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H.B. 79

             1     

PROVISION OF SERVICES FOR PEOPLE

             2     
WITH DISABILITIES

             3     
2005 GENERAL SESSION

             4     
STATE OF UTAH

             5     
Sponsor: Rebecca D. Lockhart

             6     
             7      LONG TITLE
             8      General Description:
             9          This bill amends the Human Services Code and the Judicial Code to provide for a
             10      criminal background check of a direct service worker whose services are paid for with
             11      public funds. This bill modifies the responsibilities and authority of the Division of
             12      Services for People with Disabilities.
             13      Highlighted Provisions:
             14          This bill:
             15          .    defines terms;
             16          .    provides the Department of Human Services with access to records to determine
             17      whether a direct service worker is listed in the:
             18              .    Licensing Information System of the Division of Child and Family Services;
             19              .    juvenile court records as having a substantiated finding of severe child abuse or
             20      neglect; or
             21              .    statewide database of the Division of Aging and Adult Services as having a
             22      substantiated finding of abuse, neglect, or exploitation of a vulnerable adult;
             23          .    provides that the Department of Human Services may inform a direct service
             24      worker, or the direct service worker's employer, of the status of a direct service
             25      worker in the records described above;
             26          .    amends the responsibilities and authority of the Division of Services for People with
             27      Disabilities;



             28          .    grants rulemaking authority to the Division of Services for People with Disabilities;
             29          .    prohibits the Division of Services for People with Disabilities from disbursing
             30      public funds to pay for the services of a direct service worker, unless the direct
             31      service worker successfully completes a background check;
             32          .    requires the Office of Licensing in the Department of Human Services to conduct a
             33      background check of a direct service worker before the Division of Services for
             34      People with Disabilities may disburse public funds to pay for the services of the
             35      direct service worker; and
             36          .    makes technical changes.
             37      Monies Appropriated in this Bill:
             38          None
             39      Other Special Clauses:
             40          None
             41      Utah Code Sections Affected:
             42      AMENDS:
             43          62A-2-121, as last amended by Chapter 86, Laws of Utah 2004
             44          62A-2-122, as enacted by Chapter 300, Laws of Utah 2002
             45          62A-4a-116.2, as last amended by Chapter 86, Laws of Utah 2004
             46          62A-5-101, as last amended by Chapter 332, Laws of Utah 1996
             47          62A-5-103, as last amended by Chapter 332, Laws of Utah 1996
             48          63A-9-808.1, as enacted by Chapter 342, Laws of Utah 2004
             49          78-3a-320, as last amended by Chapter 210, Laws of Utah 2003
             50      ENACTS:
             51          62A-5-103.5, Utah Code Annotated 1953
             52     
             53      Be it enacted by the Legislature of the state of Utah:
             54          Section 1. Section 62A-2-121 is amended to read:
             55           62A-2-121. Access to abuse and neglect information.
             56          (1) For purposes of this section, "direct service worker" is as defined in Section
             57      62A-5-101 .
             58          [(1)] (2) With respect to a human services [licensees] licensee, or a direct service


             59      worker, the department may access only the Licensing Information System of the Division of
             60      Child and Family Services created by Section 62A-4a-116.2 and juvenile court records under
             61      Subsection 78-3a-320 [(4)] (6), for the purpose of:
             62          (a) (i) determining whether a person associated with a licensee, with direct access to
             63      children[,]:
             64          (A) is listed in the Licensing Information System; or
             65          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             66      neglect under Subsections 78-3a-320 (1) and (2); and
             67          [(b)] (ii) informing a licensee that a person associated with the licensee:
             68          (A) is listed in the Licensing Information System; or
             69          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             70      neglect under Subsections 78-3a-320 (1) and (2)[.]; or
             71          (b) (i) determining whether a direct service worker:
             72          (A) is listed in the Licensing Information System; or
             73          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             74      neglect under Subsections 78-3a-320 (1) and (2); and
             75          (ii) informing a direct service worker or the direct service worker's employer that the
             76      direct service worker:
             77          (A) is listed in the Licensing Information System; or
             78          (B) has a substantiated finding by a juvenile court of a severe type of child abuse or
             79      neglect under Subsections 78-3a-320 (1) and (2).
             80          [(2)] (3) Notwithstanding Subsection [(1)] (2), the department may access the Division
             81      of Child and Family Service's Management Information System under Section 62A-4a-116 for
             82      the purpose of licensing and monitoring foster parents.
             83          [(3)] (4) After receiving identifying information for a person under Subsection
             84      62A-2-120 (1), the department shall process the information for the purposes described in
             85      Subsection [(1)] (2).
             86          [(4)] (5) The department shall adopt rules under Title 63, Chapter 46a, Utah
             87      Administrative Rulemaking Act, consistent with this chapter, defining the circumstances under
             88      which a person [who has] may have direct access or provide services to children [and who]
             89      when:


