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Navigating the Compliance Maze. Best Practices for an Efficient, Compliant, and Comprehensive Background Screening Program. Laura Randazzo Vice President of Services Accurate Background, Inc. 7.14.09. Agenda. Topics to Be Covered Navigating the Compliance Maze

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Navigating the

Compliance Maze

Best Practices for an Efficient, Compliant, and Comprehensive Background Screening Program

Laura Randazzo

Vice President of Services

Accurate Background, Inc.

7.14.09


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Agenda

  • Topics to Be Covered

  • Navigating the Compliance Maze

    • The Ins and Outs of Federal (FCRA) Compliance

    • Understanding the Various State Regulations

    • Healthcare Industry-Specific Rules and Regulations

  • Know What Works...and What Doesn’t Work

    • Did You Know? Dispelling the Common Myths

    • Healthcare Industry Services

    • Best Practices for Your Healthcare Organization

    • How Today’s Technology Drives an Efficient & Comprehensive Screening Program


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • Did you know?

  • Any organization that conducts background screening through a third-party Consumer Reporting Agency (CRA) such as Accurate Background must be compliant with the FCRA.

  • The FCRA applies to all employment screening, not just checks which include credit reports.

  • An employer must always disclose and obtain written authorization prior to the employment screening (unless it is a case of suspected wrong doing).


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • Preparing for FCRA Requirements

    • Consult with your legal team and create a policy surrounding your

    • background screening program.

      • What’s acceptable on a background report vs. what’s not acceptable, pre-offer vs. post-offer screening steps, what level of background check is required for each job position, etc.

    • Your background screening provider should educate you on all the

    • steps required under the FCRA as well as provide you with the

    • required documents.


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • What documents should you have on file to be compliant with the FCRA?

    • Initial Notice (optional)

    • Disclosure & Authorization Form

    • Summary of Consumer Rights Under the FCRA

    • Pre-Adverse Action Notification

    • Adverse Action Notification

    • Remedying the Effects of Identity Theft

    • Subject Notification (CA, OK, MN, NY)


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • The FCRA – Step by Step Requirements

    • Permissible Purpose

      • To start, your organization must have a “Permissible Purpose” for running the background check as defined under Section 604 of the FCRA. The defined permissible purposes include, but are not limited to, employment purposes.

    • The Federal Trade Commission (FTC) can enforce fines of up to

    • $2500 PER violation and up to 2 years in jail.

  • (Consumer Financial Protection Agency)


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • The FCRA – Step by Step Requirements

    • Disclosure & Authorization Form(Required)

      • The documentation used to obtain the

      • applicant’s signed authorization for the background check (separate from the job application).

  • This step is required before initiating a background check on any individual.

  • Regardless of your hiring decision, this form should be kept on file for a minimum of 5 years as allowed under the federal statute of limitations for civil filings of non-compliance.

  • The applicant must receive the following documents before a background check can be conducted:

  • Background Disclosure and Authorization (“D&A”) form (signed by applicant)

  • Summary of Consumer Rights Under the FCRA


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • The FCRA – Step by Step Requirements

    Please note: If employment is denied (in whole or in part) based on the

    results of the background check, the following step is required:

    • Pre-Adverse Action Notificationmust contain

    • (Required):

  • CRA (Consumer Reporting Agency) contact info

  • Copy of the completed background report

  • Summary of Consumer Rights Under the FCRA

  • “Reasonable” Time to dispute findings


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • The FCRA – Step by Step Requirements

    Please note: If employment is denied (in whole or in part) based on the results of the

    background check, the following step is required:

    • Adverse Action Notification (Required)

  • Following the Pre-Adverse Action notification, an Adverse Action notification must be sent and contain:

  • Name & address of CRA that provided the report

  • Disclosure that the final decision to deny employment was based on the results of the background check

  • Statement that the CRA did not make the decision to take adverse action & that the CRA cannot provide explanation as to why adverse action was taken


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • Purpose of Pre-Adverse and Adverse Action Notifications

    • Gives the applicant the opportunity to dispute information provided in their report that they believe is erroneous.

      • These steps were designed to protect applicants from mistakes stemming from human error, mistaken identity, outdated information, etc.

    • Both of these notifications must include contact information for your background screening provider in the event the applicant is disputing the information.


