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 having an Illinois State Police fingerprint criminal background check result reported to the Health Care Worker Registry (HCWR) that shows no disqualifying criminal convictions unless a waiver for that conviction is granted by the Illinois Department of Public Health (IDPH) and posted on the HCWR.
- Conduct required registry clearances for all employees at time of hire, then annually thereafter. Providers must establish a schedule to ensure all annually required registry clearances are completed:
- on the anniversary of the employee's hire date,
- at the time of the employee's annual performance evaluation is due, or
- on another schedule that ensures timely annual completion.
- Comply with employment restrictions based on the results of criminal background checks 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 Check
At time of hire and annually thereafter, each employee's name must be cleared on the HCWR to ensure the person does not have a disqualifying criminal conviction posted on the HCWR without a IDPH waiver granted for that conviction.
Requests for Waivers
Can be made for disqualifying criminal convictions by filing a Health Care Waiver Application Form with IDPH. This registry clearance must be documented in the employee's personnel or training record or in 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 HCWR to confirm the person does not have a substantiated finding of abuse, neglect or financial exploitation reported by the DHS Office of the Inspector General.
Process for removing a person's name from the HCWR who has a substantiated finding of abuse, neglect or financial exploitation reported by the DHS Office of Inspector General (OIG) is described in Title 59, Chapter 1, Section 50.100 of the Mental Health and Developmental Disabilities Code. 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 in a location available for review by Department staff.
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 found to have:
- disqualifying criminal convictions unless there is a waiver granted by IDPH, or
- substantiated findings of physical or sexual abuse, neglect or financial exploitation, or
- indicated findings of abuse or neglect reported by the DCFS Central Register/Child Abuse and Neglect Tracking System (CANTS) unless there is a waiver granted by DHS, or
- their name listed on the HFS Office of the Inspector General Sanction List as not authorized for employment unless HFS approves their employment.
Criminal Background Checks and Enrollment in the Department of Public Health (IDPH) Web Portal
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 collected through IDPH-approved livescan vendors with the results reported electronically to the HCWR. All new hires must have fingerprint criminal background checks once IDPH authorizes Provider access to the IDPH Web Portal. All Providers are required by the Health Care Worker Background Check Act to immediately request access to the IDPH Web Portal. The Act prohibits health care providers from employing people that have a disqualifying criminal conviction unless IDPH grants a waiver of the conviction. Persons with disqualifying criminal convictions can file a Health Care Waiver Application Form to request a waiver from IDPH.
Eleven (11) Livescan vendors are now authorized by IDPH to perform fingerprint background checks for health care positions covered by the Health Care Worker Background Check Act. The livescan vendors currently approved by IDPH to perform fingerprint criminal background checks are listed below.
Please note: When selecting vendors, Providers should first contact them before authorizing appointments to confirm they can provide timely fingerprint service to your area.The vendor's corporate address on its website is not always indicative of how quickly it can provide service. Many vendors offer mobile services to all areas of the state.
- A Fingerprinting US Photo, Inc: 1-312-782-8144 or www.fingerprintingchicago.com
- Accurate Biometrics, Inc: 1-866-361-9944 or www.accuratebiometrics.com
- Anthony's Mobile Fingerprinting, Inc: 1-888-406-8729 or www.TheFingerPrintMan.com
- Big River Investigations: 1-217-228-9114 or www.bigriverinvestigations.com
- Bushue Human Resources, Inc: 1-217-342-3042 or www.bushuehr.com
- Fact Finders Group, Inc: 1-708-283-4200 or www.factfindersgroup.com
- FIRM Systems: 1-866-721-1203 or www.firmsystems.net
- iTouch Biometrics: 1-847-706-6789 or www.itouchbiometrics.com
- Kevin McClain Investigations, Ltd: 1-618-532-1152 or www.mcclaininvestigations.com
- Metropolitan Chicago Healthcare Council: 1-877-746-0643 or www.mchc.com
- Morpho Trust USA (formerly L-1 Enrollment Services): 1-800-377-2080 or www.identogo.com
Livescan vendors report fingerprint background check results directly to the Health Care Worker Registry.
Criminal Background Checks
A HCWR clearance must be conducted at the time of hire to confirm whether new hires have had a criminal background check result reported to the HCWR. This HCWR clearance will also show whether the person has a disqualifying criminal conviction, a IDPH granted waiver for that conviction and/or any substantiated findings of abuse and neglect.
