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Second Substitute S.B. 17

Representative Wayne A. Harper proposes the following substitute bill:


             1     
CHILD ABUSE AND NEGLECT REGISTRY -

             2     
MANAGEMENT AND LICENSING

             3     
INFORMATION SYSTEMS AMENDMENTS

             4     
2008 GENERAL SESSION

             5     
STATE OF UTAH

             6     
Chief Sponsor: Gene Davis

             7     
House Sponsor: Wayne A. Harper

             8     
             9      LONG TITLE
             10      General Description:
             11          This bill amends provisions of the Utah Human Services Code and the Juvenile Court
             12      Act of 1996 relating to the Management Information System maintained by the
             13      Department of Human Services.
             14      Highlighted Provisions:
             15          This bill:
             16          .    provides that reports that are found to be without merit and false may not be
             17      included in the Management Information System;
             18          .    provides that contract providers for the Division of Child and Family Services and
             19      designated court clerks may only have access to reports on the Management
             20      Information System that are substantiated or supported;
             21          .    requires that, when the division or a court makes a finding that a report is without
             22      merit, the division or the court must also determine whether the report is false;
             23          .    describes how long a report remains on the Management Information System;
             24          .    provides that proceedings for judicial review of a final agency action relating to a
             25      report on the Management Information System are closed to the public;


             26          .    grants rulemaking authority to the Judicial Council to ensure the confidentiality of
             27      the proceedings described above; and
             28          .     makes technical changes.
             29      Monies Appropriated in this Bill:
             30          None
             31      Other Special Clauses:
             32          None
             33      Utah Code Sections Affected:
             34      AMENDS:
             35          26-21-9.5, as last amended by Chapter 43, Laws of Utah 2007
             36          62A-2-121, as last amended by Chapter 152, Laws of Utah 2007
             37          62A-4a-1003, as last amended by Laws of Utah 2007, Chapter 152
             38          62A-4a-1008, as renumbered and amended by Laws of Utah 2006, Chapter 77
             39          62A-4a-1009, as renumbered and amended by Laws of Utah 2006, Chapter 77
             40          78A-6-103, as renumbered and amended by Laws of Utah 2008, Chapter 3
             41          78A-6-323, as renumbered and amended by Laws of Utah 2008, Chapter 3
             42      ENACTS:
             43          62A-4a-1003.5, Utah Code Annotated 1953
             44     
             45      Be it enacted by the Legislature of the state of Utah:
             46          Section 1. Section 26-21-9.5 is amended to read:
             47           26-21-9.5. Criminal background check and Licensing Information System check.
             48          (1) For purposes of this section:
             49          (a) "Covered health care facility" means:
             50          (i) home health care agencies;
             51          (ii) hospices;
             52          (iii) nursing care facilities;
             53          (iv) assisted-living facilities;
             54          (v) small health care facilities; and
             55          (vi) end stage renal disease facilities.
             56          (b) "Covered person" includes:


             57          (i) the following people who provide direct patient care:
             58          (A) employees;
             59          (B) volunteers; and
             60          (C) people under contract with the facility; and
             61          (ii) for residential settings, any individual residing in the home where the assisted
             62      living or small health care program is to be licensed who:
             63          (A) is 18 years of age or older; or
             64          (B) is a child between the age of 12 and 17 years of age; however, the identifying
             65      information required for a child between the age of 12 and 17 does not include fingerprints.
             66          (2) In addition to the licensing requirements of Sections 26-21-8 and 26-21-9 , a
             67      covered health care facility at the time of initial application for a license and license renewal
             68      shall:
             69          (a) submit the name and other identifying information of each covered person at the
             70      covered facility who:
             71          (i) provides direct care to a patient; and
             72          (ii) has been the subject of a criminal background check within the preceding
             73      three-year period by a public or private entity recognized by the department; and
             74          (b) submit the name and other identifying information, which may include fingerprints,
             75      of each covered person at the covered facility who has not been the subject of a criminal
             76      background check in accordance with Subsection (1)(a)(ii).
             77          (3) (a) The department shall forward the information received under Subsection (2)(b)
             78      to the Criminal Investigations and Technical Services Division of the Department of Public
             79      Safety for processing to determine whether the covered individual has been convicted of any
             80      crime.
             81          (b) Except for individuals described in Subsection (1)(b)(ii)(B), if an individual has not
             82      had residency in Utah for the last five years, the individual shall submit fingerprints for an FBI
             83      national criminal history record check. The fingerprints shall be submitted to the FBI through
             84      the Criminal Investigations and Technical Services Division. The individual or licensee is
             85      responsible for the cost of the fingerprinting and national criminal history check.
             86          (4) The department may determine whether:
             87          (a) an individual whose name and other identifying information has been submitted


