II

106TH CONGRESS

2D SESSION S. 3066

To amend titles XVIII and XIX of the Social Security Act to require criminal

background checks for nursing facility workers.

IN THE SENATE OF THE UNITED STATES

SEPTEMBER 19, 2000

Mr. ASHCROFT introduced the following bill; which was read twice and

referred to the Committee on Finance

A BILL

To amend titles XVIII and XIX of the Social Security Act

to require criminal background checks for nursing facility

workers.

1 Be it enacted by the Senate and House of Representa2 tives of the United States of America in Congress assembled,

3 SECTION 1. SHORT TITLE.

4 This Act may be cited as the ‘‘Senior Care Safety

5 Act of 2000’’.

6 SEC. 2. CRIMINAL BACKGROUND CHECKS FOR NURSING

7 FACILITY WORKERS.

8 (a) MEDICARE.—

9 (1) REQUIREMENT TO CONDUCT CRIMINAL

10 BACKGROUND CHECKS.—Section 1819(d)(4) of the
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1 Social Security Act (42 U.S.C. 1395i–3(d)(4)) is

2 amended—

3 (A) by redesignating subparagraph (B) as

4 subparagraph (C); and

5 (B) by inserting after subparagraph (A)

6 the following new subparagraph:

7 ‘‘(B) SCREENING OF WORKERS.—

8 ‘‘(i) IN GENERAL.—A skilled nursing

9 facility shall not knowingly employ an indi10 vidual unless the individual has passed a

11 criminal background check conducted in

12 accordance with the requirements of clause

13 (ii).

14 ‘‘(ii) REQUIREMENTS.—

15 ‘‘(I) NOTIFICATION.—Not later

16 than 180 days after the date of enact17 ment of this subparagraph, the Sec18 retary, in consultation with the Attor19 ney General, shall notify skilled nurs20 ing facilities of the requirements of

21 this subparagraph.

22 ‘‘(II) SKILLED NURSING FACIL23 ITY REQUIREMENTS.—

24 ‘‘(aa) PROVISION OF STATE25 MENTS TO APPLICANTS.—Not
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1 later than 180 days after a

2 skilled nursing facility receives a

3 notice in accordance with sub4 clause (I), the skilled nursing fa5 cility shall adopt and enforce the

6 requirement that each applicant

7 for employment at the skilled

8 nursing facility shall complete the

9 written statement described in

10 subclause (III).

11 ‘‘(bb) TRANSMITTAL OF

12 COMPLETED STATEMENTS.—Not

13 later than 5 business days after a

14 skilled nursing facility receives

15 such completed written state16 ment, the skilled nursing facility

17 shall transmit such statement to

18 the Attorney General.

19 ‘‘(III) STATEMENT DE20 SCRIBED.—The written statement de21 scribed in this subclause shall contain

22 the following:

23 ‘‘(aa) The name, address,

24 and date of birth appearing on a

25 valid identification document (as
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1 defined section 1028(d)(2) of

2 title 18, United States Code) of

3 the applicant, a description of the

4 identification document used, and

5 the applicant’s social security ac6 count number.

7 ‘‘(bb) A statement that the

8 applicant has never been con9 victed of a crime of violence or of

10 a Federal or State offense con11 sisting of the distribution of con12 trolled substances (as that term

13 is defined in section 102(6) of

14 the Controlled Substances Act

15 (21 U.S.C. 802(6)).

16 ‘‘(cc) The date the state17 ment is made.

18 ‘‘(IV) ATTORNEY GENERAL RE19 QUIREMENTS.—

20 ‘‘(aa) IN GENERAL.—Upon

21 receipt of a completed written

22 statement from a skilled nursing

23 facility, the Attorney General,

24 using information available to the

25 Department of Justice, shall no-
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1 tify the facility of the receipt of

2 such statement and promptly de3 termine whether the applicant

4 completing the statement has

5 ever been convicted of a crime

6 described in subclause (III)(bb).

