PERSONNEL PROCEDURES FOR UC IRVINE STAFF MEMBERS
Procedure 21: Appointment
Responsible Office: Human Resources
Revised: October 2012
University of California Policy
- PPSM-21, Appointment
University of California Guidelines
Personnel Policies for Staff Members
- Policy 12, Nondiscrimination in Employment
- Policy 14, Affirmative Action
- Policy 20, Recruitment
- Policy 22, Probationary Period
- Policy 30, Salary
- Policy 60, Layoff & Reduction in Time from Professional & Support Staff Career Positions
- Policy 66, Medical Separation
- Policy 81, Reasonable Accommodation
UCI Administrative Policies & Procedures
- Section 300-10, Background Check Procedures
UCI Delegations of Authority
- IDA344, Employment of Near Relatives
- IDA529, Relocation Allowance
B. Authority and Responsibility
The Executive Vice Chancellor is delegated the authority to approve appointment of near relatives in the same department when one of the relatives is an academic appointee.
Department heads and supervisors are responsible for ensuring that selections are conducted in accordance with applicable University policies.
C. Procedures - Selection Process
- A record of the selection process should be maintained by the department for reporting and auditing purposes. The record should consist of:
- Job-related standards used to screen the applications. Normally the required skills, knowledge, and abilities are used in the initial screening.
- Questions used for the interviews, including those used by search committees and panels.
- Evaluation instruments used by all interviewers.
- Notes from the reference checks.
- If administered, a copy of the work sample, the accompanying instructions, and results of the applicant's work sample.
- The hiring department may choose an interview format that best facilitates the department's selection process.
- The hiring authority is responsible for documenting the selection decision by completing the referral/selection form and submitting it to the Human Resources Department, along with a signed copy of the successful candidate's employment application.
- A letter confirming the job offer and the candidate's acceptance should be sent to the successful candidate. Other candidates interviewed, but not selected, should be notified that the successful candidate has accepted the job offer.
- Human Resources is the Office of Record for the signed employment application and employment requisition documents.
D. Employee Transfers
Normally, an employee will not be considered for a transfer until the probationary period has been satisfactorily completed. However, if a transfer or promotion occurs during the probationary period, the probationary period may be extended in accordance with Personnel Policies for Staff Members, Policy 22F, Extension of Probationary Period.
E. Reference Check
Verification of employment history and work performance should be obtained prior to the hiring decision.
- The consent of the candidate should be obtained before contacting current or prior employers.
- 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 to the subject upon legitimate request to do so.
F. Background Check
- A pre-employment check of a candidate's background is intended to serve 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 enable the hiring authority to make prudent hiring decisions based upon more comprehensive job-related information.
- The categories of background checks and corresponding functional responsibilities for which the checks will be conducted are identified by the appropriate Vice Chancellor. Positions with critical or sensitive functions are designated as critical on the job description prior to recruitment. The cost of background checks is borne by the department requesting the checks.
- The categories of background checks include, but are not limited to: confirmation of a person's identity; review of criminal conviction records, verification of educational degree, license, or certificate required for the position; review of Department of Motor Vehicles records; Department of Justice clearance, and drug testing as required by law.
- The following functions may be subject to a background check if they are part of the duties of the position:
- master key access to University facilities or residences;
- direct responsibility for the care, safety and security of humans;
- direct responsibility for the care, safety and security of personal, public or University property of a significant value;
- direct access to or responsibility for cash;
- direct access to or responsibility for controlled substances and/or hazardous materials/chemicals;
- extensive authority for committing the financial resources of the University;
- responsibility for operating vehicles or machinery, or handling toxic substnces that could cause 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;
- access to secured and/or confidential data files, essential electronic information resources and/or confidential information;
- ships' crew;
- direct contact with minors.
- Depending on the nature of the position, credit background checks may be performed to ensure that the candidate or employee will be able to perform the duties of the position most effectively. Credit background checks may only be performed for the following positions, employee responsibilities or information access:
- Managerial positions;
- Sworn peace officer or other law enforcement positions;
- Employees who have access to the following types of information for one or more University personnel, including students:
- (1) Bank or credit card account information;
- (2) Social Security number;
- (3) Date of birth.
- Employees who have access to confidential or proprietary information, including a formula, pattern, compilation, program, device, method, technique, process or trade secret;
- Employees who have regular access to cash in the amount of $10,000 or more;
- Employees who are performing duties as a named signatory on a bank or credit card account of the University, or are authorized to transfer money on behalf of the University, or are authorized to enter into financial contracts on behalf of the University.
- The need for a background check for a position designated as "critical" is determined by the hiring authority at the time the position becomes vacant or is created. Recruitment information carries appropriate language stating that a pre-employment check will be conducted prior to hire. A background check should be initiated prior to the offer of employment, and any offer should be made contingent on the results of the pre-employment investigation. A signed authorization from the candidate to release information must be obtained prior to initiation of a background check.
- Appropriate disclosures must be made and a signed authorization must be obtained prior to the initiation of a background check, as required by applicable state and/or federal law. If a background check will include credit-related information, such as a credit history or credit score, the disclosure must state the specific basis for obtaining the report (as listed above).
- The Human Resources Employment Staff notifies the hiring authority of the job-related results of the check. In instances where information is obtained that would appear to jeopardize the interests of the University and would appear to make the candidate a poor risk for hire, the Employment Staff provides guidance and a recommendation to the hiring authority regarding rejecting or hiring the final candidate.
In instances where the candidate disputes the accuracy of the information, the Employment Staff refers the candidate to the agency conducting the background check. The position vacancy is placed on "hold" until the disputed information is verified for accuracy.
- In all instances, the decision to employ is the responsibility of the hiring authority. If the best interests of the University appear to be at risk because of the hiring authority's decision, Human Resources may intervene to review the decision with the appropriate Vice Chancellor or designee.
- The Human Resources Department serves as the Office of Record for background checks and background check information obtained through the reporting agency.
- Current employees transferring or reclassified to a position designated as "critical" are subject to a background check.
For complete information and procedures on background checks, see Administrative Policies & Procedures Section 300-10: Background Check Procedures.
G. Near Relative Appointment
- Usually a candidate is disqualified by reason of near relationship to an employee already in the department. However, if such a near relationship exists, special approval is required prior to an employment offer. To obtain approval to make a job offer to a near relative, the hiring authority submits to the department head a written request, or "Memorandum for the Record," with an explanation of the near-relative relationship. The request should document the following:
- no reporting relationship exists, nor does either party have the ability to influence the performance evaluation of the other;
- neither party has the ability to approve expenditures or payments that would yield undetected personal gain on behalf of the other, nor is financial control compromised through potential joint actions of this kind;
- the reporting relationships of either individual or both, functioning as a couple, do not generate any significant, foreseeable conflicts of interest.
- A "Memorandum for the Record" (if the situation is as described in G.1) will also be submitted when current employees become near relatives.
Employees who are in a bargaining unit that has an exclusive representative (union) are covered by the applicable provisions of the collective bargaining agreement.