PRINTER'S NO. 3907
No. 2637 Session of 2004
INTRODUCED BY VANCE, FEESE, MANN, NAILOR, ADOLPH, BASTIAN, BEBKO-JONES, BLAUM, CORRIGAN, CRAHALLA, DAILEY, DALEY, DeLUCA, DENLINGER, GEIST, GEORGE, GERGELY, GINGRICH, GOOD, GRUCELA, HENNESSEY, KENNEY, LEDERER, LEH, PAYNE, PICKETT, PISTELLA, REICHLEY, ROSS, RUBLEY, SAINATO, SCHRODER, E. Z. TAYLOR, TRUE, WATSON AND YOUNGBLOOD, MAY 24, 2004
REFERRED TO COMMITTEE ON HEALTH AND HUMAN SERVICES, MAY 24, 2004
AN ACT 1 Requiring hospitals to obtain certain information relating to 2 criminal history from prospective employees; providing for 3 grounds for denying employment and for certificate of 4 employability; prescribing penalties; providing for 5 provisional employees for limited periods; imposing certain 6 requirements for current hospital employees; and providing 7 for civil immunity under certain circumstances. 8 TABLE OF CONTENTS 9 Section 1. Short title. 10 Section 2. Declaration of policy. 11 Section 3. Definitions. 12 Section 4. Information relating to prospective hospital 13 personnel. 14 Section 5. Grounds for denying employment. 15 Section 6. Certificate of employability. 16 Section 7. Regulations. 17 Section 8. Violations. 18 Section 9. Conditional employees for limited periods.
1 Section 10. Requirements concerning current hospital 2 employees. 3 Section 11. Civil immunity. 4 Section 12. Other laws. 5 Section 13. Report to General Assembly. 6 Section 14. Applicability. 7 Section 15. Severability. 8 Section 16. Effective date. 9 The General Assembly of the Commonwealth of Pennsylvania 10 hereby enacts as follows: 11 Section 1. Short title. 12 This act shall be known and may be cited as the Hospital 13 Employee Background Check Act. 14 Section 2. Declaration of policy. 15 It is declared the policy of this Commonwealth that the 16 commission of any offense that constitutes serious physical harm 17 or a threat of serious physical harm or conduct which evidences 18 a reckless disregard for the vulnerability of hospital or other 19 care-dependent populations legitimately warrants a lifetime ban 20 on employment in hospitals covered under this act. Further, for 21 hospitals covered under this act, it is the policy of this 22 Commonwealth that the commission of any offenses related to 23 misappropriation or misuse of property or convictions which 24 involved inappropriate or irresponsible behavior legitimately 25 warrants a ban on employment for a period of ten years 26 immediately preceding the date of the report, not including any 27 time spent in incarceration. 28 Section 3. Definitions. 29 The following words and phrases when used in this act shall 30 have the meanings given to them in this section unless the 20040H2637B3907 - 2 -
1 context clearly indicates otherwise: 2 "Applicant." An individual who submits an application to and 3 is being considered for employment by a hospital. 4 "Bureau." The Bureau of Professional and Occupational 5 Affairs in the Department of State. 6 "Department." The Department of Health of the Commonwealth. 7 "Employee." An individual who has direct contact with 8 patients or unsupervised access to patient rooms and is either 9 employed by a hospital or a contract employee. 10 "Hospital." An entity licensed as a hospital under the act 11 of June 13, 1967 (P.L.31, No.21), known as the Public Welfare 12 Code, or the act of July 19, 1979 (P.L.130, No.48), known as the 13 Health Care Facilities Act. 14 "State Police." The Pennsylvania State Police. 15 Section 4. Information relating to prospective hospital 16 personnel. 17 (a) General rule.--A hospital shall require all applicants 18 to submit with their applications the following information 19 obtained within the preceding one-year period: 20 (1) Pursuant to 18 Pa.C.S. Ch. 91 (relating to criminal 21 history record information), a report of criminal history 22 record information from the State Police or a statement from 23 the State Police that their central repository contains no 24 such information relating to that person. The criminal 25 history record information shall be limited to that which is 26 disseminated pursuant to 18 Pa.C.S. § 9121(b)(2) (relating to 27 general regulations). 28 (2) Where the applicant is not or, for the two years 29 immediately preceding the date of application, has not been a 30 resident of this Commonwealth, a hospital shall require the 20040H2637B3907 - 3 -
