104-Admin Guidelines

Employment Background Checks

Overview

The purpose of performing employment verifications, credit checks, welfare records checks and criminal history checks is to determine and or confirm, within appropriate legal and professional limits, the qualifications and suitability of a job candidate for the particular position for which the candidate is being considered. The County policy will help ensure the safety of the public as well as a safe working environment at Sacramento County. The policy will help ensure that employment- related decisions utilizing the above type of employment checks are made in accordance with applicable law. Sacramento County complies with the Investigative Consumer Reporting Agencies Act and the federal Fair Credit Reporting Act (FCRA), federal and state equal opportunity laws and other applicable legal authority that affects the performing of employment background checks.

Definitions

"Appointment" has the same meaning as in Rule 15.6 of the Civil Service Commission Rules and shall include the employment, transfer, promotion or demotion of an individual to a County position. 

“Civil Records Check” typically consists of recordings of Civil Judgements, Tax Liens, Bankruptcies, Foreclosures and Child Support non-compliance reported by the courts to, and available through, the three major Credit Reporting Bureaus (TransUnion, Experian and Equifax). These records are usually provided in conjunction with a credit check.

“Confidential Information” means any records or information, the disclosure of which is prohibited pursuant to federal or state law.

"Contractor" means any person, agency or employee or agent of an agency with whom the County contracts for County services.

“Controlled Substance” means any substance listed in Schedule I through V of Section 202 of the Controlled Substances Act (21 U.S.C. 812), or any substance defined as such in the California Health and Safety Code Section 11007; except when used pursuant to a valid prescription or when used as otherwise authorized by law (SCC 0971, section 1, 1994).

“Credit Check” typically is conducted by access to one of the three National Credit Bureaus. Information retrieved includes: payment history, credit limits, balances and high credit amounts, types of accounts and collateral. Information is permissible to consider for employment purposes for seven (7) years, except for bankruptcy, which may be reported for up to 10 years from discharge. Additionally reported is information regarding addresses where the applicant has lived, worked or attended school and some former employer information.

“Criminal History Check” means the local and state summary criminal history information from the California Department of Justice through the Live Scan criminal records check system and any applicable federal criminal history information from the Federal Bureau of Investigation.

“Discretionary” means the ability to make independent decisions pertaining to the scope of the assigned job duties based on one's own judgment. If the task assigned has defined parameters or written guidelines instructing the employee to do certain things only under the parameters defined or specified, then independent discretion is not used in executing tasks associated with performing the assigned job duties.

“Employment” means the retention, assignment, promotion, reassignment, demotion, transfer or other similar action affecting the job duties of an individual.

“Employment Purposes” means a purpose related to the evaluation of an applicant, existing employee or volunteer for employment, promotion, reassignment or retention purposes.

“Employment Verification” means the verification of an individual's employment, work performance history and suitability for a County position. If an individual has a limited employment history, the term "employment verification" also means verification of an individual's suitability for a County position by contacts with other appropriate persons and/or entities such as faculty advisors, extracurricular activity advisors, volunteer organizations, school advisors and/or teachers.

“Job Related Crime” means a crime that is directly related to a duty, behavior or function performed within the context of the job classification specification.

"Law enforcement position" means any position that is subject to Peace Officer Standards Training (POST) standards of employment.

“Professional License/Certification Verification” includes but is not limited to the verification of the individual’s good standing on licenses or certifications directly related to the position for which appointment is sought, and may include the individual’s driving record, professional licenses and degrees, or the current status of any required or job related licenses or degrees. .

“Social Security ID Trace” is a process that verifies that the number indicated by the applicant matches uses of it with names and variations of names or aliases in the Credit Bureau databases. It also reports that the number has or has not been issued by the Social Security Administration and whether or not there have been any claims, such as death claims, indicating possible fraudulent usage. The report also indicates addresses and employers associated with the use of the number that provides reliable information indicating which of the 3,466 court jurisdictions in the US can be searched for criminal records.

