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Federal Sanction Checks

Policy Number: HR-53
Effective Date: November 1, 2007
Last Revision: March 2013
Responsible Officer: Senior Vice President of Student Life & Administrative Services

PURPOSE

This policy supports the University’s efforts to ensure satisfaction of federal requirements that Drexel University’s does not employ individuals who are under federal exclusion or debarment.

 

APPLICABILITY

This policy applies to all eligible Professional Staff Members, excluding those Professional Staff Members who are affiliated with a collective bargaining unit.

 

IMPLEMENTATION

Implementation of this policy is the responsibility of the Department of Human Resources.

 

ADMINISTRATIVE OVERSIGHT

The Senior Vice President of Student Life and Administrative Services is the Drexel University official responsible for the administration of this policy.

 

POLICY

Drexel University’s covered entities will conduct federal sanction list screening as follows:

  1. All prospective new Faculty and Professional Staff Members of Drexel University’s covered entities will be checked against the sanction list when determined to be a “finalist” for the position being considered but prior to being offered the position.
  2. Ongoing sanction checks are conducted on all of Drexel University’s covered entities current Faculty or Professional Staff Member and vendors to Drexel University covered entities on a quarterly basis. (January 1, April 1, July 1, October 1)
    Sanctions Checks include the following federal lists, which may be updated from time to time to comply with applicable federal and state law:
    • Office of Inspector General's (OIG) List of Excluded Individuals/Entities;
    • General Services Administration's (GSA) List of Contractors Excluded from Federal Procurement and Nonprocurement Programs
    • Office of Foreign Assets Control's (OFAC) Specially Designated Nationals/Terrorist List
    • U.S. Food and Drug Administration (FDA) Debarment List and Disqualified/Totally Restricted List for Clinical Investigators
  3. The inquiries into the sanction status of all persons associated with Drexel University’s covered entities are intended to comply with federal and state law and are required as per the organization's Corporate Compliance policies. (Federal law: 42 USC Section 1320a-7b (f))
  4. Drexel University’s covered entities do not knowingly employ or retain persons in positions of trust who have demonstrated a propensity to engage in illegal activities and will take all reasonable and appropriate steps to comply with the laws requiring federal sanction checks; accordingly, all persons covered under this policy have an affirmative duty to notify Drexel University’s Chief Compliance Officer if they are under federal exclusion or debarment or otherwise on a federal sanctions list. If a person has been excluded from participation in a federally funded or state funded healthcare program or if the finalist is unwilling to submit to a background check or sanctions check he/she may not be considered for employment, placement or to perform any services for or on behalf of Drexel University’s covered entities. All individuals found to have matching names found through the federal sanctions checks process shall have the right to review and deny any such findings and lists. The individual may provide information to clarify his/her identity as other than that of the listed individual and shall otherwise cooperate with the designated officials responsible for conducting the sanction checks

 

DEFINITIONS

Department Head is defined as the highest ranking administrator in a department, center or college/school within the University (e.g., Senior Vice President, Dean, Director or department chair).

Faculty Member is defined as an individual employed by Drexel University in a tenured, tenure-track, non-tenured track or adjunct position who teaches at any college, school, center or institute in the University.  A Faculty Member also is deemed to be exempt under the provisions of the Federal Fair Labor Standards Act (FLSA) and/or applicable state law.

Professional Staff Member is defined as an individual employed in any non-faculty category by Drexel University, including an individual who is deemed to be either exempt or non-exempt under the provisions of the Fair Labor Standards Act (FLSA) and/or applicable state law.

 

PROCEDURES

  1. SCREENING AND HIRING PROCESS
    1. Human Resources and Hiring Departments
      • Human Resources is responsible for initiating the federal sanctions check process for new Faculty and Professional Staff Members of Drexel University’s covered entities. All finalists are required to complete the form for Sanction Attestation and Authorization for Release of Information. The completed form is provided to the Chief Compliance Officer for the actual sanction check. Only finalists selected to fill positions are screened, not all applicants. Offers of employment or placement are made contingent upon satisfactory clearance.
      • Finalists who indicate that they have been excluded, debarred or placed on the sanction(s) list will submit with their application any of the following information:
        1. Details about the conviction(s) or sanction(s) including the date, their present status, e.g., debarred, fully sanctioned, reinstated, working under a Corporate Integrity Agreement.
      • The Chief Compliance Officer will verify the individual's identity with the   government agency responsible for the sanction.
    2. Review Process Upon Discovery of Information.
      • The Finalist is notified by the Chief Compliance Officer upon discovery of a name match with the sanction list check.
      • Upon acknowledgement of the sanction by the Faculty or Professional Staff Member: The Chief Compliance Officer will consult with the appropriate Department Chair, Dean/Director, Senior Vice President as well as the Office of the General Counsel, Human Resources, and the Office of Research, in order to make decisions regarding an individual's employment at Drexel University.
        1. Upon denial of sanction by a finalist, the Chief Compliance Officer will confirm the sanction check results for applicability to the named individual. The Chief Compliance Officer will obtain verification (or denial) by government agency assigning the exclusion or debarment as listed on the sanction report.
        2. Finalist will not be considered for hire or to perform any services for or on behalf of Drexel University covered entities if they are confirmed as the individual named on the OIG, GSA, OFAC or FDA lists.
        3. With respect to the research related sanctions lists, it will be necessary for the hiring party to re-evaluate whether the finalist can still be offered a position. This will be done within the structure of the review process and consideration by the Vice Provost of Research Compliance in consultation with the Chief Compliance Officer and the Office of the General Counsel.
  2. ONGOING FEDERAL SANCTIONS CHECKS:
    1. The Chief Compliance Officer is responsible for quarterly screening of sanctions on applicable OIG, GSA, OFAC and FDA websites for all Faculty or Professional Staff Members and vendors of Drexel University’s covered entities.
    2. Upon determining that a Faculty or Professional Staff Member or vendor name appears on the OIG sanctions list, a review will be performed by the Chief Compliance Officer to confirm or deny the identity of the sanctioned name as the named Faculty or Professional Staff Member or vendor according to the following procedures:
      • Present the Faculty or Professional Staff Member or vendor with the findings.
      • Consider Faculty or Professional Staff Member or vendor response to the sanction listing.
      • Confirm Faculty or Professional Staff Member or vendor admission or denial of the sanction with responsible government entity named in the sanction report.
      • File for the record if Faculty or Professional Staff Member or vendor denial of the sanction is accurate.
      • Discuss with Department Head if a Faculty or Professional Staff Member sanction is confirmed.
      • Inform the appropriate Department Head, Dean/Director, Senior Vice President as well as the Office of the General Counsel, Human Resources, and the Office of Research, if the sanction of the Faculty or Professional Staff Member or vendor is confirmed to enable appropriate personnel action (reassignment, suspension, termination) and required federal/state disclosure actions.
  3. COORDINATION AMONG DREXEL UNIVERSITY AND ITS AFFILIATES
    1. To ensure that this Policy is implemented and administered with consistency by Drexel University, Drexel University College of Medicine, and any other affiliate of Drexel University, the Chief Compliance Officer of Drexel University is authorized to delegate some or all of its responsibilities hereunder to the Chief Compliance Officer of Drexel University College of Medicine.

 

AT-WILL EMPLOYMENT NOT AFFECTED

Notwithstanding anything to the contrary stated in this policy, nothing herein is intended to alter the at-will status of any Professional Staff Member.  Drexel University at all times retains the right to terminate any Professional Staff Member at any time for any lawful reason, or for no reason at all.