Health Care Worker Background Check Act and Abused and Neglected Child Reporting Act

Providers must certify compliance with all requirements and regulations issued pursuant to the Health Care Worker Background Check Act (225 ILCS 46) and Abused and Neglected Child Reporting Act (325 ILCS 5/1).

Providers must terminate employees with a disqualifying criminal conviction or substantiated finding of physical or sexual abuse, neglect or financial exploitation (unless there is a waiver from DPH).

There is a waiver process for DCFS Central Register/Child Abuse and Neglect Tracking (CANTS) substantiated findings, but no waiver process for DHS Office of Inspector General (OIG) substantiated abuse or neglect findings or where HFS does not authorize the employment of a person on its OIG Sanctions List.

Provider Compliance Requirements

The DHS Community Services Agreement, Attachment A, is signed annually by Providers and requires agencies serving people with developmental disabilities to:

  • Employ persons with no disqualifying criminal convictions on an Illinois State Police criminal background check (fingerprint, Fee_App; or name-based, UCIA) reported to the Health Care Worker Registry (HCWR)
  • Conduct required clearances for all employees at time of hire, then annually thereafter.  Establish a schedule to ensure annual registry clearances are completed timely, such as: 
    • on the anniversary of the employee's hire date,
    • at the time of the employee's annual performance evaluation, or
    • on another schedule that ensures timely annual completion.
  • Comply with the required employment restrictions based on the results of criminal background check results or findings of registry clearances.
  • Retain documentation of criminal background check results and all registry clearances (at time of hire and annually) in the employee's personnel or training record or in a location available for review by Department staff.

Disqualifying Criminal Convictions

Each employee's name must be cleared on the online HCWR or by contacting HCWR staff to document the person does not have a disqualifying criminal conviction without a waiver from DPH for that conviction. Requests for waivers of disqualifying criminal convictions can be made by filing a Health Care Waiver Application Form with DPH. This registry clearance must be conducted at the time of hire and annually thereafter with the results documented in the employee's personnel or training record or a location available for review by Department staff.

Substantiated Findings of Abuse, Neglect or Financial Exploitation

Each employee's name must be cleared on the online HCWR or by contacting HCWR staff to document the person does not have a substantiated finding of abuse, neglect or financial exploitation reported by the DHS Office of the Inspector General pursuant to 42 CFR Section 483.13 and 225 ILCS 46/25. Waivers are not available for DHS Office of Inspector General substantiated findings of abuse, neglect or financial exploitation. This clearance must be conducted at the time of hire and annually thereafter with the results documented in the employee's personnel or training record or a location available for review by Department staff.

  1. Obtain Criminal Background Checks and Enroll in the Department of Public Health (DPH) Web Portal

    1. Criminal Background Checks

      The Illinois Health Care Worker Background Check Act (225 ILCS 46) requires employees of health care providers and others identified in the Act to have fingerprint criminal background checks with the results reported electronically to the Health Care Worker Registry.  The law also prohibits health care providers from employing people that have a disqualifying criminal conviction unless DPH grants a waiver of the conviction.  Persons with disqualifying criminal convictions can file a Health Care Waiver Application Form to request a waiver from DPH.

      Four (4) livescan vendors are authorized by DPH to perform fingerprint background checks for health care positions covered by the Health Care Worker Background Check Act.  This includes Direct Support Persons (DSPs).  The livescan vendors currently approved by DPH to perform fingerprint criminal background checks are:

      1. Accurate Biometrics Inc: 1-866-361-9944 or www.accuratebiometrics.com
      2. FIRM Systems: 1-866-721-1203 or www.firmsystems.net
      3. L-1 Enrollment Services: 1-800-377-2080 or www.l1enrollment.com
      4. Metropolitan Chicago Healthcare Council: 1-877-746-0643 or www.mchc.com

      Livescan vendors report fingerprint background check results directly to the Health Care Worker Registry.  Electronic fingerprint criminal background checks must replace name-based criminal background checks once the Provider is granted access to the DPH Health Alert Network (HAN) Web Portal.

    2. Criminal Background Check Results

      If a criminal background check result is not present, the employee must immediately obtain a criminal background check result. New hires must be sent to a livescan vendor within 10 days of hire. Fingerprint (Fee_App) criminal background check results reported to the HCWR never have to be completed again. Name-based (UCIA) criminal background checks are good for one (1) year. Persons that work continuously at the same Provider are not required to have another criminal background check until they are hired by another Provider. This registry clearance must be conducted at the time of hire and annually thereafter with the results documented in the employee's personnel or training record or a location available for review by Department staff.

