Today’s Presentation
Compliance Requirements
Federal OIG/GSA
State Medicaid
Home Health
Department of Aging and Disability Services
Employee Misconduct
Nurse Aide Registry
Criminal Background Checks
Where to Search?
County Criminal Checks
Are Nationwide and Statewide Checks Necessary?
State Requirements
General Services Administration Excluded Parties List System (GSA-EPLS) – SAM.GOV
Department of Health & Human Services-Office of the Inspector General’s Excluded
Individuals and Entities (HHS-OIG-Medicare) - LEIE.
U. S. Treasury Department’s Terrorist Watch List and the Office of Foreign Assets
Control’s (OFAC) Watch List
State Medicaid Excluded Parties List (where applicable)
General Services Administration
Excluded Parties List System (GSA-EPLS) – SAM.GOV
This search includes over 100 agencies, departments, and
entities charged with reporting sanctions to GSA. GSA is
required by the Federal Acquisition Regulation (FAR) to compile
and maintain a list of parties debarred, suspended, proposed
for debarment, or declared ineligible by agencies or by the
General Accounting Office.
EPLS is the electronic version of the Lists of Parties Excluded
from Federal Procurement and Non-procurement Programs
(Lists), which identifies those parties excluded throughout the
U.S. Government (unless otherwise noted) from receiving
Federal contracts or certain subcontracts and from certain
types of Federal financial and non-financial assistance and
Department of Health & Human Services-Office of Inspector
General Excluded Individuals and Entities (HHS-OIG).
The Office of Inspector General's (OIG) List of Excluded
Individuals/Entities (LEIE) database provides information to
the health care industry, patients and the public regarding
individuals and entities currently excluded from participation
in Medicare, Medicaid and all Federal health care programs.
Individuals and entities who have been reinstated are
removed from the LEIE.
U. S. Treasury Department Terrorist List
Created by the 2001 USA Patriot Act, that authorizes the
secretary of state in consultation with the U.S. Attorney
General to designate terrorist organizations strictly for
immigration purposes. Any person associated with
groups on the TEL list are prevented from entering the
United States or may be deported if they are already in
the country.
Office of Foreign Assets Control List (OFAC)
Screen applicants against the official Government
"Terrorist List" to protect your company both operationally
and legally against hiring individuals known to pose a risk
to national security.
State Medicaid Excluded Parties List
TEXAS MEDICAID PROVIDER MANUAL Excluded Entities and Providers
All current providers and providers who are applying to
participate in state health-care programs must screen their
employees and contractors every month to determine
whether they are excluded individuals or entities. These
screenings are a condition of the provider's enrollment or reenrollment into state health-care programs.
Run the State Medicaid Exclusion on all states that have it.
If you are Barred from one State – You are Barred from
Other Sanctions and Registry Sources
State Laws mandate certain checks for regulated
positions. (Home or Mental Health Aides, etc.) Federal
Department of Aging and Disability Services (DADS)
Employee Misconduct
Nurse Aide Registry
Criminal Background Checks
Where to Search?
Previous Address Locator – Places applicant has lived, worked or
went to school in the past seven (7) years.
A search of county records over the last 7 years of residence
undertaken at the courthouse is considered best practice.
Do not rely on information from application!
County Criminal Checks
A search of county records from the courthouse is considered best
practice. Criminal cases are charged, tried and adjudicated at the
county level in all but federal offenses.
Criminal Database Facts & Deficiencies
The only so-called “national” criminal database (FBI’s National Crime
Information Center; NCIC ) is incomplete and out-dated.
Databases should only be used to augment primary source county criminal
research. Adds value when used as part of the overall screen. All
potential records need to be verified at the source jurisdiction before
reporting them.
Often marketed as “National Criminal Record Locators” or “National
Criminal Searches” background check firms compile these from any
available out-dated, incomplete criminal record information to make their
own proprietary, searchable database.
Primary source criminal records are NOT searchable just using Social
Security Numbers.
Primary source criminal records research must be done using full legal
names, former names, and AKAs.
A Criminal History Check is just one part of a comprehensive screening
Sex Offender Search: An absolute must. Undertaken in real-time with the
appropriate state agencies.
Driver’s Record Check: This is a must if the applicant is going to drive
those they are caring for on errands or to the doctor. Volunteer drivers for
places like “Meals on Wheels”. Hospital valet drivers should also be
checked. It will also reveal DUI cases that might exclude the applicant
whether they drive or not. It also provides a second verification of identity.
