Background Check (Policy #340)

Except as otherwise provided in this policy, a criminal background check shall be performed on each new hire for a UW-Whitewater position. Criminal background checks shall be conducted on candidates recommended for hire, either prior to the extension of an offer of employment, or as part of an offer of employment that is made contingent upon a successful criminal background check. A criminal background check shall also be conducted on current employees and volunteers holding a "position of trust with access to vulnerable populations" as defined in paragraph 1(a) of this policy who have not previously been subject to such a criminal background check by the University. Employees and volunteers holding a position of trust with access to vulnerable populations shall be subject to a criminal background check every four years, and shall be required to self-disclose certain criminal offenses.

Office of Human Resources

This policy describes the Board of Regents’ expectations of University of Wisconsin System institutions and the University of Wisconsin -Whitewater in performing criminal background checks on applicants for employment, current employees, and volunteers (Regent Policy Document 20-19).

This policy addresses the following:

A. Position of Trust

1. "Position of trust" is defined as a paid or volunteer position with one or more of the following responsibilities: 
   1. Access to vulnerable populations
      1. Responsibilities requires unsupervised or significant access to vulnerable populations, defined as minors and medical patients. For purposes of this policy, a minor is a person under the age of eighteen (18) who is not enrolled or accepted for enrollment at a UW-System institution. Examples of settings with vulnerable populations include child care centers, summer camps for minors, precollege or enrichment programs, and health care facilities. 
      2. This category also includes employees who are not directly working in those units, but have unsupervised access to the unit when the vulnerable population is present. This category does not include faculty or instructional academic staff performing regular teaching, service, and research responsibilities unless these responsibilities include unsupervised or significant access to vulnerable populations. 
   2. Property access
      1. Responsibilities require the use of master keys/card access and pertains to employees with key access to offices, facilities, or worksites other than their own worksite, including UW residential housing facilities. 
   3. Financial/fiduciary duty
      1. Principal responsibilities (50% or more) require handling, receiving, or having custody of money, checks or securities, or accounting for supplies or other property; authorizing (or making appropriations for) expenditures; approving, certifying, signing or countersigning checks, drafts, warrants, vouchers, orders or other documents providing for the paying over or delivery of money, securities, supplies or other property, or service of process; maintaining or auditing accounts of money, checks, securities, time records, supplies, or other property, or taking physical inventories of money, checks, securities, supplies, or other property. 
   4. Executive positions
      1. Responsibilities involve top-level management functions throughout the institution including roles as Chancellor, Provost, and Dean. Executive positions are defined as all limited appointments and include any movement from a limited appointment to a different limited appointment. 

B. Coverage of Prospective Hires and Employees

Criminal background checks must be conducted on prospective hires who are not University of Wisconsin employees, and on employees currently not in a position of trust who are seeking to move to a position of trust within the University through promotion or otherwise. Criminal background checks must be conducted on current employees holding a position of trust with access to vulnerable populations, as defined in paragraph l (a) of this policy, who have not previously been subject to a criminal background check by the University. UW-Whitewater will perform a criminal background check every four years on employees in positions of trust with access to vulnerable populations.

Notwithstanding the preceding paragraph, unless otherwise required by law to perform background checks for specified positions or unless the position involved has been designated as a "position of trust," UW-Whitewater may determine whether a criminal background check must be conducted on prospective hires for the following employee groups: (1) temporary or limited term employees; (2) hourly student employees; and (3) interns. In making this determination, UW-Whitewater should consider the level of direct supervision and guidance provided to employees in these categories and the nature of the duties of the job. 

C. Coverage of Rehires

Criminal background checks must be conducted on rehires (including rehired annuitants), who have not been in active employment status with UWW for a period greater than 12 months. Any employee rehired after a break in service of less than one (1) year must disclose any arrests, charges or convictions, which occurred during the break in service. If the new position is considered a position of trust, a recheck every four years will be required as stated in this policy.

D. Coverage of Vendors and Contractors 

To the maximum extent feasible, any agreement with a vendor or contractor whose employees, affiliates, or volunteers will have routine or unsupervised access to vulnerable populations (minors or medical patients) in the course of the contract must include a representation from the vendor or contractor stating that these employees, affiliates, or volunteers have satisfied a criminal background check, conducted by a criminal background check vendor selected by the contractor, that includes a check of the vendor's proprietary national criminal background check database. See Addendum 2 for standard contract verbiage. 

E. Coverage of Volunteers

UW-Whitewater shall perform criminal background checks on prospective volunteers when the volunteer position involved is a position of trust, or when required by law to perform criminal background checks for specified volunteer positions. Otherwise, UW-Whitewater may determine whether a criminal background check should be conducted on prospective volunteers. In making this determination, institutions should consider the level of direct supervision and guidance provided to volunteers and the nature of the duties of the volunteer position.

