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H.B. 197

This document includes House Floor Amendments incorporated into the bill on Thu, Feb 8, 2007 at 2:19 PM by jeyring. -->              1     

AMENDMENTS TO BACKGROUND CHECKS BY

             2     
DEPARTMENT OF HEALTH

             3     
2007 GENERAL SESSION

             4     
STATE OF UTAH

             5     
Chief Sponsor: D. Gregg Buxton

             6     
Senate Sponsor: Allen M. Christensen

             7     
             8      LONG TITLE
             9      General Description:
             10          This bill amends the Department of Health authority to conduct background checks for
             11      health care facilities, emergency medical technicians, and child care facilities.
             12      Highlighted Provisions:
             13          This bill:
             14          .    allows the Department of Health to have access to juvenile records for certification
             15      or licensing of people with direct responsibility for the safety of children, the
             16      elderly, or the disabled in health care facilities, or as an EMT, if the applicant:
             17              .    is under the age of H. [ 30 ] 28 .H ; or
             18              .    is over the age of H. [ 30 ] 28 .H if the individual has a criminal record as an adult;
             19          .    limits the department's current authority to access juvenile records for certain people
             20      associated with child care facilities to those people:
             21              .    under the age of H. [ 30 ] 28 .H ; or
             22              .    over the age of H. [ 30 ] 28 .H if the individual has a criminal record as
             22a      an adult; and
             23          .    establishes consistent rulemaking authority for the department to grant exceptions to
             24      licensing prohibitions when licensing applicants for health facilities, day care
             25      centers, and EMTs.
             26      Monies Appropriated in this Bill:
             27          None


             28      Other Special Clauses:
             29          This bill takes effect July 1, 2007.
             30      Utah Code Sections Affected:
             31      AMENDS:
             32          26-8a-310, as enacted by Chapter 141, Laws of Utah 1999
             33          26-21-9.5, as last amended by Chapter 77, Laws of Utah 2006
             34          26-39-107, as last amended by Chapter 103, Laws of Utah 2006
             35     
             36      Be it enacted by the Legislature of the state of Utah:
             37          Section 1. Section 26-8a-310 is amended to read:
             38           26-8a-310. Criminal background check.
             39          (1) At the time of application for, or renewal of, a certificate, the department shall
             40      obtain, at the applicant's expense, information from a criminal history record or warrant of
             41      arrest information maintained by the Department of Public Safety pursuant to Title 53, Chapter
             42      10, Part 2, Bureau of Criminal Identification, to determine whether the individual has been
             43      convicted of a crime that bears upon his fitness to be certified or to have responsibility for the
             44      safety and well-being of children, the elderly, or persons with disabilities.
             45          (2) (a) An applicant who has not had residency in the state for the last five years shall
             46      submit fingerprints and other identifying information.
             47          (b) The department shall submit fingerprints obtained under Subsection (2)(a) to the
             48      Department of Public Safety to be forwarded to the Federal Bureau of Investigation for a
             49      nationwide criminal history record check to determine whether the individual has been
             50      convicted of a crime that bears upon his fitness to be certified or to have responsibility for the
             51      safety and well-being of children, the elderly, or persons with disabilities.
             52          (3) The department shall have access to juvenile court records to determine whether the
             53      applicant has been adjudicated in juvenile court of committing an act which if committed by an
             54      adult would be a felony or misdemeanor and that bears upon the applicant's fitness to be
             55      certified or to have responsibility for the safety and well-being of children, the elderly, or
             56      persons with disabilities if:
             57          (a) the applicant is under the age of H. [ 30 ] 28 .H ; or
             58          (b) the applicant is over the age of H. [ 30 ] 28 .H and has been convicted, has
             58a      pleaded no contest,


             59      or is currently subject to a plea in abeyance or diversion agreement for a felony or
             60      misdemeanor.
             61          [(3)] (4) Information obtained pursuant to Subsections (1) [and (2)] through (3) may be
             62      used to:
             63          (a) withhold certification or renewal;
             64          (b) commence or substantiate disciplinary action under Section 26-8a-503 ;
             65          (c) enforce the provisions of this chapter; and
             66          (d) notify the individual's employer as necessary to protect the public.
             67          (5) The department shall adopt rules under Title 63, Chapter 46a, Utah Administrative
             68      Rulemaking Act, consistent with this chapter, defining the circumstances under which an
             69      applicant who has been convicted of a criminal offense may receive a certification under this
             70      chapter.
             71          Section 2. Section 26-21-9.5 is amended to read:
             72           26-21-9.5. Criminal background check and Licensing Information System check.
             73          (1) For purposes of this section:
             74          (a) "Covered health care facility" means:
             75          (i) home health care agencies;
             76          (ii) hospices;
             77          (iii) nursing care facilities;
             78          (iv) assisted-living facilities;
             79          (v) small health care facilities; and
             80          (vi) end stage renal disease facilities.
             81          (b) "Covered person" includes:
             82          (i) the following people who provide direct patient care:
             83          (A) employees;
             84          (B) volunteers; and
             85          (C) people under contract with the facility; and
             86          (ii) for residential settings, any individual residing in the home where the assisted
             87      living or small health care program is to be licensed who:
             88          (A) is 18 years of age or older; or
             89          (B) is a child between the age of 12 and 17 years of age, however the identifying