“Volunteer” means any individual who provides services to the County free of charge.

“Welfare Check” means a review of the County’s Welfare System records.

General Requirements

1.  This policy does not apply to a position with a criminal justice agency, as defined in Section 13101 of the Penal Code. Currently, this includes positions within the following Departments: Sheriff, Probation, District Attorney and Public Defender.

2. All final candidates who have been extended a conditional offer of employment will be required to sign appropriate authorizations and consents prior to the County conducting any background check (Attachments 1 - 2) and if a credit check is to be performed, provided a Summary of Rights (Attachment 3) at the same time.

3. Candidates that provide false or misleading information at any time during the application process shall be eliminated from any further consideration of employment. Candidates are expected to provide accurate and complete information and not to omit material information needed to make a sound decision.

4. All applicable employment checks under the Policy (e.g. criminal history, credit, welfare records) must be completed before a candidate begins service. Any employment offer shall be conditioned upon satisfactory completion of the applicable background checks.

5.  Any candidate aggrieved by a potential adverse action may submit a written request for reconsideration to the Department of Personnel Services.

6.  All County departments are required to conduct an employment verification of all applicants for employment and all volunteers. The employment verification shall be required for existing County employees or volunteers prior to their promotion, transfer, assignment or placement in a position in which they will be reporting to a different supervisor.

7.  Whether the County conducts a credit check, welfare records check, or criminal history check will depend upon the nature of the position for which the individual is being considered, assigned, promoted, transferred or demoted. Except as otherwise required by applicable state or federal law, the relevance of the information obtained shall be evaluated using the following criteria:

Falsification of application material pertaining to the conviction(s);

  • The nature and gravity of the offense or conduct;
  • The time that has passed since the offense or conduct and completion of the sentence;
  • The nature of the job held or sought;
  • Evidence that the individual performed the same type of work, post-conviction, with the same or a different employer, with no known incidents or criminal conduct;
  • The length and consistency of employment history before and after the offense or conduct; and
  • Rehabilitation efforts (e.g. education or training)

8. Reference checks, notes from interviews and similar types of records are not required to be provided to the employee/applicant.

9. Summary criminal history information is not considered a public record.

Employment Verifications

The verification of an individual's employment, work performance history and suitability for a County position will be performed by the hiring Manager, using the County’s employment verification form. If an individual has a limited employment history, the hiring Manager should also verify the candidate’s suitability for a County position by contacting other appropriate persons and/or entities such as faculty advisors, extracurricular activity advisors, volunteer organizations, school advisors and/or teachers.

Professional License / Certification Verification

The hiring Department should conduct a verification of professional licenses or certifications by contacting government and private institutions and agencies to confirm issuance and validity of licenses/certificates.

As a general rule, the results of the license/certification verification shall constitute selection criteria. If a background check reveals an individual's failure to meet the minimum qualifications for a position and/or discloses any of the circumstances listed in Rule 6.3 of the Civil Service Commission Rules, the disqualification provisions of the Civil Service Rules shall apply.

Criminal History Check

A. State and Federal law requirements: County departments are authorized to obtain local and state summary criminal history information from the California Department of Justice (through the Live Scan criminal records check system) and federal criminal history information from the Federal Bureau of Investigation for positions as required by applicable state and/or federal law and this Policy. Such criminal history checks shall be utilized solely for employment purposes.

1. The County shall conduct a state criminal history check of all employees, prospective employees or volunteers who have frequent and routine contact with children, if they provide services to children who are alleged victims of abuse, neglect, or exploitation. The mitigating circumstances specified in this document shall not apply if the employee, prospective employee or volunteer has been convicted of a sex offense against a minor, has been convicted of an offense specified in Penal Code section 220, 243.4, 264.1, 273d, 277 or 289, Penal Code section 273a(a)(1), Penal Code section 368(a) or (b), or Penal Code section 667.5(c). In such case, the County is prohibited from employing such individual in such position.

a.  An exemption may be granted only if the employee, prospective employee or volunteer who has been convicted of a crime against an individual specified in Penal Code section 667.5(c)(1) or (7) has been rehabilitated, has maintained certain conduct in accordance with Penal Code section 4852.05 for at least 10 years and has the recommendation of the district attorney or if the employee, prospective employee or volunteer has received a certificate of rehabilitation.

b.   If an exemption is applicable, the County may give the employee, prospective employee or volunteer an opportunity to explain the conviction and shall consider that explanation in the evaluation of the criminal conviction record.

