Once the EDB preparer has finished entering the information for a new hire, he/she must submit the required forms to the appropriate central offices. Some of these forms may also be required for changes in work authorization, visa status and citizenship status. Personnel changes may also require submission of some of the forms that follow or others specific to the personnel actions. These forms will be listed in the various personnel sections that follow.
Included in this section are the following forms and additional information:
B11.1 Oath and Patent (UPAY 585)
The State Oath of Allegiance must be signed by all persons -- other than aliens -- who are employed by the University, with or without compensation, on or before the first day of the service period:
The date the employee signs the Oath is entered on the EPD2 screen. All persons re-employed by the University after a separation must sign a new Oath if the date of re-employment is more than one year after the date on which the previous Oath was signed. The Oath Signature Date is found on the IGEN screen in EDB Inquiry in order to determine when an employee last signed the Oath.
When completing the Oath and Patent acknowledgement, please keep in mind the following:
A sample of the signature page of a completed Oath & Patent is shown below.
B11.2 Employment Eligibility Verification Form (Form I-9)
Immigration Reform and Control Act of 1986 (IRCA) required all employers to verify the identity and employment eligibility of anyone hired after November 6, 1986. The law requires employers to:
The University of California may employ only individuals who are legally authorized to work in the United States. The Form I-9 is used to verify the identity and employment eligibility of employees in order to comply with the Immigration Reform and Control Act. It is important to understand the significance of the I-9 requirements. Departments who fail to properly complete I-9 Forms for employees may be assessed penalties of up to $500.00 per occurrence. It is the department representatives responsibility to ensure that the I-9 form is completed in a timely manner. It is important to have the current version of Form I-9 completed within the specified time frame. The current version is dated 11/91.
Departments are responsible for ensuring compliance with the following procedures and requirements: Departments should notify applicants being interviewed for job openings of the verification procedure which will be followed should they be hired. It should be emphasized that employment is contingent upon the applicants ability to provide acceptable documentation of identity and right to work in the U.S. within the specified time limits.
The University requires a Form I-9 for all newly hired employees. The Act defines an employee as "an individual who provides services or labor for an employer for wages or other remuneration." Therefore, all staff (career, limited, and per diem), academic, and student employees working part-time or full-time with a hire date after November 6, 1986 are subject to employment verification. Employees rehired after a break in service are considered new hires for the purposes of compliance with this Act.
Hiring departments must verify the employment eligibility of employees within three business days of the date of hire; or in the case of 9-month or academic year employees, within three days of the date the service period begins, or within one business day of the date of hire if the employment duration is less than three business days.
How to Complete the Form I-9
Section 1 - Have your employee complete Section 1 at the time of the hire by filling in the correct information and signing and dating the form (see sample below). If your employee cannot complete Section 1 by themselves or if they need the form translated, someone may assist them. The preparer or translator must read the form to the employee, assist him or her in completing Section 1, and have the employee sign or mark the form in the appropriate place. The preparer or translator must then complete the Preparer/Translator Certification block on the Form I-9. The department is responsible for reviewing and ensuring that the employee fully and properly completed Section 1.
Section 1: Completed by the EMPLOYEE
STEP 1 - Fill in the Personal Information
STEP 2 - Check the box for work eligibility
Fill in other information if applicable.
STEP 3 - Read, sign, and date.
STEP 4 - (Preparer/Translator only)
Read, fill in information, sign, and date.
Section 2 - The employee must present to you an original document or documents that establish identity and employment eligibility. Some documents establish both identity and employment eligibility (List A). Other documents establish identity only (List B) or employment eligibility only (List C). Employees can choose which document(s) they want to provide from the lists of acceptable documents.
You must examine the ORIGINAL document or documents presented by the employee and then fully complete Section 2 of the I-9. Record the title, issuing authority, number and expiration date of the document(s). If the document does not have an expiration date enter N/A in the expiration date field. Fill in the date of hire or the date service period begins in the blank space within the text of the Certification portion of Section 2. Completion of the hire date is absolutely required. Sign and date the Form I-9.
You must accept any document from List A or combination of documents from List B & List C presented by the employee which reasonably appear on the face to be genuine and to relate to the person presenting them. You may NOT specify which document(s) an employee must provide.
Section 2: Completed by the EMPLOYER
STEP 5 - Examine the document(s) and fill in the document title, issuing
authority, number, and expiration date (if any) in the space provided.
STEP 6 - Read, fill in information (including the date employment begins in
the certification), sign, and date.
Section 3 - This section is used for reverifying eligibility to work for non-U.S. citizens (aliens) who originally had expiration dates on work authorization documents. It is also used for documenting eligibility to work in cases of employee name change and for documenting an employee's status change to citizenship.
