Utah Office of Administrative Rules

NOTICE OF SUBSTANTIVE CHANGE

TYPE OF FILING: Amendment

Filing ID: 58112

Rule or section number:

R501-14

1. Agency Information

Title catchline:

Health and Human Services, Human Services Program Licensing

Building:

Multi-Agency State Office Building

Street address:

195 N 1950 W

City, state:

Salt Lake City, UT

Mailing address:

PO Box 142003

City, state and zip:

Salt Lake City, UT 84114-2003

2. Contact Persons

Name:

Phone:

Email:

Kamille Sheikh

385-227-1290

kamillesheikh@utah.gov

Mariah Noble

385-214-1150

mariahnoble@utah.gov

Jada Stelmach

801-230-4296

jstelmach3@utah.gov

Please address questions regarding information on this notice to the persons listed above.

3. General Information

A. Rule or section catchline:

R501-14. Human Services Program Background Checks

B. Purpose of the new rule or reason for the change:

The purpose of this filing is to update statutory citations in this rule overseen by the Office of Licensing (OL), within the Department of Health and Human Services (department), to comply with SB 119 from the 2025 General Session.

Additionally, upon internal review, OL determined that additional changes to this rule are appropriate to provide clarity to readers.

C. Summary of the new rule or change:

This amendment updates statutory citations throughout this rule to reflect renumbering of statute from SB 119 in the 2025 General Session. It updates references from Section 78B-6-128 to 81-13-403 and Section 78B-6-131 to 81-13-203.

This amendment also adds the definition "FBI Rap Back System" to the definitions section and updates the definitions for the terms "Direct Access Clearance System" and "determination."

This amendment also updates language throughout this rule to differentiate between references to the "FBI Rap Back System" and "rap back system" to improve clarity and understanding of this rule for any human services program provider and the public.

This amendment further clarifies the comprehensive review process and the reapplication timeline.

Additionally, this amendment makes style and formatting changes to align with the Rulewriting Manual for Utah and other rules under the department.

4. Legislative Action Information

A. Are any changes in this filing

because of state legislative action?

Changes are because of legislative action.

B. If yes, any bill number and

session:

SB 119 (2025 General Session)

5. Fiscal Information

Provide an estimate and written explanation of the aggregate anticipated cost or savings to:

A. State budget:

This amendment is not anticipated to result in a cost or savings to the state budget as human services providers are already regulated by the OL and this amendment does not alter that process. This amendment updates statutory references, adds and updates terms for provider clarity, and makes nonsubstantive style and formatting changes.

Any costs associated with the implementation of SB 119, passed in the 2025 General Session, have been captured in that bill's fiscal note, which can be viewed at https://pf.utleg.gov/public-web/sessions/2025GS/fiscal-notes/SB0119S01.fn.pdf.

B. Local governments:

This amendment is not anticipated to result in a fiscal impact on local governments' revenues or expenditures because human services providers are regulated by OL for health and safety standards and not by local governments.

There will be no change in local business licensing or any other item with which local government is involved.

The department also does not anticipate any fiscal impact on local governments as a result of the style and formatting changes, updated statutory references, additional clarifying language changes, or updates to terms used for provider clarity included in this amendment.

C. Small businesses ("small business" means a business employing 1-49 persons):

This amendment is not anticipated to result in a cost or savings for small businesses. Human services providers are already regulated by OL and this amendment does not alter that process.

This amendment is not anticipated to add to, modify, or remove any existing requirement or restriction for human service providers.

The department also does not anticipate any fiscal impact on small businesses as a result of the style and formatting changes, updated statutory references, additional clarifying language changes, or updates to terms for provider clarity included in this amendment.

D. Non-small businesses ("non-small business" means a business employing 50 or more persons):

This amendment is not anticipated to result in a cost or savings for non-small businesses. Human services providers are already regulated by OL and this amendment does not alter that process.

This amendment is not anticipated to add to, modify, or remove any existing requirement or restriction for human service providers.

The department also does not anticipate any fiscal impact on non-small businesses as a result of the style and formatting changes, updated statutory references, additional clarifying language changes, and addition of terms for provider clarity included in this amendment.

E. Persons other than small businesses, non-small businesses, state, or local government entities ("person" means any individual, partnership, corporation, association, governmental entity, or public or private organization of any character other than an agency):

This amendment is not anticipated to result in a cost or saving for persons other than small businesses, non-small businesses, state, or local governments entities.

This amendment is not anticipated to add to, modify, or remove any existing requirement or restriction for human service providers.

The department also does not anticipate any fiscal impact on persons other than small businesses, non-small businesses, state, or local government entities as a result of the style and formatting changes, updated statutory references, additional clarifying language changes, and addition of terms for provider clarity included in this amendment.

F. Compliance costs for affected persons:

Affected persons for this amendment would include OL, as the regulatory body for health and safety standards for human services providers, and human services providers regulated by OL, which are small businesses, non-small businesses, and other persons, including nonprofit entities.

There are no anticipated compliance costs for these affected persons because this amendment does not add to, modify, or remove any existing requirements or restrictions for these entities and this amendment does not alter the existing process for regulation.

The department also does not anticipate any compliance cost for affected persons as a result of the style and formatting changes, updated statutory references, additional clarifying language changes, and addition of terms for provider clarity included in this amendment.

Any costs associated with the implementation of SB 119 (2025) have been captured in that bill's fiscal note, which can be viewed at https://pf.utleg.gov/public-web/sessions/2025GS/fiscal-notes/SB0119S01.fn.pdf.

6. Regulatory Impact Summary Table

Enter the cost or savings in the relevant cell. If there is no cost or savings, enter, "$0." If a cost or savings is inestimable, enter, "inestimable."

Fiscal Cost

FY2027

FY2028

FY2029

FY2030

FY2031

State Budget

Local Governments

Small Businesses

Non-Small Businesses

Other Persons

Total Fiscal Cost

Fiscal Benefits

FY2027

FY2028

FY2029

FY2030

FY2031

State Budget

Local Governments

Small Businesses

Non-Small Businesses

Other Persons

Total Fiscal Benefits

Net Fiscal Benefits

7. Regulatory Impact Analysis Approval

The Commissioner of the Department of Health and Human Services, Tracy S. Gruber, has reviewed and approved this regulatory impact analysis.

8. Family Impact Information

A. The agency has considered this rule's impact on family health, stability, and formation:

☒

9. Citation Information

Provide citations to the statutory authority for the rule. If there is also a federal requirement for the rule, provide a citation to that requirement:

Section 26B-2-120

Section 26B-2-121

Section 26B-2-122

11. Public Notice Information

The public may submit written or oral comments to the agency identified in box 1.

A. Comments will be accepted until:

08/31/2026

12. Effective Date Information

This rule change MAY become effective on:

(NOTE: This is the date the agency anticipates making the filing effective. It is NOT the effective date)

09/08/2026

13. Agency Authorization Information

Agency head or

designee and title:

Tracy S. Gruber, Commissioner

Date:

07/10/2026

R501. Health and Human Services, Human Services Program Licensing.

R501-14. Human Services Program Background Checks.

R501-14-1. Authority and Purpose.

(1) Sections 26B-2-120 through 26B-2-122 authorize this rule.

(2) This rule clarifies the standards for approving, denying, or revoking an applicant's background check.

R501-14-2. Definitions.

Terms used in this rule are defined in Sections 26B-2-101 and Rule R380-600. Additionally:

[(1) "Abuse" means the same as defined in Sections 26B-6-201 and 80-1-102 and may include severe abuse, severe neglect, and sexual

abuse.

]([2]1) "Applicant" means the same as defined in Section 26B-2-120 and includes anyone associated with a licensee, as defined in Section

26B-2-101, and any person whose identifying information is submitted to the Office of Background Processing (OBP) under Section[s] 26B-2-120,

26B-6-107, 26B-6-410, [78B-6-128]81-13-203, [and]or [78B-6-131]81-13-403.

