9.1 APPOINTMENTS, GENERAL.
(Amended 9/93; 6/24/94; 9/97; 5/00; 3/02; 5/03; 3/04; 1/06)

It is the responsibility of the departmental executive officer or a designee to make certain that prior to any commitment of appointment, the new appointee has a clear understanding of the terms of employment and working conditions.

Notices of new appointments, changes in status or terminations reaching by the close of business on the 20th of the month are processed for payment or adjustment during that month.

Departments are expected to make recommendations of new appointments and changes in status as soon as it is possible for them to do so regardless of the deadline, and in no case later than the effective date thereof. The processing of such recommendations before they are reported to Human Resources may take considerable time and should be originated well in advance of the deadline to assure prompt payment.

a. Policy. Appointments shall be made with due consideration of the affirmative action guidelines for the University as expressed in the President's policy statements; Title VII of the Civil Rights Act of 1964 and the Civil Rights Act of 1991 (IC 216) as amended in regard to discrimination in employment; other applicable federal and state law; and other relevant Board of Regents, State of Iowa, and University of Iowa policies and procedures.

b. Employment eligibility. All newly appointed University employees must have their identity and their eligibility to work in the United States verified. The United States Citizenship and Immigration Services (USCIS), formerly known as Immigration and Naturalization Service (INS), Form I-9 is used to verify the employee's identify and eligibility to work.

The I-9 form must be completed by the third day of employment. Failure to complete the I-9 form in a timely manner or at all may subject the hiring department to penalties and fines from the federal government for failing to provide proof of work authorization. If a person is appointed who is not eligible to work, his or her employment must be terminated immediately upon learning he or she is not authorized to work. It is the hiring department's responsibility to ensure that a completed I-9 form is submitted to the Payroll Office.

c. Teaching, research, administrative, and professional staff. The appointments of vice presidents, provosts, deans, directors of major administrative units such as University Hospitals and Clinics, the Business Manager and Treasurer, and the Controller and Secretary are recommended by the President and approved by the Board of Regents. Initial appointments of assistant and associate deans and vice presidents, and directors of major administrative units, such as The University of Iowa Hospitals and Clinics, are reported to the Board of Regents before being appointed by the President upon the recommendation of the appropriate administrative officer. Initial appointments or promotions to positions of tenure are recommended by the appropriate administrative officer, approved by the President and are reported to the Board of Regents. Recommendations for appointment of other personnel are made by the appropriate administrative officer and approved by the President.

Payroll checks are issued by the Payroll Office on the basis of the finally approved departmental recommendations without further notifications from departmental executive officers.

(See also III-8 Conflict of Interest in Employment.)
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9.2 CREDENTIAL CHECK AT POINT OF HIRE.
(6/1/03; 9/03; 1/08)

Note: Effective January 2008, this policy has been revised. For the most current version without redlining, return to III-9.2.

a. Focus of check.
(1) Merit staff (temporary or regular):
(a) All hires in classifications that require a specific certification or license.

(b) Specific hires where the hiring selection was influenced by the representation of a higher education degree, certification, or license.

(2) Professional and scientific staff (temporary or regular): All hires.

(3) Faculty (temporary or regular): All hires.

b. Scope of check. In all cases, departments check the degrees, certifications, or licenses(1) that either are relevant to a hiring selection or that influences the setting of a salary. In most cases, departments need only check the highest-level credential represented on the candidate's resume or application. However, in some cases because of the position requirements, it is necessary to check the highest-level credential and/or the most directly relevant or any required credential related to a hiring decision.

c. Notice and timing of check.

(1) Candidates are informed during the interview stage that employment at The University of Iowa is contingent on a successful check of their credentials. This allows candidates to provide clarifying information, e.g., a degree obtained under a different last name. Departments secure a signed release from each candidate at the close of the interview. This permits the department to check credentials through a variety of methods including Degree Verify, the National Student Clearinghouse's electronic database. The release form can be downloaded at www.uiowa.edu/hr/administration/background_checks.html.

(2) If the offer letter is given to the candidate of choice prior to completion of the credential check, the offer letter reiterates that a credential check is being conducted and that University of Iowa employment is contingent on a successful outcome.

