15 This space for use by IRRC - irrc.state.pa.us(19) Provide a specific estimate of the costs and/or savings to state government associated with the implementation of the regulation,

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(1) Agency

Department of Education

(2) I.D. Number (Governor s Office Use)

#060-262

This space for use by IRRC

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TRRC Number:• BcX.(3) Short Title

Nurse Aide Applicant Criminal Record Information

(4) PA Code Cite

22 PA Code

Chapter 701

(5) Agency Contacts & Telephone Numbers

Primary Contact: Jane Acri 783-6867

Secondary Contact: Lyn Forlizzi 783-6867

(6) Type of Rulemaking (check one)

Proposed Rulemaking_X Final Order Adopting Regulation

Final Order, Proposed Rulemaking Omitted

(7) Is a 120-Day Emergency CertificationAttached?

Yes: By the Attorney GeneralYes: By the Governor

(8) Briefly explain the regulation in clear and nontechnical language.

The adopted regulation requires criminal history record information from applicants prior to enrolling in stateapproved nurse aide training programs. The adopted regulation clarifies who the individuals are and how thereports will be obtained, provides confidentiality of criminal history records, prohibits the enrolling of personswho have committed certain offenses and requires facilities to notify applicants who are denied enrollmentbecause of information contained in the criminal history record information report.

(9) State the statutory authority for the regulation and any relevant state or federal court decisions.

The Nurse Aide Resident Abuse Prevention Training Act No. 14 of 1997 (P.L. 169). There are no relevantstate or federal court decisions.

Page 1 of 8

(10) Is the regulation mandated by any federal or state law or court order, or federalregulation? If yes, cite the specific law, case or regulation, and any deadlines for action.The Nurse Aide Resident Abuse Prevention Act No. 141 of 1997, Section 6; implemented uponadoption of the final regulations as published in the Pennsylvania Bulletin.

(11) Explain the compelling public interest that justifies the regulation. What is the problemit addresses?There is public concern that individuals applying for enrollment into state approved nurse aidetraining programs may have criminal convictions that could lead to abuse, exploitation, neglect, or allthree toward residents in nursing facilities. Having to submit a criminal history record informationreport before being enrolled in the training programs helps prevent these acts from happening.Screening and scrutinizing the application process that includes criminal history records helpseliminate those who have criminal convictions as stated in Act 14. Greater authority is given totraining program administrators not to enroll those who have criminal history records.(12) State the public health, safety, environmental or general welfare risks associated withnonregulation.Non-regulation leads to greater risks and injuries to residents, more incidences of abuse reports, morestressful living and working environments for residents and facility staff, and less peace of mind forresidents and their families. Non-regulation greatly diminishes the quality of care being offered bythe nursing facilities. The regulation provides a clear statement that anyone with a criminalbackground related to the misdemeanors and felonies listed within Act 14 will not be enrolled instate approved nurse aide training programs.(13) Describe who will benefit from the regulation. (Quantify the benefits as completely aspossible and approximate the number of people who will benefit)Residents living and working in nursing facilities benefit. Residents' families, friends and employednurse aides know that criminal history record information reports are completed and carefullyreviewed. The screening assists the facilities in providing qualified and competent care givers.Criminal history record information helps lower the amount of paperwork, report filing and otherprocedures necessary to complete incidence of abuse reports. Dollars spent for hearings are reducedand in the long run there are less people in the system suspected of residents' abuse. Finally, byrequiring criminal history record information prior to enrollment into a nurse aide training program,the regulation will save Federal tax dollars, otherwise spent on skills training and testing, for anunqualified individual.

There are approximately 94,500 residents in nursing facilities and a potential for 4,600 more in thenear future. There are approximately 120,000 nurses aides enrolled on the Department of Health'snurse aide registry and approximately 40,000 working daily in nursing facilities across Pennsylvania.

Page 2 of 8

^^9^^^^^ ôo^î^ôo^(10) Is the regulation mandated by any federal or state law or court order, or federalregulation? If yes, cite the specific law, case or regulation, and any deadlines for action.The Nurse Aide Resident Abuse Prevention Act No. 14 of 1997, Section 6; implemented uponadoption of the final regulations as published in the Pennsylvania Bulletin.

