Pre-Employment and Criminal Background Checks Page 1 of 8

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1 Pre-Employment and Criminal Background Checks Page 1 of 8 Policy No: 4.15 Subject: Supersedes: Effective: April 1, 2006 Reviewed: July 1, 2009 Revised: September 1, 2010 Pre-Employment and Criminal Background Checks All existing corporate and business unit policies on this subject Page(s): 8 Approved by: Human Resources Executive Team (HRET) 1.0 Philosophy/Purpose Henry Ford Health System (HFHS) has a long standing commitment to maintaining patient, visitor and employee safety and health. The purpose of this policy is to ensure that appropriate information about a candidate's education, employment history, and history of criminal convictions is considered prior to confirming an offer of employment. It is a further goal of this policy to ensure that the best qualified applicants are selected for each position. Accordingly, HFHS has established a preemployment and criminal background check policy that requires a background check be completed for all positions in the company prior to the start of a new position and after a contingent offer of employment has been extended. In addition, the State of Michigan Public Acts 26, 27, 28 and 29 of 2006 mandates the obtainment of criminal background information, including FBI fingerprinting, of all individuals who seek employment, independent contractor relationships, students training over 40 hours in total or clinical privileges in positions that provide direct access to the consumers served by Henry Ford Health System (HFHS). Direct Access is defined under Public Acts 26, 27, 28 and 29 of 2006 as access to a patient or resident or to a patient or resident s property, financial information, medical records, treatment information or any other identifying information. This law supplements and reinforces HFHS s long-standing policies relating to requisite good moral character and suitability to work with vulnerable patients. 2.0 Scope This policy applies to all employees and independent contractors hiring into positions at all business units within HFHS and all subsidiary entities. 3.0 Responsibility The interpretation, administration and management of this policy shall be the responsibility of the Chief Human Resources Officer/Senior Vice President of Human Resources or his/her designee and HFHS Human Resources.

2 Pre-Employment and Criminal Background Checks Page 2 of Policy An internal or external applicant for a position must authorize in writing the background investigation as part of the pre-employment process. A contracted provider will conduct the background investigation which will include but may not be limited to a verification of the following: 1. Education 2. Current and/or Prior Employment and Work Experience 3. Criminal Background Check 4. Licensing and Certification Where Applicable 5. Driving Record or Credit History if Applicable HFHS recognizes that special conditions apply to the employment process for employees of business units that are covered under State of Michigan Public Act 28 of 2006 and/or Public Acts 26, 27 or 29 and it is the practice of HFHS to comply with all Federal, State and Local laws governing the employment. HFHS prohibits the employment of employees that do not meet the guidelines of PA 28 of 2006 and/or PA 26, 27 and Practice/Procedure The following factors will be considered for those applicants with a criminal history in determining whether to hire, transfer or promote into new positions: 1. The nature of the crime and its relationship to the position. 2. The time since the conviction or plea bargain. 3. The number (if more than one) of convictions. 4. Whether hiring, transferring, or promoting the applicant would pose an unreasonable risk to our business, our patients or employees. If an applicant discloses that they have been convicted of a felony or misdemeanor as part of the application for employment, he or she will be given an opportunity to review the criminal background check results and submit an explanation. The information should be reviewed by the Talent Selection Specialist and the Talent Selection Manager for a decision prior to extending a final offer of employment. If any applicant is found to have falsified any information regarding conviction history, the applicant will not be considered for employment. If an employee seeking a transfer or promotion to a position requiring a criminal history record check is found to have falsified information regarding a conviction history, the employee may be immediately discharged. 5.1 HFHS will not consider individuals for new employment opportunities who have been convicted of the following within the past 7 years:

3 Pre-Employment and Criminal Background Checks Page 3 of 8 i. A felony involving cruelty or torture. ii. A felony involving criminal sexual conduct. iii. A felony involving abuse or neglect. iv. A felony involving the use of a firearm or dangerous weapon. v. A felony involving the diversion or adulteration of a prescription drug or other medications. vi. A felony that involves the intent to cause death or serious impairment of a body function, that result in death or serious impairment of a body function that involves the use of force or violence, or that involves the threat of the use of force or violence. vii. A felony that involves vulnerable adult abuse under chapter XXA of the Michigan Penal Code,1931 PA 328, MCL m to 750,145r viii. A felony that involves financial or health care fraud ix. A felony that involves theft or robbery Other convictions or cases not cited here will be evaluated by the Talent Selection Manager in consultation with the BU HR leader and Hiring Manager. If pre-employment information cannot be verified through the appropriate channels and institutions, a contingent offer of employment can be rescinded. If the possibility of adverse action exists, the Talent Selection department will provide a Pre-Adverse Action Notice along with a copy of the consumer report and a notice of rights to the candidate. Candidate has a minimum of 5 business days to refute information with the vendor. If the candidate fails to respond in a timely manner to remove or clarify the disqualifying information, the hiring manager may proceed with the hiring process and select another candidate. If the decision is made not to hire the candidate, a Final Adverse Action Notice is mailed or ed to the candidate by Human Resources explaining the reason for not hiring. All information received in the background investigation process will be maintained in confidential, secure files, separate from employee personnel files, with access allowed only to those who have a need to know. 5.2 In addition, PA 26, 27, 28 and 29 of 2006 prohibits the following individuals with certain conviction histories from regularly providing direct services to consumers. See complete list at the end of this policy.

