Citations Affected:
IC 12-7-2
;
IC 12-9-5-5
; IC 12-11.5; IC 12-24;
IC 16-18-2
;
IC 16-28-13
;
IC 16-32-4.
Synopsis: Direct care staff registry and criminal history. Requires the
state department of health to establish and maintain a registry of case
managers and certain unlicensed employees of: (1) community based
residential, habilitation, or vocational services providers; (2) home care
services providers; (3) intermediate care facilities for the mentally
retarded serving more than eight individuals; (4) state institutions
under the control of the division of disability, aging, and rehabilitative
services (DDARS) or the division of mental health; and (5) health care
facilities. Prohibits specified entities from certifying or employing an
individual as a case manager or employing an individual in certain
unlicensed positions if the individual has been convicted of specified
offenses or if the individual has committed a certain action. Provides
for the establishment of procedures to investigate allegations of
specified types of misconduct and to report substantiated findings.
Allows DDARS to assess a civil penalty for noncompliance.
Effective: Upon passage; July 1, 2001.
January 23, 2001, read first time and referred to Committee on Corrections, Criminal and
Civil Procedures.
A BILL FOR AN ACT to amend the Indiana Code concerning
human services.
SECTION 1.
IC 12-7-2-25.5
IS ADDED TO THE INDIANA CODE
AS A NEW SECTION TO READ AS FOLLOWS [EFFECTIVE JULY
1, 2001]: Sec. 25.5. "Case manager", for purposes of
IC 12-9-5
and
IC 12-11.5, means an individual who provides ongoing case
management to an individual:
(1) with developmental disabilities; or
(2) who is at least sixty-five (65) years of age;
who receives services under a Medicaid home and community
based waiver approved under 42 U.S.C. 1396n or the community
and home options to institutional care for the elderly and disabled
program under
IC 12-10-10.
SECTION 2.
IC 12-7-2-37.5
IS ADDED TO THE INDIANA CODE
AS A NEW SECTION TO READ AS FOLLOWS [EFFECTIVE JULY
1, 2001]: Sec. 37.5. "Community based residential, habilitation, or
vocational services provider", for purposes of
IC 12-9-5
and
IC 12-11.5, means an entity approved by the bureau of
developmental disabilities services under
IC 12-11-1.1-1
(e).
services provider (as defined in section 37.5 of this chapter).
(2) A home care services provider (as defined in section 105.3
of this chapter).
(3) A state institution (as defined in section 184 of this
chapter).
(b) The term does not include the following:
(1) A direct care staff person (as defined in section 63.5 of this
chapter).
(2) A person who holds a license (as defined in
IC 25-1-9-3
)
issued by a board (as defined in
IC 25-1-9-1
).
SECTION 6.
IC 12-7-2-159.3
IS ADDED TO THE INDIANA
CODE AS A NEW SECTION TO READ AS FOLLOWS
[EFFECTIVE JULY 1, 2001]: Sec. 159.3. "Registry of direct care
staff", for purposes of
IC 12-9-5
, IC 12-11.5, and
IC 12-24-3.5
,
refers to the registry of direct care staff persons and case managers
maintained by the state department of health under
IC 16-32-4.
SECTION 7.
IC 12-7-2-159.5
IS ADDED TO THE INDIANA
CODE AS A NEW SECTION TO READ AS FOLLOWS
[EFFECTIVE JULY 1, 2001]: Sec. 159.5. "Registry of nurse aides",
for purposes of IC 12-11.5 and
IC 12-24-3.5
, refers to the registry
of nurse aides maintained by the state department of health under
42 CFR 483.156.
SECTION 8.
IC 12-9-5-5
IS ADDED TO THE INDIANA CODE
AS A NEW SECTION TO READ AS FOLLOWS [EFFECTIVE JULY
1, 2001]: Sec. 5. (a) This section applies to the following individuals:
(1) A direct care staff person, except for an individual who is
a regular employee (as defined in
IC 4-15-2-3.7
) of a state
institution.
(2) A case manager.
(b) Not later than September 1, 2001, the division shall establish
a procedure for the receipt and the timely review and investigation
of allegations of:
(1) neglect of a consumer;
(2) abuse of a consumer;
(3) mistreatment of a consumer; or
(4) misappropriation of a consumer's property;
by an individual described in subsection (a).