             88      pursuant to Subsection (2) and who provides direct care to children is listed in the Licensing
             89      Information System described in Section 62A-4a-1006 or has a substantiated finding by a court
             90      of a severe type of child abuse or neglect under Section [ 78-3a-320 ] 78A-6-323 , if
             91      identification as a possible perpetrator of child abuse or neglect is relevant to the employment
             92      activities of that individual;
             93          (b) an individual whose name and other identifying information has been submitted
             94      pursuant to Subsection (2) and who provides direct care to disabled or elder adults, or who is
             95      residing in a residential home that is a facility licensed to provide direct care to disabled or
             96      elder adults has a substantiated finding of abuse, neglect, or exploitation of a disabled or elder
             97      adult by accessing in accordance with Subsection (5) the database created in Section
             98      62A-3-311.1 if identification as a possible perpetrator of disabled or elder adult abuse, neglect,
             99      or exploitation is relevant to the employment activities or residence of that person; or
             100          (c) an individual whose name or other identifying information has been submitted
             101      pursuant to Subsection (2) has been adjudicated in a juvenile court of committing an act which
             102      if committed by an adult would be a felony or a misdemeanor if:
             103          (i) the individual is under the age of 28 years; or
             104          (ii) the individual is over the age of 28 and has been convicted, has pleaded no contest,
             105      or is currently subject to a plea in abeyance or diversion agreement for any felony or
             106      misdemeanor.
             107          (5) (a) The department shall:
             108          (i) designate two persons within the department to access:
             109          (A) the Licensing Information System described in Section 62A-4a-1006 ;
             110          (B) court records under Subsection [ 78-3a-320 (6)] 78A-6-323 (7);
             111          (C) the database described in Subsection (4)(b); and
             112          (D) juvenile court records as permitted by Subsection (4)(c); and
             113          (ii) adopt measures to:
             114          (A) protect the security of the Licensing Information System, the court records, and the
             115      database; and
             116          (B) strictly limit access to the Licensing Information System, the court records, and the
             117      database to those designated under Subsection (5)(a)(i).
             118          (b) Those designated under Subsection (5)(a)(i) shall receive training from the


             119      Department of Human Services with respect to:
             120          (i) accessing the Licensing Information System, the court records, and the database;
             121          (ii) maintaining strict security; and
             122          (iii) the criminal provisions in Section 62A-4a-412 for the improper release of
             123      information.
             124          (c) Those designated under Subsection (5)(a)(i):
             125          (i) are the only ones in the department with the authority to access the Licensing
             126      Information System, the court records, and database; and
             127          (ii) may only access the Licensing Information System, the court records, and the
             128      database for the purpose of licensing and in accordance with the provisions of Subsection (4).
             129          (6) Within ten days of initially hiring a covered individual, a covered health care
             130      facility shall submit the covered individual's information to the department in accordance with
             131      Subsection (2).
             132          (7) The department shall adopt rules under Title 63, Chapter 46a, Utah Administrative
             133      Rulemaking Act, consistent with this chapter, defining the circumstances under which a person
             134      who has been convicted of a criminal offense, or a person described in Subsection (4), may
             135      provide direct care to a patient in a covered health care facility, taking into account the nature
             136      of the criminal conviction or substantiated finding and its relation to patient care.
             137          (8) The department may, in accordance with Section 26-1-6 , assess reasonable fees for
             138      a criminal background check processed pursuant to this section.
             139          (9) The department may inform the covered health care facility of information
             140      discovered under Subsection (4) with respect to a covered individual.
             141          (10) A covered health care facility is not civilly liable for submitting information to the
             142      department as required by this section.
             143          Section 2. Section 62A-2-121 is amended to read:
             144           62A-2-121. Access to abuse and neglect information.
             145          (1) For purposes of this section:
             146          (a) "Direct service worker" is as defined in Section 62A-5-101 .
             147          (b) "Personal care attendant" is as defined in Section 62A-3-101 .
             148          (2) With respect to a licensee, a certified local inspector applicant, a direct service
             149      worker, or a personal care attendant, the department may access only the Licensing Information


