Rhode Island Code of Regulations
Title 212 - Department of Behavioral Healthcare, Developmental Disabilities and Hospitals
Chapter 10 - Licensing and General Administration
Subchapter 00 - N/A
Part 1 - Rules and Regulations for the Licensing of Organizations and Facilities Licensed by the Department of Behavioral Healthcare, Developmental Disabilities and Hospitals
Section 212-RICR-10-00-1.21 - Personnel
Universal Citation: 212 RI Code of Rules 10 00 1.21
Current through March 25, 2025
A. Basic Personnel Policies and Procedures
1. The Organization shall have and shall
implement personnel policies and procedures that:
a. Comply with all applicable state and
federal statutes, rules, and regulations regarding non-discrimination in
employment practices.
b. Include
language for conducting reference, employment, and background checks from the
BCI and NCIC within the Office of the Attorney General.
c. Exclude the employment and/or volunteering
of any person who has been convicted of child abuse or of a felony for sexual
or physical assault including all consultants and/or contractors.
d. Require employees to report to the
Organization any changes in the status of their criminal background checks
subsequent to their being hired by the Organization.
e. Provide for any fringe benefits provided
to full time and part time employees and any reimbursement procedures (as
applicable and appropriate).
f.
Address suspension, increased supervision, or other appropriate disciplinary
employment procedures.
g. Provide
written job descriptions that include minimal qualifications for each position,
major duties, responsibilities, reporting supervisors and positions
supervised.
h. Include a process
for evaluating the job performance of each staff member at the end of his or
her initial training period and annually thereafter.
B. "Duty to Report" Personnel Policies and Procedures
1. The Organization
shall have policies and procedures that prohibit retaliation against any staff,
who reports suspected abuse/neglect/mistreatment or retaliation against the
individual with respect to any report. Language must also include:
a. A requirement that all personnel
participate and cooperate with all authorized persons conducting
investigations/regulatory reviews involving the Organization and/or any person
receiving supports/services from the Organization.
b. A process for annual notification of
mandatory reporting statutes to all employees, advisors, skill trainers,
respite providers, contractors, and volunteers of the Organization.
C. Staff Qualifications and Personnel Files
1. Any employee providing
direct assistance to individuals shall meet the following criteria:
a. Be at least eighteen (18) years of
age
b. Have clear job
responsibilities as described in a current and dated job description;
c. Have a high school diploma or a
GED®.
2. The
Organization shall maintain the personnel record for all employees and
contractors that includes the following information as applicable:
a. Reference and qualification
checks;
b. An approved BCI and
NCIC;
c. Annual job-related
training, as applicable to the position, including current valid certification
of cardiopulmonary resuscitation (CPR) and biennial first aid
training;
d. Evidence of
professional licensure or certification, including renewals, as
applicable.
3. The
Organization shall maintain a record for each volunteer that includes the
following documentation:
a. References and
qualifications checks;
b. A
completed BCI and NCIC;
c. A
detailed list of functions for each position.
D. If a criminal background check contains positive findings, the Organization's Human Resources, with input and guidance from the Organization's Senior Management, shall make and document a judgment regarding the employment of the prospective employee. The following offenses shall be determined to be disqualifying for employment by the Organization:
1. Any facility or program licensed or
operated by the department shall require all applicants for employment -- if
that employment involves routine contact with patients, residents or clients
without the presence of other employees -- to apply to the bureau of criminal
identification (BCI) of the state police or the local police department for a
nationwide criminal records center (NCIC) background check. The check will
conform to the applicable federal standards, including the taking of
fingerprints of the applicant.
2.
Any conviction for an offense listed in paragraph 2(b) (Category One) below
creates a rebuttable presumption that an individual is disqualified from
serving in a caring capacity in a program or service operated or licensed by
BHDDH, or from residing in a household wherein such a program or service is
provided or from owning or operating any such program or service or from
serving as a BHDDH employee, intern, volunteer or consultant or from
functioning in any other capacity that is subject to a statewide or nationwide
criminal record background check in accordance with federal and/or state law or
BHDDH regulation.
a. If a criminal background
check contains conviction(s) for any of the crimes listed below in paragraph
4(a) while the applicant was an adult, the Organization shall provide notice to
the applicant that the conviction for such crime is presumed to be
disqualifying for employment, but the applicant may appeal to rebut such
presumed disqualification through the hearing process pursuant to EOHHS
regulations.
b. Category One (1)
OFFENSES:
(1) Murder, voluntary manslaughter,
involuntary manslaughter
(2)
First-degree sexual assault
(3)
Second-degree sexual assault
(4)
Assault on persons sixty (60) years of age or older
(5) Assault with intent to commit specified
felonies (murder, robbery, rape, burglary, or the abominable and detestable
crimes against nature)
(6)
First-degree arson
(7) Crime under
section 1128(a) of the Social Security Act (42 U.S.C. §
1320a-7(a))
(8) Criminal offense related to person's
involvement in any program under Medicare, Medicaid, or the Title XX services
program.
