No. 43141 (Change in Proposed Rule): Rule R523-5. Peer Support Specialist Training and Certification

DAR File No.: 43141
Filed: 11/16/2018 10:24:15 AM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The Governor's Office requested that the Division of Substance Abuse and Mental Health (Division) make this rule clearer to the reader.

Summary of the rule or change:

The changes are: 1) a section citation has been corrected; 2) CEUs have been clarified to be continuing education hours; 3) limitations on the amount of time between failed training examinations has been clarified; 4) employers' responsibility after being made aware of violations of this rule by certified Peer Support Specialists (PSS) has been clarified; 5) reasons for termination of a certification has been added; 6) the Division's responsibilities and actions after being notified of a certified PSS being out of compliance with this rule had been added; 7) corrective plans of action have been clarified; and 8) reasons for a certification revocation have been clarified. (EDITOR'S NOTE: The original proposed amendment upon which this change in proposed rule (CPR) was based was published in the September 1, 2018, issue of the Utah State Bulletin, on page 60. Underlining in the rule below indicates text that has been added since the publication of the proposed rule mentioned above; strike-out indicates text that has been deleted. You must view the CPR and the proposed amendment together to understand all of the changes that will be enforceable should the agency make this rule effective.)

Statutory or constitutional authorization for this rule:

• Subsection 62A-15-103(2)(v)

Anticipated cost or savings to:

the state budget:

These changes are clarifications on what was intended in the original submission, and no additional costs or savings are anticipated other than those already reported in the original amendment that were tied to notifications in writing costs. These costs were deemed to be negotiable based on only one person per year has fallen into the actions created by these changes.

local governments:

These changes are clarifications on what was intended in the original submission, and no additional costs or savings are anticipated other than those already reported, which were deemed to have no effect on local government because the requirements in these changes do not alter any actions already taken by local government agencies if a certified PSS was found to participate in illegal or unethical behaviors.

small businesses:

These changes are clarifications on what was intended in the original submission, and no additional costs or savings are anticipated other than those already reported, which was determined to be no effect because there would only be local government agencies who would have certified PSS.

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

These changes are clarifications on what was intended in the original submission, and no additional costs or savings are anticipated other than those already reported, which were determined to be no impact, that those that already exist if a certified PSS was found to participate in illegal or unethical behaviors.

Compliance costs for affected persons:

No compliance costs are associated with this rule change other than those that already exist from the initial establishment of this rule.

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

These changes are clarifications on what was intended in the original submission, and no additional costs or savings are anticipated other than those already reported.

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 [e-mail]
• Jonah Shaw at the above address, by phone at 801-538-4219, by FAX at 801-538-3942, 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:

This rule may become effective on:

01/16/2019

Authorized by:

Doug Thomas, Director

RULE TEXT

Appendix 1: Regulatory Impact Summary Table*

Fiscal Costs

FY 2019

FY 2020

FY 2021

State Government

$0

$0

$0

Local Government

$0

$0

$0

Small Businesses

$0

$0

$0

Non-Small Businesses

$0

$0

$0

Other Person

$0

$0

$0

Total Fiscal Costs:

$0

$0

$0

Fiscal Benefits

$0

$0

$0

State Government

$0

$0

$0

Local Government

$0

$0

$0

Small Businesses

$0

$0

$0

Non-SmallBusinesses

$0

$0

$0

Other Persons

$0

$0

$0

Total Fiscal Benefits:

$0

$0

$0

Net Fiscal Benefits:

$0

$0

$0

 

*This table only includes fiscal impacts that could be measured. If there are inestimable fiscal impacts, they will not be included in this table. Inestimable impacts for State Government, Local Government, Small Businesses and Other Persons are described in the narrative. Inestimable impacts for Non - Small Businesses are described in Appendix 2.

 

Appendix 2: Regulatory Impact to Non - Small Businesses

This rule change is not expected to have any fiscal impacts on non-small businesses revenues or expenditures, because it is not anticipated that the peer support specialist training and certification process to be utilized by any non-small business.

 

 

R523. Human Services, Substance Abuse and Mental Health.

R523-5. Peer Support Specialist Training and Certification.

R523-5-1. Purpose.

(1) Purpose. This rule prescribes standards for certification of Peer Support Specialist Training programs; the qualifications required of instructors for providing Peer Support Training; and the requirements to become a Peer Support Specialist and establishes guidelines for population specific peer support services.

 

R523-5-2. Authority.

(1) These standards are promulgated by the Utah Department of Human Services through the Division of Substance Abuse and Mental Health as authorized by Subsection 62A-15-103(2)(v).

 

R523-5-3. Intent.

(1) The objective of the peer support specialist training is to establish training programs to certify individuals that have completed requisite training to work as substance use disorder and/or mental health peer support specialists and provide services based on service guidelines.

 

R523-5-4. Definitions.

(1) "Peer Support Specialist (PSS)" is an individual who has successfully completed an approved Peer Support Specialist Training Program and for ongoing certification has met the requirements outlined in Section R523-5-8.

(2) "Approved Curriculum" means a curriculum which has been approved by the Division in accordance with these rules.

