WIXLIB

Cornell Policy LibraryVolume: 6. Human ResourcesResponsible Executive: VicePresident and Chief HumanResources OfficerResponsible Office: WorkforceRecruitment and RetentionOriginally Issued: October 1,2013Last Full Review: July 1, 2019Last Updated: June 29, 2020POLICY 6.6.2Reference Checks, Information Verification, and Background ChecksRESPONSIBILITIES – ITHACA-BASED LOCATIONS ANDCORNELL TECHThe major responsibilities each party has in connection with this policy are asfollows:Associate Vice President forHuman ResourcesLead efforts to review results of background checks and guidedecisions to ensure adherence to relevant laws and regulations whenevaluating applicants with criminal convictions.Support HR representatives in addressing questions resulting fromconcerns throughout other verification efforts.Review requests to conduct credit checks for positions below band Gin the finance/budget/planning job family and for any position in otherjob families.Coordinate credit check review and approval process with the vicepresident and chief human resources officer and the executive vicepresident and chief financial officer (CFO), or their designees.Diversity and AffirmativeAction Representative (DAAR)Provide prior approval for contingent job offers in coordination with thehiring authority. Colleges may identify an alternate to the DAAR foracademic searches.Environmental Health andSafety and Risk Management(EHS)Initiate required security risk assessments for individuals and maintaina list of individuals that access or have a means to access selectagents, as required by federal law and regulation.Maintain a list of individuals with unescorted access to selectradioactive material or their associated security plansInitiate security risk assessments as required by federal regulations,for individuals that have unescorted access to select radioactivematerial or their associated security plansConsult with the unit HR representative or the hiring authority as towhich positions are covered under the pre-employment drug andalcohol testing program and the related responsibility of the unit toarrange for testing of the newly hired staff.Communicate to unit HR and/or the hiring authority results of anapplicant's negative pre-employment drug and/or alcohol testing.Communicate to Workforce Policy and Labor Relations the results ofan applicant’s positive pre-employment drug and/or alcohol testExecutive Vice President andChief Financial Officer (ordesignee)Consult with the vice president and chief human resources officer (ora designee) and approve requests to conduct a credit check, asappropriate.Hiring AuthorityReview relevant policiesConsult with the unit HR representative to Review the unit hiring process Clarify expectations and responsibilities during the process,including the required reference, information verification andbackground check process Provide regular updates on the status of the search andcandidates under consideration Obtain advance approval tooo7University Policy OfficeCheck referencesExtend an offer of employmentwww.policy.cornell.edu

Cornell Policy LibraryVolume: 6. Human ResourcesResponsible Executive: VicePresident and Chief HumanResources OfficerResponsible Office: WorkforceRecruitment and RetentionOriginally Issued: October 1,2013Last Full Review: July 1, 2019Last Updated: June 29, 2020POLICY 6.6.2Reference Checks, Information Verification, and Background ChecksRESPONSIBILITIES – ITHACA-BASED LOCATIONS AND CORNELLTECH, continuedoInitiate the information verification andbackground check processoInitiate a medical exam and/or immunization, asrequired.Coordinate with the unit HR representative to retain detaileddocumentation of information obtained.Contact at least two of an applicant’s references, one of whom shouldbe the current supervisor.After consulting with the unit HR representative, arrange forDepartment of Transportation (DOT) pre-employment drug andalcohol testing for an applicant, for DOT-covered positions.Conduct a specific reference check on an applicant for a DOTcovered position, obtaining information from prior employers about theapplicant's testing history.Office of Workforce Policy andLabor RelationsConsult with departments on any positive pre-employment drug andalcohol test results.Responsible OfficialAct as the university’s liaison to the federal government in regard tothe Federal Select Agent Program.Unit Human Resource (HR)RepresentativeReview relevant policiesMaintain general oversight of the search process.Contact the associate vice president for human resources if aconviction is identified in the background check process.Contact Risk Management when a driving offense (no otherconviction) is identified in the background check processConsult with the hiring authority to Review the unit hiring process Understand the status of the search and candidates underconsideration Review and approve offers of employmentClarify expectations and responsibilities during the processEnsure reference checking is completed satisfactorilyInitiate the information verification and background checkprocess and any appropriate medical exam and/or immunization,as required. Submit all orders for information verification services to theuniversity’s authorized third-party vendor Ensure compliance with Fair Credit Reporting Act and relevantlocal, state and/or federal lawsReceive and review all reports from the university’s third-party vendor.Review and approve or deny requests from the hiring authority toextend contingent or conditional offers of employment before thecompletion of the information verification and/or background checkprocess.Review and approve or deny requests from the hiring authority toextend a conditional offer of employment to an applicant contingentupon the completion of a medical exam and/or immunization.In coordination with the unit head, review and support requests toconduct a credit check, as appropriate.8University Policy Officewww.policy.cornell.edu

