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First Substitute S.B. 212

Senator Parley G. Hellewell proposes the following substitute bill:


             1     
CHILD CARE INVESTIGATIONS

             2     
2005 GENERAL SESSION

             3     
STATE OF UTAH

             4     
Sponsor: Parley G. Hellewell

             5     
             6      LONG TITLE
             7      General Description:
             8          This bill amends the Utah Child Care Licensing Act and the Government Records
             9      Access and Management Act.
             10      Highlighted Provisions:
             11          This bill:
             12          .    provides definitions;
             13          .    creates a process for the Department of Health to follow when responding to a
             14      complaint about child care;
             15          .    limits disclosure of the name of a confidential complainant;
             16          .    limits the disclosure of identifying information related to a child care complaint that
             17      the department is unable to substantiate;
             18          .    specifies the classification of child care investigation records under the Government
             19      Records Access and Management Act in the case where the department is unable to
             20      substantiate a complaint, and limits the manner in which those records may be
             21      disclosed;
             22          .    specifies that any record related to a complaint by an anonymous complainant is a
             23      protected record and limits the manner in which it may be disclosed; and
             24          .    amends the list of items in the Government Records Access and Management Act
             25      designated as protected records.


             26      Monies Appropriated in this Bill:
             27          None
             28      Other Special Clauses:
             29          This bill provides a coordination clause.
             30      Utah Code Sections Affected:
             31      AMENDS:
             32          26-39-109, as enacted by Chapter 196, Laws of Utah 1997
             33          63-2-304, as last amended by Chapters 223, 299 and 358, Laws of Utah 2004
             34     
             35      Be it enacted by the Legislature of the state of Utah:
             36          Section 1. Section 26-39-109 is amended to read:
             37           26-39-109. Investigations -- Records.
             38          (1) The department may conduct investigations necessary to enforce the provisions of
             39      this chapter.
             40          (2) For purposes of this section:
             41          (a) "anonymous complainant" means a complainant for whom the department does not
             42      have the minimum personal identifying information necessary, including the complainant's full
             43      name, to attempt to communicate with the complainant after a complaint has been made;
             44          (b) "confidential complainant" means a complainant for whom the department has the
             45      minimum personal identifying information necessary, including the complainant's full name, to
             46      attempt to communicate with the complainant after a complaint has been made, but who elects
             47      under Subsection (3)(c) not to be identified to the subject of the complaint; and
             48          (c) "subject of the complaint" means the licensee or certificate holder about whom the
             49      complainant is informing the department.
             50          (3) (a) If the department receives a complaint about a child care program or residential
             51      child care, the department shall:
             52          (i) solicit information from the complainant to determine whether the complaint
             53      suggests actions or conditions which could pose a serious risk to the safety or well-being of a
             54      child;
             55          (ii) as necessary:
             56          (A) encourage the complainant to disclose the minimum personal identifying


             57      information necessary, including the complainant's full name, for the department to attempt to
             58      subsequently communicate with the complainant;
             59          (B) inform the complainant that the department may not investigate an anonymous
             60      complaint;
             61          (C) inform the complainant that the identity of a confidential complainant may be
             62      withheld from the subject of a complaint only as provided in Subsection (3)(c)(ii); and
             63          (D) inform the complainant that the department may be limited in its use of
             64      information provided by a confidential complainant, as provided in Subsection (3)(c)(ii)(B);
             65      and
             66          (iii) inform the complainant that a person is guilty of a class B misdemeanor under
             67      Section 78-8-506 if the person gives false information to the department with a purpose of
             68      inducing a change in that person's or another person's licensing or certification status.
             69          (b) If the complainant elects to be an anonymous complainant, the department:
             70          (i) shall refer the information in the complaint to the Division of Child and Family
             71      Services within the Department of Human Services, law enforcement, or any other appropriate
             72      agency, if the complaint suggests actions or conditions which could pose a serious risk to the
             73      safety or well-being of a child;
             74          (ii) may not investigate or substantiate the complaint; and
             75          (iii) may, during a regularly scheduled annual survey, inform the licensee or certificate
             76      holder who is the subject of the complaint of allegations or concerns raised by the anonymous
             77      complainant.
             78          (c) (i) If the complainant elects to be a confidential complainant, the department shall
             79      determine whether the complainant wishes to remain confidential:
             80          (A) only until the investigation of the complaint has been completed; or
             81          (B) indefinitely.
             82          (ii) (A) If the complainant elects to remain confidential only until the investigation of
             83      the complaint has been completed, the department shall disclose the name of the complainant
             84      to the subject of the complaint at the completion of the investigation, but no sooner.
             85          (B) If the complainant elects to remain confidential indefinitely, the department:
             86          (I) notwithstanding Subsection 63-2-201 (5)(b), may not disclose the name of the
             87      complainant, including to the subject of the complaint; and


