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University Policy Office
www.policy.cornell.edu
CORNELL UNIVERSITY
POLICY LIBRARY
POLICY 6.6.2
Volume: 6, Human Resources
Chapter: 6, Employment
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1, 2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
Reference Checks,
Information Verification,
and
Background Checks
P
OLICY
S
TATEMENT
Cornell University requires units to conduct a thorough reference check, and
education and employment verification, on any applicant (internal and external) to
whom an offer of benefits-eligible employment is to be made. In addition, a
background check is required, as outlined in the procedures in this policy; in such
cases, offers of employment must be contingent upon the satisfactory completion of
the background check.
Note: Weill Cornell Medicine (WCM) conducts reference checks, and education and
employment verification for all non-academic external candidates. For internal non-
academic candidates, only an internal, informal reference check is recommended.
R
EASON FOR
P
OLICY
To promote a safe and productive environment, Cornell conducts comprehensive
reference checks, background checks, and verification of information presented by
job applicants.
E
NTITIES
A
FFECTED BY THIS
P
OLICY
Ithaca-based locations
Cornell Tech campus
Weill Cornell Medicine campuses, which will administer this policy under
separate procedures
W
HO
S
HOULD
R
EAD THIS
P
OLICY
‒ All members of the university community, especially the following individuals, in
the performance of their jobs:
‒ Members of the human resources community
‒ Hiring supervisors, faculty, or staff
‒ Volunteer coordinators
M
OST
C
URRENT
V
ERSION OF THIS
P
OLICY
‒ www.dfa.cornell.edu/policy/policies/reference-checking-and-information-
verification
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
2
University Policy Office
www.policy.cornell.edu
C
ONTENTS
Policy Statement _______________________________________________________ 1
Reason for Policy ______________________________________________________ 1
Entities Affected by this Policy __________________________________________ 1
Who Should Read this Policy ____________________________________________ 1
Most Current Version of this Policy ______________________________________ 1
Related Resources ______________________________________________________ 3
Contacts – Ithaca-Based Locations and Cornell Tech ________________________ 4
Contacts – Weill Cornell Medicine Campuses _____________________________ 4
Definitions ____________________________________________________________ 5
Responsibilities – Ithaca-Based Locations and Cornell Tech _________________ 7
Procedures -- Ithaca-Based Locations and Cornell Tech _____________________ 10
Overview __________________________________________________________ 10
Confidentiality _____________________________________________________ 10
Reference Checks ___________________________________________________ 10
Information Verification _____________________________________________ 11
Background Checks _________________________________________________ 11
Initiating the Information Verification and/or Background Check Process (Third-
Party Vendor) ______________________________________________________ 12
Funding the Cost of Information Verification and Background Check Efforts 12
Frequency of Background Checks _____________________________________ 12
Retaining Records __________________________________________________ 12
Matrix: Reference Checks, Information Verification and Background Checks 12
Offering Employment _______________________________________________ 14
Offering Conditional Employment – Medical Examinations and Immunizations
__________________________________________________________________ 15
Appendix: Designated Positions (including all academics, non-benefits eligible
temporary or casual hires and internal transfers, as well as student and volunteer
appointments as indicated) ______________________________________________ 16
Index _________________________________________________________________ 18
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
3
University Policy Office
www.policy.cornell.edu
R
ELATED
R
ESOURCES
University Policies and Information Applicable to All Units of the University
University Policy 4.2, Transaction Authority and Payment Approval
University Policy 4.7, Retention of University Records
University Policy 6.4, Prohibited Bias, Discrimination, Harassment, and Sexual and Related Misconduct
Cornell University Statement on Diversity
President’s Statement on Affirmative Action
University Policies and Information Applicable to Only Ithaca-Based Locations and Cornell Tech
