8-Attachment E- Background Check Requirement 05-2025.pdf

Rev. 05/01/2025

ATTACHMENT E

BACKGROUND CHECK REQUIREMENTS

CRIMINAL BACKGROUND CHECK REQUIREMENTS

FOR

GRANTEES AND CONTRACTORS PROVIDING SERVICES TO

DWS CUSTOMERS, MINORS, OR VULNERABLE ADULTS

A. Unless Contractor is exempt under section C, Contractor shall obtain:

1. an annual BCI check for each employee or volunteer who has access to DWS customer confidential information; and

2. a fingerprint-based national criminal history record check from the FBI for each employee or volunteer who provides direct services or who has direct access.

a. If Contractor uses the FBI Next Generation Identification fingerprint-based check or Rap Back system, a background check is required only once for the employee or volunteer for as long as Contractor is receiving notification.

B. Contractor must obtain background checks according to Contractor's qualifications to request background checks.

1. Contractor must be certified or must become certified as a qualifying entity by BCI if Contractor meets the qualifications to request criminal history information under Title 53, Chapter 10, Criminal Investigations and Technical Services Act, and federal law, including Public Laws 105-251, 109-248, and 92-544 (qualified entities working with children or vulnerable adults, fiduciary funds, national security, or under other statutory authority).

2. If Contractor does not meet the statutory requirements identified in subsection B.1, Contractor shall require each employee or volunteer for whom a background check is required to obtain a background check in compliance with section A.

a. BCI information may be found at https://bci.utah.gov/obtaining-utah-criminal-history-records-of-your-employees/.

b. FBI information may be found at https://www.fbi.gov/how-we-can-help-you/more-fbi-services-and-information/identity-history-summary-checks.

C. Sections A and B do not apply to a Contractor who is required by law or by another governmental entity (e.g., Child Care Licensing, State Universities, Shelter Licensing) to obtain background checks for employees and volunteers. If Contractor is exempt under this section C, Contractor shall:

1. provide DWS with Contractor's background check policy, which must identify:

a. the type of background check required;

b. who is required to be background checked;

c. the frequency of the background check; and

d. the criteria used to determine whether the individual passes or fails the background check;

2. submit proof to DWS of Contractor's compliance with the law, regulation, or requirement that Contractor obtain background checks; and

3. immediately notify DWS if an employee's or volunteer's shows any criminal history identified in section E.

D. Contractor shall immediately notify DWS if an employee's or volunteer’s record shows any criminal history identified in section E.

E. Unless otherwise and expressly authorized by DWS, Contractor shall restrict or prohibit an individual from accessing confidential information, providing direct service, or having direct access:

1. until a valid background check is completed; or

2. if the background check indicates:

a. a conviction or plea in abeyance for any matter involving:

i. a financial crime, including theft, fraud, identity theft, larceny, and embezzlement;

ii. illegal drug use or trafficking;

iii. a sexual offense;

iv. lewdness;

v. domestic violence;

vi. battery;

vii. a crime against the individual under Title 76, Chapter 5, Offenses Against the Individual, or similar offense in another state; or

viii. any Utah felony or class A misdemeanor, or a similar offense in another state; or

b. any other conduct or action that, in the judgment of DWS:

i. may create a risk of harm to a DWS customer, a minor, or a vulnerable adult; or

ii. suggests the individual may compromise confidential information.

F. A guest is not required to complete a background check. Contractor shall ensure a guest does not have access to confidential information.

G. If Contractor is a youth service organization, Contractor shall comply with Title 80, Chapter 8, Youth Service Organizations.

1. Contractor shall:

a. complete a registered sex offender check for each youth worker;

b. provide reasonable training in sexual abuse identification and reporting to each youth worker; and

c. implement reasonable child abuse prevention policies and procedures as required by Utah Code Ann. §80-8-202.

2. Contractor may not employ an individual as a youth worker or allow the individual to volunteer as a youth worker:

a. unless Contractor has completed a registered sex offender check for the individual; or

b. if the individual is registered on the state's Sex and Kidnap Offender Registry or the National Sex Offender Public Website.

H. Contractor shall be responsible for all expenses associated with each background or other check unless otherwise assigned to the employee or volunteer by Contractor, or otherwise provided for by DWS in this Agreement.

I. Contractor shall maintain records demonstrating Contractor's compliance under this Attachment, including annual and verifiable background or other checks for each individual, and provide such records to DWS upon request.

J. DWS may terminate this Agreement if Contractor fails to complete a background or other check for an employee or volunteer, fails to maintain records, or otherwise fails to perform its obligations under this Attachment.

K. Definitions.

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

2. "Confidential information" means personal identifying information, including medical records, clinical records, counseling records, financial records, and case information.

3. "Contractor" means a DWS contractor, subcontractor, grantee, or subgrantee.

4. "Direct access" means an individual has, or likely will have, contact with or access to a minor or vulnerable adult and such contact or access provides the opportunity for personal communication or touch. See Title 26B, Utah Health and Human Services Code, Chapter 2, Licensing and Certifications.

5. "Direct service" means the provision of services to a minor or vulnerable adult in the physical presence of the minor or vulnerable adult. Services include counseling, mentoring, job coaching, training, job search activities, testing, or providing mental health and medical services.

6. "DWS" means the Utah Department of Workforce Services or its divisions.

7. "DWS customer" means an individual served with funding provided by DWS.

8. "Guest" means an individual in the program temporarily and who will not be allowed unsupervised direct access.

9. "Minor" means an individual under the age of 18 years old.

10. "Vulnerable adult" means:

a. an individual 65 years old or older; or

b. an adult 18 years old or older who has a mental or physical impairment, including mental illness, mental deficiency, physical illness or disability, chronic use of drugs, chronic intoxication, short-term memory loss, or other cause which substantially affects the adult's ability to:

i. provide personal protection;

ii. provide necessities such as food, shelter, clothing, or medical or other health care;

iii. obtain services necessary for health, safety, or welfare;

iv. carry out activities of daily living;

v. manage the adult's own resources; or

vi. comprehend the nature and consequences of remaining in a situation of abuse, neglect, or exploitation. See Title 76, Utah Criminal Code, Chapter 5, Offenses Against the Individual.

11. "Youth services organization" and "youth worker" are defined in Utah Code Ann. §80-8-101.