             90          (a) the person is listed in the Licensing Information System of the Division of Child
             91      and Family Services created by Section 62A-4a-116.2 ; or [has]
             92          (b) juvenile court records show that a court made a substantiated finding [by a court of]
             93      under Section 78-3a-320 , that the person committed a severe type of child abuse or neglect
             94      [under Subsections 78-3a-320 (1) and (2) may provide services to children].
             95          Section 2. Section 62A-2-122 is amended to read:
             96           62A-2-122. Access to vulnerable adult abuse and neglect information.
             97          (1) For purposes of this section "direct service worker" is as defined in Section
             98      62A-5-101 .
             99          [(1)] (2) With respect to a human services [licensees] licensee or a direct service
             100      worker, the department may access the data base created by Section 62A-3-311.1 for the
             101      purpose of:
             102          (a) (i) determining whether a person associated with a licensee, with direct access to
             103      vulnerable adults, has a substantiated finding of:
             104          (A) abuse[,];
             105          (B) neglect[,]; or
             106          (C) exploitation; and
             107          [(b)] (ii) informing a licensee that a person associated with the licensee has a
             108      substantiated finding of:
             109          (A) abuse[,];
             110          (B) neglect[,]; or
             111          (C) exploitation[.]; or
             112          (b) (i) determining whether a direct service worker has a substantiated finding of:
             113          (A) abuse;
             114          (B) neglect; or
             115          (C) exploitation; and
             116          (ii) informing a direct service worker or the direct service worker's employer that the
             117      direct service worker has a substantiated finding of:
             118          (A) abuse;
             119          (B) neglect; or
             120          (C) exploitation.


             121          [(2)] (3) After receiving identifying information for a person under Subsection
             122      62A-2-120 (1), the department shall process the information for the purposes described in
             123      Subsection (1).
             124          [(3)] (4) The department shall adopt rules under Title 63, Chapter 46a, Utah
             125      Administrative Rulemaking Act, consistent with this chapter and consistent with Section
             126      62A-3-311.1 , defining the circumstances under which a person [who has] may have direct
             127      access or provide services to vulnerable adults [and who has a substantiated finding of abuse,
             128      neglect, or exploitation may provide services to vulnerable adults] when the person is listed in
             129      the statewide database of the Division of Aging and Adult Services created by Section
             130      62A-3-311.1 as having a substantiated finding of abuse, neglect, or exploitation.
             131          Section 3. Section 62A-4a-116.2 is amended to read:
             132           62A-4a-116.2. Licensing Information System -- Contents -- Juvenile court finding
             133      -- Protected record -- Access -- Criminal penalty.
             134          (1) (a) The division shall maintain a sub-part of the Management Information System
             135      established pursuant to Section 62A-4a-116 , to be known as the Licensing Information System,
             136      to be used [solely]:
             137          (i) for licensing purposes[.]; or
             138          (ii) as otherwise specifically provided for by law.
             139          (b) The Licensing Information System shall include only the following information:
             140          [(a)] (i) the information described in Subsections 62A-4a-116.1 (1)(a) and (6)(b);
             141          [(b)] (ii) consented-to supported findings by alleged perpetrators under Subsection
             142      62A-4a-116.1 (6)(a)(iii); and
             143          [(c)] (iii) the information in the licensing part of the division's Management
             144      Information System as of May 6, 2002.
             145          (2) Notwithstanding Subsection (1), the department's access to information in the
             146      Management Information System for the licensure and monitoring of foster parents is governed
             147      by Sections 62A-4a-116 and 62A-2-121 .
             148          (3) (a) [The] Subject to subsection (3)(b), upon receipt of a finding from the juvenile
             149      court under Section 78-3a-320 , the division shall:
             150          (i) promptly amend the Licensing Information System[, upon receipt of a finding from
             151      the juvenile court under Section 78-3a-320 ,]; and [shall]


