DAR File No. 42233

Human Services, Administration, Administrative Services, Licensing

Rule R501-14

Human Service Program Background Screening

Notice of Proposed Rule

(Amendment)

DAR File No.: 42233
Filed: 10/16/2017 06:20:44 PM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The reason for the change is to conform to legislative changes due to H.B. 185, from the 2017 General Session, and clarify processes.

Summary of the rule or change:

This rule clarifies processing of the new background screening exemption found in Subsection 62A-2-120(13). It also defines related terminology. It eliminates the expiration date of a screening and instead creates circumstances which result in a lapsed screening. It adds more flexibility for those from foreign countries to clear a background screening; clarifies that juveniles can only submit fingerprints within 30 days of their 18th birthday; expands the types of crimes that pass a background screening check without being reviewed by a full committee; clarifies the information that an applicant may want to submit to the committee for review of their background history; allows the grandfathering of those with checks prior to 09/01/2015 who are not on the FBI Rap Back system to extend when they go on Rap Back from 2017 to 2018.

Statutory or constitutional authorization for this rule:

• Section 62A-2-120

Anticipated cost or savings to:

the state budget:

It is not anticipated that any of these changes will impact the state budget. The clarifications in this rule have virtually no impact to the workload.

local governments:

After analysis, this rule will have no impact on local governments. None of these processes increase costs for those accessing the background checks. It does delay some background screening costs for local governments who run checks through the office until FY2019. However, this is neither a cost or savings. They can still choose to run them earlier.

small businesses:

After analysis, this rule will have no impact on small businesses. None of these processes increase costs for those accessing the background checks. It does delay some background screening costs for small businesses who run checks through the office until FY2019. However, this is neither a cost or savings. They can still choose to run them earlier.

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

After analysis, this rule will have no impact on other persons. None of these processes increase costs for those accessing the background checks. It does delay some background screening costs for other persons who run checks through the office until FY2019. However, this is neither a cost or savings. They can still choose to run them earlier.

Compliance costs for affected persons:

There are no increased costs for affected persons. The clarifications in this rule do not increase costs to processing background screenings.

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

This rule is estimated, after analysis, to have no fiscal impact for businesses who license and/or run background screenings through the office.

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 jhjonesrobbins@utah.gov
• Janice Weinman at the above address, by phone at 385-321-5586, by FAX at 801-538-4553, or by Internet E-mail at jweinman@utah.gov
• Samantha Hanson at the above address, by phone at 801-538-4041, by FAX at , or by Internet E-mail at samanthahanson@utah.gov

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:

12/01/2017

This rule may become effective on:

12/08/2017

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 "[s]Severe [a]Abuse", "[s]Severe [n]Neglect", and "[s]Sexual [a]Abuse", as these terms are defined in Sections 78A-6-105 and 62A-3-301.

(2) "Adult-only Substance Use Disorder Program" is a program serving substance use disorder related clients that has declared to the Office of Licensing that they do not serve the following:

(a) clients under the age of 18; or

(b) those with any serious mental illness or cognitive impairments.

([2]3) "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-2-120-1.a.

([3]4) "Background Screening Agent" means the applicable licensing specialist, human services program, Area Agency on Aging (for Personal Care Attendant applicants only), and adoption service provider, an attorney representing a prospective adoptive parent as defined in Section 78B-6-103(4), or DHS Division or Office. The background screening agents are the point of contact with the Office for the purpose of background screening.

([4]5) "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]6) "Child" is defined in Section 62A-2-101.

([6]7) "Child Placing" is defined in Section 62A-2-101.

([7]8) "Comprehensive Review Committee" means the [C]committee appointed to conduct reviews in accordance with Section 62A-2-120.

([8]9) "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]10) "Direct Access" is defined in Section 62A-2-101.

(1[0]1) "Direct Service Worker" is defined in Section 62A-5-101.

(1[1]2) "Directly Supervised" is defined in 62A-2-101.

[(12) "Expiration date" is 14 months from the approval date of the current screening application. A background screening approval that has expired is void.

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

(14) "Fingerprints" means an individual's fingerprints as copied electronically through a fingerprint scanning device or on two ten-print fingerprint cards by a law enforcement agency, an agency approved by the BCI, or [B]background [S]screening [A]agent.

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

(16) "Human Services Program" is defined in Section 62A-2-101.

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

(18) "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) "Neglect" may include "[s]Severe [n]Neglect", as these terms are defined in Sections 78A-6-105 and 62A-3-301.

(20) "Office" [means the Office of Licensing within the Utah Department of Human Services]is defined in Section 62A-2-101(27).

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

(22) "Personal Identifying 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.

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

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

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

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

 

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.

(3) 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 [B]background [S]screening [A]agent shall forward it unopened.

([3]4) An applicant must present valid government-issued identification[, including but not limited to a state issued driver license, state ID or passport].

