Source: http://regulations.delaware.gov/register/march2013/final/16%20DE%20Reg%20974%2003-01-13.htm
Timestamp: 2018-07-21 21:25:38
Document Index: 551349948

Matched Legal Cases: ['§1141', '§1141', '§1141', '§8', '§3', '§8', '§8', '§5', '§8', '§5', '§6', '§6', '§7', '§708', '§708', '§7', '§708', '§708', '§8', '§8', '§8', '§3', '§8', '§8', '§8', '§12', '§12', '§3', '§11', '§11', '§12', '§7972', '§11', '§15', '§8', '§7972', '§1114']

3105 Criminal History and Drug Testing for Nursing and Similar Facilities
The Department of Health and Social Services (“Department”) / Division of Long Term Care Residents Protection (DLTCRP) initiated proceedings to revise Regulation 3105 Criminal History Record Checks and Drug Testing. The Department’s proceedings to establish the regulation was initiated pursuant to 29 Delaware Code Section 10114 and its authority as prescribed by 16 Delaware Code Section 1124 and 31 Delaware Code Section 512.
The Department published its notice of proposed regulation changes pursuant to 29 Delaware Code Section 10115 in the January 2013 Delaware Register of Regulations, requiring written materials and suggestions from the public concerning the proposed regulations to be produced by January 31, 2013, at which time the Department would receive information, factual evidence and public comment to the said proposed changes to the regulations.
The proposal establishes Regulation 3105 History Record Checks and Drug Testing. The proposed change will establish the regulation as required by 16 Del.C., §1141(m).
29 Del.C. Chap. 79, “Department of Health and Social Services.”
16 Del.C. §1141(m), “Criminal Background Checks.”
DLCTRP is revising these regulations pursuant to 16 Del.C. §1141(m).
The proposal revises regulations to incorporate the role of the new “Background Check Center” established by statute and to conform to 2012 EEOC guidance on reliance on arrest and conviction records as they apply to hiring decisions.
On further review, the Division has determined that it is beyond the scope of our authority to issue or mandate the use of guidelines set forth by federal agencies. Therefore we have deleted §§8.3.1 and 8.3.2 that mandated that employers abide by the Equal Employment Commission, Consideration of Arrest and Conviction Records in Employment Decisions Under Title VII of the Civil Rights Act of 1964, 915.002, issued 4/25/12. The Division will provide copies of this document on request and have posted a link to the document on the Division website: http://www.dhss.delaware.gov/dhss/dltcrp/
The Governor’s Advisory Council for Exceptional Citizens (“GACEC”), the State Council for Persons with Disabilities (SCPD) offered comments and The Delaware Health Care Facilities Association (“DHCFA”) also offered comments and suggestions. DLTCRP has considered each comment and responds as follows:
Comment: 1: First, in §3.0, definition of “criminal history”, the Division includes the following sentence: “It shall be limited to convictions and arrests for which no disposition is available.”. This is problematic. The EEOC guidance (incorporated by reference at §8.6) discourages reliance on arrest records by employers. Moreover, the incidence of arrest records without disposition is high:
A 2006 study by the DOJ/BJS found that only 50% of arrest records in the FBI’s III database were associated with a final disposition.
At 5. Routinely including a high volume of arrest records without disposition manifestly violates a basic precept of the EEOC guidance.
Response: Except for the offenses listed at §8.2 the Division will no longer automatically disqualify applicants. The burden of analyzing and assessing suitability for employment rests with the employer. We are providing employers with the full record so they can conduct such an analysis and assessment in accordance with the EEOC guidelines.
Comment 2: Second, §5.2 envisions the BCC continuously monitoring employees in its Master List for both arrests and convictions. The BCC is then authorized to use its discretion in sharing arrest information with the employer. This is not consistent with the EEOC guidance. The EEOC provides the following characterization of arrest records:
The fact of an arrest does not establish that criminal conduct occurred. Arrests are not proof of criminal conduct. Many arrests do not result in criminal charges, or the charges are dismissed. Even if an individual is charged and subsequently prosecuted, he is presumed innocent unless proven guilty.
Response: The Division will receive and analyze the rap back updates. Charges with unknown dispositions or non-convictions will only be forwarded to the employer at the discretion of the Division. Again, the only convictions the Division will classify as disqualifying” are listed at §8.2. Other considerations are left to the employer.
Comment 3: Third, §5.2 contains the following sentences:
DLTCRP will monitor the charge until there is a disposition. When the disposition is known, DLTCRP will inform the Employer of the conviction.
