University of California, Riverside

Human Resources



Policy 21: Appointment


Revised:   9/29/2009
UCR Local Procedures
UC Personnel Policy for Staff Members
POLICY 21: APPOINTMENT

  1. RELATED POLICIES AND REFERENCES
    1. Personnel Policy 12 - Nondiscrimination in Employment
    2. Personnel Policy 14 - Affirmative Action
    3. Personnel Policy 20 - Recruitment
    4. Personnel Policy 21 - Appointment
    5. Personnel Policy 22 - Probationary Period
    6. Personnel Policy 30 - Salary
    7. Personnel Policy 60 - Indefinite Layoff and Indefinite Reduction in Time From Professional and Support Staff Career Positions
    8. Personnel Policy 66 - Medical Separation
    9. Personnel Policy 81 - Reasonable Accommodation
    10. UCR Guidelines for Implementing Employment Provisions of the Americans With Disabilities Act (ADA) of 1990
    11. UCR Recruitment and Selection Website
  2. PROCEDURES
    Once the recruitment is complete, the selection process takes place. The hiring authority shall follow the procedures for a nondiscriminatory selection process. Practices that foster nondiscrimination and promote equal opportunity are contained in the UCR Recruitment and Hiring Website. The hiring authority may perform the screening, interviewing and selection process, or have a committee perform the process, depending upon the recruitment plan.
    1. Documentation
      1. A record of the process should be maintained by the hiring department for reporting and auditing purposes including:
        1. Employee Requisition and Recruitment Plan;
        2. job-related standards used to screen applications;
        3. reasons for non-selection for all applicants not chosen for interview;
        4. an application for each interviewed candidate
        5. questions used for the interviews;
        6. evaluation instruments used by all interviewers;
        7. notes from the reference checks;
        8. a copy of any work sample including the accompanying instructions.
        9. a completed Department Record of Interviews (DRI) form for all interviewed candidates, including reasons for non-selection with a completed copy of the DRI forwarded to Human Resources; and
        10. the results of the successful candidate's tests and work samples, if any, should be retained with the application materials in their personnel file
    2. Screening
      1. All applications are forwarded to the hiring department. However, at the department's request, Human Resources will screen applications and forward those that meet minimum qualifications.
      2. Normally, only the required skills, knowledge and abilities (SKAs) are used in the initial screening. However, the qualified candidate pool may be screened further based on job-related responsibilities.
      3. After selection of the candidates for interview, the hiring authority forwards the recommended interview pool along with the applicant pool to the organizational unit for review and approval.
      4. Candidates that were not selected for interview should be notified by the department.
    3. Interviewing
      1. If an applicant with preferential rehire rights submits an application at any time prior to the final selection, it must be considered. If the hiring authority determines that the individual meets the position requirements, an offer of employment should be made. If it is determined that the individual does not meet the requirements, the reasons must be put in writing and submitted to Human Resources for review prior to notification of the preferential rehire applicant.
      2. The questions used in the interviewing process should be those developed in the recruitment plan. However, additional questions may be asked to follow up and clarify individual experience, knowledge and abilities.
      3. Final candidates may also be tested on skills related to the essential functions and minimum qualifications of the position; and/or work samples may be requested.
    4. Appointment
      1. The hiring authority must perform reference checks, background checks (if applicable), review the status of near relatives, and the applicant's probationary status if currently an employee prior to submitting the final candidate for approval by the organizational unit. The proposed salary should be reviewed for compliance with UCR Local Procedure 30: Salary.  Offers of employment are made after final approval. All other applicants should be notified immediately after the selected candidate accepts the offer of employment.
      2. If the final candidate is a current or former UC employee, the department shall review the employee’s official personnel file.
      3. The hiring department shall notify Human Resources of the appointed candidate.
      4. The hiring department shall complete the Department Record of Interview and submit to Human Resources prior to the final candidate’s start date.
      5. The hiring department, in consultation with Human Resources, shall respond to all applicants requesting reasons for non-selection.
  3. REFERENCE CHECKS, EMPLOYMENT VERIFICATION AND EDUCATION/CERTIFICATION/LICENSE VERIFICATION
    The purpose of performing reference checks, employment verification and verification of degrees, certification and/or licenses is to validate the information provided by the candidate in the application and interview.  The reference information is obtained through contacts with individuals who have direct knowledge of the candidate's work record and performance.  The employment verification confirms the employment history of the individual through the employer's personnel records.
    1.  
      1. Prior to conducting reference checks, employment verification and verification of degrees, certification and or licenses, the Applicant Release and Disclosure Form should be completed by the applicant.
      2. The consent of the candidate should be obtained before contacting current employers. 
      3. All questions asked must be related to the job and linked directly to position responsibilities and requirements. 
      4. Reference checks and verification of employment and work performance should be obtained from current and previous supervisors prior to final selection.   
  4. BONDING AND BACKGROUND CHECKS
    1. Bonding
      The University carries a blanket Fidelity and Surety Bond on University of California, Riverside employees. No additional bonding is necessary.
    2. Types of Background Checks
      1. Agency Background Check
        An agency background check is a background check completed by an outside agency contracted by the University and includes a social security number and criminal conviction verification for counties where the employee/applicant worked and resided. At an additional expense, the department may request education/degree, employment verification and driving record checks.
      2. Department of Justice (DOJ)/Federal Bureau of Investigation (FBI) Background Check
        A DOJ/FBI background check is a fingerprint check of criminal convictions, initiated by departmental request, through the Live Scan System. The Live Scan System transmits fingerprints electronically to DOJ databases in Sacramento, CA, and generates State of California conviction results. The Live Scan System also has the ability to transmit fingerprints to the FBI for a national criminal conviction check.
    3. Required Level of Background Check
      1. The following matrix can be used to determine the required level of background check:
    CRITICAL PositionsPrior to AppointmentContinued Employment

