4012 - Employment Background Checks

Campus Administrative Policy

Policy Title: Employment Background Checks

Policy Number: 4012 Functional Area: Human Resources

Effective: July 1, 2020

Date Last Amended/Reviewed: June 16, 2020

Date Scheduled for Review: July 1, 2027

Supersedes: Background Investigations (October 15, 2014, October 1,

2007) HSC Background Investigation (December 1, 2005)

Approved by: Donald M. Elliman Jr.

Chancellor, University of Colorado Anschutz Medical Campus

Dorothy A. Horrell

Chancellor, University of Colorado Denver

Prepared by: Director of Human Resources

Reviewing Office: Executive Vice Chancellor for Administration and Finance

Senior Vice Chancellor for Administration and Finance

Responsible Officer: Associate Vice Chancellor for Human Resources

Applies to: CU Anschutz Medical Campus

CU Denver Campus

CU South Denver Location

A. INTRODUCTION AND PURPOSE

The CU Denver Campus and CU Anschutz Medical Campus (“the university”) strives to

maintain a safe and productive educational, clinical, research and employment

environment. All prospective employees and current employees must, therefore, consent

to and pass background checks prior to any final appointment/employment. Background

checks are also required for volunteers, trainees, and contractors. Individuals who will

have contact with students, patients, minors, or visitors or who have direct access to

University resources such as facilities, equipment, funds, or other property are also

required to have a background check. Anyone subject to a criminal background check in

accordance with this policy is referred to as a “Candidate.” All appointments are

contingent upon the Candidate passing the necessary background check(s).

This policy is written in accordance with the CU System Administrative Policy Statement

5050 “Background Checks.” This version supersedes any previous version of this policy

and procedure.

 
2 
 
 
This policy is to establish process for employment background checks for all employees, 
volunteers, trainees, and contractors at the university.    
 
B.  TABLE OF CONTENTS 
 
A.  Introduction and Purpose ................................................................................................. 1 
B.  Table of Contents ............................................................................................................ 2 
C.  Policy Statements ............................................................................................................ 2 
D.  Enforcement .................................................................................................................... 3 
E.  Policy Applications ......................................................................................................... 3 
F.  Job Announcements ........................................................................................................ 4 
G.  Procedures for Background Checks ................................................................................ 5 
H.  Types of Background Checks .......................................................................................... 6 
I.  Pass/Fail Criteria for Background Checks ...................................................................... 6 
J.  Confidentiality ................................................................................................................. 8 
K.  Contractors ...................................................................................................................... 8 
L.  Definitions ....................................................................................................................... 8 
Notes ..................................................................................................................................... 10 
 
C.  POLICY STATEMENTS 
 
1.  Human Resources is solely authorized to conduct and oversee the employment 
Background Check process for Candidates. Human Resources may work with law 
enforcement or contract with outside agencies in executing any of the obligations set 
forth in this policy. Human Resources is responsible for making decisions regarding 
what type of background checks are appropriate, interpreting background check 
records and information, determining whether a Candidate is eligible for 
employment, and for making recommendations to the Hiring Authorities, University 
Legal Counsel, and leadership.    
 
2.  Job Applicants must be informed that they will be subject to background checks in 
job announcements and consent in their applications to the criminal background 
check, as a condition of submitting such applications. Only the final Candidate 
identified for appointment, however, will submit a Background Disclosure and 
Authorization Form via HireRight and be subject to the actual background check, 
along with any other additional required checks (e.g. motor vehicle records if driving 
is required for the position, sex offender, financial, etc.). 
 
3.  Candidates for certain positions may also be subject to additional pre- and post- 
appointment background checks as deemed necessary for regulatory compliance or to 
address a specific risk associated with an assignment.  These additional background 
checks may include civil, financial/credit, motor vehicle records, sex offender, and 
other checks. 
 
4.  A Candidate who refuses to consent to any form of required background check, 
refuses to provide information necessary to conduct the background check or provides 
false or misleading information in regard to the background check will not be 

considered further for the position for which they have applied. If an employee has

begun work, they will be terminated.

5. Any Candidate who has been hired or appointed and is subsequently found to have

provided false or misleading information related to the background check will be

subject to disciplinary action, up to and including termination.

D. ENFORCEMENT

This policy is enforced and monitored through the university Human Resources office.

E. POLICY APPLICATIONS

1. Final Candidates identified for employment are subject to criminal background

checks, sex offender checks, and excluded/denied parties checks.

2. The hiring department is responsible for initiating the background check process by

submitting the on-line Background Check Request Form through the central Human

Resources website.

