Foundation Contingent Workforce Screening Policy

Transcription

1 Foundation Contingent Workforce Screening Policy 1. Introduction This document describes the Bill & Melinda Gates Foundation (the Foundation ) screening policy (the Screening Policy ) as it applies to vendors, consultants, contractors, and other third party organizations that provide services to the Foundation ( Contingent Workforce Provider ) and their respective employees, agents, or subcontractors (all of whom are described in this Screening Policy as employees, for the purpose of simplification). In order to conduct business with the Foundation, each Contingent Workforce Provider is required to comply with this Screening Policy. Notwithstanding any provision of this Policy, it is the sole responsibility of each Contingent Workforce Provider to comply with applicable laws in each jurisdiction in which the Contingent Workforce Provider operates and/or will supply contingent workers to the Foundation. More specifically, the screening described in this Screening Policy applies to Contingent Workforce Provider employees who have physical and/or electronic access to the Foundation s facilities and/or network via the following Foundation-issued credentials (the Credentials ): a. Badge: A building access badge not surrendered at the end of each day, or b. Network ID: Network identification or other permission to access the Foundation s internal IT network. Exclusions: The Foundation issues badges to all individuals who have physical access to the Foundation s buildings. Some of these badges are temporary and must be surrendered by the individual when leaving the Foundation each day; such temporary badges do not constitute Credentials requiring the individual s compliance with this Screening Policy. Additionally, this Screening Policy does not apply to any Contingent Workforce employees who are not Credentialed and do not have badge access to the Foundation s buildings or IT network. 2. Overview Prior to allowing a Contingent Workforce Provider employee access to the Foundation s buildings or network, the Foundation requires reasonable assurances that: (a) the individual s background is verified, (b) the proper work authorizations are in place, and (c) all workplace violence and safety issues are identified and resolved. An effective and ongoing screening program provides these assurances and enables the Foundation to further achieve its mission. Contingent Workforce Provider with Multiple Employees: To comply with the Foundation s Screening Policy, a Contingent Workforce Provider with more than one employee must: Screen each employee who will have access to the Foundation s buildings or network prior to the Foundation issuing Credentials to that employee. Have and enforce a screening process that includes the full scope of Contingent Workforce Provider screening requirements described in Section 3 of this Screening Policy. Agree that by presenting an employee to the Foundation for issuance of Credentials, the Contingent Workforce Provider is certifying that the employee has undergone and passed a screening process that meets the requirements of this Screening Policy. Agree to an independent examination and assurance that its employee screening has been completed in accordance with this Screening Policy. Support the Foundation assurance process as described in Section 4 of this Screening Policy. If Contingent Workforce Provider so chooses, or does not currently have a screening company in place, it may utilize the screening services of Truescreen, Inc. by contacting Brittin Wray, Truescreen s Executive Account Manager for the foundation at x 2484 or bwray@verticalscreen.com. Page 1 of 7 July 2013

2 Contingent Workforce Providers with One Employee: Contingent Workforce Providers that are sole proprietors or independent consultants in a single member/owner business entity need not comply with the screening and assurance process described in Sections 3 and 4 of this Screening Policy, but instead must: Submit to and pass a background screening performed by the Foundation (through a 3 rd party vendor) prior to the employee receiving Foundation Credentials. To initiate process, send an to Julianne Abe at Julianne.Abe@gatesfoundation.org with the individual s name and address. Complete all additional employee documentation reasonably required by the Foundation in order to conduct the screening. Agree that the Foundation s screening will be evaluated in accordance with the Foundation s then current Screening Policy regarding screening of Contingent Workforce Providers. Note: Foundation screening requires at least two weeks to perform and may delay an employee s access if not timely initiated. Contingent Workforce Provider employees who have previously passed screening performed by the Foundation need not be re-screened for subsequent engagements unless specifically required by the Foundation. 3. Screening Scope and Findings Background screens will need to be run in any country a Contingent Worker has resided in the past 7 years both domestically and internationally. The following screens must be conducted: Criminal Civil Sex offender registry OFAC-SDNL Proper work authorization As an example the screens to be used for someone who has only resided in the US are: 7 Year Local & Statewide Criminal History Search 7 Year National Federal Criminal Search 7 Year Civil History Search National Sex Offender Registry Office of Foreign Assets Control Specially Designated Nationals & Blocked Persons List (OFAC SDNL) Search Verification of proper work authorization (IRS Form I-9 or equivalent) Equivalent criminal and civil screens will need to be performed if the Contingent Worker has lived in other countries. (Example in the UK the criminal and civil screen is called the Basic Disclosure ) Page 2 of 7 July 2013

