2.49 Background Check

I. SCOPE

This policy applies to all prospective Ithaca College employees applying for a benefit-eligible position, current Ithaca College employees transferred and/or promoted into a benefit-eligible position, and employees, student employees, and volunteers assigned to a designated position as outlined below and assigned to work on college-owned or operated property or in support of college-sponsored programs. The policy establishes requirements for positions, as defined by this policy, and is applicable to current employees hired or, in the case of volunteers, assigned into these positions as well as internal and external candidates for these positions.

II. POLICY STATEMENT

All hiring supervisors must adhere to the requirements and guidelines herein for conducting background checks within all departments and operational units of Ithaca College. All individuals employed in or applying for positions identified within the scope of this policy must also adhere to background check requirements herein, including providing the authorization requested by the College.

In an effort to promote campus safety and the security of college resources, Ithaca College will, consistent with the requirements of the law and prudent practices, conduct background checks and obtain criminal history record information (see Background Check Rubric in section VII) on applicants for and current employees transferred and/or promoted into positions covered by this policy. The College will also conduct background checks and obtain criminal history record information, consistent with the requirements of the law and prudent practices, on current employees in other positions with duties and responsibilities that are deemed, upon ad hoc review by the President or a Vice President in consultation with the Associate Vice President of Human Resources/Chief Human Resources Officer, to warrant a background check and/or criminal history investigation. Background check requirements are determined based on the position’s duties and responsibilities, independent of whether the position is full time or part-time, on-going, temporary or casual, or paid or volunteer.

III. DEFINITIONS

A. Applicant: Any individual who applies for an open position for which this policy applies (as referenced above) with Ithaca College, whether the individual is an external candidate, current employee of the college, or student or volunteer as referenced below in section IV. This policy will also include current employees who are under consideration for a transfer, promotion or reclassification to another position for which this policy applies, including a designated position. Contractors and affiliates may be required to complete a background check if they are assigned responsibilities as referenced below in section IV or if deemed appropriate by the Associate Vice President of Human Resources/Chief Human Resources Officer.

B. Criminal Conviction Record Information: Public information confirming that a person has been convicted of, or found guilty of, a criminal offense.

C. Criminal History Record Information: Information collected about a person by a criminal justice agency that consists of identifiable descriptions and notations of arrests, detentions, indictments, information, and other formal criminal charges and their dispositions.

D. Hiring Supervisor: Individual charged with the responsibility to ensure background checks are performed when required and the results reviewed before job offers or other personnel decisions are made or executed.

E. Position: A full-time or part-time benefit-eligible position of employment or any designated position listed below in section IV, regardless of the funding source, and regardless of whether the position is filled or to be filled by a regular or temporary worker. The term “position” does not include a position filled by a temporary worker provided by a temporary employment agency, external contractor, or affiliate; the employment agency or external contractor/affiliate organization is expected to conduct and be held responsible for conducting any required background check.

IV. DESIGNATED POSITIONS

All staff, faculty, student employee, and volunteer positions matching the criteria below are hereby designated as requiring background checks, retroactively from the effective date of this policy:

(a) Positions that require living in a student residential hall or other buildings where students reside (Student positions without master key access are excluded)

(b) Positions that require interacting with, supervising, chaperoning, or otherwise overseeing Minors in program activities, recreational activities (including camps as defined by New York State), residential facilities, internship, or other similar situation

(c) President, Provost, Vice Presidents, and Academic Deans

(d) Positions that require signatory authority under Section 2.44 Contract Review and Approval Policy (listed here), including any individual delegated such signatory authority

(e) Positions within the Office of Public Safety and Emergency Management

(f) Positions providing direct health, mental health counseling, and clinical care and/or with access to medical records (e.g. Health Center, CAPS, Wellness Clinic, OT/PT and Speech/Hearing Clinics)

(g) Positions in Information Technology and Analytics

(h) Positions with responsibility for handling cash, checks or credit cards (e.g. business and finance, those with point-of-sale responsibilities in campus store and dining)

(i) Positions which include overnight travel with students

(j) Positions with access to systems and databases containing sensitive data at the college (e.g. human resources, business and finance, registrar, student financial services, admission, philanthropy and engagement, office of the president)

(k) Positions with master key and key card access to all campus facilities or to residence halls or certain restricted areas

(l) Positions with access to rare or valuable items and collections, or hazardous materials (e.g. library, gallery, laboratories)

(m) Positions which involve the care of animals

(n) Members of CERT

V. POLICY GUIDELINES

A. WHEN BACKGROUND CHECKS ARE CONDUCTED. Background checks will be conducted under the following circumstances:

i. When an applicant has been offered a position for which this policy is applicable, following normal screening and selection processes.

ii. When a current employee has been offered a transfer, promotion, or reclassification into a position for which this policy is applicable.

iii. When a current employee’s existing position is deemed to warrant a background check retroactively upon the effective date of this policy, or upon ad hoc review of the position’s assigned duties and responsibilities in accordance with this Policy.

