4.15.2 Criminal Background Check

1. Categories of Individuals Mandated

The University mandates that a criminal background check be obtained on the following individuals:

1. Employees.
   1. Applicants. A criminal background check must be conducted on any applicant, internal or external, who is under final consideration, following normal screening and selection processes, for any regular employment with the University.
   2. Current Employees. A criminal background check must be conducted on:
      1. a current Employee who is under consideration for a promotion or reclassification;
      2. all current Employees and interns if the University has not previously obtained a criminal background check; and
      3. a current Employee when the President or their designee determines it is necessary to further the goals of the University.
   3. Temporary Employees. All temporary Employees shall complete a criminal background check.
2. Without-salary faculty. Individuals who have not been checked before must undergo a criminal background check prior to receiving a without-salary faculty appointment or reappointment.
3. Youth Camp applicability. A criminal background check must be performed each year prior to permitting any outside therapist, student observer, Employee, or volunteer, regardless of number of visits, hours served, or status, to work at the camp. Additionally, anyone over the age of fourteen (14), other than a camper, who works or spends time at the camp must undergo a criminal background check.
4. Students. Students in programs with assignments in clinical health care facilities or involving patient care, and University students in accordance with specific college, school, or program academic admissions, must undergo a criminal background check.
5. Contractors. The University requires that a criminal background check be performed on individuals or employees of companies or entities contracted by the University when these individuals or employees will perform duties or services on University property or premises.
   1. Certification. Contractors must provide the UPD a Certification and photo identification for each contractor individual or employee prior to the performance of duties and/or services by that person, which information will be reviewed by the UPD Chief or their designee.
   2. Subcontractors. A contractor must require that any subcontractors obtain the same Criminal Background Information for their individuals or employees. A contractor will be deemed to comply with this requirement if the contractor obtains the Certification from each subcontractor and provides that Certification to the UPD.
6. Volunteers. All volunteers, regardless of the program or event, shall complete a criminal background check.
7. Statutorily required. The University will comply with any state or federal law that requires that a position be subject to a criminal background check using a specific source of criminal background check information and/or certain procedures.

2. Criminal Background Check Form

1. Submission. The individual must complete, sign, and submit a Criminal Background Check Form to OHR.
2. Responsibility. The hiring official is responsible for directing the individual to submit this form.
3. Failure to submit. An applicant who fails to complete, sign, and submit the form will be removed from further consideration for the position. In addition, if the applicant is a current Employee, such refusal is grounds for disciplinary action.
4. Forwarding to UPD. OHR will send the completed Criminal Background Check Form and, if applicable, a copy of the applicant's employment application to the UPD.

3. Conducting Criminal Background Checks

1. Other states of residence. The criminal background check should include states where the applicant has resided and/or been employed during the period of no less than seven (7) years immediately preceding the date the individual signed the Criminal Background Check Form.
2. Review by UPD. The UPD will promptly obtain and review the Criminal Background Information and will notify the appropriate OHR representative of the results of the investigation.
3. Prior to employment. The UPD will conduct the criminal background check before the hiring official makes the employment decision.
4. Employment contingency. If circumstances require that an offer of employment be made before the completion of the criminal background check, the offer must be in writing and contain a statement that the offer is contingent on the completion of a satisfactory criminal background investigation.

4. Appropriate Sources

Any/or all the following criminal background check sources may be used for current Employees, temporary Employees, without-salary faculty appointees, volunteers, and students in programs with assignments in clinical health care facilities:

1. Criminal Conviction Record Information.
2. National Criminal History Record Check (NCHRC).
3. Other state, national, and international sites.

5. Youth Camp

Youth Camp criminal background checks should include all the following:

1. Criminal Conviction Record Information;
2.  a sex offender registration check;
3. an out-of-state check for any person who has lived outside Texas after the age of fourteen (14); and
4. an international check for any person who has lived outside the United States after the age of fourteen (14). (This check need only be conducted initially if the individual does not live outside the United States during the year.)

6. Identification of Affected Persons

1. Method for identification. OHR will determine a method to identify the current Employees for whom a criminal background check has not previously been obtained.
2. Provision of information. OHR shall provide such information to the UPD.
3. Refusal to comply. OHR may require an Employee to complete, sign, and return a Criminal Background Check Form. An Employee's refusal to comply is grounds for disciplinary action.
4. Notification of results. The UPD will promptly obtain and review the Criminal Background Information and will notify the Division Head and the appropriate OHR representative of any criminal record.

