Section 3 Human Resources Policies Subject 3.3 Employment Policy 3.3.2 Security Clearance for New Employees

2-19-04 - Originated - Reviewed w/ changes -Reviewed w/o changes Human Resources -Author

Security Clearance for New Employees

Audience

The information in this document is for use by all UTMB faculty, staff, contract employees and volunteers with the exception of those who work in correctional facilities. Clearance for employees working in the correctional facilities is the responsibility of the Texas Department of Criminal Justice and other appropriate correctional agencies.

Definitions

For the purpose of this document, the following definitions apply. Security sensitive positions for UTMB will be designated by the President or his designee and will comply with University of Texas System Business Procedures Memorandum 29-11-02. Maintenance of the institutional list of security-sensitive positions will be the responsibility of Human Resources. ( http://www.utsystem.edu/BPM/29.htm ) Security sensitive areas are physical locations at UTMB designated by the President or his designee. All employees working in these locations are in security sensitive positions These locations include, but are not limited to, areas providing direct patient care, child care, pharmacy services and senior level administrative positions. Applicant is an individual who applies for a position within UTMB whether the individual is an outside candidate or a current employee of UTMB. Criminal Conviction Record Information refers to the public information maintained by the Department of Public Safety, as provided in Texas Government Code §411.135. Criminal History Record Information is the information collected about a person by a criminal justice agency that consists of identifiable descriptions and notations of arrests, detentions, indictments, information, and other formal criminal charges and their dispositions, as more fully described in Texas Government Code §411.082. Position is defined as both full-time and part-time positions (including PBL), whether the position is filled or to be filled by a regular or temporary worker, but not including a position filled by a temporary worker provided by a temporary employment agency or contractor; the employment agency or contractor is expected to conduct and will be held responsible for conducting the criminal background check.

Definitions, (cont’d)

Select Agent has the meaning assigned in 18 U.S.C. 175b, as that section may be amended from time to time. UTMB will conduct security clearance for individuals having access to select agents only until the Department of Justice implements its process for checking backgrounds on these individuals Controlled Substance has the meaning assigned in Texas Health and Safety Code § 481.002, as that section may be amended from time to time.

Policy

In accordance with Section 51.215 of the Texas Education Code and Sections 411.094 and 411.135 of the Texas Government Code, complete security checks will be conducted as follows: 1. Criminal history record information on applicants who are under final consideration, following normal screening and selection processes, for a position that is designated as a security sensitive position; 2. Criminal conviction record information on a current employee who is under consideration for a transfer, promotion or reclassification from a non-security sensitive position to a position designated as a security sensitive position; 3. Criminal conviction record information on a current employee who is under consideration for a transfer, promotion or reclassification from one security sensitive position to another security sensitive position and on whom UTMB did not previously obtain either criminal history record information or criminal conviction record information. UTMB will not employ individuals in a security sensitive position if it is felt that the individual might pose a security risk. If circumstances require an offer of employment to be extended prior to completion of the security review, then a written offer letter must state that the offer is contingent on the completion of a satisfactory security review. Offer letters not containing this statement will not be considered valid. A signed written authorization form must be obtained from the applicant prior to proceeding with the criminal background check. This authorization form must include the notice required by Texas Government Code §559.003, as it may be amended from time to time.

Policy, (cont’d)

UTMB does not automatically disqualify from employment all individuals with conviction records. The Chief Human Resources Officer or designee will make the final decision about whether an applicant for a classified position, poses a security risk. Should there be a concern regarding a faculty or A&P position, the decision will be made by the entity leader (President, Executive Vice President, Hospital Chief Operating Officer, Chief Financial Officer, Deans, Vice Presidents) of the area where the appointment is to be made. Decisions will be based on a case-by-case basis based on factors such as: a. Specific duties of the position b. Number of offenses c. Nature of each offense d. Length of time intervening between the offense and the employment decision e. Employment history f. Efforts at rehabilitation g. Accuracy of the information provided by the applicant on the employment application

Procedure Procedure, (cont’d)

Responsibility Action Hiring Department 1. Selects the final candidate 2. Prior to the offer being extended sends a “Request to hire” E-mail to the department’s Human Resources Consultant which includes the candidate’s job requisition number. 3. Notifies Human Resources if circumstances require an offer to be extended prior to completion of security clearance. Department uses template provided by Human Resources for offer letter in these circumstances. Human Resources Consultant/Recruiter 1. Insures that job descriptions and advertisements identify security sensitive positions. 2. Insures there is a signed authorization from applicant for criminal background check. The form is accessible at http://129.109.115.103/hrlibrary/security.pdf Human Resources Consultant/Recruiter 3. Will notify hiring department that an offer may be extended. If circumstances require that offer be extended prior to completion of security review an offer letter must be used stating that the offer is contingent on completion of a satisfactory criminal background check. 4. Upon receipt of information regarding a conviction or other criminal history information, will consult with Employee Relations leadership regarding any potential risk. The decision regarding clearance for hire will be made after this consultation. Human Resources Employee Relations/Chief Human Resources Officer 1. Reviews criminal conviction history to assess risk of hire 2. Makes final determination if applicant is cleared for hire, promotion or transfer. 3. Alert entity leader should a security concern exist regarding a Faculty or A&P position. Entity Leader 1. Should a security concern exist regarding a Faculty or A&P position, will review criminal background and information and make decision if a candidate is cleared to hire.

Use of Information	Criminal history information obtained by UTMB may be used only for the purpose of evaluating applicants for employment in security sensitive positions and shall in no way be used to discriminate on the basis of race, color, national origin, religion, sex, handicap, or age. Criminal history record information, including conviction information contained therein, will be regarded as confidential as required by law and will not be made part of the applicant’s file or the employee’s personnel file or communicated to any unauthorized person. Under Texas Government Code 411.085, the unauthorized release of criminal history record information is a criminal offense, and, consequently, legal advice will be sought with respect to any requested release of information.
Retention	After the expiration of the probationary term of the individual’s employment, all criminal history record information shall be destroyed. If no probationary period is involved, the information shall be destroyed 180 days after it was obtained.
Contractors	Criminal background checks must be completed on all contract employees performing work in security-sensitive areas before access will be given to the area. The contract agency is responsible for ensuring that the background check has been performed.
References	Texas Education Code § 51.215. Access to Police Records of Employment Applicants Texas Government Code § 411.094 Access to Criminal History Record Information: Institution of Higher Education Texas Government Code § 411.135 Access to Certain Information by Public Texas Government Code §559.003