DAR File No. 40931

Human Services, Administration, Administrative Services, Licensing

Rule R501-14

Human Service Program Background Screening

Notice of Proposed Rule

(Amendment)

DAR File No.: 40931
Filed: 11/01/2016 06:21:31 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

This rule governs background screening as required in Section 62A-2-120. It is being updated to clarify language and to come into compliance with H.B. 371 from the 2016 General Session.

Summary of the rule or change:

This update adds Department of Human Services (DHS) contractor language to ensure that all of those with direct access to vulnerable adults and children are consistently background screened. It also clarifies processes, including which misdemeanors are not required to be reviewed by the comprehensive review committee.

Statutory or constitutional authorization for this rule:

• Section 62A-2-120

Anticipated cost or savings to:

the state budget:

Nothing affects the state budget in these changes. This work is already funded.

local governments:

There is no anticipated change for local government. If they are working with the Department and requiring background checks for any staff, they would have already been captured under previous rule and statute.

small businesses:

There is some potential for a few businesses, especially one-person businesses, to be affected as most other small businesses were already captured under old rule and statute for background screenings. There are a handful of Department contractors that were excluded from the previous jurisdiction that are now included. One of the main aspects of H.B. 371 (2016) is to ensure background screenings are done on this handful of individuals who do not hold DHS licenses but do serve DHS clients via contract and have direct access. The cost to any such individual now affected would be either $39.75 or $52.75, depending on which check they are required to get.

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

No cost is anticipated. Individuals on contract were largely captured under the small business section above.

Compliance costs for affected persons:

Anyone new that has to do background checks will be required to pay $39.75 or $52.75 for FBI fingerprint checks, depending on which check is required. This is commensurate with what is done on all individuals working in human service programs. It is anticipated that, compared to the tens of thousands already doing these checks, only a few dozen are likely to be newly affected.

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

There is not a significant fiscal impact from this rule change. Statute now requires department contractors who are not already licensed to be included in those getting the background screenings. Most department contractors are already licensed and subject to the checks.

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
Administration, Administrative Services, Licensing
195 N 1950 W 1ST FLR
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 [email protected]
• Diane Moore at the above address, by phone at 801-538-4235, by FAX at 801-538-4553, or by Internet E-mail at [email protected]
• Jennifer Stahle at the above address, by phone at 801-538-9897, by FAX at 801-538-4553, or by Internet E-mail at [email protected]

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:

12/15/2016

This rule may become effective on:

12/22/2016

Authorized by:

Diane Moore, Director

R501. Human Services, Administration, Administrative Services, Licensing.

R501-14. Human Service Program Background Screening.

R501-14-1. Authority and Purpose.

(1) This Rule is authorized by Sections 62A-2-106, 62A-2-120, 62A-2-121, and 62A-2-122.

(2) This Rule clarifies the standards for approving, denying, or revoking an applicant's background screening.

 

R501-14-2. Definitions.

(1) "Abuse" is defined in Sections 78A-6-105 and 62A-3-301, and may include "severe abuse", "severe neglect", and "sexual abuse", as these terms are defined in Sections 78A-6-105 and 62A-3-301.

(2) "Applicant" means a person whose identifying information is submitted to the Office under Sections 62A-2-120, 62A-3-104.3, 62A-5-103.5, 78B-6-128, and 78B-6-113. Applicant includes the legal guardian of an individual described in Section 62A-2-[10]1 20-1.a[(2)(c)].

(3) "Background Screening Agent" means the applicable licensing specialist, human services program, Area Agency on Aging (for Personal Care Attendant applicants only), or DHS Division [of Services for People with Disabilities (for Direct Service Worker applicants only)]or Office.

(4) "BCI" means the Bureau of Criminal Identification, and is the designated state agency of the Division of Criminal Investigation and Technical Services Division, within the Department of Public Safety, responsible to maintain criminal records in the State of Utah.

(5) "Child" is defined in Section 62A-2-101.

