Understanding Required Background Checks for Providers in 2019
Explore the essential background check requirements for providers in 2019, covering topics like Staff Exclusion List (SEL) checks, Criminal Background Checks (CBC), authorized person responsibilities, and temporary approvals. The checks are crucial for applicants with substantial contact with service recipients, ensuring safe and secure environments. Learn who can request background checks and the importance of keeping authorized person information updated. Dive into the Staff Exclusion List, which prevents the hiring of individuals responsible for abuse or neglect. Stay informed to adhere to necessary pre-employment procedures.
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Presentation Transcript
Required Background Checks for Providers 2019
2 Topics Background Check Requirements Staff Exclusion List (SEL) Check Criminal Background Check (CBC) Authorized Person Responsibilities Types of CBC Determinations Temporary Approval
3 Background Check Requirements
4 Required Background Checks Staff Exclusion List (Justice Center) Criminal Background Check (Justice Center) Please note: There are other required pre-employment checks that are not processed by the Justice Center: o Statewide Central Register (SCR) (completed by OCFS) & o Mental Hygiene Law 16.34 (completed by OPWDD)
5 Whose Background Must Be Checked? Applicants for positions that will have regular and substantial contact with individuals receiving services These potential employees or volunteers may not be permitted to have unsupervised contact with individuals receiving services until the results of the checks are received
6 Who May Request a Background Check? To conduct SEL and CBC checks, an Authorized Person must be designated Authorized Person Designation Form - Staff Exclusion List (SEL) Authorized Person Designation and Sworn Statement Form for CBC The Authorized Person Designation Forms can be found on the SEL and CBC Guidance & Resources pages of the Justice Center s website
7 Authorized Person Revocation Form Should be submitted when appropriate Providers should keep the Justice Center updated with correct Authorized Person information Authorized Person Revocation Form
8 Staff Exclusion List Check
9 Staff Exclusion List (SEL) Contains the names of individuals found responsible for serious or repeated acts of abuse or neglect Individuals on the SEL are prohibited from being hired by Providers for positions that involve regular and substantial contact with individuals receiving services
10 SEL Check This is the first check that Providers must complete for Applicants Providers must conduct an SEL check before registering Applicant for fingerprinting
11 SEL Check: Authorized Person Complete and submit SEL Authorized Person Designation Form (see link on slide 6) Authorized Person will receive email with link to SEL online web form and instructions If an Authorized Person has any difficulty with SEL check, email SELcheck@justicecenter.ny.gov
12 SEL Check Procedure Each SEL check request submitted using the online web form generates a confirmation number A response will be sent to the Authorized Person within one business day from the date the SEL check was submitted o Responses will be from VPCR.Notification@justicecenter.ny.gov
13 SEL Check Procedure cont d A Social Security Number (SSN) or Alien Registration Number (ARN) is required to conduct a SEL check request online If an Applicant has not been issued a SSN or ARN, email SELcheck@justicecenter.ny.gov to initiate the manual SEL check request process See the SEL Guidance & Resource page
14 SEL Check Procedure cont d Providers may submit batch SEL checks with up to 100 Applicants at one time Staff Exclusion List Batch Check Template Authorized Persons should use this template to submit multiple Applicants to be checked against the SEL
15 Criminal Background Check
16 Criminal Background Checks (CBC) Who Must be Printed? Who Shall Request a CBC? Responsibilities of Authorized Person Types of CBC Determinations Subsequent Arrests Temporarily Approved Applicants
17 Who Must be Printed? Subject Individuals Any person to be employed or otherwise utilized by a Provider who will have regular and substantial unsupervised or unrestricted physical contact with individuals receiving services
18 Who Shall Request a CBC? Each Provider must have an Authorized Person to request a criminal background check Complete and submit a CBC Authorized Person Designation Form (see link on slide 6)
19 Authorized Person Responsibilities
20 Authorized Person Responsibilities 1. Check SEL 2. Provide Applicant certain information 3. Register the Applicant for fingerprinting 4. Maintain certain information 5. Update employment status in CBC system 6. Policy to implement the regulation
21 1. Submit SEL Check As discussed in previous slides this check must be completed first Request for Staff Exclusion List Check Webform (Online Request)
22 2. Provide Applicant Certain Information Ensure the Applicant completes the Applicant Consent Form for Fingerprinting 14 NYCRR Part 701.5(d)(6)(iii) Provide the Personal Criminal History Information Review Form 14 NYCRR Part 701.5(6)(iii)(a)
23 Applicant Consent Form
24 Personal Criminal History Information Review Form I
25 3. How to Register an Applicant Step 1 - Go to Pre-Employment Checks at bottom of Justice Center s website homepage, click Get More Information
26 How to Register an Applicant cont d Step 2 Click on Learn More, then CBC Guidance & Resources, then All CBC Documents & Forms