    Career

    Agency or DOJ

    DOJ and FBI

    Limited

    Agency or DOJ

    Not applicable

    Casual-restricted

    Agency or DOJ

    Not applicable

    Contract 

    Agency or DOJ

    Not applicable

    CRITICAL PositionsPrior to AppointmentContinued Employment

    Career

    Agency or DOJ

    Not applicable

    Limited 

    background check is not required

    background check is not required

    Casual-restricted

    background check is not required

    background check is not required

    Contract 

    background check is not required

    background check is not required

    1. The DOJ/FBI background check(s) should be initiated no later than 5 days after the employee’s start date.  Continued employment is contingent upon successful completion of the DOJ/FBI background check(s).
    2. Job Vacancies/Recruitments
      Human Resources will determine which career positions should be designated as "critical" based on the responsibilities of the position. Organizational units will determine which limited, casual-restricted, and contract positions should be designated as "critical.”
      1. Background Checks for Career Employees
        All Career Positions -- A background check must be completed prior to appointing an individual to a career position. An agency background check OR completion of a DOJ fingerprinting background check is required prior to appointment. DOJ results are usually received within three to seven days of fingerprinting. If the DOJ portion of the DOJ/FBI background check can be completed prior to appointment, an agency check is NOT required.
        Critical Career Positions – Successful completion of the DOJ/FBI check is required for all critical career positions. It is recommended that DOJ/FBI background check be initiated no later than five days after the employee’s start date. Continued employment is contingent upon successful completion of the DOJ/FBI background check.
      2. Background Checks for Limited, Casual/Restricted, and Contract Employees
        Limited, Casual-restricted and Contract Positions -- A background check must be completed prior to appointing an individual to casual, casual-restricted and contract positions whose responsibilities include "critical" elements. An agency background check OR a DOJ background check is required prior to appointment. DOJ results usually received within three to seven days of fingerprinting. If the DOJ background check can be completed prior to appointment, an agency check is NOT required.
      3. When a critical position is offered, the department head shall notify the final candidate that the offer of employment is conditional upon successful completion of an agency and/or DOJ background check (e.g., “Successful completion of an agency or DOJ background check is required for this critical position.”) Falsification of information submitted on University application materials may be the cause for corrective action up to and including dismissal.
    3. Promotions/Reclassifications
      The department head is responsible for assuring that the appropriate background check is conducted when an employee is promoted or reclassified to a critical position. If an employee is promoted or reclassified from one critical position to another critical position, a second background check is not required.
    4. “Critical” Positions
      Human Resources will determine which career positions should be designated as "critical" based on the responsibilities of the position. Organizational units will determine which limited, casual-restricted, and contract positions should be designated as "critical." These elements include, but are not limited to, the following
      1. Master key access to residence and other facilities;
      2. Direct responsibility for the care, safety and security of humans or animals, or safety and security of personal or University property;
      3. Direct access to, or responsibility for, cash and cash equivalents (as defined by  Business & Finance Bulletin BUS-49,  or University property, disbursements or receipts;
      4. Authority for committing the financial resources of the University;
      5. Access to, or responsibility for UCR Business Systems (e.g., UCRFS, PPS, purchasing, etc.);
      6. Direct access to, or responsibility for, controlled substances or hazardous materials;
      7. Extensive authority for committing the financial resources of the University