3 Types of Findings: Based on the above scope Contingent Workforce Provider employee screening will result in one of three findings described as follows: a. Pass: An employee screen that does not result in a Fail or results in a Needs Further Review, but is cleared after further review by the Contingent Workforce Provider. b. Needs Further Review: An employee screen that includes pending charges (including deferred prosecution and/or equivalent crimes under UK law). These screens may or may not meet the Foundation s Pass criteria. i. As a result, further review by the Contingent Workforce Provider is required prior to requesting Foundation Credentials for such employee. ii. During the course of the review, exercise good judgment in determining whether or not the proposed employee is suitable to be sent to the Foundation for an assignment, based on the criteria set forth immediately below. c. Fail: An employee screen that: i. Reveals one or more convictions listed in the Offense Table below (or equivalent crimes under local law); and ii. iii. Leads the Contingent Workforce Provider to conclude in good faith that the nature of the criminal conduct underlying the conviction or the pending criminal charge either (1) will have a negative impact on the employee's or applicant's fitness or ability to perform the position sought or held, or (2) will harm or cause injury to people, property, business reputation, or business assets. In making such determinations, the Contingent Workforce Provider must have considered the following factors: (1) the seriousness of the underlying criminal conviction or pending criminal charge; (2) the number and types of convictions or pending criminal charges; (3) the time that has elapsed since the conviction or pending criminal charge, excluding periods of incarceration; (4) any verifiable information related to the individual's rehabilitation or good conduct provided by the individual, (5) the specific duties and responsibilities of the position sought or held, and; (6) the place and manner in which the position will be performed.. Offense Table Crimes Against a Person Assault and/or Battery Domestic Violence; Spouse Abuse; Assault on a Female Harassment Resist Arrest with Violence Weapon Crime Murder; Maiming; Manslaughter; Attempted Murder; Attempted Maiming; Attempted Manslaughter Rape; Sexual Abuse; Sexual Assault; Incest Lewd Behavior; Sex Offense; Offensive Touching Stalking Peeping Tom; Window Peeping Prostitution; Sex Solicitation Robbery with or without a Weapon Crimes Against Property Theft; Larceny; Petit Theft; Grand Larceny; Stealing; Conversion (and all attempts at preceding offenses) Theft by Deception (or attempt) Flee/Elude the Police Telephone Harassment; Repeat Phone Calls; Annoying Phone Calls Reckless Endangerment Contribute to the Delinquency of a Minor Indecent Exposure Assault with Intent to Maim, Injure, Murder or Disable; Unlawful Wounding; Malicious Wounding; Assault on a Law Officer Obstruct and Hinder Threats to Injure; Terroristic Threats; Intimidation Invade Privacy Child Abuse; Endanger the Welfare of a Child Sex Offense with a Child Kidnapping; Unlawfully Transport a Person; False Imprisonment Receiving Stolen Property; Possession of Stolen Property; Theft by Receiving Fraud; Conspiracy to Commit Fraud; Attempted Criminal Fraud; Unemployment Fraud; Insurance Fraud; Mail Fraud Page 3 of 7 July 2013