Section 3: Completed by the EMPLOYER
STEP 7 - Fill in new name and/or date of current employee
STEP 8 - Examine the document(s) and fill in the document title, issuing authority, number, and expiration date (if any) in the spaceSTEP 9 - Read, sign and date
Section 3 is to be completed ONLY in cases where the employee is CONTINUOUSLY employed. The Deans, Directors, Department Chairs and Administrative Officers memo of July 23, 1997, Re: Employment Eligibility Verification Form (Form I-9) states:
"Employees rehired after a break in service are considered new hires for the purposes of compliance with this Act [Immigration Reform and Control Act of 1986]."
In accordance with University policy, therefore, while INS Form I-9 allows for a re-verification process, it is UCLA's position that a new Form I-9 must be completed in the same manner as for a new hire. The rationale for this requirement is that since the original Form I-9 was sent to Payroll Services (as Office of Record at UCLA) at the time of the original hire it would take more time than is permitted for compliance with the law to retrieve it. In addition, the rehired employee may not be in the same department as previously. The policy allows for uniformity in compliance. For complete information on the re-verification process, see Re-verifying Employment Authorization for Current Employees later in this section of the manual.
Once the I-9 Form is Completed
The hiring department should attach to the completed Form I-9 copies of the documents provided by the employee and examined by the department representative. Regardless of other laws to the contrary, copying of documents that verify status is permitted so long as the copies are physically attached to the Form I-9 and are used for no purpose other than this verification. You must be consistent and attach copies of the documents to the Form I-9 for all employees.
Send the original completed I-9 form with copies of the supporting documents to Payroll Services. Payroll Services is the official office of record for the Form I-9. Any Immigration and Naturalization Service request to inspect these documents should be directed to that office.
The date the I-9 form was completed should be entered/updated in the EDB system. If departments choose to retain a copy of the Form I-9 and supporting documents for their records, these documents must be maintained in a file separate from the personnel file and should be released only to the employee.
Payroll Services strongly urges departments to review the INS "Handbook for Employers, Instructions for Completing Form I-9" (Form M-274). The handbook can be downloaded as a PDF file from the USCIS website by clicking on the following link: http://www.uscis.gov/files/nativedocuments/m-274.pdf. The handbook and the I-9 form can also be ordered by calling (800) 870-3676. FAQ's related to the I-9 can be found on the UCLA Payroll Help Desk Page (Right Now). You may also want to review Overview to Processing the I-9 form. If you have any additional questions please contact the Payroll Services hotline.
Employees Lacking Proper Documentation
If an employee is unable to provide the required document(s) within the time period specified, the individual must present a receipt for the application of the document(s) within three business days of the date of hire or begin date of the service period. The employee must have indicated, by checking the appropriate box in Section 1, that they are already eligible to be employed in the U.S. When they provide you with a receipt showing that they have applied for a document evidencing that eligibility, you should record the document title in Section 2 and write the word "receipt" and any document number in the Document # field. Forward a copy of the I-9 to Payroll Services and retain the original so that it can be completed once the actual document(s) are received and examined.
The employee must provide the actual document(s) within 90 days of the date employment begins. At that time, on the original I-9 that the department retained you should cross out the word "receipt" and any accompanying document number, insert the number from the actual document presented, and initial and date the change. Hiring departments are responsible for following up and ensuring that certification takes place within 90 days and that a completed Form I-9 is forwarded to Payroll Services. If the employee cannot produce the necessary document(s) within the time limit, the appropriate Personnel Office should be contacted immediately.
The Form I-9 must be completed within three business days of the date the service period begins for employees with academic year appointments. The Form I-9 must be completed within three business days of the date employment begins for employees with fiscal year (12 month) appointments.
Future Expiration Dates
Future expiration dates may appear on the Form I-9 or on the employment authorization documents of aliens, including, among others, permanent residents, temporary residents, and refugees. INS includes expiration dates even on documents issued to aliens with permanent work authorization. The existence of a future expiration date:
Consideration of a future employment authorization expiration date in determining whether an alien is qualified for a particular job may constitute employment discrimination. Therefore, an employee hired into a job which normally does not have an appointment end date should not be given an appointment end date based solely on the expiration of the work authorization. This reflects a change in previous policy which did require an appointment end dated to be entered matching the work authorization expiration date. You will, however, need to re-verify the employees eligibility to work when any expiration date in Section 1 on the Form I-9 is reached (see below).
Re-verifying Employment Authorization for Current Employees
Re-verification must occur no later than the date that the authorization under which the employee is currently employed expires. Departments may consider using the Personnel Status Report to monitor employee's expiration dates. Names of employees will be listed under the category entitled "Visa/Work Permit Expiring in Three Months." Employees who cannot provide proof of current work authorization cannot continue to be employed.
To maintain continuous employment eligibility, an employee with temporary work authorization should apply for new work authorization at least 90 days before the current expiration date. You must re-verify on the Form I-9 not later than the date the employee's current work authorization expires.
For those employees who are continuously employed and whose original work authorizations have expired, or are soon to expire, take the following steps:
Employees with work authorization expiration dates must provide a document that shows either an extension of the employee's initial employment authorization or a new work authorization.
