Procedure 21 - Selection and Appointment

Effective: 1/10/18

A. Selection

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

An employee who was indefinitely laid off and who did not receive severance has preference for reemployment. If the layoff candidate is not selected because he/she does not meet the minimum job requirements, then all other internal and external applicants can be considered.

The experience, skills, knowledge and other qualifications used for the selection criteria shall be job-related and derived from the classified job description. The methodology used for assessing the candidates' qualifications must be consistent and applied fairly to all candidates.

B. Preference for Reemployment or Transfer

1. Layoffs with Rights to Preference

a. 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 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) Employment Services upon request, and reasons for non-selection may be shared with the candidate.

b. 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 to any vacant career position. Reference UC-PPSM 60 (Layoff and Reduction in Time from Professional and Support Staff Career Positions), Section F.3.

2. Special Reappointment and Special Selection

a. In accordance with UC-PPSM 66 (Medical Separation), Section III.F, and UC-PPSM 81 (Reasonable Accommodation), Section D, an eligible employee will be referred to the hiring authority for consideration concurrently with candidates using preferential rehire rights.

b. In accordance with UC-PPSM 81 (Reasonable Accommodation), Section D, a disabled regular status employee or a regular status employee who has been medically separated may be referred and considered for trial employment in a limited position. (See applicable policies on duration of appointment.) .

C. Employee Applicants

An employee shall be granted reasonable time off to interview in other campus departments.

D. Selection Procedures

1. The hiring authority shall follow the procedures for a nondiscriminatory selection process and shall follow practices that foster nondiscrimination and promote equal opportunity. Candidates who will be interviewed must complete a University application form.

CHR Employment is the Office of Record for the employment requisition.

A record of the selection process should be maintained by the department for reporting and auditing purposes. The records must be retained for four years unless there is a pending complaint or grievance. Those records should consist of:

• The University application form and resume for each interviewee.
• Job-related standards used to screen the applicants.
• Questions used for the interviews, including those used by search committees and panels.
• Rating guides used by all interviewers.
• Notes from the reference checks.

2. The hiring department may choose an interview format that best facilitates the department's selection process.

3. If a search committee or panel includes members from outside the department, consideration should be given to diversity in the composition of the committee or panel. CHR Employment Services may serve as a consultant to the hiring authority and search committee chair. Normally, a search committee is charged to screen, interview, and recommend a group of qualified candidates for consideration by the hiring authority. Thereafter, the hiring authority can make a selection from the candidates recommended.

4. In consultation with CHR Employment Services, 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 and CHR Employment Services shall determine if further recruitment would produce a more representative pool.

5. The hiring authority may begin the assessment after all information is gathered from the applications, interviews, reference checks, background checks, and other job-related sources.

6. The hiring authority is responsible for documenting the selection decision by updating the applicant statuses in iCIMS and completing placing the hired candidate into the Hired Bin.

7. 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 after the job offer to the successful candidate has been finalized.

E. Background Checks

A check of a candidate's background 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.

A background check is conducted with the goal to assess risks and promote a safe environment for students, faculty, staff, patients and guests; to protect key organizational assets such as people, property and information; and to enable hiring authorities to make prudent employment decisions based upon comprehensive job-related information. In addition to other employment checks generally performed for all positions, such as reference checks and verification of employment history, background checks shall be performed on critical (or otherwise designated) positions.

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 and will adhere to any state and federal law or University policy pertaining to those rights.

1. Identification of Critical Positions and Categories of Background Checks

Critical positions are those that include functions with the potential to incur human, financial or property loss or other harm to the University and its constituents. A position must contain at least one of the elements listed in this section to be considered a critical position.

A background check is required on the candidate recommended for hire into a critical position. Candidates hired into critical positions have sensitive administrative/programmatic/managerial duties and responsibilities that could potentially cause human, financial, or property loss or other significant risk to the University. Depending on the nature of the function, they may also be subject to additional categories of background checks as outlined below. Besides the campus requirements stated in this procedure, departments may be subject to additional restrictions, requirements, laws or regulations.