4 Pre-Employment and Criminal Background Checks Page 4 of 8 PA 26, 27, 28 and 29 also prohibits the employment, independent contract, students training over 40 hours or clinical privileges to individuals who have been the subject of a finding of not guilty by reason of insanity and findings of neglect, abuse or misappropriation of property by a state or federal agency pursuant to an investigation of an employee with direct access to a vulnerable patient population as defined by PA 26, 27, 28 or 29 (direct access employee). HFHS will not conduct a criminal history background until a good faith offer of employment or contract has been extended. All workers covered under this law must, as a condition of employment, execute any and all consent forms, acknowledgements and releases arising from compliance with PA 26, 27, 28 or 29. As a condition of continued employment, all direct access workers must immediately report to HFHS any arraignment or conviction of one or more offenses that make them ineligible to work under PA 26, 27, 28 or 29. As an additional condition of employment, all direct access workers must report to HFHS if they have become the subject of an order or disposition finding of not guilty by reason of insanity. Similarly, workers are to report if they are the subject of a substantiated finding of neglect, abuse, or misappropriation of property by a state or federal agency pursuant to an investigation of a direct access employee. The provision of false, incomplete or misleading information during the hiring and application process will result in refusal of work and/or termination. Under Michigan law, an individual who knowingly provides false information regarding his or her identity, criminal convictions or substantiated findings is guilty of a misdemeanor punishable by imprisonment for not more than 93 days or a fine of not more than $500.00, or both. 5.2 Employment Prohibition (This applies to independent contractors as well): HFHS policy prohibits an individual from working in a direct access setting (this includes direct access settings as defined by PA 26, 27, 28 or 29) if the individual falls within one or more of the following: A. Has been convicted of a relevant crime described under 42 USC 132a-7. This federal statute provides a mandatory exclusion for individuals who have been convicted of the following crimes: Conviction related to patient abuse. Felony conviction related to health care fraud. felony conviction related to controlled substances

5 Pre-Employment and Criminal Background Checks Page 5 of 8 Conviction of a crime related to the delivery of an item or service. B. The federal statute also provides a permissive exclusion for individuals who have been convicted of the following crimes: Misdemeanor fraud, theft, embezzlement, breach of fiduciary responsibility, or other financial misconduct. Conviction or plea bargain related to obstruction of an investigation. Misdemeanor conviction or plea bargain related to controlled substances. Has been convicted of or pledged guilty to: any of the felonies listed below; an attempt or conspiracy to commit a felony listed below or A state or federal crime that is similar to the listed felonies (other than a felony for a relevant crime described under 42 USC 1320a-7). C. If 15 years have lapsed since the individual completed all of the terms and conditions of his or her sentencing, parole, and probation for that conviction prior to the date of application for employment or clinical privileges or the date of the execution of the independent contract, then the individual is not prohibited from working in a covered long-term care setting. i ii iii iv v vi vii Felonies Requiring a 15 Year Lapse A felony involving cruelty or torture. A felony involving criminal sexual conduct. A felony involving abuse or neglect. A felony involving the use of a firearm or dangerous weapon. A felony involving the diversion or adulteration of a prescription drug or other medications. A felony that involves the intent to cause death or serious impairment of a body function that results in death or serious impairment of a body function, that involves the use of force or violence, or that involves the threat of the use of force or violence. A felony that involves vulnerable adult abuse under chapter XXA of the Michigan Penal Code,1931 PA 328, MCL m to 750,145r D. Has been convicted or plead guilty of a felony or an attempt or conspiracy to commit a felony, other than a felony for a relevant crime described under 42 USC 1320a-7 or a felony described under subdivision (b), unless 10 years have lapsed since the individual completed all of the terms and conditions of his or her sentencing, parole, and probation for that conviction prior to the date of application for employment or clinical privileges or the date of the execution of the independent contract. E. Has been convicted of any of the following misdemeanors, other than a misdemeanor for a relevant crime described under 42 USC 1320a-7 or a state or federal crime that