             152          (ii) enter the [same] information in the Management Information System. [However]
             153          (b) Notwithstanding Subsection (3)(a), if a finding of unsubstantiated or without merit
             154      is appealed, the supported finding shall not be amended until the appeal is concluded.
             155          (4) (a) Information contained in the Licensing Information System is classified as a
             156      protected record under Title 63, Chapter 2, Government Records Access and Management Act.
             157          (b) Notwithstanding the disclosure provisions of Title 63, Chapter 2, Government
             158      Records Access and Management Act, the information contained in the Licensing Information
             159      System may only be used or disclosed as specifically provided in this chapter and Section
             160      62A-2-121 [and].
             161          (c) The information described in Subsection (4)(b) is accessible only to:
             162          [(a)] (i) the Office of Licensing within the department[,]:
             163          (A) for licensing purposes [only]; or
             164          (B) as otherwise specifically provided for by law;
             165          [(b)] (ii) the division[, for the following purposes] to:
             166          [(i)] (A) [to] screen a person at the request of the Office of the Guardian Ad Litem
             167      Director[,]:
             168          (I) at the time that person seeks a paid or voluntary position with the Office of the
             169      Guardian Ad Litem Director; and
             170          (II) each year [thereafter that] after the person described in Subsection (4)(c)(ii)(A)(I)
             171      remains with that office; and
             172          [(ii)] (B) [to] respond to a request for information from a person whose name is listed
             173      in the Licensing Information System;
             174          [(c)] (iii) two persons designated by and within the Department of Health, only for the
             175      following purposes:
             176          [(i)] (A) licensing a child care program or provider; or
             177          [(ii)] (B) determining whether a person associated with a covered health care facility,
             178      as defined by the Department of Health by rule, who provides direct care to a child, has a
             179      supported finding of severe child abuse or neglect; and
             180          [(d)] (iv) the department, as specifically provided in this chapter.
             181          (5) The two persons designated by the Department of Health under Subsection
             182      (4)(c)(iii) shall adopt measures to:


             183          (a) protect the security of the Licensing Information System; and
             184          (b) strictly limit access to the Licensing Information System to those persons
             185      designated by statute.
             186          (6) All persons designated by statute as having access to information contained in the
             187      Licensing Information System shall receive training from the department with respect to:
             188          (a) accessing the Licensing Information System;
             189          (b) maintaining strict security; and
             190          (c) the criminal provisions of Sections 62A-4a-412 and 63-2-801 pertaining to the
             191      improper release of information.
             192          (7) (a) No person, except those authorized by this chapter, may request another person
             193      to obtain or release any other information in the Licensing Information System to screen for
             194      potential perpetrators of child abuse or neglect.
             195          (b) A person who requests information knowing that it is a violation of this Subsection
             196      (7) to do so is subject to the criminal penalty described in Sections 62A-4a-412 and 63-2-801 .
             197          Section 4. Section 62A-5-101 is amended to read:
             198           62A-5-101. Definitions.
             199          As used in this chapter:
             200          [(8)] (1) "Approved provider" means a person [who has been]:
             201          (a) approved by the division to provide home-based services; and
             202          (b) who has agreed to be compensated by voucher under Part 4, Home-Based Services.
             203          [(1)] (2) "Board" means the Board of Services for People with Disabilities established
             204      in accordance with Section 62A-1-105 .
             205          [(2)] (3) "Developmental center" means the Utah State Developmental Center,
             206      established in accordance with Part 2 of this chapter.
             207          (4) "Direct service worker" means a person who provides services to a person with a
             208      disability:
             209          (a) when the services are rendered in:
             210          (i) the physical presence of the person with a disability; or
             211          (ii) a location where the person rendering the services has access to the physical
             212      presence of the person with a disability; and
             213          (b) under:


             214          (i) a contract with the division; or
             215          (ii) a grant agreement with the division.
             216          [(3)] (5) "Director" means the director of the Division of Services for People with
             217      Disabilities.
             218          [(4)] (6) (a) "Disability" means a severe, chronic disability that:
             219          (i) is attributable to a mental or physical impairment or a combination of mental and
             220      physical impairments;
             221          (ii) is likely to continue indefinitely;
             222          (iii) results in a substantial functional limitation in three or more of the following areas
             223      of major life activity:
             224          (A) self-care;
             225          (B) receptive and expressive language;
             226          (C) learning;
             227          (D) mobility;
             228          (E) self-direction;
             229          (F) capacity for independent living; or
             230          (G) economic self-sufficiency; and
             231          (iv) requires a combination or sequence of special interdisciplinary or generic care,
             232      treatment, or other services that may continue throughout life and must be individually planned
             233      and coordinated.
             234          (b) For purposes of this chapter mental illness alone does not constitute a "disability."
             235          [(5)] (7) "Division" means the Division of Services for People with Disabilities.
             236          (8) "Eligibility" means qualification, based on criteria established by the division in
             237      accordance with Subsection 62A-5-102 (3), to receive services that are administered by the
             238      division.
             239          (9) "Endorsed program" means a facility or program that:
             240          (a) is operated:
             241          (i) by the division; or
             242          (ii) under contract with the division; or
             243          (b) provides services to a person committed to the division under Part 3, Admission to
             244      Mental Retardation Facility.


             245          [(6)] (10) "Mental retardation" means a significant, subaverage general intellectual
             246      functioning, existing concurrently with deficits in adaptive behavior, and manifested during the
             247      developmental period as defined in the current edition of the Diagnostic and Statistical Manual
             248      of Mental Disorders, published by the American Psychiatric Association.
             249          [(7)] (11) "Mental retardation facility" means a residential facility for persons with
             250      mental retardation, that receives state or federal funds under Title XIX of the federal Social
             251      Security Act, for the purpose of serving the population of mentally retarded persons in this
             252      state.
             253          (12) "Public funds" means state or federal funds that are disbursed by the division.
             254          [(9)] (13) "Voucher" means a document that:
             255          (a) is issued by the division to a person with a disability or to his parent or guardian;
             256          (b) describes the services and supports that may be received with the voucher;
             257          (c) lists approved providers;
             258          (d) may be used by a person with a disability or his parent or guardian to purchase
             259      services and supports from an approved provider;
             260          (e) includes a maximum dollar value;
             261          (f) states the period of time within which the voucher must be used by the person with
             262      a disability or his parent or guardian to purchase services and supports; and
             263          (g) is redeemable by an approved provider for payment by the division up to the dollar
             264      value of the voucher.
             265          Section 5. Section 62A-5-103 is amended to read:
             266           62A-5-103. Responsibility and authority of division.
             267          [The division has the authority and responsibility to:]
             268          (1) For purposes of this section "administer" means to:
             269          [(1)] (a) plan[,];
             270          (b) develop[, and];
             271          (c) manage;
             272          (d) monitor; and
             273          (e) conduct certification reviews.
             274          (2) The division has the authority and responsibility to:
             275          (a) administer an array of services and supports for persons with disabilities and their


             276      families throughout the state[. Those services and supports may include, but are not limited
             277      to:];
             278          [(a) residential services and supports;]
             279          [(b) day training services and supports, including work activity, sheltered employment,
             280      and supported employment;]
             281          [(c) personal attendant care;]
             282          [(d) apartment follow-along;]
             283          [(e) supervised apartment living;]
             284          [(f) respite care;]
             285          [(g) specialized foster care;]
             286          [(h) community skills training;]
             287          [(i) transportation;]
             288          [(j) assessment;]
             289          [(k) family support;]
             290          [(l) service coordination services, except as limited by Part 4; and]
             291          [(m) home-based services, provided in accordance with Part 4;]
             292          (b) make rules in accordance with Title 63, Chapter 46a, Utah Administrative
             293      Rulemaking Act, that establish eligibility criteria for the services and supports described in
             294      Subsection (2)(a);
             295          (c) consistent with Section 62A-5-206 , supervise the programs and facilities of the
             296      Developmental Center;
             297          [(2)] (d) in order to enhance the quality of life for a person with a disability, establish
             298      either directly, or by contract with private, nonprofit organizations, programs of:
             299          (i) outreach[,];
             300          (ii) information and referral[,];
             301          (iii) prevention[,];
             302          (iv) technical assistance[,]; and
             303          (v) public awareness[, in an effort to enhance the quality of life for persons with
             304      disabilities in this state];
             305          [(3)] (e) supervise the programs and facilities operated by, or under contract with, the
             306      division;


