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Procedure 21 - Selection and Appointment

I. CANDIDATE SELECTION

The hiring authority shall select from among qualified candidates the individual with the skills, knowledge, and abilities to effectively carry out the duties and responsibilities of the position. During this process, consideration is given to University employees seeking transfers or promotions, and to the University's equal opportunity and affirmative action goals.

The required experience, skills, knowledge, and other qualifications used as candidate selection criteria shall be job-related, derived from the classified job description, and applied fairly.

A. The hiring authority is responsible for conducting a nondiscriminatory selection process with practices that promote equal opportunity. Candidates who will be interviewed must complete the campus job application process.

CHR Talent Acquisition & Workforce Planning is the Office of Record for the employment requisition.

A record of the selection process must be maintained by the department for reporting and auditing purposes. In accordance with University’s Records Retention Schedule, the following records are retained for four years:

  • The University application form (and if appropriate, the resume) for all applicants
  • Job-related criteria used to screen the applicants
  • Questions used for interviews, including those used by search committees and panels
  • Evaluation instruments used by all interviewers
  • Records related to conducting reference checks
  • If utilized, a copy of the work sample, including the accompanying instructions
B. The hiring department may choose an interview format that best facilitates the department's selection process.
 

C. Diversity in the composition of the search committee or interview panel is recommended. CHR Talent Acquisition and Workforce Planning may serve as a consultant to the hiring authority or search committee chair. A search committee is often utilized to screen, interview, and recommend a group of qualified candidates for consideration by the hiring authority.

D. In consultation with CHR Talent Acquisition and Workforce Planning, departments are responsible for demonstrating good faith efforts to obtain a diverse, qualified applicant pool for consideration. If a diverse pool is not identified, the hiring authority, in consultation with CHR Talent Acquisition and Workforce Planning, can determine if further recruitment would produce a more representative pool.

E. The hiring authority or their designee assesses information gathered from the applications, interviews, reference checks, and other job-related sources.

F. The department is responsible for documenting the selection decision by updating the status of each applicant in the University’s applicant tracking system and closing out the requisition when the position is filled.

G. A letter confirming the job offer and the candidate's acceptance is sent to the successful candidate. Other candidates interviewed but not selected should be notified after the job offer to the successful candidate has been finalized.

 

II. EMPLOYEE RELEASE TIME FOR UC INTERVIEWS

With advance notice and if the interview occurs during the employee’s normal work hours, an employee is eligible to receive paid release time to interview for a position at:

  • The employee’s current UC location; or
  • Another UC location, for a length of time equal to the time required for an interview at the employee’s current UC location.

 

III. EMPLOYEE TRANSFERS

Hiring departments should give due consideration to an eligible current University employee seeking a transfer or promotion opportunity.

Normally, an employee will not be considered for a transfer until their probationary period has been satisfactorily completed. However, if a transfer or promotion occurs during the probationary period, the employee's probationary period may be extended in accordance with PPSM-22: Probationary Period.

 

IV. PREFERENCE FOR REEMPLOYMENT, SPECIAL REEMPLOYMENT, AND REASSIGNMENT

A. Preference for Reemployment Due to Layoff

Employees who have been laid off, and employees who have been notified of an indefinite layoff or reduction in time, who are eligible and meet the minimum job requirements for the position to be filled, will be referred to the hiring authority before all other applicants. The layoff candidates can be disqualified if they do not meet the minimum job requirements. Written justification for disqualification shall be reviewed by Campus Human Resources (CHR) Talent Acquisition & Workforce Planning upon request, and reasons for non-selection may be shared with the candidate.

A regular status Professional or Support Staff (PSS) employee with the right to preferential rehire may be required to serve a trial employment period of up to six months upon rehire into a vacant career position.

B. Special Reemployment

In accordance with PPSM-66: Medical Separation, an employee who has been medically separated is eligible to be considered for special reemployment.

C. Reassignment

In accordance with PPSM 81: Reasonable Accommodation, the possibility of reassignment to a vacant position for which the employee is qualified may be explored as a reasonable accommodation.

 

V. REEMPLOYMENT OF UC RETIREES

University retirees may be reemployed in accordance with the Policy on Reemployment of UC Retired Employees Into Senior Management Group and Staff Positions (Regents Policy 7706). Approval of an exception following review by Campus Human Resources is required if the duration of the recall appointment exceeds 24 months.