(2) "Application" means the same as defined in Section 26B-2-120.

(3) "BCI" means the Bureau of Criminal Identification and is the designated state agency of the [Division of ]Criminal Investigations and

Technical Services Division, within the Department of Public Safety, [that is ]responsible for maintaining criminal records.

[(4) "Child" means the same as defined in Section 26B-2-101.

(5) "Child placing" means the same as defined in Section 26B-2-101.

]([6]4) "Clearance" means the determination level OBP is statutorily required to make, based on the provider the applicant is associated

with in DACS.

([7]5) "Comprehensive review" means the same as [outlined]described in Subsection 26B-2-120(7)(a).

[(8) "Congregate care program" means the same as defined in Section 26B-2-101 and may be referred to as a youth residential program in

rules under Title R501.

]([9]6) "Criminal finding" means the same as defined in Section 26B-2-120.

([10]7) "DAAS statewide database" means the Division of Aging and Adult Services database created by Section 26B-6-210 to maintain

reports of vulnerable adult abuse, neglect, or exploitation.

([11]8) "DACS" or "Direct Access Clearance System" means the online system used by the Division of Licensing and Background Checks

(DLBC) for processing and [maintaining]monitoring background checks [information and determinations]for any applicant with direct access to a

client in a human services program.

([12]9)(a) "Determination" means the listing of results of the OBP['s statutorily-guided] review of criminal and non-criminal findings in

DACS.

(b) OBP may determine an applicant is:

(i) eligible for conditional hire or conditional approval under conditions [outlined]described in Subsection R501-14-7(2);

(ii) eligible for hire or approval and may work unsupervised;

(iii) not eligible for hire and may not work; or

(iv) [supervised only]eligible for hire to work under direct supervision of another employee with an eligible department clearance while in

the presence of a client or client record.

[(13) "Direct access" means the same as defined in Section 26B-2-101.

(14) "Direct service worker" means the same as defined in Section 26B-6-401.

(15) "Directly supervised" means the same as defined in Section 26B-2-101.](10) "FBI Rap Back System" means the same as defined in

Section 53-10-108.

([16]11) "Fingerprints" means an applicant's fingerprints as copied electronically through a fingerprint scanning device or on two ten-print

fingerprint cards by a law enforcement agency, an agency approved by the BCI, or a provider representative.

[(17) "Foster home" means the same as defined in Section 26B-2-101.

(18) "Harm" means the same as defined in Subsection R380-600-2(17).

(19) "Human Services Program" means the same as defined in Section 26B-2-101.

(20) "Licensee" means the same as defined in Section 26B-2-101.

]([21]12) "Licensing Information System" or "LIS" means the system created by and described in Section 80-2-1002[, as a sub-part of the

Division of Child and Family Services' Management Information System (MIS) created by Section 80-2-1001].

(13) "Management Information System" or "MIS" means the system created by Section 80-2-1001.

[(22) "Neglect" means the same as defined in Sections 26B-6-201 and 80-1-102.

]([23]14) "Non-criminal finding" means the same as defined in Section 26B-2-120.

[(24) "OBP" means the Office of Background Processing within the DLBC.

]([25]15) "Personal identifying information" means the same as defined in Section 26B-2-120 and includes a government-issued photo

identification or government-issued document identifying requested information.

[(26) "Program" means a human services program as defined in Section 26B-2-101.

(27) "Provider" means the same as defined in Section R380-600-2.

]([28]16)[(a)] "Provider representative" means:

(a) [the]an individual[ or individuals] responsible, on the program's behalf, to:

(i) ensure information remains current in DACS for each applicant and program;

(ii) enter applications for each applicant;

(iii) initiate, maintain, and monitor background communications with OBP;

(iv) protect personal identifying information; and

(v) verify employment[.]; or

(b) ["Provider representative" also means ]a background screening agent under Title R501.