(c) The procedure required under subsection (b) must allow for:
(1) reasonable notice to the direct care staff person or case
manager;
(2) reasonable opportunity for a hearing before an
administrative law judge in which the direct care staff person
or case manager may rebut the allegation; and
(3) judicial review of a final order issued by an administrative
law judge.
(d) The division shall, after following the procedure required
under this section, make a finding whether the direct care staff
person or case manager:
(1) neglected a consumer;
(2) abused a consumer;
(3) mistreated a consumer; or
(4) misappropriated a consumer's property.
(e) If the division determines that a direct care staff person or
case manager has:
(1) neglected a consumer;
(2) abused a consumer;
(3) mistreated a consumer; or
(4) misappropriated a consumer's property;
the division shall notify the registry of direct care staff and the
individual's current employer, if known to the division, of that
determination.
(f) The division may adopt rules under
IC 4-22-2
, including
emergency rules under
IC 4-22-2-37.1
, to implement this section.
SECTION 9. IC 12-11.5 IS ADDED TO THE INDIANA CODE AS
A NEW ARTICLE TO READ AS FOLLOWS [EFFECTIVE JULY 1,
2001]:
ARTICLE 11.5. EMPLOYMENT OF CASE MANAGERS,
DIRECT CARE STAFF PERSONS, AND OTHER UNLICENSED
EMPLOYEES
Chapter 1. Applicability
Sec. 1. This article applies after August 31, 2001.
Sec. 2. This article applies to the following entities:
(1) A community based residential, habilitation, or vocational
services provider.
(2) A home care services provider.
(3) An entity that employs individuals as case managers.
(4) An entity responsible for certifying individuals as case
managers.
(5) An entity in the business of contracting to provide:
(A) direct care staff persons or other unlicensed employees
for an entity described in subdivision (1) or (2); or
(B) case managers for an entity described in subdivision
(3).
Chapter 2. Prohibition Against Certifying or Employing Certain
Individuals
Sec. 1. An entity described in
IC 12-11.5-1-2
may not knowingly
certify an individual as a case manager or employ an individual as
a case manager, direct care staff person, or other unlicensed
employee if the individual has been convicted of any of the
following:
(1) A sex crime (IC 35-42-4).
(2) Exploitation of an endangered adult (IC 35-46-1-12).
(3) Failure to report battery, neglect, or exploitation of an
endangered adult (IC 35-46-1-13).
(4) Theft (IC 35-43-4) within the previous ten (10) years.
(5) Murder (IC 35-42-1-1).
(6) Voluntary manslaughter (IC 35-42-1-3).
(7) Involuntary manslaughter (IC 35-42-1-4) within the
previous five (5) years.
(8) Felony battery (IC 35-42-2) within the previous five (5)
years.
(9) A felony offense relating to controlled substances
(IC 35-48-4) within the previous five (5) years.
Sec. 2. In addition to the requirement of section 1 of this
chapter, an entity described in
IC 12-11.5-1-2
may not knowingly
certify an individual as a case manager or employ an individual as
a case manager or direct care staff person if one (1) or more of the
following conditions exist:
(1) A finding that the individual has:
(A) abused, neglected, or mistreated a consumer; or
(B) misappropriated a consumer's property;
has been entered into the registry of direct care staff.
(2) A finding that the individual has:
(A) abused, neglected, or mistreated a patient; or
(B) misappropriated a patient's property;
has been entered into the registry of nurse aides.
Chapter 3. Obtaining Limited Criminal History and Registry
Reports
Sec. 1. Except as provided in section 3 of this chapter, a person
who operates an entity described in
IC 12-11.5-1-2
shall, before
certifying an individual as a case manager or hiring an individual
as a case manager or direct care staff person, obtain from the state
department of health a copy of the individual's:
(1) registry of direct care staff report; and
(2) registry of nurse aides report.
Sec. 2. Except as provided section 3 of this chapter, a person
who operates an entity described in
IC 12-11.5-1-2
shall, within
three (3) business days after:
(1) certifying an individual as a case manager; or
(2) hiring an individual as a case manager, direct care staff
person, or other unlicensed employee;
apply to the Indiana central repository for criminal history
information under
IC 5-2-5
or another source allowed by law for
a copy of the individual's limited criminal history.