2.      The County shall conduct a state criminal history check of any prospective employee or volunteer who will be performing services at a county-operated park, playground or recreational center in a position having supervisory or disciplinary authority over a minor. Notwithstanding any mitigating circumstances, the County shall not hire, assign or appoint such individual if that person has been convicted of certain offenses as specified in Public Resources Code section 5164. In such case, the County is prohibited from employing such individual in that position.

3.  The Department of Personnel Services or Department staff authorized to conduct and receive DOJ criminal history information will conduct criminal history checks on the following individuals:

a.   Any person whose job duties or qualifications specifically require a criminal history background check under contract, State or Federal law or regulation.

b.   Any person assigned to regular and customary job duties that include any of the following duties:

1. Direct access to criminal history records or criminal history information systems.

2. Access to client personal, medical or financial information maintained on any information system used by the County to deliver services to the public.

3. Supervised or unsupervised access to or contact with children, elderly or dependent adults, special needs and/or mentally ill persons or family members or caregivers.

4. Such financial responsibilities as a) the handling of money on behalf of the County; b) the authority to commit the financial resources of the County and its departments; and/or c) the exercise of fiduciary responsibility for the client's funds, real estate or investments.

5. Direct access to vital records and/or real property records.

6.  Direct access to private homes or property of citizens as part of the regular and customary duties of the job assignment.

7. Use of firearms.

8. Care or handling of animals.

9. Use of or access to non-public, confidential information.

10. Direct access to pharmaceuticals on County premises or in client residence.

11. Facility master key access.

12. Provision of information technology technical support and also responsibility for safeguarding the County’s Information Technology assets (including computer systems, networks, and/or Internet/Intranet).

13. Access to a County correctional facility, Department of Technology, District Attorney’s Office, Public Defender’s Office, Coroner and Sheriff’s Department.

14. Direct access to information that is protected by a legal privilege, including but not limited to attorney-client, health care information, private personnel information.

15. Those at the County Executive or Deputy County Executive or Department head level position or equivalent.

Additional criminal history checks may be required by law for certain positions (such as those at the Department of Airports per Department of Transportation requirements or Department of Child Support Services per IRS Publication 1075). The County shall comply with all federal background check requirements.

B.  Selection Criteria: With the exception of state and federal legal requirements, an individual shall not be selected for appointment or assignment, whether as an employee or volunteer, if any convictions would adversely affect the individual's ability to perform the duties and responsibilities of the position and there are no mitigating circumstances. Whether such a conviction constitutes a basis for disqualification and removal from an eligible list shall be determined in accordance with Civil Service Rule 6.3. An arrest without a conviction shall not result in disqualification.

An individual with the following type of convictions shall not be selected for employment, absent mitigating circumstances:

1. crimes against public health, including but not limited to the sale, possession, manufacture or use of a controlled substance, the unlawful possession of a deadly weapon or destructive device, any offense involving weapons and minors, the manufacture, importation, sale and possession of assault weapons or other dangerous weapons, crimes relating to operation of automobiles;

2. crimes against public justice, including but not limited to obstruction of justice or a public officer in the performance of their duties, bribery, corruption, perjury, tampering with records and juries, interference with evidence;

3. crimes against the government, including but not limited to threatening public officials, misuse of public funds, treason, sabotage;

4. crimes against the person, including but not limited to kidnapping, robbery, assault and battery, homicide, crimes against children, and related offenses, rape, and robbery;

5. crimes against property, including but not limited to burglary and related offenses, arson, theft and related offenses, forgery and counterfeiting, crimes involving identity, extortion, trespass, and crimes relating to animals;

6. other miscellaneous crimes, including but not limited to hate crimes, crimes relating to telecommunications and computers, crimes relating to schools; and

7.  any other crime that is specifically identified by statute or regulation as precluding appointment to a given position.

