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S.B. 190

             1     

CRIMINAL BACKGROUND CHECKS FOR

             2     
MENTAL HEALTH PROVIDERS AND OTHERS

             3     
2001 GENERAL SESSION

             4     
STATE OF UTAH

             5     
Sponsor: Leonard M. Blackham

             6      This act modifies provisions of the Utah Human Services Code related to the licensing
             7      requirements for a Human Services licensee who provides direct services to a minor.
             8      This act affects sections of Utah Code Annotated 1953 as follows:
             9      AMENDS:
             10          62A-2-101, as last amended by Chapter 358, Laws of Utah 1998
             11          62A-2-120, as enacted by Chapter 358, Laws of Utah 1998
             12          62A-2-121, as last amended by Chapter 164, Laws of Utah 1999
             13          62A-4a-116, as last amended by Chapters 304 and 321, Laws of Utah 2000
             14          62A-4a-413, as last amended by Chapters 263 and 358, Laws of Utah 1998
             15      Be it enacted by the Legislature of the state of Utah:
             16          Section 1. Section 62A-2-101 is amended to read:
             17           62A-2-101. Definitions.
             18          As used in this chapter:
             19          (1) "Adult day care" means continuous care and supervision for three or more adults for
             20      at least four but less than 24 hours a day, that meets the needs of functionally impaired adults
             21      through a comprehensive program that provides a variety of health, social, recreational, and related
             22      support services in a protective setting.
             23          (2) "Child placing" means receiving, accepting, or providing custody or care for any child
             24      under 18 years of age, temporarily or permanently, for the purpose of:
             25          (a) finding a person to adopt the child;
             26          (b) placing the child temporarily or permanently in a home for adoption; or
             27          (c) foster home placement.


             28          (3) "Client" means an individual who receives or has received services from a human
             29      services licensee under this chapter.
             30          (4) "Day treatment" means specialized treatment for less than 24 hours a day for four or
             31      more persons who are unrelated to the owner or provider and who have emotional, psychological,
             32      developmental, physical, or behavioral dysfunctions, impairments, or chemical dependencies. Day
             33      treatment is provided in lieu of, or in coordination with, a more restrictive residential or inpatient
             34      environment or service.
             35          (5) "Department" means the Department of Human Services.
             36          (6) "Director" means the director of the Office of Licensing.
             37          (7) "Domestic violence treatment program" means a nonresidential program designed to
             38      provide psychological treatment and educational services to perpetrators and victims of domestic
             39      violence.
             40          (8) "Executive director" means the executive director of the Department of Human
             41      Services.
             42          (9) "Human services licensee" or "licensee" means a youth program, resource family home,
             43      or a facility or program that provides care, secure treatment, inpatient treatment, residential
             44      treatment, residential support, adult day care, day treatment, outpatient treatment, domestic
             45      violence treatment, child placing services, or social detoxification.
             46          (10) "Licensing board" means the Human Services Licensing Board.
             47          (11) "Office" means the Office of Licensing within the Department of Human Services.
             48          (12) "Outpatient treatment" means individual, family, or group therapy or counseling
             49      designed to improve and enhance social or psychological functioning for those whose physical and
             50      emotional status allows them to continue functioning in their usual living environment.
             51          (13) "Person associated with a licensee" means an owner, director, member of the
             52      governing body, employee, provider of care, and volunteer of a human services licensee.
             53          (14) "Provide direct services to a minor" means the provision of therapy, counseling,
             54      child-placing services, youth programs, substitute care, foster care, institutional care, or other
             55      services to minors by an individual whose actual contact with the minor involves control over the
             56      minor and subjects the minor to the influence of the individual.
             57          (15) "Proximate adverse effect" means the offense for which the individual has been
             58      convicted directly relates to abuse of a minor including:


