Student LifeBackground Checking

Changes in Policy and Procedures

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Policy 4.15, Background Checks requires background checks to be conducted on final Policy 4.15, Background Checks requires background checks to be conducted on final candidates for candidates for specified university positions.specified university positions. Departments may conduct background Departments may conduct background checks on candidates for positions not mandated by Policy 4.15. In these cases, checks on candidates for positions not mandated by Policy 4.15. In these cases, the the principles in this document must be used to establish department processesprinciples in this document must be used to establish department processes to ensure to ensure consistent and fair practices.consistent and fair practices.

Applies to faculty, staff, graduate associates, student employees, volunteers, and Applies to faculty, staff, graduate associates, student employees, volunteers, and applicants. applicants.

Department background check processes must be applied objectively and consistently Department background check processes must be applied objectively and consistently within a department or division over time.within a department or division over time.

Departments must fully document background check processes to ensure consistent Departments must fully document background check processes to ensure consistent application. Documentation must include the business rationale for conducting checks, application. Documentation must include the business rationale for conducting checks, particularly if the practice is not applied to all final candidates within the department.particularly if the practice is not applied to all final candidates within the department.

The types of background checks conducted must be relevant to the position The types of background checks conducted must be relevant to the position responsibilities.responsibilities.

Policy 4.15, p 1Policy 4.15, p 1

Program RequirementsProgram Requirements

Consumer Reports and/or Consumer Reports and/or Investigative Consumer ReportsInvestigative Consumer Reports

Standards, p. 4

Consumer Reports and/or Investigative Consumer Reports and/or Investigative Consumer Reports, cont.Consumer Reports, cont.

Standards, p. 5

Focal Points - Classification ReviewFocal Points - Classification Review(OHR Policy 4.15, SL Risk & Emergency Management, SL Background Check Program Review – June 2007)(OHR Policy 4.15, SL Risk & Emergency Management, SL Background Check Program Review – June 2007)

High security/sensitive workersHigh security/sensitive workers Care of children or minors, such as child care workers, camp counselors, etc.Care of children or minors, such as child care workers, camp counselors, etc. Handling of financial matters; can be limited to those positions with approval authority or Handling of financial matters; can be limited to those positions with approval authority or

access above a set dollar amount.access above a set dollar amount. Access to master keys of residences and areas requiring a high level of security, such as Access to master keys of residences and areas requiring a high level of security, such as

those that store controlled substances or money, research facilities, etc.those that store controlled substances or money, research facilities, etc. Access to controlled substances.Access to controlled substances. Access to and use of firearms.Access to and use of firearms. Care of patients in health care settings such as hospitals, dental clinics, vision clinics, Care of patients in health care settings such as hospitals, dental clinics, vision clinics,

mental health facilities, etc.mental health facilities, etc. Access to restricted levels of information technology systems or information.Access to restricted levels of information technology systems or information. Access to export-restricted information or materials by applicants for research faculty and Access to export-restricted information or materials by applicants for research faculty and

research scientist positions, who are not naturalized citizens or do not have permanent research scientist positions, who are not naturalized citizens or do not have permanent resident status.resident status.

Agency temporary workersAgency temporary workers Contractors/vendors/repair persons/delivery persons - (criteria: type/level of access)Contractors/vendors/repair persons/delivery persons - (criteria: type/level of access)

12 Commandmentsfor Hiring Managers (HMs)

1. Hiring manager must include “Requires successful completion of background check(s)” in the “Requirements” section of all position descriptions and employment advertisements for applicable positions (Policy 4.15, p. 4 – College/VP Unit).

2. Hiring manager conducts education, license, and employment reference checks before submitting materials for BC (Required, p. 1).

12 Commandments for HMs

3. If candidate is a transfer

(internal or external), HM

contacts SL-HR Specialist for

personnel file.

