UPPS 04.04.17 - Background Checks and Self-Reporting of Criminal Matters

POLICY STATEMENT

Texas State University is committed to providing a safe and secure environment for students, employees, and visitors, as well as safeguarding the assets and resources of the university.

1. BACKGROUND INFORMATION

   1. This university policy and procedure statement establishes Texas State University’s procedures for conducting and obtaining employee background checks including criminal history reports, driving history reports, and other background checks for security-sensitive positions.

   2. Any employment relationship between the university and an individual is contingent upon the individual satisfying all required background check reviews.

   3. The university will use information obtained in background checks only for evaluating:

      1. individuals seeking university employment; and

      2. current employees under certain employment circumstances.

   4. The university will utilize an approved third-party provider to conduct background checks in accordance with applicable laws, regulations, and this policy. The department within which an employee will be working is responsible for the costs of background checks and will be billed internally for expenses incurred.

   5. The university will not automatically disqualify an individual with a criminal history from employment or employment actions. If an applicant or current employee self-identifies a criminal history, or a criminal history background investigation reveals a criminal history, an individualized assessment will be conducted to determine the appropriateness of any employment or employment actions.

   6. The university considers all information obtained through background checks to be confidential with disclosure restricted to authorized persons and lawful use only.

   7. The university will conduct criminal history background checks for:

      1. applicants selected to fill positions;

      2. current employees selected for transfer, promotion, or reclassification if a background check was not completed within the past year (365 days looking back from the date of transfer, promotion, or reclassification); and

      3. current employees where deemed appropriate by the president or by divisional vice presidents in consultation with the Chief Human Resources Officer (CHRO), or designee, consistent with Section 04.05.

   8. The director of Facilities Management will conduct driving history checks on behalf of the university on persons whose duties may require that they operate a university vehicle, as provided in UPPS No. 05.05.02, Driver Selection.

   9. Other background checks, such as credit, credential, education, employer reference, workers’ compensation, motor vehicle, and global watch list checks, may be conducted and obtained if deemed appropriate and approved by the division vice president, or designee, in consultation with the CHRO or their designee.

   10. Postings for all employment will include a notification of the background check requirement, per the authority granted in the Texas Education Code, Section 51.215, and Texas Government Code, Section 411.1405.

   11. This policy does not apply to contractors or third-party vendors.

2. DEFINITIONS

   1. Criminal History – any criminal convictions against the applicant or employee excluding misdemeanor offenses punishable only by fine.

   2. Individualized Assessment – a process applied to determine if an individual’s criminal history justifies the exclusion of that individual from initial or continued employment based on factors which may include but not be limited to job-relatedness (e.g. a DUI would typically exclude an individual from a job that requires driving but may not exclude an individual from a position where driving is not a required duty) and temporal proximity.

   3. Security-Sensitive Positions – For the purposes of this policy, all employees and certain student worker positions are considered security-sensitive.

3. PROCEDURES FOR INDIVIDUALIZED ASSESSMENT

   1. An individual’s background check report will only be requested and reviewed by the university under the circumstances described in Section 01. of this policy. In the event that a background check report indicates a criminal conviction or other relevant information that may be considered under the law, the university will conduct an individualized assessment prior to making an adverse employment decision. The individualized assessment will consider the:

      1. nature and gravity of each offense;

      2. number of offenses;

      3. relation between the nature of any offenses and the job duties required by the position;

      4. age at the time of conviction ;

      5. length of time that has passed since the offense, conduct, or completion of sentence; and

      6. employment history to include:

         1. evidence that the individual performed the same type of work post-conviction with the same or a different employer with no known incidents of criminal conduct;

         2. length and consistency of employment history before and after the offense or conduct;

         3. rehabilitation efforts such as education or training;

         4. employment or character references; and

         5. any other information regarding fitness for the position.

4. PROCEDURES FOR CRIMINAL HISTORY BACKGROUND CHECKS

   1. Pre-Employment

      1. A background check must be requested through the hiring workflow. Once requested, a candidate will receive an email or text directing them to complete a release and provide biographic information to the secure third-party vendor background check vendor. Once the candidate completes this step, the background check will be conducted. Results will be reported to the Talent Acquisition team when the vendor completes the background check.

      2. Should the background check results indicate an item, including but not limited to, a criminal conviction, requiring an individualized assessment, Talent Acquisition will notify the CHRO, or designee, to conduct the required assessment. If the CHRO or designee, determines that the background check results are satisfactory, the hiring process may proceed. If the CHRO, or designee, determines that the background check results are not satisfactory based upon the individualized assessment, they will advise Talent Acquisition to notify the hiring authority that the hiring of the candidate may not move forward.

      3. The hiring authority may request a meeting with the CHRO, or designee, and their divisional (cabinet level) leader to appeal the determination not to move forward with the candidate based on the individualized assessment. If a consensus is not reached during this meeting, and the divisional (cabinet level) leader wishes to further consider the candidate, the matter will be referred to the executive vice president for Operations and Chief Financial Officer, or in the event that the position at issue is within Finance and Support Services, the president, or designee.