([29]17) "Rap back system" means the same as defined in Section 53-10-108.

([30]18)(a) "Reside" means retaining a residence for six or more consecutive months.

(b) Reside does not mean religious, educational, or military service as long as the primary state of residence is maintained.

([31]19) "Supported" means the same as defined in Sections 26B-6-201 and 80-1-102.

[(32) "Vulnerable adult" means the same as defined in Section 26B-2-101.

]

R501-14-3. Initial Background Check Procedure.

(1) A provider representative shall ensure that an applicant for an initial background check completes the required application fields and disclosure statements to authorize OBP's continual monitoring of the applicant's fingerprints and applicable state registries.

(2) An applicant shall disclose any criminal findings, including pending charges, and any non-criminal findings during the background check application process.

(3)(a) An applicant may provide a disclosure statement[s] and related documents as direct attachments to the application to be uploaded

into DACS by a provider representative or directly emailed to OBP.

(b) If an applicant submits a sealed envelope, the provider representative shall forward [it]the sealed envelope unopened to OBP.

(4) OBP will conduct the background check for the highest level clearance, including any out-of-state child abuse and neglect registry

check[s], for any of the following applicants who have [lived]resided out-of-state within the past five years:

(a) a prospective foster parent or prospective adoptive parent;

(b) an adult in the home of a prospective foster parent or prospective adoptive parent; and

(5)(a) An applicant applying to work in a congregate care program who has resided outside of Utah within the five years immediately before the date of the background check application shall provide a child abuse and neglect registry record for [each]every state in which the

applicant has resided within those five years.

(b) Instructions for obtaining out-of-state child abuse and neglect registry records from each state are found on the DLBC website.

(c) Out-of-state child abuse and neglect registry records are not required a second time for a background check transfer or renewal as long as a record from every state the applicant has resided in [over]within the past five years has been previously submitted and reviewed by OBP.

(d) Any applicant for prospective foster or adoptive care is not required to submit the applicant's own out-of-state child abuse and neglect registry records, as [they]those records are included in the background check conducted by OBP.

(e) A congregate care program provider who is not department-contracted shall supervise any applicant experiencing a delay[s] in

receiving a requested out-of-state registry record while the record is pending, unless:

(i) the applicant has initiated the out-of-state record search and the search is actively in progress; and

(ii) OBP otherwise approves the applicant's background check with no comprehensive review required.

(f) OBP may not issue a renewal clearance if the applicant has not provided OBP with the [original ]out-of-state registry results [have not

been provided to OBP ]within the 12-month initial clearance time frame.

(g) The allowance [outlined]described in Subsection (5)([d]e) does not apply to a department-contracted congregate care program

provider.

(h)(i) OBP shall deny or revoke a background check if any out-of-state registry record contains information that constitutes background check denial under this rule.

(ii) The provider representative shall end the employee's direct access to clients and client records immediately upon an ineligible determination notification from OBP.

(6) [A]Each prospective foster parent, prospective adoptive parent, or an adult living in the home of a prospective foster parent or

prospective adoptive parent shall identify [any]every state [they have]that person has resided in [over]within the past five years for OBP to conduct

the out-of-state registry search for the clearance of that person[the prospective foster parent or prospective adoptive parent and any adult living in the

home].

(7)(a) The provider representative shall require an applicant to present valid government-issued photo identification to verify the application.

(b) The provider representative shall inspect each applicant's government-issued photo identification card [and]to determine that the

identification does not appear to have been forged or altered.

(c) The provider representative shall submit the background check application, personal identifying information, signed consent disclosure statement, and applicable fee into DACS.

(d) The provider representative may withdraw a background check application at any time during the process.

R501-14-4. Renewal Background Check Procedure.

(1) A renewal application is not required if the applicant has an application entered into DACS under the program where the applicant works, a signed disclosure statement form uploaded, and initial fingerprints that are enrolled in the rap back system.

