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225City Of Anaheim Administrative Regulation CHAPTER 2 - EMPLOYMENT PROCEDURES Subject: Reference Checks A.R. 225 Issue Date: Revised: Sept. 16, 1991 April 2, 2003 December 13, 2006 Page (1) of (3) Purpose: The purpose of this regulation is to describe the minimum policy relating to the conduct of pre -employment reference checking of potential new hires from outside the City and the release of personal and/or reference information to other employers regarding current or former employees of the City in order to minimize the City's risk of liability. It shall be the policy of the City to: 1. Conduct a criminal records check on all potential new hires before a formal job offer is extended for any full-time position, and for part-time positions where the employee will work in close proximity to children, cash, sensitive materials, equipment or documents, or in building security. 2. Obtain as much job related information as possible by conducting a thorough reference check with current and former employers of potential new hires before a formal employment offer is extended. 3. Release only basic factual information to other employers seeking reference information from the City regarding a current or former City employee unless the current or former employee authorizes the release of a full disclosure in writing. Procedure: City Conducted Reference/Background Checks: 1. It is the responsibility of supervisors and managers with hiring authority to conduct pre -employment reference checking in accordance with this administrative regulation. 2. The hiring authority shall refer to the attached documents entitled "Guidelines for Performing Reference Checks" (attachment A) and the "Reference Check" form (attachment D). 3. Reference information obtained in confidence by the City from other employers is considered confidential and may be legally withheld from the applicant who is the subject of the check. Information obtained from public records shall be divulged to an applicant. City Of Anaheim Administrative Regulation 225 Page (2) of (3) 4. Any written information obtained in. the reference check will be retained and destroyed in accordance with Government Code Sections 34090, et. seq. and the Records Retention Schedule of the Human Resources Department (Reference Check information must be forwarded to the Human Resources Department, where it will be retained for a minimum of three years after the employee's date of termination or decision not to hire prospective candidate). 5. Authorization to use an outside investigator or agency to conduct any reference or background check must be obtained in advance from the Human Resources Department. Reference/Background Checks conducted by Other Employers: Whether conducted by telephone or by mail regarding current or former employees of the City, inquiries should: 1. Be referred to the Human Resources Department for response. 2. Human Resources will release or verify only the following information: A. the fact of current or former employment, B. dates of employment, C. the job classification, and D. the salary range of the current or last classification. UNLESS The employee or former employee provides a signed written waiver authorizing the release of additional information to that requestor. Current, terminated, or former employees will be offered the option of completing a City form, designated for this purpose, and leaving it on file in the Human Resources Department, authorizing the release of additional non -medical information to designated requestors. 3. The Human. Resources Director may authorize individual supervisors or managers to respond to requests for detailed employment information when a signed release is on file in the Human Resources Department (check to make sure release is still in effect and has not been rescinded and that it covers the information requested). Supervisors responding to such requests must provide only factual information clearly within the scope of the authorization. City Of Anaheim Administrative Regulation 225 Page (3) of (3) Responsibility: The Human Resources Department is responsible for advising supervisors and managers on the conduct of pre -employment reference/background checks and responding to requests for references from other employers. Human Resources will retain all references and criminal records check documents. The hiring authority is responsible for conducting pre -employment reference checks on all potential new hires before an official job offer is extended by Human Resources. The hiring authority is also responsible for referring requests for reference information on current or former employees for response by Human Resources, unless a signed written waiver is obtained by the hiring authority from the current, terminated or former employee. Attachments: "A" Guidelines for Performing Reference Checks "B" Authorization to Release Information "C" Disclosure Authorization and Release "D" Reference Check