Sec. 3. If an entity described in
IC 12-11.5-1-2
(5) places an
individual as a case manager, direct care staff person, or other
unlicensed employee in an entity described in
IC 12-11.5-1-2
(1)
through
IC 12-11.5-1-2
(4), the entity described in
IC 12-11.5-1-2
(1)
through
IC 12-11.5-1-2
(4) is not required to apply for the
documents required by section 1 or 2 of this chapter regarding the
individual.
Sec. 4. Except as provided in section 5 of this chapter, if the
registry of direct care staff does not contain any information
regarding an individual who has:
(1) applied to an entity described in
IC 12-11.5-1-2
(4) for
certification as a case manager; or
(2) applied for employment as a direct care staff person with
an entity described in
IC 12-11.5-1-2
;
the entity shall transmit the information required under
IC 16-32-4-6
to the registry of direct care staff within three (3)
business days after receipt of notice that there is no information
regarding the individual in the registry of direct care staff.
Sec. 5. If an entity described in
IC 12-11.5-1-2
(5) places an
individual as a direct care staff person in an entity described in
IC 12-11.5-1-2
(1) through
IC 12-11.5-1-2
(4), the entity described in
IC 12-11.5-1-2
(1) through
IC 12-11.5-1-2
(4) is not required to
transmit the information required by section 4 of this chapter.
Sec. 6. A person who operates an entity described in
IC 12-11.5-1-2
may not certify an individual as a case manager or
employ an individual as a case manager or direct care staff person
after receipt of the individual's:
(1) limited criminal history if the limited criminal history
indicates that the individual has been convicted of an offense
listed in
IC 12-11.5-2-1
;
(2) registry of direct care staff report if the report indicates
that the individual has been found to have committed an
action listed in
IC 12-11.5-2-2
(1); or
(3) registry of nurse aides report if the report indicates that
the individual has been found to have committed an action
listed in
IC 12-11.5-2-2
(2).
Sec. 7. A person who operates an entity described in
IC 12-11.5-1-2
may not employ an individual as an other
unlicensed employee after receipt of the individual's limited
criminal history if the limited criminal history indicates that the
individual has been convicted of an offense listed in
IC 12-11.5-2-1.
Sec. 8. A person who operates an entity described in
IC 12-11.5-1-2
is responsible for the payment of fees under
IC 5-2-5-7
and other fees required to process a limited criminal
history, registry of direct care staff report, and registry of nurse
aides report under this chapter.
Sec. 9. An entity described in
IC 12-11.5-1-2
may require an
individual who applies to the entity for certification or
employment:
(1) to pay the cost of fees described in section 8 of this chapter
to the entity at the time the individual applies for certification
or employment; or
(2) to reimburse the entity for the cost of fees described in
section 8 of this chapter.
Chapter 4. Limit on Application of Article
Sec. 1. The application of this article to an entity described in
IC 12-11.5-1-2
is limited to an individual:
(1) who is certified or employed by the entity; and
(2) whose employment or responsibilities are limited to
activities primarily performed:
(A) within an entity described in
IC 12-11.5-1-2
(1) or
IC 12-11.5-1-2
(2); or
(B) by a case manager.
Chapter 5. Rights Upon Denial, Revocation, or Dismissal
Sec. 1. This chapter applies to an individual who:
(1) is denied:
(A) certification; or
(B) employment;
(2) has the individual's certification revoked; or
(3) is dismissed from employment;
under this article.
Sec. 2. An individual described in section 1 of this chapter:
(1) does not have a cause of action;
(2) is not eligible for unemployment compensation;
(3) does not acquire the rights of an unemployed individual;
and
(4) does not have other rights under IC 22;
as a result of the denial, revocation, or dismissal.
Chapter 6. Penalties
Sec. 1. The division may assess a civil penalty against a person
who:
(1) operates an entity described in
IC 12-11.5-1-2
; and
(2) knowingly or intentionally violates
IC 12-11.5-2-1
through
IC 12-11.5-2-7.
Sec. 2. The amount of the penalty assessed under section 1 of
this chapter may not exceed the amount of the fine that may be
assessed against a health facility by the state department of health
under
IC 16-28-5-4
(a)(2) for a deficiency.
