Fillable INDEPENDENT CONTRACTOR HIRING PROCESS SUMMARY (California State University, Los Angeles)

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INDEPENDENT CONTRACTOR HIRING PROCESS SUMMARY (California State University, Los Angeles)

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Form AF1-0001 (Rev. 02/27/2020) 1 | Page
INDEPENDENT CONTRACTOR HIRING PROCESS SUMMARY
(FOR STATE FUNDS & INDIVIDUALS/SOLE PROPRIETORS ONLY)
Detailed instructions and related informational resources are contained in the “Independent Contractor Hiring Process
Training Manual.” The Independent Contractor (IC) Pre-Hire Worksheet will need to be completed and approved before
work can commence per ICSUAM 5412.0, Section 100.
STEP 1: COMPLETE IC PRE-HIRE WORKSHEET TO DETERMINE WORK RELATIONSHIP
• Determine Potential Conflict of Interest (Review HR 2019-16 and HR 2004-18 to ensur
e compliance
with code restrictions.)
• Review Background Check Policy HR 2017-17 applicability. Contact HRM for questions and concerns.
• Email completed form to: bfstaxcompliance@calstatela.edu
STEP 2: VERIFY BUSINESS INSURANCE COVERAGE
Upon receipt of approved IC Pre-hire Worksheet, confirm appropriate business insurance coverage and obtain a copy
of the Certificate of Insurance. For requests of an insurance waiver, complete the Risk Identification and
Evaluation form and submit with the APPROVED IC Pre-Hire Worksheet to Nidavone Niravanh. For more
information, please refer to Executive Order 1069 and Technical Letter RM 2012-01.
STEP 3A: FOR TRANSACTIONS GREATER THAN $500, SUBMIT ON-LINE REQUISITION ALONG WITH THE
COMPLETE ENGAGEMENT PACKAGE TO PROCUREMENT AND CONTRACT SERVICES.
OR
STEP 3B: FOR TRANSACTIONS EQUAL TO OR LESS THAN $500, SUBMIT DIRECTPAY FORM ALONG WITH
THE COMPLETE ENGAGEMENT PACKAGE TO THE CONTROLLER'S OFFICE.
Procurement and Contract Services will issue a purchase order and/or a written agreement upon review and approval of
the on-line requisition and complete engagement package. The Controller's Office will issue payments upon review and
approval of the DirectPay Form and complete engagement package.
EXCEPTIONS
An IC form is not required for travel reimbursements, provided that 1) the IRS Accountable Plan (IRS Pub 463)
rules are met
1
and 2) the travel reimbursements made are in connection with services to be performed. Please note that
the Risk Identification and Evaluation
form is still required if the worker does not have valid business insurance
coverage.
Complete Engagement Package Inclu
des:
Approved Independent Contractor Pre-hire Worksheet
Proof of business insurance coverage or approved Risk Identification and Evaluation form
Completed Vendor Data Form (Form 204) for new vendors only
FNIS Record (if applicable)
Approved After-the-Fact Submission Form if submitting paperwork after services have been rendered
Note: Contingent upon complete and correct package submission, please allow 10 business days
for processing and approval by Administration and Finance. Additionally, for individuals with a
Foreign Status please allow additional time for processing.
1
IRS Accountable Plans Rules (IRS Pub 463):
a) Expenses must have a business connection- that is, the workers must have paid or incurred deductible expenses while performing
services
b) Workers must adequately account for these expenses within a reasonable period of time (i.e. receipts or backup records required)
c) Workers must return any excess reimbursement or allowance within a reasonable period of time
Form AF1-0001 (Rev. 02/27/2020)
2 | Page
CALIFORNIASTATEUNIVERSITY,LOSANGELES
I
NDEPENDENTCONTRACTORPRE‐HIREWORKSHEET
(FORSTATEFUNDS&INDIVIDUALS/SOLEPROPRIETORSONLY)
PAYEEINFORMATION
IndividualName: ___________________________________________________________________________
ResidencyStatus:USCitizenUSPermanentResident*ForeignNational**
IfForeignNational,Country:___________________VisaType**:________________________________
Email:_________________________________________Phone:__________________________________
HIRINGDEPARTMENTINFORMATION:
Name&Extension:__________________________________________DepartmentID:________________
Department:________________________College/Division:_____________________________________
SCOPEOFWORK:
a. Detaileddescriptionofworktobeperformed/provided
b. ServiceDate(s)–shouldbeafuturedate
c. WorkLocation
d. EstimatedCost–includehourlyrateandnumberofhoursforeachtask/requirement
a. DetailedDescriptionofWork:
b. ServiceDate(s)(mm/dd/yy)
c. WorkLocation:
d. EstimatedCosts:
*Acopyofthefrontandbackofthegreencardisrequired.
