Probation Department Policy/Procedure Manual

5.1 Background Investigation Process

Location Backgrounds
Section N/A
Subject 5.1 Background Investigation Process
Purpose Background Process
Effective Date 9/6/2019
Previous Effective Date

 

  1. New applicant packet received.  Add to Weekly Log, with referral date (date PHS packet is provided).

 

  1. INITIAL MEETING WITH APPLICANT:
  1. provide PHS packet:
    1. Initial Background Instructions, with link to Personal History Statement.
      1. (print sample to explain sections and where to provide additional information)
      2. No handwritten PHSs, print one-sided, emphasize completeness and accuracy.
  2. Review DQ factors (take notes)
  3. Required documents (review and answer questions)      
  4. PHS Supplementary Questions form
  5. Live scan form for respective position
  6. Request handwritten autobiography
  7. Release and Waiver
  8. Equipment Note for Training Coordinator (Peace Officer applicants only)
  9. remind applicant to order official transcripts/military records if applicable
  10. Explain 14-day window and timeline.
  11. have them complete Pre-investigative Questionnaire, in your presence.
  12. EMPHASIZE importance of 100% honesty throughout the process: “We’re not looking for the perfect candidate; we are looking for the perfectly honest candidate”.  Most people who get DQ’d it’s due to deliberate omission or deception.
  13. E-mail John Odum, Polygraph Examiner to ask for availability around the time the applicant’s 14-day window ends.  His schedule books up very quickly, since he does polygraphs for many local LE agencies.

 

  1. PHS INTERVIEW & POLYGRAPH QUESTIONNAIRE
    1. Collect documents
      1. PHS (Make copy. DO NOT write on original)
      2. Social Security card (see original/make copy)
      3. Birth Certificate or Certificate of Naturalization (see original/make copy)
      4. Driver License (see original/make copy)
      5. Selective Service Registration
      6. DD-214 Long Form/Military jacket (prior military)
      7. Release and Waiver (have PSU Supervisor notarize and make copy for applicant)
      8. Live scan form (BCII 8016)
      9. Official DMV driving record (provided by applicant)
      10. Official (sealed) transcripts.  These can also be mailed directly to Investigator.
      11. Auto Insurance (be sure to check exp. date and if it’s close to expiring, ask for updated copy.
      12. Take photo (be sure to ask for their permission)
      13. Review PHS with applicant, seek clarification on anything needed.  Take notes on COPY.
      14. Have applicant complete Polygraph Questionnaire.  MUST BE COMPLETED IN OFFICE.   DO NOT PROVIDE A COPY.
      15. Make appointment with them for Polygraph exam, if it is probable, they will move forward in the background investigation based on the PHS interview.

 

  1. If the Polygraph exam is directly after the PHS Interview (as it sometimes is when you have an out-of-county applicant, compile the Polygraph Packet for the applicant to take directly to John Odum.  Polygraph packet consists of:  copy of PHS, PIQ and Polygraph Questionnaire.  Be sure to seal the envelope, stamp confidential on it and explain to the applicant that it is only to be opened by the Polygraph examiner.  Provide/staple John Odum’s business card to envelope, so they have the address and contact information to Cuesta Polygraph.

 

  1. If you are not going to be available on the day/time of the applicant’s polygraph, leave the polygraph packet with the front desk staff for them to provide to applicant.

 

  1. John Odum will e-mail you whether the applicant passed or failed and will provide the written report within a week of the polygraph exam.  Once you receive the report, be sure to save it under the F: drive under Polygraph Reports.

 

 

CUESTA POLYGRAPH

John Odum, CPE

1264 Higuera Street, Suite 209

San Luis Obispo, CA 93401

Office:  (805) 788-0126

Cell:  (805) 602-1382

[email protected]

California PI License #26987

 

  1. If there are issues/concerns after the PHS Interview, discuss with your supervisor and bring to the attention of the Chief Deputy/Assistant Chief Probation Officer.  If DQ has been confirmed, send DQ Letter to applicant, copy HR, complete NLI and fax to DOJ.  Document all steps completed.  Provide background packet to AAIII in Professional Standards unit to scan and archive. 

                 FINGERPRINTS AND FIREARMS

  1. Four separate report documents are required
    1. DOJ official clearance
    2. FBI official clearance
    3. DOJ firearms clearance (Peace Officer applicant only)
    4. CACI (Child Abuse Central Index) (Peace Officer applicant only)

 

  1. All report results viewed/printed at one domain: https://******.doj.ca.gov/

                                                Username: *******

Password:  ******* 

  1.     LOCAL LE AGENCY CHECKS
    1. Fax inquiries to all jurisdictions where applicant lived, worked, attended school or frequented
    2. Fax inquiries to all agencies applied to

 

  1. CREDIT CHECK
  1. Use website: “MICROBILT.com, TLO.com
    1. Microbilt (returns Transunion report)
    2. PSU Supervisor will set you up with username/password

 

  1. TLO.com
    1. PSU Supervisor will set you up with username/password

 

  1. EDUCATION VERIFICATION
    1. Official transcripts. (not Diploma)
      1. High School or
      2. US public High School or
      3. Accredited Dept. of Defense High School or
      4. Accredited or approved
      5. GED (passed at high school graduation level) or
      6. Passed the California High School Proficiency Exam or
      7. 2 year or 4 year advanced degree from accredited college
    2. Review grades, remarks, credits earned, degree earned, GPA

 

  1. CITIZENSHIP / AGE VERIFICATION
    1. Birth Certificate or Naturalization documentation

 

  1. MILITARY HISTORY
    1. Selective Service registration receipt
    2. Official copy of DD-214 long form (if prior military)
    3. Military jacket (DO NOT have them provide medical information.  If they send this to you, immediately place in envelope, seal and write Medical information provided by applicant, on __/__/__.  Inform supervisor.

 

  1. DISSOLUTION OF MARRIAGE
    1. Provide final court issued dissolution documents and legal separation decrees

 

  1. EMPLOYMENT HISTORY
    1. Utilize questionnaires and follow up interviews to gather info from past employers
      1. Email employment questionnaires with signed, notarized release.
      2. Include copy of California Government Code 1031 for non-government employers
    2. Request EDD work history report via fax request form.
    3. Review personnel files/background files when applicable.

 

  1. RELATIVES / PERSONAL REFERENCES
    1. Email or mail questionnaires: relatives, former spouses, references.
    2. In person interviews
    3. Secondary references.

 

  1. NEIGHBORHOOD CHECKS
    1. Personal interviews with neighbors at current and past residences. 

 

 

  1. BACKGROUND NARRATIVE
    1. Once approval is received back from Chief Deputy, Signature Page will be provided to HR (SAC II or DPT) and Background Narrative will be given back to you in order for it to be archived with all supporting documentation.  HR will set up Medical (all applicants) and Psych (for Peace Officer applicants).  Ensure proper communication between all involved and keep Weekly Log updated.

 

  1.   Provide PR_MGMT with weekly update on background investigations.  E-mail sent on Wednesdays.