STATE OF CALIFORNIA
Department of Human Resources
Memorandum
TO: Personnel Management Liaisons (PML)
SUBJECT:
Best Hiring Practices
REFERENCE NUMBER:
2014-020
DATE ISSUED:
08/18/14
SUPERSEDES:
This memorandum should be forwarded to:
Personnel Officers
Personnel Transactions Supervisors
Employee Relations Officers
Equal Employment Opportunity Officers
FROM: Department of Human Resources
Personnel Management Division
CONTACT: Personnel Management Division
This Policy Memorandum sets forth best hiring practices designed to ensure that departments
select the most qualified candidates following a fair and rigorous hiring process. This guidance
provides an overview of the hiring process with links to informational resources and tools to
assist hiring authorities in every phase of the process. In concert with this policy, the California
Department of Human Resources (CalHR) has training available and listed on the current fiscal
year training calendar that provides more detailed direction and resources in an interactive
setting.
Throughout the hiring process, departments should work closely with their respective Human
Resources Office (HR), Equal Employment Opportunity Office (EEO) and legal offices to ensure
compliance with applicable laws and rules, internal department processes, and provisions of
relevant bargaining contracts.
I. Duty Statement
Creating the duty statement is the first critical step of any hiring process. The hiring authority
must prepare a detailed and accurate duty statement for the vacant position for which it is hiring.
An accurate and thorough duty statement provides potential candidates with a clear description
of the position, and also identifies essential and non-essential tasks and duties that are
consistent with and appropriate for the classification specification. CalHR has developed the
Virtual Help Desk for Supervisors and Managers, which provides detailed guidance about how
to create an accurate duty statement.
Duty statements are critical because they identify the position qualifications, additional desirable
qualifications, working conditions, and the reporting relationships. Even after the hiring process
is complete, supervisors are responsible for maintaining accurate and up-to-date duty
statements for each position. An accurate duty statement is also the hiring authority’s first
opportunity to establish the business justification for a background check, drug testing, credit
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check, or more extensive interviews that may be required. For example, because law
enforcement positions often involve work of a very sensitive nature and securing the safety of
others, almost all law enforcement positions will require some form of background check.
Therefore, it is critical that duty statements for law enforcement positions clearly identify the
sensitive and safety related tasks that establish justification for conducting a background check.
Best Practice: Create a duty statement which provides a clear description of the position and
identifies essential and non-essential tasks consistent with, and appropriate for, the
classification specification [see the Department of Rehabilitation’s Employment Today
presentation on Duty Statements].
II. Advertisement
Positions are generally advertised for a minimum of 10 working days on CalHR’s website
through a Job Opportunity Bulletin (JOB). Departments may also advertise their positions on
their internal and external websites. The 10-day minimum is consistent with the 10-day
requirement for posting of examination bulletins as found in the Merit Selection Manual Section
3300.
The JOB should include a description of the duties, working conditions, desirable qualifications,
and any other job related information. For example, if the position requires a background check
it must be referenced in the JOB. Providing all the relevant information regarding the position in
the JOB will assist candidates in determining whether they meet the minimum qualifications,
and if they are able to perform the duties with or without reasonable accommodation.
Best Practice: Advertise vacant positions for 10 working days and include, at a minimum, a
description of the duties, working conditions, desirable qualifications, and any other job related
information.
III. Application Screening Process
Departments may direct applicants to submit the application either to HR or to the hiring
supervisor. Regardless of who receives the application first, both HR and the hiring supervisor
play a critical role in the screening process and should work collaboratively to review the
application to ensure that the applicant has the necessary education, work experience, and
licenses or certificates required for the position.
Before applications are reviewed, the hiring supervisor should develop job related screening
criteria that directly relate to the minimum qualifications and the duties of the position.
In addition, HR reviews the application to ensure the candidate has list, transfer, or some other
form of eligibility for appointment to the position. HR is ultimately responsible for determining if
the applicant meets the minimum qualifications for the position and has eligibility for
appointment. In some cases, HR will need to request additional information, which may include
documents, to determine if the candidate meets the minimum qualifications and has eligibility.
HR will also inform the hiring supervisor if an applicant must be given priority due to
SROA/Surplus eligibility in the hiring process. The California State Restriction of Appointments
(SROA) Policy and Procedures can be found on CalHR’s website.
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Both the hiring supervisor and HR are responsible for reviewing applicable bargaining unit
contracts to ensure compliance with any provisions that may govern the hiring process such as
post and bid, seniority, or other terms that relate to filling vacancies.
Best Practice: Clearly identify HR and supervisor roles and responsibilities in the screening
process. Develop job related screening criteria that directly relate to the minimum requirements
and the duties of the position. Review the application to determine if the candidate meets the
minimum qualifications for the position and has eligibility for appointment.
