This presentation is an overview of the Criminal Records Checks through of the Ohio Administrative Code New rules were effective

Transcription

1 February 27,

2 This presentation is an overview of the Criminal Records Checks through of the Ohio Administrative Code New rules were effective 1/1/2013 Rules are applicable to all PASSPORT, Assisted Living, Title III and some ESP services Sections of this presentation that include the Elderly Services Program will be specified Please do not use this presentation as a replacement to the rules 2

3 Review major changes to the rules Discuss compliance monitoring expectations regarding gdocumentation Answer previously submitted questions Identify how the rules effect the Elderly Services Program 3

4 One rule now revised and divided into 10 individual rules Uniform list of disqualifying offenses across ODA, ODH, ODJFS and ODODD Direct care and ombudsman service employees must be background checked at least every 5 years* Must use the six free databases prior to requesting a BCII check for applicants and employees *exception HDM drivers, and employees who only have access to records 4

5 No more personal character standards Limited grandfathering Exclusionary periods for types of offenses Disqualifying offenses from 55 to 130 BCII log replaced by roster 5

6 Free database reviews When is a BCII check required Reverification check Conditional Employment Circumstances for employment for disqualifying offenses Records 6

7 The new rules require responsible entities (agencies) to review 6 free databases before conducting a BCII check for all applicants and employees If the applicant s name appears unfavorably on any of the databases, the agency may not continue to hire the applicant- a BCII check is not needed If a employee is disqualified by the database search, that employee can no longer provide ombudsman or direct care services to consumers in ODA administered i d programs 7

8 The responsible entity is required to inform the applicant or employee of the disqualifying information Employment Service Exemption responsible entities are not required to review the databases if the employment service provides a report showing the applicant or employee is not disqualified 8

9 SAM / OIG Abuser Registry dodd ohio aspx Sex Offender Search &disc=; Offender Search p// / / p Nurse Aide Registry 9

10 All applicants Employees Once every five years Hired prior to 2008: Database reviews and BCII check must be conducted no later than 30 days after the 2013 anniversary of the employee s employee s hire date date, and every 5 years thereafter Hired 2008 and after: Database reviews and BCII check h k must b be conducted d d no llater than h 30 d days after f the h fifth anniversary of the employee s date of hire, and every 5 years thereafter 10

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12 SITUATION 5 YEAR DATABASE REVIEWS AND BCII CHECK (FBI AS NECESSARY) DUE ONGOING 5 YEAR REVIEWS AND RECHECKS An employee serving in a direct care position hired on 1/4/1996 was exempt from a background check under the old rule An employee serving in a direct care position was hired in 2008, had a BCII check at that time, and yyour agency g y has not requested q a BCII records check since 2008 An employee serving in a direct care position was hired on January 1, 2008, had a BCII check at that time, and your agency obtained bt i d another th BCII check on October 12, 2010 In 2013, no later than 30 days after the anniversary of his/her date of hire (no later than 30 days after 1/4/2013) In 2013, no later than 30 days after the anniversary date of hire At least every 5 years after 2013, no later than 30 days after January 4th In 2015, no later than 30 days after January 1st. At least every 5 years after 2013, no later than 30 days after the anniversary date of hire At least every 5 years after 2015, no later than 30 days after January 1st. 12

13 SITUATION An employee serving in a direct care position of only delivering home delivered meals was hired in 2008, had a BCII records check at that time An employee A l is i hi hired d in i 2007 for f a non direct care position and on March 10, in 2009 the employee changed jobs to a direct care position and your agency obtained a BCII check at that time 5 YEAR DATABASE REVIEWS AND BCII CHECK (FBI AS NECESSARY) DUE Will not need the data base reviews or another BCII check IIn 2014, 2014 no later l t th than 30 days d after March 10 (5 years from the date he starting work as direct care employee). ONGOING 5 YEAR REVIEWS AND RECHECKS The responsible entity is not required to conduct database reviews or BCII checks on employees only delivering home delivered meals that position is exempt from the requirement of obtaining checks at least one every 5 years At least l t every 5 years after ft 2014, no later than 30 days after March 10th 13

14 If an applicant or an employee has requested a criminal records check in the past year, a responsible entity may request a reverification from BCII rather than a new BCII check The BCII request must have been made for working with children or seniors. Request for a reverification check on an applicant must be made within 5 days of conditional hiring Reverification has the same validity as a BCII criminal records check 14

15 The new rules prevent a responsible entity from employing an applicant: Until after the 6 free databases are checked Only if the databases do not disqualify the applicant The responsible entity may conditionally hire for up to 60 days If the BCII report is not received in 60 days, the employee cannot be hired to provide direct care or ombudsman services to consumers in any ODA administered i d program 15

