Background Check Procedure

University-Procedure Hiring Background-Check Applies-to-Faculty Applies-to-Students Applies-to-Researchers Applies-to-SHRA-Staff Employment Applies-to-EHRA-Staff Campus-Safety-and-Risk-Management Protection-of-Minors Fair-Chance-Act contingent-offer conditional-offer degree-verification international-degree

Title

University of North Carolina at Chapel Hill Background Check Procedure

Introduction

Purpose

This University of North Carolina at Chapel Hill Background Check Procedure ("Procedure") sets out the process for requesting and initiating background checks in accordance with the Background Check Policy for Employees and Affiliates (“Policy”). This Procedure will be applied and interpreted consistently with applicable law.

Scope

This Procedure applies to all campus personnel responsible for ensuring that background checks are conducted for individuals selected for employment and certain unpaid roles subject to the Policy. It also outlines the requisite information needed to facilitate the completion of background checks.

The department background check initiator is responsible for determining whether a background check is required based on appointment type and applicable policy or with assistance from the appropriate managing unit. Questions related to the interpretation of policy and/or the need for a background check should be directed to the appropriate managing unit. When a background check is required, a background check initiator must submit a background check ePAR request.

While the Office of Human Resources (OHR) Background Check unit conducts background checks based on the nature of the appointment, reviews the results, and makes final determinations in accordance with this Procedure and Policy, ultimate responsibility for determining whether a background check is required rests with the department HR Representatives and managing units.

Background checks are required in accordance with the noted governing policies below. All questions related to these policies, requirements and related exceptions should be discussed with the noted managing units below.

the University’s Recruitment & Hiring Policies, managed by OHR Employment and EHRA HR;
the University's Unpaid Volunteers, Interns and Visiting Scholars Policy, managed by OHR Employment;
the University's Protection of Minors Policy, managed by the Protection of Minors on Campus Office (POM);
federal regulations related to access or use of chemical or biological agents (regulated select agents), as determined and managed by the University's Department of Environment, Health and Safety (EHS); and
the University's Independent Contractor Policy, managed by Accounts Payable and Vendor Services;
the University's Applicant Background Investigations Policy, managed by the University Police Department.

Procedure

Initiating a Background Check ePAR Request

Following completion of reference checks and issuance of a written contingent offer, the appointing department’s background check initiator must submit a background check ePAR request.

The initiator is responsible for:

Gathering the individual's biodemographic details from the application materials for inclusion in the request. Be sure to provide the correct legal name, PID (if available), email address, position number, and all relevant appointment details on the ePAR request;
Selecting “CDC Select Agent” in the Special Category field for individuals participating in the CDC/USDA Tier 1 Select Agent Program;
Providing required chartfield account, fund, and source numbers in accordance with school or division guidance;
Ensuring timely completion of the background check questionnaire by the individual candidate/appointee through appropriate follow-up.

Providing inaccurate information may impact or delay the background check process, incur additional fees, and/or result in policy violations. Detailed procedures are provided in the Background Check Quick Reference Cards (QRCs) within the HR Community Toolkit.

Collecting Candidate/Appointee Information

Pursuant to North Carolina Session Law 2013-53 and the UNC System Regulation on Pre-Employment Background Checks and Applicant Salary History (300.8.7[R]), when a background check is required (as outlined in the Policy), State law permits applicants to omit disclosure of any arrest, charge, or conviction that has been expunged.

Additionally, in circumstances where a hire or appointment is determined to be time-sensitive, the appointing department may, at its discretion, request background checks for more than one candidate following the completion of interviews and prior to final selection. Under such circumstances, background checks should be limited to the top one or two candidates under consideration for the position.

All data collected for the background check is maintained in compliance with the Information Classification Standard and Information Security Controls Standard.

Conducting the Background Check

Upon receipt of the ePAR request, the OHR Background Check Unit will:

Issue the background check invitation and required disclosures/consents to the candidate/appointee;
Assign the appropriate background check package;
Submit the request to the university’s background check vendor;
Review results and conduct an individualized assessment, as applicable; and
Complete the background check process.