([4]5) An applicant who presents only a foreign country identification card may be required to[shall] submit an original or [certified]official copy of a government issued criminal history report from that country.

([5]6) The background screening application, personal identifying information, including fingerprints, and applicable fee shall be submitted to the [B]background [S]screening [A]agent. The [B]background [S]screening [A] 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 for completeness and accuracy and sign the application; and

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

(d) The background screening agent may withdraw a background screening application at any point in the process.

 

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 [B]background [S]screening [A]agent shall forward it unopened.

(3) The background screening application and personal identifying information shall be submitted to the [B]background [S]screening [A]agent.

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

(i) the applicant's most current background screening has [expired]lapsed as described in part 7 of this Section;

(ii) the human services program or [B]background [S]screening [A]agent with which the applicant is associated requires a FBI Rap Back System search;

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

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

( iv) the renewal application is submitted on or after July 1, 201[7]8 and the applicant is not already enrolled in the FBI Rap Back System.

(4) A [licensed human services program or department contractor]background screening agent wishing to submit background screening renewal applications for multiple applicants 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 Rap 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) criminal arrests or charges;

(B) supported or substantiated findings of abuse, neglect or exploitation; or

(C) any pending or unresolved criminal issues.

(b) Summary logs shall contain:

(i) applicant full legal 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 [B]background [S]screening [A]agent [program ]choosing to submit a summary log of the renewing applicants in lieu of individuals' applications shall maintain current documentation signed by each applicant, in which they attest 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 [B]background [S]screening [A]agent shall:

(a) inspect the applicant's government-issued identification card and make a determination as to whether or not it appears to have been forged or altered; and

(b) review for completeness and accuracy and sign the application .[; and]

[(c) forward the background screening application 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.

] (7) Renewal applications from background screening agent and applicant shall be submitted to the Office no later than one year from the date of their most recent background screening approval. A screening that has lapsed for 30 days beyond that time is void and a new initial application must be submitted.

 

R501-14-5. General Background Screening Procedure.

(1) 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) 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) Except as permitted by Section 62A-2-120(9), an applicant for an initial background screening shall submit an application no later than two weeks from becoming associated with the licensee and shall be directly supervised in regards [have no direct access] to a child or vulnerable adult prior to receiving written confirmation of background screening approval from the Office.

(a) Except as permitted by Section 62A-2-120(9), an applicant seeking background screening renewal shall submit renewal application within one year of the previous clearance date.[have no direct access to a child or vulnerable adult after the background screening expiration date and]

(b) If the screening approval lapses beyond 30 days, the applicant shall be directly supervised in regard to direct access of a child or vulnerable adult prior to receiving written confirmation of background screening approval from the Office.

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

]([b]c) 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 notifying the 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.

(6) 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]3) The applicant or background screening agent shall promptly notify the Office of any change of address while the application remains pending.

([8]4) A [B]background [S]screening [A]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 [B]background [S]screening [A]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 [B]background [S]screening [A]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.](c) A minor applicant that submitted a youth application with no fingerprint cards and is not currently on the FBI Rap Back System must submit fingerprints within 30 days prior to the minor's 18th birthday.

 

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 [B]background [S]screening [A]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.]Application Processing and Results.

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

(a) The Office shall notify the applicant or the [B]background [S]screening [A]agent or contractor when an applicant's background screening application is approved.

(i) Upon receiving notice from the Office, the [B]background [S]screening [A]agent shall provide notice of approval to the applicant as required under Section 62A-2-120 (12)(a)(i).

(b) The approval granted by the Office shall be valid [for a period not to exceed 14 months from the date of approval]until a renewal approval is issued or the prior approval lapses.

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

(2) 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]background screening agent 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) Conditional approvals shall have expiration dates not to exceed 60 days.

([e]f) If the Office does not provide a standard approval before the expiration date of the conditional approval, the applicant shall be directly supervised until such an approval is granted[have no unsupervised direct access].

([f]g) 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 Section 62A-2-120.

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

(5) The Office shall refer an application to the [C]comprehensive [R]review [C]committee 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 [C]comprehensive [R]review [C]committee.

(b) The following misdemeanors will not be reviewed except as described in (xiv) as listed below:

(i) violation of local ordinances related to animal licenses, littering, 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 Sections 401.3, 401.5 and 401.7;

(B) part 5 driving under the influence;

(C) part 17 miscellaneous rules Section 1716 if charged as a misdemeanor B and Section 1717;

(D) part 18 Section 1803[motor vehicle safety belt usage act];

(iii) all misdemeanors listed in 76-10-2, 76-10 part 1 Section 105, 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]ix) 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.](6) The Office may provide the status of an application to the sponsoring background screening agent, but shall not share any specific criminal history information.

 

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 [C]comprehensive [R]review [C]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) the Office of Licensing.