             150      System of the Division of Child and Family Services created by Section 62A-4a-1006 and
             151      juvenile court records under Subsection [ 78-3a-320 (6)] 78A-6-323 (7), for the purpose of:
             152          (a) (i) determining whether a person associated with a licensee, with direct access to
             153      children:
             154          (A) is listed in the Licensing Information System; or
             155          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             156      neglect under Subsections [ 78-3a-320 ] 78A-6-323 (1) and (2); and
             157          (ii) informing a licensee that a person associated with the licensee:
             158          (A) is listed in the Licensing Information System; or
             159          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             160      neglect under Subsections [ 78-3a-320 ] 78A-6-323 (1) and (2);
             161          (b) (i) determining whether a certified local inspector applicant:
             162          (A) is listed in the Licensing Information System; or
             163          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             164      neglect under Subsections [ 78-3a-320 ] 78A-6-323 (1) and (2); and
             165          (ii) informing a local government that a certified local inspector applicant:
             166          (A) is listed in the Licensing Information System; or
             167          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             168      neglect under Subsections [ 78-3a-320 ] 78A-6-323 (1) and (2);
             169          (c) (i) determining whether a direct service worker:
             170          (A) is listed in the Licensing Information System; or
             171          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             172      neglect under Subsections [ 78-3a-320 ] 78A-6-323 (1) and (2); and
             173          (ii) informing a direct service worker or the direct service worker's employer that the
             174      direct service worker:
             175          (A) is listed in the Licensing Information System; or
             176          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             177      neglect under Subsections [ 78-3a-320 ] 78A-6-323 (1) and (2); or
             178          (d) (i) determining whether a personal care attendant:
             179          (A) is listed in the Licensing Information System; or
             180          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or


             181      neglect under Subsections [ 78-3a-320 ] 78A-6-323 (1) and (2); and
             182          (ii) informing a person described in Subsections 62A-3-101 (9)(a)(i) through (iv) that a
             183      personal care attendant:
             184          (A) is listed in the Licensing Information System; or
             185          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             186      neglect under Subsections [ 78-3a-320 ] 78A-6-323 (1) and (2).
             187          (3) Notwithstanding Subsection (2), the department may access the Division of Child
             188      and Family Service's Management Information System under Section 62A-4a-1003 :
             189          (a) for the purpose of licensing and monitoring foster parents; and
             190          (b) for the purposes described in Subsection 62A-4a-1003 (1)(d).
             191          (4) After receiving identifying information for a person under Subsection
             192      62A-2-120 (1), the department shall process the information for the purposes described in
             193      Subsection (2).
             194          (5) The department shall adopt rules under Title 63, Chapter 46a, Utah Administrative
             195      Rulemaking Act, consistent with this chapter, defining the circumstances under which a person
             196      may have direct access or provide services to children when:
             197          (a) the person is listed in the Licensing Information System of the Division of Child
             198      and Family Services created by Section 62A-4a-1006 ; or
             199          (b) juvenile court records show that a court made a substantiated finding under Section
             200      [ 78-3a-320 ] 78A-6-323 , that the person committed a severe type of child abuse or neglect.
             201          Section 3. Section 62A-4a-1003 is amended to read:
             202           62A-4a-1003. Management Information System -- Requirements -- Contents --
             203      Purpose -- Access.
             204          (1) (a) The division shall develop and implement a Management Information System
             205      that meets the requirements of this section and the requirements of federal law and regulation.
             206          (b) The information and records contained in the Management Information System:
             207          (i) are protected records under Title 63, Chapter 2, Government Records Access and
             208      Management Act; and
             209          (ii) except as provided in Subsections (1)(c) and (d), are available only to a person with
             210      statutory authorization under Title 63, Chapter 2, Government Records Access and
             211      Management Act, to review the information and records described in this Subsection (1)(b).