A. Application Screening Criteria
Developing screening criteria is another critical part of the hiring process. Hiring authorities
should identify and document job related knowledge, skills and abilities (KSAs) and use them as
a basis for developing the screening criteria. For example, if the position requires editing skills
and attention to detail, the hiring authority might consider making the existence of significant
typographical errors or missing information in the application or the cover letter one of the
screening criteria. In contrast, it would not be appropriate to establish screening criteria
requiring an applicant to have knowledge of accounting if the essential functions of the position
do not involve accounting duties. Screening criteria must be based on job qualifications that
relate to the vacant position. Once the screening criteria are developed, the hiring authority
should use those criteria to identify the most qualified candidates to interview. Screening
criteria should directly link to the KSAs. Information and a sample candidate screening matrix
can be found on Page 4 of the Selection Process Module from the Virtual Help Desk for
Supervisors and Managers.
Screening criteria may be modified after the initial review of the applications if the hiring
authority determines that none of the applicants possess the initial desirable qualifications. For
example, if a department is looking for a candidate who possesses specialized technology
experience and none of the candidates has this background, it would be appropriate to modify
the screening criteria to include a comparable job related area of expertise.
Finally, hiring supervisors should maintain a copy of the criteria used to evaluate each candidate
for their records. This record verifies that you conducted a fair, impartial process using
screening criteria directly related to the KSAs for the position. It is also a critical record if you
are later required to defend your hiring process.
Best Practice: Develop screening criteria based on job related KSAs, which have a legitimate
nexus to the duties of the actual vacant position. Apply those criteria in the screening process
and keep a record.
B. Supplemental Screening
Some positions may require supplemental screening. Examples of supplemental screening
include:
Background Investigation
Credit Check
Criminal Conviction Record Check
Drug Testing
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Fingerprinting/Live Scan
Psychological Screening
Tax History Check
Supplemental screening such as those listed above should only be conducted if the hiring
authority has established the screening is job related and required by business necessity. They
are often subject to specific laws and regulations regarding when and how they may be
conducted. HR should work with its legal office to confirm the current legal authority for a
particular supplemental screening before it is conducted.
Hiring authorities should also be aware that Assembly Bill 218 (Dickinson, 2013) enacted Labor
Code section 432.9 which became effective on July 1, 2014. Labor Code section 432.9
prohibits a state agency from asking an applicant to disclose information regarding a criminal
conviction, until the agency has determined the applicant meets the minimum qualifications for
the position. This prohibition does not apply to positions where criminal conviction history
checks are required by law, to any position within a criminal justice agency or to any individual
working on a temporary or permanent basis for a criminal justice agency on a contract basis or
on loan from another governmental entity.
Although supplemental screenings may be permitted at various points in the hiring process, as a
practical matter, most departments do not actually complete the supplemental screening until
they have identified the most qualified candidate(s).
In all cases, and regardless of when a department conducts the supplemental screening, it is
critical to note that when conducting supplemental screenings, a hiring authority must be able to
demonstrate that the screening is job related and justified by business necessity.
Best Practice: Conduct background or other types of hiring inquiries only when they are
supported by law or policy, are related to the job, and are required by business necessity.
When appropriate, conduct the additional hiring inquiry after you have identified the most
qualified candidates, instead of immediately after determination that the applicant meets the
minimum qualifications.
IV. The Interview
The interview is the hiring authority’s primary opportunity to assess a candidate’s qualifications
and potential for success on the job. It is important to ask candidates open-ended, job related
questions. It is also important to ask each candidate the same set of questions during the
interview. However, you may ask each candidate specific questions related to his or her
application or work experience. Accordingly, you may ask a candidate follow-up questions to
clarify specific experience that is listed on his or her application. If you are interviewing both
internal and external candidates, it is inappropriate to develop questions that require internal
knowledge gained only from working at the hiring department. Such questions are
impermissible because they create an unfair advantage for internal candidates.
Evaluation and rating criteria should be established when you develop your interview questions.
Similar to the application screening criteria, evaluation and rating criteria must be based on job
related qualifications. The evaluation and rating criteria should assess the candidate’s
responses to the interview questions relative to education, experience, communications skills,
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transferable skills, and other job related qualifications. The evaluation and rating criteria for
each candidate should be maintained by the hiring authority.
It is recommended that the interview panel be comprised of two to three panel members. You
should create a diverse panel that includes individuals who are at the same level or above the
classification for which you are recruiting. The final hiring decision should be made by the
supervisor or manager.
Remember that you must be able to substantiate that your final candidate was selected based
upon a fair and objective assessment of job related qualifications. This is an integral part of the
merit-based, competitive selection process.
