Staff Training and Background QR4300

REVISED 10/07/24

Provider/Agency Name:  

Program(s): _ ISC _ CILA _ HBS _ CDS _ SDA _ CRW _ CSW

Date(s) of Review:

Reviewer:

Reviewer will request an alphabetical list of ALL current agency employees which must include: full name, date of hire, and title. The reviewer will randomly select 5 employees who have been employed at the agency for at least one calendar year and an additional 3 random employees that were hired within the last calendar year. The total employee sample is eight (8). The sample must include at least one DSP (if applicable), one administrator/supervisor, one support person (such as clerical or custodial staff, if applicable), and one QIDP.

Review documentation of training and background checks for all employees in the sample. For veteran employees (those employed at this agency for more than one calendar year), review only the training/background checks that are shaded, except as noted "For ALL selected employees". Date of hire is the first day in paid status.

Employee Initials Date of hire	E
Required Documents
1. Date of initial Office of the Inspector General (OIG) Rule 50 training:	(enter date OR select NA)
2. Was the initial OIG training completed upon hire?	_ Y _ N _NA
3. Date of most recent OIG, Rule 50 training?	(enter date OR select NA)
4. Is the most recent OIG, Rule 50 training within the past 2 years? (original or retraining)	_ Y _ N _NA
5. For those working with children: date of completion of initial DCFS Mandated Reporting training? (enter date OR select NA)	(enter date OR select NA)
6. For those working with children, was DCFS Mandated Reporting training accomplished upon hire?	_ Y _ N N/A - Does not work with children
7. For those working with children: date of the most recent DCFS reporting training?	_ Y _ N N/A - Does not work with children
8. For those working with children: was the most recent DCFS reporting training within the past 2 years?	_ Y _ N N/A - Does not work with children
Background check requirements	IDPH Health Care Worker Registry: A FEE_APP, which stands for a Fee Applicant Inquiry, is a fingerprint-based criminal history records check requested through the Illinois State Police (ISP). When a FEE_APP background check is conducted, ISP stores the fingerprints for the HCWR. UCIA, which stands for the Uniform Conviction Information Act, is the type of background checks used by the HCWR prior to the implementation of the fingerprint-based background checks (prior to October 2007). A UCIA background check is no longer valid for use with the HCWR. (See below if a UCIA background check is present on an employee's HCWR.) Employees hired prior to 1/1/00 or who are licensed through the IL Department of Professional Regulation (RNs, etc.) are not under the jurisdiction of the HCWR Act and the HCWR will show 'worker not found'.
9. Date of initial Health Care Worker Registry (HCWR) and Adult Protective Services (APS) checks: (1)	Date
10. Were the initial HCWR and APS checks completed no sooner than 30 days prior to hire and no later than 1st day of paid status?	_ Y _ N
11. If HCWR public website used, was the SSN verified?	_ Y _ N _NA
12. Initial HCWR determination:	Eligible Ineligible Not Yet Determined
13. Initial APS determination:	Eligible Ineligible
14. Date of Illinois State Police (ISP) check (FEE_APP date): 2	Date
15. Was the ISP check (FEE_APP) initiated no sooner than 30 days prior to hire and no later than 1st day of paid status?	_ Y _ N N/A - FEE_APP completed by prior employer
16. Was the ISP check (FEE_APP) received and no disqualifying offenses found?	_ Y _ N
17. Date of most recent Health Care Worker Registry (HCWR) and Adult Protective Services (APS) checks: 1	Date
18. Were the most recent HCWR and APS checks completed annually (365D)? (Informational Finding Only for FY25 as long as checks were completed within 13 months.)	_ Y _ N
19. If HCWR public website used, was the SSN verified?	_ Y _ N _NA
20. Most recent HCWR check determination:	Eligible Ineligible Not Yet Determined
21. Most recent APS check determination: ? Eligible ?	_ Eligible _ Ineligible
22. Date of Illinois State Police (ISP) check (FEE_APP date): 2	Date
23. Was the ISP check (FEE_APP) received and no disqualifying offenses found?	_ Y _ N
24. (CGH ONLY) Date of initial SACWIS clearance (in place of CANTS check):	_ Y _ N _NA Doesn't work with children
25. Date of initial DCFS CANTS check: (If submitted via paper CFS689, the date is the employee signature date. If submitted via the CFS689 Online Portal, the date is the employee authorization date.) 3(3)	Date N/A - SACWIS in file
26. Was the initial DCFS CANTS check initiated within 30 days prior to and no later than the 1st day in paid status?	_ Y _ N
27. Initial DCFS CANTS check finding:	_ No Priors _ No response yet _ Finding Indicated _ Waiver granted
28. Date of initial DCFS CANTS Stamp: (If completion Stamp not yet received, check 'N/A'.)	Date _NA
29. Date of most recent DCFS CANTS check: (If submitted via paper CFS689, the date is the employee signature date. If submitted via the CFS689 Online Portal, the date is the employee authorization date.) 3 (3)	Date N/A - SACWIS in file
30. Was the most recent DCFS CANTS check completed annually (365D)? (Informational Finding Only for FY25 as long as checks were completed within 13 months.)	_ Y _ N
31. Most recent DCFS CANTS check finding:	_ No Priors _ No response yet _ Finding Indicated _ Waiver granted
32. Date of most recent DCFS CANTS Stamp: (If completion Stamp not yet received, check 'N/A'.)	Date _NA
33. Date of initial Illinois Sex Offender Registry check: (4)	Date
34. Was the initial Illinois Sex Offender Registry check completed no sooner than 30 days prior to and no later than 1st day of paid status?	_ Y _ N
35. Initial Illinois Sex Offender Registry check findings:	_ Employee not found _ Employee found on registry
36. Was the Initial Illinois Sex Offender Registry check run correctly with the applicant's Last Name Only?	_ Y _ N
37. Date of most recent Illinois Sex Offender Registry check: (4)	Date
38. Was the most recent Illinois Sex Offender Registry check completed annually (365D)? (Informational Finding Only for FY25 as long as checks were completed within 13 months.)	_ Y _ N
39. Most recent Illinois Sex Offender Registry check findings:	_ Employee not found _ Employee found on registry
40. Was the most recent Illinois Sex Offender Registry check run correctly with the applicant's Last Name Only?	_ Y _ N
41. Date of initial Illinois HFS Office of Inspector General (OIG) Sanctions List check: 4 / 5	Date
42. Was the initial Illinois OIG Sanctions List check completed no sooner than 30 days prior to and no later than 1st day of paid status?	_ Y _ N
43. Initial Illinois HFS OIG Sanctions List findings:	_ Employee not found _ Employee found on registry
44. Was the Initial Illinois HFS OIG Sanctions List check run correctly with the applicant's Last Name Only?	_ Y _ N