B. ROLES AND RESPONSIBILITIES

i. The hiring supervisor is responsible for notifying applicants during the search process or the current employee that the position is subject to a background check.

ii. Applicants will be required to complete the authorization to complete the background check through the online employment system. Individuals refusing to authorize the background check are eliminated from further consideration for employment. Current employees will be responsible for completing authorization to complete the background check through the online employment system. If the current employee refuses to authorize the background check in response to a request made in accordance with this policy, management will take appropriate action, which may include disciplinary action in accordance with this policy.

iii. The Office of Human Resources is responsible for coordinating the process of conducting background checks including coordination with an outside vendor to request that a background check be completed. The background check process shall be conducted by an outside vendor as deemed appropriate by the Associate Vice President of Human Resources/Chief Human Resources Officer or designee.

The Office of Human Resources is responsible for determining eligibility for the position based on the the results of the background check and for communicating the eligibility determination to the hiring supervisor.Only the eligibility determination will be maintained in the subject’s personnel file and all data obtained in the background check, including criminal conviction information contained therein, will be maintained separately and confidentially by the Office of Human Resources.

iv. The Office of Human Resources will report to the hiring supervisor and applicable Vice President that the applicant or current employee has “no criminal history” or has a “positive criminal history.”

v. The Office of Human Resources in consultation with the General Counsel (or designee) will evaluate any positive criminal history, including criminal convictions contained therein. After review, the Office of Human Resources will make a recommendation to the hiring supervisor as to whether the person is “not recommended for employment” on the basis of their criminal history.

C. RESULTS OF THE BACKGROUND CHECK.

i. If the applicant or current employee is “not recommended for employment,” the Office of Human Resources will issue a report to the department hiring supervisor, who may accept the recommendation and reject the employment or continued employment of the person or may request permission to deem the individual eligible contrary to the recommendation. A request for permission to waive a negative recommendation will be referred to the respective Vice President, with a copy to the General Counsel. Only the President (or designee) can authorize hiring/maintaining someone with a positive criminal history who was not recommended for employment by the Office of Human Resources. The President (or designee) will notify the Office of Human Resources and the department hiring supervisor of the final hiring decision. The department hiring supervisor will either proceed to finalize the hiring process or notify the applicant/employee of the decision and select another candidate. If an individual had been hired contingent on the completion of a satisfactory background check, that individual will be terminated immediately.

ii. The department hiring supervisor (or designee) makes the decision to offer employment to an applicant or to promote, transfer or reclassify an employee, after a background check has been conducted and results reviewed against any job-related criteria.

iii. If circumstances require that an offer or decision be made before the completion of the background check, the offer must be in writing from the hiring supervisor and state that the offer is contingent on the completion of a satisfactory background check.

iv. Except in the case of the Office of Public Safety and Emergency Management, the department hiring supervisor may not conduct any part of the investigation, nor talk with the candidate about the specific findings in the criminal history record, including any criminal convictions contained therein.

v. Criminal history record information, including conviction information contained therein, will be regarded as confidential as required by law and will not be made a part of the applicant's file or the employee's personnel file or communicated to any unauthorized person except as provided in this policy or procedure or as required by law.

vi. All criminal history record information will be retained/destroyed in accordance with college record retention policies and state and federal mandates.

D. EVAULATING THE RECORD.

i. The criminal history record information, including conviction information contained therein, obtained by Ithaca College may be used only for the purpose of evaluating the applicant(s) for employment or reclassification, and in managing business risks. The College does not automatically exclude from consideration for employment individuals with criminal convictions. Ithaca College shall in no way use that information to discriminate on the basis of race, color, national origin, religion, sex, gender identity or expression, disability, age, or any other legally protected status.

ii. In situations where criminal history record information is found for an applicant or an employee, the following factors must be considered to determine whether an applicant is eligible for potential or continued employment or whether to discipline or dismiss and employee.

1. The public policy of New York State to encourage the employment of persons previously convicted of one or more criminal offenses
2. The specific duties and responsibilities necessarily related to the employment sought or held by the person.
3. The bearing, if any, the criminal offense or offenses for which the person was previously convicted will have on that person’s fitness or ability to perform one or more such duties or responsibilities
4. The time which has elapsed since occurrence of the criminal offense or offenses
5. The age of the person at the time of the occurrence of the criminal offense or offenses
6. The seriousness of the offense or offenses
7. Any information produced by the person, or produced on the person’s behalf, in regard to the person’s rehabilitation and good conduct;
8. The legitimate interest of the College in protecting property, and the safety and welfare of specific individuals or the general public.

iii. Any applicant who has criminal history record information indicating a conviction for an offense listed in this subsection may be hired only after approval by the President (or designee). A conviction for any of the following offense requires such approvals:

1. a felony, as defined by state or federal law, or equivalent offenses under the law of another jurisdiction; or
2. any offenses requiring registration as a sex offender.

Questions regarding the Criminal Background Investigations should be directed to the Office of Human Resources at 607-274-8000.

VI. VIOLATIONS

Violations of this policy by applicants, current employees, hiring supervisors, or other individuals may result in the issuance of appropriate disciplinary action, which may include termination or ineligibility for certain promotion, transfer, or placement. Violations of this policy by individuals may also result in criminal or civil penalties in accordance with applicable local, state, or federal law.

Any employee of Ithaca College may be subject to disciplinary action, up to and including termination, for any breach of confidentiality regarding information obtained from a criminal history investigation.

VII. BACKGROUND CHECK RUBRIC

Last Updated: July 2024