Or. Admin. R. 407-007-0210 - [Effective until 2/27/2023] Definitions
OAR 125-007-0210 and 407-007-0010 include definitions for words and terms used in OAR chapter 407, division 007. The following definitions apply specifically to OAR 407-007-0200 to 407-007-0370:
(1) "Appointing authority" means an
individual designated by the qualified entity (QE) who is responsible for
appointing QE designees (QEDs). Examples include but are not limited to human
resources staff with the authority to offer and terminate employment, a
business owner, a member of the board of directors, a director, or a program
administrator.
(2) "Credible
evidence" means available facts, when viewed objectively with the surrounding
circumstances, would cause a reasonable person to believe that an event has
occurred.
(3) "Good Standing" means
the SI is in an approved status on the registry (see OAR 407-007-0600 to
407-007-0640) and may continue to work without active supervision (see OAR
407-007-0315(7)) in an approved status in all any current positions listed for
the SI.
(4) "Ineligible" means BCU
has determined that an SI has one or more convictions that prohibit the SI from
holding the position listed in the background check request. Ineligibility is
due to either the SI being subject to:
(b) A federal law or regulation that includes
mandatory exclusions.
(5)
"Mandatory exclusion" a conviction or condition from a federal law, regulation
or directive that would prohibit the SI from holding the position listed in the
background check request.
(6)
"Portability" means the ability of an SI to use one approved background check
for a defined period of time for immediate hirability for a position offered by
a QE within a group as determined by the Department. See OAR 407-007-0600 to
407-007-0640.
(7) "Potentially
disqualifying abuse" means abuse that is considered potentially disqualifying
in a background check pursuant to OAR 407-007-0290(11). If formal review or
appeal rights are offered to the alleged perpetrator (SI), BCU may consider the
abuse as potentially disqualifying after these rights are completed or timed
out.
(8) "Proctor foster parent"
means an individual who is an applicant for certification or recertification of
a proctor foster home by a child-caring agency pursuant to OAR 413-215-0301 to
413-215-0396.
(9) "Qualified entity
(QE)" means a community mental health or developmental disability program,
local health department, or an individual, business, or organization, whether
public, private, for-profit, nonprofit, or voluntary, that provides care,
including a business or organization that licenses, certifies, or registers
others to provide care (see ORS
181A.200).
(10) "QE designee (QED)" means an approved SI
appointed by the QE's appointing authority to handle background checks on
behalf of the QE.
(11) "QE
Initiator (QEI)" means an approved SI to whom BCU has granted access to BCU'
online background check system for one QE for the purpose of entering
background check request data.
(12)
"Subject individual (SI)" means an individual on whom BCU may conduct a
criminal records check or an abuse check or both, and from whom BCU may require
fingerprints for the purpose of conducting a national criminal records check.
(a) An SI includes any of the following:
(A) An individual who is licensed, certified,
registered, or otherwise regulated or authorized for payment by the Department
or Authority and who provides care.
(B) An employee, contractor, temporary
worker, or volunteer who provides care or has direct contact with clients,
client information, or client funds within or on behalf of any entity or agency
licensed, certified, registered, or otherwise regulated by the Department or
Authority.
(C) Any individual who
is paid directly or indirectly with public funds who has or will have direct
contact with recipients of:
(i) Services
within an adult foster home (defined in ORS
443.705);
or
(ii) Services within a
residential facility (defined in ORS
443.400).
(D) Any individual secured by any residential
care or assisted living facility licensed by the Department in accordance with
OAR chapter 411 division 54 through the services of a personnel services or
staffing agency who works and provides care or has direct contact with clients,
client information, or client funds.
(E) Any individual secured by any residential
care or assisted living facility licensed by the Department in accordance with
OAR chapter 411 division 85 through the services of a personnel services or
staffing agency who works and provides care or has direct contact with clients,
client information, or client funds.
