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Todays 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 Summary

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COMPLIANCE PACKAGE General Services Administration Excluded Parties List System (GSA-EPLS) SAM.GOV Department of Health & Human Services-Office of the Inspector Generals Excluded Individuals and Entities (HHS-OIG-Medicare) - LEIE. U. S. Treasury Departments Terrorist Watch List and the Office of Foreign Assets Controls (OFAC) Watch List State Medicaid Excluded Parties List (where applicable)

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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 benefits.

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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.

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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.

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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.

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State Medicaid Excluded Parties List TEXAS MEDICAID PROVIDER MANUAL 1.1.3.2 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 re- enrollment 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 ALL!!!

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Other Sanctions and Registry Sources State Laws mandate certain checks for regulated positions. (Home or Mental Health Aides, etc.) Federal OIG/GSA Department of Aging and Disability Services (DADS) Employee Misconduct Nurse Aide Registry

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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!

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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.

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Criminal Database Facts & Deficiencies The only so-called national criminal database (FBIs 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.

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A Criminal History Check is just one part of a comprehensive screening program. Sex Offender Search: An absolute must. Undertaken in real-time with the appropriate state agencies. Drivers 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.

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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 applicants 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 incarceration.

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STATEWIDE INFO State Administration of Courts (AOC) More apt to show records without Dispositions State Criminal Bureau Often only records held are those submitted with fingerprints

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STATEWIDE INFO States Without a Statewide Online System California* Delaware Louisiana Massachusetts Mississippi** Nevada*** New Hampshire New Jersey South Dakota**** West Virginia Wyoming * = 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.

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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

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Effective November 18, 2012 Criminal background check only after conditional offer of employment Eight year conviction look back limit EEOC individualized analysis prior to denying employment based on criminal background

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Job Assistance ordinance a new Tax Incentive ordinance is intended to incentive employers to hire ex cons

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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

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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

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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.

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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

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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

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SUMMARY Best Practices For Employers Check Federal and All State Medicaid exclusion lists Run County Criminal Checks based off of PALs Use Nationwide and Statewide as secondary searches. Always verify at County Level Other takeaways: Dont ask CRA for convictions that wont use. Avoid matrices with black and white outcomes. Follow state law automatic disqualifiers Monitor state law and municipal ordinance changeslikely bigger long term risk. Remove criminal history question from job application. Dont lose sight of FCRA procedural risksbigger threat!

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Eric Scott Vice President erics@gp1.com Thank You