(11) Explain the compelling public interest that justifies the regulation. What is the problemit addresses?There is public concern that individuals applying for enrollment into state approved nurse aidetraining programs may have criminal convictions that could lead to abuse, exploitation, neglect, or allthree toward residents in nursing facilities. Having to submit a criminal history record informationreport before being enrolled in the training programs helps prevent these acts from happening.Screening and scrutinizing the application process that includes criminal history records helpseliminate those who have criminal convictions as stated in Act 14. Greater authority is given totraining program administrators not to enroll those who have criminal history records.(12) State the public health, safety, environmental or general welfare risks associated withnonregulation.Non-regulation leads to greater risks and injuries to residents, more incidences of abuse reports, morestressful living and working environments for residents and facility staf% and less peace of mind forresidents and their families. Non-regulation greatly diminishes the quality of care being offered bythe nursing facilities. The regulation provides a clear statement that anyone with a criminalbackground related to the misdemeanors and felonies listed within Act 14 will not be enrolled instate approved nurse aide training programs.(13) Describe who will benefit from the regulation. (Quantify the benefits as completely aspossible and approximate the number of people who will benefit)Residents living and working in nursing facilities benefit. Residents' families, friends and employednurse aides know that criminal history record information reports are completed and carefullyreviewed. The screening assists the facilities in providing qualified and competent care givers.Criminal history record information helps lower the amount of paperwork, report filing and otherprocedures necessary to complete incidence of abuse reports. Dollars spent for hearings are reducedand in the long run there are less people in the system suspected of residents' abuse.

There are approximately 94,500 residents in nursing facilities and a potential for 4,600 more in thenear future. There are approximately 120,000 nurses aides enrolled on the Department of Health'snurse aide registry and approximately 40,000 working daily in nursing facilities across Pennsylvania*

Page 2 of 8

aijiiijiiigiiiMiigiiiii(14) Describe who will be adversely affected by the regulation. (Quantify the adverse effects ascompletely as possible and approximate the number of people who will be adversely affected.)Applicants applying for enrollment in the state approved nurse aide training program may be adverselyaffected. Applicants may not have the $10.00 to pay for the criminal background cheek. Those who live instates close to the Pennsylvania borders and apply for enrollment into the state's training program will need topay an additional fee because of the required Federal Bureau of Investigation background check; this fee ismore expensive. Groups working with long-term care facilities state that when applicants have to makechoices of paying the fees or taking care of family basic needs, they choose their families' needs. In addition,facilities are concerned about the length of time for a criminal history record check to be completed. Duringthe waiting period, applicants may not wait as they need jobs immediately. Many may accept other entry-level positions with the same starting salaries.

(15) List the persons, groups or entities that will be required to comply with the regulation.(Approximate the number of people who will be required to comply.)All sponsors of the state approved nurse aide training programs are required to comply with the regulation.Presently there are 820 programs in Pennsylvania. Individuals submitting applications for enrollment in theprogram are required to comply. Each year approximately 15,600 persons enroll in training programs acrossthe Commonwealth.

(16) Describe the communications with and input from the public in the development and drafting ofthe regulation. List the persons and/or groups who were involved, if applicable.The Department of Education formed four committees to meet and provide comments, recommendations anddiscussion. The committees represented nursing facilities, state associations, local education agencies, areatraining and employment groups and state agencies working with the state approved nurse aide trainingprograms. These included: state agencies - Education, Aging, Health and Public Welfare; associations - PAAssociation of County Affiliated Homes, PA Health Care Association, PA Association of Non-Profit Homesfor the Aging, Hospital and Health Systems of PA-Long Term Care, Service Employees International Union,American Federation State and County Municipal Employees, PA Vocational-Technical Association, PACommission for Community Colleges, Private Licensed and Registered Schools, The Coalition of Advocatesfor the Rights of the Infirm Elderly, AGE Institute, Network of Victim Assistance; local providers - facilityadministrators and primary instructors who teach the state approved nurse aide training program.

(17) Provide a specific estimate of the costs and/or savings to the regulated communityassociated with compliance, including any legal, accounting or consulting procedures whichmay be required.

There are no costs imposed by this regulation beyond the costs to prospective applicants forproviding the criminal history record information report.

Page 3 of 8

1^ ^ ^

(18) Provide a specific estimate of the costs and/or savings to local governments associatedwith compliance, including any legal, accounting or consulting procedures which may berequired*

There are no costs imposed by this regulation on local government.

(19) Provide a specific estimate of the costs and/or savings to state government associated withthe implementation of the regulation, including any legal, accounting, or consulting procedureswhich may be required.

