Health and Human Services

Substance Use and Mental Health

Rule 7: Designated Examiner and Case Manager Certification

Effective Date:

Admin. Code Reference: R523-7

Rule Type: Proposed Rule

NOTICE OF SUBSTANTIVE CHANGE

TYPE OF FILING: Amendment

Filing ID: 58277

Rule or section number:

R523-7

1. Agency Information

Title catchline:

Health and Human Services, Substance Use and Mental Health

Building:

Cannon Health Building

Street address:

288 N 1460 W, Floor 3

City, state:

Salt Lake City, UT

Mailing address:

288 N 1460 W, Floor 3

City, state and zip:

Salt Lake City, UT 84116

2. Contact Persons

Name:

Phone:

Email:

Thomas Dunford

801-538-4181

tdunford@utah.gov

Mariah Noble

385-214-1150

mariahnoble@utah.gov

Please address questions regarding information on this notice to the persons listed above.

3. General Information

A. Rule or section catchline:

R523-7. Designated Examiner and Case Manager Certification

B. Purpose of the new rule or reason for the change:

Internal review of this rule has identified several modifications that needed to be made so this rule reflects current practice, states the appropriate source of administrative oversite of the certification processes in accordance with statute, and provides more clarity to the public.

C. Summary of the new rule or change:

This filing replaces the Office of Substance Use and Mental Health (office) as the administrative authority over the activities described in this rule with the Division of Integrated Health (division) to align with statute.

This filing also clarifies requirements for the supervision provided to an applicant participating in an office-approved practicum to become a certified case manager and supervision provided to certified case managers.

Additionally, this filing expands options for how individuals who provide daily supervision to case managers can meet requirements.

5. Fiscal Information

Provide an estimate and written explanation of the aggregate anticipated cost or savings to:

A. State budget:

There is no anticipated fiscal impact to the state budget because of this filing.

These amendments clarify supervision requirements for individuals applying to be certified case managers and for certified case managers.

This filing also expands options for how supervisors may meet requirements but does not remove existing avenues to meet supervisor criteria.

None of these changes are anticipated to increase administrative burdens to division staff, and all changes are in line with current practice, resulting in no costs or savings to state budgets.

B. Local governments:

There is no anticipated fiscal impact to local governments because of this filing.

These amendments clarify supervision requirements for individuals applying to be certified case managers and for certified case managers.

This filing also expands options for how supervisors may meet requirements but does not remove existing avenues to meet supervisor criteria.

None of these changes are anticipated to increase administrative burdens to local governments' staff, and all changes are in line with current practice, resulting in no costs or savings to local governments that provide case management services.

C. Small businesses ("small business" means a business employing 1-49 persons):

There is no anticipated fiscal impact to small businesses because of this filing.

These amendments clarify supervision requirements for individuals applying to be certified case managers and for certified case managers.

This filing also expands options for how supervisors may meet requirements but does not remove existing avenues to meet supervisor criteria.

None of these changes are anticipated to increase administrative burdens to small businesses that contract with government entities to provide case management services, and all changes are in line with current practice, resulting in no costs or savings to small businesses.

D. Non-small businesses ("non-small business" means a business employing 50 or more persons):

There is no anticipated fiscal impact to non-small businesses because of this filing.

These amendments clarify supervision requirements for individuals applying to be certified case managers and for certified case managers.

This filing also expands options for how supervisors may meet requirements but does not remove existing avenues to meet supervisor criteria.

None of these changes are anticipated to increase administrative burdens to non-small businesses that contract with government entities to provide case management services, and all changes are in line with current practice, resulting in no costs or savings to non-small businesses.

E. Persons other than small businesses, non-small businesses, state, or local government entities ("person" means any individual, partnership, corporation, association, governmental entity, or public or private organization of any character other than an agency):

There is no anticipated fiscal impact to other persons that are nonprofits because of this filing.

These amendments clarify supervision requirements for individuals applying to be certified case managers and for certified case managers.

This filing also expands options for how supervisors may meet requirements but does not remove existing avenues to meet supervisor criteria.

None of these changes are anticipated to increase administrative burdens to nonprofit entities that contract with government entities to provide case management services, and all changes are in line with current practice, resulting in no costs or savings to nonprofits.

F. Compliance costs for affected persons:

There is no anticipated compliance cost for affected persons because of this filing.

These amendments clarify supervision requirements for individuals applying to be certified case managers and for certified case managers.

This filing also expands options for how supervisors may meet requirements but does not remove existing avenues to meet supervisor criteria.

None of these changes are anticipated to increase administrative burdens to staff from the division, nor for local governments or small businesses, non-small businesses, or nonprofit entities that contract with government entities to provide case management services.

All changes are in line with current practice, resulting in no compliance costs.

6. Regulatory Impact Summary Table

Enter the cost or savings in the relevant cell. If there is no cost or savings, enter, "$0." If a cost or savings is inestimable, enter, "inestimable."

