Background Investigation

2020
[Back of cover]
POST Background Investigation Manual:
Guidelines for the Investigator 2020
Copyright 2020
California Commission on Peace Officer Standards and Training
Published 1991
Revised 1992, 1994, 1995, 2006, 2007, 2009, 2012, 2013, 2018,
Jan 2019, Mar 2019, Jan 2020
All rights reserved. This publication may not be reproduced, in whole or in part, in any
form or by any means electronic or mechanical or by any information storage and
retrieval system now known or hereafter invented, without prior written permission of
the California Commission on Peace Officer Standards and Training, with the following
exception: California law enforcement agencies in the POST peace officer program and
POST-certified training presenters are hereby given permission by POST to reproduce
any or all of the contents of this manual for their internal use.
All other individuals, private businesses and corporations, public and private agencies
and colleges, professional associations, and non-POST law enforcement agencies in-
state or out-of-state may print or download this information for their personal use only.
Infringement of the copyright protection law and the provisions expressed here and on
the POST website under Copyright/Trademark Protection will be pursued in a court of
law.
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POST
COMMISSIONERS
Joyce Dudley District Attorney

Chair Santa Barbara County
Rick Braziel Educator

Vice Chair Humboldt State University
Alan Barcelona Special Agent

Department of Justice
Lai Lai Bui Detective

Sacramento Police Department
Thomas Chaplin Chief

Walnut Creek Police Department
Barry Donelan Sergeant
Oakland Police Department
Robert T. Doyle Sheriff

Marin County Sheriff’s Department
Geoff Long Public Member
John McMahon Sheriff

San Bernardino County Sheriff’s Department
Jethroe Moore Public Member
James O’Rourke Sergeant

California Highway Patrol
Batine Ramirez Sergeant

Placer County Sheriff’s Department
Laurie Smith Sheriff

Santa Clara County
Walt Vasquez Chief

La Mesa Police Department
Xavier Becerra Attorney General

Ex Officio Member
i
POST
MISSION STATEMENT
The mission of the California Commission on Peace

Officer Standards and Training (POST) is to continually
enhance the professionalism of California law
enforcement in serving its communities.
PREFACE
Government Code §1031 requires a pre-employment background investigation for peace

officers; this requirement is further defined in Commission Regulation 1953. Similarly, Penal
Code §13510 authorizes POST to establish minimum standards for public safety dispatchers;
those standards — including a background investigation — are defined in Commission
Regulations 1956-1960.
The POST Background Investigation Manual: Guidelines for the Investigator is intended to
provide guidance to assist in satisfying these requirements and in otherwise ensuring that
the background investigations of California peace officer and public safety dispatcher
candidates are thorough, lawful and effective. The manual was developed in conjunction with
and in support of Commission regulations, personal history statements, and evaluation
criteria, all of which are described herein.
Although these guidelines are detailed and comprehensive, this manual is intended
as a resource rather than a replacement for adequate training and other needed forms of
agency support for background investigators. Comments and suggestions concerning these
guidelines should be directed to your Regional Consultant.
MANUEL ALVAREZ, JR
Executive Director
2019
iii
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ACKNOWLEDGEMENT
The Background Investigation Manual: Guidelines for the Investigator provides a

comprehensive guide for conducting background investigations of peace officer and public
safety dispatcher candidates. The strong foundation set forth by the original authors–
Shelley Spilberg, Ph.D., Sid Smith and Greg Murphy – has become a model for conducting
background investigations in California and nationwide.
Continuing this legacy, the 2018 edition provides current, relevant and comprehensive
guidance to ensure that background investigators have the tools necessary to facilitate
investigations that are complete, thorough and fair as provided for in POST regulation, and
state and federal laws.
This revision would not have been possible without the guidance and input of Gary Barner,
Sid Smith, Maureen Swanson, and Mario Yagoda whose practical knowledge and
expertise in conducting background investigations and providing instruction in POST-
certified background investigation courses, have proved invaluable to this effort.
POST Regional Consultants Jeff Dunn, Christine Ford, Don Lane, Karen Lozito, Gary
Manini, Marty Picone, Charles Sandoval, and Valna Wilson were a constant resource of
feedback from the field, which helped shape the guidance of this Manual, and William
“Toby” Darden was instrumental in providing legal counsel with respect to relevant
statutes and case law.
Finally, completion of this project would not have been possible without the continued
support of POST management, including Bureau Chiefs Ralph Brown and Phil Caporale,
and Assistant Executive Directors Scott Loggins and Maria Sandoval.
Melani Singley
Project Manager
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Background Investigation Manual
Contents
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Contents
CONTENTS
POST Commissioners ....................................................................................................................... i

Preface ............................................................................................................................................ iii
Acknowledgments ........................................................................................................................... v
CHAPTER 1. INTRODUCTION _________________________________________________ 1-1

FOCUS OF THE MANUAL.............................................................................................................. 1-1
THE ROLE OF POST...................................................................................................................... 1-3
POST VS. AGENCY CANDIDATES SCREENING CRITERIA ........................................................... 1-4
ORGANIZATION OF THE MANUAL................................................................................................ 1-5
CHAPTER 2. PEACE OFFICER AND PUBLIC SAFETY DISPATCHER BACKGROUND

INVESTIGATION DIMENSIONS _____________________________________ 2-1
MORAL CHARACTER .................................................................................................................... 2-4
HANDLING STRESS AND ADVERSITY ......................................................................................... 2-7
WORK HABITS .............................................................................................................................. 2-8
INTERACTIONS WITH OTHERS .................................................................................................. 2-10
INTELLECTUALLY-BASED ABILITIES .......................................................................................... 2-12
CHAPTER 3. LEGAL QUALIFICATIONS AND STATUTORY FRAMEWORK ________________ 3-1

OVERVIEW OF PRE-EMPLOYMENT SCREENING REQUIREMENTS ............................................ 3-1
Peace Officers ................................................................................................................ 3-1
• Statutory Requirements ............................................................................... 3-1
• Regulatory Requirements............................................................................. 3-2
Public Safety Dispatchers ............................................................................................. 3-4
• Statutory Requirements ............................................................................... 3-4
• Regulatory Requirements............................................................................. 3-4
POST BACKGROUND INVESTIGATION REGULATIONS................................................................ 3-5
Background Investigation Evaluation Criteria .............................................................. 3-5
Personal History Statements ........................................................................................ 3-6
Collection of Background Information: Pre- and Post-Conditional Offer of
Employment ................................................................................................................... 3-6
Areas of Investigation .................................................................................................... 3-6
Background Investigation Updates ............................................................................... 3-7
Documentation and Reporting ...................................................................................... 3-8
Disclosure Provisions: Differences between Peace Officers and Public
Safety Dispatchers ......................................................................................................... 3-8
PRIVACY AND CONFIDENTIALITY LAWS ...................................................................................... 3-9
CONFIDENTIALITY VS. LEGAL PRIVILEGE ................................................................................... 3-9
Guidelines for the Investigator vii

Chapter 3 continued
EMPLOYMENT DISCRIMINATION LAWS AND REGULATIONS .................................................. 3-10

DISABILITY DISCRIMINATION LAWS AND REGULATIONS ........................................................ 3-11
The Americians with Disabilities Act (ADA) and the California Fair Employment
and Housing Act (FEHA) ............................................................................................... 3-11
Who Is Protected .......................................................................................................... 3-11
Who Is Not Protected .................................................................................................. 3-12
Essential Job Functions ............................................................................................... 3-12
Reasonable Accommodation ...................................................................................... 3-13
THE CONDITIONAL OFFER OF EMPLOYMENT: PRE- AND POST-OFFER INQUIRIES................ 3-13
The Pre-Conditional Offer Stage.................................................................................. 3-13
The Post-Conditional Offer Stage ................................................................................ 3-14
BACKGROUND INVESTIGATION INQUIRIES: PRE- OR POST-OFFER? ...................................... 3-15
Frequently Asked Questions ....................................................................................... 3-16
CHAPTER 4. THE BACKGROUND INVESTIGATION PROCESS ________________________ 4-1

PRIOR TO INITIATING THE INVESTIGATION ................................................................................ 4-1
THE BACKGROUND STEPS .......................................................................................................... 4-2
Step 1: Preparation of the Packet ............................................................................ 4-3
Step 2: Meet with the Candidate to Explain the Packet .......................................... 4-4
Step 3: Review the Personal History Statement and Other Completed/
Returned Materials........................................................................................ 4-4
• Document Analysis ................................................................................. 4-5
Step 4: The Initial Background Interview ................................................................. 4-6
• Interviewing ............................................................................................ 4-7
• Preplanning ............................................................................................ 4-7
• Beginning the Interview ......................................................................... 4-7
• Posing Questions.................................................................................... 4-8
• Question Phrasing .................................................................................. 4-8
• Follow-up/Probing .................................................................................. 4-8
• Interviewers’ Nonverbal Behavior ......................................................... 4-9
• Deception in the Interview ..................................................................... 4-9
Step 5: Collect and Submit Candidate Fingerprints .............................................. 4-10
Step 6: The Investigative Process ........................................................................... 4-10
• Cybervetting .......................................................................................... 4-11
Step 7: Detection of Deception Examinations ....................................................... 4-12
Step 8: Discrepancy Interview ................................................................................ 4-12
Step 9: Report and Background Packet Preparation ............................................ 4-12
• The Background Package .................................................................... 4-13
• Report Recommendations ................................................................... 4-14
• Record Retention ................................................................................. 4-15
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Contents
Chapter 4 continued
THE CONDITIONAL OFFER OF EMPLOYMENT .......................................................................... 4-15

MEDICAL AND PSYCHOLOGICAL EVALUATIONS AND BACKGROUND
INVESTIGATION FOLLOW-UP ..................................................................................................... 4-16
MEDICAL AND PSYCHOLOGICAL EXAMINATION DOCUMENTATION........................................ 4-16
SECOND OPINIONS.................................................................................................................... 4-17
FINAL EVALUATION – FORMAL OFFER OF EMPLOYMENT ....................................................... 4-17
CHAPTER 5. AREAS OF INVESTIGATION AND THE POST PERSONAL HISTORY

STATEMENTS __________________________________________________ 5-1
THE POST PERSONAL HISTORY STATEMENT (PHS) .................................................................. 5-1
PHS Section 1: Personal................................................................................................... 5-3
• Verifying Identity .................................................................................................... 5-3
• Discrepancies in Names – Use of an Alias .......................................................... 5-4
• Citizenship ............................................................................................................. 5-4
• Birth Place and Birth Date .................................................................................... 5-5
• Social Security Number......................................................................................... 5-5
• Physical Description and Photographs ................................................................ 5-5
PHS Section 2: Relatives and References....................................................................... 5-5
• Family Members .................................................................................................... 5-6
• Marital Status ........................................................................................................ 5-6
• Former Spouse(s)/Former Registered Domestic Partner(s) ............................... 5-7
• Children ................................................................................................................. 5-7
• Other References .................................................................................................. 5-7
PHS Section 3: Education................................................................................................. 5-8
• Verifying Minimum Requirements – Peace Officers ........................................... 5-8
• Related Educational Background Inquiries ......................................................... 5-9
PHS Section 4: Residence .............................................................................................. 5-10
PHS Section 5: Experience and Employment................................................................ 5-10
• General Areas of Employment History Inquiry ................................................... 5-11
• Employers ............................................................................................................ 5-11
• Supervisors and Co-Workers .............................................................................. 5-13
• Periods of Unemployment .................................................................................. 5-13
• Reason for Leaving a Job.................................................................................... 5-14
• Current Employer................................................................................................. 5-14
• Rejection from Another Peace Officer or Public Safety Dispatcher Position ... 5-14
PHS Section 6: Military ................................................................................................... 5-14
• Selective Service Registration ............................................................................ 5-15
• Military Service History........................................................................................ 5-15
• DD-214 ............................................................................................................... 5-16
• Re-Entry Codes .................................................................................................... 5-16
• Type of Discharge/Character of Service ............................................................ 5-16
• Current Military Status ........................................................................................ 5-17
• Contact Past Commanding Officers or Military Acquaintances ........................ 5-17
Guidelines for the Investigator ix

Chapter 5 continued
PHS Section 7: Financial ................................................................................................ 5-17

• Source of Income ................................................................................................ 5-18
• Expenditures ........................................................................................................ 5-18
• Bankruptcy ........................................................................................................... 5-18
• Bills Turned Over for Collection and Repossessions......................................... 5-18
• Garnishments ...................................................................................................... 5-19
• Tax Delinquencies ............................................................................................... 5-19
• Consumer Credit Reports ................................................................................... 5-19
• Practical Considerations ..................................................................................... 5-20
PHS Section 8: Legal ...................................................................................................... 5-20
• Legal History Search Guidelines......................................................................... 5-21
• Felony Convictions .............................................................................................. 5-21
• Misdemeanor Convictions .................................................................................. 5-22
• Sealed and Expunged Records .......................................................................... 5-22
• Practical Considerations ..................................................................................... 5-24
• Civil Court Action ................................................................................................. 5-24
• Restraining or Stay-Away Order .......................................................................... 5-24
• Diversion Programs ............................................................................................. 5-24
• Fingerprinting ...................................................................................................... 5-25
• Illegal Drug and Alcohol Use ............................................................................... 5-25
PHS Section 9: Motor Vehicle Operation ....................................................................... 5-25
• Driver License ...................................................................................................... 5-26
• Driver License Refused ....................................................................................... 5-26
• Vehicle Insurance ................................................................................................ 5-26
• Driving Record ..................................................................................................... 5-27
• Revoked or Suspended License ......................................................................... 5-27
• Refused Auto Liability Insurance ........................................................................ 5-27
PHS Section 10: Other Topics ........................................................................................ 5-27
• Tattoos ................................................................................................................. 5-27
CHAPTER 6. POST COMPLIANCE INSPECTIONS __________________________________ 6-1

Tab A: Background Narrative Report ...................................................................... 6-1
Tab B: Personal History Statement ......................................................................... 6-2
Tab C: DOJ/FBI Fingerprint Returns – Peace Officers and Public Safety
Dispatchers ................................................................................................... 6-2
DOJ Firearms Clearance – Peace Officers Only .......................................... 6-2
Tab D: Driving Record Check ................................................................................... 6-3
Tab E: Local Law Enforcement Agency Record Checks ......................................... 6-3
Tab F: Credit Records Check ................................................................................... 6-3
Tab G: Education Verification .................................................................................. 6-4
Tab H: Citizenship/Age Requirements – Peace Officers ........................................ 6-4
Employment Eligibility – Public Safety Dispatchers.................................... 6-5
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Contents
Chapter 6 continued
Tab I: Military History Check ................................................................................... 6-5

Tab J: Dissolution of Marriage Check ..................................................................... 6-5
Tab K: Employment History Checks ........................................................................ 6-5
Tab L: Relatives/Personal References Checks ...................................................... 6-6
Tab M: Neighborhood Checks .................................................................................. 6-6
Tab N: Medical Clearance – Peace Officers and Public Safety Dispatchers ........ 6-6
Psychological Clearance – Peace Officers Only .......................................... 6-7
APPENDICES
A DEVELOPMENT OF POST BACKGROUND INVESTIGATION DIMENSIONS ...........................A-3
A.1 Importance Ratings: Selected U.S. Department of Labor O*Net
Job Attributes and Requirements .........................................................................A-5
B NOTIFICATIONS AND ADVISEMENTS ................................................................................... B-1

B.1 Notification of Conditional Job Offer ................................................................... B-3
B.2 Advisement to Candidate Regarding False Statements .................................... B-4
B.3 Advisement Seeking Lateral Placement – Peace Officers ................................ B-5
B.4 Advisement Seeking Lateral Placement – Public Safety Dispatchers .............. B-6
B.5 Authorization/Advisement to Conduct a Pre-Employment Peace Officer
Background Investigation .................................................................................... B-7
B.6 Authorization to Release Information for Employment – Peace Officer
Candidates ............................................................................................................ B-8
B.7 Authorization to Release Information for Employment – Public Safety
Dispatcher Candidates ........................................................................................ B-9
B.8 Advisement to Candidates Regarding the Use of Credit Information for
Employment Purposes ....................................................................................... B-10
C SAMPLE FORMS, REFERENCE CHECK LETTERS AND QUESTIONNAIRES ........................ C-1

C.1 Background Investigation Checklist – Peace Officer ......................................... C-3
C.2 Background Investigation Checklist – Public Safety Dispatcher ....................... C-5
C.3 Cover Letter For Reference Checks .................................................................... C-7
C.4 Questionnaire For Reference Checks ................................................................. C-8
C.5 Interview Questionnaire For Neighborhood Reference Checks ....................... C-10
C.6 Cover Letter To Landlords .................................................................................. C-12
C.7 Questionnaire Landlord Reference Check ........................................................ C-13
C.8 Employment Query Letter .................................................................................. C-15
C.9 Attachment To Employment Query (Government Code Section 1031.1) ....... C-16
C.10 Cover Letter To Past Employers/Supervisors ................................................... C-17
C.11 Questionnaire For Past Employers/Supervisors .............................................. C-18
Guidelines for the Investigator xi

C.12 Inquiry Letter For Selective Service System ..................................................... C-20
D SAMPLES OF SELECTED SECTIONS OF A COMPLETED BACKGROUND INVESTIGATION

REPORT ................................................................................................................................. D-1
Background Investigation Checklist .............................................................................. D-3
Tab A – Background Narrative Report .......................................................................... D-5
Tab K – Employment History Checks .......................................................................... D-10
Tab L – Relatives/Personal References Checks ........................................................ D-15
Tab M – Neighborhood Checks ................................................................................... D-23
E LINKS TO ONLINE FORMS FOR BACKGROUND PACKET .....................................................E-1
F LAW ENFORCEMENT REQUEST FOR DRIVER LICENSE/IDENTIFICATION RECORD

INFORMATION (DMV INF 252) .............................................................................................. F-1
DMV Form INF 252 ............................................................................................................... F-3
LIST OF TABLES
2.1 Summary of POST Background Investigation Dimensions ............................................. 2-3

3.1 Background Investigation Codes and Regulations ....................................................... 3-18
• Peace Officers ............................................................................................................ 3-18
• Public Safety Dispatchers .......................................................................................... 3-40
3.2 Summary of POST Peace Officer Selection Standards ................................................. 3-52
3.3 Summary of POST Public Safety Dispatcher Selection Standards ............................... 3-55
5.1 Comparison of Areas of Background Investigation for Peace Officers
and Public Safety Dispatchers ......................................................................................... 5-2
5.2 Peace Officer Restoration of Rights Following Arrest and/or Conviction .................... 5-23
5.3 Differences between Peace Officer and Public Safety Dispatcher
Personal History Statements .......................................................................................... 5-29
6.1 Background Investigation Areas of Documentation –
Peace Officer ..................................................................................................................... 6-8
6.2 Background Investigation Areas of Documentation –
Public Safety Dispatcher................................................................................................... 6-9
LIST OF FIGURES
4.1 The Background Investigation Process ............................................................................ 4-2

4.2 Background Investigation Report Organizers ................................................................ 4-18
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Contents
Chapter 1
INTRODUCTION
The pre-employment background investigation satisfies two goals: 1) assuring compliance with all
applicable minimum standards for appointment and 2) screening out candidates who, based on
their past history or other relevant information, are found unsuitable for the positions in question.
The express purpose of this manual is to assist background investigators — especially but not
exclusively new investigators — in conducting investigations that satisfy both of these goals.
Backgrounds are among the most important investigations that a law enforcement agency will
ever conduct. The manner in which a background investigation is conducted can make the
difference between hiring an individual who will truly protect and serve versus someone who may
cause harm to oneself, the agency, and society.
Background investigations are also among the most challenging investigations to conduct. They
must be comprehensive if they are to lead to informed hiring decisions. Past misconduct and
other signs of unsuitability must be uncovered so that dangerous or otherwise unfit candidates
are screened out. At the same time, inquiries into past performance must
stay within the tight parameters of fair employment practices. Furthermore, the areas
investigated — and the evaluation of the resulting information — must be treated consistently
across all candidates.
Background investigators must therefore be knowledgeable about all applicable local, state, and
federal fair employment laws. They must be conversant in the legal requirements for appointment
to the positions in question. They must heed all agency policies, practices, and operational
limitations. They must base their inquiries and evaluations on candidate behaviors that have a
direct relationship to the requirements and demands of the position, and they must do so with
consistency and without bias. They must be able to articulate the information gathered from a
wide variety of sources and how it is used in determining candidate suitability.
This manual is intended to assist background investigators in accomplishing this challenging

task. The procedures and guidance presented here explain what information to gather, and how
that information should be considered in determining candidate suitability.
FOCUS OF THE MANUAL

1. “Screen-out” vs. “Select-in” Orientation
POST has the responsibility for developing standards and assuring compliance with those
standards for peace officers and public safety dispatchers. POST regulations mandate what must
be done in order to satisfy the minimum standards for appointment. Therefore these guidelines
are written from a “screen-out” rather than a “select-in” perspective; that is, they are designed to
Guidelines for the Investigator 1–1

assist in identifying and weeding out the unfit, rather than distinguishing excellent candidates
from those who just meet minimum qualifications. Agencies have the right to increase these
standards as well as require additional standards.
2. Target Readership: Background Investigators
This manual was written expressly for background investigators. Although it may prove useful to
others besides investigators, it is not intended as a comprehensive resource document for
administrators, legal counsel, or others who are not directly involved in conducting background
investigations.
Note: In California, third party background investigators (i.e., private contractors) must be
Licensed Private Investigators1 or attorneys. The actions of contract investigators
are highly regulated by the Investigative Consumer Reporting Agencies Act (ICRAA),
Civil Code §1786. Because of the complexity of this area of law, the special procedures and
requirements for non-agency investigators are not the focus of this manual. Contract
investigators are strongly advised to seek out competent and professional training on ICRAA.
3. Target Jobs: Peace Officer and Public Safety Dispatcher

California law requires the completion of pre-employment background investigations for peace
officers2 and public safety dispatchers where the employing agency participates in the POST
Public Safety Dispatcher Program.3 As POST has been charged with the responsibility for
developing selection standards for peace officers and public safety dispatchers, the focus of this
manual is therefore limited to conducting background investigations on these two classifications.
Local agency policy or regulation may require the completion of a pre-employment background on
a host of other classifications of employment (e.g., secretarial support staff, records personnel,
community service officers). Although some principles discussed here may be relevant regardless
of classification, caution must be exercised when applying this guidance to classes of
employment outside the mandate given POST. Agencies are urged to work in close consultation
with their legal counsel.
4. Not a Substitute for Training
This manual is not intended to serve as a substitute for competent, professional training.
Although there is no background investigator training requirement, the proper training of
employees is an employer’s legal responsibility; furthermore, effective training of background
investigators can greatly improve the quality of an agency’s candidates. Background investigator
professional associations — such as the California Background Investigators Association (CBIA)
and the California Association of Law Enforcement Background Investigators (CALEBI) — also
offer training as well as networking and related benefits.
5. Not Legal Advice
Although the manual contains discussions of the many pertinent employment laws and their
impact on background investigations, the information presented here should not be treated as
legal research, legal opinion, or legal advice. Background investigators are strongly encouraged to
consult, work closely with, and abide by the advice of their agency’s legal counsel.
1 Cal. Bus & Prof Code §7520 et seq.

2 Cal. Gov’t Code §1031(d)
3 Commission Regulation 1959
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Contents
THE ROLE OF POST

POST serves a variety of functions with respect to the background investigation process. These
functions include establishing selection standards, certifying training, providing technical
assistance, and conducting compliance inspections.
1. Selection Standards
In response to specific mandates from the State Legislature, POST has been charged with the
responsibility to develop selection standards for peace officers and public safety dispatchers.
California regulatory agencies, such as POST, establish regulations in accordance with the
Administrative Procedures Act. Once properly adopted, these regulations appear in the California
Code of Regulations (Title 11, Division 2, Article 3). As authorized by the State Legislature, these
regulations carry the force of law and often seek to clarify or expand upon specific legislative
enactments (laws), for example in the Penal or Government Codes.
Commission Regulations 1950-1955 contain the selection standards for peace officers.
Commission Regulation 1953 includes the requirements for conducting peace officer background
investigations. The peace officer medical and psychological evaluation requirements are outlined
in Regulations 1954 and 1955.
Commission Regulations 1956-1960 contain the selection standards for public safety
dispatchers. Commission Regulations 1959 and 1960 include the requirements for conducting
the public safety dispatcher background investigation and the medical evaluation, respectively.
These standards are discussed in detail in Chapter 3, “Legal Qualifications and Statutory
Framework.” They are also located in the California Code of Regulations (Title 11, Division 2,
Article 3).
2. Training Course Certification

POST certifies courses specific to background investigations, including:
1) Background Investigation – A basic level of instruction designed for persons newly
assigned to background investigation (32–40 hours).
2) Background Investigation Update – A more advanced level of instruction designed for
experienced investigators who have already undergone core training and require update
training (variable length).
3) Background Investigation: Commanding Officer Orientation – A course designed for
commanding officers of background investigation units. Generally presented on an
annual basis, it provides an overview of state and federal employment law, POST
requirements, and management considerations and responsibilities (8 hours).
4) Training Seminars/Conferences – Courses that are periodically certified or presented
by POST to deal with unique circumstances or groups (variable length).
Other POST-certified courses, such as “Interview and Interrogation” may also prove
helpful to background investigators.

3. Technical Assistance
POST professional support to the background investigation process includes:

• Publications – In addition to this manual, POST produces manuals on interviewing peace
officer candidates, medical screening, and psychological screening. Some of these manuals
are not specifically written for the background investigator; however, they can provide
technical guidance to others involved in the hiring process.
• Forms and Other Screening Documents – Such as the Personal History Statements (POST 2-
251–Peace Officer and 2-255–Public Safety Dispatcher4), Medical History Statements (POST
2-252–Peace Officer and 2-264–Public Safety Dispatcher), and Medical Examination Reports
(POST 2-253–Peace Officer and 2-265–Public Safety Dispatcher).
• Consultative Services (through its own professional staff) – Investigators should feel free to
contact their POST Regional Consultants.
4. Compliance Inspections
The Legislature has charged POST with the responsibility to conduct compliance inspections to
verify that persons appointed as peace officers and public safety dispatchers were selected in
accordance with the selection standards. POST Regional Consultants make regular visits to the
agencies in their jurisdictions to inspect the background investigations completed on those who
have been hired since the last site visit. If deficiencies are detected, they work with the agency by
suggesting methods for correction and establishing a timetable for correction. A follow-up visit
may be scheduled to assure that the deficiencies are corrected. Consequences may be invoked if
agencies resist or fail to correct problems within a reasonable period of time. Chapter 6, “POST
Compliance Inspections,” discusses the compliance inspection process.
POST VS. AGENCY CANDIDATE SCREENING CRITERIA

The selection standards imposed by state statutes and POST regulations are minimum
standards. Agencies are free to establish more rigorous selection criteria, as long as they are job-
related and legally defensible. For example, agencies may choose to require peace officers to be
at least 21 years of age, even though state law permits their appointment at age 18.
It is also not uncommon for agencies to require peace officer candidates to have earned some
college credits, although none is specified under the law.5
Verifying most of the statutory and regulatory minimum qualification standards, such as age,
citizenship, and absence of felony convictions, is relatively clear-cut. However, California
Government Code §1031(d) also requires all peace officer candidates to be screened for “good
moral character.” What prior conduct constitutes good moral character (or, more importantly, the
absence thereof)?
The POST background dimensions, presented in the next chapter, are intended to assist agencies
and investigators in answering this question by identifying and detailing the attributes underlying
moral character and other qualities essential to the jobs of peace officer and public safety
dispatcher. Nevertheless, it is ultimately up to each agency to establish its own clearly articulated
legally defensible standards of conduct.
4 Also refer to Appendix E.

5 In the case of public safety dispatchers there is no educational minimum specified in state law for employment.
1–4
Contents
ORGANIZATION OF THE MANUAL

The remainder of this manual is divided into five sections. The next chapter, “Peace Officer
and Public Safety Dispatcher Background Dimensions,” provides a common set of peace
officer and dispatcher attributes that must be considered during the background
investigation. Chapter 3, “Legal Qualifications and Statutory Framework,” details the statutory
and regulatory requirements surrounding background investigations. The next two chapters
approach the background investigation from different perspectives: Chapter 4, “The
Background Investigation Process,” describes the chronology of the investigation; while
Chapter 5, “Areas of Investigation and POST Personal History Statements,” presents a topic-
by-topic explanation of the process, using the Personal History Statement as its framework.
Lastly, Chapter 6, “POST Compliance Inspections,” is intended to clarify (as well as demystify)
the procedure, expectations, and common problems detected during the annual POST site
visit.

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1–6
Contents
Chapter 2
PEACE OFFICER AND PUBLIC SAFETY DISPATCHER
BACKGROUND INVESTIGATION DIMENSIONS
Job-relatedness is the cornerstone of every lawful, effective candidate screening procedure. The
demonstrated necessity of every pre-employment inquiry for evaluating the skills, abilities, and
attributes required for effective job performance is critical to ensuring that those selected are
qualified, and serves as a strong defense against allegations of unfairness or discrimination.
Job-relatedness, or “validity,” is characteristic of selection procedures that are derived from an

analysis of the job and its requirements and demands. POST has conducted repeated statewide
job analyses on both peace officers and public safety dispatchers. In conjunction with the
creation of this manual, job analytic data on these two positions were reanalyzed in order to
derive a new set of essential attributes of peace officers and public safety dispatchers. Many
sources of information were reviewed and reanalyzed, as described in Appendix A, “Development
of POST Background Investigation Dimensions.”
Based on these analyses, one common set of background dimensions was created for peace
officers and public safety dispatchers. These ten dimensions are listed in Table 2.1. Commission
Regulations 1953(b) and 1959(b) stipulate that the ten background dimensions shall be
considered in the conduct of every peace officer/public safety dispatcher investigation. The
dimensions are organized into five major categories (Moral Character, Handling Stress and
Adversity, Work Habits, Interactions with Others, and Intellectually-Based Abilities).
Although these background investigation dimensions were selected based on their specific
amenability to assessment during the background investigation, a number of them are also
evaluated elsewhere in the selection process. For example, “Integrity” is assessed at several
other pre-employment stages, such as during the hiring interview and psychological screening.
This redundancy is intentional, as it serves to highlight the interdependence of these selection
criteria as well as enhance the measurement accuracy of important peace officer and public
safety dispatcher character attributes.
Each dimension includes a behaviorally based definition and description, along with a set of
indicators for use by background investigators in evaluating candidates against these
attributes. Note, however, that specific thresholds of acceptability (e.g., number of allowable
moving violations) are not included. The establishment of tolerance lev els is an agency’s
prerogative, and may well vary between peace officers and public safety dispatchers.
Although it is not necessary for each background report to include a separate evaluation of the
candidate on each of the ten dimensions, they should serve as points of focus for the background
investigation itself, as well as for issues to be considered when preparing the final report.

