Human Resources Business Partner

GAUDENZIA, INC.

POLICY & PROCEDURE MANUAL

Background Clearance Process

Relevant Regulations/Standards: DDAP, OMH, COMAR, DSAMH, DBH DC, PREA Effective/Revision Date: Mar 2023

Purpose:

The purpose of this policy is to outline the required steps and expectations for securing background clearances from new hires as well as the renewal process for existing employees. Scope:

The following processes will be applied to all employees according to the regulations relevant to their position as well as the locations at which they will be employed. These specific requirements are delineated in this policy.

Though Gaudenzia will pay the required fees for clearances, and will help to facilitate the process, it shall be the responsibility of the employee to ensure that they acquire and maintain clearances appropriate to their position and location. Any such clearances which are sent directly to the employee must be uploaded to their onboarding experience prior to the start of employment. For existing employees, these documents must be provided by the employee to the Human Resources Business Partner (HRBP) in their region at **************@*********.*** to be uploaded to their employee file. General:

All newly hired and existing employees are required to have background clearance documentation verified as relevant to their position and the location at which they work as required by licensing bodies, including but not limited to, DDAP, OMH, COMAR, DSAMH and PREA. This policy also applies to any contracted individuals, volunteers, interns utilized at Gaudenzia programs. Table Specifying Required New Hire Clearances by Program Type and State: Program Location / License / Type

Clearance Required?

Can Hire

State FBI Provisionally?

Child

Abuse

PA

DOC

PA DDAP-Licensed Programs having no involvement with children Yes No No No Yes PA DDAP-Licensed Programs which house/serve children/adolescents Yes Yes Yes No No PA OMH-Licensed Programs Yes Yes Yes No No

PA DOC-Contracted Programs Yes No No Yes No

DE DSAMH-Licensed Programs having no involvement with children Yes No No No Yes DE DSAMH-Licensed Programs which ouse/serve children/adolescents Yes Yes Yes No No MD BHA-Licensed Programs Yes No No No No

DC DBH-Licensed Programs Yes Yes No No No

ANY PREA-Regulated Program in ANY State Yes No No No No GAUDENZIA, INC.

POLICY & PROCEDURE MANUAL

Disqualifying Convictions:

These vary by state and type of program, as specified below. Except as otherwise specified, Gaudenzia will consider each candidate on a case-by-case basis to determine whether or not to hire a candidate with a criminal history, and the appropriate placement of those candidates, if hired. Consideration will be given to the type of offense, elapsed time since the offense, references provided, availability of a position in an appropriate setting, and other relevant factors when making these determinations. PA OMH (per Act 169):

1. An offense designated as a felony under the act of April 14, 1972 (P.L.233, No.64), known as The Controlled Substance, Drug, Device and Cosmetic Act. 2. An offense under one or more of the following provisions of 18 Pa.C.S. (relating to crimes and offenses):

− Chapter 25 (relating to criminal homicide).

− Section 2702 (relating to aggravated assault).

− Section 2901 (relating to kidnapping).

− Section 2902 (relating to unlawful restraint).

− Section 3121 (relating to rape).

− Section 3122.1 (relating to statutory sexual assault).

− Section 3123 (relating to involuntary deviate sexual intercourse).

− Section 3124.1 (relating to sexual assault).

− Section 3125 (relating to aggravated indecent assault).

− Section 3126 (relating to indecent assault).

− Section 3127 (relating to indecent exposure).

− Section 3301 (relating to arson and related offenses).

− Section 3502 (relating to burglary). o Section 3701 (relating to robbery).

− A felony offense under Chapter 39 (relating to theft and related offenses) or two or more misdemeanors under Chapter 39.

− Section 4101 (relating to forgery).

− Section 4114 (relating to securing execution of documents by deception).

− Section 4302 (relating to incest).

− Section 4303 (relating to concealing death of child).

− Section 4304 (relating to endangering welfare of children).

− Section 4305 (relating to dealing in infant children). o Section 4952 (relating to intimidation of witnesses or victims).

− Section 4953 (relating to retaliation against witness or victim).

− A felony offense under section 5902(b) (relating to prostitution and related offenses).

− Section 5903(c) or (d) (relating to obscene and other sexual materials and performances).

− Section 6301 (relating to corruption of minors).

− Section 6312 (relating to sexual abuse of children 3. A Federal or out-of-State offense similar in nature to those crimes listed in paragraphs (1) and

(2).

