Upon the effective date of this rule, the authority has
established and maintains an accurate and complete electronic registry that
contains the name, date of birth, address, social security number, and other
appropriate identifying information of all persons who, while employed by a
provider, have been determined by the authority, as a result of an
investigation of a complaint, to have engaged in a substantiated
registry-referred incident of abuse, neglect or exploitation of a person
receiving care or services from a provider. Additions and updates to the
registry shall be posted no later than two business days following receipt.
Only authority staff designated by the custodian may access, maintain and
update the data in the registry.
A.
Provider requirement to inquire of registry. A provider, prior to
employing or contracting with an employee, shall inquire of the registry
whether the individual under consideration for employment or contracting is
listed on the registry.
B.
Prohibited employment. A provider may not employ or contract with
an individual to be an employee if the individual is listed on the registry as
having a substantiated registry-referred incident of abuse, neglect or
exploitation of a person receiving care or services from a provider.
C.
Applicant's identifying information
required. In making the inquiry to the registry prior to employing or
contracting with an employee, the provider shall use identifying information
concerning the individual under consideration for employment or contracting
sufficient to reasonably and completely search the registry, including the
name, address, date of birth, social security number, and other appropriate
identifying information required by the registry.
D.
Documentation of inquiry to
registry. The provider shall maintain documentation in the employee's
personnel or employment records that evidences the fact that the provider made
an inquiry to the registry concerning that employee prior to employment. Such
documentation must include evidence, based on the response to such inquiry
received from the custodian by the provider, that the employee was not listed
on the registry as having a substantiated registry-referred incident of abuse,
neglect or exploitation.
E.
Documentation for other staff. With respect to all employed or
contracted individuals providing direct care who are licensed health care
professionals or certified nurse aides, the provider shall maintain
documentation reflecting the individual's current licensure as a health care
professional or current certification as a nurse aide.
F.
Consequences of
noncompliance. The authority or other governmental agency having
regulatory enforcement authority over a provider may sanction a provider in
accordance with applicable law if the provider fails to make an appropriate and
timely inquiry of the registry, or fails to maintain evidence of such inquiry,
in connection with the hiring or contracting of an employee; or for employing
or contracting any person to work as an employee who is listed on the registry.
Such sanctions may include a directed plan of correction, civil monetary
penalty not to exceed $5,000 per instance, or termination or non-renewal of any
contract with the authority or other governmental agency.
