An Act to Clarify and Improve the Laws Relating to the Background Check Center and the Maine Certified Nursing Assistant and Direct Care Worker Registry
Maine Legislature, Session 131, LD 1925
Committee: Health and Human Services
Sponsors: SHAGOURY
Amends: 22 MRSA §1812-G, 22 MRSA §1812-J, 22 MRSA §9053, 22 MRSA §9054, 22 MRSA §9055, 22 MRSA §9056, 22 MRSA §9057, 22 MRSA §9058, 22 MRSA §9058-A, 22 MRSA §9062, 22 MRSA §9066

Legislative Document
No. 1925
H.P. 1230
House of Representatives, May 11, 2023
An Act to Clarify and Improve the Laws Relating to the 
Background Check Center and the Maine Certified Nursing 
Assistant and Direct Care Worker Registry
Submitted by the Department of Health and Human Services pursuant to Joint Rule 204.
Reference to the Committee on Health and Human Services suggested and ordered printed.
ROBERT B. HUNT
Clerk
Presented by Representative SHAGOURY of Hallowell.
Be it enacted by the People of the State of Maine as follows:
Sec. 1.  22 MRSA §1812-G, sub-§1-B, ¶E, as enacted by PL 2015, c. 196, §9, is 
amended to read:
E.  "Disqualifying offense" means a substantiation for abuse, neglect or exploitation 
misappropriation of property, or a criminal conviction identified in rules adopted by 
the department that prohibits employment as a certified nursing assistant or a direct 
care worker in accordance with subsection 2‑C.
Sec. 2.  22 MRSA §1812-G, sub-§1-B, ¶F, as enacted by PL 2015, c. 196, §9, is 
amended to read:
F.  "Employer" means a person or licensed, certified or registered provider or other 
entity that employs direct access workers, including certified nursing assistants and 
direct care workers, to provide direct contact services in home, community or other 
health care or direct access settings. An individual who employs an unlicensed person 
to provide care for that individual is not an employer for the purposes of this section, 
except when required by rules adopted by the department.
Sec. 3.  22 MRSA §1812-G, sub-§1-B, ¶J, as enacted by PL 2015, c. 196, §9, is 
amended to read:
J.  "Nondisqualifying criminal conviction" means a criminal conviction identified in 
rules adopted by the department pursuant to subsection 18 that is included as a notation 
on the registry but does not prohibit employment as a certified nursing assistant or a 
direct care worker.
Sec. 4.  22 MRSA §1812-G, sub-§1-B, ¶K, as enacted by PL 2015, c. 196, §9, is 
repealed.
Sec. 5.  22 MRSA §1812-G, sub-§1-B, ¶L, as enacted by PL 2015, c. 196, §9, is 
amended to read:
L.  "Registry" means the Maine Registry of Certified Nursing Assistants and Direct 
Care Workers established in subsection 1, which identifies individuals qualified and 
eligible for employment as a certified nursing assistant or a registered direct care 
worker and individuals who are not eligible for employment as a certified nursing 
assistant or direct care worker due to notations for disqualifying offenses.
Sec. 6.  22 MRSA §1812-G, sub-§2-A, as enacted by PL 2015, c. 196, §9, is 
amended to read:
2-A.  Registry listing.  All active certified nursing assistants employed in the State 
must be listed on the registry.  The registry must contain a listing of certified nursing 
assistants and direct care workers that are ineligible for employment based on notations for 
disqualifying offenses. Direct care workers registered for training, education or compliance 
purposes may apply for registration and listing on the registry.  Direct care workers who 
may be listed on the registry include but are not limited to the following:
A.  Behavior specialists;
B.  Behavioral health professionals;
C.  Certified residential care aides;
D.  Certified residential medication aides;
E.  Direct support professionals;
F.  Mental health rehabilitation technicians;
G.  Mental health support specialists;
H.  Other qualified mental health professionals;
I.  Personal care attendants or personal support specialists;
J.  Registered medical assistants;
K.  Residential care specialists;
L.  Community health workers; and
M.  Other direct care workers described in rules adopted by the department pursuant to 
subsection 18.
Sec. 7.  22 MRSA §1812-G, sub-§2-C, as enacted by PL 2015, c. 196, §9, is 
amended to read:
2-C.  Registry notations.  The registry must include for a certified nursing assistant 
and direct care worker listed on the registry a notation of:
A.  Disqualifying criminal convictions;
B.  Nondisqualifying criminal convictions, except that a notation is not required on the 
registry for Class D and Class E criminal convictions over 10 years old that did not 
involve as a victim of the act a patient, client or resident; and
C.  Substantiated findings, including but not limited to the following information:
(1)  Documentation of an investigation of a certified nursing assistant or a direct 
care worker, including the nature of the allegation and evidence supporting a 
determination that substantiates the allegation of abuse, neglect or 
misappropriation of property of a client, patient or resident;
(2)  Documentation of substantiated findings of abuse, neglect or misappropriation 
of property of a client, patient or resident;
(3)  If the certified nursing assistant or direct care worker appealed the 
substantiated finding, the date of the hearing; and
(4)  The statement of the certified nursing assistant or direct care worker disputing 
the allegation of abuse, neglect or misappropriation of property of a client, patient 
or resident if the certified nursing assistant or direct care worker submitted such a 
statement; and.