             307          [(4) (a)] (f) cooperate with other state, governmental, and private agencies that provide
             308      services to [persons with disabilities] a person with a disability;
             309          [(b)] (g) subject to Subsection (3), ensure that [the] a person with a disability is not
             310      deprived of that person's constitutionally protected [liberty interests of persons with disabilities
             311      are not deprived] rights without due process procedures designed to minimize the risk of error
             312      when [those persons are] a person with a disability is admitted to any structured residential
             313      mental retardation facility, including:
             314          (i) the developmental center; and
             315          (ii) facilities within the community [such as intermediate care facilities for the mentally
             316      retarded. Those services shall include initial and periodic reviews to determine the
             317      constitutional appropriateness of the placement. The constitutional due process review process
             318      required by this subsection, with regard to intermediate care facilities for the mentally retarded,
             319      does not necessitate commitment to the division];
             320          [(5) contract for services and supports for persons with disabilities;]
             321          [(6)] (h) determine whether to approve [and] providers;
             322          (i) monitor and sanction approved providers;
             323          [(7)] (j) [act as a fiscal agent to] subject to Section 62A-5-103.5 , receive and disburse
             324      public funds;
             325          (k) review financial actions of a provider who is a representative payee appointed by
             326      the Social Security Administration;
             327          [(8)] (l) establish standards and rules for the administration and operation of programs
             328      [operated] conducted by, or under contract with, the division;
             329          [(9)] (m) approve and monitor division programs to insure compliance with the board's
             330      [policies] rules and standards;
             331          [(10)] (n) establish standards and rules necessary to fulfill the division's responsibilities
             332      under Parts 2 and 3 of this chapter with regard to mental retardation facilities;
             333          [(11)] (o) [establish] assess and collect [fair and] equitable fees for a person who
             334      receives services provided [by the division, and account for those funds] under this chapter;
             335          (p) maintain records of, and account for, the funds described in Subsection (2)(o);
             336          (q) establish and apply rules to determine whether to approve, deny, or defer the
             337      division's services to a person who is:


             338          (i) applying to receive the services; or
             339          (ii) currently receiving the services;
             340          [(12)] (r) in accordance with state law, establish rules:
             341          (i) relating to a mental retardation facility that is an endorsed program; and
             342          (ii) governing the admission, transfer, and discharge of [persons with disabilities to
             343      mental retardation facilities, in accordance with state law, with regard to facilities and
             344      programs operated by or under contract with the division, and with regard to facilities and
             345      programs that serve persons committed to the division under Part 3] a person with a disability;
             346          [(13)] (s) manage funds for a person residing in a facility operated by the division[,]:
             347          (i) upon request of a parent or guardian[,] of the person; or
             348          (ii) under administrative or court order; and
             349          [(14)] (t) fulfill the responsibilities described in Chapter 5a, Coordinating Council for
             350      Persons with Disabilities.
             351          (3) The due process procedures described in Subsection (2)(g):
             352          (a) shall include initial and periodic reviews to determine the constitutional
             353      appropriateness of the placement; and
             354          (b) with regard to facilities in the community, do not require commitment to the
             355      division.
             356          Section 6. Section 62A-5-103.5 is enacted to read:
             357          62A-5-103.5. Disbursal of public funds -- Background check of a direct service
             358      worker.
             359          (1) For purposes of this section "office" is as defined in Section 62A-2-101 .
             360          (2) Subject to Subsection (4), public funds may not be disbursed to pay a direct service
             361      worker for personal services rendered to a person, unless the direct service worker is approved
             362      by the office to have direct access and provide services to children or vulnerable adults
             363      pursuant to Section 62A-2-120 .
             364          (3) For purposes of Subsection (2), the office shall conduct a background check of a
             365      direct service worker:
             366          (a) before public funds are disbursed to pay the direct service worker for the personal
             367      services described in Subsection (2); and
             368          (b) using the same procedures established for a background check of an applicant for


