Background Checks | Policies for All Staff at Indiana University

Background Checks
AFSCME(BL) 2.24 • AFSCME(IN) 3.7 • AFSCME(SB) 2.20 • CWA 10.7 • PA/SS 3.7 • Hourly 1.3

Revised April 1, 2008

Employees covered by this policy

This policy applies to all Staff and Hourly employees of Indiana University.

A. Purpose

It is important that the University's academic and research missions are supported by qualified employees, with a safe and secure environment for all University constituents, including students, visitors and employees. It is also important that Indiana University take meaningful actions to protect its funds, property and other assets.
This policy is intended to support the verification of credentials, criminal history, credit status and other information related to employment decisions that assist the University in meeting its commitments.

B. Statement of General Policy

It is the policy of Indiana University that all new Staff and specified new Hourly employees have certain credentials and criminal and other background information verified as a condition of employment.
It is the policy of Indiana University that specified current Staff employees with fiscal management responsibility have their criminal and other background information verified as a condition of continued employment.

C. Definitions

"Credit history check" means checking the credit history of the selected applicant or employee. (Federal laws prohibit discrimination against an applicant or employee as a result of bankruptcy.)
"Criminal history check" means verifying that the selected applicant or employee does not have any undisclosed criminal history in every jurisdiction where the applicant or employee currently resides or has resided.
"Educational verification" means ensuring that the selected applicant or employee possesses all educational credentials beyond high school listed on the application, resume or cover letter or otherwise cited by the candidate that qualify the individual for the position sought.
"Employee" is defined as any person employed by Indiana University, whether full- or part-time.
"Employment verification" means ensuring that the selected applicant or employee actually worked in the positions listed on the application, resume, or cover letter or otherwise cited by the candidate that qualify the individual for the position sought, as well as all employment during a period of at least seven (7) years immediately preceding application at Indiana University. This verification should include dates of employment and reasons for leaving each position.
"License verification" means ensuring that the selected applicant or employee possesses all the licenses listed on the application, resume or cover letter or otherwise cited by the candidate that qualify the individual for the position sought and verification of any license required for the position, including verification of the disposition of such licenses. This includes any motor vehicle drivers licenses required for the associated position.
"Limited criminal history check" means verifying that the selected applicant or employee does not have any undisclosed criminal history in the jurisdiction where the applicant or employee currently resides, or where the applicant or employee last resided, if the applicant or employee only recently moved to a location near the University.
"Limited sex and violent offender registry check" means verifying that the selected applicant or employee does not have undisclosed convictions of certain sex and violent crimes in the jurisdiction where the applicant or employee currently resides, or where the applicant or employee last resided, if the applicant or employee only recently moved to a location near the University.
"Sex and violent offender registry check" means verifying that the selected applicant or employee does not have undisclosed convictions of certain sex and violent crimes in every jurisdiction where the applicant or employee currently or has resided.
"Tax payment check" means verifying that the selected applicant or employee is current in payment of Indiana state taxes.

D. Policy Provisions

New Staff Employees

All new Staff employees shall have the following background checks completed as a condition of employment with Indiana University. For each of the background checks identified in this paragraph, the human resources office at each campus will determine whether it or the hiring department will perform the background check.

Employment verification - to be completed by the hiring department or campus human resources office
Educational verification - to be completed by the hiring department or campus human resources office
License verification - to be completed by the hiring department or campus human resources office; except for a required motor vehicle drivers license, which is to be initiated by the hiring department or campus human resources office and completed by Risk Management
Criminal history check - to be initiated by the hiring department or campus human resources office, with final completion by the campus human resources office
Sex and violent offender registry check - to be initiated by the hiring department or campus human resources office, with final completion by the campus human resources office

Foreign nationals who have been offered employment into appointed Staff positions will be subject to the following provisions:
1. The verification of education that the candidate has cited that qualifies the individual for the position.
2. The verification of employment that the candidate has cited that qualifies the individual for the position.
3. A criminal history check covering time in the United States if the period of time that the individual has been in the United States exceeds one year.
4. A criminal history check in the individual’s prior countries of residence only if the individual’s visa and/or authorization to work in the United States was issued before implementation of the Patriot Act on October 24, 2001. The university will not require that a criminal history check be conducted in the individual’s prior countries of residence if the visa or authorization to work was issued or renewed under the provisions of the Patriot Act.
All new Staff employees who will be performing any of the following jobs shall also have the below listed additional background checks completed as a condition of employment with Indiana University: Vice President, Vice Chancellor, Associate or Assistant Vice President, University Athletics Director, CEO IU Alumni Association, and other positions as requested by the campus human resources office and approved by University Human Resource Services. Additional background checks shall include:

Credit history check - to be completed by University Human Resource Services
Tax payment check - to be completed by University Human Resource Services

