An Act To Add Unlicensed Assistive Persons with Notations to the Mai.ne Registry of Certified Nursing Assistants
Maine Legislature, Session 124, LD 1417
Sponsors: PERRY
Amends: 22 MRSA §1812-J

Legislative Document 
No. 1417 
H.P.993 
House of Representatives, Aplil 7,2009 
An Act To Add Unlicensed Assistive Persons with Notations to the 
Mai.ne Registry of Certified Nursing Assistants 
Submitted by the DepmimentofHealth and Human Services pursuant to Joint Rule 204. 
Reference to the Committee 011 Health and Human Services suggested and ordered printed . 
Presented by Representative PERRY of Calais. 
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MILLICENT M. MacFARLAND 
Clerk 
Be it enacted by the People of the State of Maine as follows: 
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Sec. 1. 22 MRS A §1812-G, as amended by PL 2003, c. 376, §§ 1 and 2 and c. 
.599, §4 and affected by §5 and amended by c.634, §3 and c. 689, Pt. B, §6, is fUIther 
amended to read: 
§1812-G. Maine Registry of Certified Nursing Assistants 
1. Established. The Maine Registry of Certified Nursing Assistants is established in 
compliance with federal and state requirements. The DepaItment of Health and Human 
Services shall maintain the registry. 
I-A. Definitions. As used in this section, unless the context otherwise indicates, the 
following terms have the following Iileanings. 
A. "Celtified nursing assistant" means an individual who has successfully completed. 
an approved nursing assistant training program, holds a celtificate of training and 
meets the eligibility requirements established by the State Board of Nursing for 
listing on the registry. 
B. "Registry" means the Maine Registry of Celtified Nursing Assistants established 
in subsection 1, which is a list of celtified nursing assistants, with notations if 
applicable, and a list of unlicensed assistive persons with notations. 
C. "Unlicensed assistive person" means an individual employed to provide hands-on 
assistance with activities of daily living to individuals in homes, assisted living 
programs, residential care facilities, hospitals and other health care settings. 
"Unlicensed assistive person" does not include a certified nursing assistant employed 
in the capacity of a celtifled nursing assistanf. 
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2. Contents. The Maine Registry of Certified Nursing Assistants registlY must 
. contain a listing of certified nursing assistants who have successf\:!lIy completed a nursing 
assistant training program, hold a certificate of training and meet the eligibility 
requirements established by the State Board of Nursing . The listing must include, for any 
celtified nursing assistant listed, a notation of: 
A. 
Any criminal convictions, except for Class 0 and Class E convictions over 10 
years old that did not involve as a victim of the act a patient, client or resident of a 
health care entity; and 
B. 
Any specific documented findings by the state survey agency of abuse, neglect 
or misappropriation of propelty of a resident, client or patient. For purposes of this . 
section, "state survey agency" means the agency specified under 42 United States 
Code, Sections 1395aa and 1396 responsible for determining whether institutions and 
agencies meet requirements for palticipation in the State's Medicare and Medicaid 
programs. 
The registry must also contain a listing of any unlicensed assistive persons who have 
notations pursuimtto section 1812-1. 
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3. Eligibility requirements for listing. The State Board of Nursing shall adopt 
rules pursuant to the Maine Administrative Procedure Act defining eligibility 
requirements for listing on the Maine Registry of Certified Nursing Assistants registry, 
including rules regarding temporary listing of nursing assistants who have received 
training in another jurisdiction. The rules lTIUst permit nursing assistants to work under 
the supervision of a registered professional nurse in a facility providing assisted living 
services as defined in chapter 1664 and must recognIze work in those facilities for the 
purpose of qualifying for and continuing listing on the registry. Rules adopted regarding 
the work of nursing assistants in facilities providIng assisted living services are routine 
technical rule's as defined by Title 5, chapter 375, subchapter H-A 2-A. 
4. 
Verification of credentials and training: 
The department shall verify the 
credentials and training of all certified nursing assistant applicants to the Maine Ree:istrv 
of Certifiea-Ntlfflffig-As-sistants registty. 
5. Verifying certified nursing assistant listing. A health care institution, facility or 
organization that employs a certified nursing assistant shall, before hiring a certified· 
nursing assistant, verify with the Maine Regist!), of Celiified Nursing Assistants registry 
that the certified nursing assistant is listed on the Maine Re2:istrv of Certified Nursing 
Assistants registry. 
6. Registry notations. Except as otherwise provided in this section: 
A. 
An individual may not be employed in a hospital, nursing facility, home health 
agency or assisted housing program as a certified nursing assistant if that individual 
has been convicted in a court of law of a crime involving abuse, neglect oi' 
misappropr.iation of propeliy in a health care setting; and 
B. 
An individual may not be, employed in a hospital, nursing facility, home health 
agency or assisted housing program as a certified nursilig assistant if that individual: 
(1) Has been the subject of a complaint involving abuse or neglect that was 
substantiated by the department pursuant to its responsibility to license hospitals, 
nursing facilities, home health agencies and assisted housing programs and that 
was entered on the Maine Registry of Certifi.ed Nursing Assistants registry; or 
(2) 'Has been the subject of a complaint involving the misappropriation of 
propeliy in a health care setting that was substantiated by the depatiment and 
entered on the Maine Registrv of Celiified Nursing Assistants registlY. 