1 applicant to submit with the application for employment a 2 report of Federal criminal history record information 3 pursuant to the Federal Bureau of Investigation's 4 appropriation under the Department of State, Justice, and 5 Commerce, the Judiciary, and Related Agencies Appropriation 6 Act, 1973 Public Law 92-544, 86 Stat. 1109. The department 7 shall be the intermediary for the purposes of this paragraph. 8 For the purposes of this paragraph, the applicant shall 9 submit a full set of fingerprints to the State Police, which 10 shall forward them to the Federal Bureau of Investigation for 11 a national criminal history record check. The information 12 obtained from the criminal history record check shall be used 13 by the department to determine the applicant's eligibility. 14 The determination shall be submitted to the hospital by the 15 applicant prior to commencing employment. The hospital shall 16 ensure confidentiality of the information. 17 (b) Fees.--The State Police may charge the applicant a fee 18 of not more than $10 to conduct the criminal record check 19 required under subsection (a)(1). The State Police may charge a 20 fee of not more than the established charge by the Federal 21 Bureau of Investigation for the criminal history record check 22 required under subsection (a)(2). The State Police shall develop 23 a billing system to allow hospitals to assume responsibility for 24 the fee under this subsection. The State Police shall allow 25 hospitals to establish an account for quarterly payment. 26 Section 5. Grounds for denying employment. 27 (a) Lifetime bans.--In no case shall a hospital hire an 28 applicant required to submit information pursuant to section 29 4(a) or retain an employee required to submit information 30 pursuant to section 14, if the applicant's or employee's 20040H2637B3907 - 4 -
1 criminal history record information indicates the applicant or 2 employee has been convicted of any of the following offenses: 3 (1) An offense under one of the following provisions of 4 18 Pa.C.S. (relating to crimes and offenses) which is graded 5 as a felony: 6 Chapter 25 (relating to criminal homicide). 7 Section 2702 (relating to aggravated assault), if it is 8 graded as a felony of the first degree. 9 Section 2709.1 (relating to stalking). 10 Section 2713 (relating to neglect of care-dependent 11 person). 12 Section 2901 (relating to kidnapping). 13 Section 3121 (relating to rape). 14 Section 3123 (relating to involuntary deviate sexual 15 intercourse). 16 Section 3124.1 (relating to sexual assault). 17 Section 3125 (relating to aggravated indecent assault). 18 Section 3301 (relating to arson and related offenses). 19 Section 3701 (relating to robbery). 20 Section 4302 (relating to incest). 21 Section 4304 (relating to endangering welfare of 22 children). 23 Section 6312 (relating to sexual abuse of children). 24 Section 6320 (relating to sexual exploitation of 25 children). 26 (2) An offense under one of the following provisions of 27 18 Pa.C.S. which is graded as a misdemeanor: 28 Section 2713 (relating to neglect of care-dependent 29 person). 30 Section 3126 (relating to indecent assault). 20040H2637B3907 - 5 -
1 Section 4305 (relating to dealing in infant children). 2 (3) A Federal or out-of-State offense similar in nature 3 to any offense listed in paragraph (1) or (2). 4 (b) Ten-year ban.--In no case may a hospital hire an 5 applicant required to submit information pursuant to section 6 4(a) or retain an employee required to submit information 7 pursuant to section 14, if the applicant's or employee's 8 criminal history record information as supplemented under 9 subsection (c), indicates the applicant or employee has been 10 convicted, within ten years immediately preceding the date of 11 the report, not including any time spent in incarceration, of 12 any of the following offenses: 13 (1) An offense graded a felony under the act of April 14 14, 1972 (P.L.233, No.64), known as The Controlled Substance, 15 Drug, Device and Cosmetic Act. 16 (2) An offense under one of the following provisions of 17 18 Pa.C.S. which is graded as a felony: 18 Section 2702, if it is graded as a felony of the second 19 degree. 20 Section 2902 (relating to unlawful restraint). 21 Section 3122.1 (relating to statutory sexual assault). 22 Section 3502 (relating to burglary). 23 Section 3702 (relating to robbery of motor vehicle). 24 Section 4101 (relating to forgery). 25 Section 4952 (relating to intimidation of witnesses or 26 victims). 27 Section 4953 (relating to retaliation against witness, 28 victim or party). 29 Section 5902 (relating to prostitution and related 30 offenses). 20040H2637B3907 - 6 -