(6) "Child Placing" is defined in Section 62A-2-101.

( 7[6]) "Comprehensive Review Committee" means the Committee appointed to conduct reviews in accordance with Section 62A-2-120.

(8) "DAAS Statewide Database" is the Division of Aging and Adult Services database created by Section 62A-3-311.1 to maintain reports of vulnerable adult abuse, neglect, or exploitation.

( 9[7]) "Direct Access" is defined in Section 62A-2-101.

( 10[8]) "Direct Service Worker" is defined in Section 62A-5-101.

( 11[9]) "Directly Supervised" is defined in 62A-2-101.

(1 2[0]) "Expiration date" is 395 days from the approval date of the current screening application , or one year from the current license start date, whichever is longer. In the event that a human services program or department contractor has more than one license, the current license start date means the earliest current license start date. A background screening approval that has expired is void.

(13[1]) "FBI Rap Back System" is defined in Section 53-10-108.

(14[2]) "Fingerprints" means an individual's fingerprints as copied electronically through a [live-scan ]fingerprint[ing]scanning device or on two ten-print fingerprint cards by a law enforcement agency, an agency approved by the BCI, or Background Screening Agent.

(15) "Foster Home" is defined in Section 62A-2-101.

(16[3]) "Human [s]Services [p]Program" is defined in Section 62A-2-101.

(17[4]) "Licensee" is defined in Section 62A-2-101.

(18[5]) "Licensing Information System" is created by Section 62A-4a-1006, as a sub-part of the Division of Child and Family Services' Management Information System created by Section 62A-4a-1003.

(19[6]) "Neglect" may include "severe neglect", as these terms are defined in Sections 78A-6-105 and 62A-3-301.

( 20[17]) "Office" means the Office of Licensing within the Utah Department of Human Services.

( 21[8]) "Personal Care Attendant" is defined in Section 62A-3-101.

( 22[19]) "Personal [i]Identifying [i]Information" is defined in Section 62A-2-120, and shall include:

(a) a current, valid state driver's license or state identification card bearing the applicant's photo, current name, and address;

(b) any current, valid government-issued identification card bearing the applicant's name and photo, including passports, military identification and foreign government identification cards; or

(c) other records specifically requested in writing by the Office.

[(20) "Rap Back System" is defined in Section 53-10-108.

(21) "Statewide Database" of the Division of Aging and Adult Services is created by Section 62A-3-311.1 to maintain reports of vulnerable adult abuse, neglect, or exploitation.]

(23) "Substance Abuse Treatment Program" is defined in Section 62A-2-101.

(24[2]) "Substantiated" is defined in Section 62A-4a-101.

(25[3]) "Supported" is defined in Sections 62A-3-301 and 62A-4a-101.

(26[4]) "Vulnerable Adult" is defined in Section 62A-2-101.

(27[5]) "WIN Database" is [as ]defined in Section 53-10-108, and includes information from Alaska, Idaho, Montana, Nevada, Oregon, Utah, Washington, and Wyoming.

 

R501-14-3. Initial Background Screening Procedure.

(1) An applicant for initial background screening shall legibly complete, date and sign a background screening application and consent on a form provided by the Office.

(2) An applicant shall disclose all criminal charges, including pending charges, and all supported or substantiated findings of abuse, neglect or exploitation on the background screening application. The applicant may provide disclosure statements and related documents as direct attachments to the application or directly attached in a sealed envelope. If the applicant submits a sealed envelope, the Background Screening Agent shall forward it unopened.

(3) An applicant who presents only a foreign country identification card shall:

(a) enroll in the FBI [r]Rap [b]Back [s]System; and

(b) submit an original or certified copy of a government-issued criminal history report from that country.

(4) An applicant who presents only a US passport or state issued identification card from any state other than Utah, Alaska, Idaho, Montana, Nevada, Oregon, Washington, and Wyoming shall:

(a) enroll in the FBI [r]Rap [b]Back [s]System.