The criteria for identifying a position as “critical” are:

a. Master key access to residences and other facilities;
b. Direct responsibility for the care, safety, and security of humans or animals; or the safety and security of personal and University property;
c. Direct access to or responsibility for cash and cash equivalents (as defined by Business & Finance Bulletin, BUS-49) or University property disbursements or receipt;
d. Direct access to or responsibility for controlled substances or hazardous materials;
e. Extensive authority for committing the financial resources of the University;
f. Responsibility for operating commercial vehicles, machinery, or toxic systems that could result in accidental death, injury, or health problems;
g. 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;
h. Direct access to and/or responsibility for information affecting national security;
i. Direct access to and/or responsibility for protected, personal, or other sensitive data. 

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

• confirmation of a person's identity;
• review of conviction records;
• verification of any educational degree, license, or certificate required for the position;
• review of Department of Motor Vehicles (DMV) records;
• government security clearance;
• drug testing as required by law; and
• credit background check (depending upon the nature of the position).

2. Credit Background Checks

Depending upon the nature of the position, credit background checks may be performed to ensure that the prospective employee will be able to perform the duties of the position. However, credit background checks may be performed only for positions with the following responsibilities:

• Managerial personnel
• Sworn peace officer or other law enforcement position
• Employees who have access to all of the following types of information on any one person (including students, faculty, staff, or other University personnel):

a. Bank or credit account information; Social Security numbers; dates of birth
b. Employees who have access to confidential or proprietary information, including a formula, pattern, compilation, program, device, method, technique, or process or trade secret
c. Employees who have regular access to cash in the amount of $10,000 or more
d. Employees who are performing duties as a named signatory on a bank or credit card account of the University, are authorized to transfer money on behalf of the University, or are 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).

3. Additional Types of Background Checks

Additional types of background checks may include, but are not limited to: employment and reference checks; Department of Motor Vehicle Pull Notice Program; and required health screenings (e.g., TB test, or other tests pursuant to Department of Transportation Regulations).

4. Outside 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 applicants referred to the campus.

Use Appendix I (UCLA Guide to Critical Functions and Background Checks) for a list of functions and required background checks, as well as examples of critical positions and tasks.

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 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 authorization from the candidate prior to initiating a background check (use Background Check Authorization Form);
• ensuring that necessary background checks are conducted prior to 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.

5. Review of Background Checks

With the exception of conviction records, which are conducted in accordance with the process outlined in section a. (Review of Conviction Records), department heads shall review 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 in a background check, s/he 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 issuance of corrective action to an employee, up to and including dismissal, or release during the employee’s probationary period.

a. Review of Conviction Records

Conviction records for critical positions must be obtained through a public records search conducted via Universal Background Screening or fingerprinting conducted by the UCLA Police Department or another designated agency authorized by the California Department of Justice (DOJ) and approved by the UCLA Police Department. If fingerprinting is conducted for candidates in critical positions in career, limited, contract, and casual-restricted (student) appointments must include both a California DOJ records check (which includes convictions in the state of California) and an FBI check (which includes convictions in other states).

Conviction records obtained through Universal Background Screening 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, Universal Background Screening will not automatically provide subsequent conviction records to the University.

Candidates in the following critical positions must undergo fingerprinting:

1. Direct responsibility for or access to minors less than 18 years old (e.g., childcare services personnel);

2. Access to buildings or residences with master keys; and

3. Direct access to, or responsibility for, controlled or hazardous substances.

An offer of employment, whether oral or written, must be contingent upon completion of a satisfactory pre-employment background check. The background check process should be initiated as soon as an offer of employment has been extended to the candidate recommended for hire, although candidates for positions that are responsible for the care, safety and security of humans, those with cash handling responsibility, or those with access to master keys, must satisfactorily clear the fingerprinting and review processes prior to their first scheduled work day of assuming that responsibility.

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

b. Review of DMV Driving Records and DMV Pull Notice System

As stated in the UCLA Administrative Policies and Procedures – Procedure 615.1, 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.