(3) "Certification" means that the Division verifies the individual has met the requirements outlined in this rule to be a peer support specialist and has completed the required training.

(4) "Director" means the Director of the Division of Substance Abuse and Mental Health.

(5) "Division" means the Division of Substance Abuse and Mental Health.

(6) "Peer Support Specialist Training Program" is an instructional series operated by an approved agency or organization which satisfies the standards established by the Division and is herein referred to as a "Peer Support Specialist Training Program".

(7) "Program Certificate" is a written authorization issued by the Division to the training entity which indicates that the Program has been found to be in compliance with these Division standards.

(8) "Recovery" is a process of change through which individuals improve their health and wellness, live a self-directed life, and strive to reach their full potential.

(9) "Youth-In-Transition" means young people who are between the ages of 16 and 25, or those outside of this age range for which peer support services have been deemed developmentally and socially appropriate by a licensed mental health therapist.

 

R523-5-5. Certification Requirements for Peer Support Specialist Training Programs.

(1) An application for Program Certification will require that the program provide, among other things:

(a) Qualifications of individuals who will be providing the training.

(b) A curriculum that outlines no less than forty (40) hours of face-to-face instruction covering the curriculum requirements outlined in Section R523-5-[(7)]7 for a PSS.

(c) A plan to ensure that instructors continue to meet reported qualifications and adhere to the approved curriculum.

(d) An agreement to maintain records of the individual's attendance and completion of all program requirements for at least seven years.

(e) An agreement to comply with all applicable local, state and federal laws and regulations.

(2) The Division Director has the authority to grant exceptions to any of the certification requirements.

 

R523-5-6. Division Oversight of Program.

(1) The Division may enter and survey the physical facility, program operation, review curriculum and interview staff to determine compliance with this rule or any applicable contract to provide such services.

(2) The PSS Training Program shall also allow representatives from the Division and from the local authorities as authorized by the Division to attend the classes held. Such visits may be announced or unannounced.

(3) The Division will establish an application process to review and approve applicants for the PSS Training Program. This process will:

(a) Develop and publish an application to be a PSS.

(b) Solicit input from stakeholders, PSS's and other individuals on the review process.

(c) Establish further criteria for acceptance into the PSS program as needed.

 

R523-5-7. Curriculum Requirements for Adult Peer Support Specialist Training Programs.

(1) This curriculum shall provide at least forty (40) hours of instruction for original certification and twenty (20) hours for any and all re-certifications. The curriculum shall include the following components as they relate to the PSS's lived experience and recovery in order to assist in the identified client's strengths working towards recovery:

(a) Etiology of mental illness and substance use disorders;

(b) The stages of recovery from mental illness and substance use disorders;

(c) The relapse prevention process;

(d) Combating negative self-talk;

(e) The Role of peer support in the recovery process and using your recovery story as a recovery tool;

(f) Dynamics of change;

(g) Ethics of peer support;

(h) Professional relationships, boundaries and limits;

(i) Scope of peer support;

(j) Cultural competence: self-awareness - cultural identity;

(k) Stigma and labeling;

(l) Community resources to support individuals in recovery;

(m) Assisting individuals in accomplishing recovery goals;

(n) Coach, mentor, and role model recovery;

(o) Assist in identification of natural, formal and informal supports;

(p) Stress management techniques;

(q) Assist individuals in reaching educational and vocational goals;

(r) Crisis prevention; and

(s) Assist with physical health and wellness.

(2) The curriculum shall include:

(a) Active listening and communication skills; and

(b) Basic motivational interviewing skills.

(3) The curriculum must include a strong emphasis on ethical behavior, dual relationships, scope of peer support and professional boundaries and should include case studies, role plays and experiential learning.

 

R523-5-8. Requirements to Become a PSS.

(1) Be an individual who participated in substance use disorder or mental health treatment services who is now in sustained recovery, or

(2) Be an individual in recovery from substance use or mental health disorders through means other than treatment services who is now in sustained recovery.

(3) Be at least 18 years of age.

(4) Complete the application process with the Division.

(5) Pass the qualification exam with score of 70% or above.

(6) Have attended and successfully completed a Division approved PSS training program and have a valid certificate from that training.

(7) If an individual fails the Division examination twice within a 30 day period of time, they must wait 30 days before taking the examination again.

 

R523-5-9. Requirements to Remain Qualified as a PSS.

(1) Complete at least twenty (20) hours of continuing education (CEUs) every two (2) years including two (2) hours of ethics training, six (6) hours pertaining specifically to peer support services, one (1) hour of suicide prevention training and eleven (11) hours of general mental health and/or substance use disorder training.

(2) Each PSS shall maintain adequate documentation as proof of compliance with this Section, such as a certificate of completion, school transcript, course description, or other course materials. The PSS shall retain this proof for a period of three years after the end of the renewal cycle for which the continuing education is due; and

(a) At a minimum, the documentation shall contain the following:

(i) Date of the course;

(ii) Name of the course provider;

(iii) Name of the instructor;

(iv) Course title;

(v) Number of hours of continuing education credit; and

(vi) Course objectives.