Comments: ____

1 (a) HCWR/other background checks must reflect print date/run date. A handwritten initialed/dated page is not acceptable. (HFS OIG date stamp has a button on the website that must be clicked to show the run date)

(b) How to access Adult Protective Services (APS) Registry information. how-to-check-aps-registry.pdf (illinois.gov)

• If the employee does not appear on the HCWR ('Worker not Found'), both the HCWR and APS checks shall reflect "Eligible".
• APS Checks - - HCWR portal. If APS = "No" and HCWR check is "Eligible" or "Not Yet Determined", response is "Eligible".

 If APS = "Unavailable" and HCWR check is "Eligible" or "Not Yet Determined", response is "Eligible".

If APS = "Yes" or HCWR check is "Ineligible", response is "Ineligible".

2 For recently hired employees, the results of FEE_APP may not be received on 1st day of paid status (however, the provider must initiate the FEE_APP process no sooner than 30 days prior to hire and no later than 1st day of paid status). The FEE_APP application is valid for 10 working days, during which time the employee must provide the application to the appropriate vendor and complete their fingerprinting. Thus, the FEE_APP date may fall within this 10 working day timeframe after date of hire. (Note: ISP has 45 days to return the background check results to the HCWR.)

• If initial HCWR check does not reflect the FEE_APP date, provider should rerun the HCWR check reflecting the FEE_APP date.
• Persons who have worked continuously at the same provider since October 1, 2007, and have a UCIA name-based or fingerprint background check reported on the HCWR are not required to get a fingerprint (FEE_APP) criminal background check until they are hired by another provider covered under the Illinois Health Care Worker Background Check Act.
  • If someone on the HCWR has a UCIA background check, that person's Work Eligibility will show "Not Yet Determined." A new or potential employer must initiate a Livescan request to conduct a fingerprint-based background check for that person.
  • IDPH Frequently Asked Questions: Web Portal Access https://dph.illinois.gov/content/dam/soi/en/web/idph/files/publications/publicationsohcrfaqs-employers.pdf

3 For initial DCFS CANTS checks (paper/email submissions), if the results have not yet been received, request proof of email submission from the agency. For ALL initial DCFS CANTS checks submitted through the CFS689 Online Portal, request a screenshot of the agency's Portal Dashboard to record the employee authorization (signature) date.

For annual/most recent DCFS CANTS checks (paper/email submissions), if the results have not yet been received, request proof of email submission from the agency. For ALL annual/most recent DCFS CANTS checks submitted through the CFS689 Online Portal, request a screenshot of the agency's Portal Dashboard to record the employee authorization (signature) date. If the results have not yet been received, review the employee's prior year's DCFS CANTS check to ensure it was received with a 'No Priors' stamp.

For all DCFS CANTS checks run via the old paper/email submission process , the CANTS date is the employee signature date.

For all DCFS CANTS checks run through the new DCFS CANTS Portal, use the employee submission date as the date for the CANTS check. The 'No Priors' (or Finding/Waiver) verbiage will appear at the top right of the page.

4 IL Sex Offender Registry and IL HFS OIG Sanctions List checks should be searched by LAST NAME ONLY - no first names, city, or zip codes should be added to

the search. Using additional demographic information (such as first name) may cause the search results to be too narrow. For employees with more common

last names, agency should at a minimum have the page where the employee's name would have appeared if it was present (lists are alphabetical) with the run date and search criteria shown on the page as well. IDHS: FY 25 Developmental Disabilities CSA Attachment A (state.il.us) http://intranet.dhs.illinois.gov/onenet/CBL/DDHowToConductBackgroundChecksandClearances.pdf)

5 Rule 115 now dictates that the IL HFS OIG check is an *annual* check, along with the HCWR, CANTS, and IL Sex Offender Registry. For FY25, this is presented for information and education for Provider Agencies. This will be added to BQM's Staff Training and Background Check review once the corresponding Rules and CSA Attachment A have all been updated to be consistent with this requirement.

CSA Attachment A specifies that Rule 50 training is not required for persons providing services at agencies that are licensed by other human service agencies of the state (like DCFS), therefore Rule 50 training is not required for CGH/CRW employees. Many do still complete Rule 50 training, so if it is present, record the information. However, if a CGH/CRW employee does not have Rule 50 training, mark 'N/A'.