Criminal History Records Information Checks Procedure

Purpose:

This procedure outlines responsibilities and directives followed at Winona State University (WSU) when conducting, accessing, storing, retaining, using, and disposing of Criminal History Records Information (CHRI).

Policy:

A. Responsibilities:

The Federal Bureau of Investigation (FBI) requires Non-Criminal Justice Agencies (NCJA) to designate a Point of Contact (POC) and an Authorized Recipient Security Officer (ARSO) for CHRI. WSU has designated the Assistant Director of Human Resources (ADHR) as both the POC and ARSO. The Assistant Director of Human Resources meets the following standards:

• ADHR is a member of WSU’s authorized personnel group.

• ADHR has completed a fingerprint-based background check and found appropriate to have access to CHRI.

• ADHR is directly involved in evaluating an individual’s qualifications for employment or assignment

The POC is responsible for the following:

• Serving as the main point of contact and liaison between Winona State University and the MN Bureau of Criminal Apprehension (BCA) for training and auditing purposes.

• Maintaining knowledge of Winona State University retrieval, dissemination, storage, and destruction of CHRI.

• Ensuring that CHRI is only used for authorized purposes, that all safeguards are followed, and that CHRI is not being improperly disseminated.

• Maintaining a list of personnel who are authorized to access CHRI.

The ARSO is responsible for the following:

• Identifying who is using or accessing CHRI and/or systems with access to CHRI.

• Ensuring that personnel security screening procedures are being followed.

• Ensuring that approved and appropriate security measures are in place and working effectively.

When changes in the POC and ARSO occur, Winona State University completes and returns a new agreement and a NCJA Point of Contact Notification form. WSU maintains the most current copy of the agreements indefinitely.

B. Access To CHRI:

WSU complies with state and federal rules and regulations by not sharing CHRI with other entities for any purpose, including subsequent hiring determinations. WSU is subject to audit by the BCA and the FBI, and failure to comply with these rules and regulations could lead to sanctions or being charged with federal and state crimes for the willful, unauthorized disclosure of CHRI.

C. Storage of CHRI:

WSU only stores CHRI for extended periods of time when needed for the integrity and/or utility of an individual’s personnel file. WSU implements administrative, technical, and physical safeguards, in compliance with the most recent FBI security policy, to ensure the security and confidentiality of CHRI. All WSU employees involved in the handling of CHRI are familiar with these safeguards and adhere to the policy on the storage and destruction of CHRI.

D. Retention of CHRI:

Federal law prohibits the repurposing or dissemination of CHRI beyond its initial requested purpose. WSU securely retains CHRI in internal agency documents for the following purposes only:

• Historical reference and/or comparison with future CHRI requests.

• Dispute of the accuracy of the record.

• Evidence for any subsequent proceedings based on information contained in the CHRI.

When CHRI is retained, it is stored in hard copy form in separate background check files located in a locked filing cabinet within a locked filing room by the department that conducted the background check. WSU retains CHRI for a minimum of 3 years and/or in accordance with the State of Minnesota’s Data Retention Policy, whichever is greater. At the end of this term, WSU disposes of CHRI according to the Disposal of Physical Media policy.

E. CHRI Training:

All personnel authorized to receive and/or review CHRI at WSU receive required training which involves reviewing and becoming familiar with the educational and relevant training materials regarding CHRI laws and regulations made available by the appropriate agencies.  In addition to the above, all personnel authorized to receive and/or review CHRI undergo Security Awareness Training on an annual basis. This training utilizes the training materials made available by the BCA.

F. Adverse Decisions Based on CHRI:

Before making an adverse decision based on an individual’s CHRI, WSU takes the following steps:

• Provides the individual the opportunity to complete or challenge the accuracy of their CHRI.

• Provides the individual with information on the process for updating, changing, or correcting CHRI.

WSU does not make a final adverse decision based on an individual’s CHRI until the individual has been given a reasonable time to correct or complete the CHRI.