(F) Except as excluded in section (12)(b)(C)
and (D) of this rule, an individual who lives in a facility that is licensed,
certified, registered, or otherwise regulated by the Department to provide
care. The position of this SI includes but is not limited to resident manager,
household member, boarder, or tenant.
(G) Any referral agent, and any employee of a
referral agent of a long term care referral entity pursuant to OAR 411-058-0000
to 411-058-0100 who comes into direct contact with clients.
(H) For child foster homes licensed by the
Department's Developmental Disabilities (DD) programs, or child foster or
adoptive homes governed by OAR chapter 413, division 215:
(i) A foster parent or proctor foster
parent;
(ii) An adoptive parent
applicant or an approved adoptive parent;
(iii) A household member in an adoptive or
foster home 18 years of age and over;
(iv) A household member in an adoptive or
foster home under 18 years of age if there is reason to believe that the
household member may pose a risk to children placed in the home; and
(v) A respite care provider or alternate
caregiver.
(I) An
individual with contact with clients, client information, or client funds, who
is an employee, contractor, or volunteer for a child-caring agency governed by
OAR chapter 413 division 215; an In-Home Safety and Reunification Services
(ISRS) program; a Strengthening, Preserving and Reunifying Families (SPRF)
provider; or a system of care contractor providing child welfare services
pursuant to ORS chapter 418.
(J) A
homecare worker as defined in ORS
410.600,
a personal support worker as defined in ORS
410.600,
a personal care services provider, or an independent provider employed by a
Department or Authority client who provides care to the client if the
Department or Authority helps pay for the services.
(K) Pursuant to OAR 461-165-0180, a child
care provider reimbursed through the Department's child care program,
associated individuals, and other individuals in child care facilities that are
exempt from certification or registration by the Office of Child Care of the
Oregon Department of Education. As of 9/1/2022, all of the child care provider
SIs will have their checks conducted by the Central Background Registry under
the Department of Education early Learning Division (Department of Early
Learning and Care as of July 1, 2023). For any child care provider listing
forms received by ODHS and still pending as of 9/1/2022, individuals included
on the listing form who meet the definition of child care provider SI will
remain SIs under these rules until the background checks are completed in their
entirety (from initial submission to BCU through fitness determination or
closure, and appeal if allowed and requested by the SI). Child care provider
SIs include:
(i) The child care
provider;
(ii) Employees of the
child care provider;
(iii) Any
individual the child care provider uses to supervise a child in the absence of
the child care provider;
(iv) Each
individual 16 years of age or older who lives in the provider's home if child
care is provided in the home;
(v)
Each individual who visits the provider's home during the hours care is
provided and may have unsupervised access to a child in care.
(L) An appointing authority, QED,
or QEI associated with any entity or agency licensed, certified, registered,
otherwise regulated by the Department, or subject to these rules.
(M) An individual providing on the job
certified nursing assistant classes to staff within a long term care
facility.
(N) A student enrolled in
a Board of Nursing approved nursing assistant training program in which the
instruction and training occurs solely in a nursing facility.
(O) Except for those excluded under section
(12)(b)(B), a student or intern who provides care or has direct contact with
clients, client information, or client funds within or on behalf of a
QE.
(P) Any individual serving as
an owner, operator, or manager of a room and board facility pursuant to OAR
chapter 411, division 68.
(Q) An
employee providing care to clients of the Department's Aging and People with
Disabilities (APD) programs who works for an in-home care agency as defined by
ORS
443.305
which has enrolled to deliver Medicaid funded services as described in OAR
411-033-0000 to 411-033 to 0030 for Department clients.
(R) Any individual who is required to
complete a background check pursuant to Department or Authority program rules,
if the requirement is within the Department or Authority's statutory authority.
Specific statutory authority or reference to these rules and who is subject to
a background check must be specified in the program rules. Whether hiring on a
preliminary basis, restricted approval, or how often a recheck is needed may
also be specified in the program rules. The exceptions in section (12)(b) do
not apply to these SIs.