4 Retain Theft; Retail Fraud; Shoplifting (or attempts) Burglary; Attempted Burglary Breaking and Entering; Store Breaking; House Breaking; Unlawful Entry; Residential Entry; Illegal Entry; Enter Closed Area; Unauthorized Entry (or attempts) Theft by Check; Check Deception; Deposit Account Fraud; Bad Check; Worthless Check Forgery; Possession of Forged Documents; Conspiracy to Forge Uttering; Passing Forged Document Criminal Mischief; Criminal Conspiracy Identity Theft Criminal Court Violations Fugitive Violation of Protective/Ex Parte Order Give False information (Court, Law Officer) Violate Custody Order; Interfere with Custody; Non- Support Crimes Involving Drugs and/or Alcohol Possession of Controlled/Dangerous Substance; Attempted Possession of Controlled/Dangerous Substance. Credit Card Crimes; Credit Card Fraud; Steal Credit Card; Illegally Use Credit Card Possession of a Firearm Destruction of Property; Malicious Destruction of Property; Criminal Destruction of Property; Criminal Damage to Property; Damage to Property Possession of an Instrument of Crime; Possession of a Burglary Tool Arson, Attempted Arson; Burning Embezzlement Car Theft; Possess Stolen Vehicle Bail Act Violation Escape; Prison Breach Violate Probation and/or Parole Distribution/Delivery of Controlled/Dangerous Substance; Attempted Distribution/Delivery of a Controlled/Dangerous Substance; Possession with the Intent of Distributing a Controlled/Dangerous Substance Sell/Give Alcohol to a Minor Prescription Offense Violate Controlled/Dangerous Substance Act; Drug Abuse Sex Offender Name Found on List Failed to Register on Sexual Offender Registry Specialty Designated Nationals List (Treasury Enforcement) Name Found on U.S. Department of Treasury, Office of Foreign Assets Control Specialty Designated Nationals and Blocked Persons List. This list is also referred to as the "Terrorist List" Civil Search Adverse case results in the following areas: Assault and battery, acts of sexual assault; sexual contact or soliciting by an adult of a minor, domestic violence or abuse, intentional infliction of emotional distress, gross negligence, outrage, harassment and/or discrimination, invasion of privacy, conversion (civil equivalent to theft); fraud and misrepresentation; slander or defamation; and other intentional torts Results of a Screen: All screens must be complete, with Pass results, prior to the Contingent Workforce Provider s employee receiving the Credentials listed in Section 1. If any of the screening findings for a particular Contingent Workforce Provider employee result in a Fail status, the Contingent Workforce Provider cannot allow, nor will the Foundation provide, such employee access to the Foundation s building or network. Contingent Workforce Providers must ensure that they abide by applicable laws, if any, that provide candidates with due process rights, such as, a reasonable opportunity to respond, correct or explain derogatory information revealed in a background screening. 4. Assurance Process To ensure the integrity of this Screening Policy, the Foundation will periodically implement an assurance process. The assurance process will be led by an independent third party hired by the Foundation ( Reviewer ). Each Contingent Workforce Provider will provide to the Reviewer, the information necessary to support the Foundation screening assurance process. The assurance process is designed to balance all applicable employment rules and Page 4 of 7 July 2013