University Policy 6.5, University Volunteers
University Policy 6.6.1, Filling Vacancies
University Policy 6.10.9, Staff Transfer
University Policy 6.12, Separations, Voluntary and Involuntary (Including Layoff)
Guide to Checking References
Guidelines to Support Filling Vacancies (PDF)
Guidelines for Managing and Evaluating an Applicant with Criminal Convictions
Human Resources Policy 6.7.5, Temporary and Casual Appointments
External Documentation
Federal Fair Employment Practices:
Age Discrimination in Employment Act
Americans with Disabilities Act
Civil Rights Act of 1991
Drug-Free Workplace Act
Employee Polygraph Protection Act
Equal Pay Act
Executive Orders 11246, 11375, 11478
(Affirmative Action)
Fair Credit Reporting Act
Fair Labor Standards Act of 1938
Immigration Reform and Control Act
Nuclear Regulatory Commission 10 CFR
NYC Fair Chance Act
Omnibus Transportation Employee Testing Act
of 1995
Public Health Security and Bioterrorism
Preparedness and Response Act of 2002
Pregnancy Discrimination Act
Title VII of the Civil Rights Act of 1964
Uniform Guidelines on Employee Selection
Procedures
Vietnam-era Veterans Readjustment Act
Vocational Rehabilitation Act
Ithaca City, Tompkins County, and New York State laws and regulations
NYC Commission on Human Rights Legal Enforcement Guidance on the Stop Credit Discrimination in
Employment Act, N.Y.C. Admin. Code §§ 8-102(29), 8-107(9)(d), (24); Local Law No. 37
University Forms and Systems, Ithaca-Based Locations and Cornell Tech
HR Professional Tools
Frequently Asked Questions
Search Firm Template
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
4
University Policy Office
www.policy.cornell.edu
Contacts, Ithaca-Based Locations and Cornell Tech
Subject Contact Telephone Email/Web Address
Policy Clarification and
Interpretation
Unit Human Resource
Representative
hr.cornell.edu/find-your-hr-
representative
Division of Human Resources,
Workforce Recruitment and
Retention
(607) 254-8370 mycareer@cornell.edu
Credit Checks, Approval
for
Associate Vice President for
Human Resources
(607) 254-8359 hr.cornell.edu
Background Checks with
Department of Motor
Vehicle Concerns only
Individuals with Access,
or Means to Access Select
Agents
Environmental Health and Safety (607) 255-8200 askehs@cornell.edu
ehs.cornell.edu
Drug and Alcohol Testing
for positions requiring a
Commercial Driver’s
License)
Environmental Health and Safety (607) 255-8200 askehs@cornell.edu
Background Check
Results of Concern
Associate Vice President for
Human Resources
(607) 254-8359 hr.cornell.edu
Unescorted Access to
Selected Radioactive
Material or Associated
Security Plan
Environmental Health and Safety (607) 255-8200 askehs@cornell.edu
ehs.cornell.edu
C
ONTACTS
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W
EILL
C
ORNELL
M
EDICINE
C
AMPUSES
Direct any general questions about this policy to your college or unit administrative
office. If you have questions about specific issues, contact the following offices.
Contacts, Weill Cornell Medicine Campuses
Subject Contact Telephone Email/Web Address
Policy Clarification and
Interpretation
WCM HR Solution Center hrsc.weill.cornell.edu (sign-in required)
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Direct any general questions about this policy to your college or unit administrative
office. If you have questions about specific issues, contact the following offices.
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
5
University Policy Office
www.policy.cornell.edu
D
EFINITIONS
These definitions apply to terms as they are used in this policy.
Applicant
Any person who applies (requests review of his or her credentials,
experience, or other qualifications) in accordance with the stated
directions for a specific and discrete open position.
Background Check
The process where, after a contingent offer of employment or
volunteer service has been extended, the university’s authorized third-
party vendor investigates an applicant’s criminal history and other job
related information.
Casual Appointment (Ithaca-
based locations and Cornell
Tech only)
Employment in a position of less than 20 hours per week.
Casual Employee (WCM only)
An individual called upon to work from time to time without a set
schedule (typically no more than 17.5 hours per week), who may
remain on the WCM payroll as long as the services are needed and
the individual is available to work.
Diversity and Affirmative
Action Representative (DAAR)
An individual designated by management with responsibility for
affirmative action compliance at the unit level.
External Applicant
A job candidate who presently does not hold a regular appointment
with the university.