(S) Any
individual who is required to complete a background check pursuant to a
contract with the Department or Authority to provide care to vulnerable
individuals, if the requirement is within the Department or Authority's
statutory authority. Specific statutory authority or reference to these rules
and the positions under the contract subject to a background check must be
specified in the contract. Whether hiring on a preliminary basis, restricted
approval, or how often a recheck is needed may also be specified in the
contract. The exceptions in section (12)(b) do not apply to these
SIs.
(b) An SI does not
include:
(A) Any individual under 16 years of
age.
(B) A student or intern in a
clinical placement at a clinical training setting subject to administrative
rules implemented under ORS
413.435
and OAR 409-030-0100 to 409-030-0250.
(C) Department, Authority, or QE clients. The
only circumstance in which BCU allows a check to be performed on a client
pursuant to this paragraph is if the client falls within the definition of
"subject individual" as listed in sections (12)(a)(A)-(E) and (12)(a)(G)-(S) of
this rule, or if the facility is dually licensed for different populations of
vulnerable individuals.
(D)
Individuals working in child care facilities certified or registered by the
Office of Child Care of the Oregon Department of Education.
(E) Volunteers providing any care or services
for a QE's special event lasting no more than 2 weeks whose access to clients
is no more than three days within the two-week period. These volunteers must
always be actively supervised in accordance with OAR 407-007-0315 and have no
unsupervised contact with clients.
(F) Individuals employed by a private
business that provides services to clients and the general public and is not
regulated by the Department or Authority.
(G) Individuals employed by a business that
provides appliance or structural repair for clients and the general public and
who are temporarily providing these services in a licensed or certified QE. The
QE must ensure active supervision of these individuals while on QE property and
the QE may not allow unsupervised contact with QE clients or residents. This
exclusion does not apply to a business that receives funds from the Department
or Authority for care provided by an employee of the business.
(H) Individuals employed by a private
business in which a client of the Department or Authority is working as part of
a Department- or Authority-sponsored employment service program. This exclusion
does not apply to an employee of a business that receives funds from the
Department or Authority for care provided by the employee.
(I) Employees, contractors, students,
interns, and volunteers working in hospitals, ambulatory surgical centers,
outpatient renal dialysis facilities, extended stay centers, and freestanding
birthing centers, as defined in ORS
442.015, and special
inpatient care facilities as defined by the Authority in administrative
rule.
(J) Employees, contractors,
students, interns, and volunteers working in home health agencies, in-home care
agencies, or hospice programs as defined by the Authority in administrative
rule.
(K) Volunteers, who are not
under the direction and control of a licensed, certified, registered, or
otherwise regulated QE.
(L)
Individuals employed or volunteering in a Medicare-certified health care
business which is not subject to licensure or certification by the State of
Oregon.
(M) Individuals working in
restaurants or at public swimming pools.
(N) Hemodialysis technicians.
(O) Employees, contractors, temporary
workers, or volunteers who provide care, or have direct contact with clients,
client information, or client funds of an alcohol and drug program that is
certified, licensed, or approved by the Authority's Health Systems Division to
provide prevention, evaluation, or treatment services. This exclusion does not
apply to programs specifically required by other Authority program rules to
conduct criminal records checks in accordance with these rules.
(P) Individuals working for a transit service
provider which conducts background checks pursuant to ORS
267.237.
(Q) Emergency medical technicians and first
responders certified by the Authority's Emergency Medical Services and Trauma
Systems program.
(R) Employees,
contractors, temporary workers, or volunteers of continuing care retirement
communities registered under OAR chapter 411, division 67.
(S) Individuals hired by or on behalf of a
resident in a QE to provide care privately to the resident.
(T) An employee, contractor, temporary
worker, or volunteer who provides care or has direct contact with specific
clients, client information, or client funds within or on behalf of any entity
or agency licensed, certified, registered, or otherwise regulated by the
Department or Authority, where the clients served permanently reside in another
state.
