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University Rule 5-130 C: Criminal Background Checks for University Hospitals and Clinics Staff. Revision 0. Effective Date: October 2, 2017


  1. Purpose and Scope

    1. Purpose: To implement University Policy 5-130 (Policy on Criminal and Other Background Checks) for University staff by describing the scope of staff positions subject to background checks, the type of criminal and other background checks the University may use, and the related decision making processes.

    2. This Rule applies to University of Utah Hospitals and Clinics staff positions with a hire, rehire, or transfer date on or after May 1, 2009. This Rule does not apply for faculty and academic staff positions, which are regulated by separate rule (Rule 5-130A)

  2. Definitions

    1. Definitions of terms provided in University Policy 5-130 apply for purposes of this Rule.

    2. Human Resources (HR) referred to in this Rule is the HR staff member or designee assigned by HR to the department to provide HR consulting services.

  3. Rule

    1. Staff positions requiring a Criminal Background Check (CBC).

      1. All University Hospital and Clinics staff.

    2. Staff employment actions which initiate a CBC:

      1. New Hires

        All new hires are subject to a pre-employment CBC Rehires

        All rehires are subject to a pre-employment CBC if there has been a break in service greater than 30 days.

      2. Transfers (Promotion, Lateral, Demotion) including Campus or U of U Health to the Hospitals and Clinics are required to initiate a CBC on any employees transferring into positions designated as requiring a CBC, provided the University has not previously completed a CBC on the employee. The promotion, lateral transfer, or demotion to a position requiring a CBC is contingent on satisfactory completion of the CBC.

    3. Reasonable Cause provision

      University Hospitals and Clinics may conduct background checks for existing staff members if a determination is made that there is reasonable cause to believe the staff member poses a threat or has committed a crime.

    4. Criminal Background Check (CBC) packages

      1. The University’s standard Campus CBC package is a domestic United States search of Credit Bureau and other records to determine counties of residence for the previous seven years. Up to three aliases are checked, and any felony and misdemeanor convictions are reported. The standard Campus CBC package also includes a check of the Sex Offender Registry.

      2. As determined by the hiring department in consultation with Human Resources, more extensive CBC packages may be appropriate. Additional elements that may be included in a customized package include: employment, education, or professional license verification; Fraud and Abuse Control Information System (FACIS); Office of Inspector General (OIG) Medicare Fraud Exclusion List, System for Award Management (SAM), Motor Vehicle Report, Credit Report and/or other elements.

    5. Criminal Background Check (CBC) adjudication

      If a background check reveals a criminal background, which may or may not have been disclosed by the applicant or employee, University Hospitals and Clinics’ Human Resources will initiates a consultative process to evaluate and adjudicate the CBC, in accordance with University Policy 5-130 and the Fair Credit Reporting Act.

      An initial review of CBC results is conducted by the Human Resources professional or designee to identify any felony or misdemeanor convictions. If the CBC results contain no convictions, with the exception of minor motor vehicle related violations, Human Resources will clear the individual for hire and notify the hiring manager. In the event a CBC report includes felony or misdemeanor convictions which were not self-disclosed by the individual, the individual will generally not be cleared for hire due to falsification.

      In the event there is a discrepancy between what the individual self-disclosed and what was reported on the CBC, the Human Resources professional may confer with the individual and/or the hiring manager as appropriate before adjudicating the CBC. In the event serious misdemeanor or felony conviction(s) are reported, and a consensus has not been reached in the initial conference with the hiring manager, the Human Resources professional may engage a representative of the Office of General Council and/or the department’s Cognizant Vice-President or designee in the evaluation. In a consultative role, the Human Resources professional will facilitate an assessment of the overall risk posed to persons and property, and may determine that an individual with a criminal history should be considered eligible to obtain or retain the position, or that additional documentation should be required. The risk assessment will include:

      1. the number of crimes committed;

      2. the severity of those crimes;

      3. the length of time since they were committed;

      4. the likelihood of recidivism;

      5. the security sensitivity of the position sought by the applicant or held by the

      6. existing employee; and

      7. additional factors that may be relevant.

    6. Costs. The University will not require applicants or existing employees to pay the costs of a criminal or other background check as a condition of employment.

  4. Rules, Procedures, Guidelines, Forms and other Related Resources

    1. Rules

    2. Procedures

    3. Guidelines

    4. Forms

    5. Other related resources

  5. References

    University Policy 5-130

    University Rule 5-130A

    Utah Board of Regents Rule R847-3, 3.9

    Office of Inspector General

    System for Award Managment

  6. Contacts

    Policy officer: Chief Human Resources Officer for Hospitals and Clinics

    Policy owner: Human Resources, Director of Talent Acquisition, Hospitals & Clinics

    These officials are designated by the University President or delegee, with assistance of the Institutional Policy Committee, to have the following roles and authority, as provide in University Rule 1-001:

    “A ‘Policy Officer’ will be assigned by the President for each University Policy, and will typically be someone at the executive level of the University (i.e., the President and his/her Cabinet Officers). The assigned Policy Officer is authorized to allow exceptions to the Policy in appropriate cases…”

    “The Policy Officer will identify an ‘Owner’ for each Policy. The Policy Owner is an expert on the Policy topic who may respond to questions about, and provide interpretation of the policy; and will typically be someone reporting to an executive level position (as defined above), but may be any other person to who the President or a Vice President has delegated such authority for a specified area of University operations. The Owner has primary responsibility for maintaining the relevant portions of the Regulations Library… [and] bears the responsibility for determining –requirements of particular Policies….”

    University Rule 1-001-III-B & E

  7. History

Current version: Revision 0

Presented for the information of the Academic Senate: October 2, 2017

Effective Date: October 2, 2017

Rule: 5-130C Rev: 0
Date: October 2, 2017
Last Updated: 8/4/21