Implementation of criminal background check policy
In the Division of Academic Affairs
DV 01/20/2009
Board of Regents issued a policy (20-19) that requires that each campus conduct a criminal
background check on all new employees. The UWM criminal background check 9CBC)
policy S14.5 is based on the Regent policy and may be found at
http://www.uwm.edu/Dept/SecU/acad%2Badmin_policies/index.html.
In a nutshell, the CBC includes information from the following: (1) social security number
trace, (2) Criminal Felony/Misdemeanor convictions and/or pending charges by county of
residence, and (3) Sex Offender Registry. The process is initiated with the submission of a
disclosure and a consent form completed by an applicant. The UWM Police Department
will conduct the CBC and report the results to a designated individual. If the CBC report
contains information that might lead to a negative hiring decision, the designated
individual will consult with a review group ad make an appropriate recommendation to the
Provost. The individual designated will to receive and act on a CBC report in the Division of
Academic Affairs, is identified by the type of position (faculty, academic staff, classified
staff, temporary employees, graduate assistants and student workers) in the sections
below. Please refer to the policy at the URL provided above the further details about the
process.
Information disclosed by the applicant and obtained in the criminal background hek
process are to be treated with utmost confidentiality. Strict adherence to policy provisions
on how to handle CBC information is expected of all personnel involved in this process.
Timing of Criminal Background Checks:
The CBC must be completed prior to making an offer of employment to an individual. Only
in truly exceptional cases may an offer be processed prior to the CBC and in those cases
only with the approval of the Provost’s designee for the type of position. See procedural
steps for the type of position (faculty, academic staff, classified staff, student employees,
etc.) given below to identify the designee for that type of position. The following language
must be included in the letter of offer in such cases: “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will be withdrawn or, if you have started employment, your employment will be terminated.”
Positions requiring CBC:
All new hires (faculty, academic staff, classified, student employees) are subject to criminal
background checks subject to exceptions explicitly given below.
All non-paid individuals (such as volunteers and interns) are subject to criminal
background checks if any provision of Section 2.3 of the UWM CBC applies to their
assignments.
Exceptions: The following categories of hires are not required to have CBC subject to
Section 2.2.e of UWM CB policy which states, “No position, even if it is staffed with
temporary/short term employees, student employees, interns or unpaid volunteers, shall be
exempt from the criminal background heck policy if the employee in the position will have
access to personnel and student records, or if the law requires a background heck for the
position.” It is the responsibility of the Dean/Director of the hiring unit to assure
compliance. In determining whether an individual is exempt from CBC, the Dean/Director
must be consider the following:
 Does the individual have access to personnel and student records (SSN, student ID
number, address, back account number, academic, etc.) even if they are just
copying, filing, and/or otherwise handling such records?
 Does the individual handle institutional money, or checks made to the institution?
 Does the individual have access to hazardous materials or agents?
 Is the individual have any responsibility to work with minors or in caregiver
situations?
If the answer to any of the questions above is affirmative, then a CBC should be done
regardless of the nature and type of appointment. Given the above, individuals hired into
the following positions may be exempt from CBC:
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Research Assistants and Fellows (Note: if an individual in these positions is
subsequently hired into positions requiring CBC for new hires such as teaching
assistant, the hiring unit must conduct the CBC at that time).
Student employees
Academic staff employees in training (Research Associates, Research Interns, Post
Docs, etc.)
Short term (one month or less) ad hoc lump sum appointments
Panther Band musicians
Guest artists
Entertainers
Public speakers
Workshop facilitators and trainers (internal and external)
Process steps for faculty hires:
1. The personnel representative (PREP) completes the top portion of the disclosure
form fully and accurately. The designated individual to receive the CBC reports on
applicants for faculty positions for all schools and colleges is Associate Vice
Chancellor Dev Venugopalan (AVC). (Contact information: Chapman Hall 240, 2295161, dv@uwm.edu.
2. The PREP provides a copy of the disclosure and consent form, and an envelope to
the applicant during the campus interview visit.
3. The PREP reminds the applicant to print information legibly, complete all sections of
the form, and sign/date the form.
4. The PREP receives the complete form from the applicant in a sealed envelope
marked with the applicant’s name and the position applied for. The PREP or anyone
else from the school/college does not review the information disclosed by the
applicant.
5. When a decision is reached to make an offer of an applicant, the PREP forwards the
envelope with the chosen applicant’s form to UWM Police Department (PD) to
initiate the CBC.
6. PD forwards the following documents to the Provost’s designee (AVC): the CBC
report and the applicant’s disclosure and consent form.
7. For null reports, the AVC informs the Dean and PREP that the officer can be
processed.
8. For reports with records, AVC will apply a “substantial relationship” test. If there is
clearly no reason to contemplate a negative decision, AVC informs the Dean and
PREP that the offer can be processed.
9. If there is any question on the substantial relationship or if a negative decision is
contemplated, AVC will prepare a communication to the review group for faculty
positions outlining the nature of offense/conviction and seek the input of the review
group before arriving at a decision. See section 5.2 of the UWM CBC policy for
details.
