Department of Human Services, Administrative Services Division and Director’s Office, Chapter 407
Rule Caption: Addition of Potentially Disqualifying Child Abuse in Background Checks for Certain Child Welfare Programs
Adm. Order No.: DHSD 1-2013(Temp)
Filed with Sec. of State: 2-5-2013
Certified to be Effective: 2-5-13 thru 8-2-13
Notice Publication Date:
Rules Amended: 407-007-0210, 407-007-0290
Subject: Child Welfare programs contain several contracted programs including System of Care (SOC) contractors, In-Home Safety and Reunification Services (ISRS) programs, and Strengthening, Preserving and Reunifying Families (SPRF) providers. Per contract, Child Welfare requires these programs complete background checks on staff and volunteers through the Background Check Unit (BCU). These temporary rules immediately add these employees and volunteers as being subject to the BCU background check rules to ensure contract compliance.
All subject individuals are subject to criminal records checks and abuse checks, and all have potentially disqualifying convictions and conditions which are considered. The consideration of child abuse as potentially disqualifying is specific to certain types of subject individuals depending on federal and state laws and regulations, and the type of care the subject individuals provide. These temporary rules make valid, founded or substantiated child abuse, in which the subject individual is responsible for the abuse, potentially disqualifying for the employees and volunteers of the SOC, ISRS, and SPRF programs.
Administrative changes are also being made to update rules to reflect current division and office names.
Rules Coordinator: Jennifer Bittel—(503) 947-5250
As used in OAR 407-007-0200 to 407-007-0370 the following definitions apply:
(1) “Abuse” has the meaning given in the administrative rules promulgated by the Department or Authority corresponding to the setting in which the abuse was alleged or investigated.
(2) “Abuse check” means obtaining and reviewing abuse allegations, abuse investigation reports, and associated exhibits and documents for the purpose of determining whether an SI has a history as a perpetrator of potentially disqualifying abuse (a potentially disqualifying condition) as described in OAR 407-007-0290(11).
(3) “Abuse investigation report” means a written report completed after an investigation into suspected abuse and retained by the Department or the Authority pursuant to ORS 124.085, 419B.030, or 430.757, or a similar report filed in another state agency or by another state.
(4) “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.
(5) “Approved” means that an SI, following a final fitness determination, is fit to work, volunteer, be employed, or otherwise perform in the position listed in the background check request.
(6) “Approved with restrictions” means an approval in which some restriction is made including but not limited to an SI, an SI’s environment, the type or number of clients for whom an SI may provide care, or the information to which an SI has access.
(7) “Authority” means the Oregon Health Authority.
(8) “Background check” means a criminal records check and an abuse check under these rules.
(9) “Background Check Unit (BCU)” means the Background Check Unit conducting background checks for the Department and the Authority.
(10) “Care” means the provision of care, treatment, education, training, instruction, supervision, placement services, recreation, or support to children, the elderly, or individuals with disabilities (see ORS 181.537).
(11) “Client” means any individual who receives services, care, or funding for care through the Department or Authority.
(12) “Closed case” means a background check request that has been closed without a final fitness determination.
(13) “Criminal records check” means obtaining and reviewing criminal records as required by these rules and includes any or all of the following:
(a) An Oregon criminal records check where criminal offender information is obtained from the Oregon State Police (OSP) using the Law Enforcement Data System (LEDS). The Oregon criminal records check may also include a review of other criminal records information.
(b) A national criminal records check where records are obtained from the Federal Bureau of Investigation (FBI) through the use of fingerprint cards sent to OSP and other identifying information. The national criminal records check may also include a review of other criminal records information.
(c) A state-specific criminal records check where records are obtained from law enforcement agencies, courts, or other criminal records information resources located in, or regarding, a state or jurisdiction outside Oregon.
(14) “Criminal Information Management System (CRIMS)” means the electronic records system used to process and maintain background check records under these rules.
(15) “Criminal offender information” means records, including fingerprints and photographs, received, compiled, and disseminated by OSP for purposes of identifying criminal offenders and alleged offenders and maintained as part of an individual’s records of arrest, the nature and disposition of criminal charges, sentencing, confinement, and release, but does not include the retention by OSP of records of transfer of inmates between penal institutions or other correctional facilities.. It also includes the OSP Computerized Criminal History System (see OAR 257-010-0015).
(16) “Denied” means that an SI, following a fitness determination including a weighing test, is not fit to work, volunteer, be employed, reside, or otherwise hold the position listed on the background check request.
