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Sec. 300-10: Background Check Procedures

Responsible Office: Human Resources
Revised: June 2003

References / Resources Contact: Human Resources at or (949) 824-5210
A pre-employment check of a candidate's background serves as an important part of the selection process and is conducted to promote a safe work environment; protect key organizational assets such as people, property, and information; and enables the hiring authority to make prudent hiring decisions based upon more comprehensive job-related information.

A. Responsibilities

B. Criteria

Some of the criteria for identifying a position/function as critical, and therefore possibly require a background check, are:

C. Categories of Background Checks

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

D. Initiating a Background Check

The department head shall obtain a signed authorization to release information from final candidate(s)/ employees(s) prior to initiating a background check request.

E. Background Check Results

The Employment Representative notifies the hiring authority of the job-related results of the check. In instances where negative information is obtained, the Employment Representative, in consultation with the assigned Human Resources Consultant, works with the department to assess the potential risks and liabilities of moving forward with the intended action. The Employment Representative makes a recommendation to the department, based on the assessment.

Applicants/employees may indicate on the Background Check Authorization form that they wish to receive a completed copy of their background check. The Employment Representative will send the requestor a copy.

In instances where the candidate/employee disputes the accuracy of the information provided by the vendor agency, the Employment Representative may authorize a second check to verify the accuracy of the information. The intended action is placed on "hold" until the disputed information is verified for accuracy.

In all instances, the decision to move forward is the responsibility of the department authority. If, however, the best interests of the University appear to be at risk because of the department's decision, Human Resources may request a review of the decision by the appropriate Academic Dean or Vice Chancellor in consultation with the Risk Manager.

E. Record Keeping

Human Resources serves as the Office of Record for any records or other information generated by background checks. The material will be maintained in accordance with state and federal laws as well as university policies and procedures on privacy (see Section 720-11), and will be disposed of in accordance with the UC Records Retention Schedule.

F. Reports

Departments will be asked annually to review the listing of critical positions and determine if additions, deletions, or revisions are necessary.

Human Resources will submit to the Director, Internal Audit/the Controller/the Campus Risk Manager an annual summary report of all background checks. The report will also include specific disposition of recruitments for which negative job-related background information was received.

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