16 Exclusionary periods 5 tiers Limited Grandfathering Hired before 1/1/13 C Conviction i i or guilty il plea l before b f 1/1/13 Responsible entity attests to employee s character and fitness in writing before 4/1/13 16

17 Certificates Certificate of achievement and employability. Certificate of qualification for employment Pardons Criminal record destroyed 17

18 An applicant or current employee may only provide PASSPORT, Assisted Living or Title III services if the 2013 rules do not disqualify him or her 18

19 Criminal records check reports are not public record Records must be kept sealed within the personnel file or in separate p p files from personnel files Data base checks do not need to be sealed, but must be kept with the BCII reports 19

20 For each employee maintain: A copy of the 6 database searches on application and on 5 year checks Original copy of all BCII and/or FBI reports and any reverified BCII reports 20

21 For employees hired or retained with a disqualifying offense ff maintain: i i Copy of the written attestation to character and fitness if li it d grandfathering limited df th i was used d (only ( l applicable li bl if written itt before April 1, 2013) Official copy of a certificate of qualification for employment if used Official copy of certificate of achievement and employability if used d Official copy of pardon if governor pardoned the employee/applicant 21

22 BCII logs are no longer required The rules now require a lesser document called the roster Council on Aging will not dictate what form your roster must be in- jjust that it contains the y 5 required elements Records and roster may be kept electronically Can be printed for compliance review 22

23 1. The name of each applicant and employee 2. The date the applicant or employee started work 3. Date(s) the criminal records check request was submitted to BCII 4. Date(s) the criminal records check was received 5. A determination of whether the results of the check revealed that the applicant or employee committed a disqualifying offense(s) 23

24 All dates on roster must be complete with day, month and year y The date of the employee started work is the date COA will use to verify y compliance p The roster must include information for both applicants and current employees (may keep both on one roster or use separate rosters for applicants and employees) 24

25 The new rule is applicable for levy funded services that are funded in any part with Older Americans Act Funds ESP services that use a blend of county and Older American Act funds are: Adult Day Care, Home Delivered Meals, Personal Care, Homemaking, Respite and Home Care Assistance Employees and applicants providing direct care in these ESP services must be checked under the new guidelines 25

26 Employees and applicants providing direct care to consumers in all other ESP services must continue to follow the previous Criminal Records procedures until the Conditions of Participation are updated Updates to the Conditions of Participation will be issued for all counties and will be effective May If an employee/applicant will furnish services to consumers in ESP and a PSP/Title III program, they must be checked under the new Criminal Records rule 26

27 ESP will continue to require q all volunteers to be background checked (BCII)* One time check for volunteer applicants Current volunteers do not need a 5 year check Will not require database checks on volunteers * The only exemption to this requirement will be in the case of Adult Day Services where volunteers are directly supervised and are not alone with a client 27

28 Any issues of noncompliance with the Criminal Records check rule will be considered cause for disciplinary action (Sanction for Passport and Assisted Living providers, Breach of Contract for Title III and providers of ESP blended fund services) 28

29 Ohio Department of Aging website: COA s website: 29

30 Presenting today s webinar: Patricia Woody and Hope Must Contact Information: Provider Relations Team- LaTricia Long llong@help4seniors.org Monica Schulze mschulze@help4seniors.orgorg Patricia Woody pwoody@help4seniors.org Contract Compliance- Hope Must hmust@help4seniors.org Manager of Provider Services- Amy Hoh ahoh@help4seniors.org 30

31 Q: For my existing employees, am I required to run each of the six database checks prior to requesting a BCII check? A: Yes. The agency is required to perform the checks on the six databases for current employees who provide services under PASSPORT, Assisted Living, ESP blended services, and Title III. g y is not required q to conduct ONGOING criminal The agency records check on a direct-care employee if the only type of direct care that the employee provides is: Delivering home-delivered meals; Having g access to a consumer's p personal records ((e.g., g, an employee p y working in a responsible entity's office who does not enter a consumer's home or an employee of a personal emergency response system's central monitoring station who does not enter a consumer's home); or, 31

32 Q: We were recently purchased by a new owner and run background checks on all current employees through a private company and not BCII. Is BCII the only acceptable entity for background checks to be run? A: Yes. BCII is the only entity acceptable to conduct criminal records checks, and when required FBI checks. Q: What if my company did a background check through Sterling on all of our current employees in October Do we still have to do a BCII background check on all current employees who have worked kd here 5+ years? A: If Sterling ran BCII background checks for your current employees, the BCII checks can be used to meet compliance for these employees. 32