− No founded child abuse reports within 5 years

− Never been convicted of the 16 offenses identified

− No felony drug convictions within 5 years

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POLICY & PROCEDURE MANUAL

MD BHA:

When deciding whether the criminal history of an individual applying for employment, whether paid or volunteer, and a contractor disqualifies the individual from the employment, the program consider: a. The age at which the individual committed the crime; b. The circumstances surrounding the crime;

c. Any punishment imposed for the crime, including any subsequent court actions regarding that punishment;

d. The length of time that has passed since the crime; e. Subsequent work history;

f. Employment and character references; and

g. Other evidence that demonstrates whether the employee, contractor, or volunteer poses a threat to the health or safety of a program participant, program staff, or a member of the public. The program may not hire an individual as an employee, contractor, or volunteer if the program does not receive and consider the criminal history record information. An individual may not be hired as an employee, contractor, or volunteer: a. For a program serving participants younger than 18 years old, if the individual has been convicted at any time of child abuse or child sexual abuse; or b. For a program serving participants 18 years old or older, if the individual has been convicted at any time of abuse or neglect of a vulnerable adult. PREA Programs:

a. The agency shall not hire or promote anyone who may have contact with residents, and shall not enlist the services of any contractor who may have contact with residents, who— 1. Has engaged in sexual abuse in a prison, jail, lockup, community confinement facility, juvenile facility, or other institution (as defined in 42 U.S.C. § 1997); 2. Has been convicted of engaging or attempting to engage in sexual activity in the community facilitated by force, overt or implied threats of force, or coercion, or if the victim did not consent or was unable to consent or refuse; or

3. Has been civilly or administratively adjudicated to have engaged in the activity described in paragraph (a)(2) of this section.

Current List of Gaudenzia PREA Programs:

− Fresh Start

− West Chester House

− New Outlooks

− Philly House

− Woodland

− Crownsville

− Park Heights

− Concept 90

− DRC

District of Columbia Programs:

No facility shall employ or contract with any unlicensed person if, within the 7 years preceding a criminal background check conducted pursuant to this section, that person has been convicted in the District of GAUDENZIA, INC.

POLICY & PROCEDURE MANUAL

Columbia, or in any other state or territory of the United States where such person has worked or resided, of any of the following offenses or their equivalent in another state or territory: 1. Murder, attempted murder, or manslaughter;

2. Arson;

3. Assault, battery, assault and battery, assault with a dangerous weapon, mayhem or threats to do bodily harm;

4. Burglary;

5. Robbery;

6. Kidnapping;

7. Theft, fraud, forgery, extortion or blackmail;

8. Illegal use or possession of a firearm;

9. Repealed.

10. Rape, sexual assault, sexual battery, or sexual abuse; 11. Child abuse or cruelty to children; or

12. Unlawful distribution or possession with intent to distribute, a controlled substance. FBI Clearance Process:

In addition to the clearance requirements noted in the table above, FBI clearances are required when a candidate will be working at a Gaudenzia location in a state other than the state in which they live (for example living in New Jersey and working in Pennsylvania). Gaudenzia maintains a contract with IDEMIA for FBI Fingerprint Processing. Human Resources Business Partners are responsible for purchasing, tracking, and monitoring the FBI Pre-Purchased Codes, and for serving as the primary contact for their respective region. The candidate must use Service Code 1KG756 to access IDEMIA website for scheduling.

Newly hired employees will be provided with a pre-paid code during the onboarding process and will be encouraged to initiate the FBI Clearance Process as early as possible, as it may take between 2-4 weeks to secure the FBI Background check.

1. Newly hired employees will be required to submit an official FBI Clearance Check and must be provided with both; the link to register for the FBI Clearance and the Prepaid Purchase Code. 2. The link to provide new hires to register for the FBI Clearance Check is -> https://uenroll.identogo.com/

3. Individual pre-paid codes are maintained by the HRBP and must be provided to the new hire within 2 business days.

All new hires will also be required to present current/acceptable identification when appearing at the fingerprinting location.

Appointments are not required when new hires register, they may walk in during a location's posted hours of operation (scheduling an appointment may lead to lesser/no wait times). It is strongly recommended that the new hire contacts the site prior to going there as the information on the IDEMIA website may differ from actual hours of operation. Payment Process:

Gaudenzia pays for our employee’s background clearances. Therefore, the employee will be provided with a pre-purchased authorization code. It is the responsibility of our Human Resources Business GAUDENZIA, INC.

POLICY & PROCEDURE MANUAL

Partners to purchase, track, and provide all new hires with the necessary information they need to secure their FBI Fingerprints.

Gaudenzia will cover the cost for the FBI Fingerprints via pre-purchased authorization codes. The outcome of the employee’s FBI Background will be classified as either Eligible or Ineligible.

− If employees have any questions regarding their backgrounds, they should contact the Clearance Unit at 1-877-***-****.

State-Level Criminal Background Checks:

Pennsylvania State Criminal Backgrounds (EPATCH):

1. Newly hired employees will complete the Electronic Background Check Authorization Form and Submit via Onboarding or otherwise disseminated.