(2) OBP shall continuously monitor criminal records and annually monitor applicable state registries.

(3)(a) The provider representative shall keep the program's roster and employee information current in DACS.

(b) The provider representative shall check the roster at least monthly to verify employee information and the employment of any

employee[s] due for a renewal review.

(c) When an employee no longer works for the program, the provider representative shall separate that employee from the program's roster in DACS within five days of the employee's separation from the program.

(4) An applicant who is no longer affiliated with any licensed or certified program has 180 days to become re-employed before OBP reports to the Department of Public Safety to cancel the applicant's FBI [r]Rap [b]Back System subscription.

R501-14-5. General Background Check Procedure.

(1)(a) OBP may not process an application without the required applicable fee, applicant information, and a signed disclosure statement.

(b) OBP shall use personal identifying information to perform a search in accordance with Section 26B-2-120.

(2)(a) [The]A provider representative shall submit a background check application for each applicant for an initial background check no

later than two weeks from the date the applicant becomes associated with the licensee, certification, or contract.

(b)(i) The provider representative shall ensure [an]the applicant is directly supervised until OBP issues a conditional or eligible clearance

determination.

(ii) The provider representative shall document how the applicant remains supervised for the entirety of the applicant's supervised employment term before receiving a clearance determination.

(3) An applicant is eligible to work unsupervised when OBP updates DACS with an eligible determination[:

(a) both in-state and out-of-state registry checks are completed, as applicable, except as outlined in Subsection R501-14-3(5)(f);

(b) the criminal record check reveals no criminal findings subject to automatic denial in accordance with Section 26B-2-120; and

(4) The provider representative shall ensure an applicant with a pending comprehensive review is [always]directly supervised until OBP

makes the final determination.

(5)(a) The provider representative may not allow an applicant whose background check application is denied to have any supervised or unsupervised direct access to clients unless:

(i) OBP approves a subsequent application; or

(ii) the denial is overturned in an administrative hearing or by the OBP director.

(b) The provider representative shall ensure an applicant initiating an appeal of a denied application [works under]is directly

supervised[ion] until OBP issues a determination regarding the appeal.

(6) The provider representative shall ensure the applicant or provider representative promptly notifies OBP of any updated application details or new investigation[s] of any abuse, neglect, or new criminal finding by:

(a) emailing OBP about any new allegation or investigation of any abuse, neglect, or new criminal finding; and

(b) updating DACS with any change to the applicant's name or contact information.

(7)(a) The provider representative may only conduct livescan fingerprinting on an independent livescan machine for submission to OBP

[only ]after completing training in the proper methods of taking fingerprints and ensuring each department billing code is accurately entered into the

machine.

(b) The provider representative shall verify the identity of the applicant by inspecting the applicant's personally identifying information when the application is entered into the livescan machine.

(c) The applicant shall present the same government-issued photo identification required in Subsection R501-14-3(7)(a) with the fingerprint authorization form to the livescan operator.

(d) A minor applicant who submits a youth application with no fingerprints and [is not currently on]whose fingerprints are not already in

the FBI [r]Rap [b]Back [s]System shall submit fingerprints within 30 days before the minor applicant's 18th birthday.

R501-14-6. Background Check Fees.

(1) An applicant and provider representative shall ensure the accuracy of information submitted with each application and fee payment.

(2) The provider representative shall ensure any fee is [made]paid by E-check, credit card, or internal department transfer.

(3) The provider representative may choose to submit each payment[s] individually or multiple payments in a batch.

(4) OBP may not refund or transfer a fee unless the applicant's fingerprints were never submitted to the Department of Public Safety and

the Department of Public Safety never billed OBP.

(5) The legislatively set OBP processing fee is not refundable.

R501-14-7. Application Processing and Results.

(1)(a) OBP shall approve an application for a background check in accordance with Section 26B-2-120.

(b) OBP shall notify an applicant, through the provider representative, when the applicant's background check application is approved or denied.