The following describes a variety of methods of conducting interviews:
A. Patterned Interview
Candidates appear before a panel of two or more evaluators who ask each candidate the same
predetermined questions, evaluate candidates' responses, and assign ratings based on
previously defined rating criteria. The questions usually have model answers with a correlating
points system that scores the candidate with points for every correct element covered by the
candidate in answering the question.
B. Structured Interview
Prior to appearing before the interview panel, candidates are given a specified amount of time to
prepare responses to predetermined questions or problems. Candidates' responses are
generally discussed with the panel during the interview.
C. Written Exercise
Candidates are given a topic and asked to prepare a written narrative response. Generally, 15
to 30 minutes of the interview is set aside for this purpose. The written product is then
subsequently evaluated to assess both the applicant's writing ability and the ability to organize
and integrate information and ideas.
D. In-Box Exercise
The in-box exercise evaluates the candidate’s ability to prioritize and/or identify the appropriate
action to take to complete the job related tasks. Candidates sometimes perform a job related
mock assignment.
E. Behavioral-Based Interview
Behavioral-based interviewing is premised on the concept that the best predictor of a
candidate’s future performance is past performance. Interview questions are built around
specific job related activities previously performed by the candidate. The interviewer asks the
candidate to describe what they have actually done rather than what they would do in a ‘what if’
situation. To find more information on behavioral-based interviews, see Page 3 of the Selection
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Process Module in the Virtual Help Desk for Supervisors and Managers or the Leadership
Competency Model Behavioral Interview Guides Presentation.
Sample interview guides and questions can be found on CalHR’s website.
Helpful Tips
When scheduling interviews, inform each candidate of the type of interview, i.e.,
written or in-box exercises, so that he or she can request and receive reasonable
accommodation, if needed.
Request each candidate bring a list of references to the interview.
Provide each candidate with a current duty statement either before or during the
interview. You may also provide an organization chart or other information.
If candidates have been provided with a copy of the questions during the
interview, remember to retrieve the questions at the conclusion of the interview.
Ask each candidate if you may contact their current supervisor for a reference.
Some applicants may not inform their supervisor they are seeking other job
opportunities.
During the interview, ask each candidate if he or she has any questions.
Advise candidates if a second round of interviews will be conducted.
Inform candidates when you expect to reach a final decision.
If you miss that deadline, keep in touch with all candidates to let them know you
are still completing the process. Remember, they are waiting to hear from you,
and keeping candidates updated will have a positive reflection on your
organization.
Best Practice: Select the most appropriate interview method for the position. Use the same
interview method for all candidates for the same position. Ask open-ended, job related
questions. Always establish and apply consistent evaluation and rating criteria to each
candidate and retain a written record of the criteria.
V. Verification of Employment History and References
Another critical component of the hiring process is reviewing the top candidates’ Official
Personnel File (OPF) and checking references.
A. Personnel File Review
If the candidate is already a state employee, you may request authorization to access his or her
OPF by asking the candidate to complete and sign a standard release form. A sample form for
authorization to review personnel file(s) can be found on Page 6 of the Selection Process
Module from the Virtual Help Desk for Supervisors and Managers. Once the candidate has
signed the release form, contact HR at the candidate’s current employer to request an
appointment to review the file and a printout of the candidate’s state employment history.
Information for reviewing a personnel file can be found on Page 6 of the Selection Process
Module from the Virtual Help Desk for Supervisors and Managers. A list of transaction codes
that you may find when reviewing a personnel file can be found on CalHR’s website. It is
important to base your hiring decisions solely on information that is job related and appropriate
for consideration. For instance, you should not make an adverse hiring decision based on low
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leave balances. Do not assume that a low leave balance indicates an attendance problem.
Employees are entitled to use all leave balances as approved by the supervisor. Low leave
balances could be related to a reasonable accommodation or other appropriate use of approved
leave. Staff in your HR and EEO offices can help you determine the types of information you
are permitted to consider in reaching your final decision.
B. References
One of the most valuable means of gathering information about candidates is conducting
reference checks. This step should never be skipped, regardless of how quickly the position
must be filled. As a prospective employer you must seek job related information regarding your
candidates in order to make an informed hiring decision. As part of this process, it is important
to speak with current and former supervisor(s). Private sector employers are sometimes
reluctant to provide a detailed reference; however, they will almost always verify employment
dates. Check all the information you receive against the information provided by the candidate.
If the candidate failed to provide the name or phone number of a prior supervisor or indicated a
supervisor was ‘retired’ or ‘unavailable,’ you should call the prior appointing authority to find out
if there is anyone who will provide a reference for the candidate. Failure to provide this
information may be inadvertent, but it does not relieve you of the duty to complete as thorough a
reference check as possible. Most HR staff will provide information if there was a serious
problem with the candidate or will provide the name of some other person who has the ability to
provide a reference. Finally, a hiring authority may also call additional references not listed on
the candidate’s reference list.