Completing Federal Debarment Check

The University conducts mandatory checks for federal debarment through the System for Award Management (SAM) and Office of Inspectors General (OIG) exclusion databases as part of the background check process for all candidates for paid appointments. If a background check confirms an active federal debarment, OHR will notify the appointing department head and the appropriate school or division Human Resources Officer, secondary contact, or designee.

Verifying Education and Professional Credentials

U.S. Education Verification

If an individual earned their highest post-secondary degree from an accredited U.S. institution, they must provide education credentials information (e.g., college/university name, degree, date earned, major, and name used) on the background check questionnaire. The Background Check Unit will complete a degree verification within ninety (90) days of their hire date. Verification is typically conducted through the National Student Clearinghouse. If the institution does not participate, verification may be obtained through the background check vendor, another third-party service, or the institution’s Registrar’s Office.

An individual may be required to provide additional information, documentation, or a signed release to facilitate the verification process.

International Education Credential Evaluation

If an individual earned their highest post-secondary degree from an institution outside the United States or its territories, they must obtain an evaluation of their highest post-secondary degree, confirming equivalency to a U.S. baccalaureate, master’s, or doctoral degree from a regionally accredited institution within ninety (90) days of their hire date.

The evaluation must be conducted by an agency accredited by either the:

The individual is responsible for securing the evaluation, including any associated costs, and should contact credential evaluation agencies directly for current procedures and fees. The University does not endorse specific agencies.

The appointing department's assigned Background Check Initiator is responsible for ensuring the evaluation is completed by a NACES or AICE accredited agency and the official degree evaluation is submitted electronically via email to the OHR Background Check Unit at backgroundcheck@unc.edu within ninety (90) calendar days of the hire date. The Background Check Unit does not accept degree evaluations submitted by U.S. mail.

Departments are responsible for providing the most current list of accredited agencies, as listings may change periodically. Refer to the Background Check Information for Departments webpage for a list of approved agencies.

Professional Credentials

If a position requires professional licensure or certification, the individual must provide the licensing agency, license type, license/certification Number, state of issuance, date issues, and expiration date for each license and/or certification on the background check questionnaire. The Background Check Unit will verify the licensure/credentials within ninety (90) days of the hire date.

Using Previous Background Check Results During Validity Period

The OHR Background Check Unit will review whether a background check was completed within twelve (12) months of the proposed hire or appointment date, which is known as the validity period. If a prior check exists, the unit will assess whether the results satisfy the requirements of the new position.

If prior background check results are insufficient (e.g., required checks such as driver’s license, professional licensure, degree verification, or federal debarment were not completed), the Background Check Unit will conduct the necessary checks. If the prior background check has adverse results, the Background Check Unit will conduct an individualized assessment for the new appointment. Once all checks and individualized assessment are completed (as needed), the Background Check Unit will upload applicable verifications in ConnectCarolina, and issue a new Background Check Summary to the appointing department.

Conducting Individualized Assessments for Convictions/Arrests/Charges/Driving Infractions

If background check results identify non-expunged criminal convictions, arrests, charges, applicable driving infractions, or credential falsification, the OHR Background Check Unit in consultation with the appointing department head and/or appropriate Human Resources representatives will evaluate the relevance and potential risk of the findings in relation to the proposed appointment. Mitigating factors may be considered in determining whether the appointment may proceed.

Factors considered include:

The relationship of the conduct to the position’s duties and responsibilities;
The nature, severity, and context of the conduct;
The time elapsed since the conduct and/or completion of any sentence;
Evidence of rehabilitation and subsequent behavior; and
Other relevant or extenuating circumstances.

OHR may consult with appropriate offices (e.g., University Counsel, EHRA Human Resources, Office for the Protection of Minors, UNC Police, or Environment, Health and Safety for CDC/USDA Tier 1 Select Agent roles). Adverse findings requiring further review will be routed based on the appointment type.