(17) “Department” means the Department of Human Services.
(18) “Fitness determination” means the decision in a case that is not closed and includes:
(a) The decision regarding a background check request and preliminary review (a preliminary fitness determination); or
(b) The decision regarding a background check request, completed background check, including gathering other information as necessary, and a final review by BCU (a final fitness determination).
(19) “Founded or substantiated” has the meaning given in the Department or Authority’s administrative rules corresponding to the setting in which the abuse was alleged or investigated.
(20) “Good cause” means a valid and sufficient reason for not complying with established time frames during the background check process or contested case hearing process that includes but is not limited to an explanation of circumstances beyond a subject individual’s reasonable control.
(21) “Hearing representative” means a Department employee representing the Department in a contested case hearing.
(22) “Hired on a preliminary basis” means a condition in which a QE allows an SI to work, volunteer, be trained, or reside in an environment following the submission of a background check request. Hired on a preliminary basis may also be called probationary status.
(23) “Ineligible Due to ORS 443.004” means BCU has determined that an SI, subject to 443.004 and either OAR 407-007-0275 or 407-007-0277, has one or more convictions that prohibits the SI from holding the position listed in the background check request.
(24) “Office of Adult Abuse Prevention and Investigations (OAAPI)” means the Office of Investigation and Training, a shared service of the Department and Authority.
(25) “Other criminal records information” means information obtained and used in the criminal records check process that is not criminal offender information from OSP. Other criminal records information includes but is not limited to police investigations and records, information from local or regional criminal records information systems, justice records, court records, information from the Oregon Judicial Information Network, sexual offender registration records, warrants, Oregon Department of Corrections records, Oregon Department of Transportation’s Driver and Motor Vehicle Services Division information, information provided on the background check requests, disclosures by a subject individual, and any other information from any jurisdiction obtained by or provided to the Department for the purpose of conducting a fitness determination.
(26) “Position” means the position listed in the background check request which determines whether the individual is a subject individual under these rules, Department program rules or Authority program rules.
(27) “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 181.537).
(28) “QE designee (QED)” means an individual appointed by the QE’s appointing authority to handle background checks on behalf of the QE.
(29) “QE Initiator (QEI)” means an approved subject individual (SI) who BCU has granted access to CRIMS for one QE for the purpose of entering background check request data.
(30) “Subject individual (SI)” means an individual on whom BCU may conduct a criminal records check and an abuse check, 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 access to 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 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 direct care staff secured by any residential care facility or assisted living facility through the services of a personnel services or staffing agency who works in the facility.
(E) Any direct care staff secured by any nursing facility through the services of a personnel services or staffing agency who works in the facility
(F) Except as excluded in section (30)(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, or boarder.
(G) An individual working or volunteering for a private licensed child caring agency; an In-Home Safety and Reunification Services (ISRS) program, a Strengthening, Preserving and Reunifying Families (SPRF) provider; or System of Care (SOC) contractor providing child welfare services pursuant to ORS Chapter 418.
(H) A homecare worker as defined in ORS 410.600, a personal support worker as defined in 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.
(I) A child care provider and their employees reimbursed through the Department’s child care program and other individuals in child care facilities that are exempt from certification or registration by the Child Care Division of the Oregon Employment Department (OED). This includes all individuals who reside in or who are frequent visitors to the residence or facility where the child care services are provided and who may have unsupervised access to the children (see OAR 461-165-0180).
(J) 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.
(K) An individual providing on the job certified nursing assistant classes to staff within a long term care facility.
(L) A student enrolled in a long term care facility nursing assistant training program for employment at the facility.
(M) Any individual serving as an owner, operator, or manager of a room and board facility pursuant to OAR chapter 411, division 68.
(N) An employee providing care to clients of the Department’s Aging and People with Disabilities programs who works for an in-home care agency as defined by ORS 443.305 which has a contract with the Department’s Aging and People with Disabilities programs.
(O) Any individual who is required to complete a background check pursuant to Department or Authority program rules or a contract with the Department or Authority, 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 criminal records check must be specified in the contract. The exceptions in section (30)(b) do not apply to these SIs.
(b) An SI does not include:
(A) Any individual under 16 years of age.
(B) An individual receiving training through a Department-licensed or Department-certified QE as part of the required curriculum through any college, university, or other training program and who is not an employee for the QE in which training is provided. The individual may not be considered a volunteer under these rules. QEs must ensure that all students or interns have passed a substantially equivalent background check process through the training program or are:
(i) Actively supervised at all times as defined in OAR 407-007-0315; and
(ii) Not allowed to have unsupervised access to vulnerable individuals.