Remember you may only consider information that is relevant and directly related to the
candidate’s ability to perform the duties of the position. If information you obtain from a
reference check is not related, you may not rely on it in rendering your final hiring decision. If
you are uncertain about whether you can rely on extraneous information provided by a hiring
reference, consult with your HR or legal office.
Following are some helpful resources regarding conducting reference checks:
1993 PML Guidelines for Conducting Employment Reference Checks
Selection Process Module from the Virtual Help Desk for Supervisors and Managers
Sample Reference Check Completion Form
Sample Employment Reference Questions
C. Social Media
As more and more information becomes publically available on the Internet and social media
sites, you may be tempted to search the Internet for information about your candidate at some
point during the hiring process. There are some potential pitfalls you should consider prior to
accessing social media to search for information about your candidate.
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Labor Code section 980 prohibits an employer from requiring or requesting an employee or
applicant to (1) disclose a username or password for the purpose of accessing the employee’s
or applicant’s personal social media, (2) access personal social media in the presence of the
employer, or (3) divulge personal social media use (with limited exceptions for the investigation
of employee misconduct). The law currently does not prohibit an employer from accessing
public information not protected by a password.
However, although it is not illegal to access public, or non-password protected information, there
are risks in checking social media sites. For example, if you check the internet and discover
information that reflects that the candidate is a member of a protected class, and then you
subsequently hire a different candidate, you could inadvertently bring into question whether you
improperly considered that protected status in reaching your hiring decision. This is another
reason why all hiring decisions should be well documented and based solely on legitimate job
related considerations.
Best Practice: Get a signed release from the candidate to review their OPF. Compare all the
information provided by the candidate with that in the OPF. Call the references provided by the
candidate and additional references not provided by the candidate to make an informed
evaluation. Consider only information that is job related.
VI. Selecting the Candidate
After you have completed the steps above, consult with HR before extending a conditional offer
to your proposed candidate. A written conditional offer sample can be found on CalHR’s
website. The offer should be conditional so that you can follow up with HR to ensure that the
candidate has submitted all required documentation to support the selection and that there are
no outstanding issues that might prevent extending a final offer. A final offer including rate of
pay should be made after all hiring procedures are completed and the parties have resolved any
outstanding issues or questions regarding the position. Prospective employees usually ask to
give a former employer at least two weeks notice to accept a new position. Within state service,
the candidate’s current appointing authority may retain the employee for up to 30 days if the
position is considered a lateral transfer (a position with equal or similar pay).
Best Practice: Verify that all hiring procedures and requirements are completed before making
an initial or final offer.
VII. Follow-Up
It is important to complete timely follow-up with each candidate who participated in the hiring
process by notifying those who were not selected. They may be potential candidates for future
positions. A follow-up letter that notifies the candidate that s/he did not receive the position and
expresses gratitude for their interest in the position can be found on CalHR’s website.
Best Practice: Send a timely follow-up letter to each candidate who participated in the hiring
process.
VIII. Probationary Period
Selection of the candidate does not end with the offer and acceptance of the position.
Government Code section 19171 requires that a probationary period be completed: (a) when
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an employee enters or is promoted in the state civil service by permanent appointment from an
employment list, (b) upon reinstatement after a break in continuity of service resulting from a
permanent separation, or (c) after any other type of appointment situation not specifically
excepted from the probationary period requirement by statute or by board rule. This
probationary period is considered part of the selection process. Government Code section
19172 requires a department to regularly evaluate the work and efficiency of the probationer. It
is important that this evaluation be in writing. If a department determines that a probationer
must be rejected on probation, the department must be able to demonstrate that the probationer
was provided both notice of his or her performance deficiencies and an opportunity to correct
them.
Best practice: Continue to evaluate and document the probationer’s work and efficiency
through the probationary period.
IX. Retention
Your hiring package should be carefully collected and retained consistent with your
department’s retention schedule. Remember, your hiring package is the record that you
conducted a fair and objective hiring process. For information on recordkeeping, please see
Title 2, California Code of Regulations section 11013 and State Administrative Manual section
1600.
Best Practice: Collect and retain all records of the hiring process. These are part of your
defense if your process is challenged.
For questions regarding this PML, state department personnel offices should contact CalHR’s
Personnel Management Division (PMD) by emailing questions to pmd@calhr.ca.gov or calling
their PMD consultant.
/s/Rosemary E. Sidley
Rosemary E. Sidley, Chief
Personnel Management Division
