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Criminal Convictions Policy

 

Policy.

A. Generally. Heartland Residential Services, Inc. (“Heartland”) is committed to ensuring that it employs only those individuals who are in compliance with all state and federal requirements. Having said this, it is also Heartland’s policy that all individuals be treated with dignity and respect, including those who may not have made good choices in the past. Thus, while this policy and procedure sets out employment prohibitions, it also recognizes that those individuals who have been fully rehabilitated are entitled to an opportunity to earn a living and contribute as a productive member of society.

B. Employment Prohibition. Individuals who have been convicted of the below listed offenses shall not be eligible for employment with Heartland:
a. A sex crime under I.C. 35-42-4
b. Exploitation of an endangered adult under I.C. 35-46-1-12
c. Failure to report:
i. Battery, neglect, or exploitation of an endangered adult under I.C. 35-46-1-13; or,
ii. Abuse or neglect of a child under I.C. 31-33-22-1;
d. Theft under I.C. 35-43-4, if the conviction occurred less than ten years before the individual’s application for employment with Heartland;
e. Murder under I.C. 35-42-1-1;
f. Voluntary manslaughter under 35-42-1-3;
g. Involuntary manslaughter under I.C. 35-42-1-4;
h. Felony battery; and,
i. A felony offense relating to a controlled substance.

C. Other Convictions/Pending Criminal Matters. Individuals with felony or misdemeanor convictions not otherwise listed above shall not be eligible for employment with Heartland unless such employment is specifically approved by the President of the company, in his sole discretion. Similarly, individuals with pending criminal matters shall be dealt with on a case-by-case basis as set forth below. It is not Heartland’s policy to punish its employees simply for being arrested or accused of an illegal act. However, Heartland does not guarantee continued employment while a criminal matter is pending.

Procedure.

1. Criminal Background Checks. A staff member of Human Resources (“HR”) shall conduct a criminal background check with each county in which an individual lived for the prior three (3) years prior to hire for all individuals seeking employment and for current employees as part of consideration for promotions, transfers and quality assurance activities, as needed.

a. Prohibited Conviction; Applicants. In the event that a criminal check reveals that an applicant or potential contractor (for services) has a conviction as set out in 460 IAC 6-10-5 (listed above) HR will notify the appropriate Department Chief that the individual is not eligible for employment, and provide the same with a copy of the criminal check that has been completed. After consulting with the Chief, HR shall notify the applicant of his or her disqualification.

b. Prohibited Conviction; Employee or Contractor. In the event that a criminal check reveals that an active employee or contractor (for services) has a conviction as set out in 460 IAC 6-10-5 (listed above), HR shall immediately notify the appropriate Chief and/or the President of the findings and provide the same with a copy of the criminal check that has been completed.

1. Employee. Upon receiving notification from HR, the Chief shall immediately contact the employee and suspend that individual pending further investigation into the matter.

If it is determined that the employee does, in fact, have a prohibited conviction, that individual shall be immediately terminated for cause.

If the employee alleges that the criminal check is in error, the employee shall be suspended without pay until the error is resolved and satisfactory proof of that resolution is provided to Heartland, at which point, the employee may return to work. If the matter is not resolved to Heartland’s satisfaction within sixty (60) days, the employee shall be formally terminated for cause.

2. Contractor. Upon receiving notification from HR, the President or his designee, shall immediately contact the contractor and suspend the contracted services pending further investigation into the matter.

If it is determined that the contractor does, in fact, have a prohibited conviction, the contract shall be immediately terminated on the basis that the contractor committed a material breach. Notice of the same shall be sent to the contractor, along with any final payment due.

If the contractor alleges that the criminal check is in error, the contract shall be suspended until the error is resolved and satisfactory proof of that resolution is provided to Heartland, at which point, the contractor shall be reinstated. If the matter is not resolved to Heartland’s satisfaction within sixty (60) days, the contractor shall receive notice of cancellation of the contract for material breach as set out above.

c. Pending Criminal Matter; Applicants. In the event that a criminal check reveals that a criminal case is pending in which an applicant is accused of one of the offenses listed in 460 IAC 6-10-5 (listed above), HR shall notify the appropriate Chief and the President of the findings, and provide the same with a copy of the criminal check. After consulting with the Chief and President, HR shall then inform the applicant that until the pending case is resolved, he or she is ineligible for employment.

d. Pending Criminal Matter; Employee or Contractor. In the event that a criminal check reveals that a criminal case is pending in which an employee or contractor is accused of one of the offenses listed in 460 IAC 6-10-5 (listed above), HR shall notify the appropriate Chief and President of the findings and provide the same with a copy of the criminal check.