7. Time limit on consideration of prior criminal conviction. Except as otherwise 
provided in this section, an individual may not be employed in a hospital, nursing facility, 
home health agency or assisted housing program as a celiified nursing assistant if that 
individual has a prior criminal conviction within the last 10 years of: 
A. 
A crime for which incat'ceration of 3 years or more may be iinposed under the 
Iaws of the state in which the conviction occurred; or 
B. 
A crime for which incarceration of less than 3 years may be imposed under the 
laws of the state in which the conviction occurred involving sexual misconduct or 
, involving abuse, neglect or exploitation in a setting other than a health care setting. 
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8. Exception. The restrictions on employment under subsections 6 and 7 do not 
apply to an individual listed and active on the Maine Registry of Certified Nursing 
. Assistants registty prior to -the effective date of this subsection, as long as the individual 
meets other state and federal requirements for celiified nursing assistants and continues to 
maintain an active status by timely reregistration as required by the .rules. 
9. Notification. A nursing assistant training prograJil must notify applicants to that 
program of the restrictions under subsections 6 and 7 prior to the acceptance of any 
applicant. 
Sec. 2. 22 MRSA §1812-J is enacted to read: 
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§1812-J. Unlicensed assistive persons 
1. Definitions. As used in this section, unless the context otherwise indicates, the 
following terms have the following meanings. 
A. "Celiified nursing assistant" means an individual who has successfully completed 
an approved nursing assistant training program, holds a celiificate of training and 
meets the eligibility requirements established by the State Board of Nursing for 
listing on the registty.. 
B. "Registry" means the Maine RegistlY of Celiified Nursing Assistants, which is a 
list of celiified nursing assistants, with notations if applicable, and a list ·of unlicensed 
assistive persons with notations and is established under section 1812-G. 
C. "State survey agency" has the same meaning as in section 1812-G, subsection 2, 
paragraph B. 
D. "Unlicensed assistive person" means an individual employed to provide hands-on 
assistance with activities of daily living to individuals in homes, assisted living 
programs, residential care facilities, hospitals and other health care settings. 
"Unlicensed assistive person" does not include a certified nursing assistant employed 
in the capacity of a'celiified nursing assistant. 
2. Complaint investigation. The depaliment may investigate complaints of abuse, 
neglect or misappropriation of property of a client, patient or resident in a home or health 
care setting against unlicensed assistive persons employed or placed by a licensed, 
celiified or registered agency or facility. 
3. 
Substantiated complaint; registry listing. 
When a complaint against an 
unlicensed assistive person is substantiated by the depaJiment and the unlicensed assistive 
person must be listed on the registry pursuant to subsection 4, the department's decision 
becomes final agency action as defined in Title 5, subsection 8002, subsection 4. 
4. Registry listing. The registry listing for an unlicensed assistive '.person with a 
notation must include but is not limited to the following information: 
A. 
Documentation of the depaliment's investigation, including the nature of the 
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allegation and the evidence that led the depaliment to substantiate the allegation of 
abuse, neglect or misappropriation of property; 
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B. The date of the hearing, if the unlicensed assistive person chose to appeal 'the 
depaIiment finding that the complaint was substantiated; and 
C. 
The unlicensed assistive person's statement to the department disputing the 
allegation, if the U1~licensed assistive person chose to submit one. 
5. Right to hearing. The depaIiment shall notity the unlicensed assistive person of 
the right to request a hearingto contest the finding that the complaint under subsection 3 
was substantiated. 
6. Petition for removal of a finding of neglect. No sooner than 12 months after the 
date a neglect finding is placed on the registry, an unlicensed assistive person may 
petition the depaIiment to remove a notation from the registry if the substantiated 
complaint of neglect is a one-time occurrence and there is no pattern of neglect. 
7. Prohibited employment. The following unlicensed assistive persons may not be 
employed or placed by a licensed, certified or registered agency or facility: 
A. An unlicensed assistive person listed on the registry with a notation; , 
B. 
An unlicensed assistive person who, while working as a certified nursing 
assistant, had a notation on the registry for a complaint that was substantiated by the 
state surveyagericy for abuse or neglect; or 
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C. 
An unlicensed assistive person who, while working as a celiified nursing 
assistant, had a notation on the registIy for a complaint that was substantiated by the 
state survey agency for misappropriation of property in a health care setting. 
8. Rules. The depaIiment may adopt i'ules to implement this section. Rules adopted 
pursuant to this sllbsectionare routine technical rules as defined in Title 5, chapter 375, 
subchapter 2-A. 
SUMMARY 
This bill authorizes the Department of Health and Human Services to investigate 
complaints against unlicensed assistive persons of abuse, neglect or misappropriation of 
property ,of a client, patient or resident in a home or health care setting. 
This bill requires the Maine Registry of Ceiiified Nursing Assistants to list and 
include a notation to the unlicensed assistive person's listing on the registry when the 
depaIiment's decision becomes final that a complaint was substantiated. This is a limited 
expansion of the registry. The bill identifies the information that must be included .in 
registry notations. , 
This bill requires the depaIiment to notify an individual, of the right to request a 
hearing to contest a finding that a complaint was substantiated and gives the individual 
the right to petition the department to have a finding of neglect removed from the registry 
if the finding of neglect is a one-time occurrence and there is ,no pattern of neglect. 
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This bill identifies unlicensedassistive' persons, who may not be employed or 
placed by a licensed, certified or registered agency or facility and authorizes the 
department to adopt routine technical rules. 
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