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H.B. 215

             1     

FATALITY REVIEW ACT AMENDMENTS

             2     
2011 GENERAL SESSION

             3     
STATE OF UTAH

             4     
Chief Sponsor: Merlynn T. Newbold

             5     
Senate Sponsor: Allen M. Christensen

             6     
             7      LONG TITLE
             8      General Description:
             9          This bill amends provisions of the Fatality Review Act and the Government Records
             10      Access and Management Act with respect to the status, disclosure, and use of records
             11      relating to fatality reviews and near fatalities.
             12      Highlighted Provisions:
             13          This bill:
             14          .    modifies procedures relating to the initial review of a fatality;
             15          .    requires a fatality review committee to provide an unredacted copy of a fatality
             16      review report to a division director and a regional director or a designee of the
             17      division director and regional director;
             18          .    provides that an executive summary of fatality reviews is not admissible as evidence
             19      in a civil, judicial, or administrative proceeding;
             20          .    amends procedures for providing an executive summary of fatality reviews to the
             21      Legislature;
             22          .    requires that the Division of Child and Family Services, to the extent required by
             23      the federal Child Abuse Prevention and Treatment Act, as amended, allow public
             24      disclosure of the findings or information relating to a case of child abuse or neglect
             25      that results in a child fatality or near fatality;
             26          .    removes the fatality review executive summary from the definition of a fatality
             27      review document and clarifies that the executive summary is a public document;


             28      and
             29          .    makes technical changes.
             30      Money Appropriated in this Bill:
             31          None
             32      Other Special Clauses:
             33          None
             34      Utah Code Sections Affected:
             35      AMENDS:
             36          62A-16-201, as enacted by Laws of Utah 2010, Chapter 239
             37          62A-16-301, as enacted by Laws of Utah 2010, Chapter 239
             38          62A-16-302, as enacted by Laws of Utah 2010, Chapter 239
             39          63G-2-202, as last amended by Laws of Utah 2010, Chapter 239
             40     
             41      Be it enacted by the Legislature of the state of Utah:
             42          Section 1. Section 62A-16-201 is amended to read:
             43           62A-16-201. Initial review.
             44          (1) Within seven days after the day on which the department knows that a qualified
             45      individual has died, a person designated by the department shall:
             46          (a) complete a deceased client report form, created by the department; and
             47          (b) forward the completed client report form to the director of the office or division
             48      that has jurisdiction over the region or facility.
             49          (2) The director of the office or division described in Subsection (1) shall, upon receipt
             50      of a deceased client report form, immediately provide a copy of the form to:
             51          (a) the executive director; and
             52          (b) the fatality review coordinator or the fatality review coordinator's designee.
             53          (3) Within 10 days after the day on which the fatality review coordinator or the fatality
             54      review coordinator's designee receives a copy of the deceased client report form, the fatality
             55      review coordinator or the fatality review coordinator's designee shall request a copy of all
             56      relevant department case records regarding the individual who is the subject of the deceased
             57      client report form.
             58          (4) Each person who receives a request for a record described in Subsection (3) shall


             59      provide a copy of the record to the fatality review coordinator or the fatality review
             60      coordinator's designee, by a secure method, within seven days after the day on which the
             61      request is made.
             62          (5) Within 30 days after the day on which the fatality review coordinator or the fatality
             63      review coordinator's designee receives the case records requested under Subsection (3), the
             64      fatality review coordinator, or [a designee of] the fatality review [coordinator] coordinator's
             65      designee, shall:
             66          (a) review the deceased client report form, the case files, and other relevant
             67      information received by the fatality review coordinator; and
             68          (b) make a recommendation to the director of the Office of Services Review regarding
             69      whether a formal fatality review should be conducted.
             70          (6) (a) In accordance with Subsection (6)(b), within seven days after the day on which
             71      the fatality review coordinator or the fatality review coordinator's designee makes the
             72      recommendation described in Subsection (5)(b), the director of the Office of Services Review
             73      or the director's designee shall determine whether to order that a formal fatality review be
             74      conducted.
             75          (b) The director of the Office of Services Review or the director's designee shall order
             76      that a formal fatality review be conducted if:
             77          (i) at the time of death, the qualified individual is:
             78          (A) an individual described in Subsection 62A-16-102 (2)(a) or (b), unless:
             79          (I) the death is due to a natural cause; or
             80          (II) the director of the Office of Services Review or the director's designee determines
             81      that the death was not in any way related to services that were provided by, or under the
             82      direction of, the department or a division of the department; or
             83          (B) a child in foster care or substitute care, unless the death is due to:
             84          (I) a natural cause; or
             85          (II) an accident;
             86          (ii) it appears, based on the information provided to the director of the Office of
             87      Services Review or the director's designee, that:
             88          (A) a provision of law, rule, policy, or procedure relating to the deceased individual or
             89      the deceased individual's family may not have been complied with;