I-9 Employment Eligibility Form
Lists of Acceptable Documents
Monitoring Compliance with Form I-9 Requirements
In order to monitor departmental compliance with Form I-9 requirements, Payroll Services has implemented a monitoring procedure for ensuring proper completion and submission of the Employment Verification Form (Form I-9). Departments are responsible for verifying documents for newly hired and rehired employees, for properly completing I-9 forms within three business days of the employment date (the employee's physical presence at the work site), and for submitting them to Payroll Services in a timely manner. Payroll Services, as the office of record, will ensure regulatory requirements are met by monitoring the following:
Proper Submission of Form I-9 - Payroll Services will ensure that a Form I-9 is received for each newly hired and rehired employee. If the hiring department fails to submit a Form I-9 to Payroll Services within one week of the employment date, a reminder will be sent to the department preparer with a deadline date by which the Form I-9 must be submitted.
Proper Completion of Form I-9 - Payroll Services will review I-9 forms and return any forms with incomplete and/or incorrect information to the preparer. The preparer will receive detailed instructions for correcting the form, a pre-addressed envelope and deadline date by which the corrected Form I-9 must be returned to Payroll Services. A sample of the instruction memo follows:
Departments that fail to complete and submit the Form I-9 for employees properly are subject to penalties of up to $500.00 per occurrence. To ensure compliance, Payroll Services will notify departmental Chief Administrative Officers by email if I-9 forms are not received or returned by the established dates.
B11.3 University of California Employee Federal and State Withholding Allowance Certificate (W-4)
This form is used to determine the personal income tax withholding status for each individual employed by the University so that the appropriate amounts of Federal and State taxes can be withheld from earnings. When a W-4 is submitted by the employee, make sure the form is for the appropriate year. The year the W-4 is valid can be found in the upper right hand corner of the W-4. After entering the information on-line, forward the form to Payroll Services.
Instructions for completing the W-4 form are provided on the back of the form. Additional instructions are provided below for reference. Sections B2 and B3 provide information regarding income tax coding and alien employees and W-4 form filing.
Instructions for Completing the UC W-4 Form
Sample W-4 for an Employee Claiming No (0) Exemptions and Additional Taxes
PLEASE NOTE: The lower the number of exemptions, the higher the amount of tax withheld from the employee's check. In addition, this employee is requesting that UCLA withhold an additional amount of taxes.
Sample W-4 for an Employee Claiming Ten (10) Exemptions and Canceling Additional Taxes
PLEASE NOTE: The higher the number of exemptions, the lower the amount of tax withheld from the employee's check.
Sample W-4 for an Employee Claiming Exempt in Section III of W-4
PLEASE NOTE: This would result in no Federal and State income taxes withheld from an employee's check. Employees must re-file for exempt status each year by February 15.
B11.4 Foreign Visitors & GLACIER©
Employees who are not citizens of the the United States may need to provide their immigrant and tax data to UCLA via the internet using GLACIER©. GLACIER© is a secure web-based Nonresident Alien (NRA) tax compliance system. Additional information about GLACIER© can be found on the following portal pages:
|GLACIER: Online Nonresident Alien Tax Compliance System|
|Initial GLACIER Information Form Instructions|
|Initial GLACIER Online Entry Form|
In addition, Payroll Services offers a series of in-service training classes on how to handle processing for non-citizens, which is strongly recommended if your department hires alien employees. The classes provide detailed information on the proper processing of alien employees based on citizenship and visa types.
Special Check Requests for Alien Employees
Many employees who are not US citizens come to UCLA to work and are not allowed to bring much money from their own country. For this reason, a policy exists which allows Payroll Services to advance money to a non-US citizen who is a new University employee upon request from the department. The advance may be up to $8000.00 The amount may be repaid in up to 6 installments but must be paid off prior to the issuance of the employees final paycheck.
B11.5 Other New Hire Forms
Parking Services Payroll Deductions Authorization form. This form must be completed and submitted directly to the Parking Services Office by either the employee or the department. All parking related actions are entered into the EDB by the Parking Services Office; nothing needs to be entered into the EDB by the employee’s department.
Academic Affirmative Action Selection & Compliance form. For all Academic new hires, this form must be completed by the department and forwarded the Academic Personnel Office.
Staff Employee Requisition, UCLA Staff Employment Offer Verification Notice, Employee's Resume, Employment Application, or Staff Transfer Application. These forms/documents need to be forwarded to the appropriate Human Resources department for any employee hired into any non-academic career appointment in a non-clerical position.
New Employee Hospital Orientation Confirmation of Attendance, Medical Enterprise Department Specific Orientation, Medical Center Job Description, Medical Enterprise Equipment Competency Validation, and Confidentiality of Patient and Employee Information forms. These forms are required only for new hires employed by the Medical Center.
A sample of the form is shown below for reference.
Many of the required forms are available (or can be ordered) on the web from one of the following sources: