Employment Reference Check, Background Check, Conduct Records Review, and Reference Request Policy

Summary of Policy

This sets forth Dartmouth's policy and procedures for reference and background checks prior to employment, conduct records reviews while employed, and reference requests by potential future employers for employees leaving Dartmouth.

Affected Parties

All Faculty, All Staff

Policy Statement

I. OVERALL POLICY STATEMENT

Dartmouth is committed to creating and maintaining a community where students, faculty, and staff can work together in an atmosphere of mutual respect, functioning in accord with Dartmouth policies, procedures, and standards, and free from harassment or discrimination. Dartmouth is also committed to taking meaningful actions to protect its community, finances, property, and other assets. This policy sets forth Dartmouth's procedures for conducting pre-employment reference and background checks, post-employment conduct records reviews, and responding to reference requests by potential future employers.

II. STATEMENT REGARDING DISCRIMINATION

Information discovered as a result of procedures defined herein will be used solely for the purpose of decision making related to the specific procedure and will not be used to discriminate on the basis of race, color, religion/creed, sex/gender, age, sexual orientation, gender identity/expression, national origin, genetic information, marital/familial status, disability, military, veteran status, or any other protected status. Dartmouth's Nondiscrimination Policy affirms Dartmouth's commitment to creating and maintaining a living, learning, and working environment free from discrimination, harassment and retaliation based on a person's membership in a protected class, and to ensure compliance with applicable federal and state laws that prohibit such conduct.

III. DEFINITIONS

  1. Adverse action: A denial of employment or any other decision made for employment purposes that adversely affects any current or prospective employee.
  2. Background Check: Checking or verifying any or all parts of the finalist's employment, educational, criminal, sex and violent offender, conduct, licenses and certifications, and/or credit histories. The nature and scope of the background check will be determined by Dartmouth and will be appropriate to the position. The background checks in this policy may be conducted by Dartmouth or a background check vendor.
  3. Background check vendor: A company engaged by Dartmouth to conduct background checks. Whenever a background check vendor conducts all or any portion of a background check, Dartmouth will require the vendor to comply with state and federal law, including the requirements of the Fair Credit Reporting Act ("FCRA").
  4. Credit history check: A portion of the Background Check reviewing the credit history of the finalist, if required for the position.
  5. Conduct check (external): A portion of the Background Check reviewing any Findings or open investigations of harassment or discrimination from previous employment at an educational institution.
  6. Conduct Records Review (internal):  A process to review the internal Dartmouth records held in the Office of Human Resources, Office of Equal Employment, Accessibility, and Title IX (EOATIX), deans' offices, or other Dartmouth offices to determine if an employee has been found responsible for misconduct while employed at Dartmouth.
  7. Criminal records check: As part of the Background Check, a search for any felony or misdemeanor convictions or pleas that are acknowledgements of responsibility (e.g., plea of guilty, no contest or nolo contendere) and that have not been annulled or sealed during the seven (7) years immediately preceding the initiation of the check. Criminal convictions or pleas will not automatically exclude a finalist from consideration for employment unless they are related to the position offered and the decision not to hire is consistent with business necessity.
  8. Educational history check: A portion of the Background Check verifying that the finalist possesses the relevant educational credentials cited or listed in the finalist's application, resume, or curriculum vitae.
  9. Employee: For purposes of this policy, an employee is any non-student paid by Dartmouth.
  10. Employment history check: A portion of the Background Check verifying that the finalist worked in the positions cited or listed in the finalist's application, resume, or curriculum vitae. This verification will include dates of employment and titles for regular, non-student employment for at least the seven (7) years immediately preceding the initiation of the check. The employment history check is not a substitute for the hiring department or school checking employment references prior to extending an offer of employment.
  11. Finalist:
    1. For staff (non-academic): the candidate selected by the hiring department for a regular or temporary staff position at Dartmouth who has been extended an offer of employment contingent upon completion of a background check with results acceptable to Dartmouth.
    2. For faculty, researchers, and fellows (academic): the candidate selected by each school, whether a new hire or a rehire, if the position is a paid Dartmouth College position.  Faculty, researchers, and fellows are further defined according to the relevant faculty handbooks.
  12. Finding: A conclusion to an investigation where there is sufficient information, by a preponderance of the evidence, to support responsibility for a violation of Dartmouth policies, or state or federal law.
  13. License history check: A portion of the Background Check verifying, if required for the position, that the finalist possesses the licenses cited or listed in the finalist's application, curriculum vitae, resume, or cover letter, including establishing the current status of the relevant licenses. This includes, for example, checking any motor vehicle driver's license or any professional license required for the position.  
  14. Misconduct: For purposes of this policy, misconduct means violations of laws, regulations, Dartmouth policies, or ethical or professional standards.
  15. Promotion: For purposes of this policy, promotion for faculty/academic positions is defined as a new rank (assistant to associate, associate to full, full to chaired professor) or the awarding of emerit status. Promotion for staff/non-academic positions is defined as an increase in salary with a change in title. 
  16. Reference Check: An evaluation of a finalist's past job performance based on information collected from key individuals (e.g., supervisors, peers, subordinates) who have known and worked with the finalist. The nature and scope of reference checks will be determined by Dartmouth and will be appropriate to the position. The reference checks in this policy will be conducted by Dartmouth using survey technology when possible.  
  17. Sex and violent offender check: As part of the Background Check, a search of state and federal sex and violent offender registries.
  18. Transfer: For purposes of this policy, a transfer for staff/non-academic positions is defined as change in department with no change or a decrease in salary.