The Pennsylvania Department of Education (PDE) is the designated agency to receive the FederalBureau of Investigation's (FBI) criminal history record information (CHRI) reports. Presently PDEhandles the FBI reports for school employees. However, completing the procedures to obtain FBIreports for student nurse applicants may require additional clerical support. During a randomtelephone survey, completed by PDE, 10 long-term care facilities located in Pennsylvania bordercounties were contacted. The question was asked, "How many FBI criminal background checkswould have been needed during 1997 for student nurse aide applicants whose Pennsylvania residencywas less than one year?" They indicated a total of 132 applicants. This would mean that 6,468would need to be made if all 500 active nurse aide training programs had 132 applicants whose PAresidency was less than one year. If 6,468 CHRI reports were needed, these would requireapproximately 1,078 hours of clerical support or a little more than half of the assigned person's worktasks. These tasks would include three mailings per applicant's request: 1) mail FBI form andinstructions for completing to applicant, 2) applicant returns completed form to PDE for recording,PDE mails form to the PA State Police, who forwards to FBI, 3) FBI returns the completed CHRIreport to PDE who, determines the applicants eligibility. The results are stated in a letter, along withthe CHRI report, and mailed to the applicant by the Department. Costs to support these procedures(maximum of 6,468 CHRI reports totaling 1078 clerical support hours) would total approximately$14,028 the first year. Note: it is not anticipated that the maximum number 6,468 CHRI reports,will be needed.

The Pennsylvania State Police (PSP) indicated that the $10.00 fee would not absorb the complete cost to docriminal background checks. If 15,000 background checks were needed, it would cost the PSP approximately$32,000 per year. This includes a clerk 3 position, work station and computer.

Page 4 of 8

(20) In the table below, provide an estimate of the fiscal savings and costs associated with .implementation and compliance for the regulated community, local government, and stategovernment for the current year and five subsequent years.

SAVINGS:RegulatedLocal GovernmentState GovernmentTotal SavingsCOSTS:RegulatedLocal GovernmentState GovernmentTotal CostsREVENtM LOSSES:RegulatedLocal GovernmentState Government

Current FYYear

ttffffllfrWilU'll MM —(20a) Explain how the cost estimates 1

Costs in State GovernmentPennsylvania Department of EducatioThe first year expenditures would incl

Salaries and benefits $14,028 @ 3G

Pennsvlvania State Police CPS?)The first year expenditures would inclSalaries and Benefits $25,4<

Work Station and Computer §&$31^

Three percent increase for FY + 2 thrcomputer.

* The zero dollar amount for the currof personnel would not take place UE

sted above w

(13.01 per hr.110.01 salary/

*7 @ $1:($

7340

ough FY + 5

ent year assuitil the progri

Year Year Year

ere derived.

(salaries and benefits)$3.00 benefits)

3.06 (salaries and benefits)9.14 salary/$3,92 benefits)

does not include costs for PSP work s

mes that the purchase of equipment aim becomes effective.

Year

44,452

tation or

nd hiring

Page 5 of 8

(20b) Provide the past three year expenditure history for programs affected by

Program

NONENONE

(21) Using the cost-benefit information provided above, explainregulation outweigh the adverse effects and costs.

Non-applicable

(22) Describe the nonregulatory alternatives considered and thealternatives. Provide the reasons for their dismissal.

the regulation.

Current FY

how the benefits of the

costs associated

Because the regulations are mandated by the Act, no non regulatory alternativesconsidered.

(23) Describe alternative regulatory schemes considered and theschemes. Provide the reasons for their dismissal.

No alternative regulatory schemes were considered.

costs associated

with those

were

with those

Page 6 of 8

(24) Are there any provisions that are more stringent than federal standards? If yes, identifythe specific provisions and the compelling Pennsylvania interest that demands strongerregulation.

(25) How does this regulation compare with those of other states? Will the regulation putPennsylvania at a competitive disadvantage with other states?

Thirty-two states and the District of Columbia require the criminal history record information of thenurse aide prior to being hired in a nursing facility. The regulation in Pennsylvania requires thecriminal history record information to be obtained prior to enrollment in a state approved nurse aidetraining program. This advantage ensures the individual is employable before spending the time anddollars on training. The regulation places Pennsylvania in concert with the majority of the states doingbackground checks.

(26) Will the regulation affect existing or proposed regulations of the promulgating agency or otherstate agencies? If yes, explain and provide specific citations.

The adopted regulation does not affect other regulations or other state agencies, except for the criminalhistory record information obtained from the State Police.

(27) Will any public hearings or informational meetings be scheduled? Please provide the dates, times,and locations, if available.

Four committees composed of public groups and individuals affected by the proposed regulation andrepresentatives of the institutions and individuals being regulated provided recommendations andcomments.Meetings were held in Harrisburg on October 14, 16, 21, and 23, 1997. Individuals, who were present,represented local nursing facilities, state associations, nurse aide employees, local education agencies,and state agencies that work with the state approved nurse aide training program. In December 1997,a mass mailing that provided information about the regulation being published in the PennsylvaniaBulletin was mailed to the 820 sponsors of the state approved nurse aide training programs.