Form Attachment A Page 1 CITY OF ANAHEIM GUIDELINES FOR PERFORMING REFERENCE CHECKS This procedure relates to the general employment reference checks performed by City personnel by telephone. If the references are checked by an outside investigator, additional notice and disclosure requirements must be followed. Human Resources must be contacted to coordinate the services of an outside investigator. Additional releases and notifications are required before an outside investigator can be used. Reference checking is a key element in the personnel selection process. The quality of information gained through reference checks can be significant and may make the difference in the hiring decision. It is recommended that hiring supervisors and managers follow these guidelines to effectively elicit meaningful information during reference checks. In ruling on negligent hiring claims, courts generally examine how and to what extent employers investigated applicant's background prior to hiring. Such pre -hire investigations must be reasonable given the nature of the job and the potential risk of harm or injury to third parties (customers, coworkers) that might result because of the employee's violent or criminal tendencies or behavior. METHODS TO MINIMIZE LIABILITY: ❑ Check references only on your top candidate under serious consideration after the final interview. Obtain written consent from candidate to conduct a background investigation prior to checking references or conducting any other background investigation. ❑ Ask each candidate to provide you with the name, title, organization and current phone number of a minimum of three (3) of their previous immediate supervisors including their current or most recent one. In fact, obtain and check as many employment and personal references as possible before you hire an applicant. Do not hire an applicant before completing all your inquiries. ❑ Check references by phone, not mail. Some organizations and people tend to be reluctant about putting derogatory remarks on paper. Also, when you are talking to somebody directly, you are in a better position to judge the sincerity and the enthusiasm of the reference. ❑ Check with more than one employer. In fact, every significant period of employment should be checked before a final evaluation is made. The most recent employer may not have bad things to say about a candidate, but this is not to say that previous employers have not had problems you should hear about. ❑ Do not procrastinate. Start checking references immediately after the candidate grants you permission (but not before). The longer you delay, the greater the risk of losing the candidate. ❑ Background checking should be thought of as a verification process, not a selection process. The Fair Credit Report Act (FCRA) and California's Investigative Consumer Reporting Act (ICRA) place notice and disclosure requirements upon background investigations. The extent of the disclosure is based on whether the investigation is conducted by City employees or an outside investigator or investigative agency. o Investigative consumer reports are defined as any report on the "character, general reputation, personal characteristics, or mode of living", obtained through personal interviews with neighbors, friends or associates of the consumer. o Avoid liability by keeping inquiries focused on documented job performance. o Candidate is entitled to any public records obtained during the personnel inquiry. If a decision not to hire is based in whole or in part upon information contained within a public record relating to arrests, indictment, conviction, civil judicial action, tax lien or outstanding judgment the candidate must be provided a copy of the report and/or the public record within seven (7) days. Information regarding bankruptcies may not be used as the sole basis for an adverse employment decision. o Do not seek information from any outside agency which prepares reports on consumers for a fee without advance approval from the Human Resources Department. BEFORE making the telephone calls: ❑ Tailor your investigation to the job. Negative reference information cannot be used to reject the applicant unless the employer can show some business relatedness between the negative information and the requirements of the position. ❑ Know the particular qualifications and duties, which are given the most importance for this particular position. ❑ Note any particular concerns about the applicant from your interviews and how they are related to the position. ❑ Assure that the candidate has not requested that contacts with a present employer be deferred. DURING the telephone conversation: ❑ Begin the reference check with a businesslike tone. Be friendly but maintain a strong sense of professional decorum. State who you are (name, title, city), why you are calling (to verify employment for...), and move right into your questions. Resist any attempt to refer you to their personnel department unless the supervisor insists their policy