Agencies are strongly encouraged to establish standards associated with such issues as criminal
convictions, thefts, illegal drug use and other criminal conduct, and driving history. If these issues
have not been addressed, background investigators are faced with the need to continuously
consult the chain of command every time they encounter negative information. This slows the
process and may expose the department to liability in the event that inconsistent and/or
inappropriate standards are applied.
Investigators must also exercise caution not to impose their own personal beliefs and/or
prejudices as the benchmark against which to measure character, especially if the agency has
not defined its own standards. To be defensible, agency standards must be job-related and
consistent with business necessity; moreover, overly demanding selection requirements further
reduce an already-shrinking applicant pool.
No amount of standard-setting, however, will eliminate the need to make case-by-case judgments
based on specific facts presented by each candidate’s background. Rarely is one fact a sufficient
basis for disqualifying an individual; rather, it is generally necessary to investigate the
circumstances surrounding each fact in order to make an educated assessment of the
candidate’s suitability, taking into consideration such factors as:
• The patterns of past behavior and specific combinations of fact and circumstances,
• The consequences if past undesirable behavior occurs again or becomes generally known,
• The likelihood of recurrence of the undesirable behavior,
• The relevance of the past behavior to the job demands and requirements,
• The length of time between the particular undesirable act and the application for
employment, with consideration given to the intervening behavior of the candidate, and
• The legal rights of the candidate.
The use of these dimensions in organizing and supporting the investigators’ observations and
findings is discussed in Step 9, Report and Background Packet Preparation in Chapter 4, “The
Background Investigation.”
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Table 2.1
SUMMARY OF POST BACKGROUND INVESTIGATION DIMENSIONS
FOR PEACE OFFICERS AND PUBLIC SAFETY DISPATCHERS
MORAL CHARACTER 1. Integrity

• Honesty
• Impartiality
• Trustworthiness
• Protection of Confidential Information
• Moral/Ethical Behavior
2. Impulse Control/Attention to Safety
• Safe Driving Practices
• Attention to Safety
• Impulse/Anger Control
3. Substance Abuse and Other Risk-Taking Behavior
HANDLING STRESS 4. Stress Tolerance
AND ADVERSITY • Positive Attitude and Even Temper
• Stress Tolerance and Recovery
• Accepting Responsibility for Mistakes
5. Confronting and Overcoming Problems, Obstacles, and Adversity
WORK HABITS 6. Conscientiousness
• Dependability/Reliability
• Personal Accountability and Responsibility
• Safeguarding and Maintaining Property, Equipment, and
Belongings
• Orderliness, Thoroughness, and Attention to Detail
• Initiative and Drive
• General Conscientiousness
INTERACTIONS 7. Interpersonal Skills
WITH OTHERS • Social Sensitivity
• Social Interest and Concern
• Tolerance
• Social Self-Confidence/Persuasiveness
• Teamwork
INTELLECTUALLY- 8. Decision-Making and Judgment
BASED ABILITIES • Situation/Problem Analysis
• Adherence to Policies and Regulations
• Response Appropriateness
• Response Assessment
9. Learning Ability
10. Communication Skills
• Oral Communication
• Written Communication

MORAL CHARACTER
1. Integrity. This involves maintaining high standards of personal conduct. It consists
of attributes such as honesty, impartiality, trustworthiness, and abiding by laws,
regulations, and procedures. It includes:
 Not abusing the system nor using one’s position for personal gain; not yielding
to temptations of bribes, favors, gratuities, or payoffs
 Not bending rules or otherwise trying to beat the system
 Not sharing or releasing confidential information
 Not engaging in illegal or immoral activities — either on or off the job
 Honest and impartial in dealings with others both in and outside the agency
 Not condoning or ignoring unethical/illegal conduct in others
 Truthful and honest sworn testimony, affidavits, and in all dealings with others
INDICATORS:
• Dishonesty in the hiring process, including:
— deliberately misstating or misrepresenting identifying information or
qualifications, whether orally or in writing
— misleading any person involved in the pre-employment screening process
by misstating, misrepresenting, or failing to completely answer questions
— inaccuracies or deliberate omissions in applications, Personal History
Statements, or any other documentation required as part of the pre-
employment process used to help determine the candidate’s suitability for
employment
— any other act of deceit or deception
• Lying about past mistakes or oversights
• Fraudulently reporting or other abuses/misuses of employer leave policies
(e.g., sick leave, vacation, bereavement leave)
• Abuses privileges and benefits of the job (e.g., overtime, use of supplies,
equipment, internet access)
• Involved in the sale or distribution of illegal drugs
• Engages in inappropriate sexual activity (e.g., prostitutes, sex with minors, etc.)
• Evidence of perjury, signing of false affidavits in any criminal or civil
proceeding, falsification of official reports including statements, narratives,
property documents, evidentiary documents, giving incomplete or misleading
information to supervisors
• Cheating, plagiarism, or other forms of academic dishonesty
• Attempting to induce others to give false information
• Association with those who commit crimes or otherwise demonstrate
unethical/ immoral behavior
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• Commits illegal or immoral activities that would be offensive to contemporary

community standards of propriety
• Commits crimes against employers — arson, burglary, stealing (goods, money,
or services) — which would amount to a felony
• Conviction(s) of any criminal offense classified as a misdemeanor under
California Law, especially as an adult
• Having an outstanding warrant of arrest at time of application for job or
throughout the hiring process
• Admission of having committed any act amounting to a felony under California
Law, as an adult
• Admission of any criminal act, whether misdemeanor or felony, committed
against children, including, but not limited to: molesting or annoying children,
child abduction, child abuse, lewd and lascivious acts with a child, indecent
exposure (except acts of consensual unlawful intercourse accomplished
between two minors, unless more than four years difference in age existed at
the time of the acts)
• Actions resulting in civil lawsuits against the candidate or his/her employer
• Committing acts that, had they been detected, would have resulted in
prosecution and conviction and would have automatically disqualified the
candidate.
While Employed in a Position of Public Trust:
• Conviction of any offense classified as a misdemeanor under California Law
while employed as a peace officer (including military police)
• Admission of administrative conviction of any act while employed as a peace
officer, including military police, involving lying, falsification of any official report
or document, or theft
• Admission of administrative conviction or criminal conviction for failure to
properly report witnessed criminal conduct committed by another law
enforcement officer
• Accepting or soliciting any bribe or gratuity while in a position of public trust
• Embezzlement of money, goods or services while in a position of trust
2. Impulse Control/Attention to Safety. Avoiding impulsive and/or unnecessarily
risky behavior to ensure the safety of oneself and others. It includes thinking
before acting, taking proper precautions, keeping one’s impetuous, knee-jerk
reactions in check, and behaving in conscious regard for the larger situation at
hand.
INDICATORS:
Safe Driving Practices
• Receipt of multiple moving violations (especially for potential life-threatening
acts such as reckless driving, speed contest, etc.)
• Driver in multiple chargeable collisions. Numerous moving and non-moving
violations, at-fault accidents

• Instances of road rage, driving recklessly and/or at excessive speeds
Attention to Safety
• Fails to take proper precautions to minimize risks associated with hazardous
activities
• Takes unnecessary, foolish risks
• Disregards risk to self or others
Impulse/Anger Control
• Overreacts when challenged or criticized
• Unnecessarily confrontational in interactions with others
• Reacts childishly or with anger to criticism or disappointment
• Disciplined by any employer as an adult for fighting in the workplace
• Admission of any act of domestic violence as an adult
• Use of verbal or physical abuse or violence toward others
• Violent assault upon another, including spousal battery, sexual battery, or
other acts of violence
• Admission of administrative conviction or criminal convictions for any act
amounting to assault under color of authority or any other violation of federal
or state civil
rights laws
• Instances of reprimands, counseling, terminations, suspensions for poor
behavioral control at work
3. Substance Abuse and Other Risk-Taking Behavior. This involves engaging in

behavior that is inappropriate, self-damaging, and with potential adverse impact on
the agency, and includes alcohol and drug abuse, domestic violence, sale of drugs
and gambling.
INDICATORS:
• Illegal use or possession of a controlled substance while employed in any law
enforcement capacity, including military police
• Drug test of the candidate, during the course of the hiring process, where
illegal controlled substances are detected
• Illegal or unauthorized use of prescription medications
• Illegal use or possession of a controlled substance while a student enrolled in
college-accredited courses related to the criminal justice field
• Manufacturing, cultivating, transporting, brokering, or selling any controlled
substances
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• Record of alcohol or drug-related incidents, including driving under the

influence or such charge reduced to reckless driving, violation of open
container laws or transporting open containers
• History of other problems associated with drug and/or alcohol use
• Perpetrator of domestic violence incidents
• Missed work due to alcohol use
• Alcohol use while on the job (where prohibited)
• Arriving at work intoxicated/smelling of alcohol or hung-over
• Gambling to the point of causing harm to oneself
HANDLING STRESS AND ADVERSITY

4. Stress Tolerance. Maintaining composure, particularly during time-critical
emergency events and other stressful situations, weathering negative events and
circumstances and maintaining an even temperament and positive attitude.
Accepting criticism without becoming overly defensive or allowing it to hamper
behavior or job performance.
INDICATORS:
Attitude and Temperament
• Worries excessively; enters into new situations with considerable
apprehension
• Overly suspicious and distrusting in dealing with others
• Argumentative, antagonistic towards others, bully
• Commonly behaves with hostility and anger
• Behavior-impairing mood swings
• Badmouths employers and others
• Unnecessarily confrontational and aggressive
• Disrupts/undermines authority (fails to successfully carry out directives;
shows signs of contempt by eye rolling, excessive exhaling, etc.)
Stress Tolerance and Recovery

• Comes “unglued,” freezes, or otherwise performs ineffectively when feeling
overloaded or stressed
• Uncontrollable reaction to verbal abuse from others
• Reacts childishly or with anger to criticism or disappointment
• Allows personal problems and stressors to bleed into behavior on the job

Accepting Responsibility for Mistakes

• Does not accept responsibility for actions and mistakes; routinely makes
excuses or blames others for own shortcomings
• Becomes excessively defensive or otherwise overreacts when challenged or
criticized
• Minimizes the importance of past mistakes or errors
• Refuses to accept responsibility for mistakes or improper actions
5. Confronting and Overcoming Problems, Obstacles, and Adversity. This involves

willingness and persistence in confronting problems and personal adversity. It
includes taking control of situations, as necessary and demonstrating hustle
and drive in reaching goals.
INDICATORS:
• Displays submissiveness and insecurity when confronted with challenges,
threatening situations, or difficult problems
• Fails to take action or change behavior to resolve problems or mistakes
• Multiple personal bankruptcies, having current financial obligations for which
legal obligations have not been satisfied; or any other flagrant history of
financial instability
• Allows debts to mount; evades creditors, collection agencies, etc.
• Past due accounts, discharged debts, late payments, collection accounts, civil
judgments, and/or bankruptcy
• Fails to meet obligations (for example, auto insurance, auto registration,
selective service registration, IRS requirements, child support obligations)
• Fails to exercise fiscal responsibility commensurate with income
WORK HABITS
6. Conscientiousness. Diligent, reliable, conscientious work patterns; performing in a
timely, logical manner in accordance with rules, regulations, and organizational
policies.
INDICATORS:
Dependability/Reliability
• Fails to meet commitments to work, school, family, volunteer, or community
activities
• Poor attendance; takes time off from work unnecessarily (e.g., on/near
weekends)
• History of being late to work, meetings, appointments
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• Misses scheduled appointment during the process without prior permission

• Excessively long breaks, returning from lunch late, leaving work early
• Fails to comply with instructions or orders
• Fails to properly prepare for meetings
Personal Accountability and Responsibility

• Is not accountable for his/her performance
• Blames others for improper actions
• Fails to analyze prior mistakes or problems to improve performance
• Disciplined by any employer (including military) for gross insubordination,
dereliction
of duty, or persistent failure to follow established policies and regulations
• History of involuntary dismissal (for any reason other than lay-off)
• Conducts unauthorized personal business while on duty
• Failure to exercise fiscal responsibility commensurate with income
• Past due accounts, discharged debts, late payments, collection accounts, civil
judgments, and/or bankruptcy
• History of flagrant financial instability, such as multiple personal bankruptcies,
financial obligations for which legal judgments have not been satisfied, etc.
• Failure to meet obligations (for example, auto insurance, auto registration,
selective service registration, IRS requirements, child support obligations)
Safeguarding and Maintaining Property, Equipment, and Belongings

• Fails to safeguard property entrusted to him/her
• Fails to maintain equipment
• Loses valuable information
Orderliness, Thoroughness, and Attention to Detail

• Pattern of disorganization in work, school, etc.
• Fails to attend to details (e.g., typos, missing/incorrect information)
• Fails to attend to all aspects of projects and activities to be sure they are
completed
• Motor vehicle collisions due to inattentiveness
• Overlooks or misinterprets instructions on PHS and other documents
• Fails to properly recall instructions/directions provided previously
• Cannot properly recall pertinent/important details related to personal history
• Problems at school, work, driving due to poor attention/vigilance

Initiative and Drive

• Gives up in the face of long hours or other difficult working conditions
• Fails to keep current on new rules, procedures, etc.
• Does not initiate proper action unless given explicit instructions
• Fails to ensure that the job is performed correctly
• Procrastinates
• Watches the clock rather than attending to task accomplishment
• Gives up or cuts corners when faced with obstacles
• Performs job duties in a perfunctory manner, expending minimum amount of
effort
General Conscientiousness
• Resigns without notice (except where the presence of a hostile work
environment is alleged)
• Resigns in lieu of termination (except where a hostile work environment is
alleged)
• Holds multiple paid positions with different employers within a relatively brief
period of time (excluding military, and students who attend school away from
their permanent legal residence)
• Reprimanded or counseled for poor work performance (including military
service)
• Terminated or suspended from work (other than honorable discharge from
military)
• Released from probationary employment status except for reduction in force
• Poor record of academic achievement
INTERACTIONS WITH OTHERS

7. Interpersonal Skills. This involves interacting with others in a tactful and respectful
manner, and showing sensitivity, concern, tolerance, and interpersonal
effectiveness in one’s daily interactions.
INDICATORS:
Social Sensitivity (the ability to “read” people and awareness of the impact of one’s
own words and behavior on others)
• Provokes others by officious bearing, gratuitous verbal challenge, or through
physical contact
• Antagonizes others
• Uses profanity and other inappropriate language
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• Incidents of domestic violence, use of verbal or physical abuse, or violence

toward others
• Use of physical force to resolve disputes
• Demonstrated overreaction to criticism
Social Interest and Concern (interest and concern for others)

• Baits people; takes personal offense at comments, insults, or criticism
• Evidence of inability to get along with others in work or personal life
• Makes rude and/or condescending remarks to or about others
• Source of customer/citizen complaints
• Argumentative, loner, bully
• Tolerance (lack of tact and impartiality in treating all members of society)
• Makes hasty, biased judgments based on physical appearance, race, gender,
or other group membership characteristics
• Refuses to listen to explanations of others
• Inability to recognize how one’s own emotions/behavior affect situations and
others
• Having been disciplined by any employer (including the military and/or any law
enforcement training facility) for acts constituting racial, ethnic, or sexual
harassment or discrimination
• During the hiring/background process, uttering any epithet derogatory of
another person’s race, religion, gender, national origin, or sexual orientation
• Makes inappropriate comments to or about others regarding personal
characteristics as well as derogatory comments about specific groups (racial,
gender, sexual orientation, proficiency with the English language, immigrant
status, HIV/AIDS infection, religion, transgender, social status)
• Evidence of the use of derogatory stereotypes in jokes or daily language
• Sexual harassment/hostile work environment incidents
Social Self Confidence/Persuasiveness (inability and discomfort approaching

individuals, and in confronting and reducing interpersonal conflict)
• Avoids confrontations at all costs
• Intimidated by others
• Minimizes or avoids interactions with others
• Escalates situations by overreacting
• Fails to diplomatically offer ideas or persuade others to adopt desired course of
action
• Disruptive/challenging to authority
• Use of harassment, threats, or intimidation to gain an advantage

• Succumbs to peer pressure
Teamwork (inability to work effectively as a member of a team)

• Resents successes and accomplishments of team members
• Does not assist or request assistance from team members
• Alienates colleagues by dominating interactions and activities
• Gossips, criticizes, and backstabs colleagues and coworkers
• Fails to achieve or maintain trust with peers, supervisors, and clients
INTELLECTUALLY-BASED ABILITIES
8. Decision-Making and Judgment. The ability to make timely, sound decisions,
especially in dangerous, pressure-filled situations, and/or where information is
incomplete and/or conflicting. Able to size up situations quickly to determine
appropriate action. It also involves the ability to sift through information to glean
that which is important and, once identified, to use that information effectively.
INDICATORS:
Situation/Problem Analysis
• Unable to step into a situation and figure out what probably led up to that point
in time, as well as what is likely to happen as the situation unfolds
• Tunnel vision; does not see the big picture when analyzing information
• Fails to identify patterns and implications when analyzing information
• Failure to consider available information or appropriate options
• Naive, overly trusting, easily duped
• Spends too much time on minor issues; unable to set priorities
Adherence to Policies and Regulations

• Failure to consider organizational policies and regulations when making
decisions
• Fails to use appropriate judgment and discretion in applying regulations and
policies; cannot distinguish between the letter and the spirit of rules and laws
• Rigid adherence to rules without consideration of alternative information;
needs directives to be in black and white
Response Appropriateness
• Poor judgment in knowing when to confront — and when to back away from —
potentially volatile situations
• Overbearing approach to resolving problems
• Escalates problems by under or over-reacting
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• Uses force when unnecessary or inappropriate

• Indecision or poor decisions when options are not clear-cut
• Paralyzed by uncertainty or ambiguity; insecure about making a decision
Response Assessment
• Unable or unwilling to make “midcourse corrections” on initial course of action
when presented with new information or when circumstances change
• Fails to apply lessons learned from past mistakes
9. Learning Ability. Ability to comprehend and retain a good deal of information, to

recall factual information, and to apply what is learned.
INDICATORS:
• Dismissal or probation from school, or other indication(s) of poor academic
performance
• Dismissal from a POST-certified Basic Academy, and no subsequent effort to
improve in the deficient areas
• Pattern of making repeated mistakes when faced with similar problems and
negative situations, in and outside of learning environments
10. Communication Skills. Ability to make oneself understood, both orally and in
writing.
INDICATORS:
Oral Communication
• Speech is difficult to understand
• Responses to questions are rambling, confused, and/or disorganized
• Expresses thoughts and emotions inappropriately through facial gesture and
body language
• Discussions of topics are incomplete, inappropriate, and/or filled with a lot of
unnecessary/irrelevant details
• Fails to understand both explicit and implied messages and responds
accordingly
• Does not listen well, thereby missing the point of what others are saying
Written Communication
• Illegible handwriting
• Poor grammar, punctuation, and/or spelling
• Written communications are incomplete, disorganized, unclear, and/or
inaccurate
• Written responses to Personal History Statement items are inappropriate,
incomplete, or otherwise difficult to decipher

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Chapter 3
LEGAL QUALIFICATIONS
AND STATUTORY FRAMEWORK
The background investigation of peace officers and public safety dispatchers is one part of a
larger pre-employment screening process dictated by California law and POST regulations. In
addition to the background investigation, the process must include a written examination, hiring
interview, medical evaluation, and (for peace officers) a psychological evaluation. The statutory
and regulatory requirements — particularly those that have an impact on background
investigations — for screening peace officers and public safety dispatchers are reviewed here.
OVERVIEW OF PRE-EMPLOYMENT SCREENING REQUIREMENTS

The selection standards for peace officers and public safety dispatchers are summarized below.
The codes and regulations discussed here are included in Table 3.1 (located at the end of this
chapter).
Peace Officers
STATUTORY REQUIREMENTS
Government Code §1031 establishes minimum selection standards for peace officers. It includes
minimum criteria on citizenship, age, and education. It also requires that applicants be
fingerprinted as part of the search of local, state, and national files to disclose any criminal
record, and be found to be of good moral character as determined by a thorough background
investigation. These requirements, which form the basis for the background investigation, are
discussed in detail in Chapter 5, “Areas of Investigation and Personal History Statements.”
Government Code §1031(f) also provides that peace officers must be found free of any physical,
emotional, or mental condition that might adversely affect the exercise of the powers of a peace
officer.
Government Code §1029(a)(1)-(7) provides that individuals who have been convicted of a felony
or other specific crimes, are prohibited from becoming peace officers, except as provided in Gov’t
Code §1029(b)-(e). Juvenile convictions, even those that would amount to a felony as an adult,
may not be covered under Gov’t Code §1029, depending upon the circumstances, and are
therefore not an automatic bar to appointment as a peace officer.
In their fingerprint returns, the California DOJ and the FBI should state whether the candidate is
eligible to become a peace officer based on GC §1029. Further, the firearms eligibility clearances
by the DOJ and FBI should document eligibility to possess or purchase firearms; DOJ submits a
firearms clearance separately from the general fingerprint return.

Penal Code §1107.18, §29805 and U.S. Code Title 18 §922(d)(9) and (g) impose bans on
possession of a firearm. For example, PC §1107.18 specifies that individuals who have had
felony convictions reduced to misdemeanors are prohibited from possessing or owning firearms
and PC §29805 specifies that the enumerated persons may not own or possess a firearm from
ten years following any specified conviction. U.S. Code Title 18 §922(d)(9) bans the sale or
transfer of a firearm to individuals who have been convicted of misdemeanor crimes of domestic
violence, and forms the basis for the firearms clearance issued by the FBI. Further, U.S. Code
Title 18 §922(g) outlines additional offenses that would prohibit firearms possession.
GC §1031.1 establishes procedures obligating employers to furnish specified information for the
purposes of performing thorough background investigations for peace officer and other law
enforcement agency applicants (i.e. public safety dispatchers). GC 1031.1 is discussed in
Chapter 5, “PHS Section 5: Experience and Employment.”
GC §1031.2 allows the post-offer collection of certain non-medical and non-psychological

information during the peace officer background investigation if it was not reasonable to collect
the information prior to the conditional offer of employment. The implications of this statute are
discussed later in this chapter and in Chapter 4, “The Background Investigation Process.”
GC §1031.5 serves as an amendment to the citizenship requirements of GC 1031, stipulating

that a permanent resident alien may be disqualified from holding a peace officer position if their
citizenship status is denied, or, if, within three years of filing an application for citizenship, the
person has not obtained citizenship due to failure to cooperate in the processing of the
application. Citizenship requirements are discussed in Chapter 5, “PHS Section 1: Personal.”
REGULATORY REQUIREMENTS
The POST peace officer selection requirements consist of:
• Regulation 1950: General Requirements
• Regulation 1951: Reading and Writing Ability Assessment
• Regulation 1952: Oral Interview
• Regulation 1953: Background Investigation
• Regulation 1954: Medical Evaluation
• Regulation 1955: Psychological Evaluation
Regulation 1950: Selection Requirements specify who is covered by (and who is exempted from)
Regulations 1951-1955. As indicated in 1950, all peace officer candidates are covered by these
regulations, regardless of prior law enforcement experience either at the same department or at
a different department within the same city, county, state, or district. However, the following
candidates are exempt from these requirements:
(1) Peace officers who change penal code classifications (e.g., from reserve to regular officer),
assuming documentation exists showing that all current requirements were met, and the
officer has worked continuously in the department since the time of initial appointment; and
(2) Peace officers whose department is merged with another department in the same city,
county, state, or district, assuming documentation exists showing that all current
requirements were met, and the officer has worked continuously in the department since
the time of initial appointment.
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(3) Peace officers who are reappointed to the same department within 180 days of voluntary
separation.6
For peace officers who are mandatorily reinstated (as a result of a personnel hearing, arbitration,
court decision, etc.), POST requires that the department: (A) resubmit fingerprints to DOJ and FBI
(unless these agencies were never informed of the officer’s separation from the department), and
(B) perform a new DMV check.7
POST selection requirements must be satisfied prior to the date of appointment as a peace
officer. Other specifics, including time limits and transferability of results, are discussed in each
regulation.
Regulation 1951: Reading and Writing Ability Assessment specifies the options available for
demonstrating that peace officer (including reserve officer) candidates possess adequate written
communication skills.
Regulation 1952: Oral Interview specifies the requirements of the oral interview, including the six
POST Interview Factors that must be addressed.
Regulation 1953: Background Investigation specifies the requirements for the background
investigation, including evaluation criteria, required forms, areas of investigation, background
investigation updates, and documentation and reporting. These regulations are detailed later in
this chapter.
Regulation 1954: Medical Evaluation specifies medical evaluator qualifications, timing of the
medical evaluation, medical screening procedures and evaluation criteria, required sources of
information, and the second opinion rights of medically disqualified candidates.
Regulation 1954(e): Medical Evaluation Reporting Requirements provides that a medical

suitability declaration is to be maintained in the candidate’s background investigation file and
must include: (A) the physician’s contact information and medical license number; (B) the
candidate’s name; (C) the date the evaluation was completed; and (D) a signed statement
affirming that the evaluation was conducted in accordance with POST regulations, and a
determination that the candidate was found medically suitable prior to appointment.
The information required in the medical suitability declaration is not medical; therefore, it is
lawful to include it in the background file. However, any additional information provided by the
physician that is medical must be kept separate and confidential. Information from the physician
- medical and otherwise - may be communicated to the background investigator and others
involved in the hiring process, if it is relevant to their respective determinations of candidate
suitability.
Regulation 1955: Psychological Evaluation requirements mirror the requirements in Regulation

1954 (Medical Evaluation), including specifying psychological evaluator qualifications, timing of
the evaluation, psychological screening procedures and evaluation criteria, required sources of
information, and the second opinion rights of psychologically disqualified candidates.
The psychological evaluation reporting requirements [Regulation 1955(e)] are identical to those
discussed above for Regulation 1954(e): Medical Evaluation Reporting Requirements.
6 Departments have sole responsibility for determining the assessments necessary to ensure that these reappointed officers
meet the requirements of Government Code §1031.
7 If the reinstated officer was not a citizen at time of initial appointment, and three or more years have elapsed, the
department must also obtain verification that the officer has since been granted citizenship (per GC §1031.5).

Public Safety Dispatchers
STATUTORY REQUIREMENTS
Penal Code §13510(c) authorizes POST to establish minimum standards for recruiting and
training public safety dispatchers working in agencies that participate in the POST program. In
contrast to peace officer standards, there are no statutory minimum age, education, or
citizenship requirements specific to public safety dispatchers, no statutory requirements related
to felony or misdemeanor conviction, and no requirement for psychological screening.
REGULATORY REQUIREMENTS
The POST public safety dispatcher selection requirements consist of:
• Regulation 1956: General Requirements
• Regulation 1957: Verbal, Reasoning, Memory, and Perceptual Abilities Assessment
• Regulation 1958: Oral Communication Assessment
• Regulation 1959: Background Investigation
• Regulation 1960: Medical Evaluation
Regulation 1956: General Requirements specifies who is covered by (and who is exempted from)
these standards. All public safety dispatcher “candidates” are subject to Regulations 1957-1960,
regardless of prior public safety dispatcher experience either at the same department or at a
different department within the same city, county, state, or district, or whether they are applying
for a full-time or part-time position. However, dispatchers who are employed by a department that
is merged with another department in the same city, county, state, or district are not subject to
these requirements, as long as documentation exists showing that all current requirements were
met, and the dispatcher has worked continuously in the department since the time of hire.
For public safety dispatchers who are mandatorily reinstated (as a result of a personnel hearing,
arbitration, court decision, etc.), the department must resubmit fingerprints to DOJ and FBI,
unless these agencies were never informed of the dispatcher’s separation from the department.
Peace officers who are assigned to dispatcher duties are not subject to POST Regulations 1957-
1960. Additionally, dispatchers who return to the same department after a voluntary separation
of no more than 180 days are exempt from these requirements.
POST selection requirements must be satisfied prior to the date of appointment as a public safety
dispatcher. Other specifics, including time limits and transferability of results, are discussed in
each regulation.
Regulation 1957: Verbal, Reasoning, Memory, and Perceptual Abilities Assessment specifies the
options available for demonstrating that dispatcher candidates have adequate verbal, reasoning,
memory, and perceptual abilities.
Regulation 1958: Oral Communication Assessment provides that the oral communication abilities
of public safety dispatcher candidates must be assessed prior to a conditional offer of
employment.
Regulation 1959: Background Investigation specifies the requirements for the background
investigation, including evaluation criteria, required forms, areas of investigation, background
3–4
investigation updates, and documentation and reporting. These regulations are detailed later in
this chapter.
Regulation 1960: Medical Evaluation specifies medical evaluator qualifications, timing of the
medical evaluation, medical screening procedures and evaluation criteria, required sources of
information, and the second opinion rights of medically disqualified candidates.
Regulation 1960(e): Medical Evaluation Reporting Requirements provides that a medical

suitability declaration is to be maintained in the candidate’s background investigation file and
must include: (A) the physician’s contact information and medical license number; (B) the
candidate’s name; (C) the date the evaluation was completed; and (D) a signed statement
affirming that the evaluation was conducted in accordance with POST regulations, and that the
candidate was determined to be medically suitable.
The information required in the medical suitability declaration is not medical; therefore, it is
lawful to include it in the background file. However, any additional information provided by the
physician that is medical must be kept separate and confidential. Information from the physician
- medical and otherwise - may be communicated to the background investigator and others
involved in the hiring process, if it is relevant to their respective determinations of candidate
suitability.
Although POST does not require a psychological evaluation for public safety dispatcher
candidates, many departments include the evaluation as an additional selection standard.8
POST BACKGROUND INVESTIGATION REGULATIONS:

PEACE OFFICERS (1953) AND PUBLIC SAFETY DISPATCHERS (1959)
Peace officer background investigation requirements are contained in Commission
Regulation 1953; public safety dispatcher requirements are included in Commission
Regulation 1959. There is close alignment between the requirements for peace officers and
public safety dispatchers. Differences in the background investigation requirements are the result
of statutory differences between the two classifications (for example, GC §1029 prohibits
convicted felons from becoming peace officers, but there is no equivalent statutory prohibition for
dispatchers).
The background investigation regulations are summarized below. The descriptions note the
similarities or differences between peace officers and public safety dispatcher regulations and
the location of where the regulation is discussed in more detail elsewhere in the Manual.
Background Investigation Evaluation Criteria

Commission Regulations 1953(b) and 1959(b)
The POST Background Investigation Dimensions described and discussed in Chapter 2:

“Peace Officer and Public Safety Dispatcher Background Investigation Dimensions” must be
considered during every peace officer and public safety dispatcher background investigation.
8 Cal. Pen Code §13510(d); Commission Regulation 1956(d)

Personal History Statements

Commission Regulations 1953(c) and 1959(c)
Applicants must complete a Personal History Statement - POST 2-251 for Peace Officers; POST 2-255
for Public Safety Dispatchers, or an alternative questionnaire covering the same areas of
investigation. See Chapter 5: “Areas of Investigation and the POST Personal History Statement.”
Collection of Background Information – Pre- and Post-Conditional

Offer of Employment
Commission Regulations 1953(d) and 1959(d)
In accordance with the Americans with Disabilities Act (ADA) and the California Fair Employment and
Housing Act (FEHA), no medical or other disability-related inquiries may be made during a background
investigation that is conducted prior to a conditional offer of employment (pre-offer).
Background investigators may, under certain circumstances, make non-medical and non-
psychological inquiries after a conditional offer of employment has been extended. Guidance on
sequencing the background investigation in compliance with the ADA and FEHA is provided later
in this chapter and in Chapter 4, “The Background Investigation Process.”
At the post-offer stage, background investigators must interact with screening psychologists,
physicians, and others, as necessary, to ensure that everyone involved in the hiring process has
the information necessary to conduct their respective assessments of the candidate.
Areas of Investigation
Commission Regulations 1953(e) and 1959(e)
The required areas of investigation for peace officer candidates and public safety dispatchers are
quite similar. In addition, the regulations provide detailed specifics on the documentation
necessary for each area of investigation for both types of candidates.
The required areas of investigation are summarized below. More detailed information is provided
in Chapter 5: “Areas of Investigation and the POST Personal History Statement.”
• Citizenship Verification (Peace Officers) – Peace officers must be citizens or have applied for
citizenship within three years of appointment. (California Highway Patrol officers must be
citizens at time of appointment.) Accepted proof includes government-issued birth certificate,
naturalization documentation, or valid U.S. passport9.
• Age (Peace Officers) – Peace officers must be at least 18 years old.
• Employment Eligibility (Public Safety Dispatchers) – There are no specific citizenship or age
requirements for public safety dispatchers; however, proof of eligibility to work in the United
States (USCIS Form I-9 – Employment Eligibility Verification) is required.
• Criminal Record Checks – Local, State, and National (Peace Officers and Public
Safety Dispatchers) – Criminal record searches at the local, state, and national levels are
required. Fingerprint clearances are required from the DOJ and FBI. Firearms clearances are
required for peace officer candidates.
9 U.S. passports issued to U.S. nationals from American Samoa, Swains Islands and Commonwealth of the Northern
Marianas Islands are not acceptable proof of U.S. citizenship. Candidates from these areas must provide other verification
of U.S. citizenship.
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• Driving Record Check (Peace Officers and Public Safety Dispatchers) – DMV reports or other
official driving records are required for both peace officers and public safety dispatchers.
• Education Verification (Peace Officers and Public Safety Dispatchers) – Minimum peace
officer educational requirements are detailed in GC §1031(e). Although there are no
minimum educational requirements for public safety dispatchers, verification of educational
history must be collected as a measure of conscientiousness, learning ability, and related
attributes. Official transcripts are acceptable proof; diplomas are not.
• Employment History Checks (Peace Officers and Public Safety Dispatchers) – Employment
checks are required for a period of at least 10 years for peace officers; employment checks
of employers within the last ten years are required for public safety dispatchers.
• Relatives/Personal References Checks (Peace Officers and Public Safety
Dispatchers) – Contacts and interviews with relatives, including former spouses/registered
domestic partners and personal references listed on the candidate’s Personal History
Statement are required for both peace officers and public safety dispatchers.
• Dissolution of Marriage Check (Peace Officers and Public Safety Dispatchers) – Proof of
marriage dissolution/separation is explicitly stipulated in the requirements for both peace
officers and public safety dispatchers.
• Neighborhood Checks (Peace Officers and Public Safety Dispatchers) – Contacts and
interviews with neighbors are required for both peace officers and public safety dispatchers,
regardless of length of time at residence.
• Military History Check (Peace Officers and Public Safety Dispatchers) – Proof of Selective
Service registration (where applicable) and military service records are required for both
peace officers and public safety dispatchers.
• Credit Records Check (Peace Officers and Public Safety Dispatchers) – Credit records checks
are required for peace officers and public safety dispatchers.
Background Investigation Updates

Commission Regulations 1953(f) and 1959(f)
Background investigation updates are explicitly sanctioned for peace officers and public safety
dispatchers who are either reappointed to the same department, or who transfer (with no break
in service) to a different department within the same city, county, state, or district that
maintains a centralized personnel and background investigation support division. Under certain
circumstances, updated background investigations may also be conducted for interim chiefs of
police.
For reappointments10, the background investigation update must address the period of time
since the individual separated from the department. For inter-departmental transfers and
interim chiefs of police, the period since the last background investigation must be covered. All
update investigations, at a minimum, must include a new local criminal record check, state and
national criminal record checks (unless the individual was not removed from the DOJ or FBI
files), DMV check and credit check.
10 Peace officers and public safety dispatchers reappointed to the same department within 180 days of a voluntary
separation are exempt from POST requirements [Commission Regulations 1950(c)(1)(C) and 1959(c)(1)(B)].