(5) The background screening application, personal identifying information , including fingerprints, and applicable fee shall be submitted to the Background Screening Agent. The Background Screening Agent shall:

(a) inspect the applicant's government-issued identification card and determine that it does not appear to have been forged or altered;

(b) review and sign the application; and

(c) forward the background screening application, and applicable fee to the Office background screening unit.

 

R501-14-4. Renewal Background Screening Procedure.

(1) An applicant for background screening renewal shall legibly complete, date and sign a background screening application and consent on a form provided by the Office.

(2) An applicant shall disclose all criminal charges, including pending charges, and all supported or substantiated findings of abuse, neglect or exploitation on the background screening application. The applicant may provide disclosure statements and related documents as direct attachments to the application or directly attached in a sealed envelope. If the applicant submits a sealed envelope, the Background Screening Agent shall forward it unopened.

(3) The background screening application, personal identifying information, and applicable fee shall be submitted to the Background Screening Agent.

(a) Notwithstanding R501-14-4(3), an applicant for a background screening renewal who is not currently enrolled [o]in the FBI [r]Rap [b]Back System is not required to submit fingerprints for a FBI [r]Rap [b]Back [s]System search and applicable FBI [r]Rap [b]Back System fees unless:

(i) the applicant's most current background screening has expired;

(ii) the human services program or Background Screening Agent with which the applicant is associated requires a FBI [r]Rap [b]Back [s]System search;

(iii) the applicant wishes to provide services with another licensee and has not submitted fingerprints for a FBI [r]Rap [b]Back [s]System search and applicable FBI [r]Rap [b]Back System fees;

(iv) the applicant does not present a current, valid identification card issued by the State of Utah; or

(v) the renewal application is submitted on or after July 1, 2017 and the applicant is not already enrolled in the FBI [r]Rap [b]Back System.

(4) A licensed human services program or department contractor wishing to submit background screening renewal applications for multiple applicants [associated with the licensee ]may submit a summary log of the renewing applicants in lieu of individuals' applications.

(a) A summary log may only be used for applicants:

(i) who are enrolled in the FBI [r]Rap [b]Back System with the Office;

(ii) with a current, non-expired approval;

(iii) whose name and address have not changed since their last background screening approval;

(iv) who have not had any of the following since their last background screening approval:

(A)[I.] criminal arrests or charges;

(B)[II.] supported or substantiated findings of abuse, neglect or exploitation; or

(C)[III.] any pending or unresolved criminal issues.

(b) Summary logs shall contain:

(i) applicant name,

(ii) applicant date of birth,

(iii) the last four numbers of each applicant's social security number;

(iv) program name; and

(v) name of program representative completing summary form.

(c) A Background Screening Agent[licensed human services] program choosing to submit a summary log of the renewing applicants in lieu of individuals' applications shall maintain documentation signed by each applicant , in which they [and ]attest[ing] to the accuracy of the information described in R501-14-4(4)(a) and (b).

(5) An application shall be submitted each time an applicant may have direct access to a child or vulnerable adult at any human services program other than the program identified on the initial application.

(6) The Background Screening Agent shall:

(a) inspect the applicant's government-issued identification card and make a determin[e]ation as to whether or not [that ]it [does not ]appear s to have been forged or altered;

(b) review and sign the application; and

(c) forward the background screening application, and applicable fee to the Office background screening unit within 30 calendar days after the applicant completes and signs the application and no later than 15 calendar days preceding the background screening expiration date.

 

R501-14-5. General Background Screening Procedure.

(1)[(a)] An application that is illegible, incomplete, unsigned, undated, or lacks a signed consent or required identifying information, may be returned to the individual who submitted it without further action.

( a[b]) Personal identifying information submitted pursuant to Sections 62A-2-120, 62A-3-104.3, 62A-5-103.5, 78B-6-113, and 78B-6-128 shall be used to perform a search in accordance with Sections 62A-2-120(3) and (13).

