City of Vernon, California
Human Resources Policies and Procedures
____________________
Director of Human Resources
_________________________
City Administrator
Number: I-13 Effective Date: November 5, 2024
SUBJECT: CRIMINAL BACKGROUND AND LIVE SCAN POLICY
PURPOSE:
The City of Vernon is committed to providing a secure and safe environment for its employees, volunteers, and members of the public. To that end, the City Council adopted a resolution authorizing the Human Resources Department (“Department”) and the Police Department to obtain State and Federal summary criminal background information from the Department of Justice and Federal Bureau of lnvestigation for employment purposes. The purpose of this policy is to ensure that the process for obtaining criminal background information is conducted in accordance with state and federal laws. This policy applies to all City employees, volunteers, and applicants.
POLICY:
1. Authority - Under federal and state law, public agencies may enact policies that disqualify applicants with certain criminal convictions from employment positions if the conviction is relevant to the position in question. Furthermore, California Penal Code Section 11105(b)(11) and 13300(b)(11) permits cities to obtain state and federal summary criminal background information from the Department of Justice and the Federal Bureau of lnvestigation if the City Council has authorized such access and if the criminal background information is required to implement a statute, ordinance or regulation that contains requirements or exclusions based on specified criminal conduct. The City Council authorized the Department and Police Department to access such State and Federal summary criminal background information from the Department of Justice and Federal Bureau of lnvestigation for employment purposes pursuant to Resolution Number 2015-08.
Background screening and LiveScan requirement for sworn peace officer applicants and employees shall be governed by the Vernon Police Department Policy Manual, Recruitment and Selection Policy and California POST Commission Regulations.
2. General – Before issuing the final decision denying an applicant or employee a position with the City solely or in part because of the applicant or employee’s conviction history, the Number: I-13 Effective Date: November 5, 2024
2 Department will conduct an individualized assessment to determine whether the applicant or employee’s conviction history has a direct and adverse relationship with the specific duties of the job that justify denying the applicant the position. The procedures for conducting this individualized assessment are found in Section 6, subsection B. below.
Consistent with this individualized assessment, any conviction of a misdemeanor or felony involving moral turpitude as provided in Policy 4 below may be cause for termination or separation of any employee or volunteer, or denial of a prospective application of employment. However, the conviction may be disregarded if it is found and determined by the City Administrator that mitigating circumstances exist, such as, but not limited to, evidence of rehabilitation, length of time elapsed since such conviction, the age of such person at the time of conviction, or the fact that the classification applied for is unrelated to such conviction, and federal or state law does not require such disqualification or termination. Nothing in this policy shall be deemed to deny employees their disciplinary appeal rights under any applicable Memorandum of Understanding.
3. Criminal Record Background Checks – After the City has made a conditional offer of employment to a prospective full-time or part-time employee, or a volunteer, including police reserves, the City may conduct a criminal background check upon the applicant. The City will not include on any application for employment any question that seeks the disclosure of an applicant’s criminal history, before the City makes a conditional offer of employment to an applicant.
For current and prospective employees and volunteers who work with or supervise minors, the City may make a criminal conviction check before making a conditional offer of employment.