5 regulations affecting the Foundation, Contingent Workforce Providers, and Credentialed employees while obtaining the necessary information to ensure compliance with the Screening Policy. Three Step Process: The assurance process includes the following steps: a. Information Request: The Reviewer may select a Contingent Workforce Provider for the assurance process by sending an initial information request, including a request for a list of names of Contingent Workforce Provider s Credentialed employees for a specified time period. The Contingent Workforce Provider will have 30 days within which to provide the requested information to the Reviewer. b. Verification of Compliance: The Reviewer may select a Contingent Workforce Provider for further compliance assurance. The Reviewer will notify a selected Contingent Workforce Provider, and the Contingent Workforce Provider will have an additional 30 days from the date of notification to: i. Produce documentation demonstrating compliance with the Screening Policy, and ii. Schedule and conduct an examination by the Reviewer at a mutually agreed time, date, and location (if required). c. Findings: Upon completion of the above, the Reviewer will report to the Foundation and the Contingent Workforce Provider, one of the following findings: i. Full Compliance A Contingent Workforce Provider will be deemed to be in full compliance if, based upon a sampling of the screening checks for the Credentialed employees, the Reviewer verifies that all screening criteria resulted in a Pass determination, and all Credentialed employees who had/have access to the Foundation were screened in a timely fashion. ii. Out of Compliance Anything short of full compliance is out of compliance. A Contingent Workforce Provider will be deemed to be out of compliance, in breach of contract, and may, in the Foundation s sole discretion, have its contract terminated if, based upon a sampling of Contingent Workforce Provider employee screening checks, there is a finding that the Contingent Workforce Provider did not fully satisfy the Screening Policy requirements, including: 1. Failing to meet the 30-day compliance assurance dates described above; 2. Failing to conduct screens as required by this Screening Policy; 3. Allowing an employee who has failed or not yet passed the screening to access the Foundation or apply for Credentials; or 4. Performing screening that is not in conformance with the Contingent Workforce Provider Screening Policy. Required Actions: No further action is required for a Contingent Workforce Provider whose employee is in full compliance. If the Reviewer verifies that a Contingent Workforce Provider is out of compliance, the Foundation will immediately revoke the relevant employee s access to the Foundation. In its sole discretion, the Foundation may: (a) work with a Contingent Workforce Provider whose employee is out of compliance to determine how best to achieve full compliance; or (b) grant a Contingent Workforce Provider up to 90 days to satisfactorily address any compliance failures. The Foundation also reserves the right, when warranted, to make exceptions to specific situations in which a Contingent Workforce Provider employee is determined to be out of compliance or whose assurance review results in adverse findings. Such exceptions will be based upon full disclosure of all relevant legally permissible facts to the Foundation. 5. Miscellaneous Nothing in this Screening Policy is intended to limit a Contingent Workforce Provider s screening of its employees. While in compliance at all times with local, state, and federal laws, a Contingent Workforce Provider may at its discretion be more restrictive. Further, nothing in this policy limits the Foundation s contractual or other legal remedies as they relate to the Foundation s business relationship with any Contingent Workforce Provider. The Foundation reserves the right to amend this Screening Policy and the assurance process from time to time, with reasonable notice to Contingent Workforce Providers. Page 5 of 7 July 2013

6 6. FAQ a. Which vendor does the Foundation use to complete its screens? Truescreen Executive Account Manager: Brittin Wray, or x b. Which Contingent Workforce Provider employees are subject to the Screening Policy? If a Contingent Workforce Provider s employee requires either of the following Credentials, the employee is subject to screening under the Screening Policy: i. Badge: A building access badge not surrendered at the end of each day; or ii. Network ID: Network identification or other permission to access the Foundation s internal IT network. c. If a Contingent Workforce Provider s employee does not require badge or network access there is no need for screening, is that correct? Yes, that is correct. d. Who is responsible for payment of the screening? i. The Foundation pays for and conducts the screening of Contingent Workforce Providers that are sole proprietors or independent consultants of a single member/owner business entity. ii. Contingent Workforce Providers pay for and conduct their own screening in conformance with this Screening Policy, if such Contingent Workforce Providers have more than one employee, regardless of the number of employees a Contingent Workforce Provider may have working at the Foundation. e. How often are Contingent Workforce Providers required to re-screen their employees? Is there a renewal period? Currently, there is no expiration date for a completed screen. f. Do we need to submit documentation to the Foundation demonstrating we completed the screens? No, per the Screening Policy, by presenting an employee to the Foundation for issuance of Credentials, the Contingent Workforce Provider is certifying that its employee has undergone and passed a screening process that meets the requirements of the Screening Policy. g. We currently screen our employees for (x) number of years. Is this sufficient or is the 7 year period outlined in the Screening Policy required? Contingent Workforce Provider employees are to be screened against the required 7 year criteria set forth in Section 3 of the Screening Policy. h. If we already screened our employees to a different standard do we need to re-screen them? Yes, in order for a Contingent Workforce Provider to be in compliance with the Screening Policy, all Contingent Workforce Provider employees requiring Credentials must be screened according to the criteria set forth in the Foundation Screening Policy. i. I m concerned about privacy including providing information to a 3rd party to confirm compliance screens. The Foundation has selected an independent accounting and auditing firm to conduct any independent 3rd party review to ensure compliance with the Screening Policy. Such firm will provide a Page 6 of 7 July 2013

7 nondisclosure agreement to Contingent Workforce Providers that are selected to undergo the Assurance Process set forth in paragraph 4, above. 7. Foundation Contact Information If you have any questions specific to the Screening Policy or process, please contact the Foundation s Global Security team s background screening manager Julianne Abe at Julianne.Abe@Gatesfoundation.org. Page 7 of 7 July 2013