(2)[(a)] Except as permitted by Section 62A-2-120(9), an applicant for an initial background screening shall have no direct access to a child or vulnerable adult prior to receiving written confirmation of background screening approval from the Office.

( a[b]) Except as permitted by Section 62A-2-120(9), an applicant seeking background screening renewal shall have no direct access to a child or vulnerable adult after the background screening expiration date and prior to receiving written confirmation of background screening approval from the Office.

(3)[(a)] The Office may defer action on an application for up to 30 calendar days until the applicant submits all additional information required by the Office.

( a[b]) The Office may deny an application in the event that an applicant fails to provide all additional information required by the Office.

(b) An applicant whose background screening has been denied shall have no further supervised or unsupervised direct access to clients unless the Office approves a subsequent application.

(4) The Office may provide written communication notify ing the [a ]program that the applicant must:

(a) submit fingerprints for a FBI Rap Back System check within 15 calendar days of a letter of notification; and/or

(b) obtain and submit a certified copy of the applicant's criminal history or records from local, state, federal, or foreign officials within 30 calendar days of a letter of notification.

(5) Upon notification from the Office as described in R501-14-5(4), the Background Screening Agent shall provide the applicant with a copy of all written communication from the Office within five calendar days after the date it is received.[(a) The Office shall send all written communications to the applicant or to the applicable Background Screening Agent by first-class mail.

(b) A Background Screening Agent shall provide the applicant with a copy of all written communication from the Office within 5 calendar days after the date it is received.]

( 6[c]) [Notwithstanding R501-14-5(5)(a), i]If the Office sends an applicant a sealed letter in care of or via the Background Screening Agent, the letter shall be provided to the applicant unopened.

( 7[6]) The applicant shall promptly notify the Office of any change of address while the application remains pending.

( 8[7]) A Background Screening Agent may roll fingerprints of applicants for submission to the Office only after it has received and applied training in the proper methods of taking fingerprints.

(a) The [program]Background Screening Agent shall verify the identity of the applicant via government-issued identification card at the time that fingerprints are taken.

(b) In the event that 10% or more of the fingerprints submitted by a Background Screening Agent are rejected for quality purposes, the Office may thereafter require that a program utilize law enforcement or BCI to roll prints.

(c) An applicant or Background Screening Agent is not required, but may opt to, submit fingerprints for minors.

 

R501-14-6. Background Screening Fees.

(1) The applicant and [b]Background [s]Screening [a]Agent are responsible for ensuring the accuracy of information submitted with fee payments.

(2) Fees shall only be made by cashiers' check, corporate check, money order, or internal DHS transfer. Personal checks and credit or debit card payments shall not be accepted.

(3) A Background Screening Agent may choose to submit one payment for any number of applicants.

(4) Fees are not refundable or transferable for any reason.

 

R501-14-7. Results of Screening.

(1)[(a)] The Office shall approve an application for background screening in accordance with Section 62A-2-120(7).

( a[b]) The Office shall notify the applicant or the Background Screening Agent or contractor when an applicant's background screening application is approved.

(i) Upon receiving notice from the Office, the Background Screening Agent shall provide notice of approval to the applicant as required under Section 62A-2-120 (12)(a)(i).

( b[c]) The approval granted by the Office shall be valid for a period not to exceed 395 days from the date of approval.

( c[d]) An approval granted by the Office shall not be transferable, except as provided in [Section ]R501-14-11.

(2)[(a)] The Office may conditionally approve an application for background screening in accordance with Section 62A-2-120(8).

(a) Conditional approvals are prohibited for initial applicants who are residents of child placing foster or adoption homes.

(b) A program seeking the conditional approval of an applicant shall not request conditional approval unless 10 business days have passed after the applicant's background screening application is received by the Office without receiving notification of the approval or denial of the application.

(c) A written request for conditional approval shall include the applicant's full name, the last four digits of the applicant's social security number, and the date the application was submitted to the Office.