D.  Petitions filed by a certified nursing assistant or direct care worker for removal of 
an employment ban issued by the department that was based on a criminal conviction 
and the department’s review and determination.
Sec. 8.  22 MRSA §1812-G, sub-§3-A, as enacted by PL 2015, c. 196, §9, is 
repealed and the following enacted in its place:
3-A.  Listing on the registry; direct care worker.  The department shall adopt routine 
technical rules regarding listing direct care workers on the registry, including but not 
limited to the following:
A. Direct care workers with disqualifying offenses must be listed on the registry; and
B. The notation for direct care workers listed on the registry for substantiated findings 
must include the following information:
(1) Documentation of an investigation of a direct care worker, including the nature 
of the allegation and evidence supporting a determination that substantiates the 
allegation of abuse, neglect or misappropriation of property of a client, patient or 
resident;  
(2) Documentation of substantiated findings of abuse, neglect or misappropriation 
of property of a client, patient or resident;
(3) If the direct care worker appealed the substantiated finding, the date of the 
hearing; and
(4) The statement of the direct care worker disputing the allegation of abuse, 
neglect or misappropriation of property of a client, patient or resident if the direct 
care worker submitted such a statement.
Sec. 9.  22 MRSA §1812-G, sub-§3-B is enacted to read:
3-B.  Petition for removal of a substantiated finding of neglect or 
misappropriation of property.  No sooner than 12 months after the date a substantiated 
finding of neglect or misappropriation of property is placed on the registry, a direct care 
worker may petition the department to remove the notation from the registry if the 
substantiated complaint is a one-time occurrence and there is no pattern of neglect or 
misappropriation of property.
Sec. 10.  22 MRSA §1812-G, sub-§4, as amended by PL 2015, c. 196, §9, is further 
amended to read:
4.  Department verification of credentials and training.  The department may verify 
the credentials and training of certified nursing assistants and registered direct care workers 
listed on the registry.
Sec. 11.  22 MRSA §1812-G, sub-§4-A, as amended by PL 2015, c. 196, §9, is 
further amended to read:
4-A.  Provider verification fee.  The department may establish a provider verification 
fee not to exceed $25 annually per provider for verification of a certified nursing assistant's 
or registered direct care worker's credentials and training. Providers may not pass the cost 
on to the individual certified nursing assistant or registered direct care worker. Provider 
verification fees collected by the department must be placed in a special revenue account 
to be used by the department to operate the registry, including but not limited to the cost of 
criminal history record checks. The department may adopt rules necessary to implement 
this subsection.  Rules adopted pursuant to this subsection are routine technical rules as 
defined in Title 5, chapter 375, subchapter 2‑A.
Sec. 12.  22 MRSA §1812-G, sub-§5-A, as enacted by PL 2015, c. 196, §9, is 
amended to read:
5-A.  Employment eligibility verification; direct care access worker.  An employer, 
including a health care institution, facility or other organization that employs an individual 
as a direct care access worker, shall verify that the direct care access worker, if listed on 
the registry, has no disqualifying notations and has complied with the training or education 
requirements for registration, if applicable offenses.
Sec. 13.  22 MRSA §1812-G, sub-§6, as repealed and replaced by PL 2015, c. 494, 
Pt. A, §16, is amended to read:
6.  Prohibited employment based on disqualifying offenses.  An individual with a 
disqualifying offense, including a substantiated complaint or a disqualifying criminal 
conviction, may not work as a certified nursing assistant or a direct care access worker, and 
an employer is subject to penalties for employing a disqualified or otherwise ineligible 
person in accordance with applicable federal or state laws.
Sec. 14.  22 MRSA §1812-G, sub-§6-A, as amended by PL 2015, c. 494, Pt. A, 
§§17 and 18, is further amended to read:
6-A.  Background check.  Certified nursing assistants and  direct care workers are 
subject to a background check as defined by rules adopted by the department pursuant to 
chapter 1691 and according to the following:
A.  A training program for certified nursing assistants or direct care workers must 
secure or pay for a background check on each individual who applies for enrollment. 
The individual's current name and all previous names are subject to the background 
check. A copy of the background check is given to the individual who, upon successful 
completion of the training, submits it with an application to be listed on the registry as 
a certified nursing assistant or a registered direct care worker.
