New Requirements for Background Checks - Effective December 31, 2014 Office of Ethics and Compliance The Pennsylvania State University
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New Requirements for
Background Checks
Effective December 31, 2014
Office of Ethics and Compliance
The Pennsylvania State UniversityPA Title 23, Ch. 63
• Amendment to PA Title 23: Domestic Relations, Ch. 63:
Child Protective Services (HB 435 signed into law as Act
153)
– Changes requirements for background checks
– Effective December 31, 2014 (July 1st for Volunteers)
• Affects University faculty, staff, and volunteers working
with anyone under 18
– Law defines a child as individuals under 18 years of age
– Responsible for “care, supervision, guidance, or control”
– Have “routine interaction”
Office of Ethics and Compliance
The Pennsylvania State UniversityPriorities for Implementation
1. New Hires and current employees 16 years of age or older
responsible for the welfare of a child or having direct contact with
children (non-undergraduate) in youth programs or services (e.g.,
those formerly defined as Authorized Adults)
NOTE: The law references employees age 14 or older, however Penn State policy precludes hiring employees younger than age 16
2. Volunteers 18 years of age or older responsible for the welfare of
a child or having direct contact with children (non-undergraduate)
in youth programs or services (e.g., those formerly defined as
Authorized Adults)
Further guidance will be coming soon for the following individuals
Employees, volunteers, or independent contractors who have “routine
interaction” with undergraduates or employees under 18
– Coalition of PA institutions of higher education are working with
appropriate state agencies to more clearly define “routine interaction”
– PSU will then provide information and guidance to affected employees
on obtaining clearances
Office of Ethics and Compliance
The Pennsylvania State UniversityPA Title 23, Ch. 63
• Three clearances required:
– Pennsylvania State Police Criminal Background Check
(SP4-164)
– Pennsylvania Child Abuse History Clearance Form
(CY-113)
– Federal (FBI) Fingerprint Criminal Background Check
(Criminal History Report)
• Must be renewed every 3 years
• Penn State has not included these clearances in
previous background checks
Office of Ethics and Compliance
The Pennsylvania State UniversityInformation and Instructions
• Go to www.universityethics.psu.edu
– Click on “Background Checks”
Office of Ethics and Compliance
The Pennsylvania State UniversityAuthorized Adults - Employees
• All “Authorized Adults” as defined in AD39 (Minors Involved in
University-Sponsored Programs or Programs Held at the
University and/or Housed in University Facilities)
• Are required to obtain the three clearances
• Minimum age changed from 18 to 14 years
– “Individuals, age [14] and older…who interact with, supervise,
chaperone, or otherwise oversee minors in program activities,
recreational, and/or residential facilities”
– NOTE: PSU Policy prohibits the hiring of individuals under the age of 16
• We cannot accept previously-obtained clearances provided by
the employee from another institution/organization
Office of Ethics and Compliance
The Pennsylvania State UniversityAuthorized Adults - Volunteers
There are four differences for volunteers:
1. Legal deadline to obtain required clearances is
July 1, 2015. University will begin the process
January 1, 2015
2. Not required for volunteers under 18
3. Good for 3 years and follow the volunteer
• Volunteer does not need a new set of clearances for each
organization
4. FBI fingerprint clearance not required for PA
residents of 10 or more years
• Must sign an affidavit stating they have not been convicted
of a certain list of crimes in a state or territory of the
United States or foreign nation
Office of Ethics and Compliance
The Pennsylvania State UniversityCurrent Authorized Adults
Recommended Timelines
• Some clearances may take 30-60 days to
process
• Recommended deadlines are:
Youth Program Date Recommended Application Date
January-March 2015 By December 12
April-May 2015 January 1-31
June-July 2015 February 1 – March 31
After July 31, 2015 April 1 – May 31
• Units may set earlier deadlines
Office of Ethics and Compliance
The Pennsylvania State UniversityCost of Obtaining Clearances:
Employees
• Youth program or Unit will assume cost
– $47.50 per person
• Unit can pay up-front, or employee can pay and
be reimbursed
– Employee Payment
• Reimburse through ERS – receipts required
– Unit Payment
• Use P-card for PA State Police and FBI
• PA Child Abuse can be sent in bulk with a check
– Employee/volunteer must complete a “Consent/Release of
Clearance Information Authorization Form”
– Submit form with payment
Office of Ethics and Compliance
The Pennsylvania State UniversityCost of Obtaining Clearances:
Volunteers
• Starting January 1, 2015, volunteers may provide original copies of
clearances that they or another organization has obtained
– Unlike employees, the law permits volunteers to transfer clearances from one
organization to another
– Volunteer retains original, make copy for volunteer’s file
• Each youth program or Unit will decide whether volunteers will be
reimbursed in full, partially, or not at all for the cost of the clearances
– Cost: Up to $47.50 per person
– If the Units decides to pay for the clearances, the Unit can pay up-front, or the
volunteer can pay and be reimbursed
– Volunteer Payment
• Reimburse through ERS (non-Employee) – receipts required
– Unit Payment
• Use P-card for PA State Police and FBI
• PA Child Abuse can be sent in bulk with a check