The City will utilize the Live Scan Process as part the criminal records check for applicants, or for an employee considered for promotion who has not previously participated in the Live Scan process
4. Specific Convictions and Positions
A. With respect to all prospective employees, current employees and volunteers, a conviction of any of the following Penal Code sections, shall be grounds for disqualification or termination unless, through the individualized assessment process set forth in Section 6(B) below, the City determines that mitigating circumstances exist or the conviction is not related to the employment in question. Commonly disqualifying convictions are listed below, however this list is not all-inclusive Section 68: Asking for or receiving bribes
Section 72: Presentation of fraudulent claims
Section 73, 74: Bribes for appointment to office
Section 187, 189: Murder
Section 192: Manslaughter; voluntary, involuntary, and vehicular Section 203: Mayhem
Section 209: Kidnapping for ransom, extortion or robbery Number: I-13 Effective Date: November 5, 2024
3 Section 211: Robbery - taking personal property in possession of an individual by force or fear
Section 245: Assault with a deadly weapon
Section 261: Rape
Section 459: Burglary
Section 484: Theft
Section 487: Grand Theft
Section 490.5: Shoplifting
Section 503: Embezzlement - fraudulent appropriation of property by a person to whom it has been entrusted
Section 518: Extortion -. obtaining property by a wrongful use of force or fear or under a color of official right
B. With respect to all applicants for and current employees and volunteers in positions who work with or supervise minors, in addition to Paragraph 4.A above, a conviction of any of the offenses specified in Public Resources Code Section 5164(a)(2) shall be grounds for disqualification or termination. Offenses specified in Public Resources Code Section 5164(a)(2) include but are not limited to:
1. Violations or attempted violations of Penal Code Sections 220, 261.5, 262, 273a, 273d or 273.5;
2. Sex offenses listed in Penal Code Section 290 (excluding Penal Code Section 243.4(d)), including, but not limited to, Penal Code sections 288 and 311.
3. Any crime described in the California Uniform Controlled Substances Act (Division 10 [commencing with Section 11000] of the California Health and Safety Code).
However, with the exception of law enforcement, any marijuana conviction over two years old will not be considered.
4. Any felony or misdemeanor conviction within 10 years of the City's request for background information for a violation or attempted violation of Chapter 3 of Title 8 of the Penal Code (commencing with Section 207), Sections 211 to 215, wherein it is charged and proved that the defendant personally used a deadly or dangerous weapon, as provided in subdivision (b) of Section 12022, in the commission of that offense, Section 217.1, Chapter 8 of Title 8 of the Penal Code (commencing with Section 236), Chapter 9 (commencing with Section 240), and for violation of any of the offenses specified in subdivision (c) of Section 667.5.
C. With respect to all applicants for and current employees and volunteers in positions that work with public funds or public records, in addition to Paragraph 4.A above, a conviction of any of the following Penal Code sections shall be grounds for disqualification or termination:
Number: I-13 Effective Date: November 5, 2024
4 Section 115, 115.3: Use of a false or forged public record or alteration of a certified copy of a public record
Section 424: Embezzlement and falsification of accounts Title 13, Chapter 4: Any violation of forgery and counterfeiting
5. Responsibility of Applicant, Employee, or Volunteer
ln compliance with Labor Code Section 432.9 and Government Code Section 12952, after the Department determines that anapplicant meets the minimum qualifications of the position and extends a conditional offer of employment to the applicant, a supplemental questionnaire will be provided to the applicant. The supplemental questionnaire will seek disclosure of any conviction, including but not limited to a conviction for violations of the Penal Code sections in Subsection 4 above.
A current employee or volunteer shall report criminal convictions to his or her Department Head or his or her designee and the Human Resources Director (“Director”). Alternatively, the employee or volunteer may report the information directly to the Director.
6. Procedure for Criminal Background Records Checks
A. Criminal record checks conducted pursuant to this Policy for applicants shall comply with applicable federal and state law and the following:
1. The City shall submit a completed Applicant Fingerprint Card to the Department of Justice and the Federal Bureau of lnvestigations accompanied by any other forms or information required by the agencies in order to obtain the criminal background information.
2. Any information obtained from the Department of Justice or Federal Bureau of lnvestigations shall be used to determine whether the applicant is disqualified.
3. The City shall expeditiously provide a copy of the information to the applicant to whom the information relates if the information is a basis for an adverse employment decision. When furnished other than in person, the copy shall be delivered to the last contact information provided by the applicant.
4. The City may promote, lateral transfer, or hire a prospective employee contingent upon the results of the criminal background information received during the employee's probationary period. An employee hired pending the receipt of criminal background information, will be terminated if the employee is found to have falsified or omitted criminal background information on the Criminal Conviction Questionnaire.