(1)  Prior to enrolling an individual, a training program for certified nursing 
assistants or direct care workers must notify individuals that a background check 
will be conducted and that certain disqualifying offenses, including criminal 
convictions, may prohibit an individual from working as a certified nursing 
assistant or a direct care worker.
B.  Pursuant to sections 1717, 1724, 2137, 2149‑A, 7706, 8606 and, 9005 and 9054 
and Title 34‑B, section 1225, licensed, certified or registered providers shall secure and 
pay for a background check prior to hiring an individual who will work in direct contact 
with clients, patients or residents, including a certified nursing assistant or a direct care 
worker.
C.  The department may secure a background check on certified nursing assistants and 
registered direct care workers on the registry every 2 years.
D.  A person or other legal entity that is not otherwise licensed by the department and 
that employs or places a certified nursing assistant or direct care worker to provide 
services allowing direct access shall secure and pay for a background check in 
accordance with state law and rules adopted by the department.
Sec. 15.  22 MRSA §1812-G, sub-§6-B, as enacted by PL 2015, c. 196, §9, is 
repealed.
Sec. 16.  22 MRSA §1812-G, sub-§6-C, ¶A, as enacted by PL 2015, c. 196, §9, is 
amended to read:
A.  A disqualifying criminal conviction within the previous 10 years prohibits 
employment as a certified nursing assistant or a direct care access worker.
(1)  An individual with a disqualifying criminal conviction is subject to an 
employment ban of 5, 10 or 30 years. The department shall adopt rules that specify 
disqualifying criminal convictions that prohibit employment for 5 years, 
disqualifying criminal convictions that prohibit employment for 10 years and 
disqualifying criminal convictions that prohibit employment for 30 years.
Sec. 17.  22 MRSA §1812-G, sub-§6-C, ¶B, as enacted by PL 2015, c. 196, §9, is 
amended to read:
B.  Nondisqualifying criminal convictions do not prohibit employment as a certified 
nursing assistant or a direct care access worker.
Sec. 18.  22 MRSA §1812-G, sub-§6-D, as enacted by PL 2015, c. 196, §9, is 
repealed.
Sec. 19.  22 MRSA §1812-G, sub-§8, as amended by PL 2015, c. 196, §9, is 
repealed.
Sec. 20.  22 MRSA §1812-G, sub-§10, as enacted by PL 2015, c. 196, §9, is 
amended to read:
10.  Complaint investigation.  The department may investigate complaints and 
allegations against certified nursing assistants or registered direct care access workers of 
abuse, neglect, exploitation or misappropriation of property of a client, patient or resident.
Sec. 21.  22 MRSA §1812-G, sub-§11, as enacted by PL 2015, c. 196, §9, is 
amended to read:
11.  Issue a decision.  After an investigation under subsection 10, the department shall 
issue a written decision that the allegation of abuse, neglect, exploitation or 
misappropriation of property of a client, patient or resident is unsubstantiated or 
substantiated. Each allegation of abuse, neglect or misappropriation of property must be 
considered separately. A substantiated finding must be based on factors established by 
department rules. The written decision must include at least the following information:
A.  Whether the allegation is unsubstantiated or substantiated;
B.  A description of the factors supporting a substantiated finding;
C.  If a notation of a substantiated finding is entered on the registry;
D.  A description of the employment prohibition, if any; and
E.  Notice of the right to appeal the department’s decision pursuant to subsection 12.
Sec. 22.  22 MRSA §1812-G, sub-§13, as enacted by PL 2015, c. 196, §9, is 
amended to read:
13.  Substantiated finding; lifetime employment ban.  A certified nursing assistant 
or a registered direct care worker with a notation on the registry of a substantiated finding 
on the registry of abuse of a patient, client or resident is banned for life from employment 
as either a certified nursing assistant or a direct care worker.
Sec. 23.  22 MRSA §1812-G, sub-§14, as enacted by PL 2015, c. 196, §9, is 
repealed.
Sec. 24.  22 MRSA §1812-G, sub-§15, as enacted by PL 2015, c. 196, §9, is 
repealed.
Sec. 25.  22 MRSA §1812-G, sub-§16, as enacted by PL 2015, c. 196, §9, is 
repealed.
Sec. 26.  22 MRSA §1812-G, sub-§17, as enacted by PL 2015, c. 196, §9, is 
repealed.
Sec. 27.  22 MRSA §1812-J, as amended by PL 2015, c. 299, §§11 to 17 and c. 494, 
Pt. D, §3, is further amended by amending the section headnote to read:
§1812-J.  Unlicensed assistive persons Direct care workers
Sec. 28.  22 MRSA §1812-J, sub-§1, ¶A-7, as enacted by PL 2011, c. 257, §3, is 
amended to read:
A-7.  "Nondisqualifying criminal conviction" means a criminal conviction identified 
in rules adopted by the department that is included as a notation on the registry but 
does not prohibit employment as an unlicensed assistive person a direct care worker.
