Background Screening Requirements

PURPOSE: This rule establishes background screening requirements for staff and certain volunteers, students, and members of a provider’s household in any public or private facilities, community residential facilities, day programs, or specialized service operated, licensed, certified, accredited, in possession of deemed status, or funded by the Department of Mental Health. (1) Definitions. The following definitions apply to terms used in this rule: (A) DMH—the Missouri Department of Mental Health; (B) Members of the provider’s household—persons age eighteen (18) or older whose permanent residence is the provider’s household, or persons who visit the home on a frequent basis, or persons who spend the night in the home on a frequent basis such that direct, unsupervised contact with individuals served is likely to occur. For purposes of this rule, “frequent” means six (6) or more times over a rolling twelve- (12-) month period; (C) Natural supports—supports provided by a person of the individual’s choice that assist him or her in achieving his or her goals and facilitate his or her integration into the community. Natural supports are provided by persons who are not paid staff of an agency but may be initiated, planned, and facilitated in partnership with an agency; (D) Staff (staff member, employee, personnel)—a paid employee or contractor providing services or supports on behalf of the agency on a full- or part-time basis who has contact with individuals served by the agency; (E) Student (student worker, student intern, practicum student)—a person who is not on the agency or provider payroll, but as part of his or her education or training has direct contact with individuals served; (F) Visitor—a family member, friend, clergy, or other person invited by the individual served; and (G) Volunteer—an unpaid person formally recognized by the agency to provide direct services or supports to individuals it serves. (2) For the purposes of this rule, public or private facilities, community residential facilities, day programs, and specialized services (agencies) are divided into two (2) categories, as follows: (A) Category I. Agencies that are certified or licensed exclusively by the Department of Mental Health (DMH) or, although not certified or licensed, are funded by DMH. Specifically this category includes: 1. All agencies certified by DMH; 2. Agencies that have contractual arrangements with DMH but are exempt from DMH’s licensing and certification process due to accreditation or other reason; and 3. Agencies that are licensed by DMH and do not have a license from another state agency; and (B) Category II. Agencies that have a license or certificate from another state agency. Specifically, this category includes agencies licensed by the Children’s Division or the Department of Health and Senior Services; also included are intermediate care facilities/for individuals with intellectual or developmental disabilities (ICF/IDD). Agencies included in Category II are subject to rules regarding criminal record review as promulgated by the state agency that licenses or certifies them and are not subject to sections (4) through (7) of this rule, however, all other sections of this rule apply. (3) This rule applies to— (A) Paid and unpaid staff and volunteers of the agency, including student workers; and (B) For residential services, members of the provider’s household, except children under the age of eighteen (18), who have contact with individuals served. (4) Each agency defined under Category I above shall make the following inquiries for all new staff, volunteers, students, and members of the provider’s household, where applicable: (A) An inquiry with the Department of Health and Senior Services to determine whether the person having contact with individuals served is listed on the employee disqualification list of the Department of Social Services or the Department of Health and Senior Services; (B) An inquiry with DMH to determine whether the person is on the DMH disqualification registry; and (C) A criminal background check with the Missouri State Highway Patrol. The request for the background check does not require fingerprints and shall be in accordance with requirements of the Missouri State Highway Patrol under Chapter 43, RSMo. The agency may use a private investigatory agency to conduct this review. (5) The criminal background check and inquiries required under section (4) of this rule shall be initiated within two (2) working days of hire for staff who will have contact with individuals served. The criminal background check and inquiries required under section (4) of this rule shall be initiated prior to a volunteer, student, or members of the provider’s household having contact with individuals served, where applicable. A criminal background check is not required for visitors, persons providing natural supports, students, or other persons who are job shadowing and do not have unsupervised contact with individuals served, or volunteers who do not have unsupervised contact with individuals served. (6) Each agency included under Category I above shall require all new applicants for employment, volunteer positions, students, and members of the provider’s household, where applicable, who will have contact with