• HM should review all

information pertaining to

the prospective

employee’s work

performance

Transfer

Internal/External Candidate

SL BC Policy & Procedures, p.2

4. HM should explain to all prospective employees that (if an offer of employment is 4. HM should explain to all prospective employees that (if an offer of employment is

made) they shall be required to submit to fingerprinting, and must complete the made) they shall be required to submit to fingerprinting, and must complete the

Student Life Background Check Disclosure, Authorization, and Release Form Student Life Background Check Disclosure, Authorization, and Release Form

(below) [SL BC Policy & Procedures, p.2](below) [SL BC Policy & Procedures, p.2]

12 Commandments12 Commandments for HMs, cont. for HMs, cont.

5. HM must notify candidate

that background check

results are subject to the

Ohio Public Records Act

(refer to Definitions).

FAQ, p. 2 and Policy 4.15, p. 4

12 Commandments for HMs

6.6. In interview, HM is required to ask about the In interview, HM is required to ask about the nature and nature and

circumstances of criminal convictions, circumstances of criminal convictions, if any are if any are

disclosed. Discriminatory questions are prohibited.disclosed. Discriminatory questions are prohibited.

FAQ, p. 1 and Standards, pp. 5-6

12 Commandments12 Commandments for HMs, cont. for HMs, cont.

7.7. HM should ask the candidate if there are any criminal HM should ask the candidate if there are any criminal

convictions not listed on the application and discuss the convictions not listed on the application and discuss the

details with them.details with them.

If a candidate indicates that a criminal record was If a candidate indicates that a criminal record was

expunged, no further questions should be asked about expunged, no further questions should be asked about

it, as expungements cannot be taken into account it, as expungements cannot be taken into account

regarding the candidate’s employment.regarding the candidate’s employment.

12 Commandments12 Commandments for HMs, cont. for HMs, cont.

Conviction DisclosureConviction Disclosure

SL BC Policy & Procedures, p. 3

Commencing January 1, 2009, employees of SL must inform the Director of Commencing January 1, 2009, employees of SL must inform the Director of

SL-HR (or designee) if they are convicted of any SL-HR (or designee) if they are convicted of any criminalcriminal offense offense within within 5 business days5 business days of the conviction of the conviction excludes traffic infractionsexcludes traffic infractions Director of SL-HR consults with employee’s Unit Director and Legal Director of SL-HR consults with employee’s Unit Director and Legal

Affairs, to determine relevancy of convictionAffairs, to determine relevancy of conviction Employee may be subject to reassignment, termination, or may be allowed Employee may be subject to reassignment, termination, or may be allowed

to resignto resign Reporting of convictions is applicable to all employees, whether or not Reporting of convictions is applicable to all employees, whether or not

their positions are/were subject to an original background check.their positions are/were subject to an original background check. Reporting requirement is effective for all criminal convictions occurring Reporting requirement is effective for all criminal convictions occurring

after December 31, 2008after December 31, 2008

8.8. All offers of employment, All offers of employment, oral or oral or

writtenwritten, must include a statement as , must include a statement as

follows: “This offer is contingent on follows: “This offer is contingent on

the university’s verification of the university’s verification of

credentials and other information credentials and other information

required by law and/or university required by law and/or university

policies, including but not limited to a policies, including but not limited to a

criminal background check.”criminal background check.”

(Policy 4.15, p. 2)(Policy 4.15, p. 2)

9.9. HM confirms contact phone#, obtains HM confirms contact phone#, obtains

candidate signatures, adds title, posting, candidate signatures, adds title, posting,

and authorization data. Forwards and authorization data. Forwards

completed documents to SL-HR completed documents to SL-HR

Specialist. Specialist.

12 Commandments12 Commandments for HMs, cont. for HMs, cont.

10. HM should advise final candidate that fingerprint customers must 10. HM should advise final candidate that fingerprint customers must

present their Social Security card and one form of valid/legal state present their Social Security card and one form of valid/legal state

or federal identification (i.e. drivers license, state ID card, USCIS or federal identification (i.e. drivers license, state ID card, USCIS

Permanent ID, or passport). [SL BC Policy & Procedures, p. 2]Permanent ID, or passport). [SL BC Policy & Procedures, p. 2]

11. HM should inform Background Check Coordinator of any negative 11. HM should inform Background Check Coordinator of any negative

info revealed in interview that the candidate discloses (Standards, info revealed in interview that the candidate discloses (Standards,

p. 5 and Policy 4.15, p. 3).p. 5 and Policy 4.15, p. 3).