– Employee/volunteer must complete a “Consent/Release of Clearance Information Authorization
Form”
– Submit form with payment
– Remember to include PA Criminal Results with each Volunteer request
Office of Ethics and Compliance
The Pennsylvania State UniversityObtaining PA State Police Clearance
Option 1: Online Submission
1. Go to https://epatch.state.pa.us
2. Under “Credit Card Users,” click “Submit a New Record Check”
3. Enter employee/volunteer personal information
4. Under Reason for Request select either “Employment/Screening” or
“Volunteer,” whichever is applicable
5. Use the unit address for where the records should be sent
6. On the next screen enter all personal information
7. Click on “Enter This Request” and your request will be sent to a queue
8. Click on “View Queued Record Requests” and click on “Submit” to pay the
$10.00 fee
9. Print out the “No Record” certificate using your computer and printer
10. If you receive a “Request Under Review” response, check the PATCH website
periodically for updates to the request. It can take anywhere from a few days
to a few weeks for the “Request Under Review” status to be updated. If a
record is found it will be mailed to the unit address provided
Office of Ethics and Compliance
The Pennsylvania State UniversityObtaining PA State Police Clearances
Option 2: Paper Submission
1. Go to http://www.dhs.state.pa.us
2. Go to left hand column and click on "Find a Form.“
3. Enter the Publication: SP and Form Title: 4-164 and click “Find a Form”
4. Click on the link that appears: “Pennsylvania State Police Request for
Criminal Record Check Form SP 4-164”
5. Use “The Pennsylvania State University” for “Name/Requester”
6. Use unit address
7. Check the block for “INDIVIDUAL/NONCRIMINAL JUSTICE AGENCY”
8. Under Reason for Request select either, “Employment/Screening” or
“Volunteer,” whichever is applicable
9. Print out the form
10. Enclose a $10.00 certified check payable to "Commonwealth of
Pennsylvania"
11. Mail form and payment to address on form
Office of Ethics and Compliance
The Pennsylvania State UniversityObtaining PA Child Abuse Clearances
1. Go to: http://www.dhs.state.pa.us
2. Go the right hand column and click on Pennsylvania
Child Abuse History Clearance Form CY-113
3. Print out form and complete Section I only
4. For Purpose of Clearance select either “Volunteer” or
“Employment with a significant likelihood of regular
contact with children,” whichever is applicable
5. If a VOLUNTEER, you must submit COPIES of the
RESULTS of the PA State Police clearance (and FBI
clearance, if applicable). Do not send the original
clearances, as they will not be returned
6. All information must be completed in full and the form
must be signed
Office of Ethics and Compliance
The Pennsylvania State UniversityObtaining FBI Fingerprint Clearances
1. Go to: https://www.pa.cogentid.com/index.htm
2. Select the Department of Welfare (DPW) icon.
3. Enter all required information on the registration page. Please take note of the following:
• Fingerprint Card User box: Check if an out-of-state applicant who will be unable to be printed
electronically at a Livescan system within Pennsylvania. Reference “How to Submit a Fingerprint
Card to 3M Cogent” should you need to obtain a fingerprint card.
• Payment Type: select “Credit Card”
• Agency Name: The Pennsylvania State University
• Agency Address: Unit address
• Reason Fingerprinted: select “Employment with a significant likelihood of contact with children”
• E-Mail address: Use the email address of the person initially paying for the clearance
4. Once submitted, provide the resulting form to the employee/volunteer
5. The employee/volunteer then goes to the fingerprinting site of his/her choice. Find
approved sites at https://www.pa.cogentid.com/index.htm. The entire fingerprint scan
process takes 3-5 minutes (but may take longer depending on wait times at the site). The
employee/volunteer must bring an approved ID to the site (see
https://www.pa.cogentid.com/index.htm for approved list of ID sources).
Office of Ethics and Compliance
The Pennsylvania State UniversityHousing Clearances
Penn State is to maintain a copy of the
clearances (original must verified)
– If the forms are going to be filed by employee name, they should be in a separate folder
within the employee’s file, similar to any medical information or I-9 information
– These forms may include social security numbers and, therefore, records should be kept
in accordance to AD19 Use of Penn State Identification Number and Social Security
Number
– These forms should not be accessible to management as they may contain information
that may be protected
– A secondary list should be kept to monitor re-certification dates
• Do Not include the SSN in any spreadsheet used for tracking records
• Example: A simple excel spreadsheet with a formula (add 3 years) to track
expiration dates
Office of Ethics and Compliance
The Pennsylvania State UniversityCriminal Penalties for
Not Requiring Clearances
• An employer, administrator, supervisor, or other
person responsible for employment decisions or
selection of volunteers that intentionally fails to
require the submission of the three clearances
commits a misdemeanor of the third degree*
• Punishable to a maximum of 1 year
imprisonment and $1,000 fine†
*[23 Pa. C.S. § 6344(B)(2), 23 Pa. C.S. § 6344.2(B)]
†[15 Pa. C.S. § 15.66(a)(7), 15 Pa. C.S. § 15.66(b)(8)]
Office of Ethics and Compliance
The Pennsylvania State UniversityThank you for your assistance
in helping us provide a safe and healthy environment for all
children on our campuses and in University programs!
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