When conducting a background investigation, in addition to reviewing the personal history statement form and contacting relevant references and resources, it is incumbent upon the department to review the candidate’s personal history for both desirable (i.e. good) behaviors and to screen out those with undesirable behaviors and/or characteristics.
Background Investigation Dimensions
To assist with determining a candidate’s suitability for peace officer employment, in 2009, POST developed and incorporated into Commission Regulation 1953 (Peace Officer Background Investigations) ten POST Background Investigation Dimensions, which are required to be considered when conducting background investigations (Attachment B). These dimensions include Integrity, Impulse Control/Attention to Safety, Substance Abuse and Other Risk-Taking Behavior, Stress Tolerance, Confronting and Overcoming Problems, Obstacles, and Adversity, Conscientiousness, Interpersonal Skills, Decision-Making and Judgment, Learning Ability, and Communication Skills.
It is well-documented that past behavior is indicative of future behavior, thus in addition to defining good characteristics within these dimensions, POST also provides examples of indicators (i.e. past behaviors) that could be suggestive of unsuitability for peace officer employment. A small example of such indicators include lack of tact and impartiality in treating all members of society; making hasty, bias judgments based on physical appearance, race, gender or other group membership characteristics; inability to recognize how one’s own emotions/behavior affect situations and others; and having been disciplined by an employer for acts constituting racial, ethnic, or sexual harassment or discrimination. When scrutinizing a candidate’s personal history, departments must take into consideration all relevant past behaviors and consider the severity, recency, and specific patterns of behavior prior to making a determination of peace officer suitability.
Employment History
Peace officer employment history checks have been required by POST since at least the early 1980s, initially to verify the quality of the candidate’s work. The complete overhaul of the peace officer selection regulations in 2009, including Commission Regulation 1953: Peace Officer Background Investigation (Attachment C), included the implementation of the background investigation dimensions further expanding on the employment history checks by requiring departments to consider past behaviors indicative of unsuitability for employment. Indicators directly related to employment in a position of public trust include misdemeanor convictions, findings of lying or falsifying reports, findings of properly reporting witnessed criminal conduct by another officer, accepting/soliciting bribes, and embezzlement.
Current Commission Regulation 1953(e)(6) (employment history) obligates hiring departments to contact past and current employers over a period of at least the past 10 years. In addition to waivers signed by the candidate, relevant laws and legislation related to obtaining employment information include:
· Government Code section 1031.1 - compels employers to respond to employment inquiries for candidates not currently employed as peace officers
· Government Code section 6253 (California Public Records Act) - provides for public access to records
· SB 1421 (2018, eff Jan 2019) modified Penal Code section 832.7 providing public access to peace officer records pertaining to use of force that resulted in death or great bodily injury, discharging of a firearm at a person, sustained findings of sexual assault, and sustained findings of dishonesty relating to the reporting, investigation, or prosecution of a crime or sustained findings of perjury, false statements, filing false reports, destruction, falsifying, or concealing evidence in relation to the reporting, or investigation, of misconduct by another peace officer.
· AB 2327 (2018, eff Jan 2019) added section 832.12 to the Penal Code requiring peace officer employers to make records of any investigations of misconduct by a peace officer in the officer’s general personnel file or a separate file designated by the department. It further obligates a peace officer seeking employment with another department to give written permission to the prospective hiring department to review such records.
In addition to requiring information about a candidate’s employment history, the personal history statement also requires the candidate to list every law enforcement agency to which they have applied, the hiring steps they have completed and the status of their application. This provides prospective employers with potential sources of additional information on candidate suitability.
Sharing of Background Information
Commission Regulation 1953(g) requires departments to share background information with others conducting peace officer backgrounds, taking into consideration statutory provisions. The information must be used solely for investigative leads and “independently verified by the prospective department to determine the suitability of the peace officer candidate.” The Regulation also requires background information to be shared with the screening psychologist and others involved in the hiring process, if it is relevant to their specific evaluations of suitability.
Considerations for the Commission to Review
Although POST background investigation Regulations provide departments with extensive and comprehensive requirements and relevant tools and resources to conduct thorough background investigations, there are some areas to be considered that can assist with improving the process. Some considerations are as follows:
· Mandate background investigation training. Currently there is no training requirement for background investigators. POST currently certifies a 32-hour minimum background investigation course that provides instruction on POST Regulations, relevant laws, background investigation processes and procedures, and candidate interviewing techniques. It also includes a variety of practical scenarios. The 2009 course has been recently updated and is in the final stage of review by subject matter experts and POST consultants. The updated curriculum should be available by the end of the year.
In addition to the course, and perhaps as a pre-requisite to attendance, POST could consider developing an online, book-based exam that assesses a background investigator’s knowledge of POST Regulations and relevant procedures. This is similar to the requirement in Commission Regulation 1955: Peace Officer Psychological Evaluation (Attachment D), which requires that psychological evaluators complete the POST Peace Officer Psychological Screening Manual book-based exam, prior to conducting evaluations. As with the psychological screening exam, the exam could be made available on the POST Learning Portal, which would provide for 24/7 access. This would then provide for the course to be required within a longer time frame (e.g. within 12 months of being assigned as a background investigator), potentially mitigating any issues with course availability and/or agency resources.
Mandating the background investigation course will result in nominal cost to the departments and/or independent background investigators (non-reimbursable to non-peace officers).
· Require departments to include a “suitability declaration” for the background investigation. Commission Regulation 1953(a) requires that “Every peace officer candidate shall be the subject of a thorough background investigation to verify good moral character and the absence of past behavior indicative of unsuitability to perform the duties of a peace officer.” Currently POST requires that psychologists sign a suitability declaration indicating that they completed the evaluation in accordance with POST requirements and the individual was found to be psychologically suitable for peace officer employment (Attachment D). There could be a similar requirement for the background investigation, which indicates that a “thorough background investigation was conducted in accordance with POST Regulations.” This declaration, if signed by the investigator, would also assist with determining if the investigator has completed the requisite training, if implemented. The document would be placed in the background file, along with the supporting background investigation documents.
· Mandate that departments complete a separation report similar to the recommended Selection Validation Report in the Psychological Screening Manual (Attachment E). This report would be completed upon separation of a peace officer. If the officer was separated within a specific time frame (e.g. during probation), the information could be utilized to improve upon hiring processes, such as the background investigation and/or psychological evaluation. If the officer was separated after lengthy employment, then it could potentially be used to determine if there are internal systems or processes that could be improved upon, such as officer wellness programs. |