    3. DPH Web Portal Enrollment

      The Illinois Health Care Worker Background Check Act requires providers to register for enrollment in the HAN Web Portal.  This web-based system allows health care providers to send employees to livescan vendors to be fingerprinted and have the results of their criminal background check results sent electronically to the Health Care Worker Registry.  As soon as Providers are authorized to access the HAN Web Portal, they must obtain fingerprint criminal background check results for their employees instead of name-based results. Providers must keep their agency's employment information current.  If an employee is convicted of a disqualifying criminal offense, the Provider is notified immediately by email.

      Failure to register for access to the HAN Web Portal may subject providers to fines and penalties levied by DPH and administrative sanctions imposed by the DHS Division of Developmental Disabilities.  Until DPH authorizes access to the HAN Web Portal, Providers may use name-based criminal background checks and report the results by fax or mail directly to the Health Care Worker Registry.  Providers can request UCIA name-based background check through the Illinois State Police web site.

      Persons employed continuously with a Provider since October 1, 2007 and have a name-based criminal background check (UCIA) reported on the Health Care Worker Registry do not need to have fingerprint criminal background checks performed unless they change employers.  For Providers authorized to access the HAN Web Portal, all newly hired employees must have a fingerprint criminal background check performed and reported to the Health Care Worker Registry.

  2. Health Care Worker Registry (HCWR) Clearances

    The HCWR contains information on disqualifying criminal convictions, substantiated findings of abuse and neglect and training information for Developmental Disability Aides (DD Aides), or Direct Support Persons (DSPs), and Nurse Assistants or Certified Nursing Assistants (CNAs).

    A 4-digit program code is used to identify the two types of training programs reported on the HCWR:

    1. Program codes 6000-6666 indicate the individual was trained by an approved Developmental Disability Aide (DSP) training program.
    2. Program codes 0001-0999 and 3001-3099 indicate the individual was trained by an approved Nursing Assistant/CNA training program.
    3. DSPs that have completed an approved DSP training program are designated as a "DD Aide" under the "Programs" section of their HCWR record.

    Note: Employees spending 20% or more time providing direct support to adults or children with developmental disabilities must be listed on the Health Care Worker Registry as a DD Aide.  Exceptions: respite workers, job coaches, secretaries and other support staff

    Verification of a person's HCWR status can be obtain by:

    • Checking the person's name on the online:  HCWR
    • Contacting the DPH Health Care Worker Registry, 535 West Jefferson Street, Springfield, Illinois 62761; or by phone at (217) 785-5133; TTY: (800) 547-0466

  3. DCFS State Central Register/Child Abuse and Neglect Tracking System (CANTS) clearances

    Providers must certify compliance with all requirements and regulations issued pursuant to the Health Care Worker Background Check Act (225 ILCS 46) and Abused and Neglected Child Reporting Act (325 ILCS 5/1).

    Each employee's name must be cleared through the DCFS CANTS system to document the person does not have a record on this registry. These clearances must be requested in writing to DCFS.  Agencies not licensed by DCFS request CANTS clearances by submitting Form CFS 689 to DCFS.  Persons may remain employed pending the receipt of the clearance results from DCFS.

    If there is a substantiated finding of abuse or neglect for the person, a disqualification period is indicated on the results form returned to the Provider.  The length of the disqualification is based on the severity of the finding.  Providers must not employ individuals in any capacity found to have a substantiated finding of abuse or neglect during the disqualification period unless a waiver has been granted by the Illinois Department of Human Services. 

    DCFS definitions of disqualifying convictions and substantiated cases of abuse or neglect are contained in Part 385 of Title 89 of the Illinois Administrative Code. Requests for waivers of DCFS substantiated findings of abuse or neglect may be made by contacting the DHS Division of Developmental Disabilities at 217-782-9438. This registry clearance must be conducted at the time of hire and annually thereafter with the results documented in the employee's personnel or training record or a location available for review by Department staff.

  4. Illinois Sex Offender Registry Clearances

    Each employee's name must be cleared on the online Illinois Sex Offender Registry to document the person does not have a record on this registry.  Providers cannot employ individuals until they have received results of this registry clearance.  If the registry reports a record for the individual, Providers must not employ the person in any capacity.  If, at the time of the required annual clearance, an employee's name is reported on this Registry, the employee must be terminated. This registry clearance must be conducted at the time of hire and annually thereafter with the results documented in the employee's personnel or training record or a location available for review by Department staff.

  5. Healthcare and Family Services (HFS) Office of Inspector General (OIG) Sanctions List Clearances

    Prior to employment of an individual or use of a subcontractor or licensed practitioner, Providers must clear each person's name on the online HFS OIG web site.  This registry clearance is used to document that the individual or entity is not on the HFS OIG Sanctions List of terminated or suspended providers and barred entities and individuals.  If an individual or entity is on the OIG Sanctions List, Providers must get approval of HFS to hire the individual or entity per its guidelines. This registry clearance must be conducted only at the time of hire with the result documented in the employee's personnel or training record or a location available for review by Department staff.

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