absolutely forbids giving references. Assure the person you are speaking with that any information obtained will be kept confidential except to the extent disclosure is required by law. ❑ If the reference continues to be unwilling to provide information, offer to FAX the applicant's signed disclosure authorization and release form. This approach should motivate the reference to provide the needed information. ❑ Write down comments — explain that you are writing during the conversation so pauses will be understood. Do not hesitate to repeat what you heard to be sure that you have got it right. Also, document reference requests for which no information was obtained. Note the professionalism and tone of voice of the person giving the reference. Try to catch enthusiasm or indifference. A great deal can be learned about the applicant by listening carefully to what is said as well as how it is said. Be alert to any potential personal ties to a candidate that could influence ratings. ❑ When you ask for a candidate's weaknesses, say "areas for improvement" or "things we should concentrate on in training". Ask if the candidate is eligible to be rehired. EVALUATION of data: When assessing a reference, consider how long and how well the reference giver has known the applicant, and what kind of relationship exists between the two. The most credible information sources will not concentrate too heavily on either the applicant's strengths or faults, but will try to give a balanced accounting of both. Overuse of platitudes, noncommittal or solely negative statements about the job candidate, or use of vague language to describe the former employee's job responsibilities should raise questions about the reference giver's value as an information source. 11 The most reliable information usually comes from former supervisors who are in the best position to judge an applicant's work habits and performance. ❑ Compare information obtained during the reference check with information obtained from the application and the interviews. Some applicants assume that employers will not bother to check such information. ❑ Check gaps in employment or residence history. Depending upon the requirements of the position, certified copies of transcripts, driving history, licenses or credentials, and criminal record should be obtained. Remember any public records obtained or information from public records must be provided to the candidate within seven (7) working days of receipt of such report by the City unless previously waived in writing. Generally, information more than seven (7) years old obtained from public records may not be considered. ❑ The essential functions should be identified for each job. Those positions involving handling money, driving vehicles, working with children, and possessing weapons should be carefully scrutinized. Negative factors/characteristics to be looked for include candidates with dangerous propensities such as uncontrollable anger or violence, criminal convictions that could relate to the job, poor driving record, and record of poor work performance. ❑ Limit your inquiries to verifiable job related information and ask the same questions about the prospective candidate to each reference. Reference checks performed on prospective new employees are governed by the same standards of pre -employment inquiry, as are other parts of the selection process. (Refer to Reference checks A.R. 225, Procedure Section 4). ❑ If negative information is uncovered, consider the reliability of its source and check its accuracy with other sources before using it to make a hiring decision. Even then, be sure you have a demonstrated business -related reason for using such information. ❑ If a decision not to hire is based in whole or in part upon information within a consumer report prepared by an outside agency the candidate is required to be notified of this fact and provided a copy of the report. (See notice of intent to take adverse action). After the calls are completed, maintain the confidentiality of this information. It is very important that this information not be given to the candidate whether hired or not, unless the information is from a consumer report prepared by an outside agency or based upon any public record. All written material regarding job references regarding applicants whether hired or not must be forwarded to the Human Resources Department and maintained in accordance with Government Code Sections 34090, et seq., and the Records Retention Schedule of the Human Resources Department. (Refer to Reference checks A.R. 225, Procedure Section 4). TIPS ON HOW TO PROVIDE REFERENCE INFORMATION An employer who issues a job reference is generally not liable as long as the reference is complete and balanced, was issued in good faith and without any malice or untruthfulness. Suggestions; ❑ References should never be given by telephone unless adequate verification of the caller's identity is established (e.g., by return phone call). 