(d) Upon receipt of a written request for conditional approval that complies with R501-14-7(2)(b), the Office shall make a conditional determination within three business days.

(e) If the Office does not provide a standard approval before the expiration date of the conditional approval, the applicant shall have no unsupervised direct access.

(f) The Office may revoke the conditional approval prior to the expiration date.

(3) The Office shall deny an application for background screening in accordance with S[ubs]ection[s] 62A-2-120[(5), (6), (8), and (13)].

(4) An applicant whose background screening has been denied shall have no further direct access.

(5) The Office shall refer an application to the Comprehensive Review Committee [for a comprehensive review ]in accordance with Section 62A-2-120(6).

(a) Per Section 62A-2-120 (6)(a)(ii), all misdemeanor convictions except those listed in R501-14-7(5)(b), within the five years prior to submission of the application to the Office shall be reviewed by the Comprehensive Review Committee.

(b) The following misdemeanors will be reviewed only if there have been three or more convictions for any of the following misdemeanors within the five years prior to the application with the Office:

(i) violation of local ordinances related to animal licenses, dogs at large, noise, yard sales, land uses, storm water, utilities, business licenses, zoning, building, construction and park/access hours;

(ii) all misdemeanors listed in 41-6a except:

(A) part 4 accident responsibility;

(B) part 5 driving under the influence;

(C) part 17 miscellaneous rules;

(D) part 18 motor vehicle safety belt usage act;

(iii) all misdemeanors listed in 76-10-2, 76-10-21 and 76-10-27;

(iv) Failure to Appear: A misdemeanor charge under 77-7-22;

(v) Unauthorized Hunting of Protected Wildlife: A misdemeanor resulting from unauthorized hunting under 23-20-3;

(vi) Fishing Licenses: A misdemeanor resulting from a failure to have the appropriate fishing license under 23-19-1;

(vii) Boating Safety: A misdemeanor resulting from a failure to comply with the boating safety requirements outlined in 73-18-8;

(viii) Business License: A misdemeanor resulting from failure to have a business license as required under 76-8-410;

(xiv) all juvenile misdemeanors except those listed in 62A-2-120(5)(a) unless there is a pattern of at least three or more similar offenses within the five years prior to the submission of the application.

(c) The Office shall refer an applicant to the [c]Comprehensive [r]Review [c]Committee upon learning of a potentially disqualifying offense or finding described in Section 62A-2-120(6)(a) not previously considered by the [c]Comprehensive [r]Review [c]Committee.

(d) If an offense requires committee review, the Comprehensive Review Committee may review all convictions related to the applicant's criminal history.

 

R501-14-8. Comprehensive Review Committee.

(1) The Director of the following Department of Human Services divisions and offices shall appoint one member and one alternate to serve on the Comprehensive Review Committee:

(a) the Executive Director's Office;

(b) the Division of Aging and Adult Services;

(c) the Division of Child and Family Services;

(d) the Division of Juvenile Justice Services;

(e) the Division of Services for People with Disabilities;

(f) the Division of Substance Abuse and Mental Health; and

[(g) Public Guardian; and]

( g[h]) the Office of Licensing.

(2) Comprehensive Review Committee members and alternates shall be professional staff persons who are familiar with the programs they represent.

(3) The appointed Office member shall chair the Comprehensive Review Committee as a non-voting member.

(4) Five voting members shall constitute a quorum.

(5) The Comprehensive Review Committee shall conduct a comprehensive review of an applicant's background screening application, criminal history records, abuse, neglect or exploitation records, and related circumstances, in accordance with Section 62A-2-120(6).

 

R501-14-9. Comprehensive Review Investigation.