IV. REFERENCE CHECK POLICY AND PROCEDURES

Policy Statement:  Hiring departments are responsible for ensuring that a candidate has the appropriate skills and competencies required for the position by verifying the candidate's skills and performance through the interview and hiring process, and by checking employment references with those most familiar with a candidate's work, including current and previous supervisors. Reference checks are conducted to determine whether a candidate's experiences fulfill the position requirements, to obtain specific job-related information, and to verify the accuracy of information about a candidate's background. To support honest, candid, and constructive feedback, the reference check results will not be shared with the candidate. Reference checking should not begin until a candidate has been interviewed and identified as the final candidate for the position.

Reference checks must be completed for all final candidates under consideration for regular, non-temporary, full-time and part-time, academic and non-academic positions.

Procedure for Staff/Non-Academic Positions  

Dartmouth's staff reference checks are first conducted using survey technology designed to reduce bias and provide data-driven insights. A minimum of five professional references should be included, two of whom must be former supervisors. Hiring managers are also expected to supplement the initial survey reference check results for the finalist with additional inquiries of current and previous supervisors. All staff reference checks must be completed prior to issuing an offer of employment and initiating a Background Check. If requested by a final candidate, the reference check with the candidate's current supervisor may be deferred until after a conditional offer of employment has been extended.

If a final candidate is a current or previous Dartmouth employee, the hiring manager must speak with the candidate's current or most-recent Dartmouth supervisor prior to making an offer of employment. If the candidate's current or most-recent Dartmouth supervisor is unavailable, the hiring manager should contact their HR Talent Acquisition Consultant for assistance in determining the appropriate alternate contact.

Additional procedure for all positions, including Academic Positions

Dartmouth requires all final candidates to answer the following questions prior to an offer of employment:

  1. In any previous employment, have you ever been found to have engaged in any harassment or discrimination?
  2. Are you currently under investigation for, or have you ever left employment during an active investigation in which you were accused of, harassment or discrimination?

Each school is responsible for creating a process to ensure these questions are asked of all final candidates before hire. These reference checks need not involve any process for criminal background checks, which are conducted under V. Background Check Policy and Procedures, noted below.