27 How to Register an Applicant cont d Complete the Fingerprint Applicant Info Sheet Fingerprint Applicant Info Sheet Authorized Persons may use this document to collect required information to register an applicant for a criminal background check Register for Fingerprinting with IdentoGO online or by calling 855 845-7434
28 Guidance for OMH Providers: Fingerprint Registration Guidance for OMH Providers Guidance to OMH Providers on the fingerprint registration process OMH Link to IdentoGO Link to IdentoGO: used by the Authorized Person for the purpose of registering Applicants for fingerprinting appointments
29 Guidance for OPWDD Providers: Fingerprint Registration Guidance for OPWDD Providers Guidance to OPWDD Providers on the fingerprint registration process OPWDD Link to IdentoGO Link to IdentoGO: used by the Authorized Person from OPWDD programs for registering Applicants for fingerprinting appointments
30 Guidance for OCFS Providers: Fingerprint Registration Guidance for OCFS Providers Guidance for OCFS Providers on the fingerprint registration process OCFS Link to IdentoGO Used by the Authorized Person from OCFS programs for registering Applicants for fingerprinting appointments
31 Fingerprint Registration Guidance: Current Address Required
32 Required Demographic Information
33 Required Job Duties The CBC request must include a summary of the Applicant s specific job duties including how the Applicant will have regular and substantial unsupervised or unrestricted physical contact with individuals receiving services 14 NYCRR Part 701.5(d)(2)(ii)
34 4. Maintain Certain Information Maintain Applicant Consent Form for Fingerprinting and the CBC results with regard to the employment or volunteer service of the subject individual - 14 NYCRR Part 701.8(a)(1)(ii) Maintain for six years after the subject individual is no longer employed or volunteers - 14 NYCRR Part 701.8(c)(1) Maintain subsequent arrest notifications and related communications and documentation
35 5. Update Employment Status Authorized Person must update the employment status of subject individuals with 14 days of any change status 14 NYCRR Part 701.8(a)(1)(ii)
36 6. Policy to Implement the Regulation Each Provider shall have a policy designed to implement the provisions of the Justice Center s CBC regulation The Justice Center has prepared a Draft Sample CBC Policy and Procedure for Providers consideration.
37 Quick Break and Stretch
38 Types of CBC Determinations
39 Types of CBC Determinations 1. Not Denied: Non-Ident 2. Not Denied: No Criminal History 3. Not Denied: Criminal History 4. Not Denied: Insufficient Court Supplied Information 5. Not Denied: Not Held in Abeyance
40 Types of CBC Determinations cont d 6. Held in Abeyance 7. Denied 8. None: Being Processed 9. Criminal History
41 Not Denied: Not-Ident and No Criminal History Applicant was never fingerprinted, civilly or criminally OR Applicant was fingerprinted but has no reportable criminal history Applicants with these determinations may be considered for employment in the direct care position
42 Not Denied: Criminal History Authorized Person receives summary of NYS criminal history FBI prohibits the Justice Center from sharing criminal history from outside NYS The Applicant may be considered for employment in the direct care position
43 Not Denied: Insufficient Court Supplied Information Applicant s criminal history record includes a criminal charge for which the Justice Center cannot determine the disposition The Applicant may be considered for employment in the direct care position
44 Not Denied: Not Held in Abeyance Applicant s criminal history record includes a pending criminal charge Applicant may be considered for employment in the direct care position
45 Held in Abeyance Applicant has a pending criminal charge Felony offense, the application will be held in abeyance pending the outcome of the charge Misdemeanor offense, the application may be held in abeyance pending the outcome of the charge Applicants held in abeyance cannot be hired in a direct care position while the charges are pending
46 Held in Abeyance cont d If Provider remains interested in hiring the Applicant, the court disposition must be submitted to the CBC Unit when the charges have been resolved The Justice Center requires that the Provider send the court disposition to the CBC Unit If not interested in hiring, the employment status must be updated to Application Withdrawn
47 Denied Provider may not hire the Applicant in the direct care position for which the CBC was requested The Provider will be notified of the decision via a correspondence uploaded into the CBC system
48 Denied cont d If the Provider receives a denial determination, the law requires the Provider to notify the Applicant that employment was denied and that the criminal history was the basis of the denial Upon written request from the Applicant, the Provider must furnish a copy of the reported criminal history summary, not the CBC Unit determination letter
49 None: Being Processed CBC Unit is considering directing the Provider to deny employment based on an Applicant s criminal history and we are requesting evidence of rehabilitation directly from the Applicant OR Applicant s criminal history record includes a criminal charge for which the CBC Unit cannot determine the disposition and we have reached out to the Applicant to provide disposition information on the charges
50 None: Being Processed cont d Determination has not yet been issued on the Applicant s suitability for employment Provider may not hire the Applicant in the position for which the CBC was requested Provider may only move forward with a hiring decision if a determination has been issued for the Applicant
