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Using the Person Assignment Checklist to record Criminal Background Check, Position of Trust, and Misconduct Reference Checks in HRS

Overview

UW System Policy requires that applicants have a Criminal Background Check and Misconduct Reference Check completed prior to hire. UW System Policy specifically states: “a criminal background check shall be performed on each new hire for a UW System position.” The term “Position of Trust” is defined as a paid or volunteer position with one or more of the following responsibilities: 1) Access to vulnerable populations, 2) Property access, 3) Financial duty, 4) Executive position. In addition, employees with access to vulnerable populations are subject to additional criminal background checks (2 or 4 years). This document lists the steps for institutions to enter the position of trust type along with Criminal Background Check and Misconduct Reference Check completion dates. It also contains the process to run a query to identify those employees who have been identified in a Position of Trust and when the last background check was done.

Process Considerations:

  • If an applicant is hired through Manage Hires (Institutions using TAM) or JEMS (UW Madison) the Person Assignment Checklist will be automatically created and Position of Trust type (POT), Criminal Background Check date (CBC) and Misconduct Reference Check date (MRC) will be updated.
    • The automatic process runs on a scheduled basis and could take up to 25 mintues to create the Person Assignment Checklist. 
  • PFile check must be completed prior to hire from other UW Universities.
  • PFile must be collected from all state agencies at time of hire.
  • The following security roles allows access to the Person Assignment Checklist - HR Administrator (update); HR Manage Hires for Recruiting (update); HR Employee Checklist (update); HR View Only (view); HR Job Data View Only (view); HR Student Help View Only (view).
  • The Checklist items labeled SHRC show historical information gathered as part of the prior Sexual Harassment Reference Check process which was updated in November 2024 to Misconduct Reference Check.

Definition of Position of Trust

The term “Position of Trust” is defined as a paid or volunteer position with one or more of the following responsibilities:
1) Access to vulnerable populations*
2) Property access
3) Financial duty
4) Executive position

*Employees with access to vulnerable populations are subject to additional criminal background checks (2 or 4 years). 

Different Types of Position of Trust

Position of Trust = No
•This means you don’t have any of the four responsibilities.
Position of Trust = Yes
•This means you have one or more responsibilities; Property access, Financial duty and/or Executive position. You do not have access to vulnerable populations.
Position of Trust = 2 Year Renew
•This means you do have access to vulnerable populations. You need the criminal background check done again every 2 years. Madison only.
Position of Trust = 4 Year Renew
•This means you have access to vulnerable populations. You need the criminal background check done again every 4 years

Different Types of Checklists (Applicant, Person, Person Assignment)

There are three different types of Checklists. Use this table to determine what kinds of checklist items can be added to which type of Checklist:

Checklist
Code		 Checklist Code
Descr		 Checklist
Item
Code		 Checklist Item Description Applicant
Checklist		 Person
Checklist		 Person
Assignment
Checklist
UWPREC Pre-Onboarding UWCBC Criminal Background Check X
UWPREC Pre-Onboarding UWMRC Misconduct Ref Check X
UWPREC Pre-Onboarding UWPOTN
UWPOTY
UWPOT2
UWPOT4		 Position of Trust = No
Position of Trust = Yes
Position of Trust = 2 Year Renew
Position of Trust = 4 Year Renew		 X
URPREC Pre-Onboarding UWPFLE PFile Review X
UWDATE Dates UWCBC Criminal Background Check X
UWDATE Dates UWMRC Misconduct Ref Check X
UWDATE Dates UWPOTN
UWPOTY
UWPOT2
UWPOT4		 Position of Trust = No
Position of Trust = Yes
Position of Trust = 2 Year Renew
Position of Trust = 4 Year Renew		 X
UWDATE Dates UWPFLE PFile Review X
UWPOI POI Dates UWxBCN POI CBC - POT No Recheck X
UWPOI POI Dates UWxBC2 POI CBC - POT 2 Yr Rechk X
UWPOI POI Dates UWxBC4 POI CBC - POT 4 Yr Rechk X
UWSNDT Seniority Dates UWxCSD Campus Seniority Date X
You may click on the links below to navigate directly to a section:

Create the Person Assignment Checklist

If using the Manage Hires process for a hire, transfer or rehire.  Please wait up to 25 minutes for the automatic process to create the Person Assignment Checklist.  After it is created, updates can made.  See 'Update Records on the Person Assignment Checklist' section below.

