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Background Checks for Applicants for Employment

I. INTRODUCTION:

This procedure is written in accordance with the Administrative Policy Statement (APS) on "Background Checks for Security-sensitive Positions and for Officers and All Individuals Hired in Tenured and Tenure-track Positions" dated July 1, 2007.

The University of Colorado at Boulder (CU-Boulder) intends to maintain a safe and productive educational, clinical, research, and employment environment. Therefore, prospective CU-Boulder employees and current CU-Boulder employees seeking transfer or promotional opportunities (collectively referred to as Applicants”) must consent to and pass a background investigation prior to any final appointment, hiring, transfer, or promotion relating to regular full-time, part-time and temporary non-student positions at CU-Boulder. Certain positions may be subject to a background check at the time of hire, transfer or promotion as a matter of law or due to the nature of the position. With respect to student applicants, this policy applies only to those student positions specified in Section II.B.4. Offers of appointment, employment, transfer, or promotion are contingent upon the Final Applicant passing the necessary background investigation(s). The type of background investigation varies by position and is intended to protect the assets, employees, and students of CU-Boulder.

At this time, CU-Boulder personnel employed or appointed prior to implementation of the initial Campus Background Check Procedure, or January 31, 2006, will not be subject to retroactive background investigations except in the following circumstances:

When required by any state or federal law, regulation or rule;
When a current employee applies for and is to be hired into a transfer or promotional opportunity position;
When position responsibilities change to include security-sensitive responsibilities including, but not limited to, the following:

Responsibility for patient care, or child care in a child care center as defined by state law; (NOTE: These background checks are conducted by the Colorado Bureau of Investigations as part of the state of Colorado licensing requirement.);
Access to "select agents and toxins," or "controlled substances" as defined under state and federal law;
Access to master keys, electronic access to secured facilities or key access to secured facilities or residential rooms other than where the individual student resides;
Entrustment of university vehicles when proof of a valid driver's license is a job requirement;
Students hired into supervisory, resident hall or teaching responsibilities involving unsupervised, direct contact with students;
Public safety enforcement support;
Access to student/employee personally identifiable information including but not limited to access to SIS and HRMS;
Cash handling and/or authority over or access to large sums of money.

When employees are subject to motor vehicle driver history checks to insure that their licenses are current and/or without excessive violations;
When the appointing authority learns of a final conviction of a misdemeanor, felony or other offense of moral turpitude that adversely affects the ability to perform the job or has an adverse effect on the university if employment is continued; or
When required by Regents Laws, Administrative Policy Statements, or CU-Boulder Policy.

II. REQUIRED BACKGROUND CHECKS

A Reference Check from relevant listed references must be completed for all Final Applicants under consideration for regular full-time, part-time, temporary or student positions.
A Criminal History Record must be obtained for:

All non-student Final Applicants who are to be hired into a regular full-time or part-time position, unless the Final Applicant falls within the scope of paragraph II.E. below or is a former university employee and is being re-appointed or rehired to university employment with a break in service or appointment of not greater than one year, as long as reappointment or rehire is into a position that does not involve security sensitive responsibilities.
All non-student Final Applicants who are to be hired into a temporary position. A background check will not be required if a Final Applicant for a temporary position has within the past year previously undergone a CU-Boulder background check.
All non-student employees who are the Final Applicant for a transfer opportunity as defined herein.
All non-student employees who are the Final Applicant for a promotional opportunity (including involuntary transfers), as defined herein.
All student Final Applicants under consideration for positions that involve security sensitive responsibilities (see paragraph I.3. above). A background check will not be required if a current CU-Boulder student is a Final Applicant and has within the past three years previously undergone a CU-Boulder background check.

A Financial History Record must be obtained for all Final Applicants under consideration for CU-Boulder positions that handle cash on a regular basis as a part of their job duties and responsibilities or who have authority over large expenditures or access to large sums of money.
A Motor Vehicle Record must be obtained for Final Applicants to positions requiring proof of a valid driver's license.
A background check will not be required if a current CU-Boulder employee is a Final Applicant for a non-security sensitive position and has within the past three years previously undergone a CU-Boulder background check. However, departments may choose, with Human Resources approval, to require criminal history background checks as part of a departmental policy more frequently than every three years for Final Applicants and current employees who apply for promotional or transfer opportunities.
A Final Applicant or employee who refuses to consent to any form of required background investigation, refuses to provide information necessary to conduct the background investigation, or provides false or misleading information in regard to the background investigation will not be considered for the position for which s/he has applied.
Any Final Applicant or employee who has been hired, appointed, transferred or promoted and is subsequently found to have provided false or misleading information related to the background investigation will be subject to disciplinary action, up to and including termination.
Criminal, financial and/or motor vehicle history records that are obtained by the University for the purpose of conducting background checks shall in no way be used as a basis for illegal discrimination.