             90      information required for a child between the age of 12 and 17 does not include fingerprints.
             91          [(1)] (2) In addition to the licensing requirements of Sections 26-21-8 and 26-21-9 , a
             92      covered health care facility[, as defined in Subsection (10),] at the time of initial application for
             93      a license and license renewal shall:
             94          (a) submit the name and other identifying information of each covered person
             95      [associated with the] at the covered facility who:
             96          (i) provides direct care to a patient; and
             97          (ii) has been the subject of a criminal background check within the preceding
             98      three-year period by a public or private entity recognized by the department; and
             99          (b) submit the name and other identifying information, which may include fingerprints,
             100      of each covered person [associated with the] at the covered facility who[: (i) provides direct
             101      care to a patient; and (ii)] has not been the subject of a criminal background check in
             102      accordance with Subsection (1)(a)(ii).
             103          [(2)] (3) (a) The department shall forward the information received under Subsection
             104      [(1)] (2)(b) to the Criminal Investigations and Technical Services Division of the Department
             105      of Public Safety for processing to determine whether [an] the covered individual has been
             106      convicted of any crime.
             107          (b) [If] Except for individuals described in Subsection (1)(b)(ii)(B), if an individual has
             108      not had residency in Utah for the last five years, the individual shall submit fingerprints for an
             109      FBI national criminal history record check. The fingerprints shall be submitted to the FBI
             110      through the Criminal Investigations and Technical Services Division. The individual or
             111      licensee is responsible for the cost of the fingerprinting and national criminal history check.
             112          [(3)] (4) The department may determine whether:
             113          (a) an individual whose name and other identifying information has been submitted
             114      pursuant to Subsection [(1)] (2) and who provides direct care to children is listed in the
             115      Licensing Information System described in Section 62A-4a-1006 or has a substantiated finding
             116      by a court of a severe type of child abuse or neglect under Section 78-3a-320 , if identification
             117      as a possible perpetrator of child abuse or neglect is relevant to the employment activities of
             118      that individual; [or]
             119          (b) an individual whose name and other identifying information has been submitted
             120      pursuant to Subsection [(1)] (2) and who provides direct care to disabled or elder adults, or


             121      who is residing in a residential home that is a facility licensed to provide direct care to disabled
             122      or elder adults has a substantiated finding of abuse, neglect, or exploitation of a disabled or
             123      elder adult by accessing in accordance with Subsection [(4)] (5) the database created in Section
             124      62A-3-311.1 if identification as a possible perpetrator of disabled or elder adult abuse, neglect,
             125      or exploitation is relevant to the employment activities or residence of that person; or
             126          (c) an individual whose name or other identifying information has been submitted
             127      pursuant to Subsection (2) has been adjudicated in a juvenile court of committing an act which
             128      if committed by an adult would be a felony or a misdemeanor if:
             129          (i) the individual is under the age of H. [ 30 ] 28 .H years; or
             130          (ii) the individual is over the age of H. [ 30 ] 28 .H and has been convicted, has
             130a      pleaded no contest,
             131      or is currently subject to a plea in abeyance or diversion agreement for any felony or
             132      misdemeanor.
             133          [(4)] (5) (a) The department shall:
             134          (i) designate two persons within the department to access:
             135          (A) the Licensing Information System described in Section 62A-4a-1006 [and];
             136          (B) court records under Subsection 78-3a-320 (6) [and two persons to access];
             137          (C) the database described in Subsection [(3)] (4)(b); and
             138          (D) juvenile court records as permitted by Subsection (4)(c); and
             139          (ii) adopt measures to:
             140          (A) protect the security of the Licensing Information System, the court records, and the
             141      database; and
             142          (B) strictly limit access to the Licensing Information System, the court records, and the
             143      database to those designated under Subsection [(4)] (5)(a)(i).
             144          (b) Those designated under Subsection [(4)] (5)(a)(i) shall receive training from the
             145      Department of Human Services with respect to:
             146          (i) accessing the Licensing Information System, the court records, and the database;
             147          (ii) maintaining strict security; and
             148          (iii) the criminal provisions in Section 62A-4a-412 for the improper release of
             149      information.
             150          (c) Those designated under Subsection [(4)] (5)(a)(i):
             151          (i) are the only ones in the department with the authority to access the Licensing