12. Once the BC process has begun, the hiring manager must wait on 12. Once the BC process has begun, the hiring manager must wait on

results before offering position to another candidate (FAQ, p. 2).results before offering position to another candidate (FAQ, p. 2).

12 Commandments12 Commandments for HMs, cont. for HMs, cont.

SL-HR ResponsibilitiesSL-HR Responsibilities

HR SpecialistHR Specialist BC Coordinator BC Coordinator Reviews application materialsReviews application materials Registers candidate and telephones to Registers candidate and telephones to

“schedule” fingerprinting“schedule” fingerprinting Fingerprint customers must Fingerprint customers must

present their SS card and one present their SS card and one form of valid legal state/federal form of valid legal state/federal identification (i.e. drivers license, identification (i.e. drivers license, state ID card, USCIS Permanent state ID card, USCIS Permanent ID, or passport).ID, or passport).

Compiles consumer reportsCompiles consumer reports Analyzes the dataAnalyzes the data Reports to the HM whether candidate Reports to the HM whether candidate

is clear to work or did not passis clear to work or did not pass Sends to candidates evidencing Sends to candidates evidencing

negative BC information: negative BC information: Summary of Rights under the Summary of Rights under the FCRAFCRA,, the results of checks performed by the results of checks performed by

third party vendorsthird party vendors

Candidates have Candidates have 5 business days5 business days to to contest and to submit documentation contest and to submit documentation to the BCC proving that the report is to the BCC proving that the report is in error. in error.

Pre- and Post-Adverse Action LettersPre- and Post-Adverse Action Letters

RECORD RETENTIONRECORD RETENTION For candidates who are hired:For candidates who are hired:

Results must be retained until Results must be retained until

reviewed by the BCC and a decision reviewed by the BCC and a decision

of hire is made. Then the BCC will of hire is made. Then the BCC will

destroy the results to ensure destroy the results to ensure

confidentiality. confidentiality.

BCC must retain BCC must retain onlyonly the Background the Background

Check Disclosure, Authorization, and Check Disclosure, Authorization, and

Release Form. Release Form. for the length of employment plus for the length of employment plus

three years,three years,

in a secured location (e.g. locked file in a secured location (e.g. locked file

drawer)drawer)

separate from the candidate’s separate from the candidate’s

personnel file.personnel file.

RECORD RETENTION, cont.

For candidates who are not hired

due to information revealed in the

background check:

BCC must retain both the results

and the Background Check

Disclosure, Authorization, and

Release Form for three years,

in a secured location (e.g. locked

file drawer)

separate from other documents

generated by the selection

process.

Fingerprinting Hardware/SoftwareFingerprinting Hardware/Software WebCheck is a secure, web-based application that allows authorized WebCheck is a secure, web-based application that allows authorized

citizens to use the Internet to submit fingerprint-based searches against a citizens to use the Internet to submit fingerprint-based searches against a State and FBI criminal record database on a State and FBI criminal record database on a fee-for-service basisfee-for-service basis. .

How WebCheck Works

1. Data Entry: Swipe driver’s license or ID card to automatically extract demographic information. Complete the entry of additional demographic data.

2. Capture Fingerprints: Capture left slap, right slap, and two thumbs simultaneously in a three-step process.

3. Quality Check: Image quality check, automatic hand orientation verification for proper fingerprint sequencing, and fingerprint segmentation.

4. Submit Transactions: Fingerprint images and demographics are encrypted and submitted to the State AFIS and subsequently to the FBI AFIS (IAFIS).

5. Results Returned: A “No Record” status empowers the requestor to print a “No Record” Letter. If a record is found the requestor will be notified that a printed RAP sheet will be sent via US mail

What’s coming…What’s coming…Future Directions of OHRFuture Directions of OHR

Determining feasibility of centralizing background checks Determining feasibility of centralizing background checks

for all academic units into OHR.for all academic units into OHR.

May expand the list of titles/positions requiring background May expand the list of titles/positions requiring background

checks.checks.

Exploring required credit checks on some types of positions Exploring required credit checks on some types of positions

(i.e. those with financial duties).(i.e. those with financial duties).

May implement schedule of routine background checks for May implement schedule of routine background checks for

positions requiring checks.positions requiring checks.