Routing Individualized Assessments

If a covered individual in any of the categories below receives an adverse background check result, the findings will be routed to the appropriate official(s) for review and approval as outlined:

EHRA non-faculty (permanent and temporary appointments): OHR Background Check Supervisor and Senior Director of EHRA Human Resources or EHRA HR Manager, as needed.
Faculty (permanent and temporary appointments¹): OHR Background Check Supervisor and Senior Director of EHRA Human Resources, or EHRA HR Manager, as needed.
UNC independent contractors (UNC IC): OHR Background Check Consultant.
Postdoctoral fellows²: OHR Background Check Supervisor and Senior Director of EHRA Human Resources and/or EHRA HR Manager, and/or the Office of Postdoctoral Affairs, as needed.
SHRA permanent appointments: OHR Background Check Supervisor and Assistant Director of Employment, as needed.
SHRA temporary appointments: OHR Background Check Consultant and Staffing Support Services Manager, as needed.
Unpaid affiliates (e.g., interns, volunteers, visiting scholars): OHR Background Check Consultant and Assistant Director of Employment, as needed.
Individuals who have contact with minors: OHR Background Check Supervisor and Office for the Protection of Minors (POM) Coordinator, if necessary.
Other special checks - OHR Background Check Supervisor
- federally regulated CDC/USDA Tier 1 Select Agent requirements³
- federal debarment checks - OHR Background Check Supervisor

Notifying Covered Individuals of Adverse Background Check Results

In the event of a background check with adverse results that may result in a potential determination that bars appointment, a covered individual is entitled to certain notification rights under the federal Fair Credit Reporting Act. The "pre-adverse" and "adverse action" notifications described in this section will be provided to the covered individual by the OHR Background Check unit in consultation with the University official below:

EHRA non-faculty permanent and temporary appointments: Senior Director EHRA Human Resources or EHRA HR Manager, OHR
Faculty permanent and temporary appointments: Senior Director EHRA Human Resources or EHRA HR Manager, OHR
UNC independent contractors: Senior Director Employment & Staffing, OHR
Postdoctoral fellows: Senior Director EHRA Human Resources/EHRA HR Manager and/or Office of Postdoctoral Affairs, if necessary
SHRA permanent and temporary appointments: Senior Director Employment & Staffing, OHR
Unpaid affiliates: Senior Director Employment & Staffing, OHR
Individuals who have contact with minors: Office for the Protection of Minors (POM) Coordinator
Other special checks: OHR Background Check Supervisor
- federally regulated CDC/USDA Tier 1 Select Agent requirements.
- federal debarment checks

Issuing a Pre-Adverse Action Notice

If a background check identifies adverse results that may disqualify an individual, the OHR Background Check Unit, on behalf of the designated University official, must provide notice to the individual before any adverse action is taken.

The pre-adverse action notification will be sent via email and include:

A pre-adverse action letter;
A copy of the background check report; and
A copy of "A Summary of Your Rights Under the Fair Credit Reporting Act"

The individual will have five (5) business days from receipt of the notification to submit a written explanation or dispute the accuracy of the results with the consumer reporting agency.

After considering any additional information provided, the designated University officials will make a final determination in consultation with the appointing department head, the appropriate Human Resources representative, and, when applicable, the Office of University Counsel and/or UNC Police.

Issuing an Adverse Action Notice

If adverse background check results are used, in whole or in part, to deny appointment, the OHR Background Check Unit will notify the individual within three (3) business days of the decision.

The adverse action notification will be sent via email and include:

An adverse action letter;
A Summary of Your Rights Under the Fair Credit Reporting Act; and
Required consumer reporting agency information, including contact details, notice that the agency did not make the employment decision, and instructions for disputing the report and requesting a free copy.

Decisions to deny appointment based on adverse background check results are final.

Completing the Background Check (Time Frame)

Domestic background checks are typically completed within five (5) business days after the background check is initiated. Background checks that include multiple names/aliases, out-of-state jurisdictions, international jurisdictions, and/or adverse results may take longer.

Making a Contingent Offer

The Fair Chance to Compete for Jobs Act of 2019 (Fair Chance Act) requires federal agencies and contractors, including the University, to make a contingent offer before conducting a criminal background check or requesting disclosure of criminal history.

This requirement applies to all appointments covered by the University’s background check policy. Departments must make a contingent offer before initiating the background check. A contingent offer may be rescinded if any of the contingencies are not satisfactorily completed. Limited exceptions apply when law requires a check prior to an offer.

For more information, refer to the Contingent Offers for Paid and Unpaid Appointments webpage.

Establishing the Effective Date/Report for Duty

An appointment's effective date must occur within twelve (12) months of the background check completion date reflected on the Summary. If more than twelve (12) months have elapsed, a new background check is required before the individual can start the appointment.