An employee promoted pending the receipt of criminal background information, may be returned to the position in which they previously held. However, if the position is no longer available an alternative vacant position may be offered and considered on Number: I-13 Effective Date: November 5, 2024
5 a case-by-case situation. The alternative position may or may not be equal to the position previously held.
B. If the City intends to deny an applicant a position of employment, or a current employee a promotion or transfer to a new position, solely or in part because of the applicant or employee’s conviction history, the Department shall make an individualized assessment of whether the applicant’s conviction history has a direct and adverse relationship with the specific duties of the job that justify denying the applicant the position.
This section does not apply to a position for which a state or local agency is otherwise required to conduct a conviction history background check, such as a position that works with or supervises minors, or for a position with a criminal justice agency, as defined in Penal Code Section 13101.
In making the assessment described herein, the Department shall consider:
1. The nature and gravity of the offense or conduct.
2. The time that has passed since the offense or conduct and completion of the sentence.
3. The nature of the job held or sought.
At the Department’s discretion, the individualized assessment may be made in writing.
However, if the Department makes the preliminary determination that the applicant’s conviction history disqualifies the applicant from employment, the employer shall notify the applicant of this decision in writing. At the Department’s discretion, that notification may justify or explain the reasoning for the preliminary decision. However, the notification shall contain:
1. Notice of the disqualifying conviction or convictions that are the basis for the preliminary decision to rescind the conditional offer.
2. A copy of the conviction history report, if any.
3. An explanation of the applicant’s right to respond to the notice of the Human Resource’s Department’s preliminary decision before that decision becomes final and the deadline by which to respond. The explanation shall inform the applicant that the response may include submission of evidence challenging the accuracy of the conviction history report that is the basis for rescinding the offer, evidence of rehabilitation or mitigating circumstances, or both.
Number: I-13 Effective Date: November 5, 2024
6 The applicant will have five (5) business days to respond to the notification. If the applicant informs the Department in writing that it disputes the accuracy of the conviction history report that was the basis for the preliminary decision to rescind the offer and the applicant is taking specific steps to obtain evidence supporting that assertion, the Department shall provide five (5) additional business days in order to respond. The Department shall consider information submitted by the applicant before making a final decision.
If the Department makes a final decision to deny an application solely or in part because of the applicant’s conviction history, the Department shall notify the applicant in writing of the final denial or disqualification. At the Department’s discretion, it may justify or explain the Department’s reasoning for making the final denial or disqualification.
C. The City shall enter into a contract with the Department of Justice and the Federal Bureau of lnvestigations whereby the City will be notified of any subsequent conviction or arrest information concerning an employee or volunteer.
1. Any information about an existing employee's or volunteer's conviction(s) shall be reported to the Director.
2. Upon receipt of information regarding a conviction, the Department Head or his or her designee, the City Administrator, the Director and/or the City Attorney shall evaluate the effect and potential effect of the employee's or volunteer's conviction or arrest on his or her position of employment, fellow employees, and the public; and shall take appropriate action to maximize public safety and minimize potential liability.
Upon discovery of any risk of greater liability to the City, employees and/or the public, the appointing authority may suspend, with the approval of the City Administrator, any regular full-time or part-time employee in accordance with applicable disciplinary procedures. All Civil Service employees are entitled to a predisciplinary hearing as provided by any applicable Memorandum of Understanding.
3. Upon receipt of information regarding an arrest, if the Department Head or his or her designee, the City Administrator, the Director and/or the City Attorney determine that the arrest involves allegations of conduct that, if proven to be true, would be sufficiently serious and job-related to disqualify the person from employment and/or to present a threat of harm to the City, its employees or the public, a limited independent investigation may be initiated and/or the City may take any other action they deem necessary, including but not limited to placing the employee or volunteer on administrative leave pending a decision resolving the matter. A “limited independent investigation” need not be of the same depth as may be an investigation undertaken to consider the imposition of discipline as to an employee.
For example, such a “limited independent investigation” could consist of examination of arrest/crime reports and/or contact with involved law enforcement personnel.
