POL-U5315.01 Conducting Background Checks

Under the purview of the Vice President for Business and Financial Affairs, the Director of Risk, Compliance, and Policy Services (RCPS) oversees the use of background check processes conducted by the University as determined by this policy. The Director has the authority to establish standards, procedures, and guidelines to ensure compliance and effectiveness of this policy.

It is recognized that University business operations and academic programs may need to conduct background checks for valid business, safety, and legal reasons.

The following positions may implement approved background check processes for their areas of responsibility:

• Assistant Vice President for Human Resources: Permanent and temporary employees, student-employees, volunteers, and visiting scholars and researchers.
• Department Heads: Students and/or employees that need to meet University program requirements and/or external entity requirements.
• Chief Procurement Officer: Contractors and vendors
• Director of Public Safety: Public safety

Additional positions that need to conduct background checks must obtain written authorization from the Director of Risk, Compliance, and Policy Services.

Written standards, procedures and guidelines must be established by each authorized position (see #3 above) and be approved in accordance with the Standards for Department Background Check Processes (STN-U315.01A).

Standards, procedures and guidelines will:

1. Meet the valid needs of the area’s function or activity,
2. Demonstrate Western’s adherence to fairness and equity, and
3. Comply with state and federal regulations.

All material modifications to approved documents must be approved prior to implementation. Copies of all approved documents are to be maintained with RCPS.

Authorized positions are responsible for compliance oversight of standards, procedures and guidelines for background checks that are established for their respective areas.

For those areas conducting background checks prior to the effective date of this revised policy, standards, procedures and guidelines require approval by February 1, 2018.

No authorized position may have a background check submitted on any individual through a vendor that has not been pre-approved by the Director of RCPS (or designee). The vendor(s) to be utilized by an authorized position must be stated in their background check standards.

A negative background check result shall not automatically exclude a person from consideration or access to the University. However, participation or engagement is contingent upon a satisfactory background check.

All determinations must be made on a case by case basis with regards to business necessity and in accordance to law.

Exception: During an emergency situation declared by the President, a Vice President or the President (or the Incident Commander appointed by the President or Vice President), may waive required background checks for some or all:

1. Volunteers,
2. Temporary employees,
3. Independent Contractors/vendors,
4. Students, and/or
5. Others deemed essential for assisting with the emergency.

University representatives involved in processing and/or involved in making determinations based on background checks must:

1. Disclose a relationship that has the potential to be viewed as a conflict of interest, and
2. Temporarily excuse themselves from that role so long as the potential conflict remains.

See Employing Family Members and Significant Others policy (POL-U5410.01) regarding the requirements for disclosing a relationship.

Background check information will be released to University personnel and external agencies on a need to know basis or when consistent with applicable law.

All recipients of background check information will use the information:

1. In a confidential manner,
2. For official University business purposes only, and
3. Share only with those who have a need to know.

Documentation collected must be maintained in a secured manner.