DAR File No. 42206

Human Services, Substance Abuse and Mental Health

Rule R523-16

Certification of Essential Treatment Examiners and Case Managers

Notice of Proposed Rule

(New Rule)

DAR File No.: 42206
Filed: 10/13/2017 09:35:25 AM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The purpose of this rule is to implement the process for Essential Treatment Examiners to attain certification from the Division of Substance Abuse and Mental Health (DSAMH).

Summary of the rule or change:

This rule: 1) describes who is eligible to be an Essential Treatment Examiner; 2) establishes a certification process for Essential Treatment Examiners; 3) requires applicants to meet minimum standards of skill, knowledge, and understanding in order to be certified; 4) requires applicants to attend classes developed by DSAMH to receive a certification; 5) establishes a process to have certain Division sponsored training requirements waived if the applicant can show competence through previous training and experience; and 6) requires that compensation for an essential treatment examination be negotiated between the petitioner and the Essential Treatment Examiner.

Statutory or constitutional authorization for this rule:

• Subsection 62A-15-105(6)

Anticipated cost or savings to:

the state budget:

This rule will incur costs to the state budget. DSAMH currently provides a training and certification process for mental health designated examiners, all costs and time estimates for this rule are based on the designated examiner certification program, because of the similarities in the two types of certification processes. The associated costs will include: DSAMH will have to develop a form (onetime cost) and application review and processing procedure (ongoing cost) for this certification. It is anticipated that the form will take 1 hour to develop, with a financial cost of an average of $40.48 (including benefits) per hour based on the level and salary of employee who would complete this task for a minimum total cost of $40.48. The rule requires the Director or designee to review the application, and the Director to make a determination if certain training can be waived based on the applicants' past experience and training. The time needed to review applications is not estimable nor is the time needed to review a waiver. Financial costs would be a minimum total cost of $40.48 per hour for most application reviews based on the designee who will be reviewing most of the applications. The reviewing and making a determination on applications seeking waivers will be a minimum cost of $83.84 per hour based on the Directors compensation salary including benefits. A total financial cost cannot be estimated, because there is no way of knowing how many applications will be submitted or how many will request a waiver. The time it takes to convert the current designated examiner curriculum to meet the needs of the essential treatment examiner certification process. This is a one-time cost to DSAMH. The curriculum used for designated examiners provides learners with an understanding of courtroom policies, procedures and etiquette, along with the elements of civil commitment law. It is anticipated the courtroom training will remain the same, but DSAMH will need to design a segment in the training that discusses the four criteria of an essential treatment determination, in that the assessed individual: 1) suffers from substance use, 2) can reasonably benefit from treatment, 3) is likely to substantially benefit from a less-restrictive treatment, and 4) presents a serious harm to self or to others. DSAMH estimates this task will take eight plus hours to complete. The financial cost of developing this trained can be set at an average of $40.48 (including benefits) per hour based on the level and salary of the employee who would complete this task for a minimum total cost of $323.84. The time it will take to provide training and issue certifications to applicants. This is an intermittent cost that will be based on the number applicants who apply and are not trained in the elements of the Essential Treatment Act, or court room procedures and testifying as an expert in a court proceeding. DSAMH anticipates this training will be offered as needed and the total time cost will be 8 hours per training. The costs of training materials that is estimated at $2,000 per year which includes possible break food items and copy materials. The costs associated with compensating trainers. DSAMH submits this cost based on the current average income of DSAMH staff qualified to provide the essential treatment examiner training at an average of $40.48 (including benefits) with a total cost of $323.84 per training.

local governments:

No costs are associated with this rule for local governments. Certification is based on an individual?s desire to become certified .

small businesses:

No costs are associated with this rule for small businesses. Certification is based on an individual?s desire to become certified.

persons other than small businesses, businesses, or local governmental entities:

The affected persons and numbers of licenses in Utah associated with this rule are: 1) Clinical Mental Health Counselor: 1,253; 2) Licensed Clinical Social Worker: 3,773; and 3) total number of affected persons is 5,026, per the number of licenses in August 2017 as reported by the Division of Occupational Licensing (DOPL). This rule will create a time cost to affected persons. DSAMH anticipates that the certification process could take up to 6 hours of the applicant?s time based on that individual?s qualification. This will include submitting an application, signing up for training and participating in training. This rule creates financial costs to affected persons. This rule restricts an inestimable number of the potential affected persons because it requires five-year experience in treating and diagnosing substance use disorders. This means that those without the experience could be denied access to the funds available for providing essential treatment assessments for up to a maximum of five years, or until they acquire the experience needed to become certified. This experience requirement will not be waived. The loss of potential income for the 6 hours that the applicants will need to dedicate to the certification process. DSAMH is unable to quantify this cost because the values of individual applicants? time in financial compensation are as varied as the potential number of actual applicants. This rule creates an inestimable financial benefit to affected persons. Those who apply and have the required experience had the potential of eventually being certified, are then able to seek opportunities to provide essential treatment assessment based on whatever compensation rate they negotiate with potential consumers of that service.

