R495.  Human Services, Administration.
R495-885.  Employee Background Screenings.
R495-885-1.  Authority and Purpose.
	(1)  This Rule is authorized by Sections 62A-1-118 and 62A-2-120.
	(2)  This Rule clarifies the standards for Department of Human Services' employee and volunteer background screening.
	(3)  This Rule is created to hold DHS employees and volunteers to high standards of conduct, protect children and vulnerable adults, and promote public trust.
	(4)  This rule does not apply to Department of Human Services Employees and Volunteers whose clearances are performed and maintained by the Department of Health for the Utah State Hospital and the Utah State Developmental Center.

R495-885-2.  Definitions.
	(1)  "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.
	(2)  "Child" is defined in Section 62A-2-101.
	(3)  "Department" or "DHS" means the Department of Human Services.
	(4)  "Direct Access" is defined in Section 62A-2-101.
	(5)  "Director" means the Director of each DHS Office or Division, and includes the Director's designee.
	(6)  "Directly Supervised" is defined in 62A-2-101.
	(7)  "Employee" means a prospective employee who has received a job offer from DHS or a current employee of DHS, and includes paid interns.
	(8)  "Executive Director" means the Executive Director of DHS or the Deputy Director designated by the Executive Director.
	(9)  "FBI Rap Back" is defined in Section 53-10-108.
	(10)  "Fingerprints" means an individual's fingerprints as copied electronically through a live-scan fingerprinting device or on two ten-print fingerprint cards.
	(11)  "Volunteer" means an individual who donates services without pay or other compensation, except expenses actually and reasonably incurred and pre-approved by the supervising agency, and includes unpaid interns.
	(12)  "Vulnerable Adult" is defined in Section 62A-2-101.
	(13)  "Youth Residential Program" also known as "congregate care program" means a 24-hour living environment serving 4 or more youth.

R495-885-3.  Employees and Volunteers with Direct Access.
	(1)  The Department finds that a criminal history or identification as a perpetrator of abuse or neglect is directly relevant to an individual's employment or volunteer activities within DHS.
	(2)  All Department employees and volunteers who may have direct access and who are not directly supervised at all times must have an annual background screening clearance in accordance with Sections 62A-1-118 and 62A-2-120, which shall include retention of fingerprints by BCI for FBI Rap Back.
	(3)  Department employees and volunteers who may have direct access and are not directly supervised at all times shall:
	(a)  submit a background screening application to their respective Division or Office on a form created by the Department; and
	(b)  submit fingerprints to the Department via a DHS-operated live-scan machine or
	two ten-print fingerprint cards produced by a law enforcement agency, an agency approved by the BCI, or another entity pre-approved by the Department; or
	(c)  not be required to submit fingerprints to DHS if they have submitted fingerprints for retention to:
	(i)  BCI for an Office or Division clearance, and the Office or Division ensures that the minimum standards set forth in Section 62A-2-120 are enforced; or
	(ii)  to the Department of Health for employees and volunteers of the Utah State Developmental Center per code; or
	(iii)  to the Office of Licensing as an individual associated with a license as long as the fingerprints are retained by BCI for FBI Rap Back.
	(d)  in accordance with R501-14-3(4) submit out of state child abuse and neglect registry records for each state resided in during the 5 years immediately preceding the date of the screening application if applying to work in a youth residential program.
	(i)  instructions for obtaining out of state child abuse and neglect registry records from each state may be found on the OL website: https://hslic.utah.gov/Out-of-state-registries
	(ii)  DHS employees and contracted employees currently working in a youth residential program at the time this rule goes into effect are responsible for submitting child abuse and neglect registry records for all states resided in during the 5 years immediately preceding the effective date of this rule.  They may continue working under their DHS background screening clearance unless the out of state child abuse and neglect registry records contain information that constitutes denial under R501-14 or 62A-2-120.
	(4)  The DHS Office of Licensing shall access information to perform the background checks described in Sections 62A-1-118 and 62A-2-120:
	(a)  the DHS Office of Licensing will not duplicate fingerprint-based criminal background checks on Department employees or volunteers who have a current fingerprint-based criminal background clearance pursuant to R495-885-3(3);
	(b)  the fingerprints submitted by DHS employees who are required to obtain a background screening pursuant to Section 62A-2-120 as an individual associated with a licensee shall be utilized to perform the screening required by this R495-885.
	(5)  Screening results shall be reviewed in accordance with both the standards outlined by Section 62A-2-120 and this R495-885.
	(6)  Except as described in R495-885-5, Department employees and volunteers who would automatically be denied a background screening approval as described in Section 62A-2-120(5)(a) are not eligible for work with the Department.
	(7)  Except as described in R495-885-5, Department employees and volunteers who have any offense or finding described in Section 62A-2-120(6)(a) are not eligible for work with the Department.