33 Q: Do we have to run all of our current employees through the free databases or just the ones hired 1/1/13 and forward? A: Yes, Agencies must review the six databases prior to requesting a BCII report for all employees, including those hired after 1/1/13. Q: Will COA suggest a format that they want us to maintain to record the background checks? A: No. Providers can use whatever format is most convenient to them as long as all the required information is maintained. 33

34 Q: Are background checks required for our consumer/clients and or residents of Assisted Living facilities? A: No. The criminal records check rules do not apply to consumer/clients or residents of Assisted Living facilities. Q: Could you please clarify the number of databases that t are required under the new criminal i background check rules? A: There are six (6) free databases that must be completed prior to requesting the BCII report. 34

35 Q: I am working on setting dates for people to get their background check done. All of the people that were hired in 2008 will be done this year. My question surrounds the people that were hired prior to Should we check everyone on their anniversary date this year then start the 5 year cycle? Or, should I calculate a 5 year cycle on everyone? A: Employees hired prior to 2008, must have a criminal records check no later than 30 days after their anniversary date in If a provider checks all of his employees on one date in 2013, the next check would be in no later than 30 days after each employees anniversary date of hire. 35

36 Q: WllCOA Will continue to require background checks above and beyond what the state law requires? i.e volunteers and those clerical employees & volunteers who have access to client data? Will COA require every 5 yr BCI checks even though the state doesn't. The state doesn't require BCI for volunteers at all but I assume the COA requirements stand? A: The Elderly Services Program will continue to require background checks on volunteers prior to the furnishing direct care services.. The Conditions of Participation will be updated prior to 5/1/2013. Q: Will COA comply with the stated exclusion periods or will you have more stringent criteria? A: COA will comply with the exclusionary periods for PASSPORT and Title III. ESP Conditions of Participation will be updated prior to 5/1/

37 Q: Confusion about who needs the every 5 year BCII checks. Senior Center staff? Cooks? Office personnel? A: 5 year checks are required for direct care staff unless the only type of direct care that the employee provides is: Delivering home-delivered meals; Having access to a consumer's personal records (e.g., an employee working in a responsible entity's office who does not enter a consumer's home or an employee of a personal emergency response system's central monitoring station who does not enter a consumer's home); or, Providing a one-time chore service, home maintenance service, home modification service, home repair service, or pest control. Senior Center staff and cooks that have in person contact with consumers are considered direct care staff, therefore, 5 year checks are required for these employees. Staff who work in the office or kitchen and only have access to consumer information, no in person contact, do not require 5 year checks. 37

38 Q: We have 3 staff who received their BCII checks last fall, Does the new law require that we obtain another check of them before the fall of this year? A: No. The new law requires that a BCII check be conducted every 5 years- therefore, the next required BCII check for these employees would be no later than 30 days after their anniversary date in Q: We have 1 employee who completed a BCII in We are assuming this person requires a new BCII according to the rules below A: Yes. The employee was hired before 2008; therefore, the rule requires the agency to conduct a criminal records check on the employee in 2013, no later than 30 days after the anniversary date of hire. 38

39 Q: Does direct care mean all employees who talk to consumers A: Direct Care means any in-person contact with ih one or more consumers who receive a community-based long-term care service or any access to a consumer s s personal property or records. A senior center employee who is not involved in service provision, and does not have access to consumer records, but may just speak to consumers is not consider a direct care employee. 39

40 Q: Will we have a grace period for current employees whose anniversary dates fell in January or February? A: No, the rules went into effect on January 1, 2013, and ODA has directed that compliance is required as of that date. 40

41 Q: We are a DME provider. Does this rule apply to our office or store employees, taking orders for equipment? A: Office or store employees who have access to a consumer s s personal information are considered direct care employees. The new rules apply for applicants, but the 5 years checks for employees are not required. Q: The 5yr ongoing check, is that just checking the data bases or also finger printing? A:The five year check on employees consists of checking the 6 data bases and the BCII check (fingerprinting) and an FBI check if applicable to the employee 41

42 Q: When doing background checks on women who are married do we just use their maiden name, married name or both? A: At a minimum, the free database checks check should be performed using the name as included on the application/employee record. It will be up to the agencies discretion to run the free database checks, multiple times based on additional name variations. 42

43 Ap printable copy py of this p presentation including g the Q&A will be available next week on COA s website Look in the SERVICE PROVIDERS tab under Provider Services Submit any questions you may have after the presentation is complete to Provider_services@help4seniors.org p g Questions submitted via prior to March 8th will be answered on COA s COA s website by March 15th. 43

44 To disconnect from the presentation click the X on the top right of the screen 44