481—57.12(135C) Personnel.
57.12(1) General qualifications.
a. No person with a current record of habitual alcohol intoxication or addiction to the use of drugs
shall serve in a managerial role of a residential care facility. (II)
b. No person under the influence of alcohol or intoxicating drugs shall be permitted to provide
services in a residential care facility. (II)
c. No person shall be allowed to provide services in a facility if the person has a disease;
(1) Which is transmissible through required workplace contact, (I, II, III)
(2) Which presents a significant risk of infecting others, (I, II, III)
(3) Which presents a substantial possibility of harming others, and (I, II, III)
(4) For which no reasonable accommodation can eliminate the risk. (I, II, III)
Refer to Guidelines for Infection Control in Hospital Personnel, Centers for Disease Control, U.S.
Department of Health and Human Services, PB85-923402 to determine (1), (2), (3) and (4).
d. Reserved.
e. Individuals with either physical or mental disabilities may be employed for specific duties, but
only if that disability is unrelated to that individual’s ability to perform the duties of the job. (III)
57.12(2) Supervision and staffing.
a. Staffing.
(1) In a facility that is licensed for more than one level of care, where the facility consists of a
single building or of contiguous buildings, the department shall establish on an individual facility basis
the numbers and qualifications of the staff required in a residential care facility, based on the needs of
the residents in that facility.
(2) In a facility licensed only for residential care the facility shall provide the following minimum
staffing ratios of personal care staff:
Days—1:25 or less (II, III)
Evenings—1:35 or less (II, III)
Nights—1:45 or less (II, III)
Additional staffing above the minimum ratio may be required by the department commensurate with
the needs of individual residents.
b. Personnel in a residential care facility shall provide 24-hour coverage for residential care
services. Personnel shall be up and dressed at all times in facilities over 15 beds. (II, III)
c. Direct care staff shall be present in the facility unless all residents are involved in activities
away from the facility. (II, III)
d. Physician’s orders shall be implemented by qualified personnel. (II, III)
57.12(3) Personnel histories.
a. Each health care facility shall submit a form specified by the department of public safety to
the department of public safety, and receive the results of a criminal history check and dependent adult
abuse record check before any person is employed in a health care facility. The health care facility may
submit a form specified by the department of human services to
request a child abuse history check. For the purposes of this subrule, “employed in a facility” shall
be defined as any individual who is paid, either by the health care facility or any other entity (i.e.,
temporary agency, private duty, Medicare/Medicaid or independent contractors), to provide direct
or indirect treatment or services to residents in a health care facility. Direct treatment or services
include those provided through person-to-person contact. Indirect treatment or services include those
provided without person-to-person contacts such as those provided by the administration, dietary, laundry,
and maintenance. Specifically excluded from the requirements of this subrule are individuals such as
building contractors, repair workers or others who are in a facility for a very limited purpose, are not
in the facility on a regular basis, and who do not provide any treatment or services to the residents of
the health care facility. (I, II, III)
b. A person who has a criminal record or founded dependent adult abuse report cannot be
employed in a health care facility unless the department of human services has evaluated the crime or
founded abuse report and concluded that the crime or founded abuse report does not merit prohibition
from employment. (I, II, III)
c. Each health care facility shall ask each person seeking employment in a facility “Do you have
a record of founded child or dependent adult abuse or have you ever been convicted of a crime in this
state or any other state?” The person shall also be informed that criminal history and dependent adult
abuse record checks will be conducted. The person shall indicate, by signature, that the person has been
informed that the record checks will be conducted. (I, II, III)
d. If a person has a record of founded child abuse in Iowa or any other state, the person shall not
be employed in a health care facility unless the department of human services has evaluated the crime
or founded report and concluded that the report does not merit prohibition of employment. (I, II, III)
e. Proof of dependent adult abuse and criminal history checks may be kept in files maintained
by the temporary employment agencies and contractors. Facilities may require temporary agencies and
contractors to provide a copy of the results of the dependent adult abuse and criminal history checks. (I,
II, III)