Criminal Background & Fingerprint Investigations
Frequently Asked Questions (FAQ’s)
I. General Information
1. Why do we have this policy?
2. What does a background check consist of?
3. Do current employees have to undergo a criminal background check?
4. When are criminal background checks required?
5. Are we required to have candidates complete the Employment Application?
6. Who will be subject to a background check?
7. When should the Criminal Background Check process be initiated?
8. What is the difference between the standard criminal background check and the fingerprint investigation?
9. How is the determination made regarding a security sensitive position?
10. Do International applicants require a background check?
11. What if someone has a fingerprint clearance card; do they require fingerprinting?
12. If fingerprints are required for a position, does a separate criminal background check need to take place?
13. What type of background check is required for departments handling cash?
II. Access and Privacy
1. Who will have access to the criminal background check results?
2. How will the University protect an individual’s right to privacy?
3. How long will background verification reports remain on file?
III. Funding, Costs & Financial Liability
1. What are the costs for criminal background checks, who determines the rates, and who pays for them?
2. What are the costs associated with fingerprinting?
IV. Time Issues
1. How long does a criminal background check take?
V. Hiring Issues
1. Can employees be hired before the criminal background check has cleared?
2. Are part-time or temporary positions covered by this policy?
3. Are criminal background checks required each time employees who are on semester assignments leave the campus and return to start a new campus position?
VI. Student Employment Issues
1. Can departments request a criminal background check on student employees?
2. When are student volunteers required to have criminal background checks?
VII. Process & Forms
1. What specific forms and documents are needed for this process, and where can they be obtained?
2. Where do I send the form?
General Information
1. Why do we have this policy?
To protect the campus community and its assets, the University needs to be certain that individuals assigned to campus positions have no history of criminal behavior relevant to their employment. Although this is no guarantee against criminal acts, it does reduce the likelihood of crime, and may reduce the campus’s liability in the event a crime occurs. It also helps protect hiring departments from the possibility of lawsuits; potentially saving cost in time and morale. You are invited to read the full text of the policy at: http://www.asu.edu/aad/manuals/acd/acd126.html. The new policy is used in conjunction with our existing recruitment and employment policies to help ASU to identify the best qualified candidates for employment at the university.
2. What does a background check consist of?
Departments are required to request a complete background investigation report on all final candidates to which a job is offered. A department may choose to complete backgrounds investigations on all candidates interviewed at their discretion. Departments also have the option of conducting the professional standard pre-employment background check (employment verification, professional references, professional licensure/certification and academic credentials) on their own, or elect to use the services of Sterling Testing Systems. Criminal history background checks must be conducted by Sterling Testing Systems. Motor vehicle checks, if required for the position are also conducted by Sterling Testing Systems.
3. Do current employees have to undergo criminal background checks?
Current employees do not have to undergo criminal background checks unless they apply for an “open competitive position” within the university, in which case they may be subject to a standard criminal background check or a fingerprint investigation depending on the nature of the position. Internal promotions or change in classifications within a department would NOT require a background check to be completed.
4. When are criminal background checks required?
Criminal Background checks are required before an individual begins work. Typically, the criminal background check is requested at the point where a finalist for a position is identified. If the background check has been requested but is not yet completed, the hiring official may extend a conditional offer of employment to the candidate, conditioned on a satisfactory background check. If the position is designated as a “security or safety-sensitive” position, then the candidate must undergo a fingerprint check in lieu of the standard background check per the terms of ACD 126, “Reference Check and Background Verification.
5. Are we required to have candidates complete the Employment Application? The employment application is no longer required. All candidates must complete and sign the Pre-Employment Inquiry Form which is included in the Background Screening Authorization Packet. Candidate should also include a resume. The Consent and Disclosure Form is also required.
6. Who will be subject to a background check?
This policy is not based on FTE. This policy applies to all full-time, part time, faculty, administrative and classified staff, academic and service professionals, waivers and emergency hires. Please refer to ACD 126 Policy and SPP 201-01.
7. When should the Criminal Background Check process be initiated?
The background check should be initiated when, through the normal hiring process, a finalist(s) is identified. At the time of interview, the hiring department will (1)obtain the completed Background Screening Authorization Packet , which includes the Summary of Rights, consent and disclosure and the pre-employment inquiry form from the finalist granting ASU permission to have background check performed and the results disclosed to ASU, (2) provide the finalist with a summary of consumer rights, (3) enter request via Sterling’s website OR fax request to HR Staffing using the HR Staffing Background Fax Cover Sheet.
8. What is the difference between the standard criminal background check and the fingerprint investigation?
The standard background check will go back seven years into the applicant’s history. The fingerprint investigation only applies to positions designated as “security or safety sensitive”. This investigation reviews an individual’s entire criminal history based on their fingerprints. FBI database maintains a person’s record until a person turns 99 years of age.