Page 7 of 8

^^9^13^^^ ^ ^ 8 ^ ^ ^ ^ O ^ ^ji;.jjfp:;.::iij;p&

(28) Will the regulation change existing reporting, record keeping, or other paperworkrequirements? Describe the changes and attach copies of forms or reports which will berequired as a result of implementation, if available.

The Department of Education will develop and add a monitoring review page for the criminalhistory record information to the Pennsylvania Department of Education's On-Site Review ofApproved Nurse Aide Training Programs booklet. The monitoring staff will arrange their on-site visits' schedule to allow additional time to review the facility's criminal history copies andrecord any possible violations.

The final-form regulation changes existing reporting and record keeping. Sponsors of the stateapproved nurse aide training program shall make a copy and keep on file the applicant'scriminal history record information report that includes the sponsor's designated reviewer'ssignature and date reviewed.

(29) Please list any special provisions which have been developed to meet the particular needsof affected groups or persons including, but not limited to, minorities, elderly, small businesses,and farmers.

Act 14 does not permit any special provisions.

(30) What is the anticipated effective date of the regulation; the date by which compliancewith the regulation will be required; and the date by which any required permits, licenses orother approvals must be obtained?

The adopted regulations will take effect on publication as rule making in the PennsylvaniaBulletin.

(31) Provide the schedule for continual review of the regulation.

These final-form regulations will be reviewed on a four-year cycle, thus no sunset date isnecessary.

Page 8 of 8

FACE SHEETFOR FILING DOCUMENTS

WITH THE LEGISLATIVE REFERENCE BUREAU

(Pursuant to Commonwealth Documents Law)

\O\UK

ZGOO K«V

' • ' • ' R E W

(•23 PH

:oWOT

0 0 NOT WRITE IN THIS SPACE

Copy below is hereby approved as toform and legality. Attorney General

(DEPUTY ATTORNEY GENERAL)

DATE OF APPROVAL

D Check if applicableCopy not approved. Objectionsattached.

Copy below is hereby certified to be a true and correct copyof a document issued, prescribed or promulgated by:

Department of Education

DOCUMENT/FISCAL NOTE NO. .

DATE OF ADOPTION:

: LjL>»%<_»^*- CZX V V V C J ^ A W

Secretary of Education(EXECUTIVE OFFICER, CHAIRMAN OR SECRETARY}

Copy below is hereby approved as tform and legality. Executive or tndepenc

(Deputy General Counsel)(Chief COUIULI, liUJlipendent Agency)

(Strike inapplicable title)

O Check if applicable. No Attorney Qerera I approval or objection within 3days after submission.

Final-Form"

Department of EducationTitle 22 - Education

Chapter 701Nurse Aide Applicant Criminal History Record Information

DEPARTMENT OF EDUCATION

[22 PA. CODE CH. 701]

Nurse Aide Applicant Criminal History Record Information

The Department of Education adopts Chapter 701 (relating to nurse aide training

program applicant criminal history record information) to read as set forth in Annex A under

the Nurse Aide Resident Abuse Prevention Training Act (act)(63 P.S.§§671-680). These

regulations implement the act.

Purpose and Requirements

The process of developing Chapter 701 was undertaken in accordance with Section 6

of the act (63 P.S. § 676), which directs the Department to promulgate regulations necessary

to carry out the criminal history record information requirements and ensure compliance with

the act. Section 6(2) of the act further requires that the regulations provide for the

confidentiality of criminal history record information.

Comments and Responses

Comments were received from the House Education Committee on August 31, 1998,

the Senate Education Committee on September 1, 1998 and the Independent Regulatory

Review Commission (IRRC) staff on September 21, 1998. Public comments were received

from five state-wide health associations, two statewide education associations and one nurse

aide training facility.

22 Pa. Code, Ch. 701 PREAMBLE 12/01/98(#060-262) Page 1

Section 701.1 Definitions - Clarity

Two commentators suggested that language be more clear for the nurse aide definition.

The Department accepts the definition as stated in the act. IRRC and a commentator

recommended some changes in wording to clarify Section 701.1 and to be consistent with

wording throughout the regulations. The Department agreed to make these changes in its

final regulations.

Section 701.2 Compliance - Need for Rule and Clarity

IRRC questioned the need to include the compliance statement in Section 701.2. The

Department agreed that this is not necessary on final form, but has included the statement as

part of the Preamble's purpose and requirements.

Section 701.11 Submission of Criminal History Record Information (CHRP report -

Legislative Intent

Some commentators suggested that secondary school students be exempted from the

CHRI reports. They noted that CHRI reports do not show criminal offenses unless the

student is convicted as an adult and completing the report would be a financial and paperwork

burden imposed on school districts by Section 701.11. IRRC and the Senate Education

Committee agreed with the proposed regulations as set forth. The Department does not have

the statutory authority to provide exemptions through regulations. Therefore, the Department

has not made this change on final form.