Documentation and Reporting

Commission Regulations 1953(g) and 1959(g)
The documentation and reporting requirements provide detailed specifications on information to

be maintained in the background investigation file. It specifies that there must be sufficient
information for the reviewing authority to make a conditional offer of employment, that supporting
documents must be originals or true, current and accurate copies, and that these documents
must be available during POST compliance inspections. Referencing related statutes and case
law, this regulation also addresses retention requirements and access by others involved in the
hiring process, and by those conducting background investigations on behalf of other law
enforcement/public safety dispatcher agencies. More detailed information is provided in Chapter
4: “The Background Investigation Process.”
Disclosure Provisions: Differences and Similarities between

Peace Officers and Public Safety Dispatchers
There are statutory provisions that allow investigators greater access to background information
of peace officer candidates, and other statutes that allow special access to information from past
and current employers of both peace officers and public safety dispatchers. These include:
• Deferred Entry of Judgment – Penal Code §1000.4(a) allows those who have successfully
completed a deferred entry of judgment program to refrain from disclosing any arrest or
criminal record associated with that offense. Public safety dispatcher candidates fall under
this protection; however, PC §1000.4(c) specifically exempts peace officers (who must
therefore disclose this information).
• Arrests and Detentions – Labor Code §432.7 prohibits employers from considering an arrest
or detention that did not result in a conviction, or a juvenile arrest, detention, processing,
diversion, supervision, adjudication, or court disposition. However, a provision in this statute
permits employers to consider this information in the case of persons already employed as
peace officers or who are seeking employment as peace officers, or for persons seeking
employment for positions in the DOJ or other criminal justice agencies as defined in Penal
Code §13101.
• Conviction History – Government Code §12952 prohibits employers from inquiring or

considering an applicant’s conviction history prior to a conditional offer of employment. This
includes arrests not followed by conviction, diversion programs, and convictions that are
sealed, dismissed, expunged or otherwise eradicated. However, GC §12952(d)(2) provides
that this provision does not apply in the case of applicants for positions with criminal justice
agencies as defined in Penal Code §13101.
• Compelled Disclosure of Employment Information – Government Code §1031.1 establishes

procedures by which employers are legally obligated to furnish specified information in peace
officer and other law enforcement agency applicant (i.e. dispatcher) background investigations.
These disclosure provisions should serve to caution investigators against making unnecessarily
invasive inquiries, especially of dispatcher candidates. Other statutory protections may bar
consideration of specified criminal processes for either peace officer or public safety dispatcher
candidates (i.e., those records sealed pursuant to PC §851.7 or expunged pursuant to PC
§851.8). Close consultation with the agency’s legal counsel is critical.
The California courts have also shown a certain amount of inconsistency when addressing a given
candidate’s rights to inspection of information contained in his/her pre-employment background
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investigation file. This is another area where close consultation with the agency’s legal counsel is
critical.
PRIVACY AND CONFIDENTIALITY LAWS

Article 1 of the California Constitution grants the citizens of the state the right of privacy. As a
result, prospective employers are specifically prohibited from asking for unnecessarily intimate or
personal information; they are also required to use the least invasive means necessary to gather
any intrusive information that can be justified as necessary. Generally, the more intimate or
personal the information, the more justified is the expectation that it will not be subject to public
scrutiny.11
Despite privacy protections, courts have paid great deference to the need for intrusive
questioning of law enforcement applicants — and peace officer applicants in particular — in light
of the serious and often dangerous nature of the job and the inherent responsibility for carrying a
firearm and protecting the public. However, this deference has been shown to have limits. For
example, in Thorne v. City of El Segundo,12 the court sided with a rejected peace officer applicant
who was asked questions about her extra-marital affairs, abortions, and other “private, non-job-
related considerations.”
In addition to limiting information to only that which is necessary, agencies must also establish
procedures and precautions to prevent unwarranted disclosure of private and otherwise sensitive
information. All information provided by the applicant in the Personal History Statement and
throughout the background investigation is private and should be treated as confidential. No
portion of the investigation should be revealed to persons other than those who are specifically
authorized to receive and evaluate the results.
California law also protects the privacy rights of those who provide confidential information for
investigative or employment purpose. These rights are described in detail in connection with
contacting references in Chapter 5: “Areas of Investigation and the POST Personal History
Statements.”
Procedures that treat questionnaires in a confidential fashion are necessary to ensure that
privacy interests of applicants and employees are maintained.13 All confidential information
should be maintained in a secure filing cabinet, with access limited to those involved in the
employment decision.
CONFIDENTIALITY VS. LEGAL PRIVILEGE

By California law, certain communications made, without malice, in the course of a legally
mandated background investigation may enjoy an “absolute” or “qualified privilege.”14 This does
not mean that someone cannot be sued over a privileged communication; it means that they are
unlikely to be successfully sued.
11 Loder v. City of Glendale, 14 Cal. 4th 846, 882-883 (1997) (strength of governmental interest will be weighed against the
intrusion on reasonable expectations of privacy of job applicants).
12 Thorne v. City of El Segundo, 726 F.2d 459, 471 (9th Cir. 1983).
13 Andrew J. Ruzicho and Louis A. Jacobs, Chapter 4. Selecting New Hires and Promotees, Employment Practices Manual,
March 2005
14 A communication protected as “privileged publication or broadcast” is defined in Civil Code §47(c) and includes
communications “concerning the job performance or qualifications of an applicant for employment, based upon credible
evidence, made without malice, by a current or former employer of the applicant to, and upon request of, one whom the
employer reasonably believes is a prospective employer of the applicant.”

Privilege should not be confused with confidentiality. While certain statutes, such as the
California Information Practices Act15 and even the Investigative Consumer Reporting Agencies
Act16 restrict disclosure of personal information of individuals contacted during the course of a
background (except as specified in those acts), not all information is legally protectable in
subsequent civil or criminal proceedings.
It is therefore unwise to promise confidentiality that does not exist in the law. However, strong
arguments exist that background investigators’ sources of information should be protected, as
well as any information that could identify those sources.17
EMPLOYMENT DISCRIMINATION LAWS AND REGULATIONS

There are ever-increasing numbers of laws and regulations – both federal and state - that govern
the personnel practices of all employers, including Title VII of the Civil Rights Act (CRA) of 1964
(as amended), the Age Discrimination in Employment Act (ADEA) of 1967, the Americans with
Disabilities Act (ADA) of 1990, and the California Fair Employment and Housing Act (FEHA). They
all share a common purpose: to prohibit unfair discrimination in employment and provide equal
opportunity for all. Unfair discrimination occurs when employment decisions are based on any
protected class, including race; sex; gender; religion; ethnicity; national origin or ancestry; age;
disability; pregnancy; genetic information; political affiliation; (and in California), medical
condition, marital status, sexual orientation, gender identity, gender expression, or military and
veteran status, rather than on job-relevant knowledge, skills, abilities, and other characteristics.
Unfair discrimination can take two forms: Disparate Treatment or Disparate Impact. Disparate
treatment occurs when an applicant from a protected class is treated differently than other
applicants during the hiring process. Employers are vulnerable to allegations of disparate
treatment when their selection inquiries and practices are inconsistent.
Background investigators should carefully evaluate the relevance of their inquiries to the ability of
the applicant to perform the functions of the position. Although there are certain allowances for
screening peace officer and other public safety applicants, certain questions are ill-advised
unless they are sufficiently related to the applicant’s ability to perform the functions of the
position.
Certain questions should be avoided altogether. For example, asking applicants questions such
as “What is your religion?” “What church do you attend?” “What is your political affiliation?” “Are
you a homosexual?” “What is your race?” “Are you pregnant?” “Do you plan to have children? If
so, when?” invite charges of discrimination and intentional, disparate treatment.
Disparate impact occurs when a seemingly neutral standard or practice results in a substantially
different rate of selection that works to the disadvantage of members of a protected class.18 For
example, a height standard can disqualify a disproportionate percentage of women and certain
minorities; standards related to credit history or arrest records tend to target certain minorities in
disproportion to their percentage of the population. Any selection procedure that causes
15 Civil Code §1798 et seq.; Johnson v. Winter 127 Cal App. 3d 435 (1982) (confidentiality of applicant files)
16 Civil Code §1786 et seq.
17 See, e.g., McQuirk v. Donnelly, 189 F.3d 793 (9th Cir., 1999), which discusses privileged communications and immunities
involving statements made by a police chief regarding a former officer who had applied to a new agency.
18 A rule of thumb is that disparate impact is normally indicated when the selection rate for one group is less than 80% (4/5)
that of another.
3–10
disparate impact may only be used if it can be demonstrated that it is job-related and consistent
with business necessity (i.e., essential to the safe and efficient operation of the agency).
Although these laws impose restrictions on the types of information that can be collected, the
timing of investigations, and the manner in which decisions can be made and justified, it is
important to remember that no federal or state statute, court decision, or binding public policy
requires an employer to hire unqualified persons or to lower job relevant, legitimate employment
standards. The most important way to ensure that the background investigation process is legally
acceptable is to focus only on that which is necessary for determining if a candidate meets lawful
position requirements and standards. Background investigators must therefore be fully familiar
with and able to articulate all aspects of the job in question and the relationship to their inquiries.
Agency policy should ensure consistency in the manner in which background information is
collected and evaluated, yet allow flexibility to handling each applicant individually, as necessary.
DISABILITY DISCRIMINATION LAWS AND REGULATIONS

The Americans with Disabilities Act (ADA)
and the California Fair Employment and Housing Act (FEHA)
Confidentiality is never more important than when dealing with medical and disability-related
information. In fact, the manner in which disability-related information is acquired, evaluated, and
treated is the focus of the federal Americans with Disabilities Act (ADA) of 1990 and the California
Fair Employment and Housing Act (FEHA). The purpose of both of these statutes is to prohibit
discrimination against qualified individuals with disabilities in hiring and any other aspect of
employment.
While a full explanation of these laws and their implications for employment procedures in
general is far beyond the scope of this manual, a brief description of ADA/FEHA and how it may
affect background investigations is provided below. In addition, background investigators are
urged to consult with their legal counsel and/or ADA coordinator whenever disability-related
issues arise.
The ADA and FEHA are NOT identical. Federal and state disability laws differ in terms of who is
considered “disabled” (and therefore protected), what can be asked after a conditional job offer
is extended, and in other ways. In general, the California FEHA affords more protection to the
disabled than does the ADA, although the Americans with Disabilities Act Amendments Act of
2008 (ADAAA) brought many of its provisions closer to those specified in California law. Where
there are differences between the two laws, the one that provides the most protection to the
disabled prevails, and it will be those provisions that are discussed below with respect to their
impact on background investigations.
Who Is Protected
To be protected by ADA/FEHA, individuals must be: 1) disabled and 2) “otherwise qualified” to
perform the essential functions of the job (with reasonable accommodation, if necessary).
Individuals are “disabled” if they have a physical or mental impairment that limits one or more
major life activities, a record of such impairment, or are regarded as having an impairment.
Current illegal drug use (either use of illegal drugs or unlawful use of legal drugs) is not covered
by these laws. However, individuals who have a history of drug addiction/dependence are. Both
current and past alcoholism are protected conditions.

Who Is Not Protected

The following conditions are expressly not protected disabilities under the ADA:
• Pedophilia, exhibitionism, voyeurism, or other sexual behavior disorders
• Compulsive gambling, kleptomania, or pyromania
• Psychoactive substance use disorders resulting from current illegal use of drugs. See 42
U.S.C. §12211.
• Similarly, the FEHA exempts sexual behavior disorders, compulsive gambling, kleptomania,
pyromania, or psychoactive substance use disorders resulting from the current unlawful use
of controlled substances or other drugs from its definition of “disability.” See Cal. Gov’t Code
§§12926(j), (m).
Normal-range characteristics and attributes are not limitations and therefore are also not
included in the ADA/FEHA definition of “disability.” These include homosexuality; bisexuality;
physical characteristics such as eye color, hair color, left-handedness, or height, weight, or
muscle tone that are within normal range and are not the result of a physiological disorder; and
common personality traits, such as poor judgment, a quick temper, or general stress due to job
pressure. The FEHA explicitly protects a person’s gender identity and gender expression: “Gender
expression” means a person’s gender-related appearance and behavior whether or not
stereotypically associated with the person’s assigned sex at birth. See Cal. Gov’t Code §12926(r).
No matter how disabled, applicants must also be otherwise qualified in order to be protected by
these statutes. To be otherwise qualified, applicants must first meet all statutory and other
minimum qualifications. Prior to any adverse determination, law enforcement agencies should
perform an individualized assessment of the applicant’s prior conduct (e.g., deception, history of
criminality) to determine if the applicant is otherwise qualified.19
Individuals must also be able to do the job, with or without reasonable accommodation. They
must be able to do the job without posing a direct threat, which is defined as a significant risk of
substantial harm to themselves or especially to others (and the threat cannot be reduced by
reasonable accommodation). The determination as to whether someone poses a direct threat
must be based on medical facts of the situation, rather than merely fear or speculation.
Essential Job Functions

Doing the job is defined as being able to perform the essential functions. Essential functions are
those duties that are considered fundamental (as opposed to marginal) to the position.
Employers have the right and the responsibility for identifying the essential functions of the
position to serve as the basis for determining applicants’ suitability for employment. It is
therefore imperative that agencies create and maintain accurate job descriptions, and that
background investigators become familiar with these descriptions so that there is a shared,
explicit understanding of what it takes to be able to do the job.
In addition to agency job descriptions, POST has conducted analyses of both the peace
officer and public safety dispatcher jobs. The resulting descriptions of the duties, tasks, and
demands of these jobs are discussed in POST publications such as the Peace Officer Job
19 Hartman v. City of Petaluma, 841 F. Supp. 946 (1994)
3–12
Analysis, the Patrol Officer Job Demands section of the Medical Screening Manual for California
Law Enforcement, and the Public Safety Dispatcher Job Analysis.20
Based in part on these analyses, POST identified attributes and characteristics critical to the safe,
effective job performance of both peace officers and public safety dispatchers, and amenable to
assessment in the background investigation. The resulting POST background dimensions are fully
described in Chapter 2, “Peace Officer and Public Safety Dispatcher Background Investigation
Dimensions.”
Reasonable Accommodation
A reasonable accommodation is defined as “any change or adjustment to a job or work
environment that permits an otherwise qualified, disabled applicant to compete for
and perform the essential functions of the job.” Reasonable accommodation can take many
forms, ranging from allowing extra time on a written test, providing regular breaks
to allow an employee to take medications, to allowing a student to use a light or smaller
handgun.
Reasonable accommodation is one of the cornerstones of ADA/FEHA, but it is a legally

complicated concept and one unlikely to emerge during most of the background investigation
process. However, should an applicant request reasonable accommodation, a background
investigator is well-advised to contact the agency’s ADA coordinator or other appropriate
personnel. It is sufficient here to emphasize that: 1) providing reasonable accommodation is
a statutory obligation of employers, unless the accommodation would cause an undue
hardship to the operation; and 2) decisions surrounding the choice and implementation of
any accommodation should be based on individualized assessment, resulting from a
constructive discussion with the disabled individual and, when necessary, an appropriate
healthcare professional.
THE CONDITIONAL OFFER OF EMPLOYMENT:

PRE- AND POST-OFFER INQUIRIES
Another cornerstone of the ADA and FEHA is the separation of the pre-employment process
into two stages, punctuated by a conditional offer of employment (COE). For the COE to be
considered “bona fide” (i.e., real), employers must evaluate all relevant non-medical information
that they reasonably can obtain and analyze prior to extending the offer.21
An example of such a conditional offer is included in Appendix B – Sample B.1. As reflected in
this example, the COE itself should state that the applicant has provisionally passed the
background investigation, and that additional background information may be investigated at the
post-offer stage which could, if warranted, result in the withdrawal of the job offer.
The Pre-Conditional Offer Stage

Prior to extending the applicant a COE, no disability-related inquiries can be asked on forms
or in interviews, nor can such information be sought from third parties (e.g., past employers,
references). Disability-related questions include asking applicants if they have had a particular
disability or suffered from a mental condition. Questions about a history of worker’s
20 These and other POST documents can be downloaded from the POST website at https://www.post.ca.gov/publication-
list.aspx.
21 ADA Enforcement Guidance: Pre-Employment Disability-Related Questions and Medical Examination, U.S. EEOC,
October 1995.

compensation claims or job-related injuries are also forbidden pre-offer, since these types of
questions may elicit disability-related information. General questions that are likely to elicit
disability-related information are also prohibited pre-offer, such as, “What impairments do you
have?” “Have you ever been hospitalized?” or “What medications do you take?”
At the pre-offer stage, it is acceptable at any time to ask applicants about employment history,
including questions about the circumstances of any gaps or sudden departures from
employment. This is permitted even if the applicant was unemployed or terminated because
of disability-related reasons. It is also permissible to ask pre-offer questions about previous
attendance records (e.g., “How many days were you absent from your last job?”). Although it is
not permissible to ask pre-offer questions about the number of days an applicant missed work in
a previous job due to illness, it is legal to ask questions involving abuse of leave (e.g., “How many
Mondays and Fridays were you absent last year other than approved time off?”).
A history of drug addiction or dependence is considered a disability; therefore, questions that

could reasonably be expected to elicit this information are prohibited, such as “Have you ever
been addicted to drugs?” or “Have you ever been treated for drug addiction?” Questions that
address extent of past drug use are also prohibited, such as “How many times have you used
illegal drugs in your life?” or, “How often did you use illegal drugs in the past?
Current illegal use of drugs does not fall under the protection of the ADA/FEHA; however, there is
no clear-cut definition of “current;” rather, the Equal Employment Opportunity Commission (EEOC)
merely states that “current” is to be considered “…recently enough to justify an employer’s
reasonable belief that involvement with drugs is ongoing.”22 The POST Personal History
Statement uses six months as a benchmark for questions on current illegal drug use;23 however,
this time frame is intended as a rule of thumb rather than a legally sanctioned standard.
Individuals with a past history of recreational or casual drug use also fall outside the protection of
the law. Therefore, narrowly-defined questions about past drug use that do not address frequency
or extent of use are permissible pre-offer. The POST Personal History Statements include
examples of such questions. Any additional pre-offer questions on this topic should not be
considered without the input of legal counsel.
Unlike illegal drug use, current and past alcoholism are protected. Therefore, alcohol tests are
prohibited prior to the COE. No pre-offer questions may be asked regarding the extent of the
applicant’s use of alcohol or other aspects of alcoholism. For example, applicants may not be
asked pre-offer how much they drink. However, questions about social use of alcohol are
permissible, as are inquiries about their (job-relevant) behavior, even if that behavior was a result
of drunkenness. For example, it is legal to ask about DUIs pre-COE, as well as whether they have
been late to or absent from work because of alcohol (or drug) use.
The Post-Conditional Offer Stage

After a COE has been extended, medical and disability related inquiries and examinations are
permissible. However, all such questions must be job-related and consistent with business
22 EEOC Technical Assistance Manual on the Employment Provisions (Title I) of the ADA, 1992, EEOC-M-1A.
23 Proposition 64: Adult Use of Marijuana Act (AUMA) (2016) permits persons age 21 and older to possess, transport,
purchase, etc., not more than 28.6 grams of marijuana or 8 grams of concentrated cannabis. (See Health and Safety
Code §11362.1). However, it does not prevent employers from complying with state or federal law, nor does it prevent
employers from establishing policies prohibiting the use of cannabis by employees or prospective employees. [See Health
and Safety Code §11362.45(f)]. The federal government has yet to sanction the legality of such use and marijuana
therefore continues to be an illegal drug for purposes of federal law (See Proposition 64 – Adult Use of Marijuana Act and
California POST Selection Standards).
3–14
necessity, and all applicants must be subjected to the same basic inquiries. Note that a job offer
revoked at this stage may be assumed to be due to disability-related reasons; therefore, an
employer may be required to show that the applicant is unqualified or poses a direct threat.
Medical and other disability-related information must be treated with extreme confidentiality. 24
Screening physicians, psychologists, and even background investigators should only disclose
such information to others involved in the hiring process (including each other) on a need-to-know
basis. This information must be kept confidential and stored in a separate, secure medical file —
not with the employee’s regular personnel file. Access by others should be strictly limited. The law
allows access to this type of information by only a few selected individuals, including:
1) supervisors or managers, who may be informed about necessary restrictions on the work or
duties of an employee and necessary accommodations; 2) first-aid and safety personnel, who
may be informed if a disability will require emergency treatment; 3) government officials
investigating compliance with ADA/FEHA; and 4) state workers’ compensation fund employees or
representatives of insurance companies.25
BACKGROUND INVESTIGATION INQUIRIES: PRE- OR POST-OFFER?

The sequencing of most phases of the hiring process is clear-cut: Written tests and oral
interviews must be conducted pre-offer, since they do not address medical or other disability
issues. On the other hand, medical and psychological evaluations must be deferred until the post-
offer phase.
Situating the background investigation is another matter. On one hand, the determination of good
moral character would not appear on its surface to require inquiries into medical, psychological,
or other disability-related areas. As such, the background investigation should be conducted prior
to the COE.
In reality, however, the background investigation can and does include inquiries prohibited at the pre-
offer phase. Prohibited topics include histories of legal and illegal substance abuse (both drugs and
alcohol), behaviors resulting from problems with stress tolerance and other psychological stability
concerns, and learning disabilities as they relate to educational and employment history,
to name a few. Disability-related information may be divulged by the candidates themselves, as
well as by the numerous references contacted during the investigation, including past and current
employers, family members, friends, roommates, neighbors, etc. But, at the pre-offer stage,
background investigators are legally barred from pursuing this line of questioning, regardless of job-
relevance or business necessity.
The regulations associated with both the ADA and FEHA include a provision allowing for the
deferral of certain non-medical or non-psychological inquiries until the post-offer stage if it can be
demonstrated that the information could not have reasonably been collected prior to the COE.
POST submitted a written request to the EEOC for guidance on the proper interpretation of this
provision with respect to the sequencing of peace officer background investigations. Specifically,
POST asked about the permissibility under the ADA of deferring to the post-offer phase those
parts of the peace officer background investigation that do not involve medical or other disability-
related inquiries.
24 The Confidentiality of Medical Information Act, Cal. Civ Code §56 et seq., applicable federal law, including but not limited
to 29 C.F.R. 1630 et seq.; Cal. Civ Code §1798 et seq.
25 Note that access to this information does not include candidates themselves.

In their response, the EEOC stipulated that, at a minimum, official documents such as DMV
records, birth certificates, and credit reports must be requested at the pre -offer stage, since
the information in these documents do not touch on medical or other prohibited topics and
they are readily obtainable. However, the EEOC agreed with POST that other aspects of the
peace officer background investigation could lawfully be deferred until the post -offer phase,
including (1) the receipt and evaluation of official documents that cannot be obtained in a
timely manner, and (2) contacts and interviews with references, if this information could not
have reasonably been collected prior to the COE. The exchange between POST and the EEOC
is available at http://www.post.ca.gov/Data/Sites/1/post_docs/bulletin/2008-22.pdf.
To ensure that the guidance offered by the EEOC was lawful with respect to peace officer
background investigations under the California Fair Employment and Housing Act, POST initiated
a legislative change that resulted in the January, 2009 addition of Government Code §1031.2:
“Consistent with the [ADA] and [FEHA], the collection of non-medical or non-
psychological information of peace officers, in accordance with a thorough background
investigation, as required by subdivision (d) of §1031, may be deferred until after a
conditional offer of employment is issued if the employer can demonstrate that the
information could not have reasonably been collected prior to the offer.”
Although there is no equivalent statute specific to public safety dispatchers, given the consistency
between POST requirements for peace officer and public safety dispatcher background investigations,
it might seem that similar sequencing procedures would apply. However, since GC §1031.2 only
refers to peace officer background investigations, any deferral of the non-medical portions of the
public safety dispatcher background investigation should only be considered with the direct
involvement and consent of legal counsel. In fact, legal counsel’s involvement is imperative before
implementing any changes in the sequencing of either the public safety dispatcher or peace officer
hiring process.
Frequently Asked Questions

Q: We have reviewed the candidate’s application and Personal History Statement form, is that
sufficient to be able to offer them a COE?
A: For the COE to be considered “bona fide” (i.e., real), employers must evaluate all relevant
nonmedical information that they can reasonably obtain and analyze prior to extending the offer.26
Q: What if the applicant or other individual volunteers disability-related information at the

pre-offer stage?
A: The background investigator may discover protected information pre-offer, either because an
applicant or others volunteer disability-related information, or in the course of record reviews. If
disability-related information is discovered pre-offer, background investigators may document the
information and follow-up and/or disclose it to the appropriate person after a COE is extended. It
is unlawful to use that information as a reason for not hiring the person unless the employer can
provide a legal defense.
Q: How long must an agency wait for documents to be received before being able to extend a
conditional offer of employment and continue with the background investigation?
26 ADA Enforcement Guidance: Pre-Employment Disability-Related Questions and Medical Examination, U.S. EEOC,
October 1995.
3–16
A: There’s no exact answer to this question, but in their letter to POST, the EEOC stated, “An
unreasonable delay may exist where a responding agency routinely takes several weeks or
months to provide documents and waiting for these official documents will significantly increase
the length of the entire hiring process.” Therefore, it would be lawful to extend a conditional offer
of employment if documents such as a DD-214, official transcripts, or returns from DOJ or FBI
fingerprint checks take in excess of a few weeks to receive.
Q: What are the advantages of conducting parts of the background investigation post-offer rather
than pre-offer?
A: First and foremost, when interviewing people post-offer, the background investigator is free to ask
any questions — or follow-up on any volunteered information — as necessary, even if the topics turn to
medical, psychological, or other disability-related issues (as long as the questions are job-related and
consistent with business necessity). On the other hand, if the interview is being conducted pre-offer,
the background investigator cannot continue or pursue this line of questioning. While this questioning
can be resumed when/if the candidate reaches the post-offer stage, splitting the background
investigation in this way can prove to be burdensome and inefficient.
For example, during the background interview, a candidate could reveal that he has a
medical condition and could ask the investigator about his chances of passing the medical
examination. If the interview is being conducted pre-offer, the investigator must defer any further
discussion about the topic until the post-offer stage, no matter how relevant to the candidate’s
suitability for the job.
However, if this same conversation occurred at the post-offer stage, the investigator could pursue
this line of questioning. Furthermore, the investigator could decide to answer the candidate’s
question by contacting the doctor directly, or even arranging for the candidate’s medical
evaluation ahead of schedule – and before the continuation of the background investigation.
Q: Are there any risks or disadvantages of conducting parts of the background investigation
post-offer?
A: Deferring too much of the background investigation to the post-offer stage, especially public
safety dispatcher background investigations, could trigger allegations of violation of the ADA and
FEHA.
In addition, since medical and other related topics cannot be addressed until after a conditional
offer is extended, it would be difficult for a candidate to argue that s/he was discriminated
against on the basis of his/her disability when the majority of the background investigation is
conducted pre-offer. If the candidate is disqualified on the basis of a background investigation
that was conducted post-offer, the agency should be prepared to defend the decision against
assertions of disability discrimination.
Q: Must part of the background investigation now be conducted post-offer?

A: No, the new law is permissive; agencies are free to revise or retain their current background
investigation process. As this is an emerging area of law, it is imperative that agencies consult
with their legal counsel before revising their background investigation process.
Q: Does GC §1031.2 permit the medical and psychological evaluation to be conducted

pre-offer?
A: No. The medical and psychological evaluations, in compliance with the ADA, FEHA, GC
§1031(f), and POST regulations, must be conducted post-offer.