Number: I-13 Effective Date: November 5, 2024
7 4. Based on the "limited independent investigation", the Department Head or his or her designee, the City Administrator, the Director and/or the City Attorney will determine whether there is reasonable cause to believe that charges resulting in the arrest are true, and whether the individual presents a credible threat of violence or other criminal activity that may affect City employees or the public. If it is determined that the evidence does support these findings, the City may take such actions as it deems necessary based on that evidence. Such actions may include, but are not limited to, placing an employee on paid administrative leave pending the resolution of the criminal case or the conclusion of a full independent investigation of the underlying facts, holding the decision on the employment of an applicant or new hire in abeyance, or rejecting an applicant or new hire.
5. Every employee or volunteer who has been hired or promoted subsequent to the adoption of this Policy, who passed the initial screening, must sign an acknowledgment that conviction of crimes listed herein or determined to be substantially similar by the City may be grounds for disciplinary action up to and including termination.
7. Confidentiality
State and federal summary criminal history information is confidential and shall not be disclosed, except to the Department Head on a need to know basis, the Director, City Attorney and City Administrator. Any persons having access to such information shall sign a form acknowledging that the information is confidential and that civil and criminal penalties, as well as dismissal from employment, may result if the confidential information is misused.
Pursuant to Penal Code Section 11077, the Attorney General is responsible for the security of Criminal Offender Record lnformation (CORI), and has the authority to establish regulations to assure the security of CORI from unauthorized disclosures. The following are requirements as prescribed by the State of California, Department of Justice, Bureau of Criminal Identification and Information, Field Operations and Record Security for any agency that maintains or receives criminal history information:
A. Records Security - Any inquiries regarding the release, security or privacy of Criminal Offender Record lnformation (CORI) is to be resolved by the Director or his or her designee.
B. Record Storage - CORI shall be under lock and key by the Human Resources Department or Police Department who shall be committed to protect CORI from unauthorized access, use or disclosure. Fingerprint records such as fingerprint cards, "no criminal history" notifications and CORI history shall be destroyed by shredding once a hiring decision or volunteer qualification/disqualification determination has been made.
C. Record Dissemination - CORI shall be used only for the purpose for which it was requested by Human Resources.
Number: I-13 Effective Date: November 5, 2024
8 D. Record Destruction - Unless a legitimate business need or statute requires retention, CORI and copies of same obtained for employment, licensing or certification purposes shall be destroyed once a decision is made to employ, license or certify the subject of record.
E. Record Reproduction - CORI may not be reproduced for dissemination.
F. Training - The Director and his or her designee with access to CORI are required:
1. To read and abide by this policy.
2. To have on file a signed copy of the Employee Statement Form for the Use of Criminal Record Information, which acknowledges an understanding of laws prohibiting misuse of CORI.
G. Penalties - Misuse of CORI is a criminal offense. Violation of this policy regarding CORI may result in suspension, dismissal and/or criminal or civil prosecution.
PROCEDURE:
Responsibility Action
Hiring or Promoting Department 1. Selects applicant and offers employment, or selects
employee and offers
promotion, based on
successful background
checking.
Human Resources Director or Designee 2. Processes fingerprints and submits to Department of
Justice and/or Federal
Bureau of Investigations.
3. Makes determination based
on report and informs the
City Administrator, City
Attorney and the Department
Head if unacceptable
circumstances are found.
City Attorney and Department Head 4. In consultation with Number: I-13 Effective Date: November 5, 2024
9 Human Resources Director,
and the City Administrator,
only if dis-qualification or
termination is not required by
law, determines whether any
mitigating circumstances
exist that permits disregard
of the conviction or, for an
applicant for promotion,
discipline less than
termination.
Human Resources Director 5. If the report is not
acceptable and
sufficient mitigating
circumstances are not found,
initiates in consultation with
the City Attorney, the City
Administrator and the
Department Head, the action
to be taken against applicant.
6. Sends disqualification letter if
background on applicant for
hire or promotion is
unacceptable.
7. Continues with the hiring or
promotion process if the
report is acceptable or
sufficient mitigating
circumstances are found.