(1) The Comprehensive Review Committee shall not deny a background screening application without the Office first sending the applicant a written notice that:

(a) the Office is investigating the applicant's criminal history or findings of abuse, neglect or exploitation;

(b) the applicant is encouraged to submit any written statements or records that the applicant wants the Comprehensive Review Committee to consider;

(c) the Comprehensive Review Committee evaluates information using the criteria established by Section 62A-2-120(6)(b), and the applicant may specifically address these issues; and

(d) submissions must be received within 15 calendar days of the written notice.

(2)(a) The Office shall gather information described in Section 62A-2-120(6)(b) and provide available information to the Comprehensive Review Committee.

(b) The Office may request additional information from any available source, including the applicant, victims, witnesses, investigators, the criminal justice system, law enforcement agencies, the courts and any others it deems necessary for the comprehensive evaluation of an application.

(i) The Office may defer action on an application for up to [than ]30 calendar days until the applicant submits all additional information required by the Office.

(ii) The Office may deny an application in the event that an applicant fails to provide all additional information required by the Office.

(iii) An applicant whose background screening has been denied shall have no supervised or unsupervised direct access unless the Office approves a subsequent application by the invidivdual.

 

R501-14-10. Comprehensive Review Determination.

(1) The Comprehensive Review Committee shall only consider applications and information presented by the Office. The Comprehensive Review Committee shall evaluate the information provided by the Office and any information provided by the applicant.

(a) A background screening approval may be transferred to other human service programs, therefore the Comprehensive Review Committee shall evaluate whether direct access should be authorized for all types of programs.

(2) Each application that goes to the Comprehensive Review Committee requires individual review by the Comprehensive Review Committee.[The Comprehensive Review Committee may, by unanimous vote that includes a representative from each entity identified in R501-14-8(1), identify infraction or misdemeanor offenses that create no risk of harm to a child or vulnerable adult.

(a) The Office may approve the background screening of an applicant whose only offenses are those identified in R501-14-10(2).]

(3) The Comprehensive Review Committee shall recommend approval of the background screening of an applicant only after a simple majority of the voting members of the Comprehensive Review Committee determines that approval will not likely create a risk of harm to a child or vulnerable adult.

(4) The Comprehensive Review Committee shall recommend denial of the background screening of an applicant when it finds that approval will likely create a risk of harm to a child or vulnerable adult.

(5)[The Office shall approve or deny the applicant's background screening application in accordance with the recommendation of the Comprehensive Review Committee, and send written notification to the applicant or Background Screening Agent.] The Office shall approve or deny the applicant's background screening application in accordance with the recommendation of the Comprehensive Review Committee, except as described below:

(a) Within 10 days, a Comprehensive Review Committee member or the Office may request an additional Committee review based on the need for additional information, legal review or clarification of statutes, rules or procedures.

(b) Following a subsequent Committee review, the Office shall:

(i) approve or deny the applicant's background screening application in accordance with the recommendation of the Comprehensive Review Committee, and

(ii) send written notification to the applicant or Background Screening Agent.

(6) An applicant whose background screening has been denied shall have no further supervised or unsupervised direct access .

 

R501-14-11 Background Screening Approval Transfer or Concurrent Use.

(1) An applicant is eligible to have [his/her]their current background screening approval shared with or transferred to another program only if the applicant is currently enrolled [o]in the FBI [r]Rap [b]Back [s]System.

(2) An applicant who wishes to have [his/her]their current background screening shared with or transferred to another program shall complete a background screening application and identify the name of the original program.

(3) An applicant shall not have unsupervised direct access until the program receives written confirmation from the Office that the background screening is current and valid.

(4) A background screening approval that has been transferred or shared shall have the same expiration date as the original approval.

 

R501-14-12. Post-Approval Responsibilities.

(1) An applicant and Background Screening Agent shall immediately notify the Office if the applicant is charged with any felony, misdemeanor, or infraction, or listed in the Licensing Information System, juvenile court records, or the DAAS [s]Statewide [d]Database after a background screening application is approved.