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • Applicant Dispute Process

    • Verify applicant/employee’s personal information to ensure it is the

    • same person

    • The CRA must reinvestigate the information free of charge

    • The CRA must complete the reinvestigation of the information within

    • 30 days of the initiation of the dispute

    • CRA shall provide results of the dispute to the applicant/employee

    • and client organization no later than 5 business days after

    • completing the reinvestigation


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • Remedying the Effects of Identity Theft

    • Under the FACT Act, if an applicant or employee expresses any concern they may be a victim of identity theft, the background screening provider and/or your organization must provide them with this document.


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • FCRA Requirements for Information Contained In Background Reports

    • Past criminal convictions can be reported indefinitely under FCRA rules

      • Includes both misdemeanor and felony convictions

      • Often preempted by state regulations

    • Most other adverse information cannot be reported if it is older than 7 years

      • Examples: Civil judgments, arrest records, collection history, paid tax liens

      • Exception: Annual salary of $75,000 or more

    • Must be proven as accurate and current (Section 603[d][3]):

      • “a consumer reporting agency shall not furnish an investigative consumer report”...”unless the agency has verified the accuracy of the information during the 30-day period ending on the date on which the report is furnished.”


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Navigating the Compliance Maze

  • The Ins and Outs of Federal (FCRA) Compliance

  • Summary of FCRA Steps

    Every organization must have a “Permissible Purpose” under the FCRA (i.e. employment screening, tenant screening, loan processing, etc.


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Navigating the Compliance Maze

  • State Compliance Rules and Regulations

  • Understanding the Various State Regulations

    • Several states have enacted their own version of the FCRA regulations – here are a few examples:

      • California has the Investigative Consumer Reporting Act (ICRA)

      • Kansas ($20,000), Colorado ($75,000), Texas ($75,000), New York ($25,000) and Washington ($20,000) are among the states that limit the scope of the background investigation based on the applicant’s annual salary

      • New York has separate notification requirements if a criminal (negative) information is found in the investigation (regardless of the hiring decision)

    • Subject Notification Letter

      • This notification allows the applicant/employee to request a copy of their completed background report - required in California, Oklahoma and Minnesota. 


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Compliance by Industry

  • Industry-specific Rules and Regulations

  • Healthcare Industry Regulations/Recommendations (JCAHO)

  • Joint Commission on the Accreditation of Healthcare Organizations

  • (JCAHO)

  • Before a background check including criminal history is conducted

  • Requires criminal history checks be performed on all individuals with

  • an opportunity for patient interaction at any of the JCAHO accredited

  • healthcare organizations

  • Requirements vary by state – important to check with legal counsel for

  • state-specific regulations

  • The scope of JCAHO’s requirements are based on state law

  • EX. If the state law requires background checks on employees,

  • students and volunteers - JCAHO requires the same

  • If no state law exists requiring criminal history checks, the organization

  • must apply their own internal screening policy and JCAHO will

  • evaluate the policy for compliance

  • For more information, visit this website: www.jointcommission.org


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Compliance by Industry

  • Industry-specific Rules and Regulations

  • Healthcare Industry Regulations/Recommendations (Licensing)

  • Compliance varies by state

    • For example:

      • Maine – Certain convictions within last 10 years

      • Virginia – Fingerprinting

      • Pennsylvania – Fingerprinting; Abuse Registry for care of those under 18

      • Delaware – Abuse Registry, Fingerprinting

      • Illinois – Fingerprinting, Abuse Registry, Sex Offenders, OIG, Department of Corrections

      • Washington – Washington State Patrol Check

      • Tennessee – Tennessee Probation & Parole Registry, Tennessee Felony Offender List


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Know What Works...And What Doesn't Work

  • Healthcare Industry Services

  • What doesn’t work? ...Meet Jane:

    • Jane Doe graduated and got her nursing license at a small college in New York. She shows you a copy of her transcript.

    • Jane lived in that community for seven years and worked at a small grocery store part-time that is now out of business. She provides a name and number of the owner of the store.

    • Jane also worked at a department store.

    • Jane still lives in New York but plans on moving as soon as she receives a position.

    • Jane indicates she has no past criminal convictions.