             90          (B) the fatality was not responded to properly;
             91          (C) a law, rule, policy, or procedure may need to be changed; or
             92          (D) additional training is needed;
             93          (iii) the death is caused by suicide; or
             94          (iv) the director of the Office of Services Review or the director's designee determines
             95      that another reason exists to order that a formal fatality review be conducted.
             96          Section 2. Section 62A-16-301 is amended to read:
             97           62A-16-301. Fatality review committee report -- Response to report.
             98          (1) Within 20 days after the day on which the committee proceedings described in
             99      Section 62A-16-204 end, the committee shall submit:
             100          (a) a written report to the executive director that includes:
             101          (i) the advisory opinions made under Subsection 62A-16-204 (6); and
             102          (ii) any recommendations regarding action that should be taken in relation to an
             103      employee of the department or a person who contracts with the department; [and]
             104          (b) a copy of the report described in Subsection (1)(a) to:
             105          (i) the director, or the director's designee, of the office or division to which the fatality
             106      relates; and
             107          (ii) the regional director, or the regional director's designee, of the region to which the
             108      fatality relates; and
             109          [(b)] (c) a copy of the report described in Subsection (1)(a), with only identifying
             110      information redacted, to[: (i) the director of the office or division to which the fatality relates;
             111      and (ii)] the Office of Legislative Research and General Counsel.
             112          (2) Within 20 days after the day on which the director described in Subsection (1)(b)(i)
             113      receives a copy of the report described in Subsection (1)(a), the director shall provide a written
             114      response to the [executive] director[,] of the Office of Services Review and a copy of the
             115      response, with only identifying information redacted, to the Office of Legislative Research and
             116      General Counsel, [and an unredacted copy of the response to the director of the Office of
             117      Services Review,] if the report:
             118          (a) indicates that a law, rule, policy, or procedure was not complied with;
             119          (b) indicates that the fatality was not responded to properly;
             120          (c) recommends that a law, rule, policy, or procedure be changed; or


             121          (d) indicates that additional training is needed.
             122          (3) The response described in Subsection (2) shall include a plan of action to
             123      implement any recommended improvements within the office or division.
             124          (4) Within 30 days after the day on which the executive director receives the response
             125      described in Subsection (2), the executive director, or the executive director's designee shall:
             126          (a) review the [action] plan of action described in Subsection (3);
             127          (b) make any written response that the executive director or the executive director's
             128      designee determines is necessary;
             129          (c) provide a copy of the written response described in Subsection (4)(b), with only
             130      identifying information redacted, to the Office of Legislative Research and General Counsel;
             131      and
             132          (d) provide an unredacted copy of the response described in Subsection (4)(b) to the
             133      director of the Office of Services Review.
             134          (5) A report described in Subsection (1) and each response described in this section is a
             135      protected record.
             136          (6) (a) As used in this Subsection (6), "fatality review document" means any document
             137      created in connection with, or as a result of, a fatality review or a decision whether to conduct a
             138      fatality review, including:
             139          (i) a report described in Subsection (1);
             140          (ii) a response described in this section;
             141          (iii) a recommendation regarding whether a fatality review should be conducted;
             142          (iv) a decision to conduct a fatality review;
             143          (v) notes of a person who participates in a fatality review;
             144          (vi) notes of a person who reviews a fatality review report;
             145          [(vii) an executive summary described in Subsection 62A-16-302 (4);]
             146          [(viii)] (vii) minutes of a fatality review;
             147          [(ix)] (viii) minutes of a meeting where a fatality review report is reviewed; and
             148          [(x)] (ix) minutes of, documents received in relation to, and documents generated in
             149      relation to, the portion of a meeting of the Health and Human Services Interim Committee or
             150      the Child Welfare Legislative Oversight Panel that a fatality review report or a document
             151      described in this Subsection (6)(a) is reviewed or discussed.