G. Media Protection:

WSU protects and secures all media containing CHRI. WSU ensures the appropriate security, handling, transporting, and storing of CHRI media in all its forms in the following ways:
Physical CHRI media (paper/hard copies) is stored

• within physically secured locations or controlled areas when not in use or under the supervision of an authorized individual. WSU restricts access to such media to authorized personnel only.

• within employee records when feasible or by itself when necessary.

• within a lockable filing cabinet, drawer, closet, office, safe, vault, or other secure container.

 Winona State University will destroy and dispose of all unneeded physical CHRI appropriately as follows.

• Physical CHRI media is cross-cut shredded.

• The WSU ARSO witnesses or conducts the destruction of physical CHRI.

• WSU destroys physical CHRI at the end of the academic year.

H. Incident and Disciplinary Response:

WSU follows state and federal laws regarding access to and dissemination of CHRI and has established appropriate operational incident handling procedures for instances of an information security breach. All WSU employees with access to CHRI adhere to established security guidelines and policies and are aware of situations and incidents which pose risks to security. All WSU employees immediately report potential or actual security incidents to minimize any breach of security or loss of information. WSU follows these security incident handling procedures.

• All incidents are reported directly to the WSU ARSO.

• Stolen records are also reported to appropriate authorities.

• The ARSO reports all security-related incidents to the BCA within 24 hours.

WSU employees with access to CHRI who fail to protect the system and related systems from physical and environmental damage or fail to correctly use, operate, care for, and maintain CHRI information are subject to discipline.  All existing laws and Winona State University regulations and policies apply, including those that may apply to personal conduct. Misuse or failure to secure any information resources may result in temporary or permanent restriction of all privileges up to and including employment termination.

I. Conducting CHRI Checks.

WSU conducts employee and student CHRI checks according to guidelines in the following documents established in response to Minnesota State Statutes:

• Minnesota State Guideline FSR002 for housing personnel

• Minnesota State Guideline FSR005 for childcare personnel

• Minnesota State Guideline FSR006 for security personnel

• Minnesota State Guideline FSR008 for personnel working with minors.

In addition, the WSU Human Resources Office maintains guidelines for situations not covered by the above guidelines, including checks for individuals who are conducting CHRI checks on other WSU students and employees. These guidelines are available on the WSU website.

Related Documents:

• Minnesota State Guideline FSR0002 (Kari Koskinen Background Checks)

• Minnesota State Guideline FSR0005 (Criminal Background Checks of Applicants to Work as Employees in a Licensed Childcare Facility Operated by the Institution)

• Minnesota State Guideline FSR0006 (Criminal Background Checks of Applicants to Work as Security Officers)

• Minnesota State Guideline FSR0008, Criminal Background Checks of Finalists for Positions that Work with Minors in Campus Sponsored Camps or Special Programs

Related definitions:

[5-17] Criminal History Records Information (CHRI):

Criminal history records information includes arrest information and corresponding disposition information submitted by federal, state, local, tribal, and certain foreign criminal justice agencies.

[5-17] Kari Koskinen Act:

Minnesota Statute 299C.66-299C.71, Kari Koskinen Act, requires background checks on all managers of apartment buildings and other dwellings. At WSU, this applies to all newly hired employees (including student workers) with access to residence hall rooms, such as Facilities Services and Housing employees.

[5-17] Minnesota Child Protection Act:

Minnesota State Statute 245C requires licensed childcare providers to conduct a criminal background check on all newly hired employees. This applies to all newly hired employees, including students, in the WSU Childcare Center.

[5-17] Security Officers:

Minnesota Statute 326.336 Subdivision 1A requires criminal background checks on all security officers. This applies to all newly hired employees, including students, working in WSU Security Services.

[5-17] Working with Minors:

Minnesota Statute 299C.60-299C.64 requires criminal background checks for person working with minors. At WSU this applies to all newly hired employees, including student workers and volunteers, working with anyone under 18 years of age not accompanied by a parent or chaperone, excluding PSEO students.

Related docs:

Criminal History Records Information Checks Policy

History:

Adoption date: 03/29/2024
Implementation date: 03/29/2024