Notes
Statutory/Other Authority: ORS 181A.200, 409.027 & 409.050
Statutes/Other Implemented: ORS 181A.200, 409.027, ORS 181A.195, 443.004 & ORS 418.248
State regulations are updated quarterly; we currently have two versions available. Below is a comparison between our most recent version and the prior quarterly release. More comparison features will be added as we have more versions to compare.
OAR 125-007-0210 and 407-007-0010 include definitions for words and terms used in OAR chapter 407, division 007. The following definitions apply specifically to OAR 407-007-0200 to 407-007-0370:
(1) "Appointing authority" means an individual designated by the qualified entity (QE) who is responsible for appointing QE designees (QEDs). Examples include but are not limited to human resources staff with the authority to offer and terminate employment, a business owner, a member of the board of directors, a director, or a program administrator.
(2) "Credible evidence" means available facts, when viewed objectively with the surrounding circumstances, would cause a reasonable person to believe that an event has occurred.
(3) "Good Standing" means the SI is in an approved status on the registry (see OAR 407-007-0600 to 407-007-0640) and may continue to work without active supervision (see OAR 407-007-0315(7)) in an approved status in all any current positions listed for the SI.
(4) "Ineligible" means BCU has determined that an SI has one or more convictions that prohibit the SI from holding the position listed in the background check request. Ineligibility is due to either the SI being subject to:
(b) A federal law or regulation that includes mandatory exclusions.
(5) "Mandatory exclusion" a conviction or condition from a federal law, regulation or directive that would prohibit the SI from holding the position listed in the background check request.
(6) "Portability" means the ability of an SI to use one approved background check for a defined period of time for immediate hirability for a position offered by a QE within a group as determined by the Department. See OAR 407-007-0600 to 407-007-0640.
(7) "Potentially disqualifying abuse" means abuse that is considered potentially disqualifying in a background check pursuant to OAR 407-007-0290(11). If formal review or appeal rights are offered to the alleged perpetrator (SI), BCU may consider the abuse as potentially disqualifying after these rights are completed or timed out.
(8) "Proctor foster parent" means an individual who is an applicant for certification or recertification of a proctor foster home by a child-caring agency pursuant to OAR 413-215-0301 to 413-215-0396.
(9) "Qualified entity (QE)" means a community mental health or developmental disability program, local health department, or an individual, business, or organization, whether public, private, for-profit, nonprofit, or voluntary, that provides care, including a business or organization that licenses, certifies, or registers others to provide care (see ORS 181A.200).
(10) "QE designee (QED)" means an approved SI appointed by the QE's appointing authority to handle background checks on behalf of the QE.
(11) "QE Initiator (QEI)" means an approved SI to whom BCU has granted access to BCU' online background check system for one QE for the purpose of entering background check request data.
(12) "Subject individual (SI)" means an individual on whom BCU may conduct a criminal records check or an abuse check or both, and from whom BCU may require fingerprints for the purpose of conducting a national criminal records check.
(a) An SI includes any of the following:
(A) An individual who is licensed, certified, registered, or otherwise regulated or authorized for payment by the Department or Authority and who provides care.
(B) An employee, contractor, temporary worker, or volunteer who provides care or has direct contact with clients, client information, or client funds within or on behalf of any entity or agency licensed, certified, registered, or otherwise regulated by the Department or Authority.
(C) Any individual who is paid directly or indirectly with public funds who has or will have direct contact with recipients of:
(i) Services within an adult foster home (defined in ORS 443.705); or
(ii) Services within a residential facility (defined in ORS 443.400).
(D) Any individual secured by any residential care or assisted living facility licensed by the Department in accordance with OAR chapter 411 division 54 through the services of a personnel services or staffing agency who works and provides care or has direct contact with clients, client information, or client funds.