Sec. 29.  22 MRSA §1812-J, sub-§1, ¶B, as amended by PL 2015, c. 299, §12, is 
further amended to read:
B.  "Registry" means the Maine Registry of Certified Nursing Assistants and Direct 
Care Workers, which is a list of certified nursing assistants, with notations if applicable, 
and a list of direct care workers registered for training, education or compliance 
purposes, or unlicensed assistive persons with notations and is established under 
section 1812‑G.
Sec. 30.  22 MRSA §1812-J, sub-§1, ¶D, as amended by PL 2015, c. 299, §13, is 
further amended to read:
D.  "Unlicensed assistive person Direct care worker" means an unlicensed individual 
who by virtue of employment has direct access to and provides direct care or direct 
contact assistance with activities of daily living or other services to individuals in 
homes, assisted living programs, residential care facilities, hospitals and other health 
care and direct access services settings. "Unlicensed assistive person Direct care 
worker" includes but is not limited to a direct support professional, residential care 
specialist, behavioral health professional, personal support specialist, mental health 
support specialist, mental health rehabilitation technician, behavior specialist, other 
qualified mental health professional, certified residential medication aide and 
registered medical assistant and other direct access workers or direct care workers as 
described in rules adopted by the department.  "Unlicensed assistive person Direct care 
worker" does not include a certified nursing assistant employed in the capacity of a 
certified nursing assistant.
Sec. 31.  22 MRSA §1812-J, sub-§1, ¶F, as enacted by PL 2015, c. 299, §14, is 
repealed.
Sec. 32.  22 MRSA §1812-J, sub-§1, ¶G is enacted to read:
G.  "Registered direct care worker" means an individual listed on the registry.  
"Registered direct care worker" does not include a certified nursing assistant employed 
in the capacity of a certified nursing assistant or a direct care worker listed on the 
registry with notations for disqualifying offenses.
Sec. 33.  22 MRSA §1812-J, sub-§2, as amended by PL 2015, c. 299, §15, is further 
amended to read:
2.  Complaint investigation.  The department may investigate complaints and 
allegations of abuse, neglect, exploitation or misappropriation of property of a client, 
patient or resident in a home or health care setting against unlicensed assistive persons 
direct care workers.
Sec. 34.  22 MRSA §1812-J, sub-§3, as amended by PL 2011, c. 257, §5, is further 
amended to read:
3.  Substantiated finding of complaint; registry listing.  When a complaint against 
an unlicensed assistive person a direct care worker is substantiated by the department and 
the unlicensed assistive person direct care worker is listed on the registry pursuant to 
subsection 4, the department's decision becomes final agency action as defined in Title 5, 
section 8002, subsection 4.  The department shall notify the employer of the unlicensed 
assistive person direct care worker that a substantiated finding of a complaint has been 
listed as a notation on the registry.
Sec. 35.  22 MRSA §1812-J, sub-§3-A, as enacted by PL 2011, c. 257, §6, is 
amended to read:
3-A.  Indicated finding of complaint; no registry listing.  An indicated finding by 
the department of a complaint against an unlicensed assistive person a direct care worker 
does not prohibit employment and is not listed as a notation on the registry.  The 
department's complaint investigation decision becomes final agency action as defined in 
Title 5, section 8002, subsection 4.
Sec. 36.  22 MRSA §1812-J, sub-§4, as amended by PL 2015, c. 299, §16, is further 
amended to read:
4.  Registry listing.  The department shall list an unlicensed assistive person employed 
as a direct care worker direct care workers with a disqualifying offense substantiated 
finding notation and may register an unlicensed assistive person or direct care worker for 
training, education and compliance purposes.  Disqualifying notations must include but are 
not limited to the following information:
A.  Documentation of the department's investigation, including the nature of the 
allegation and the evidence that led the department to substantiate the allegation of 
abuse, neglect, exploitation or misappropriation of property;
B.  The date of the hearing, if the unlicensed assistive person direct care worker chose 
to appeal the department finding that the complaint was substantiated; and
C.  The unlicensed assistive person's direct care worker's statement to the department 
disputing the allegation, if the unlicensed assistive person direct care worker chose to 
submit one; and.
D.  Notations indicating the listed unlicensed assistive person is not in compliance with 
training or educational requirements.
Sec. 37.  22 MRSA §1812-J, sub-§5, as enacted by PL 2009, c. 215, §2, is amended 
to read:
5.  Right to hearing.  The department shall notify the unlicensed assistive person direct 
care worker of the right to request a hearing to contest the finding that the complaint under 
subsection 3 was substantiated.
Sec. 38.  22 MRSA §1812-J, sub-§6, as amended by PL 2011, c. 257, §7, is 
repealed.
