Kentucky National Background Check Program Webinar for BHDID

Office of the Inspector General

KARES Helpdesk Team

Regulation Status

• On March 15, 2016, the Cabinet for Health and Family Services withdrew Kentucky’s National Background Check Program (NBCP) emergency regulation.

• Enrolling in Kentucky’s NBCP, also referred to as the KARES system, is no longer mandatory for long-term care facilities and providers of services to the elderly or adults with disabilities.

• Kentucky’s NBCP has resumed operating as a voluntary program under 906 KAR 1:190. A copy of this administrative regulation may be downloaded from the following website: http://www.lrc.ky.gov/kar/906/001/190.htm

• For providers interested in enrolling in the KARES system voluntarily, please visit the following website for information on how to create a user account: http://chfs.ky.gov/os/oig/kares/providers.htm

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System accounts are created and managed through the Kentucky Online Gateway. Users will always use the following URL to access the gateway and sign into their account. Once signed in, users will have the ability to access or enroll in several Kentucky managed web services, like the KARES system. Access the Kentucky Online Gateway at: https://kog.chfs.ky.gov/ For step by step instructions on creating a user account visit the Office of Inspector General’s web page at http://chfs.ky.gov/os/oig/kares/providers.htm From this page, follow the instructions for Accessing the KARES Web Portal to create your user account. Here you will find the link for the Kentucky Online Gateway and account set up information. **Users should use a corporate email address associated with their facility. Using any other email address will cause delays in processing and possible account denial.

How do I create a KARES Account and access the KARES system?

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The Application Process

KARES

KY-NBCP

KY State Police

FBI

KARES

Nurse Abuse Registry

Licensure Board(s)

Adult Caregiver

Misconduct Registry

National Sex Offender

Child Abuse Registry

Clear Registries

Determination

Available

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System Training and Resources

To view training videos and a system user guide, click the Help link at the top of the screen. This material will walk you through the application process as well as offer valuable information to system related questions.

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Abuse Registry Checks

The KARES system will automatically query certain Kentucky Abuse Registries and allow users to access links for abuse registries from other states. KARES will run an automatic search on the following registries and return a result of either, “Automatch Performed, No Matches Found”, or a number indicating the number of matches found on each registry. Examples of this are found in the KARES System User Guide.

- Kentucky Caregiver Misconduct (CMR) - Kentucky Child Abuse and Neglect (CA/N or Central Registry) - Kentucky Nurse Aide and Home Health Aide Abuse (KBN abuse Registry) - Federal OIG List of Excluded Individuals and Entities (LEIE)

Of the above mentioned lists, the CMR and CA/N are matched based on Social Security number. The other lists will match on a name and date of birth search. Each registry is maintained by its parent agency, not the KARES system. KARES will “look” at the registry and return a hit result if found. Matches for the Child Abuse and Neglect Registry cannot be shared with the public. Any matches on this list may require the applicant to contact the KY Office of the Ombudsman at (502) 564-5497.

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Fingerprinting and Rap Back Processes Fingerprinting:

• Once the user has submitted an application, a Live Scan Fingerprint Form will be generated specific to the applicant.

• This form will list the 3 closest fingerprint collection sites based on the applicant’s home address.

• The applicant will need to take this barcoded form along with their picture ID to one of these sites for a digital scan of their fingerprints.

Note: As a convenience the form will display the 3 closest sites based on user entered data. However, there may be some instances when an applicant is closer to another site for various reasons. To view a full list of sites, the user can access the Live Scan Fingerprinting Report from the KARES system Reports tab. Any site listed in KARES may be used for fingerprint collection.

Rap Back:

• Rap Back is a process designed to work hand in hand with fingerprinting in an effort to reduce the instances of duplicative background checks.

• Once fully implemented, this process will allow Kentucky State Police to retain certain applicant information and report on future criminal occurrences through the KARES system.

• Through this process users can be notified of criminal data after the initial background check for hire.

The Cabinet is currently in discussions with KSP on the future implementation of rap back. The OIG will announce this feature once is becomes available.

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When the Applicant chooses to Appeal

Any applicant deemed Not Eligible by the KARES system due to a disqualifying criminal conviction has the right to an appeal. The National Background Check Program will send notification to the applicant along with their appeal rights when they are deemed Not Eligible. Once an appeal request is received by the program, notations are entered for the applicant and the status will be displayed as Appeal in Process. Due to the sensitive nature of criminal conviction information, the National Background Check Program can only work with the applicant through this process. An applicant who has provided proof of their request for an appeal may remain employed by the provider during the process. However, applicants in this status are not authorized to have direct patient access until the appeal has been completed.

Any applicant found to have an abuse registry match must appeal with that registry board. Contact information is provided for these abuse registries in the KARES system and the applicant may contact them directly for the appeal process.

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The Appeal Process What types of appeals are there?

• Informal Review – an applicant believes the regulation was not applied correctly or information returned on their criminal history check was not correct.

• Rehabilitation Review – an applicant believes their disqualifying event should be waived because they have provided proof of their rehabilitation .