Hiring Authority
An individual who is responsible for making the hiring decision or has
responsibility for some aspect of the search process. For example, a
supervisor, unit human resources (HR) representative, or an
appropriate designee may serve as the hiring authority at different
points of the search process.
Information Verification
The process whereby the hiring authority, the unit HR representative
and/or the university’s authorized third-party vendor verify the
education and employment (dates of employment, title, etc.) of an
applicant or volunteer.
Intern, Paid See Temporary Appointment.
Internal Applicant
A job candidate who currently holds a regular position at the
university, or someone in an eligible employment status, such as
layoff status or short-term disability leave.
Reference Check
The process of obtaining job-related information from prior/current
employers regarding the performance and abilities of applicants for
open positions.
Regular Appointment (Ithaca-
based locations and Cornell
Tech only)
Employment in a non-temporary position of at least 20 hours per
week with an expected duration of at least six months.
Regular Employee (WCM only)
An employee who occupies a WCM position budgeted on the regular
payroll system and is scheduled to work on a weekly basis.
Responsible Official
An individual, required by the federal government and designated by
the university, who assumes the authority and responsibility to act on
behalf of the university in regard to the Federal Select Agent Program.
Temporary Appointment
(Ithaca-based locations and
Cornell Tech only)
Employment in a position of at least 20 hours per week with an
expected duration of less than six months. Includes Paid Intern.
Unit
A college, department, program, research center, business service
center, or other operating unit.
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
D
EFINITIONS
,
continued
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University Policy Office
www.policy.cornell.edu
Unit Human Resource (HR)
Representative
The primary human resource administrator at the unit level.
University Volunteer
An individual who performs services for and directly related to the
business of the university, without the expectation of compensation.
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
7
University Policy Office
www.policy.cornell.edu
R
ESPONSIBILITIES
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The major responsibilities each party has in connection with this policy are as
follows:
Associate Vice President for
Human Resources
Lead efforts to review results of background checks and guide
decisions to ensure adherence to relevant laws and regulations when
evaluating applicants with criminal convictions.
Support HR representatives in addressing questions resulting from
concerns throughout other verification efforts.
Review requests to conduct credit checks for positions below band G
in the finance/budget/planning job family and for any position in other
job families.
Coordinate credit check review and approval process with the vice
president and chief human resources officer and the executive vice
president and chief financial officer (CFO), or their designees.
Diversity and Affirmative
Action Representative (DAAR)
Provide prior approval for contingent job offers in coordination with the
hiring authority. Colleges may identify an alternate to the DAAR for
academic searches.
Environmental Health and
Safety and Risk Management
(EHS)
Initiate required security risk assessments for individuals and maintain
a list of individuals that access or have a means to access select
agents, as required by federal law and regulation.
Maintain a list of individuals with unescorted access to select
radioactive material or their associated security plans
Initiate security risk assessments as required by federal regulations,
for individuals that have unescorted access to select radioactive
material or their associated security plans
Consult with the unit HR representative or the hiring authority as to
which positions are covered under the pre-employment drug and
alcohol testing program and the related responsibility of the unit to
arrange for testing of the newly hired staff.
Communicate to unit HR and/or the hiring authority results of an
applicant's negative pre-employment drug and/or alcohol testing.
Communicate to Workforce Policy and Labor Relations the results of
an applicant’s positive pre-employment drug and/or alcohol test
Executive Vice President and
Chief Financial Officer (or
designee)
Consult with the vice president and chief human resources officer (or
a designee) and approve requests to conduct a credit check, as
appropriate.
Hiring Authority Review relevant policies
Consult with the unit HR representative to
Review the unit hiring process
Clarify expectations and responsibilities during the process,
including the required reference, information verification and
background check process
Provide regular updates on the status of the search and
candidates under consideration
Obtain advance approval to
o Check references
o
Extend an offer of employment
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
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o Initiate the information verification and
background check process
o Initiate a medical exam and/or immunization, as
required.
Coordinate with the unit HR representative to retain detailed
documentation of information obtained.
Contact at least two of an applicant’s references, one of whom should
be the current supervisor.
After consulting with the unit HR representative, arrange for
Department of Transportation (DOT) pre-employment drug and
alcohol testing for an applicant, for DOT-covered positions.
