No. 28521 (New Rule): R280-204. Utah State Office of Rehabilitation Employee Background Check Requirement

DAR File No.: 28521
Filed: 02/15/2006, 04:21
Received by: NL

 

RULE ANALYSIS

Purpose of the rule or reason for the change:

This rule is established to provide procedures under which criminal background checks may be required of designated Utah State Office of Rehabilitation (USOR) employees and volunteers.

 

Summary of the rule or change:

The rule provides definitions and procedures for: designation of employees and volunteers requiring criminal background checks, USOR review of criminal background check information, criminal background check costs and fees, and provides for miscellaneous provisions.

 

State statutory or constitutional authorization for this rule:

Subsection 53A-1-401(3)

 

Anticipated cost or savings to:

the state budget:

The USOR will pay for approximately 100 designated USOR employees hired between February 28, 2003, and March 1, 2006, at a cost of $49 per person for a total of $4,900. The USOR will pay for background checks of new hires and volunteers as designated after March 1, 2006. The USOR anticipates that there will be approximately 50 designated new hires or volunteers per year for an anticipated cost of $49.00 per individual for a total of $2,450 per year.

 

local governments:

There are no anticipated cost or savings to local government units of USOR. The USOR will pay all required background check fees.

 

other persons:

There are no anticipated cost or savings to other persons. USOR will pay for all required background checks.

 

Compliance costs for affected persons:

There are no compliance costs for affected persons. USOR will pay for all required background checks.

 

Comments by the department head on the fiscal impact the rule may have on businesses:

I have reviewed this rule and I see no fiscal impact on businesses. Patti Harrington, State Superintendent of Public Instruction

 

The full text of this rule may be inspected, during regular business hours, at the Division of Administrative Rules, or at:

Education
Rehabilitation
250 E 500 S
SALT LAKE CITY UT 84111-3272

 

Direct questions regarding this rule to:

Carol Lear at the above address, by phone at 801-538-7835, by FAX at 801-538-7768, or by Internet E-mail at [e-mail]

 

Interested persons may present their views on this rule by submitting written comments to the address above no later than 5:00 p.m. on:

03/31/2006

 

This rule may become effective on:

04/01/2006

 

Authorized by:

Carol Lear, Director, School Law and Legislation

 

 

RULE TEXT

R280. Education, Rehabilitation.

R280-204. Utah State Office of Rehabilitation Employee Background Check Requirement.

R280-204-1. Definitions.

A. "BCI" means the Utah Bureau of Criminal Identification.

B. "Board" means the Utah State Board of Education.

C. "Criminal background check" means the submission by an employee of fingerprints through a law enforcement unit, through the Utah State Office of Education paper/card fingerprinting process or by means of an electronic fingerprinting scanning machine, review by the BCI for comparison with recorded arrests and convictions and discussion or explanation of resulting criminal arrest or conviction information as determined by this rule and USOR procedures.

D. "Significant unsupervised access" means a period of time that an employee, volunteer or intern covered by this rule may spend with a Rehabilitation client during which the employee or volunteer is alone with the client for more than a brief time, provides services for clients protected under this rule on a regular basis by assignment, or who generally works with clients protected under this rule.

E. "USOE" means the Utah State Office of Education.

F. "USOR" means the Utah State Office of Rehabilitation.

G. "USOR employee" means employees, including consultants, temporary employees, interns and traditional employees of the USOR or agencies or subdivisions of the USOR.

 

R280-204-2. Authority and Purpose.

A. This rule is authorized by 53A-24-103 which places the USOR under the policy direction of the Board. The Board is authorized under 53A-1-401(3) to adopt rules and policies in accordance with its responsibilities.

B. The purpose of this rule is to establish definitions and procedures under which criminal background checks may be required of designated USOR employees and volunteers and under which employees, prospective employees and volunteers may receive notice of required background check requirements and review.

 

R280-204-3. Criminal Background Check Requirement for Designated USOR Employees.