 

VI. REFERENCE CHECKS

The purpose of the employment reference check is to validate the information provided by the candidate in the application and interview. The employment verification confirms their employment history. The reference information is obtained through contact with individuals who have direct knowledge of the candidate's work record and performance, including individuals identified by the candidate.

Verification of employment history and work performance should be obtained from current and previous supervisors prior to the hiring decision. Other individuals with knowledge of the candidates' work performance; and interpersonal relationships with peers, supervisors, and customers may also contribute valuable information.

A. Prior to making an offer of employment, it is recommended that a minimum of two individual reference checks be conducted on all candidates recommended for hire, including current UC employees. It is recommended that the candidate be notified prior to conducting the reference checks. Individuals with knowledge of the candidate's employment performance, qualifications, and behavior should be contacted; however, the candidate may request that the current supervisor not be contacted.

In addition to conducting reference checks, if the candidate recommended for hire is a current or former employee of the University, the hiring manager may request review of the employee’s personnel file.

B. The hiring department may initiate reference checks using the online SkillSurvey system and utilize the results to assist in the hiring decision. The SkillSurvey system can be used in conjunction with conducting direct reference checks.

C. As a public employer, the University is covered by the provisions of the California Information Practices Act of 1977. The Act requires that the information obtained from a reference and the source of the information may not be held in confidence from the subject, and will be released upon legitimate request to do so

 

VII. BACKGROUND CHECKS

Review of a candidate's records is intended to serve as an important part of the selection process when hiring new employees into critical (or otherwise designated) positions, and also when transferring, promoting, or reclassifying current employees into such positions. Background checks are conducted with the goal of assessing risks and promoting a safe environment for students, faculty, staff, patients, and guests; protecting key organizational assets such as people, property, and information; upholding the reputation and integrity of the University; and enabling hiring authorities to make prudent employment decisions based upon comprehensive job-related information.

The University recognizes that its need to conduct background checks on applicants and employees must be balanced with the need to protect the privacy of those individuals, in accordance with state and federal law and University policy pertaining to those rights.

Candidates are required to fully participate in the background check process. Failure to participate may serve as an independent basis to be disqualified for University employment.

 

A. Types of Background Checks

The types of background checks may include, but are not limited to:

  • Confirmation of a person's identity;
  • Review of criminal conviction history;
  • Verification of any educational degree, license, credential, or certificate required for the position;
  • Review of Department of Motor Vehicles (DMV) records via the California Department of Motor Vehicle Pull Notice Program;
  • Government security clearance;
  • National sex offender search;
  • Pre-employment drug testing when related to job requirements;
  • Credit background check when related to job requirements; and
  • Required health screenings (e.g., TB test)
     
B. Review of Background Checks
 

With the exception of criminal conviction history background checks, which are reviewed in accordance with the process outlined in section F.4, Criminal Conviction History Background Checks, hiring departments are responsible for reviewing the results of background checks to assess a candidate’s suitability for the critical position.

If a candidate disputes the accuracy of any information obtained during a background check, they should be referred to the agency that provided the information.

In accordance with existing personnel policies, falsification and/or omission of information submitted to the University on application materials may disqualify an applicant from proceeding through the hiring process; and may be cause for release during the probationary period, or issuance of corrective action, up to and including dismissal.

 

C. Identification of Critical Positions

Critical positions include sensitive administrative/programmatic/managerial duties and responsibilities that could potentially cause human, financial, or property loss, or other harm to the University and its constituents. Depending on the nature of their job functions, critical positions may also be subject to additional types of background checks. (Note: In addition to the campus requirements stated in this procedure, departments may be subject to additional restrictions, requirements, laws, or regulations.)

A position must include at least one of the following functions to be considered “critical”:

  • Master key access to residences or other facilities;
  • Direct responsibility for the care, safety, and security of humans or animals; or the safety and security of personal and University property;
  • Direct access to, or responsibility for, cash and cash equivalents (as defined by Business & Finance Bulletin BUS-49 - Policy for Cash and Cash Equivalents Received, or University property disbursements or receipt;
  • Direct access to, or responsibility for, controlled substances or hazardous materials;
  • Extensive authority for committing the financial resources of the University;
  • Responsibility for operating commercial vehicles, machinery, or toxic systems that could result in accidental death, injury, or health problems;
  • A requirement for a professional license, certificate, or degree, the absence of which would expose the University to legal liability and/or adverse public reaction;
  • Direct access to and/or responsibility for information affecting national security;
  • Direct access to and/or responsibility for protected, personal, or other sensitive data.