3. Current employees who apply for or are otherwise considered for promotional

opportunities within the university may be subject to criminal background checks.

4. The university retains the right to conduct additional background checks of current

employees when it has reasonable grounds to do so, e.g., workplace violence

incident or when it is required to do so pursuant to state or federal laws, rules, or

regulations, or change of assignment.

5. All current employees are required to notify Human Resources upon final

conviction of a misdemeanor, felony, or designation as a registered sex offender

regardless of conviction and are subject to an additional background check.

6. University employees hired and paid through affiliates (e.g., UC Health (formerly

University of Colorado Hospital), University of Colorado Medicine (formerly UPI),

Veterans Administration Hospital, and Children’s Hospital Colorado) are also subject

to background checks under this policy.

7. Contractors are subject to background checks as required by CU Denver Campus

and CU Anschutz Medical Campus (see Section K).

8. Minors (under the age of 18) are not subject to background checks. Once an

individual turns 18, a background check is required.

9. International Candidates are not subject to the campus background checks if they

have been in the United States for less than one year. However, campus

departments hiring an International Candidate must forward the Candidate’s name

and projected start date to the central Human Resources Background Check

Coordinator in writing to determine if a background check is required. If an

International Candidate is rehired or reappointed and has lived in the United States

for more than one year, the background check shall be initiated through the

background check process as stated above. If a background check was not run

initially because the international employee was in the country less than one year at

the time of hire, the Human Resources Business Partner should contact central

Human Resources if/when the international employee is up for visa/work

authorization renewal.

10. Individuals working with minors via University-Run and University-Contracted

programs for Children must follow the “APS 7009 – Protection of Children

Participating in University-Run and University-Contracted Programs for Children.”

F. JOB ANNOUNCEMENTS

1. Notice of Background checks in Job Announcements

a. Job announcements will provide notification that final Candidates will be

subject to a Background Check;

b. Job announcements will state an Applicant must consent to a Background Check

in order to be considered for the job.

The following statement is posted on the CU Denver Campus | CU Anschutz

Medical Campus Human Resources web site:

“The University of Colorado Denver | Anschutz Medical Campus performs

background checks as a condition of employment and appointment. The background

checks are initiated for final Candidates identified for appointments at the request of

the hiring/appointing authority once such finalists are identified. The criminal

history will not be provided or considered prior to making job offers. Candidates will

be asked to provide personal data and sign an electronic background consent form

through HireRight before the background checks are conducted. Final Candidates

who fail to provide the data and authorization will not be allowed to begin work.

Background checks always include review of criminal records, sex offender checks,

and excluded/denied parties checks and may, for designated positions, require check

of any or all of the following: civil, financial/credit, motor vehicle, and other checks.”

2. Required Recruiting Statement

The following statement is required on all CU Denver Campus | CU Anschutz

Medical Campus job announcements and must be mentioned in all recruitment

efforts:

“University of Colorado Denver | Anschutz Medical Campus is dedicated to

ensuring a safe and secure environment for our faculty, staff, students and visitors.

To assist in achieving that goal, we conduct background checks for all new

employees prior to their employment.”

G. PROCEDURES FOR BACKGROUND CHECKS

1. Request to Conduct a Background Check

Once an offer has been made to the final Candidate, but prior to beginning work, the

Candidate will submit the electronically signed background consent form through

HireRight. Central Human Resources will receive the results from HireRight and

determine the status of the Candidate, upon completion of the background check,

using the established criteria described in Section I below.

2. Notice of Completion of a Background Check

The hiring/appointing authority will be notified via e-mail whether or not the

Candidate has passed the background check. Candidates will be notified of their

background check pass/fail status via e-mail (“Background Check Results”), with a

copy also sent to the identified Supervisor and the identified HR business partner.

3. Disagreements with Information Found in the Background Check(s) and Requests for

Reconsideration

a. Candidates who disagree with the accuracy of the information found in the

background check process may submit additional information in writing to

central Human Resources. Additional information from the Candidate must be

received by central Human Resources ([email protected])

within five (5) calendar days after they were notified of their status by e-mail.

The final hiring or promotional decision will not occur until the five-day

period has elapsed. Central Human Resources will advise the Candidate of any

decision made regarding employment.

b. Candidates who do not pass the background check and who believe there are

extenuating circumstances about their criminal convictions that should be

considered by the hiring/appointing authority and Human Resources may

submit a written request for reconsideration to Human Resources,

HR.backgrounds@ucdenver.edu.

