The UNC Policy Manual
Adopted 10/11/21
Amended 06/09/2022
I.
Purpose.
This regulation sets forth requirements related to the administration of
pre-employment background checks and prior salary history to ensure that such
checks are accomplished in a fair and compliant manner in accordance with
industry standards and federal and state requirements and to promote a safe and
secure environment for the University’s faculty, staff, students, and visitors.
II.
Coverage.
This regulation applies to faculty, permanent EHRA non-faculty and SHRA staff,
and temporary employees, including student employees. Sworn law enforcement
personnel are subject to the State of North Carolina’s background check
requirements for law enforcement certification as well as any specific
requirements established by the institution’s public safety lead; therefore,
the chancellor or their designee may exclude these individuals from the
provisions of this regulation at the institution’s discretion. Students who
seek University employment incidental to their status as a student or otherwise
related to their education may be exempted from the background check
requirement at the institution’s discretion unless a background check is
mandated by another policy or regulation.
III.
Required Policies and Procedures. Each constituent institution and
affiliate of the University of North Carolina System will establish and
implement policies and procedures to meet the minimum pre-employment background
check requirements set forth in this regulation for all hiring decisions of
employees to whom this regulation applies. At a minimum, a background check is
required for all
selected candidates at the time of initial employment. Constituent
institutions and affiliates may choose to exceed these requirements as deemed
appropriate to meet operational needs as long as any
implemented procedures comply with applicable federal and state compliance
requirements.
IV.
Basic
Requirements. The policies and procedures required by this regulation must:
A.
Prohibit
hiring managers from viewing applicants’ responses to questions regarding their
criminal history on their employment applications.
B.
Prohibit
the consideration of a candidate’s expunged or pardoned convictions; pending
charges; arrests not resulting in a conviction; or charges resulting in
dismissal or not guilty; however, separate and apart from a specific judicial
status or disposition, the institution may consider a candidate’s documented
conduct incidental to an arrest (including matters that remain pending) if the
conduct is demonstrably related to the position’s responsibilities or access to
institutional resources.
C.
Ensure
that employment decisions are not based on the criminal history of an
individual unless that criminal history is demonstrably job-related and
consistent with business necessity associated with the position, or unless
state or federal law prohibits hiring an individual with certain criminal
convictions for a particular position.
D.
Provide
an applicant a copy of the criminal record and a copy of "Summary of Your
Rights Under the Fair Credit Reporting Act" if a criminal record is
obtained as part of the employment process, unless the act of sharing the
criminal record is prohibited by state or federal law.
E.
Set
forth the procedure and criteria for considering an applicant's criminal
history, consistent with section VI., of this regulation, the U.S. Equal
Employment Opportunity Commission's Enforcement Guidance on the Consideration
of Arrest and Conviction Records in Employment Decisions[1] under Title VII of the Civil Rights Act, and any
guidance provided by the North Carolina Office of State Human Resources (OSHR).
F.
If
the results of a background check may result in a non-selection decision:
1.
Allow
the applicant a reasonable opportunity to explain the circumstances surrounding
their relevant conviction(s) and/or charge(s) and provide any proof of
rehabilitation, including a certificate of relief;
2.
Address
under what circumstances, if any, a previously completed background check may
be used for a subsequent position or appointment; and
3.
Include
consequences for an applicant or employee either failing to provide the
required information in a complete and timely manner or willfully omitting,
concealing, or falsifying information.
V.
Minimum
Requirements for Pre-Employment Background Checks. The following minimum
standards apply to all background checks conducted by the UNC System and its
constituent institutions and affiliates.
A.
Accreditation.
Any vendor conducting a background check must be accredited by the Professional
Background Screening Association (PBSA).
B.
Length
of criminal history. All background checks must cover a time
period of no fewer than seven years as of the date of the check, when
available within the relevant jurisdictions, or until age 18 if the applicant
is younger than 25 years old, or as required by external, affiliated programs.
C.
Scope.