(d) OBP approval is valid until:

(i) 180 days after the applicant is no longer associated with the licensee, certification, or contract in accordance with Subsection R501-14-4(4); or

(ii) a new criminal or non-criminal finding constitutes background check clearance review or revocation.

(2)(a) OBP may conditionally approve an application for a background check in accordance with Subsection 26B-2-120(9) only when awaiting the results of a criminal history search of national background databases from the Bureau of Criminal Identification.

(b) OBP may not issue a conditional approval for an initial applicant who is:

(i) a resident of a child[ ]-placing foster or adoption home; or

(ii) working in a department-contracted congregate care program.

(i) ten business days have passed since OBP received the applicant's complete background check application; and

(ii) the provider representative has not received notification of the application's approval or denial.

(d) The provider representative shall submit a written request for conditional approval that includes the:

(i) applicant's full name;

(ii) date the application was submitted in DACS with any required consent disclosure and fee; and

(iii) last four digits of the applicant's social security number.

(e) The provider representative shall submit the written conditional approval request through DACS or by email to the OBP criminal background screening (CBS) unit email on the DLBC website.

(f) OBP shall make a conditional determination within three business days of receiving a written request for conditional approval that complies with Subsections (2)(c) and (2)(d).

(g) [A conditional approval expires within 60 days unless the applicant is awaiting the results of an out-of-state registry check as the only

remaining item prohibiting clearance.]OBP shall terminate conditional approval within 60 days unless an out-of-state registry check is the sole

pending item.

(h) OBP may only issue renewal clearance or new conditional clearance [only ]if the applicant has provided the out-of-state registry check

within 12 months of the initial application.

(i) If OBP does not provide a standard approval before the expiration date of the conditional approval, the provider shall ensure the applicant is directly supervised until approval is granted.

(j) OBP may revoke the conditional approval before the expiration date.

(3) Any OBP[ shall] denial[y] of an application for a background check shall be done in accordance with Section 26B-2-120.

(4) OBP shall conduct any comprehensive review of an application in accordance with Subsection 26B-2-120(7).

(5) OBP shall conduct a comprehensive review of an applicant's background check if the applicant:

(a)(i) has any criminal finding listed in Subsections 26B-2-120(6), 26B-2-120(12), and 26B-2-120(13), including any conviction, plea of

no contest, plea and abeyance, or diversion agreement;

(ii) has any non-criminal finding listed in Subsections 26B-2-120(6), 26B-2-120(12), and 26B-2-120(13);

(b) has any felony listed in Subsection 26B-2-120(5);

(i) an accident involving bodily harm or death, as described in Sections 41-6a-401.3 and 41-6a-401.5;

(ii) [driving while impaired, as described in Sections 41-6a-502.5 and 41-6a-517]any criminal finding listed in Title 41, Chapter 6a, Part 5,

Driving Under the Influence and Reckless Driving; or

(iii) exhibition driving, as described in Section 41-6a-606;[ or

(iv) reckless driving, as described in Section 41-6a-528;

(b) has any criminal or non-criminal findings within the time frames listed in Subsections 26B-2-120(6), (12), and (13);

(d) has been convicted of, has pled no contest, or is subject to a plea and abeyance or diversion agreement;]

([e]d) is applying as a prospective foster parent or prospective adoptive parent and has a listing in MIS;

([f]e) is applying to work in a congregate care program and has a listing in MIS; or

([g]f) has a criminal or non-criminal finding that is substantially similar to a criminal or non-criminal finding described in this section.

(6) OBP may not conduct a comprehensive review of a criminal finding identified as an infraction or misdemeanor of:

(a) a minor traffic violation as listed in Title 41, Chapter 6a, Traffic Code, except:

(i) a minor traffic violation that includes driving under the influence or reckless driving, as listed in Title 41, Chapter 6a, Part 5, Driving Under the Influence and Reckless Driving: or

(ii) a minor traffic violation that results in the bodily harm of another person; or

(b) a violation of any local ordinance related to:

(i) animal licensing;

(ii) business licensing;

(iii) construction;

(iv) dog at large;

(v) land use;

(vi) littering;

(vii) noise;

(viii) park access hours;

(ix) storm water;

(x) utilities;

(xi) yard sales; or

(xii) zoning.