Table 3.1 continued

BACKGROUND INVESTIGATION CODES AND REGULATIONS
LAW / REGULATION NOTES / COMMENTS
PEACE OFFICERS
Government Code §1031
Each class of public officers or employees declared by law to be

peace officers shall meet all of the following minimum standards: GC 1031 includes statutory minimum selection
standards for peace officers. They include:
(a) Be a citizen of the United States or a permanent resident Citizenship – VC 2267 imposes additional
alien who is eligible for and has applied for citizenship, except citizenship requirements for CHP.
as provided in Vehicle Code §2267. See Chapter 5, subsection Citizenship.
Age – See Chapter 5, subsection Birth Place and
(b) Be at least 18 years of age. Birth Date.
(c) Be fingerprinted for purposes of search of local, state, and Fingerprints – To assess legal history and moral
national fingerprint files to disclose a criminal record. character. See Chapter 4, Step 5: Collect &
Submit Candidate Fingerprints and Chapter 5,
(d) Be of good moral character, as determined by a thorough subsection PHS Section 8: Legal.
background investigation. Education – GC 1031(e) was revised as of
January 1, 2016 allowing for other high school
(e) Be a high school graduate, pass the General Education equivalency examinations in addition to the
Development Test or other high school equivalency test GED. See Chapter 5, subsection PHS Section 3:
approved by the State Department of Education that indicates Education.
high school graduation level, pass the California High School
Proficiency Examination, or have attained a two-year, four-year,
or advanced degree from an accredited college or university. The
high school shall be either a United States public school, an
accredited United States Department of Defense high school, or
an accredited or approved public or nonpublic high school. Any
accreditation or approval required by this subdivision shall be
from a state or local government educational agency using local
or state government approved accreditation, licensing,
registration, or other approval standards, a regional accrediting
association, an accrediting association recognized by the
Secretary of the United States Department of Education, an
accrediting association holding full membership in the National
Council for Private School Accreditation (NCPSA), an organization
holding full membership in AdvancED, an organization holding
full membership in the Council for American Private Education
(CAPE), or an accrediting association recognized by the National
Federation of Nonpublic School State Accrediting Associations
(NFNSSAA).
(f) Be found to be free from any physical, emotional, or mental Medical and psychological evaluation requirements
condition that might adversely affect the exercise of the are contained in Commission Regulations 1954
powers of a peace officer. and 1955, respectively.
(1) Physical condition shall be evaluated by a licensed

physician and surgeon.
(2) Emotional and mental condition shall be evaluated by

either of the following:
continues
3–18
Table 3.1 continued

(A) A physician and surgeon who holds a valid
California license to practice medicine, has
successfully completed a postgraduate medical
residency education program in psychiatry
accredited by the Accreditation Council for
Graduate Medical Education, and has at least the
equivalent of five full-time years of experience in
the diagnosis and treatment of emotional and
mental disorders, including the equivalent of three
full-time years accrued after completion of the
psychiatric residency program.
(B) A psychologist licensed by the California Board of
Psychology who has at least the equivalent of five
full-time years of experience in the diagnosis and
treatment of emotional and mental disorders,
including the equivalent of three full-time years
accrued post doctorate.
The physician and surgeon or psychologist shall also have

met any applicable education and training procedures set
forth by the California Commission on Peace Officer
Standards and Training designed for the conduct of
preemployment psychological screening of peace officers.
(g) This section shall not be construed to preclude the adoption

of additional or higher standards, including age.
Government Code §1031.2

Consistent with the Americans with Disabilities Act of 1990 Public Law GC 1031.2 became effective on January 1, 2009. A
101-336) and paragraph (3) of subdivision (e) of §12940, the detailed explanation of the implications of GC
collection of nonmedical or non-psychological information of peace 1031.2 is provided in Chapter 3: “Legal
officers, in accordance with a thorough background investigation, as Qualifications and Statutory Framework.”
required by subdivision (d) of §1031, may be deferred until after a
conditional offer of employment is issued if the employer can
demonstrate that the information could not reasonably have been
collected prior to the offer.
Government Code §1029

(a) …each of the following persons is disqualified from… being DOJ and FBI will stipulate the eligibility of the
employed as a peace officer of the state, county, city, city and candidate in their response to fingerprint
county or other political subdivision, whether with or without submittals. However, background investigators
compensation … must ensure that there is no need to resubmit
fingerprints prior to filing the report in the
(1) Any person who has been convicted of a felony. candidate’s file.
(2) Any person who has been convicted of any offense in
any other jurisdiction which would have been a felony if
committed in this state.
(3) Any person who, after January 1, 2004, has been
convicted of a crime based upon a verdict or finding of
guilt of a felony by the trier of fact, or upon the entry of
a plea of guilty or nolo contendere to a felony. This

Table 3.1 continued


paragraph shall apply regardless of whether, pursuant
to subdivision (b) of §17 of the Penal Code, the court
declares the offense to be a misdemeanor or the
offense becomes a misdemeanor by operation of law.
(4) Any person who has been charged with a felony and
adjudged by a superior court to be mentally
incompetent…
(5) Any person who has been found not guilty by reason of
insanity of any felony.
(6) Any person who has been determined to be a mentally
disordered sex offender…
(7) Any person adjudged addicted or in danger of becoming
addicted to narcotics, convicted, and committed to a
state institution…
(b)
(1) A plea of guilty to a felony pursuant to a deferred entry
of judgment program… shall not alone disqualify a
person from being a peace officer unless a judgment of
guilty is entered…
(2) A person who pleads guilty or nolo contendere to, or
who is found guilty by a trier of fact of, an alternate
felony-misdemeanor drug possession offense and
successfully completes a program of probation… shall
not be disqualified from being a peace officer solely on
the basis of the plea or finding if the court deems the
offense to be a misdemeanor or reduces the offense to
a misdemeanor.
Penal Code §1170.18 PC §1170.18(k) prohibits those who have had felony
convictions reduced to misdemeanors from
[Proposition 47: The Safe Neighborhoods and Schools Act – possessing or owning firearms.
reduces certain felonies to misdemeanors]
Penal Code §29805 PC §29805 prohibits those who have committed

specific misdemeanors from possessing a firearm for
[Specified convictions; narcotic addiction; condition of probation; 10 years, which may preclude candidates from peace
restrictions on firearms possession; punishment; employment officer status. DOJ and FBI will indicate candidate
needs; relief from prohibition; justifiable violations] eligibility in their returns of fingerprint records.
U.S. Code Title 18 §§922(d)(9) & (g)(9) Individuals convicted of misdemeanor offenses
containing the elements of domestic violence
(d) It shall be unlawful for any person to sell or otherwise dispose cannot possess a firearm, which may preclude
of any firearm or ammunition to any person knowing or candidates from peace officer status.
having reasonable cause to believe that such person… has
been convicted in any court of a misdemeanor crime of
domestic violence. Other prohibitions include individuals who are
convicted of crimes resulting in prison terms of
(g) It shall be unlawful for any person… who has been convicted more than a year; unlawful users of or addicted to
in any court of a misdemeanor crime of domestic violence… controlled substances; dishonorably discharged
to possess any firearm or ammunition. from military service.
3–20
Table 3.1 continued
Minimum Selection Standards for These POST regulations serve to implement

Government Code §1031.
Peace Officers
Commission Regulations 1950-1955
Regulation 1950:
Peace Officer Selection Requirements
(a) The purpose of these regulations is to implement the
minimum peace officer selection standards set forth in
California Government Code §1031 and as authorized by
California Penal Code §13510. Peace officer training
requirements are addressed separately in Commission
Regulations 1005 and 1007. All POST documents and forms
mentioned in these regulations are available on the POST
website (www.post.ca.gov).
(1) Every POST-participating department and/or agency

(hereinafter referred to as “department”) shall ensure
that every “peace officer candidate,” as defined in
subsection 1950(b), satisfies all minimum selection
requirements specified in the following regulations
unless waived by the Commission on a case by case
basis. Statutory requirements in these regulations
cannot be waived by the Commission.
• Reading and Writing Ability Assessment
(Regulation 1951)
• Oral Interview (Regulation 1952)
• Background Investigation (Regulation 1953)
• Medical Evaluation (Regulation 1954)
• Psychological Evaluation (Regulation 1955)
(2) All requirements specified in these regulations shall be By specifying that the selection standards must be
satisfied prior to the date of employment. For purposes completed either before appointment as a peace
of these regulations, “date of employment” is defined officer or the date the candidate is hired as a
as date of appointment as a peace officer or, at the peace officer trainee, agencies who use the peace
department’s discretion, the date the candidate is hired officer trainee classification will not have to
as a peace officer trainee and enrolled in a POST- rescreen these individuals if more than one year
certified Basic Course. elapses between the date of evaluation and date of
peace officer appointment.
(b) Peace Officer Candidate Definition

For purposes of these regulations, a “peace officer candidate” is POST selection standards apply to all peace
any individual, regardless of rank or Penal Code classification, officers in POST-participating agencies: new hires,
who applies for a peace officer position with a POST-participating certain rehires/reappointments, laterals, seasonal,
department, regardless of the individual’s prior law enforcement temporary, full-time, and part-time.
experience either at that department or at a different department
within the same city, county, state, or district.

Table 3.1 continued

(c) Exceptions
For purposes of these regulations, peace officers described in
this section are not considered “candidates” and are
therefore exempted from Regulations 1951-1955.
(1) The department has sole responsibility for determining

what, if any, assessments are necessary for a peace
officer who:
(A) Changes peace officer classifications, such as from Updated background investigations, medical and
reserve officer to regular officer, within the same psychological evaluations are not required for
POST-participating department if documentation is reserve peace officers who are upgraded to regular
available for inspection verifying that all current officer status, provided current requirements were
minimum selection requirements were previously met, met at the time of hire and there has been no
and the peace officer has worked continuously for the break in service.
department since the time of initial appointment.
(B) Is employed by a department that, through The regulations now clarify that officers who are
reorganization, is merged with another department inherited from another agency within the same city,
within the same city, county, state, or district, if county, state, or district are not subject to
documentation is available for inspection verifying Regulations 1951-1955.
that the officer was hired in accordance with the
POST requirements in effect at the time of hire.
(C) Is reappointed to the same POST-participating Departments have sole responsibility for ensuring
department within 180 days of voluntary the 180 day re-hires meet the Government Code
separation. and/or other statutory requirements.
(2) For a peace officer who has been mandatorily Reinstated officers are largely exempted from POST
reinstated, the department shall: selection standards; only updated fingerprints and
DMV checks (and citizenship check if appropriate)
(A) Report the reinstatement to POST through the are required.
submittal of a Notice of Appointment/Termination,
POST 2-114, indicating a correction to record, The document mandating the reinstatement must
together with a copy of the official reinstatement be submitted with the NOAT.
documentation [Commission Regulation 1003(b)(2)];
(B) Resubmit the officer’s fingerprints to the California
Department of Justice (DOJ) and the Federal Bureau
of Investigation (FBI) to verify legal eligibility for a
peace officer position (GC §1029 and §1030) and to
determine eligibility to possess a firearm [Penal Code
§29805 and U.S. Code Title 18 § 922(d)(9)].
Fingerprints do not need to be resubmitted if the
officer was never removed from the department’s
peace officer files of the DOJ or FBI;
(C) Obtain evidence of U.S. citizenship if the officer
was not a United States citizen at the date of initial
appointment and three or more years has elapsed
since that date of appointment (GC §1031.5);
(D) Perform a records check of the California

Department of Motor Vehicles (Vehicle Code
§12500).
(3) Publicly elected peace officers are exempted from Besides sheriffs, there are very few elected peace
Regulations 1951-1955. officers.
3–22
Table 3.1 continued

(d) Adoption of Additional Requirements and/or Higher
Standards Additional screening requirements (e.g., physical
ability testing, detection of deception examinations)
The requirements described herein serve as minimum selection are the responsibility of the department, based on
requirements. Per Government Code §1031(g) and Penal Code their peace officers’ job functions, responsibilities,
§13510(d), the adoption of more rigorous requirements, higher and demands.
standards, additional assessments and/or more in-depth
evaluations than those stated in these regulations is at the
discretion of the employing department.
Regulation 1951:
Peace Officer Reading and Writing Ability Assessment
(a) Every peace officer candidate shall be able to read and write For the purposes of satisfying Regulation 1951,
at the levels necessary to perform the job of a peace officer. reading and writing test scores:
Satisfactory completion of this requirement may occur at any
time prior to date of employment. Reading and writing ability  Are transportable
shall be demonstrated by one of the following:  Have no shelf life
(1) Achievement of a score deemed acceptable by the  Have no POST-mandated cut score
hiring department on the POST Entry-Level Law Successful completion of the RBC, SIBC or Waiver
Enforcement Test Battery or other professionally process will satisfy this requirement.
developed and validated test of reading and writing
ability. The test can be administered by either the
department or another entity, or
(2) Proof of successful completion of the Regular Basic

Course or the Specialized Investigators’ Basic Course,
or
(3) Proof of possession of a Basic Course Waiver.
(b) A department that uses the POST Entry-Level Law
Enforcement Test Battery must have a current Test Use and
Security Agreement, herein incorporated by reference, on file
with POST.
Regulation 1952:
Peace Officer Oral Interview
(a) Every peace officer candidate shall participate in an oral Oral interview must take place prior to the COE.
interview to determine suitability to perform the duties of a
peace officer. The interview shall take place prior to making a
conditional offer of employment.
(b) The interview shall be conducted by the department head,
one or more representatives of the department, the
appointing authority or designee, and/or an oral panel
consisting of at least one department employee.
(c) The POST Interviewing Peace Officer Candidates: Hiring The POST interview guide can be downloaded at
Interview Guidelines provides assistance in conducting the http://lib.post.ca.gov/Publications/interview_guide
oral interview. The use of the manual is discretionary; except .pdf
that oral interviews shall address, at a minimum, the six POST
Interview Factors herein incorporated by reference described Departments can request access to the on-line
in the manual: Experience, Problem Solving Ability, secure oral interview question bank:
Communication Skills, Interest/Motivation, Interpersonal https://post.ca.gov/about-the-oral-interview-
Skills, and Community Involvement/Awareness. question-bank.

Table 3.1 continued

Regulation 1953:
Peace Officer Background Investigation
(a) Government Code Mandate

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
[Government Code §1031(d)].
(b) Background Investigation Evaluation Criteria

The POST Background Investigation Manual: Guidelines for the This manual provides guidance and therefore is not
Investigator provides assistance in conducting background intended to add other requirements over and above
investigations. The use of the manual is discretionary; except the those specified by the statutes and regulations
POST Background Investigation Dimensions herein incorporated described here. However, the POST Background
by reference described in the manual — Integrity, Impulse Dimensions (Chapter 2) must be assessed during
Control/Attention to Safety, Substance Abuse and Other Risk- the investigation.
Taking Behavior, Stress Tolerance, Confronting and Overcoming
Problems, Obstacles, and Adversity, Conscientiousness,
Interpersonal Skills, Decision-Making and Judgment, Learning
Ability, and Communication Skills — shall be considered in the
conduct of every peace officer background investigation.
(c) Personal History Statements

Every peace officer candidate shall complete, sign, and date a The POST PHS can be downloaded from the
personal history statement at the onset of the background background/hiring section of the forms page at
investigation. A personal history statement can be either the http://post.ca.gov/forms.aspx.
Personal History Statement – Peace Officer, POST 2-251 or Departments who wish to modify the POST
an alternative personal history statement. An alternative PHS for their use can request an unprotected
personal history statement shall include inquiries related to the version of the form by emailing POST at
following areas of investigation: personal identifying information, [email protected].
relatives and references contact information, education history,
residence history, experience and employment history, military
history, financial history, legal history, driving history, and other
topics related to moral character.
(d) Collection of Background Information: Pre and Post
Conditional Offer of Employment
(1) Nonmedical or non-psychological background information Information on the sequencing of background
may be collected after a conditional offer of employment investigations in light of GC 1031.2 is provided in
(COE) is issued if it could not have reasonably been this chapter under “Conditional Offer of
collected prior to the COE (GC §1031.2). This may include: Employment: Pre- and Post- Offer Inquiries” and in
Chapter 4.
(A) Official documents that cannot be obtained and
evaluated in a timely manner during the pre-offer
period, and
(B) Information derived from contacts and interviews
with references.
3–24
Table 3.1 continued
(2) At the post-offer stage, background investigators,

examining physicians, examining psychologists, and
others involved in the hiring decision shall work
cooperatively to ensure that each has the information
necessary to conduct their respective investigations
and/or assessments of the candidate.
(e) Areas of Investigation
(1) Citizenship Verification

(A) Every peace officer candidate, except those
applying to the California Highway Patrol, shall be
either a United States citizen or a permanent
resident alien who is eligible for and has applied for
citizenship on or within three years before the date
of appointment as a peace officer (GC §1031(a)
and §1031.5).
(B) Every peace officer candidate for the California
Highway Patrol shall be a United States citizen at time
of appointment as a peace officer (VC §2267).
(C) Proof of U.S. citizenship shall consist of an official POST accepts valid U.S. passports/passport cards
government-issued birth certificate, naturalization for meeting this requirement, except those issued
documentation, or other citizenship documentation to U.S. Nationals from American Samoa, Swains
deemed acceptable by POST. The document shall Islands and Commonwealth of the Northern
be an original, a certified copy, or a copy that Marianas Islands.
includes a notation by the investigator that the
original or certified copy was reviewed.
(2) Age Verification
(A) Every peace officer candidate shall be minimally
18 years of age on or before the date of
appointment as a peace officer.
Abstracts of birth, hospital birth records and
(B) Proof of age shall be satisfied by any document
baptismal records are not acceptable as proof.
accepted for proof of citizenship.
(3) Criminal Record Checks - Local, State, and National

Every peace officer candidate shall be the subject of a
criminal record search at the local, state, and national
levels to determine legal eligibility for peace officer
employment [GC §1029(a)(1), 1030 and §1031(c)],
eligibility to carry a firearm [PC §29805; U.S. Code Title
18 § 922(d)(9)], and to assess moral character [GC
§1031(d)].
(A) Local searches shall include inquiries with local
law enforcement departments where the
candidate has lived, worked, attended school, or
frequently visited.
Proof of local searches shall be documented by a
letter or other written documentation from each
department contacted. If a contacted department
does not provide written documentation, the
request for information shall be noted.

Table 3.1 continued

(B) A state search shall include forwarding the

candidate’s fingerprints to the California Department
of Justice (DOJ) to establish the candidate’s legal
eligibility for employment (GC §1029) and eligibility to
possess a firearm [PC §29805; U.S. Code Title
18 §922(d)(9)].
Proof of a state search shall be documentation issued Two DOJ fingerprint returns are required: an
by the DOJ consisting of an official clearance return eligibility for employment as a peace officer, and a
and an authorization to possess and carry firearms. separate firearms clearance.
The authorization shall be relevant to the peace
officer position and shall have been generated no
more than one year prior to the date of employment
(C) A national search shall include forwarding the

candidate’s fingerprints to the Federal Bureau of
Investigation (FBI).
Proof of a national search shall consist of an official In addition to the two DOJ returns, there shall also
clearance from the FBI. The clearance shall be be a third (separate) return from the FBI.
relevant to the peace officer position and shall have
been generated no more than one year prior to the
date of employment.
(4) Driving Record Check
(A) Every peace officer candidate’s driving history, if
any, shall be checked to assess behaviors
consistent with the safe and appropriate operation
of a motor vehicle and adherence to the law.
(B) Proof of the driving history check shall consist of a
written driving record history from the Department
of Motor Vehicles or other official driving record.
The record shall be dated no more than one year
prior to the date of employment.
(5) Education Verification
(A) Every peace officer candidate shall meet one of
the following minimum education requirements
pursuant to GC §1031(e):
1. Be a high school graduate of one of the
following:
a. A U.S. public school, or
b. An accredited U.S. Department of
Defense high school, or
c. An accredited or approved public or
nonpublic high school.
2. Pass the General Education Development (GED) As of January 1, 2016, equivalency exams other
test or other high school equivalency test than the GED are acceptable as proof of meeting
approved by the State Department of Education the high school graduation requirement. (The
that indicates high school graduation level. California Department of Education website
provides a list of alternative equivalency tests.)
3. Pass the California High School Proficiency
Examination, or
3–26
Table 3.1 continued
4. Have attained a two-year, four-year, or advanced

degree from an accredited college or university.
Any accreditation or approval shall be from a state
or local government educational agency using
local or state government approved accreditation,
licensing, registration, or other approval standards,
a regional accrediting association, an accrediting
association recognized by the Secretary of the
United States Department of Education, an accre-
diting association holding full membership in the
National Council for Private School Accreditation
(NCPSA), an organization holding full membership
in the AdvancED, an organization holding full
membership in the Council for American Private
Education (CAPE), or an accrediting association
recognized by the National Federation of
Nonpublic School State Accrediting Associations
(NFNSSAA).
(B) Proof shall consist of an official transcript or other A candidate who provides official transcripts
means of verifying satisfactory completion of educa- verifying completion of a two-year, four-year or
tional requirements deemed acceptable by POST. The advanced degree from an accredited institution
document shall be an original, a certified copy, or a does not need to provide a copy of their high school
copy that includes a notation by the investigator that transcripts.
the original or certified copy was reviewed.
(6) Employment History Checks
(A) Every peace officer candidate shall be the subject
of employment history checks through contacts
with all past and current employers over a period
of at least ten years, as listed on the candidate’s
personal history statement.
(B) Proof of the employment history check shall be
documented by a written account of the information
provided and source of that information for each
place of employment contacted. All information
requests shall be documented.
(7) Relatives/Personal References Checks
of reference checks through contacts and
interviews with relatives, including former spouses,
and personal references listed on the candidate’s
personal history statement. Additional references,
provided by the initial contacts, shall also be
contacted and interviewed to determine whether
the candidate has exhibited behavior incompatible
with the position sought. Sufficient information
shall be collected and reviewed to determine
candidate suitability.
(B) Proof of reference checks shall be documented by
written information showing that relatives and
personal references identified by the candidate
were interviewed. Documentation shall include the
identity of each individual contacted, the contact’s
relationship to the candidate, and an account of

Table 3.1 continued

the information provided by the contact. All

requests for information shall be documented.
(8) Dissolution of Marriage Check
(A) Every peace officer candidate who indicates one or
more marriage dissolutions on the personal history
statement shall have his/her court issued
dissolution documents and legal separation
decrees reviewed as an indication of personal
integrity, financial responsibility, and other relevant
aspects of candidate suitability.
(B) Proof of the dissolution/separation of marriage Documentation is required on all individuals
check shall be documented by a copy of all final who have experienced a marriage dissolution/
court-issued dissolution documents and legal separation, even for those who have not
separation decrees. subsequently remarried.
(9) Neighborhood Checks
of contacts and interviews with current and, where
practicable, previous neighbors to determine
whether the candidate has exhibited behavior
incompatible with the position sought.
(B) Proof of neighborhood checks shall be
Neighborhood checks must be conducted
documented by written information showing the
regardless of how long the candidate has been a
identity of each neighbor contacted, the neighbor’s
resident.
the information provided by the individual. All
(10) Military History Check
(A) When applicable, a candidate shall be required to
present proof of Selective Service registration or
military service records.
(B) Proof of a military history check shall consist of
written verification of Selective Service registration,
except for women or any man born prior to
January 1, 1960. For any candidate who indicates
military history on the personal history statement,
proof shall consist of an official copy of their DD-
214 long form or equivalent documentation of
foreign military service, if available.
(11) Credit Records Check

of a credit record search with a bona fide credit
reporting agency (i.e., Experian, TransUnion,
Equifax) to determine the candidate’s credit
standing with lenders, as an indication of the
candidate’s dependability and integrity.
(B) Proof of a credit record check shall be documented
by an official credit report returned by one of the
bona fide credit reporting agencies. The report
shall have been created no more than one year
prior to the date of employment.
3–28
Table 3.1 continued
(f) Background Investigation Updates

(1) Eligibility
(A) If a peace officer candidate was initially
investigated in accordance with all current
requirements and the results are available for
review, a background investigation update, as
opposed to a complete new background
investigation, may be conducted for either of the
following circumstances:
1. The peace officer candidate is being
reappointed to the same POST-participating
department. Per Regulation 1950(c)(1)(C) a
background investigation update on a peace
officer who is reappointed within 180 days of
voluntary separation is at the discretion of the
hiring authority.
2. The peace officer candidate is transferring,
without a separation, to a different
department; however, the new department is
within the same city, county, state, or district
that maintains a centralized personnel and
background investigation support division.
(B) At the discretion of the hiring authority, if an interim
police chief was initially investigated by a California
POST participating department in accordance with
all current requirements and the background file
has been determined compliant by POST, an
updated background investigation, as opposed to a
complete new background investigation, may be
conducted provided the following three conditions
are met:
1. The results of the initial background
investigation are available and have been
reviewed by the hiring authority,
2. The initial background investigation was
conducted within the past five years, and
3. The individual has served as an interim police
chief within the last 24 months.
The retention of all background investigation records,
including the initial and updated background
investigations, shall be the responsibility of the hiring
authority.

Table 3.1 continued


(2) Update Requirements
(A) A new personal history statement [Regulation
1953(c)] with updated information covering the
period from the last personal history statement to
the current date shall be completed by the peace
officer candidate.
(B) The department shall conduct investigations of all
new information reported by the candidate on the
new personal history statement.
1. For candidates reappointed to the same
department per Regulation 1953(f)(1)(A)(1),
the new background investigation shall cover
the period since the candidate separated
from the department.
2. For candidates transferring, without a
separation, to a different department within
the same city, county, state, or district per
Regulation 1953(f)(1)(A)(2), or interim chiefs
who meet the requirements of Regulation
1953(f)(1)(B), the new background
investigation shall cover the period since the
date the previous background investigation
was completed.
(C) Any area of investigation for which there is updated
information shall be addressed in the updated
background investigation. This shall minimally
include a new: 1) Local Criminal Record Check,
2) State and National Criminal Check, unless there
is written attestation that the candidate was never
removed from the department’s peace officer files
of the DOJ or FBI, 3) Driving Record Check, and 4)
Credit Record Check.
(D) Updated background investigation documentation
shall be maintained with the initial background
investigation documents.
(E) If the original background investigation was
conducted within one year from the date of
reappointment, it is not necessary to update
criminal record checks, driving record check, or
credit check.
(g) Documentation and Reporting
(1) Background Narrative Report. The background
investigator shall summarize the background
investigation results in a narrative report that includes
sufficient information for the reviewing authority to
extend, as appropriate, a conditional offer of
employment. The report, along with all supporting
documentation obtained during the course of the
background investigation, shall be included in the
candidate’s background investigation file. The
supporting documents shall be originals or true, current
and accurate copies as attested to by the background
3–30
Table 3.1 continued

investigator. The background investigation file shall be
made available during POST compliance inspections.
(2) Retention. The background narrative report and
supporting documentation shall be retained in the
individual’s background investigation file for as long as
the individual remains in the department’s employ.
Additional record retention requirements are described
in Government Code §12946. The psychological evaluator is required to review
(3) Information Access. The narrative report and any other the candidate’s background history, thus the
relevant background information shall be shared with narrative report and any other relevant information
psychological evaluator [Regulation 1955(e)(3)]. This (e.g., PHS) must be shared with the screening
information shall also be shared with others involved in psychologist.
the hiring process, such as screening physicians, if it is
relevant to their respective evaluations. In general, access to background investigation files
is a complex legal area impacted by both state and
This information must be furnished to those conducting federal law. The department’s legal counsel should
background investigations of peace officer candidates be consulted for specific guidance.
on behalf of other law enforcement departments except
as specifically provided by statute (GC §1031.1, GC
§6250 et seq, Labor Code, §1050, LC §1054, O’Shea
v. General Telephone Co. (1987) 193 Cal. App 3d
1040). This information shall only be utilized for
investigative leads and the information shall be
independently verified by the prospective department to
determine the suitability of the peace officer candidate.
Regulation 1954:
Peace Officer Medical Evaluation
(a) Government Code Mandate/Evaluator Requirements
Every peace officer candidate shall be evaluated by a licensed
physician and surgeon (hereinafter referred to as “physician”)
to determine if the candidate is free from any physical (i.e.,
medical) condition that might adversely affect the ability to
exercise peace officer powers [GC §1031(f)]. The physician
shall conduct the evaluation on behalf of and for the benefit
of the employing department.
(b) Timing of the Medical Evaluation
The medical evaluation shall commence only after the
department has extended a conditional offer of employment
to the peace officer candidate [Americans with Disabilities Act
(42 USC §12101 et seq); California Fair Employment and
Housing Act (GC §12940 et seq)]. The medical evaluation
must be completed within one year prior to date of
employment. A new medical evaluation shall be conducted on
peace officer candidates reappointed to the same
department unless the prior evaluation occurred within one
year of the date of reappointment.

Table 3.1 continued

(c) Medical Screening Procedures and Evaluation Criteria

The medical screening procedures and evaluation criteria used in The physician must be provided with a medically-
the conduct of the medical evaluation shall be based on the relevant description of the hiring department’s
peace officer duties, powers, demands, and working conditions peace officer position.
as defined by the department. This information shall be provided
to the physician, along with any other information (e.g., risk The department is responsible for establishing
management considerations) that will allow the physician to medical screening standards. The examination and
make a medical suitability determination. The POST Medical evaluation protocols contained in the POST Medical
Screening Manual for California Law Enforcement provides Screening Manual is intended to assist agencies in
medical examination and evaluation protocols that are based on that regard, but its use is discretionary.
patrol officer job demands and working conditions. These
protocols may be adopted or adapted for use by the department,
if and as appropriate. However, the use of the manual is
discretionary.
(d) Required Sources of Information for the Medical Evaluation
The medical evaluation shall include a review by the
screening physician of the following sources of information
prior to making a determination about the candidate’s
medical suitability.
(1) Job Information. Job information shall consist of the The job information provided by the department
peace officer duties, powers, demands, and working must be reviewed by the physician before
conditions provided by the department per Regulation conducting evaluations.
1954(c).
(2) Medical History Statement. Prior to the medical POST 2-252 can be downloaded at
evaluation, every peace officer candidate shall http://lib.post.ca.gov/Publications/2-
complete, sign and date a medical history statement. 252MedicalHistoryStatement.pdf
The POST Medical History Statement – Peace Officer,
POST 2-252 can be used for this purpose, or an
alternative form that includes inquiries about past and
current medical conditions and procedures, physical
symptoms, limitations, restrictions, and the use of
medications and drugs.
(3) Medical Records. Medical records shall be obtained
from the candidate’s treating physician or other
relevant health professional, if warranted and
obtainable. This information may be provided by the
candidate or, with written authorization from the
candidate (Civil Code § 56.11), may be obtained
directly from the health professional.
(e) Medical Evaluation Reporting Requirements
(1) The evaluating physician shall provide the department
with a medical suitability declaration that shall include
the following information:
(A) The physician’s printed name, contact information
and medical license number,
(B) The candidate’s name,
(C) The date the evaluation was completed, and
3–32
Table 3.1 continued

(D) A statement, signed by the physician, affirming
that the candidate was evaluated in accordance
with Commission Regulation 1954. The statement
shall include a determination of the candidate’s
medical suitability for exercising the powers of a
peace officer. Prior to appointment as a peace The candidate must be found medically suitable
officer, the candidate must be determined to be prior to appointment.
medically suitable.
(2) The department shall maintain the medical suitability Section 2 of the POST Medical Examination Report
declaration in the candidate’s background investigation file; (POST 2-253) provides a sample medical suitability
the declaration shall be available to POST during compliance declaration. It can be downloaded at
inspections. http://lib.post.ca.gov/Publications/2-
253MedicalExamReport.doc
(3) The physician shall provide any additional information to the
department that is necessary and appropriate for the hiring
department, such as the candidate’s job-relevant functional
limitations, reasonable accommodation requirements, and
potential risks posed by detected medical conditions. All
information deemed medical in nature shall be maintained as a
confidential medical record, separate from the background
investigation file.
(4) The POST Medical Examination Report – Peace Officer, POST
2-253 is available for use in reporting this information;
however, its use is discretionary.
(5) Information from the medical evaluation may be provided to
others involved in the hiring process, if it is relevant to their
respective determinations of candidate suitability.
(f) Second Opinions
(1) A candidate who is found medically unsuitable has the right to
submit an independent evaluation for consideration before a
final determination of disqualification is made [2 CCR
§11071(b)(2)].
(2) When a candidate notifies the department that s/he is seeking
an independent opinion, the department shall make available
the peace officer duties, powers, demands, and working
conditions and the medical screening requirements specified in
Commission Regulation 1954. Other information, such as
specific procedures or findings from the initial evaluation, may be
shared with the second-opinion evaluator at the discretion of the
department. The means for resolving discrepancies in evaluations
is at the discretion of the department, consistent with local
personnel policies and/or rules.

