University Policies

Background Investigation Policy

Approval Date: 05/04/2021
Approved By: President

General Statement of Policy

Western Illinois University (University) endeavors to provide a safe environment for its employees and students. In addition, the University is charged with the public trust in fiscal responsibility and the protection of assets. Accordingly, candidates are required to submit to a background investigation upon offer of employment at the University. An individual is not authorized to begin working prior to the completion of the background investigation. Employment is contingent upon University policies and procedures relating to the receipt and evaluation of information contained in the background investigation. Arrest, conviction, or administrative discipline is not necessarily an automatic bar to employment.

Scope

The policy extends to candidates for all University employment, including former employees or employees returning from a leave of absence of more than six months. The background investigation will include identity verification, as well as determination and review of any record of criminal conviction and/or self-disclosed administrative disciplinary actions.

Current employees are subject to a background investigation if:

  • working with minors not currently enrolled in coursework at the University (e.g. camps, private lessons, clinicals, etc.); or
  • working in a security-sensitive position or department; or
  • moving positions and never had a background investigation completed on behalf of the University.

Definitions

Administrative disciplinary action – Any material action resulting in an adverse employment or professional license decision (e.g. suspension, termination, loss of professional licensure).

Appropriate Office – For hiring procedures refers to the Human Resources Office for faculty, administrative professionals, civil service and student employees working with minors not currently enrolled in coursework at the University or in security sensitive positions. Refers to the Graduate Studies Office for graduate assistants (GAs), research assistants (RAs), teaching assistants (TAs), and teaching support assistants (TSAs).

Candidate – A person who makes a formal application for a specific job at the University and is offered employment.

Discharge/terminate or dismiss – Discontinuance of services of an employee under certain conditions. Employee – Includes but is not limited to faculty, staff, graduate assistants (Gas), research assistants (RAs), teaching assistants (TAs), and teaching support assistants (TSAs) who may be permitted, required, or directed by the University in consideration of monetary compensation to engage in employment, but shall not include student employees or any individual paid for non-recurring services unless working with minors not currently enrolled in coursework at the University.

Applicant Notification

All applicants will be notified that a background investigation will be required in order to be employed by the University. The following notice to applicants will appear on the University Employment Website, employment application and/or position announcement.

“Western Illinois University endeavors to provide a safe environment for its employees and students and requires candidates to submit to a background investigation upon offer of employment. Employment is contingent upon compliance with University policies and procedures relating to the receipt and evaluation of information contained in the background investigation.”

Post-Offer Candidate Notification

The appropriate hiring office shall inform the post-offer candidate that a pre-employment background investigation will be conducted. The candidate will be informed that only parties applicable to the hiring decision may have access to any criminal record or additional background information. Minors must have parental consent for a background investigation to be conducted.

The appropriate hiring office will begin the process of investigation.

Additional Background Investigations

Additional division/department-specific background investigations, in compliance with required licensure, agency regulations or law, may apply.

Conducting the Background Investigation

The appropriate hiring office will request a background investigation. Depending on the position, the investigation will include, but is not limited to, verification of the following information:

  • The identity of the candidate
  • The existence of any criminal conviction
  • The existence of any additional background information, relevant to the position

Upon completion of the pre-employment background investigation, the appropriate office will review information contained in the investigation and if information of concern exists, the Background Investigation Review Committee (Committee) will determine the employment status of the candidate. Following completion of a pre-employment background investigation, information obtained will be considered only to the extent that the information is relevant to the position and the suitability for employment at Western Illinois University.

Absence of Information of Concern

If information of concern does not exist, the appropriate office will notify the hiring department and the candidate.

Self-Disclosure

Arrest, conviction, or administrative discipline is not necessarily an automatic bar to employment. Any false answers, statements or omissions made in the background investigation process or any supplement thereto will be sufficient grounds for immediate discharge/termination or dismissal.

Current faculty, staff, graduate assistants (GAs), research assistants (RAs), teaching assistants (TAs), teaching support assistants (TSAs) and student employees must self-disclose post-employment criminal convictions or administrative disciplinary actions that affect performing the duties assigned to their position within three business days of the conviction to the appropriate office. Any false answers, statements or omissions made in the self-disclosure or any supplement thereto will be sufficient grounds for immediate discharge/termination or dismissal.

Corrective action up to and including discharge/termination or dismissal will be performed in accordance with applicable policies and procedures.

Presence of Information of Concern

If information of concern exists, it will be evaluated by the Committee.

The Committee will be comprised of the following individuals or their appropriate designee:

  • Chief Human Resource Officer
  • Director of Talent Acquisition
  • Director of Equal Opportunity and Access
  • University Risk Manager
  • Ex-officio Member - Legal Counsel
Authority of the Committee

The Committee is responsible for the review of information of concern to determine continued employment or processing of application or candidacy. The committee will have ultimate authority to place an employee on administrative leave pending the review. An adverse employment decision will be based upon:

  1. Whether there is a substantial relationship between the previous criminal offense and the position sought.
  2. If the individual's employment creates an unreasonable risk to property or to the safety or welfare of others.

Determination of employment status will include, but is not limited to,

  • Duration of time that has passed since the conviction;
  • The number of convictions on the record;
  • The nature and severity of the conviction and its relationship to the safety and security of others;
  • The facts and circumstances surrounding the conviction;
  • The age of the individual at the time of conviction; and
  • Any evidence of rehabilitation efforts.

The appropriate office will inform the employee or candidate of the investigation findings and his/her employment status. Corrective action up to and including discharge/ termination or dismissal will be performed in accordance with applicable policies and procedures.

Storage and Destruction of Background Investigation Information

If applicable, the Committee will store hard copies in a separate, locked and secure location with limited access. Electronically-stored information will be retained in accordance with official University policy.

Appeal

If administrative adverse action is taken regarding the candidate/employee’s employment and the employment decision is based on the candidate’s record of criminal conviction or additional background information, a copy of the report and a letter of Preliminary Decision Notice will be provided to the candidate/employee. The candidate/employee will have five (5) business days from the receipt of the letter to provide evidence to refute the accuracy of the conviction, demonstrate any rehabilitation/mitigation and/or otherwise address the concerns. The candidate/employee is responsible for any fees or costs associated with the submission of the candidate’s appeal.

If the candidate fails to properly appeal, as noted above, the candidate’s consideration for employment is ended. For current employees who do not submit an appeal, the applicable policies and procedures regarding employment status will be applied as necessary. A Final Decision Notice will be issued to the individual.

If the candidate/employee provides additional information in support of continued consideration for employment or reinstatement, the Committee will review the information and make a determination regarding the individual’s employment status.

Reservation of Rights

The University reserves the right to discharge/terminate or dismiss an employee, with the presence of information of concern, at any time during the course of employment within the guidelines of applicable policies and procedures. The University also reserves the right to rescind an offer of employment to a candidate with the presence of information of concern.