V. BACKGROUND CHECK POLICY AND PROCEDURES

Consent to Conduct Background Checks and Confidentiality

Finalists for all paid non-student positions will be informed during the pre-employment process that any offer of employment is contingent upon consent to and completion of a background check with results acceptable under this policy (see below). Prior to conducting the background check, a signed, written consent will be obtained from the finalist. Refusal to authorize the background checks will make the finalist ineligible for employment. 

The information obtained through background checks is confidential and will be shared only with individuals with an essential business need to know. Records of the background checks will be maintained in the Office of Human Resources separately from employee personnel files.

Employment in the position should not begin until Dartmouth has received and reviewed the results of the background checks. Exceptions may be made at the hiring department's request with the approval of the Office of Human Resources or at the request of a particular school with the approval of the Provost, in consultation with the Office of Human Resources.

Policy Statement of Required Background Checks

Finalists for all staff (non-academic) positions at Dartmouth are subject to standard background checks of employment, educational, criminal, and sex and violent offender records, as well as external conduct checks (see definition section) from previous employment at an educational institution, if applicable. Finalists for all faculty, research, and fellow (academic) positions at Dartmouth are subject to background checks of criminal and sex and violent offender records, as well as external conduct checks (see definition section) from previous employment (or enrollment) at an educational institution, if applicable. Employment and educational qualifications for faculty and research positions will be verified through the faculty hiring process. Criteria for identifying a position as possibly requiring license, credit, or other additional background checks include but are not limited to:

  1. Direct responsibility for the care, safety, and/or security of individuals;
  2. Direct responsibility for handling or managing money or credit information;
  3. Responsibility for operating vehicles or machinery that could cause accidental injury or death; or
  4. A requirement for a certificate, professional license, or accreditation. 

Procedures for Conducting Background Checks

Background checks may not be conducted prior to the offer of employment and receipt of consent to perform such checks from a finalist or employee. Background checks, other than external conduct checks, for all staff positions are handled by the Office of Human Resources. These background checks for staff positions are initiated through the staff applicant tracking system (DORR) or notification to Human Resources from a hiring manager. Human Resources, through the use of a third-party vendor, will collect the required consent from the finalist to conduct background checks. 

Background checks, other than external conduct checks, for all faculty, research, and fellow (academic) positions are handled by the respective dean's office. These background checks for academic positions are initiated through the school specific hiring process. The respective dean's office, through the use of a third-party vendor, will collect the required consent from the finalist to conduct background checks.

Conduct checks (external) for any Findings or open investigations of harassment or discrimination from previous employment at an educational institution for all positions will be handled through the Office of Human Resources. Human Resources will initiate an external conduct check based on the initiation of the background checks in the third-party vendor and the consent to conduct such a check from all finalists.

Background Checks for Current Employees

Background checks will not be required for current Dartmouth faculty members. Background checks will be required for current Dartmouth staff members for Transfers or Promotions if a background check or checks required for the position were not completed within the five (5) years preceding the Transfer or Promotion. 

Background Checks for Former Employees

Background checks will not be required for former Dartmouth employees who are offered a regular or temporary position within one year of ending their most recent Dartmouth employment, so long as the background check or checks required for the position were completed within the five (5) years preceding the rehire.

Current Employees and Duty to Report Criminal Convictions/Pleas

All employees, including faculty, staff, researchers, and fellows, have an ongoing responsibility during their employment to make Dartmouth aware of any felony or misdemeanor convictions or pleas that are acknowledgements of responsibility. Any convictions or pleas should be reported promptly to Human Resources. Failure to report felony or misdemeanor convictions or pleas that are acknowledgements of responsibility will result in corrective action up to and including termination of employment.

Evaluation of Background Check Results

Once background checks are completed, results will be sent directly to Dartmouth's Chief Human Resources Officer or their designee (CHRO). The CHRO will then consult with the relevant Dartmouth leaders before they make a final  decision based upon the information gathered.  For staff, the CHRO will consult with the head of the hiring department, then the CHRO makes the final decision. For faculty, researchers, and fellows, the CHRO will consult with the Provost and the relevant faculty dean(s); the faculty member's, researcher's, or fellow's dean makes the final decision. 