1 Section 5903(c) or (d) (relating to obscene and other 2 sexual materials and performances). 3 (3) An offense under one of the following provisions of 4 18 Pa.C.S. which is graded as a misdemeanor: 5 Section 2504 (relating to involuntary manslaughter). 6 Section 2902. 7 Section 3127 (relating to indecent exposure). 8 Section 4101. 9 Section 4114 (relating to securing execution of documents 10 by deception). 11 Section 4303 (relating to concealing death of child). 12 Section 6301(a)(1) (relating to corruption of minors). 13 (4) A felony offense under 18 Pa.C.S. Ch. 39 (relating 14 to theft and related offenses) or two or more misdemeanors 15 under 18 Pa.C.S. Ch. 39. 16 (5) A Federal or out-of-State offense similar to any 17 offense listed in paragraph (1), (2), (3) or (4). 18 (c) Duty of applicant or employee.--An applicant required to 19 submit information under section 4(a) and an employee required 20 to submit information under section 14 shall provide the 21 hospital with documentation of time spent in incarceration and 22 the date of release from incarceration because of being 23 sentenced for an offense enumerated under subsection (b). 24 (d) Right of review.--An applicant or employee may review, 25 challenge and appeal the completeness or accuracy of that 26 applicant's or employee's criminal history report under 18 27 Pa.C.S. Ch. 91 (relating to criminal history record 28 information). An applicant or employee may challenge the 29 conviction comparison interpretation of the department involving 30 the Federal criminal history record by filing an appeal with the 20040H2637B3907 - 7 -
1 department in accordance with 2 Pa.C.S. (relating to 2 administrative law and procedure). 3 Section 6. Certificate of employability. 4 (a) General rule.--An individual who would otherwise be 5 precluded from employment by a hospital under section 5(b) may 6 apply for a certificate of employment provided that at least 7 five years, not including any time spent in incarceration, have 8 passed since the individual's conviction of any offense listed 9 under section 5(b). A certificate of employment granted under 10 this section shall be applicable for any hospital subject to 11 this act. The issuance of a certificate shall permit an 12 individual to seek and possibly obtain or retain employment 13 within a hospital subject to this act, but does not guarantee 14 that a hospital will either offer a position of employment to 15 the individual or continue current employment. 16 (b) Hearing.--The bureau shall conduct a hearing on any 17 application filed by an individual who would otherwise be 18 precluded from employment under section 5(b) and determine 19 whether the individual demonstrates rehabilitation. A hearing 20 under this section shall be adjudicated by the bureau's hearing 21 officers and conducted in accordance with the provisions of 2 22 Pa.C.S. (relating to administrative law and procedure). A 23 determination by a hearing officer shall be a final 24 determination of an agency with a right to appeal to 25 Commonwealth Court. 26 (c) Evidence.--The individual applying for a certificate 27 must prove by a preponderance of the evidence the individual's 28 fitness to work in a hospital. The determination shall include, 29 but not be limited to, the following factors: 30 (1) Proof of release from incarceration and the amount 20040H2637B3907 - 8 -
1 of time that has elapsed since the last conviction. 2 (2) The length and stability of the individual's 3 employment history, particularly in the field in which the 4 individual is seeking work. 5 (3) The circumstances of the offense for which the 6 individual was convicted and the nature of the conviction. 7 (4) If the offense was related to drug use, whether the 8 individual has undergone drug treatment and is maintaining 9 recovery and the length of time the individual has been in 10 recovery. 11 (5) Other evidence of postconviction rehabilitation, 12 including, but not limited to, history of community service, 13 psychological counseling and character references. 14 (6) In addition to evidence submitted by the individual 15 applying for a certificate, the bureau may consider 16 testimony, letters or recommendations relevant to the factors 17 under paragraph (1), (2), (3), (4) or (5), if the testimony, 18 letters or recommendations are provided to the bureau prior 19 to the scheduled hearing date or, at the bureau's option, 20 provided at the scheduled hearing, from: 21 (i) Licensed professionals. 22 (ii) Members of the community. 23 (iii) Public officials. 24 (iv) Former employers. 25 (v) An employer intending to hire the individual. 26 (vi) Others with knowledge of the individual or 27 other evidence relevant to the application. 28 (7) The bureau may consider, if provided to the bureau 29 prior to the scheduled hearing date or, at the bureau's 30 option, provided at the scheduled hearing, any testimony, 20040H2637B3907 - 9 -