(3) Credential checks are conducted immediately upon selection of the candidate(s) of choice and completed no later than 15 days following the candidate's first day of employment.

d. Acceptable methodologies. Departments may use the following methodologies to carry out a credential check.
(1) For verification of license or certification:
(a) Verification through contacting the granting institution, or

(b) Verification through visual inspection of original certification or license.

(2) For verification of academic degree:
(a) Verification through the National Student Clearinghouse's electronic database, Degree Verify.(2) Verification via this method must be attempted before contacting the granting institution.

(b) If Degree Verify cannot verify a candidate's degree for any reason, including the granting institution is not included in Degree Verify's database, the hiring department may contact the granting institution directly. For faculty hires, if the contact is made by telephone, a dated, signed memo of the contact should be prepared by the person making the inquiry (countersigned by the DEO if he or she was not the inquirer), stating the name of the office and the name and title of the person who provided the verification.

(c) If Degree Verify cannot verify and a granting institution is not willing to release the information, then visual inspection of the original diploma or certified copy of a transcript may be used.

(3) Additional verification methods for faculty hires:
(a) A letter from the granting institution's graduate college, professional college, registrar, or other institutional office certifying that the candidate has received the degree or completed all of the requirements for the degree.

(b) A letter of reference on the granting institution's letterhead from the applicant's major adviser or department chair which includes language that clearly indicates that the candidate has received the degree or completed all of the requirements for the degree.

Note: Verification of professional credentials for faculty health care providers by one University of Iowa unit need not be redone by another (e.g., if M.D. degrees have been verified by the UIHC, a college may use their verification).

Colleges may set more stringent requirements, for example, disallowing verification by phone or requiring that a letter of reference from the major adviser is acceptable only if it states that the degree has been granted.

e. Documentation and record keeping.
(1) Departments list credentials on the Human Resources transaction (appointment or transfer) and identify whether a credential check has been completed. If the check is complete, the list also indicates which credentials were verified as relevant to the hiring selection or the setting of salary.

(2) Human Resources Information Systems (HRIS) departmental reports indicate incomplete credential checks. Colleges, divisions, units and departments are responsible for reviewing credential checks reports on a biweekly basis.

(3) All supporting documentation is be kept at the departmental level in the interview file, and in the event the candidate is hired, in the personnel file.

f. Falsification of credentials.
(1) Departments who believe a candidate has misrepresented a credential discuss the discrepancy with the candidate to provide a reasonable opportunity for the individual to provide clarifying information.

(2) If upon further review, it is the hiring department's judgment that a material misrepresentation has occurred, such that the candidate should no longer be considered for employment, or if already employed should be terminated, the department informs their Human Resources senior leadership representative (or dean, in the case of faculty) immediately. This person consults with University Human Resources (or the Office of the Executive Vice President and Provost in the case of faculty) and/or General Counsel before taking negative action.

(3) The disqualified candidate/employee is informed in writing of such action.

(4) If a disqualified candidate/employee seeks future employment at The University of Iowa, University Human Resources (or the Office of the Executive Vice President and Provost in the case of faculty) may informs the new hiring department. It is the responsibility of the hiring department to take into consideration this information in evaluating the candidate/employee and to adhere to steps 1-3 in this section.

g. Credentials acquired post-hire or corrections to existing information.
(1) If employees request a change in the HRIS credentials listing at any time post-hire, they notify the department, which then must verify the change per the methodologies identified above.

(2) When changing faculty credential information, a copy of the verification document should also be provided to the Associate Provost for Faculty Human Resources, 111 Jessup Hall.