Cornell Policy LibraryVolume: 6. Human ResourcesResponsible Executive: VicePresident and Chief HumanResources OfficerResponsible Office: WorkforceRecruitment and RetentionOriginally Issued: October 1,2013Last Full Review: July 1, 2019Last Updated: June 29, 2020POLICY 6.6.2Reference Checks, Information Verification, and Background ChecksRESPONSIBILITIES – ITHACA-BASED LOCATIONS AND CORNELLTECH, continued Note: With the approval of the unit head and the unit HRrepresentative, credit checks may be requested for positions aboveand including band G within the finance/budget/planning job families.Credit checks for all other positions require additional approval inadvance from the associate vice president for human resources, whowill consult with the vice president and chief human resources officerand the executive vice president and CFO, or their designees. Note: All NYC-based positions - All requests to perform a creditcheck on an applicant for any NYC-based position (including positionsabove and including band G within the finance/budget/planning jobfamilies) must be submitted to the associate vice president for humanresources to assure compliance with NYC law.After consulting with the hiring authority, notify EHS in writing that anapplicant has been sent for pre-employment drug and alcohol testing.Coordinate with the hiring authority/supervisor to retain all records ofthe search and selection process appropriately.Contact and/or consult with the Workforce Recruitment and Retention,Division of Human Resources, for general policy guidance.Vice President and ChiefHuman Resources Officer (ordesignee)Consult with the executive vice president and CFO (or a designee) toapprove requests to conduct a credit check, as appropriate.,Workforce Recruitment andRetentionProvide interpretation and guidance on the policy.9University Policy Officewww.policy.cornell.edu

Cornell Policy LibraryVolume: 6. Human ResourcesResponsible Executive: VicePresident and Chief HumanResources OfficerResponsible Office: WorkforceRecruitment and RetentionOriginally Issued: October 1,2013Last Full Review: July 1, 2019Last Updated: June 29, 2020POLICY 6.6.2Reference Checks, Information Verification, and Background ChecksPROCEDURES -- ITHACA-BASED LOCATIONS ANDCORNELL TECHOverviewUnits are required, through their hiring authorities and/or unit human resources(HR) representatives, to conduct thorough reference checks, and education andemployment verifications, on any applicants (internal or external) to whom offers ofbenefits-eligible employment are to be made.Background checks are required as outlined in this policy, for those to whom acontingent offer of employment has been extended, for any the following positions: Regular non-academic (staff and union) positions Benefits-eligible temporary non-academic (staff and union) positions Those positions identified in the Appendix regardless of the duration ofappointment (covers all individuals regardless of current universityemployment/affiliation status)Where a background check is required, an offer of employment must be contingentupon the satisfactory completion of the background check. The hiring authority mustcontact the unit human resources (HR) representative before initiating the requiredreference check, information verification and/or background check process. Note: In accordance with the university’s philosophy of a fair and unbiased hiringprocess, Cornell representatives will not ask an applicant to disclose informationregarding criminal convictions until they have extended a contingent offer ofemployment. The reference checking, information verification and background checkprocess is to be completed, with satisfactory results, before the first day of work. In alimited number of cases, and with the prior approval of the unit HR representative,Cornell will allow an individual to begin employment, unless working with childrenunder 18 years old, contingent upon the successful completion of these processes,with satisfactory results, within 30 days of their start date.ConfidentialityAll search-related materials are considered confidential and are to be shared onlywith those with a business need to know.Reference ChecksA reference check is required for any applicant (internal or external) to whom an offerof benefits-eligible employment is to be made. The hiring authority or a designeemust contact at least two of the applicant’s references (one of whom should be themost recent supervisor, if possible) before making an offer to any applicant. For aninternal applicant, the current supervisor must be one of the references contacted.Hiring authorities must contact the unit HR representatives for guidance if theycannot meet these requirements.10University Policy Officewww.policy.cornell.edu