Criminal background checks must be conducted on current volunteers holding a position of trust with access to vulnerable populations, as defined in paragraph l (a) of this policy, who have not previously been subject to a criminal background check by the University. It is UW-Whitewater policy to ensure that a criminal background check is performed every four years on volunteers in a position of trust with access to vulnerable populations.

F. Coverage of Certain Users and Lessees of University Land and Facilities

Facilities use agreements or leases with outside organizations that use or lease University lands and facilities to operate multi-day programs for minors, or programs for minors that involve an overnight stay, must include a representation from the organization that its employees, affiliates, or volunteers have satisfied a criminal background check conducted by a criminal background check vendor selected by the organization that includes a check of the vendor's proprietary national criminal background check database.

G. Conducting Criminal Background Checks

Finalists for employment must complete and sign a criminal background check authorization form. An applicant's failure to consent to a criminal background check or falsification of any related information is grounds for the rejection of the applicant. Similar procedures must apply to current employees, volunteers and prospective volunteers who are subject to criminal background checks.

A criminal background check on prospective hires, employees and volunteers will include a check of the Wisconsin Department of Justice, Crime Information Bureau electronic database, and a check provided by a criminal background check vendor that includes the following components: 

1. Social Security Number Trace
   1. Authenticates the individual's information and generates a list of addresses the individual has lived at for the last seven years; as part of the trace, the University may verify that the social security number is valid and appropriately assigned to the individual.
2. Criminal Felony/Misdemeanor by County of Residence
   1. superior and municipal court records search in any county in the U.S. in which the individual has resided in the last seven years.
3. Sex Offender Registry
   1. sex offender search by state.
4. National Criminal Background Database
   1. search of the vendor's proprietary national criminal background check database. 

University officials will have certain additional duties under the federal Fair Credit Reporting Act when retaining a vendor to perform criminal background checks.

Additional criminal and non-criminal checks (e.g., motor vehicle, etc.) may be run when appropriate in relation to the position.

UW-Whitewater will conduct an appropriate U.S. criminal background check on an applicant for employment, current employee, or volunteer who is a foreign national and subject to this policy. A criminal background check in the individual's prior country(ies) of residence will also be conducted if his/her country(ies) of residence provides a criminal background check for the time period during which the individual was a resident. A media search is not considered an appropriate criminal background check and, therefore, UW-Whitewater is not required to conduct media services. 

H. Application of the "Substantial Relationship" Test Under the Wisconsin Fair Employment Act 

Wisconsin law prohibits an employer from discriminating against an applicant or employee on the basis of arrest or conviction unless the pending criminal charge or conviction substantially relates to the circumstances of the position. Applicants with a criminal history will not be automatically disqualified from UW-Whitewater employment, and a UW-Whitewater employee's criminal history will not result in automatic disciplinary action or dismissal. If an applicant's or employee's criminal background check reveals a pending criminal charge or criminal conviction, UW-Whitewater must engage in an individual analysis to determine whether a substantial relationship exists between the pending charge or criminal conviction and the functions of the position. 

I. Self-Disclosure of Arrests, Charges, or Convictions

UW-Whitewater requires employees who hold positions of trust with access to vulnerable populations, as defined in paragraph I (a) of this policy, to report any criminal arrests, charges, or convictions (excluding misdemeanor traffic offenses punishable only by fine) to human resources, or to whomever the institution designates as the appropriate individual to receive a report, within twenty-four (24) hours or at the earliest possible opportunity. Failure to make the required report may constitute a violation and may result in disciplinary action, up to and including dismissal. The same procedures must be implemented for volunteers who hold a position of trust with access to vulnerable populations.

J. Statutorily Mandated Background Checks

Notwithstanding anything in this policy, UW-Whitewater shall continue to perform criminal background checks for certain, specified positions in the form and manner required by state or federal law. Laws mandating criminal background checks for certain positions include: the Wisconsin Caregiver law (covering prospective caregivers for vulnerable populations such as minors, as well as those licensed by the state to provide direct health care services and treatment to clients); the Wisconsin Fiduciary law (covering positions that involve accounting, auditing, financial management, accounts receivable, accounts payable, procurement, retail operations, tax and fee collections, payroll, and handling of cash and checks); and the federal Public Health Security and Bioterrorism Preparedness and Response Act of 2002 and the Agricultural Protection Act of 2002 (covering employees who handle and work with hazardous agents or materials in campus labs, buildings or storage facilities).

K. Other Criminal Background Checks

Nothing in this policy shall be construed to prevent UW-Whitewater with a reasonable basis from obtaining, at any time, criminal background check information on any current employee or volunteer. 

L. Sanctions and Appeals Process

Failure to adhere to the provisions of this policy may result in appropriate disciplinary action as provided under existing procedures applicable to students, faculty, and staff, and/or civil or criminal prosecution up to and including termination.