An employee who is being newly assigned any of the above duties (but remaining in the same organization) is required to undergo a new criminal background check via LiveScan if one has not been previously conducted. Departments must consult with CHR Employee & Labor Relations when newly assigning any of the above duties to existing employees.

 

D. Department Head Responsibilities

Department heads, or their designees, are responsible for:

  • Identifying positions with critical functions prior to recruitment;
  • Documenting the nature of the critical function and the requirement for any background checks in the job description;
  • Including in any job posting and communication with applicants appropriate language stating that a background check will be conducted, the category of background check, and that future (or continued) employment in a critical (or otherwise designated) position is contingent upon satisfactorily completing a background check;
  • Obtaining a signed Background Check Authorization Form from the candidate prior to initiating a background check;
  • Ensuring that any necessary background checks are conducted prior to commencement of employment;
  • Complying with the Investigative Consumer Reporting Agencies Act (ICRA), the Information Practices Act (IPA), the Fair Credit Reporting Act (FCRA), and any other law pertaining to background investigations;
  • Initiating any required background checks or reviews of driving records in accordance with these procedures;
  • Consulting with CHR Employee and Labor Relations and/or Compensation Services if the tasks of an existing incumbent in a non-critical position change and, as a result, the position becomes a critical position.
 
E. Criminal Record History Background Checks
 

An offer of employment into a critical position, whether oral or written, must be contingent upon the completion of a satisfactory pre-employment background check. The background check process may be initiated only after a conditional offer of employment has been extended to the candidate. The background check must only be used for purposes of evaluating the candidate for employment and cannot be used for discriminatory or retaliatory reasons as prohibited by state and federal law and University policies.

Prior to making a conditional offer of employment, departments must not consider an applicant’s criminal history, including via questions on an employment application or internet searches. If an applicant voluntarily raises their criminal history prior to receiving a conditional offer, departments may not consider this or any other conviction history information until after making a conditional offer of employment, unless the position is one for which the University is required by any state, federal, or local law to conduct criminal background checks for employment purposes; or restrict employment based on criminal history.

The criminal background check process described below does not apply to applicants to criminal justice agencies.

 

1. Criminal Background Check Process
 

The UCLA campus requires criminal background checks to be conducted by both the California Department of Justice (“DOJ”) and Universal Background Screening (“UBS”) for all individuals being hired into critical positions, prior to commencing work. DOJ conviction records are obtained via LiveScan or ink card fingerprinting conducted by the UCLA Police Department (or another designated agency authorized by the California Department of Justice). UBS background checks are used to capture multi-state and international criminal history.

Current employees who are transferring or being promoted into a critical position but have not previously been fingerprinted by the DOJ will be subject to rescreening via both the DOJ and UBS.

2. Critical Positions Requiring DOJ and UBS Pre-Clearance
 

Candidates for critical positions with any of the following sensitive responsibilities must successfully clear both the DOJ and UBS checks prior to their first scheduled work day:

  • Direct responsibility for, or access to, minors (e.g., childcare services personnel, teachers, coaches, etc.);
  • Responsibility for the care, safety, and security of humans;
  • Cash handling responsibilities;
  • Master key access to buildings or residences; or
  • Direct access to, or responsibility for, controlled or hazardous substances.

Only specially-designated human resources professionals in CHR and UCLA Health HR (or other areas to which this responsibility has been delegated by CHR or UCLA Health HR) may have access to conviction histories provided through UCPD. Prior to being given access to DOJ conviction histories, such specially designated individuals must undergo a background clearance and Criminal Offender Record Information (CORI) orientation process provided by UCLA Police Department.

3. Employees Being Transferred, Promoted, or Reclassified

If an active employee is transferring, being promoted, or being reclassified into a critical position within the UCLA campus, and the employee has previously been fingerprinted by UCPD, a secondary LiveScan does not need to be completed. Departments should consult with CHR Employee & Labor Relations or UC Path to confirm whether the employee has previously been fingerprinted by UCPD if they do not have this information. Employees transferring within the UCLA campus will be required to undergo a UBS check prior to commencing their new role.