Sec. 39.  22 MRSA §1812-J, sub-§7, as amended by PL 2015, c. 494, Pt. D, §3, is 
further amended to read:
7.  Prohibited employment based on disqualifying offenses.  An employer who 
employs an unlicensed assistive person a direct care worker to provide direct access 
services shall conduct a comprehensive background check in accordance with state law and 
rules adopted by the department and is subject to the employment restrictions set out in 
section 1812‑G and chapter 1691 and other applicable federal and state laws.  The employer 
is subject to penalties for employing a disqualified or otherwise ineligible person in 
accordance with applicable federal or state laws.
Sec. 40.  22 MRSA §1812-J, sub-§7-A is enacted to read:
7-A.  Background check.  This subsection governs background checks for direct care 
workers.
A.  A training program for direct care workers may secure or pay for a background 
check pursuant to chapter 1691 on each individual who applies for enrollment in the 
program.  The background check may check the individual's current name and all 
previous names.  The background check result may be shared with the individual's 
prospective employer upon successful completion of the program.
(1)  Prior to enrolling an individual, a training program for direct care workers must 
notify individuals that a background check may be conducted and that certain 
disqualifying offenses, including criminal convictions, may prohibit an individual 
from working as a direct care worker.
B.  Pursuant to sections 1717, 1724, 2137, 2149-A, 7706, 8606, 9005 and 9054 and 
Title 34-B, section 1225, licensed, certified or registered providers shall secure and pay 
for a background check prior to hiring an individual who will work in direct contact 
with clients, patients or residents, including a direct care worker.
C.  The department may review the results of a background check completed in 
accordance with chapter 1691 on a registered direct care worker.
D.  A person that is not otherwise licensed by the department that employs or places a 
direct care worker to provide services allowing direct access shall secure and pay for a 
background check in accordance with state law and rules adopted by the department.
Sec. 41.  22 MRSA §9053, sub-§2, as enacted by PL 2015, c. 299, §25, is amended 
to read:
2.  Assisted housing program.  "Assisted housing program" means a program or 
facility licensed pursuant to chapter 1663 or an independent housing with services program 
exempt from licensing pursuant to chapter 1663.
Sec. 42.  22 MRSA §9053, sub-§3, as enacted by PL 2015, c. 299, §25, is amended 
to read:
3.  Background check.  "Background check" means the collection of personally 
identifiable information and, data and biometric identifiers for comparison with criminal 
record repositories and registry databases that are relevant to an individual's identity and 
background, including monitoring for future offenses through a rap back monitoring 
program.
Sec. 43.  22 MRSA §9053, sub-§5-A is enacted to read:
5-A.  Biometric identifier.  "Biometric identifier" means a unique and measurable 
biological, anatomical or physiological characteristic used for identification of an 
individual, including, but not limited to, fingerprints, retinal or iris scans and palm prints.
Sec. 44.  22 MRSA §9053, sub-§14, as enacted by PL 2015, c. 299, §25, is amended 
to read:
14.  Direct access worker.  "Direct access worker" means an individual who by virtue 
of employment has direct access to a Medicare or Medicaid beneficiary or other protected 
individual served by a provider subject to this chapter generally provides to individuals 
direct contact assistance or has direct access regardless of setting.  "Direct access worker" 
does not include an individual performing repairs, deliveries, installations or similar 
services who does not have direct access without supervision.  "Direct access worker" 
includes but is not limited to the following individuals:
A.  An individual seeking employment as a direct access worker;
B.  An employee who is employed upon the effective date of this chapter and who is 
required to have a background check in accordance with section 9058 9058-A;
C.  A former employee who consents, prior to leaving employment, to periodic review 
of that employee's criminal background for a fixed time;
D.  An independent contractor pursuant to Title 26, section 1043, subsection 11, 
paragraph E or Title 39‑A, section 102, subsection 13‑A or a worker who is placed with 
a provider by a temporary nurse agency or a personal care agency or a placement 
agency registered pursuant to section 1717; and
E.  A volunteer, student or other person with direct access who routinely performs 
unsupervised functions similar to those performed by a direct access worker for a 
provider.; and
F.  A direct care worker pursuant to section 1812-J, subsection 1, paragraph G.
Sec. 45.  22 MRSA §9053, sub-§19, as enacted by PL 2015, c. 299, §25, is repealed 
and the following enacted in its place:
19.  Grandfathered employee.  "Grandfathered employee" means an individual 
subject to the requirements of this chapter who has been employed prior to October 1, 2023, 
is subject to section 9058-A and has not previously submitted biometric identifier data for 
a background check under this chapter.
Sec. 46.  22 MRSA §9053, sub-§21-A is enacted to read:
21-A.  Hospital.  "Hospital" means an entity licensed pursuant to chapter 405.