M. Addendum #1: Procedures for Responding to Notices to Address Discrepancies Received from Consumer Reporting Agencies

The Federal Trade Commission (FTC) issued a new regulation (16 CFR 681.1) which requires users of consumer reports to have a procedure in place to deal with any Notices of Address Discrepancies it may receive from a consumer reporting agency. Specifically, upon receipt of a Notice of Address Discrepancy, UW-Whitewater must be able to form a reasonable belief that the consumer report relates to the consumer about whom it has requested the report. Essentially, the goal of the regulation is to ensure that UW-Whitewater and the credit reporting agency are both referring to the same person, even if they each have different addresses for such person on file.

UW-Whitewater uses third-party consumer reporting agencies to conduct checks in connection with its Criminal Background Check Policy. These checks are typically run by the UW- River Falls Human Resources Department or a third-party consumer reporting agency.

In the event that UW-Whitewater receives a Notice of Address Discrepancy from a consumer reporting agency related to a Criminal Background Check Policy check, the following procedure shall apply: 

1. UW-Whitewater Human Resources will compare the information in the consumer report provided by the consumer reporting agency with its own records or records from third-party sources in order to verify that the consumer report relates to the consumer about whom it has requested the report.
2. In the event that Human Resources is unable to verify that the consumer report relates to the consumer about whom it has requested the report based on such documentation, it shall verify the information provided by the consumer reporting agency directly with the individual who is the subject of the consumer report. 

In addition to the above, the new regulation requires that UW-Whitewater report the information underlying the discrepancy to the consumer reporting agency that provided the Notice of Address Discrepancy if (i) UW-Whitewater forms a reasonable belief that the consumer report relates to the consumer about whom it requested the report and (ii) UW-Whitewater regularly furnishes information to the consumer reporting agency. UW-Whitewater currently supplies information to a criminal background check vendor. This reporting should be completed as part of the information UW-Whitewater regularly furnishes to a criminal background check vendor for the reporting period in which UW-Whitewater confirms that the consumer report relates to the customer about whom it requested the report. 

N. Addendum #2: Standard Contract Verbiage for a Contracted Individual or Contractor

When it is made known to a Purchasing Agent that an individual is being contracted to perform work where they are expected to have regular contact with children, the following clause will be added: 

This contract is contingent upon, prior to the commencement of services, the independent contractor passing a criminal background check performed by the Criminal Background Check Coordinator of the unit for which the individual will be engaging in activities or rendering services. This background check will evaluate whether the individual has any pending charges or convictions that are substantially related to the contracted-for activities or services, including but not limited to, those that would render the worker unsuitable for regular contact with children. Disqualifying convictions or charges include, but are not limited to, sexual offenses, violent offenses, and drug offenses.

If, in the course of providing services to the UW-WHITEWATER, contractor (or its employee) observes an incident or threat of child abuse or neglect, or learns of an incident or threat of child abuse or neglect, and the contractor (or its employee) has reasonable cause to believe that child abuse or neglect has occurred or will occur, contractor must make a report of that abuse or neglect to law enforcement or to a county social service agency as provided in UW-WHITEWATER’s Policy on Mandatory Reporting of Child Abuse and Neglect (“the Policy”). If the suspected child abuse or neglect involves an allegation against a UW-WHITEWATER employee or agent (e.g. student, volunteer, contractor, etc.), or the incident or threat of child abuse or neglect occurred on the UW-WHITEWATER campus or during a UW-WHITEWATER-sponsored, the contractor shall also report to the UWWHITEWATER Police Department or UW-WHITEWATER’s Office for Equity and Diversity.

When it is made known to a Purchasing Agent that a contractor will be expected to have regular contact with children in the performance of a contract, the following clause will be added: 

This contract is contingent upon, (insert entity providing services) supplying workers who have passed a criminal background check that includes a national criminal background check database demonstrating the worker has no convictions or pending criminal charges that are substantially related to the contracted-for activities or services, including but not limited to, those that would render the worker unsuitable for regular contact with children. Disqualifying convictions or charges include, but are not limited to, sexual offenses, violent offenses, and drug offenses.

If, in the course of providing services to the UW-WHITEWATER, contractor (or its employee) observes an incident or threat of child abuse or neglect, or learns of an incident or threat of child abuse or neglect, and the contractor (or its employee) has reasonable cause to believe that child abuse or neglect has occurred or will occur, contractor must make a report of that abuse or neglect to law enforcement or to a county social service agency as provided in UW-WHITEWATER’s Policy on Mandatory Reporting of Child Abuse and Neglect (“the Policy”). If the suspected child abuse or neglect involves an allegation against a UW-WHITEWATER employee or agent (e.g. student, volunteer, contractor, etc.), or the incident or threat of child abuse or neglect occurred on the UW-WHITEWATER campus or during a UW-WHITEWATER-sponsored activity, the contractor shall also report to the UWWHITEWATER Police Department or UW-WHITEWATER’s Office for Equity and Diversity.

Background Check (UWW Procedure #340.A)

First Approved: 2020

Questions regarding the interpretation of this policy should be directed to:

Chief Human Resources Officer
Phone: 262-472-1409
Email: putlandc@uww.edu