Section 701.11. Submission of CHRI Report - Consistency with Statute and Clarity

A commentator recommended a 30-day grace period for receiving CHRI reports. The

intent of the law is to have reports reviewed before the program begins in order to prevent a

person convicted of offenses stated in the act 14 from entering the program. The Department


will leave Section 701.11 as proposed. However, IRRC recommended some changes in

wording to clarify Section 701.11. The Department agreed to make these changes in Section

701.11.

IRRC, the Senate committee and some commentators recommended that the residency

requirements be changed to agree with the residency requirements in the Older Adults

Protective Services Act. The Department accepts their recommendation and the residency

requirements are changed on final form.

One commentator recommended that the CHRI report be completed by the

Pennsylvania State Police (PSP) and FBI for residents of less than two years. The FBI CHRI

report is a nation-wide report and includes offenses on the PSP database. The Department

believes the language as proposed is sufficient and no change will be made on final form.

Section 701.11(11 - Receipt of CHRI Report bv Facility - Need for Rule and Clarity

IRRC, the House and Senate Committees and some commentators recommended

changes in wording (omit a phrase and clarify a word) be made in 701.11(1). The

Department agreed and these are made on final form.

Section 701.11(2). Submission of CHRI Report - Need for Rule and Reasonableness

IRRC recommended that the applicant, who has resided in Pennsylvania less than the

required residency time, obtain their FBI CHRI report directly from the FBI. The law is very

explicit in charging the Department to enforce the provision of the act; and it is an FBI policy

that applicants do not directly contact their agency in order to obtain CHRI reports.

Furthermore, the Department is consistent with established procedures set forth in similar

statute and regulations, namely Act 34 (clearance for teachers). The Department leaves

Section 701.11(2) as originally proposed.


Section 701.12(1). Receipt of CHRI report by facility. - Need for Reasonableness

A commentator recommended that the position title and not the designated

representative be responsible for receipt of the CHRI report. The Department leaves the

language as stated.

Subsection 701.12(3¥D. Receipt of CHRI report by facility. - Consistency with Statute and

IRRC and a commentator recommended that flexibility be given to allow applicants to

submit originals or copies of their CHRI reports. The Department agreed and changes are

made on final form.

Section 701.15. Confidentiality of Information. - Reasonableness and Clarity

IRRC, the House and Senate Committees, and commentators suggested that two

separate policies included unnecessary wording and are not needed. The Department agreed

and the changes are on final form.

Section 701.16. Violations. - Reasonableness and Clarity

One commentator recommended that the penalty be on the facility and not the

designated representative. It is the intent of the law that the representative and not the facility

be held in compliance. The Department leaves the regulation as stated.

The Department added an additional paragraph to provide clarity to Section 701.16 as

it relates to Section 701.12(i).

The Senate Committee expressed concern that two numbering systems for the proposed

regulations were used. The numbering system for the proposed regulations were delivered to

the Senate Committee on July 7, 1998 and were published in the Pennsylvania Bulletin on

July 18, 1998. The Department recognizes that it is in the purview of the Legislative


Reference Bureau to make such changes and has used their numbering system on final form.

Fiscal Impact and Paperwork Requirements

The regulations have a fiscal impact upon the Commonwealth at the state level.

During the first full year the State Police project their fiscal impact at $31,940. This includes

staffing and equipment. The Department may need to hire additional clerical assistance for

the FBI criminal background checks. This is estimated at $14,028 for the first year. The

regulations would have no fiscal impact upon the local entities. The regulations impose no

new significant paperwork requirements beyond those required by the act. However, the

Department will need to readjust the length of time for monitoring each nurse aide training

program in order to review the criminal history record information for all enrolled nurse aide

students.

Effective Date

These final form regulations take effect on the date of publication in the Pennsylvania

Bulletin.

Sunset Date

The effectiveness of proposed Chapter 701 will be reviewed by the Department every

four years. Thus, no sunset date is necessary.

Regulatory Review

Under Section 5(a) of the Regulatory Review Act, (71 P.S. §745.5(a)), on July 18,

1998, the Department submitted a copy of the notice of proposed rulemaking published at 28

Pennsylvania Bulletin 3412 to the Independent Regulatory Review Commission and to the

Chairpersons of the House and Senate Committees on Education for review and comment. In

compliance with Section 5(b.l) of the Regulatory Review Act, the Department also provided


the Commission and Committees with copies of the comments received as well as other

documentation.

In preparing these final-form regulations, the Department has considered the comments

received from IRRC, the Committees and the public.