Fiscal Cost

FY2027

FY2028

FY2029

FY2030

FY2031

State Budget

Local Governments

Small Businesses

Non-Small Businesses

Other Persons

Total Fiscal Cost

Fiscal Benefits

FY2027

FY2028

FY2029

FY2030

FY2031

State Budget

Local Governments

Small Businesses

Non-Small Businesses

Other Persons

Total Fiscal Benefits

Net Fiscal Benefits

7. Regulatory Impact Analysis Approval

The Commissioner of the Department of Health and Human Services, Tracy S. Gruber, has reviewed and approved this regulatory impact analysis.

8. Family Impact Information

A. The agency has considered this rule's impact on family health, stability, and formation:

☒

9. Citation Information

Provide citations to the statutory authority for the rule. If there is also a federal requirement for the rule, provide a citation to that requirement:

Subsection 26B-5-102(2)(n)

Subsection 26B-5-104(2)

Subsection 26B-5-301(8)

11. Public Notice Information

The public may submit written or oral comments to the agency identified in box 1.

A. Comments will be accepted until:

11/16/2026

12. Effective Date Information

This rule change MAY become effective on:

(NOTE: This is the date the agency anticipates making the filing effective. It is NOT the effective date)

11/23/2026

13. Agency Authorization Information

Agency head or

designee and title:

Tracy S. Gruber, Commissioner

Date:

09/28/2026

R523. Health and Human Services, Substance Use and Mental Health.

R523-7. Designated Examiner and Case Manager Certification.

R523-7-1. Authority and Purpose.

(1) Subsections 26B-5-102(2)(n), 26B-5-104(2)(b), and 26B-5-301(8) authorize this rule.

(2) This rule establishes certification requirements for a:

(a) case manager; and

(b) designated examiner.

R523-7-2. Definitions.

(1) "Case management services" means advocating, coordinating, linking, and monitoring services to help individuals access needed basic needs, behavioral healthcare, education, housing, medical healthcare, social, and other life-enhancing service needs. A case manager assesses individual needs and develops a plan designed to help the individual obtain access to a coordinated array of non-clinical services.

(2) "Case manager" means an individual who helps a client achieve wellness and autonomy by developing a plan that coordinates and integrates support services the client needs to optimize treatment goals through advocacy, assessment, communication, education, planning, resource management, and service facilitation.

(3) "Certified case manager" means a case manager that has received a case manager certification from the [Office of Substance Use and

Mental Health (office)]Division of Integrated Health (division).

(4) "Designated examiner" means the same as defined in Subsection 26B-5-301(8).

(5) "Director" means the director of the [office]division or a designee.

R523-7-3. Designated Examiners Certification.

(1) To be certified as a designated examiner, a qualified individual shall submit an application to the [office]division.

(2) To be qualified, an individual must be:

(a) a licensed physician, as defined in Section 58-67-102, or a licensed mental health therapist, as defined in Section 58-60-102; and

(b) employed by or a designee of:

(i) a local mental health authority or a local substance abuse authority;

(ii) the Utah State Hospital; or

(iii) a[n office] division-approved accountable care organization.

(3) The director shall review and approve an applicant to receive training if:

(a) the applicant meets the requirements in Subsection 26B-5-301(8) and this rule;

(b) the applicant is a Utah resident; and

(c) as determined by the director the applicant has adequate training and experience to perform the duties of a designated examiner.

(4) To be certified as a designated examiner, an approved applicant shall:

(a) complete a training course provided by the [office]division; and

(b) take an examination based on the training course and earn a minimum score of 70%.

(5) The director may grant a waiver to a training requirement under this rule if the applicant can demonstrate adequate knowledge and understanding of the training requirement based on prior experience and training.

R523-7-4. Case Manager General Provisions.

(1) To be certified by the office, a case manager shall:

(a) be at least 18 years of age;

(b) have a high school degree or a general education diploma; and

(c)(i) have obtained, within the ten years before submitting an application, at least 400 hours experience in human services or a related field through education, volunteer work, or paid employment; or

(ii) have a bachelor's degree in human services or a related field of study.

(2) The director may waive any of the certification requirements in Subsection (1)(c) if the director determines that the applicant's experience and qualification is sufficient to ensure that no client is likely to be harmed by the waived requirements if certification is granted.

R523-7-5. Case Manager Certification Requirements.

(1) An individual who meets the requirements of Section R523-7-4 may submit an application for case manager certification to the [office]division.

(2)(a) The [office]division shall review an application to ensure that the application is complete.

(b) If the application is not complete, the [office]division shall notify the applicant that more information is needed.

(3) The [office]division shall consider each complete application and approve, deny, or ask for additional information.

(4) Before an applicant may be certified, the approved applicant must:

(a) receive a score of 70% or higher on an examination provided by the [office]division that is designed to evaluate the applicant's basic

knowledge about:

(i) behavioral health disorders;

(ii) case management skills; and

(iii) ethical behaviors and attitudes; and

(b)(i) complete a[n office] division-approved 40-hour supervised case management practicum.

(ii) An applicant's direct supervisor, who meets at least one of the requirements listed in Subsection R523-7-7(2), shall supervise the

applicant's practicum at the applicant's place of employment.

