BACKGROUND STUDY PROCESSING

A Background Study Form that provides all of the information required to run a background study is completed by the person for whom the study is being completed on. This form is completed when a person is being considered for employment at Mains’l. A background study is then submitted after the person has accepted employment with Mains’l. The procedures that follow are outlined below and vary slightly based on state and program. 
Minnesota

1. Traditional Services Employees: The HR Coordinator or another designee processes all background studies and fingerprint receipts for traditional services. In the absence of the HR Coordinator, the HR Generalist is responsible for performing responsibilities related to background studies. 

• A study authorization form is completed by the potential new employee during or after an interview or meet and greet. 
• The HR Coordinator or another designee enters the background study information in the DHS system; NETStudy 2.0. 
• The HR Coordinator or another designee ensures they have provided the study subject with the Department of Human Services (DHS) privacy notice prior to initiating the background study, that the study subject has been informed when a study subject’s background study may be transferrable, and that a Mains’l designee has verified the study subject’s identity by viewing one of the Acceptable Forms of Identification to confirm that the information that will be provided in the background study application is correct. 
• The HR Coordinator or another designee selects a provider from the drop down menu to affiliate the study subject with the appropriate entity. 
• Once all information has been entered (first name, last name, date of birth and social security number), the HR Coordinator or another designee will initiate the study and complete payment.
• The HR Coordinator or another designee will then fill in the applicant’s personal information (first name, middle name, last name, date of birth, address, race, sex, eye color, hair color, height, weight, place of birth, aliases and prior out of state addresses within the past 5 years). The personal descriptive information is required by the Minnesota Bureau of Criminal Apprehension (BCA) and Federal Bureau of Investigation (FBI) to conduct fingerprint-based criminal record checks. 
• Once completed NETStudy 2.0 will perform an automatic search of the Minnesota Nurse Aide Registry (NAR), the Minnesota Exclusion List, and the Federal Office of Inspector General List of Excluded Individuals and Entities (LEIE) to determine if there are potential matches to the background study subject in these databases. In addition, if the study subject has lived in any state other than Minnesota within the last five years and this information was recorded on the profile page, the system will provide links for any known professional licensing databases for those states. These registries are not required for the background study to be completed and the searches are manual.
  • In the event that there is a potential match to an individual on the Federal Exclusion List, the Minnesota Exclusion List, or the Minnesota Nurse Aide Registry, there will be a blue hyperlink in the Research Requirements column advising the user of a possible match.
  • It is the provider’s responsibility to determine whether the information is a match and if so, whether it affects the hiring decision. A match on one of these registries may not cause a background study disqualification. 
  • NOTE: NETStudy 2.0 performs automatic rap back-like searches on the federal List of Excluded Individuals and Entities (LEIE), the Minnesota DHS list of Excluded Individuals, and the Minnesota Nurse Aide Registry. As stated above, the information is only valid if accurate and complete identifying information was provided for the background study, including SSN, date of birth, and correct spelling of names.
• Based off of the results from the search of the applicant’s name on the Federal Exclusion List, the Minnesota Exclusion List, or the Minnesota Nurse Aide Registry, the study will continue.
  • A background study does not begin processing until the applicant is fingerprinted and photographed at a DHS authorized fingerprint and photo service location.
• The HR Coordinator or another designee will provide a copy of the Fingerprint Authorization form and receipt of payment for the fingerprints to the study subject. Background study subjects must show the fingerprint and photo technician a copy of the Fingerprint Authorization form prior to being fingerprinted. Study subjects may show a paper copy of the form or an electronic copy on a mobile device.
• Once the background study subject has gone to the designated fingerprint and photo location to get their fingerprints completed, the supervisor of the study subject will be contacted to schedule onboarding.
• Once the study subject is fingerprinted and photographed, DHS will notify the study subject and the program if the study subject must remain supervised while the background study is being completed, or if the study subject may provide unsupervised services.
• A Supervision Required status of:
  • “No”- means that the study subject does not require supervision while the determination is in process.
  • “Yes”- means that the study subject requires supervision while the determination is in process.
  • “Remove”- means that the study subject must be immediately removed from any position that provides direct contact services.
• The HR Coordinator or another designee will receive notification from DHS in regards to the study subject’s status throughout this time
  • For applicants with a status of Eligible: the study subject has cleared the background study.
  • For applicants with a status of disqualified: the applicant may request reconsideration. Mains’l will not continue to employ anyone that has been disqualified. 
• The HR Coordinator or another designee will contact the supervisor and let them know of the study subject’s status:
  • Study subject has passed and doesn’t require supervision at this time.
  • More time is needed to complete the background study and the entity may choose whether to allow the subject to work or volunteer while the background study is being completed. The entity is not required to provide continuous direct supervision.
  • More time is needed to complete the background study and the entity may choose whether to allow the subject to work. The subject must be under continuous direct supervision. 
  • For applicants with a status of disqualified: the applicant may request reconsideration. Mains’l will not continue to employ anyone that has been disqualified. 
• The HR Coordinator or another designee will close the study subject’s profile on NetStudy 2.0 once the subject’s status has been finalized. This will then add the study subject to the affiliated roster.
• The HR Coordinator or another designee will enter the date of clearance in ISS (ProviderPro).