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Know What Works...And What Doesn't Work

  • Healthcare Industry Services

  • What does work? ...Recommendations for a comprehensive background check

    • National SSN/Address Locator

    • National Criminal Database Search

    • County Criminal Search

    • Education Verification

    • Employment Verification

    • Professional License Verification

    • Fraud and Abuse Control Information System (FACIS)


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Know What Works...And What Doesn't Work

  • Healthcare Industry Services

  • What does work? ...Information provided through a comprehensive background search based on industry best practice guidelines

    • National SSN/Address Locator

      • Jane has not been completely honest about where she has resided in the last seven years. She also lived in King County, WA.

  • National Criminal Database

    • Jane was arrested for battery in Florida 2 years ago and the arrest record was the only thing reported.

    • County Criminal Search

      • Jane was convicted of misdemeanor check fraud in King County, WA.

      • Jane was convicted for felony theft in King County, WA. 

      • It was confirmed that the pending case reported on the National Criminal Database resulted in a conviction for felony battery in Florida.


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Know What Works...And What Doesn't Work

  • Healthcare Industry Services

  • What does work? (Continued)

  • Education Verification

    • Jane did attend college in New York and graduated as she stated.

  • Employment Verifications

    • Jane did work at the department store while she was in college but was let go for employee theft.

    • The grocery store Jane claimed to work at doesn’t exist.

  • Professional License Verification

    • Discovered Jane’s license has expired.

  • FACIS Search

    • Discovered there are no sanctions against Jane.


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    Know What Works...And What Doesn't Work

    • Healthcare Industry Services

    • What doesn’t work? ...Information provided solely through a National Criminal Database Search

    • National Criminal Database Search

      • Jane was arrested for theft in Florida 2 years ago and the arrest record was the only thing reported.

        • All criminal history information provided by the National Criminal Database Search must be re-verified by your background screening provider through the originating source of the information


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    Know What Works...And What Doesn't Work

    • Healthcare Industry Services

    • To summarize - In using a comprehensive combination of background screening products, it was discovered that the following information was not made available in the job application/interview process:

    • In addition to living in New York for college, Jane lived in Seattle for two years after high school.

    • The grocery store Jane listed as a place of employment did not actually exist.

    • Jane was fired from the department store she worked at for employee theft.

    • Jane has three convictions for crimes that were not disclosed on her job application.


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    Know What Works...And What Doesn't Work

    • Did You Know? Dispelling the Common Myths

      • State law in many cases overridesFederal FCRA rules

      • There is not a true, complete “nationwide” criminal search

      • Processing employment credit reports doesnotaffect a person’s credit score

      • Running a National SSN/Address Locator Search will give you an

      • independentdetermination of where an applicant has lived

      • According to recent statistics, 45% of job applicants falsify their education or employment history

      • Organization’s not doing background checks are not the only entities at risk for a negligent hiring lawsuit – those not doing enough are also at risk

      • Negligent hiring lawsuits do not only stem from violent acts committed by an employee with a criminal history – Negligent hiring lawsuits for theft is as prevalent


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    Know What Works...And What Doesn't Work

    • Healthcare Industry Services

    • Look for a provider that offers a variety of comprehensive screening services to the healthcare industry. Here are just a few:


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    Know What Works...And What Doesn't Work

    • Healthcare Industry Services

    • As a trusted partner to healthcare entities nationwide, we offer a variety of services specific to your industry:

    • FACIS® Searches for Sanctions or Exclusions

    • Information drawn from over 800 government agencies

    • Over 550,000 records of sanctioned healthcare providers

    • Officer of Inspector General Exclusion List (OIG)

    • Discovers whether or not your applicant has been excluded from participating in federally-funded healthcare programs.

    • Government Services Agency Exclusion List (GSA)

    • Provides information regarding individuals and entities that are debarred, suspended, excluded, or disqualified from receiving Federal contracts, subcontracts, and certain Federal assistance and benefits.  

    • Professional License Verification

    • Confirms that your applicant is fully licensed in their field (ex. medical practitioners, nurses, etc.) by contacting the issuing state authority to verify license status. When available, date of issuance and expiration will also be provided along with any disciplinary action on file.