(5) The [office]division shall issue a certification that is valid for three years to an individual who successfully completes the requirements

described in Subsection (4).

(6) If an individual fails the [office]division examination twice within a 30-day period, the individual shall wait 30 days before retaking the

examination.

(7) If an individual's application is denied twice within a 30--day period, the individual shall wait 30 days before reapplying.

R523-7-6. Case Manager Recertification Requirements.

(1)[(a)] To recertify, a certified case manager shall complete 30 hours of additional division-approved training.

(a) The [office]division-approved additional training shall include:

(i) four hours of an ethics related topic;

(ii) three hours of a suicide prevention related topic; and

(iii) 23 hours on a topic related to:

(A) mental health disorders;

(B) substance use disorders;

(D) trauma informed care; or

(E) another human services related topic.

(b) A certified case manager shall receive a score of 70% or higher on an examination provided by the [office]division.

(2)(a) A certified case manager shall [retain]keep documentation establishing compliance with Subsection (1)(a) for three years after the

end of the renewal cycle for which the continuing education is due.

(b) [D]A certified case manager shall provide documentation [shall be provided ]to the [office]division upon request, [and]which may

include:

([a]i) a certificate of completion;

([b]ii) a school transcript;

([c]iii) a course description; or

([d]iv) other course materials and proof of attendance.

(3) A certified case manager shall ensure documentation described in Subsection (2) includes:

(a) an official transcript verifying completion of:

(i) an undergraduate course of study: or

(ii) a graduate course of study; or

(b) the following information:

(i) the date of the course;

(ii) the name of the course provider;

(iii) the name of the instructor;

(iv) the course title;

(v) the number of hours of continuing education credit; and

(vi) the course objectives.

(4) Each certified case manager shall comply with Section R380-80-5.

R523-7-7. Certified Case Manager Services and Supervision.

(1) Each certified case manager shall be qualified to provide case management services.

(2) Each certified case manager shall be directly supervised at the certified case manager's place of employment and by an individual [that]who has:

(a) [has ]a high school diploma or GED and five years of experience in human services;[ or]

(b) [has ]an associate's degree in human services or a related field and three years of experience in human services; or

(3) Each certified case manager shall meet with the case manager's supervisor weekly.

R523-7-8. Corrective Action on a Certified Case Manager's Certification.

(1) If the [office]division becomes aware that a certified case manager has engaged in unprofessional or unlawful conduct, failed to

comply with Section R380-80-5, or has failed to comply with Section R523-7-7, the [office]division shall immediately review the allegation.

(2) If the [office]division determines the allegation is substantiated, the [office]division shall revoke or suspend the certified case

manager's certification, based on the severity of the substantiated allegation, and if the certified case manager's conduct resulted in:

(a) a criminal charge or violation of Section R380-80-5 that results in the certified case manager being separated from employment with the certified case manager's employer;

(b) a personal financial gain through deception, or a business transaction with a client;

(d) a financial loss to a client, the state, or another employee; or

(e) if the nature of the allegation is determined by the [office]division to be egregious enough that immediate action needs to be taken.

(3) The [office]division shall ensure the following actions take place when the [office]division becomes aware that a certified case

manager's conduct is in violation of Section R380-80-5 that does not result in immediate revocation:

(a) within 30 days of becoming aware of the violation, the [office]division shall notify the certified case manager through a notice of

violation specifying the area of noncompliance;

(b) within 30 days of receiving a notice of violation, the certified case manager shall submit an acceptable written plan to the [office]division explaining how the certified case manager will achieve compliance within 30 days after receiving the notice of violation; and

(c) if an acceptable plan of action is not received by the [office]division within 30 days of sending the notice of agency action, the

[office]division shall suspend the certified case manager's certification until the certified case manager submits an acceptable plan.

(4) The [office]division shall revoke the certification of a certified case manager if the certified case manager:

(a) fails to provide the [office]division with satisfactory written evidence of compliance to a plan of action within 30 days after the

certified case manager receives a notice of suspension; or

(b) receives more than two notices of noncompliance with Section R380-80-5 in a one-year period.

(5) An individual with a revoked case manager certification may not reapply for recertification for 12 months.

(6) A notice that a certified case manager's certification has been revoked shall include instruction on how to appeal the decision as provided in Title 63G, Chapter 4, Administrative Procedures Act and Rule R410-14.

(7) If a certified case manager fails to complete the requirements for continuing education, the [office]division shall allow the case

manager's certificate to expire and may not renew the certification unless, within 30 days of expiration, the individual submits proof of completion of the required continuing education.

(8) If a certified case manager's certification expires as described in Subsection (7), the individual may submit a new application for [office]division certification no sooner than 60 days after the expiration date.

KEY: designated examiners, involuntary commitment, case managers, case manager certification

Date of Last Change: [January 26, ]2026

Notice of Continuation: December 1, 2025

Authorizing, and Implemented or Interpreted Law: 26B-5-102(2)(n); 26B-5-104(2)(b); 26B-5-301(8)

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