Pre-Employment Background Checking (SPA / EPA Non-Faculty)
Contents
Purpose
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, criminal conviction check, and in some cases, North Carolina driver’s license check for prospective employees.
Definitions
"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, and where a driver’s license check is included, traffic citations. This also includes any convictions or pleas that are acknowledgments of criminal responsibility subject to the jurisdiction of a military court.
Applicability
This policy applies to all selected candidates for employment in the following covered positions:
- SPA permanent appointments
- SPA direct-hire temporary appointments
- EPA temporary appointments, including
- Post doctoral scholars
- Chief medical residents
- Medical fellows
- EPA Non-Faculty permanent appointments
- EPA Faculty (only with regard to the driver’s license check)
SPA and EPA non-faculty student employees are not required under this policy to have a pre-employment background check. For Faculty appointments, except as noted above, 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 background 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 pre-employment background 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 pre-employment background check performed, regardless of the duration of the break in service.
Timing and Scope
The University will conduct a pre-employment background 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 where the final results are not yet available and the hiring department feels that it is essential to proceed with the hiring process while awaiting full results, the hiring department, with the approval of the Office of Human Resources, may exercise the following options for conditional offers or conditional job starts. These conditional steps should *not* be undertaken for positions which deal with sensitive populations (e.g. patients, minors) or otherwise have access to or control of sensitive University resources in the judgment of the Hiring Department Chair/Head.
If the check remains incomplete after seven (7) business days have elapsed since the background check was initiated with the Office of Human Resources (OHR), the hiring department may, at the discretion of the appointing department’s Head and after having received advance approval from the Office of Human Resources, extend a conditional offer of employment. Departments may not utilize this option without receiving advance approval from Human Resources. In exceptional circumstances, the Vice Chancellor for Human Resources or her designee may be asked to authorize a conditional job offer earlier than seven (7) business days. Such requests should be made through OHR Employment and Staffing for SPA hires or the EPA Non-Faculty HR unit for EPA Non-Faculty appointments. If no disqualifying convictions are present, a conditional offer of employment may be extended pending receipt of full pre-employment background check results from OHR. The hire effective date for the conditional offer shall be no earlier than 30 calendar days after the date the initial pre-employment background check request was submitted to OHR. A conditional offer of employment must be extended in writing and must include the written conditions of employment and notice that continued employment is subject to satisfactory completion of the University pre-employment background check process.
Candidates provided conditional offers may not report for work or perform the duties of their position until full background check results have been received from OHR and these results confirm there are no disqualifying circumstances which would bar University employment. The majority of background checks are completed and full results returned by OHR within seven (7) to ten (10) business days of being initiated. However, this varies from state to state and jurisdiction to jurisdiction, so checks on some candidates can take considerably longer. After 30 calendar days have elapsed since the background checks were initiated with OHR, and only under exceptional circumstances, the Vice Chancellor for Human Resources or her designee may be asked to authorize an employee reporting for duty prior to full completion of the applicable background checks. Such requests should be made through OHR Employment and Staffing for SPA hires or the EPA Non-Faculty HR unit for EPA Non-Faculty appointments. However, such approval is not guaranteed and will be decided on a case-by-case basis. Such a decision will consider whether the appointee will have unsupervised interactions with sensitive populations (e.g., minors, students, patients, individuals with special needs) or have access to sensitive University facilities or resources. Departments may not start an employee who does not have a background check fully completed without receiving advance approval from the Vice Chancellor for Human Resources. The above change does not affect the faculty hiring process, which is covered under a separate faculty background check policy.
The University will seek information on all prior criminal convictions nationwide. 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 pre-employment background 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, sex, gender identity, gender expression, sexual orientation, disability or age.
Procedure
When a hiring department reaches the final selection stage in the hiring process, the hiring department will provide the selected candidate with a "Background Check Authorization" form. At the department’s expense, the department may submit a request to the Employment Consultant or appropriate HR authority to initiate the background check on the selected candidate while the selection document is under review. In such a case, a job offer may not be made until all background check results are returned and deemed satisfactory, and the hire is approved by the Employment Consultant.
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 Employment Consultant.
- For SPA Direct-Hire Temporary and EPA temporary or permanent Non-Faculty Appointments: The selected candidate returns the completed form to the hiring department, which routes the form to the Background Coordinator in the Department of OHR.
Once received from the selected candidate, the completed Form is forwarded to the UNC Office of Human Resources, Pre-employment Background Check Division, AOB, 104 Airport Drive, CB# 1045.
Once the Form is received by the Pre-employment Background Check Division, the University will initiate a background check in those states in which the selected candidate has lived or worked, subject to the availability of records and the University's prevailing pre-employment background check protocols.
Departments will be charged the University's current fees for conducting the requested pre-employment background check. OHR will send any relevant results from the check to the appropriate hiring department official.
Requirement to Disclose Convictions and Confidentiality
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 pre-employment background 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.
Decision-Making Authority
Once a pre-employment background 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 & Staffing Department in the Office of Human Resources.
- 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 & Staffing 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.
Consideration and Assessment of Prior Criminal Convictions
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.
Convictions Determined to Adversely Affect Appointment Eligibility
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: The University official responsible for sending the notification to the candidate is the Senior Director of the Employment & Staffing Department, 104 Airport Drive, CB# 1045.
- 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 department’s Employment Consultant.
- 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 pre-employment background 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 pre-employment background 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 OHR pre-employment background report, to the appropriate University official.
- For SPA Permanent Positions: The University official is the Senior Director of Employment & Staffing, 104 Airport Drive, CB# 1045.
- For SPA Direct Hire Employment: The University official is the hiring department Chair/Head (or his/her designee) in consultation with the department's Employment Consultant.
- 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 pre-employment background 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).
North Carolina Driver’s License Checks
The University has incorporated a mandatory driver’s license check as part of the pre-employment background check for employees whose positions require driving. This requirement applies to individuals for whom driving is required to perform their regular duties, or who could be expected while performing those duties to drive a University/State-owned vehicle. This requirement does not apply to individuals who may routinely drive their own vehicles to meetings or events.
The Background Check Form includes the following questions for the hiring department official: “Is driving a required part of this employee’s assigned job duties?” and “Is it expected that the employee will be driving a State/University-owned motor vehicle in the performance of their duties?” If either of the driving–related questions is checked “yes,” a mandatory North Carolina driver’s license check will be required. If the proposed hire has possessed a driver’s license from a state other than North Carolina within the past 12 months, a separate driver’s license check from that state will also be required. If both of these questions are answered “No”, then a driver’s license check is not required.
The driver’s license checks will be performed by the University’s background check vendor (Castle Branch) through OHR. A set fee will be assessed for each NC driver’s license check, and an additional fee will be charged for any required out-of-state driver’s license check. The out-of-state fees will vary, depending on the State(s) involved. Like the criminal background check, the driver’s license check will be valid for 30 days. All applicable driver’s license check fees will be charged to the same account code that is used for the criminal check fees.
Questions
For assistance interpreting and applying these guidelines for SPA employment, contact the Employment Consultant 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.
Related subjects
- Pre-employment background Check Frequently Asked Questions
- Pre-employment Background Check Pricing List
- Pre-employment Background Check Tip Sheet - SPA Permanent, EPA Non-Faculty and SPA Direct Hire Temporaries
- Recruitment
Related forms
- Background Check Authorization Form (Faculty and Staff)
- Background Check Authorization Form (Volunteers, Unpaid Interns and Unpaid Visiting Scholars)
- Pre-employment Background Check - Pre-Adverse Action Letter
- Pre-employment Background Check - Adverse Decision Letter