             59          (a) actual or threatened nonaccidental physical or mental harm;
             60          (b) sexual abuse;
             61          (c) sexual exploitation; and
             62          (d) negligent treatment.
             63          [(14)] (16) "Residential support" means arranging for or providing the necessities of life
             64      as a protective service to individuals or families who are disabled or who are experiencing a
             65      dislocation or emergency which prevents them from providing these services for themselves or
             66      their families. Treatment is not a necessary component of residential support.
             67          [(15)] (17) "Residential treatment" means a 24-hour group living environment for four or
             68      more individuals unrelated to the owner or provider that offers room or board and specialized
             69      treatment, rehabilitation, or habilitation services for persons with emotional, psychological,
             70      developmental, or behavioral dysfunctions, impairments, or chemical dependencies. In residential
             71      treatment, individuals are assisted in acquiring the social and behavioral skills necessary for living
             72      independently in the community.
             73          [(16)] (18) "Resource family home" means a home licensed to provide services to a child
             74      in the custody of the state and includes a foster care home and a legal risk home.
             75          [(17)] (19) "Secure treatment" means 24-hour specialized residential treatment or care for
             76      persons whose current functioning is such that they cannot live independently or in a less
             77      restrictive environment. Secure treatment differs from residential treatment to the extent that it
             78      requires intensive supervision, locked doors, and other security measures which are imposed on
             79      residents with neither their consent nor control.
             80          [(18)] (20) "Social detoxification" means short-term residential services for persons who
             81      are intoxicated, that are provided outside of a health care facility licensed under Title 26, Chapter
             82      21, Health Care Facility [Licensure] Licensing and Inspection Act, and that include:
             83          (a) room and board for persons who are unrelated to the owner or manager of the facility;
             84          (b) specialized rehabilitation to acquire sobriety; and
             85          (c) aftercare services.
             86          [(19)] (21) "Unrelated persons" means persons other than parents, legal guardians,
             87      grandparents, brothers, sisters, uncles, or aunts.
             88          [(20)] (22) "Youth program" means a nonresidential program designed to provide
             89      behavioral, substance abuse, or mental health services to minors that:


             90          (a) serves either adjudicated or nonadjudicated youth;
             91          (b) charges a fee for its services;
             92          (c) may or may not provide host homes or other arrangements for overnight
             93      accommodation of the youth;
             94          (d) may or may not provide all or part of its services in the outdoors;
             95          (e) may or may not limit or censor access to parents or guardians;
             96          (f) prohibits or restricts a minor's ability to leave the program at any time of his own free
             97      will; and
             98          (g) will not apply to recreational programs such as Boy Scouts, Girl Scouts, 4-H, and other
             99      such organizations.
             100          Section 2. Section 62A-2-120 is amended to read:
             101           62A-2-120. Criminal background checks.
             102          (1) (a) A human services licensee or individual applying for or renewing a license to
             103      provide [child-placing] direct services[, youth programs, substitute care, foster care, or
             104      institutionalized care to children,] to a minor shall submit to the department the name and other
             105      identifying information, which may include fingerprints, of persons associated with the licensee.
             106          (b) The Criminal Investigations and Technical Services Division of the Department of
             107      Public Safety shall process that information to determine whether the individual has been
             108      convicted of any crime.
             109          (c) If an individual has not lived in Utah for five years, the individual shall submit
             110      fingerprints for a FBI national criminal history record check. The fingerprints shall be submitted
             111      to the FBI through the Criminal Investigations and Technical Services Division.
             112          (2) [A person] An individual associated with the licensee [who has a felony conviction]
             113      may not provide [child-placing] direct services[, foster care, youth programs, substitute care, or
             114      institutionalized care for children] to a minor in facilities or programs licensed by the department
             115      if the individual's criminal history background check reveals a record of conviction of any crime
             116      that would have a proximate adverse effect on the individual's providing direct services to a minor.
             117          (3) The department shall adopt rules defining the circumstances under which [a person]
             118      an individual who has been convicted of a misdemeanor may provide [child-placing] direct
             119      services[, foster care, youth programs, substitute care, or institutionalized care for children] to a
             120      minor in a facility or program licensed by the department.