New Hourly Employees (including individuals with student status)
1. All new Hourly employees who are 22 or older and who are hired to perform work indicated below (D.2.d. and e.) shall have the following background check completed as a condition of employment with Indiana University:
  1. Criminal history check - to be initiated by the hiring department or campus human resources office, with final completion by the campus human resources office
  2. Sex and violent offender registry check - to be initiated by the hiring department or campus human resources office, with final completion by the campus human resources office
2. All new Hourly employees who are less than 22 and who are hired to perform work indicated below (D.2.d. and e.) shall have the following background check completed as a condition of employment with Indiana University:
  1. Limited Criminal history check - to be initiated by the hiring department or campus human resources office, with final completion by the campus human resources office
  2. Limited sex and violent offender registry check - to be initiated by the hiring department or campus human resources office, with final completion by the campus human resources office
3. Foreign nationals who have been offered employment into Hourly positions performing the type of work covered elsewhere in this policy will be subject to the following provisions:
  1. A criminal history check covering time in the United States if the period of time that the individual has been in the United States exceeds one year.
  2. A criminal history check in the individual’s prior countries of residence only if the individual’s visa and/or authorization to work in the United States was issued before implementation of the Patriot Act on October 24, 2001. The university will not require that a criminal history check be conducted in the individual’s prior countries of residence if the visa or authorization to work was issued or renewed under the provisions of the Patriot Act.
4. Hourly work assignments that require this background check include:
  1. Employment in a PERF-covered position
  2. Work that involves handling financial, student or personnel data or records
  3. Work that involves any confidential or sensitive data or information
  4. Work that involves handling cash, checks, or credit card transactions
  5. Work that involves responsibility for or providing services to any one under the age of 18
  6. Work that involves possessing keys/codes or other means of entry to living spaces within university provided housing, e.g. dormitory rooms, hotel rooms, or apartments
  7. Work that provides access to a select agent or toxin as defined by the Centers for Disease Control (CDC) or which will load, unload, prepare for transport, transport, or offer for transportation any quantity of radioactive materials or a quantity of hazardous material which requires placards
  8. Any other Hourly positions that a campus human resources office determines should be included
5. All new Hourly employees who are hired to perform work that requires a license, regardless of age, shall have the following background check completed as a condition of employment with Indiana University:
  1. License verification - to be completed by the hiring department; except for a required motor vehicle drivers license, which is to be initiated by the department and completed by Risk Management
6. At the discretion of the hiring department or campus human resources office, an Hourly employee may have an educational verification and/or employment verification completed.
Current Staff and Hourly Employees
1. All current Staff employees who are performing any of the following jobs or functions shall have the below listed background checks completed as a condition of continued employment with Indiana University: Vice President, Vice Chancellor, Associate or Assistant Vice President, University Athletics Director, and CEO Alumni Association.
  1. Criminal history check - to be completed by University Human Resource Services
  2. Credit history check - to be completed by University Human Resource Services
  3. Tax payment check - to be completed by University Human Resource Services
2. Current Staff and Hourly employees who are selected for a transfer or promotion to positions that the Office of the Treasurer has identified as having revenue processing responsibilities shall have a criminal history check completed prior to assuming these responsibilities. The promotion or transfer offer will be conditional until completion and review of the criminal history check.
Previous Verifications or History Checks
1. If the university has performed any of the above verification or history checks on an individual within the past year, a new verification or history check of that specific category will not be required. The results of the previously performed verification and/or history check will be considered in any pending employment decision.