**COwillcreatearecordinFNISforforeignnationalpayees.PayeeswillbenotifiedviaemailtofilloutaquestionnairetoassistCOinverifying
thepayee’sVisatypeandtaxwithholdingrate.Ingeneral,thereisa30%federalwithholdingand7%CAwithholdingunlessataxtreatyorwaiver
COTrackingNumber:
Clear Payee
Clear Description
Form AF1-0001 (Rev. 02/27/2020)
3 | Page
(HR2019‐16ANDHR2004‐18)
1. IsthisindividualacurrentCSUemployee? YesNo
1a.Ifyes,thentheindividualdoesnotqualifyasindependentcontractor.
PleasecontactWorkforcePlanningat(323)343‐3668forassistance.
1b. Ifnoto#1a,isitexpectedthattheUniversitywillhirethisindividualasan YesNo
employeefollowingtheterminationofthisservice?Ifyesto1b,please
contactWorkforcePlanningat(323)343‐3668forassistance.
2. WastheindividualaCSUemployeeanytimeduringthelasttwoyears,anddid YesNo
heorsheprovidethesameorsimilarserviceswhileanemployee?
2a.Ifyes,pleasecontactWorkforcePlanningat(323)343‐3668forassistance.
3. IstheindividualaCalPersretiree?YesNo
3a.Ifyes,pleasecontactWorkforcePlanningat(323)343‐3668forassistance.
4. IstheindividualanearrelativeofacurrentCSUemployee?YesNo
NearRelative:Thespouse,domesticpartner,parent,child,orsibling,anin‐laworstep‐relative,
orauntoruncle,inoneoftheserelationships.Nearrelativealsomaybearelativeofadomestic
partnerinoneoftheserelationshipsorapersonresidinginthesamehouseholdastheemployee.
4a.Ifyes,doestheCSUemployeehaveanyroleinthedecision‐making Yes No
processrelatedtothecontract?
CALIFORNIACLASSIFICATIONFACTORS
Thethreemainareasthatthesate of Californiaconcludedaretheprimarycategoriesofevidenceto
drawadistinctionbetweenanemployeeoranindependentcontractorare:
• Control
• Services performed are outside the normal course of business
• Worker customarily engages in an independently established trade or business
Itiscriticalthatyou,theemployer,correctlydeterminewhethertheworkerprovidingservicesisan
employeeorindependentcontractor.
Insituationswhereviolationsofemploymenttaxrulesand
regulationsaredetected,Californiawillassesstaxesand,insomecases,levypenaltiesandinterest, and
can expose the university to additional legal issues.Beforeaworkerishiredasanindependent
contractor,thefollowingchecklistmustbecompletedtohelpdeterminewhetheranemployer/employee
relationshipexists.
1. CONTROL.Is the worker free from the employer's control and direction?
 YesNo
(This means Cal State L.A. must not be able to control or direct what the worker does, either by contract or in actual
practice. Evenifnoinstructionsaregiven,thecontrolfactorispresentiftheemployerhas
therighttocontrolhowthework
results areachieved.)
Ifno,explain:_____________________________________________________________________________________________________
______________________________________________________________________________________________________________________
Form AF1-0001 (Rev. 02/27/2020) 4 | Page
2. SERVICE PERFORMED. Are the services to be performed within the usual course
Yes No
(Services performed should be outside the usual course business or be performed outside of all the places of
business of Cal State L.A.)