             121          (4) The department shall promptly notify the individual, the individual's employer, or both,
             122      where applicable, whose criminal history background check reveals a disqualifying criminal
             123      conviction under Subsection (2). The individual has 30 days from receipt of that notice to petition
             124      for a review and cite reasons substantiating the review.
             125          (5) (a) Notwithstanding Subsection (2), no individual is disqualified from providing direct
             126      services to a minor on the basis of any conviction disclosed by a criminal history record
             127      background check if the individual has affirmatively demonstrated clear and convincing evidence
             128      of the individual's rehabilitation.
             129          (b) To determine whether an individual has affirmatively demonstrated rehabilitation, the
             130      following factors shall be considered:
             131          (i) whether the offense would have a proximate adverse effect on the individual's provision
             132      of direct services to a minor;
             133          (ii) the nature and responsibility of the position that the convicted individual would hold
             134      or has held;
             135          (iii) the nature and seriousness of the offense;
             136          (iv) the circumstances under which the offense occurred;
             137          (v) the date of the offense;
             138          (vi) the age of the individual when the offense was committed;
             139          (vii) whether the offense was an isolated or repeated incident;
             140          (viii) any evidence of rehabilitation, including:
             141          (A) good conduct in prison or the community;
             142          (B) counseling or psychiatric treatment received;
             143          (C) acquisition of additional academic or vocational schooling;
             144          (D) successful participation in correctional work-release programs; or
             145          (E) the recommendation of a person who has had the individual under the person's
             146      supervision; or
             147          (ix) successful work history in a related position.
             148          Section 3. Section 62A-2-121 is amended to read:
             149           62A-2-121. Access to abuse and neglect information for licensing purposes.
             150          (1) With respect to human services licensees, the department may access only the licensing
             151      part of the Division of Child and Family Service's management information system created by


             152      Section 62A-4a-116 for the purpose of:
             153          (a) determining whether [a person] an individual associated with a licensee, who provides
             154      [care described in Subsection (2),] direct services to a minor, has a substantiated finding of child
             155      abuse or neglect;
             156          (b) informing a licensee, an individual associated with a licensee, or both, who provides
             157      [care described in Subsection (2),] direct services to a minor that [a person] an individual
             158      associated with the licensee has a substantiated finding of child abuse or neglect.
             159          (2) (a) A licensee or individual applying for or renewing a license to provide
             160      [child-placing] direct services[, youth programs, substitute care, foster care, or institutionalized
             161      care to children] to a minor shall submit to the department the name and other identifying
             162      information of [a person] an individual associated with the licensee.
             163          (b) The office shall process the information to determine whether the licensee or [a person]
             164      an individual associated with a licensee has a substantiated finding of child abuse or neglect.
             165          (3) The office shall adopt rules defining the circumstances under which [a person] an
             166      individual who has a substantiated finding of child abuse or neglect may provide [child-placing]
             167      direct services[, foster care, youth programs, substitute care, or institutionalized care for children]
             168      to a minor in a facility [licenced] licensed by the department.
             169          Section 4. Section 62A-4a-116 is amended to read:
             170           62A-4a-116. Management information system -- Requirements.
             171          (1) The division shall develop and implement a management information system that
             172      meets the requirements of this section and the requirements of federal law and regulation.
             173          (2) With regard to all child welfare cases, the management information system shall:
             174          (a) provide each caseworker with a complete history of each child in his caseload,
             175      including:
             176          (i) all past action taken by the division with regard to that child and his siblings, the
             177      complete case history and all reports and information in the control or keeping of the division
             178      regarding that child and his siblings;
             179          (ii) the number of times the child has been in foster care;
             180          (iii) the cumulative period of time the child has been in foster care;
             181          (iv) all reports of abuse or neglect received by the division with regard to that child's parent
             182      or parents, including documentation regarding whether each report was substantiated,


