Application of Policy
This policy applies to all Staff and Hourly employees of
Indiana University.
A. Purpose
1.
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.
2.
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
1.
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.
2.
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
1.
"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.)
2.
"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 or has resided.
3.
"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.
4.
"Employee" is defined as any person employed by
Indiana University, whether full- or part-time.
5.
"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,
reasons for leaving each position, and an explanation for any periods of
unemployment.
6.
"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.
7.
"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.
8.
"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.
9.
"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.
10.
"Tax payment check" means verifying that the
selected applicant or employee is current in payment of Indiana state taxes.
D. Policy Provisions
1.
New Staff Employees
a.
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.
i.
Employment verification - to be completed by the hiring
department or campus human resources office
ii.
Educational verification - to be completed by the hiring
department or campus human resources office
iii.
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
iv.
Criminal history check - to be initiated by the hiring
department or campus human resources office, with final completion by the
campus human resources office
v.
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
b.
Foreign nationals who have been offered employment into
appointed Staff positions will be subject to the following provisions:
i.
The verification of education that the candidate has cited
that qualifies the individual for the position.
ii.
The verification of employment that the candidate has cited
that qualifies the individual for the position.
iii.
A criminal history check covering time in the United States
if the period of time that the individual has worked in the
United States exceeds one year.
iv.
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.
c.
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:
i.
Credit history check - to be completed by University Human
Resource Services
ii.
Tax payment check - to be completed by University Human
Resource Services
2.
New Hourly Employees (including individuals with student
status)
a.
All new Hourly employees who are hired to perform work
indicated below and who are at least 22 years old shall have the following
background check completed as a condition of employment with Indiana
University:
.
Criminal history check -- to be initiated by the hiring
department or campus human resources office, with final completion by the
campus human resources office
i.
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
b.
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:
.
A criminal history check covering time in the United States
if the period of time that the individual has worked in the
United States exceeds one year.
i.
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.
c.
Hourly work assignments that require this background check
include:
.
Employment in a PERF covered position
i.
Work that involves handling financial, student or personnel
data or records
ii.
Work that involves any confidential or sensitive data or
information
iii.
Work that involves handling cash, checks, or credit card
transactions
iv.
Work that involves responsibility for or providing services
to any one under the age of 18
v.
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
vi.
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.
vii.
Any other Hourly positions that a campus human resources
office determines should be included.
d.
For the same new Hourly employees in 1) who are less than 22
years old, the following background check shall be completed as a condition of
employment with Indiana University:
.
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
i.
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
e.
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:
.
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
f.
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.
g.
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.
3.
Current Staff Employees
a.
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.
.
Criminal history check -- to be completed by University
Human Resource Services
i.
Credit history check -- to be completed by University Human
Resource Services
ii.
Tax payment check - to be completed by University Human
Resource Services
E. Responsibilities
1.
Campus Human Resource Office or Hiring Department
Responsibilities
a.
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.
b.
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."
c.
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.
d.
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.
e.
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.
i.
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
f.
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.
g.
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.)
h.
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 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.)
i.
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.)
j.
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.
k.
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.
i.
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.
l.
The hiring 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.)
2.
University Human Resource Services Responsibilities
a.
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.
b.
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.
c.
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.)
d.
University Human Resource Services will coordinate the
receipt and payment of the third party vendor's 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
Decisions
regarding the withdrawal of an employment offer as a result of a background
check may be appealed to the next higher unit head for review. An employee who
is terminated as a result of a background check may appeal such decision in
accordance with normal problem-grievance resolution 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
Office Responsible for this Policy
University Human Resource
Services
Effective Date
The
effective dates for full implementation of this policy are: immediately
after the approval of this policy for Employment, Education and License
verifications and July 1, 2004, for Criminal, Sex and Violent Offender
Registry, Credit History and Tax Payment checks.