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), 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).

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

(5) "Director" means the director of the office 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.

(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) an office-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; 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.

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

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

(3) The office 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 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) complete an office-approved 40-hour supervised case management practicum.

(5) The office 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 examination twice within a 30-day period, the individual shall wait 30 days before retaking the examination.

R523-7-6. Case Manager Recertification Requirements.

(1)(a) To recertify, a certified case manager shall complete 30 hours of additional approved training. The office-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;

(C) homelessness;

(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.

(2) A certified case manager shall retain documentation establishing compliance with Subsection (1) for three years after the end of the renewal cycle for which the continuing education is due. Documentation shall be provided to the office upon request and may include:

(a) a certificate of completion;

(b) a school transcript;

(c) a course description; or

(d) 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:

(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.

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

(1) If the office 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 shall immediately review the allegation.

(2) If the office determines the allegation is substantiated, the office 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;

(c) physical or emotional harm to a person;

(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 to be egregious enough that immediate action needs to be taken.

(3) The office shall ensure the following actions take place when the office 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 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 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 within 30 days of sending the notice of agency action, the office shall suspend the certified case manager's certification until the certified case manager submits an acceptable plan.

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

(a) fails to provide the office 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 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 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-5-104(2); 26B-5-301(8)