(9) Felony Domestic
Violence committed less than five (5) years ago
(10) 1st Degree Child Molestation
(11) 2nd Degree Child Molestation
(12) Child Pornography
(13) Sale or exhibition to minor of indecent
publications, pictures or articles
(14) Child nudity in publication
(15) Kidnapping
(16) Car-jacking
(18) Mayhem
(19) Felony Assault committed less than five
(5) years ago
(20) Felony Battery
committed less than five (5) years ago
(21) A person convicted of any crime under
R.I. Gen. Laws Chapters 40.1-24, 40.1-24.5, or 4 0.1-26.
c. Category Two (2) OFFENSES: If an
individual has been convicted of any of the following offenses that was (were)
committed within the previous ten (10) years from the date of the application
for the background check, the individual will be presumed to be disqualified to
work for an Organization, but such presumption may be determined to be rebutted
by the Organization after its Administration and/or Board of Directors
considers and documents the factors related to current qualification in the
context of conviction for any of the crimes listed in this paragraph.
(1) Transportation for Indecent
purposes
(2) Harboring
(3) Felony Assault committed over five (5)
years ago that resulted in injury to the victim
(4) Felony Battery committed over five (5)
years ago
(5) Felony Drug Offense
committed less than five (5) years ago
(6) Robbery
(7) Breaking and Entering
(8) Burglary
(9) Illegal Possession of a Firearm
(10) Misdemeanor Domestic Assault
(11) 3rd Degree Sexual Assault
(12) Child Abuse or Neglect Indicated by DCYF
or similar out of state agency.
(13) Circulation of obscene publications and
shows
(14) First or Second-Degree
Arson
(15) Any substantiated
finding by a State agency under
42 U.S.C.
1395i-3(g)(1)(C),
1396r(g)(1)(C))
or a Federal agency that a direct patient access employee has committed an act
of patient or resident abuse or neglect or a misappropriation of patient or
resident property.
(16) Prior
employment history of child or client abuse, neglect or Mistreatment
d. If the BCI check reveals
conviction of the applicant as an adult for any crime described in Category One
(1) in paragraph 2(b), or if the BCI check reveals conviction of the applicant
during the ten (10) years prior to the date of application for the background
check for any crime listed in Category Two (2) in paragraph 2(c), the BCI of
the state police or the local police department will inform the employer, in
writing, without disclosing the nature of the disqualifying information, that
an item of disqualifying nature has been discovered. In addition, the BCI of
the state police or the local police department will inform the applicant, in
writing, of the nature of the disqualifying information. An applicant against
whom disqualifying information has been found may request that a copy of the
criminal background report be sent to the employer.
e. In considering a request to rebut a
disqualifying presumption for a Category One (1) or Category Two (2)
conviction, the following factors shall be considered and documented:
(1) the circumstances, severity and duration
of the crime;
(2) whether the
victim of the crime was a child or was an individual with a developmental or
other disability;
(3) circumstances
such as illegal use of drugs or alcohol, or addiction to substances, at the
time the crime was committed;
(4)
length of time that has elapsed since the commission of the crime for which the
individual was convicted,
(5)
length of time that has elapsed since the completion of any imposed
sentence;
(6) length of time with
no further convictions of crimes;
(7) the individual's conduct in seeking and
actively engaging in rehabilitation;
(8) the individual's ability to explain their
remorse for the crime and/or efforts to prevent commission of such a crime in
the future;
(9) the extent to which
the crime bears a direct impact on performing the job for which the individual
is applying;
(10) any expert
opinions of health care providers and clinicians who have worked with the
individual if the individual chooses to share such confidential information;
and
(11) any work history,
education and job training before and after the commission of the
crime.
3. The
annual evaluation process shall include the following:
a. An assessment of job performance in
relation to the required skills and expectations set forth in the job
description;
b. A documented review
of the evaluation with the staff person maintained within the personnel
record;
c. Documentation that
individuals served by the employee had input into this process, to the extent
possible.
d. Review status of
employee criminal background check and enquire about possible criminal
conviction(s) since the occurrence of the previous background check.
Disclaimer: These regulations may not be the most recent version. Rhode Island may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
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