No. 33039 (Amendment): Rule R523-20. Division Rules of Administration

(Amendment)

DAR File No.: 33039
Filed: 10/13/2009 06:31:14 AM

RULE ANALYSIS

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The division is updating this rule to eliminate sections that are outdated/unneeded or a restatement of code, and to move Sections R523-20-1, Allocation of Substance Abuse Purchase-of-Service Money; R523-20-9, Distribution of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.

local governments:

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.

small businesses:

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 [e-mail]

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:

12/15/2009

This rule may become effective on:

12/22/2009

Authorized by:

Mark Payne, Director

RULE TEXT

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 follows:

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 and Budget;

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 funds.]

R523-20-1. Authority.

(1) This rule establishes procedures and standards for administration of substance abuse and mental health services as granted by Subsection 62A-15-105(5).

 

R523-20-2. Purpose.

(1) The purpose of this rule is to:

(a) establish a continuum of substance abuse standards;

(b) clerafy funding for Medical detoxification programs; and

(c) establish the Addiction Severity Index as the instrument used for determining a persons severity of substance abuse.

 

[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 following areas:

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 shall:

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 public:

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.](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.](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]Division of Substance Abuse and Mental Health, is maintained.

 

R523-20-6. Funding of Medical Detoxification Programs.

(1) 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 Committee.

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 all bids.

B. That MIS data is accurate, reported as required and on time.

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 program.

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 twenty-one years.

 

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 R523-20-1.

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 County Clerk.

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 successor.

 

]R523-20-11. Use of Standard Criteria.

[1.](1) [The Board of Substance Abuse and Mental Health under authority granted by 62A-15-105 has determined (a) the]The assessment instrument that all contractors and subcontractors must use to determine the degree of severity of a substance abuse problem [will]shall be the Addiction Severity Index, (ASI)[;].

[(b)](2) [that the]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)](3) [documentation]Documentation of the use of [this]ASAM placement criteria must be included in each patient's record.

[2.](4) 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 personnel files.

 

KEY: substance abuse, financing of programs , service continuum, assessment instruments

Date of Enactment or Last Substantive Amendment: [January 30, 2007]2009

Notice of Continuation: June 5, 2007

Authorizing, and Implemented or Interpreted Law: 62A-15-105 (5)

 

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