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Viewing: Criminal History Records Checks for Contractors, 04-104

Current Status: Active PolicyStat ID: 201763

Criminal History Records Checks for Contractors, 04-104

FULL IMPLEMENTATION DATE 04/01/2012

Applicability

All Contractors as defined in this policy

POLICY

DBHDD is concerned about the health and safety of all individuals and the safeguarding of state property. It is the policy of DBHDD that all reasonable efforts are made to provide safe and secure environments for consumers, staff, and any other work-related contacts.  Based on this objective, a criminal history record check, which is fingerprint based, is completed on any individual who is under contract to provide services for DBHDD, to include employees of Contractors and anyone with whom a Contractor contracts to perform direct care, treatment, custodial responsibilities, or any combination thereof, for consumers.

DEFINITIONS

Consumer – For the purposes of this policy, the term consumer is used to refer to any individual who receives or participates in mental health, addictive diseases, and/or developmental disabilities services that are financially supported in whole or in part by funds authorized by DBHDD.

Contractor – For the purposes of this policy, the term Contractor includes all organizations that provide mental health, addictive diseases, and/or developmental disability services that are financially supported in whole or in part by funds authorized through DBHDD.

Employee – For the purposes of this policy, the term employee refers to any individual who is performing services, including direct care, treatment, custodial responsibilities, or any combination thereof, for consumers on behalf of a Contractor.

