Criminal Convictions Check Policy (SPA/EPA-NF)

The University of North Carolina at Chapel Hill ("the University") will not employ individuals with prior criminal convictions who pose an unacceptable risk to the University or its employees, students, and visitors. This policy establishes procedures for carrying out a nationwide residency check and criminal conviction check for prospective employees.

"Selected candidate" refers to a person who has been approved as a final candidate or conditionally offered an appointment at The University of North Carolina at Chapel Hill, whether permanent or temporary.

"Criminal conviction(s)" means all prior criminal convictions and pleas that are acknowledgements of criminal responsibility, including prayers for judgment. This also includes any convictions or pleas that are acknowledgments of criminal responsibility subject to the jurisdiction of a military court.

This policy applies to all selected candidates for employment in the following covered positions:

• SPA permanent appointments
• Tar Heel Temps temporary appointments
• SPA direct-hire temporary appointments
• EPA temporary appointments, including
  • Post doctoral scholars
  • Chief medical residents
  • Medical fellows
• EPA Non-Faculty permanent appointments

SPA and EPA non-faculty student employees are not required under this policy to have a pre-employment criminal convictions check. For Faculty appointments, refer to the "Faculty Criminal Conviction Checks Policy and Procedure."

This policy does not apply to current incumbents as part of a position reclassification. The policy does apply to (and conviction checks must be performed for) existing employees who are changing employment from one University position to another.

A new check does not need to be completed in such situations when the employee has had a satisfactory criminal conviction check completed within thirty (30) calendar days of moving from one University position to another. However, the employee will be required to complete a new criminal conviction check form to certify that no new convictions have occurred during the elapsed period. University employees who end their employment and then return to employment with the University must always have a new criminal convictions check performed, regardless of the duration of the break in service.

The University will conduct a pre-employment criminal conviction check for selected candidates as a condition of employment.  Under normal circumstances, the hiring department should be in receipt of the results of this check prior to extending an offer of employment. 

In those situations when the final results are not yet available and the hiring department feels that it is essential to proceed with the hiring process while awaiting those results, the hiring department may do the following:

• After fourteen (14) or more calendar days have elapsed since the date the criminal conviction check request was submitted and the Department of Public Safety has provided preliminary results with no disqualifying convictions, the hiring department may extend an offer of employment with an effective first date of employment no earlier than 30 days after the request was submitted to the Department of Public Safety.
• After thirty (30) or more calendar days have elapsed since the date the criminal conviction check request was submitted and the Department of Public Safety has provided preliminary results with no disqualifying convictions, the selected candidate may begin work on a conditional basis.

Please note the following additional requirements before extending a conditional offer of employment:

• For SPA permanent employment, advance approval from the Office of Human Resources is required prior to extending a conditional offer or permitting a selected candidate to report for duty conditionally prior to receipt of all criminal conviction check results.
• For all other hires under this policy, the hiring Department Chair/Head shall be consulted and have authority to extend conditional offers or to permit selected candidates to report for duty conditionally prior to receipt of all criminal conviction check results. These conditional steps are not recommended for positions which deal with sensitive populations or otherwise have access to or control of sensitive University resources.

Note:  a conditional offer of employment must be extended in writing and must include the written conditions of employment and notice of both the conditional period of employment pending results of the check and termination should results include a disqualifying conviction.

The University will seek information on all prior criminal convictions nationwide, based information provided through a residency check. Prior arrests or detention orders that did not result in criminal convictions or pleas, or expunged convictions, will not be considered or shared with the hiring supervisor.

The criminal conviction check will only be used for evaluating the selected candidate for employment. It will not be used to discriminate on the basis of race, color, national origin, creed, religion, gender, sexual orientation, disability or age.

When a hiring department reaches the final selection stage in the hiring process, the hiring department will provide the selected candidate with an "Authorization for Criminal Conviction Check" form.

Routing for the Authorization Form depends on the appointment type:

For SPA Permanent Positions: The selected candidate returns the completed Form to the hiring department, which routes the Form to its ECC Specialist.

For Tar Heel Temps Appointments: The selected candidate returns the completed Form to their Tar Heel Temps Placement Specialist.

For SPA or EPA Direct-Hire Temporary Employment or any EPA Non-Faculty Appointments: The selected candidate returns the completed Form to the hiring department.

Once received from the selected candidate, the completed Form is forwarded to the UNC Department of Public Safety, Criminal Convictions Check Division, AOB, 104 Airport Drive, CB# 1045.

Once the Form is received by the Criminal Convictions Check Division, the University will initiate a criminal conviction check in those states in which the selected candidate has lived or worked, subject to the availability of records and the University's prevailing criminal conviction check protocols.

Departments will be charged the University's current fees for conducting the requested criminal convictions check. UNC Public Safety will send any criminal convictions results from the check to the appropriate hiring department official.

In order to be considered for an appointment, each selected candidate must provide information about his or her criminal conviction record using the form prescribed. A selected candidate who fails to provide the information in a complete and timely manner or who willfully omits, conceals or falsifies criminal conviction information may have his or her candidacy for appointment rejected, an offer of employment withdrawn, or be terminated if conditionally appointed subject to a criminal conviction check.