Departments may not permit an individual to begin work until the background check is complete and cleared. However, if a background check remains incomplete after thirty (30) business days and the department head determines there is an essential need for the individual to begin work, a special exception request for a conditional start may be submitted to the Background Check unit, which must be approved by the Senior Associate Vice Chancellor for Human Resources and Academic Personnel or their designee. Approval will not be granted for positions involving access to sensitive populations (e.g., minors, patients), sensitive data, sensitive facilities, or control over sensitive University resources (e.g., CDC/USDA Tier 1 Select Agents or significant funding).

Maintaining Records

The Background Check Unit serves as the official office of record for all background check documentation and maintains records in accordance with the Records Management Policy and the University of North Carolina General Records Retention and Disposition Schedule. An individual may request a copy of their background check as follows:

Candidate/appointee prior to appointment may request a copy of their background check results by contacting the Background Check unit at backgroundcheck@unc.edu.
Current employees may request a copy of their background check results by submitting a request to the OHR Records & Information Unit. To receive a copy, the individual must present valid photo identification (e.g., U.S. passport, driver’s license, or state-issued ID) in person to a representative.

Definitions

Refer to the Background Check Policy for Employees and Affiliates.

Roles and Responsibilities

Office of Faculty Affairs: The Office of Faculty Affairs strives to promote an environment that ensures the success of faculty, regardless of career path. They partner with schools, departments, and other academic units to ensure faculty have the tools needed to successfully advance their careers at Carolina. They develop and celebrate outstanding faculty, creating a culture of faculty excellence that adheres to the highest standards of collegiality, respect, and integrity. They interpret policy and provide leadership, guidance, and oversight of university-wide strategies, programs, and policies to provide resources for faculty success.

Appointing Department: request the background check; provides position requirements; remits payment for background check fees.

Appointing Department Head: works with OHR and the school/division HR officer or their designee to assess potential risks of adverse background check results.

Assistant Director Employment: interprets policy requirements, works with the OHR Background Check unit in the case of pre-adverse and adverse action notifications, works with the OHR Background Check unit, appointing department head and school/division HR officer or their designee to assess potential risks of adverse background check results for SHRA permanent and unpaid volunteer, intern and visiting scholar appointments; works with the OHR Background Check unit to send adverse action notifications, when necessary.

Associate Director of HR, Vice Chancellor for Research: interprets policy requirements, if necessary, in the case of pre-adverse and adverse action notifications for postdoctoral-fellow appointments, works with the OHR Background Check unit to send notifications and works with the OHR Background Check unit, appointing department head and school/division HR officer to finalize a decision.

Background Check Initiator, Appointing Division: initiates background check request ePAR completely and accurately; serve as liaison between the candidate/appointee and Background Check unit; monitors the status of the background check throughout the process; ensures submission of international degree evaluation is completed within 90 calendar days of the date of hire; requests a special exception for a conditional start to the Background Check unit, which must be approved by the Senior Associate Vice Chancellor for Human Resources and Academic Personnel or their designee prior to completion of a non-disqualifying background check when appropriate; immediately notify the Background Check unit of any updates or issues.

Background Check Consultant, Office of Human Resources: works with the appointing department head and school/division HR officer and/or their designee to assess potential risks of adverse background check results; conducts individualized assessments of adverse results; compiles program metrics; prepares pre-adverse and adverse action notifications; notifies appointing departments of background check results.

Background Check Supervisor, Office of Human Resources: works with the appointing department head and school/division HR officer and/or their designee to assess potential risks of adverse background check results; conducts individualized assessments of adverse results; prepares pre-adverse and adverse action notifications; notifies appointing departments of background check results.

Background Check unit, Office of Human Resources: receives background check requests for faculty, EHRA non-faculty, SHRA/EHRA temporary appointments, unpaid affiliates (e.g. unpaid volunteers, interns, visiting scholars and UNC independent contractors) and special checks; conducts background checks; assesses background check results; reconciles and recharges appointing departments for background check fees.

Director, Accounts Payable and Vendor Services, Finance and Operations: interprets policy requirements, in the case of pre-adverse and adverse action notifications UNC independent contractor appointments, works with the OHR Background Check unit, appointing department head and school/division HR officer or their designee to assess potential risks of adverse background check results if needed; works with the OHR Background Check unit to send adverse action notifications, when necessary.

