Live Scan Fingerprint Background Check

Background checks are required for individuals under consideration for hire or appointment into critical staff and student employment and volunteer positions; current employees who are reclassified, transferred, demoted or promoted into critical positions; current employees and volunteers who are assigned duties such that their positions are designated as critical. Critical position designation is in accordance with the UC Critical Functions Guide. Background checks may include but are not limited to: review of an individual’s criminal history; review of DMV records; verification of required license, certification or degree.

UCSC criminal history background checks are conducted using the California Department of Justice (DOJ) Live Scan System. Digitally captured fingerprints and other key data points are used by DOJ to gather statewide criminal conviction information going back to age 18 or younger where possible. A DOJ FBI check is also required when the individual has resided outside of California within the last 10 years.

DOJ Live Scan services are provided by UCSC Mail Services on a walk-in or appointment basis. Walk-ins are accepted Monday and Thursday from 9am-Noon. Appointments can be made by calling 459-2764. Live Scan results are processed by Staff Human Resources Employment.

For information on the campus’s Background Check Policy including critical position designation contact Amelia Kile, Assistant Employment Manager at ackile@ucsc.edu or 459-4076.

Process Overview: Initial Live Scan Fingerprint Background Check

Initiation

Applicant/employee/volunteer:

Staff Human Resources (SHR) Service Team Representative:

    • Completes Section II of the BIR form; routes original to SHR Employment and provides a copy to the applicant/employee/volunteer.
    • Completes Section II of the Live Scan Service Request form; provides original to the applicant/employee/volunteer; retains a copy for their file.

Applicant/employee/volunteer:

    • Proceeds to UCSC Mail Services to begin background check process. Social Security Number, picture ID and original Live Scan Service Request form must be provided to Live Scan technician before for services can be rendered.

UCSC Mail Services:

    • Conducts Live Scan and transmits data to California Department of Justice (DOJ).
    • Completes Section III of the Live Scan Service Request form. Routes copy to Service Team Representative. Original is routed to SHR Employment after DOJ Billing statement is received.

Results Processing - No Records Found

SHR Employment:

    • Notifies Service Team Representative via email when Live Scan results contain no criminal history. Results containing no criminal history will be processed weekly. (Note: SHR Employment normally receives an initial response from DOJ within 3-5 business days after Live Scan was transmitted. On occasion, DOJ will respond with a “delay” notice. DOJ delay periods vary and have been known to last 6 months or longer.)
    • Updates the Employee Background Check (EBCC) screen in the Payroll/Personnel System (PPS) where appropriate.

SHR Service Team Representative:

    • Notifies Hiring Authority when DOJ results reveal no criminal history.
    • Destroys all hard copy and electronic documentation related to the Live Scan process.

Results Processing - Criminal History Returned

SHR Employment:

    • Reviews DOJ web site on a daily basis and responds immediately to any results containing conviction history. Conviction information is relayed via phone or in-person to relevant Employee Relations (ER) Supervisor. (Note: A delay in response may occur if BIR has not been properly routed.)

ER Supervisor:

    • Consults with Hiring Authority when criminal history is returned.

Hiring Authority:

    • Consults with ER Supervisor and makes final decision regarding individual’s suitability for employment in the critical position. (Note: Consultation with Campus Police, Risk Management and other areas of Staff Human Resources maybe necessary to determine suitability of employment in critical position when criminal history is revealed.)
    • Communicates decision to ER Supervisor.
    • Destroys all hard copy and electronic documentation related to the Live Scan Process.

ER Supervisor:

    • Notifies SHR Employment of final decision regarding suitability for employment.
    • Destroys all hard copy and electronic documentation related to the Live Scan process.

SHR Employment:

    • Update the Employee Background Check (EBCC) screen in the Payroll/Personnel System (PPS).

OR

Records Reconciliation

SHR Employment:

    • Uses original BIR and Live Scan Service Request forms to verify accuracy of DOJ Billing statement; notifies Mail Services of any discrepancies.
    • Maintains records in accordance with campus Records Retention Guidelines, and applicable State and Federal laws.

Subsequent Conviction Notice Program

UCSC employees and volunteers in critical positions are required to immediately report any subsequent convictions to his/her direct supervisor. Failure to do so may be sufficient reason to take disciplinary action up to and including dismissal. In addition, the DOJ will notify the University when an individual who previously underwent a Live Scan background check has subsequent conviction activity.

Employee/volunteer in critical position:

    • Immediately reports any subsequent convictions to his/her direct supervisor.

SHR Employment:

    • Receives subsequent notice from DOJ; notifies relevant ER Supervosor via phone or in person.

ER Supervisor:

    • Consults with Hiring Authority.

Hiring Authority:

    • Reports subsequent convictions for individuals in cash handling positions to the Campus Risk Manager. http://policy.ucop.edu/doc/3420337/BFB-BUS-49
    • Consults with ER Supervisor and makes final decision regarding individual’s suitability for employment in the critical position. (Note: Consultation with Campus Police, Risk Management and other areas of Staff Human Resources maybe necessary to determine suitability of employment in critical position when criminal history is revealed.)
    • Destroys all hard copy and electronic documentation related to the Live Scan process.
    • Communicates decision to ER Supervisor.

ER Supervisor:

    • Notifies SHR Employment of final decision regarding suitability for employment.
    • Destroys all hard copy and electronic documentation related to the Live Scan process.

SHR Employment:

    • Processes DOJ No Longer Interested (NLI) form when final decision is to terminate or not place into a critical position.
    • Maintains records in accordance with campus Records Retention Guidelines, and applicable State and Federal laws.

Employee/Volunteer no Longer in a Critical Position

The University is required by law to notify the California Department of Justice when we no longer require subsequent conviction information for an employee or volunteer. This applies to employees or volunteers who separate from the University or move into a non-critical position.

SHR Service Team Representative:

    • Completes Section I of the DOJ NLI form and routes to SHR Employment.

SHR Employment:

    • Completes Section II of the DOJ NLI and routes to DOJ.
    • Maintains records in accordance with campus Records Retention Guidelines, and applicable State and Federal laws.

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Revised October 2015

Last modified: June 12, 2017 128.114.113.74