The following considerations will be taken into account when reconsidering a

Candidate’s final status on the criminal background check:

(1) whether the convictions were disclosed on the background check form

through HireRight;

(2) the nature and gravity of the offense(s);

(3) the time that has elapsed since the conviction(s) and/or the completion of

the sentence and any other remediation;

(4) the nature of the position;

(5) in the case of current employees, job performance history.

4. Background Check Records

a. Copies of all background check results will be maintained in HireRight

electronically.

b. For Candidates who are not hired or promoted, background check information

will be maintained in HireRight electronically.

H. TYPES OF BACKGROUND CHECKS

1. All final Candidates shall be subject to the following checks:

a. A criminal history check

b. An excluded/denied parties list system check through Visual Compliance

c. A National sex offender registry check

Requirements for additional background checks may vary by position status and duties, as

determined by Human Resources.

2. A Financial History Check shall be conducted for all final Candidates for the

following positions:

a. University Officers (i.e. Deans, Assistant Vice Chancellors, and above)

3. Motor vehicle (driver’s license) records checks will be considered for positions that

have responsibility for operating University owned or controlled vehicles (including

golf carts), require transporting of children, patients, students, clients or others in a

private vehicle or require any other driving of a motor vehicle, including rental

vehicles, on a regular or routine basis, to conduct University business.

4. Civil records checks may be considered for the appointment of Officers.

5. Post-appointment background checks may be required for some positions. As a

condition of continued employment, employees must consent to any periodic post-

appointment/employment background checks due to the amount of responsibility or

risk associated with that position, or if new background check requirements for the

position arise.

I. PASS/FAIL CRITERIA FOR BACKGROUND CHECKS

The following guidelines are provided for assessing background check information. The

process of determining more specific criteria is intended to match the pass/fail criteria to

the position’s duties and responsibilities, and not to dilute the standard passing criteria for

background checks.

Adverse Action Notification Procedures

If information is revealed (either by the Candidate or through the background check report)

in a criminal history, financial history, motor vehicle records check, sex offender report, or

other check that could potentially result in an adverse employment decision, central Human

Resources shall take the following steps:

1. Pre-Adverse Action Notice

Central Human Resources will notify the Candidate in writing that information was

revealed during the background check process which may impact the employment

decision and will provide a copy of the supporting report to the Candidate along with

a copy of "A Summary of Your Rights Under the Fair Credit Reporting Act." The

Candidate will be provided five (5) calendar days to provide a response to central

Human Resources regarding the information provided in the report and take steps to

correct inaccuracies or provide explanation.

2. Decision Stay

A final employment decision shall not be made until the Candidate's new information

has been considered or such time that the Candidate fails to respond, as required.

3. Adverse Action Notice

After considering any Candidate response, central Human Resources will provide an

email notification to the Candidate and Supervisor indicating whether or not the

person passed the background check.

The criteria for assessing criminal background information are based on convictions and

not arrest records. Sealed records will not be accessed. A “conviction” means a verdict, a

guilty plea or a Nolo Contendere (“No Contest”) plea. In addition, if a disposition is

“pending” or “deferred” or if there is an outstanding warrant(s), central Human

Resources reserves the right to follow up with the Candidate regarding the outcome of

the case(s) prior to a pass/fail letter being sent. The Candidate will be required to provide

court documentation as determined by central Human Resources. A Candidate will be

considered to have “passed” the criminal background check if they meet all of the criteria

listed below:

a. No felony convictions for drug use or distribution in the seven (7) years

immediately preceding the submission of their application for employment or

promotion at the university.

b. No felony convictions for serious or violent felonies, including but not

limited to, homicide or sexual assault (no time limit).

c. In all other circumstances where convictions are found, the job-relatedness of

the convictions will be taken into account.

d. No active warrants.

The criteria to be considered in this analysis include, but are not limited to:

(1) whether the convictions were disclosed on the application form;

(2) the nature and gravity of the offense(s);

(3) the time that has elapsed since the conviction and/or the completion of the

sentence and any other remediation;

(4) the nature of the position;

(5) in the case of current employees, job performance history.

J. CONFIDENTIALITY

1. Information obtained for the purpose of a background check will be retained by

Human Resources separate from other employment records.

2. Central Human Resources has the authority and discretion to discuss questionable or

incomplete background check results and responses with the supervisor,

hiring/appointing authority, the appropriate Vice Chancellor, and University Legal

Counsel, to ensure the intent of the policy is met.

3. All university employees are responsible for ensuring the integrity and confidentiality

of the background check process.

4. Central Human Resources will not provide copies of background check

reports/results to candidates or affiliate institutions.

K. CONTRACTORS

Contractor Responsibility for Conducting Background Check

Contractors performing Security Sensitive work are responsible for conducting background

checks on all employees, agents, and subcontractors that provide services to the University

and, upon University request, certifying that such employees and agents have satisfactorily

completed the Background Check.