Sec. 3. Civil penalties collected under this chapter shall be:
(1) deposited by the division in the developmentally disabled
client services account; and
(2) used to implement this chapter and other quality
assurance programs approved by the division.
Chapter 7. Record Keeping
Sec. 1. Each entity described in
IC 12-11.5-1-2
shall maintain a
personnel record for each case manager, direct care staff person,
and other unlicensed employee certified or employed by the entity.
The personnel record must include the documents required under:
(1)
IC 12-11.5-3-1
and
IC 12-11.5-3-2
for each case manager
or direct care staff person; or
(2)
IC 12-11.5-3-2
for an other unlicensed employee.
Sec. 2. The personnel records required under section 1 of this
chapter shall be available for inspection by the division to assure
compliance with this article.
Sec. 3. If an entity described in
IC 12-11.5-1-2
(5) provides a
direct care staff person or other unlicensed employee to an entity
described in
IC 12-11.5-1-2
(1) through
IC 12-11.5-1-2
(4), the entity
described in
IC 12-11.5-1-2
(5) shall provide a copy of the
documents required under section 1 of this chapter to the entity
described in
IC 12-11.5-1-2
(1) through
IC 12-11.5-1-2
(4). If an
entity described in
IC 12-11.5-1-2
(5) fails to provide a document
described in section 1 of this chapter to an entity described in
IC 12-11.5-1-2
(1) through
IC 12-11.5-1-2
(4), the entity described in
IC 12-11.5-1-2
(1) through
IC 12-11.5-1-2
(4) is not in violation of
this chapter.
Chapter 8. Reporting of Unfitness
Sec. 1. If an entity described in
IC 12-11.5-1-2
has knowledge of
a conviction of an employee of the entity that would indicate
unfitness for service as a direct care staff person, other unlicensed
employee, or other health care professional (as defined in
IC 16-27-2-1
), the entity shall report the information to:
(1) the division;
(2) the registry of direct care staff if the employee is a case
manager or direct care staff person; or
(3) the appropriate licensing authority.
Chapter 9. Rules
Sec. 1. The division may adopt rules under
IC 4-22-2
, including
emergency rules under
IC 4-22-2-37.1
, to implement this article.
SECTION 10.
IC 12-24-3-2
IS AMENDED TO READ AS
FOLLOWS [EFFECTIVE JULY 1, 2001]: Sec. 2. (a) To provide
greater security for patients, visitors, and employees, the division may
not employ in a state institution an individual who has been convicted
of any of the following offenses:
(1) Rape (IC 35-42-4-1).
(2) Criminal deviate conduct (IC 35-42-4-2).
(3) Child molesting (IC 35-42-4-3).
(4) Child exploitation (IC 35-42-4-4).
(b) In addition to the requirements of subsection (a), beginning
September 1, 2001, the division may not employ in a state
institution an individual who has been convicted of any of the
following offenses:
(1) A sex crime (IC 35-42-4) other than a crime listed in
subsection (a).
(2) Exploitation of an endangered adult (IC 35-46-1-12).
(3) Failure to report battery, neglect, or exploitation of an
endangered adult (IC 35-46-1-13).
(4) Theft (IC 35-43-4) within the previous ten (10) years.
(5) Murder (IC 35-42-1-1).
(6) Voluntary manslaughter (IC 35-42-1-3).
(7) Involuntary manslaughter (IC 35-42-1-4) within the
previous five (5) years.
(8) Felony battery (IC 35-42-2) within the previous five (5)
years.
(9) A felony offense relating to controlled substances
(IC 35-48-4) within the previous five (5) years.
(c) Notwithstanding subsection (b), the division may continue to
employ an individual who was:
(1) hired before September 1, 2001; and
(2) convicted of an offense listed in subsection (b) before
September 1, 2001;
if the division determines that the individual does not present a
threat to the safety of patients, visitors, or employees of the
institution.
(d) This section does not limit the authority of the division to:
(1) deny employment to; or
(2) terminate the employment of;
an individual.
SECTION 11.
IC 12-24-3.5
IS ADDED TO THE INDIANA CODE
AS A NEW CHAPTER TO READ AS FOLLOWS [EFFECTIVE
JULY 1, 2001]:
Chapter 3.5. Direct Care Staff Persons and Other Unlicensed
Employees
Sec. 1. This chapter applies after August 31, 2001.