7 ‘‘(bb) NOTIFICATION OF

8 FAILURE TO PASS.—Not later

9 than 5 business days after the re10 ceipt of such statement, the At11 torney General shall inform the

12 skilled nursing facility transmit13 ting the statement if the appli14 cant completing the statement

15 did not pass the background

16 check. A skilled nursing facility

17 not so informed within such pe18 riod shall consider the applicant

19 completing the statement to have

20 passed the background check.

21 ‘‘(cc) NO FEE.—In no case

22 shall a skilled nursing facility or

23 an applicant be charged a fee in

24 connection with the background
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1 check process conducted under

2 this clause.

3 ‘‘(iii) LIMITATION ON USE OF INFOR4 MATION.—A skilled nursing facility that

5 obtains criminal background information

6 about an applicant pursuant to this sub7 paragraph may use such information only

8 for the purpose of determining the suit9 ability of the worker for employment.

10 ‘‘(iv) NO ACTION BASED ON FAILURE

11 TO HIRE.—In any action against a skilled

12 nursing facility based on a failure or re13 fusal to hire an applicant, the fact that the

14 applicant did not pass a background check

15 conducted in accordance with this subpara16 graph shall be a complete defense to such

17 action.’’.

18 (2) PENALTIES.—Section 1819(h)(1) of the So19 cial Security Act (42 U.S.C. 1395i–3(h)(1)) is

20 amended—

21 (A) by striking the heading and inserting

22 ‘‘STATE AUTHORITY’’;

23 (B) in the first sentence—
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1 (i) by redesignating subparagraphs

2 (A) and (B) as clauses (i) and (ii) and in3 denting such clauses appropriately; and

4 (ii) by striking ‘‘If a State’’ and in5 serting the following:

6 ‘‘(A) IN GENERAL.—If a State’’;

7 (C) in the second sentence, by striking ‘‘If

8 a State’’ and inserting the following:

9 ‘‘(C) PENALTIES FOR PRIOR FAILURES.—

10 If a State’’; and

11 (D) by inserting after subparagraph (A)

12 (as added by subparagraph (B)(ii) of this para13 graph) the following new subparagraph:

14 ‘‘(B) REQUIRED PENALTIES.—A civil

15 money penalty of not more than $5000 shall be

16 assessed and collected, with interest, against

17 any facility which is or was out of compliance

18 with the requirements of clause (i), (ii)(II), or

19 (iii) of subsection (d)(4)(B).’’.

20 (b) MEDICAID.—

21 (1) REQUIREMENT TO CONDUCT CRIMINAL

22 BACKGROUND CHECKS.—Section 1919(d)(4) of the

23 Social Security Act (42 U.S.C. 1396r(d)(4)) is

24 amended—
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1 (A) by redesignating subparagraph (B) as

2 subparagraph (C); and

3 (B) by inserting after subparagraph (A)

4 the following new subparagraph:

5 ‘‘(B) SCREENING OF WORKERS.—

6 ‘‘(i) IN GENERAL.—A nursing facility

7 shall not knowingly employ an individual

8 unless the individual has passed a criminal

9 background check conducted in accordance

10 with the requirements of clause (ii).

11 ‘‘(ii) REQUIREMENTS.—

12 ‘‘(I) NOTIFICATION.—Not later

13 than 180 days after the date of enact14 ment of this subparagraph, the Sec15 retary, in consultation with the Attor16 ney General, shall notify nursing fa17 cilities of the requirements of this

18 subparagraph.

19 ‘‘(II) NURSING FACILITY RE20 QUIREMENTS.—

21 ‘‘(aa) PROVISION OF STATE22 MENTS TO APPLICANTS.—Not

23 later than 180 days after a nurs24 ing facility receives a notice in

25 accordance with subclause (I),
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1 the nursing facility shall adopt

2 and enforce the requirement that

3 each applicant for employment at

4 the nursing facility shall complete

5 the written statement described

6 in subclause (III).