             152          (b) A fatality review document is not subject to discovery, subpoena, or similar
             153      compulsory process in any civil, judicial, or administrative proceeding, nor shall any individual
             154      or organization with lawful access to the data be compelled to testify with regard to a report
             155      described in Subsection (1) or a response described in this section.
             156          (c) [A fatality review document is] The following are not admissible as evidence in a
             157      civil, judicial, or administrative proceeding[.]:
             158          (i) a fatality review document; and
             159          (ii) an executive summary described in Subsection 62A-16-302 (4).
             160          Section 3. Section 62A-16-302 is amended to read:
             161           62A-16-302. Reporting to, and review by, legislative committees.
             162          (1) The Office of Legislative Research and General Counsel shall provide a copy of the
             163      report described in Subsection 62A-16-301 (1)(b), and the responses described in Subsections
             164      62A-16-301 (2) and (4)(c) to the chairs of:
             165          (a) the Health and Human Services Interim Committee; or
             166          (b) if the individual who is the subject of the report was, at the time of death, a person
             167      described in Subsection 62A-16-102 (2)(c) or (d), the Child Welfare Legislative Oversight
             168      Panel.
             169          (2) (a) The Health and Human Services Interim Committee may, in a closed meeting,
             170      review a report described in Subsection 62A-16-301 (1)(b).
             171          (b) The Child Welfare Legislative Oversight Panel shall, in a closed meeting, review a
             172      report described in Subsection (1)(b).
             173          (3) (a) Neither the Health and Human Services Interim Committee nor the Child
             174      Welfare Legislative Oversight Panel may interfere with, or make recommendations regarding,
             175      the resolution of a particular case.
             176          (b) The purpose of a review described in Subsection (2) is to assist a committee or
             177      panel described in Subsection (2) in determining whether to recommend a change in the law.
             178          (c) Any recommendation, described in Subsection (3)(b), by a committee or panel for a
             179      change in the law shall be made in an open meeting.
             180          (4) (a) On or before September 1 of each year, the department shall provide an
             181      executive summary of all fatality review reports for the preceding state fiscal year to[:] the
             182      Office of Legislative Research and General Counsel.


             183          (b) The Office of Legislative Research and General Counsel shall forward a copy of the
             184      executive summary described in Subsection (4)(a) to:
             185          [(a)] (i) the Health and Human Services Interim Committee; and
             186          [(b)] (ii) the Child Welfare Legislative Oversight Panel.
             187          (5) The executive summary described in Subsection (4):
             188          (a) may not include any names or identifying information; [and]
             189          (b) shall include:
             190          (i) all recommendations regarding changes to the law that were made during the
             191      preceding fiscal year under Subsection 62A-16-204 (6);
             192          (ii) all changes made, or in the process of being made, to a law, rule, policy, or
             193      procedure in response to a fatality review that occurred during the preceding fiscal year;
             194          (iii) a description of the training that has been completed in response to a fatality
             195      review that occurred during the preceding fiscal year;
             196          (iv) statistics for the preceding fiscal year regarding:
             197          (A) the number and type of fatalities of qualified individuals that are known to the
             198      department;
             199          (B) the number of formal fatality reviews conducted;
             200          (C) the categories, described in Subsection 62A-16-102 (2) of qualified individuals who
             201      died;
             202          (D) the gender, age, race, and other significant categories of qualified individuals who
             203      died; and
             204          (E) the number of fatalities of qualified individuals known to the department that are
             205      identified as suicides; and
             206          (v) action taken by the Office of Licensing and the Bureau of Internal Review and
             207      Audits in response to the fatality of a qualified individual[.]; and
             208          (c) is a public document.
             209          (6) The Division of Child and Family Services shall, to the extent required by the
             210      federal Child Abuse Prevention and Treatment Act, as amended, allow public disclosure of the
             211      findings or information relating to a case of child abuse or neglect that result in a child fatality
             212      or near fatality.
             213          Section 4. Section 63G-2-202 is amended to read:


             214           63G-2-202. Access to private, controlled, and protected documents.
             215          (1) Upon request, and except as provided in Subsection (11)(a), a governmental entity
             216      shall disclose a private record to:
             217          (a) the subject of the record;
             218          (b) the parent or legal guardian of an unemancipated minor who is the subject of the
             219      record;
             220          (c) the legal guardian of a legally incapacitated individual who is the subject of the
             221      record;
             222          (d) any other individual who:
             223          (i) has a power of attorney from the subject of the record;
             224          (ii) submits a notarized release from the subject of the record or the individual's legal
             225      representative dated no more than 90 days before the date the request is made; or
             226          (iii) if the record is a medical record described in Subsection 63G-2-302 (1)(b), is a
             227      health care provider, as defined in Section 26-33a-102 , if releasing the record or information in
             228      the record is consistent with normal professional practice and medical ethics; or
             229          (e) any person to whom the record must be provided pursuant to:
             230          (i) court order as provided in Subsection (7); or
             231          (ii) a legislative subpoena as provided in Title 36, Chapter 14, Legislative Subpoena
             232      Powers.
             233          (2) (a) Upon request, a governmental entity shall disclose a controlled record to:
             234          (i) a physician, psychologist, certified social worker, insurance provider or producer, or
             235      a government public health agency upon submission of:
             236          (A) a release from the subject of the record that is dated no more than 90 days prior to
             237      the date the request is made; and
             238          (B) a signed acknowledgment of the terms of disclosure of controlled information as
             239      provided by Subsection (2)(b); and
             240          (ii) any person to whom the record must be disclosed pursuant to:
             241          (A) a court order as provided in Subsection (7); or
             242          (B) a legislative subpoena as provided in Title 36, Chapter 14, Legislative Subpoena
             243      Powers.
             244          (b) A person who receives a record from a governmental entity in accordance with


             245      Subsection (2)(a)(i) may not disclose controlled information from that record to any person,
             246      including the subject of the record.
             247          (3) If there is more than one subject of a private or controlled record, the portion of the
             248      record that pertains to another subject shall be segregated from the portion that the requester is
             249      entitled to inspect.
             250          (4) Upon request, and except as provided in Subsection (10) or (11)(b), a governmental
             251      entity shall disclose a protected record to:
             252          (a) the person who submitted the record;
             253          (b) any other individual who:
             254          (i) has a power of attorney from all persons, governmental entities, or political
             255      subdivisions whose interests were sought to be protected by the protected classification; or
             256          (ii) submits a notarized release from all persons, governmental entities, or political
             257      subdivisions whose interests were sought to be protected by the protected classification or from
             258      their legal representatives dated no more than 90 days prior to the date the request is made;
             259          (c) any person to whom the record must be provided pursuant to:
             260          (i) a court order as provided in Subsection (7); or
             261          (ii) a legislative subpoena as provided in Title 36, Chapter 14, Legislative Subpoena
             262      Powers; or
             263          (d) the owner of a mobile home park, subject to the conditions of Subsection
             264      41-1a-116 (5).
             265          (5) A governmental entity may disclose a private, controlled, or protected record to
             266      another governmental entity, political subdivision, another state, the United States, or a foreign
             267      government only as provided by Section 63G-2-206 .
             268          (6) Before releasing a private, controlled, or protected record, the governmental entity
             269      shall obtain evidence of the requester's identity.
             270          (7) A governmental entity shall disclose a record pursuant to the terms of a court order
             271      signed by a judge from a court of competent jurisdiction, provided that:
             272          (a) the record deals with a matter in controversy over which the court has jurisdiction;
             273          (b) the court has considered the merits of the request for access to the record;
             274          (c) the court has considered and, where appropriate, limited the requester's use and
             275      further disclosure of the record in order to protect:


             276          (i) privacy interests in the case of private or controlled records;
             277          (ii) business confidentiality interests in the case of records protected under Subsection
             278      63G-2-305 (1), (2), (40)(a)(ii), or (40)(a)(vi); and
             279          (iii) privacy interests or the public interest in the case of other protected records;
             280          (d) to the extent the record is properly classified private, controlled, or protected, the
             281      interests favoring access, considering limitations thereon, outweigh the interests favoring
             282      restriction of access; and
             283          (e) where access is restricted by a rule, statute, or regulation referred to in Subsection
             284      63G-2-201 (3)(b), the court has authority independent of this chapter to order disclosure.
             285          (8) (a) A governmental entity may disclose or authorize disclosure of private or
             286      controlled records for research purposes if the governmental entity:
             287          (i) determines that the research purpose cannot reasonably be accomplished without
             288      use or disclosure of the information to the researcher in individually identifiable form;
             289          (ii) determines that:
             290          (A) the proposed research is bona fide; and
             291          (B) the value of the research outweighs the infringement upon personal privacy;
             292          (iii) (A) requires the researcher to assure the integrity, confidentiality, and security of
             293      the records; and
             294          (B) requires the removal or destruction of the individual identifiers associated with the
             295      records as soon as the purpose of the research project has been accomplished;
             296          (iv) prohibits the researcher from:
             297          (A) disclosing the record in individually identifiable form, except as provided in
             298      Subsection (8)(b); or
             299          (B) using the record for purposes other than the research approved by the governmental
             300      entity; and
             301          (v) secures from the researcher a written statement of the researcher's understanding of
             302      and agreement to the conditions of this Subsection (8) and the researcher's understanding that
             303      violation of the terms of this Subsection (8) may subject the researcher to criminal prosecution
             304      under Section 63G-2-801 .
             305          (b) A researcher may disclose a record in individually identifiable form if the record is
             306      disclosed for the purpose of auditing or evaluating the research program and no subsequent use


             307      or disclosure of the record in individually identifiable form will be made by the auditor or
             308      evaluator except as provided by this section.
             309          (c) A governmental entity may require indemnification as a condition of permitting
             310      research under this Subsection (8).
             311          (9) (a) Under Subsections 63G-2-201 (5)(b) and 63G-2-401 (6), a governmental entity
             312      may disclose to persons other than those specified in this section records that are:
             313          (i) private under Section 63G-2-302 ; or
             314          (ii) protected under Section 63G-2-305 subject to Section 63G-2-309 if a claim for
             315      business confidentiality has been made under Section 63G-2-309 .
             316          (b) Under Subsection 63G-2-403 (11)(b), the records committee may require the
             317      disclosure to persons other than those specified in this section of records that are:
             318          (i) private under Section 63G-2-302 ;
             319          (ii) controlled under Section 63G-2-304 ; or
             320          (iii) protected under Section 63G-2-305 subject to Section 63G-2-309 if a claim for
             321      business confidentiality has been made under Section 63G-2-309 .
             322          (c) Under Subsection 63G-2-404 (8), the court may require the disclosure of records
             323      that are private under Section 63G-2-302 , controlled under Section 63G-2-304 , or protected
             324      under Section 63G-2-305 to persons other than those specified in this section.
             325          (10) A record contained in the Management Information System, created in Section
             326      62A-4a-1003 , that is found to be unsubstantiated, unsupported, or without merit may not be
             327      disclosed to any person except the person who is alleged in the report to be a perpetrator of
             328      abuse, neglect, or dependency.
             329          (11) (a) A private record described in Subsection 63G-2-302 (2)(f) may only be
             330      disclosed as provided in Subsection (1)(e).
             331          (b) A protected record described in Subsection 63G-2-305 (43) may only be disclosed
             332      as provided in Subsection (4)(c) or Section 62A-3-312 .
             333          (12) (a) A private, protected, or controlled record described in Section 62A-16-301
             334      shall be disclosed as required under:
             335          (i) Subsections 62A-16-301 (1)(b), (2), and (4)(c); and
             336          (ii) [Subsection ] Subsections 62A-16-302 (1) and (6).
             337          (b) A record disclosed under Subsection (12)(a) shall retain its character as private,


             338      protected, or controlled.




Legislative Review Note
    as of 1-13-11 10:45 AM


Office of Legislative Research and General Counsel


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