The requirement for criminal background checks as a condition of employment has existed for staff for many years. As of late fall 2018, it was extended to all new faculty hires at Rice.

Rice is committed to providing a safe and secure environment for the campus community in support of its educational, research, and service missions. One aspect of this commitment is the background check program. The decision to implement background checks for new faculty is based on the high impact to both safety and reputation should an incident occur that might have been prevented with an initial criminal background check. It is also in keeping with practices of many of our peers and their risk and legal liability mitigation measures.

A background check is conducted for faculty who become magisters and for those involved with programs directed at minors.

Background checks for new adjunct faculty are only required if they will teach courses or advise students.

The background check takes place at the time an offer of appointment is made and accepted (post-offer, pre-employment).

Rice has contracted with a third-party agency, HireRight, to conduct all background checks.

Criminal background checks include searching county, state, and federal records. Criminal records from any of those sources will contain the following, if applicable:

• Convictions of felonies and misdemeanors
• Arrests and their dispositions do appear in the background check, but are not taken into consideration if no charges are filed or if dismissed
• Court records (dockets, judgments, etc.)
• Warrants
• Sex offenses
• Incarceration records

HireRight validates the Social Security number (SSN) of the candidate and uses the SSN to establish all prior domestic residences. The domestic residence history is then used as the basis to research all relevant county and state records for criminal history of the individual. HireRight also checks the National Sex Offender Registry and its own proprietary database of criminal records.

Background checks for faculty cover an unlimited period of time, as they do for staff. The rationale for this approach is to flag any criminal conviction that might otherwise not be identified if the background check covered only a set number of years.

Princeton, Emory, Duke, and Vanderbilt conduct background checks on all employees including faculty, as well as almost all public universities. Duke made the change four years ago to include new faculty. An informal survey of private AAU provosts in spring 2018 indicated that, in addition to the above, Dartmouth and MIT are considering a requirement of criminal background checks for new faculty. Washington University, University of Chicago, and Johns Hopkins currently do not conduct background checks of faculty. Stanford and Northwestern conduct background checks only for those faculty who deal with minors.

Rice follows state and federal laws that ensure a candidate’s right to privacy, which prohibit employees and others from using or disclosing personal information except within the scope of their assigned duties. Rice also complies with the European Union’s General Data Protection Regulation (GDPR). The University will not use any information obtained in the course of a criminal background check to discriminate on the basis of race, color, national origin, religion, sex, disability, age, sexual orientation, gender identity, gender expression, disability or veteran status.

There should be a statement in the offer of employment letters to notify candidates of the background check requirement. It reads: "This offer of employment is contingent on the satisfactory outcome of a criminal background screening. Our vendor, HireRight, will contact you directly via email for the additional information needed to conduct this background check. This screening is standard practice at the university for all new faculty and staff hires." Faculty applications include a certification statement that includes permission to inquire about the applicant’s criminal history and also includes a section on criminal history disclosure. (See Exhibits 1 and 2). Once the candidate has accepted the informal offer, VPAA electronically notifies HireRight to begin the background check process. HireRight sends an email to the candidate with instructions for logging into a secure server to provide information.

Background checks are usually completed within 1 or 2 business days from when the candidate responds to the information request from HireRight. However, in some cases it may take 5 or more business days, depending on the complexity of their history (e.g., if they have lived overseas or in multiple states).

No. Adverse information is not an automatic bar to employment. The university will review the findings from background checks on an individual basis, taking into consideration the individual's overall criminal history, the type and severity of the offense, the amount of time since the offense, and whether the offense is relevant to the duties of the position or to furthering of the mission of the University.

This review may also consider:

• The facts and circumstances surrounding the offense, including the age of the candidate at the time of the offense;
• The nature, number, and gravity of the offense;
• The time that has passed since the last offense and/or completion of sentence;
• Evidence of work history and behavior since the offense; and
• Any other aggravating or mitigating factors. Individual applicants or employees will be notified in writing if a background check is unsatisfactory, and given the reason for any adverse decision.

The candidate will be given an opportunity to respond to the report and provide an explanation.

The Provost will review background checks for tenured or tenure-track positions; the VPAA will review for non-tenure track faculty positions. Each background check returning adverse information and/or prior convictions will be reviewed on an individual basis. The review process begins with HireRight sending a copy of the report to the candidate and informing them of their right to contest, correct, or explain the report. After the candidate has been given an opportunity to respond to the report, the VPAA (for NTT appointments) and the Provost (for TTT appointments) will review and consider the report and the candidate’s response. The VPAA and the Provost will also consult with the relevant Dean, and may consult with the Office of General Counsel. The VPAA (for NTT appointments) or the Provost (for TTT appointments) will then make the final decision. Candidates will only be disqualified from employment with the University based on an assessment of the risk to other employees and students, the impact on a candidate’s ability to successfully and safely complete their duties, and legal and reputational risk to the University.

Yes. Candidates are given this right under the Fair Credit Reporting Act (FCRA). To receive a copy, the candidate will need to request one from HireRight, which they can do from the HireRight website.

If the faculty member has been separated from Rice for more than six months, Rice requires a background check of the person. Sabbaticals will not trigger a background check.

Please contact the office of the Vice Provost for Academic Affairs Office at vpaa@rice.edu if you have questions about this process.