Compliance costs for affected persons:

Both a time and possible financial cost for individuals who apply to be a certified Essential Treatment Examiner and are not familiar with the elements of being an expert witness in court, and/or the criteria for essential treatment interventions. Time cost could be six or more hours to apply, receive training, and drive to and from the trainings. The monetary cost would be travel to and from the trainings and personal salary costs for the six hours needed to apply and complete the training. All of these costs are inestimable.

Comments by the department head on the fiscal impact the rule may have on businesses:

After conducting a thorough analysis, it was determined that this proposed rule will not result in a fiscal impact to small or large businesses.

Ann Williamson, Executive Director

The full text of this rule may be inspected, during regular business hours, at the Office of Administrative Rules, or at:

Human Services
Substance Abuse and Mental Health
195 N 1950 W
SALT LAKE CITY, UT 84116

Direct questions regarding this rule to:

• Thomas Dunford at the above address, by phone at 801-538-4181, by FAX at 801-538-4696, or by Internet E-mail at tdunford@utah.gov

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:

12/01/2017

This rule may become effective on:

12/08/2017

Authorized by:

Doug Thomas, Director

R523. Human Services, Substance Abuse and Mental Health.

R523-16. Certification of Essential Treatment Examiners and Case Managers.

R523-16-1. Authority.

(1) This rule is authorized by Utah Code 62A-15-105(6) and directs The Division of Substance Abuse and Mental Health (DSAMH) to make rules approving the form and content of substance abuse treatment.

 

R523-16-2. Purpose.

(1) The purpose of this rule is to:

(a) immediately and effectively achieve and implement the Legislative intent achieved in the Essential Treatment and Intervention Act as set forth in Utah Code 62A-15-1201 et seq.; and

(b) provide the supporting process for essential treatment examiners to qualify and provide certification from DSAMH to the Court as required in the Act.

 

R523-16-3. Essential Treatment Examiners Certification.

(1) An "Essential Treatment Examiner" is:

(a) a licensed physician, preferably a psychiatrist; or

(b) a licensed mental health professional designated by DSAMH as specially qualified by experience and training who:

(i) has at least five years experience in the treatment of substance use disorders, and

(ii) holds a current Designated Examiner certification; or

(c) between June 1, 2017 and June 30, 2019, is a licensed mental health professional designated by DSAMH as specially qualified by experience and training who:

(i) has at least five years experience in the treatment of substance use disorders, and

(ii) has made application with DSAMH and is approved to be an essential treatment examiner.

(2) DSAMH shall certify that an essential treatment examiner is qualified by training and experience in the diagnosis of substance use disorders. All licensed physicians are presumed to have the qualification necessary to be an Essential Treatment Examiner; therefore, this category of professional need not make an application to DSAMH. Certification for non-licensed physicians shall require at least five years experience in the treatment of substance use disorders, and successful completion of any training provided by DSAMH for the purpose of certifying essential treatment examiners.

(a) application for certification shall be achieved by the applicant making a written request through a DSAMH approved form, to DSAMH for consideration. Upon receipt of a written application, the Director or designee shall initiate a review and examination of the applicant's qualifications.

(b) the applicant must meet the following minimum standards in order to be certified:

(i) be a licensed mental health professional, per Utah Code 58-60-405, that holds a current Designated Examiner certification; or

(ii) be a licensed mental health professional, per Utah Code 58-60-405, that has expressed an interest in becoming an essential treatment examiner by making application with DSAMH;

(iii) be a resident of the State of Utah;

(iv) demonstrate a complete and thorough understanding of substance use disorders, as determined by training and experience;

(v) exhibit a fundamental and working knowledge of the purpose and requirements of the Essential Treatment Act and role of the certified examiner as approved by the court by demonstrating a thorough understanding of the conditions, which must be met to warrant a district court to order an individual to undergo essential treatment for a substance use disorder, as determined by training, experience and written examination;

(vii) be able to demonstrate a general knowledge of the court process including commitment hearings, and be able to provide the court with a thorough and complete oral and written evaluation that addresses the standards and questions set forth in the law, as determined by experience, training and written examination;

(viii) shall attend any required training for certification as an essential treatment examiner as provided by DSAMH and pass the exam at the completion of the training with a minimum of 70% correct;

(d) DSAMH Director or designee shall determine if experience and qualifications are satisfactory to meet the required standards.

(e) DSAMH Director shall determine if there are any training requirements that may be waived due to prior experience and training and which may qualify as an exception of any of the above requirements; and

(f) upon satisfactory completion of the requirements outlined in R523-16-3(2), DSAMH Director or designee shall certify the qualifications of the applicant, make record of such certification, and issue a certificate to the applicant reflecting their status as an approved essential treatment examiner and authorizing such privileges and responsibilities as prescribed by law.

 

R523-16-4. Essential Treatment Examiners Fees and Compensation for Services.

(1) All fees, compensations and payments for services rendered during an essential treatment examination shall be negotiated between the petitioner and the essential treatment examiner.

 

KEY: essential treatment examiners, involuntary commitment, substance use

Date of Enactment or Last Substantive Amendment: 2017

Authorizing, and Implemented or Interpreted Law: 62A-15-105; 62A-15-1202(1)