UCOP BACKGROUND CHECKS – CRITICAL POSITION …



UCOP BACKGROUND CHECKS – Critical Functions Guide

Revised November, 2011

| | | |

|Critical Function |Recommended Type of |Position/Function/Task Examples[i] |

| |Background Check2 | |

|Master Key Critical |7-Year Employment History (previous 2 employers) |Typical Positions: |Typical Functions or Tasks: |

|Master key access to all office facilities. |Education Report (highest degree) |SMG Employees (as appropriate) |Access to master keys |

| |7-Year Criminal Felony and Misdemeanor, All Recorded |Building & Mail Services |Access for furniture & equipment repairs |

| |Counties |Telecommunications & Engineering Staff |Access for computer or telecommunications networking |

| |Widescreen Plus National Criminal Search |Security & Custodial Staff |& repairs |

| |National Sex Offender Search |Network and IT Staff |Heat, air, other environmental tests |

| |Social Security Number Trace |Locksmiths (as appropriate) |Maintain building security and badging protocols |

| | |Executive Administrative Staff (as appropriate) | |

|Human Life, Youth, Property Critical |7-Year Employment History (previous 2 employers) |Typical Positions: |Typical Functions or Tasks: |

|Controlled Substance & Hazardous Materials |Education Report (highest degree) |SMG Employees |Provide employee or student counseling |

|Critical |7-Year Criminal Felony and Misdemeanor, All Recorded |Student Affairs Officers |Access to computers and other valuable equipment & |

|Direct responsibility for the care, safety |Counties |Health & Safety Personnel |facilities |

|and security of human life or the safety and |Widescreen Plus National Criminal Search |Human Resources Staff |Access to potentially hazardous chemicals |

|security of personal or University property. |National Sex Offender Search |Building & Mail Services |Provide emergency care services |

|Also includes access to or responsibility for|Social Security Number Trace |Security & Custodial Staff |Maintain building safety & security |

|controlled substances or hazardous materials.| |Counseling Services Staff | |

|Cash Critical |7-Year Employment History (previous 2 employers) |Typical Positions: |Typical Functions or Tasks: |

|Direct access to or responsibility for cash |Education Report (highest degree) |SMG Employees |Expense reporting |

|and cash equivalents (as defined by Business |7-Year Criminal Felony and Misdemeanor, All Recorded |Fiscal & Audit Management |Cashiering |

|& Finance Bulletin, BUS-49), inventories, or |Counties |Business & Accounting Staff |Invoice approval and payment |

|University property disbursements or |Widescreen Plus National Criminal Search |Cashiers & Cashier Management |Postage meter use |

|receipts. |National Sex Offender Search |Building & Mail Services |Preparation or distribution of employee salary or |

| |Social Security Number Trace |Purchasing & Vendor Relations |reimbursement checks |

| |Employee Credit Report |Payroll Services |Handling & receipt of development funds and grants |

|Financial Critical |7-Year Employment History (previous 2 employers) |Typical Positions: |Typical Functions or Tasks: |

|Extensive authority for committing the |Education Report (highest degree) |SMG Employees |Bid & RFP approvals |

|financial resources of the University. |7-Year Criminal Felony and Misdemeanor, All Recorded |Directors/Managers of Purchasing, IT, Business & |Vendor or product approval |

| |Counties |Contracts |Commit funds for programs and projects |

| |Widescreen Plus National Criminal Search |Controller & Financial Management |Approve insurance payments |

| |National Sex Offender Search |Engineers & Architects |Approval of contracts |

| |Social Security Number Trace |Purchasing & Vendor Relations | |

| |Employee Credit Report |Budgeting Positions | |

|Operation of Vehicles, Machinery, & Toxic | |Typical Positions: |Typical Functions or Tasks: |

|Systems Critical |7-Year Employment History (previous 2 employers) |Development Engineers |Operation of equipment or machinery |

|Responsibility for operating commercial |Education Report (highest degree) |Equipment Operators |Operation of commercial vehicles |

|vehicles, machinery or toxic systems that |7-Year Criminal Felony and Misdemeanor, All Recorded |Automotive Technicians |Responders to emergencies involving potentially hazardous|

|could cause accidental death, injury or |Counties |Building Services |substances |

|health problems. |Widescreen Plus National Criminal Search |Custodial Staff & Groundskeepers | |

| |National Sex Offender Search |Health & Safety Managers | |

| |Social Security Number Trace | | |

| |MVR Report | | |

|License, Certificate, Degree Critical |7-Year Employment History (previous 2 employers) |Typical Positions: |Typical Functions or Tasks: |

|A requirement for a professional license, |Education Report (highest degree) |SMG Employees (as appropriate) |Handle real estate transactions on behalf of UC |

|certificate, or degree, the absence of which |7-Year Criminal Felony and Misdemeanor, All Recorded |Engineers |Design or build facilities and offices |

|would expose the University to legal |Counties |Architects |Patent licensing |

|liability and/or adverse public reaction. |Widescreen Plus National Criminal Search |Attorneys |Provide legal advice |

| |National Sex Offender Search |IT & Networking Staff |Counsel employees |

| |Social Security Number Trace |Security |Render medical services |

| |Professional Licenses Report |Employee Assistance Counselors | |

|National Security Critical |7-Year Employment History (previous 2 employers) |Typical Positions: |Typical Functions or Tasks: |

|Direct access to and/or responsibility for |Education Report (highest degree) |Department of Energy (DOE) Lab positions |As defined by the agency granting the clearance |

|information affecting national security. |7-Year Criminal Felony and Misdemeanor, All Recorded |SMG Employees (as appropriate) | |

| |Counties |UC Staff whose position requires a government | |

| |Widescreen Plus National Criminal Search |security clearance | |

| |National Sex Offender Search | | |

| |Social Security Number Trace | | |

| |Federal Criminal | | |

| | |Typical Positions: |Typical Functions or Tasks: |

| |7-Year Employment History (previous 2 employers) |SMG Employees (as appropriate) |Access to restricted, sensitive or confidential data (as|

| |Education Report (highest degree) |IT & Network Staff |defined in IS-3 Electronic Information Resources) |

|Protected, Personal, Sensitive Data Critical |7-Year Criminal Felony and Misdemeanor, All Recorded |Human Resources Staff |Access to employee or payroll records |

|Direct access to and/or responsibility for |Counties |Payroll Services |Access to protected health information |

|protected, personal, or other sensitive data.|Widescreen Plus National Criminal Search |Attorneys |Maintenance of inventories of restricted data |

|Direct access to and/or responsibility for |National Sex Offender Search |Fiscal & Audit Management |IT programming & systems maintenance |

|employee/retiree retirement and insurance |Social Security Number Trace |Student Affairs Officers |Individual health insurance and/or service delivery |

|data, social security numbers and/or direct | |Building & Mail Services |issue resolution |

|deposit banking information. | |Security & Custodial Staff |Retirement investment and distribution processing |

| | |Customer Service Reps |Entry and review of personal employee data in HR or |

| | |Benefits Service Reps |Payroll Systems |

| | |Retirement Program Reps | |

| | |Health Care Facilitators | |

| | |Employee Database Preparers & Reviewers | |

| | | | |

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1. Tasks/positions noted on chart do not include ALL positions, responsibilities or functions which may require a background check. For additional information or questions on positions/functions/tasks not appearing in this Guide, please contact UCOP Local Human Resources.

2. All background checks will be conducted in accordance with University policy and applicable labor agreements.

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