individuals served to— (A) Sign a consent form authorizing a criminal record review with the highway patrol, either directly through the patrol or through a private investigatory agency; (B) Disclose his/her criminal history, including any conviction or a plea of guilty to a misdemeanor or felony charge and any suspended imposition of sentence, any suspended execution of sentence, or any period of probation or parole; and (C) Disclose if s/he is listed on the employee disqualification list of the Department of Social Services or the Department of Health and Senior Services, or the DMH disqualification registry. (7) Each agency shall develop policies and procedures regarding the implementation of this rule and the disposition of information provided by the criminal record review. At a minimum the policies and procedures shall include: (A) Procedures for obtaining the criminal record review; (B) Procedures for confidentiality of records; and (C) Guidelines for evaluating information received through the criminal record review which establish a clear boundary between convictions that by statute exclude an individual from service, and convictions that would not automatically exclude an individual. (8) Offenses under section 630.170, RSMo, that disqualify a person from service are as follows: (A) A person is disqualified from holding any position in the agency if that person— 1. Has been found guilty of or pleaded guilty to or nolo contendere, including having received a suspended imposition of sentence or suspended execution of sentence to any of the following offenses: A. Abuse or neglect of an individual served as defined in section 630.155, RSMo; B. Furnishing unfit food to an individual served as defined in section 630.160, RSMo; or C. Vulnerable person abuse, as described in sections 565.210 to 565.214, RSMo, as those sections existed prior to January 1, 2017. 2. Is listed on the DMH disqualification registry; or 3. Is listed on the employee disqualification list of the Department of Health and Senior Services or Department of Social Services; (B) A person who has been found guilty of or pleaded guilty to or nolo contendere, including having received a suspended imposition of sentence or suspended execution of sentence, to any of the offenses specified in section 630.170.2, RSMo, is disqualified from holding any position having contact with individuals served in the agency. For reference purposes, DMH maintains an updated list of disqualifying crimes under section 630.170, RSMo, at http://dmh.mo.gov/about/employeedisqualification/. 1. A person who has been found guilty of or pleaded guilty or nolo contendere, including having received a suspended imposition of sentence or suspended execution of sentence, to a violation of section 577.010, RSMo or section 577.012, RSMo and who is alleged and found by the court to be an aggravated or chronic offender under section 577.023, RSMo, is disqualified from holding any position having contact with individuals served in the agency if the person is hired by the agency after January 1, 2014. (9) Any person disqualified from employment under this rule may request an exception from the DMH Exceptions Committee in accordance with 9 CSR 10-5.210 Exceptions Committee Procedures. (A) The right to request an exception under this subsection does not apply to persons who are disqualified due to being listed on the employee disqualification registry of the Department of Social Services or Department of Health and Senior Services, nor does it apply under section 630.170.4, RSMo, to persons who are disqualified due to any offenses pursuant to the provisions of Chapter 566 or sections 565.020, 565.021, 568.020, 568.060, 569.025, as that section existed prior to January 1, 2017, or 574.080, RSMo. For reference purposes, DMH maintains an updated list of disqualifying crimes not eligible for exception under section 630.170.4, RSMo, at http:// dmh.mo.gov/about/employeedisqualification/. (10) For the purposes of this rule, a verdict of not guilty by reason of insanity (NGRI) is not per se disqualifying. A suspended imposition of sentence (SIS) or suspended execution of sentence (SES) is disqualifying. (11) Any person who has committed a disqualifying crime as identified in section (8) of this rule, unless the person has received an exception from DMH, is not eligible for hire by an agency. However, the agency retains the discretionary authority to deny employment to persons who— (A) Have committed crimes not identified as disqualifying; (B) Have received an exception from the Exceptions Committee; or (C) Have received a verdict of Not Guilty by Reason of Insanity. AUTHORITY: sections 630.170, 630.655, and 630.710, RSMo 2016, and section 192.2495, RSMo Supp. 2018.* Emergency rule filed Aug. 15, 1997, effective Aug. 28, 1997, expired Feb. 26, 1998. Original rule filed Aug. 15, 1997, effective March 30, 1998. Amended: Filed Oct. 29, 1998, effective May 30, 1999. Amended: Filed Nov. 3, 2003, effective April 30, 2004. Amended: Filed March 29, 2004, effective Sept. 30, 2004. Amended: Filed Jan. 22, 2019, effective Aug. 30, 2019. *Original authority: 192.2495, RSMo 1996, amended 1997, 1998, 2003, 2014, 2016, 2018; 630.170, RSMo 1980, amended 1982, 1996, 1998, 2001, 2003; 630.655, RSMo 1980; and 630.710, RSMo 1980, amended 1996, 1998.