The departments of Transportation - Fleet & Transit (FT), UCLA Police Department (UCPD), and UCLA Health HR are the UCLA liaisons with the DMV for the EPN Program and are the only departments authorized to add, delete, or receive EPN Program records from the DMV. UCLA Health HR shall procure DMV records for Health Sciences employees; UCPD shall procure DMV records for employees of the Police and Community Safety; and Transportation - FT shall procure DMV records for all other non-academic employees.

Employees are responsible for maintaining their driver’s licenses and special certificates required for the performance of their job duties. Employees are also responsible for promptly notifying the department head of expiration, conviction, or other DMV actions against their driver’s license or certificate.

For more information, visit UCLA Administrative Policies and Procedures - Procedure 615.1.

6. UCLA Fingerprint Process

The Department Head, or designee, shall:

a. Assign and schedule candidates for employment for fingerprinting with UCPD; 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. Candidates should be advised to bring picture identification with them, which can include a valid Passport, State Driver’s License, or State Identification Card;
b. Issue completed recharge and fingerprint verification forms to the candidate to present to UCPD or approved outside agency; and
c. Maintain records verifying the completion of the fingerprint process as conducted by UCPD or approved outside agency.

UCPD shall:

a. Schedule appointments for the fingerprinting process for candidates designated by departments;
b. Conduct the fingerprinting process for candidates designated by departments;
c. Process all fingerprint submissions through the California Department of Justice and/or the Federal Bureau of Investigation;
d. Notify the CHR Employee & Labor Relations (ELR) Director of the results of the fingerprinting process;
e. Maintain records of all candidates fingerprinted and subsequent arrest notifications, if any, received from the California Department of Justice and/or the Federal Bureau of Investigation.

Campus Human Resources ELR shall:

a. Receive fingerprinting process results from UCPD or approved outside agencies and provide consultation services to designated departments in the event that conviction records require evaluation;
b. Notify departments when candidate background checks contain no convictions or other potentially disqualifying information;
c. Conduct an individualized assessment when a background check contains a conviction record or other potentially disqualifying information;
d. Issue a Notice of Pre-Adverse Action to a candidate when the background check information will potentially disqualify him/her (the Notice of Pre-Adverse Action advises the candidate that he/she has five (5) business days to respond and provide any supplementary documentation or information to the findings in the report);
e. Clear the candidate to be hired or issue a Notice of Adverse Action to the candidate advising him/her that he/she is ineligible to hold the position for which he/she has applied.

Summary of UCLA Fingerprint Process:

Summary of Department of Motor Vehicle Pull Notice Program Process:

 

F. Citizenship and Immigration Requirements

Refer to UC-PPSM 21 (Appointment), Section F.

G. Near Relative Appointment

1. Consistent with the University's policy on equal opportunity and nondiscrimination in employment, the employment of a near relative in the same department shall be permitted when concurrent employment would be in the best interest of the University. The types of work situations which require prior approval are positions in which the near relatives:

a. would have a direct or indirect supervisory relationship with each other;
b. would have the same immediate supervisor; or
c. would have a close working relationship

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

2. The hiring authority shall obtain prior approval from Campus Human Resources before making a job offer to a near relative under the conditions noted above.

A Near Relative Policy Exception Request shall be submitted to CHR Employee Relations explaining why the near relative is the best candidate for the position and the conditions set by the department to eliminate any potential conflicts. The request should contain information concerning the reason the near relative should be hired, identifying the near relative's special skills, the length and percentage of time for this position, and efforts that were made to find other suitable candidates. An organization chart that includes both near relatives should also be submitted. All such requests seeking approval must be signed off by the Organization Head. CHR Employee Relations will review the request and submit it to the CHR Associate Vice Chancellor for approval.

H. Reference Checks

1. The purpose of the employment and reference check is to validate the information provided by the candidate in the application and interview. The employment verification confirms the employment history of the individual through an employer's personnel records. The reference information is obtained through contact with individuals who have direct knowledge of the candidate's work record and performance.

2. 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, interpersonal relationships with peers, supervisors and customers can also contribute valuable information.

a. The consent of the candidate should be obtained before contacting current employers. Prior employers may be contacted at any time.
b. As a public employer, the University is covered by the provision 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.

I. Dual Employment

Refer to UCLA PPSM Procedure 30.