Sec. 2. (a) A state institution may not knowingly employ an
individual as a direct care staff person or other unlicensed
employee if employment of the individual is prohibited under
IC 12-24-3-2
.
(b) In addition to the requirement of subsection (a), a state
institution may not employ an individual as a direct care staff
person if one (1) or more of the following conditions exist:
(1) A finding that the individual has:
(A) abused, neglected, or mistreated a consumer; or
(B) misappropriated a consumer's property;
has been entered into the registry of direct care staff.
(2) A finding that the individual has:
(A) abused, neglected, or mistreated a patient; or
(B) misappropriated a patient's property;
has been entered into the registry of nurse aides.
Sec. 3. If the registry of direct care staff does not contain any
information for an individual who has applied for employment as
a direct care staff person with a state institution, the director shall
transmit the information required under
IC 16-32-4-6
to the
registry of direct care staff within three (3) business days after
receipt of notice that there is no information regarding the
individual in the registry of direct care staff.
Sec. 4. If the superintendent has knowledge of a conviction of an
employee of a state institution that would indicate unfitness for
service as a direct care staff person, other unlicensed employee, or
other health care professional (as defined in
IC 16-27-2-1
), the
superintendent shall report the information to the registry of direct
care staff or the appropriate licensing authority.
Sec. 5. The division may not require an individual who applies
for employment as a direct care staff person or an other unlicensed
employee to pay the cost of fees under
IC 5-2-5-7
and other fees
required to process a registry of direct care staff report, a registry
of nurse aides report, or a limited criminal history under this
chapter.
Sec. 6. (a) This section applies to an individual who is:
(1) employed by a state institution as a direct care staff
person; and
(2) a regular employee (as defined in
IC 4-15-2-3.7
).
(b) If an individual described in subsection (a) is discharged
from employment for abuse, neglect, or mistreatment of a
consumer or misappropriation of a consumer's property and
either:
(1) the individual fails to file or continue to pursue a
complaint or grievance under a formal complaint or
grievance process recognized by the state; or
(2) the discharge of the individual has not been overturned
under a formal complaint or grievance process recognized by
the state;
the division shall notify the registry of direct care staff of the
finding of abuse, neglect, mistreatment, or misappropriation of
property.
(c) An individual described in subsection (a) who is covered by
a labor agreement continues to be:
(1) covered by the labor agreement; and
(2) subject to the terms and conditions of that agreement or
any successor agreement.
SECTION 12.
IC 16-18-2-50.5
IS ADDED TO THE INDIANA
CODE AS A NEW SECTION TO READ AS FOLLOWS
[EFFECTIVE JULY 1, 2001]: Sec. 50.5. "Case manager", for
purposes of
IC 16-32-4
, has the meaning set forth in
IC 16-32-4-1.
SECTION 13.
IC 16-18-2-64.6
IS ADDED TO THE INDIANA
CODE AS A NEW SECTION TO READ AS FOLLOWS
[EFFECTIVE UPON PASSAGE]: Sec. 64.6. "Community based
residential, habilitation, or vocational services provider", for
purposes of
IC 16-32-4
, has the meaning set forth in
IC 16-32-4-2.
SECTION 14.
IC 16-18-2-94.5
IS ADDED TO THE INDIANA
CODE AS A NEW SECTION TO READ AS FOLLOWS
[EFFECTIVE UPON PASSAGE]: Sec. 94.5. (a) "Direct care staff
person", for purposes of
IC 16-28-13
, has the meaning set forth in
IC 16-28-13-0.3.
(b) "Direct care staff person", for purposes of
IC 16-32-4
, has
the meaning set forth in
IC 16-32-4-3.
SECTION 15.
IC 16-18-2-172.5
IS ADDED TO THE INDIANA
CODE AS A NEW SECTION TO READ AS FOLLOWS
[EFFECTIVE JULY 1, 2001]: Sec. 172.5. "Home care services
provider", for purposes of
IC 16-32-4
, has the meaning set forth in
IC 16-32-4-4.
SECTION 16.
IC 16-18-2-314.5
IS ADDED TO THE INDIANA
CODE AS A NEW SECTION TO READ AS FOLLOWS
[EFFECTIVE JULY 1, 2001]: Sec. 314.5. "Registry of direct care
staff", for purposes of
IC 16-28-13
, has the meaning set forth in
IC 16-28-13-0.7.
