Current through Register Vol. 47, No. 6, September 18, 2024
(1)
Definitions. The following definitions apply for the purposes
of this rule.
"Background check" or"record
check" means criminal history, child abuse and dependent adult abuse
record checks.
"Comprehensive preliminary background check"
means a criminal history check of all states in which the applicant has worked
or resided over the seven-year period immediately prior to submitting an
application for employment that is conducted by an approved third-party
vendor.
"Direct services" means services provided
through person-to-person contact. "Direct services" excludes services provided
by individuals such as building contractors, repair workers, or others who are
in a hospital for a very limited purpose, who are not in the hospital on a
regular basis, and who do not provide any treatment or services for the
patients of the hospital.
"Employee" means any individual who is paid
either by the hospital or any other entity (i.e., temporary agency, private
duty, Medicare/Medicaid or independent contractors) to provide direct or
indirect services to patients of a hospital.
"Evaluation " means review by the department
of human services to determine whether a founded child abuse, dependent adult
abuse or criminal conviction warrants the person's being prohibited from
employment in a hospital.
"Indirect services" means services provided
without person-to-person contact such as those provided by administration,
dietary, laundry, and maintenance.
(2)
Requirements for employer prior
to employing an individual. Prior to employment of a person in a
hospital, the hospital shall complete the background check requirements set
forth below.
a.
Informing the
prospective employee. A hospital shall ask each person seeking
employment by the hospital, "Do you have a record of founded child or dependent
adult abuse or have you ever been convicted of a crime in this state or any
other state?" The person shall also be informed that a background check will be
conducted. The person shall indicate, by signature, that the person has been
informed that the background check will be conducted.
b.
Conducting a background
check. The hospital shall either request that the department of public
safety perform a criminal history check and that the department of human
services perform child and dependent adult abuse record checks of the person in
this state, or access the single contact repository (SING) to perform the
required background check. If the SING is used, the hospital shall submit the
person's maiden name, if applicable, with the background check
request.
c.
If a person
considered for employment has been convicted of a crime. If a person
being considered for employment in a hospital has been convicted of a crime
under a law of any state, the hospital shall request that the department of
human services perform an evaluation to determine whether the crime warrants
prohibition of the person's employment in the hospital.
d.
If a person considered for
employment has a record of founded child abuse or dependent adult
abuse. If a person being considered for employment in a hospital has a
record of founded child or dependent adult abuse under a law of any state, the
hospital shall request that the department of human services perform an
evaluation to determine whether the founded child or dependent adult abuse
warrants prohibition of employment in the hospital.
e.
Employment pending
evaluation. The hospital may provisionally employ a person prior to
completion of the required record check and evaluation by the department of
human services, as applicable, subject to all of the following:
(1) The hospital shall have accessed SING to
perform the required record check and be awaiting results from SING or awaiting
evaluation by the department of human services, as applicable;
(2) If applicable, the hospital shall request
an evaluation by the department of human services in accordance with paragraph
51.41(2)"b" or"c" within 30 days of receipt
of the SING record check results;
(3) The hospital shall have utilized an
approved third-party vendor to perform a comprehensive preliminary background
check;
(4) If the comprehensive
preliminary background check determines that the person being considered for
employment has been convicted of a crime, the crime does not constitute a
felony as defined in Iowa Code section
701.7
and is not a crime specified pursuant to Iowa Code chapter 708, 708A, 709,
709A, 710, 710A, 711, or 712 or pursuant to Iowa Code section
726.3,
726.7,
or
726.8;
(5) The comprehensive preliminary background
check shall have determined that the person being considered for employment
does not have a record of founded child abuse or dependent adult abuse, or, if
the person being considered for employment does have a record of founded child
abuse or dependent adult abuse, subrule 51.41(6) is applicable; and
(6) The provisional employment may continue
until such time as the required record check through SING and evaluation by the
department of human services, as applicable, are completed.
f.
Validity of background
check results. The results of a background check conducted pursuant to
this rule shall be valid for a period of 30 calendar days from the date the
results of the background check are received by the
hospital.
(3)
Employment prohibition. Except as provided in paragraph
51.41(2)"e, " a person who has committed a crime or has a
record of founded child or dependent adult abuse shall not be employed in a
hospital unless an evaluation has been performed by the department of human
services.
(4)
Transfer of
an employee to another hospital owned or operated by the same person.
If an employee transfers from one hospital to another hospital owned or
operated by the same person, without a lapse in employment, the hospital is not
required to request additional criminal and child and dependent adult abuse
record checks of that employee.