Conduct a specific reference check on an applicant for a DOT-
covered position, obtaining information from prior employers about the
applicant's testing history.
Office of Workforce Policy and
Labor Relations
Consult with departments on any positive pre-employment drug and
alcohol test results.
Responsible Official
Act as the university’s liaison to the federal government in regard to
the Federal Select Agent Program.
Unit Human Resource (HR)
Representative
Review relevant policies
Maintain general oversight of the search process.
Contact the associate vice president for human resources if a
conviction is identified in the background check process.
Contact Risk Management when a driving offense (no other
conviction) is identified in the background check process
Consult with the hiring authority to
Review the unit hiring process
Understand the status of the search and candidates under
consideration
Review and approve offers of employment
Clarify expectations and responsibilities during the process
Ensure reference checking is completed satisfactorily
Initiate the information verification and background check
process and any appropriate medical exam and/or immunization,
as required.
Submit all orders for information verification services to the
university’s authorized third-party vendor
Ensure compliance with Fair Credit Reporting Act and relevant
local, state and/or federal laws
Receive and review all reports from the university’s third-party vendor.
Review and approve or deny requests from the hiring authority to
extend contingent or conditional offers of employment before the
completion of the information verification and/or background check
process.
Review and approve or deny requests from the hiring authority to
extend a conditional offer of employment to an applicant contingent
upon the completion of a medical exam and/or immunization.
In coordination with the unit head, review and support requests to
conduct a credit check, as appropriate.
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
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Note: With the approval of the unit head and the unit HR
representative, credit checks may be requested for positions above
and including band G within the finance/budget/planning job families.
Credit checks for all other positions require additional approval in
advance from the associate vice president for human resources, who
will consult with the vice president and chief human resources officer
and the executive vice president and CFO, or their designees.
Note: All NYC-based positions - All requests to perform a credit
check on an applicant for any NYC-based position (including positions
above and including band G within the finance/budget/planning job
families) must be submitted to the associate vice president for human
resources to assure compliance with NYC law.
After consulting with the hiring authority, notify EHS in writing that an
applicant has been sent for pre-employment drug and alcohol testing.
Coordinate with the hiring authority/supervisor to retain all records of
the 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 Chief
Human Resources Officer (or
designee)
Consult with the executive vice president and CFO (or a designee) to
approve requests to conduct a credit check, as appropriate.,
Workforce Recruitment and
Retention
Provide interpretation and guidance on the policy.
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
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University Policy Office
www.policy.cornell.edu
P
ROCEDURES
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Overview
Units are required, through their hiring authorities and/or unit human resources
(HR) representatives, to conduct thorough reference checks, and education and
employment verifications, on any applicants (internal or external) to whom offers of
benefits-eligible employment are to be made.
Background checks are required as outlined in this policy, for those to whom a
contingent 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 of
appointment (covers all individuals regardless of current university
employment/affiliation status)
Where a background check is required, an offer of employment must be contingent
upon the satisfactory completion of the background check. The hiring authority must
contact the unit human resources (HR) representative before initiating the required
reference check, information verification and/or background check process.
Note: In accordance with the university’s philosophy of a fair and unbiased hiring
process, Cornell representatives will not ask an applicant to disclose information
regarding criminal convictions until they have extended a contingent offer of
employment. The reference checking, information verification and background check
process is to be completed, with satisfactory results, before the first day of work. In a
limited number of cases, and with the prior approval of the unit HR representative,
Cornell will allow an individual to begin employment, unless working with children
under 18 years old, contingent upon the successful completion of these processes,
with satisfactory results, within 30 days of their start date.
Confidentiality
All search-related materials are considered confidential and are to be shared only
with those with a business need to know.
Reference Checks
A reference check is required for any applicant (internal or external) to whom an offer
of benefits-eligible employment is to be made. The hiring authority or a designee
must contact at least two of the applicant’s references (one of whom should be the
most recent supervisor, if possible) before making an offer to any applicant. For an
internal applicant, the current supervisor must be one of the references contacted.
Hiring authorities must contact the unit HR representatives for guidance if they
cannot meet these requirements.