7.  Results of Criminal Background Checks

1. No automatic disqualification.  An individual with a criminal record will NOT automatically be disqualified from employment or promotion.
2. Criminal record. In the event the criminal background check reveals Criminal Background Information, the UPD will work with OHR and the hiring authority to determine on a case-by-case basis whether the individual is qualified based on factors such as the following:
   1. specific duties of the position;
   2. number of offenses;
   3. nature of each offense;
   4. length of time intervening between the offense and the employment decision;
   5. employment history;
   6. efforts at rehabilitation; and
   7. accuracy of the information that the individual provided on the employment application.
3. Falsification or omission. Falsification on an application or omission of criminal information required to be reported is grounds to reject an applicant or discipline/terminate an Employee.
4. Notification of individual. If the University receives a report indicating that an applicant or a current Employee has a criminal record, the individual will be:
   1. notified;
   2. provided with a copy of the report (except as provided by law or DPS policy or procedure); and
   3. informed of the right to challenge the accuracy and completeness of the report with the agency that provided the report.
5. Opportunity to respond. Within five (5) business days following the receipt of the report, the individual may submit additional information to the hiring official/supervisor relating to the criminal record and why it should not affect the employment decision.
6. Employment decision.
   1. Prior to decision. Before the hiring official/supervisor makes a final employment decision, they will review all information provided to them with OHR and the UPD and consult with these departments about whether to proceed with an offer or adverse employment action.
   2. Negative decision. If either OHR or the UPD is of the opinion that the Criminal Background Information indicates that the individual may be unacceptable for the position being filled or for continued employment, then the hiring official may NOT extend an offer to or continue employment of the individual without the prior written approval of the applicable executive officer or their designee.
7. Appeal.
   1. No appeal. The decision of the University is final and may NOT be appealed, except for current Employees.
   2. Current Employees.
      1. If the individual is a current Employee subject to a criminal background check, standard Employee Grievance procedures are available to challenge the decision.If the Criminal Background Information leads to termination, the applicable Employee discipline and discharge procedure will be used.

8. Self-Reporting

1. Applicants for employment. Applicants must report in writing any of the following situations that occur within five (5) business days after the date of application:
   1. criminal complaint;
   2. indictment;
   3. no-contest plea;
   4. guilty plea;
   5. deferred adjudication;
   6. convictions; and/or
   7. whether they are or will be required to be registered as a sex offender.
2. Exclusions. This does NOT include traffic offenses punishable only by fine.
3. Failure to report. Failure to report any of these situations within the prescribed time frame may lead to disciplinary action, as appropriate.
4. Division Head responsibility. The Division Head receiving a self-report as required under this subsection must provide the information to OHR and UPD and will consult with these departments about the individual's suitability for the position.

9. Disposition of Records

1. Confidentiality.
   1. Classification. Criminal Background Information is confidential, as required by law, and will NOT be made a part of the applicant's file or the Employee's personnel file.
   2. Secure retention. Criminal Background Information will be kept by UPD in a separate secure file and will NOT be communicated to any unauthorized person.
2. Unauthorized release of records.
   1. Criminal offense. The unauthorized release of Criminal Background Information is a criminal offense.
   2. Penalty. University officials in possession of such information shall seek legal advice with respect to any requested release of such information.
3. Destruction of records.
   1. Time retained. The UPD shall destroy Criminal Background Information about the individual six (6) months after it is obtained.
   2. Self-reports. Self-reports of charges or convictions will be maintained with the Employee's personnel file in OHR in accordance with the University's records retention schedule (see HOP 1.14: Records Management).

10. Scope of Policy

This Policy addresses criminal background checks only and does NOT limit the University's authority to conduct other background checks as permitted by law.

11. Credit Reports 

If a credit reporting agency has been relied on to deny employment, deny a promotion, reassign, or terminate an Employee after the University has taken an adverse action, the individual must be given notice that the action has been taken. The notice must include:

1. the name, address, and phone number of the credit reporting agency that supplied the report;
2. a statement that the credit reporting agency that supplied the report did not make the decision to take the adverse action and cannot give specific reasons for it;
3. notice of the individual's right to dispute the accuracy or completeness of any information the agency furnished; and
4. their right to an additional free consumer report from the agency upon request within sixty (60) days.

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