10. If a negative decision is contemplated, the AVC will provide a copy of the report to
the applicant and give the applicant the opportunity to challenge the findings and
successfully resolve the issues per Section 6.1 of the policy. See Attachment 2 for a
template of the letter to the applicant. The AVC will notify the Dean/PREP of the
status.
11. If the position is not offered to the applicant on the basis of the CBC report, the AVC
will notify the Dean/PREP. The school/college/department may then reexamine the
remaining pool of applicants for consideration.
12. The AVC will forward all records related to CBC to the Director of Human Resources
for record keeping per section 7 of the policy.
Potential snags for faculty and how to deal with them:
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If the information provided by the applicant is inconsistent with the information the
PD receives in the social security trace, the PD will contact the applicant with a letter
(Attachment 1), preferably by email, with a copy to the AVC. The AVC will verify the
applicant’s contact information with the PREP. If the issue is not resolved within the
state period in the letter, the PD will provide this information to AVC. The AVC will
inform the Dean and PREP that the applicant can no longer be considered for the
position.
If the contact information or social security number disclosed by the applicant is
illegible, the PD will contact the PREP to obtain contact information (address, email
and telephone) on record with the school/college before proceeding with the CB.
If there is missing information in the portion of the form that the PREP should
complete, the PD will notify the PREP who should immediately respond with the
requested information. If adequate care is not taken to provide all requested
information, this could result in delay in processing the offer to the applicant. Do it
right the first time!
Process steps for academic staff hires:
1. The PREP completes the top portion of the disclosure form fully and accurately. The
designated individual to receive the CBC reports on applicants for academic staff
positions for all schools and colleges is Administrative Officer Bridgett Kemp (AO).
(Contact information: Chapman Hall 256, 229-4896, bkemp@uwm.edu).
2. The PREP provides a copy of the disclosure and consent form, and an envelope to
the applicant during the campus interview visit.
3. The PREP reminds the applicant to print information legibly, complete all sections of
the form, and sign/date the form.
4. The PREP receives the completed form from the applicant in a sealed envelope
marked with the applicant’s name and the position applied for. The PREP or anyone
else from the school/college does not review the information disclosed by the
applicant.
5. When a decision is reached to make an offer to an applicant, PREP forwards the
envelope with the chosen applicant’s form to UWM Police Department (PD) to
initiate the CBC.
6. The PD forwards the following documents to Provost’s designee for academic staff
CBC (AO): the CBC report and the applicant’s disclosure and consent form.
7. For null reports, the AO informs the Dean/Director and PREP that the offer can be
processed.
8. For reports with records, AO will apply a “substantial relationship” test. If there is
clearly no reason to contemplate a negative decision, AO informs the Dean/Director
and PREP that the offer can be processed.
9. If there is any question on the substantial relationship or if a negative decision is
contemplated, the AO will prepare a communication to the review group for
academic staff positions outlining the nature of offense/conviction and see the input
of the review group before arriving at a decision. See section 5.2 of the UWM CBC
policy for details.
10. If a negative decision is contemplated, the AO will provide a copy of the report to the
applicant and give the applicant the opportunity to challenge the findings and
successfully resolve the issues per Section 6.1 of the policy. See Attachment 2 for a
template of the letter to the applicant. The AO will notify the Dean/Director/PREP
of the status.
11. If the position is not offered to the applicant on the basis of the CBC report, the AO
will notify the Dean/PREP. The school/college/department may then reexamine the
remaining pool of applicants for consideration.
12. The AO will forward all records related to the CBC to the Director of Human
Resources for record keeping per Section 7 of the policy.
Potential snags for academic staff and how to deal with them:

If the information provided by the applicant is inconsistent with the information the
PD receives in the social security trace, the PD will contact the applicant with a letter
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(see Attachment 1) preferably via email with a copy to the AO. The AO will verify
the applicant’s contact information with the PREP. If the issue is not resolved within
the stated period in the letter, the PD will provide this information to the AO. The
AO will inform the Dean and PREP that the applicant can be longer be considered for
the position.
If the contact information or social security number disclosed by the applicant is
illegible, the PD will contact the PREP to obtain contact information (address, email
and telephone) on record with the school/college before proceeding with the CBC.
If there is missing information in the portion of the form that the PREP should
complete, PD will notify the PREP who should immediately respond with the
requested information. If adequate care is not taken to provide all requested
information, this could result in delay in processing the offer to the applicant. Do it
right the first time!
Process steps for classified staff, permanent and project (more than six months)
hires:
1. The PREP completes the top portion of the disclosure form fully and accurately. The
designated individual to receive CBC reports on applicants for classified staff
positions for all schools and colleges is the AO (Contact Information: Chapman Hall
256, 229-4896, bkemp@umw.edu).
2. The PREP provies a copy of the isclosure and consent form and an envelope to the
applicant during the campus interview visit.
