I. Introduction DIVISION OF DISABILITY AND AGING SERVICES BACKGROUND CHECK POLICY (Draft 11/01/05) Background checks of individuals who work with vulnerable people is a component of preventing abuse, neglect and exploitation. This policy describes what background checks are required and what is to be done if a background check reveals a potential problem. Background checks supplement and do not replace reference checks. Background checks should never be relied upon as a substitute for personal contact with former employers or others who are in a position to have personal knowledge about the worker s qualifications to work with vulnerable people. II. Definitions A. Background check includes all of the following: 1. A request for information about all substantiated findings of abuse, neglect, and exploitation directed to the Department of Children and Families (DCF) child abuse registry; 2 A request for information about all substantiated findings of abuse, neglect, and exploitation directed to the Department of Aging and Independent Living (DAIL) adult abuse registry; 3. A request for information about all criminal convictions directed to the Vermont Crime Information Center (VCIC); 4. An on-line search of the Exclusions Database of the HHS Office of Inspector General, www.hhs.oig. 5. In the case of a person who lived outside of Vermont any time during the past five years, an FBI national criminal record check; and 6. For workers who will be paid to transport a consumer by motor vehicle, a complete Motor Vehicle Driver Record from the Vermont
Background Check Policy Page 2 of 5 Department of Motor Vehicles and the Department of Motor Vehicles for any state where the subject has lived in the past five years.. B. Person who receives services means a participant in a personal care or individualized support program, including personal services, community supports, housing and home supports, case management, service planning and coordination, respite care, companion care, clinical or other mental health services; crisis services, supported employment services, transportation, nursing, and other kinds of care for which a worker receives reimbursement. Specific programs include but are not limited to: Developmental Services Waiver 1115 Waiver Attendant Services Program Homemaker Program Children s Personal Care Services High Tech Program TBI Waiver If a person lives in a licensed residential care home and receives funding through the ERC waiver, the person is considered to be a person who receives services. The term does not include individuals who receive supports through the Flexible Family Funding program, the Dementia Respite Program, the National Family Caregiver Support Program, or Flex Funds. C. Agency or provider means a corporation or other organization that receives funds from DDAS to provide services to any person who receives services.: III. Requirements for Background Checks A. Background checks are required for all workers (including contracted workers) who are paid with state or federal funds administered by the Division of Disability and Aging Services (DDAS) and who
Background Check Policy Page 3 of 5 1. Provide care to a person who receives services; or 2. Manage funds or services on behalf of a person who receives services. B. Background checks are recommended for adults who live in a home with a person who receives services and who are not paid to provide care but may on occasion provide care or supervision voluntarily to the person with a developmental disability or who may sometimes be alone with the person. C. Background checks are recommended (but are not required) for respite workers hired by families through the Flexible Family Funding program, the Dementia Respite Program, the National Family Caregiver Support Program (NFCSP) or Flex Funds. IV. Responsibility for Assuring that Background Checks Are Completed A. The agency or provider employing a worker or supervising a volunteer is responsible for assuring that the required background checks are completed, or for arranging for the required checks to be completed by an ISO. B. An Intermediary Services Organization (ISO) is responsible for ensuring that the required background checks are conducted for any workers who will be paid through the ISO. In addition to the required background checks, the ISO shall conduct any recommended background checks requested by the employer/contractor. C. Employers and contractors who will be paying workers through the ISO are responsible for obtaining the signed and completed forms necessary for the background checks to be completed. V. Payment for Background Checks Applicants for employment shall not be charged for the costs of background checks, except that an individual who has moved to Vermont within the past five years may be asked to pay for the costs of a national criminal records check. The costs of background checks are considered part of the
Background Check Policy Page 4 of 5 administrative costs for an agency or provider, and are part of the contract for services of an ISO. VI. Employment Pending Completion of Background Checks A. An offer of employment or contract may be made contingent upon a satisfactory background check. B. A worker or contractor or volunteer may, at the discretion of the employer or contracting entity, provide services to a person pending receipt of the results of the background check, but under no circumstances may a worker or contractor be paid for longer than sixty (60) days without receipt of completed background checks. VII. Periodic Updating of Background Checks Required background checks shall be updated every five years. VIII. Sharing of Background Check Information An ISO or an agency or provider may share information with any other agency or provider for about the results of a background check if the background check was completed within the past three months. Regardless of the time of the background check, an ISO or an agency or provider may share information with any other agency or provider that shows that the individual is restricted from being paid pursuant to Section VIII. IX. Restriction Upon Paying Persons with a History of Substantiated Abuse, Neglect, or Exploitation, or History of Certain Crimes DDAS funds may not be used to employ or contract with a person who has: A. A substantiated record of abuse, neglect, or exploitation of a child, a disabled adult, or an elderly person;
Background Check Policy Page 5 of 5 B. Been excluded from participation in Medicaid or Medicare services, programs, or facilities by the HHS Office of the Inspector General; and/or C. A criminal conviction for: aggravated assault; aggravated stalking; aggravated sexual assault; assault and robbery; manslaughter; assault upon law enforcement; cruelty to children; elderly abuse; arson; extortion; hate motivated crime; kidnapping; lewd and lascivious conduct; simple assault; sexual assault murder; domestic assault; stalking; abuse of a person with a disability; recklessly endangering another person while driving. Variance: DDAS may, at its discretion, grant a variance of this policy under exceptional circumstances. A request for a waiver must be made in writing to: Deputy Commissioner Division of Disabilities and Aging Services Department of Disabilities, Aging and Independent Living 103 South Main Street Waterbury, VT 05671-1601 X. Questionable Background Check Results If a background check reveals a non-restricted conviction or motor vehicle violation, the employer may at his/her discretion hire or contract with the worker.