212 R.I. Code R. 212-RICR-10-00-1.21

Current through December 3, 2024

Section 212-RICR-10-00-1.21 - Personnel

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.

212 R.I. Code R. 212-RICR-10-00-1.21

Adopted effective 1/7/2019