III. PROCEDURES

Recruitment Notices: CU-Boulder position descriptions and recruitment notices (job postings) must:

Provide notification that Final Applicants will be subject to a background check.
The following statement is required on all CU-Boulder job announcements for all regular full- time, part-time and temporary non-student positions, as well as those student positions identified in Section II.B.5. aboveO, and must be mentioned in all recruitment efforts: The University of Colorado at Boulder is committed to providing a safe and productive learning and living community. To achieve that goal, we conduct background investigations for all final applicants being considered for employment. Background investigations include reference checks, a criminal history record check, and when appropriate, a financial and/or motor vehicle history. . For purposes of print advertising, a condensed version of this statement may be used or applicants may be directed to the complete job announcement which includes the full statement on the departmental or university website. A condensed version that may be used is: The University of Colorado at Boulder conducts background checks for all final applicants.
Indicate, in addition to the criminal history and reference check, whether the background check will include a financial history check, motor vehicle record check, or any combination thereof.

Roles and Responsibilities in Conducting Background Checks:

Appointing Authorities: Appointing authorities are responsible for the following functions:

Ensuring that reference checks are completed for the Final Applicant to a regular full-time, part-time, temporary or student position.
Initiating the background check process for each Final Applicant using one of the following options:

For positions posted through JobsatCU.com, change the applicant status to Recommended for Hire”. This action initiates the background check process.
Submit the Final Applicant’s full name and email address to Human Resources at hr-bgc@colorado.edu and notify the Final Applicant that s/he will receive an electronic communication from HireRight Customer Support requesting that s/he submit a background disclosure and authorization form online.
In those cases where the Final Applicant does not have access to a computer, the appointing authority is responsible for obtaining from the Final Applicant completed and signed forms necessary to authorize a background check, including background disclosure and authorization documents . The authorization form permitting the university to conduct background checks can be found on the Human Resources website (www.colorado.edu/humres/downloads/BackgroundFormUCB.pdf.)

When applicable, forwarding all original, completed authorization forms and documents to Human Resources, Office of Employment Services.
Deciding whether to hire Final Applicants into regular full-time, part-time, temporary or student positions based on Human Resources review of the report of investigation and resulting recommendation. If Human Resources does not recommend the hire of a Final Applicant and the appointing authority wishes to hire the individual, the appointing authority must seek approval from the appropriate Vice Chancellor or Provost.
Ensuring the appropriate background checks have been completed prior to entering data for new appointments into HRMS. In exceptional circumstances, in consultation with Human Resources, the appointing authority may hire a temporary employee prior to the completion of the background check investigation.

Human Resources: Human Resources shall be responsible for the following functions:

Securing contracts with third party vendors for provision of background check services for CU-Boulder.
Developing procedures for oversight and implementation of background check services for CU-Boulder.
Coordinating the receipt of background disclosure and authorization forms from Final Applicants or campus departments, coordinating with appointing authorities as needed to determine the appropriate scope of background checks, and requesting the appropriate background check(s) through the third party vendor or other sources. (NOTE: Background investigations for positions with responsibility for patient care, and child care positions in a child care center as defined by state law, are conducted by the Colorado Bureau of Investigations. Background investigations for positions in the Department of Public Safety are generally conducted by the University of Colorado Police.)
Reviewing the report of investigation and recommending to the appointing authority whether to approve the hire of Final Applicants or employees into regular full-time, part-time, temporary or student positions. If Human Resources does not recommend the hire of a Final Applicant and the appointing authority wishes to hire the individual, the appointing authority must seek approval from the appropriate Vice Chancellor or Provost.
Providing written notification to a Final Applicant or employee who may not be considered for a position, based on the results of a criminal history, financial history or motor vehicle history report. This written notification must include a copy of the report and give the Final Applicant a specified time period in which to respond. The specified period of time will be no less than five days.
If, after the specified time period has expired, the Final Applicant fails to respond, issuing a second letter informing the Final Applicant that s/he is no longer being considered for the position.
Reviewing any appeal submitted by a Final Applicant or employee challenging the accuracy of information contained in the report of investigation.
Serving as the official source of record for background checks by maintaining copies of original background disclosure and authorization documents and reports of investigation completed in support of CU-Boulder background check processes.

UCB Employees: All CU-Boulder employees contacted on a need-to-know basis are responsible for ensuring the integrity and confidentiality of the background investigation process. Human Resources may discuss questionable or incomplete background investigation results with the appointing authority to ensure the intent of this procedure is met. Employees are required to maintain confidentiality of all information obtained during the background investigation process.

IV. CONTRACTORS

The following provision should be included in all contracts between CU-Boulder and temporary employment agencies that refer contract employees to CU-Boulder for job positions or contractors whose contract responsibilities involve physical presence of its employees or agents on University property or access to University data:

Contractor understands that concern for the safety and well-being of University students and staff is of particular importance to the University. Contractor expressly acknowledges that it is Contractor’s duty to take reasonable precautions to protect the University’s students and staff. The extent of such precautions will depend on the particular circumstances of the work to be performed. However, to the extent that work to be performed involves security-sensitive functions or security-sensitive areas (e.g. unsupervised access to minors or work involving access to security-sensitive data), such precautions may include, but are not limited to, conducting criminal history checks on employees or agents assigned to such work at the University.”