(E) Any individual secured by any residential care or assisted living facility licensed by the Department in accordance with OAR chapter 411 division 85 through the services of a personnel services or staffing agency who works and provides care or has direct contact with clients, client information, or client funds.
(F) Except as excluded in section (12)(b)(C) and (D) of this rule, an individual who lives in a facility that is licensed, certified, registered, or otherwise regulated by the Department to provide care. The position of this SI includes but is not limited to resident manager, household member, boarder, or tenant.
(G) Any referral agent, and any employee of a referral agent of a long term care referral entity pursuant to OAR 411-058-0000 to 411-058-0100 who comes into direct contact with clients.
(H) For child foster homes licensed by the Department's Developmental Disabilities (DD) programs, or child foster or adoptive homes governed by OAR chapter 413, division 215:
(i) A foster parent or proctor foster parent;
(ii) An adoptive parent applicant or an approved adoptive parent;
(iii) A household member in an adoptive or foster home 18 years of age and over;
(iv) A household member in an adoptive or foster home under 18 years of age if there is reason to believe that the household member may pose a risk to children placed in the home; and
(v) A respite care provider or alternate caregiver.
(I) An individual with contact with clients, client information, or client funds, who is an employee, contractor, or volunteer for a child-caring agency governed by OAR chapter 413 division 215; an In-Home Safety and Reunification Services (ISRS) program; a Strengthening, Preserving and Reunifying Families (SPRF) provider; or a system of care contractor providing child welfare services pursuant to ORS chapter 418.
(J) A homecare worker as defined in ORS 410.600, a personal support worker as defined in ORS 410.600, a personal care services provider, or an independent provider employed by a Department or Authority client who provides care to the client if the Department or Authority helps pay for the services.
(K) Pursuant to OAR 461-165-0180, a child care provider reimbursed through the Department's child care program, associated individuals, and other individuals in child care facilities that are exempt from certification or registration by the Office of Child Care of the Oregon Department of Education. As of 9/1/2022, all of the child care provider SIs will have their checks conducted by the Central Background Registry under the Department of Education early Learning Division (Department of Early Learning and Care as of July 1, 2023. For any background checks already initiated with BCU and still pending as of 9/1/2022 (including any appeals), the child care provider SIs will remain SIs under these rules until the background checks are completed in their entirety (including through appeal if requested). Child care provider SIs include:
(i) The child care provider;
(ii) Employees of the child care provider;
(iii) Any individual the child care provider uses to supervise a child in the absence of the child care provider;
(iv) Each individual 16 years of age or older who lives in the provider's home if child care is provided in the home;
(v) Each individual who visits the provider's home during the hours care is provided and may have unsupervised access to a child in care.
(L) An appointing authority, QED, or QEI associated with any entity or agency licensed, certified, registered, otherwise regulated by the Department, or subject to these rules.
(M) An individual providing on the job certified nursing assistant classes to staff within a long term care facility.
(N) A student enrolled in a Board of Nursing approved nursing assistant training program in which the instruction and training occurs solely in a nursing facility.
(O) Except for those excluded under section (12)(b)(B), a student or intern who provides care or has direct contact with clients, client information, or client funds within or on behalf of a QE.
(P) Any individual serving as an owner, operator, or manager of a room and board facility pursuant to OAR chapter 411, division 68.
(Q) An employee providing care to clients of the Department's Aging and People with Disabilities (APD) programs who works for an in-home care agency as defined by ORS 443.305 which has enrolled to deliver Medicaid funded services as described in OAR 411-033-0000 to 411-033 to 0030 for Department clients.
(R) Any individual who is required to complete a background check pursuant to Department or Authority program rules, if the requirement is within the Department or Authority's statutory authority. Specific statutory authority or reference to these rules and who is subject to a background check must be specified in the program rules. Whether hiring on a preliminary basis, restricted approval, or how often a recheck is needed may also be specified in the program rules. The exceptions in section (12)(b) do not apply to these SIs.
