Third Party Supplier Background Check

To help mitigate risk on campus, Emory has instituted a third-party supplier background check policy. A “third-party supplier” is defined as any vendor, contractor, or sub-contractor to the prime contractor, that is under contract to provide goods or services to Emory University.

All chief business officers and contract managers should be aware of the policy and understand when a background check is necessary. Please utilize the determination process and toolkit below to help navigate this process.

Determination Process

If you have a supplier that provides goods or services to Emory, it may be necessary for the vendor to conduct background checks on their employees and/or their contractors. If the vendor meets any of the following criteria, then a third-party background check is necessary. (See Emory policy 2.133 for full details).

  • Proximity / Service to the Emory Community: Supplier has access and/or regular interaction with staff, faculty, students.
  • Proximity / Visibility of Financial Information and/or Assets: Supplier has access to systems, financial information, money, critical infrastructure/assets, confidential or sensitive data relating to the University, its staff, student and/or faculty records. Or provides services in an area where funds, money, credit card machines, or bank/financial information is maintained.
  • Access to Confidential or Restricted Data: Supplier requires access to confidential or restricted Emory data, either electronically or in hard copy format. This includes access to IT systems or facilities that store, process, transmit or control access to confidential or restricted Emory data.
  • Access to University Facilities: Supplier requires access to secure facilities housing students, employees, faculty or critical infrastructure or assets.
  • Other Special Circumstances: Supplier has access to or utilizes high-risk assets or tools to carry-out their work with Emory.

If it is determined that a Third-Party Supplier Background Check is not needed. No further action is necessary.

If it is determined that a Third-Party Supplier Background Check is needed:

  • For new contracts, incorporate the third-party background check language provided by procurement into your contract terms.
  • For existing contracts, an amendment should be made now or at the upcoming renewal timeframe.

A Procurement and Support Services representative can help guide you through this process: emory.fsc@emory.edu

Implementation Process

When it is deteremined that a Third-Party Background Check is necessary for a...

Determination: Third-Party Supplier Background Check is Necessary for a:

New Contract

  • 1. Add background check language to the contract terms.
  • 2. Attach the Attestation form.

Current Contract up for Renewal Soon

  • 1. Add background check language to the renewal terms.
  • 2. Send supplier letter requesting a contract amendment,
  • 3. Attach the Attestation form at the time of renewal.

Current Contract Amendment Needed

  • 1. Send supplier letter requesting a contract amendment.
  • 2. Attach the Attestation form at the time of renewal.

View the Implemenataion process graphic (jpg)


toolkit

Utilize the (customizable) Third-Party Supplier Background Check Supplier Letter (docx) to advise the third-party representative of the need to amend their contract to comply with the new Third-Party Supplier Background Check policy. Note that background checks will differ by contract and industry. Emory expects third party background checks to align with industry standards for the service being performed. It is up to the supplier to determine the type of background check that is appropriate for the work being provided on Emory's behalf.

As part of the contract execution process, suppliers must sign the Emory Third-Party Supplier Background Check Attestation Form (docx) attesting to their understanding and compliance with Emory's policy. The supplier is required to sign the attestation under penalties of perjury verifying the ongoing compliance with this policy when they sign or renew a contractual agreement with the university. The supplier is required to keep the attestation document on file as the university may ask for documentation as part of an audit of compliance with this policy. It is highly recommended that the department also keep the signed attestation document on file.

Utilize the sample language below for the necessary language to be added to the contract.

Emory University reserves the right to reject any employee provided by Contractor hereunder and/or require that Contractor immediately remove any such employee from Emory's premises.

Upon notification of Emory's rejection of an employee, Contractor shall substitute a replacement employee acceptable to Emory. Contractor agrees to conduct criminal history / background investigations on any employee utilized by Contractor to provide Services hereunder, prior to allowing said employee to provide Services under this contract. Contractor agrees not to assign any employee who declines to authorize said criminal history investigation check to provide Services under this contract. Contractor agrees not to assign any employee to provide Services under this contract whose criminal history investigation indicates criminal behavior related to acts of fraud; theft; sexual offenses; acts of violence; and/or threats to commit acts of violence.

Contractor agrees to secure a release from any employee assigned to Emory granting permission for the Contractor to provide the results of the assigned employee's criminal history/background investigation upon request by Emory. Contractor agrees to provide proof that a criminal history/background investigation has been conducted on any assigned employee upon request by Emory. Contractor further agrees to remove any assigned employee whom Contractor discovers to have committed any offense in the aforementioned criminal categories after having been assigned to Emory. Contractor agrees to cooperate with the Emory Police Department in any investigation related to criminal conduct or potential criminal conduct by any assigned employee.

In some cases, it may be determined a Third-Party Supplier Background Check is applicable, but an exception is needed. Requests to waive or modify contractual requirements must first be submitted through the respective Chief Business Officer (CBO). If the CBO supports the exception, the Third-Party Supplier Background Check Exception Form (docx) must then be submitted to Procurement and Support Services at emory.fsc@emory.edu.

For questions contact Procurement and Support Services emory.fsc@emory.edu.