(a) An applicant who is associated with a licensee or department contractor shall immediately notify the licensee or department contractor if the applicant is charged with any felony, misdemeanor, or infraction, or listed in the Licensing Information System, juvenile court records, or the DAAS [s]Statewide [d]Database.

(2) An applicant who has received an approved background screening shall resubmit an application and personal identifying information to the Office within ten calendar days after being charged with any felony, misdemeanor, or infraction, or being listed in the Licensing Information System, the DAAS [s]Statewide [d]Database, or juvenile court records.

(3) An applicant who has been charged with any felony, misdemeanor, or infraction or listed in the Licensing Information System or the DAAS [s]Statewide [d]Database, or juvenile court records, after a background screening application is approved shall have no unsupervised direct access to a child or vulnerable adult until after an application and personal identifying information have been resubmitted to the Office and a current background screening approval is received from the Office.

(4)[(a)] An applicant charged with an offense for which there is no final disposition and no Comprehensive Review Committee denial, shall inform the Office of the current status of each case.

( a[b]) The Office shall determine whether the charge could require a denial or committee review, and if so, notify the applicant to submit a certified copy of judicial documentation that indicates the current status of the case at least once every 3 months or until final disposition, whichever comes first.

( b[c]) An applicant shall submit a certified copy of judicial documentation that indicates the current status of the case at least once every 3 months or until final disposition, whichever comes first.

(5) The Office may revoke the background screening approval of an applicant who:

(a) has been charged with any felony, misdemeanor, or infraction or is listed in the Licensing Information System, the DAAS [s]Statewide [d]Database, or juvenile court records; and

(b) fails to provide required current status information as described in (4) of this Rule.

(6) The Office shall process identifying information received pursuant to [Subsection ]R501-14-12(2) in accordance with [Rule ]R501-14.

(7) A Background Screening Agent shall notify the Office when an applicant is no longer associated with the program no later than five months from the date of termination.

(a) The Office shall verify that the applicant is not associated with another program, and notify BCI within two years[six months] of the date that the applicant is no longer associated with any licensee.

 

R501-14-13. Confidentiality.

(1) The Office may disclose criminal background screening information, including information acknowledging the existence or non-existence of a criminal history, only to the Applicant and the Background Screening Agent, and in accordance with the Government Records Access and Management Act, Section 63G-2-101, et seq.

(2) Except as described in R501-14-11 and below, background screening information may not be transferred or shared between human service programs.

(a) A licensed child-placing agency may provide the approval granted by the Office to the person who is the subject of the approval, another licensed child-placing agency, or the attorney for the adoptive parents, in accordance with Section 53-10-108(4).

 

R501-14-14. Retention of Background Screening Information.

(1) A human services program or department contractor shall retain the background screening information of all associated individuals [associated with the program ]for a minimum of eight years after the termination of the individual's association with the program.

 

R501-14-15. Expungement.

(1) An applicant whose background screening application has been denied due to the applicant's criminal record may submit a new application with a certified copy of an Order of Expungement.

 

R501-14-16. Administrative Hearing.

(1) A [n]Notice of [a]Agency [a]Action that denies the applicant's background screening application or revokes the applicant's background screening approval shall inform the applicant of the right to appeal in accordance with Administrative Rule R497-100 and Section 63G-4-101, et seq.

 

R501-14-17. Exemption.

(1) Section 62A-2-120(13) provides an exemption for substance abuse programs providing services to adults only. In order to claim this exemption, an applicant, human services program, or department contractor may request this exemption on a form provided by the Office, and demonstrate that they meet exemption criteria. Final determination shall be made by the Office.

 

R501-14-18. Compliance.

(1) A licensee that is in operation on the effective date of this Rule shall be given 90 days to achieve compliance with this Rule.

 

KEY: licensing, background screening, fingerprinting, human services

Date of Enactment or Last Substantive Amendment: [January 13], 2016

Notice of Continuation: September 29, 2015

Authorizing, and Implemented or Interpreted Law: 62A-2-108 et seq.