SCL Questions and Answers

Questions Related to Staff/Personnel

How is it that all of a sudden on a Personnel Checklist it states now that providers have to do the SAM and LEIE exclusion checks. This is not in regulation, so how can something like this occur without even notifying providers, and most providers still are not even aware of this?

If this is a new requirement, although not in regulation, when is it effective? If not in regulation, how and when will providers be held responsible for something that has just appeared in a personnel checklist?

Updated personnel checklist forms indicate two additional personnel screenings not designated in regulation or the policy manual, namely the SAM and LEIE exclusion checks. Providers have not been informed how to review these nor that were they to be initiated at any time over the previous year.

The SAM exclusion check is a check for business entities and does not appear to be a check of potential staff members. What is the purpose of this and why would it need to be done for each new hire?

How do we prove that we did a SAM check since there is no printout?

Medicaid states that LEIE and SAM be checked every month for every employee and provider. Rather onerous. Is there a way to require those checks initially and 25 percent yearly like other checks?
The newly revised version of the personnel checklist no longer includes the SAM and LEIE requirements. These are required by Medicaid but are separate from the SCL regulations.

Questions pertaining to this should be addressed to Medicaid. The Medicaid requirements can be found at the "Kentucky Medicaid Provider Terminated and Excluded Provider List" link in Related Links.
We have had recent questions about whether applicants for employment or employees may be required to bear the cost of pre-employment background checks.
The Kentucky Labor Cabinet is quite adamant that this is not permitted. The Labor Cabinet has consistently interpreted KRS 336.220 to prohibit an employer/potential employer from passing to the employee/applicant the cost of furnishing any records required by the employer as a condition of employment. This includes background checks, drug screening, etc.
For an Ohio employee, we must obtain a Central Registry check from the state. However, state law requires that those checks only be provided to third-party agencies for adoption, foster care or for child care agencies. I have sent two requests, and the second one with a self-addressed stamped envelope, to the employee’s home and have not received it back yet.

What are our options when we have obtained an Ohio criminal check and Ohio OIG check and Ohio Nurse Aid Registry check? Do I not hire staff from Ohio and must I terminate my two Ohio employees?
If the agency can show that the state in question will not provide the information, then the agency will not be penalized.

A number of states will not provide a CAN check and/or a Central Registry Check. Each state must follow its own policies, procedures and statues. When this situation arises, we have asked the SCL provider to document its attempt to obtain the background check in the employee's personnel record in lieu of the out-of-state check.

Documentation may include but is not limited to: email or snail mail correspondence with governmental officials of the other state; information printed from the other state's website, or a screenshot of the other state's website. As long as a provider can produce documentation that it has unsuccessfully attempted to obtain the out-of-state check, DDID will accept the documentation in place of the out-of-state check.
Is there a time frame for new hire out-of-state background checks (case managers and employees)?
Out-of-state background checks must be completed within the same time frames as in-state (Kentucky) background checks. This can be found in regulation 907 KAR 12:010 3(3) (x) 1-3 (see "907 KAR 12:010" in Related Links). Please also reference the question in this section regarding required documentation when another state's policy prevents the completion of out-of-state background checks.
Is the training for employees under SCL2 applicable for natural supports as well?
Personnel and training requirements listed in Section 3 of the SCL regulation 907 KAR 12:010 (see Related Links) apply to agency employees and volunteers, not natural supports. If a person-centered team determines that training for friends, acquaintances or co-workers who are providing natural supports is needed, the person-centered team should develop Natural Support Training in accordance with the SCL regulation, 907 KAR 12:010 Section 4(12)(a)1-9 (see Related Links).

This is a billable service; specific details of the payment limit can be found in the SCL Payment Regulation, 907 KAR 12:020 Section 3(11) (see Related Links).
People have had many counselors who fit into the LPCA certification and are no longer able to receive services from those clinicians not having their LPCC certification. Is there a possibility to grandfather some of those providers in?
No, a Licensed Professional Counselor Associate (LPCA) cannot provide Consultative Clinical and Therapeutic Services other than as a Positive Behavior Support Specialist. The SCL2 regulation includes a specific listing of acceptable credentials; LPCA is not included. In fact, an LPCA may be operating outside his or her scope of practice in providing Psychological Services under SCL1. An LPCA must work under clinical supervision and cannot administer psychological testing, evaluation, diagnosis or treatment.

Related Regulations

SCL1: See "907 KAR 1:145" in Related Links.

Section 4. Non-CDO Covered Services
  • Psychological services which shall:
    1. 1. Be provided to an SCL recipient who is dually diagnosed to coordinate treatment for mental illness and a psychological condition;
    2. 2. Be utilized if the needs of the SCL recipient cannot be met by behavior support or another covered service;
    3. 3. Include:
      • a. The administration of psychological testing;
      • b. Evaluation;
      • c. Diagnosis; and
      • d. Treatment;
SCL2: See "907 KAR 12:010" in Related Links

Section 4(8) A consultative clinical and therapeutic service shall:
  • Be provided by a person who meets the personnel and training   requirements established in Section 3 of this administrative reg; and
  • Is a:
    1. 1. Certified nutritionist;
    2. 2. Licensed dietitian;
    3. 3. Licensed marriage and family therapist;
    4. 4. Licensed professional clinical counselor;
    5. 5. Licensed psychological associate;
    6. 6. Licensed psychologist;
    7. 7. Licensed psychological practitioner;
    8. 8. Licensed clinical social worker; or
    9. 9. Positive behavior support specialist;
Under SCL2, what degrees are considered to fall under Behavioral Science for hiring? Many applicants have a master's in Social Work, Special Education, and mental counseling, and a ton of experience. Are these acceptable? What other degrees qualify?
There is not a specific listing of degrees that would fall under Behavioral Science. Please contact your DDID QA for assistance in determining if the degree is appropriate for a particular job/position.