According to University policy, requests for access to certain areas/locations, individuals, and items, materials, and information require that a background check and/or training be done prior to granting that access. A detailed list of those situations in which a background check and/or training is required can be found in UVM’s policy, Background and Reference Checks. UVM has a responsibility to ensure that individuals with certain types of access are cleared to receive this access. Most often, access is assigned when someone is initially hired or if they voluntarily transfer into a new position, including when they are promoted. For new hires and voluntary open recruitments, it is the responsibility of the individual’s manager or supervisor to ensure that required background checks and training have been completed prior to requesting keys and/or CATCard access, even if that request will have additional levels of approval. If an existing employee’s job duties are involuntarily changed and this change precipitates the need for additional access, it is the responsibility of the individual’s manager or supervisor to contact Labor and Employee relations to discuss this.

In order to help managers and supervisors comply with UVM Policy and with these requirements, we have updated the Request for Keys/CATCard Access/Card De-Activation Form. The next time you request a key or CATCard access, you will see questions related to training and background checks. Responses to these questions will be required before the Lock Shop or CATCard will issue keys/access. Not responding or providing false information will delay the process and it puts UVM faculty, staff, and students at risk.

How do I know if a background check is needed before I request keys or CATCard access?

Review the Background and Reference Checks Policy. There is a list that provides clarity regarding who would need a background check. If none of the bullets apply, you can answer “N/A”. Otherwise, even if it’s just one, a background check will be required.

Does everyone need a background check before getting a key or CATCard access?

No. Background checks are required for anyone needing a grand master (GM), great grand master (GGM) key, or all-campus CATCard access, and for anyone in a position that is listed in the Background and Reference Checks Policy.

Does everyone need training before being issued a key or CATCard access?

No. However, if the space for which access is being requested includes any of those listed here, training is required.

How do I know if a background check has already been completed?

In many cases, the hiring unit would know if a background check has been completed. However, if you are unsure, contact Human Resource Services at hrinfo@uvm.edu. They will not be able to disclose specific results but they can tell you if the employee has successfully completed a background check.

How do I know if the employee has completed the required training?

It depends on the training that is required. In many cases, the employee will have the ability to print or download a certificate showing that they have completed the training. Additionally, it is the supervisor who knows the hazards and assigns the training so they (supervisors) should have access to training status. You can also reach out to the unit that delivers the training to determine whether it has been completed. The more common training requirements needed for various access include:

• Protection of Minors Training: protectingminors@uvm.edu
• Harassment & Discrimination Prevention Training: AAEO@uvm.edu
• Hazardous materials, equipment, or environments: see safety training transcripts at www.uvm.edu/riskmanagement/train-and-inform-lab-personnel or email safety@uvm.edu

How long in advance should I request a background check?

Depending on how many states/countries the person has lived in and the availability of records at their various addresses, a background check can take anywhere from 1 to 6 weeks. Rarely it takes longer than 6 weeks but it could happen. Most results are back within 4 weeks. Keep this in mind when requesting keys/electronic access.

How do I request a background check?

Go to the Human Resources page that provides background check forms and information. Everything you need to request a background check can be found there.

What happens if someone needs access (key or electronic) and they have not received a background check or have not completed the requisite training?

If they are in a position that requires either training or a background check, the request will be denied until they have completed the training and have cleared the background check.

Someone in my unit left UVM and I kept their keys to pass along to their replacement. Can I just give them the keys instead of going through the Lock Shop?

No. This is a violation of UVM’s policy and puts the University, our employees, our students, and everyone in our community at risk. Extra keys should never be retained by the department – they must always be returned to the Lock Shop when someone leaves their position. Providing key access is only allowed when it follows the process outlined in UVM’s Key and Electronic Access Systems Policy.



Please visit the UVM Policies website for a list of all institutional policies and operating procedures. If you have any questions about this ComplianceAlert, contact the Office of Compliance and Privacy Services at compliance@uvm.edu.