2. Human Resources Business Partner will use their company provided credit card, and will run the State Clearance on the following website: https://epatch.state.pa.us 3. Human Resources will track, record and upload employee’s completed background clearance. 4. Existing employees must provide their HRBP with updated background clearances within 30 days of the request.

5. Gaudenzia will cover the cost for EPATCH verification for each employee. In accordance with Act 47, employees at a Pregnant and Parenting Women’s Program must secure all three clearances (Child Abuse, FBI Fingerprint and State Criminal). Employment at these programs will be considered non-provisional hire, meaning that a new hire may not begin working at one of these programs unless all such clearances are verified and all relevant documentation is current and uploaded to their employment file.

Delaware State Background Clearance Procedures:

Potential (and existing) employees are required to request their own individual criminal and federal abuse history. For privacy reasons, criminal and federal clearances will be mailed only to the requester (the employee), therefore, newly hired employees are required to upload their background criminal clearances to their onboarding experience prior to the start of employment. Existing employees are required to submit their renewed clearances to the human resources department at **************@*********.*** and the respective HRBP will process the renewals via the HRIS system. All employees must retain and submit copies of their receipt for reimbursements. Candidates will: 1. Visit the State Police Location that processes fingerprints (locations, hours, and appointment details below).

2. Complete a State Bureau of Identification (SBI) Personal Criminal History authorization form which will be provided to all individual while on site. 3. Present a valid, unexpired government-issued photo identification, such as a driver’s license. 4. The Delaware State fee is $52.00 payable by cash, credit, debit, money order, or certified check. Neither American Express nor Personal Checks are accepted. Candidates will be fully reimbursed GAUDENZIA, INC.

POLICY & PROCEDURE MANUAL

for this service upon uploading copies of their receipt along with the completed background clearance to their onboarding experience (for new hires). Existing employees must upload renewal background checks to their employee documents within ADP using Gaudenzia’s employee self-service.

Maryland and District of Columbia Background Clearance Procedures: All background clearance procedures are processed by the Human Resources Business Partner through a contract with Orange Tree, an external vendor which conducts comprehensive background screening. Gaudenzia has partnered with Orange Tree via iCIMS System Integration to process the following background checks for all employees:

− Sexual Offender Registry,

− Employment Reference Checks,

− Global Exclusion Search.

In addition, Orange Tree will run the State Criminal background check for those employees hired and/or working in the Corporate, Chesapeake and/or DRC Regions. All background checks are automatically initiated when a new hire is advanced within iCIMS to “Background Check Initiated Bin”. Newly hired candidates receive email notification from Orange Tree directly, are required to sign an authorization of release form (electronically) and will have 4 business days to provide all requested information (previous places of employment, date of birth, social security number, all known addresses, etc.). If the newly hired employee fails to complete the process within 4 business days, HRBPs must reinitiate the background request via iCIMS. HRBPs are notified via email from Orange Tree when the final background check report is complete and available with instructions on how to download the newly hired candidates background report. HR is responsible for reviewing the completed report in its entirety to ensure no discrepancies and/or disqualifying convictions are noted that would prohibit the employee from being hired.

State-Level Child Abuse History Clearances:

Pennsylvania Child Abuse Clearance:

Newly hired employees for Pennsylvania Gaudenzia programs which require a Child Abuse Clearance

(most specifically, though not exclusively programs which house children) will be required to submit an official Pennsylvania Child Abuse Clearance.

The Human Resources Business Partner will utilize their Business Partner ID when logging into the portal at https://www.compass.state.pa.us/cwis and will be responsible for generating payment codes for each new hire.

1. The HRBP must provide the link to register for the Pennsylvania Child Abuse Clearance and the Prepaid Purchase Code.

2. The link to provide new hires to register for the Child Abuse Clearance Check is - https://www.compass.state.pa.us/cwis

3. Individual pre-paid codes are maintained by the HRBP and must be provided to the new hire within 2 business days.

4. Gaudenzia will cover the cost for the Pennsylvania Child Abuse Clearance via prepaid codes. 5. From the portal, new hires will follow directions and complete all required sections. GAUDENZIA, INC.

POLICY & PROCEDURE MANUAL

6. Results of the official Pennsylvania Child Abuse Clearance will be mailed and/or emailed directly to the new hire.

7. The new hire will be responsible for uploading to the onboarding experience site prior to their start date.

Delaware Child Abuse Background Checks:

The Delaware Child Protection Registry Request Portal (Agency Registration (delaware.gov) permits authorized users to submit child abuse checks for the state of Delaware. A completed Child Protection Registry Consent form must be completed by the candidate, and uploaded by the Human Resources Business Partner for each request. *Blank forms are located in the FORMS section of our ADP Home Page for existing employees and will be included in the state specific onboarding experience for new employees.