This incorrectly presumes that all dispositions will be convictions. Consider substituting “any conviction” for “the conviction”.
Response: The Division reserves the discretion to notify employers of any new criminal court action including both pending and resolved cases, and any wanted status. The Division will inform the employer of the resolution of the criminal court action when known. We have replaced the word “conviction” with “outcome.”
5.2	The BCC automatically conducts a Rap-back on all employees listed on the Master List. The Rap-back process will provide DLTCRP with information regarding any new arrest or conviction in the state. DLTCRP will determine, at its discretion and depending of the nature of the alleged crime, whether or not to inform the employer of the arrest. DLTCRP will monitor the charge until there is a disposition. When the disposition is known, DLTCRP will inform the Employer of the [conviction outcome].
Comment 4: Fourth, the term “discrete” should be substituted for “discreet” throughout the document. It is incorrectly used in §§6.3, 6.4, 9.2, and 10.3.
Response: Substitutions made as recommended.
6.3	The original Grandfathered employee consent form shall accompany the employee to SBI for fingerprinting if so directed by DLTCRP because an SBI# is not already known by DLTCRP due to prior fingerprinting. A copy of the Grandfathered employee consent form shall be maintained in a [discreet discrete] file which is readily accessible, without delay, upon request by an agent of DLTCRP.
6.4	A copy of the BCC consent form executed by an Applicant for employment and a copy of the Master List Retention form executed by an employee who seeks to continue their place on the Master List pursuant to 6.2 above shall be maintained in separate [discreet discrete] files which are readily accessible, without delay, upon request by an agent of DLTCRP.
9.2	Evidence of all drug tests not transmitted through the BCC which have been represented to have been secured must be maintained in a [discreet discrete] file and be available for inspection, without delay, upon request from an agent of DLTCRP.
10.3	The employer shall ensure that copies of all BCC consent forms signed by Applicants are maintained in a [discreet discrete] file which is immediately available, upon request, from any agent of DLTCRP.
Comment 5: Fifth, in §6.4, there is a plural pronoun (their) with a singular antecedent (employee). Consider substituting “inclusion” for “their place”.
6.4	A copy of the BCC consent form executed by an Applicant for employment and a copy of the Master List Retention form executed by an employee who seeks to continue [their place inclusion] on the Master List pursuant to 6.2 above shall be maintained in separate [discreet discrete] files which are readily accessible, without delay, upon request by an agent of DLTCRP.
Comment 6: Sixth, §7.1 states as follows:
This is not entirely accurate. Title 19 Del.C. §708(b)(6) authorizes conditional employment based on difficult circumstances. At a minimum, consider inserting “generally” prior to “required”.
Response: Revision made as recommended.
7.1	Before hiring an Applicant, employers are [generally] required by law to obtain from prior employers and to provide to prospective employers Service Letters which provide specific information as required by the Department of Labor. 19 Del.C. §708.
Comment 7: Seventh, §7.2 recites as follows:
When an employee hired after the effective date of the BCC is terminated, the employer shall promptly complete a Service Letter which will be stored by the BCC and available to the next prospective employer. The Service Letter shall expire after 5 years.
While this employer requirement may be conceptually sound, it may lack statutory authority. Title 19 Del.C. §708(b)(5) contemplates employers maintaining the Service Letters and honoring requests from prospective employers for the Service Letters pertaining to applicants. Violations of the law result in civil penalties. Council could not locate any statute which permits an employer to simply send the Service Letters to the BCC which would then respond to employer requests for the Letters.
Response: 19 Del.C. §708(b)(5) requires the previous employer to provide the letter, it does not specify the manner in which it must be delivered. The mandatory posting of the letter in the BCC by the previous employer upon termination of the employee will result in increased compliance with the statute and provide the letter to the new employer with no delay by the previous employer.
Comment 8: Eighth, in §8.1, first sentence, the word “to” should be inserted between “authorized” and “furnish”. Moreover, in the first sentence, the word “to” should be inserted between “person” and “employers”.
Response: Insertions made as recommended.
8.1	The SBI is authorized [to] furnish information pertaining to the identification and conviction data for any person [to] employers or prospective employers so long as the information is used solely for purposes of making an employment decision. 11 Del.C. 8513(c) and(c)(1).
Comment 9: Ninth, in §8.2, the 15-year period for abuse/neglect convictions seems a bit long. By analogy, felony theft convictions have a 10-year disqualifying period. Consider a shorter period for misdemeanors involving abuse/neglect. The conviction information would still be disclosed pursuant to the criminal background check but there would not be a categorical, “no-exceptions” disqualification from employment if the 15-year standard were modified.