Table 3.1 continued

Regulation 1955: Peace Officer Psychological

Evaluation
(a) Government Code Mandate/Evaluator Requirements
Every peace officer candidate shall be evaluated to determine if
the candidate is free from any emotional or mental condition that
might adversely affect the exercise of the powers of a peace
officer [Government Code section 1031(f)], and to otherwise
ensure that the candidate is capable of withstanding the
psychological demands of the position.
(1) The psychological evaluation shall be conducted by either of
the following:
(A) A physician and surgeon who holds a valid California
license to practice medicine, has successfully completed
a postgraduate medical residency education program in
psychiatry accredited by the Accreditation Council for
Graduate Medical Education, and has at least the
equivalent of five full-time years of experience in the
diagnosis and treatment of emotional and mental
disorders, including the equivalent of three full-time years
accrued after completion of the psychiatric residency
program.
(B) A psychologist licensed by the California Board of
Psychology who has at least the equivalent of five full-
time years of experience in the diagnosis and treatment
of emotional and mental disorders, including the
equivalent of three full-time years accrued post-
doctorate.
(2) The psychological evaluator (hereinafter referred to as
“evaluator”) shall be competent in the conduct of
preemployment psychological screening of peace officers.
The required areas of competence, as defined in the POST
Peace Officer Psychological Evaluator Competencies
(Competencies), are herein incorporated by reference. The
Competencies are contained and defined in Chapter 3 of the
POST Peace Officer Psychological Screening Manual.
(3) The evaluator must complete a minimum of 12 hours
biennially of POST-approved continuing professional
education per Commission Regulation 1955(b).
(4) The evaluator shall conduct the examination on behalf of and
for the benefit of the employing department.
(b) Continuing Professional Education (CPE)
(1) CPE Course Requirement
POST approval will be granted to courses that meet the
following requirements for both course quality and
relevance:
3–34
Table 3.1 continued

(A) Course Quality
Course quality is satisfied by any course recognized and
accepted by the California Board of Psychology for
continuing education credit [16 CCR section
1397.61(c)(1)] including:
1. Courses provided by American Psychological
Association (APA), or its approved sponsors; or
2. Continuing medical education (CME) courses
specifically applicable and pertinent to the
practice of psychology and that are accredited by
the California Medical Association (CMA) or the
Accreditation Council for Continuing Medical
Education (ACCME); or
3. Courses provided by the California Psychological
Association, or its approved sponsors; or
4. Courses approved by an accrediting agency for
continuing education courses taken prior to
January 1, 2013, pursuant to 16 Cal. Code Regs.
section 1397.61 as it existed prior to January 1,
2013.
The quality of courses recognized and accepted by other
accrediting bodies, associations, or organizations will be
considered on a case by case basis.
(B) Course Relevance
As determined by POST, courses must have direct
relevance and applicability to preemployment
psychological assessment by providing instruction and
training in one or more of the Competencies [subsection
1955(a)(2)].
(2) CPE Course Approval
POST approval shall be granted to courses that meet the
requirements outlined in 1955(b)(1). To be considered for
POST approval, a course approval request must be
submitted to POST via the electronic CPE Tracking System.
The request may be submitted by a course instructor,
provider, sponsor, law enforcement agency, or an
individual who has taken or is considering taking a course.
Requests for POST approval must include the following
information:
(A) Course provider
(B) Course instructor
(C) Course title and description
(D) Approving association
(E) Course topics and hourly distribution
(F) Learning objectives
(G) Method(s) of instruction (e.g., workshop, webinar,
independent learning)
A list of POST-approved CPE courses are maintained on the
POST Website.

Table 3.1 continued

(3) Evaluator CPE Requirement Effective January 1, 2019, the initial six (6) hour
CPE requirement has been replaced with a
(A) All evaluators must complete the POST-developed Peace
requirement that all evaluators pass the POST-
Officer Psychological Screening Manual on-line exam
developed book-based exam. New evaluators must
prior to conducting preemployment psychological
meet this requirement prior to conducting
screening. Incumbent evaluators must meet this
evaluations; incumbent evaluators must meet this
requirement no later than July 1, 2019.
requirement by July 1, 2019.
(B) Effective September 1, 2014, evaluators must complete
12 hours of POST-approved CPE every license renewal
cycle. For partial cycles, CPE hours are prorated at .5
hours per month, based on the evaluator's license
renewal date. The POST CPE requirement must be met
no later than the evaluator's license renewal date.
Additional CPE hours above the 12 hour minimum do not
count toward the next two-year cycle.
(C) The evaluator may satisfy no more than 75% [up to nine
(9) hours] of the POST CPE requirement through
independent learning that meets Regulation 1955(b)(1).
Independent learning includes, but is not limited to,
courses delivered via the Internet, CD-ROM, satellite
downlink, correspondence, and home study.
(4) Verification of Course Completion
To verify compliance with Regulation 1955(a)(3), the
evaluator must submit a psychological evaluator profile
request to POST via the electronic CPE Tracking System and
provide verification of course completion.
(A) Evaluator Information
The profile request must include the evaluator’s name
and contact information; license # and renewal date; and
additional information (curriculum vitae, professional
website URL), if available].
(B) Course Information
Once the profile is approved, the evaluator can request
approval of CPE course completion through the online
CPE Tracking System. The request must be accompanied
by official documentation of course completion, such as
completion certificate, roster, and/or other official
education or training records.
A list of evaluators and their contact information is available on
the POST website (www.post.ca.gov).
(c) Timing of the Psychological Evaluation

The psychological evaluation shall commence only after a conditional
offer of employment has been extended to the peace officer
candidate [Americans with Disabilities Act (42 U. S. Code section
12101 et seq); California Fair Employment and Housing Act
(Government Code section 12940 et seq)]. The psychological
evaluation must be completed within one year prior to date of
employment. A new psychological evaluation shall be conducted on
peace officer candidates reappointed to the same department,
unless the prior evaluation occurred within one year of the date of
reappointment.
3–36
Table 3.1 continued
(d) Psychological Screening Procedures and Evaluation Criteria

(1) The psychological screening procedures and evaluation
criteria used in the conduct of the psychological evaluation The psychologist must be provided with a
shall be based on the peace officer duties, powers, psychologically-relevant description of the peace
demands, and working conditions as defined by the officer position in that department.
department. This information shall be provided to the
evaluator, along with any other information (e.g., risk
management considerations) that will allow the evaluator
to make a psychological suitability determination.
(2) Every peace officer candidate shall be evaluated, at a
minimum, against job-related psychological constructs
herein incorporated by reference in the POST Peace Officer
Psychological Screening Dimensions (Dimensions): Social
Competence, Teamwork, Adaptability/Flexibility,
Conscientiousness/ Dependability, Impulse Control,
Integrity/Ethics, Emotional Regulation/ Stress Tolerance,
Decision Making/Judgment, Assertiveness/
Persuasiveness, and Avoiding Substance Abuse and Other
Risk-Taking Behavior. The Dimensions are contained and
defined in Chapter 4 of the POST Peace Officer
Psychological Screening Manual.
(3) The POST Peace Officer Psychological Screening Manual
provides guidance in the evaluation of peace officer
candidates. The use of this manual is discretionary with
the exception of the required Psychological Evaluator
Competencies and the Psychological Screening
Dimensions outlined in subsections 1955(a)(2) and
1955(d)(2), respectively.
(e) Required Sources of Information for the Psychological
Evaluation
The psychological evaluation shall include a review by the
evaluator of the following sources of information prior to making
a determination about the candidate’s psychological suitability.
(1) Job Information. Job information shall consist of the peace The job information provided by the department
officer duties, powers, demands, and working conditions must be reviewed by the psychologist before
provided by the department per Regulation 1955(d)(1). conducting evaluations.
(2) Written Assessments. Written assessments shall consist
of a minimum of two written psychological instruments.
One of these instruments shall be designed and
validated to identify patterns of abnormal behavior; the
other instrument shall be designed and validated to
assess normal behavior. Both instruments shall have
documented evidence of their relevance for evaluating
peace officer suitability. Together, the instruments
shall provide information about each candidate
related to: 1) freedom from emotional and/or mental
conditions that might adversely affect the exercise of
the powers of a peace officer, and 2) psychological
suitability per the POST Psychological Screening
Dimensions [Regulation 1955(d)(2)].

Table 3.1 continued

The psychological assessments shall be interpreted

using appropriate, authorized test publisher scoring
keys. If mail-order, internet-based, or computerized
test interpretations are used, the evaluator shall
verify and interpret the individual results.
(3) Personal History Information. Personal history Background information must be shared with the
information includes the candidate's relevant work, psychological evaluator.
life and developmental history based on information
collected during the background investigation
[Regulation 1953(g)(3)]. This information may be
augmented by responses on a personal history
questionnaire collected as part of the psychological
evaluation.
(4) Psychological Interview. A psychological interview
shall be administered to each peace officer
candidate subsequent to a review and evaluation of
the results of the written assessments [subsection
1955(e)(2)] and the candidate’s personal history
information [subsection 1955(e)(3)]. Sufficient
interview time shall be allotted to address all issues
arising from the reviewed information and other
issues that may arise during the interview.
(5) Psychological Records. Psychological records and
relevant medical records shall be obtained from the
candidate’s treating health professional, if warranted
and obtainable. This information may be provided by
the candidate, or, with written authorization from the
candidate (Civil Code §56.11), may be obtained
directly from the health professional.
(f) Psychological Evaluation Reporting Requirements
(1) Data from all sources of information shall be
considered; the evaluator’s determination shall not
be based on one single data source unless clinically
justified.
(2) The evaluator shall provide the department with a
psychological suitability declaration that shall
include the following information:
(A) The evaluator’s printed name, contact
information and professional license number,
(B) The name of the candidate,
(D) A statement, signed by the evaluator, affirming
that the candidate was evaluated in accordance
with Commission Regulation 1955. The statement
shall include a determination of the candidate’s
psychological suitability for exercising the powers
of a peace officer. Prior to appointment as a peace The candidate must be found psychologically
officer, the candidate must be determined to be suitable prior to appointment.
psychologically suitable.
3–38
Table 3.1 continued
(3) The department shall maintain the psychological

suitability declaration in the candidate’s background
investigation file; the declaration shall be available to
POST during compliance inspections.
(4) Any additional information reported by the evaluator
to the department shall be limited to that which is
necessary and appropriate, such as the candidate’s
job-relevant functional limitations, reasonable
accommodation requirements, and the nature and
seriousness of the potential risks posed by the
candidate. All information deemed medical in nature
shall be maintained as a confidential record,
separate from the background investigation file.
(5) Information from the psychological evaluation may be
provided to others involved in the hiring process, if it is
relevant to their respective determinations of candidate
suitability.
(g) Second Opinions
(1) A candidate who is found psychologically unsuitable has
the right to submit an independent evaluation for
consideration before a final determination of
disqualification is made [2 CCR §11071(b)(2)].
Second opinion evaluators should meet the same
Consideration should include determining whether the
requirements and be provided the same
second opinion evaluator meets the requirements set
information as the initial screening psychologist.
forth in Government Code section 1031(f) and Regulation
1955(b).
(2) When a candidate notifies the department that s/he is
seeking an independent opinion, the department shall
make available the peace officer duties, powers,
demands, and working conditions and the requirements
specified in Commission Regulation 1955. Other
information, such as specific procedures or findings from
the initial evaluation, may be shared with the second-
opinion evaluator at the discretion of the department. The
means for resolving discrepancies in evaluations is at the
discretion of the department, consistent with local
personnel policies and/or rules.

Table 3.1 continued

PUBLIC SAFETY DISPATCHERS

Penal Code §13510
(c) For the purpose of raising the level of competence of local public PC 13510 authorizes POST to establish minimum
safety dispatchers, the commission shall adopt, and may from standards for public safety dispatchers whose
time to time amend, rules establishing minimum standards employers participate in the POST public safety
relating to the recruitment and training of local public safety dispatcher program.
dispatchers having a primary responsibility for providing
dispatching services for local law enforcement agencies …which
standards shall apply to those cities, counties, cities and
counties, and districts receiving state aid …
These standards also shall apply to consolidated dispatch
centers operated by an independent public joint powers
agency … when providing dispatch services to the law
enforcement personnel…"primary responsibility" refers to the
performance of law enforcement dispatching duties for a
minimum of 50 percent of the time worked within a pay
period.
(d) Nothing in this section shall prohibit a local agency from

establishing selection and training standards that exceed the
minimum standards established by the commission.
Minimum Selection Standards for

Public Safety Dispatchers
Commission Regulations 1956–1960
Regulation 1956:
Public Safety Dispatcher Selection Requirements
(a) The purpose of these regulations is to set forth the minimum
public safety dispatcher selection standards as authorized by
PC §13510(c). Public safety dispatcher training requirements
are addressed separately in Commission Regulation 1018(c).
All POST documents and forms mentioned in these
regulations are available on the POST website
(www.post.ca.gov).
(1) Every department and/or independent communications
agency (hereinafter referred to as “department”) that
participates in the POST Public Safety Dispatcher
Program shall ensure that every “public safety
dispatcher candidate” as defined in subsection 1956(b)
satisfies all minimum selection requirements specified
in the following regulations:
• Verbal, Reasoning, Memory, and Perceptual Abilities
Assessment (Regulation 1957)
• Oral Communication Assessment (Regulation 1958)
• Background Investigation (Regulation 1959)
• Medical Evaluation (Regulation 1960)
3–40
Table 3.1 continued
(2) All requirements specified in these regulations shall be

satisfied prior to the date of appointment as a public
safety dispatcher.
(b) Public Safety Dispatcher Candidate Definition.

For purposes of these regulations, a “public safety
dispatcher candidate” is any individual who applies for a
full-time or part-time position that involves receiving
emergency calls for law enforcement service and/or
dispatching law enforcement personnel. This includes any
individual who applies for a public safety dispatcher
position with a POST-participating department regardless
of the individual’s prior public safety dispatcher
experience either at that department or a different
department within the same city, county, state, or district.
(c) Exceptions.
For purposes of these regulations, individuals described in
this section are not considered “public safety dispatcher
candidates” and are therefore exempted from Regulations
1957-1960.
(1) The department has sole responsibility for determining
what, if any, assessments are necessary for a public
safety dispatcher who:
(A) Is employed by a department that, through
reorganization, is merged with another
department within the same city, county, state
or district, if documentation is available for
inspection verifying that the dispatcher was
hired in accordance with the POST requirements
in effect at the time of hire.
Effective April 1, 2018, dispatchers reappointed to
(B) Is reappointed to the same POST-participating the same department within 180 days of a
department within 180 days of voluntary voluntary separation are not subject to these
separation. regulations.
(2) For a public safety dispatcher who has been mandatorily
reinstated to the department, the department shall:
(A) Report the reinstatement to POST through the
Official documentation of the reinstatement must
submittal of a Notice of Appointment/Termination,
be submitted with the NOAT.
POST 2-114, indicating a correction to record,
together with a copy of the official reinstatement
documentation [Commission Regulation
1003(b)(2)];
(B) Resubmit the dispatcher’s fingerprints to the
California Department of Justice (DOJ) and the
Federal Bureau of Investigation (FBI) to obtain
criminal record results. Fingerprints do not need to
be resubmitted if the dispatcher was never
removed from the department’s personnel files of
the DOJ or FBI.
(3) A peace officer who is assigned to dispatcher duties.

Table 3.1 continued

(d) Adoption of Additional Requirements and/or Higher Additional screening requirements (e.g., detection
Standards. of deception examinations, psychological
evaluation) are the responsibility of the
The requirements described herein serve as minimum selection department, based on their dispatchers’ job
requirements. Per Penal Code §13510(d), the adoption of more functions, responsibilities, and demands.
rigorous requirements, higher standards, additional assessments,
and/or more in-depth evaluations than those stated in these
regulations is at the discretion of the employing department.
Regulation 1957:
Public Safety Dispatcher Verbal, Reasoning,
Memory, and Perceptual Abilities Assessment
(a) Every public safety dispatcher candidate shall demonstrate For the purposes of satisfying Regulation 1957,
verbal, reasoning, memory, and perceptual abilities at levels verbal, reasoning, memory, and perceptual
necessary to perform the job. Satisfactory completion of this abilities, test scores:
requirement may occur at any time prior to appointment, and  Are transportable
shall be demonstrated by one of the following:
 Have no shelf life
(1) Completion of the POST Entry-Level Dispatcher  Have no POST-mandated cut score
Selection Test Battery or alternative job-related tests of Possession of a POST-issued Public Safety
these abilities, administered by either the hiring Dispatcher Basic Certificate will meet this
department or another entity, with a score deemed requirement.
acceptable by the hiring department. All tests must
include assessments of the following:
(A) Verbal. This ability includes written and oral

comprehension (the ability to read passages and
listen to orally-imparted information and retrieve
facts, draw conclusions, and derive meaning); and
written expression (the ability to use language to
convey information clearly in writing).
(B) Reasoning. This ability includes at least one of the
following:
1. Deductive reasoning - the ability to apply
general rules to specific problems to attain
logical answers, or
2. Information ordering - the ability to correctly
follow a given rule or set of rules to arrange
things or actions in a certain order.
(C) Memory. This ability includes the capacity to store
and retrieve facts, details, and other information.
(D) Perceptual. This ability includes speed and
accuracy (the ability to quickly and accurately
compare letters and numbers presented orally and
in written form); and time sharing (the ability to
shift back and forth between two or more sources
of information, both written and orally-imparted, in
performing a task or set of tasks).
3–42
Table 3.1 continued
(2) Proof of possession of a valid California POST Public

Safety Dispatcher Basic Certificate.
(3) Proof of successful completion of the POST-certified
Public Safety Dispatcher Basic Course (80 hours
minimum) and completion of probation as a public
safety dispatcher during previous employment.
(b) A department that uses the POST Entry-Level Dispatcher
Selection Test Battery must have a current Test Use and
Security Agreement, herein incorporated by reference, on file
with POST.
Regulation 1958:
Public Safety Dispatcher Oral Communication
Assessment
Every public safety dispatcher candidate shall participate in an
oral interview or other measure of oral communication abilities to
determine suitability for public safety dispatcher service. The oral
communication assessment shall be conducted prior to a
conditional offer of employment (COE).
Regulation 1959:
Public Safety Dispatcher Background
Investigation
(a) Requirement
Every public safety dispatcher candidate shall be the subject
of a thorough background investigation in order to verify the
absence of past behavior indicative of unsuitability to perform
public safety dispatcher duties.
(b) Background Investigation Evaluation Criteria
The POST Background Investigation Manual: Guidelines for
the Investigator provides assistance in conducting This manual provides guidance and therefore is
background investigations. The use of the manual is not intended to add other requirements over and
discretionary; except for the POST Background Investigation above those specified by the regulations described
Dimensions described in the manual which are herein here. However, the POST Background Dimensions
incorporated by reference - Integrity, Impulse (Chapter 2) must be assessed during the
Control/Attention to Safety, Substance Abuse and Other Risk- investigation.
Taking Behavior, Stress Tolerance, Confronting and
Overcoming Problems, Obstacles, and Adversity,
Conscientiousness, Interpersonal Skills, Decision-Making and
Judgment, Learning Ability, and Communication Skills - shall
be considered in the conduct of every public safety
dispatcher background investigation.
(c) Personal History Statements
Every public safety dispatcher candidate shall complete, sign,
and date a personal history statement at the onset of the The POST PHS can be downloaded at
background investigation. A personal history statement can http://post.ca.gov/forms.aspx. Departments who
be either the POST Personal History Statement – Public wish to modify the POST PHS for their use can
Safety Dispatcher, POST 2-255 or an alternative personal request an unprotected version of the form by e-
history statement. An alternative personal history statement mailing POST at [email protected].
shall include: personal identifying information, relatives
and references contact information, education history,

Table 3.1 continued

residence history, experience and employment history,

military history, financial history, legal history, driving
history, and other topics related to moral character.
(d) Collection of Background Information: Pre- and Post - Information on the sequencing of public safety
Conditional Offer of Employment dispatcher background investigations is provided in
Chapter 4: “The Background Investigation Process.”
(1) Pre-Offer. Prior to the extension of a conditional offer of
employment (“pre-offer”), no part of the background
investigation shall be conducted that is deemed medical or
otherwise subject to state or federal pre-offer inquiry
prohibitions [EEOC’s ADA Enforcement Guidance:
Preemployment Disability-Related Questions and Medical
Examinations, (1995)]. Non-medical inquiries and other
parts of the background investigation that are not subject
to these prohibitions shall be conducted pre-offer, except
as noted in 1959(d)(2) below.
(2) Post-Offer. Background information that cannot be legally

or practicably obtained prior to a conditional offer of
employment may be acquired and evaluated after the offer
has been extended (“post-offer”). At the post-offer stage,
background investigators, examining physicians, and
others involved in the hiring decision shall work
cooperatively to ensure that each has the information
necessary to conduct their respective investigations
and/or assessments of the candidate.
(e) Areas of Investigation
(1) Employment Eligibility

(A) Every public safety dispatcher candidate shall
be legally eligible for employment in the United
States.
(B) Proof of employment eligibility shall consist of an
official government-issued U.S. birth certificate,
naturalization documentation, U.S. passport, current
permanent resident alien card, or other
documentation deemed acceptable by POST. The
document shall be an original, a certified copy, or a
copy that includes a notation by the investigator that
the original or certified copy was reviewed.
(2) Criminal Record Checks - Local, State, and National

Every public safety dispatcher candidate shall be the
subject of a criminal record search at local, state, and
national levels.
(A) Local searches shall include inquiries with local law

enforcement agencies where the individual has lived,
worked, attended school, or frequently visited. Proof
of local searches shall be documented by a letter
or other written documentation from each agency
3–44
Table 3.1 continued
contacted. If a contacted agency does not provide

written documentation, the request for information
shall be noted..
(B) A state search shall include forwarding the
candidate’s fingerprints to the California Department
of Justice (DOJ) to obtain criminal record results.
Proof of a state search shall be documentation
issued by the DOJ consisting of an official
clearance return. The authorization shall be
relevant to the public safety dispatcher position
and shall have been generated no more than one
year prior to the date of appointment.
(C) A national search shall include forwarding the

candidate’s fingerprints to the Federal Bureau of
Investigation (FBI).
Proof of a national search shall consist of an
official clearance from the FBI. The clearance shall
be relevant to the public safety dispatcher position
and shall have been generated no more than one
year prior to the date of appointment.
(3) Driving Record Check

(A) Every public safety dispatcher candidate’s driving
history, if any, shall be checked to determine the
candidate’s driving record and adherence to the law.
(B) Proof of the driving history check shall consist of a

written driving record history from the Department
of Motor Vehicles or other official driving record.
The record shall be dated no more than one year
prior to the date of appointment.
(4) Education Verification

(A) Every public safety dispatcher candidate’s
educational history shall be investigated to verify
the information provided on the personal history
statement and as a measure of conscientiousness,
learning ability, and other aspects of character.
(B) Proof shall consist of an official transcript or other
means of verifying educational history deemed
acceptable by POST. The document shall be an
original, a certified copy, or a copy that includes a
notation by the investigator that the original or
certified copy was reviewed.
(5) Employment History Checks

(A) Every public safety dispatcher candidate shall be
the subject of employment history checks through
contact with all past and current employers over
the period of the past ten years, as listed on the
personal history statement.

Table 3.1 continued

(B) Proof of the employment history check shall be

documented by a written account of the information
provided and source of that information for each
place of employment contacted. All information
requests shall be documented.
(6) Relatives/Personal References Checks

the subject of reference checks through contacts
and interviews with relatives, including former
spouses, and personal references listed on the
candidate’s personal history statement. Additional
references, provided by the initial contacts, shall
also be contacted and interviewed to determine
whether the applicant has exhibited behavior
incompatible with the position sought. Agencies
shall collect and review sufficient information to
determine candidate suitability.
(B) Proof of reference checks shall be documented by
written information showing that relatives and
personal references identified by the candidate
were interviewed. Documentation shall include the
identity of each individual contacted, the contact’s
the information provided by the contact. All
(7) Dissolution of Marriage Check

(A) Every public safety dispatcher candidate who
indicates one or more marriage dissolutions on the
personal history statement shall have his/her court
issued dissolution documents and legal separation
decrees reviewed as an indication of personal
integrity, financial responsibility, and other relevant
aspects of candidate suitability.
Documentation is required on all individuals
(B) Proof of the dissolution/separation of marriage who have experienced a marriage dissolution/
check shall be documented by a copy of all final separation, even for those who have not
court-issued dissolution documents and legal subsequently remarried.
separation decrees.
(8) Neighborhood Checks

the subject of contacts and interviews with current
and, where practicable, previous neighbors to
determine whether the candidate has exhibited
behavior incompatible with the position sought.
(B) Proof of neighborhood checks shall be

documented by written information showing the
identity of each neighbor contacted, the neighbor’s
the information provided by the individual. All
3–46
Table 3.1 continued
(9) Military History Check

(A) When applicable, a candidate shall be required to
present proof of Selective Service registration or
military service records.
(B) Proof of a military history check shall consist of
written verification of Selective Service registration,
except for women or any man born prior to
January 1, 1960. For any candidate who indicates
military history on the personal history statement,
proof shall consist of an official copy of their DD-
214 long form or equivalent documentation of
foreign military service, if available.
(10) Credit Records Check.

the subject of a credit record search with a bona
fide credit reporting agency (i.e., Experian,
TransUnion, Equifax) to determine the candidate’s
credit standing with lenders, as an indication of the
candidate’s dependability and integrity.
(B) Proof of a credit record check shall be documented
by an official credit report returned by one of the
bona fide credit reporting agencies. The report
shall have been created no more than one year
prior to the date of appointment.
(f) Background Investigation Updates

(1) Eligibility
(A) If a public safety dispatcher was initially investigated
in accordance with all current requirements and the
results are available for review, a background
investigation update, as opposed to a complete new
background investigation, may be conducted for
either of the following circumstances:
1. The public safety dispatcher candidate is
being reappointed to the same POST-
participating department, or
2. The public safety dispatcher candidate is
transferring, without a separation, to a different
department; however, the new department is
that maintains a centralized personnel and
background investigation support division.
(2) Update Requirements

(A) A new personal history statement [Regulation
1959(c)] with updated information covering the
period from the last personal history statement to
the current date shall be completed by the public
safety dispatcher candidate.

Table 3.1 continued

(B) The department shall conduct investigations of all

new information reported by the candidate on the
new personal history statement.
1. For candidates who are being reappointed to
the same department per Regulation
1959(f)(1)(A)(1), the new background
investigation shall cover the period since the
candidate separated from the department.
2. For candidates who are transferring, without
a separation, to a different department
per Regulation 1959(f)(1)(A)(2), the new
background investigation shall cover the
period since the date the previous
background investigation was completed.
(C) Any area of investigation for which there is updated
information shall be addressed in the updated
background investigation. This shall minimally
include a new: 1) Local Criminal Record Check,
2) State and National Criminal Check, unless there
is written attestation that the candidate was never
removed from the department’s personnel files
of the DOJ or FBI, 3) Driving Record Check, and
4) Credit Record Check.
(D) Updated background investigation documentation

shall be maintained with the initial background
investigation documents.
(E) If the original background investigation was

conducted within one year from the date of
reappointment, it is not necessary to update
criminal record checks, driving record check, or
credit check.
(g) Documentation and Reporting
(1) Background Narrative Report. The background

investigator shall summarize the background
investigation results in a background narrative report
that includes sufficient information for the reviewing
authority to extend, as appropriate, a conditional offer
of employment. The report, along with all supporting
documentation obtained during the course of the
background investigation, shall be included in the
candidate’s background investigation file. The
supporting documents shall be originals or true, current
and accurate copies as attested to by the background
investigator. The background investigation file shall be
made available during POST compliance inspections.
(2) Retention. The background narrative report and
supporting documentation shall be retained in the
individual’s background investigation file for as long
3–48
Table 3.1 continued
as the individual remains in the department’s employ.

Additional record retention requirements are described
in Government Code §12946.
(3) Information Access. The information shall be shared Access to background investigation files is a
with others involved in the hiring process, such as the complex legal area impacted by both state and
screening physicians and psychologists, if it is relevant federal law. The department’s legal counsel should
to their respective evaluations. There is a duty and/or be consulted for specific guidance.
legal obligation to furnish this information to those
conducting mandated background investigations of
public safety dispatcher candidates on behalf of other
public safety dispatcher agencies, except as specifically
provided by statute (GC §6250 et seq., Labor Code
§1050, LC §1054, O’Shea v. General Telephone Co.
(1987) 193 Cal. App 3d 1040). This information shall
only be utilized for investigative leads and the
information shall be independently verified by the
acquiring department to determine the suitability of the
public safety dispatcher candidate.
Regulation 1960:
Public Safety Dispatcher Medical Evaluation
(a) Evaluator Requirements
Every public safety dispatcher candidate shall be evaluated to
determine if the candidate is free from any physical (i.e.,
medical) condition that might adversely affect the ability to
perform the duties of a public safety dispatcher. The
evaluation shall be conducted on behalf of and for the benefit
of the employing department by a licensed physician or a
licensed health care professional under the supervision of a
licensed physician.
(b) Timing of the Medical Evaluation

The medical evaluation shall commence only after the
department has extended a conditional offer of employment
to the public safety dispatcher candidate. The medical
evaluation must be completed within one year prior to date of
appointment. A new medical evaluation shall be conducted
on public safety dispatcher candidates who are reappointed
to the same department, unless the prior evaluation occurred
within one year of the date of reappointment.
(c) Medical Screening Procedures and Evaluation Criteria

The medical screening procedures and evaluation criteria used in The physician must be provided with a medically-
the conduct of the medical evaluation shall be based on the relevant description of the hiring department’s
public safety dispatcher duties, demands, and working public safety dispatcher position.
conditions as defined by the department. This information shall
be provided to the physician, along with any other information The department is responsible for establishing
(e.g., risk management considerations) that will allow the medical screening standards.
physician to make a medical suitability determination.