             88          (II) may not use information provided by the complainant to substantiate an alleged
             89      violation of state law or department rule unless the department independently corroborates the
             90      information.
             91          (4) (a) Prior to conducting an investigation of a child care program or residential child
             92      care in response to a complaint, a department investigator shall review the complaint with the
             93      investigator's supervisor.
             94          (b) The investigator may proceed with the investigation only if:
             95          (i) the supervisor determines the complaint is legitimate;
             96          (ii) the complaint is not from an anonymous complainant; and
             97          (iii) prior to the investigation, the investigator informs the subject of the complaint of:
             98          (A) except as provided in Subsection (3)(c), the name of the complainant; and
             99          (B) except as provided in Subsection (4)(c), the substance of the complaint.
             100          (c) An investigator is not required to inform the subject of a complaint of the substance
             101      of the complaint prior to an investigation if doing so would jeopardize the investigation.
             102      However, the investigator shall inform the subject of the complaint of the substance of the
             103      complaint as soon as doing so will no longer jeopardize the investigation.
             104          (5) If the department is unable to substantiate a complaint, any record related to the
             105      complaint or the investigation of the complaint:
             106          (a) shall be classified under Title 63, Chapter 2, Government Records Access and
             107      Management Act, as:
             108          (i) a private or controlled record if appropriate under Sections 63-2-302 or 63-2-303 ; or
             109          (ii) a protected record under Section 63-2-304 ; and
             110          (b) if disclosed in accordance with Subsection 63-2-201 (5)(b), may not identify an
             111      individual child care program, licensee, certificate holder, or complainant.
             112          (6) Any record of the department related to a complaint by an anonymous complainant
             113      is a protected record under Title 63, Chapter 2, Government Records Access and Management
             114      Act, and, notwithstanding Subsection 63-2-201 (5)(b), may not be disclosed in a manner that
             115      identifies an individual child care program, licensee, certificate holder, or complainant.
             116          Section 2. Section 63-2-304 is amended to read:
             117           63-2-304. Protected records.
             118          The following records are protected if properly classified by a governmental entity:


             119          (1) trade secrets as defined in Section 13-24-2 if the person submitting the trade secret
             120      has provided the governmental entity with the information specified in Section 63-2-308 ;
             121          (2) commercial information or nonindividual financial information obtained from a
             122      person if:
             123          (a) disclosure of the information could reasonably be expected to result in unfair
             124      competitive injury to the person submitting the information or would impair the ability of the
             125      governmental entity to obtain necessary information in the future;
             126          (b) the person submitting the information has a greater interest in prohibiting access
             127      than the public in obtaining access; and
             128          (c) the person submitting the information has provided the governmental entity with
             129      the information specified in Section 63-2-308 ;
             130          (3) commercial or financial information acquired or prepared by a governmental entity
             131      to the extent that disclosure would lead to financial speculations in currencies, securities, or
             132      commodities that will interfere with a planned transaction by the governmental entity or cause
             133      substantial financial injury to the governmental entity or state economy;
             134          (4) records the disclosure of which could cause commercial injury to, or confer a
             135      competitive advantage upon a potential or actual competitor of, a commercial project entity as
             136      defined in Subsection 11-13-103 (4);
             137          (5) test questions and answers to be used in future license, certification, registration,
             138      employment, or academic examinations;
             139          (6) records the disclosure of which would impair governmental procurement
             140      proceedings or give an unfair advantage to any person proposing to enter into a contract or
             141      agreement with a governmental entity, except that this Subsection (6) does not restrict the right
             142      of a person to see bids submitted to or by a governmental entity after bidding has closed;
             143          (7) records that would identify real property or the appraisal or estimated value of real
             144      or personal property, including intellectual property, under consideration for public acquisition
             145      before any rights to the property are acquired unless:
             146          (a) public interest in obtaining access to the information outweighs the governmental
             147      entity's need to acquire the property on the best terms possible;
             148          (b) the information has already been disclosed to persons not employed by or under a
             149      duty of confidentiality to the entity;