The above list is not inclusive. Conviction of any similar type of crime may result in the individual not being selected. The Director of Personnel Services (or designee) shall be charged with determining whether conviction of any crime not specifically identified above is sufficiently similar to the specified convictions as to warrant disqualification from employment or promotion and removal from the eligible list.

Mitigating Circumstances

Use of Criminal History Information

The Director of Personnel Services has been given authority to obtain summary criminal history information from the California Department of Justice or in some cases from the Federal Bureau of Investigations depending on regulations for the purpose of screening employees, contractors and volunteers. Some departments have also been authorized to obtain state criminal history information. However, most county departments do not have authority to conduct federal criminal history checks.

Criminal Convictions: Unless there are mitigating circumstances as described above, the County will not knowingly hire, appoint, or assign individuals or volunteers who have been convicted of a job-related crime within the allowable reportable time period for reporting such offenses. This time period is normally seven (7) years. This also applies to those situations when the date of disposition, release, probation, or parole (whichever is most recent) relating to the crime occurred within the past seven (7) years.

Pending Criminal Charges: If the County becomes aware that the applicant, employee or volunteer has criminal charges that are currently pending, but no court disposition has yet been made, the County shall assess the criminal charges on a case-by-case basis to determine if the charges are job-related.

Arrests and Non-Convictions: Unless required by law, the County is prohibited from asking an applicant to disclose, through any written form or verbally, information concerning an arrest or detention that did not result in conviction (plea, verdict, finding of guilt) or information concerning a referral to, and participation in, any pretrial or post-trial diversion program.

Unless required by law, the County is prohibited from utilizing as a factor in determining employment any record of arrest or detention which did not result in conviction of any record regarding a referral and participation in any pretrial or post-trial diversion program. (Labor 432.7)

The County is prohibited from asking or consider a judicially dismissed/sealed/expunged/statutorily eradicated (pursuant to law) conviction.

The County can ask an employee or applicant about an arrest for which the employee or applicant is out on bail or on his own recognizance pending a trial, but the information cannot be used as the basis for an employment decision.

Accelerated Rehabilitation: The County is not prohibited from considering accelerated rehabilitation or other alternative dispositions when evaluating an applicant. The County shall consider the accelerated rehabilitation as it would a pending charge.

Disputed Criminal History Records

If an applicant or employee disputes the information obtained in the DOJ criminal history records check, the operating department shall advise the employee to contact the Department of Personnel Services immediately.

It is the applicant’s or employee's responsibility to correct a disputed criminal history record with the State Department of Justice.

Until such time the County is in receipt of corrected information, the operating department must base its action on information provided by the Justice Department.

Process Regarding an Adverse Finding

If a background check discloses a criminal conviction that could potentially lead to an adverse employment action, and a preliminary decision is made to change the job offer status, the Department of Personnel Services will notify the candidate in writing.

  • The notification shall contain notice of the disqualifying conviction or convictions that are the basis for the preliminary determination to rescind the offer, a copy of the conviction history report (if applicable), and an explanation of the applicant’s right to respond to the preliminary decision before the decision becomes final, along with the deadline by which to respond.
  • The explanation shall inform the applicant that the response must include evidence challenging the accuracy of the conviction history report and/or evidence of rehabilitation or mitigating circumstances.

The applicant shall have up to 10 business days to respond to the notice before the County makes a final decision.