Table 3.1 continued

(d) Required Sources of Information for the Medical Evaluation

The medical evaluation shall include a review of the following
sources of information prior to making a determination about
the candidate’s medical suitability.
(1) Job Information. Job information shall consist of the public

safety dispatcher duties, demands, and working conditions
provided by the department per Regulation 1960(c).
(2) Medical History Statement. Prior to the medical POST 2-264 can be downloaded at
evaluation, every public safety dispatcher candidate shall http://post.ca.gov/forms.aspx.
complete, sign, and date a medical history statement. The
POST Medical History Statement – Public Safety
Dispatcher, POST 2-264 can be used for this purpose, or
an alternative form that includes inquiries about past and
current medical conditions and procedures, physical
symptoms, limitations, restrictions, and the use of
medications and drugs.
(3) Medical Records. Medical records shall be obtained

from the candidate’s treating physician or other
relevant health professional, if warranted and
obtainable. This information may be provided by the
candidate, or, with written authorization from the
candidate (Civil Code §56.11), may be obtained directly
from the health professional.
(e) Medical Evaluation Reporting Requirements

(1) A medical suitability declaration shall be submitted to Section 2 of the POST Medical Examination Report
the department that includes the following information: (2-265) provides a sample medical suitability
declaration.
(A) The physician’s printed name, contact information
and medical license number,
(B) The candidate’s name,
(D) A statement, signed by the physician, affirming that
the candidate was evaluated in accordance with
Commission Regulation 1960. The statement shall
include a determination of the candidate’s medical
suitability for performing as a public safety dispatcher.
(2) The department shall maintain the medical suitability
declaration in the candidate’s background investigation
file; the declaration shall be available to POST during
compliance inspections.
(3) The physician shall provide any additional information to

the department that is necessary and appropriate for the
hiring department, such as the candidate’s job-relevant
functional limitations, reasonable accommodation
requirements, and potential risks posed by detected
medical conditions. All information deemed medical in
nature shall be maintained as a confidential medical
record, separate from the background investigation file.
3–50
Table 3.1 continued
(4) The POST Medical Examination Report – Public Safety The Medical Examination Report (POST 2-265)
Dispatcher, POST 2-265 is available for use in reporting can be downloaded at
this information; however, its use is discretionary. http://lib.post.ca.gov/Publications/2-
265MedicalExamReport.doc
(5) Information from the medical evaluation may be
provided to others involved in the hiring process, if it is
relevant to their respective determinations of candidate
suitability.
(f) Second Opinions

A candidate who is found medically unsuitable has the right to
submit an independent evaluation for consideration before a
final determination of disqualification is made [2 CCR
§11071(b)(2)]. When a candidate notifies the department
that s/he is seeking an independent opinion, the department
shall make available the public safety dispatcher duties,
demands, and working conditions and the medical screening
requirements specified in Commission Regulation 1960.
Other information, such as specific procedures or findings
from the initial evaluation, may be shared with the second-
opinion evaluator at the discretion of the department. The
means for resolving discrepancies in evaluations is at the
discretion of the department, consistent with local personnel
policies and/or rules.

Table 3.2
SUMMARY OF POST PEACE OFFICER SELECTION STANDARDS:
REGULATIONS 1950–1955
1950: General Requirements
• All selection requirements must be satisfied prior to appointment.
• The same requirements apply to all officers, regardless of rank, including reading and writing
assessment for reserve officers.
• The department has sole responsibility for determining what if any assessments are necessary
for officers who:
— change peace officer classifications, including from reserve to regular officer.
— are inherited from another agency within the same city, county, state, or district, as a result of a
merger.
— return to the same department within 180 days of a voluntary separation.
• Reinstated officers are exempt from POST selection requirements; however, the department must
submit a Notice of Appointment/Termination and the documentation mandating the reinstatement to
POST, submit fingerprints to DOJ and FBI, obtain evidence of citizenship, if appropriate, and perform
DMV check.
• Publicly elected peace officers are exempt from POST selection requirements.
• Local agencies have the right to implement more rigorous requirements, additional standards, and
assessments as they see fit.
1951: Reading and Writing Ability

• Reading and writing test scores are transportable across agencies and have no shelf life.
• The POST Entry-Level Law Enforcement Test Battery or other professionally developed and validated
test of reading and writing ability can satisfy this requirement.
• The agency establishes own cut score or other acceptable demonstration of reading and writing ability.
• Reading and writing ability assessment required for reserve officers.
• Agencies using POST Entry-Level Law Enforcement Test Battery must have security agreement on file.
• Completion of the RBC, SIBC or Basic Course Waiver will satisfy this requirement.
1952: Oral Interview

• Use of POST Interview Guide is discretionary; however, the POST interview factors must be assessed.
• The interview must take place pre-offer.
1953: Background Investigation

• Use of POST background investigation manual is discretionary; however, the POST background
dimensions must be assessed.
• Per GC §1031.2 nonmedical or non-psychological background information may be collected after a
COE, including
— official documents that cannot be obtained and evaluated in a timely manner during the pre-offer
period
• Background investigators, screening physicians, and psychologists must work together, as necessary,
for each to make their respective assessments of the candidate’s suitability.
3–52
Table 3.2 continued
1953: Background Investigation continued
• Specific, detailed documentation criteria (including shelf life) provided for each area of investigation.
• GC §1031(e) broadens the criteria for satisfying the educational requirement.
• Investigation of marriage dissolution/separation includes those individuals who have not remarried.
• Allows abbreviated background updates (consisting of only areas where information might have
changed) for officers who:
— are reappointed to the same agency, or
— transfer to a different agency within the same city, county, state, or district, or
— are interim chiefs of police moving between departments (specific provisions apply)
• Background report must be sufficient to support a hiring decision.
• Background reports must be retained throughout the officer’s tenure at that agency, and in compliance
with other record retention statutes.
• Requires access to background reports by POST and other law enforcement agencies who are
conducting background investigations of the candidate.
• Requires sharing of information with screening psychologists and others involved in the hiring process,
as necessary.
1954: Medical Evaluation

• Physicians conduct evaluations on behalf of the hiring agency (vs. the candidate).
• Local agencies are responsible for developing medical screening procedures and criteria based on their
peace officers’ powers, duties, demands, and working conditions.
• Use of the POST Medical Screening Manual is discretionary.
• Agencies must communicate the powers, duties, demands, and working conditions to the physician.
• Results of medical examination are valid for one year.
• Physicians must request information from treating physicians or other relevant health professionals, if
warranted and obtainable.
• The determination of the candidate’s medical suitability must be made by the physician.
• The medical suitability declaration must be in the background investigation file.
• The physician may report additional information beyond the suitability determination as necessary and
appropriate.
• Medical information must be kept in a separate, confidential medical file.
• Second-opinion rights of medically-rejected candidates per CCR 11071(b)(2). POST requirement that
agencies provide relevant job information to candidates’ second opinion evaluators, upon request.
Ultimate manner of resolving differences rests with the hiring agency.
continues

Table 3.2 continued

1955: Psychological Evaluation
• The purpose of the psychological examination is to determine whether the candidate is “psychologically
capable of exercising the powers of a peace officer and withstanding the psychological demands of the
position.”
• Screening psychologists must meet POST Continuing Professional Education (CPE) requirements, and
be familiar with relevant research literature and state and federal law.
• Psychologists conduct evaluations on behalf of the hiring agency (vs. the candidate).
• Local agencies are responsible for developing psychological screening procedures and criteria based
on the peace officer powers, duties, demands, and working conditions.
• Agencies must communicate the powers, duties, demands, and working conditions to the
psychologists.
• Candidates must be assessed against the POST Peace Officer Psychological Screening Dimensions as
found in Chapter 4 of the POST Peace Officer Psychological Screening Manual.
• Results of psychological examination are valid for one year.
• Psychologist must review relevant work, life and developmental history based on information collected
during the background investigation.
• Psychological interview must cover issues arising from review of written assessments, background
issues, treatment records (if available), and other relevant information.
• Psychologists must request information from treating health professionals, if warranted and obtainable.
• Information from all sources must be considered in the determination of psychological suitability.
• The determination of the candidate’s psychological suitability must be made by the psychologist.
• The psychological suitability declaration must be in the background investigation file.
• The psychologist may report additional information beyond the suitability determination as necessary
and appropriate.
• Any medical information must be kept in a separate, confidential medical file.
• Second-opinion rights of psychologically-rejected candidates per CCR 11071(b)(2). Second opinion
psychologist should meet POST CPE requirements. Agencies must provide relevant job and background
information to candidates’ second opinion evaluator, upon request. Ultimate manner of resolving
differences rests with the hiring agency
3–54
Table 3.3
SUMMARY OF POST PUBLIC SAFETY DISPATCHER SELECTION STANDARDS:
1956: General Requirements

• The general requirements for dispatcher selection mirror those for peace officers.
1956(c): Exceptions
• Reinstated dispatchers are exempt from POST selection requirements; however, the department must
submit a Notice of Appointment/Termination to POST with official reinstatement documentation, and
fingerprints to DOJ and FBI.
• Dispatchers returning to the same department within 180 days of a voluntary separation are exempt.
1957: Verbal, Reasoning, Memory, and Perceptual Abilities

• Verbal, reasoning, memory and perceptual ability test scores are transportable across agencies and
have no shelf life.
• The agency establishes own cut score or other acceptable demonstration of verbal, reasoning,
memory, and perceptual ability.
1959: Background Investigation

Required areas of investigation include:
• Employment Eligibility: Citizenship, permanent resident alien or other employment authorization (as
required by USCIS Form I-9)
• Education Verification: No minimum requirement (can be used to verify the accuracy of what is reported on
the PHS and as a measure of several POST background dimensions – e.g., learning ability)
• Employment History Checks: Self-explanatory
• Relatives/Personal References Checks: Self-explanatory
• Dissolution of Marriage Check: For the same reasons as peace officer requirement
• Military History: For the same reasons as peace officer requirement
• Credit Records Check: As important for dispatchers as peace officers, since they have access
to CLETS
1960: Medical Evaluation

• The evaluation must be conducted by a licensed physician or a licensed health care professional
under supervision of a licensed physician.
• The evaluation must be conducted on behalf of the department.
• Local agencies are responsible for developing medical screening procedures and criteria based on
their dispatchers’ duties, demands, and working conditions.
• Agencies must communicate the duties, demands, and working conditions to the physician.
• Results of medical evaluation are valid for one year.
• Physicians must request information from treating physicians or other relevant health professionals, if
warranted and obtainable.
continues

Table 3.3 continued

SUMMARY OF POST PUBLIC SAFETY DISPATCHER SELECTION STANDARDS:
1960: Medical Evaluation continued
• Medical history information must be collected from the candidate using the POST Medical History
Statement (2-264) or alternative form.
• The determination of the candidate’s medical suitability must be made by the physician and reported to
the department using the POST Medical Examination Report (2-265) or alternative form.
• The medical suitability declaration must be in the background investigation file.
• The physician may report additional information beyond the suitability determination as necessary and
appropriate.
• Any medical information must be kept in a separate confidential medical file.
• Second-opinion rights of medically-rejected candidates per CCR 11071(b)(2). POST requirement that
agencies provide relevant job information to candidates’ second opinion evaluators, upon request.
Ultimate manner of resolving differences rests with the hiring agency.
3–56
Content
Chapter 4
THE BACKGROUND INVESTIGATION PROCESS
PRIOR TO INITIATING THE INVESTIGATION

Before beginning the investigation, the investigator should be fully familiar with the laws and
regulations associated with the conduct of backgrounds. Investigators are strongly advised to
complete POST-certified background investigation courses as described in Chapter 1.
Investigators also need to understand local policies and ordinances, agency standards, and their
agency’s needs and philosophy regarding the background investigation process. They need the
ground rules regarding the resources (both human and other) committed to this process, and a
full understanding of what is expected of background investigators.
Agency procedures, resources, and priorities will have a significant impact on the manner in
which background investigations can be conducted, including:
1) The amount of time available to complete the investigation,
2) The resources available for conducting background investigations,
3) Whether background investigations are a full-time assignment or an ancillary duty,
4) The extent to which the agency has clearly defined background and hiring policies,
5) Availability of clerical support,
6) The agency’s policy regarding interactions between the background investigator and
others involved in the hiring process (i.e., the truth detection examiner, psychologist, or
medical doctor), and
7) The background investigator’s role in the hiring decision.
Investigators must also balance agency resources against the value of the background
information to be gained. Geography, logistics, staffing, funding, and urgency all have an
impact on available resources. The fewer resources available, the more important it is to
choose wisely when investing time and effort in a specific situation. Careful planning is
critical; investigators must learn to maximize the available time and personnel resources. For
example, driving halfway across the state to speak with a manager at the local fast food
restaurant where a candidate worked eight or nine years ago may not be a very productive
use of time.

THE BACKGROUND STEPS

The background investigation phases or “steps” are graphically represented in Figure 4.1 below.
These steps pertain to the investigations of both peace officers and public safety dispatchers;
however, the scope, depth, and necessity of a particular step may vary between these two
classifications.
Figure 4.1
THE BACKGROUND INVESTIGATION PROCESS
Step 1 Preparation of the packet
Step 2 Meet with candidate to explain the packet
Step 3 Review the Personal History Statement and

other completed/returned materials
Step 4 The initial background interview
Step 5 Collect and submit candidate fingerprints
Step 6 The investigative process
Step 7 Detection of deception examinations
Step 8 Discrepancy interview
Step 9 Report and background packet preparation
Agencies have considerable latitude in how these steps are ordered and implemented, and even
whether certain steps (e.g., discrepancy interviews) are performed at all. However, federal and
state laws do restrict when certain phases of the hiring process can or must be conducted. As
discussed in the previous chapter, medical and psychological examinations must be conducted
post-offer. The sequencing of the background investigation with respect to the conditional offer of
employment was discussed in the previous chapter, and will be revisited later in this chapter.
4–2
Step 1
Preparation of the Packet
The precise composition of a background packet will vary from agency to agency, based on
department policies, guidance from the agency’s legal counsel, and consultation with the
agency’s human resources or personnel department. At a minimum, the packet should include:
• Agency-specific information - hiring requirements and policies, detailed instructions, etc.
• A personal history statement27 (e.g., POST Forms 2-251/2-255 or local agency alternative)
that the candidate must complete and return
• A list of documents (birth certificates, high school transcripts, etc.,) that the candidate is
expected to furnish (and how and when they are to be furnished)
• Multiple waivers and authorization forms, such as:
— advisements regarding false statements (sample B.2 in Appendix B),
— lateral advisements (samples B.3 and B.4 in Appendix B), and
— authorization forms for release of information (samples provided in Appendix B).
NOTE: Actual agency advisements and forms should be on current department letterhead,
reviewed by legal counsel, and notarized as necessary.
• Credit Advisement Form [to comply with the Fair Credit Reporting Act (15 USC §1681)] and
the California Consumer Credit Reporting Agencies Act (Civil Code §1785.20 and
§1785.20.5).
• If a contract investigator is to be used, appropriate Investigative Consumers Reporting
Agencies Act (ICRAA) forms should be included. (Note: This is a legally complex subject.
Investigators should never attempt to devise the forms for this specific use without very
careful guidance from their agency’s legal counsel.)
• Additional forms (e.g., blank supplementary questionnaires, child abuse and adult abuse
reporting statements, drug policies, etc.).
Labor Code §432 specifies that applicants are entitled, upon request, to copies of all application
documents that they sign.
Investigators are unlikely to be charged with the responsibility for developing a background
packet. Departmental forms, including blank waivers, are important documents which require the
review and concurrence of the chain of command and the agency’s legal counsel. Even the
format/layout of official correspondence is commonly specified by the department head.
However, investigators must bear responsibility for ensuring that departmental information is
current and contains up-to-date contact information.
It is useful to maintain complete background packets for potential candidates. More efficient still,
these packets can be placed on-line or on a flash drive. There are many advantages to electronic
packets. First, needed changes can be effected quickly and the warehousing of blank packets is
minimized. (Note that the POST PHS forms are on-line.) Copies of these forms for candidates can
easily be reproduced from this packet. Second, maintaining electronic packets allows the
investigator to personalize each packet. By simply “searching and replacing,” proper dates,
names, and other needed identifying data can be inserted. Third, keeping an electronic master
27 The POST Personal History Statement is referenced throughout this chapter; however, other alternative personal history
statements are acceptable.

packet minimizes the likelihood that a needed form will be overlooked or misplaced from a hard-
copy file. Fourth, if changes occur in the law, it is simple to update the file, rather than engage in
the tedious process of replacing outdated items in an already-printed inventory.
Step 2
Meet with Candidate to Explain the Packet
It is a good idea to meet with the candidate to present the background packet personally. By
explaining each item in the packet, communication between the candidate and t he
investigator is fostered and confusion can be avoided. Investigators who question the need for
this step do well to remember their own surprise when, as a candidate, they were first handed
a background packet. Candidates for employment as a peace officer or public safety
dispatcher may never have been confronted with such a comprehensive application
document.
At this initial meeting, agency-specific requirements or policies can be discussed and each
section of the Personal History Statement can be reviewed, emphasizing the need to be honest,
thorough, and complete. The list of required documents should be reviewed as well. An agreed-
upon time can be established for the candidate to return the completed documents. The
investigator and candidate should exchange contact information, including cell phone numbers
and e-mail addresses.
Note that, although LC §450 prohibits employers from charging applicants for submitting job
applications and related expenses, this statute may not pertain to costs borne by candidates for
obtaining their own personal, official documents (e.g., transcripts, birth certificate). Therefore, it
may be permissible to require candidates to pay and be responsible for acquiring these
documents.
Step 3
Review the Personal History Statement and Other
Completed/Returned Materials
Once the candidate has completed a background packet, the investigator should review the
submitted materials. The completed Personal History Statement should be reviewed to establish
that there are no immediately disqualifying factors (e.g., felony conviction for peace officer
candidates, lack of position-appropriate citizenship, admitted current illegal drug use, etc.). Notes
should be made of responses and issues that require attention in the earliest steps of the
investigation, including during an initial background interview.
It is permissible to make copies of passports, Certificates of Naturalization, and other official

documents to include in the background investigation file (Note: Only copies made with the
intent to defraud are prohibited by law). Copies should include a notation that the original or
certified copy was inspected, the date of inspection, and the signature of the investigator.
4–4
DOCUMENT ANALYSIS
A typical background investigation may include 50 or more pages of documents, ranging from the
Personal History Statement to copies of various releases to vital statistics documents, transcripts,
credit reports, criminal histories, etc. The verification of all these documents can be challenging at
best.
The analysis of original documents is far preferable to facsimile reproductions. The candidate
should be required to bring original documents (or, in some cases, certified copies) to the
investigator. If necessary, duplicates can be made and the originals returned to the individual. If
copies are made, the investigator should make a note that the originals were reviewed.
In general, there are three issues that must be addressed when analyzing a document:
1) Is it authentic? Does it look real?
2) Is the information consistent with other claims made by the candidate,
and the information already submitted or uncovered in the background?
3) Is it sufficient, that is, does it provide legally acceptable proof?
If in doubt about a given document, the best advice is to check with the originating source. Virtually
any official document can be verified by the agency or institution of issuance. However, this can be
a very time-consuming process; therefore, there are a few checks that investigators can initially do
themselves, for example:
1) the social security number provided can be matched against the number on the college
transcripts, credit report, and fingerprints,
2) the information on the driver license can be checked against the information on the official
driving record, and
3) the Selective Service registration number can be matched against the number obtained on-
line.
Most documents submitted by candidates are what they say they are. The most common types of
deficiencies involve documents that, although genuine, are not legally sufficient. Examples include:
• Ceremonial birth certificates from hospitals that, although real, are not legal birth certificates.
• School transcripts, although genuine, from unaccredited educational institutions.
• Credit reports that are real, but over one year old.
• Automobile liability insurance cards that are real but expired, or that do not name the
candidate as an insured.

Step 4
The Initial Background Interview
It is advisable to meet with the candidate to review the information. This interview may take place
either during or after the review of the information by the investigator. This initial background
interview allows the investigator to:
• affirm with the candidate that documents are true, correct, and up-to-date,
• explore reasons or explanations for curious, suspicious, or incomplete responses,
• correct truly inadvertent errors or oversights and,
• get an overall feel for the candidate.
If corrections are necessary, they can be made in one of several ways: 1) on a separate working
copy, thereby preserving the original; 2) on the original document, but only in a different color of
ink, or 3) by having the candidate submit supplementary sheets explaining each correction.
Available time and investigator’s/department’s preference dictate which of these options is best.
Agency policy will dictate the treatment and disposition of inaccurate or incomplete information.
Some agencies have a zero tolerance for such error, insisting upon a correct and complete
document the first time; others are more lenient.
Candidate responses that are vague, suspicious, or incomplete should be the focus of further
questioning. This process will provide valuable insight into where the likely problems are to be
found, thus allowing the investigator to begin prioritizing the focal points of the investigation.
It is recommended that this interview and all others be electronically recorded. Electronic
recordings can be a valuable back-up to the investigator’s memory, especially in the event that a
single investigator is handling multiple backgrounds. It also provides solid proof of what was
asked and the content and manner of the answers. Candidates must be informed that interviews
are being recorded.28
The initial background interview is also an ideal time to have candidates execute all the
necessary release and authorization forms. California law mandates that candidates be given,
upon request, a copy of any document that they sign.29 A signed, notarized, comprehensive, and
valid authorization for the release of information can offset the reluctance of contacts and
references to answer questions about others. Sample releases are provided in Appendix B;
however, it is critical that the agency’s legal counsel play an active role in the design, approval,
and/or use of these forms. Unless otherwise specified, authorizations for release of information
may only be valid for 30 days.30
There may be circumstances where time or distance simply will not permit a face-to-face meeting
between the investigator and the candidate. In this case, a telephone follow-up with the
candidate and/or an interview utilizing Skype, Facetime or other video calling service may be the
only means available.
28 Cal. Pen Code §632, et seq

29 Cal. Lab Code §432
30 Cal. Civ Code §1798.24(b) (specifying conditions of disclosure of information subject to the Information Practices Act).
Note that the Information Practices Act applies primarily to state agencies. Local agencies should check with their own
legal counsel to ensure compliance with other state and local laws.
4–6
INTERVIEWING
A very substantial part of the background investigation process consists of making contact
with a wide variety of individuals, including the candidates and their relatives, references,
acquaintances, neighbors, employers, military acquaintances and others. All these
individuals need to be interviewed, whether in writing, by telephone interview, or as a result
of a face-to-face meeting.
The background process can be intimidating and intrusive to these interviewees, especially
to the many candidates who have never experienced this depth of interrogation. Although
candidates must cooperate fully and openly with a lawful background investigation,
investigators are wise to remember that the best candidates are likely to have many choices
— law enforcement and otherwise. The interview should be seen as an opportunity to
represent the agency favorably in addition to uncovering job-relevant information.
With certain narrow exceptions, others who are contacted during the process are under no
obligation to cooperate; investigators must rely upon their good will to gather the needed
information. Unlike a criminal investigation, many people contacted in the course of a
background have no idea that they were going to be interviewed, nor do they have
expectations regarding the nature of the investigation. Many will be reluctant to answer
questions about others. The investigator’s skill in gaining the cooperation of others is critical.
The style and manner in which these individuals are approached and interviewed will very
often make the difference between success and failure.
There are many useful publications and resources dealing with the subject of interviewing,
as well as a POST-certified course on Interviewing and Interrogation. It is beyond the scope
of this manual to provide an in-depth discussion of effective interviewing. Presented below is
a brief overview of some of the more important aspects of interviews that have the most
direct bearing on the conduct of background investigation. Much of the information
presented here was adapted from POST’s “Interviewing Peace Officer Candidates: Hiring
Interview Guidelines (2009).”
PREPLANNING
By taking the time to prepare and ask job-related questions and focus the interview on
candidate qualifications, investigators maximize the use of the time spent in the interview
and send a powerful message to interviewees that they are serious about evaluating
candidates carefully and selecting the best person for the job. This positive message reflects
well upon the agency, and can prove to be an effective recruitment device, as candidates
appreciate employment practices that are thorough, job-related, and even-handed.
BEGINNING THE INTERVIEW

Establishing Rapport
Creating an accepting, open environment helps relieve the interviewees’ anxiety, which in
turn allows them to feel comfortable giving honest, candid answers. Therefore, building
rapport can enhance the effectiveness of the interview by yielding more complete and
accurate candidate information.
Open the interview session by greeting the individual with a sincere smile, lots of eye
contact, and a firm handshake. Providing information about the background investigation
can both serve as an icebreaker as well as ensure that interviewees understand the process
and what is

continued
expected of them. Interviewees must be informed if an audio recording device is used. They
should be encouraged to respond candidly and completely to all questions, to provide
specific examples of past behavior, when appropriate, and to ask for clarification if a
question is unclear.
POSING QUESTIONS
Open Versus Closed Questions
Questions can vary by the type of response required of the candidate, ranging from a simple
“yes” or “no” (closed questions) to an in-depth answer. In general, answers to closed
questions (e.g., “Have you ever worked the night shift?”) are often so short that they do not
provide interviewers with sufficient, useful information. The result is that interviewers end up
doing more talking in the interview than the candidate does. A “yes or no” question, for
example, may require 15–20 words to ask, but only elicit a 1–3 word response. Therefore,
questions that are open-ended are generally preferable.
Although they should be used sparingly, closed-ended questions do have their place in the
background investigation. During the interview, they are useful for verifying facts, eliciting
specific details, addressing questions arising from the candidate’s written responses, or for
checking minimum qualifications.
Open questions require candidates to provide specifics, details, and other information.
These questions are useful in finding how well the candidates organize their thoughts
and sometimes they can reveal attitudes and feelings critical to effective job
performance. They are generally more effective than closed-ended questions at
developing insight into a candidate’s experience and abilities.
QUESTION PHRASING
Regardless of format, all questions must be worded clearly, simply, and concisely. The
candidate must understand what is being asked without having to second-guess or read
between the lines.
Interviewers can have a significant influence over the responses of candidates based on
the specific wording chosen to communicate the question. Leading questions indicate to
the candidate the response that the interviewer wants. Leading questions include those
in which the correct answer is fairly obvious (e.g., “How important is it for a peace officer
to have integrity?”) or implied by the way the question is phrased or delivered (e.g.,
“Would you be willing to use deadly force, if necessary?”)
FOLLOW-UP/PROBING
Follow-up questions can serve three important functions: clarification, elaboration, and
verification.
1) Clarification – Follow-up questioning may be necessary if the interviewee’s response
was vague or confusing, or indicates that he did not understand the question. Investigators
should ask clarifying questions if they find themselves needing to make inferences or
assumptions to fill in the gaps in the information provided. Sometimes clarifying questions
may be as simple as repeating the initial question. Otherwise, clarifying follow-up questions
typically begin with phrases such as “Could you explain again…,” “Help me understand,” or
“What do you mean …” It may also be appropriate to paraphrase what the individual said: “If I
heard you correctly, here is what you said…”
4–8
continued
2) Elaboration – An individual may provide a brief answer that needs to be expanded. In

these situations, follow-up questions can be used to obtain more details. Sometimes a
simple pause – saying nothing – will elicit a further response. Otherwise, probes such as
“Tell me more about..,” “Walk me through…,” “Could you expand on…,” or “Please provide an
example” can prompt additional, necessary information. Even if the response was complete,
at times it may be useful to request another example or other additional information to
ensure a complete picture of the individual.
3) Verification – In an effort to present themselves in the best possible light, candidates may
provide impressive but not necessarily complete and accurate responses. Asking follow-up
questions to obtain details about how, who, when, and where will help interviewers separate
what is being said from how it is being said, to ensure that they are not unduly influenced by
candidate presentation skills alone. Pressing candidates and others for specifics allows the
investigator to retain control of the interview by ensuring that the answers provided are
complete, accurate and in line with information the investigator sought.
INTERVIEWERS’ NONVERBAL BEHAVIOR

Nonverbal behavior (eye movements, changes in posture, facial expressions) can
communicate as much information to the individual as the questions themselves. An
investigator’s body language can either encourage or discourage information. There are
several steps investigators can take to ensure that their nonverbal behavior creates an
atmosphere in which the candidate will relax and talk more freely:
• Keep your eyes opened and focused on the individual, especially when asking questions
or when a candidate seeks clarification.
• Maintain an open, interested posture: face the person, do not cross your arms; lean
forward when listening to candidate responses.
• Keep a cheerful expression: smile, never frown, grimace or show confusion, disapproval,
boredom, or impatience.
• Nodding your head indicates that you find the information useful and encourages the
individual to continue, as does giving short verbal approval, such as “mm-hmm.”
• Speak at a reasonable, steady pace, using variation in voice loudness and tone to
emphasize important points or requests and to keep communications sounding fresh
and genuine.
DECEPTION IN THE INTERVIEW

Avoidance of eye contact, rapid blinking, and nervous body movements are commonly
interpreted — particularly by experienced law enforcement officers — as signs of
deception. However, research has demonstrated that nonverbal behaviors are unreliable
indicators of lying. For example, while some individuals do look away while lying, others
increase their degree of eye contact. Fidgeting and other nervous body movements can
be natural behavior for some and a natural reaction to the stress of the interview for
others. Therefore, investigators should avoid drawing conclusions about an individu al’s
deceptiveness or other motives based on nonverbal behavior alone.

Step 5
Collect and Submit Candidate Fingerprints31
Agencies differ as to when fingerprints are obtained and submitted to the Federal Bureau of
Investigation (FBI) and the Department of Justice (DOJ). Although Live Scan responses may return
in 24 hours or less, problem records can take upwards of 30 days. Firearms clearance letters are
mailed separately and may take several weeks to process.
For peace officer candidates, there will be three documents returned to the agency: 1) the
criminal record return from the DOJ’s Bureau of Criminal Identification and Investigation,
2) the FBI criminal record return document, and 3) the DOJ firearms eligibility clearance return.
The first two documents will also be returned for public safety dispatcher candidates. Each
one of the documents must be reviewed carefully to ensure that there is a clearance on the
return document, as error messages transmitted to the employer via email look very similar
to actual Live Scan reports. Therefore, investigators must carefully inspect these returns to avoid
potential problems. Note that Live Scan defaults to checking only California records for nonsworn
candidates. Therefore, investigators must ensure that FBI fingerprints are specifically requested
for public safety dispatcher candidates.
Any indication of criminal activity or a negative return must be thoroughly reviewed to determine
compliance with POST and agency selection standards. Additionally, pursuant to Penal Code
§11105(t), the agency must provide the candidate with a copy of their Criminal Offender Record
Information (CORI), if it is a basis for an adverse employment decision. This information must be
provided to the candidate regardless of “no feedback” or other waivers signed by the candidate.
When responding to CORI requests pursuant to Penal Code §§11105(k) or (l), the Department of
Justice will also provide the request date and name of every agency that has previously requested
a search of the candidate’s pre-employment criminal history (Penal Code §11105.06).
Step 6
The Investigative Process
Each background investigation may take 40 or more working hours of an investigator’s time. The
investigative hours are likely to be spread out over many weeks, depending upon the candidate.
Type of history, length of history, number of candidates, geographical history, available resources,
and even competing demands on the investigator’s time all have an impact on the length of time
required.
Investigators should be aware of the available resources before embarking upon the
investigation. Resource realities will dictate whether the investigation will focus on mailed
inquiries, phone calls, face-to-face interviews, or some combination thereof.
Regardless of the manner in which references are contacted, the investigator must determine
who and how many individuals to contact. The following general guidelines may help:
• Rather than using a “shotgun approach” (i.e., contacting everyone to ensure completeness),
assess the expected value of the comments from a particular reference against the
resources expended to get the information.
31 Fingerprinting is also discussed in the Legal section of Chapter 5, Areas of Investigation, and the POST Personal History
Statements. Per Cal. Pen Code § 11170(b)(9), peace officer candidates may also be screened through the California
Child Abuse Central Index, but a separate inquiry is required.
4–10
• Begin in the areas that appear to be the most time-consuming or an area which, if explored,
is most likely to reveal information that will disqualify the candidate from further
consideration. The areas will vary from candidate to candidate.
• Contact a diverse group of persons who know the candidate across a variety of contexts
(home, school, work, socially, the military). Often, the point of diminishing returns is reached
when this type of diverse group echoes the same information about the candidate, both
positive and negative. If significantly different information is revealed, or the contacts only
know the candidate in a very limited context, more interviews are probably appropriate.
CYBERVETTING
Internet searches may provide quick and convenient access to many public records not easily
inspected in-person, provide background information on individuals who appear in the local media
or other internet sources, and even assist in locating individuals and/or their employers when
information furnished on a PHS is incomplete or out-of-date. However, the lure of cybersearching
can easily result in countless valuable hours surfing for information of marginal use. An
investigator must continuously balance the time available for the investigation against the
potential value of information to be gained as a result of such searches.
It is also quite easy to spend excessive amount of time and resources searching on
subscription search engines (e.g., Accurint, Equifax, WestLaw). When using commercial
search engines, it is wise to identify the focus of the search beforehand and narrow inquiries
to information that will be of maximum value (and not otherwise reasonably available at a
lower cost). This practice is advisable even when accessing free search engines (e.g., Google,
Yahoo, Bing).
The proliferation of social networking sites (e.g., Facebook, Instagram, Twitter, Googleplus,
Tumblr, Flickr, etc.) may provide additional insights regarding peace officer candidates.
California, like several other states, limits an employer’s (or prospective employer’s) rights to
inspect social media and the applicability of such statutes to public employers is not always
clear-cut. [See Labor Code §980 (employer may not ask applicant or employee to disclose a
user name or password, to open an account in the employer’s presence, or to divulge any
social media except as specified).] Any decision for background investigators and others
involved in the selection process to check social media should only be done after careful
consultation with the agency’s legal advisor. Departments should also consider developing a
cybervetting policy32 consistent with local, state and federal rules and regulations. In all
cases, care must be exercised that evaluations of social media sites do not involve inquiries
or assessments of protected conduct or classifications (race, gender, sexual orientation,
religious or political affiliation, family medical history, etc.)
While the internet generally provides for the quick and inexpensive transmission of
information, it is not secure. Background investigators are generally in possession of huge
amounts of highly personal and sensitive data concerning their candidates, and care must be
exercised before this information is transmitted over the internet.
32 The International Association of Chiefs of Police (IACP) Center for Social Media provides guidance in developing
cybervetting policies through their Developing a Cybervetting Strategy for Law Enforcement (.pdf) publication.