             152      Information System, the court records, and database; and
             153          (ii) may only access the Licensing Information System, the court records, and the
             154      database for the purpose of licensing and in accordance with the provisions of Subsection [(3)]
             155      (4).
             156          [(5)] (6) Within ten days of initially hiring [an] a covered individual, a covered health
             157      care facility shall submit the covered individual's information to the department in accordance
             158      with Subsection [(1)] (2).
             159          [(6)] (7) The department shall adopt rules under Title 63, Chapter 46a, Utah
             160      Administrative Rulemaking Act, consistent with this chapter, defining the circumstances under
             161      which a person who has been convicted of a criminal offense, or a person described in
             162      Subsection [(3)] (4), may provide direct care to a patient in a covered health care facility,
             163      taking into account the nature of the criminal conviction or substantiated finding and its
             164      relation to patient care.
             165          [(7)] (8) The department may, in accordance with Section 26-1-6 , assess reasonable
             166      fees for a criminal background check processed pursuant to this section.
             167          [(8)] (9) The department may inform the covered health care facility of information
             168      discovered under Subsection [(3)] (4) with respect to [an] a covered individual [associated with
             169      the facility].
             170          [(9)] (10) A covered health care facility is not civilly liable for submitting information
             171      to the department as required by [Subsection (1)] this section.
             172          [(10) For purposes of this section, "covered health care facility" only includes:]
             173          [(a) home health care agencies;]
             174          [(b) hospices;]
             175          [(c) nursing care facilities;]
             176          [(d) assisted-living facilities;]
             177          [(e) small health care facilities; and]
             178          [(f) end stage renal disease facilities.]
             179          Section 3. Section 26-39-107 is amended to read:
             180           26-39-107. Disqualified individuals -- Criminal history checks -- Payment of
             181      costs.
             182          (1) (a) Each person requesting a residential certificate or to be licensed or to renew a


             183      license under this chapter shall submit to the department the name and other identifying
             184      information, which shall include fingerprints, of existing, new, and proposed:
             185          (i) owners;
             186          (ii) directors;
             187          (iii) members of the governing body;
             188          (iv) employees;
             189          (v) providers of care;
             190          (vi) volunteers, except parents of children enrolled in the programs; and
             191          (vii) all adults residing in a residence where child care is provided.
             192          (b) A person seeking renewal of a residential certificate or license under this section is
             193      not required to submit fingerprints of an individual referred to in Subsections (1)(a)(i) through
             194      (vi), if:
             195          (i) the individual has resided in Utah for the last five years;
             196          (ii) the individual has:
             197          (A) previously submitted fingerprints under this section for a national criminal history
             198      record check; and
             199          (B) resided in Utah continuously since that time; or
             200          (iii) as of May 3, 1999, the individual had one of the relationships under Subsection
             201      (1)(a) with a child care provider having a residential certificate or licensed under this section
             202      and the individual has resided in Utah continuously since that time.
             203          (c) (i) The Utah Division of Criminal Investigation and Technical Services within the
             204      Department of Public Safety shall process the information required under Subsection (1)(a) to
             205      determine whether the individual has been convicted of any crime.
             206          (ii) The Utah Division of Criminal Investigation and Technical Services shall submit
             207      fingerprints required under Subsection (1)(a) to the FBI for a national criminal history record
             208      check.
             209          (iii) The applicant for the license or residential certificate shall pay the cost of
             210      conducting a record check under this Subsection (1)(c).
             211          (2) (a) Each person requesting a residential certificate or to be licensed or to renew a
             212      license under this chapter shall submit to the department the name and other identifying
             213      information of any child age 12 through 17 who resides in the residence where the child care is


             214      provided. The identifying information required for a child age 12 through 17 does not include
             215      fingerprints.
             216          (b) The department shall access the juvenile court records to determine whether [the
             217      juvenile] a person described in Subsection (1) or (2)(a) has been adjudicated in juvenile court
             218      of committing an act which if committed by an adult would be a felony or misdemeanor[.] if:
             219          (i) the person described in Subsection (1) is under the age of H. [ 30 ] 28 .H ; or
             220          (ii) the person described in Subsection (1) is:
             221          (A) over the age of H. [ 30 ] 28 .H ; and
             222          (B) has been convicted, has pleaded no contest, or is currently subject to a plea in
             223      abeyance or diversion agreement for a felony or misdemeanor.
             224          (3) Except as provided in Subsection (4), a licensee under this chapter may not permit a
             225      person who has been convicted, has pleaded no contest, or is currently subject to a plea in
             226      abeyance or diversion agreement for any felony or misdemeanor, or if the provisions of
             227      Subsection (2)(b) apply,who has been adjudicated in juvenile court of committing an act which
             228      if committed by an adult would be a felony or a misdemeanor, to:
             229          (a) provide child care;
             230          (b) provide volunteer services for a licensed child care program or a child care program
             231      operating under a residential child care certificate;
             232          (c) reside at the premises where child care is provided; or
             233          (d) function as an owner, director, or member of the governing body of a licensed child
             234      care program or a child care program operating under a residential child care certificate.
             235          (4) (a) The department may, by rule, exempt the following from the restrictions of
             236      Subsection (3):
             237          (i) specific misdemeanors; and
             238          (ii) specific acts adjudicated in juvenile court, which if committed by an adult would be
             239      misdemeanors.
             240          (b) In accordance with criteria established by rule, the executive director may consider
             241      and exempt individual cases involving misdemeanors, not otherwise exempt under Subsection
             242      (4)(a) from the restrictions of Subsection (3).
             243          Section 4. Effective date.
             244          This bill takes effect July 1, 2007.






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