(7) OBP shall conduct a comprehensive review upon learning of a potentially disqualifying criminal or non-criminal finding described in Subsection 26B-2-120(6) if the criminal or non-criminal finding was not previously considered by OBP.

(8) OBP may provide the status of an application to a provider representative but may not share the specific criminal or non-criminal findings or history of findings.

R501-14-8. Comprehensive Review.

(1) OBP shall conduct a comprehensive review of:

(a) an applicant's background check application;

(b) any record from an open court case or conviction not automatically denied in Subsection 26B-2-120(5)(a);

(d) any non-criminal finding;

(e) any applicant-submitted out-of-state child abuse and neglect registry record; and

(f) any related circumstance in accordance with Subsection 26B-2-120(6).

(2) OBP may not conduct a comprehensive review of an applicant's background check application if:

(a) the applicant has been previously reviewed and approved by OBP for the same employment clearance, even if the applicant has not been employed in any human services program for the past 180 days or longer; and

(b) the applicant has no new criminal or non-criminal findings.

(3)(a) OBP may not review a background check application without OBP first sending the applicant a written notice that OBP is investigating the applicant's criminal or non-criminal history.

(b) The applicant may submit any written statement or record that OBP may need to make a determination of the risk of harm, including any:

(i) evidence of rehabilitation, counseling, psychiatric treatment received, or additional academic or vocational schooling completed, as established in Subsection 26B-2-120(7);

(ii) investigatory and charging document;

(iii) original police report;

(iv) personal statement;

(v) proof of compliance with a court order; and

(vi) reference letter specific to the potential risk of harm.

(d) The applicant shall submit any written statement or record within 15 calendar days of the written notice unless:

(i) the provider representative or applicant requests an extension[ is requested by the provider representative or applicant]; and

(ii) OBP grants the extension[ed by OBP].

(4) OBP shall gather the information described in Subsection 26B-2-120(7)(a)(vii) from the applicant.

(5) OBP may request additional information from any available source, including:

(a) the applicant;

(b) any victim;

(d) any investigator;

(e) the criminal justice system;

(f) any law enforcement agency;

(g) the courts; and

(h) any others deemed necessary for the comprehensive evaluation of an application.

(6) An applicant with a denied application may re-apply for a background check to OBP:

(a) after two years from the final date of a not eligible determination from OBP or the Office of Administrative Hearings; or

(b) upon a substantial change to circumstances.

R501-14-9. Determination.

(1)(a) OBP shall evaluate any application and information provided by the applicant to determine if an applicant poses a risk of harm to any child or vulnerable adult.

(b) In assessing the risk of harm, OBP shall consider the type of employment the applicant is seeking and the type of license under which the applicant seeks employment.

(2)(a) OBP may transfer a previously reviewed and cleared background check approval without further review to another human services program when providing the same service under the same statutory background check requirements.

(b) OBP shall reconsider any previously cleared or denied background check when the applicant requires a new clearance for a new type of employment.

(3) OBP shall deny the background check of an applicant [when]if OBP finds that approval would likely create a risk of harm to the

specific population the applicant would serve.

(4) The provider representative shall ensure an applicant initiating an appeal of a denied application [works under]is directly

supervised[ion] until there is a determination made regarding the appeal when[:

(a) ] OBP approves the application based on a comprehensive review[; or

(b) the determination is overturned by an administrative hearing].

R501-14-10. Background Check Approval Transfer or Concurrent Use.

(1)(a) An applicant is eligible to have a current background check approval shared with, or transferred to, another human services program only if:

(i) the applicant is enrolled in the rap back system; and

(ii) the human services program background check was processed under the same statutory authority as the original background check.