2. Degree Verify is an electronic service sponsored by the National Student Clearinghouse that provides verification of higher education degrees. The Clearinghouse is a non-profit corporation, established in 1993, with an original mission to assist schools in their obligations to report student enrollment status. It has expanded its mission to degree verification. Verification can be completed at their website 24 hours per day/7 days per week. Typically, the response is immediate. However, if a degree pre-dates a participating school's electronic records, the response will typically take up to 24 hours. [back]
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9.3 CRIMINAL BACKGROUND CHECK AT POINT OF HIRE.
(12/1/05; 3/08)

Note: Effective March 2008, this policy has been revised. For the most current version without redlining, return to III-9.3.

a. Purpose of policy. To protect the University, its faculty, staff, and students, and members of the public who have dealings with the University from suffering physical, emotional, and financial harm while also protecting the privacy of individuals who apply to University positions. The policy is designed to enable the University to decline to hire any individual with a criminal conviction for a crime whose nature is judged to be sufficiently closely related to the position for which that person has applied such that hiring the person would be judged an unacceptable risk. Furthermore, the policy is designed to comply with federal and state regulations regarding certain types of positions.

The policy limits the application of background checks to those positions that entail particular risk. Aside from positions covered by state and federal regulations or by accreditation requirements (e.g., Joint Commission on Accreditation of Healthcare Organizations), positions requiring background checks will be comparatively unusual such that a clear and present justification can be made for the background check. In that spirit, the policy establishes procedures by which the decisions about whether or not to conduct a criminal background check will be made.

b. Focus of check. All merit, professional and scientific, faculty, and student staff positions, temporary or regular, that have been designated security sensitive by the appropriate dean or vice president are checked at the time of hiring.

c. Criteria and process for determining whether a position is security sensitive. There are two steps in determining whether a position should be designated as security sensitive:

(1) At a minimum, the domains listed below should be considered for their relevance to the position; other domains also may be relevant.

(2) If a domain is considered relevant to a particular position, then a determination must be made regarding whether the access, contact, or responsibility is of such a level that the University or persons in the University community would be at sufficient risk that a mandatory criminal background check on selected candidates for the position is warranted. For example, a position might involve cash/check handling and/or processing responsibilities that were of such low dollar value as not to constitute a significant risk requiring a background check.

d. Domains to be considered:
(1) access to secured or sensitive areas including, but not limited to, those containing cash or financial receipts;

(2) access to select agents (biological agents or toxins) and/or controlled substances;

(3) patient and/or child and/or dependent adult population contact, not including University students who are under the age of 18;

(4) cash/check handling and/or processing responsibilities;

(5) financial management and/or payroll processing responsibilities;

(6) security responsibilities;

(7) performance of duties related to critical infrastructure services or significant health or safety responsibilities;

(8) access to information technology: "root" or "administrator" access level to enterprise systems; "administrator" access level to institutional databases; unsupervised physical access to critical infrastructure services or systems such as telephone switch equipment, networking routers and switches, and data centers;

(9) supervisory duties related to the above.

e. Scope of check. The Senior Human Resources (HR) Leadership Representative in each college or division shall use the designated University vendor to verify social security number and conduct a criminal background check to include all counties and states of residence for the past seven (7) years. As appropriate in individual instances, an alternate designated by the vice president or dean or, in the case of faculty, the Assistant Director of Human Resources Associate Provost for Faculty, may conduct the check. Individual departments, in consultation with the Senior HR Leadership Representative, may have more comprehensive background check guidelines. Background checks for access to select agents will be conducted by the Department of Justice.

f. Designation, notice, and timing of check.

(1) At the time of a vacancy, positions shall be evaluated by the hiring department in consultation with the Senior HR Leadership Representative, and a written recommendation shall be made to the appropriate dean or vice president providing specific justification for the determination that the duties and responsibilities are such that the position should be designated security sensitive. The dean or vice president shall determine whether or not the position is security sensitive and, if so, then the position shall be so indicated on the requisition. For faculty positions, such determination shall be made also in consultation with the Office of the Executive Vice President and Provost.

(2) Candidates shall be informed at an appropriate point in the process that employment at The University of Iowa in this security-sensitive position is contingent on a declaration of conviction history and a successful criminal background check. The department shall secure from each candidate a signed release for the University to conduct a criminal background check on the candidate(s) of choice. Refusal to sign the release may constitute grounds for elimination from the candidate pool. The release form can be downloaded at www.uiowa.edu/hr/administration/background_checks.html. Departments should inform candidates that the declaration form will be requested of, and background check will be conducted on, only the candidate(s) of choice.

