Federal and some State laws impose obligations on health care providers to investigate the background of potential employees and, in some cases, preclude providers from hiring individuals found to have committed certain offenses. It is the policy of [PROVIDER] to perform background checks of all employees to the fullest extent required and/or permitted by applicable State law and to retain on file applicable records of current employees regarding such investigations. [PROVIDER] also will make a reasonable and prudent effort to avoid submitting to government entities claims for products or services furnished by any individual excluded from contracting with the Federal government.
Note: Federal law requires that nursing facilities investigate the background of Certified Nurse Assistants (CNAs) seeking employment with the facility by checking with the State’s Nurse Assistant Registry. Likewise, laws in many States contain provisions requiring investigations into potential employees’ backgrounds. In addition, Federal law precludes providers from contracting with vendors, suppliers, and other health care providers that have been excluded from the Medicare and/or Medicaid program. These individuals/entities are listed on the Office of Inspector General (OIG) List of Excluded Individuals/Entities (LEIE) at http://oig.hhs.gov/fraud/exclusions/exclusions_list.asp and on the General Services Administration (GSA) Excluded Parties List System (EPLS) at https://www.epls.gov/.
Providers may want to include the following suggested elements as part of their corporate compliance policy:
At a minimum, [PROVIDER] will:
- Check with all State Nurse Assistant Registries [PROVIDER] has reason to believe contain information on an individual prior to using the individual as a nurse assistant; and
- Check with all applicable State licensing and certification authorities to ensure that employees hold the requisite license and/or certification status to perform their job functions.
[PROVIDER] will require that all potential employees certify as part of the employment application process that they:
- Have not been convicted of an offense or otherwise been found under applicable local, State, or Federal law to have committed an offense that would preclude employment in a nursing facility; and
- Have not been excluded from participation in any State or Federal health care program, including Medicaid and Medicare.
[PROVIDER] will check available public sources, including the OIG’s LEIE and the GSA’s EPLS, for potential employees whose activities would be recorded there and whose activities may preclude them from employment in a facility.
It is the ongoing and continuous obligation of all employees of [PROVIDER] to alert [PROVIDER’S] Human Resources Department of any conviction or finding that would disqualify them from continued employment with [PROVIDER] under State or Federal law.