Sec. 47.  22 MRSA §9053, sub-§24-A is enacted to read:
24-A.  Noncriminal justice submitting entity.  "Noncriminal justice submitting 
entity" means the agency responsible for initiating requests under the rap back monitoring 
program pursuant to federal implementation guidance documents.
Sec. 48.  22 MRSA §9053, sub-§28-A is enacted to read:
28-A.  Portability.  "Portability" means the ability of a direct access worker to transfer 
the results of a background check eligibility determination and information from the rap 
back monitoring program to a new employer.
Sec. 49.  22 MRSA §9053, sub-§29, as amended by PL 2019, c. 660, §6, is further 
amended to read:
29.  Provider.  "Provider" means a licensed, license-exempt, certified or registered 
entity that employs direct care access workers to provide long-term care and in-home and 
community-based services under this chapter.
Sec. 50.  22 MRSA §9053, sub-§32, as enacted by PL 2015, c. 299, §25, is amended 
to read:
32.  Residential care facility.  "Residential care facility" means a residential care 
facility licensed or exempted from licensing pursuant to chapter 1663.
Sec. 51.  22 MRSA §9053, sub-§32-A is enacted to read:
32-A.  Substance use disorder treatment agency.  "Substance use disorder treatment 
agency" means an approved treatment facility or program licensed pursuant to Title 5, 
chapter 521.
Sec. 52.  22 MRSA §9054, sub-§2, as enacted by PL 2015, c. 299, §25, is amended 
to read:
2.  Employer obligations.  An employer subject to this chapter shall use the 
Background Check Center to conduct a comprehensive background check that includes a 
criminal history records check for all direct access workers.  The employer shall comply 
with the requirements of this chapter, including, but not limited to, a biometric identifier-
based background check, when making employment-related decisions for direct access 
workers.
Sec. 53.  22 MRSA §9054, sub-§5, as enacted by PL 2015, c. 299, §25, is amended 
to read:
5.  Subsequent background check; 5 years.  An employer shall conduct a periodic 
subsequent background check in accordance with rules adopted pursuant to this chapter.  
Criminal history record checks for all direct access workers using a biometric identifier 
must be completed every 5 years subsequent to the date of hire or the anniversary date of a 
previous background check completed through use of the Background Check Center.
Sec. 54.  22 MRSA §9054, sub-§7, ¶O, as enacted by PL 2015, c. 299, §25, is 
amended to read:
O.  Mental health services facilities or providers; and
Sec. 55.  22 MRSA §9054, sub-§7, ¶P, as enacted by PL 2015, c. 299, §25, is 
amended to read:
P.  Drug treatment centers.;
Sec. 56.  22 MRSA §9054, sub-§7, ¶Q is enacted to read:
Q.  Substance use disorder treatment agencies; and
Sec. 57.  22 MRSA §9054, sub-§7, ¶R is enacted to read:
R.  Hospitals.
Sec. 58.  22 MRSA §9054, sub-§8, ¶B, as enacted by PL 2015, c. 299, §25, is 
amended to read:
B.  Coordinating with the bureau and other federal or state agencies as applicable to 
obtain data and analyze personally identifying information and biometric identifiers 
regarding criminal record information and notations that represent disqualifying 
offenses on relevant databases and registries;
Sec. 59.  22 MRSA §9054, sub-§8, ¶F, as enacted by PL 2015, c. 299, §25, is 
amended to read:
F.  Specifying offenses, including offenses that may appear in publicly available 
criminal record information, that disqualify an individual from employment as a direct 
access worker for a term of 5, 10 or 30 years or, for disqualifying offenses that occur 
in health care settings, the lifetime of the individual, including, but not limited to, 
convictions and other events or notations;
Sec. 60.  22 MRSA §9054, sub-§10, as enacted by PL 2015, c. 299, §25, is amended 
to read:
10.  Background check report content.  The background check report must inform 
employers whether the individual submitted for a background check has offenses that 
disqualify the individual for employment as a direct access worker. The background check 
report must include information specific to the individual along with information about the 
source and type of offense sufficient to allow the individual named in the report to 
challenge the information. The content of the background check report must include, but is 
not limited to, notice that the individual submitted for a background check has is:
A.  No disqualifying offenses;
A-1.  Eligible for hire; or
B.  A disqualifying offense; or
B-1.  Ineligible for hire and the length of any ban on employment as a result.
C.  A criminal charge without disposition that upon final disposition may result in a 
disqualifying offense.