Cornell Policy LibraryVolume: 6. Human ResourcesResponsible Executive: VicePresident and Chief HumanResources OfficerResponsible Office: WorkforceRecruitment and RetentionOriginally Issued: October 1,2013Last Full Review: July 1, 2019Last Updated: June 29, 2020POLICY 6.6.2Reference Checks, Information Verification, and Background ChecksPROCEDURES – ITHACA-BASED LOCATIONS AND CORNELLTECH, continuedApplicants to whom the university intends to extend an offer of employment for aposition listed in the Appendix are subject to the same reference check requirements. Note: Applicants must complete a Cornell employment application, which includesa certification that all information provided (written or verbal) is truthful, complete,and accurate, and authorizes the university to investigate pertinent information aboutthe applicant before information verification efforts (including reference checking)may begin.InformationVerificationEducation and employment verification is required when filling benefits-eligiblepositions. Hiring authorities and/or unit human resources (HR) representatives mustcomplete all information verification efforts before the first day of work except inlimited circumstances (see note below).Applicants for positions listed in the Appendix are subject to the same informationverification requirements. Note: In a limited number of cases and with the prior approval of the unit HRrepresentative, Cornell will allow an individual to begin employment contingentupon the successful completion of the information verification, with satisfactoryresults, within 30 days of the start date.BackgroundChecksA background check is required for individuals to whom a contingent offer ofemployment has been extended for the following positions: Regular non-academic (staff and union) positions; external hires only Benefits-eligible temporary non-academic (staff and union) positions Those positions identified in the Appendix regardless of the duration ofappointment (covers all individuals regardless of current universityemployment/affiliation status)Hiring authorities and/or unit human resources (HR) representatives must ensure allbackground check efforts are completed, with satisfactory results, before the first dayof work except in limited circumstances (see note below).Applicants to whom the university has extended a contingent offer of employmentfor a position listed in the Appendix are subject to the same background checkrequirements. Note: In a limited number of cases, and with the prior approval of the unit HRrepresentative, Cornell will allow an individual to begin employment contingent11University Policy Officewww.policy.cornell.edu

Cornell Policy LibraryVolume: 6. Human ResourcesResponsible Executive: VicePresident and Chief HumanResources OfficerResponsible Office: WorkforceRecruitment and RetentionOriginally Issued: October 1,2013Last Full Review: July 1, 2019Last Updated: June 29, 2020POLICY 6.6.2Reference Checks, Information Verification, and Background ChecksPROCEDURES – ITHACA-BASED LOCATIONS AND CORNELLTECH, continuedupon the successful completion of background check processes, with satisfactoryresults, within 30 days of their start date.Initiating theInformationVerification and/orBackground CheckProcess (ThirdParty Vendor)The unit HR representative is responsible for submitting all orders for informationverification and background check services to the university’s authorized third-partyvendor, and for receiving and reviewing all reports. For additional information,please review the “Reference Checking, Information Verification and BackgroundCheck Chart,” below.Funding the Costof InformationVerification andBackground CheckEffortsThe university has reserved funds for and will cover the cost and associated fees ofinformation verification and background check efforts, as required by this policy. Therequesting unit is responsible for covering the cost and associated fees of informationverification and background check efforts for all other positions, and for any checksbeyond those required by policy.Frequency ofBackgroundChecksIf the unit HR representative has access to the satisfactory results of a backgroundcheck that Cornell has completed on an applicant within 6 months before the intendeddate of hire, then the hiring unit may elect not to conduct another background checkprior to the hire.Retaining RecordsRefer to the Guidelines to Support Filling Vacancies (PDF) and Retaining Records inthe procedures of University Policy 6.6.1, Filling Vacancies (Excluding Academic andBargaining Unit Staff) for university policy language on retaining records related tosearch activities.Matrix: ReferenceChecks,InformationVerification andBackgroundChecksThe following chart identifies the required checks and verification efforts by positiontype and responsible party. The university reserves the right to utilize additionalchecks and verifications, as it deems appropriate, such as when there is a job-specificrequirement. In such a circumstance, the university will apply this additionalrequirement to all positions with similar responsibility in the unit. See the footnotesbelow the chart for additional information regarding responsible party clarificationand job related checks.12University Policy Officewww.policy.cornell.edu

Cornell Policy LibraryVolume: 6. Human ResourcesResponsible Executive: VicePresident and Chief HumanResources OfficerResponsible Office: WorkforceRecruitment and RetentionOriginally Issued: October 1,2013Last Full Review: July 1, 2019Last Updated: June 29, 2020POLICY 6.6.2Reference Checks, Information Verification, and Background ChecksPROCEDURES – ITHACA-BASED LOCATIONS AND CORNELLTECH, continuedMatrix: Reference Checks, Information Verification and Background ChecksPosition TypeResponsible PartyType of CheckAll benefitseligiblepositions. 1All regular nonacademic benefitseligible positions,benefits-eligibletemporary positionsand all appointmentsto positions listed inthe Appendix. 1HiringAuthorityReference Check 2XXXEducation Verification (highestdegree completed) 2, 3XXEmployment Verification2XXCornell Employment History ReviewXXUnit HumanResourcesThird-PartyVendorXXXSSN & Identity CheckXXSex Offender Database SearchXXComplete County and Federal 7 yr.Criminal Records Check for Felonyand Misdemeanor ConvictionsXXAdditional applicants/positions may be subject to reference check, education and empl

reference checks, background checks, and verification of information presented by . Ithaca-based locations Cornell Tech campus Weill Cornell Medicine campuses, which will administer this policy under separate procedures WHO SHOULD READ THIS POLICY ‒ All members of the university community, especially the following individuals, in