Health Care Council of
Regulatory Update: News and Views
April 21, 2008 Number 3
Health Care Worker Background Check
As reviewed in the previous two weeks, the Illinois Department of Public Health (IDPH)
published sweeping proposed amendments to the employee Health Care Worker
Background Check Rules in the April 4th Illinois Register. The new
proposed regulations, once enacted, will phase-in
the fingerprinting of all new unlicensed employees. It is expected that the Department will begin
phasing-in the fingerprint check program for new unlicensed employees sometime this summer, most likely starting
with the ten northern counties that had participated in last year’s federal
fingerprint pilot project.
The first week we provided an overview of the changes with
these proposed regulations. Last we
examined some of the operational implications for facilities, including who does and does not need a fingerprint
check. This week we will review the fingerprinting process and
documentation requirements. Next week we will conclude with a review of disqualifying offenses and waivers
The Fingerprint
Process:
On every new employee, a facility must check the Health Care
Worker Registry. Once a facility is
phased into the fingerprint background process late this year by IDPH, one of
three situations will exist for a potential new employee:
1)
The
person is on the Registry and has had a
previous fingerprint check: The facility then prints out that screen and
the screen from the initiation page indicating you checked the offender web
site links, put them in the employee’s file – and you’re done with criminal
background checking for that employee.
2)
The
person is on the Registry but has not
had a previous fingerprint check: A
fingerprint check process has to be initiated.
3)
The
person is not on the Registry: The facility is responsible for entering the
person on the Registry and initiating the fingerprint check process.
For new employees who
need to fingerprinted, the first step is to provide the employee with a disclosure form, notifying the individual that a fingerprint
background check is required by law, that the results will be entered in the
Health Care Worker Registry, that the individual has a right to obtain a copy
of the criminal records report and has a right to challenge the completeness
and accuracy of the report, that the applicant will be terminated if the
criminal records report indicates any disqualifying offense, that if the
applicant has certain disqualifying offenses, a waiver from the Department of
Public Health is possible based on the length of time since the conviction and
other mitigating circumstances, and that the employee will be terminated if the
facility is subsequently notified in the future that a disqualifying offense
was committed. The associations will be
working with the Department to develop a standardized disclosure form.
The second step is an authorization form, to allow the Department of Public Health to
request and receive information and assistance from any State or local
government agency, and to post the results on the Health Care Worker
Registry. In cooperation with the
associations, the Department will be distributing a standardized authorization
form. The standard authorization form
will not only authorize a fingerprint check, but says the facility may fire
them for not disclosing everything on the authorization form that may be found
as a result of the background check.
This allows for a first line of inquiry even before the facility incurs
the cost of the fingerprint check. If a
person indicates on the authorization form that there is a disqualifying
offense, the facility can decide not to proceed with hiring even before the
background check is done.
Once the applicant has signed the disclosure and
authorization forms, Section 955.165(d) requires: “An educational entity or health care employer shall electronically
submit to the Department of Public Health the student’s applicant’s or
employee’s social security number, demographics, disclosure and authorization
information in a format prescribed by the Department of Public Health within 2
working days after the authorization is secured.” Once the information on the applicant is
entered or updated on the Registry, the facility will be able to print out a
Livescan Request Form from the Registry web site, with the applicant’s name and
address already pre-printed on it. The
facility then gives the Livescan Request Form to the applicant to bring to the
livescan vendor. The livescan vendor
will not collect fingerprints for background check purposes without the
Livescan Request Form.
Then, according to 955.165(e), “The student, applicant, or employee shall go to a livescan vendor
contracted under the provisions of the Act and have his or her fingerprints
collected electronically and transmitted to the Department of State Police
within 10 working days after signing the authorization and disclosure forms.
The student,
applicant, or employee shall bring the portion of the livescan request form
that is completed by the livescan vendor back to the educational entity or
health care employer as proof that his or her fingerprints have been
collected. The educational entity or
health care employer shall provide the transaction control number, obtained
from this portion of the livescan request form, whenever any follow-up
inquiries are made about the progress of the background check being processed.
If the student,
applicant or employee does not go to a livescan vendor contracted under the provisions
of the Act and have his or her fingerprints collected electronically within 10
working days, the individual shall be suspended from participating in a
training program if a student, or suspended from working if an employee, until
such time as proof is provided that the individual has had his or her
fingerprints collected electronically from a contracted livescan vendor.
If the student,
applicant, or employee has not had his or her fingerprints collected
electronically by a contracted vendor within 30 days after being hired or
beginning a training program, the employee shall be terminated or the student
dropped from the training program. The
educational entity or health care employer shall withdraw the background check
application from the Health Care Worker Registry.”
Fingerprint
Rejections:
“If the fingerprints
are rejected by the Department of State Police, the student, applicant or
employee shall go to a livescan vendor contracted under the provisions of the
Act and have his or her fingerprints collected electronically a second time.” The employee should take the rejection email
sent to the facility along with a second Livescan Request Form. There will be no fee charged for the second
set of fingerprints.
“If the fingerprints
are rejected by the Department of State Police a second time, the education
entity or health care employer shall conduct a complete name-based UCIA
criminal history records check through the Department of State Police and mail
a copy of the results of the background check to the Department within 10
working days after receipt. A UCIA
name-based criminal history records check may be used only when there is proof
that the individual’s fingerprints have been rejected twice by the Department
of State Police within the previous 12 months.”
The first fingerprint attempt must be done within 10 days of
signing the authorization. There are no
specified time frames for the second fingerprints or the UCIA name-based check,
but “A health care employer or long term
care facility may conditionally employ an applicant for up to three months
pending the results of a fingerprint-based criminal history records check
request by the Department of Public Health.
During this time, the employee shall have adequate supervision, which is
the type and frequency of supervision required to prevent abuse, neglect, or
theft regarding patients, clients or residents.” If the results
of the background check process are not completed and received within three months, the employee would
have to be suspended until the results are received.
Required
Documentation:
According to Section 955.220,
“a) The health care
employer shall retain on file for a period of 5 years records of criminal
records requests for all employees. The
health care employer shall retain a copy of the disclosure and authorization forms, a copy of the livescan request form, all notifications results from the
fingerprint-based criminal history records check and waiver, if
appropriate, for the duration of the individual’s employment. The files shall be subject to inspection by
the Department. A fine of $500 shall be
imposed for failure to maintain these records.
b) If the Health Care
Worker Registry indicates that the employee had no disqualifying criminal
offense or administrative findings at the time of hire, then the health care
employer shall retain a screen print of
this information in the employee’s file.
If the individual was not on the Health Care Worker Registry prior to
being hired, then a screen print indicating that the worker was not found shall
be retained in the employee’s file.
c) The health care
employer shall retain a screen print of
the background check initiation page, which documents that the employer did
conduct an internet search of the web sites from the links provided through the
Health Care Worker Registry and found no results from those web site that would
prevent the employee from being hired.
No additional screen prints from those web sites shall be required in the
employee’s file.”
This new program is not yet in effect.
You will be informed by IDPH and your associations of the timetable for
replacing your UCIA name-based background check with the livescan vendor
fingerprint program in your area. As
with the federal pilot project, it can be expected that IDPH will be conducting
training sessions in your area just prior to implementing the program. Until such time, facilities should continue
to do UCIA background checks as required under current law and regulations.
There is a public comment period until