3. The PREP reminds the applicant to print information legibly, complete all sections of
the form, and sign and date the form.
4. The PREP receives the completed form from the applicant in a sealed envelope
marked with the applicant’s name and the position applied for. The PREP or anyone
else from the school/college does not review the information disclosed by the
applicant.
5. When a decision is reached to make an offer to an applicant, PREP forwards the
envelope with the chosen applicant’s form to UWM PD to initiate the CBC.
6. The PD forwards the following documents to the Provost’s designee for Classified
Staff CBC (the AO): the CBC report and the applicant’s disclosure and consent form.
7. For null reports, the AO informs the Dean/Director and the PREP that the offer can
be processed.
8. For reports with records, the AO will apply a “substantial relationship” test. If there
is clearly no reason to contemplate a negative decision, the AO informs the
Dean/Director and the PREP that the offer can be processed.
9. If there is any question on the substantial relationship or if a negative decision is
contemplated, the AO will prepare a communication to the review group outlining
the nature of offense/conviction and seek the input of the review group before
arriving at a decision. See section 5.2 of the UWM CBC policy for details.
10. If a negative decision is contemplated, the AO will provide a copy of the report to the
applicant and give the applicant the opportunity to challenge the findings and
successfully resolve the issues per Section 6.1 of the policy. See Attachment 2 for a
template of the letter to the applicant. The AO will notify the Dean/Director and the
PREP of the status.
11. If the position is not offered to the applicant on the basis of the CBC report, the AO
will notify the Dean and PREP. The school/college/department may then reexamine
the remaining pool of applicants for consideration.
12. The AO will forward all records related to the CBC to the Director of Human
Resources for record keeping per Section 7 of the policy.
Potential snags for Confidential employees an how to deal with them:

If the information provided by the applicant is inconsistent with the information the
PD receives in the social security trace, the PD will contact the applicant with a letter
(see Attachment 1) preferably via email with a copy to the AO. The AO will verify
the applicant’s contact information with the PREP. If the issue is not resolved within
the stated period in the letter, PD will provide this information to the AO. The AO
will inform the Dean and PREP that that applicant can no longer be considered for
the position.

If the contact information or social security number disclosed by the applicant is
illegible, the PD will contact the PREP to obtain contact information (address, email,
and telephone) on record with the school/college before proceeding with the CBC.

If there is missing information in the portion of the form that the PREP should
complete, the PD will notify the PREP who should immediately respond with the
requested information. If adequate care is not taken to provide all requested
information, this could result in delay in processing the offer to the applicant.
Process steps for short-term (six months or less) hires, LTEs, graduate assistants and
student employees:
1. CBC responsibilities are designated to the Dean/Director of the division.
2. The Dean/Director will develop procedural steps that incorporate the various
aspects of conducting CBC, making decisions, and record keeping similar to
Academic Affairs Division – wide procedures described above.
3. These procedures with names of responsible individuals must be submitted to the
Provost and to the Director of Human Resources.
Attachment 1
Social Security Number Discrepancy Template
(Send via email to minimize resolution time)
(Date)
Mr/Mrs/Ms (Name)
(Street Address)
(City, State, ZIP)
Dear (Name):
As we recently informed you, the University of Wisconsin – Milwaukee performs a criminal
background check as part of the employment process. To ensure an accurate criminal
background check is conducted, your social security number must be validated.
This is to advise you that we could not validate your social security number. When we
attempted the validation, there was a discrepancy. We were not able to proceed with
consideration of your employment application, based on this discrepancy.
If you believe there has been an error in this matter, you have three (3) working days from
the date you receive this letter, to notify me. If you wish to challenge the discrepancy, you
will have an additional five (5) working days to successfully resolve this issue with the
Social Security Administration. You can contact the Social Security Administration at (800)
772-1213 (toll free).
You cannot be considered for a position unless this matter is resolved within the
timeline specified.
Please contact me at (Phone Number) if you have any questions.
Regards,
(Name)
(Department)
Attachment 2
Adverse Action Letter Template
(Date)
Mr/Ms/Mrs (Name)
(Street Address)
(City, State, ZIP)
Dear (Name):
As part of our employment selection process for the position (Position Title), we have
conducted a criminal background check. The results of this check are attached.
This is to advise you that you are not eligible for this position at the University of
Wisconsin-Milwaukee because of the results from the criminal background check.
Pursuant to the Wisconsin Fair Employment Act, employment may be denied if an
applicant’s criminal conviction record and/or pending criminal charges are substantially
related to the position they have applied. We have determined that there is a substantial
relationship between your reported criminal record and the position for which you are
being considered.
If you believe the results of the background check are not accurate, you have three (3)
working days to challenge the findings. A challenge must be in writing, directed to me,
stating the nature of any inaccuracy in the record. You will then have an additional five (5)
working days to resolve the inaccuracies that may be contained in the criminal record.
Please contact me at (Phone Number) if you have any questions.
Regards,
(Name)
Vice Chancellor (or designee)
xc: Director of Human Resources