Inter-campus transfers and transfers between the UCLA campus and UCLA health require re-fingerprinting via LiveScan and UBS.

4. Out-of-State and International Applicants

Conviction records for non-local applicants must be obtained through a LiveScan agency or via ink card.

If an applicant is unable to be fingerprinted at a LiveScan agency prior to starting employment, conviction records may be preliminarily obtained through Universal Background Screening (“UBS”) or another vendor approved by the UCPD. Conviction records obtained through UBS are governed by the California Investigative Consumer Reporting Agencies Act, which limits consumer reporting agencies from including criminal history information that predates the report by seven years. Additionally, UBS does not provide subsequent conviction records to the University. Therefore, a candidate who undergoes a background check via UBS must subsequently undergo a DOJ check through UCPD. Departments should contact ELR for guidance if an ink card is needed for an applicant located outside of California.

5. Summary of Criminal Background Check Responsibilities

The following table summarizes the responsibilities of the relevant offices:

 

RESPONSIBILITY

ACTION

Hiring Department

  • Assume the cost of candidate background checks
  • Ensure that signed authorization has been obtained from the candidate prior to initiating a background check. (For candidates recruited via iCIMS, authorization is included in the UCLA Employment Application.)
  • Schedule candidate for fingerprinting with UCPD* (or other designated agency) and advise candidate to take a photo identification with them (e.g., a valid Passport, State Driver’s License, BruinCard, State Identification Card).
  • Provide completed Recharge Order Request and Background Check Authorization forms to the candidate to present to UCPD.
  • Once background check results are received from CHR ELR, implement guidance by CHR ELR.
  • If candidate is hired, indicate date and category of background check(s) performed in UCPath.
  • Maintain records verifying completion of the UCPD fingerprint process and UBS clearance. Employee clearances should be recorded in UC Path.

UCLA Police Department (or other designated agency approved by UCPD)

  • Serve as the office of record for criminal record background checks.
  • Process all fingerprint submissions through the DOJ. Notify CHR ELR of the results.
  • Maintain records of all candidates fingerprinted, as well as subsequent arrest and conviction notifications received from the DOJ.

CHR Employee & Labor Relations

 

Health Employee & Labor Relations

  • Receive criminal conviction history background check results from UCPD, DOJ, and UBS.
  • Notify departments when a candidate has successfully completed the criminal conviction history background check process.
  • Conduct an initial individualized assessment when a background check contains a conviction record or other potentially disqualifying information. The following factors will be considered:
    • The nature and gravity of the offense(s), including the candidate’s specific personal conduct that resulted in conviction, whether the harm was to people or property, and the degree and/or permanence of the harm;
    • The length of time that has passed since the offense(s) occurred and/or completion of the sentence, as well as the candidate’s age at the time of the offense;
    • The nature of the position applied for, including its specific duties, the circumstances under which and the environment in which the duties must be performed, (i.e., whether the position offers the opportunity for the same or a similar offense to occur), and/or whether the type or degree of harm that resulted from the conviction is likely to occur in the workplace;
    • Whether factors such as trauma, domestic violence, sexual assault, stalking, human trafficking, duress, or other similar factors contributed to the offense or conduct; and
    • Whether a disability (such as past drug addiction or mental impairment) contributed to the offense, and if so, whether a reasonable accommodation or treatment could or has mitigated or eliminated the likelihood of harm arising from similar conduct.
  • Issue Notice of Pre-Adverse Action to candidate when the background check information will potentially disqualify them from employment in the position for which they have applied. The candidate must have five (5) business days from receipt of the pre-adverse action notice to respond to any negative findings in the report by providing supplementary documentation or information. If the candidate does not respond, a final determination will be made based on the information available as to whether they are still eligible to hold the position.
  • Following individualized assessment, clear candidate to be hired, or issue a Notice of Adverse Action advising them that they are ineligible to hold the position for which they applied.
  • Upon receiving subsequent background check results, notify Insurance & Risk Management of subsequent felony theft-related convictions for employees with cash handling responsibilities, in accordance with UC BUS-49.

*Or other designated departments to which authority has been delegated by CHR or UCLA Health HR; or outside agencies approved by CHR, UCLA Health HR, or Insurance & Risk Management.

