Utah Code 26B-2-709. Complaint investigations — Records
Current as of: 2024 | Check for updates
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(1) As used in this section:
For details, see Utah Code § 76-3-204
Attorney's Note
Under the Utah Code, punishments for crimes depend on the classification. In the case of this section:| Class | Prison | Fine |
|---|---|---|
| class B misdemeanor | up to 6 months | up to $1,000 |
Terms Used In Utah Code 26B-2-709
- Certificate: means a residential child care certificate issued by the office. See Utah Code 26B-2-701
- Certification: means an approval to operate in compliance with local or federal requirements or regulations, completed by the office or on behalf of the office for a local or federal agency. See Utah Code 26B-2-701
- Client: means an individual, resident, or patient who receives services from a provider. See Utah Code 26B-2-701
- Complaint: A written statement by the plaintiff stating the wrongs allegedly committed by the defendant.
- Program or facility: means the settings, activities, services, procedures, and premises used by a provider to provide services regulated by the department. See Utah Code 26B-2-701
- Provider: means a license holder, certificate holder, or legally responsible person that provides services regulated by the department. See Utah Code 26B-2-701
- State: when applied to the different parts of the United States, includes a state, district, or territory of the United States. See Utah Code 68-3-12.5
(1)(a) “Anonymous complainant” means a complainant for whom the department does not have the minimum personal identifying information necessary, including the complainant’s full name, to attempt to communicate with the complainant after a complaint has been made.
(1)(b) “Child care program” means the same as that term is defined in Section 26B-2-401 .
(1)(c) “Confidential complainant” means a complainant for whom the department has the minimum personal identifying information necessary, including the complainant’s full name, to attempt to communicate with the complainant after a complaint has been made, but who elects under Subsection (3)(c) not to be identified to the subject of the complaint.
(1)(d) “Exempt provider” means the same as that term is defined in Section 26B-2-401 .
(1)(e) “Subject of the complaint” means the provider about whom the complainant is informing the department.
(2) The department may conduct investigations necessary to enforce the provisions of this chapter.
(3)
(3)(a) If the department receives a complaint about a program or facility or an exempt provider, the department shall:
(3)(a)(i) solicit information from the complainant to determine whether the complaint suggests actions or conditions that could pose a serious risk to the safety or well-being of a client;
(3)(a)(ii) as necessary:
(3)(a)(ii)(A) encourage the complainant to disclose the minimum personal identifying information necessary, including the complainant’s full name, for the department to attempt to subsequently communicate with the complainant;
(3)(a)(ii)(B) if the complaint is against a child care program or an exempt provider, inform the complainant that the department may not investigate an anonymous complaint;
(3)(a)(ii)(C) if the complaint is not against a child care program or an exempt provider, inform the complainant that the department may not use information provided by the complainant to substantiate an alleged violation of state law or department rule unless the department independently corroborates the information;
(3)(a)(ii)(D) inform the complainant that the identity of a confidential complainant may be withheld from the subject of a complaint only as provided in Subsection (3)(c)(iii); and
(3)(a)(ii)(E) inform the complainant that the department may be limited in its use of information provided by a confidential complainant, as provided in Subsection (3)(c)(iii)(B); and
(3)(a)(iii) inform the complainant that a person is guilty of a class B misdemeanor under Section 76-8-506 if the person gives false information to the department with the purpose of inducing a change in that person’s or another person’s license, certificate, or certification status.
(3)(b) If the complainant elects to be an anonymous complainant, or if the complaint concerns events that occurred more than six months before the complainant contacted the department, the department:
(3)(b)(i) shall refer the information in the complaint to the Division of Child and Family Services within the department, law enforcement, or any other appropriate agency, if the complaint suggests actions or conditions which could pose a serious risk to the safety or well-being of a client;
(3)(b)(ii) may not investigate or substantiate the complaint if the complaint is against a child care program or an exempt provider; and
(3)(b)(iii) may, during a regularly scheduled annual survey, inform the provider that is the subject of the complaint of allegations or concerns raised bythe anonymous complainant.
(3)(c)
(3)(c)(i) If the complainant elects to be a confidential complainant, the department shall determine whether the complainant wishes to remain confidential:
(3)(c)(i)(A) only until the investigation of the complaint has been completed; or
(3)(c)(i)(B) indefinitely.
(3)(c)(ii) If the complainant elects to remain confidential only until the investigation of the complaint has been completed, the department shall disclose the name of the complainant to the subject of the complaint at the completion of the investigation, but no sooner.
(3)(c)(iii) If the complainant elects to remain confidential indefinitely, the department:
(3)(c)(iii)(A) notwithstanding Subsection 63G-2-201 (5)(b), may not disclose the name of the complainant, including to the subject of the complaint; and
(3)(c)(iii)(B) may not use information provided by the complainant to substantiate an alleged violation of state law or department rule unless the department independently corroborates the information.
(4)
(4)(a) Prior to conducting an investigation of a program or facility or an exempt provider in response to a complaint, a department investigator shall review the complaint with the investigator’s supervisor.
(4)(b) The investigator may proceed with the investigation only if:
(4)(b)(i) the supervisor determines the complaint is credible;
(4)(b)(ii) the complaint is not from an anonymous complainant and against a child care program or an exempt provider; and
(4)(b)(iii) prior to the investigation, the investigator informs the subject of the complaint of:
(4)(b)(iii)(A) except as provided in Subsection (3)(c), the name of the complainant; and
(4)(b)(iii)(B) except as provided in Subsection (4)(c), the substance of the complaint.
(4)(c) An investigator is not required to inform the subject of a complaint of the substance of the complaint prior to an investigation if doing so would jeopardize the investigation. However, the investigator shall inform the subject of the complaint of the substance of the complaint as soon as doing so will no longer jeopardize the investigation.
(5) If the department is unable to substantiate a complaint, any record related to the complaint or the investigation of the complaint:
(5)(a) shall be classified under Title 63G, Chapter 2, Government Records Access and Management Act, as:
(5)(a)(i) a private or controlled record if appropriate under Section 63G-2-302 or 63G-2-304 ; or
(5)(a)(ii) a protected record under Section 63G-2-305 ; and
(5)(b) if disclosed in accordance with Subsection 63G-2-201 (5)(b), may not identify an individual provider, exempt provider, or complainant.
(6) Any record of the department related to a complaint is a protected record under Title 63G, Chapter 2, Government Records Access and Management Act, and, notwithstanding Subsection 63G-2-201 (5)(b), may not be disclosed in a manner that identifies an individual program or facility, exempt provider, provider, or complainant.