SECTION 17.
IC 16-28-13-0.3
IS ADDED TO THE INDIANA
CODE AS A NEW SECTION TO READ AS FOLLOWS
[EFFECTIVE JULY 1, 2001]: Sec. 0.3. (a) As used in this chapter,
"direct care staff person" means an individual who provides direct
assistance with daily living and personal adjustment activities to a
consumer receiving services from an ICF/MR serving more than
eight (8) individuals.
(b) The term does not include the following:
(1) A person who holds a license (as defined in
IC 25-1-9-3
)
issued by a board (as defined in
IC 25-1-9-1
).
(2) A nurse aide (as defined in
IC 16-28-13-1
).
(3) A volunteer who provides direct care services without
compensation.
(4) A member of the consumer's immediate family.
SECTION 18.
IC 16-28-13-0.7
IS ADDED TO THE INDIANA
CODE AS A NEW SECTION TO READ AS FOLLOWS
[EFFECTIVE JULY 1, 2001]: Sec. 0.7. As used in this chapter,
"registry of direct care staff" refers to the registry of direct care
staff persons and case managers maintained by the state
department under
IC 16-32-4.
SECTION 19.
IC 16-28-13-4
, AS AMENDED BY P.L.108-1999,
SECTION 7, IS AMENDED TO READ AS FOLLOWS [EFFECTIVE
JULY 1, 2001]: Sec. 4. (a) Except as provided in subsection (b), This
section applies to a person who:
(1) operates or administers a health care facility; or
(2) operates an entity in the business of contracting to provide
direct care staff persons, nurse aides, or other unlicensed
employees for a health care facility.
(b) Except as provided in subsection (c), a person described in
subsection (a) shall:
(1) apply within three (3) business days from the date a person is
employed as a direct care staff person, nurse aide, or other
unlicensed employee for a copy of the person's state nurse aide
registry report from the state department and a limited criminal
history from the Indiana central repository for criminal history
information under
IC 5-2-5
or another source allowed by law; and
(2) obtain, before hiring a person as a direct care staff person,
nurse aide, or other unlicensed employee, the person's state
nurse aide registry report and registry of direct care staff
report.
(b) (c) A health care facility is not required to apply for the state
nurse aide registry report, registry of direct care staff report, and
limited criminal history required by subsection (a) (b) if the health care
facility contracts to use the services of a direct care staff person,
nurse aide, or other unlicensed employee who is employed by an entity
in the business of contracting to provide direct care staff persons,
nurse aides, or other unlicensed employees to health care facilities.
SECTION 20.
IC 16-28-13-5
, AS AMENDED BY P.L.108-1999,
SECTION 8, IS AMENDED TO READ AS FOLLOWS [EFFECTIVE
JULY 1, 2001]: Sec. 5. A person who:
(1) operates or administers a health care facility; or
(2) operates an entity in the business of contracting to provide
direct care staff persons, nurse aides, or other unlicensed
employees for a health care facility;
may not employ a person as a direct care staff person, nurse aide, or
other unlicensed employee after receipt of the person's state nurse aide
registry report or registry of direct care staff report if that person's
report indicates that the person committed an offense under section
(3)(a)(2) of this chapter and has been placed on the state nurse aide
registry or registry of direct care staff, or after receipt of the limited
criminal history if that person's limited criminal history indicates that
the person has been convicted of any of the offenses described in
section 3(a)(1) of this chapter.
SECTION 21.
IC 16-28-13-6
, AS AMENDED BY P.L.108-1999,
SECTION 9, IS AMENDED TO READ AS FOLLOWS [EFFECTIVE
JULY 1, 2001]: Sec. 6. (a) A person who:
(1) operates or administers a health care facility; or
(2) operates an entity in the business of contracting to provide
direct care staff persons, nurse aides, or other unlicensed
employees for a health care facility;
is responsible for the payment of fees under
IC 5-2-5-7
and other fees
required to process a state nurse aide registry report, registry of direct
care staff report, and a limited criminal history under section 4 of this
chapter.