Step 7
Detection of Deception Examinations
The administration of pre-employment “detection of deception” examinations33 (i.e., polygraph, voice
stress analysis) is not a POST requirement; rather, their use is a matter of agency discretion.
Agencies electing to conduct a detection of deception examination should do so based on a full

understanding of the advantages and limitations associated with this procedure. The placement
of the examination within the pre-employment screening process should be decided in
consideration of federal and state disability statutes. The ADA/FEHA statutes prohibit pre-offer
inquiries involving medical or psychological disabilities, including history of drug use and current
or past alcoholism. This prohibition applies even if the agency outsources this step in the process.
Agencies should carefully review the provisions of California law and relevant case law with
respect to the use and permissibility of such examinations. Regardless of the timing of the
detection of deception examination, inquiries into a candidate’s family medical history are
prohibited.34
Step 8
Discrepancy Interview
A discrepancy interview may be held if inconsistencies or other issues arise during the conduct of
the investigation that impact a candidate’s employment eligibility. It is recommended that the
investigator prepare for the meeting by writing a description of each issue to be discussed. At the
start of the interview, the candidate should be provided with a copy of the written description of
each discrepancy and given ample opportunity to provide a complete explanation for each
identified issue. This interview is not the place to make any commitment to the candidate as to
the outcome of the background investigation process.
It is highly recommended that all discrepancy interviews be audio or video recorded, with the
knowledge of the candidate. As discussed previously, this prevents misinterpretation or
misrepresentation of what was said.
Step 9
Report and Background Packet Preparation
The heart of the background investigation is the completed package. Excellent investigative work
needs to be competently, clearly, and defensibly documented. The background report must
clearly address all required areas of inquiry as they relate to the essential attributes as defined in
the background dimensions.
Below are some general guidelines for writing effective reports:

1) Write for the reader! If the report cannot be understood, is too long, poorly written, or too
confusing, it will not be read, and nothing is gained.
2) Do not bury critically important information.
3) Assume that everything in the report might ultimately be subject to discovery. Avoid
including information that cannot be supported with facts or corroboration.
4) Impressions count. While investigators should avoid injecting personal bias in any official
action, their ability to assess the credibility and/or motives of others is key to a successful
background.
33 Cal. Lab Code §432.2

34 Genetic Information Nondiscrimination Act of 2008 (GINA)
4–12
5) If it cannot be documented, it did not happen. Do not put the agency in a position of having
to defend something that is not documented.
6) Always keep in mind the visibility and importance of the background report and the
investigation itself. The decisions resulting from this report will affect the quality of the
agency’s workforce. Their safety and effectiveness may well depend upon how well the
investigation has been conducted and documented.
THE BACKGROUND PACKAGE

Commission Regulations 1953(g)(1) and 1959(g)(1) –Background Narrative Report – stipulate:
“The background investigator shall summarize the background investigation results in a narrative
report that includes sufficient information for the reviewing authority to extend, as appropriate, a
conditional offer of employment. The report, along with all supporting documentation obtained
during the course of the background investigation, shall be included in the candidate’s
background investigation file. The supporting documents shall be originals or true, current and
accurate copies as attested to by the background investigator. The background investigation file
shall be made available during POST compliance inspections.”
The typical completed background package includes:

• Narrative summary
• Results of interviews
• Personal History Statements (PHS)
• Copies of relevant supporting documents
• Completed background report
These documents should be organized in a consistent, systematic manner. A package that is
poorly organized or difficult to understand is unfair to the candidate as well as an inefficient use
of the investigator’s time and agency resources. POST offers sets of tabbed dividers for
organizing peace officer and public safety dispatcher background reports. These background
investigation report organizers can be printed or ordered from the Background/Hiring section
under the Forms tab on the POST website.
Use of these tabbed dividers is not mandatory, as POST does not dictate the precise format of a
completed background package. However, the tabs help to ensure that the background package
is complete and organized so that all information can be readily located by the appointing
authority and by POST consultants during the site visit. Chapter 6, “POST Compliance
Inspections,” includes detailed guidance on organizing the background investigation package in
accordance with POST requirements.
Some agencies employ a system that includes a narrative that omits specific sources of information
and sometimes specific details. This narrative, coupled with non-confidential material, might be
shared with the candidate or others when required by law without compromising confidential and/or
privileged information.35 Note, however, that information and documents collected in the course of
the background investigation supporting the required areas of inquiry and investigation must be
retained, as discussed later in this chapter under Record Retention.
35 See Cal. Civ Code §§1798.38, 1798.40, 1786.10, Cal. Penal Code §§13302 and 13303, etc., Cal. Evid Code §1040,
and Johnson v. Winter, 127 Cal. App. 3d 435 (1982).

The choice of a background organizational reporting system should be made in close consultation
with agency command staff and the department’s legal counsel.36 As noted earlier, any narrative
and packaging system selected/developed must assure that all areas of inquiry and investigation
are thoroughly documented in compliance with POST regulations.
An “investigator’s checklist” is recommended, regardless of the reporting system chosen. The

checklist should be included in the package,37 along with all supporting documents situated in
the appropriate sections of the completed background report packet (e.g., birth certificates,
marriage dissolution documents, educational records, military records, credit report, fingerprint
returns, motor vehicle records, and clearance letters from the psychologist and the medical
evaluator).38 Example checklists are provided in Appendix C – Samples C.1 and C.2.
A sample of a partial background report is included in Appendix D, illustrating the amount and
depth of information that should be included. This sample report begins with a background
investigation checklist that documents the individuals contacted and the steps followed. A
narrative summary, followed by an executive summary, are located behind POST report Tab A,
Background Narrative Report.
Appendix D then includes the edited versions of interviews with contacts behind the appropriate
tabs, including previous employers (Tab K), relatives and references (Tab L) and neighbors (Tab
M). Note that there may well be additional documentation, such as returned questionnaires,
included in these sections along with the edited narrative interviews.
Note: Previously completed background reports can serve as a useful training aid for new
investigators; however, care must be taken to protect the privacy rights of the persons mentioned
on these completed forms.
REPORT RECOMMENDATIONS
Agency policy will generally dictate whether the investigator is required to offer a
recommendation. However, the hiring decision rests with the department head.
It is recommended that background investigators not include recommendations in their report

unless their recommendations are always followed. This avoids placing the agency in the
potentially embarrassing position of having to explain a hiring decision in the face of the
investigator’s contrary recommendation.
Rather than making such recommendations, investigators should summarize their findings —
especially negative information — around the POST background dimensions.39 Doing so can
greatly aid the agency hiring authority’s review and evaluation of the information contained in the
larger report. An “executive summary,” if used, is an excellent location for expressing the results
of the investigation in terms of their impact on these critical attributes.
36 Privileges, exemptions, and immunities from disclosure may be impacted by the format selected by an agency; a careful
review of Cal. Civ Code §§1786 et seq. and 1798 et seq. is recommended.
37 Because the checklist contains the identities of references and contacts, it is protected by statute (Cal. Civ Code
§1798.38); Cal. Evid Code §1040; and Johnson v. Winter, 127 Cal. App. 3d 425 (1982).
38 The medical and psychological suitability declarations are maintained in the background file, however, any information
deemed medical must be kept in a separate confidential file, per the confidentiality provisions of ADA, FEHA, and HIPAA.
39 The POST background investigation dimensions are described in Chapter 2.
4–14
RECORD RETENTION
All parts of the narrative report need to be retained in the background package for inspection by
POST in order to verify that all mandated areas of inquiry were thoroughly addressed. In addition,
Commission Regulations 1953(g)(2) and 1959(g)(2) stipulate:
The background narrative report and supporting documentation shall be retained in the individual’s
background investigation file for as long as the individual remains in the department’s employ.
Additional record retention requirements are described in Government Code § 12946.
Government Code §1294640 provides that all files containing records of application — including
background information — must be retained for a minimum of two years after the files were
initially created in the case of applicants who were not hired; records of terminated employees
must be maintained for a minimum of two years from the date the employment action was taken.
If notified that a verified complaint has been filed against it, an agency must preserve all records
and files until the final resolution of the complaint.
In addition to Cal. Gov’t Code § 12946, other local and state retention policies may apply,
therefore, information gathered as a part of a background (as well as the overall hiring) process
should never be destroyed without guidance from and the concurrence of agency command staff
and, as appropriate, the agency’s legal advisor. In addition to potential violations of POST
regulation, the improper destruction of these records is a criminal offense in California.41
Q: Must an investigator’s handwritten notes be preserved along with the rest of the background?
A: If an investigator’s notes are rough drafts of material faithfully and entirely reproduced in the
background file, they do not have to be maintained. However, if the notes are the only record of
information obtained, they would be subject to the same retention requirements as any other
aspect of the background investigation.
THE CONDITIONAL OFFER OF EMPLOYMENT

Traditionally, the completed background investigation package is forwarded to the hiring authority
for evaluation. Those candidates found suitable are then notified by a conditional offer of
employment (COE). However, closing out the background investigation prior to a COE limits lawful
inquiries into areas such as history of illegal drug use, extent of alcohol use, or other disability-
related issues that are prohibited at the pre-offer phase. Therefore, at a minimum, the COE
should inform candidates that further background issues may continue to be investigated as
warranted. A sample COE is provided in Appendix B.
By law, the entire background investigation may not be deferred to the post-offer phase. However,
both ADA and FEHA regulations include provisions for allowing for the deferral of certain
nonmedical or non-psychological inquiries until the post-offer stage “if the employer can
demonstrate that the information could not have reasonably been collected prior to the COE.”
A thorough discussion of the practical implications and options for the sequencing of the
background investigation with respect to the COE is discussed in Chapter 3, “Legal Qualifications
and Statutory Framework” (see “The Conditional Offer of Employment: Pre- and Post-Offer
Inquiries”). That section includes a discussion of GC §1031.2, a statutory provision that
40 Retention requirements for counties are addressed in Cal. Gov’t Code §26202; cities are covered in Cal. Gov’t Code
§34090.
41 Cal. Gov’t Code §§6200 and 6201 make it a crime to improperly destroy a public record, whereas Cal. Gov’t Code
§12946 controls the destruction of “records of applications, personnel, membership, or employment referral records and
files.”

specifically addresses the pre/post offer sequencing of peace officer background investigations.
As emphasized in Chapter 3, no changes in the sequencing of either the peace officer or the
public safety dispatcher background investigation should be implemented without the direct
involvement of the agency’s legal counsel.
MEDICAL AND PSYCHOLOGICAL EVALUATIONS AND BACKGROUND

INVESTIGATIONS FOLLOW-UP
Medical evaluations are required for both peace officers and public safety dispatchers;
associated POST regulations are contained in Regulation 1954 (peace officers) and 1960
(dispatchers). Only peace officer candidates are legally required to undergo a psychological
evaluation (Regulation 1955). However, many departments choose to adopt additional standards
for their public safety dispatchers, including requiring a psychological evaluation.
Even though the background investigation is conducted pre-offer, background investigators may
need to follow-up on personal history topics that could not be fully investigated at the pre-offer
stage, such as extent or frequency of past illegal drug use, current/past alcohol abuse, and
behavior issues or performance problems associated with medical or psychological conditions. A
request for any information or explanations that the applicant may have lawfully withheld at the
pre-offer stage can be included with the conditional offer of employment itself.
During the course of the background investigation, the investigator may uncover information
indicating that a candidate may be unfit for physical, emotional, or mental reasons. In such
cases, the investigator should refer the information to the appropriate professional for evaluation.
Furthermore, it is required that the examining physician or psychologist be provided with
background information that is relevant to their respective evaluations.42 This is especially
important if the information bears specific relevance to a particular aspect of the candidate's
medical or psychological condition. There may also be times when the physician or psychologist
uncovers information unknown to but relevant for the background investigator. This information
should be forwarded to the background investigator for evaluation and additional investigation, if
appropriate. In general, the psychologist, physician, and background investigator should work
cooperatively as long as the information — especially that from the psychologist or physician to
the background investigator — is provided on a strictly “need to know” basis [see Regulations
1953(d)/1959(d)].
MEDICAL AND PSYCHOLOGICAL EVALUATION DOCUMENTATION

Findings of the medical and psychological suitability evaluations must be reported in writing to
the appointing authority for use in the hiring decision. As stipulated in Regulations 1954, 1955
and 1960, these reporting requirements must include a medical/psychological suitability
declaration containing:
a) The evaluator’s printed name, contact information and medical license number,
b) The candidate’s name,
c) The date the evaluation was completed, and
d) A statement, signed by the physician/evaluator, affirming that the candidate was evaluated in
accordance with Commission Regulations. The statement shall include a determination of the
candidate’s medical/psychological suitability for the position.
42 Commission Regulations 1953(g)(3) and 1959(g)(3)
4–16
The declaration of the candidate’s medical/psychological suitability must be included in the
background file; however, the actual report and other documents that include medical and/or
psychological information, which may also include a candidate’s need for reasonable
accommodation, must be kept in a separate confidential medical file.
SECOND OPINIONS
California Regulation [2 Cal. Code Regs §11071(b)(2)] grants all candidates who are rejected
based on the results of a medical or psychological evaluation the right to submit an independent
expert opinion for consideration before a final determination of disqualification is made.
Departments should work with their legal counsel to determine an appropriate time period for
which a second opinion can be sought to ensure that the selection process continues to move
forward.
When a candidate notifies the department that s/he is seeking an independent opinion, the
department is required to make available the job duties, powers, demands, and working
conditions and requirements specified in the relevant regulation (Commission Regulations 1954,
1955, and 1960). Other information may be shared with the second-opinion evaluator, such as
specific procedures or findings from the initial evaluation, at the discretion of the department as
appropriate.
The means for resolving discrepancies in evaluations rests with the department, consistent with
local personnel policies and/or rules. Regardless of whether it is created by the departmental
physician or a second (or third) opinion evaluator, a medical/psychological suitability declaration,
in compliance with POST medical/psychological documentation requirements, must be included
in the background file of all candidates who are subsequently hired.
FINAL EVALUATION – FORMAL OFFER OF EMPLOYMENT

At this time, the hiring authority should have a completed background report, including any
required follow-up investigation. All documentation should be secured in the file, the narrative
report of the background investigation completed, all medical and psychological screening
requirements conducted, and any discrepancies resolved. The appointing authority is now ready
to make a final hiring decision.
APPOINTMENT ELIGIBILITY
In addition to POST selection requirements, peace officers must meet specific training mandates
prior to appointment. Oftentimes the background investigator is responsible for ensuring that the
candidate has met these requirements and is eligible for appointment. Commission Regulations
1005 and 1007 outline the training requirements for regular, specialized and reserve peace
officers. Commission Regulation 1008 contains the requalification requirements for peace officers
who have had an extensive break in service and/or who do not have qualifying service.
For lateral or entry-level (e.g., academy graduate) candidates, requisite training must be verified
prior to appointment. Candidates can access and print their training profile via the online POST
PASS system. Departments can request candidate profiles by submitting a POST Profile Request
(form 2-126).
Once a formal offer of employment has been accepted, a Notice of Appointment must be
submitted via the Electronic Data Interchange (EDI) system to POST within 30 days of
appointment. Departments without access to EDI may send in the Notice of Appointment (POST
Form 2-114) within 30 days.

Figure 4.2
BACKGROUND
INVESTIGATION
REPORT ORGANIZERS
(Tab divider sets are
available through the
Background/Hiring section
of the Forms tab
on the POST website)
4–18
Chapter 5
AREAS OF INVESTIGATION AND
THE POST PERSONAL HISTORY STATEMENTS
Commission Regulations 1953 and 1959 specify the required sources of information for
background investigations of peace officers and public safety dispatchers, respectively. The
required ten sources of investigation are:
1) Personal identifying information
2) Relatives and other references
3) Educational history
4) Residential history
5) Employment history
6) Military history
7) Financial history
8) Legal history
9) Driving history
10) Other topics related to assessing moral character
These information sources generally apply to both peace officers and public safety dispatchers;
however, there are statutory and regulatory differences in the manner in which these areas can
be investigated. These differences are highlighted in Table 5.1, which compares areas of
investigations for these two occupations.
THE POST PERSONAL HISTORY STATEMENT (PHS)

Per Commission Regulations 1953(c) and 1959(c), candidates must complete a personal history
statement before the onset of the background investigation. Although the POST Personal History
Statement will satisfy this requirement, it is not required. However, any form used to meet this
requirement must include questions in the ten areas of inquiry listed above.
POST offers two Personal History Statements to assist in the conduct of background
investigations:
1) Personal History Statement – Peace Officers (POST 2-251)
2) Personal History Statement – Public Safety Dispatchers (POST 2-255)

Table 5.1
COMPARISON OF AREAS OF BACKGROUND INVESTIGATION FOR PEACE OFFICERS
AND PUBLIC SAFETY DISPATCHERS
Type/Source of Information Peace Officer Public Safety Dispatcher

1. State Department of Motor Vehicles Driving record and adherence Same
to law
2. High school and all higher Verify U.S. high school diploma or Determine school record and
educational institutions attended equivalent, per GC §1031(e), and character of candidate
character of candidate
3. Official documents (e.g., birth Verify age and citizenship per Verify eligibility for
certificates, citizenship papers) GC §1031(a) and (b)43 employment in United States
and eligibility for employment per 8 USC §1324a
per 8 USC §1324a
4. Police files in jurisdictions where Determine if criminal record exists Same

candidate resided, worked or
frequently visited
5. Criminal records of the California Establish legal eligibility for Establish DOJ eligibility for
Department of Justice employment and possession of a unsupervised CLETS access, and
firearm (via firearms clearance assessment of integrity and moral
letter) character
6. Federal Bureau of Investigations Establish legal eligibility for Same as criminal records for CA
records employment and possession of a DOJ
firearm per GC §1029 and §1031,
PC §29805, and 18 USC §922(d)
7. Previous employers For at least the past 10 years, to Within the past 10 years, to
determine quality of work record determine quality of work record
8. References supplied by candidate, Determine whether candidate has Same

and other references supplied by exhibited behavior incompatible
the initial references with the position sought
9. Present and past neighborhoods Determine whether the candidate Same

has exhibited behavior incompatible
with the position sought
10. Credit records Determine credit standing with Same

lenders as an indication of
dependability and integrity
11. Military records in and outside Determine the quality of service and Same
of the U.S. proof of selective service
registration where required by law
43 In addition, Cal. Veh Code §2267 for CHP officers.
5–2
The PHS forms listed in Appendix E can be downloaded from the POST website
(http://post.ca.gov/forms.aspx). They may be completed by hand or electronically (except for
initials and signatures), based on requirements of the hiring department.
Although the two PHS forms contain many of the same questions, there are several key
differences as a result of both statutes and the different demands and requirements associated
with these two professions. These differences are listed in Table 5.3 at the end of this chapter.
It is strongly recommended that, prior to using the POST PHS or any personal history statement;
departments submit the form(s) to their legal counsel to ensure that the form(s) meet the
requirements of all local, state and federal laws, rules and regulations. Agencies who wish to
revise the POST PHS forms can request unprotected, editable versions by emailing POST at:
[email protected].
The PHS is divided into ten sections that parallel the required areas of investigation. Each
section/area of investigation is discussed below, referenced by the corresponding section in the
POST Personal History Statements.
PHS Section 1:
Personal
This section requests information on:
• Name (current, past, and nicknames)
• Address (residential and mailing)
• Contact Information (phone numbers and e-mail address)
• Citizenship Status/Eligibility for Employment
• Birth Place and Birth Date
• Social Security Number
• Driver License
• Physical Description
This information is to be used to verify the candidate’s identity, obtain contact information,
determine that the candidate meets statutory requirements, and to enable fingerprinting and
the accurate acquisition of documents required to successfully conduct the background
investigation.
VERIFYING IDENTITY
Establishing identity is a first critical step in the background investigation process. An original
birth certificate or certified copy should at least be examined, a copy of which can be made for
the investigator's records. If a birth certificate cannot be located (or is in a foreign language), a
U.S. passport, passport card, or an original or certified copy of a Certification of Naturalization, or
presentation of a valid Permanent Resident Card will suffice. Candidates can be assigned the
responsibility for obtaining these documents, as well as all other personal documents.

It is permissible to make copies of official documents; only duplicates made with the intent to
defraud are prohibited by law.
Both the parents' and the candidate's name should be verified on these documents. Any
discrepancies should be explained.
DISCREPANCIES IN NAMES – USE OF AN ALIAS

Name changes can occur for a variety of legitimate reasons, including marriage, adoption, or
naturalization. The law permits individuals to use any name as long as the change of name is
not for fraudulent purposes. However, the candidate should be able to produce documents that
reflect these changes. Use of other names for fraudulent or other illegal purposes speaks
directly to the individual's suitability for law enforcement.
CITIZENSHIP
Every employer in the United States is required by law to show that anyone hired since June 1,
1986 is legally eligible to be employed in the U.S.44 This is true for native-born citizens, as well
as naturalized citizens and resident aliens.
• Peace Officers – Peace officers must, at a minimum, be either United States citizens or
permanent resident aliens who are eligible for and have applied for citizenship. (Note: Peace
officers with the California Highway Patrol must be United States citizens.)45
All individuals born within the contiguous 50 states and the territories of Guam, Puerto Rico,
and a portion of the Virgin Islands are citizens of the United States. Proper evidence of
citizenship is a valid birth certificate documenting birth in the United States, U.S. passport or
passport card,46 or a valid document from the Department of State documenting birth to an
American citizen in a foreign country, such as a child of parents in the United States military
or in other foreign service. Such documents are issued by the State Department. Other
evidence of citizenship is a Certificate of Naturalization.
Government Code §1031.5 stipulates that in order for resident aliens to maintain peace officer
eligibility, citizenship status must be conferred within three years of application for employment.
Resident aliens need to provide documentation that they are permanent residents who are
eligible and have applied for U.S. citizenship. Acceptable proof of citizenship includes both a
Permanent Resident Card issued by U.S. Citizenship and Immigration Services (USCIS) as well as
a copy of an official receipt from USCIS showing that the candidate’s application for citizenship
has been received. Note: “proof of mailing” from the Postal Service is not equivalent to a receipt
issued by USCIS.
Where an application for citizenship is not completed within three years, there is a presumption
that the candidate is not cooperating with USCIS. Any delays which push the application period
beyond that three-year period must be the documented responsibility of USCIS, rather than due
to the failure of the candidate to complete the process.
• Public Safety Dispatchers – There are no unique citizenship requirements for public safety
dispatchers; therefore, the dispatcher PHS only asks, "Are you legally authorized for
44 8 USC §1324a
45 Cal. Veh Code §2267
46 U.S. passports issued to U.S. nationals from American Samoa, Swains Islands and Commonwealth of the Northern
Marianas Islands are not acceptable proof of U.S. citizenship. Candidates from these areas must provide other proof of
U.S. citizenship.
5–4
permanent employment in the United States?" Proof of eligibility to work in the United States
(USCIS Form I-9) is required.47
BIRTH PLACE AND BIRTH DATE

Birth place and birth date is collected for identification purposes, for fingerprinting, and to verify
that peace officer candidates meet the minimum age requirement of 18 years old.48 Note that
both federal and state laws prohibit employment discrimination based on age and national
origin.
Age can be verified by presentation of a valid birth certificate or other documents as described
above for verifying citizenship requirements.
SOCIAL SECURITY NUMBER

A social security number is collected to obtain credit records, Employment Development
Department employment histories, employment files, and other information. Care must be
taken to ensure that this information is not shared with unauthorized individuals and is
otherwise kept private.
PHYSICAL DESCRIPTION AND PHOTOGRAPHS

Photographs, as well as a physical description of the candidate (e.g., height, weight, hair color,
eye color) can be very useful for positive identification purposes during the background
investigation. The photograph should be taken when the candidate meets with the background
investigator to start the background process. There are some candidate protection rules
regarding use of photographs:
• Photographs are not permitted at time of initial application and may not be used as a
basis for employment discrimination.
• Candidates cannot be made to pay for their own photograph.
PHS Section 2:
Relatives and References
This section requests contact information on:
• Parents (including step-parents and in-laws)
• Spouses/Registered domestic partners (current and former)
• Siblings (including half, step, foster, etc.)
• Children (including natural, adopted, step, and foster)
• References other than family members or individuals listed elsewhere
Commission Regulations 1953 and 1959 require that, within practical limits, background
investigators contact the references supplied by the candidate, and other references supplied by
these initial contacts, to determine whether the candidate has exhibited behavior incompatible
with the position sought. Anyone who knows the candidate is a potential source of information.
Typically, different types of personal associations with the candidate will lead to familiarity with
different facets of the candidate's background. These individuals' greatest value may be as
sources of information for secondary references; that is, other individuals who know the
47 U.S. Citizenship and Immigration Services (USCIS) Form I-9: Employment Eligibility Verification (https://www.uscis.gov/i-9)
48 Cal. Govt Code §1031(b)

candidate but were not listed as such by the candidate. Sometimes secondary references prove
to be more candid than primary references supplied by the candidate.
The number of contacts that are initiated is largely up to the common sense and good judgment
of the investigators and their reviewing authorities. In general, more contacts are better than
few, but investigators and their agencies are ultimately responsible for determining to what
length an investigation must go. Every contact attempted should be documented.
Not every person or entity contacted will respond to a request for interview, return a phone call,
or complete and mail back a questionnaire. The duty to cooperate with background
investigations is a matter of public policy; however, except in very narrow circumstances, there is
no legal obligation to do so. Background investigators should document even unsuccessful
attempts to contact references.
FAMILY MEMBERS
Family members often have the most long-term and in-depth knowledge of the candidate.
Relatives may be able to provide information about the candidate's traits and temperament,
academic problems and learning ability, legal misconduct (e.g., arrests and/or lawsuits), as well
as names of others who are familiar with the candidate. That longstanding relationship with the
candidate may, however, affect the objectivity of the information provided. Investigators must
judge the completeness and accuracy of that information on a case-by-
case basis.
It is recommended that the investigator inquire into whether the candidate has had serious
interpersonal problems, including whether the candidate has had any marital problems or any
problems with physical or psychological abuse. This does not mean, however, that the
investigator should examine every minor family disagreement and dispute, nor unnecessarily
violate a family's privacy. The purpose, rather, is to inquire into problems that are of sufficient
severity to affect job performance and therefore the candidate's qualifications. Note, however,
that investigators must never ask questions about family medical history, regardless of whether
the interview takes place pre- or post-offer.49
The investigator should be aware that attitudes of the spouse or other close personal relations
regarding the candidate joining the department might affect that person’s ability to objectively
evaluate the candidate's qualifications. The investigator may find it useful to ascertain those
attitudes.
Officers and dispatchers have been known to be susceptible to the influence of unprincipled
relatives or acquaintances; therefore, such information uncovered during the investigation
should be examined. However, having relatives or acquaintances with a criminal or unsavory
past should not be an automatic basis for disqualification. Instead, the investigator should focus
on the candidate's behavior regarding such relatives or acquaintances and the degree of the
candidate's susceptibility to such influence.
MARITAL STATUS
An individual's marital status is prohibited as a basis for employment discrimination.50 No
judgments should be made about the candidate's current marital status (i.e., married, single,
separated, or divorced), nor should routine inquiry be made into the facts surrounding the
candidate's decision to marry or remain single.
49 Genetic Information Nondiscrimination Act of 2008 (GINA)

50 Cal. Govt Code §12900, et seq.
5–6
FORMER SPOUSE(S)/FORMER REGISTERED DOMESTIC PARTNER(S)
Peace officer and public safety dispatcher candidates must show proof of dissolution of
marriage even if they have not subsequently remarried. Besides helping establish legal rights of
survivorship or medical decision-making, dissolution documents can contain highly relevant
information concerning a candidate’s character or financial well-being. Restraining orders,
allegations of domestic violence, property settlements, and continuing financial obligations may
be detailed in such documents.
Although a copy of the final judgment is sufficient, an inspection of the full file has the benefit of
indicating any current or past restraining orders. The final judgment should be inspected to
ensure that a final date of dissolution (not merely a request for final judgment) is entered. For
candidates who were divorced outside of the United States while they were a citizen of another
country, proof of marriage dissolution is often easier to establish by reviewing their Certificate of
Naturalization, rather than attempting to translate and verify the legal sufficiency of a foreign
document.
Former spouses or domestic partners can be the source of very useful information for a wide
variety of uses, including employment history, residences, financial problems, drug use, and
other facts. The reason for the break-up itself can provide useful information. The given reasons
should be confirmed, whenever possible, by obtaining a copy of the dissolution of marriage or
domestic partnership, or checking the civil filing index of the court in order to uncover further
information. The investigator should also confirm that child support, if any, is up-to-date.
Any information gathered from a prior spouse/partner should be carefully evaluated and
corroborated. Ill feelings generated by dissolution can cause hostility towards the candidate,
which can affect the honesty of the information provided. However, if serious acts of wrongdoing
are alleged, every effort should be made to verify those claims through additional sources. For
example, if acts of domestic violence are claimed, the investigation should include determining
whether police reports were filed and/or court restraining orders were sought.
CHILDREN
Generally, the behavior of the candidate's offspring should not be used in evaluating the
candidate's acceptability. Exceptions would be the situations in which the candidate knowingly
supported or contributed to the delinquent behavior of the offspring, or there is evidence of
abuse or neglect. Support of dependents is a separate question, which is addressed later in this
chapter in the Financial section.
OTHER REFERENCES
Anyone who has lived with or has had a relationship with the candidate is a potential source of
relevant information, depending upon the nature of their relationship and how recently that
relationship existed. Therefore, the context, frequency of contact, and length of the candidate’s
relationship with the relative, reference, or acquaintance should be investigated. However, no
judgments should be made based on the mere fact of the gender of the individual with whom
the candidate has resided.
Some references, even those supplied by the candidate, will be quite reluctant to provide
disparaging information about the individual. It is critical that a valid authorization form from the
candidate be provided along with an explanation of the protection afforded to the information
they provide. An example authorization form for peace officer candidates is included in Appendix
B – Sample B.5.