(5)
Transfer of ownership of a hospital. If the ownership of a
hospital is transferred, at the time of transfer the background check required
by this rule shall be performed for each employee for whom there is no
documentation that such background check has been performed. The hospital may
continue to employ such employee pending the performance of the background
check and any related evaluation.
(6)
Change of employment-person with
criminal or abuse record -exception to record check evaluation
requirements. A person with a criminal or abuse record who is or was
employed by a certified hospital and is hired by another certified hospital
shall be subject to the background check.
a.
A reevaluation of the latest record check is not required, and the person may
commence employment with the other hospital if the following requirements are
met:
(1) The department of human services
previously performed an evaluation concerning the person's criminal or abuse
record and concluded the record did not warrant prohibition of the person's
employment;
(2) The latest
background check does not indicate a crime was committed or founded abuse
record was entered subsequent to the prior evaluation;
(3) The position with the subsequent employer
is substantially the same or has the same job responsibilities as the position
for which the previous evaluation was performed;
(4) Any restrictions placed on the person's
employment in the previous evaluation by the department of human services and
still applicable shall remain applicable in the person's subsequent employment;
and
(5) The person subject to the
background check has maintained a copy of the previous evaluation and provided
it to the subsequent employer, or the previous employer provides the previous
evaluation from the person's personnel file pursuant to the person's
authorization. If a physical copy of the previous evaluation is not provided to
the subsequent employer, a current record check evaluation shall be
performed.
b. For
purposes of this subrule, a position is "substantially the same or has the same
job responsibilities" if the position requires the same certification,
licensure, or advanced training. For example, a licensed nurse has
substantially the same or the same job responsibilities as a director of
nursing; a certified nurse aide does not have substantially the same or the
same job responsibilities as a licensed nurse.
c. The subsequent employer must maintain the
previous evaluation in the employee's personnel file for verification of the
exception to the requirement for a record check evaluation.
d. The subsequent employer may request a
reevaluation of the background check and may employ the person while the
reevaluation is being performed, even though an exemption under paragraph
51.41(6)"a" may be authorized.
(7)
Employee notification of criminal
convictions or founded abuse after employment. If a person employed by
an employer that is subject to this rule is convicted of a crime or has a
record of founded child or dependent adult abuse entered in the abuse registry
after the person's employment application date, the person shall inform the
employer of such information within 48 hours of the criminal conviction or
entry of the record of founded child or dependent adult abuse.
a. The employer shall act to verify the
information within seven calendar days of notification. "Verify," for purposes
of this subrule, means to access the single contact repository (SING) to
perform a background check, to request a criminal background check from the
department of public safety, to request an abuse record check from the
department of human services, to conduct an online search through the Iowa
Courts Online website, or to contact the county clerk of court office and
obtain a copy of relevant court documents.
b. If the information is verified, the
hospital shall follow the requirements of paragraphs 51.41(2) V
and"d"
c. The
employer may continue to employ the person pending the performance of an
evaluation by the department of human services.
d. A person who is required by this subrule
to inform the person's employer of a conviction or entry of an abuse record and
fails to do so within the required period commits a serious misdemeanor under
Iowa Code section
135C.33.
e. The employer may notify the county
attorney for the county where the employer is located of any violation or
failure by an employee to notify the employer of a criminal conviction or entry
of an abuse record within the period required under this subrule.
(8)
Hospital receipt of
credible information that an employee has been convicted of a crime or founded
for abuse. If the hospital receives credible information, as
determined by the hospital, from someone other than the employee, that the
employee has been convicted of a crime or a record of founded child or
dependent adult abuse has been entered in the abuse registry after employment,
and the employee has not informed the employer of the information within the
time required by subrule 51.41(7), the hospital shall take the following
actions:
a. The hospital shall act to verify
credible information within seven calendar days of receipt. "Verify," for
purposes of this subrule, means to access the single contact repository (SING)
to perform a background check, to request a criminal background check from the
department of public safety, to request an abuse record check from the
department of human services, to conduct an online search through the Iowa
Courts Online website, or to contact the county clerk of court office and
obtain a copy of relevant court documents.
b. If the information is verified, the
hospital shall follow the requirements of paragraphs 51.41(2) V
and"d"
(9)
Proof of background checks for
temporary employment agencies and contractors. Proof of background
checks may be kept in the files maintained by temporary employment agencies and
contractors. Facilities may require temporary employment agencies and
contractors to provide a copy of the result of the background checks. Copies of
such results shall be made available to the department upon request.
This rule is intended to implement Iowa Code sections
135B.7 and
135B.34
and 2020 Iowa Acts, Senate File 2299.