2.    Participant Directed Employees: The director of participant directed services or the participant directed services (PDS) manager processes all background studies and fingerprint receipts for participant directed services. 

• Study authorization forms are completed by the new employee as part of their hiring packet given to them by their managing party.
• The PDS manager or director enters the background study information in the DHS system; NETStudy 2.0. 
• The study subject is provided with the Department of Human Services (DHS) privacy notice prior as part of their hiring packet, which includes information about when a study subject’s background study may be transferrable. The PDS manager or director verifies the study subject’s identity by viewing one of the Acceptable Forms of Identification to confirm that the information that will be provided in the background study application is correct. 
• The PDS manager or director selects the Fiscal Support Entity provider from the drop down menu to affiliate the study subject with the appropriate entity. 
• Once all information has been entered (first name, last name, date of birth and social security number), the PDS manager or director will initiate the study and complete payment.
• The PDS manager or director will then fill in the applicant’s personal information (first name, middle name, last name, date of birth, address, race, sex, eye color, hair color, height, weight, place of birth, aliases and prior out of state addresses within the past 5 years). The personal descriptive information is required by the Minnesota Bureau of Criminal Apprehension (BCA) and Federal Bureau of Investigation (FBI) to conduct fingerprint-based criminal record checks. 
• Once completed NETStudy 2.0 will perform an automatic search of the Minnesota Nurse Aide Registry (NAR), the Minnesota Exclusion List, and the Federal Office of Inspector General List of Excluded Individuals and Entities (LEIE) to determine if there are potential matches to the background study subject in these databases. In addition, if the study subject has lived in any state other than Minnesota within the last five years and this information was recorded on the profile page, the system will provide links for any known professional licensing databases for those states. These registries are not required for the background study to be completed and the searches are manual.
  • In the event that there is a potential match to an individual on the Federal Exclusion List, the Minnesota Exclusion List, or the Minnesota Nurse Aide Registry, there will be a blue hyperlink in the Research Requirements column advising the user of a possible match.
  • It is the provider’s responsibility to determine whether the information is a match and if so, whether it affects the hiring decision. A match on one of these registries may not cause a background study disqualification.
  • NOTE: NETStudy 2.0 performs automatic rap back-like searches on the federal List of Excluded Individuals and Entities (LEIE), the Minnesota DHS list of Excluded Individuals, and the Minnesota Nurse Aide Registry. As stated above, the information is only valid if accurate and complete identifying information was provided for the background study, including SSN, date of birth, and correct spelling of names.
• Based off of the results from the search of the applicant’s name on the Federal Exclusion List, the Minnesota Exclusion List, or the Minnesota Nurse Aide Registry, the study will continue.
  • A background study does not begin processing until the applicant is fingerprinted and photographed at a DHS authorized fingerprint and photo service location.
• The PDS manager or director will provide a copy of the Fingerprint Authorization form and receipt of payment for the fingerprints to the study subject. Background study subjects must show the fingerprint and photo technician a copy of the Fingerprint Authorization form prior to being fingerprinted. Study subjects may show a paper copy of the form or an electronic copy on a mobile device.
• Once the study subject is fingerprinted and photographed, DHS will notify the study subject and the program if the study subject must remain supervised while the background study is being completed, or if the study subject may provide unsupervised services. The PDS manager or director will receive notification updates from DHS throughout this process. The PDS manager or director will notify the employee and managing party when an employee may begin working or at any time if they must be removed or are disqualified. 
  • For study subjects with a status of Eligible: the study subject has cleared the background study and may begin working.
  • For study subjects with a status of disqualified: the applicant may request reconsideration. Mains’l will not continue to employ anyone that has been disqualified. Person may not work unless a disqualification has been set aside.
• A Supervision Required status of:
  • “No”- means that the study subject does not require supervision while the determination is in process and may begin working. 
  • “Yes”- means that the study subject requires supervision while the determination is in process and is not eligible to begin working.
  • “Remove”- means that the study subject must be immediately removed from any position that provides direct contact services.
• The PDS manager or director will contact the managing party and employee to let them know of the study subject’s status:
  • More time is needed to complete the background study and the entity may choose whether to allow the subject to work or volunteer while the background study is being completed. The entity is not required to provide continuous direct supervision. This person may begin working. 
  • More time is needed to complete the background study and the entity may choose whether to allow the subject to work. The subject must be under continuous direct supervision. This person may not begin working. 
  • For applicants with a status of disqualified: the applicant may request reconsideration. Mains’l will not continue to employ anyone that has been disqualified. 
• The PDS manager or director will close the study subject’s profile on NetStudy 2.0 once the subject’s status has been finalized. This will then add the study subject to the affiliated roster.
• The PDS manager or director will enter the date of clearance in the PDS background study tracking document.