University officials who process information collected pursuant to this policy will assure that it is held confidentially and securely and that it is disclosed only to University or State officials who have a direct role in acting on this information.  This information is considered non-public personnel information.

Once a criminal conviction check is returned to the hiring official, the hiring official will assess the potential risks of each conviction in relation to the appointment being considered:

For SPA Permanent Positions: The hiring official is the Chair/Head of the hiring department (or his/her designee) in consultation with the Employment Classification & Compensation Department in the Office of Human Resources.

For Tar Heel Temps Appointments: The hiring official is the Tar Heel Temps Placement Specialist in consultation with the Director of Compensation & Staffing Programs Department.

For SPA Direct Hire Temporary Employment: The hiring official is the Chair/Head of the hiring department (or his/her designee) in consultation with the Employment Classification & Compensation Department.

For EPA Direct-Hire Temporary Employment, or any EPA Non-Faculty Permanent Appointments: The hiring official is Chair/Head of the hiring department (or his/her designee) in consultation with the EPA Non-Faculty Human Resource unit in the Office of Human Resources.

For Post-Doctoral Scholars: The hiring official is Chair/Head of the hiring department (or his/her designee) in consultation with the Director of Post-Doctoral Affairs and/or the Vice Chancellor for Research and Economic Development.

The Office of University Counsel will also be consulted as appropriate.

In considering whether a criminal conviction may prevent the selected candidate from being appointed, the hiring official will consider the following basic factors: 

• The relationship of the criminal conviction to the appointment for which the individual is being considered.
• The context of the events surrounding the criminal conviction.
• The future likelihood of illegal activity by the selected candidate as might be indicated by a pattern of criminal convictions.

If a criminal conviction rises to the level of barring appointment, the hiring official, in consultation with the appropriate HR office as described above, may exercise discretion in determining that there are mitigating factors which may permit the appointment to be granted. These factors may include: 

• The totality of the circumstances related to the criminal conviction.
• The age of the candidate at the time of the criminal conviction.
• The length of time since the criminal conviction.
• The individual's behavior since the criminal conviction.
• Any other extenuating circumstances documented by the selected candidate or otherwise known to the hiring official.

In the event a criminal conviction is determined to bar appointment, the following notifications are required under the federal Fair Credit Reporting Act. 

For SPA Permanent Positions and Tar Heel Temps Employment: The University official responsible for sending the notification to the candidate is the Director of the Compensation & Staffing Programs Department, 104 Airport Drive, CB# 1045 in consultation with the Employment Classification & Compensation Department in the Office of Human Resources.

For SPA Direct-Hire Temporary Employment:  The University official responsible for sending the notification to the candidate is the hiring department Chair/Head (or his/her designee), in consultation with the Employment Classification & Compensation Department.

For EPA Non-Faculty Temporary or Permanent Appointments and SPA Direct-Hire Temporary Employment:  The University official responsible for sending the notification to the candidate is the hiring department Chair/Head (or his/her designee), in consultation with the EPA Non-Faculty Human Resource unit in the Office of Human Resources.

For Post-Doctoral Scholars: The University official responsible for sending the notification to the candidate is the hiring department Chair/Head (or his/her designee), in consultation with the Director of Post-Doctoral Affairs and/or the Vice Chancellor for Research and Economic Development.

Initial Notice: If a criminal convictions check is a factor in the hiring decision, the above University official must send to the candidate the following: 

• a registered letter (see sample letter in Related Forms section below);  
• a copy of the criminal convictions check report; and, 
• a copy of "A Summary of Your Rights Under the Fair Credit Reporting Act" (see the Related Forms section below).

The selected candidate shall be given ten (10) calendar days after receipt of the above material to offer any written explanation or additional information regarding the criminal conviction(s) in question, or to challenge the accuracy of the Public Safety criminal conviction report, to the appropriate University official.

For SPA Permanent Positions, and Tar Heel Temps Appointments: The University official is the Director of Compensation & Staffing Programs, 104 Airport Drive, CB# 1045 in consultation with Employment, Classification & Compensation in the Office of Human Resources.

For SPA Direct Hire Employment:  The University official is the hiring department Chair/Head (or his/her designee) in consultation with the department's ECC Specialist.

For EPA Non-Faculty Temporary or Permanent Appointments:  The University official is the hiring department Chair/Head (or his/her designee), in consultation with the EPA Non-Faculty Human Resource unit in the Office of Human Resources.

For Post-Doctoral Scholars: The University official responsible is the hiring department Chair/Head (or his/her designee), in consultation with the Director of Post-Doctoral Affairs and/or the Vice Chancellor for Research and Economic Development.

The University official may use any additional information provided by the selected candidate to make final his or her decision in this matter. The Office of University Counsel will also be consulted as appropriate. Any decision to bar appointment due to a prior criminal conviction made by an appropriate University official shall be considered final.

Final Notice: The University Official shall communicate this decision in writing to the selected candidate indicating that the criminal convictions check is a factor in deciding not to hire the candidate.  The letter shall be sent by registered mail in a timely manner (see sample letter in Related Forms section below).

For assistance interpreting and applying these guidelines for SPA employment, contact the ECC Specialist assigned to your department.

For assistance interpreting and applying these guidelines for EPA employment, contact the EPA Non-Faculty Human Resource unit in the Office of Human Resources.