(S) Any individual who is required to complete a background check pursuant to a contract with the Department or Authority to provide care to vulnerable individuals, if the requirement is within the Department or Authority's statutory authority. Specific statutory authority or reference to these rules and the positions under the contract subject to a background check must be specified in the contract. Whether hiring on a preliminary basis, restricted approval, or how often a recheck is needed may also be specified in the contract. The exceptions in section (12)(b) do not apply to these SIs.
(b) An SI does not include:
(A) Any individual under 16 years of age.
(B) A student or intern in a clinical placement at a clinical training setting subject to administrative rules implemented under ORS 413.435 and OAR 409-030-0100 to 409-030-0250.
(C) Department, Authority, or QE clients. The only circumstance in which BCU allows a check to be performed on a client pursuant to this paragraph is if the client falls within the definition of "subject individual" as listed in sections (12)(a)(A)-(E) and (12)(a)(G)-(S) of this rule, or if the facility is dually licensed for different populations of vulnerable individuals.
(D) Individuals working in child care facilities certified or registered by the Office of Child Care of the Oregon Department of Education.
(E) Volunteers providing any care or services for a QE's special event lasting no more than 2 weeks whose access to clients is no more than three days within the two-week period. These volunteers must always be actively supervised in accordance with OAR 407-007-0315 and have no unsupervised contact with clients.
(F) Individuals employed by a private business that provides services to clients and the general public and is not regulated by the Department or Authority.
(G) Individuals employed by a business that provides appliance or structural repair for clients and the general public and who are temporarily providing these services in a licensed or certified QE. The QE must ensure active supervision of these individuals while on QE property and the QE may not allow unsupervised contact with QE clients or residents. This exclusion does not apply to a business that receives funds from the Department or Authority for care provided by an employee of the business.
(H) Individuals employed by a private business in which a client of the Department or Authority is working as part of a Department- or Authority-sponsored employment service program. This exclusion does not apply to an employee of a business that receives funds from the Department or Authority for care provided by the employee.
(I) Employees, contractors, students, interns, and volunteers working in hospitals, ambulatory surgical centers, outpatient renal dialysis facilities, extended stay centers, and freestanding birthing centers, as defined in ORS 442.015, and special inpatient care facilities as defined by the Authority in administrative rule.
(J) Employees, contractors, students, interns, and volunteers working in home health agencies, in-home care agencies, or hospice programs as defined by the Authority in administrative rule.
(K) Volunteers, who are not under the direction and control of a licensed, certified, registered, or otherwise regulated QE.
(L) Individuals employed or volunteering in a Medicare-certified health care business which is not subject to licensure or certification by the State of Oregon.
(M) Individuals working in restaurants or at public swimming pools.
(N) Hemodialysis technicians.
(O) Employees, contractors, temporary workers, or volunteers who provide care, or have direct contact with clients, client information, or client funds of an alcohol and drug program that is certified, licensed, or approved by the Authority's Health Systems Division to provide prevention, evaluation, or treatment services. This exclusion does not apply to programs specifically required by other Authority program rules to conduct criminal records checks in accordance with these rules.
(P) Individuals working for a transit service provider which conducts background checks pursuant to ORS 267.237.
(Q) Emergency medical technicians and first responders certified by the Authority's Emergency Medical Services and Trauma Systems program.
(R) Employees, contractors, temporary workers, or volunteers of continuing care retirement communities registered under OAR chapter 411, division 67.
(S) Individuals hired by or on behalf of a resident in a QE to provide care privately to the resident.
(T) An employee, contractor, temporary worker, or volunteer who provides care or has direct contact with specific clients, client information, or client funds within or on behalf of any entity or agency licensed, certified, registered, or otherwise regulated by the Department or Authority, where the clients served permanently reside in another state.
Notes
Statutory/Other Authority: ORS 181A.200, 409.027 & 409.050
Statutes/Other Implemented: ORS 181A.200, 409.027, ORS 181A.195, 443.004 & ORS 418.248