  • If, within the 10 business days from the date of receipt of the written notice, the applicant notifies the County in writing that he or she disputes the accuracy of the report and that he or she is taking specific steps to obtain evidence supporting that assertion, then the applicant shall have an additional 10 business days to provide to the County corrected documents.
  • If the candidate is challenging the accuracy of the conviction history report, the County may require a corrected criminal history report to verify the disputed information has been corrected.
  • It is the applicant’s or employee's responsibility to correct a disputed CHR record with the State Department of Justice.

The County shall consider information submitted by the applicant before making a final decision.

  • After a full review of the information provided by the applicant, the Department of Personnel Services will send the applicant a written notice with the final disposition within ten (10) business days after the receipt of the applicant’s request for reconsideration.
  • The decision of the Director of Personnel Services is final and may not be appealed.
  • The candidate shall be notified of the candidate’s right to file a complaint with the Department of Fair Employment and Housing.

Credit Checks

Federal and state laws restrict the use of credit information in the hiring process. The County can only use a credit report for certain employment purposes. Credit reports can be used only for the positions in which:

  1. The individual is or will be a named signatory on the County’s bank account or credit cards; or
  2. The individual is or will be authorized to transfer money on behalf of the County; or
  3. The individual is or will be authorized to enter into financial contracts on behalf of the County; or
  4.  The individual will be appointed or assigned to a position that involves regular access to $10,000 or more in cash during the work day; or
  5. The individual will be appointed or assigned to a position that involves direct access to and discretionary control over funds of the County, the State or clients served by the County.

Use of Credit Report, Employment Verification, and Background Check Results

Listed below are examples of factors that may disqualify an applicant for employment (this is not an all-inclusive list, merely examples):

  • Inconsistency of information provided by the candidate versus that obtained by the background investigation. (Examples might include, but not be limited to, significant differences in prior employment dates, education obtained, or licenses held.)
  • Omissions of significant information by the candidate. (Examples might include, but not be limited to, failure to disclose being dismissed for cause or loss of certifications qualifying the applicant for the position.)
  • Unsatisfactory information uncovered by the background investigation. (Examples might include, but not be limited to the following: unsatisfactory job performance on a prior job; poor attendance or disciplinary problems on a prior job; record of moving violations (for a job requiring driving a County vehicle); credit history that would indicate an inability to manage finances or which would create undue personal financial pressure (for jobs handling management of significant financial resources).

Motor Vehicle Records Check

Motor vehicle records which evidence a revoked or restricted driver’s license, invalid driver’s license, or traffic violations (including, but not limited to, alcohol-related violations) shall be reviewed as they relate to positions requiring driving as a regular and routine part of the job duties and in conjunction with all other factors disclosed by the background investigation.

Welfare Records Check

The County shall conduct a check of its Welfare System records on any employee, prospective employee or volunteer whose position will have direct, frequent and routine duties in the administration and delivery of welfare programs and services (i.e. determination of eligibility, administration of state or federal funds, or access to sensitive client information).

A candidate is disqualified from County employment if there has been a final (not appealed) determination either through an administrative hearing or judicial action of the following:

  1. Failure to report client caused overpayments greater than $1,000 during the prior five (5) years
  2. Intentional program violation or administrative disqualifications resulting in payment of any amount of welfare benefits during the prior ten (10) years.
  3. Criminal conviction related to fraudulent receipt of welfare benefits during the prior fifteen (15) years.

Any final determination of the above events shall disqualify the candidate from County employment in any position that will have direct, frequent and routine duties in the administration and delivery of welfare programs and service.

In order to conduct a check of the County’s own confidential databases, a signed authorization must first be obtained from the individual. Any such check can be performed only after a conditional job offer is made. The Authorization Form is attached as “Attachment 1”.

Using a third perty consumer reporting agency or investigator (non-County) to conduct a credit investigation or obtain a credit reoport

If the County uses a third party (non-County) investigatory or consumer reporting agency to obtain reports that contain information on an employee/applicant's credit or financial history, state and federal law require certain notices and disclosures be provided.

