26-39-501 - Investigations -- Records.
26-39-501. Investigations -- Records.
(1) The department may conduct investigations necessary to enforce the provisions ofthis chapter.
(2) For purposes of this section:
(a) "Anonymous complainant" means a complainant for whom the department does nothave the minimum personal identifying information necessary, including the complainant's fullname, to attempt to communicate with the complainant after a complaint has been made.
(b) "Confidential complainant" means a complainant for whom the department has theminimum personal identifying information necessary, including the complainant's full name, toattempt to communicate with the complainant after a complaint has been made, but who electsunder Subsection (3)(c) not to be identified to the subject of the complaint.
(c) "Subject of the complaint" means the licensee or certificate holder about whom thecomplainant is informing the department.
(3) (a) If the department receives a complaint about a child care program or residentialchild care, the department shall:
(i) solicit information from the complainant to determine whether the complaint suggestsactions or conditions that could pose a serious risk to the safety or well-being of a qualifyingchild;
(ii) as necessary:
(A) encourage the complainant to disclose the minimum personal identifying informationnecessary, including the complainant's full name, for the department to attempt to subsequentlycommunicate with the complainant;
(B) inform the complainant that the department may not investigate an anonymouscomplaint;
(C) inform the complainant that the identity of a confidential complainant may bewithheld from the subject of a complaint only as provided in Subsection (3)(c)(ii); and
(D) inform the complainant that the department may be limited in its use of informationprovided by a confidential complainant, as provided in Subsection (3)(c)(ii)(B); and
(iii) inform the complainant that a person is guilty of a class B misdemeanor underSection 76-8-506 if the person gives false information to the department with the purpose ofinducing a change in that person's or another person's licensing or certification status.
(b) If the complainant elects to be an anonymous complainant, or if the complaintconcerns events which occurred more than six weeks before the complainant contacted thedepartment:
(i) shall refer the information in the complaint to the Division of Child and FamilyServices within the Department of Human Services, law enforcement, or any other appropriateagency, if the complaint suggests actions or conditions which could pose a serious risk to thesafety or well-being of a child;
(ii) may not investigate or substantiate the complaint; and
(iii) may, during a regularly scheduled annual survey, inform the licensee or certificateholder who is the subject of the complaint of allegations or concerns raised by:
(A) the anonymous complainant; or
(B) the complainant who reported events more than six weeks after the events occurred.
(c) (i) If the complainant elects to be a confidential complainant, the department shalldetermine whether the complainant wishes to remain confidential:
(A) only until the investigation of the complaint has been completed; or
(B) indefinitely.
(ii) (A) If the complainant elects to remain confidential only until the investigation of thecomplaint has been completed, the department shall disclose the name of the complainant to thesubject of the complaint at the completion of the investigation, but no sooner.
(B) If the complainant elects to remain confidential indefinitely, the department:
(I) notwithstanding Subsection 63G-2-201(5)(b), may not disclose the name of thecomplainant, including to the subject of the complaint; and
(II) may not use information provided by the complainant to substantiate an allegedviolation of state law or department rule unless the department independently corroborates theinformation.
(4) (a) Prior to conducting an investigation of a child care program or residential childcare in response to a complaint, a department investigator shall review the complaint with theinvestigator's supervisor.
(b) The investigator may proceed with the investigation only if:
(i) the supervisor determines the complaint is credible;
(ii) the complaint is not from an anonymous complainant; and
(iii) prior to the investigation, the investigator informs the subject of the complaint of:
(A) except as provided in Subsection (3)(c), the name of the complainant; and
(B) except as provided in Subsection (4)(c), the substance of the complaint.
(c) An investigator is not required to inform the subject of a complaint of the substanceof 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 thecomplaint 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 thecomplaint or the investigation of the complaint:
(a) shall be classified under Title 63G, Chapter 2, Government Records Access andManagement Act, as:
(i) a private or controlled record if appropriate under Section 63G-2-302 or 63G-2-304;or
(ii) a protected record under Section 63G-2-305; and
(b) if disclosed in accordance with Subsection 63G-2-201(5)(b), may not identify anindividual child care program, licensee, certificate holder, or complainant.
(6) Any record of the department related to a complaint by an anonymous complainant isa protected record under Title 63G, Chapter 2, Government Records Access and ManagementAct, and, notwithstanding Subsection 63G-2-201(5)(b), may not be disclosed in a manner thatidentifies an individual child care program, licensee, certificate holder, or complainant.
Renumbered and Amended by Chapter 111, 2008 General Session
Amended by Chapter 382, 2008 General Session