(3) Each certified PSS shall abide by the Provider Code of Conduct pursuant to Section R495-876, and as also found in the Department of Human Services Provider Code of Conduct Policy.

[(a) Each employer shall notify the Division within 30 days, if a certified PSS engages in unprofessional or unlawful conduct.

(b) The Division may revoke, refuse to certify or renew a certification to an individual who is substantiated to have engaged in unprofessional or unlawful conduct.

(c) If a PSS fails to complete the requirements for CEUs, their certificate may be revoked or allowed to expire and may not be renewed.

(d) The Division shall revoke, refuse to certify or renew a certification to an individual who is substantiated to have engaged in unprofessional or unlawful conduct.

(4) An individual who has been served a Notice of Agency Action that the certification has been revoked or will not be renewed may request a Request for Review to the Division Director or designee within 30 days of receipt of notice.

(5) The Division Director or designee shall review the findings of the Notice of Agency Action and shall determine to uphold, amend or revise the action of denial or revocation of the certification.](a) Each employer that becomes aware of a certified PSS engaging in unprofessional or unlawful conduct, or has violated the provider code of conduct shall:

(i) immediately take action to review the allegations,

(ii) take steps to ensure that all individuals involved with the allegation are protected, and

(iii) notify the Division within 30 days.

(b) Termination of certification shall be made effective immediately if the alleged violation(s) results in one or more of the following:

(i) personal financial gain through deception, or a business transaction with a client, by the PSS,

(ii) physical or emotional harm to a person that is caused by the PSS, or

(iii) a financial loss to a client, the State, or another employee that is caused by the PSS.

(c) The Division shall take the following actions when it becomes aware of a certified PSS in violation of the provider code of conduct that does not result in immediate termination:

(i) Within 30 days of becoming aware of the violation(s), the Division shall notify the certified PSS, in writing, through a Notice of Agency Action specifying the area(s) of noncompliance.

(ii) Within 30 days of receiving a notice of Agency Action, the certified PSS shall submit an acceptable written plan to the Division explaining how they will achieve compliance.

(iii) All plans shall demonstrate how the certified PSS shall be in compliance within 30 days after receiving the Notice of Agency Action.

(iv) If an acceptable plan of action is not received by the Division within 30 days of sending the Notice of Agency Action, the certified PSS shall be notified that their certification has been suspended until an acceptable plan is submitted to the Division.

(v) A certified PSS must cease providing any and all peer support services until a suspension is lifted.

(d) The Division shall revoke the certification of any certified PSS for the following reasons:

(i) The certified PSS fails to provide the Division with written evidence of compliance to a plan of action within 30 days after the PSS receives a Notice of Agency Action that their certification has been suspended.

(ii) The certified PSS continues to provide peer support services during the period of a suspension; or

(iii) The certified PSS receives more than two notices of noncompliance with the Provider Code of Conduct in a one-year period.

(e) Any PSS whose certification has been revoked may request an informal hearing with the Division director or designee, in writing, within 10 business days of receiving notice of revocation.

(f) The Division director or designee shall review the request and determine to uphold, amend or reverse the action within 10 business days, and the Division shall inform the PSS of the decision in writing.

(g) Any PSS with a revoked certification may not reapply for recertification for a period of twelve months.

(h) If a certified PSS fails to complete the requirements for CEUs, their certificate will be allowed to expire and shall not be renewed until the required CEUs have been completed and submitted to the Division for approval.

 

R523-5-10. Population Specific Guidelines.

(1) Typically a PSS works with individuals age 18 and older.

(2) A PSS may work with Youth-In-Transition if the PSS has completed Youth-In-Transition training, in addition to any other PSS training, of no less than 8 hours, and receives a Youth-In-Transition endorsement from the Division on their PSS certification.

 

R523-5-11. Curriculum Requirements for Youth-In-Transition Training Programs.

(1) This curriculum shall provide at least eight (8) hours of instruction for the Youth-In-Transition endorsement of PSS certification. The curriculum, which shall be approved by the Division, shall include, but not be limited to, the following components as they relate to Youth-In-Transition:

(a) Meaning of Youth-In-Transition and specific challenges related to this population;

(b) Preferred practice models and tools;

(c) Population specific material regarding: common challenges, barriers, resources, relationship issues, recovery, housing, employment, legal, crisis, cultural and self-care.

(d) Professional relationships, boundaries and limits.

(2) The curriculum must be strength based and shall include:

(a) Active listening and communication skills; and

(b) Basic motivational interviewing skills.

(3) The curriculum shall include a strong emphasis on ethical behavior, dual relationships, scope of peer support and professional boundaries and shall include case studies, role plays and experiential learning specific to Youth-In-Transition.

(4) The Division, PSS, mental health and substance use disorder professionals and advocate organizations shall regularly review and make evidence-based updates to the curriculum at least every two years. Final determination on curriculum changes or updates shall be made by the Division.

 

KEY: peer support specialists, PSS program, certification of programs, substance use disorder

Date of Enactment or Last Substantive Amendment: 201[8]9

Authorizing, and Implemented or Interpreted Law: 62A-15-103(2)(v)