(3) When a department has selected (a) candidate(s) to whom to make an offer, the department shall ask the candidate(s) to provide their conviction history to the Senior HR Leadership Representative (a stamped and addressed envelope should be provided for this purpose), and remind them that a background check will now be conducted. Alternatively, for faculty, the form may be sent to the Assistant Director of Faculty Human Resources Associate Provost for Faculty. The declaration of conviction history form can be downloaded at www.uiowa.edu/hr/administration/background_checks.html.

(4) The Senior HR Leadership Representative shall conduct (a) criminal background check(s) through the designated University vendor upon selection of the candidate(s) of choice and shall complete a standard check no later than 15 days following the candidate's first day of employment. A more comprehensive check may require a longer period of time. In the case of faculty, the Assistant Director of Human Resources Associate Provost for Faculty may conduct the check.

(5) If the offer letter is given to the candidate of choice prior to completion of the background check, the offer letter shall reiterate that a criminal background check is being conducted and that University of Iowa employment in this security-sensitive position is contingent on its successful outcome.

g. Documentation and record keeping.
(1) Departments shall identify on the human resources transaction (appointment or transfer) whether the criminal background check is required and, if so, whether it has been completed.

(2) Human Resources Information System departmental reports will indicate incomplete criminal background checks. Senior HR Leadership Representatives are responsible for reviewing these criminal background check reports on a bi-weekly basis and acting appropriately on incomplete checks.

(3) The declaration form and materials acquired through a criminal background check shall be retained by the University only for those candidates who are hired or those who are not hired based on information acquired via the form or the background check.

(4) The Offices of the General Counsel, Hospital Human Resources, and, in the case of Carver College of Medicine faculty, the collegiate dean's office, shall maintain all acquired and supporting documentation in a confidential and secure location. Such records shall be retained for seven years in paper copy only and shall not be retained in any electronic file.

(5) All acquired and supporting documentation is confidential information, and individuals requesting access must provide compelling justification. The General Counsel, President, Hospital HR, or designee(s) shall determine whether a request for access to acquired and supporting documentation shall be granted.

(6) University Human Resources and the Office of the Executive Vice President and Provost will conduct an annual audit on positions checked and scope of checks to ensure reasonable consistency between colleges and divisions. The Office of Equal Opportunity and Diversity will periodically conduct a review of the process in order to assess potential disparate impact for members of protected groups.

h. Existence of a criminal record.
(1) When the background check reflects a criminal conviction, the Senior HR Leadership Representative, in consultation with University HR or, in the case of faculty, the Office of the Executive Vice President and Provost, shall evaluate the conviction in the context of all other available information, including the declared conviction history, to determine whether it is relevant to the specific job responsibilities of the position and whether hiring the person may constitute an unacceptable risk. Such information in possession of the University for purposes of evaluating employment is not considered a public record and shall be treated as a confidential personnel matter.

(2) If a preliminary judgment is made that the conviction has sufficient nexus to the position and that the hire may present an unacceptable risk such that further consideration is warranted, this information shall be discussed with the candidate to give the candidate a reasonable opportunity to provide clarifying information. Typically, the candidate will be contacted by the Senior HR Leadership Representative, together with a representative of University HR, Hospital HR, the Office of the General Counsel, or the Office of the Executive Vice President and Provost.

(3) After the candidate has provided clarifying information (or has not done so after having had a reasonable opportunity to do so), the Senior HR Leadership Representative shall present the evaluation of the information to the dean or vice president. The dean or vice president shall make a recommendation to University Human Resources (or the Office of the Executive Vice President and Provost, in the case of faculty) regarding whether the conviction is sufficiently closely related to the position and whether hiring the person may constitute an acceptable risk such that denial of employment is warranted. University Human Resources or, in the case of faculty, the Office of the Executive Vice President and Provost shall make the final decision on this issue in consultation with the college or division, as appropriate.

(4) If the final decision is that the conviction has significant nexus to the position and that the hire may present an unacceptable risk such that the candidate will no longer be considered for employment, or if already employed should be terminated, the Senior HR Leadership Representative or the dean/vice president shall provide written notification to the candidate/employee immediately.
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9.4 FILLING OPEN MERIT POSITIONS.
To employ Merit System staff, departments should notify Human Resources by means of the Personnel Requisition.