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
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Applicants to whom the university intends to extend an offer of employment for a
position listed in the Appendix are subject to the same reference check requirements.
Note: Applicants must complete a Cornell employment application, which includes
a certification that all information provided (written or verbal) is truthful, complete,
and accurate, and authorizes the university to investigate pertinent information about
the applicant before information verification efforts (including reference checking)
may begin.
Information
Verification
Education and employment verification is required when filling benefits-eligible
positions. Hiring authorities and/or unit human resources (HR) representatives must
complete all information verification efforts before the first day of work except in
limited circumstances (see note below).
Applicants for positions listed in the Appendix are subject to the same information
verification requirements.
Note: In a limited number of cases and with the prior approval of the unit HR
representative, Cornell will allow an individual to begin employment contingent
upon the successful completion of the information verification, with satisfactory
results, within 30 days of the start date.
Background
Checks
A background check is required for individuals to whom a contingent offer of
employment 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 of
appointment (covers all individuals regardless of current university
employment/affiliation status)
Hiring authorities and/or unit human resources (HR) representatives must ensure all
background check efforts are completed, with satisfactory results, before the first day
of work except in limited circumstances (see note below).
Applicants to whom the university has extended a contingent offer of employment
for a position listed in the Appendix are subject to the same background check
requirements.
Note: In a limited number of cases, and with the prior approval of the unit HR
representative, Cornell will allow an individual to begin employment contingent
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
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upon the successful completion of background check processes, with satisfactory
results, within 30 days of their start date.
Initiating the
Information
Verification and/or
Background Check
Process (Third-
Party Vendor)
The unit HR representative is responsible for submitting all orders for information
verification and background check services to the university’s authorized third-party
vendor, and for receiving and reviewing all reports. For additional information,
please review the “Reference Checking, Information Verification and Background
Check Chart,” below.
Funding the Cost
of Information
Verification and
Background Check
Efforts
The university has reserved funds for and will cover the cost and associated fees of
information verification and background check efforts, as required by this policy. The
requesting unit is responsible for covering the cost and associated fees of information
verification and background check efforts for all other positions, and for any checks
beyond those required by policy.
Frequency of
Background
Checks
If the unit HR representative has access to the satisfactory results of a background
check that Cornell has completed on an applicant within 6 months before the intended
date of hire, then the hiring unit may elect not to conduct another background check
prior to the hire.
Retaining Records
Refer to the Guidelines to Support Filling Vacancies (PDF) and Retaining Records in
the procedures of University Policy 6.6.1, Filling Vacancies (Excluding Academic and
Bargaining Unit Staff) for university policy language on retaining records related to
search activities.
Matrix: Reference
Checks,
Information
Verification and
Background
Checks
The following chart identifies the required checks and verification efforts by position
type and responsible party. The university reserves the right to utilize additional
checks and verifications, as it deems appropriate, such as when there is a job-specific
requirement. In such a circumstance, the university will apply this additional
requirement to all positions with similar responsibility in the unit. See the footnotes
below the chart for additional information regarding responsible party clarification
and job related checks.
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
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Matrix: Reference Checks, Information Verification and Background Checks
1
Additional applicants/positions may be subject to reference check, education and employment verification and
a background check at the discretion of the Dean/VP or their designee.
2
The “Responsible Party” may vary by unit. Contact your unit HR representative to determine who is
responsible for these checks within your unit.
3
Domestic education verifications may be conducted by the unit HR representative through the university’s
membership with the National Student Clearinghouse. If no information is available from the clearinghouse,
additional verification steps are required. All international education verifications will be conducted through
the university’s authorized third-party vendor.
Position Type Responsible Party
Type of Check
All benefits-
eligible
positions.
1
All regular non-
academic benefits-
eligible positions,
benefits-eligible
temporary positions
and all appointments
to positions listed in
the Appendix.
1
Hiring
Authority
Unit Human
Resources
Third-Party
Vendor
Reference Check
2
X X X
Education Verification (highest
degree completed)
2
,
3
X X X
Employment Verification
2
X X X
Cornell Employment History Review X X X
SSN & Identity Check X X
Sex Offender Database Search X X
Complete County and Federal 7 yr.