             150          (c) in the case of records that would identify property, potential sellers of the described
             151      property have already learned of the governmental entity's plans to acquire the property;
             152          (d) in the case of records that would identify the appraisal or estimated value of
             153      property, the potential sellers have already learned of the governmental entity's estimated value
             154      of the property; or
             155          (e) the property under consideration for public acquisition is a single family residence
             156      and the governmental entity seeking to acquire the property has initiated negotiations to acquire
             157      the property as required under Section 78-34-4.5 ;
             158          (8) records prepared in contemplation of sale, exchange, lease, rental, or other
             159      compensated transaction of real or personal property including intellectual property, which, if
             160      disclosed prior to completion of the transaction, would reveal the appraisal or estimated value
             161      of the subject property, unless:
             162          (a) the public interest in access outweighs the interests in restricting access, including
             163      the governmental entity's interest in maximizing the financial benefit of the transaction; or
             164          (b) when prepared by or on behalf of a governmental entity, appraisals or estimates of
             165      the value of the subject property have already been disclosed to persons not employed by or
             166      under a duty of confidentiality to the entity;
             167          (9) records created or maintained for civil, criminal, or administrative enforcement
             168      purposes or audit purposes, or for discipline, licensing, certification, or registration purposes, if
             169      release of the records:
             170          (a) reasonably could be expected to interfere with investigations undertaken for
             171      enforcement, discipline, licensing, certification, or registration purposes;
             172          (b) reasonably could be expected to interfere with audits, disciplinary, or enforcement
             173      proceedings;
             174          (c) would create a danger of depriving a person of a right to a fair trial or impartial
             175      hearing;
             176          (d) reasonably could be expected to disclose the identity of a source who is not
             177      generally known outside of government and, in the case of a record compiled in the course of
             178      an investigation, disclose information furnished by a source not generally known outside of
             179      government if disclosure would compromise the source; or
             180          (e) reasonably could be expected to disclose investigative or audit techniques,


             181      procedures, policies, or orders not generally known outside of government if disclosure would
             182      interfere with enforcement or audit efforts;
             183          (10) records the disclosure of which would jeopardize the life or safety of an
             184      individual;
             185          (11) records the disclosure of which would jeopardize the security of governmental
             186      property, governmental programs, or governmental recordkeeping systems from damage, theft,
             187      or other appropriation or use contrary to law or public policy;
             188          (12) records that, if disclosed, would jeopardize the security or safety of a correctional
             189      facility, or records relating to incarceration, treatment, probation, or parole, that would interfere
             190      with the control and supervision of an offender's incarceration, treatment, probation, or parole;
             191          (13) records that, if disclosed, would reveal recommendations made to the Board of
             192      Pardons and Parole by an employee of or contractor for the Department of Corrections, the
             193      Board of Pardons and Parole, or the Department of Human Services that are based on the
             194      employee's or contractor's supervision, diagnosis, or treatment of any person within the board's
             195      jurisdiction;
             196          (14) records and audit workpapers that identify audit, collection, and operational
             197      procedures and methods used by the State Tax Commission, if disclosure would interfere with
             198      audits or collections;
             199          (15) records of a governmental audit agency relating to an ongoing or planned audit
             200      until the final audit is released;
             201          (16) records prepared by or on behalf of a governmental entity solely in anticipation of
             202      litigation that are not available under the rules of discovery;
             203          (17) records disclosing an attorney's work product, including the mental impressions or
             204      legal theories of an attorney or other representative of a governmental entity concerning
             205      litigation;
             206          (18) records of communications between a governmental entity and an attorney
             207      representing, retained, or employed by the governmental entity if the communications would be
             208      privileged as provided in Section 78-24-8 ;
             209          (19) personal files of a legislator, including personal correspondence to or from a
             210      member of the Legislature, provided that correspondence that gives notice of legislative action
             211      or policy may not be classified as protected under this section;