             212          (c) Notwithstanding Subsection (1)(b)(ii), the information and records described in
             213      Subsection (1)(b) are available to a person:
             214          (i) as provided under Subsection [(6)] (7) or Section 62A-4a-1006 ; or
             215          (ii) who has specific statutory authorization to access the information or records for the
             216      purpose of assisting the state with state and federal requirements to maintain information solely
             217      for the purpose of protecting minors and providing services to families in need.
             218          (d) Notwithstanding Subsection (1)(b)(ii), the information and records described in
             219      Subsection (1)(b) may, to the extent required by Title IV-B or IV-E of the Social Security Act,
             220      be provided by the division:
             221          (i) to comply with child abuse and neglect registry checks requested by other states;
             222      and
             223          (ii) to the United States Department of Health and Human Services for purposes of
             224      maintaining an electronic national registry of substantiated cases of child abuse and neglect.
             225          (2) With regard to all child welfare cases, the Management Information System shall
             226      provide each caseworker and the department's office of licensing, exclusively for the purposes
             227      of foster parent licensure and monitoring, with a complete history of each child in that worker's
             228      caseload, including:
             229          (a) a record of all past action taken by the division with regard to that child and the
             230      child's siblings;
             231          (b) the complete case history and all reports and information in the control or keeping
             232      of the division regarding that child and the child's siblings;
             233          (c) the number of times the child has been in the custody of the division;
             234          (d) the cumulative period of time the child has been in the custody of the division;
             235          (e) except as provided in Subsection (3), a record of all reports of abuse or neglect
             236      received by the division with regard to that child's parent, parents, or guardian including:
             237          (i) for each report, documentation of the:
             238          (A) latest status; or
             239          (B) final outcome or determination; and
             240          (ii) information that indicates whether each report was found to be:
             241          (A) supported;
             242          (B) unsupported;


             243          (C) substantiated by a juvenile court;
             244          (D) unsubstantiated by a juvenile court; or
             245          (E) without merit;
             246          (f) the number of times the child's parent or parents failed any child and family plan;
             247      and
             248          (g) the number of different caseworkers who have been assigned to that child in the
             249      past.
             250          (3) The Management Information System may not include a report, or any reference to
             251      a report, that is:
             252          (a) found by the division to be:
             253          (i) without merit; and
             254          (ii) false, under Section 62A-4a-1003.5 ; or
             255          (b) found by a court to be:
             256          (i) without merit; and
             257          (ii) false, under Subsection 78A-6-323 (4).
             258          [(3)] (4) The [division's] Management Information System shall:
             259          (a) contain all key elements of each family's current child and family plan, including:
             260          (i) the dates and number of times the plan has been administratively or judicially
             261      reviewed;
             262          (ii) the number of times the parent or parents have failed that child and family plan;
             263      and
             264          (iii) the exact length of time the child and family plan has been in effect; and
             265          (b) alert caseworkers regarding deadlines for completion of and compliance with
             266      policy, including child and family plans.
             267          [(4)] (5) With regard to all child protective services cases, the Management
             268      Information System shall:
             269          (a) monitor the compliance of each case with:
             270          (i) division rule and policy;
             271          (ii) state law; and
             272          (iii) federal law and regulation; and
             273          (b) include the age and date of birth of the alleged perpetrator at the time the abuse or


             274      neglect is alleged to have occurred, in order to ensure accuracy regarding the identification of
             275      the alleged perpetrator.
             276          [(5)] (6) Except as provided in Subsection [(6)] (7) regarding contract providers and
             277      Section 62A-4a-1006 regarding limited access to the Licensing Information System, all
             278      information contained in the division's Management Information System is available to the
             279      department, upon the approval of the executive director, on a need-to-know basis.
             280          [(6)] (7) (a) Subject to this Subsection [(6)] (7), the division may allow its contract
             281      providers, court clerks designated by the Administrative Office of the Courts, and the Office of
             282      the Guardian Ad Litem to have limited access to the Management Information System.
             283          (b) A division contract provider has access only to information about a person who is
             284      currently receiving services from that specific contract provider.
             285          (c) (i) Designated court clerks may only have access to information necessary to
             286      comply with Subsection [ 78-3h-102 ] 78B-7-202 (2).
             287          (ii) The Office of the Guardian Ad Litem may access only the information that:
             288          (A) relates to children and families where the Office of the Guardian Ad Litem is
             289      appointed by a court to represent the interests of the children; and
             290          (B) except as provided in Subsection [(6)] (7)(d), is entered into the Management
             291      Information System on or after July 1, 2004.
             292          (d) Notwithstanding Subsection [(6)] (7)(c)(ii)(B), the Office of the Guardian Ad Litem
             293      shall have access to all child abuse and neglect referrals about children and families where the
             294      office has been appointed by a court to represent the interests of the children, regardless of the
             295      date that the information is entered into the Management Information System.
             296          (e) Each contract provider and designated representative of the Office of the Guardian
             297      Ad Litem who requests access to information contained in the Management Information
             298      System shall:
             299          (i) take all necessary precautions to safeguard the security of the information contained
             300      in the Management Information System;
             301          (ii) train its employees regarding:
             302          (A) requirements for protecting the information contained in the Management
             303      Information System as required by this chapter and under Title 63, Chapter 2, Government
             304      Records Access and Management Act; and


