University Policy 3301: Criminal Background Checks

Category: Human Resources
Subcategory: Employment
Covered Individuals: Employees and Volunteers
Responsible Executive: Vice President and Chief of Staff
Policy Custodian: Office of Human Resources, Sr. Associate Vice President of Human Resources
Last Revised: 2026/08/07
Previous USU Policy Number: 386
Download the PDF File for Policy 3301

3301.1 PURPOSE AND SCOPE

This Policy establishes a consistent, centralized process for conducting Criminal Background Checks at Utah State University (USU or University). It ensures compliance with state and federal laws while promoting a safe and secure environment across all university programs, positions, and functions. This policy provides specific requirements for conducting Criminal Background Checks (hereinafter referred to as “background checks”) of certain prospective and existing employees and Volunteers of Utah State University.

3301.2 POLICY

All background checks for faculty, staff, student employees, and Volunteers at USU must be initiated by Business Services and administered exclusively through the centralized Human Resources (HR) process. All required background checks must be completed and settled prior to the start of employment or Voluntary service, as applicable. Employment offers and Volunteer appointments are contingent upon successful completion of a background check, when required.

2.1 Individuals Subject to a Background Check

The following individuals must be subject to completion of a Background Check:

• All benefit-eligible employees and applicants with a conditional offer of employment.
• All non-benefit-eligible employees, applicants with a conditional offer of employment, and Volunteers who serve in a Security-Sensitive Position or a position with contact with Minors, including those in staff roles and research, instructional, or teaching roles, including but not limited to, adjunct, temporary, and concurrent enrollment faculty (see Section 3301.2.6), professors, instructors, lecturers, graduate teachers, graduate research, or traineeship assistants.

2.2 Self-Disclosure Requirements

Employees subject to this Policy must notify Human Resources within five business days if they are arrested for, charged with, or convicted of a felony or serious misdemeanor, or if a professional or occupational license required for university duties is suspended, revoked, or restricted.

For purposes of this Policy, “serious misdemeanor” includes offenses involving violence, sexual misconduct, abuse or neglect, theft or fraud, controlled substances, or weapons.

Reported information will be reviewed on an individualized basis. An arrest or criminal charge alone will not automatically result in disciplinary action.

Failure to timely report required information or knowingly providing false or incomplete information may result in disciplinary action, up to and including termination of employment.

For positions that do not require a background check, individuals must self-disclose to Human Resources any felony and serious misdemeanor convictions that have occurred within the past seven years. For positions that require driving for USU, employees must also disclose traffic infractions that occurred within the past seven years. Self-disclosures are requested after a conditional offer of employment has been accepted. They are completed during the onboarding process or requested through Business Services and are kept confidential in accordance with HR procedures. Failure to disclose such information may result in disciplinary actions, up to and including termination of employment or withdrawal of Volunteer service (See USU Policy 3017: Volunteer Services).

2.3 Timing and Circumstances Requiring a Background Check

A background check will be conducted under the following circumstances:

• Security-Sensitive Position

• Anticipation that an employee, an applicant with a conditional offer of employment, or a Volunteer will serve in a Security-Sensitive Position (as defined in Section 3301.6).

• Contact with Minors

• Anticipation that an employee, an applicant with a conditional offer of employment, or a Volunteer will serve in a position with contact with Minors, such as when there is a reasonable expectation that during the normal and routine responsibilities of the position, the employee or Volunteer and a Minor would interact on a one-on-one basis either in person or virtually.

• Upon Reasonable Cause

• Reasonable Cause may exist with respect to a position or an individual.
•  
• For a position, reasonable cause exists when a periodic background check is warranted based on the position being classified as a Security-Sensitive Position.
•  
• For an individual, reasonable cause exists when known facts or circumstances are sufficient to warrant by a person of reasonable prudence that the employee or Volunteer poses an unreasonable risk to persons or property and/or that a history or report of crime will be found.
•  
• Supervisors wishing to request a background check for Reasonable Cause must coordinate with the Office of Human Resources.

• Self-Disclosure

• Disclosure of a felony conviction, serious misdemeanor conviction, or traffic violation(s) for a position that requires regular driving for USU.

2.4 Adverse Action and Individual Review

Having a criminal history does not automatically preclude employment at USU. The following steps are taken when background check information may lead to an adverse employment action:

• Pre-Adverse Action Written Notice

• Applicants with a conditional offer of employment, employees, or Volunteers will receive a written pre-adverse action notice indicating that information obtained through a background check may negatively impact their employment or Volunteer status. The notice will include information required by applicable law, including access to the background check report and a summary of rights.

• Opportunity to Respond

• Individuals will be provided five business days from the date of the pre-adverse action notice to review the information and respond. This may include submitting additional information, clarification, evidence of rehabilitation, or documentation of inaccuracies.