             212          (20) (a) records in the custody or control of the Office of Legislative Research and
             213      General Counsel, that, if disclosed, would reveal a particular legislator's contemplated
             214      legislation or contemplated course of action before the legislator has elected to support the
             215      legislation or course of action, or made the legislation or course of action public; and
             216          (b) notwithstanding Subsection (20)(a), the form to request legislation submitted to the
             217      Office of Legislative Research and General Counsel is a public document unless a legislator
             218      asks that the records requesting the legislation be maintained as protected records until such
             219      time as the legislator elects to make the legislation or course of action public;
             220          (21) research requests from legislators to the Office of Legislative Research and
             221      General Counsel or the Office of the Legislative Fiscal Analyst and research findings prepared
             222      in response to these requests;
             223          (22) drafts, unless otherwise classified as public;
             224          (23) records concerning a governmental entity's strategy about collective bargaining or
             225      pending litigation;
             226          (24) records of investigations of loss occurrences and analyses of loss occurrences that
             227      may be covered by the Risk Management Fund, the Employers' Reinsurance Fund, the
             228      Uninsured Employers' Fund, or similar divisions in other governmental entities;
             229          (25) records, other than personnel evaluations, that contain a personal recommendation
             230      concerning an individual if disclosure would constitute a clearly unwarranted invasion of
             231      personal privacy, or disclosure is not in the public interest;
             232          (26) records that reveal the location of historic, prehistoric, paleontological, or
             233      biological resources that if known would jeopardize the security of those resources or of
             234      valuable historic, scientific, educational, or cultural information;
             235          (27) records of independent state agencies if the disclosure of the records would
             236      conflict with the fiduciary obligations of the agency;
             237          (28) records of a public institution of higher education regarding tenure evaluations,
             238      appointments, applications for admissions, retention decisions, and promotions, which could be
             239      properly discussed in a meeting closed in accordance with Title 52, Chapter 4, Open and Public
             240      Meetings, provided that records of the final decisions about tenure, appointments, retention,
             241      promotions, or those students admitted, may not be classified as protected under this section;
             242          (29) records of the governor's office, including budget recommendations, legislative


             243      proposals, and policy statements, that if disclosed would reveal the governor's contemplated
             244      policies or contemplated courses of action before the governor has implemented or rejected
             245      those policies or courses of action or made them public;
             246          (30) records of the Office of the Legislative Fiscal Analyst relating to budget analysis,
             247      revenue estimates, and fiscal notes of proposed legislation before issuance of the final
             248      recommendations in these areas;
             249          (31) records provided by the United States or by a government entity outside the state
             250      that are given to the governmental entity with a requirement that they be managed as protected
             251      records if the providing entity certifies that the record would not be subject to public disclosure
             252      if retained by it;
             253          (32) transcripts, minutes, or reports of the closed portion of a meeting of a public body
             254      except as provided in Section 52-4-7 ;
             255          (33) records that would reveal the contents of settlement negotiations but not including
             256      final settlements or empirical data to the extent that they are not otherwise exempt from
             257      disclosure;
             258          (34) memoranda prepared by staff and used in the decision-making process by an
             259      administrative law judge, a member of the Board of Pardons and Parole, or a member of any
             260      other body charged by law with performing a quasi-judicial function;
             261          (35) records that would reveal negotiations regarding assistance or incentives offered
             262      by or requested from a governmental entity for the purpose of encouraging a person to expand
             263      or locate a business in Utah, but only if disclosure would result in actual economic harm to the
             264      person or place the governmental entity at a competitive disadvantage, but this section may not
             265      be used to restrict access to a record evidencing a final contract;
             266          (36) materials to which access must be limited for purposes of securing or maintaining
             267      the governmental entity's proprietary protection of intellectual property rights including patents,
             268      copyrights, and trade secrets;
             269          (37) the name of a donor or a prospective donor to a governmental entity, including a
             270      public institution of higher education, and other information concerning the donation that could
             271      reasonably be expected to reveal the identity of the donor, provided that:
             272          (a) the donor requests anonymity in writing;
             273          (b) any terms, conditions, restrictions, or privileges relating to the donation may not be