7 ‘‘(bb) TRANSMITTAL OF

8 COMPLETED STATEMENTS.—Not

9 later than 5 business days after a

10 nursing facility receives such

11 completed written statement, the

12 nursing facility shall transmit

13 such statement to the Attorney

14 General.

15 ‘‘(III) STATEMENT DE16 SCRIBED.—The written statement de17 scribed in this subclause shall contain

18 the following:

19 ‘‘(aa) The name, address,

20 and date of birth appearing on a

21 valid identification document (as

22 defined section 1028(d)(2) of

23 title 18, United States Code) of

24 the applicant, a description of the

25 identification document used, and
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1 the applicant’s social security ac2 count number.

3 ‘‘(bb) A statement that the

4 applicant has never been con5 victed of a crime of violence or of

6 a Federal or State offense con7 sisting of the distribution of con8 trolled substances (as that term

9 is defined in section 102(6) of

10 the Controlled Substances Act

11 (21 U.S.C. 802(6)).

12 ‘‘(cc) The date the state13 ment is made.

14 ‘‘(IV) ATTORNEY GENERAL RE15 QUIREMENTS.—

16 ‘‘(aa) IN GENERAL.—Upon

17 receipt of a completed written

18 statement from a nursing facility,

19 the Attorney General, using in20 formation available to the De21 partment of Justice, shall notify

22 the facility of the receipt of such

23 statement and promptly deter24 mine whether the applicant com25 pleting the statement has ever
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1 been convicted of a crime de2 scribed in subclause (III)(bb).

3 ‘‘(bb) NOTIFICATION OF

4 FAILURE TO PASS.—Not later

5 than 5 business days after the re6 ceipt of such statement, the At7 torney General shall inform the

8 nursing facility transmitting the

9 statement if the applicant com10 pleting the statement did not

11 pass the background check. A

12 nursing facility not so informed

13 within such period shall consider

14 the applicant completing the

15 statement to have passed the

16 background check.

17 ‘‘(cc) NO FEE.—In no case

18 shall a nursing facility or an ap19 plicant be charged a fee in con20 nection with the background

21 check process conducted under

22 this clause.

23 ‘‘(iii) LIMITATION ON USE OF INFOR24 MATION.—A nursing facility that obtains

25 criminal background information about an
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1 applicant pursuant to this subparagraph

2 may use such information only for the pur3 pose of determining the suitability of the

4 worker for employment.

5 ‘‘(iv) NO ACTION BASED ON FAILURE

6 TO HIRE.—In any action against a nursing

7 facility based on a failure or refusal to hire

8 an applicant, the fact that the applicant

9 did not pass a background check conducted

10 in accordance with this subparagraph shall

11 be a complete defense to such action.’’.

12 (2) PENALTIES.—Section 1919(h)(2)(A) of the

13 Social Security Act (42 U.S.C. 1396r(h)(2)(A)) is

14 amended by inserting after clause (iv) the following

15 new clause:

16 ‘‘(v) A civil money penalty of not

17 more than $5000 shall be assessed and col18 lected, with interest, against any facility

19 which is or was out of compliance with the

20 requirements of clause (i), (ii)(II), or (iii)

21 of subsection (d)(4)(B).’’.

22 (c) EFFECTIVE DATE.—The amendments made by

23 this section take effect on October 1, 2000.
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1 SEC. 3. REPORT ON CRIMINAL BACKGROUND CHECKS.

2 (a) IN GENERAL.—Not later than 3 years after the

3 date of enactment of this Act, the Attorney General shall

4 conduct a study of the effects of background checks in

5 nursing facilities and submit a report to Congress that in6 cludes the following:

7 (1) The success of conducting background

8 checks on nursing facility employees.

9 (2) The impact of background checks on patient

10 care in such facilities.

11 (3) The need to conduct background checks in

12 other patient care settings outside of nursing facili13 ties.

14 (4) Suggested methods for further improving

15 the background check system and the estimated

16 costs of such improvements.

17 (b) DEFINITION OF NURSING FACILITY.—In sub18 section (a), the term ‘‘nursing facility’’ has the meaning

19 given that term in section 1919(a) of the Social Security

20 Act (42 U.S.C. 1396r(a)) and includes a skilled nursing

21 facility (as defined in section 1819(a) of such Act (42

22 U.S.C. 1395i–3(a))).

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