E. Responsibilities

Campus Human Resource Office and Hiring Department Responsibilities for New Employees
1. The human resources office at each campus will determine which of the components of the background check that it or the hiring department will perform.
2. All offers of employment, oral and written, shall include the following statement: "This offer is contingent on the university's verification of credentials and other information required by state law and IU policies, including the completion of a criminal history check."
3. Employment verification: It is strongly recommended that this verification be completed before making an offer of employment to any individual; in all cases requiring such, this verification shall be completed within 30 days of making the offer of employment.
4. Educational and License verifications: It is strongly recommended that this verification be completed before making an offer of employment to any individual; in all cases requiring such, these verifications shall be completed within 30 days of making the offer of employment.
5. Criminal history check (standard or limited) and sex and violent offender registry check (standard or limited): In all cases requiring such, these background checks shall be initiated after acceptance of the conditional offer of employment.
  1. The individual's official name, date of birth and social security number will be obtained from the person and provided to a third-party which the University has contracted with for associated services.
6. If the criminal history check indicates that there are no convictions, the third party vendor will inform the initiator of the request who in turn will inform the applicant that the employment offer is confirmed.
7. If the criminal history check indicates that there are convictions, the third party vendor will inform the campus human resources office and University Human Resource Services. The campus human resource office will provide a copy of the report to the individual. (All related information will be treated as confidential, and protected as such.)
8. If the criminal history check reveals convictions which the individual disclosed in the application, the campus human resource office will review the report with the hiring department and with the Office of the Treasurer if the position is one that has been identified as having revenue processing responsibilities. Jointly, they will evaluate each conviction, including any additional information that the individual provides, before the offer of employment is confirmed or withdrawn. The existence of a conviction does not automatically disqualify an individual from employment. Relevant considerations may include, but are not limited to, the nature and number of the convictions, their dates, and the relationship that a conviction has to the duties and responsibilities of the position. Any decision to accept or reject an individual with a conviction is solely at the discretion of Indiana University. (All related information will be treated as confidential, and protected as such.)
9. If unreported convictions are revealed in the criminal history check, the offer of employment will be withdrawn and, if employed, the individual will be separated from employment, unless the individual shows that the report is in error. The decision to reject or terminate an individual with an unreported conviction is solely at the discretion of Indiana University. (All related information will be treated as confidential, and protected as such.)
10. In the event that the results of the background check influences a decision to withdraw an employment offer or terminate employment, the campus human resources office will inform the hiring department and the individual.
11. For all employment, education, and license checks/verifications required, departments shall maintain records indicating the item checked/verified, the name of the department personnel completing the check/verification, the date of the check/verification, and the status of the check/verification. These records shall be retained in the department's personnel file for the associated employee.
  1. All results of criminal and sex and violent offenders convictions or issues are considered confidential and will be maintained in confidential files within the campus human resources office.
Campus Human Resource Office and Employing Department Responsibilities for Current Employees Seeking Positions Having Revenue Processing Responsibilities
1. This section of the policy applies to current Staff or Hourly employees who are seeking promotion or transfer to a position that the Office of the Treasurer has identified as having revenue processing responsibilities.
2. All current employees wishing to apply for promotion or transfer to one of the identified positions must update or complete a new Personal Profile or application before being eligible for consideration for the position.
3. Employing departments can not consider any current employee for such a position until the employee has submitted an updated or new Personal Profile or application.
4. All offers of promotion or transfer to such positions, oral or written, shall include the following statement: "This offer is contingent on the university's verification of credentials and other information required by state law and IU policies, including the completion of a criminal history check."
5. The employing department is to initiate a criminal history check after acceptance of the conditional offer of promotion or transfer.
  1. The employee's official name, date of birth and social security number will be obtained from the person and provided to a third-party which the University has contracted with for associated services.
6. If the background check indicates there are no convictions, the third party vendor will inform the initiator of the request who in turn will inform the employee that the promotion or transfer offer is confirmed.
7. If the background check indicates that there are convictions, the third party vendor will inform the campus human resource office and University Human Resource Services. The campus human resource office will provide a copy of the report to the employee.
8. The campus human resource office will review the report with the hiring department and the Office of the Treasurer. Jointly, they will evaluate the record, including any additional information that the employee provides, before the offer of promotion or transfer is confirmed or withdrawn.
9. The existence of a conviction does not automatically disqualify an individual from employment in a position having revenue processing responsibilities or employment in another position. Relevant considerations may include, but are not limited to, the nature and number of convictions, and the relationship that a conviction has to the duties and responsibilities of the position.
10. If unreported convictions are revealed in the criminal history check, the offer of employment will be withdrawn and the employee will be separated from employment, unless he or she shows that the report is in error. The campus human resources office will review the situation with the management of the employee's current department before a decision to terminate is made.
University Human Resource Services Responsibilities
1. In the event that a criminal conviction is found, the third party vendor will submit the report to the campus human resources office associated with the position and University Human Resource Services.
2. University Human Resource Services will monitor the hiring decisions made in such cases, consult with the campus human resources office in helping to resolve cases, and monitor hiring decisions in such cases for consistency.
3. University Human Resource Services will conduct criminal, credit and tax history background checks for Staff employees in the following positions: Vice President, Vice Chancellor, Associate or Assistant Vice President, University Athletics Director, and CEO Alumni Association. (All related information will be treated as confidential, and protected as such.)
4. University Human Resource Services will coordinate the receipt and payment of the third party vendor's fees.
The employing department will be responsible for any fees associated with any of the components of the background check process. (Schools or campuses may decide to fund the cost of associated fees.)

F. Sanctions for Violation

Violations of University policies, including providing false or misleading information used for any of the above background checks, will be handled in accordance with applicable University policies and procedures; which may include disciplinary actions up to and including termination from the University.

G. Appeals

In accordance with Section D.3.b. of this policy, an offer to a current Staff employee for a position that the Office of the Treasurer has identified as having revenue processing responsibilities is conditional until completion and review of the criminal history check. If the offer is withdrawn as the result of a background check or if the Staff employee is terminated as the result of an unreported conviction, the employee may appeal the withdrawal of the offer or the termination pursuant to the university’s problem-grievance procedures.
For new hires and current Hourly employees, the withdrawal of an offer of employment based on the result of a background check may be appealed to the next higher unit head for review but the decision is not subject to the university’s problem-grievance procedures.

Related University Policies and Laws

IU Human Resource Policies related to Selecting and Hiring Employees

IU Risk Management Policies related to Motor Vehicle Drivers License

IU Treasurer's Office Policies related to Revenue Processing

Office Responsible for this Policy

University Human Resource Services

University Human Resource Services
Last updated: 29 March 2008
URL: http://www.indiana.edu/~uhrs/policies/
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