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    Know What Works...And What Doesn't Work

    • Healthcare Industry Services (Continued)

    • As a trusted partner to healthcare entities nationwide, we offer a variety of services specific to your industry:

    • National Practitioner Data Bank Search (NPDB)

    • Provides information regarding the professional credentials of healthcare practitioners (dentists, physicians, etc.) such as the the current licensure and any past or pending actions taken against the applicant by the Boards of Medical Examiners, professional society memberships, medical malpractice payment history, adverse action history on clinical privileges

    • DEA Active Controlled Substances Act (CSA) Registrants Database

      • Verifies that a practitioner is registered to prescribe and handle controlled substances.

    • Nurse Aide Registry Check

    • Most states require for many, if not all, healthcare and education entities that employ nurse aides.

    • Child Abuse Registry Search

    • Most states require this type of search on school and healthcare employees who will have access to children.


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    Know What Works...And What Doesn't Work

    • Healthcare Industry Services (Continued)

    • As a trusted partner to healthcare entities nationwide, we offer a variety of services specific to your industry:

    • Healthcare Integrity and Protection Data Bank (HIPDB)

      • Provides information regarding past actions related to fraud and abuse brought against healthcare practitioners, providers, and suppliers.

    • Food and Drug Administration (FDA) Debarment List

      • Provides information regarding individuals and businesses that have been banned from the drug industry.

    • FDA Disqualified / Restricted / Assurances List for Clinical Investigators

      • Reveals information regarding clinical researchers who have been disqualified or restricted from scientific studies designed to develop evidence supporting the safety and effectiveness of investigational drugs, biological products, and medical devices.

      • Also includes a list of clinical researchers who have provided adequate assurances to the FDA of their future compliance with regulations surrounding investigational drugs and biological products.


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    Know What Works...And What Doesn't Work

    • Healthcare Industry Services (Continued)

    • As a trusted partner to healthcare entities nationwide, we offer a variety of services specific to your industry:

    • AMA Physician Profile

      • Confirms physician privileges and credentials using a comprehensive collection of data from the following sources:

        • Medical School Education

        • Graduate Medical Education

        • American Board of Medical Specialties (ABMS®) Specialty Board Certification

        • State Licensure

        • DEA Registration


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    Know What Works...And What Doesn't Work

    • Healthcare Industry Services (Continued)

    • As a trusted partner to healthcare entities nationwide, we offer a variety of services specific to your industry:

    • Healthcare Credential Monitoring

    • Initial license/accreditation/certification searches for practitioners performed as part of pre-hire background check

    • Post-hire online credentialing system available for tracking:

      • Applications for appointments to facilities, step by step tracking and requirement lists configurable by job title

      • Full practitioner profiles, including credentials, practice and privilege information

      • Facility/practitioner association and services offered by each facility

      • Scheduled credentialing sweep results per region and per practitioner

      • Non-employee privilege application tracking

      • Full top-level credentialing dashboard, including charts

    • Active practitioner and facility database updatable by client users

    • Email notification of upcoming expiring credentials or end-of-appointment dates


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    Know What Works...And What Doesn't Work

    • Best Practices for Your Healthcare Organization

    • Consult with your legal counsel to develop a policy

    • Must have consent

    • Follow guidelines of FCRA

    • Cannot discriminate

    • Related to the job

    • Within reasonable scope

    • Consistency


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    Know What Works...And What Doesn't Work

    • How Today’s Technology Drives and Efficient & Comprehensive Screening Program

    • Benefits of an integration between Accurate Background & iCIMS

    • The integration with Accurate Background provides increased hiring efficiency to the iCIMS customer.

    • Employers are able to request and retrieve background screening reports without ever leaving the iCIMS Platform.

    • Each integration is customized based on your organization’s specific needs.

    • Comprehensive screening programs made up of services packaged specifically to meet the legal compliance requirements of the healthcare industry.

    • iCIMS clients are able to compile background screening packages and set up adjudication requirements based on their hiring guidelines and individual job positions.

    • Your recruiters are only able to choose from certain background screening packages for a given job position and are provided with a hiring recommendation based on your organization’s hiring guidelines:

      • Eliminating the possibility of individual bias in the hiring decision and;

      • Ensuring consistent hiring practices throughout your organization.


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    Thank You

    Laura Randazzo

    Vice President of Services

    Accurate Background, Inc.

    [email protected]

    949.609.2238

    • For more information about Accurate Background, contact 888.784.3919 or [email protected]


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