      4. Candidates not proceeding in the hiring process as a result of background check findings will be notified by Talent Acquisition via pre-adverse and adverse action letters. The pre-adverse letter will explain the dispute process and instruct the individual to contact the third-party vendor or Texas DPS for further information regarding the background check’s findings in accordance with the [Fair Credit Reporting Act](https://www.govinfo.gov/content/pkg/CFR-2011-title16-vol1/pdf/CFR-2011-title16-vol1-chapI-subchapF.pdf" target="_blank) (FCRA). If the candidate does not provide additional information to dispute information contained in the background report within seven working days as required by the FCRA, Talent Acquisition will issue an adverse action letter. The position for which the individual was applying must remain unfilled until the adverse action letter is issued.

      5. Inquiries from applicants related to the items contained within their background check report must be referred to the third-party vendor.

      6. Non-student non-regular (NSNR) employees must undergo a background check prior to hire. Information related to background checks for volunteers may be found in UPPS No. 04.04.09, Volunteers, and for student workers in UPPS No. 07.07.03, Hourly Student Employment Procedures.

   2. Current employees who are being promoted, transferred, or reclassified:

      1. A background check must be completed if a background check was not completed within the past year (365 days looking back from the date of transfer, promotion, or reclassification).

      2. Except as provided in this subsection, the requirements in Section 03.01 apply.

      3. Should the background check results indicate an item, including but not limited to, a criminal conviction, requiring an individualized assessment, Talent Acquisition will notify the CHRO, or designee, to conduct the required individualized assessment related to both the employee’s current position and the position to which they would be promoted, transferred, or reclassified. If the CHRO, or designee, determines that the background check results are satisfactory, the hiring process may proceed. If the CHRO, or designee, determines that the background check results are not satisfactory based upon the individualized assessment, they will advise Talent Acquistion to notify the hiring authority that the transition of the employee may not move forward.

      4. The hiring authority may request a meeting with the CHRO, or designee, and their divisional (cabinet level) leader to appeal the determination not to move forward with the employee transition based on the individualized assessment. If a consensus is not reached during this meeting, and the divisional (cabinet level) leader wishes to further consider the employee, the matter will be referred to the executive vice president for Operations and Chief Financial Officer, or in the event that the position at issue is within Finance and Support Services, the president, or designee.

      5. Employees not proceeding with a promotion, transfer, or reclassification as a result of background check findings will be notified by Talent Acquisition via pre-adverse and adverse action letters. The pre-adverse letter will explain the dispute process and instruct the individual to contact the third-party vendor or Texas DPS for further information regarding the background check’s findings in accordance with the FCRA. If the employee does not provide additional information to dispute information contained in the background report within seven working days as required by the FCRA, Talent Acquisition will issue an adverse action letter. If the position that the employee was being promoted or transferred into was otherwise vacant, it must remain unfilled until the adverse action letter is issued.

   3. Employee Self-Reporting

      1. All employees must report to their supervisor in writing, within five business days, any criminal charges filed against them excluding misdemeanor offenses punishable only by fine. Additionally, employees must report to their supervisor in writing any conviction or other final disposition of a criminal charge filed against them. A criminal conviction or other final disposition for misdemeanor offenses punishable only by fine similarly does not need to be reported. Failure to report under this section is a violation of this policy and may lead to disciplinary action, up to and including termination of employment.

      2. When an employee self-reports, their supervisor will notify Talent Acquisition. The employee will receive an email or text directing them to complete a release and provide biographic information to the secure third-party vendor background check vendor web site. Failure to sign and complete the release and authorize the background check through the vendor site within five business days of notification may lead to disciplinary actions, up to and including termination of employment.

      3. The individualized assessment based on the results from the background check will follow the same steps as those described under Section 04.02 c. through 04.02 e., except that there will be a determination related to the ongoing employment of the employee.

   4. At the request of the president, vice president, or designee

      1. Where required by law, or due to an appropriate university business exigency, the president or a divisional (cabinet level) leader, may request a criminal history background check of a current employee within their area of authority by submitting the request, in writing, to the CHRO who, in consultation with the requestor will make a determination as to whether a criminal background screening is appropriate.

      2. Should the request be approved, Talent Acquisition will be notified by the CHRO. Talent Acquisition will make initial contact with the employee. The employee will then receive an email or text directing them to complete a release and provide biographic information to the secure third-party vendor background check vendor web site. Failure to complete the information on the vendor site within five business days may lead to disciplinary actions, up to and including termination of employment.

      3. The individualized assessment based on the results from the background check will follow the same steps as those described under Section 04.02 c. through 04.02 e. except that there will be a determination related to the ongoing employment of the employee.

   5. The university reserves the right to place employees on paid or unpaid leave pending the completion of a background screen or a criminal process where such a decision is necessary to ensure the safety of the campus community. Such decisions will be reviewed with and approved by the CHRO, or designee.

5. REVIEWERS OF THIS UPPS

   1. Reviewers of this UPPS include the following:

      Position	Date
      Associate Vice President for Human Resources and Chief Human Resources Officer	June 1 E5Y
      Assistant Provost for Academic Affairs	June 1 E5Y
      Chair, Faculty Senate	June 1 E5Y
      Chair, Staff Council	June 1 E5Y

6. CERTIFICATION STATEMENT

   This UPPS has been approved by the following individuals in their official capacities and represents Texas State policy and procedure from the date of this document until superseded.

   Associate Vice President for Human Resources and Chief Human Resource Officer; senior reviewer of the UPPS

   Executive Vice President for Operations and Chief Financial Officer

   President