No. 40768 (Amendment): Rule R523-11. Utah Standards for Approval of Alcohol and Drug Educational Providers and Instructors for Court-Referred DUI Offenders

(Amendment)

DAR File No.: 40768
Filed: 09/14/2016 09:01:52 AM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The reason for the amendment is to change requirements and provide clarification.

Summary of the rule or change:

The changes: 1) remove some of the items required to be submitted for certification; 2) change the age threshold for class separation from 21 to 18; 3) increase the waiting time to recertify after revocation from 6 months to 12 months; and 4) give flexibility to the providers in the number of days it takes to complete the classes. The total hours remain the same, but they can be flexible to meet the demands of the participants.

Statutory or constitutional authorization for this rule:

• Section 76-5-207
• 42 CFR Chapter 1 Subchapter A Part 2
• Section 41-6a-510
• Section 17-43-201
• Section 41-6a-502
• Section 62A-15-103
• Section 41-6a-528
• Sections 62A-15-501 through 62A-15-503
• Section 62A-15-105
• Section 73-18-12
• Section 63G-4-302

Anticipated cost or savings to:

the state budget:

The changes being made to this rule are primarily for the purpose of clarification and to provide flexibility in the structure of the classes. The change in age threshold will not have a financial impact. The total hours remain the same, but the providers have flexibility to structure the classes for more days and shorter class times, or longer class times and fewer days, based on demand. These changes are optional to the providers. None of the changes to this rule have a material impact on the costs associated with the way the state administers this program that would result in anticipated cost or saving to the state budget.

local governments:

There are only a very few local governments that are involved as providers of DUI education. The change in age threshold will not have a financial impact. The scheduling changes are optional to the providers and are expected to have only a marginal impact in the way of savings to the providers.

small businesses:

The changes being made to this rule are primarily for the purpose of clarification and to provide flexibility in the structure of the classes. The total hours remain the same, but the providers have flexibility to structure the classes for more days and shorter class times, or longer class times and fewer days, based on demand. These changes are optional to the providers. These changes are optional to the providers and expected to have only a marginal impact in the way of savings to the providers. The change in age threshold will not have a financial impact.

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

The change in age threshold will not have a financial impact. The scheduling changes are optional to the providers and are to expected to have only a marginal impact in the way of savings to the providers, and it is doubtful that the participants will see any change in the costs.

Compliance costs for affected persons:

The change in age threshold will not have a financial impact. The scheduling changes are optional to the providers and are expected to have only a marginal impact in the way of savings to the providers, and it is doubtful that the participants will see any change in the costs. Therefore, the agency sees no real compliance cost.

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

The change in age threshold will not have a financial impact. The scheduling changes are optional to the providers and are expected to have only a marginal impact in the way of savings to the providers, and it is doubtful that the participants will see any change in the costs. As a result, there is no meaningful impact to businesses.

Ann Silverberg 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:

• Julene Robbins at the above address, by phone at 801-538-4521, by FAX at 801-538-3942, or by Internet E-mail at [e-mail]
• L Ray Winger at the above address, by phone at 801-538-4319, 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:

10/31/2016

This rule may become effective on:

11/07/2016

Authorized by:

Doug Thomas, Director

RULE TEXT

R523. Human Services, Substance Abuse and Mental Health.

R523-11. Utah Standards for Approval of Alcohol and Drug Educational Providers and Instructors for Court-Referred DUI Offenders.

R523-11-1. Purpose and Statutory Authority.

(1) Purpose. This rule prescribes standards for approval of Providers and certification of Instructors for providing alcohol and drug education to court-referred offenders convicted of a Driving Under the Influence (DUI) violation of Sections 41-6a-502, 41-6a-510, 41-6a-528, and 73-18-12.

(2) Statutory Authority. This rule is promulgated by the Utah Department of Human Services through the Division of Substance Abuse and Mental Health (hereinafter referred to as "Division") as authorized by Sections 41-6a-502, 62A-15-103, 62A-15-105, 17-43-201, 62A-15-501 through 503 and 76-5-207.

(3) Intent. The objective of the DUI Educational Program is to: (a) eliminate alcohol and other drug-related traffic offenses by helping the participant examine the behavior that led to the arrest, (b) assist the participant in implementing behavior changes to cope with problems associated with alcohol and other drug use, and (c) impress upon the participant the severity of the DUI offense.

 

R523-11-2. Definitions.

(1) "DUI Educational Program" herein referred to as "Program" is an instructional series offered by a licensed substance abuse treatment Provider agency which satisfies the standards established by the Division.

(2) "Provider" is a licensed substance abuse treatment agency that has been approved to offer DUI Education.