             274      classified protected by the governmental entity under this Subsection (37); and
             275          (c) except for public institutions of higher education, the governmental unit to which
             276      the donation is made is primarily engaged in educational, charitable, or artistic endeavors, and
             277      has no regulatory or legislative authority over the donor, a member of his immediate family, or
             278      any entity owned or controlled by the donor or his immediate family;
             279          (38) accident reports, except as provided in Sections 41-6-40 , 41-12a-202 , and
             280      73-18-13 ;
             281          (39) a notification of workers' compensation insurance coverage described in Section
             282      34A-2-205 ;
             283          (40) (a) the following records of a public institution of education, which have been
             284      developed, discovered, or received by or on behalf of faculty, staff, employees, or students of
             285      the institution:
             286          (i) unpublished lecture notes;
             287          (ii) unpublished research notes and data;
             288          (iii) unpublished manuscripts;
             289          (iv) creative works in process;
             290          (v) scholarly correspondence; and
             291          (vi) confidential information contained in research proposals; and
             292          (b) Subsection (40)(a) may not be construed to affect the ownership of a record;
             293          (41) (a) records in the custody or control of the Office of Legislative Auditor General
             294      that would reveal the name of a particular legislator who requests a legislative audit prior to the
             295      date that audit is completed and made public; and
             296          (b) notwithstanding Subsection (41)(a), a request for a legislative audit submitted to the
             297      Office of the Legislative Auditor General is a public document unless the legislator asks that
             298      the records in the custody or control of the Office of Legislative Auditor General that would
             299      reveal the name of a particular legislator who requests a legislative audit be maintained as
             300      protected records until the audit is completed and made public;
             301          (42) records that provide detail as to the location of an explosive, including a map or
             302      other document that indicates the location of:
             303          (a) a production facility; or
             304          (b) a magazine;


             305          (43) information contained in the database described in Section 62A-3-311.1 ;
             306          (44) information contained in the Management Information System and Licensing
             307      Information System described in Title 62A, Chapter 4a, Child and Family Services;
             308          (45) information regarding National Guard operations or activities in support of the
             309      National Guard's federal mission;
             310          (46) records provided by any pawnbroker or pawnshop to a law enforcement agency in
             311      compliance with Title 13, Chapter 32a, Pawnshop Transaction Information Act; [and]
             312          (47) information regarding food security, risk, and vulnerability assessments performed
             313      by the Department of Agriculture and Food[.]; and
             314          (48) as provided in Section 26-39-109 :
             315          (a) information or records held by the Department of Health related to a complaint
             316      regarding a child care program or residential child care which the department is unable to
             317      substantiate; and
             318          (b) information or records related to a complaint received by the Department of Health
             319      from an anonymous complainant regarding a child care program or residential child care.
             320          Section 3. Coordinating S.B. 212 with S.B. 43.
             321          If this S.B. 212 passes and S.B. 43, Penalty for Providing False Information to State
             322      Agency, does not pass, it is the intent of the Legislature that the Office of Legislative Research
             323      and General Counsel shall prepare the Utah Code database for publication as follows:
             324          (1) Subsection 26-39-109 (3)(a)(i) be replaced with "(i) solicit information from the
             325      complainant to determine whether the complaint suggests actions or conditions which could
             326      pose a serious risk to the safety or well-being of a child; and";
             327          (2) Subsection 26-39-109 (3)(a)(ii)(D) be replaced with "(D) inform the complainant
             328      that the department may be limited in its use of information provided by a confidential
             329      complainant, as provided in Subsection (3)(c)(ii)(B)."; and
             330          (3) Subsection 26-39-109 (3)(a)(iii) be deleted.


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