6 Pre-Employment and Criminal Background Checks Page 6 of 8 is substantially similar to the misdemeanors described in this subdivision, within the 10 years immediately preceding the date of application for employment or clinical privileges or the date of the execution of the independent contract: Misdemeanor Convictions or plea bargain Requiring a 10-Year Lapse i. A misdemeanor involving abuse or neglect. ii. A misdemeanor involving cruelty or torture unless otherwise provided under subdivision (e). iii. A misdemeanor involving criminal sexual conduct. iv. A misdemeanor that involves vulnerable adult abuse under chapter XXA of the Michigan Penal Code, 1931 PA 328, MCL m to r. v. A misdemeanor involving the use of a firearm or dangerous weapon with the intent to injure, the use of a firearm or dangerous weapon that results in a personal injury, or a misdemeanor involving the use of force or violence or the threat of the use of force or violence. F. Has been convicted or plead guilty of any of the following misdemeanors, other than a misdemeanor for a relevant crime described under 42 USC 1320a-7, or a state or federal crime that is similar to the misdemeanors described in this subdivision, within the 5 years immediately preceding the date of application for employment or clinical privileges or the date of the execution of the independent contract: Misdemeanor Convictions Requiring a 5-Year Lapse i. A misdemeanor involving cruelty if committed by an individual who is less than 16 years of age. ii. A misdemeanor involving home invasion. iii. A misdemeanor involving embezzlement. iv. A misdemeanor involving negligent homicide. v. A misdemeanor involving larceny unless otherwise provided under subdivision (g). vi. A misdemeanor of retail fraud in the second degree unless otherwise provided under subdivision (g). vii. Any other misdemeanor involving assault, fraud, theft, or the possession or delivery of a controlled substance unless otherwise provided under subdivision (d), (f), or (g). G. Has been convicted of any of the following misdemeanors, other than a misdemeanor for a relevant crime described under 42 USC 1320a-7, or a state or federal crime that is substantially similar to the misdemeanors described in this subdivision, within the 3 years immediately preceding the date of application for employment or clinical privileges or the date of the execution of the independent contract:

7 Pre-Employment and Criminal Background Checks Page 7 of 8 Misdemeanor Convictions Requiring a 3-Year Lapse i. A misdemeanor for assault if there was no use of a firearm or dangerous weapon and no intent to commit murder or inflict great bodily injury. ii. A misdemeanor of retail fraud in the third degree unless otherwise provided under subdivision (g). iii. A misdemeanor under part 74 of the public health code, 1978 PA 368, MCL to relating to controlled substances, unless otherwise provided under subdivision (g). H. Has been convicted of any of the following misdemeanors, other than a misdemeanor for a relevant crime described under 42 USC 1320a-7, or a state or federal crime that is substantially similar to the misdemeanors described in this subdivision, within the year immediately preceding the date of application for employment or clinical privileges or the date of the execution of the independent contract: 5.2 Roles and Responsibilities: Misdemeanor Convictions Requiring a 1-Year Lapse i. A misdemeanor under part 74 of the Public Health Code, 1978 PA 368, MCL to relating to controlled substances, if the individual, at the time of conviction, is under the age of 18. ii. A misdemeanor for larceny or retail fraud in the second or third degree if the individual, at the time of conviction, is under the age of 16. a) Is the subject of an order or disposition under section 16b of chapter IX of the Code of Criminal Procedure, 1927 PA 175, MCL b. This statutory provision pertains to a finding of not guilty by reason of insanity. b) Has been the subject of a substantiated finding of neglect, abuse, or misappropriation of property by a state or federal agency pursuant to an investigation conducted in skilled nursing facilities in accordance with 42 USC 1395i-3 or 1396r. Talent Selection Department of Human Resources: 1. To incorporate the requirements of this policy into the recruitment and selection process 2. To notify job applicants of the requirements of this policy before and during the recruitment and selection process. To interpret pre-employment and/or criminal history information and recommend appropriate action to the hiring manager.

8 Pre-Employment and Criminal Background Checks Page 8 of 8 To ensure compliance with this policy and relevant procedures. To assure consistent application of standards in decision making across the System relative to the review of work history, educational history and criminal convictions. This policy is consistent with the Fair Credit Reporting Act, Title V11, State of Michigan Public Act 28 of 2006 and/or Public Acts 26, 27 or 29 and it is the practice of HFHS to comply with all Federal, State and Local laws governing employment. Attachments to Policy No 4.15 None