 

F. Credit History Background Checks
 

In order to ensure that the employee or prospective employee will be able to perform the duties of the position, credit background checks may be performed only for candidates hired into the following positions:

  • Managerial  position
  • Sworn peace officer or other law enforcement position
  • A position with access to all of the following types of information on any one person (including students, faculty, staff, or other University personnel):
    • Bank or credit account information;
    • Social Security number; and
    • Date of birth.
  • A position with access to confidential or proprietary information, including a formula, pattern, compilation, program, device, method, technique, or process or trade secret
  • A position with regular access to cash in the amount of $10,000 or more
  • A position performing duties as a named signatory on a bank or credit card account of the University, authorized to transfer money on behalf of the University, or authorized to enter into financial contracts on behalf of the University

If the background check includes credit-related information, such as credit history or credit score, the appropriate disclosures must state the specific basis for obtaining the report (as listed above).

G. Review of Employee Driving Records

As stated in UCLA Procedure 615.1: Employee Driving Records, the California Vehicle and Public Utility Codes require employers of drivers of certain types of vehicles to obtain reports of the driver’s public driving record from the Department of Motor Vehicles (DMV). There are criminal penalties for employing or continuing to employ as a driver a person who has had a disqualifying action taken against the person’s license or certificate.

As an employer of drivers, UCLA participates in the DMV “Employer Pull Notice Program” (EPN), which is a process for providing the employer with a report showing each driver’s current public driving record and the status of any required certification.

Persons against whom a disqualifying action (suspension or revocation of license or certificate) has been taken by the DMV shall not be employed as drivers. Persons considered by the University to have a poor driving record or presumed to be a “negligent” operator by the DMV based on violation point counts shall not be employed as drivers.

For more information, including a list of employees who are subject to Procedure 615.1, responsibilities, and procedures, visit 
UCLA Procedure 615.1: Employee Driving Records.

H. Temporary Workers from Outside Employment Agencies

It is recommended that hiring authorities contact any temporary agencies utilized for recruitments in order to identify and establish criteria for use by the agencies in performing background checks on temporary worker applicants referred to the campus.

 

VIII. EMPLOYMENT ELIGIBILITY VERIFICATION

Under federal law, the University of California must only employ U.S. citizens or other individuals who are legally authorized to work in the United States. In accordance with the Immigration Reform and Control Act of 1986 (IRCA), the University is required to verify the identity and work authorization of all employees hired after November 6, 1986 by completing the Employment Eligibility Verification (I-9) form. The University must not knowingly hire or continue to employ any individual not authorized to work in the United States. The University does not discriminate against individuals on the basis of national origin or citizenship.

As a federal contractor, the University participates in the U.S. Department of Homeland Security’s E-Verify system to verify the work status of employees hired after November 6, 1986 and employees hired into positions performing work under a federal contract or subcontract that contains the Federal Acquisitions Requirement (FAR) E-Verify clause. E-Verify is not a prescreening employment tool and must not be applied in a discriminatory manner. Use of the E-Verify system requirements is additional to the requirements specified in IRCA.

Nonimmigrant aliens authorized to work in the U.S., including student employees, must have or agree to acquire minimum health insurance coverage. (For additional information see Group Insurance and Health Plan Regulations or contact the local Human Resources Office.)

 

IX. EMPLOYMENT OF NEAR RELATIVES

The employment of near relatives in the same department may only be permitted when such concurrent employment serves the best interests of the University. To avoid a conflict of interest, an employee may not participate in the process of reviewing or decision-making on any matter concerning the appointment, promotion, salary, retention, termination, or other management or personnel-related decisions regarding a near relative.

Departments must obtain advance approval from Campus Human Resources when near relatives would have:

  • A direct or indirect supervisory relationship with each other;
  • The same immediate supervisor; or
  • A close working relationship.

Advance approval is also required when two employees become near relatives (through marriage, adoption, etc.) and any of the work situations listed above become relevant.

HR representatives and managers are required to submit a Near Relative Policy Exception Request to CHR Staff Personnel Policy before making a job offer to a near relative. An organization chart that includes both near relatives must be included. All such requests must be signed off by the Organization Head (i.e., Dean, Vice Chancellor, Vice Provost) or the Organization Head’s designee. CHR Staff Personnel Policy will review the request and forward it to the CHR Associate Vice Chancellor for approval.