• Individualized Risk Assessment

• At the discretion of the Sr. Associate Vice President of HR, a Background Review Committee (“Committee”) will be formed to conduct an individualized risk assessment based on the information obtained through the background check, additional information provided by the individual, and the position’s duties and responsibilities.

• Final Decision and Notice

• Final employment or Volunteer decisions will be made in accordance with applicable state and federal laws and University procedures. Individuals will receive written notice of the reasons for the final decision.

2.5 External Standards: Utah Childcare Licensing Requirements

In alignment with state requirements, individuals whose roles necessitate clearance through the Utah Childcare Licensing Program will complete the background check process mandated by that program. Clearance through the Utah Childcare Licensing Program fulfills the University’s background check requirements. Background checks conducted under this provision must be coordinated with the Office of Human Resources to ensure that documentation and compliance are maintained within the centralized system.

2.6 Concurrent Enrollment Faculty

USU employees and applicants with a conditional offer of employment, whether in faculty positions or other academic positions, who serve or will serve as concurrent enrollment instructors with unsupervised access to K-12 students must complete a Criminal Background Check consistent with Utah Code §53G-11-402. USU will determine the need for the Criminal Background Check consistent with the law to satisfy this requirement and will maintain appropriate documentation.

3301.3 RESPONSIBILITIES

3.1 Human Resources

Oversee and administer the background check screening process, including self-disclosures, for all applicants with a conditional offer of employment, employees, and Volunteers. Ensure compliance with state and federal laws, policies, and confidentiality requirements. Review initial background check results and refer cases to the Sr. Associate Vice President of HR, who will determine if a committee review is necessary. Communicate final outcomes to the hiring department. Ensure required notices and opportunities to respond are provided for final adverse employment actions. Bill departments for background checks, as applicable.

3.2 Background Review Committee

Upon direction from the Sr. Associate Vice President of HR, the Committee will convene to review cases that require additional consideration. The Committee will make recommendations based on individualized risk assessments to promote a fair process.

3.3 Hiring Departments

Submit requests for background checks, as applicable.

3301.4 REFERENCES

• Utah Code 53H-3-402
• Utah Code §34-52-101, et. seq.
• Utah Board of Higher Education Policy R165, Concurrent Enrollment
• Utah Code §53G-11-402 - 403
• Fair Credit Reporting Act (FCRA)
• Equal Employment Opportunity Commission (EEOC) guidelines

3301.5 RELATED USU POLICIES

• Policy 3017: Volunteer Services

3301.6 DEFINITIONS

• Criminal Background Check. A commercial or governmental process of searching public records to determine whether an individual has been convicted of criminal conduct within a minimum of the last seven years.
• Minor. For the purposes of this Policy, Utah Code §53H-3-402(b) defines a minor as a person younger than 21 years of age.
• Security Sensitive Positions. Positions whose duties require, provide for, or encompass the potential to incur human, financial, or property loss or harm to the University and its constituents. A security-sensitive position includes at least one of the following elements:
  • Access to Minors, including childcare in a childcare center or to diminished capacity adults (individuals who lack decision-making capacity).
  • Relationships with students where exceptional trust and responsibility are involved, such as instructors, counselors, healthcare providers, coaches, and residence hall personnel.
  • Responsibility for providing direct medical care, treatment, or counseling and/or access to pharmaceuticals, toxins, hazardous, or controlled substances.
  • Direct access to laboratory materials and other property which have the potential of being diverted from their proper use either for financial gain or for harmful, dangerous, or illegal purposes.
  • Decision-making authority for committing University funds or financial resources through contracts and commitments and/or direct access to or responsibility for handling cash, checks, credit/debit cards, or cash equivalents, university property, disbursements, or receipts.
  • Access to building and residence hall master control and key systems.
  • Access to confidential information or sensitive personal information such as employment, health, donor, financial, and other records, including data that could facilitate identity theft.
  • Access to and responsibility for the maintenance, upgrading, and repair of the University’s computer networks and/or information technology systems.
  • Responsibility for police, security guards, and other health or safety issues.
• Volunteer. An individual providing volunteer services to USU as defined in USU Policy 3017: Volunteer Services.

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Information below is not included as part of the contents of the official Policy. It is provided only as a convenience for readers/users and may be changed at any time by persons authorized by the President, subject to review by the USU Policy Committee.

RESOURCES

Contacts

• Senior Associate Vice President of Human Resources

POLICY HISTORY

Original issue date: 2008/10/17
Last revision date: 2026/08/07
Next scheduled review date: 2029/03/01
Previous revision dates: 2008/10/17, 2009/05/01, 2019/09/27, 2020/01/10, 2022/06/24, 2025/11/03