Employee and Contractor Background Check Process

Employee and Contractor Background Check Process

Entities must complete background checks for all employees and contractors meeting the definition of a "caregiver" under Wis. Stat. § 50.065(1)(ag)1. These caregiver background checks are required at the time of hire and at least every four years thereafter.

What is a "Caregiver?"

A caregiver is a person who is, or is expected to be, an employee or contractor of an entity, who is or is expected to be under the control of an entity, as defined by the department by rule, and who has, or is expected to have, regular, direct contact with clients of the entity.

"Direct contact" means face-to-face physical proximity to a client that affords the opportunity to commit abuse or neglect of a client or to misappropriate the property of a client.

Obtaining a Caregiver Background Check

Entities must obtain a caregiver background check for their employees and contractors through the Wisconsin Department of Justice (DOJ) WORCS system:

 

Employees or contractors who select "no" for every question on the Background Information Disclosure (BID), F-82064 may work up to 60 days under supervision while the entity completes the caregiver background check process.

Keep on File

Entities that are regulated by the Division of Quality Assurance (DQA) are required to keep the complete caregiver background check documents on file for each employee or contractor meeting the definition of a caregiver. These documents may be reviewed by DQA to verify compliance with background check requirements during the course of a survey. Employers are encouraged to regularly check the Monthly Additions to Misconduct Registry to ensure current or recently hired employees have not been added to the misconduct registry.

Entities may contract out the background check process for employees and contracted employees to another party such as a staffing agency, technical college, or background check service, but the entity is ultimately responsible for the completion and accuracy of the background check process. The entity must retain on file a written agreement allowing the party to retain all required background check information. The caregiver background check information that must be obtained by the party must at a minimum include a complete caregiver background check. Entities are required to provide background checks to authorized DQA staff when requested even if the results are kept on file with the other party per the written agreement.

Note: Please do not submit forms for employees or contractors to the Division of Quality Assurance (DQA).

A complete caregiver background check consists of the following documents:

1. A completed Background Information Disclosure (BID), F-82064.
2. Results of a Wisconsin Caregiver Background Check from the Wisconsin Department of Justice which includes the following:
   1. A response from the Department of Justice (DOJ) Wisconsin Criminal History Record Request, either a "no record found" response or a criminal record transcript that is obtained when requesting a caregiver background check from DOJ.
   2. A "Response to Caregiver Background Check" letter that reports the person’s administrative finding or licensing restriction status that is obtained when requesting a caregiver background check from DOJ.
3. Other documentation that must be obtained by the entity when information is needed to complete the background check, such as other state’s conviction records, military discharge papers, arrest and conviction disposition information from local clerks of courts or tribal courts, etc.

Obtaining Additional Information

Entities that are regulated by DQA are required to obtain additional information when conducting a caregiver background check for employees or contractors when additional information is needed. Information may include the following:

• Court documents for past convictions or pending charges
• Out-of-state background check results
• Military discharge documents

Entities must obtain the final disposition for any offenses or convictions that have not been conclusively adjudicated. Entities must also contact the appropriate County Clerk of Court to obtain a judgment of conviction and criminal complaint related to any crime that is disclosed on a BID form but which does not appear on the DOJ Criminal History Report.

Entities must obtain criminal history background checks from other states when the employee or contractor has lived outside the state of Wisconsin within the last three years. DQA recommends that entities that must obtain background checks from other states conducts a web search for the agency responsible for conducting criminal history searches in that state.

Entities must obtain a copy of the DD-214, Certificate of Release or Discharge from Active Duty forms when the employee or contractor has been discharged from military service within the last three years.

Reviewing Background Check Results

Entities must review caregiver background check results to identify any offenses or convictions that may affect the employee or contractor’s eligibility for employment as a caregiver. Please review the Wisconsin Caregiver Program: Offenses Affecting Caregiver Eligibility for Chapter 50 Programs, P-00274 (PDF).

Note: Individuals with offenses affecting eligibility for employment with an entity may seek Wisconsin Caregiver Program: Rehabilitation Review Process, P-63160 (PDF).

More information about findings, convictions, and limitations can be found in chapter 4 of the Wisconsin Caregiver Program Manual, P-00038 (PDF).

Resources for Reviewing Employee and Contractor Background Checks

The following resource links can be used when reviewing a caregiver background check in addition to the caregiver background check results from DOJ.

• Wisconsin Nurse Aide and Misconduct Registry
• Monthly Additions to Misconduct Registry
• U.S. Department of Health and Human Services, Office of Inspector General, Exclusion Database
• Wisconsin Circuit Court Access
• Wisconsin Department of Safety and Professional Services, (DSPS), Credential/License Search
• Wisconsin Department of Workforce Development (DWD), Arrest and Conviction Record

Additional Information

Additional information about employee and contractor background checks can be found in chapters 1 and 2 of the Wisconsin Caregiver Program Manual, P-00038 (PDF).

If you have questions about the employee and contractor background check process, please email the Office of Caregiver Quality.