Name Changes in Minnesota 
If an employee has gone through a name change, the employee is responsible for notifying Mains’l by completing an Employee Information Change Form and presenting necessary documents to show legal proof of change their name. 

The agency’s Sensitive Information Person and those with the Administrative Rights role have the ability to edit data in NETStudy 2.0. 

When an update is made to the last name or date of birth of the background study after the background study is submitted, whether the update is due to an error or a legal name change, the Background Study Profile Update Request must be submitted to DHS. The agency’s Sensitive Information Person or those with the Administrative Rights role are responsible for submitting the Background Study Profile Update Request. 

California

1. Traditional Services Employees: The HR generalist will process a pre-employment live scan fingerprinting for traditional licensed and non-licensed services. Background Studies for traditional services will be completed by the prospective employee immediately following the contingent job offer. 

• Once the live scan fingerprinting is conducted, the prospective employee will return the live scan form record to the HR generalist or designated representative.
• The live scan determination with be sent electronically to Mains’l via a SMSS electronic mailbox or posted on the licensure live scan fingerprint clearance website.
• A Criminal Background Clearance Transfer Request can be submitted for licensed facilities and substituted for a new live scan fingerprinting where applicable. The prospective employee must be active and clear in the licensing fingerprint system for the transfer to be possible. 
• Company policy is that all background studies are subjected to the Department of Social Services list of Non-Exemptible Crimes.
• The HR generalist or their designee will attach the original background study determination to the submission verification and file/scan into the personnel file.
• In the absence of the Generalist, another HR representative will be responsible for processing background studies and Criminal Background Clearance Transfer Requests.
• If clarification is needed regarding the background study process, the Human Resources Director will be responsible for interpreting this process.

2.    Consumer Directed Employees: Background checks for consumer directed programs are not required in California.