UW–Madison prioritizes safety and strives to provide a safe learning and working environment. This policy establishes consistent standards for criminal background checks (CBC) and complies with requirements from federal law, state law, and the Board of Regents of the University of Wisconsin System.
This policy applies to the following UW-Madison populations:
UW-Madison will perform Criminal Background Checks (CBCs) for specified positions mandated by state and federal law. Laws mandating CBCs for certain positions include:
UW–Madison schools, colleges, and divisions will incorporate the steps outlined in the Criminal Background Check Manual into their hiring and selection process. The Board of Regents of the University of Wisconsin System requires the Universities of Wisconsin to have minimum requirements for CBCs. In addition to the minimum requirements, UW–Madison established additional requirements such that, regardless of employee title or employee category, a CBC is required if the position is deemed a POT based on job duties and responsibilities.
If an employee is returning to UW–Madison after less than a one-year break-in-service, please refer to the Determining when a CBC and CBC Re-check are Required chart.
If an employee is returning to UW–Madison after 12 months or more of a break-in service, the employee is considered a prospective new hire.Announcing a Vacancy
If a vacancy announcement requires a CBC, the vacancy announcement must state “Employment will require a criminal background check.”
Offering a Position
Schools, colleges, and divisions are expected to complete CBCs either prior to the extension of an offer of employment or as part of an offer of employment that is contingent upon a successful CBC. If a CBC cannot be completed before an offer is made, the CBC must be completed before the individual begins employment unless an exception is granted by the appropriate dean or director. In all circumstances, the CBC must be completed and a decision made no later than 60 days after the start of employment.
In most cases, only the finalist being offered the position will be checked. However, there may be circumstances where more than one applicant is checked (e.g., chancellor, dean, or provost search).
Under no circumstances can an individual start employment in a POTAVP without a completed CBC.
Appointment Letters
If a CBC cannot be completed before an offer is made, the appointment letter must state that the offer will be withdrawn or the employment terminated if the individual’s CBC results are unacceptable. The following statement must be used in the appointment letter.
“This offer of employment is conditional pending the results of a criminal background check. If the results are unacceptable, the offer will be withdrawn or, if you have started employment, your employment will be terminated.”Consent
Prior to conducting a CBC, schools, colleges, and divisions are required to use the online consent process or have the individual sign a consent form. If the individual declines to provide consent for the CBC, they can no longer be considered for the vacancy.
A CBC check and/or CBC re-check is required if an employee’s job duties and responsibilities are deemed a POT. A POT is defined as one or more of the following characteristics or responsibilities
Access to vulnerable populations
Responsibilities require unsupervised or significant access to vulnerable populations, defined as minors, UW–Madison students in UW–Madison housing facilities, human research subjects, and medical patients. Examples of settings with vulnerable populations include childcare centers, youth activities for minors, precollege or enrichment programs, and health care facilities. This category also includes employees who are not directly working in those units but have unsupervised access to the unit when the vulnerable population is present. This category does not include faculty or instructional academic staff performing regular teaching, service, and research responsibilities unless these responsibilities include unsupervised or significant access to vulnerable populations.
Property access
Responsibilities require the use of master keys/card access. This pertains to employees with key access to offices/worksites/facilities other than their own departmental worksite, including UW–Madison residential housing facilities.
Executive positions
Responsibilities involve top-level management functions throughout the campus (e.g., Chancellor, Provost, Deans, Directors). Executive positions are defined as all limited appointments. This would include any movement from a limited appointment to a different limited appointment.
Financial/Fiduciary Duty
Principal responsibilities (50% or more) require handling, receiving, or having custody of money, checks or securities, or accounting for supplies or other property; authorizing (or making appropriations for) expenditures; approving, certifying, signing or countersigning checks, drafts, warrants, vouchers, orders or other documents providing for the paying over or delivery of money, securities, supplies or other property, or service of process; maintaining or auditing accounts of money, checks, securities, time records, supplies, or other property, or taking physical inventories of money, checks, securities, supplies, or other property.
Positions or roles with relationships to existing legal mandates
In addition to the positions of trust identified above, UW-Madison schools, colleges, and divisions that have employees in roles that have additional CBCs and screening protocols are responsible to conduct those checks, maintain records, and respond to audit requests pursuant to applicable federal and state laws and/or rules.
POT
POTAVP (Subcategory of POT)
Vendors and Contractors
To the maximum extent feasible, any agreement with a vendor or contractor whose employees, affiliates, or volunteers will have routine or unsupervised access to vulnerable populations in the course of the contract must include a representation from the CBC Vendor or contractor stating that these individuals have satisfied a CBC that includes a national CBC database. Schools, colleges, and divisions are responsible for identifying vendors/contractors who fall under this policy and working with Purchasing Services, the Office of Legal Affairs, and the Office of Human Resources to ensure compliance.
Staffing Agencies
Any school, college, and division that contracts with a staffing agency to fill positions that are also filled by employees of UW–Madison, must require the staffing agency to complete the required CBCs per the requirements specified on all hires assigned to UW–Madison. Any criminal felony or misdemeanor pending charges or convictions must be submitted to the hiring department for review and submission to the CBC Review Panel prior to the start of employment. For more information about the CBC Review Panel, please refer to the Application of the Substantial Relationship Test under the Wisconsin Fair Employment Act section of this policy.