What type of offenses cannot be appealed? 1. A disqualifying offense that occurred less than seven years prior to the date of the criminal background check; 2. A criminal conviction related to abuse, neglect, or exploitation of an adult or child; 3. Registration as a sex offender under federal law or under the law of any state; or 4. A conviction for a violent crime.

Will the program notify the applicant? • The program will notify the applicant of their disqualification . • After a request for appeal has been received, the program will notify the applicant if additional information is

required to complete the appeal. • The program will notify the applicant if the appeal is denied or approved.

• Employers will also receive a notification upon approval due to the change in eligibility status. • The KARES system will display an “Appeals in Process” header during this time.

Applicant Timelines • The applicant has 14 days from the date of disqualification notice to submit their written request for

rehabilitation review. • Or, the applicant has 10 days to submit their written request for an informal review, challenging the accuracy of

the background check.

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The Appeal Process Continued

What if no appeal has been requested or the applicant has no intention of filing an appeal? • If a provisional employee will not file for an appeal, the employer shall terminate employment within 6 days of

notification of the disqualification. • Applicants who have been deemed Not Eligible and have not yet been employed should not be hired until they

have been granted a waiver through the appeal process.

What information should be returned for the rehabilitation review? 1. A written explanation of disqualifying offense, including:

a) A description of the events related to the disqualifying offense; b) The number of years since the occurrence of the disqualifying offense; c) The identification of any other individuals involved in the offense; d) The age of the offender at the time of the disqualifying offense; and e) Any other circumstances surrounding the offense;

2. Official documentation showing that all fines, including court-imposed fines or restitution, have been paid or documentation showing adherence to a payment schedule, if applicable;

3. The date probation or parole was satisfactorily completed, if applicable; and 4. Employment and character references, including any other evidence demonstrating the ability of the individual to

perform the employment responsibilities and duties competently.

Who reviews the appeal • Rehabilitation reviews are completed by a committee of three Cabinet members who were not associated with

making a not eligible determination. • This committee will review all information returned by the applicant and make a recommendation to waive the

disqualifying offense or uphold the Not Eligible determination. • Their recommendation is sent to the Cabinet Secretary for final approval.

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Services

Employment Status During the Appeal Process

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An employer may retain staff who have filed for an appeal with the following guidelines: 1. The employee shall be subject to direct, on-site supervision, or reassigned to duties that do

not involve one-on-one contact with a resident, patient, or client of the employer; 2. The employer shall inform the employee that termination shall be immediate if the

informal review upholds the cabinet’s determination regarding a disqualifying offense, or the employee does not prevail in a rehabilitation review;

3. The employer shall immediately terminate an employee if the informal review upholds the accuracy of the cabinet’s determination regarding a disqualifying offense or the employee does not prevail in a rehabilitation review; and

4. The employer shall update the employment status in the KARES system confirming the individual’s employment termination within three (3) business days of termination.

If an applicant is not satisfied with the outcome of either the rehabilitation review or informal review request, they may file for a formal hearing with the cabinet under KRS 13B. Nothing requires an employer to hire an individual if they have received an Eligible determination or waiver through the appeal process. This program facilitates the background check, but makes no requirements on who should be hired by an employer

General Policy & System Questions

Provisional hire - If a staff member or applicant has submitted to fingerprinting and they show as fingerprints taken in KARES,

provisional hire is optional and can be indicated in the KARES system. - Under the provisional hire status, a person can be hired for 60 days while the background check is in process. - During this time, they cannot have unsupervised access to a resident or vulnerable individual receiving care

from the employer.

Notification of disqualifying event - The National Background Check Program will notify each individual found to have a disqualifying event on their

criminal history check. The program will send the applicant a disqualification notice along with their appeal rights.

- Employers should also be notifying individuals of the disqualification within 3 business days. - Employers may keep a person on staff if that person provides verification they have filed for an appeal. During

the appeal process, an individual cannot have direct unsupervised access to a person receiving care. - If the appeal is denied the individual should be removed from direct patient care within 6 business days.

Forms that verify the background check has been completed • Final Registry Results form – is generated at the time the abuse registries are checked and marked Clear or Not

Clear by the employer. This will display a list of all abuse registries checked, any notations entered by the person who checked the registry, and the finding entered by the employer.

• Employment Authorization form – is generated when the application is initially entered and will change during the course of the background check. This form will indicate the Eligible or Not Eligible status once fitness determination is completed, or it will display an in process message until the check is completed. Generate updated versions of this form from the Person Summary Profile page.

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KARES Checks & BHDID Requirements

Will a KARES check meet the requirements for BHDID background checks? Yes. In August 2015 Commissioner Mary Reinle Begley address this issue with a memo to SCL agencies. This memo has been included as an optional download for meeting attendees. Until the National Background Check Program is able to fully implement “Rap Back”, agencies are still required to recheck 25% of staff annually. Once Rap Back is fully implemented, this process may change due to the continual assessment process of the Rap Back feature. To initiate a ‘new’ background check in the KARES system, navigate to the profile of your employee and click the “Add New Application” button located at the top of the profile. Initial applications in the KARES system were originally validated for a period of 24 months, however, any determinations entered are currently only valid for 6 a month period and will require a new fingerprint set at the time of annual renewal.

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Open Q & A

Conclusion