Sec. 61.  22 MRSA §9054, sub-§13, as enacted by PL 2015, c. 299, §25, is amended 
to read:
13.  Waiver; disqualifying offense.  In the event that no other federal or state law 
mandates an employment prohibition by an employer subject to this chapter, an individual 
who is banned from employment because of a disqualifying criminal offense may initiate 
a request for a waiver under subsection 8, paragraph H in accordance with a process 
established by rules adopted pursuant to this chapter under the following circumstances:
A.  The individual is seeking to be employed or is currently employed by an employer 
subject to the requirements of this chapter;
B.  The employer has chosen to sponsor the individual's request for the removal of the 
ban in order to create or maintain an employment relationship; and
C.  The employer must attest to the department that the decision to sponsor the waiver 
request occurred after the employer considered the objectively reasonable factors under 
subsection 15 and the following factors:
(1)  The nature and gravity of the disqualifying offense or offenses;
(2)  The time that has passed since the disqualifying offense or offenses;
(3)  The nature of the employment held or sought;
(4)  Whether the criminal conduct was employment-related; and
(5)  A reasonable conclusion that the individual does not pose a threat of harm to 
a protected individual or others in the care and support of the individual.
The waiver must be sought with respect to the prospective or continued employment by a 
specific employer that is willing to sponsor the individual's request.  An employee seeking 
a waiver may be conditionally employed in accordance with section 9057, subsection 4 and 
section 9058 9058-A, subsection 3 until the waiver is denied.
Sec. 62.  22 MRSA §9055, sub-§2, as enacted by PL 2015, c. 299, §25, is amended 
to read:
2.  Special revenue account.  Revenue generated pursuant to this section must be 
deposited in a special revenue account in the Division division of Licensing licensing and 
Regulatory Services certification and dedicated for Background Check Center operations.
Sec. 63.  22 MRSA §9056, sub-§2, as enacted by PL 2015, c. 299, §25, is amended 
to read:
2.  Rap back monitoring program.  The bureau is authorized to initiate and provide 
services pursuant to federal or state rap back monitoring to report new criminal record 
events to the Background Check Center for noncriminal justice purposes.  The bureau is 
authorized as the State's noncriminal justice submitting entity for federal rap back 
monitoring.  Requests under the rap back monitoring program include the following 
procedures:
A.  The noncriminal justice submitting entity submits to an electronic repository 
biometric identifier data of a direct access worker;
B.  The electronic repository retains the biometric identifier data for a period of time 
specified in the State's subscription with the electronic repository; and
C.  The electronic repository notifies the noncriminal justice submitting entity of any 
new criminal record events tied to the biometric identifier data that may disqualify an 
individual from continued employment as a direct access worker.
Sec. 64.  22 MRSA §9056, sub-§3, as enacted by PL 2015, c. 299, §25, is amended 
to read:
3.  Collection of identifier data.  The bureau shall coordinate with the Background 
Check Center to collect the personally identifiable information and biometric identifier and 
relevant data of individuals as needed to meet the requirements of the rap back monitoring 
program or as otherwise required by this chapter and other laws.
Sec. 65.  22 MRSA §9056, sub-§4, ¶A, as enacted by PL 2015, c. 299, §25, is 
amended to read:
A.  Maintain the personally identifiable information and biometric identifier data in the 
criminal history records repository;
Sec. 66.  22 MRSA §9056, sub-§4, ¶B, as enacted by PL 2015, c. 299, §25, is 
amended to read:
B.  Compare the personally identifiable data, biometric identifier data or other data or 
both to criminal records to conduct a criminal record check and disseminate the results 
of this record check to authorized entities;
Sec. 67.  22 MRSA §9057, sub-§4, ¶D-1 is enacted to read:
D-1.  The individual provides evidence to the employer that the individual has 
submitted the individual's biometric identifier data for the background check;
Sec. 68.  22 MRSA §9057, sub-§4, ¶E, as enacted by PL 2015, c. 299, §25, is 
amended to read:
E.  The employer verifies and documents that the individual has submitted the 
individual's biometric identifier data required for the background check and the 
mandatory identity verification and employment eligibility documents required by 
rules adopted in accordance with this chapter; and
Sec. 69.  22 MRSA §9058, as enacted by PL 2015, c. 299, §25, is repealed.
Sec. 70.  22 MRSA §9058-A is enacted to read:
§9058-A.  Grandfathered employees prior to biometric identifier reporting
1.  Background check.  Beginning October 1, 2024, an employer employing direct 
access workers shall use the Background Check Center to secure a background check and 
a background check report using biometric identifier data for each direct access worker.  
2.  Gradual implementation of grandfathered employee background checks with 
biometric identifier data.  The department shall adopt rules under section 9065 describing 
a staged and orderly process based on the type of provider and the number of direct access 
workers employed that employers must follow to implement the background checks using 
biometric identifier data for grandfathered employees consistent with this chapter. The 
department may grant an employer a deadline extension for good cause shown, which may 
not be unreasonably withheld.