Criminal Records Check for Felony
and Misdemeanor Convictions
X X
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
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Offering
Employment
For university policy language on offering employment, refer to Offering
Employment in the procedures of University Policy 6.6.1, Filling Vacancies
(Excluding Bargaining Unit Staff).
4
The hiring authority and/or unit HR representative should contact EHS to request Department of
Transportation Drug and Alcohol Testing.
5
The unit HR representative, with the approval of the unit head, may initiate through the university’s
authorized 3
rd
party vendor, credit checks for positions above and including band G within the
finance/budget/planning job families. Credit checks for all other positions require additional approval in
advance from the Associate VP of HR, who will consult with the vice president and chief human resources
officer and the executive vice president and chief financial officer, or their designees.
6
Note: NYC-based positions -All requests to conduct a credit check on an applicant for any NYC-based position
must be submitted to the associate vice president for human resources to assure compliance with NYC law.
Additional Job-Related Checks
Hiring
Authority
Unit Human
Resources
Third-Party
Vendor
Department of Motor Vehicles If job related If job related X
Professional License and
Certifications
If job related If job related X
Department of Transportation Drug
and Alcohol Testing
4
(for positions
requiring a CDL)
If job related If job related X
Credit Check
5
6
(additional approval
required; see footnotes for details)
If job related If job related X
Federal Debar List (US
Government’s “System for Award
Management”) https://www.epls.gov/
If job related If job related X X
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
P
ROCEDURES
–
I
THACA
-
BASED
L
OCATIONS AND
C
ORNELL
TECH, continued
15
University Policy Office
www.policy.cornell.edu
Offering
Conditional
Employment –
Medical
Examinations and
Immunizations
For university policy language on requiring medical examinations and
immunizations as a condition of employment, refer to Offering Conditional
Employment – Medical Examinations and Immunizations in the procedures of
University Policy 6.6.1, Filling Vacancies (Excluding Bargaining Unit Staff).
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
16
University Policy Office
www.policy.cornell.edu
A
PPENDIX
:
D
ESIGNATED
P
OSITIONS (INCLUDING ALL
ACADEMICS
, NON-BENEFITS ELIGIBLE TEMPORARY OR CASUAL
HIRES AND INTERNAL TRANSFERS
, AS WELL AS STUDENT AND
VOLUNTEER APPOINTMENTS AS INDICATED
)
7
Appointment Type
Students/
Volunteers
All
Other
Positions which require living in a student residential hall or other buildings where students reside (Student
position without master key access are excluded)
X X
Positions which include outreach work with children (newborn through grade 12) X X
Positions which require working with children (newborn through grade 12) and present the possibility of
care, supervision, guidance, or control of children, including, but not limited to providing service as a child
care provider or through a camp (as defined by New York State), summer college, internship or other
similar situations.
X X
Positions which include the handling of select agents within the university’s Select Agent Program. Select
agents are defined by the Federal Select Agent Program.
8
Cornell’s diagnostic laboratories (plant
diagnostics in SIPS/CALS and animal diagnostics in AHDC/CVM) are specifically exempt from the
requirement to perform background checks under the Select Agent Program.
X X
President and other officers of the corporation, academic deans, vice presidents, and vice provosts X
Positions with transactional authority as defined in University Policy 4.2, Transaction Authority and Payment
Approval, and any position that has been delegated such transactional authority
X
Positions within the Cornell University Police Department X
Positions in the Health job family X
Positions with access to human medical records X X
Positions in the Information Technology job family X
Positions with responsibility for handling cash, checks or credit cards (excluding academics) X
Positions in Athletics and Physical Education which include travel with students or providing one on one
instruction to students
X X
Positions which allow administrative access to systems and databases containing sensitive data (university,
unit, department, project). Examples of such access include installing programs, activating or deactivating
databases, creating, changing, or removing user accounts.
X
Positions which provide pass key access (grand master access, access to residence rooms and hotel
rooms, housekeeping and custodial staff, service and maintenance staff)
X
7
Hires who are under 18 are exempted from these requirements unless in a position requiring handling of select
agents or one covered by the NYS Children’s Camp Regulations.