1 letters or recommendations submitted by: 2 (i) The district attorney of the county where any 3 offense listed under section 5(b) occurred. 4 (ii) The victim listed or if the victim is deceased, 5 family members of the victim of any offense under section 6 5(b). 7 (8) At least 30 days prior to a hearing on an 8 application for a certificate, the bureau shall provide 9 notice of the hearing to the district attorney of the county 10 where any offense listed under section 5(b) occurred and 11 shall make all reasonable efforts to provide notice of the 12 hearing to the victim or, if the victim is deceased, family 13 members of the victim of any offense listed under section 14 5(b). 15 (d) Submission.--An individual applying for a certificate 16 shall submit any and all evidence listed under subsection (c) 17 within 30 days of the initial filing of the application for a 18 certificate. Any submission of evidence listed under subsection 19 (c) after this 30-day period may be accepted at the discretion 20 of the hearing officer. 21 (e) Investigations.--The bureau shall establish procedures 22 to conduct investigations of all evidence submitted concerning 23 an application for a certificate. These procedures shall 24 include, but not be limited to: 25 (1) Time periods for a response to an investigator's 26 request for further documentation or evidence from the 27 individual applying for the certificate. 28 (2) Time periods for responses from any notices sent by 29 the hearing officer under subsection (c)(8). Any information 30 submitted after these established time periods shall be 20040H2637B3907 - 10 -
1 accepted at the discretion of the hearing officer. 2 (f) Determinations.--The bureau shall conduct a hearing on 3 an application for a certificate within 90 days of the completed 4 application being received and issue a decision within 30 days 5 of the hearing unless additional time is requested by the 6 applicant or upon a showing of good cause by the Commonwealth. 7 Determinations by the bureau shall be communicated to the 8 department. The department shall keep a record of all 9 determinations for certificates of employability for five years. 10 (g) Rules and regulations.--The bureau shall establish rules 11 and regulations for the review of the applications for a 12 certificate consistent with the guidelines established under 13 this section. The bureau may conduct hearings pursuant to any 14 rules and regulations already promulgated under the provisions 15 of the act of July 2, 1993 (P.L.345, No.48), entitled "An act 16 empowering the General Counsel of his designee to issue 17 subpoenas for certain licensing board activities; providing for 18 hearing examiners in the Bureau of Professional and Occupational 19 Affairs; providing additional powers to the Commissioner of 20 Professional and Occupational Affairs; and further providing for 21 civil penalties and license suspension." Copies of the rules and 22 regulations shall be made available for distribution to the 23 public. 24 (h) Fees.--No application for a certificate shall be 25 considered by the bureau unless accompanied by a fee established 26 by the bureau. All fees imposed shall be sufficient to cover the 27 costs of implementing this section. Initial fees shall be 28 effective upon publication in the Pennsylvania Bulletin and 29 shall not be subject to the act of July 31, 1968 (P.L.769, 30 No.240), referred to as the Commonwealth Documents Law, the act 20040H2637B3907 - 11 -
1 of October 15, 1980 (P.L.950, No.164), known as the Commonwealth 2 Attorneys Act, and the act of June 25, 1982 (P.L.633, No.181), 3 known as the Regulatory Review Act. The fees imposed by the 4 bureau shall be paid into the Professional Licensure 5 Augmentation Account established pursuant to the act of July 1, 6 1978 (P.L.700, No.124), known as the Bureau of Professional and 7 Occupational Affairs Fee Act. 8 (i) Notice to applicants.--Notification of the provisions of 9 this section shall be provided by the hospital in a form 10 designated by the bureau to each applicant. 11 Section 7. Regulations. 12 The department shall promulgate the regulations, except 13 regulations concerning the certificate of employability process 14 under section 6, necessary to carry out the provisions of this 15 act. 16 Section 8. Violations. 17 (a) Administrative.-- 18 (1) A hospital which fails to comply with the provisions 19 of this act commits a violation of this act and shall be 20 subject to an administrative penalty under paragraph (2). 21 (2) The Commonwealth agency or Commonwealth agencies 22 which license a hospital shall have jurisdiction to determine 23 violations of this act and may issue an order assessing a 24 civil penalty of not more than $10,000. An order under this 25 paragraph shall be subject to 2 Pa.C.S. Ch. 5 Subch. A 26 (relating to practice and procedure of Commonwealth agencies) 27 and Ch. 7 Subch. A (relating to judicial review of 28 Commonwealth agency action). 29 (b) Criminal.--A person who intentionally or willfully fails 30 to comply or obstructs compliance with this act commits a 20040H2637B3907 - 12 -