A. Background checks shall be completed for all USOR employees hired, transferred, or assigned to the USOR after February 28, 2003 who have significant unsupervised access to clients.

B. Background checks shall be completed on all designated USOR employees by July 1, 2007.

C. Background checks shall be completed on designated USOR employees hired before March 2, 2006.

D. The USOR Executive Director shall review supervisor recommendations of USOR employee positions identified for background checks under R280-204-3B and C and designate employee and volunteer positions for which background checks are necessary. Designated employees and volunteers shall receive adequate notice of the required background check from their supervisors.

E. All USOR volunteers may be required, following reasonable notice, to complete a criminal background check.

 

R280-204-4. Criminal Background Check Requirement for USOR Employees Hired After March 1, 2006.

A. Employees hired for USOR positions after March 1, 2006 in positions designated by the USOR Executive Director shall be required to complete a criminal background check and review prior to final and official hiring by the USOR.

B. Background checks shall be required for prospective transfers from outside USOR after March 1, 2006 for designated positions.

C. Background checks may be required at the discretion of the USOR Executive Director for USOR employees reassigned or promoted to designated positions.

D. New employees, transfer employees from other state government positions and volunteers may provide information from background checks that were completed by the BCI or by the applicant at live scan sites no more than 12 months prior to the date of employment by USOR instead of completing a new background check.

E. Prospective transferees or employees shall receive notice of the background check requirement in the job/employment notice.

 

R280-204-5. USOR Procedures for Review of Criminal Background Check Information.

A. Background checks of designated USOR employees hired between February 28, 2003 and March 1, 2006 shall take place using one of the following methods as directed by the USOR:

(1) using fingerprint cards submitted to the BCI; or

(2) using the live scan process at any Utah live scan location.

B. All background checks that identify arrests or convictions shall be reviewed by USOR staff.

C. USOR staff shall notify the background check applicant in a timely manner that arrest(s), conviction(s), or both, were reported as a result of the background check.

D. Designated USOR staff shall review arrests, convictions, or both, and determine if the arrests or convictions pose risks to USOR clients.

E. USOR current and prospective employees whose background checks reveal arrests or convictions shall have an opportunity to provide an explanation or additional information to USOR staff.

F. The review of criminal background check information may result in a prospective USOR employee not being hired, in disciplinary action for current USOR employees, or termination of a volunteer's participation with the USOR.

G. Current employees shall have adequate due process consistent with USOR policies prior to discipline resulting from background check review.

 

R280-204-6. Criminal Background Check Costs and Fees.

A. All costs and fees associated with criminal background checks of USOR employees hired before March 2, 2006 shall be borne by the USOR.

B. All costs and fees associated with criminal background checks of USOR employees hired after March 1, 2006 shall be the responsibility of the employee or prospective employee. The USOR may contribute to criminal background check costs and expenses as funds are available and at the discretion of the USOR.

C. The responsibility for costs and fees of employees transferred within USOR or from other government agencies shall be determined on a case-by-case basis.

D. The responsibility for costs and fees of USOR volunteers shall be determined on a case-by-case basis.

E. A criminal background check fee schedule shall be available to prospective USOR employees from the USOR. Costs may include a fee for review of fingerprint cards to the BCI, a fee for use of live scan equipment or a fee for review of fingerprint results by the USOR.

 

R280-204-7. Miscellaneous Provisions.

A. Confidentiality:

(1) All criminal background information received by the USOR shall be secured by the designated USOE section.

(2) All criminal background check records maintained by USOR and USOE are protected under Section 63-2-304 with the exception of public employee information under Section 63-2-201.

B. The USOR or USOE has no liability for any errors or misinformation received from the BCI as a result of a criminal fingerprint background check. Correction of any misinformation is the responsibility of the fingerprint background check applicant.

 

KEY: criminal background checks

Date of Enactment or Last Substantive Amendment: 2006

Authorizing, and Implemented or Interpreted Law: 53A-24-103; 53A-1-401(3)