If yes, explain: _____________________________________________________________________________________________________
_____________________________________________________________________________________________________________________
BUSINESS: Worker customarily engages in an independently established business.
3. S
IGNIFICANT INVESTMENT. Will the worker use his or her own facilities/equipment Yes No
and/or supplies/materials required to perform services?
(A worker who provides his or her own
equipment, supplies, and etc. is typically an independent contractor.)
4. B
USINESS INSURANCE. Does the worker carry business insurance? Yes No
(An independent contractor ordinarily carries business insurance, such as general liability, business
automobile liability, and workers’ compensation (medical insurance is not a form of business insurance.)
4a. If no, please complete the Risk Id
entification and Evaluation
form. Submit completed
form along with the APPROVED IC Pre-Hire Worksheet to Nidavone Niravanh
5. PAYMENT OF EXPENSES. Will the University pay the worker’s business or travel expenses? Yes No
(Employers typically reimburse employees for business expenses. An individual who is paid a fee for
services without being reimbursed for business expenses is typically an independent contractor.)
6. SERVICES AVAILABLE. Does the worker make his or her services available to others? Yes No
(An individual paid by other employers for the same type of service provided to Cal State L.A is likely
an independent contractor.
7. P
AYMENT BY HOUR, WEEK OR MONTH. Will the University pay the worker by the hour, Yes No
week, or month, rather than by commission or by the job?
(Payment by the hour, week,
month, etc. generally indicates an employer/employee relationship.)
8. REALIZATION OF PROFIT OR LOSS. Will the worker bear the risk of making a profit or loss Yes No
under the arrangement?
(A contingent fee or commission arrangement indicates an independent
contractor relationship. Employees are typically paid by salary.)
RELATIONSHIP OF THE PARTIES: Intent of parties concerning status and control of worker.
Yes No
Yes No
9. RIGHT TO TERMINATE. Could the University terminate the worker at any time without
incurring liability? (An at-will relationship is evidence supporting an em
ployer/employee relationship.)
10. REGULAR BUSINESS ACTIVITY. Is the work to be performed part of the regular business
of the University, such as teaching or research? (A lecturer teaching a course for credit or a worker
performing IT services already being performed by staff is likely to be an employee)
11. DETERMINATION
Hire worker as an employee
Hire worker as an independent contractor
of business at Cal State L.A.?
Form AF1-0001 (Rev. 02/27/2020)
5 | Page
12. JUSTIFICATIONOFCLASSIFICATIONFACTORS
Ifyouhavedeterminedthattheworkerisanindependentcontractor,pleaseprovidethejustificationfor
yourconc
lusionbaseduponyourresponsesabove.
S
UBMITTEDBY:
______________________________________________________ __________________________
__________________________
DepartmentAdministrator(PrintName) DepartmentAdministratorTitle
______________________________________
___/____/____
___________________________________
Signature Date DepartmentPhoneExtension
FNISdocumentationorcopyofgreencardreceived
After-t he-fact submission required
Denied: Information does not support the Independent Contractor classification.
Returned:
NotenoughinformationhasbeenprovidedtosupporttheIndependentContractorClassificationby
DepartmentAdministrator.Thisrequestisbein
greturnedforadditionalinformationnotedbelow.
Explanation:_____________________________________________________________________________
_________________________________________________________________________________________
____________________________________ ___________________________________/____/____
Reviewed by CO Administrator (Print Name) Signature Date 
CopyFiscalOfficer
Email completed pre-hire worksheet to: bfstaxcompliance@calstatela.edu
Uponreceiptofcompletedpre‐hireworksheet,the Controller's OfficeTaxCompliancewillhavefive(5)
working days to review and inform department administrator of final determination. Verification
of businessinsurance, nonresident alien processing,andissuanceofPOwillrequire additional
processingtime.
FORCONTROLLER'S OFFICEUSEONLY
Approved
______________________________________ ___________________________________
___/___/___
Fiscal Resource Manager (Print Name) Signature Date
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INDEPENDENT CONTRACTOR HIRING PROCESS SUMMARY (California State University, Los Angeles)

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Completed 22 July 2020

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