PRE-EMPLOYMENT BACKGROUND INVESTIGATIONS (HR2435) 2023-06-28.PDF
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MARICOPA COUNTY INTERNAL POLICY Policy Title: PRE-EMPLOYMENT BACKGROUND INVESTIGATIONS Policy Number: HR2435 Current Adoption Date: 06-28-2023 Current Implementation Date: 06-28-2023 Approved by: BOARD OF SUPERVISORS Board Agenda Number: C----- Original Adoption Date: 01-11-2017 I. PURPOSE To outline Maricopa County’s background investigation process as part of its selection process. II. AUTHORITY This Policy is authorized by the Board of Supervisors pursuant to A.R.S.§11-251. III. APPLICATION This Policy applies to all Maricopa County elected offices and appointed departments, the Flood Control District of Maricopa County, and the Maricopa County Library District (Special Districts). The Board of Supervisors is authorized to jointly adopt policies applying to the Special Districts under the Intergovernmental Agreement, C-06-18-393-6-00, approved on April 11, 2018. This Policy does not apply to individual elected officials or elected offices who administer their own background investigation process. IV. DEFINITIONS A. Appointing Authority: An elected official, the single administrative or executive head of a department, or the designated representative authorized to act in this capacity. B. Human Resources: Maricopa County (Central) Human Resources Department. C. Safety Sensitive Position: A position where the risk to public safety is substantial and real (e.g., carrying a firearm, being involved in drug interdiction, or having extensive contact with children). V. POLICY A. The County shall not inquire about applicants’ criminal history during the initial application or selection process prior to the applicant accepting a conditional employment offer. 1. Certain exceptions exist where a state or federal law prohibits a person from holding a job due to prior criminal conduct. In such instances, the County may inquire about applicants’ criminal history and disqualify them from further consideration prior to extending a conditional employment offer. 2. In addition, where an elected office administers its background investigations for its employees or employees of other departments in connection with required access to a facility (e.g., County jails), the County may inquire about applicants’ criminal history on the initial application. When criminal history is disclosed on the application, departments may inquire further with the applicant during any stage of the selection process. B. The County supports second chances for individuals with a criminal record by providing an opportunity to explain their record and discuss any inaccuracies after a conditional offer of employment is made. Policy Title: PRE-EMPLOYMENT BACKGROUND INVESTIGATIONS Policy Number: HR2435 Current Adoption Date: 06-28-2023 Page 2 of 3 C. All background investigations are conducted in compliance with all applicable federal and state statutes, such as the Fair Credit Reporting Act (FCRA) and the Americans with Disabilities Act (ADA). D. Employment offers for new hires and rehires are contingent upon the successful completion of a background investigation. Candidates shall not begin work prior to the department receiving Human Resources’ approval following the required background investigation. E. Appointing Authorities may request background investigations for current employees changing to Safety Sensitive Positions or positions with the potential for serious adverse impact on the integrity or efficiency of the County. Such positions may include: a. Policy making responsibility. b. Public safety. c. Fiduciary responsibilities or other duties demanding a significant degree of public trust. d. Access to or control of financial records, or significant risk for causing damage or realizing personal gain. F. Required Background Investigations – Prior to Start of Employment: 1. Social Security Validation: Validates social security number, date of birth, and former addresses. 2. Employment Verification: Confirms applicant's employment history. 3. Multi-State Criminal History: Counties of past residence and federal criminal history check. 4. Additional background investigations may be required due to position requirements and business necessity. G. Discretionary Investigative Tools: 1. Motor Vehicle Report: Confirms a valid unrestricted license for positions for which driving is an essential requirement. 2. Motor Vehicle Report and Drug & Alcohol Test: Confirms a valid unrestricted license and suitability for positions that require a Commercial Driver’s License. 3. Professional License or Sanctions Verification: Confirms license is active and in good standing for positions that require a professional license. 4. Education Verification: Confirms the educational institution, the years attended, and the degree/diploma received for positions that require a Bachelor’s Degree or higher. 5. Credit Report: Provides credit history for positions that manage funds or handle cash. H. Fingerprints: Depending on the position, a current or prospective employee may be required to submit a full set of fingerprints as a component of the background investigation process. In such cases, the fingerprints shall be submitted to the Arizona Department of Public Safety (DPS) to obtain a state and federal criminal history check pursuant to Arizona Revised Statute (ARS) §41-1750 and Public Law §92- 544. The DPS may exchange this fingerprint data with the Federal Bureau of Investigation (FBI). I. Rescinding Job Offers: 1. Any information used to deny employment will be job-related and consistent with business necessity. Policy Title: PRE-EMPLOYMENT BACKGROUND INVESTIGATIONS Policy Number: HR2435 Current Adoption Date: 06-28-2023 Page 3 of 3 2. Human Resources is responsible for ensuring FCRA requirements are met when a decision not to hire a candidate (including current employees) is made based on the background investigation results. J. Record Keeping: Information obtained from the background investigation process will only be used as part of the employment process. It will be kept confidential and kept separately from employees' personnel files. Unless required by law, only the Appointing Authority, Human Resources personnel, and legal staff responsible for background investigation processes or administrative action relating to hiring decisions will have access to this information. K. The County Manager or designee may approve exceptions consistent with the Policy’s intent. Revision History Version Revision Date Description of Revision 1 01/11/2017 Initial version (C-92-17-004-6-00) 2 12/13/2017 Revised to coincide with second chance employment practices (C-92-17-044-6-01) 3 06/28/23 Updated language and clarified how AA may request checks on current employees who change to safety sensitive positions. (C-----)