contract-out for
these services, rather than apportioning the money across
districts, will reflect the need to keep the limited resources
intact to accomplish the designated task. These projects are
typically time limited rather than ongoing.
vii. A multi-region provider of services will continue to
directly contract with and receive reimbursement from the
Division within the following guidelines. The local authority
will write the State subcontractors' program into its
district plan of continuum of services. The local authority will
participate with the Division in monitoring and evaluating the
viii. It is required that any program receiving state funds
be included in the district plan.
ix. All bids let by the Division will be in compliance with
the State of Utah Procurement Act.
x. Every agency/program in the state using funds
appropriated to the Division by the State legislature shall have
the goal of total abstinence for anyone under the age of
R523-20-8. Maintenance of Effort. 1. The Board of the Division of Substance Abuse and Mental
Health pursuant to Section 62A-15-108 has required the Local
Substance Abuse Authorities to provide a consistent funding base
for substance abuse services. This requirement will become
effective beginning July 1, 1993.
For the state fiscal year 1994, each Local Substance Abuse
Authority shall provide an amount not less than half the sum of
the county tax revenues contributed toward substance abuse
services during the 1991 and 1992 state fiscal years.
For subsequent state fiscal years, each Local Substance
Abuse Authority shall provide an amount of county tax revenue not
less than the average computed by dividing by two the sum of
Local Substance Abuse Authority county tax revenue contributed
toward substance abuse services for the two most recently
completed fiscal years.
R523-20-9. Distribution of Fee-On-Fine (DUI)
Funds. 1. The Fee-On-Fine funds collected by the court system under
the criminal surcharge law and remitted to the State Treasurer
will be allocated to the Local Substance Abuse Authorities based
upon each county's percent of the total state population as
determined at the time of the funding formula as described in
Unless notified in writing by the local authority's
governing board to send the funds to the local service provider,
the Division of Substance Abuse and Mental Health shall authorize
quarterly releases of these funds to the county commission of
each county for which they are allocated.
R523-20-10. 20% Match Required to Be County
Tax Revenue. 1. The Board of Substance Abuse and Mental Health under the
authority granted to it in Section 62A-15-105 has determined that
the funds required by Subsection 17-43-301(4)(k) (normally called
the 20% match requirement) shall be paid from tax revenues
assessed by the county legislative body and collected by the
2. Failure by any county to meet its obligations under this
requirement, or Rule R523-20-8, shall result in the amount of
State General Funds allocated to that county by formula as
described in R523-20-1 being lowered by the percent by which the
county undermatches these funds.
3. This rule shall take effect for the State Fiscal Year
starting June 1, 1995 and shall remain in effect until changed or
repealed by the Board of Substance Abuse and Mental Health or its
]R523-20-11. Use of Standard Criteria.
1.] [ The Board of Substance Abuse and Mental Health under authority
granted by 62A-15-105 has determined (a) the] assessment instrument that all contractors and
subcontractors must use to determine the degree of severity of a
substance abuse problem [ will] be the Addiction Severity Index, (ASI)[ ;]
(b)] [ that the] placement decisions for all patients treated in
programs funded by or contracting with the Division of Substance
Abuse and Mental Health or subcontracted to any local authority
shall be based upon the placement criteria developed by the
American Society of Additive Medicine (ASAM)[ as adapted for use in Utah Behavioral Health Network;]
(c)] [ documentation] of the use of [ this] placement criteria must be included in each
2.] At least one staff member for each contractor and
subcontractor shall be trained in the proper use of the ASI and
ASAM instruments. This training must be documented in individual
KEY: substance abuse, financing of programs
Date of Enactment or Last Substantive Amendment: [
January 30, 2007]
Notice of Continuation: June 5, 2007
Authorizing, and Implemented or Interpreted Law: 62A-15-105
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For questions regarding the content or application of this rule, please contact Thom Dunford at the above address, by phone at 801-538-4519, by FAX at 801-538-9892, or by Internet E-mail at firstname.lastname@example.org.