1 misdemeanor of the third degree and shall, upon conviction, be 2 sentenced to pay a fine of $2,500 or to imprisonment for not 3 more than one year, or both. 4 Section 9. Conditional employees for limited periods. 5 Notwithstanding the provisions of this act, a hospital may 6 employ applicants on a conditional basis for a single period not 7 to exceed 30 days or, for applicants under section 4(a)(2), a 8 period of 90 days, if all of the following criteria are met: 9 (1) The applicant has applied for the information 10 required under section 4 and the applicant provides a copy of 11 the appropriate completed request forms to the hospital. 12 (2) The hospital has no knowledge of information 13 pertaining to the applicant which would disqualify the 14 applicant from employment pursuant to section 5, subject to 15 18 Pa.C.S. § 4911 (relating to tampering with public records 16 or information). 17 (3) The applicant swears or affirms in writing that the 18 applicant is not disqualified from employment under section 19 5. 20 (4) If the information obtained under section 4 reveals 21 that the applicant is disqualified from employment under 22 section 5, the applicant shall be immediately dismissed by 23 the hospital. 24 Section 10. Requirements concerning current hospital employees. 25 The following shall apply: 26 (1) If the information obtained under section 4 reveals 27 that an individual currently employed at a hospital is 28 disqualified from employment under section 5(b) and the 29 individual seeks to apply for a certificate of employability 30 pursuant to section 6, the individual shall either, at the 20040H2637B3907 - 13 -
1 option of the hospital, be placed on suspension without pay 2 or continue employment under supervision with no unsupervised 3 direct contact with patients until such time as a certificate 4 is issued or an appeal is filed pursuant to paragraph (4). 5 (2) If an individual currently employed at a hospital 6 fails to file an application for a certificate within 30 days 7 of being suspended or placed under supervision by a hospital 8 receiving the information under section 4, the individual 9 shall be immediately dismissed by the hospital. 10 (3) Except as provided in paragraph (4), if an 11 application is denied pursuant to section 6, the individual 12 on suspension or supervised employment shall be immediately 13 dismissed by the hospital. 14 (4) If an appeal is filed by either party with the 15 Commonwealth Court from a decision under section 6(f), 16 concerning an individual on suspension or supervised 17 employment, then the hospital shall have the option to 18 continue the suspension period or supervised employment under 19 paragraph (1) or to terminate the individual. 20 (5) At no time may an individual be dismissed from 21 employment solely for offenses resulting in disqualification 22 from employment under section 5(b) while an application is 23 pending and before a final determination of that application 24 is made pursuant to section 6(f). 25 (6) Within 30 days of the effective date of this 26 section, each hospital shall provide copies of section 6 and 27 this section to all current hospital employees. 28 Section 11. Civil immunity. 29 A hospital may not be held civilly liable for any action 30 directly related to good faith compliance with this act. 20040H2637B3907 - 14 -
1 Section 12. Other laws. 2 This act does not supersede background check-employment 3 restrictions imposed by another law if the other law is deemed 4 applicable to a hospital or portion of a hospital. 5 Section 13. Report to General Assembly. 6 No later than one year following the effective date of this 7 section, the State Police and the department shall report to the 8 Public Health and Welfare Committee of the Senate and the Health 9 and Human Services Committee of the House of Representatives 10 with their findings and recommendations regarding the 11 implementation of this act. 12 Section 14. Applicability. 13 This act shall apply as follows: 14 (1) (i) An individual who, on the effective date of 15 this section, is a current employee of a hospital shall, 16 within 12 months of the effective date of this section, 17 comply with section 4 as a condition of continued 18 employment. 19 (ii) Criminal history record information which meets 20 the requirements of section 4 was obtained within the 21 one-year period preceding the effective date of this 22 section and was submitted to a hospital prior to the 23 effective date of this section shall be deemed current 24 for the purposes of subparagraph (i) upon review for 25 compliance with section 5 by the appropriate entity. 26 (2) An employee who has obtained the information 27 required under section 4 may transfer to another hospital 28 established and supervised by the same owner and shall not be 29 required to obtain additional reports before making the 30 transfer. 20040H2637B3907 - 15 -
1 Section 15. Severability. 2 The provisions of this act are severable. If any provision of 3 this act or its application to any person or circumstance is 4 held invalid, the invalidity shall not affect other provisions 5 or applications of this act which can be given effect without 6 the invalid provision or application. 7 Section 16. Effective date. 8 This act shall take effect in 60 days. E6L35DMS/20040H2637B3907 - 16 -