Response: Theft will no longer be an automatic disqualifier. The Division has determined that 15 years is an appropriate time period.
Comment 10: Tenth, in §8.3.1, consider substituting “inform” for “informs”. There is also a plural pronoun (them) with a singular antecedent (individual). Consider substituting “the individual” for “them”. Alternatively, the term “him” could be substituted. See Delaware Administrative Code Style Manual, §3.3.2.1.
Response: §8.3.1 has been deleted.
Comment 11: Eleventh, in §8.3.2, I believe the fourth “bullet” (Evidence...conduct) is “bunched” with the third bullet.
Response: §8.3.2 has been deleted.
Comment 12: Twelfth, in §12.3, capitalize “Bureau”.
Response: Amended as recommended.
12.3	DHSS shall not release to employers copies of actual electronic reports of criminal history records prepared by the Federal [b B]ureau of Investigation.
Comment 13: Thirteenth, in §12.5.1, there is a plural pronoun (their) with a singular antecedent (Applicant). Consider substituting “his”. See Delaware Administrative Code Style Manual, §3.3.2.1.
12.5.1	An Applicant shall submit a request in writing to the Department for an on-site review of [their his] BCC disclosures.
Comment 14: Fourteenth, in §11.5.4, substitute “names” for “name”.
Response: Not found in §11.5.4 but amended as recommended at §12.5.4.
12.5.4	Written documentation of the date and time of the review and the [name names] of those present shall be maintained by DLTCRP.
Comment 15: Fifteenth, Title 29 Del.C. §7972 provides for due process and a hearing to contest BCC errors. Hearings must be consistent with the APA. The regulation omits information in this context. For example, in §11.5, an applicant should be able to obtain a written copy of BCC disclosures to bring to an attorney or facilitate checking accuracy based on other records. Moreover, there is no mention of a hearing in the regulation. There is only an obtuse reference to “appeal” in §15.5.5.
Response: The determination of a disqualifying conviction based on §8.2 is the only determination made by the Division. Consistent with the statutory language at 29 Del.C. §7972 challenges to those determinations will be consistent with the Administrative Procedures Act, 29 Del.C. Chapter 101. That process for appeal has been successfully applied previously under 16 Del.C., in particular for appeals of remedies imposed for noncompliance and is set forth at §1114. All other information provided through the BCC originates from other sources. Determinations are made by those other sources or by the employers themselves and challenges will be directed to those sources for resolution.
Comment 16: We believe that some “grandfathered employees” may not consent to be fingerprinted to obtain an SBI number or may not comply within the 120 day timeframe prescribed in the proposed regulations and will have to be terminated by the employer.
Response: The 120 day timeframe is a statutory requirement.
Comment 17: It has been reported to our association that regularly employees who are terminated for “abuse or neglect” have successfully obtained unemployment benefits. We believe that this should not be permitted under any circumstances but fear it will also occur with grandfathered employees that are terminated for lack of compliance with the new BCC regulations.
We hereby request that language be included, where appropriate, to prevent grandfathered employees who refuse to comply with the new requirements from collecting unemployment benefits.
Response: Unemployment benefits are the purview of the Department of Labor. The Division cannot control or regulate policies or decisions of another agency. We appreciate the comment and will share it with the Department of Labor administration.
The Department finds that the proposed changes as set forth in the January 2013 Register of Regulations, amended as noted herein, should be adopted.
THEREFORE, IT IS ORDERED, that the proposed regulation to amend the Title XIX Medicaid State Plan and the Division of Social Services Manual (DSSM) regarding the Medical Assistance during Transition to the Medicare Program is adopted and shall be final effective March 11, 2013
[8.3.1	Individualized Assessment – Before excluding a prospective employee on the basis of a criminal conviction, other than a disqualifying conviction as described in 8.2 above, the employer must conduct an individualized assessment. Individualized assessment generally requires that an employer informs the individual that he or she may be excluded because of past criminal conduct; provides an opportunity to the individual to demonstrate that the exclusion does not properly apply to them; and considers whether the individual’s additional information shows that the past criminal conduct is not job related and consistent with business necessity.
Whether the individual is bonded under a federal, state, or local bonding program.]
12.3	DHSS shall not release to employers copies of actual electronic reports of criminal history records prepared by the Federal [bB]ureau of Investigation.
12.5.4	Written documentation of the date and time of the review and the name[s] of those present shall be maintained by DLTCRP.
16 DE Reg. 974 (03/01/13) (Prop.)