9. How is the determination made regarding a security sensitive position?
a. All senior level administrator positions, including interim appointments to such positions (president, provost, vice provosts, and vice presidents).
b. Positions that have unsupervised direct contact with minors who are not enrolled students of the university.
c. Positions that have direct access to Select Agents, as defined by the USA Patriot Act of 2001 and the Public Health Security and Bioterrorism Preparedness Response Act of 2002, except where excluded by law because the Principal Investigator does not, at any time, exceed the Select Agent regulatory thresholds quantities specified under the applicable regulations.
d. Positions with unrestricted access to residence hall rooms.
e. Employees of the University Police Department (ASU DPS). Pre-employment screening for these individuals shall be conducted in accordance with DPS hiring protocols.
f. Other positions designated by a dean or vice-president as “security or safety sensitive.” A dean or vice-president may designate a position “security or safety sensitive” by notifying and justifying to the Director of Human Resources or designee that the position’s responsibilities may expose the University to significant liability. The Director or designee may consult with knowledgeable subject experts as appropriate to the circumstances of the proposed hire.
g. Fingerprint check is required for each new position hire that will handle financial transactions as a job responsibility. These responsibilities include but are not limited to: approval authority within the accounting system, collection or handling cash or checks, writing or approving checks, having access to a direct money stream, being an authorized ASU Purchasing Cardholder, or being a fiduciary to ASU. Persons that only have accounting system data entry and/or scanning authority do not need the fingerprint check. Faculty or staff who are principle investigators on sponsored projects are normally the org manager on the sponsored project account and may be set up with either scanning authority only or full approval authority. If scanning authority only is selected, a fingerprint check is not required.
10. Do International applicants require a background check?
This is currently under consideration by The Office of General Council.
11. What if someone has a fingerprint clearance card; do they require finger-printing?
Where the finalist advises that he or she has a “Fingerprint Clearance Card,” in lieu of the finalist completing any forms, the hiring official should make a photocopy of the card. The hiring official should call state DPS or the regulatory body that requires the finalist to have a fingerprint clearance card and ask if the fingerprint clearance card is still valid (e.g., state Department of Education, state Board of Nursing, etc.). If yes, document conversation and the hiring official can proceed with an offer. If no, I'd ask if it had a) expired, b) been suspended or revoked. The hiring would still have to run a background check if the position is not designated security or safety-sensitive. If the position does require a fingerprint check, then the hiring department would use our process.
12. If fingerprints are required for a position, does a separate criminal background check need to take place?
Where a position is determined to require a fingerprint check as a condition of employment, the department does NOT also have to do a criminal conviction check through Sterling. The hiring department should check the applicant’s employment history and references. If the applicant has previously been employed at ASU, the hiring department should check with HR to review the individual's personnel file. If the position includes duties, such as driving, then the hiring department should verify that theapplicant has a valid driver's license (they can do this through Sterling for a fee and filing out all the forms or the department can call Arizona Division of Motor Vehicles and see if they can learn that information directly). If the position requires that the applicant havea certification (e.g., a teaching certificate from the state Department of Education), the hiring department can contactstate Department of Education.
13. What type of background check is required for departments handling cash?
As required by university policy (ACD 126), a background investigation (criminal check) is performed for all non-student hires.
a. For all non-student staff hires who handle cash and checks on an ongoing basis, the position is designed as a “security or safety-sensitive” position where a fingerprint check is also required. Exempted from this fingerprinting requirement are staff hired for only a specific event held only once or twice a year and not for cash and check handling on a continuing basis.
b. For all student staff hires who handle cash and checks on an on-going basis, a background investigation (criminal check) is required for all student hires. Exempted from the background investigation (criminal check) are student staff hired for only a specific event held only once or twice a year and not for cash and check handling on a continuing basis. The hiring department may also designate the student position as a “security or safety-sensitive” position where a fingerprint check is also required.
Access and Privacy
1. Who will have access to the criminal background check results?
The Office of Human Resources will maintain the results of criminal background checks. If there are no criminal convictions, Human Resources will notify the department to complete the HPR. If these are criminal convictions, the hiring manger will receive an email advising them to contact their appropriate HR Partner/Liaison or The Office of the Provost to discuss the case and appropriate action to be taken. Departments must submit original documents to Human Resources.
2. How will the University protect an individual’s right to privacy?
ASU conducts criminal background checks under the supervision of The Office of Human Resources. HR Staffing will serve as the Office of Record for all criminal background check results and will maintain confidentiality. Departments will not receive any details of a criminal background check, only a notification of whether the background check has revealed any criminal convictions. ASU policy and state and federal laws recognize a subject’s right to privacy and prohibit campus employees and others from seeking out, using, or disclosing personal information except within the scope of their assigned duties.
3. How long will background verification reports remain on file?
The Office of Human Resources will manage and retain all background verification reports. Information collected on qualified candidates hired by the University will be stored separately from the official employee files. Background investigation information collected on non-hired candidates will be filed and maintained in Human Resources and destroyed after three years.
Funding, Costs & Financial Liability
1. What are the costs for criminal background checks, who determines the rates, and who pays for them?
Departments are required to submit background requests using their agency organization number. The current rates for criminal background checks are listed as follows: http://www.asu.edu/hr/backgroundcheck/VendorServicesPricing.pdf
HR Staffing will be responsible for charging the appropriate department for all background investigations.
2. What are the costs associated with fingerprinting?
AZ DPS charges $29 per card for processing.
Human Resources will charge $7 for rolling fingerprints
Vendor charges $10 for fingerprint rolling
All departments will be billed according to the agency org submitted.
Time Issues
1. How long does a criminal background check take?
Sterling Testing Systems average turnaround time for a background check is about 27 hours. The average time for fingerprint results obtained from the FBI database is 14 days.
Hiring Issues
1. Can employees be hired before the criminal background check has cleared?
Offers can be extended prior to completion of the background check. However, this must be a contingent offer based on the final outcome of the applicants background check. Work with your HR Partner/Liaison or Provost office for offer letter templates.