             183      unsubstantiated, or without merit;
             184          (v) the number of times the child's parent or parents have failed any treatment plan; and
             185          (vi) the number of different caseworkers who have been assigned to that child in the past;
             186          (b) contain all key elements of each family's current treatment plan, including the dates and
             187      number of times the plan has been administratively or judicially reviewed, the number of times the
             188      parent or parents have failed that treatment plan, and the exact length of time that treatment plan
             189      has been in effect;
             190          (c) alert caseworkers regarding deadlines for completion of and compliance with treatment
             191      plans; and
             192          (d) unless the executive director determines that there is good cause for keeping the report
             193      on the system based on standards established by rule, delete any reference to:
             194          (i) a report that is without merit if no subsequent report involving the same alleged
             195      perpetrator has occurred within one year; or
             196          (ii) a report that is unsubstantiated if no subsequent report involving the same alleged
             197      perpetrator has occurred within ten years.
             198          (3) With regard to all child protective services cases, the management information system
             199      shall, in addition to the information required in Subsection (2), monitor compliance with the policy
             200      of the division, the laws of this state, and federal law and regulation.
             201          (4) With regard to all child welfare and protective services cases, the age and date of birth
             202      of the alleged perpetrator, at the time the abuse or neglect is alleged to have occurred, shall be
             203      included in the management information system.
             204          (5) (a) The division shall develop and maintain a part of the information management
             205      system for licensing purposes, which shall be:
             206          (i) limited to:
             207          (A) substantiated findings of child abuse or neglect since January 1, 1988, after notice and
             208      an opportunity to challenge has been provided under Section 62A-4a-116.5 ;
             209          (B) the name of a person who was not sent a notice of agency action under Section
             210      62A-4a-116.5 because his location was not available on the management information system or
             211      who was sent a notice of agency action that was returned to the division as undelivered for the sole
             212      purpose of alerting the division of the need to afford the person an opportunity to challenge the
             213      finding of child abuse or neglect under Section 62A-4a-116.5 before any adverse action, beyond


             214      delaying the person's licensing application to provide an opportunity for challenge, may be taken;
             215          (C) an adjudication of child abuse or neglect by a court of competent jurisdiction if
             216      Subsection 62A-4a-116.5 (5) has been met; and
             217          (D) any criminal conviction or guilty plea related to neglect, physical abuse, or sexual
             218      abuse of any person; and
             219          (ii) accessible by:
             220          (A) the Office of Licensing for licensing purposes only;
             221          (B) the division:
             222          (I) to screen a person at the request of the Office of the Guardian Ad Litem Director,
             223      created by Section 78-3a-912 , at the time the person seeks a paid or voluntary position with the
             224      Office of the Guardian Ad Litem and each year thereafter that the person remains with the office;
             225      and
             226          (II) to respond to a request for information from the person who is identified as a
             227      perpetrator in the report, after advising the person of the screening prohibition in Subsection
             228      (4)(d)(iii);
             229          (C) subject to the provisions of Subsection (5)(c), the Bureau of Health Facility Licensure
             230      within the Department of Health only for the purpose of licensing a child care program or provider,
             231      or for determining whether a person associated with a covered health care facility, as defined by
             232      the Department of Health by rule, who provides direct [care] services to a [child] minor as defined
             233      in Section 62A-2-101 has a substantiated finding of child abuse or neglect; and
             234          (D) the department as provided in Subsection (6) and Section 62A-1-118 .
             235          (b) For the purpose of Subsection (5)(a), "substantiated":
             236          (i) means a finding that there is a reasonable basis to conclude that:
             237          (A) a person 18 years of age or older committed one or more of the following types of
             238      child abuse or neglect:
             239          (I) physical abuse;
             240          (II) sexual abuse;
             241          (III) sexual exploitation;
             242          (IV) abandonment;
             243          (V) medical neglect resulting in death, disability, or serious illness; or
             244          (VI) chronic or severe neglect; and