             305          (B) the criminal penalties under Sections 62A-4a-412 and 63-2-801 for improper
             306      release of information; and
             307          (iii) monitor its employees to ensure that they protect the information contained in the
             308      Management Information System as required by law.
             309          (f) The division shall take reasonable precautions to ensure that its contract providers
             310      comply with the requirements of this Subsection [(6)] (7).
             311          (g) The contract providers and designated court clerks described in this Subsection (7)
             312      may not have access to reports, or references to reports, that are found to be unsubstantiated,
             313      unsupported, or without merit.
             314          [(7)] (8) The division shall take all necessary precautions, including password
             315      protection and other appropriate and available technological techniques, to prevent
             316      unauthorized access to or release of information contained in the Management Information
             317      System.
             318          Section 4. Section 62A-4a-1003.5 is enacted to read:
             319          62A-4a-1003.5. Report without merit -- Additional finding.
             320          If the division finds that a report is without merit, the division shall make an additional
             321      finding regarding whether the report is false.
             322          Section 5. Section 62A-4a-1008 is amended to read:
             323           62A-4a-1008. Timeframes for deletion of specified information or reports.
             324          [(1) Unless the executive director determines that there is good cause for keeping a
             325      report of abuse or neglect in the Management Information System, based on standards
             326      established by rule, the division shall delete any reference to:]
             327          [(a) a report that is without merit, if no subsequent report involving the same alleged
             328      perpetrator has occurred within one year; or]
             329          [(b) a report that is determined by a court of competent jurisdiction to be
             330      unsubstantiated or without merit, if no subsequent report involving the same alleged
             331      perpetrator has occurred within five years.]
             332          (1) Except as provided in Subsection (3) or (4), the division shall delete from the
             333      Management Information System a report that is unsubstantiated or unsupported:
             334          (a) after the report has been on the Management Information system for three years,
             335      unless the alleged perpetrator is listed on the Management Information System as the


             336      perpetrator in a previous substantiated or supported report; or
             337          (b) after the report has been on the Management Information System for five years, if
             338      the alleged perpetrator is listed on the Management Information System as the perpetrator in a
             339      previous substantiated or supported report.
             340          (2) Except as provided in Subsection (3), (4), or 62A-4a-1003 (3), the division shall
             341      delete from the Management Information System a report that is without merit after the report
             342      has been on the Management Information System one year.
             343          (3) The time periods described in Subsections (1) and (2) shall start over, beginning on
             344      the day that a subsequent report is placed on the Management Information System, if:
             345          (a) the alleged perpetrator in the subsequent report is the same as the alleged
             346      perpetrator in the report described in Subsection (1) or (2); and
             347          (b) the subsequent report is found to be:
             348          (i) supported;
             349          (ii) unsupported;
             350          (iii) substantiated;
             351          (iv) unsubstantiated; or
             352          (v) without merit, unless the report is:
             353          (A) found by the division to be false, under Section 62A-4a-1003.5 ; or
             354          (B) found by a court to be false, under Subsection 78A-6-323 (4).
             355          (4) (a) Except for a report described in Subsection 62A-4a-1003 (3), a report described
             356      in this section may not be deleted, unless otherwise ordered by a court, if the executive director
             357      determines, based on standards established by rule, that there is good cause for keeping the
             358      report in the Management Information System.
             359          (b) A court may order the division to delete a report before the time periods described
             360      in this section, if the court finds, by clear and convincing evidence, that it is in the interests of
             361      justice to order deletion of the report at an earlier time.
             362          (5) When the division deletes a report under this section, the division shall also delete
             363      all references to the report, and information contained in the report, from the Management
             364      Information System.
             365          [(2)] (6) (a) The division shall maintain a separation of reports as follows:
             366          (i) those that are supported;


             367          (ii) those that are unsupported;
             368          (iii) those that are without merit;
             369          (iv) those that are unsubstantiated under the law in effect prior to May 6, 2002;
             370          (v) those that are substantiated under the law in effect prior to May 6, 2002; and
             371          (vi) those that are consented-to supported findings under Subsection