             369      an initial license under Section 62A-2-120 .
             370          (4) The background check and the approval determination described in this section
             371      shall be conducted for a direct service worker on an annual basis.
             372          Section 7. Section 63A-9-808.1 is amended to read:
             373           63A-9-808.1. Transfer of information technology equipment for persons with a
             374      disability.
             375          (1) As used in this section, "[persons] person with a disability" means [persons] a
             376      person who [meet] meets the criteria in Subsections 62A-5-101 [(4)](6)(a)(i) and (ii).
             377          (2) The division may transfer information technology equipment, or authorize the
             378      transfer of technology equipment by an agency, to a nonprofit entity for distribution to and use
             379      by [persons] a person with a disability.
             380          (3) Interagency transfers and sales of surplus property to state and local agencies within
             381      the 30-day period under Section 63A-9-808 shall have priority over transfers under Subsection
             382      (2).
             383          (4) The division shall annually report to the Division of Services for People With
             384      Disabilities the:
             385          (a) names of the nonprofit entities receiving transfers under Subsection (2); and [the]
             386          (b) types and amounts of equipment received.
             387          Section 8. Section 78-3a-320 is amended to read:
             388           78-3a-320. Additional finding at adjudication hearing -- Petition -- Court records.
             389          (1) Upon the filing with the court of a petition under Section 78-3a-305 by the Division
             390      of Child and Family Services or any interested person informing the court, among other things,
             391      that the division has made a supported finding of one or more of the severe types of child abuse
             392      or neglect described in Subsection 62A-4a-116.1 (2), the court shall:
             393          (a) make a finding of substantiated, unsubstantiated, or without merit;
             394          (b) include the finding described in Subsection (1)(a) in a written order; and
             395          (c) deliver a certified copy of the order described in Subsection (1)(b) to the division.
             396          (2) The judicial finding under Subsection (1) shall be made:
             397          (a) as part of [or] the adjudication hearing;
             398          (b) at the conclusion of the adjudication hearing; or
             399          [(b)] (c) as part of a court order entered pursuant to a written stipulation of the parties.


             400          (3) (a) Any person described in Subsection 62A-4a-116.6 (1) may at any time file with
             401      the court a petition for removal of the person's name from the Licensing Information System.
             402          (b) At the conclusion of the hearing on the petition, the court shall:
             403          [(a)] (i) make a finding of substantiated, unsubstantiated, or without merit;
             404          [(b)] (ii) include the finding described in Subsection (1)(a) in a written order; and
             405          [(c)] (iii) deliver a certified copy of the order described in Subsection (1)(b) to the
             406      division.
             407          (4) A proceeding for adjudication of a supported finding of a nonsevere type of abuse
             408      or neglect under this section may be joined in the juvenile court with an adjudication of a
             409      severe type of abuse or neglect.
             410          (5) If a person whose name appears on the Licensing Information system prior to May
             411      6, 2002 files a petition during the time that an alleged perpetrator's application for clearance to
             412      work with children or vulnerable adults is pending, the court shall hear the matter and enter a
             413      final decision no later than 60 days after the filing of the petition.
             414          (6) For the purposes of licensing under Sections 26-21-9.5 , 26-39-105.5 , 62A-1-118 ,
             415      and for the purposes described in Section 62A-2-121 :
             416          (a) the court shall make available records of its findings under Subsections (1) and (2)
             417      for licensing purposes, only to those with statutory authority to access also the Licensing
             418      Information System created under Section 62A-4a-116.2 ; and
             419          (b) any appellate court shall make available court records of appeals from juvenile
             420      court decisions under Subsections (1), (2), (3), and (4) for licensing purposes, only to those
             421      with statutory authority to access also the Licensing Information System.




Legislative Review Note
    as of 1-18-05 10:43 AM


Based on a limited legal review, this legislation has not been determined to have a high
probability of being held unconstitutional.

Office of Legislative Research and General Counsel


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