PROCEDURES

  1. General Provisions
    1. All individuals who contract with DBHDD or their employees, who have direct care, treatment, custodial responsibilities, or any combination thereof, for its consumers, must undergo a fingerprint based criminal history record check.
    2. The Contractor Hiring Authority (hereinafter referred to as the Contractor) is responsible for ensuring that a criminal history record check is completed on each employee, and that the results are reviewed by the DBHDD Office of Incident Management and Investigations/Criminal Records Section, in accordance with this policy.
  2. Crimes that Restrict Employment as a Contractor or Contractor Employee
    Individuals who have been convicted of a crime listed in this section, or any other offense committed outside the State of Georgia that would have been considered one of these crimes if committed in Georgia, are not eligible to perform services for DBHDD on behalf of the contractor as indicated below.
    1. There is a Mandatory disqualification from providing services for DBHDD from the date of conviction, a plea of nolo contendere, or release from incarceration or probation, whichever is later, for the following crimes.
      • Murder or Felony Murder
      • Attempted Murder
      • Kidnapping
      • Rape
      • Robbery/Armed Robbery
      • Aggravated Assault/Simple Assault
      • Aggravated Battery/Simple Battery
      • Battery
      • Cruelty to Children or Elders over 65 (Felony)
      • Sodomy or Molestation
      • Sexual Battery
      • Sexual Assault against a person in Custody, Detained, or Individuals in Hospital or other Institutions
      • Abuse, Neglect, Maltreatment, or Exploitation of a Disabled Adult, Elder or Child
      • Arson
      There is a Mandatory Disqualification from providing services to DBHDD in positions subject to Criminal History Checks for a minimum of five (5) years from the Date of Conviction, Nolo Contendere, or release from incarceration, or probation/parole whichever is later for the following crimes:
      • Theft by Taking (O.C.G.A. §16-8-2), by Deception (O.C.G.A. § 16-8-3) or by Conversion (O.C.G.A. §16-8-4)
      • Shoplifting (Felony)
      • Forgery ( 1st or 2nd Degree)
      • Cruelty to Children or Elderly over 65 (Misdemeanor)
      • Fraud
    2. DBHDD Contractors or their employees are permanently ineligible to provide services for DBHDD if they have ever been convicted of Child, Consumer, or Patient Abuse, Neglect, or Maltreatment.
    3. Contractors or their employees may be ineligible to provide services for DBHDD, if the criminal history record indicates any of the following that have direct relevancy to the responsibilities or duties of the position.
      1. Any other Conviction(s) or Pattern of Convictions; where there are three (3) or more convictions for the same crime within the last 10 years, including but not limited to convictions for crimes such as Deposit Account Fraud/Bad Checks, Misdemeanor Shoplifting, Driving While License is Suspended/Revoked; and Violation of Probation/Parole. Applicants with a pattern of convictions may be disqualified for a period of three (3) years from the date of the most recent conviction, or release from incarceration, probation or parole, whichever is later.Note: This does not include Drug Offenses, those are addressed in Section C of this policy.
      2. A Pattern of Recent Arrests; where there are three (3) or more arrests within an eighteen (18) month period.
      3. A Significant Recent Arrest (Disqualification until charge is resolved); where the arrest occurred within the last eighteen (18) months, is unresolved, and where a conviction would prohibit employment under this policy. (Disqualification to apply until such time the charge is resolved.)
  3. Criminal Drug Offenses
    Contractors or their employees that have been convicted of a criminal drug offense will be ineligible to provide services for DBHDD as follows:
    1. Disqualification to provide services in any position for a period of two (2) years from the date of conviction for the first offense.
    2. Disqualification to provide services in any position for a period of five (5) years from the most recent conviction for the second or subsequent offense.
    3. Pattern of Drug Related Convictions: Applicants may be disqualified from providing services to DBHDD for a period of up to five (5) years; if the applicant has had three (3) or more Drug Related Convictions within the last seven (7) years. The prohibition will be counted from the Date of Last Conviction.
      • For purposes of this disqualification, "conviction" does not include treatment under Georgia First Offender Act, or a plea of Nolo Contendere.
      • The Department reserves the right to request additional supporting documentation as necessary to make a final eligibility determination.
  4. Release of Criminal History Record Information
    1. FBI Regulations do not allow for the release of Criminal History Record Information to Contractors or their employees, and require that DBHDD make suitability determinations for DBHDD Contractors and their employees.
  5. Fingerprinting of Contractor and Contractor Employees
    1. DBHDD Contractors and Contractor employees that provide services for DBHDD must submit to a fingerprint based criminal background check.
    2. Fingerprinting must be conducted prior to employment where possible, or within ten (10) business days of the employee's start date.
    3. Specifically trained DBHDD personnel review the Criminal History Record Information and provide a determination as to the suitability of the individual to provide services for DBHDD by contractor or on behalf of the contractor, within seven (7) business days of the receipt of the criminal record information.
    4. Contractors who require fingerprinting must register their agency with the State Approved Vendor authorized to capture and submit fingerprint images for comparison with the Georgia and Federal Criminal Record Databases. To obtain information on how to register with the State Approved Vendor, go to the following website and follow the prompts:
      • www.ga.cogentid.com
      • Under General Information click the link "How to get an ORI or OAC Number" and follow the instructions provided.
    5. Contractors are responsible for the proper registration of their employees. DBHDD assumes no liability for registration errors that create additional costs for reprinting.
    6. Contractors or their designee are responsible for contacting the DBHDD Criminal Records Section for accurate registration information if they are not sure of the proper procedure to register an applicant/employee that will provide services for DBHDD. Obtain information on the proper registration of applicants for DBHDD through the following manner:
      • www.dbhdd.georgia.gov and select Provider Information and then select the link to "Background Policy and Cogent Information"
      • www.ga.cogentid.com and click on the link to the Department of Behavioral Health and Developmental Disabilities. Then select the link to Provider Information and click on the link "Background Policy and Cogent Information".
    7. DBHDD Criminal Records Section can not process inaccurate or invalid official documents or criminal records.
    8. Within three (3) business days of the receipt of the incorrect information, such as invalid court documents or criminal record requests, Criminal Records Section staff will notify the involved party of the issue and the corrective action that must be taken in order to properly review the criminal record.
    9. Unless otherwise agreed, the cost of applicant/employee fingerprinting is paid by the Contractor.
  6. Notice from the Office of Incident Management and Investigations/ Criminal Records Section
    1. The Criminal Records Section advises the Contractor  in writing of an Applicant(s) Eligibility to provide services to DBHDD, on the contractor's behalf:
      • DBHDD Contractors must provide the Criminal Records Section with a Contact Name, Correct Mailing Address, or Fax number to obtain background results.
    2. If the written determination from the Criminal Records Section indicates the applicant is Eligible to Provide Services, then no further action by the Contractor is necessary.
    3. If the determination from the Criminal Records Section indicates the applicant is Ineligible and prohibits providing services to DBHDD, as listed under Section B or C of this policy, the Applicant shall be notified in writing by the Criminal Records Section as to why this determination was made. The Applicant shall have fifteen (15) days to respond, should they elect to do so. (See Attachment A)
      • Attachment A is for example only. Criminal Record Section Staff will provide the completed form when appropriate.
      • FBI Regulations under Title 28 CFR 50.12(b) require the applicant be given a period of time to challenge the contents of the record. The Contractor will only be notified of the applicant's Eligibility status and not  the reason for the decision,
    4. If the applicant/employee's Criminal History Record Information is not complete, such as a missing disposition, etc. the Criminal Records Section shall notify the Applicant in writing, of the issues, and appropriate actions to take, such as obtaining official court documents that indicate how a charge was disposed, so that a proper determination can be made. (See Attachment B)
      • Attachment B is for example only. Criminal Record Section Staff will provide the completed form when appropriate
      • The Applicant must respond to the request within thirty (30) days of the request for additional information. If the applicant does not respond within the allotted time frame, and Ineligible status will be issued to the Contractor.
    5. Anyone who refuses to provide requested Certified Copies of Court Documents, or discuss the pending issues, shall be ineligible to provide services for DBHDD, on behalf of the Contractor.
    6. DBHDD does not provide copies of Result Letters after sixty (60) days of the initial letter. If a new Result Letter is needed, the contractor will be required to have the applicant/employee reprinted in order to obtain a new Result Letter.
  7. Note: The Criminal Records Section has seven (7) business days from the time the record is received, to process the applicant/employee criminal record and generate a Result Letter to the requesting agency.
  8. Rejected Fingerprint Images
    There are times when an applicant/employee's fingerprint images are rejected by either the Georgia or Federal Integrated Automated Fingerprint Identification System (IAFIS).
    • Criminal Records Section staff will follow all procedures outlined by the GBI and FBI regarding Rejection of Fingerprints and make notifications to agencies whose applicant(s) have rejected, as appropriate.

References

DBHDD Policy 22-504 Criminal History Record Checks for DBHDD Employees

O.C.G.A. § 31-7-350, et seq. and § 35-3-30 et seq.

O.C.G.A 37-1-28, Criminal Code of Georgia (O.C.G.A. Title 16)

Code of Federal Regulations 42, IV, § 483.420 (d) (1) (iiii)

Rules of the Georgia Crime Information Center (GCIC) Council

Attachments:
Approver Date
Joetta Prost, Ph.D.: DBHDD Policy Office 2/22/2012