R495-885-4.  Employees and Volunteers with No Direct Access.
	(1)  The Department finds that a criminal history is directly relevant to an individual's employment activities within DHS.
	(2)  The Department is not authorized to perform the checks described in Sections 62A-1-118 and 62A-2-120 for employees with no direct access.
	(3)  Each Division and Office will identify which of their positions includes no potential for direct access that is not directly supervised.
	(4)  Each employee who does not potentially have direct access shall submit an "Authorization and Waiver for Criminal History Check" form to a Department of Human Resources Management, DHS Field Office authorizing DHRM to perform name-based background checks.
	(5)  Except as described in R495-885-5, Department employees who would automatically be denied a background screening approval based upon the offenses described in Section 62A-2-120(5)(a) are not eligible for work with the Department.
	(6)  Except as described in R495-885-5, Department employees who have any offense described in Section 62A-2-120(6)(a) are not eligible for work with the Department.
	(7)  Volunteers who do not have a background screening clearance pursuant to R495-885-3 will be directly supervised.

R495-885-5.  Background Screening Review.
	(1)  The Office of Licensing or the Department of Human Resources Management, DHS Field Office shall notify the Director of the employment eligibility status of each prospective employee, employee, and volunteer.
	(2)  The Director shall review the background screening results of each prospective employee, employee, and volunteer when there are any offenses present as outlined in 62A-2-120.
	(3)  Review process for prospective or probationary employees and volunteers:
	(a)  Following a review of the background screening results for a prospective or probationary employee or volunteer, the Director may deny or terminate the employment of the prospective or probationary employee or refuse acceptance of the volunteer; or
	(b)  the Director may request further review of the background screening results by the Comprehensive Review Committee established under 62A-2-120.  Review of background screening results for prospective or probationary employees or volunteers by the Comprehensive Review Committee is strictly related to the employment or volunteer eligibility of that person with DHS and is not related to the licensure of that individual by DHS, nor does it entitle any party to any of the rights granted to an applicant for licensure as defined in 62A-2-120.
	(i)  the Director shall notify the prospective or probationary employee that further review by the Comprehensive Review Committee has been requested.
	(ii)  the review for prospective employees and volunteers by the Comprehensive Review Committee shall follow the criteria outlined in 62A-2-120 and R501-14 as it relates to the process for review, the items or methods of consideration and the process and criteria used in making determinations.
	(iii)  Following the review, the Comprehensive Review Committee shall make one of the following findings:
	(A)  A determination to deny the background screening which will result in the Director denying or terminating the employment of the prospective or probationary employee or refuse the acceptance of the volunteer; or
	(B)  A determination of employment eligibility or to permit acceptance of the volunteer.
	(iv)  the determination of the Comprehensive Review Committee to deny the background screening will result in the Director denying or terminating the employment of the prospective or probationary employee or refuse acceptance of the volunteer and is final.
	(v)  Upon receiving the Comprehensive Review Committee determination of employment eligibility or to accept a volunteer A Director, in their sole discretion may;
	(A)  approve the employment or continued employment of the prospective or probationary employee or approve the acceptance of the volunteer; or
	(B)  deny or terminate the employment of the prospective or probationary employee or refuse the acceptance of the volunteer.
	(vi)  the determinations of the Director and the DHS Employee and Volunteer Comprehensive Review Committee are final, and a prospective or probationary employee or volunteer has no right to appeal.
	(4)  Review process for non-probationary employees:
	(a)  the following background screening findings shall be submitted to the Director:
	(i)  automatic denial offenses outlined in 62A-2-120(5)(a);
	(ii)  all other circumstances outlined in 62A-2-120(6)(a); and
	(iii)  any MIS supported or substantiated findings;
	(b)  the Director may consult with the Office of Licensing and shall consult with the Executive Director to evaluate whether the non-probationary employee may present a risk of harm to a child or vulnerable adult, or does not meet DHS high standards of conduct or promote public trust; the Director, Executive Director and Office of Licensing, if consulted, shall consider the factors and information outlined in 62A-2-120(6) (b).
	(c)  the Executive Director may, in his/her sole discretion, approve the non-probationary employee for continued employment, including defining permissible and impermissible DHS-wide work-related activities, or consult the Department of Human Resource Management regarding termination of employment.  The determination of the Executive Director is final.

R495-885-6.  Division/Office Responsibilities.
	(1)  The Department shall notify the DHS Office of Licensing within five months of the termination of each employee for whom fingerprints have been retained under Section 62A-2-120 to enable the Office of Licensing to notify BCI and ensure the destruction of fingerprints.
	(2)  Each Division and Office shall ensure that an employee or volunteer who previously was screened based upon having no direct access shall, prior to having any direct access, be screened and approved in accordance with R495-885.

R495-885-7.  Compliance.
	The Department will be required to initiate steps toward compliance with this rule immediately upon the effective date.

KEY:  background, employees, human services, screenings
Date of Enactment or Last Substantive Amendment:  July 18, 2019
Authorizing, and Implemented or Interpreted Law:  62A-1-118; 62A-2-120