These final-form regulations were (deemed) approved bv the Committees on

and were approved by IRRC on , in accordance with Section 5(c) of the

Regulatory Review Act.

Contact Person The official responsible for information on the Department's process of

promulgating these final form regulations is Jane M. Acri, Vocational Services Supervisor,

Bureau of Vocational-Technical Education, 333 Market Street, Harrisburg, PA 17126-0333,

telephone (717) 783-6867.

Findings

The Department finds that:

(1) Public notice of the intention to adopt these regulations was given under Sections

201 and 202 of the act of July 31, 1968 (P.L. 769, No. 240)(45 P.S.§§1201 and 1202) and the

regulations promulgated there under in 1 Pa Code §§ 7.1 and 7.2.

(2) A public comment period was provided as required by law and all comments were

considered.

(3) The adoption of the regulations in the manner provided by this Order is necessary

and appropriate for administration of the authorizing statute.

The Department, acting under the authorizing statute, orders that:

(a) This chapter of regulations is added to 22 Pa. Code as Chapter 701 to


read as set forth in Annex A.

(b) The Secretary of Education will submit this Order and Annex A to the

Office of General Counsel and the Office of Attorney General for

review and approval as to legality and form as required by law.

(c) The Secretary of Education shall certify this Order and Annex A and

deposit them with the Legislative Reference Bureau as required by law.

(d) This order is effective upon final publication in the Pennsylvania

Bulletin.

By the Department of Education

Eugene W. HickokSecretary of Education


ANNEX A

TITLE 22. EDUCATIONPART XIX. CRIMINAL HISTORY RECORD INFORMATION

CHAPTER: 701. NURSE AIDE TRAINING PROGRAM APPLICANT CRIMINALHISTORY RECORD INFORMATION

GENERAL

Section 701.1. Definitions.

The following words and terms, when used in this chapter, have the following meanings,

unless the context clearly indicates otherwise:

Act-The Nurse Aide Resident Abuse Prevention Training Act (63 P.S. §§ 671-680).

Applicant-An individual applying for admission into a program.

CHRI- Criminal History Record Information-A report of criminal history from the State

Police or a statement that their central repository contains no such information; or a report

of criminal history from or a statement that no information is on file with the Federal

Bureau of Investigation, OR A STATEMENT THAT THEIR FILES CONTAIN NO

INFORMATION.

Department-The Department of Education of the Commonwealth.

Enrollment-Approval of an applicant for admission in a program.

22 Pa. Code, Ch. 701 Final Form Annex A Page 1(#006-262)

Facility-An institution or agency that sponsors a program.

Nurse aide-An individual providing nursing or nursing-related services to residents in a

nursing facility or skilled nursing facility. The term does not include an individual who is a

licensed health professional or an individual who volunteers to provide such services

without monetary compensation.

Program-The state approved nurse aide training program.

Section 701.2. Compliance.

It is the policy of the Department to ensure compliance with the Act.

RESPONSIBILITIES OF FACILITIES AND DESIGNATED

persorael REPRESENTATIVE

Section 701.11. Submission of CHRI report.

The facility shall require an applicant to submit a CHRI report, WHICH WAS

OBTAINED IN THE PRECEEDING ONE YEAR PERIOD, prior to enrolling as a nurse

aide student into the program, according to one of the following:

m The facility shall require an applicant who has ALL APPLICANTS WHO

HAVE resided in this Commonwealth for a minimum of one year TWO FULL YEARS


PRIOR TO THEIR DATES OF APPLICATION to obtain a CHRI report from the State

(2) The facility shall require an applicant who has ALL APPLICANTS WHO

HAVE resided in this Commonwealth less than one year TWO FULL YEARS PRIOR TO

THEIR DATES OF APPLICATION to obtain a CHRI report from the Federal Bureau of

Investigation by contacting the Department for the required form.

Section 701.12. Receipt AND REVIEW of CHRI report by facility

In receiving and reviewing CHRI reports, the facility and its personnel shall do the

following:

(1) The facility administrator shall designate in writing and at the administrator's

discretion the appropriate facility personnel REPRESENTATIVES, to review the CHRI

report for enrollment eligibility and maintain a copy of the designation in the facility's file.

(2) The facility's designated personnel REPRESENTATIVES shall receive the

applicant's original CHRI report OR A COPY THERE OF.

(3) The facility's designated personnel REPRESENTATIVES shall review the

CHRI report in the following manner:

(i) Make a photocopy of the original CHRI.


ffifl- Sign and date a copy of the CHRI report.

-4m (ii)Review the CHRI report for the offenses listed in § 701.13 (relating

to nonacceptance of certain applicants).

# 4 (iii) Place the signed and dated copy of the CHRI report in a specific

file for all CHRI reports.