8
Criminal records checks for applicants for positions working with select agents (see
https://www.selectagents.gov/) are conducted by the U.S. Department of Justice. Hiring authorities and/or unit
HR representatives must contact the university’s Responsible Official at EHS in order to initiate the criminal
information verification request to the Department of Justice.
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
D
ESIGNATED
P
OSITIONS
,
(INCLUDING ALL ACADEMICS, NON-
BENEFITS ELIGIBLE TEMPORARY OR CASUAL HIRES AND INTERNAL
TRANSFERS
, AS WELL AS STUDENT AND VOLUNTEER APPOINTMENTS AS
INDICATED
) – ITHACA-BASED LOCATIONS AND CORNELL TECH,
continued
17
University Policy Office
www.policy.cornell.edu
Appointment Type
Students/
Volunteers
All
Other
Positions which require a commercial driver’s license (CDL) covered under the Omnibus Transportation Act X
Positions with access to priceless/rare collections of material (i.e., some librarian/museum positions) or
highly sensitive information
X
Positions which involve the husbandry of vertebrate animals X
Positions which have key/card access to animal facilities and/or rooms where animals are housed or animal
research is conducted
X
If a conviction is disclosed on the Post Offer Conviction Disclosure form. X
Cornell Policy Library
Volume: 6. Human Resources
Responsible Executive: Vice
President and Chief Human
Resources Officer
Responsible Office: Workforce
Recruitment and Retention
Originally Issued: October 1,
2013
Last Full Review: July 1, 2019
Last Updated: June 29, 2020
POLICY 6.6.2
Reference Checks, Information Verification, and Background Checks
18
University Policy Office
www.policy.cornell.edu
I
NDEX
Associate vice president for human resources4, 7, 8,
9, 14
Background check ............... 1, 2, 4, 7, 8, 10, 11, 12, 13
Band G ................................................................ 7, 9, 14
Benefits-eligible ......................................... 1, 10, 11, 13
Confidentialit............................................................. 10
Contacts ........................................................................ 4
Contents ....................................................................... 2
Credit check ................................................... 7, 8, 9, 14
Definitions ................................................................... 5
Department of Transportation (DOT) ................ 8, 14
Diversity and affirmative action representative
(DAAR) ................................................................ 5, 7
Drug and alcohol testing ................................... 7, 8, 9
Environmental Health and Safety and Risk
Management (EHS) ................................ 7, 9, 14, 16
Executive vice president and chief financial officer
......................................................................... 7, 9, 14
External applicant ........................................... 1, 10, 11
External documentation ............................................. 3
Fair Credit Reporting Act ...................................... 3, 8
Federal Select Agent Program ......................... 5, 8, 16
Frequency .................................................................. 12
Funding ...................................................................... 12
Hiring authority ................ 5, 7, 8, 9, 10, 11, 13, 14, 16
HR representative ........ 5, 7, 8, 9, 10, 11, 12, 13, 14, 16
Immunization ............................................................ 15
Information verification 1, 2, 5, 7, 8, 10, 11, 12, 13, 16
Internal applicant ........................................... 1, 10, 16
Job family ............................................................... 7, 16
Laws and regulations ................................... 3, 7, 9, 14
Medical examination ................................................ 15
New York City positions ................................. 3, 9, 14
Office of Risk Management ................................... 4, 8
Office of Workforce Policy and Labor Relations .... 8
Overview ................................................................... 10
Radioactive .................................................................. 7
Record retention ......................................... 2, 3, 12, 13
Reference check........................... 1, 2, 8, 10, 11, 12, 13
Related resources ........................................................ 3
Responsibilities ........................................................... 7
Risk assessment .......................................................... 7
Select agent ............................................................ 7, 16
Supervisor...................................................... 5, 8, 9, 10
Third-party vendor .......................................... 5, 8, 12
Vice president and chief human resources officer 1,
7, 9, 14
Volunteer ..................................................................... 1
Weill Cornell Medicine (WCM) ............................ 1, 4
Workforce Recruitment and Retention ............ 1, 4, 9