(b) A health care facility or an entity in the business of contracting
to provide direct care staff persons, nurse aides, or other unlicensed
employees for a health care facility may require a person who applies
to the health care facility or entity for employment as a direct care
staff person, nurse aide, or other unlicensed employee:
(1) to pay the cost of fees described in subsection (a) to the health
care facility or entity at the time the person submits an application
for employment; or
(2) to reimburse the health care facility or entity for the cost of
fees described in subsection (a).
SECTION 22.
IC 16-28-13-13
, AS ADDED BY P.L.108-1999,
SECTION 14, IS AMENDED TO READ AS FOLLOWS [EFFECTIVE
JULY 1, 2001]: Sec. 13. (a) The state department may adopt rules
under
IC 4-22-2
to implement this chapter.
(b) Rules adopted under this section must allow a person who:
(1) operates or administers a health care facility; or
(2) operates an entity in the business of contracting to provide
direct care staff persons, nurse aides, or other unlicensed
employees for a health care facility;
to obtain an individual's registry of nurse aide report by telephone
or through use of the Internet.
SECTION 23.
IC 16-32-4
IS ADDED TO THE INDIANA CODE
AS A NEW CHAPTER TO READ AS FOLLOWS [EFFECTIVE
UPON PASSAGE]:
Chapter 4. Registry of Direct Care Staff Persons
Sec. 1. As used in this chapter, "case manager" means an
individual who provides ongoing case management to an
individual:
(1) with developmental disabilities; or
(2) who is at least sixty-five (65) years of age;
who receives services under a Medicaid home and community
based waiver approved under 42 U.S.C. 1396n or the community
and home options to institutional care for the elderly and disabled
program under
IC 12-10-10.
Sec. 2. As used in this chapter, "community based residential,
habilitation, or vocational services provider" means an entity
approved by the bureau of developmental disabilities services
under
IC 12-11-1.1-1
(e).
Sec. 3. (a) As used in this chapter, "direct care staff person"
means an individual who provides direct assistance with daily
living and personal adjustment activities to a consumer receiving
services from any of the following entities:
(1) A community based residential, habilitation, or vocational
services provider.
(2) A home care services provider.
(3) An ICF/MR serving more than eight (8) individuals.
(4) A state institution (as defined in
IC 12-7-2-184
).
(b) The term does not include the following:
(1) A person who holds a license (as defined in
IC 25-1-9-3
)
issued by a board (as defined in
IC 25-1-9-1
).
(2) A nurse aide (as defined in
IC 16-28-13-1
).
(3) A volunteer who provides direct care services without
compensation.
(4) A member of the consumer's immediate family.
Sec. 4. As used in this chapter, "home care services provider"
means an individual or entity providing any of the following
services to an individual who is at least sixty-five (65) years of age
and who receives services under a Medicaid home and community
based waiver approved under 42 U.S.C. 1396n or the community
and home options to institutional care for the elderly program
under
IC 12-10-10
:
(1) Homemaker services and attendant care, including
personal care services.
(2) Respite care services.
Sec. 5. Not later than July 1, 2001, the state department shall
establish and maintain a registry of direct care staff persons and
case managers.
Sec. 6. (a) The registry required under this chapter must contain
at least the following information regarding each direct care staff
person and case manager:
(1) The individual's name.
(2) Information necessary to identify the individual, as
determined by the state department.
(3) The date the individual was first placed on the registry.
(4) If a finding has been made that the individual has abused,
neglected, or mistreated a consumer or misappropriated a
consumer's property, the following information:
(A) Documentation of the investigation, including the
nature of the allegation and the evidence that led to the
conclusion that the allegation was valid.
(B) The date of any hearing, if the individual chose to have
one, and its outcome.
(C) A statement by the individual disputing the allegation
if the individual chooses to make a statement.
(b) The state department shall enter the information required
under subsection (a) within ten (10) working days after receipt of
the information.
Sec. 7. (a) Except as provided in subsection (b), the state
department shall permanently maintain the information in the
registry regarding an individual.
(b) The state department shall remove information regarding an
individual entered into the registry under section 6(a)(4) of this
chapter if:
(1) the division of disability, aging, and rehabilitative services
notifies the state department that the finding was made in
error;
(2) the individual was found not guilty in a court of law; or
(3) the state department is notified of the individual's death.