(3) "DUI" is driving or being in actual physical control of a vehicle while under the influence of alcohol or any drug or the combined influence of alcohol and any drug to a degree, which renders the person incapable of safely driving a vehicle. In these standards, "DUI" shall refer to individuals convicted of violating Sections 41-6a-510, 41-6a-502, 41-6a-528, and 73-18-12.

(4) "Certificate" is a written authorization issued by the Division to indicate that the Provider agency has been found to be in compliance with these Division standards and may offer DUI Education.

(5) "Screening" is a process using the SASSI (Substance Abuse Subtle Screening Inventory) or other Division approved screening tool in order to identify the need for education or additional assessment.

(6) "Instructor" is a person employed by a Provider who has been certified [by the Division ]to instruct the state approved education course for a court-referred participant[ convicted of DUI].

(7) "Participant" is a person attending DUI Education classes as a result of a DUI conviction or arrest. This person has received a screening which indicated education is appropriate.

(8) "Victim Impact Panel". A presentation designed to reflect the principles taught in the educational program that helps participants understand the potential impact on others of driving under the influence.

 

R523-11-3. Certification Requirements for DUI Educational Providers.

(1) In order to operate, a potential DUI Educational Provider shall make application to the Division at least 60 days prior to the planned effective date. The Division will provide the application form.

(2) Application for certification shall require the following:

(a) A brief description and purpose of the agency, and an explanation of the agency's relationship with other components of the local DUI system, i.e., Local Substance Abuse Authorities, local courts, police, Probation and Parole, Alcoholics or Narcotics Anonymous, etc.;

(b) The geographical area to be served;

(c) The ownership and person or group responsible for agency operation;

(d) The location and time that DUI classes would normally be held;

(e) A list of instructors employed by the agency; and

(f) A copy of the[ir] agency substance abuse treatment license.

(g) An outline describing how the agency will conduct the victim impact panel required by Section 62A-15-501;

[(h) Copies of all materials, i.e., presentations, workbooks, written documents, photographs used in the presentation or distributed to participants during victim impact panels shall be submitted to the Division for approval prior to use.

(i) A written plan that describes goals, objectives and format of in person victim impact panels to the Division for approval prior to use.]

(3) A DUI Educational Provider shall also:

(a) Ensure that each participant receive no less than 16 hours of face-to-face instruction using the Division['s] approved curriculum with no more than [4]8 hours of instruction occurring in any calendar day;

(b) Allow no more than 25 persons, including participant and others to a class;

(c) Follow the recommendations of the screening which has been provided;

(d) Ensure that screenings are conducted by staff from a licensed treatment agency who have been trained in administering the screening tool;

(e) Report the number of participants completing the DUI Educational Program to the Division at least every quarter;

(f) Have policies ensuring confidentiality of information maintained on each participant that conform to the requirements in 42 Code of Federal Regulations Chapter 1 Subchapter A Part 2;

(g) Ensure that Instructors follow the Division-approved curriculum;

(h) Have available for review a copy of the Provider's charter, constitution, or bylaws;

(i) Outline the eligibility criteria for admission to the program, including the screening tool used;

(j) Ensure that all Instructors employed by the Provider [have completed the Division required DUI training/certification]are certified to teach;

(k) Inform the Division of any licensing or address change;

(l) Comply with all applicable local, state and federal laws and regulations.

(m) Ensure that none of the Instructors are on probation or parole for any offense;

(n) Ensure that none of the Instructors has been convicted of a felony of any kind or any drug or alcohol misdemeanor offense in the previous 3 years;

(o) Notify the Division in writing within 30 days if any Instructor has been arrested for any reason;

(p) Provide separate classes for participants who are younger than [21]18 years of age at the completion of the course; and

(4) Ensure that any victim impact panel be consistent with the educational program taught, and ensure that the total attendance is no more than 25 participants.

([5]4) A participant's participation in the DUI Educational Program shall not be a substitute for treatment as determined by a[n]screening and assessment.

([6]5) The Division shall issue the Provider a certificate after determination has been made that the [applicant]agency is in compliance with these standards.

([7]6) The Division Director or designee has the authority to grant exceptions to any of the certification requirements.

 

R523-11-4. On-site Survey of Provider.

(1) After a review of the application, a site review may be scheduled by a designated representative of the Division. With each [initial ]application [and application for renewal ]the applicant agrees, as a condition of Provider certification, to permit representative(s) of the Division and/or [the local substance abuse authority as]others authorized by the Division to enter and survey the physical facility, program operation, client records and to interview staff and class participants [for determining]to determine compliance with applicable laws.

(2) The DUI Educational Provider also agrees to allow representatives from the Division and [from the local substance abuse authority as]others authorized by the Division to attend the classes held. Such visits may be announced or unannounced.

