The
UNC Policy Manual
Adopted 10/11/21
Amended 06/09/22
Amended 06/05/24
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 permanent faculty, SAAO, EPS, and SHRA staff as well
as 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 either
prior to the date of initial employment or
after the date that a conditional employment offer was extended. Constituent
institutions and affiliates may choose to exceed these requirements as deemed
appropriate to meet operational needs as long as the
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.
Conduct
an individualized assessment of adverse background check results following the
EEOC “Green” factors and 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.
Before
taking any adverse action based in whole or in part on the background check
report, provide the applicant a copy of the background check report, a copy of
"Summary of Your Rights Under the Fair Credit Reporting Act", and a description in writing of the rights of the applicant within 3
business days of taking such action, as prescribed by section 609(c)(3) of 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 period of at least
seven years prior to 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
national criminal search, applicable criminal history for all local, state, and
international jurisdictions in which an individual
has previously lived within the 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. Checks may also include
but are not limited to verification of driver’s licenses and other credentials
and professional licensures as may be procured through a consumer report. UNC
Lab Schools are also required to conduct an FBI and SBI criminal history check
on prospective candidates. The check should include a good faith attempt to identify
any omissions by the candidate with respect to prior residences during the period
being checked.
D.
Federal
Fair Credit Reporting Act (FCRA)[2] Compliance. The institution shall ensure that all FCRA requirements
are satisfied with respect to the 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 requests 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 determine whether adverse background check results impact an employment
determination. While such designated individuals may consult with the
authorized department-level official in reviewing adverse results, the
authority and responsibility for a final employment decision based upon adverse
background check results lies with the individual(s) designated pursuant to
this subparagraph, to ensure consistency 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. Access to Annual Performance Appraisal. Constituent
institutions may establish procedures for a hiring manager to review the most
recent annual performance appraisal for candidates who are current or former
state University or agency employees. Any such review should occur prior to the
date of initial employment or after the date that a conditional employment
offer was extended.
VIII. Prohibition
on the 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.
IX. 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.