V. VOLUNTEERS

Volunteers are expected to adhere to University policies, including but not limited to those policies concerning alcohol and drug use, vehicle use, student conduct, fiscal propriety, sexual harassment, diversity, and non-discrimination. Examples of situations for which a criminal history background check for volunteers is recommended include:

Volunteers providing housing for minor undergraduate students;
Unsupervised volunteers assisting with activities that include minors or at-risk adults;
Volunteers spending the night in a situation where minors are present; and
Volunteers in child care facilities;

If a volunteer meets one of the criteria listed above, the individual campus department should initiate the background check process through Human Resources. Resources regarding the use of volunteers is available online from University Risk Management (http://urm.cusys.edu/events/). Specific questions regarding volunteers and background checks may be directed to Human Resources’ Office of Employment Services.

VI. DEFINITIONS

Applicants are current, former, or prospective employees who submit information to be considered for positions at CU-Boulder, including individuals not currently employed by CU-Boulder, and current CU-Boulder employees seeking promotional or transfer opportunities to different positions.

Background Check means the process of gathering and reviewing criminal history records, financial history records, and/or motor vehicle records of the Final Applicant or employee seeking employment with the university in regular full-time, part-time or temporary positions, as well as student positions with specific job duties and responsibilities.

Conviction is generally defined as a verdict, a guilty plea or a Nolo Contendere (No Contest”) plea.

Criminal History Record means a written record or information furnished by a criminal justice agency or third party vendor in the business of obtaining and providing criminal history records relating to an individual’s criminal convictions. A criminal history record does not include an individual’s conviction records that have been sealed by court order. Criminal records include in-state, out-of-state and international criminal history, including misdemeanor and felony convictions.

Criminal History Background Check means the process of gathering and reviewing criminal history records of Final Applicants seeking employment with the university in regular full-time, part-time or temporary positions, as well as student applicants seeking employment in security sensitive positions.

Final Applicant means a current, former, or prospective employee recommended for hire, transfer or promotion and to whom a contingent offer will be made.

Financial History Record means a written record or information furnished by any court of civil law, credit reporting agency (credit report), or a third party vendor in the business of obtaining and providing credit reports for the purpose of evaluating Final Applicants for employment.

Financial History Background Check means the process of gathering and reviewing financial history records of Final Applicants seeking employment with the university in regular full-time, part-time or temporary positions, as well as student positions with specific job duties and responsibilities.

Motor Vehicle Record (Driver's License Records) includes motor vehicle records from any state where the Final Applicant has resided.

Promotional Opportunities are job advancement, title enhancement and/or pay increase actions or processes open to current CU-Boulder employees and which involve increased and/or different job duties and responsibilities. For classified staff positions, a promotional opportunity occurs when the employee is appointed to a class with a higher pay grade maximum than his/her current or previous position. For professional exempt positions, a promotional opportunity occurs when the professional exempt employee accepts a higher-level job title or is promoted within a job title to another department at the same or higher salary. For faculty positions, a promotional opportunity occurs when the faculty member accepts a position with increased and/or different position responsibilities (e.g. Professor to Associate Dean). For the purpose of this policy, promotional opportunities do not include promotions that are built into a current position, e.g., academic progression from assistant professor to associate professor or entry-level classified staff positions that normally progress to the next classification level as an Intern-to-Target position movement; background investigations are not required in such cases.

Reference Check means the process of contacting individuals directly or through a third party vendor, including current and former employers, companies, and educational institutions, that may reasonably be relied upon to provide relevant information regarding a Final Applicant’s fitness for university employment.

Regular Full-time or Part-time Position means a faculty, research faculty, instructor, lecturer, officer, exempt professional or classified staff position of an ongoing nature and with continuing funding.

Security-sensitive Position includes positions which include responsibilities as outlined under Section I.3. of this policy.

Temporary Position could be a faculty, officer, exempt professional or classified staff position of a short-term nature (e.g. six months, semester, academic year, etc.) that generally does not have continuing funding.

Transfer Opportunity refers to a lateral movement in the same job class title and with the same or similar job responsibilities. A transfer typically involves moving to a position in a different campus department and/or with a different appointing authority.

University Officers at CU-Boulder include the chancellor, provost/executive vice chancellor, vice provost/associate vice chancellors, senior vice chancellor, vice chancellors, deans, and the chief campus financial affairs and chief campus fiscal affairs officer, or any other officer as defined by Article 3A of the Laws of the Regents and Regent Policy 3-J.

VII. INTERPRETATION:

The Department of Human Resources shall interpret and maintain this procedure.

This procedure incorporates CU-Boulder’s policies relating to investigations of motor vehicle records for employees and/or Applicants whose job duties require the use of university vehicles.
Nothing in this procedure shall be interpreted to limit CU-Boulder’s right to conduct background checks on current employees when circumstances warrant.

This policy was approved by the Chancellor’s Cabinet on November 26, 2007, and amended on June 4, 2008.

Date: June 4, 2008
Approved by: G. P. "Bud" Peterson, Chancellor
Authors: Director of Human Resources and Office of University Counsel

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