(3) Review Procedures. Within 30 days after completion of an on-site survey, the Division shall notify the applicant of action taken: approval, denial, or request for further information.

 

R523-11-5. Instructor Certification.

(1) By this rule the Division hereby establishes certification requirements for Instructors, which consist of the following:

(a) All Instructors employed by any DUI Educational Provider shall be certified[ by the Division] to teach prior to instructing the state approved DUI curriculum for any DUI Educational Provider.

(b) All Instructors shall attend and complete the requirements of the Instructor training[ sponsored] authorized by the Division.

(c) Requirements in R523-11-5(a) and (b) above shall be complete and verifiable.

(d) The Instructor agrees, as a condition of certification, to use only the Division-approved curriculum when conducting a DUI Educational Program.

(e) The Instructor agrees to attend all required DUI training sessions sponsored or approved by the Division.

(f) An Instructor shall not be certified to teach DUI Education if he or she is on probation or parole for any offense.

(g) An Instructor shall not be certified to teach DUI Education if he or she has been convicted of a felony of any kind or any drug or alcohol misdemeanor offense in the previous three years.

(h) An [Certified ]Instructor shall notify the Division within 30 days of any arrest.

 

R523-11-6. Recertification of Instructors.

(1) An Instructor must recertify every twenty-four months by: [annually, on a calendar year basis ]attending and completing the requirements of any Division-sponsored or approved DUI training sessions. The Instructor shall sign a register at those training sessions which have been set aside for DUI Instructor recertification.

(2) It is the responsibility of the Instructor to notify the Division immediately of any address change.

(3) An Instructor shall not be certified to teach DUI Education if he or she is on probation or parole for any offense.

(4) An Instructor shall not be certified to teach DUI Education if he or she has been convicted of a felony of any kind or any drug or alcohol misdemeanor offense in the previous three years.

(5) If a current Instructor is arrested, he or she has 30 days to report the arrest to the Division.

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

 

R523-11-7. Corrective Action for a Provider or an Instructor.

(1) If the Division becomes aware that a DUI education Provider or an Instructor is in violation of these standards, it shall proceed with the following steps:

(a) Within 30 days of becoming aware of the violation, the Division shall notify the Provider or the Instructor in writing of the area(s) of noncompliance.

(b) Within 30 days of receiving notification of violation, the program or the Instructor shall submit a written plan to the Division for achieving compliance.

(c) If the written plan is not accepted as satisfactory by the Division within 30 days the Provider or the Instructor shall be notified that they have been suspended[ until compliance is achieved].

(d) A Provider or an Instructor must cease conducting any DUI Educational Provider until the suspension is lifted.

(e) If the Division does not receive written evidence of compliance within 30 days of notification of suspension, the Division shall revoke the Provider or Instructor's certification.

 

R523-11-8. Revocation of a Provider's or an Instructor's Certification.

(1) The Division shall revoke the certification of a Provider or an Instructor for the following reasons:

(a) If the Provider or the Instructor fails to provide the Division by certified mail with written evidence of compliance within 30 days of notification of suspension.

(b) If the Provider or the Instructor continues to provide any DUI Education during the period of suspension, or

(c) If any Provider or Instructor receives more than two notices of noncompliance with these standards in a one-year period.

(2) If any Provider or Instructor's certification is revoked, they may not reapply for recertification for a period of [six]twelve months.

 

R523-11-9. Redress Procedures for Programs or Instructors.

(1) Any Provider or Instructor whose certification has been revoked may request in writing an informal hearing with the Division Director or [his ]designee within ten days of receiving notice of revocation. Within ten days following the close of the hearing, the Division shall inform the Provider or the Instructor in writing of the decision as required under Section 63G-4-302 and R497-100-1 through R497-100-10.

(2) If they so choose, the Provider or the Instructor may appeal in writing the decision of the Division Director or designee by requesting a reconsideration hearing with the Office of Administrative Hearings as provided for under Section 63G-4-302.

 

R523-11-10. Standards for Victim Impact Panels.

(1) Victim impact panels may be conducted in person or by use of filmed versions approved by the Division.

(2) Providers shall ensure that victim impact panels are available in English, Spanish and other languages as needed.

(3) Providers shall limit attendance at victim impact panels to no more than 25 participants.

 

KEY: DUI programs, certification of instructors

Date of Enactment or Last Substantive Amendment: [December 22, 2015]2016

Authorizing, and Implemented or Interpreted Law: 17-43-201; 41-6a-502; 41-6a-510; 41-6a-528; 62A-15-103; 62A-15-105; 62A-15-501 through 503; 63G-4-302; 73-18-12; 76-5-207; 42 CFR Chapter 1 Subchapter A Part 2

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