1. Employee.

a) If the pending case involves an employee, that individual shall be suspended without pay until such time as an investigation into the matter can be completed and the employee meets with the President and appropriate Chief to discuss the same.

b) Only the President, in his sole discretion, may make a determination as to whether the individual is eligible for continued employment with Heartland until such time as the criminal matter is resolved.

c) The determination shall be documented in the employee’s file along with actions taken by HR, in accordance therewith.

d) In the event that the employee continues his or her employment with Heartland, he or she shall be affirmatively responsible for informing Heartland of any resolution in the matter. This affirmative obligation shall be made clear to the employee during the meeting with the President and appropriate Chief.

e) As with criminal convictions, if the employee asserts that the criminal check is in error, the employee shall have sixty (60) days to provide satisfactory proof to Heartland of this error. If the matter is not resolved to Heartland’s satisfaction within sixty (60) days, the employee shall be formally terminated for cause.

2. Contractor.

a) Upon receiving notification from HR, the President or his designee, shall immediately contact the contractor and suspend the contracted services pending further investigation into the matter.

b) Upon investigating the matter, the President shall make a determination, in his sole discretion as to whether to continue to use the contractor or terminate the contract for material breach. If the President determines that the contractor may continue services, the contractor will be informed of the same, along with any conditions of continued services. If the President determines that a material breach has occurred, the contractor shall receive notice of the termination of the contract and any final payment due.

c) If the contractor alleges that the criminal check is in error, the contractor shall have sixty (60) days to provide Heartland with satisfactory proof of the error. If the matter is not resolved to Heartland’s satisfaction within sixty (60) days, the contractor shall receive notice of cancellation of the contract for material breach as set out above.

e. Criminal Matter Not Otherwise Specified. In the event that a criminal check reveals a conviction or pending criminal matter not otherwise specified under 460 IAC 6-10-5 (listed above), HR shall notify the appropriate Chief and President of the findings and provide the same with a copy of the criminal check.

1. Applicant.

a) If the conviction or pending criminal matter pertains to an applicant, after consulting with the appropriate Chief and President, HR will inform the individual that he or she may be ineligible for employment unless the President, in his sole discretion, determines otherwise.

b) If the President approves the applicant’s employment with Heartland, that approval will be documented and kept in the applicant/employee’s file.

c) In the event the President determines that the applicant will be accepted for employment, he may establish additional terms for that employment, such as random drug and/or alcohol screens or the completion of a defensive driving course.

d) Once the applicant becomes an employee he or she shall automatically be placed on an extended probationary period of 180 calendar days.

e) Any violation of any policy or procedure occurring within the 180 day probationary period may result in immediate termination of employment for cause.

f) Failure to meet any additional terms of employment as set out by the President shall be cause for immediate termination of employment for cause.

2. Employee. If the conviction or pending criminal matter pertains to an employee, HR shall notify the appropriate Chief and President and provide the same with a copy of the criminal check.

3. The Chief and President shall make a determination as to whether to meet with the individual or terminate his or her employment. HR shall then notify the individual of the date and time for a meeting with the Chief and President or of his or her termination. Any meeting set up for the purpose of discussing the pending criminal matter shall be mandatory and failure to attend such meeting by the individual will be cause for immediate termination for cause.

a) HR shall obtain a copy of the Charging Information and provide it to the Chief and President prior to the meeting with the employee.

b) The President, in his sole discretion, shall determine whether an employee may continue his or her employment with Heartland. If he approves the employee’s continued employment, documentation of the same will be kept in the employee’s file.

c) In the event the President determines that the employee may continue his or her employment, the President may establish additional terms for that employment, such as random drug and/or alcohol screens or the completion of a defensive driving course.

d) Upon disposition of the employee’s pending criminal matter, a copy of the Charging Information and Disposition Order shall be kept in the employee’s file.

e) If the employee asserts that the conviction or pending criminal matter is an error, the employee shall have sixty (60) days to provide satisfactory proof to Heartland of this error. If the matter is not resolved to Heartland’s satisfaction within sixty (60) days, the employee shall be formally terminated for cause absent a directive to the contrary from the President.

f) Failure to meet any additional terms of employment as set out by the President shall be cause for immediate termination of employment for cause.

4. Contractor

a) Upon receiving notification from HR, the President or his designee, shall immediately contact the contractor regarding the conviction or pending matter and conduct an investigation into the matter.

b) Upon investigating the matter, the President shall make a determination, in his sole discretion as to whether to continue to use the contractor or terminate the contract for material breach. If the President determines that the contractor may continue services, the contractor shall be notified of the same, along with any conditions of continued services. If the President determines that a material breach has occurred, the contractor shall receive notice of the termination of the contract and any final payment due.

c) If the contractor alleges that the conviction or pending matter is an error, the contractor shall have sixty (60) days to provide Heartland with satisfactory proof of the error. If the matter is not resolved to Heartland’s satisfaction within sixty (60) days, the contractor shall receive notice of cancellation of the contract for material breach as set out above unless otherwise directed by the President.

2. Policy and Procedure Notification. This policy and procedure shall be posted on Heartland’s website, along with a contact name and phone number in the event that an individual has questions or needs for information.