Sec. 8. If the division of disability, aging, and rehabilitative
services notifies the state department that the requirements of
IC 12-9-5-5
or
IC 12-24-3.5-6
have been met to place a finding of
abuse, neglect, or mistreatment of a consumer or misappropriation
of a consumer's property by an individual on the registry of direct
care staff, the state department shall place the information
required under section 6(a)(4) of this chapter on the registry of
direct care staff.
Sec. 9. The state department must disclose information under
section 6(a)(4) of this chapter upon request and may disclose
additional information the state department determines necessary.
Sec. 10. The state department shall promptly provide an
individual with:
(1) all information contained in the registry regarding the
individual:
(A) upon request by the individual; and
(B) whenever a finding adverse to the individual is placed
on the registry; and
(2) sufficient opportunity to correct any misstatements or
inaccuracies contained in the registry regarding the
individual.
Sec. 11. If an entity applies to the state department for a copy of
an individual's registry of nurse aides report and registry of direct
care staff report, the state department shall provide a copy of both
reports to the entity at the same time.
Sec. 12. If the registry established under this chapter does not
contain any information regarding an individual for whom an
entity requests a report, the state department shall notify the entity
of that fact.
Sec. 13. (a) The state department may adopt rules under
IC 4-22-2
, including emergency rules under
IC 4-22-2-37.1
, to
implement this chapter.
(b) Rules adopted under this section must allow for an entity
described in section 2 or 4 of this chapter to obtain an individual's
registry of direct care staff report by telephone or through use of
the Internet.
SECTION 24. [EFFECTIVE JULY 1, 2001] (a) This SECTION
applies to the following entities:
(1) A community based residential, habilitation, or vocational
services provider (as defined in
IC 12-7-2-37.5
, as added by
this act).
(2) A home care services provider (as defined in
IC 12-7-2-105.3
, as added by this act).
(3) An ICF/MR (as defined in
IC 16-18-2-185
) serving more
than eight (8) individuals.
(4) A state institution (as defined in
IC 12-7-2-184
).
(5) An entity that employs individuals as case managers.
(6) An entity responsible for certifying individuals as case
managers.
(7) An entity in the business of contracting to provide case
managers or direct care staff persons for an entity described
in subdivisions (1) through (6).
(b) As used in this SECTION, "case manager" has the meaning
set forth in
IC 12-7-2-25.5
, as added by this act.
(c) As used in this SECTION, "direct care staff person" has the
meaning set forth in
IC 12-7-2-63.5
, as added by this act.
(d) As used in this SECTION, "division" refers to the division
of disability, aging, and rehabilitative services established by
IC 12-9-1-1.
(e) As used in this SECTION, "registry of direct care staff"
refers to the registry of direct care staff persons and case managers
maintained by the state department of health under
IC 16-32-4
, as
added by this act.
(f) Not later than August 31, 2001, an entity described in
subsection (a) shall transmit to the registry of direct care staff the
information required under
IC 16-32-4-6
, as added by this act,
regarding each:
(1) case manager who is certified or employed by the entity;
and
(2) direct care staff person employed by the entity.
(g) If an entity described in subsection (a)(7) places an
individual as a case manager or direct care staff person in an entity
described in subsection (a)(1) through (a)(6), the entity described
in subsection (a)(1) through (a)(6) is not required to transmit the
information required by subsection (f).
(h) The division of disability, aging, and rehabilitative services
may assess a civil penalty against a person who:
(1) operates an entity described in subsection (a); and
(2) knowingly or intentionally violates subsection (f).
The amount of the penalty assessed under this subsection may not
exceed the amount of the fine that may be assessed against a health
facility by the state department of health under
IC 16-28-5-4
(a)(2)
for a deficiency.
(i) Civil penalties collected under subsection (h) shall be:
(1) deposited by the division in the developmentally disabled
client services account; and
(2) used to implement
IC 12-11.5
, as added by this act, and
other quality assurance programs approved by the division.
(j) This SECTION expires September 30, 2001.
SECTION 25. [EFFECTIVE UPON PASSAGE] In establishing
and maintaining the registry of direct care staff persons and case
managers required by
IC 16-32-4
, as added by this act, the state
department of health shall, to the extent possible, use the
technology of the registry of nurse aides required under 42 CFR
483.156.
SECTION 26. An emergency is declared for this act.