(C) Department, Authority, or QE clients. The only circumstance in which BCU shall allow 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 (30)(a)(A)–(E) and (30)(a)(G)–(O) 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 OED.
(E) Individuals employed by a private business that provides services to clients and the general public and is not regulated by the Department or Authority.
(F) 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 shall 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.
(G) 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.
(H) Employees and volunteers working in hospitals, ambulatory surgical centers, special inpatient care facilities, outpatient renal dialysis facilities, and freestanding birthing centers as defined in ORS 442.015.
(I) Volunteers, who are not under the direction and control of a licensed, certified, registered, or otherwise regulated QE.
(J) Individuals employed or volunteering in a Medicare-certified health care business which is not subject to licensure or certification by the State of Oregon.
(K) Individuals working in restaurants or at public swimming pools.
(L) Hemodialysis technicians.
(M) Employees, contractors, temporary workers, or volunteers who provide care, or have access to clients, client information, or client funds of an alcohol and drug program that is certified, licensed, or approved by the Authority’s Addictions and Mental Health 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.
(N) Individuals working for a transit service provider which conducts background checks pursuant to ORS 267.237.
(O) Individuals being certified by the Department as interpreters pursuant to ORS 409.623. This exclusion does not apply to Department-certified interpreters when being considered for a specific position.
(P) Provider group categories that were authorized for payment by the Department for care if the provider group categories were not covered by a Department criminal record check process prior to 2004.
(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.
(31) “Weighing test” means a process in which BCU considers available information to make a fitness determination when an SI has potentially disqualifying convictions or conditions.
Stat. Auth.: ORS
181.537, 409.027 & 409.050
Stats. Implemented: ORS 181.534, 181.537, 409.010, 409.027 & 443.004
Hist.: OMAP 8-2004, f. 2-26-04, cert. ef. 3-1-04; OMAP 77-2004(Temp), f. & cert. ef. 10-1-04 thru 3-29-05; OMAP 22-2005, f. & cert. ef. 3-29-05; Renumbered from 410-007-0210, DHSD 8-2007, f. 8-31-07, cert. ef. 9-1-07; Hist.: DHSD 2-2008(Temp), f. & cert. ef. 3-31-08 thru 9-26-08; DHSD 7-2008, f. 8-29-08, cert. ef. 9-1-08; DHSD 10-2008, f. 12-26-08, cert. ef. 1-1-09; DHSD 2-2009, f. & cert. ef. 4-1-09; DHSD 7-2009, f. & cert. ef. 10-1-09; DHSD 10-2009, f. 12-31-09, cert. ef. 1-1-10; DHSD 8-2010(Temp), f. & cert. ef. 8-12-10 thru 2-7-11; DHSD 10-2010, f. 10-29-10, cert. ef. 10-31-10; DHSD 1-2011(Temp) f. & cert. ef. 4-15-11 thru 10-11-11; DHSD 7-2011(Temp), f. & cert. ef. 10-12-11 thru 11-1-11; DHSD 8-2011, f. 10-28-11, cert. ef. 11-1-11; DHSD 2-2012(Temp), f. & cert. ef. 2-27-12 thru 8-24-12; DHSD 4-2012, f. & cert. ef. 8-1-12; DHSD 1-2013(Temp), f. & cert. ef. 2-5-13 thru 8-2-13
Other Potentially Disqualifying Conditions
The following are potentially disqualifying conditions:
(1) The SI makes a false statement to the QE, Department, or Authority, including the provision of materially false information, false information regarding criminal records, or failure to disclose information regarding criminal records. Nondisclosure of violation or infraction charges may not be considered a false statement.
(2) The SI is a registered sex offender in any jurisdiction. There is a rebuttable presumption that an SI is likely to engage in conduct that would pose a significant risk to vulnerable individuals if the SI has been designated a predatory sex offender in any jurisdiction under ORS 181.585 or found to be a sexually violent dangerous offender under 144.635 (or similar statutes in other jurisdictions).
(3) The SI has an outstanding warrant for any crime in any jurisdiction.
(4) The SI has a deferred sentence, conditional discharge, or is participating in a diversion program for any crime in any jurisdiction.
(5) The SI is currently on probation, parole, or post-prison supervision for any crime in any jurisdiction, regardless of the original conviction date (or date of guilty or no contest plea if there is no conviction date).