  1. Navigation:  Workforce Administration > Personal Information > Organizational Relationships > Person Assignment Checklist.
  2. Open the record for the correct employee ID and empl record.
    NOTE: CBC, MRC and POT can vary by an employee's position, it is important to record the information on the correct record.
  3. Enter UWDATE in the Checklist field.
  4. Four Position of Trust types will appear, click the minus sign at the end of the row to remove the incorrect types.
    NOTE: Three rows should be removed with only the appropriate one remaining.
  5. Update the Misconduct Reference Ck, Criminal Background Check, PFile Review and Position of Trust rows to a Status of Completed.
    WARNING: If the check has not been completed, either leave the row as Initiated or change to In Progress. When the check has been completed, follow the steps below to update the Person Assignment Checklist.
  6. Enter the date of completion on the Misconduct Reference Ck, Criminal Background Check, PFile Review and Position of Trust rows in the Status Date field.
    WARNING: Date must be updated after the Status is entered or the date will default back to when Status is changed.
  7. Click Save.

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Update Records on the Person Assignment Checklist

NOTE: A new row must be added each time the Person Assignment Checklist has an update, including updating a status, rehire or transfer, or Position of Trust type change.
  1. Navigation:  Workforce Administration > Personal Information > Organizational Relationships > Person Assignment Checklist.
  2. Open the record for the correct employee ID and empl record.
    NOTES:
    1. CBC, MRC and POT can vary by an employee's position, it is important to record the information on the correct record.
    2. A checklist that is created by the automatic creation process is not editable. This is to preserve the record that is pulled in from the Applicant Checklist in TAM, or from the JEMS process. 
  3. Click the plus sign to add a new Employee Checklist row.
  4. Review the Checklist Date and update if needed.
    NOTE: The current row and prior row can not have the same date.
  5. Enter UWDATE in the Checklist field.
    NOTE: All data from the previous checklist row will pull forward.
  6. Make updates to item Status and Dates or insert new checklist items. If there are checklist items that are no longer valid, these can be deleted by clicking on the minus sign to the right of the row.
  7. To change the Position of Trust type:
    • Click the plus sign at the end of the current row.
    • Click the magnifying glass in the Checklist Item Code.
    • Select the correct POT type (you can search using UWPOT).
    • Change the Status to Completed and update the Status Date if needed.
    • Remove the incorrect POT Type - Click the minus sign on the incorrect POT type row to delete it.
  8. Click Save.

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Running the Queries in HRS

There are four queries associated that will provide information entered on the Person Assignment Checklist:

  • UW_HR_CHECKLIST_BY_DT (All Checklists if they exist)
  • UW_HR_CHECKLIST_BY_ID (Checklist by specific EmplID/Empl Record on both Person Checklist and Person Assignment Checklist)
  • UW_POI_CHECKLIST_BY_DT (All Checklists if they exist for Person of Interest)
  • UW_HR_CHECKLISTS_CUR (all checklists)
  1. HRS Navigation:  Reporting Tools > Query > Query Viewer.
  2. Search for the query using the names listed above.
  3. Click the HTML link to view the results on the page or Excel to export the data.
  4. Enter values in the search criteria fields, using the '%' wildcard if needed.
    WARNING: On the CBC, POT and MRC queries the date range are required fields.
  5. Click View Results button.
  6. Clicking on the Empl ID for an employee will open their Job Data page for that Empl Record Number.
  7. Clicking the Checklist Cd or CBC Type hyperlink will open the Person Assignment Checklist.

Keywords:
Position of Trust Criminal Background Check HR Human Resources policy JEMS manage hires POT CBC MRC checklist checklists, pfile, personnel file 
Doc ID:
29841
Owned by:
Jessica R. in UW–Shared Services
Created:
2013-04-24
Updated:
2024-11-25
Sites:
UW–Shared Services