(b) Clearance transfers are allowed:

(i) among the same level of clearance; or

(ii) from higher-level clearance to lower-level clearance.

(c) New clearance[s] and a comprehensive review, if applicable, [are]is required when moving from a lower-level clearance to a higher-

level clearance.

(2)(a) An applicant who seeks to have that applicant's current background check shared with, or transferred to, another human services program shall complete a background check application through a provider representative of the new program.

(b) An applicant may not transfer an eligible clearance from a non-congregate care program to a congregate care program, including a foster home, adoptive home, or certified home, without a subsequent review under the new level of clearance.

(c) An applicant shall submit out-of-state registry records for a transfer from a non-congregate care program to a congregate care program when the applicant has resided in another state within five years of the date the application was submitted.

(d) An applicant may transfer an eligible clearance from a congregate care program to a non-congregate care program.

(3) The provider shall ensure an applicant is directly supervised until the applicant's status in DACS reflects eligible or eligible for hire.

R501-14-11. Post-Approval Responsibilities.

(1) An applicant or provider representative shall immediately notify OBP if the applicant has any new criminal or non-criminal finding.

(2) OBP shall issue a new [supervised only determination as described in Subsection R501-14-2(11) until a disposition on the case is

reached if an eligible applicant has any new criminal or non-criminal finding]DACS determination to the provider representative upon discovery of

new criminal or non-criminal findings for an eligible applicant.

(3) OBP may revoke a background check approval of an applicant if:

(a) the applicant is convicted of a felony, misdemeanor, or infraction listed in Subsection 26B-2-120(5)(a); and

(b) OBP granted the background check approval while the conviction was pending.

(4)(a) A provider representative shall notify OBP of each termination of an employee with fingerprints retained under Section 26B-2-120.

(b) OBP shall report each termination to the Department of Public Safety within 180 days if the applicant has not transferred the clearance to a transfer-eligible program within that time frame.

R501-14-12. Confidentiality.

(1)(a) OBP may disclose registry and criminal background check information details only to the applicant in accordance with Section 63G-2-202.

(b) OBP may grant the provider representative and department auditor with oversight of the licensed program minimal, read-only access to DACS solely to see an application determination with no additional case details viewable.

(2) OBP may not transfer or share background check information between human services programs, except as described in Section R501-14-10.

(3) The provider representative or OBP representative may, in accordance with Subsection 53-10-108(4), provide the approval letter generated by DACS to:

(a) another licensed child[ ]-placing agency;

(b) the attorney for [the]an adoptive parent[s];

(d) the person who is the subject of the approval.

R501-14-13. Retention of Background Check Information.

OBP shall keep the background check information of each applicant in DACS for a minimum of seven years after the termination of the applicant's association with the licensee, certification, or contract.

R501-14-14. Expungement.

An applicant whose background check application is denied due to the applicant's criminal record may submit a new application with an official copy of an order of expungement.

R501-14-15. Administrative Hearing.

A notice of agency action issued by the OBP director or designee that denies the applicant's background check application or revokes the applicant's background check approval shall inform the applicant of the right to appeal in accordance with Rule R497-100 and Section 63G-4-201.

R501-14-16. Compliance.

(1) Each provider shall ensure compliance with this rule.

(2) If OBP determines credible evidence exists that an applicant has any criminal or non-criminal finding that would be excluded under Section 26B-2-120, OBP may take action to protect the health and safety of clients.

(3) Any provider found in noncompliance with any rule or statute governing OBP may be subject to the penalties in Rule R380-600 and Title 26B, Chapter 2, Part 7, Penalties and Investigations.

KEY: licensing, background screening, background check, fingerprinting, human services

Date of Last Change: [July 2, 2025]2026

Notice of Continuation: August 22, 2025

Authorizing, and Implemented or Interpreted Law: 26B-2-120; 26B-2-121; 26B-2-122

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Rule 14: Human Services Program Background Checks