If negative information is obtained through the background check process, the appropriate parties, as identified in the preceding paragraph, will determine whether the information is job-related and if a decision not to move forward would be consistent with policy. In making this determination, the appropriate parties will consider, among all other relevant information, the following:

  1. For all criminal convictions or pleas, the nature and seriousness of the offense(s), the number and type of offense(s), the amount of time that has elapsed since the offense(s), whether such offense(s) are related to the responsibilities of the position, and the accuracy and completeness of the information provided by the finalist or employee during the process.
  2. For all other negative information, the nature and seriousness of the activities described in that negative information, the amount of time that has elapsed since the activities, whether the information is related to the responsibilities of the position, and the accuracy and completeness of the finalist's or employee's communications with Dartmouth during the process. 

Adverse Action Taken Due to Background Check Results

If adverse action is probable based in whole or in part on the results of a background check covered by the Fair Credit Reporting Act (FCRA), the finalist or employee will receive a copy of the background check report, a Pre-Adverse Action Notice, and a document summarizing the finalist's/employee's rights under the FCRA. Individuals will be permitted to provide responsive information regarding their criminal history, including evidence that they did not commit the offense (e.g., in the case of a misidentification), evidence of rehabilitation or character, the length of time since the last criminal conviction, other factors relevant to the adverse information, and other extenuating circumstances, including but not limited to disparate legal and enforcement practices. The finalist will be given five (5) business days to provide this information so as not to delay the process. Extensions may be provided to the finalist at the sole discretion of Dartmouth. 

If adverse action is taken against the finalist or employee in whole or in part based upon the results of a background check, the finalist will receive an Adverse Action Notice indicating that the offer is rescinded. The finalist or employee will also receive a document summarizing the finalist's rights under the FCRA. 

Exceptions to the Background Check Policy

Exceptions to this policy may be made at the discretion of Dartmouth through the Chief Human Resources Officer or the CHRO's designee. Categories of employees that are routinely excluded from this policy include temporary employees not directly paid by Dartmouth, student employees, unpaid interns, unpaid visitors, and volunteers, unless a background check is otherwise required by state or federal law, an accrediting body, or Dartmouth policy, or is otherwise necessary due to the nature of the role. 

VI. CONDUCT RECORDS REVIEW (INTERNAL) POLICY AND PROCEDURES

A Conduct Records Review (internal) is a process to review the internal Dartmouth records held in the Office of Human Resources, EOATIX, Provost's Office, deans' offices, or other Dartmouth offices to determine if an employee has been found responsible for misconduct while employed at Dartmouth and determine whether such Findings have bearing on a proposed rehire of a former employee or on a current employee's Transfer, Promotion, tenure, or appointment to endowed chair or emerit status.

Policy Statement 

All rehire actions and current employee actions for Transfer, Promotion, and tenure as well as the awarding of endowed chair or emerit status require the completion of Conduct Records Review.

Procedures for a Conduct Records Review

At the time of any disciplinary action against a staff or faculty member, the sanctioning body shall review all Dartmouth records – encompassing the staff or faculty member's file in Human Resources, files in EOATIX, Provost's Office, and any other dean's files (where applicable) – related to any finding of responsibility for a previous violation of Dartmouth policy or applicable law by the staff or faculty member. The sanctioning body shall determine whether the new discipline – whether based on a combination of previous and current conduct, or based solely on current conduct – should include ineligibility for future career recognition, whether for a defined period or on a permanent basis. If so, after the culmination of any appeals process prescribed by the relevant policy, the relevant department head or dean shall inform the staff or faculty member of the sanction, including any such eligibility for a defined period or on a permanent basis, and shall record that determination in the relevant staff or faculty member's file.