1. Required Contract Provision

The following provision shall be included in all contracts with Security Sensitive

contractors:

“Contractor acknowledges that Contractor's activities involve heightened risks as a

result of access or exposure by Contractor's employees or agents to one or more

security sensitive environments. Contractor expressly acknowledges that Contractor

shall take all commercially reasonable measures to mitigate any such risks, which

measures shall include but are not limited to conducting criminal history checks,

financial background checks when appropriate, and reference checks on all

employees or agents who will be performing work at the University. Upon University

request, Contractor shall certify in writing that it has complied with this provision

and that all employees, agents, and subcontractors performing work hereunder have

satisfactorily completed Contractor's background check.”

L. DEFINITIONS

1. Candidates are current employees or the sole finalist for a position who submit

information to be considered for said positions at the university, including

individuals not currently employed by university and current employees. This

Employment Background Check Policy shall apply to all Candidates for the

following types of positions at the university:

a. All full-time and part-time faculty members, including research associate series,

lecturers and instructors.

b. All officers employed at the university.

c. All classified staff members, including classified staff transferring from other

state agencies, institutions of higher education, and temporary employees.

d. All permanent and temporary university staff members.

e. Working retirees.

f. All student employees, including student assistants, research assistants and

teaching assistants.

g. All pre-doctoral and post-doctoral fellows.

h. Anyone else employed by the university.

i. All volunteers, trainees, and contractors who will have direct, ongoing contact

with students, patients, or visitors and/or who have direct access to University

resources such as facilities, equipment, funds or other property.

j. All student and resident trainees engaged in clinical rotations at affiliated health

providers, in accordance with the Background Investigation Policy for Residents

and Students in Health Science Programs.

2. Applicants are individuals who apply for university job postings.

3. Background Check Notification is the notice sent by central Human Resources via

HireRight to a Candidate, notifying them of the pass/fail status of the background

check and the potential effect, if any, on the Candidate’s request to be hired.

4. Credit/Financial Records include private credit information available through

national credit bureaus, in accordance with the Fair Credit Reporting Act (FCRA).

5. Criminal Records include public in-state, out-of-state and international criminal

history, including misdemeanor and felony convictions. Every effort will be made to

verify convictions. A “conviction” is defined as a verdict, a guilty plea, or a Nolo

Contendere (“No Contest”) plea.

6. Motor Vehicle Records (Driver’s License Records) include state of Colorado motor

vehicle records. If the Candidate has lived in Colorado for less than seven (7) years,

the university reserves the right to review other states’ motor vehicle records.

7. Security-Sensitive means work that meets one or more of the following criteria:

a. Responsibility for patient, animal or childcare in a childcare center;

b. Access to "select agents or toxins" or "controlled substances" as defined under

state and federal law;

c. Access to campus buildings where students reside (e.g. residence halls), and

other facilities as determined at the sole discretion of central Human Resources

in consultation with the appropriate Dean or Hiring Authority as needed;

d. Direct work with students including food preparation and transportation;

e. Positions that serve a Vulnerable Population Program;

f. Primary responsibility for driving a University vehicle; or

g. Positions with information technology responsibilities.

8. Sex Offender Checks include the review of the National Sex Offender Registry.

9. Promotional Opportunities are defined as substantive job advancement, title

enhancement and/or pay increase actions or processes for current university

employees. Any university employee who applies for a promotional opportunity may

be subject to the same type of background check that an individual not currently

employed by the University and seeking the same position would receive.

10. Required Information for most background checks includes name (including any

former names), address (including address history), date of birth and social security

number. Information will be obtained from the university electronic background

consent form filled out by Candidates through HireRight as part of the application

process. The Candidate’s electronic agreement through HireRight is required as

authorization for Human Resources to conduct a background check.

NOTES

1. Dates of official enactment and amendments:

December 1, 2005: Adopted by the Chancellor

October 1, 2007: Revised/Reissued

October 15, 2014: Revised

March 15, 2019: Reformatted

July 1, 2020: Revised/Reissued

2. History:

March 15, 2019: Reformatted to reflect a Campus-wide effort to recast and revitalize

various Campus policy sites into a standardized and more coherent set of chaptered policy

statements organized around the several operational divisions of the university. University

branding and links verified

July 1, 2020: Revised to streamline the background check process and eliminate the

administrative burden and cost of running unnecessary duplicate checks.

3. Initial Policy Effective Date: December 1, 2005

4. Cross References/Appendix:

• APS 5050, Background Checks