(See also www.uiowa.edu/hr/employment/mfillfaq.html.)
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9.5 RECRUITMENT AMONG COMMITTEE ON INSTITUTIONAL COOPERATION INSTITUTIONS.
(President 1/7/63; amended 2/98)

The presidents of the twelve institutions which are members of the CIC (Chicago, Illinois, Indiana, Iowa, Michigan, Michigan State, Minnesota, Northwestern, Ohio State, Penn State, Purdue, and Wisconsin) have fixed May 1 of each year as the date after which offers for faculty cannot be made by one CIC institution to the faculty of another CIC institution without the latter's consent.

The resolution reads as follows: "Inquiries about an individual's interest in and conversations concerning a new full-time, academic appointment are in order at any time of the year, but after May 1, an offer for an appointment at the assistant professor level or above, to take effect in the next academic year, will not be made unless the administrative head (usually the dean or his designated substitute) of the offering college, school, or institute, etc., has determined that the date at which the appointment is to take effect is agreeable to the administrative head of the college, school or institute, etc., which the individual will be leaving if he accepts the new appointment."
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9.6 AFFIRMATIVE ACTION EMPLOYMENT GUIDELINES.
(Provost 3/6/72; 9/93; 9/97; 9/02; 3/04; 5/04; 11/04)

The guidelines below are followed in the filling of all open positions:

a. Records of efforts made to locate qualified women and minority group members (e.g., individuals contacted, published notices, and copies of letters) are kept by office and departmental administrative personnel for review.

b. Notices.

(1) Notices of available positions are published in local, regional, and national publications where appropriate.

(2) Notices may not specify any preference, limitation, or specification based on sex unless sex is a bona fide occupational qualification for the available position.

(3) A statement that The University of Iowa is an Equal Opportunity and Affirmative Action Employer is included in each notice.

(4) A professional and scientific or administrative position is registered with Human Resources, after which it is advertised for ten working days. Departments are notified of the earliest date on which the position may be filled.

(5) A Merit System position is registered with Human Resources after which it is advertised for a minimum of five working days.

(6) Registration for Professional and Scientific staff is accomplished by forwarding the appropriate personnel requisition through regular channels to the Associate Vice President/Director of Human Resources.

(7) Faculty and professional and scientific positions that are 50 percent or more time and extend for one year or more require a search which must comply with the affirmative action procedures at the University. Please consult the Office of Equal Opportunity and Diversity's Recruitment Manual for Faculty and Professional and Scientific Searches or contact the Office of Equal Opportunity and Diversity for more information about search requirements and procedures.

c. Application and appointment forms do not require different information for men and women.

d. Information requested during interviews is the same for both male and female candidates.

e. Salaries are determined on the basis of merit only. Such factors as marital status, number of dependents, spouse's income or other sources of income are not considered in setting salaries.

f. Employment of relatives. See III-8 Conflict of Interest in Employment (Nepotism).

g. Affirmative Action and Tenure. See III-10 Tenure and Non-Tenure Appointments.

h. Employment of individuals with disabilities.

(1) Applicable federal and state law prohibits discrimination against qualified individuals with disabilities in employment practices such as job application procedures, hiring, promotion, discharge, compensation, training, benefits, and other conditions of employment. See also II-7 Disability Protection Policy. For more information about accommodations and about when an essential job functions analysis is required, please contact the Office of Faculty and Staff Disability Services.

(2) For information about job application and employment of individuals with disabilities, see www.uiowa.edu/hr/fsds/index.html.

(3) For inquiries about and complaints of discrimination, see www.uiowa.edu/~oaa.

i. Temporary appointments.
(1) A temporary appointment is considered a short-term appointment to meet an emergency, such as when a position is vacated unexpectedly, or to meet temporary needs of the University. Temporary appointments may be made for one year or less to a faculty or professional and scientific position that is 50 percent (1040 hours) or more time without the requirement of an affirmative action search. Affirmative action searches are not required for faculty or professional and scientific positions that are less than 50 percent time (1040 hours), regardless of the length of appointment. Temporary appointments of less than 50 percent (1040 hours) will not be subject to the one-year appointment limitation.