EHRA Human Resources Consultant, Office of Human Resources: interprets policy requirements, receives background check summaries for EHRA permanent and temporary appointments.

EHRA Human Resources Manager, Office of Human Resources: interprets policy requirements, receives background check summaries for EHRA permanent and temporary appointments.

Environment, Health and Safety (EHS): interprets policy requirements, may be consulted to assess potential risks of adverse background check results for federally regulated select agent appointments.

Office of Human Resources (OHR): the university office that issues and manages this policy.

Office of Postdoctoral Affairs (OPA): interprets policy requirements, works with the OHR Background Check unit, appointing department head, and school/division HR officer to assess potential risks of adverse background check results for postdoctoral fellow appointments.

Office of University Counsel (OUC): may be consulted to assess potential risks of adverse background check results.

Protection of Minors (POM) on Campus: interprets policy requirements, works with the OHR Background Check unit to assess potential risks of adverse background check results for covered individuals who work with, instruct, or have direct contact with minors on campus.

School/Division HR Officer: works with the OHR Background Check unit and appointing department head to assess potential risks of adverse background check results.

Senior Associate Vice Chancellor for Human Resources and Academic Personnel: approves contingent start/report for duty exception prior to completion of a non-disqualifying background check, when appropriate.

Senior Director EHRA Human Resources, Office of Human Resources: interprets policy requirements; works with the OHR Background Check unit to assess potential risks of adverse background check results for EHRA faculty and non-faculty appointments; works with the OHR Background Check unit to send pre-adverse and adverse action notifications, when necessary.

Senior Director Employment & Staffing, Office of Human Resources: works with the OHR Background Check unit to assess potential risks of adverse background check results for SHRA permanent and temporary as well as unpaid volunteer, intern and visiting scholar appointments, and special checks; works with the OHR Background Check unit to send pre-adverse and adverse action notifications, when necessary.

Staffing Support Services Manager: works with the OHR Background Check unit in the case of pre-adverse and adverse action notifications, works with the OHR Background Check unit, appointing department head and school/division HR officer or their designee to assess potential risks of adverse background check results for SHRA temporary appointments, UNC independent contractors, other affiliates, and special checks.

Talent Acquisition Partner (TAP), Office of Human Resources: interprets policy requirements, receives background check summaries for SHRA permanent and temporary appointments.

Talent Acquisition Specialist, Office of Human Resources: interprets policy requirements, as well as verifies background check completion for unpaid volunteer, intern, and visiting scholar appointments.

UNC Police: interprets policy requirements, may be consulted to assess potential risks of adverse background check results.

Related Requirements

External Regulations and Consequences

Fair Credit Reporting Act
A Summary of Your Rights Under the Fair Credit Reporting Act
Fair Chance to Compete for Jobs Act of 2019 (Fair Chance Act)
Federal Register: Fair Chance to Compete for Jobs
N.C.G.S. 126-30 - Fraudulent disclosure and willful nondisclosure on application for State employment.
N.C.G.S. 104E-9(a)(4) - Powers and functions of Department of Health and Human Services.
N.C.G.S. 14-122.1 - Falsifying documents issued by a secondary school, post-secondary educational institution, or governmental agency.
North Carolina Session Law 2013-53 - Clarification regarding the law pertaining to administrative action that may be taken by an occupational licensing board as a result of expunged charges or convictions.
25 NCAC 01H.0637 - Credentials Verification Procedures
Centers for Disease Control and Prevention - Select Agents and Toxins Guidance
UNC System Office Policy Code 300.8.7[R] - Regulation on Pre-Employment Background Checks and Applicant Salary History
UNC System Office Policy Code 300.2.3[R] - Regulation Governing Fraudulent Job Applications
University of North Carolina General Records Retention and Disposition Schedule

University Policies, Standards, and Procedures

Contact Information

For specific questions related to policy interpretation and whether or not a background check is required, please refer to the appropriate managing unit and policy.

For General Questions About Background Check Process

Contact: OHR Background Check unit

Telephone: (919) 962-5742

Email: backgroundcheck@unc.edu

Status of in-process background checks (University departments only)