3.  Background check deadline.  A grandfathered employee may continue to work in 
direct access employment for up to 60 calendar days from the date the grandfathered 
employee's first biometric identifier background check is initiated in accordance with 
subsection 2 and if:  
A.  The grandfathered employee signs a consent to release information and agrees in 
writing to submit to the background check process;
B.  The grandfathered employee signs a statement declaring that a background check 
will not reveal any disqualifying offenses or that an offense that appears is inaccurate;
C.  The employer verifies and documents that the grandfathered employee has 
submitted the biometric identifier data and mandatory identity verification and 
employment eligibility documents required by rules adopted in accordance with section 
9065;
D.  The employer initiates the background check by entering the individual into the 
Background Check Center database as a grandfathered employee; and
E.  The grandfathered employee is not identified in the Background Check Center 
database as a disqualified person.
4.  Disqualified grandfathered employee.  A grandfathered employee who receives 
a disqualifying background check report is subject to the provisions of subsection 3 and 
must be able to correct disqualifying offense information that appears in the background 
check report through the inaccurate records corrections process within 60 calendar days 
after the disqualifying report is issued. The grandfathered employee is subject to direct 
personal supervision during the conditional employment period as described in rules 
adopted pursuant to this chapter until a final background check report indicates that no 
disqualifying offenses appear in the updated records.
5.  Termination; disqualified grandfathered employees.  An employer shall 
terminate or remove from direct access employment any grandfathered employee who has 
not submitted the documents required in subsection 3, who refused to submit a biometric 
identifier or otherwise participate in the background check or who fails to receive a final 
nondisqualifying background check report in accordance with subsection 4.  
Sec. 71.  22 MRSA §9062, sub-§1, ¶B, as enacted by PL 2015, c. 299, §25, is 
amended to read:
B.  Failure or refusal to terminate or remove from direct access employment an 
employee who is disqualified for employment based on the requirements of this 
chapter; and
Sec. 72.  22 MRSA §9062, sub-§1, ¶C, as enacted by PL 2015, c. 299, §25, is 
amended to read:
C.  Substantial noncompliance with the procedures established by this chapter.; and
Sec. 73.  22 MRSA §9062, sub-§1, ¶D is enacted to read:
D.  Failure to enroll in the Background Check Center.
Sec. 74.  22 MRSA §9066 is enacted to read:
§9066.  Portability
1.  Portability authorized.  A direct access worker may choose to transfer the worker's 
background check report to another employer.  The direct access worker may choose to 
transfer confidential information contained in the worker's background check report, as 
long as the background check used a biometric identifier, when:
A.  The direct access worker agrees to submit to the requirements of this chapter;
B.  The direct access worker signs a statement releasing the confidential information 
to the new employer;
C.  The employer verifies and documents that the direct access worker has submitted 
the mandatory identity verification and employment eligibility documents required by 
rules adopted in accordance with this chapter; and
D.  The employer ensures the background check was completed within the last 5 years 
and enters the direct access worker into the rap back monitoring program.
SUMMARY
This bill:
1. Amends the provisions of law relating to the Background Check Center, or BCC, 
established under the Maine Revised Statutes, Title 22, chapter 1691, in order to:
A.  Authorize the collection of biometric identifier data to enable the BCC to access 
national criminal history backgrounds of potential employees and to amend related 
grandfathering provisions;
B.  Authorize the portability of background check results from one employer to 
another;
C.  Clarify the relationship of the provisions to direct access workers;
D.  Authorize the BCC to specify offenses that disqualify an individual from 
employment as a direct access worker; and
E.  Establish the BCC as the noncriminal justice submitting entity for the federal rap 
back monitoring program and outline procedures related to rap back monitoring;
2.  Amends the provisions of law relating to the Maine Registry of Certified Nursing 
Assistants and Direct Care Workers in order to:
A.  Limit the registry's authority to the eligibility of certified nursing assistants and 
listing direct care workers who have substantiated findings of abuse, neglect or 
misappropriation of property;
B.  Clarify the relationship of the provisions to direct care workers;
C.  Allow a process for a direct care worker to petition removal of a substantiated 
finding of neglect or misappropriation of property;
D.  Clarify that certified nursing assistants and direct care workers are subject to the 
background check required under the provisions of law governing the BCC;
E.  Authorize the Department of Health and Human Services to adopt rules to specify 
criminal convictions that disqualify a person from employment as a certified nursing 
assistant or direct access worker; and
F.  Remove the provisions related to the ability of applicants to seek relief relating to 
disqualifying criminal convictions and site that authority within the BCC; and
3.  Amends the provisions of law relating to unlicensed assistive persons in order to: 
A.  Replace the term "unlicensed assistive person" with "direct care worker";
B.  Remove the provisions related to the ability of applicants to seek relief relating to 
disqualifying criminal convictions and site that authority within the BCC; and
C.  Provide for individuals enrolling in a training program for direct care workers to 
receive a background check through the BCC.