(v) Return the original CHRI report to the applicant.

Section 701.13 Nonacceptance of certain applicants.

The facility and its designated personnel REPRESENTATIVE(S) may not enroll a nurse

aide applicant whose CHRI REPORT indicates the applicant has been convicted of any of

the following offenses:

(1) An offense designated as a felony under The Controlled Substance, Drug, Device and

Cosmetic Act (35 P.S. S§ 780-101 - 780-144).

(2) An offense under one or more of the following provisions of 18 Pa.CS. (relating to

crimes and offenses):

(i) Chapter 25 (relating to criminal homicide),

(ii) Section 2702 (relating to aggravated assault),

(iii) Section 2901 (relating to kidnapping),

(iv) Section 2902 (relating to unlawful restraint),

(v) Section 3121 (relating to rape).


(vi) Section 3122.1 (relating to statutory sexual assault),

(vii) Section 3123 (relating to involuntary deviate sexual intercourse).

(viii) Section 3124.1 (relating to sexual assault).

(ix) Section 3125 (relating to aggravated indecent assault),

(x) Section 3126 (relating to indecent assault).

(xi) Section 3127 (relating to indecent exposure).

(xii) Section 3301 (relating to arson and related offenses).

(xiii) Section 3502 (relating to burglary).

(xiv) Section 3701 (relating to robbery).

(xv) A felony offense under Chapter 39 (relating to theft and related

offenses) or two or more misdemeanors under Chapter 39.

(xvi) Section 4101 (relating to forgery).

(xvii) Section 4114 (relating to securing execution of documents by

deception).

(xviii) Section 4302 (relating to incest).

(xix) Section 4303 (relating to concealing death of child).

(xx) Section 4304 (relating to endangering welfare of children).

(xxi) Section 4305 (relating to dealing in infant children).

(xxii) Section 4952 (relating to intimidation of witnesses or victims).

(xxiii) Section 4953 (relating to retaliation against witness or victim).

(xxiv) A felony offense under section 5902(b) (relating to prostitution and

related offenses).


(xxv) Section 5903 (c) or (d) relating to obscene and other sexual materials

and performances).

(xxvi) Section 6301 (relating to corruption of minors),

(xxvii) Section 6312 (relating to sexual abuse of children).

(3) A Federal or out-of-State offense similar in nature to those crimes listed under

paragraphs (1) aad- OR (2).

Section 701.14. Notification to applicant regarding CHRI report.

The facility's designated personnel FACILITY shall notify the applicant in writing feat

WHICH is clear and understandable, if the decision not to admit the applicant is based in

whole or in part on the CHRI report.

Section 701.15. Confidentiality of information.

(a) The facility's designated personnel shall establish two policies to ensure that:

(1) The confidentiality of the CHRI report is maintained by placing it in a

locked file cabinet for similar storage area.

(2) The CHRI report is not available to anyone who is not directly involved in

evaluating the applications for enrollment into th eprogram, except State

and Federal personnel who monitor the program.

(b) The Department will record the name of the designated facility personnel.


THE FACILITY SHALL ESTABLISH A POLICY THAT ENSURES THE

CONFIDENTIALITY OF THE CHRI REPORT BY PLACING IT IN A LOCKED FILE

CABINET OR SIMILAR STORAGE AREA AND ENSURING THAT THE CHRI

REPORT IS NOT AVAILABLE TO ANYONE WHO IS NOT DIRECTLY INVOLVED

IN EVALUATING THE APPLICATIONS FOR ENROLLMENT INTO THE

PROGRAM, EXCEPT STATE AND FEDERAL PERSONNEL WHO MONITOR THE

PROGRAM.

Section 701.16. Violations.

(A) An individual(S) who is responsible for reviewing and approving applications for

enrollment into the program (that is the facility's designated personnel representative^))

and who willfully fails to comply with § 701.12(2) and (3) or § 701.13 (relating to receipt

AND REVIEW of the CHRI report by facility and nonacceptance of certain applicants)

shall be subject to a civil penalty as provided for in § 701.21 (relating to responsibilities

of the Department).

(B) A FACILITY ADMINISTRATOR WHO WILLFULLY FAILS TO COMPLY WITH

SECTION 701.12(1) (RELATING TO DESIGNATING IN WRITING OF THE

FACILITY REPRESENTATIVE) SHALL BE SUBJECT TO A CIVIL PENALTY AS

PROVIDED IN SECTION 701.21 (RELATING TO RESPONSIBILITIES OF THE

DEPARTMENT).


RESPONSIBILITIES OF THE DEPARTMENT

Section 701.21. Responsibilities of the Department,

(a) The Department will determine compliance violations.

