Section 441.119.2. When record check evaluations are requested.

         119.2(1) Record check evaluations on prospective employees and students. A requesting entity shall request a record check evaluation prior to employment or enrollment of a person whose background check indicates a criminal or dependent adult abuse or child abuse record. Any deferred judgments will be considered in criminal background checks. Criminal, child abuse and dependent adult abuse background checks are required on all prospective employees or students, including employees or students who have terminated employment or participation in a training program for any reason or any length of time and wish to return to the same employment or training program, unless an exemption is provided in these rules.

            a.               A hospital or licensee of a health care facility may employ a person for up to 60 calendar days pending completion of the evaluation if all of the following criteria are met:

             (1)             The employment does not involve operation of a motor vehicle; and

             (2)             The person to be employed has been convicted of a simple misdemeanor offense (under Iowa Code section 123.47 or chapter 321) or a first offense of operating a motor vehicle while intoxicated (under Iowa Code section 321J.2(1)); and

             (3)             The person to be employed does not have a record of founded child or dependent adult abuse; and

             (4)             The hospital or licensee has requested an evaluation.

            b.               A training program in a facility licensed under Iowa Code chapter 135C may allow a student who is applying for, enrolled in, or returning to a certified nurse aide training program to participate in the clinical education component of the training program for up to 60 calendar days pending completion of the evaluation if all of the following criteria are met:

             (1)             The student’s clinical education component of the training program involves children or dependent adults; and

             (2)             The program does not involve operation of a motor vehicle; and

             (3)             The student has been convicted of a simple misdemeanor offense (under Iowa Code section 123.47 or chapter 321) or a first offense of operating a motor vehicle while intoxicated (under Iowa Code section 321J.2(1)); and

             (4)             The student does not have a record of founded child or dependent adult abuse; and

             (5)             The training program has requested an evaluation.

         119.2(2) Record check evaluations on current employees and students. A requesting entity shall request a record check evaluation on current employees and students when a current employee or student background check indicates a criminal conviction (other than an Iowa Code chapter 321 simple misdemeanor or equivalent simple misdemeanor offense from another jurisdiction) or dependent adult or child abuse record and the requesting entity intends to continue to employ the employee or to continue the student’s enrollment in a training program. The requesting entity shall request a current criminal or dependent adult or child abuse record check when the entity receives credible information as determined by the entity that a current employee or student has a criminal or dependent adult or child abuse record that has not been previously considered by the requesting entity.

         119.2(3) Transfer of employee between facilities. If a person owns or operates more than one facility, and an employee of one of the facilities is transferred to another facility without a lapse in employment, the facility is not required to request additional criminal or abuse record checks of the employee or obtain a new record check evaluation.

         119.2(4) Exceptions to record check evaluation requirements for employment under Iowa Code chapter 135B or 135C or participation in a training program in facilities licensed under Iowa Code chapter 135C. If an evaluation was previously performed by the department and the department determined the person’s criminal and abuse background did not warrant prohibition of employment, the person who is or was employed by a hospital licensed under Iowa Code chapter 135B and is hired by another hospital or the person who is or was employed by a facility licensed under Iowa Code section 135C.33 and is hired by another facility licensed under Iowa Code section 135C.33 may commence employment without further action by the department subject to the following conditions:

            a.               The record check performed by the subsequent employer does not indicate that a crime was committed or that a founded abuse record was entered subsequent to the previous evaluation.

            b.               The position with the subsequent employer is substantially the same or has the same job responsibilities as the position for which the previous evaluation was performed.

            c.               Any restriction placed on the person’s employment in the previous evaluation by the department shall remain applicable in the person’s subsequent employment.

            d.               The person subject to the record checks has maintained a copy of the previous evaluation and provides the evaluation to the subsequent employer, or the previous employer provides the previous evaluation from the person’s personnel file pursuant to the person’s authorization. If a physical copy of the previous evaluation is not provided to the subsequent employer, a new record check evaluation shall be performed.

            e.               Although an authorized new evaluation is not required, the subsequent employer may choose to request a reevaluation of the person’s criminal and abuse background and may employ the person while the reevaluation is being performed.

            f.                The subsequent employer must maintain the previous evaluation in the employee’s or student’s personnel file for verification of the exception to the requirement for a record check evaluation.

         119.2(5) Exceptions to record check evaluation requirements for new employees under Iowa Code chapter 135B or 135C or participants in a training program in facilities licensed under Iowa Code chapter 135C. If the person approved for employment or participation does not start employment or attend the training program, as defined in subrule 119.4(3), within 30 days from the notice of decision approving the person, the requesting entity must perform a new record check.

            a.               If the evaluation was previously performed by the department and the department determined the person’s criminal and abuse background did not warrant prohibition of employment or participation in a training program, the person being considered for employment may commence employment without further action by the department subject to the following conditions:

             (1)             The record check performed by the employer does not indicate that a crime was committed or that a founded abuse record was entered subsequent to the previous evaluation.

             (2)             The position with the employer is substantially the same or has the same job responsibilities as the position for which the previous evaluation was performed.

             (3)             Any restriction placed on the person’s employment in the previous evaluation by the department shall remain applicable in the person’s subsequent employment.

             (4)             The employer or person subject to the record checks has maintained a copy of the previous evaluation. If a physical copy of the previous evaluation is not maintained, a new record check evaluation shall be requested.

             (5)             Although an authorized new evaluation is not required, the subsequent employer may choose to request a reevaluation of the person’s criminal and abuse background and may employ the person while the reevaluation is being performed.

             (6)             The employer must maintain the previous evaluation in the employee’s or student’s personnel file for verification of the exception to the requirement for a record check evaluation.

            b.               If the record check indicates that a crime was committed or that a founded abuse record was entered subsequent to the previous evaluation, a new record check evaluation shall be performed.

            c.               Record check evaluations completed in accordance with paragraph 119.4(3)“c”are valid for 30 days from the date the notice of decision is issued. If the person does not start employment or attend the training program within the 30-day time period, the conditions in subrule 119.2(5) shall apply. “Start employment or attend the training program” means to begin to receive a salary or take classes.

[ARC 0486C, IAB 12/12/12, effective 2/1/13; ARC 1263C, IAB 1/8/14, effective 3/1/14; ARC 2604C, IAB 7/6/16, effective 9/1/16]