             245          (B) a person under the age of 18:
             246          (I) caused serious physical injury, as defined in Subsection 76-5-109 (1)(d), to another child
             247      which indicates a significant risk to other children; or
             248          (II) engaged in sexual behavior with or upon another child which indicates a significant
             249      risk to other children; and
             250          (ii) does not include:
             251          (A) the use of reasonable and necessary physical restraint or force by an educator in
             252      accordance with Subsection 53A-11-802 (2) or Section 76-2-401 ; or
             253          (B) a person's conduct that:
             254          (I) is justified under Section 76-2-401 ; or
             255          (II) constituted the use of reasonable and necessary physical restraint or force in
             256      self-defense or otherwise appropriate to the circumstances to obtain possession of a weapon or
             257      other dangerous object in the possession or under the control of a child or to protect the child or
             258      another person from physical injury.
             259          (iii) (A) For purposes of Subsection (5)(b)(i)(B), "significant risk" shall be determined in
             260      accordance with risk assessment tools and policies established by the division that focus on age,
             261      social factors, emotional factors, sexual factors, intellectual factors, family risk factors, and other
             262      related considerations.
             263          (B) The division shall train its child protection workers to apply the risk assessment tools
             264      and policies established under Subsection (5)(b)(iii)(A).
             265          (c) (i) The Department of Health shall:
             266          (A) designate two persons within the Department of Health to access the licensing part of
             267      the management information system; and
             268          (B) adopt measures to:
             269          (I) protect the security of the licensing part of the management information system; and
             270          (II) strictly limit access to the licensing part of the management information system to
             271      those designated under Subsection (5)(c)(i)(A).
             272          (ii) Those designated under Subsection (5)(c)(i)(A) shall receive training from the
             273      department with respect to:
             274          (A) accessing the licensing part of the management information system;
             275          (B) maintaining strict security; and


             276          (C) the criminal provisions in Section 62A-4a-412 for the improper release of information.
             277          (iii) Those designated under Subsection (5)(c)(i)(A):
             278          (A) are the only ones in the Department of Health with the authority to access the licensing
             279      part of the management information system; and
             280          (B) may only access the licensing part of the management information system in
             281      accordance with the provisions of Subsection (5)(a)(ii).
             282          (iv) The Department of Health may obtain information in the possession of the division
             283      that relates to a substantiated finding of abuse or neglect of a person screened under this
             284      Subsection (5)(c).
             285          (d) (i) Information in the licensing part of the management information system is
             286      confidential and may only be used or disclosed as specifically provided in this section, Section
             287      62A-2-121 , and Section 62A-4a-116.5 .
             288          (ii) No person, unless listed in Subsection (5)(a)(ii), may request another person to obtain
             289      or release a report or any other information in the possession of the division obtained as a result
             290      of the report that is available under Subsection (5)(a)(ii)(A)(III) to screen for potential perpetrators
             291      of child abuse or neglect.
             292          (iii) A person who requests information knowing that it is a violation of Subsection
             293      (5)(d)(ii) to do so is subject to the criminal penalty in Section 62A-4a-412 .
             294          (6) All information contained in the management information system shall be available
             295      to the department upon the approval of the executive director, on a need-to-know basis.
             296          (7) (a) The division may allow its contract providers to have limited access to the
             297      management information system. The division shall limit that access to information about persons
             298      who are currently receiving services from the specific contract provider.
             299          (b) Each contract provider shall:
             300          (i) take all necessary precautions to safeguard the security of the information contained in
             301      the management information system;
             302          (ii) train its employees regarding requirements for confidentiality and the criminal
             303      penalties under Sections 62A-4a-412 and 63-2-801 for improper release of information; and
             304          (iii) monitor its employees to ensure that they comply with the confidentiality requirements
             305      related to the management information system.
             306          (c) The division shall take reasonable precautions to ensure that its contract providers are