Once the check is returned, HR will receive an email confirmation notifying them that the results are now ready for their review. The completed request, is now listed under the “COMPLETED REQUESTS” section and HR can download the completed certification letter. There is no cost to Gaudenzia or to the candidate for this check in Delaware. PA State DOC Clearance Requests:

Prior to hire, all potential employees will complete the Centralized Clearance Check Information Request form found on the DOC website here: Centralized Clearance Check Information Request (pa.gov) Per the DOC rules, clearance periods may be granted up to a maximum of two years. It is the candidate's responsibility to renew their clearance by submitting a new Centralized Clearance Information Request Form prior to the expiration of the approved clearance period to ensure continued access.

Current List of Gaudenzia Programs serving PA DOC clients:

− West Chester House

− New Outlooks

− Philly House

− Concept 90

− DRC Inpatient

− DRC Outpatient

State-Level Driver’s History Background Checks:

Any employee who will be expected to operate a Gaudenzia vehicle during the course of their work will be required to have their Driver History Record verified. This will be completed before any employee

(newly hired or current) operates a Gaudenzia vehicle. The employee will be presented with a background check authorization form which authorizes Gaudenzia to obtain the driver history information. Pennsylvania Driver History Checks:

GAUDENZIA, INC.

POLICY & PROCEDURE MANUAL

In Pennsylvania, the Human Resources Business Partner in the relevant region will process the 3-year driver history on the https://www.dmv.pa.gov website. The Driver History Report is then forwarded to the Gaudenzia Transportation and Insurance Manager for Employee Driver Approval.

Gaudenzia will cover the cost for the 3 Year Driver History Record. Maryland and District of Columbia Programs:

The HRBP and/or Supervisor at the facility is responsible for providing the driver’s abstract form to the newly hired employee whose position requires driving privileges. Once the form is complete, the employee must return to the Supervisor who will submit it to Gaudenzia’s Transportation & Insurance Manager for processing and approval.

Gaudenzia will cover any costs incurred for obtaining the driving record. Delaware Programs:

Newly hired employees whose positions require driving privileges are responsible for independently securing and submitting their completed Driver’s Abstract. The HRBP and/or Supervisor at the facility is responsible for submitting the completed abstract to Gaudenzia’s Transportation & Insurance Manager for processing and approval. Delaware employees are eligible for reimbursement for the cost of the driver’s abstract and must submit to Human Resources the completed abstract and their receipt for reimbursement.

Clearance Update and Renewal Process:

Table Specifying Required Clearance Renewals by Program Type and State: Program Location / License / Type

Renewal

Timeframe

PA DDAP-Licensed Programs having no involvement with children Not Required PA DDAP-Licensed Programs which house children 5 years PA OMH-Licensed Programs 5 years

PA DOC-Contracted Programs 2 years

DE DSAMH-Licensed Programs having no involvement with children Not Required DE DSAMH-Licensed Programs which house children 5 years MD BHA-Licensed Programs 6 years

DC DBH-Licensed Programs Not Required

ANY PREA-Regulated Program in ANY State 5 years

The HR Compliance Specialist will ensure all employee background clearances are current and compliant per licensing requirements. The HR Compliance Specialist will provide a monthly communication to regional HRBPs and those employees whose clearances are set to expire within the next 60 days. GAUDENZIA, INC.

POLICY & PROCEDURE MANUAL

Direction will be provided to the employee to submit updated clearances and to the respective managers to follow up to ensure that this is done in a timely manner. The HR Compliance Specialist will be responsible for securing and recording the updated clearances in the HRIS immediately upon receipt. The HRIS system will be the system of record for tracking and monitoring clearances. When an existing employee is found to have an expired clearance, the employee’s file is considered non- compliant, and the employee will be required to take immediate steps to ensure all background checks are current. The employee may be subjected to disciplinary action and/or a temporary transfer from their current work location pending the receipt of updated clearances. This may mean that the employee may not be able to continue to work at their current location pending verification of clearances. If this is the case, they may be temporarily relocated to another location if that temporary location does not require those clearances. If this is not possible, then the employee may not continue to work until these clearances are verified. Employees with expired background checks will have no more than thirty days to provide updated clearances. Failure to secure background clearances after the additional 30 days will result in further disciplinary action, up to and including suspension or termination. The HRBP and the Supervisor are responsible for monitoring clearance expirations and ensuring that employees are reminded of upcoming deadlines, as well as following up to ensure that clearances are completed.

Pre-Existing Background Clearances:

Newly hired employees that have existing federal, state and/or child abuse clearances within 60 days of the employees’ start date will be waived the requirement of obtaining new background clearances. Gaudenzia will accept preexisting clearances within 60 days of the employees’ start date of employment. Employees must upload copies of all required clearances to their onboarding experience via ADP Workforcenow.

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