No. 43144 (New Rule): Rule R380-300. Employee Background Screening

(New Rule)

DAR File No.: 43144
Filed: 08/10/2018 09:20:21 AM

RULE ANALYSIS

Purpose of the rule or reason for the change:

The purpose of this new rule is to outline the process for the background screening of Department of Health (Department) employees.

Summary of the rule or change:

This new rule will outline the process for the background screening of Department employees as per S.B. 143 from the 2018 General Session.

Statutory or constitutional authorization for this rule:

• Section 26-1-17.1

Anticipated cost or savings to:

the state budget:

After conducting a thorough analysis, it was determined that this proposed rule will result in a fiscal impact to the state budget. It is estimated that it will take 3 years to work through the 1,200 current employees, 400 per year, and there are about 250 new employees per year. At a cost of $67 per person, the total cost per year will be roughly $43,500 per year. After the current employees are cleared, then the cost will drop as only the new hires will need to be processed each year.

local governments:

After conducting a thorough analysis, it was determined that this proposed rule will not result in a fiscal impact to local governments because this new rule only applies to the state Department of Health not local department of health entities.

small businesses:

After conducting a thorough analysis, it was determined that this proposed rule will not result in a fiscal impact to the small businesses because this new rule only applies to the state Department of Health not small businesses.

persons other than small businesses, businesses, or local governmental entities:

After conducting a thorough analysis, it was determined that this proposed rule will not result in a fiscal impact to businesses, individuals, local governments, and persons that are not small businesses because this new rule only applies to the state Department of Health not businesses, individuals, local governments, and persons that are not small businesses.

Compliance costs for affected persons:

After conducting a thorough analysis, it was determined that this proposed rule will not result in a fiscal impact to affected persons because this new rule only applies to the state Department of Health not persons.

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

In accordance with S.B. 143 (2018), this rule establishes the Department process for background screenings for current and potential employees. The Department will pay for the cost of the screenings will result in an annual cost of $67 per employee totaling approximately $43,500 per year to the Department. After conducting a thorough analysis, it was determined that this proposed rule will not result in a fiscal impact to businesses.

Joseph K. Miner, MD, Executive Director

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

Health
Administration
CANNON HEALTH BLDG
288 N 1460 W
SALT LAKE CITY, UT 84116-3231

Direct questions regarding this rule to:

• Carmen Richins at the above address, by phone at 801-273-2802, by FAX at 801-274-0658, 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:

10/01/2018

This rule may become effective on:

10/08/2018

Authorized by:

Joseph Miner, Executive Director

RULE TEXT

Appendix 1: Regulatory Impact Summary Table*

Fiscal Costs

FY 2019

FY 2020

FY 2021

State Government

$43,500

$43,500

$43,500

Local Government

$0

$0

$0

Small Businesses

$0

$0

$0

Non-Small Businesses

$0

$0

$0

Other Person

$0

$0

$0

Total Fiscal Costs:

$43,500

$43,500

$43,500

Fiscal Benefits

State Government

$0

$0

$0

Local Government

$0

$0

$0

Small Businesses

$0

$0

$0

Non-Small Businesses

$0

$0

$0

Other Persons

$0

$0

$0

Total Fiscal Benefits:

$0

$0

$0

Net Fiscal Benefits:

-$43,500

-$43,500

-$43,500

 

*This table only includes fiscal impacts that could be measured. If there are inestimable fiscal impacts, they will not be included in this table. Inestimable impacts for State Government, Local Government, Small Businesses and Other Persons are described above. Inestimable impacts for Non-Small Businesses are described below.

 

Appendix 2: Regulatory Impact to Non-Small Businesses

After conducting a thorough analysis, it was determined that this proposed rule will not result in a fiscal impact to businesses, individuals, local governments, and persons that are not small businesses because this amendment applies only to the state Department of Health not businesses, individuals, local governments, and persons that are not small businesses.

 

Department of Health Executive Director Joseph K. Miner, MD has reviewed and approved this fiscal analysis.

 

 

R380. Health, Administration.

R380-300. Employee Background Screening.

R380-300-1. Authority.

This rule is adopted pursuant to Title 26 Chapter 1 Section 17.1.

 

R380-300-2. Purpose.

(1) The purpose of this rule is to set forth the standards for the Department employee and volunteer background screening in accordance with Section 26-1-17.1.

 

R380-300-3. Definitions.

Terms used in this rule are defined in Title 26, Chapter 1. In addition:

(1) "Current Employee" means all staff, contracted employees, and volunteers who:

(a) have access to protected health information or personal identifying information;

(b) have direct contact with patients, children, or vulnerable adults as defined in Section 62A-2-120;

(c) work in areas of privacy and data security;

(d) handle financial information, including receipt of funds, reviewing invoices, making payments, and other types of financial information; or

(e) perform audit functions, whether internal or external, on behalf of the department.