(2) Comprehensive [R]review [C]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 [C]comprehensive [R]review [C] committee as a non-voting member.

(4) Four voting members shall constitute a quorum, not including the representatives from the Office of Licensing.

(5) The [C]comprehensive [R]review [C]committee shall conduct a comprehensive review of an applicant's background screening application, criminal history records, outstanding warrants for any offenses that require a committee review, abuse, neglect or exploitation records, and related circumstances, in accordance with Section 62A-2-120(6).

 

R501-14-9. Comprehensive Review Investigation.

(1) The [C]comprehensive [R]review [C]committee shall not review [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 comprehensive review committee needs to make a determination of risk of harm including but not limited to: [applicant wants the Comprehensive Review Committee to consider;]

(i) original police reports;

(ii) investigatory and charging documents;

(iii) proof of any compliance with court orders;

(iv) any evidence of rehabilitation, counseling, psychiatric treatment received, or additional academic or vocational schooling completed;

(v) personal statements;

(vi) reference letters specific to the potential risk of harm and;

(vii) any other information that specifically addresses the criteria established in Section 62A-2-120(6)(b);

(c) the [C]comprehensive [R]review [C]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 unless an extension has been requested by the background screening agent or applicant and granted by the Office.

(2)[(a)] The Office shall gather information described in Section 62A-2-120(6)(b) from the applicant and provide available information to the [C]comprehensive [R]review [C]committee.

([b]3) 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]4) A denied application may be re-submitted to the Office after 6 months or upon substantial change to circumstances[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].[

(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 individual.]

 

R501-14-10. Comprehensive Review Determination.

(1) The [C]comprehensive [R]review [C]committee shall only consider applications and information presented by the Office. The [C]comprehensive [R]review [C]committee shall evaluate the applications and information provided to the committee [by] through the Office [and any information provided by the applicant].

(a) A background screening approval may be transferred to other human service programs, therefore the [C]comprehensive [R]review [C]committee shall evaluate whether direct access should be authorized for all types of programs.

(2) Each application that goes to the [C]comprehensive [R]review [C]committee requires individual review by the [C]comprehensive [R]review [C]committee.

(3) The [C]comprehensive [R]review [C]committee shall recommend approval of the background screening of an applicant only after a simple majority of the voting members of the [C]comprehensive [R]review [C]committee determines that approval will not likely create a risk of harm to a child or vulnerable adult.

(4) The [C]comprehensive [R]review [C]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) If the applicant fails to provide additional information requested by the Office, the comprehensive review committee may consider and weigh those omissions in the evaluation of the risk of harm to clients.

([5]6) The Office shall make the final determination to approve or deny the [applicant's background screening] application after considering the comprehensive review committee's [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]7) 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 their current background screening approval shared with or transferred to another human services program only if the applicant is currently enrolled in the FBI Rap Back System and the screening was run under the same statutory authority as the original screening.

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

(3) An applicant shall [not have unsupervised direct access] be directly supervised 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 [B]background [S]screening [A]agent shall immediately notify the Office if the applicant is charged with any felony, misdemeanor, or infraction, or [listed] has a new finding in the Licensing Information System, juvenile court records, or the DAAS Statewide 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 Statewide 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 Statewide Database, or juvenile court records.

(3) An applicant who has been charged with any felony, misdemeanor, or infraction listed in Section 62A-2-120(5)(a) or [listed]has a new finding in the Licensing Information System or the DAAS Statewide Database, [or juvenile court records,] after a background screening application is approved shall [have no unsupervised direct access to a child or vulnerable adult]be directly supervised 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) An applicant charged with an offense for which there is no final disposition and no [C]comprehensive [R]review [C]committee denial, shall inform the Office of the current status of each case every 90 days.

(a) The Office shall determine whether the pending charge could require a denial or committee review, and if so, notify the applicant to submit a n official[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) An applicant shall submit a n official [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 Statewide Database, or juvenile court records; and fails to provide required current status information as described in (4) of this Rule or;

(b) has been convicted of any felony, misdemeanor or infraction listed in 62A-2-120(5) after a background screening approval had already been granted by the Office while charges were pending.

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

(7) A [B]background [S]screening [A]agent shall notify the Office when an applicant is no longer associated with the program so that the Office may terminate the FBI Rap Back subscription [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 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 [A]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 adoption 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 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 n official [certified] copy of an Order of Expungement.

 

R501-14-16. Administrative Hearing.

(1) A Notice of Agency 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.

(2) The substance abuse program exemption limits the exemption with regard to program directors and members. Ownership and management of a human services program, as included in the definition of member, for purposes of this rule means a person or entity who alone or in conjunction with other persons or entities has a majority voice in the decision-making and administration of the program.

 

KEY: licensing, background screening, fingerprinting, human services

Date of Enactment or Last Substantive Amendment: [March 21], 2017

Notice of Continuation: September 29, 2015

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