             307      complying with Subsection (7)(b).
             308          (8) The division shall take all necessary precautions, including password protection and
             309      other appropriate technological techniques, to prevent unauthorized access to the information
             310      contained in the management information system.
             311          (9) (a) The division shall send a certified letter to a person who submitted a report of child
             312      abuse or neglect that is put onto any part of the management information system if the division
             313      determines, at the conclusion of its investigation, that:
             314          (i) the report is false;
             315          (ii) it is more likely than not that the person knew that the report was false at the time the
             316      person submitted the report; and
             317          (iii) the person's address is known or reasonably available.
             318          (b) The letter shall inform the person of:
             319          (i) the determination made under Subsection (9)(a);
             320          (ii) the penalty for submitting false information under Section 76-8-506 and other
             321      applicable laws;
             322          (iii) the obligation of the division to inform law enforcement and the alleged perpetrator:
             323          (A) in the present instance if an immediate referral is justified by the facts; or
             324          (B) if the person submits a subsequent false report involving the same alleged perpetrator
             325      or victim.
             326          (c) (i) The division may inform law enforcement and the alleged perpetrator of a report for
             327      which a letter is required to be sent under Subsection (9)(a) if an immediate referral is justified by
             328      the facts.
             329          (ii) The division shall inform law enforcement and the alleged perpetrator of a report for
             330      which a letter is required to be sent under Subsection (9)(a) if this is the second letter sent to the
             331      person involving the same alleged perpetrator or victim.
             332          (iii) The division shall determine, in consultation with law enforcement:
             333          (A) the information to be given to an alleged perpetrator about a false claim; and
             334          (B) whether good cause exists, as defined by rule, for not informing an alleged perpetrator
             335      about a false claim.
             336          (d) Nothing in this Subsection (9) may be construed as requiring the division to conduct
             337      an investigation, beyond what is required in Subsection (9)(a), to determine whether or not a report


             338      is false.
             339          Section 5. Section 62A-4a-413 is amended to read:
             340           62A-4a-413. Agencies and individuals providing services to children -- Felony or
             341      misdemeanor conviction.
             342          (1) (a) As of July 1, 1990, each public or private agency or individual licensed by the
             343      department to provide [child placing] direct services[, youth programs, substitute, foster, or
             344      institutionalized care to children] to a minor as defined in Section 62A-2-101 shall, in order to
             345      obtain or renew a license under Section 62A-2-108 , submit to the department the name and other
             346      identifying information, which may include fingerprints, of new and proposed:
             347          (i) owners;
             348          (ii) directors;
             349          (iii) members of the governing body;
             350          (iv) employees;
             351          (v) providers of care; and
             352          (vi) volunteers, except parents of children enrolled in the programs.
             353          (b) The Criminal Investigations and Technical Services Division of the Department of
             354      Public Safety, established in Section 53-10-103 , shall process that information to determine
             355      whether the individual has been convicted of any crime.
             356          (c) If an individual has not lived in Utah for five years, the individual shall submit
             357      fingerprints for a FBI national criminal history record check. The fingerprints shall be submitted
             358      to the FBI through the Criminal Investigations and Technical Services Division.
             359          (2) An owner, director, member of the governing body, employee, provider of care, or
             360      volunteer who has a felony conviction may not provide [child placing] direct services[, foster care,
             361      youth programs, substitute care, or institutionalized care for children] to a minor as defined in
             362      Section 62A-2-101 in facilities or programs licensed by the department.
             363          (3) The office shall adopt rules defining the circumstances under which an owner, director,
             364      member of the governing body, employee, provider of care, or volunteer who has been convicted
             365      of a misdemeanor may provide services described in Subsection (1)(a).





Legislative Review Note
    as of 2-15-01 5:01 PM


A limited legal review of this legislation raises no obvious constitutional or statutory concerns.

Office of Legislative Research and General Counsel


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