(2) "Employee" means a current employee of the Department

(3) "New Employee" means job applicants who have been offered a position or reassignment with the department who:

(a) have access to protected health information or personal identifying information;

(b) have direct contact with patients, children, or vulnerable adults as defined in Section 62A-2-120;

(c) work in areas of privacy and data security;

(d) handle financial information, including receipt of funds, reviewing invoices, making payments, and other types of financial information; or

(e) perform audit functions, whether internal or external, on behalf of the department.

(4) "Office of Background Processing" means the background processing section within the department.

 

R380-300-4. Background Screening Process - Current Employee.

(1) The Department may conduct a background screening on current employees based on division's background screening guidelines determined by risk associated with the employees' work responsibilities.

(2) Current employees who require screening must:

(a) sign a criminal background screening authorization form;

(b) provide personal demographics required; and

(c) submit live scan fingerprints.

(3) Current employees may continue to work during the department's implementation of the background screening process.

(4) If the Office of Background Processing determines that a current employee is not eligible for continued employment, based on criminal record information obtained through the initial or ongoing background screening process, the Office of Background Processing shall send a notice of action to the employee and the employee's division director which shall include the action, the reconsideration process, and a statement that the information is confidential.

(5) The department may allow a current employee to continue to work with conditions, during the reconsideration process as defined in each division's background screening guidelines if the employee can demonstrate the work arrangement does not pose a threat to the department and the safety and health of Utah citizens.

(6) The department is responsible for the payment of all fees required and any fees required to be submitted to the Federal Bureau of Investigation by the bureau.

 

R380-300-5. Background Screening Process - New Employees.

(1) Background screening is part of the department's hiring process and any offer of employment is conditional upon the results of the background screening.

(2) An employee who is reassigned to the department will be informed in writing that their offer of employment with the department is conditional upon on the results of the background screening.

(3) The Office of Background Processing shall determine if the new employee is eligible for employment prior to the new employee:

(a) having access to protected health information or personal identifying information;

(b) having direct contact with patients, children, or vulnerable adults as defined in Section 62A-2-120;

(c) working in areas of privacy and data security;

(d) handling financial information, including receipt of funds, reviewing invoices, making payments, and other types of financial information; or

(e) performing audit functions, whether internal or external, on behalf of the department.

(4) All new employees who have been offered employment with the department shall:

(a) sign a criminal background screening authorization form;

(b) provide personal demographics; and

(c) submit live scan fingerprints.

(5) If the Office of Background Processing determines that a new employee is not eligible for employment, based on information obtained through the background screening process, the Office of Background Processing shall send a notice of action to the employee, Human Resources and the employee's division director which shall include the action and a statement that the information is confidential.

(6) The department is responsible for the payment of all fees required and any fees required to be submitted to the Federal Bureau of Investigation by the bureau.

 

R380-300-6. Sources for Background Review.

(1) In accordance with Section 26-1-17.1, the department may review relevant information obtained from the following sources:

(a) Department of Public Safety arrest, conviction, and disposition records described in Title 53, Chapter 10, Criminal Investigations and Technical Services Act, including information in state, regional, and national records files; and

(b) federal criminal background databases available to the state.

(2) The department shall classify a crime committed in another state according to the closest matching crime under Utah law, regardless of how the crime is classified in the state where the crime was committed.

(3) If the Office of Background Processing determines an employee is not eligible for continued employment based upon the criminal background screening and the employee disagrees with the information provided by the Criminal Investigations and Technical Services Division or court record, the employee may challenge the information obtained from the background screening process through the appropriate agency.

(4) Ongoing monitoring of records referred to in 6(1) will immediately be discontinued upon separation of employment.

 

R380-300-7. Current Employee Exclusions.

(1) Convictions or Pending Charges.

(a) If an employee has been convicted, has pleaded no contest, or is subject to a plea in abeyance or diversion agreement, for deniable offenses outlined within each division's background screening guidelines, the employee may be terminated.

(b) If an employee has a warrant for arrest or an arrest for any of the identified deniable offenses, the department may terminate employment based on:

(i) the type of offense;

(ii) the severity of offense; and

(iii) potential risk to the department.

(2) Review of Relevant Information.

(a) Results of background screening, may be reviewed to determine under what circumstance, if any, the current employee may continue to be employed. The following factors may be considered:

(i) types and number;

(ii) passage of time;

(iii) surrounding circumstances;

(vi) intervening circumstances; and

(v) steps taken to correct or improve.

(3) The Office of Background Processing may deny clearance based on the relevant information identified in subsection 6(1).

 

KEY: employees, background screenings

Date of Enactment or Last Substantive Amendment: 2018

Authorizing, and Implemented or Interpreted Law: 26-1-17.1

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