Facilities use agreements or leases with outside organizations that use or lease university lands and facilities to operate multi-day programs for minors or programs for minors that involve an overnight stay, must include a representation from the organization that its employees, affiliates, and volunteers have satisfied a CBC that includes a national CBC database. Schools, colleges, and divisions must identify those agreements or leases and subsequently work with the Office of Legal Affairs and the Office of Human Resources to ensure compliance.
Responsibility
CBCs will be conducted and managed within each school, college, and division. Each school, college, and division will identify at least one employee with experience in human resources as the division’s Background Check Coordinator (BCC). This individual will, in a confidential manner, determine the scope of and conduct the CBC, make recommendations on results, and provide appropriate information to the employer and the individual who is the subject of the CBC.
The steps for completing a CBC are outlined in the Criminal Background Check Manual.
Required Components of a CBC or CBC Re-check
The BCC must use the university’s CBC vendor to conduct a CBC and CBC re-check in accordance with this policy. All CBCs at a minimum, including CBC re-checks, must include a check of the Wisconsin Department of Justice, Crime Information Bureau electronic database, and the following components:
An appropriate United States CBC must be conducted on an applicant for employment, current employee, or volunteer who is a foreign national being considered for a position subject to this policy. A CBC in the individual’s prior country(ies) of residence will also be conducted if their country(ies) of residence provides a CBC for the time period during which the individual was a resident. A media search is not considered an appropriate CBC and, therefore schools, colleges, and divisions, are not required to conduct media searches. A specific international capability will be set up with the CBC vendor for this check.
The Social Security Number trace conducted by the CBC vendor will not find places of residence outside of the United States. The BCC should use all available information to determine whether the individual has lived in other countries. Appropriate sources of this information include a resume or curriculum vitae.
Wisconsin law prohibits an employer from discriminating against an applicant or employee on the basis of arrest or conviction record unless the pending criminal charge or conviction substantially relates to the circumstances of the position. Applicants with a criminal history will not be automatically disqualified from UW–Madison employment, and a UW–Madison employee’s criminal history will not result in automatic disciplinary action or dismissal. If an applicant’s or employee’s CBC reveals a pending criminal charge or criminal conviction, UW–Madison must engage in an individual analysis to determine whether a substantial relationship exists between the pending charge or criminal conviction and the functions of the position. Information, including the process and procedure for conducting the substantial relationship analysis and how to submit it to the CBC Review Panel, is outlined within the Criminal Background Check Manual.
Individuals in paid and unpaid positions, including volunteers, holding a Limited appointment or POTAVP are required to report any criminal arrests, charges, or convictions (excluding misdemeanor traffic offenses punishable only by fine unless subject to UW System Administrative Policy 615 Vehicle Use and Driver Authorization) to the appropriate BCC, within 24 hours or at the earliest possible opportunity. Failure to make the required report constitutes a violation of this policy and may result in disciplinary action, up to and including dismissal. Schools, colleges, and divisions must provide notification of this requirement to employees covered by this provision.
In the course of using various databases to complete the CBC, the BCC may learn of actions that are irrelevant to the CBC (e.g., arrests where the charges have been dropped, non-criminal civil suits [e.g., divorce, financial]). It is imperative that no consideration be given to these matters and they not be communicated by the BCC in any way.
An exception exists for tickets or fines for traffic, rule, or municipal ordinance violations. These are not crimes but can be considered if the offense is substantially related to the position (e.g., Driving Under the Influence [DUI], Operating While Intoxicated [OWI] for a position that requires driving).
Additional non-criminal checks may be run when appropriate in relation to the position.
Alternatively, these records may be maintained in a secure university or vendor online database. The records will be securely maintained from the date of creation plus seven years. If the records are part of an active discovery request, litigation hold, lawsuit, and/or the Office of Legal Affairs determines the records are needed, the records must be maintained beyond seven years. If this does not apply, the records may be destroyed after seven years.
The BCC and the university will maintain the CBC records as confidential to the extent allowed by law. Although most records are obtained from public sources, the records may contain very sensitive information, and BCCs are required to respect each individual’s privacy by only sharing any information obtained on a strict need-to-know basis.
This policy does not prevent schools, colleges, and divisions from implementing their own CBC procedures that are specific to their unique work environment to the extent allowed by law. However, the procedure(s) of the school, college, and division must meet the minimum requirements of this policy. Schools, colleges, and divisions are directed to work with the Office of Human Resources and the Office of Legal Affairs to support this process.
Nothing in this policy shall be construed to prevent UW–Madison, with a reasonable basis, from obtaining at any time CBC information on any current employee or volunteer. Prior approval must be obtained from the Office of Human Resources to conduct a CBC outside of the normal schedule published in this policy.
Applicant or New Volunteer
An applicant or volunteer who fails to consent to a CBC, fails to self-disclose information where required, or falsifies any related information will not be considered for a position.
Current Employee or Current Volunteer
A current employee or volunteer who fails to consent to a CBC, fails to self-disclose information where required, or falsifies any related information may be subject to discipline up to and including dismissal.
School/College/Division BCC
A BCC who fails to complete a CBC, falsifies information, and/or does not comply with this policy may be subject to discipline up to and including dismissal.
03-02-2020, 06-07-2024