(b) As part of the routine monitoring of facilities the Department's monitoring staff

will RECORD THE NAME OF THE DESIGNATED FACILITY REPRESENTATIVES

AND review the facility's files of ALL nurse aide students who are enrolled in the

program after . (Editor's Note: The blank refers to the effective date of the

adoption of this proposal)

(c) The Department will receive and investigate complaints which allege violations

of the act or this chapter.

(d) Based upon the information gathered as part of its routine monitoring or its

investigation of a complaint, the Department may hold a hearing to determine violations of

§701.16 (relating to violations).

(1) The procedures for SUCH a hearing will conform to 2 Pa. C.S. (relating to

administrative law and procedure).

(2) After the hearing, the Department may assess a civil penalty of not more than

$2500 per violation.


;amCOMMONWEALTH OF PENNSYLVANIA

DEPARTMENT OF EDUCATION

333 MARKET STREET

HARRISBURG, PENNSYLVANIA I7I26-O333

SECRETARY OF EDUCATION

May 23, 2000

7 I 7 787 582O (TED

7 17 787 7222 (FAX)

7 17783-8445 (TTY)

Mr. Robert E. NyceExecutive DirectorIndependent Regulatory Review Commission14th Floor333 Market StreetHarrisburg, PA 17126

Dear Mr. Nyce:

Enclosed is a copy of the final-form of Department of Education regulations 22 Pa. Code,Chapter 701 (Nurse Aide Training Program Applicant Criminal History Record Information)(regulatory package #6-262) for review by the Commission pursuant to the provisions of section 5(c)of the Regulatory Review Act. The act provides that the Commission shall approve or disapprovefinal-form regulations within 10 days of the close of the Committee review period or at its nextscheduled meeting.

The Department of Education will provide the Commission with any assistance it requires tofacilitate a thorough review of these final-form regulations.

Please let me know if there is anything that you need.

Sincerely,

CXA. x^'-9

Eugene W. Hickok

Enclosure

cc: Gregory E. Dunlap, EsquireLinda C. Barrett, Esquire

PUBLIC COMMENTS FOR ACT 14

Pennsylvania Association of CountyAffiliated Homes (PACAH)17 North Front StreetHarrisburg, PA 17101-1624Michael J. WiltExecutive Director

Pennsylvania Association of Non-ProfitHomes for the Aging (PANPHA)Executive Park WestSuite 4094720 Old Gettysburg RoadMechanicsburg, PA 17055-8419Betty M. SimmondsPublic Policy Analyst

Pennsylvania Health Care Association(PHCA)315 North Second StreetHarrisburg, PA 17101Veronica M. Thompson, BSN, MA, RNDirector of Quality Management

Pennsylvania Catholic Health Association(PCHA)223 North StreetBox 2835Harrisburg, PA 17105Sister Clare Christi Schiefer, OSFPresident

Pennsylvania State Nurses Association(PSNA)2578 Interstate DrivePO Box 68525Harrisburg, PA 17106-8525Jessie F. Rohner, DrPH, RNExecutive Administrator

Pennsylvania School BoardsAssociation, Inc.774 Limekiln RoadNew Cumberland, PA 17070-2398Thomas J. GentzelAssistant Executive Directorfor Governmental and Member Relations

The Pennsylvania Association of VocationalAdministrators23 Meadow DriveCamp Hill, PA 17011-8331Jacqueline CullenExecutive Director

Lancaster Institute for Health Education143 East Lemon StreetLancaster, PA 17602ElmaL. Hess, RN, BSNNurse Aide Program Coordinator

TRANSMTTTAL SHEET FOR REGULATIONS SUBJECT TO THEREGULATORY REVIEW ACT

ID. NUMBER:

SUBJECT:

AGENCY:

Nurse Aide Applicant Criminal History Record Worm&## ' ' 23 M li'' 0 '

DEPARTMENT OF EDUCATION - State Board of E t a f o a co; ; ̂ sVcVlat-

TYPE OF REGULATION

Proposed Regulation

Final Regulation

Final Regulation with Notice of Proposed Rulemaking Omitted

120-day Emergency Certification of the Attorney General

120-day Emergency Certification of the Governor

Delivery of Tolled Regulationa. With Revisions b. Without Revisions

DATE SIGNATURE

FILING OF REGULATION

DESIGNATION

HOUSE COMMITTEE ON EDUCATION

it^fV/Â. G-Û/iCp S-̂ J SENATE COMMITTEE ON EDUCATION3 ^ J'

<\22>)& t V jfajjj j f l j m * - * - ^ INDEPENDENT REGULATORY REVIEW COMMISSION

ATTORNEY GENERAL

LEGISLATIVE REFERENCE BUREAU