All background checks must include, at a minimum, federal criminal history,
applicable criminal history for all local and state jurisdictions in which an
individual has previously lived within the time period
of the check, the national sex offender registry, and, for designated positions,
a federal System for Award Management (SAM) and Office of Inspector General
debarment check. The check should include a good faith attempt to identify any
omissions by the candidate with respect to prior residences during the time period being checked.
D.
Federal
Fair Credit Reporting Act (FCRA)[2] Compliance. The institution shall ensure that all
requirements of the FCRA are satisfied in the conduct of its pre-employment
background check process. This shall include notification to an applicant of
any background check results that are determined to have an impact on a
non-selection employment decision and providing an opportunity to receive and
respond to such results in accordance with the Act.
E.
Confidentiality.
Background check applications and results are considered part of an applicant’s
or employee’s confidential personnel record. The results of background checks
will be made available to applicants on request in accordance with State
personnel policies as well as the requirements of the FCRA.
F.
Records
Retention. Records of background checks shall be retained in accordance with
the State of North Carolina records retention schedules for universities and
the UNC General Records Retention schedule.
VI.
Assessment
of Background Check Results
A.
Designated
Individuals. The constituent institution or affiliate must designate a specific
individual or individuals within Human Resources, the Provost’s Office, Legal
Affairs, and/or other appropriate administrative office(s) of the institution
to make a determination as to whether adverse
background check results impact an employment determination. While such
designated individuals may consult with department-level hiring managers in
reviewing adverse results, the authority and responsibility for a final
employment decision based upon adverse background check results lies with the
individual designated pursuant to this subparagraph, to ensure consistency of
application across the institution.
B.
Assessment
of Adverse Results. The designated individuals who will make such a
determination must consider the following factors with respect to each
applicable conviction, infraction, or charge and its bearing on a potential
employment decision:
1.
The
relationship of the conduct to the specific job duties and responsibilities
that would be performed by the covered individual, if appointed;
2.
The
nature, gravity, and context of the events surrounding the conduct, as
evidenced by the background check results and any supplementary information
that can be obtained by the University or that is promptly provided by the
covered individual;
3.
The
time that has elapsed since the conduct occurred and/or the completion of any
sentence served;
4.
The
individual's demonstrated behavior since any conviction and the future
potential for illegal activity by the individual, as might be inferred from a
past pattern of conduct; and
5.
Any
other extenuating circumstances documented by the covered individual or
otherwise known to the University (e.g., the age of the candidate at the time
of the conduct or the totality of the circumstances).
VII. Prohibition
on Use of Salary History for Hiring Actions.
A.
UNC
institutions shall not request an applicant’s salary history on the employment
application or as part of any supporting documentation provided in the
application process.
B.
UNC
institutions shall not use a selected candidate’s salary history to determine
the candidate’s salary for any hiring action, including new hires, transfers,
and promotions. Rather, salary determinations shall be based on other relevant
factors including, but not limited to, the salary range of the proposed
position, the qualifications and credentials of the candidate, equity to other similarly
situated and qualified employees, and available budget.
C.
UNC institutions will utilize only the factors listed in VII.B. above
and will not utilize current salary information of state employees who apply
for other positions, even though such current salary information is publicly
available.
D.
UNC Laboratory (Lab) Schools as defined by State law, N.C.G.S.
116-239.5 et seq., may be exempted from this requirement when hiring teachers,
school administrators, and non-teaching positions if the Lab School has elected
to follow the State Salary Schedules developed specifically for public school
employees and published by the Department of Public Instruction (DPI). For the
purposes of determining a starting salary, the Lab School may ask the prospective employee and/or the
employee’s current employing unit to verify the employee’s current DPI salary
step.
VIII. Other Matters
A.
Effective
Date. The requirements of this regulation will be effective on the date of
adoption of this regulation by the president.
B.
Relation
to State Laws. The foregoing regulation as adopted by the president is meant to
supplement, and does not purport to supplant or modify, those statutory
enactments, regulations, and policies which may govern the activities of public
officials.