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Protective Service Investigations & The Employee Disqualification List

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Presentation on theme: "Protective Service Investigations & The Employee Disqualification List"— Presentation transcript:

1 Protective Service Investigations & The Employee Disqualification List

2 Objectives Laws & State Regulations
Employee Disqualification List (EDL) Investigative Process

3 HISTORY 1984 Legislation established an EDL for those determined to have abused or neglected a facility resident 1989 misappropriation of funds or property was included 1992 extended to include in-home service employees and added graduated penalties 1994 further extended to include agencies licensed by Dept. of Health and Senior Services and all Medicaid providers. #3 Prior to this, providers couldn't hire anyone on the EDL, but in-home employees couldn't be added to the EDL. “graduated penalties”-- These legislative changes allowed the addition of a name to the EDL for a specified amount of time. Previously, someone was added it was for life. Focus of the EDL is the client, not punishing the AP. Criminal theories of retribution, rehabilitation or deterrence do not apply. The goal of the EDL is protection of the client.

4 The Laws and Regulations
We will briefly discuss 4 statutes that deal with reports on in-home clients/consumers, employment requirements/restrictions and the EDL. This is to provide you with a very basic understanding of the law.

5 Statute 660.300 Mandated Reporters Failure to Report Confidentiality
& = Abuse/Neglect of In-home Client by In-home Employee, Mandated Reporting Everyone here is a mandated reporter. Statute specifically requires a report to be made immediately. HANDOUT #1: This lists all mandated reporters under each statute =facility resident, =consumer, =Elder Abuse law, and =in home Failure to report is a Class A misdemeanor=up to one yr imprisonment / $1,000 fine. Let me add to this that if an employee is found guilty of abuse or neglect of an in-home client by a court, and the provider willfully and knowingly failed to report that abuse/neglect, then the provider may be subject to administrative penalties of $1000 per violation. Reports are not a matter of public record and reporter's name cannot be released except under certain circumstances prescribed by law such as with a court order. Reports not subject to the “sunshine” law either.

6 660.300 continued Reporter Immunity Prohibition of Retaliation
Penalties EDL Mandate Immune from any civil or criminal liability unless they acted negligently, in bad faith, or they have perpetrated the ANE. 5)Anyone in a position of authority within the agency cannot harass, dismiss or retaliate against someone who makes the report. 6)Anyone who abuses or neglects a client is subject to criminal prosecution under 565 – elder abuse law {in the 1st, 2nd, or 3rd degree. 1st- Class A felony (10-30 years), 2nd- Class B felony (5-15 years) or 3rd - Class A misdemeanor ($1000 / 1 yr)} 7) Directs the Dept. to maintain a disqualification list.

7 Statute 660.305 Misappropriation of property or funds
Falsification of documentation and both = Misappropriation/Falsification of In-home Client by In-home Employee Addresses the reporting of misappropriation of property or funds and falsification of service delivery documents of an in-home service client. There is no mandated reporting, BUT, the in-home standards 19 CSR (18)(R) state providers must “report all instances of potential abuse, neglect, exploitation of a client, or any combination of these to the division’s elder abuse hotline, including all instances which may involve an employee of the provider agency”. Also, if a provider fails to report falsification all the $$ can potentially be recouped.

8 Statute 660.315 Employment Prohibition Referral Process
Requests to Remove Name from EDL No charge for unemployment insurance benefits Prohibits employment of someone listed on the EDL for any position—not just direct client contact. Check the EDL before hiring and the quarterly updates. Establishes the process for referring someone to the EDL --- we will discuss this in-depth later. Remember prior to 1992, a person was placed on the EDL permanently. These requests must be written and submitted no more than 1x per year. There is no hearing, and the decision is not subject to appeal If an employer has to terminate an employee because the employee is placed on the EDL, the employer will not be charged for unemployment insurance benefits.

9 Statute 660.317 Family Care Safety Registry Criminal Background Check
Good Cause Waiver These are the 3 main areas covered in this statute. Since there is pertinent information in each area, we will discuss each one independently.

10 Quarterly & Annual EDL Updates
this website contains a secure link to the most recent EDL list. Providers can check the quarterly updates as well as the annual list. Each facility or agency may designate up to three staff members to receive access to the EDL systems. The Access Request Form (DDP-137) is to be completed by each staff member requesting access to the EDL systems. The website requires user name and password access to do an EDL search by an individual’s social security number. You must still do EDL checks by the website, telephone, or through the FCSR before hiring an individual. In contract to check quarterly/annually.

11 Family Care Safety Registry
gov/safety/fcsr/ Maintained by the Dept. The easiest way to complete all the checks required by statute. FCSR checks CBC, EDL… Penalty for employing someone who refuses to register or has a ‘hit’ on the FCSR is a Class A misdemeanor.

12 Family Care Safety Registry Checks:
State Criminal Background Records Maintained by the MO Highway Patrol , including Sex Offender Records Child Abuse / Neglect Records Maintained by the Children’s Division Division of Senior & Disability Services EDL Licensing Records Maintained by the DHSS of Childcare Facility, Residential Living Facilities, and Nursing Homes FSD Licensing Records of Foster Parent, Residential Care Facility & Child Placing Agencies Dept. of Mental Health's Employment Disqualification Registry #1- The criminal records maintained by the Highway Patrol now include all open criminal records. #2- Questions regarding info from the CAN registry can be directed to your local Children Division or their Central Office in Jeff at The system actually goes out and touches information from each of these registries; therefore, the information is the most current. If a request for a background check is phoned, faxed, or mailed and a “hit” is revealed, the employer can either make a request for detailed information or call FCSR. To avoid this, about half way down the The Employer Background Screening Request form is a place to indicate that specific information is being requested. Check the box and that will save a lot of time.

13 Website: safety/fcsr/
Registering: Website: safety/fcsr/ Phone: First, determine if the person is registered by…………………. 1) checking the FCSR website and clicking on “Is a Person Already Registered” and type in the SSN. (this link only tells if the person is registered….doesn’t provide background information) OR 2) calling the toll-free number. When necessary, you may obtain both the Worker Registration form and an Employer Background Screening Request form on this website. (HANDOUT #4)

14 Registering cont’d Online Mail Registration fees
NEW ONLINE REGISTRY: Can now register online at If the applicant registers online, the provider should be able to check complete the FCSR in 1-2 hours. If this doesn’t work for some reason like the applicant may have reversed s SSN number or the name was entered wrong, FCSR will go to the applicant for further information & not the employer. Mail- If the applicant is registering by mail, must complete the worker registration form and include current SS card. Results will be sent to the applicant at time of registration as well as notification of each future inquiry. Registration fee may be paid by employee or employer. FEE- $9 PLUS $1 processing fee… CREDIT CARD/DEBIT CARD

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