Staff Process: Conduct Records Reviews will be initiated by the department knowledgeable of the proposed action for rehire, Transfer, or Promotion for staff.  A request for a Conduct Records Review will be submitted to Human Resources. The CHRO, or their designee, will request or access the appropriate records held in the Office of Human Resources, EOATIX, Provost's Office, the respective deans' offices, or other Dartmouth offices. Upon completion, a notification will be sent to the initiating party with the results of the review and any appropriate next steps. 

Faculty Process: At the launch of a tenure and/or Promotion process -- typically but not exclusively, when the faculty member meets with the dean or associate dean to discuss the process and timeline ahead -- the dean checks the dean's file on the faculty member to determine whether tenure and/or Promotion has previously been disallowed; if so, the process ends. Otherwise, as a condition of moving ahead with the process, the dean informs the faculty member of the requirement to grant permission to conduct an internal review of Dartmouth records – noting that this internal review shall encompass the faculty member's file in Human Resources, files in EOATIX, Provost's Office, and any other dean's files (where applicable) – to determine if the faculty member has been found responsible for a violation of Dartmouth policy or applicable law.   Those two processes would be time-limited, e.g., completed within two weeks, in parallel with the faculty member's and dean's own preparations to kick off the process.  The kickoff of the process should not begin until Dartmouth has received and reviewed the results of the internal conduct check.  Exceptions may be made at the dean's request with the approval of the Provost, in consultation with the Office of General Counsel.

If these processes identify (1) an internal sanction including ineligibility for tenure or Promotion; or (2) internal or external findings of responsibility that individually or collectively raise a question whether the faculty member is eligible for tenure or Promotion under Dartmouth's standards, then:

  1. the dean and faculty member are informed;
  2. the process is paused;
  3. possible outcomes, as determined by the dean in consultation with the Provost:
    1. termination of the tenure/promotion process, subject to any challenges the faculty member may raise under the Agreement Concerning Academic Freedom, Tenure, and Responsibility of Faculty Members or procedures governing tenure/promotion decisions in the faculty member's school;
    2. postponement of the tenure/promotion process (with accompanying extension of the tenure/promotion process as necessary while review and any appeals occur under this Policy);
    3. continuation of the tenure/promotion process (e.g., if the new information is deemed inconsequential).

At the time a dean is considering award of endowed chair or emerit status, the faculty member is typically unaware.  Once the dean determines that such an award is warranted under their internal process, the dean checks the dean's file on the faculty member to determine whether award of endowed chair or emerit status has previously been disallowed; if so, the process ends. Otherwise, the dean advises the faculty member of eligibility for an award of endowed chair or emerit status.  If the faculty member wishes to pursue such an award, and as a condition of pursuing such an award, the dean informs the faculty member of the requirement to grant permission for an internal review of Dartmouth records – noting that this internal review shall encompass the faculty member's file in Human Resources, files in EOATIX, Provost's Office, and any other dean's files (where applicable) – to determine whether the faculty member has been found responsible for a violation of Dartmouth policy or applicable law.

Evaluation of Conduct Records Review Results

The Provost, in consultation with the faculty dean in the case of academic actions, and the CHRO or their designee, in consultation with the department head in the case of non-academic actions, will make a final decision based on the information gathered. The appropriate parties, as identified in the preceding sentence, will determine whether the information is related and if a decision not to support the proposed action would be consistent with policy. In making this determination, the appropriate parties will consider, among all other relevant information, the following:

The nature and seriousness of the Finding(s), the number and type of Finding(s), the amount of time that has elapsed since the Finding(s), whether such Finding(s) are related to the responsibilities of the position, and the proposed employment action.

Adverse Action Taken Due to Conduct Records Review (internal) Results

If adverse action -- meaning denial of proposed rehire of a former employee or of a current employee's Transfer, Promotion, tenure, or appointment to endowed chair or emerit status -- is probable based in whole or in part on the results of the conduct records review, the finalist will receive a copy of the preliminary outcome of the conduct records review. The former or current employee will be permitted to provide responsive information regarding their Dartmouth employment history, including evidence that they were not found responsible (e.g., in the case of a misidentification), evidence of rehabilitation or character, the length of time since the Finding, other factors relevant to the adverse information, and other extenuating circumstances, including but not limited to disparate enforcement practices. The former or current employee will be given five (5) business days to provide this information so as not to delay the process. Extensions may be provided at the sole discretion of Dartmouth. 