11 If a telephone reference is given, document the dates and details of the conversation in a memorandum to your supervisor's file. ❑ Ask the purpose of the inquiry. Also, find out whether the former employee has granted permission to release information and whether any limits to what may be disclosed (ask for FAX signed release). El Only disclose information to the extent that the employee has consented except for dates of employment and salary range. ❑ Limit your responses to verifiable job performance information as would be documented in performance evaluations. Attachment B AUTHORIZATION TO RELEASE INFORMATION "I hereby authorize the City of Anaheim, by and through its agents, its employees and representatives, to release to any potential or actual employer any and all records and other information in their possession relating to any and all aspects of my employment relationship and job performance with the City of Anaheim. I understand and acknowledge that this authorization will permit positive as well as negative information to be released and that the release of negative information may adversely impact my being hired by the person/entity requesting the information. Therefore, I release the City of Anaheim, and its duly authorized employees or agents, from any and all liability for any detriment suffered by me as a result of the disclosure of my employment relationship and job performance and/or other information released by any person or party, whether such information is favorable or unfavorable to me." This authorization continues indefinitely until rescinded by me in writing. I hereby agree that a photocopy, fax, or other reproduction of this authorization is hereby considered to be as valid as an original. Applicant/Employee's Signature Print or Type Applicant/Employee's Full Name (First Middle Last) Date Attachment C DISCLOSURE AUTHORIZATION AND RELEASE "I hereby authorize any current and former employer, its employees and representatives, or any person listed as a reference to provide any and all information they deem appropriate regarding my employment and job performance to the City of Anaheim, and any of its employees, representatives, and agents. This information may be provided either verbally or in writing. In addition to authorizing the release of any information regarding my employment, I hereby fully waive any rights or claims I have or may have against any current and former employer, its employees and representatives, or any person listed as a reference, and release any former employer, its employees and representatives, former educational institution or any person listed as a reference from any and all liability, claims, or damages that may directly or indirectly result from the use, disclosure, or release of such information by any person or party, whether such information is favorable or unfavorable to me." Applicant/Employee's Signature Print or Type Applicant/Employee's Full Name (First Middle Last) Date Name of Applicant PREVIOUS EMPLOYER: Company Person Contacted CITY OF ANAHEIM REFERENCE CHECK Position Applied For City & State Job Title INTRODUCE YOURSELF BY NAME, TITLE, CITY OF ANAHEIM. I would like to verify some information given to us by Telephone Applicant's Name ATTACHMENT D Page 1 Date He/she has applied for with our City and has told us that he/she was previously employed by your company/agency. May I have a few minutes of your time to ask a few brief questions? (If time is not available now, schedule an appointment to call back). This information will be kept strictly confidential. 1. What were the dates of employment? From To 2. Starting position he/she held with your company? Rate of Pay $ ❑ hourly ❑ monthly ❑ annually 3. Last position he/she held with your company? Rate of Pay $ ❑ hourly ❑ monthly ❑ annually 4. What was the nature of his/her work and job responsibilities? ATTACHMENT D Page 2 Note: Compare answers of questions 1-4 to the information on the application for accuracy. 5. Please tell me how you would rate him/her in the following areas (check appropriate box). Exceeds Meets Needs Expectations Expectations Improvement Unsatisfactory TASIVASSIGNMENT COMPLETION Quality of Work: Accuracy and completeness in the work that is done. ❑ ❑ ❑ ❑ Quantity of Work: The amount, pacing, and timeliness of completed ❑ ❑ ❑ ❑ work; meets deadlines. Technical Job Knowledge: Specialized skills and abilities as ❑ ❑ ❑ ❑ defined by the employee's class specification. WORKING RELATIONSHIPS Teamwork: Contributes to a positive work environment; builds and ❑ ❑ ❑ ❑ maintains effective working relationships; displays flexibility in adapting to change. Independence: Works with the appropriate level of supervision. ❑ ❑ ❑ ❑ Communication: Communicates clearly and fully verbally and in ❑ ❑ ❑ ❑ writing, uses correct volume and tone; keeps others informed. Customer Service: Responsive to both internal and external customers; ❑ ❑ ❑ ❑ demonstrates effective interpersonal skills; respectful of diversity. WORK HABITS Attendance: Meets the department ❑ ❑ ❑ ❑ standard Suitable attire for the job: Wears job appropriate clothing, which is not ❑ ❑ ❑ ❑ offensive and does not create an unsafe working condition. Equipment Care and Operation: Uses equipment as intended in ❑ ❑ ❑ ❑ ATTACHMENT D Page 3 accordance with policy; documents and reports problems. FOLLOWS THE RULES Safety: Works in a safe manner, ❑ ❑ ❑ ❑ adheres to safety rules and regulations, and reports unsafe working conditions. Policies and Procedures: Is familiar with and follows all established rules ❑ ❑ ❑ ❑ and policies. Ethics: Demonstrates the highest standards of honesty, integrity and ❑ ❑ ❑ ❑ truthfulness; acts in a manner that builds public trust and credibility. OTHER Supervisory Effectiveness: Manages the performance of others to achieve ❑ ❑ ❑ ❑ results; completes performance appraisal in a timely manner. What would you consider to be his/her strong points? What are his/her areas for improvement? What was his/her reason for leaving your company? ATTACHMENT Page Y. Given your knowledge ofthe applicant, would you rehiro? 10. I)nyou have additional comments? THANK YOU FOR YOUR TIME AND COOPERATION. Reference Checked By: Date: DISCLOSURE AUTHORIZATION AND RELEASE California Civil Code § 1786.16; 15 U.S.C. 1681(b) You have submitted an application for employment with the City of Anaheim. As part of this application process, a background investigation will be conducted. The purpose of the background investigation is to evaluate your suitability for employment with the City of Anaheim. The City of Anaheim has specifically requested information regarding ❑ Past employers and/or education institutions; ❑ Criminal records; ❑ Institutions with information addressing credit worthiness, including, but not limited to a retail credit report provided by any of the commercial retail credit reporting companies; ❑ Department of Motor Vehicles Report. The investigative consumer report may include information on your character, general reputation, personal characteristics, and/or mode of living. The report will be made by Person/Company conducting the investigation Address: Telephone: Any criminal background information obtained may be made available to you during regular business hours. You may either personally inspect the files upon furnishing proper identification and/or request to receive a copy of your file relating to your criminal history for a fee not to exceed the actual cost of copying. You may also obtain a summary of the information by telephone if you have made a written request. See Civil Code § 1786.10 and § 1786.22. The investigator will explain any information furnished to you as result of the criminal background investigation. He/she will also provide a written explanation of any coded information contained in their files. You may be permitted to be accompanied by one other person of your choosing in personally inspecting the files. Applicant's Signature Social Security Number: - -------------------- Caliornia Civil Code § 1786.16(b)(i) Date I, , have been advised that the City of Anaheim will be requesting an investigative consumer report regarding me. I hereby authorize the City of Anaheim to procure an investigative consumer report regarding me for employment purposes. I am aware that said report may include information regarding my character, general reputation, personal characteristics, and mode of living as well as a medical, criminal or civil history. ❑ I wish to receive a copy of any report that is prepared. I understand that a copy of the report will be provided within three (3) business days of receipt of the report by the City of Anaheim. ❑ I do not wish to receive a copy of any report that is prepared, or any public records that may be obtained. Applicant's Signature Date NOTICE OF INTENT TO TAKE ADVERSE ACTION (15 U. SC. §1681 b(b) (3)) (Civil Code § 1786.40) Please be advised that the City of Anaheim intends to take an adverse action based, in whole or in part, upon a consumer report procured by the City with your written consent. An adverse action is specifically defined by 15 U.S.0 Section 1681 a (k)(1)(B)(ii) to include a denial of employment or any other decision for employment purposes that adversely affects any current or prospective employee. The report was furnished by: Name: Address: Telephone: A copy of the report is being provided to you concurrently with this notice. Also being provided to you concurrent with this notice is a description of your rights under the Fair Credit reporting Act as prescribed by the Fair Trade commission under 15 U.S.C. Section 1681g(c)(3). did not make the decision to take the adverse action and is unable to provide you with the specific reasons why the adverse action has taken. Under 5 U.S.C. Section 1681j, you have sixty (60) days from the date of this notice to request a free copy of the report from Also, under 5 U.S.C. Section 1681i, you have the right to dispute with the accuracy or completeness of any information in the report, which was furnished to the City of Anaheim.