      8. Responsibility for operating commercial vehicles, machinery or toxic systems that could cause accidental death, injury or health problems.
      9. 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.
      10. Direct access to and/or responsibility for information affecting national security.
      11. Direct access to and/or responsibility for protected, personal, or other sensitive data.
  1.  
    1.  
      1. Processing Background Checks.  Check the Human Resources web site for instructions. 
    2. Criminal Convictions
      1. Only criminal convictions will be considered in determining an applicant’s suitability for employment.
      2. In determining an applicant’s suitability for employment where the applicant has criminal convictions on his/her record, consideration will be given to the specific duties of the position, the number of offenses and circumstances of each, the age of the conviction(s), and the accuracy of the explanation on the application.
      3. In instances where information is obtained that would appear to make the candidate a poor risk for hire, Labor Relations will provide guidance and a recommendation to the hiring authority.
      4. The Fair Credit Reporting Act (FCRA) requires that written notice and the name of the criminal check agency is given to individuals when employment is denied based on information received from the reporting agency.
    3. Background Check Processing
      1. Specific instructions for processing DOJ/FBI and Agency checks are listed on the Background Checks Processing Instructions web page.
      2. For Agency Checks only – Upon employee request, a copy of the background check results shall be given to the employee.
      3. The Payroll and Personnel System (PPS) will serve as the official record for tracking successful completion of background checks.  The hiring department has responsibility for updating PPS.
  2. NEAR RELATIVE APPOINTMENT
    Consistent with the University’s policy on equal employment opportunity and nondiscrimination in employment, a candidate will not be disqualified by reason of near relationship to a current employee in a hiring department.  A near relative is defined as a spouse, domestic partner, parent, child (including the child of a domestic partner), or sibling.  In-laws and step relatives in the relationships listed, including relatives of the domestic partner who would be covered if the domestic partner were the employee’s spouse, are also defined as near relatives.  If such a near relationship is involved, special approval is required prior to an employment offer.
    1. The following work situations require approval when near relatives:
      1. would have a supervisory relationship with each other;
      2. would have the same immediate supervisor;
      3. would have a close working relationship; or when
      4. two appointees already holding positions in which one of the above working relationships exists subsequently become near relatives.
    2. The hiring authority shall initiate a written request with the reason(s) it is in the best interest of the University to hire a near relative. The request for approval must be submitted to the appropriate organizational unit prior to making a job offer.
  3. EMPLOYEE TRANSFER/PROMOTION
    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.
  4. RESPONSIBILITY
    1. Hiring Authority
      Follow nondiscriminatory hiring practices which show good faith efforts in the selection processes and hiring decisions.
    2. Organizational Units
      Follow nondiscriminatory procedures and hold departments accountable for good faith efforts in the selection processes.
    3. Departments
      1. Ensure PPS Preparers attend training as appropriate.  Ensure employee information is accurately recorded in PPS, including coding of new hires, reclasses, transfers, promotions, code for successful completion of background checks and other personnel transactions.
    4. Human Resources
      Establish equal opportunity procedures for referral, interview, selection, and for advising the hiring department about personnel policies, procedures, legal requirements and business practices.
    5. Affirmative Action
      1. Monitor and evaluate the effectiveness of the selection processes in meeting the University's Affirmative Action Plan.

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