If adverse action is taken against the former or current employee in whole or in part based upon the results of a Conduct Records Review, the former or current employee will receive a notice of final outcome indicating that the action is not approved.

Exceptions to the Conduct Records Review (internal) Policy

Categories of employees that are excluded from the Conduct Records Review policy include temporary employees, both paid by Dartmouth and agency temps not directly paid by Dartmouth, student employees, unpaid interns, unpaid visitors, and volunteers.

Appeals (for faculty)

In the case of a denial of faculty tenure, promotion, endowed chair status, or emerit status as a result of the conduct records review (internal), the faculty member will receive a written decision with the rationale for the denial including notification of the right to submit a written appeal of statement challenging the denial. A concise written appeal challenge must be submitted to the Provost within three (3) business days following delivery of the written decision. All materials, including the internal conduct review results, any responsive information provided by the faculty member, and the written decision with rationale, will be provided to the Provost within five (5) business days of the receipt of the challenge. The Provost shall convene an appeals committee comprising the Provost, the faculty member's dean, and deans of two other Dartmouth schools (from the set of Arts & Sciences, Geisel, Guarini, Thayer, and Tuck). The Provost will review and provide a written final decision within ten (10) business days of the receipt of the appeal challenge materials. The decision of the Provost is final. 

VII. EMPLOYMENT REFERENCE REQUEST PROCEDURES

A Dartmouth employee contacted by a potential employer for a reference check regarding a current or former non-student employee must notify the potential employer that Human Resources is the appropriate contact for any questions regarding employee misconduct (including any harassment or discrimination policies), even if the potential employer does not specifically ask. Human Resources must disclose whether the employee has ever been found to have engaged in, is currently under investigation for, or left during an investigation in which they were accused of, sexual violence, sexual or non-sexual harassment, or discrimination.

To satisfy this requirement, a supervisor or designated individual responding to a reference check regarding a current or former employee must use the following instruction:

Dartmouth is committed to transparency in hiring, promotion, and referencing. Dartmouth's Office of Human Resources is available to answer any questions related to employee misconduct, including discrimination or sexual misconduct. That Office can be contacted by email at human.resources@dartmouth.edu. Referring your request to our Office of Human Resources should not be interpreted to imply that this candidate has committed any misconduct but is required by policy for all requests for information about employee misconduct.

When contacted by the potential employer, the appropriate Human Resources member will obtain the appropriate records held in the Office of Human Resources, EOATIX, the respective dean's office(s), or elsewhere, and disclose to the potential employer if the employee has ever been found to have engaged in, is currently under investigation for, or left during an investigation in which they were accused of, any sexual violence, sexual or non-sexual harassment, or discrimination.

VIII. AMENDMENT

This policy may be revoked or amended by Dartmouth, in whole or in part, from time to time, via the Provost, who is authorized to make revocations or amendments on behalf of Dartmouth, in consultation with the Chief Human Resources Officer and the General Counsel. Any such revocation or amendment shall become effective upon adoption by Provost, or as of such other time as the Provost shall specify and will be reflected in the current version of the policy posted within the Dartmouth College Policy Portal. Questions or disputes regarding the application, interpretation or implementation of this policy shall be resolved by the Provost; the decision of such office on the matter shall be binding on Dartmouth and all individuals subject to this policy.

APPROVED BY:

Chief Human Resources Officer
Executive Vice President
Provost

Policy ID

038-0019

Effective Date

September 1, 2024

Last Revised Date

August 26, 2024

Division

Office of the Provost

Office of Primary Responsibility

Office of the Provost

Office(s) of Secondary Responsibility


Last Reviewed Date

August 29, 2024

Next Review Date

2029