If information, from a report compiled by a third party investigator/agency or from a credit report, is used for making employment decisions, the County must:

  • Provide a clear and conspicuous written disclosure to the employee/applicant before the report is obtained, in a document that consists of the disclosure, that an investigative report may be obtained. (Contained in Attachment 2)
  • Obtain a written authorization from the employee/applicant allowing procurement of the report. (Contained in Attachment 2) Provide the applicant/employee with a form on which they may check a box indicating a wish to receive a copy of any investigative report (Contained in Attachment 2).
  • ü  Notify the individual of the Internet website address of the reporting agency, or if the agency does not have an Internet website address, the telephone number of the agency where the individual can find information about the agency’s privacy practices (Contained in Attachment 2).
  • Provide the employee/applicant with a summary of Cal.Civ. Code §1786.22. (Contained in Attachment 2)
  • Make certain certifications and requests to the third party conducting the investigation and preparing the report.
  • Provide a copy of the report to the employee/applicant in either of the following situations:

a. The employee/applicant requested a copy of the report by checking the box on the consent form. In such circumstances, the County must provide a copy of the report within 3 business days from the date the report is received as well as the name, address and telephone number of the person who issued the report and how to contact that person.

b. The County intends to take adverse action based in whole or in part on the report. Before taking adverse action based on the report, the County must provide the employee/applicant with written notice of disqualification.

Note: If the County is conducting an investigation of allegations of misconduct or wrongdoing by the subject employee and uses a third party (non-County) investigator, the County is not required to 1) disclose the nature and scope of the investigation to the person under investigation; 2) obtain the person’s authorization to investigation; 3) provide the person with a copy of the report; or 4) provide detailed information about the investigator, the investigation results and the person’s rights under federal and state law. The County is only required to provide the subject employee with a summary containing the nature and substance of the communication on which the adverse action is based.

Record Rentention & Confidentiality

All information obtained, as part of any investigation conducted pursuant to this policy shall be used exclusively for employment purposes and shall be held in strictest confidence and shall not be included in an employee’s personnel file. Documentation shall be retained for the appropriate retention period for employment records promulgated by the State of California and by the Department of Personnel Services’ personnel policies and procedures.

Unauthorized disclosure of information gathered through the investigation will not be tolerated and may subject the discloser to disciplinary action.

Clearance Required Prior to Appointment

Any background check (whether credit, employment verification, criminal history or other) required by this policy shall be completed prior to the date the candidate begins service. An individual may not begin work until the appropriate screenings and investigation have been satisfactorily completed.

Except as otherwise indicated in the policy and these Guidelines, the results of any investigation constitute selection criteria. If the investigation reveals that an individual has failed to meet the minimum qualifications for the position and/or state or federal law prohibit employment in the position an individual may be disqualified and removed from the eligible list, consistent with the applicable Civil Service Rules, absent mitigating circumstances.

Subsequent Conviction Notification

For all appointments or volunteer assignments subject to the County policy, County departments shall enroll in the Subsequent Arrest and Disposition Notification Program through the California Department of Justice.

Any Individual convicted of a felony or misdemeanor offense after they have been offered employment or have started employment must contact Personnel Services within five (5) business days of the conviction and provide detailed information about the conviction. Personnel Services will work with the appropriate Department to assess the conviction’s potential impacts on the individual’s ability to successfully perform the assigned duties.

Independant Contractor/Temp Agency Staff

An employment verification, background check and/or criminal history check is required for any independent contractor/temp agency staff and the contractor's agents and employees, whether or not working at a County facility or off-site, on the same terms and conditions and to the same extent as required of prospective and existing County employees and volunteers performing the same type of services and functions. Such checks shall be conducted in accordance with applicable federal and/or state law. The requirements as well as the responsibility for conducting such checks shall be established in the contract.

Records Acccess

The confidentiality of all records received pursuant to this policy, including but not limited to criminal history information, shall be maintained confidential and shall be shared only on a strict “need to know” basis.