A public records criminal history check is not infallible, nor is it the
equivalent of a FBI fingerprint check – but it is the best method
available in the private sector.
When you add additional search elements as described earlier in the
presentation, the level of reliability increases, but there can be no
guarantee to 100% accuracy.
It is recommended that in addition to whatever background check is
processed, in depth interviews are personally undertaken with the
work, professional and personal references provided by the applicant.
Gaps of employment in the applicant’s resume should be explained to
determine that the applicant is not withholding information on a past
employer that might give a negative referral, or concealing a period of
State – Administration of Courts (AOC)
More apt to show records without Dispositions
State Criminal Bureau
Often only records held are those submitted with fingerprints
States Without a Statewide Online System
New Hampshire
New Jersey
South Dakota****
West Virginia
* = In CA, limitation exists on use of use of online sexual offender register.
** = In Mississippi, a fax subscription service is provided, can be used by CRAs.
*** = In Nevada, ban exists on use of use of online sexual offender register.
**** = In South Dakota - There is a statewide search, but it is not offered online.
State FCRA Info
Reflects Federal Requirements
Adds Requirements
California Disclosure
California Report Notice Page
MN, CA, OK Checkbox
ME and NY Disclosure
State Access and Reporting
State DMV Access
Statewide Criminal Record Access
Criminal Record Reporting Limitations
Effective November 18, 2012
Criminal background check only after conditional offer of
Eight year conviction look‐back limit
EEOC individualized analysis prior to denying employment based on
criminal background
“Job Assistance” ordinance
a new “Tax Incentive” ordinance is intended to incentive employers
to hire ex‐cons
– DC B 1042
April 22, 2013
The information obtained from a criminal background check
or background investigation shall not create an automatic
presumption against employment of an applicant, appointee,
covered employee, or volunteer. The Mayor or the personnel
authority shall determine whether the applicant, appointee,
covered employee, or volunteer is unsuitable for employment
because of his or her criminal history and background. In
making this determination, the Mayor or the personnel
authority shall consider the following factors:
EEOC individualized analysis prior to denying employment
based on criminal background
– DHSS Regulations 3091, 3092 (2013)
Effective November 18, 2012
DHSS adopts the guidance from the Equal Employment Opportunity
Commission, Consideration of Arrest and Conviction Records in
Employment Decisions Under Title VII of the Civil Rights Act of 1964,
915.002, issued 4/25/2012
NJ S 2586 / NJ A 3837 ‐ The Opportunity to Compete Act
Bride of (Frankenstein) Newark ordinance:
“c. Commercially‐run criminal background checks commonly contain errors and
inaccuracies and even Federal Bureau of Investigation (FBI) background
checks are out of date 50 percent of the time.
“d. Barriers to employment based on criminal records stand to affect an estimated
65 million adults in the United States with criminal records.
“e. Barriers to employment based on criminal records disproportionately exclude
racial and ethnic minorities. There is a strong likelihood these bills will be
heard and moved later this year.
MN S 523 / H 690 - now straight “ban‐the‐box” bills
MN S 361 / H 498 - troubling set of bills to sharply limit the use of criminal
background checks
Texas - S 990
Sec. 1
1. removes the FCRA and GLB exemptions from the bill ‐ and from the current law
2. includes all entities that obtain TX DPS data, court data, and data from any other
TX agency
3. can only disseminate the data if you have originally obtained the data, or updated
it, in the past 60 days
4. entities must notify TX DPS on a quarterly basis of any one you subsequently
provide a compilation of that data
Sec. 2
1. provides FCRA style consumer access and dispute process
2. all entities that receive crim data in Sec. 1 must register with TX DPS
3. all entities must provide to each customer: (a) the source of the crim data, and (b)
the date the data was last updated or verified BY THE CUSTODIAN
Best Practices For Employers
•Check Federal and All State Medicaid exclusion lists
•Run County Criminal Checks based off of PAL’s
•Use “Nationwide” and Statewide as secondary searches.
•Always verify at County Level
Other takeaways:
•Don’t ask CRA for convictions that won’t use.
•Avoid matrices with “black and white” outcomes.
•Follow state law automatic disqualifiers
•Monitor state law and municipal ordinance changes—likely bigger long term risk.
•Remove criminal history question from job application.
•Don’t lose sight of FCRA procedural risks—bigger threat!
Thank You
Eric Scott
Vice President
[email protected]

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