(6) The SI has been found in violation of post-prison supervision, parole, or probation for any crime in any jurisdiction, regardless of the original conviction date (or date of guilty or no contest plea if there is no conviction date), within five years from the date the background check request was signed or the date the Department conducted a criminal records check due to imminent danger.
(7) The SI has an unresolved arrest, charge, or a pending indictment for any crime in any jurisdiction.
(8) The SI has been arrested in any jurisdiction as a fugitive from another state or a fugitive from justice, regardless of the date of arrest.
(9) The SI has an adjudication in a juvenile court in any jurisdiction, finding that the SI was responsible for a potentially disqualifying crime that would result in a conviction if committed by an adult. Subsequent adverse rulings from a juvenile court, such as probation violations, shall also be considered potentially disqualifying if within five years from the date the background check request was signed or the date BCU conducted a criminal records check due to imminent danger.
(10) The SI has a finding of “guilty except for insanity,” “guilty except by reason of insanity,” “not guilty by reason of insanity,” “responsible except for insanity,” “not responsible by reason of mental disease or defect,” or similarly worded disposition in any jurisdiction regarding a potentially disqualifying crime, unless the local statutes indicate that such an outcome is considered an acquittal.
(11) Potentially disqualifying abuse as determined from abuse investigation reports which have an outcome of founded, substantiated, or valid and in which the SI is determined to have been responsible for the abuse.
(a) For SIs associated with child foster homes licensed for children with developmental disabilities, child foster homes licensed through a private licensed child caring agency, or adoptive families through a private licensed child caring agency, potentially disqualifying abuse includes:
(A) Child protective services history held by the Department regardless of the date of initial report or outcome;
(B) Child protective services history reviewed pursuant to the federal Adam Walsh Act requirements, determined by BCU ADs to be potentially disqualifying; and
(C) Adult protective services investigations of physical abuse, sexual abuse, or financial exploitation initiated on or after January 1, 2010, as provided to BCU by the Office of Adult Abuse Prevention and Investigations (OAAPI) and the Aging and People with Disabilities Division (APD) based on severity.
(b) For staff, volunteers or contractors of a private licensed child caring agency, an ISRS program, a SPRF provider, or SOC contractor, providing child welfare services pursuant to ORS chapter 418:
(A) Child protective services history held by the Department regardless of the date of initial report or outcome; and
(B) Adult protective services investigations of physical abuse, sexual abuse, or financial exploitation initiated on or after January 1, 2010, as provided to BCU by OAAPI and APD based on severity.
(c) For child care providers and associated subject individuals defined in OAR 407-007-0210(30)(a)(H):
(A) Child protective services history held by the Department regardless of the date of initial report, date of outcome, and considered potentially disqualifying pursuant to OAR 461-165-0420; and
(B) Adult protective services investigations of physical abuse, sexual abuse, or financial exploitation initiated on or after January 1, 2010, as provided to BCU by OAAPI and APD based on severity.
(d) For all other SIs, potentially disqualifying abuse includes founded or substantiated adult protective services investigations of physical abuse, sexual abuse, or financial exploitation initiated on or after January 1, 2010, as provided to the BCU by OAAPI and APD based on severity.
Stat. Auth.: ORS
181.537, 409.027 & 409.050
Stats. Implemented: ORS 181.534, 181.537, 409.010, 409.027 & 418b.035
Hist.: OMAP 8-2004, f. 2-26-04, cert. ef. 3-1-04; OMAP 22-2005, f. & cert. ef. 3-29-05; Renumbered from 410-007-0290, DHSD 8-2007, f. 8-31-07, cert. ef. 9-1-07; DHSD 10-2008, f. 12-26-08, cert. ef. 1-1-09; DHSD 2-2009, f. & cert. ef. 4-1-09; DHSD 7-2009, f. & cert. ef. 10-1-09; DHSD 10-2009, f. 12-31-09, cert. ef. 1-1-10; DHSD 10-2010, f. 10-29-10, cert. ef. 10-31-10; DHSD 1-2011(Temp) f. & cert. ef. 4-15-11 thru 10-11-11; DHSD 7-2011(Temp), f. & cert. ef. 10-12-11 thru 11-1-11; DHSD 8-2011, f. 10-28-11, cert. ef. 11-1-11; DHSD 2-2012(Temp), f. & cert. ef. 2-27-12 thru 8-24-12; DHSD 4-2012, f. & cert. ef. 8-1-12; DHSD 1-2013(Temp), f. & cert. ef. 2-5-13 thru 8-2-13
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