If a criminal background check result has not been reported to the HCWR, all new hires must immediately obtain a fingerprint criminal background check result using a livescan vendor approved by IDPH. A Livescan form is printed from the IDPH Web Portal portal and must be taken by the new hire within 10 working days of hire to a IDPH-approved livescan vendor for fingerprint scanning. The livescan vendor sends the fingerprints to the Illinois State Police for a criminal background check. The results of the criminal background check are reported directly to the HCWR and posted as FEE_APP on the HCWR. After a FEE_APP designation is posted on the HCWR, a criminal background check never has to be repeated.
If the designation "CAAPP" appears on the HCWR, it is an administrative code entered by IDPH to designate a "rapback" finding connected to the FEE_APP. It is the same as a valid fingerprint background check result. It may indicate new criminal activity, a change in waiver status or an administrative record correction made by IDPH. If Providers see a CAAPP designation, they should check the Health Alert Network (HAN) to make sure there is no "red flag" showing disqualifying convictions.
Note: UCIA name-based and UCIA fingerprint criminal background checks are valid for one (1) year from the date completed. Persons who have worked continuously at the same Provider since October 1, 2007 and who have a UCIA name-based or fingerprint background check reported on the HCWR are not required to have a fingerprint criminal background check until they are hired by another Provider.
IDPH Web Portal Enrollment
Illinois Health Care Worker Background Check Act requires providers to register for enrollment in the IDPH Web Portal. This web-based system allows health care providers to send employees to livescan vendors to be fingerprinted and have the results of the criminal background check sent electronically to the Health Care Worker Registry. Providers must keep their agency's employment information current on the IDPH Web Portal. If an employee is convicted of a disqualifying criminal offense after being fingerprinted through a livescan vendor, the Provider is notified of the conviction immediately by email.
Failure to register for access to the IDPH Web Portal may subject providers to fines and penalties levied by IDPH and administrative sanctions imposed by the DHS Division of Developmental Disabilities. Until IDPH authorizes access to the IDPH 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 IDPH Web Portal, all newly hired employees must have a fingerprint criminal background check performed and reported to the Health Care Worker Registry.
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:
- Program codes 6000-6666 indicate the individual was trained by an approved Developmental Disability Aide (DSP) training program.
- Program codes 0001-0999 and 3001-3099 indicate the individual was trained by an approved Nursing Assistant/CNA training program.
- 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 IDPH Health Care Worker Registry, 535 West Jefferson Street, Springfield, Illinois 62761; or by phone at (217) 785-5133; TTY: (800) 547-0466
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 Abused and Neglected Child Reporting Act (325 ILCS 5/1).
Providers not licensed by DCFS: Each employee's name must be cleared through the DCFS CANTS system to document the person does not have a record on this registry. Providers must request clearances in writing to DCFS by submitting Form CFS 689 at the time of hire and annually thereafter. Persons may remain employed pending the receipt of these clearance results.
- Child Care Facilities licensed by DCFS: Instead of the CANTS process, Providers complete background clearances using the Statewide Automated Child Welfare Information System (SACWIS). This clearance is submitted to DCFS using Form CFS 718. Once the Provider documents in their file that the employee has had a SACWIS check, annual CANTS clearances are not required. The SACWIS automatically alerts Providers to any subsequent DCFS abuse/neglect findings in much the same way the Health Care Worker Registry's wrap-back feature notifies them if an employee has a subsequent disqualifying criminal conviction reported. The SACWIS check is not a DHS-accepted substitute for any other background check or registry clearances, only CANTS. Providers must continue to complete all other required background checks and clearances at the time of hire and annually thereafter.
- If DCFS reports a substantiated finding of abuse or neglect for an employee, 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. 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. Providers must not employ individuals in any capacity found to have a substantiated finding of abuse or neglect where the disqualification period has not expired unless a waiver of the finding has been granted by the Department of Human Services. Procedures for requesting such a waiver are outlined in DHS Division of Developmental Disabilities' Information Bulletin DD 13.032.
- The results of these registry clearances and granted waivers must be documented in the employee's personnel or training record or in a location available for review by Department staff.
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. This clearance must be conducted at the time of hire and annually thereafter. Prospective employee reported on this registry cannot be hired. If an employee's name is reported on this registry, he/she must be terminated. The results of all new hire and annual clearances of this registry must be documented in the employee's personnel or training record or in a location available for review by Department staff.
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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