(2) If during the term of the 50 percent (1040 hours) or greater temporary appointment the department anticipates the position extending beyond one year, then an affirmative action search must be completed as soon as possible and no later than within one year of the start of the initial temporary appointment. An affirmative action search also must be completed in the event that a temporary appointment of less than 50 percent (1040 hours) is increased to 50 percent (1040 hours) or more time and is expected to extend beyond the initial one-year temporary appointment. Exceptions include appointment in classifications designated on an annual basis by Compensation and Classification as experiencing a labor shortage.

(3) Limited extensions of temporary appointments of 50 percent (1040 hours) or more time beyond one year are permitted in extenuating circumstances with the prior approval of the Office of Equal Opportunity and Diversity.

(4) Temporary appointments held by retirees are subject to the standards outlined above, with the exception of those classifications designated on an annual basis by Compensation and Classification to be experiencing a labor shortage.

(5) The Office of Equal Opportunity and Diversity establishes search procedures for affirmative action searches. Contact the Office of Equal Opportunity and Diversity for more information about search procedures.

9.7 MOVING EXPENSES.
(Amended 3/05)

Department heads or designees may authorize payment of moving expenses for new faculty and staff members from departmental funds if they are available and have been prioritized for such use by the dean or vice president. Eligibility, limitations, and procedural requirements are as follows:

a. Eligibility.
(1) Minimum rank of assistant professor, or comparable ranking staff.

(2) Persons expected to be employed on a continuing basis.

Requests for eligibility exceptions should be directed to the Business Manager prior to committing to an allowance.

b. Limitations.

(1) The University allows payment of certain packing, unpacking, and insurance costs from the former residence to the new local residence.

(2) Payment is limited to charges for moving household goods. The University does not allow payment of charges for moving pets, vehicles, boats, or firewood. Inquiries regarding questionable items should be directed to the University Business Manager prior to arranging the move.

(3) Storage charges are not reimbursable.

(4) Charges to General Fund accounts are limited to $3,500. Charges in excess of $3,500 require approval of a dean or vice president and a departmental account. Reimbursement for the use of rental trucks is permissible.

(5) This policy does not apply to the moving of laboratory and/or office equipment. Contact the University Purchasing Department for these procedures.

c. Procedure.

(1) The department head or designee notifies the University Business Manager by submitting the Moving Authorization Form. This notification includes name, address, social security number, telephone number, rank, date of appointment, allowance, and the departmental account(s) to be charged.

(2) The Business Manager informs the eligible person of the University's moving policy and assists in coordinating the move. A copy of the letter is sent to the department head.

(3) The University contracts with the local office of a national moving firm for moving services. Information on this moving company is provided to the incoming faculty/staff so they may contact the company(ies) to obtain estimates and initiate their move.

(4) The Business Manager issues a letter of authorization to the moving company informing them of the faculty/staff allowance.

(5) The moving company bills the University directly for the amount authorized and collects the balance upon delivery from faculty/staff. Incoming faculty and staff may utilize other moving companies; however, charges above the contract mover price are not reimbursable.

(6) Departments wishing to utilize Foundation account funds should provide written authorization along with the account to the Business Manager.

(7) The Business Manager will arrange for payment of moving expenses in accordance with the above procedures.

9.8 DIVERSITY IN EMPLOYMENT GUIDELINES.
(4/05)

The guidelines below are followed in the filling of all positions for executive/administrative/managerial staff (at the level of pay grade 12 or higher in the professional and scientific classification system) and for faculty appointments with significant administrative responsibilities:

As a requisite job qualification, a statement must be included in the position announcement that candidates and/or applicants be able to demonstrate job-related experience with and/or commitment to diversity in the work/academic environment.

Examples of language that may be used in advertisements to satisfy this requirement are listed on the Office of Equal Opportunity and Diversity's web site at www.uiowa.edu/~eod/searches/manual/advertising/diversity.html.

For further information, contact the Office of Equal Opportunity and Diversity, 202 Jessup Hall, or see www.uiowa.edu/~eod.

(See also III-9.6 Affirmative Action Employment Guidelines.)
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