The background investigator is encouraged to solicit and then contact secondary references as
provided by relatives, references, and acquaintances. The secondary and other references can often
provide the investigator with valuable insight and information that listed references may not be
willing to furnish.
References should be asked about the candidate’s participation in illegal or unethical conduct,
as well as their reputation for honesty and integrity. Specific instances of illegal or unethical
activity should be corroborated whenever possible. Other useful topic areas include candidate
drug use, financial difficulties, racial or ethnic biases, strengths and weaknesses, and their
understanding of the reasons underlying their interest in a career in law enforcement.
Ideally, relatives and references should be interviewed in person. However, if the individuals
to be contacted are not within a geographical area that makes personal interviews feasible,
contacts may be made by telephone or letter. A sample letter and questionnaire are located in
Appendix C – Samples C.3 and C.4.
PHS Section 3:
Education
This section requests information on secondary and post-secondary education, including:
• Degrees and certificates
• Dates attended and units completed
• Trade, vocational, or business schools/institutes attended
• Attendance at a POST Basic Academy/Public Safety Dispatcher Basic Course
• History of academic discipline, suspension, or expulsion
Peace officer candidates must have achieved a high school diploma or equivalent.51 No
minimum educational standards are established for public safety dispatchers; however,
educational information listed on their PHS must be verified.
VERIFYING MINIMUM REQUIREMENTS – PEACE OFFICERS

Government Code §1031(e) established the following education standards for peace officers;
however, this does not preclude an agency from establishing higher, job-related post-secondary
education requirements. All peace officers must have attained one of the following:
• Graduated from an acceptable United States public high school, Department of Defense high
school, or accredited or approved public or non-public high school, or
• Passed the General Education Development (GED) test or other high school equivalency
test approved by the State Department of Education, or
• Passed the California High School Proficiency Examination, or
• Attained a two-year, four-year, or advanced degree from an accredited college or
university.
U.S. public high schools are acceptable if they meet the high school standards set by the
state in which the school is located. The status of a public high school, as well as many
private schools, can be checked by contacting that state’s Department of Education, or the
51 Cal. Govt Code §1031(e)
5–8
local school district itself. A list of state education departments can be accessed at
http://www2.ed.gov/about/contacts/state/index.html?src=ln .
To comply with Government Code §1031(e), nonpublic high schools as well as post-secondary
institutions must be accredited or approved by:
• A state or local government educational agency,
• A regional accrediting association,
• An accrediting association recognized by the Secretary of the US Department of
Education or holding full membership in the National Council for Private School
Accreditation (NCPSA) or the National Federation of Nonpublic School State Accrediting
Associations (NFNSSAA), or
• An organization holding full membership in AdvancED 52 or the Council for American
Private Education (CAPE).
Accredited U.S. Department of Defense (DOD) high schools are also sanctioned by Government
Code §1031(e). The status of a DOD school can be checked at www.dodea.edu.
There are a limited number of foreign schools that meet the criteria stipulated in Government
Code §1031(e). These include overseas schools operated by the Department of Defense
schools, foreign schools accredited by an association recognized by one of the accrediting
agencies recognized by the Secretary of the United States Department of Education, or one of
the four additional associations that oversee the accreditation of private institutions (i.e.,
NCPSA, AdvancED, CAPE, and NFNSSAA).
Official transcripts are the only authoritative means of verifying a person's educational
background. Transcripts may be acquired through the institution itself or through an e-transcript
service authorized by the educational institution. Transcripts from accredited institutions should
bear regional accrediting information. Some candidates may be reluctant to furnish original
transcripts because of the fees involved or the steps necessary to arrange for them. Not
uncommonly, however, the reason that candidates fail to furnish original transcripts is because
their academic records have been impounded for payment of fees or loans still due the school, a
fact that may serve as another legitimate area of concern.
If official records are not available through any source, and the candidate does not have any of
the other qualifications outlined in GC §1031(e), s/he will need to pass the GED or other high
school equivalency test approved by the State Department of Education.
NOTE: Transcripts, degrees or credentials that have been translated or evaluated for equivalency
by an evaluation service do NOT meet the requirements of GC §1031(e) or Commission
Regulation 1953. The educational institution itself must be accredited or approved by one of the
recognized accrediting bodies.
RELATED EDUCATIONAL BACKGROUND INQUIRIES

Commission Regulations 1953(e)(5) and 1959(e)(4) require that an investigation must be made
into the high school and all higher educational institutions that the candidate attended. At a
minimum, this investigation should verify that the information supplied by the candidate on the PHS
is accurate. School personnel may also provide useful information if the candidate has recently
finished school. This is especially true if there is any record of disciplinary actions, such as
suspensions, expulsions or any other form of academic punishment.
52 In 2019, AdvancED merged with Measured Progress to become Cognia. Educational institutions accredited prior to the
merger will continue to show AdvancED as their accrediting body until their accreditation is renewed. Accreditation can be
checked through the Cognia website: www.cognia.org.

It can be particularly useful to contact staff from the candidate’s Basic Police Academy or Public
Safety Dispatcher Academy. Academy staff are especially likely to remember candidates who
stood out from their classmates. Candidates who claim completion of POST-certified basic
training on their PHS should provide a copy of their POST profile, which can be easily accessed
through the online POST PASS system.
PHS Section 4
Residence
This section requires candidates to detail their residential history for the past 10 years (or since
the age of 15), including:
• Addresses
• Dates resided
• Contact information for property manager, rent collector, or owner
• Roommate/housemate contact information
• Reasons for moving
• History of being evicted or asked to leave a residence
• History of leaving a residence owing rent
Commission Regulations 1953(e)(9) and 1959(e)(8) stipulate that the background investigation
include “contacts and interviews with current, and where practicable, previous neighbors to
determine whether the candidate has exhibited behavior incompatible with the position sought.”
An investigation of residential history facilitates local police record inquiries, as well as providing
information about the candidate from neighbors, landlords, roommates, and others acquainted
with the candidate.
A neighborhood check is not merely a restatement of a candidate’s residential history. Rather, it

includes contacting a sampling of neighbors (and landlords) to determine if any job-relevant
behaviors can be identified and documenting those contacts. Although there is no specific
number of required contacts, it does not preclude the investigator from meeting this obligation
and, at a minimum, attempting to contact neighbors in person, regardless of the length the
candidate has been at the residence. A sample neighborhood reference check interview
questionnaire can be found in Appendix C – Sample C.5.
The security provisions in some housing complexes will not permit neighbors to be canvassed.
Committing a potential criminal trespass to accomplish a neighborhood check is not required,
and information gleaned from the property owner may be all that is available.
When interviewing neighbors, the background investigator should inquire into how well the
neighbor is acquainted with the candidate, whether there have been any incidents requiring a
law enforcement response at the candidate’s residence, and how the candidate interacts with
others in the neighborhood. Contacts with landlords and property managers/homeowners
associations should include inquiries into the candidate’s timeliness in paying rent, complaints
from other neighbors or tenants about the candidate, and whether the property was vacated
with the proper notice and left in good repair. Information gleaned from these interviews should
be maintained in the background narrative report.
If personal interviews with landlords are not feasible, inquiries may be made by letter. Appendix
C – Sample C.6 and C.7 include a sample letter and background questionnaire for landlords.
5–10
PHS Section 5
Experience and Employment
Information about the candidate's past work behavior and performance is of tremendous value
when determining the individual's suitability for employment. Commission Regulation 1953(e)(6)
requires an investigation of a peace officer candidate's employment history for a minimum of the
past 10 years; however, the peace officer PHS requires candidates to document their entire
employment history (and, in the case of dispatcher candidates, their employment for the past 10
years). Information inquiries include:
• Employer name, location, and dates and status of employment
• Job titles and duties
• Name and contact information for supervisors and coworkers
• Reasons for leaving (or wanting to leave)
• Dates and reasons for periods of unemployment
• History of counterproductive work behavior, including:
— Disciplinary actions
— Being fired, released from probation, or asked to resign
— Workplace violence
— Resignation in lieu of termination
— Subject of written complaints or counseling for poor performance
— Subject of discrimination accusations
— Attendance problems
— Unsatisfactory performance reviews
— Misuse of confidential information
— Misuse of sick leave
— Poor performance as a result of drug/alcohol consumption
• History and status of applications to other law enforcement agencies
GENERAL AREAS OF EMPLOYMENT HISTORY INQUIRY

At a minimum, investigators should:
• Contact past employers and co-workers
• Inquire into the reason(s) for the candidate's having had no prior employment or extended
gaps in employment
• Inquire into whether the candidate has ever been fired or asked to resign from any place
of employment and the circumstances surrounding the termination or resignation
• Inquire into a candidate's reason for leaving a job if that reason is other than being fired or
being asked to leave
• Inquire into the facts that formed the basis for rejection of the candidate from another
position requiring peace officer powers
• Inquire into whether the candidate has ever received unemployment insurance, workers
compensation, or other state or federal assistance through fraudulent means
POST regulations require the investigation of a peace officer candidate’s past ten years of
employment. However, there may be circumstances where an agency feels the need to
investigate beyond that ten year period because of answers furnished on the PHS, such as an
indication of significant disciplinary problems, terminations, prior police experience, etc.

EMPLOYERS
Quite often, both public and private employers refuse to speak to investigators, or refer to their
designated spokespersons who provide very limited information. GC §1031.1 was specifically
added to facilitate obtaining written employment information from present or past employers of
peace officer candidates who are not currently employed as peace officers or applicants for
positions other than sworn peace officer within a law enforcement agency (i.e. public safety
dispatchers). 53 It requires these employers to disclose employment information to background
investigators, including job applications, performance evaluations, attendance records,
disciplinary actions, eligibility for rehire, and other information relevant to performance of a
peace officer or other law enforcement agency applicant, except information prohibited from
disclosure by any other state or federal law or regulation. However:
• The request must be made in writing
• The request must be accompanied by a notarized authorization from the candidate
releasing the employer of liability
• The request and authorization must be presented to the employer by a sworn officer or
other authorized representative of the employing law enforcement agency
• The disclosed information is deemed confidential. However, the information may be
released to other law enforcement agencies that are also conducting a background
investigation into a peace officer or other law enforcement agency applicant. In this case,
the receiving agency shall use the information for investigative leads only and must
independently verify the information to use it in determining suitability for peace officer or
other law enforcement agency applicant employment.
Past and present employers are entitled to charge reasonable fees to reimburse costs incurred
in furnishing the information.
A sample of a written request for information, including a copy of GC §1031.1, is included in

Appendix C – Samples C.8 and C.9. Note that individual employers may have their own specific
requirements and release forms to be completed before they provide information.
Access to employment information on past or current employees of a public agency but who are
not covered by GC §1031.1 is guaranteed by the California Public Records Act. 54 PC §832.7(b)
makes certain peace officer records subject to disclosure under a public records act request.
Additionally, PC §832.12 requires 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 view the file.
Dispatcher applicants should not be asked to complete waivers designed for peace officer
applicants; rather, separate waivers should be designed for that purpose. Investigators can
reassure references contacted in the course of such backgrounds that similar legal privilege (per
Civil Code §47) may apply (but only if the agency is in the POST Public Safety Dispatcher
Program, thereby making a background investigation a legal requirement).
Some past employers maintain records only for limited periods of time, others cease operations,
and still others even decline to respond to those requests even though they are legally required
to do so (i.e., GC §1031.1). To satisfy POST, every contact with a current or past employer, even
53 Per Cal. Gov’t Code § 1031.1(d), an employer’s refusal to disclose information to a law enforcement agency constitutes
grounds for a civil action for injunctive relief. Note that this provision may not apply to dispatchers employed by non-law
enforcement agencies.
54 Cal. Gov’t Code § 6253.
5–12
an unsuccessful one, needs to be documented. The extent to which the department is willing to
pursue remedies under the law to attempt to obtain this information is governed by the
department and their legal counsel, not by POST. It is also up to the agency to decide the impact
of an inability to obtain meaningful (or any) information from a present or former employer.
Cal. Civ. Code §47(c) confers absolute privilege55 on the persons who are contacted or who
come forward on legally mandated backgrounds (i.e., peace officers and public safety
dispatchers in the POST program). As discussed in Chapter 3, “Legal Qualifications and Statutory
Framework,” information that is privileged may not be introduced in a court proceeding if it is
adverse to the interests of the provider of that information. This protection should be spelled out
in a notarized letter from the candidate releasing the employer from liability, such as in the
sample letter for peace officer candidates found in Appendix B – Sample B.6, and the
comparable letter for dispatcher candidates located in Appendix B – Sample B.7. Employers can
also be reminded of the legal risks associated with providing inaccurate evaluations, either
highly positive or negative.
Information from the employer should include, if at all possible:

• A verification of the dates of employment and the position held
• An examination of the original application documents to assure that the candidate is
disclosing his/her entire job history
• An assessment of the candidate's job skills and reputation as an employee
• Identification of any performance problems or work habits, including the ability to work
with others and as part of a team
• The candidate's attendance and punctuality record or other indications of dependability
• The real reason why the employee is leaving or has left that employer
• If the former employer would recommend or rehire that person
Before drawing any conclusions, the background investigator should establish or refute the
veracity of any negative information; to the extent possible, the employer's observations should
be supported with official records. Any discrepancies between these personal assessments and
the official record should be explored. Investigators must keep in mind that many employers,
even public employers, often fail to document assessments of work performance, and an official
record may be very difficult, if not impossible, to access.
SUPERVISORS AND CO-WORKERS

Current and past co-workers and supervisors can serve as useful sources of information, as well
as a source of leads to additional co-workers, friends, and other useful contacts. As with all
references, the relevance and usefulness of the information provided by these individuals
depends upon how recently they worked with the candidate, for how long, and the nature of their
working relationship. Any information provided by supervisors and co-workers - positive or
negative - should be carefully evaluated and corroborated.
If past employers and supervisors cannot be interviewed personally, contact may be made by
letter or by telephone. A sample letter and questionnaire that can be used to contact the past
and present employers are found in Appendix C – Samples C.10 and C.11.
55 O'Shea v. General Telephone Co. 193 Cal. App 3d 1040

PERIODS OF UNEMPLOYMENT
The PHS requires candidates to indicate all periods of unemployment and reason for the
unemployment, choosing from five categories: student, between jobs, leave of absence, travel,
and other. As discussed in the section on disability discrimination, medical inquiries are
prohibited prior to a conditional offer of employment. However, it is permissible to question
any gaps or sudden departures of employment per se, even if it may elicit information about
a medical condition or disability. Medical information volunteered in response to this line of
questioning should not be pursued until and unless the candidate receives a conditional
job offer.
REASON FOR LEAVING A JOB

While inquiring into the reasons for the candidate's leaving a job is recommended, caution must
be exercised. Limited employment opportunity is a valid and acceptable reason for terminating
an employment relationship, as are hostile work environments, unlawful terms of employment,
relocation, and other explanations.
CURRENT EMPLOYER
A current employer or supervisor may present a biased or inaccurate picture of the candidate in
order to encourage (or discourage) employment of the candidate elsewhere. The investigator
must exercise caution and ensure that any information, either positive or negative, is carefully
evaluated and corroborated.
The investigator should avoid deliberately placing a candidate’s present job in jeopardy. If on the
PHS, the candidate indicated that there would be a problem if the current employer were
contacted, it is lawful to defer contact with that employer until after a conditional offer of
employment has been extended. In this case, the investigator should contact the present
employer only after all other candidate screening steps have taken place. 56
REJECTION FROM ANOTHER PEACE OFFICER OR PUBLIC SAFETY DISPATCHER POSITION

The investigator should inquire into the facts surrounding the rejection for any other peace officer or
public safety dispatcher position. Resulting information must be carefully verified and evaluated; it
should not automatically be assumed that the previous investigation was unbiased, thorough, and
complete. Furthermore, different agencies may have different minimum standards (such as age,
education, drug use history, residency, etc.); therefore, the investigator should assess whether the
reasons for such a rejection are relevant to the present employer. Another employer's reason for
rejection is not automatically relevant. Agencies should reject unsuitable candidates based on their
own job-relevant criteria rather than those of another agency (especially if those reasons have not
been independently verified or are deemed irrelevant, outdated, or otherwise inapplicable).
Note: Per Penal Code §11105(k), (l), DOJ is required to provide the date and name of every
agency that has previously requested a search of the candidate’s criminal history. This
information may help corroborate the experience and employment included on the candidate’s
PHS.
56 ADA Enforcement Guidance: Preemployment Disability-Related Questions and Medical Examinations, EEOC,
October, 1995.
5–14
PHS Section 6
Military
Commission Regulation 1953(e)(10) requires that the background investigation of peace officer
candidates include an evaluation of military records in the service of the United States,
jurisdictions therein, or foreign government, to determine the quality of the individual's service
and proof of Selective Service registration where required by law. The same investigation is
required of public safety dispatcher candidates, per Regulation 1959(e)(9).
This section of the PHS requires candidates to detail their military history, including:
• Selective Service registration (if applicable)
• Branch of service and dates
• Type of discharge
• Current status as a reservist
• Disciplinary actions, judicial and non-judicial
• Security clearance problems
The candidate’s participation in the National Guard or a reserve component of the armed
services is protected by the Military and Veterans Code §394. It is a misdemeanor to
discriminate against a reservist in any aspect of employment. Further, Cal. Govt Code §12940
prohibits discrimination based on military or veteran status.
SELECTIVE SERVICE REGISTRATION

In July 1980, Congress restored the Selective Service registration, requiring all males (excluding
the sons of foreign diplomats) born on or after January 1, 1960 to register within 30 days of
their 18th birthday, and up to the age of 26 they are required to notify the Selective Service of
changes in name, address, or telephone number.
Information on the candidate's compliance with current registration requirements can be

obtained from the Selective Service System at their website (www.sss.gov). If proof of
registration is not available on the website, a letter should be written to the Selective Service
System. A sample written inquiry is provided in Appendix C – Sample C.12.
Note that since 1973, the military uses the individual's social security number for identification
purposes.
Willful failure to register per the Military Selective Service Act (50 U.S.C. 3801 et seq.) is not a
disqualifier under POST regulations. Any explanation to justify a failure to register must be made
by the applicant to the agency administering the right, benefit, or privilege for which Selective
Service System registration is required.
MILITARY SERVICE HISTORY

Military service records should be requested on candidates who have served in the military.
Candidates can obtain their military service records electronically through eVetRecs. Military
records can also be obtained by using either a Standard Form 180 57 or an equivalent form
developed by the agency. Information on how to obtain military service records can be found by
matching the candidate's service history with the records repositories listed on the back of the
57 Standard Form 180 can be downloaded from https://www.archives.gov/veterans/military-service-records/standard-

form-180.html .

SF-180. To ensure that complete information is received, a letter, signed by the candidate, can
be submitted that specifies the exact information requested, including:
• copies of personnel records,
• copies of DD-214s,
• eligibility for reenlistment,
• records of judicial and non-judicial punishments,
• performance ratings, and other records.
Requests should be sent to the appropriate military records custodian, as listed on the last page
of SF-180.
DD-214
Candidates who have been in the military are almost always issued a report of separation each
time they are released/discharged from active duty. Individuals may have one or more such
report, depending on their military history. There are two versions of the DD-214 58: a short form
and a long form. Commission Regulations 1953(e)(10) and 1959(e)(9) require investigators to
examine the long form, which contains the separation information (type of separation, character
of service, authority and reason for separation, separation and reenlistment eligibility codes).
Investigators should always examine an original document.
With the exception of some “entry-level separations,” virtually anyone who enters the military will
be issued discharge documents at their time of separation. If the candidate possesses a DD-214
“short form,” it is almost inconceivable that they were not issued a “long form,” as well (they are
generally stapled together).
Currently, inquiries directed to the Army and Air Force generally produce less comprehensive
replies. However, most recent veterans can obtain copies of their separation documents on-line.
[Note: many military records issued prior to 1973 were destroyed in a catastrophic fire at the
National Personnel Records Center, although the number of applicants facing that issue is
rapidly declining].
RE-ENTRY CODES
Although re-entry codes reflect a variety of things, a "1" or "2" generally indicates that there were
no problems. A "3" indicates some substantial issue that needs to be explored because re-
enlistment would require a waiver by the service branch. A "4" indicates that re-enlistment would
be prohibited and must be carefully explored. However, re-entry codes may vary depending upon
the branch of service, thus they should be verified through the respective branch of service.
TYPE OF DISCHARGE/CHARACTER OF SERVICE

The DD-214 will list one of five possible entries under "character of service" (type of discharge):
1) Honorable
2) General – under honorable conditions (less than full honorable)
3) Other than honorable conditions (OTH or UD)
4) Bad conduct discharge (BCD) – resulting from a special court martial
5) Dishonorable discharge – resulting from a general court martial. No longer considered a
veteran.
58 Military reservists and National Guard members without active military service will not necessarily receive a DD-214;
rather they will be issued separation documents, such as a DD-249, DD-256, or NGB-22.
5–16
Because reason for separation, type of discharge, and re-enlistment codes appear only in
predetermined combinations on genuine DD-214s, a local armed forces recruiter can help if
assistance is needed in interpreting the meaning of these or other codes. However, federal
privacy laws prohibit identifying the service member when discussing the form.
CURRENT MILITARY STATUS

The PHS asks the candidate to indicate any current military obligations (military reserve or
National Guard program). When the candidate indicates a current military obligation, the current
unit, co-workers, and supervisors should be treated no differently than a civilian job.
MILITARY DISCIPLINE
Inquiry into judicial and non-judicial military disciplinary action may reflect upon the candidate's
suitability. Such information should be explained in the PHS and verified through military records
(i.e., DD-214 or other available records), or through contact with military acquaintances or
commanding officers.
CONTACT PAST COMMANDING OFFICERS OR MILITARY ACQUAINTANCES

When interviewing commanding officers and military acquaintances, the investigator might ask
questions such as:
• When or how long ago did you know the candidate?
• How well did you know the candidate?
• Was the candidate ever the subject of any disciplinary action?
• Do you know if the candidate got along well with others?
• Can you think of any reason why the candidate might not be qualified to work in a law
enforcement agency?
PHS Section 7
Financial
Commission Regulations 1953(e)(11) and 1959(e)(10) require that a credit check be performed
on peace officer and public safety dispatcher candidates, “to determine the candidate’s credit
standing with lenders, as an indication of the candidate’s dependability and integrity.” This
section requires the candidate to provide an estimate of his/her income and expenditures, and
to respond to specific questions associated with history of fiscal responsibility, including.
• Bankruptcy filings
• Contact by collection agencies
• Repossessions
• Wage garnishments
• Delinquencies, failure to pay, or cheating on taxes
• Employment bond refusals
• Defaulting or avoiding repayment on loans
• Debts due to gambling
• Expenditures on illegal activities
• Failure to make court-ordered payments
• Bad checks
Although an important area of investigation, the evaluation of a candidate’s behavior regarding the
handling of finances must be careful and judicious. In some instances, outwardly negative

information may involve legal rights and even factors that are completely outside of the candidate’s
control. Financial opportunities can be limited as much by race, gender, marital status, and even
geography as by willful acts of the candidate. It is therefore critically important to understand the full
circumstances surrounding any apparently negative financial information.
SOURCE OF INCOME
Investigators are permitted to inquire into sources of income reported by the candidate.
However, candidates cannot be asked to reveal their salary history information. 59 The POST PHS
forms require the candidate to provide their total monthly disposable income, which may include
income from spousal support, business ventures, and investments. Provided that the source of
income is lawful, investigators should not draw conclusions about a candidate merely based on
the amount of money earned.
EXPENDITURES
It is permissible to inquire into the amount of money a candidate claims to spend on a
monthly basis. However, assuming that the expenditures are for a lawful purpose, how a
candidate chooses to spend money is generally not relevant. Instead, the focus should
address the following questions: Does the reported income support the expenditures that a
candidate claims? Do the reported expenditures correspond with the obligations appearing on
the credit report? Does the candidate meet the obligations that he or she has agreed to
assume?
BANKRUPTCY
Individuals have three essential avenues in which bankruptcy may be pursued: Chapter 7
(discharge of debt), Chapter 11 (business-related protection from creditors), and Chapter 13
(individual reorganization of debt).
Bankruptcy is a legal right. Absent any evidence of fraud, the mere fact that a candidate has
undergone bankruptcy cannot be the sole basis upon which employment is denied. 60
Investigators may inquire into the circumstances that led up to bankruptcy, including the
examination of supporting court records regarding reported assets and liabilities at the time
when the bankruptcy petition was filed. Once filed with the United States District Court, these
are public records. Records may be accessed through the Public Access to Court Electronic
Records (PACER) system. 61
State law forbids a consumer/credit reporting agency from reporting any fully discharged
bankruptcy that is more than ten years old [Cal. Civ Code §1786.18(a)(1)].
BILLS TURNED OVER FOR COLLECTION AND REPOSSESSIONS

In many cases, collection activity and repossessions are indicative of problem behavior.
Investigators should take care to assure that the bill in collection is, in fact, the responsibility of
the candidate against whose credit it has been reported and that any repossession reported
similarly applies to the candidate. Investigators should then inquire as to why the bill had to be
turned over to collection or why repossession was necessary.
59 Cal. Lab Code §432.3 prohibits employers from asking candidates for salary history information, including compensation
and benefits.
60 11 USC §525
61 Public Access to Court Electronic Records: (https://www.pacer.gov/)
5–18
GARNISHMENTS
At one time, garnishments were almost always indicative of a candidate’s failure to meet
obligations. Today, however, as in the case of child support obligations, many courts
automatically garnish wages, even where there has been no history of delinquencies. In some
cases, tax payment plans can, for the convenience of the taxpayer, be automatically garnisheed
from wages and frequently involve liens against the taxpayer’s credit record.
TAX DELINQUENCIES
The failure to satisfy lawful tax obligations may have a significant financial impact on a
candidate's suitability. However, the reasons for the delinquencies may be more important than
the delinquencies themselves. Unforeseen tax liabilities (wild fluctuations in company stock
options, non-liquid inheritances, liquidation of property forced by marriage dissolution, criminal
activities by a spouse or former spouse, and even changes in tax law) may or may not reflect
upon a candidate. This is a legally complex area. Investigators may be best served by conducting
a case-by-case review of a candidate’s situation and should be open to authoritative
interpretations by tax professionals.
CONSUMER CREDIT REPORTS

A great deal of financial information is obtainable from consumer credit reporting agencies, and
they often provide a timely and inexpensive means by which to assemble summary credit
information.
Information obtained from a credit-reporting agency may include name, age, spouse's name,
number of dependents, former addresses, occupation, employer, monthly income, paying habits,
number of accounts maintained, balances on accounts, and case history of accounts. However,
caution should be exercised when reviewing credit information. It is possible that these credit
reports may contain some erroneous information. All credit reports should be verified for
accuracy, and candidates must be furnished a free copy of that report if it is to be used contrary
to their interests. Any circumstance surrounding any negative information should be evaluated
on its own merits.
Recognizing that credit reports are frequently inaccurate, both the U.S. Congress and the
California Legislature have imposed procedural safeguards to reduce the likelihood that an
individual can be unwittingly denied employment based upon erroneous credit information.
Background investigators may subject their agencies to unnecessary civil liability in the event
that they fail to follow the disclosure rules present in the Fair Credit Reporting Act (15 USC §
1681) and the California Consumer Credit Reporting Agencies Act (Cal. Civ Code §§ 1785.20
and 1785.20.5).
Title 15 USC 1681 § 604(b) supersedes the provisions of the California Civil Code regarding an
employer’s use of credit information. Candidates must be notified that a prospective employer
may consider credit history in evaluating suitability for appointment. Under the law, candidates
must be informed of their rights under the Fair Credit Reporting Act (FCRA) before any adverse
decision can be made.
A sample credit data advisement form is provided in Appendix B – Sample B.8. This form
(and all other forms provided in this manual) should only be used in consultation with the
agency's legal counsel.
Credit scores generally have little to do with one’s suitability for employment; in fact, that is one
of the reasons why the major Credit Reporting Agencies do not include those numbers on
employment documents. Further, the economy, in general, may have an impact on things such

as credit scores and credit lines, even where an individual has a perfect payment record. Credit
itself, or even the lack thereof, may have limited bearing on someone’s suitability for
employment as a peace officer.
Instead, the background investigation should concern itself with issues such as whether the
reported sources of income are lawful and fully accounted for, whether the candidate meets
his/her obligations as agreed, and the reasons underlying any indications of credit problems
(e.g., are the credit problems the fault/responsibility of the candidate, or are they related to the
actions of others? Free-falling real estate values may have placed many individuals in
unanticipated hardship). Some candidates have no credit history at all, while others may have
extraordinary resources.
PRACTICAL CONSIDERATIONS
Investigators should take heed of the following:
• Financial data is extremely sensitive. Take steps to safeguard it.
• Always be wary of the accuracy of financial data, whether furnished by the candidate or by
some other source. It is notoriously inaccurate.
• Whenever conducting a credit check of candidates for employment purposes, a
candidate’s signed consent is necessary.
• Whenever credit reports are used for adverse employment purposes, the candidate is
entitled to a free copy of any such report under federal law.
• Whenever a candidate for employment is rejected from employment, in part or in whole,
based upon credit information, the candidate must be informed.
• The mere fact of bankruptcy cannot be the sole basis upon which a candidate is denied
employment.
• Concentrate on whether a candidate’s income and expenditures are lawful, properly
reported, and satisfied in a timely manner.
• Absent fraud or conspiracy, financial data pertaining to the candidate’s family, business
partners, and even spouses (in some cases) are generally irrelevant and not permitted.
• Candidates who are self-employed may need to produce documents such as financial
statements from an accountant or even tax returns to support their claimed income.
Investigators should not, however, collect such sensitive documents unless necessary.
Additionally, Cal. Lab Code §432.3 prohibits employers from asking candidates for salary history
information.
PHS Section 8
Legal
California law62 and POST regulations 63 require that the background investigation include a
review of specific sources of information, including:
• Criminal records of the California Department of Justice
• All police files in jurisdictions where the candidate has resided, worked, or frequently visited
• The Federal Bureau of Investigation records
• The State Department of Motor Vehicles, Division of Driver Licenses
62 Cal. Gov’t Code §1029

63 Commission Regulations 1953(e)(3) and (4) and 1959(e)(2) and (3)
5–20
This PHS section requires the candidates to detail their history of involvement with legal
authorities, as well as to recount illegal but undetected activities. This includes:
• Arrests, detentions, diversion programs and convictions
• Probation
• Civil lawsuits
• Referrals to Child Protective Services 64
• Home visits by law enforcement officers
• Being the subject of emergency protective and related court orders
• Filing of fraudulent claims (e.g., welfare, worker's compensation)
• Misdemeanor-level acts (past seven years)
• Felony-level acts (lifetime)
• Current illegal drug use and history of recreational drug use
LEGAL HISTORY SEARCH GUIDELINES

Checks of all local agencies where a peace officer candidate has lived, worked, or frequented
should be conducted to locate any relevant criminal history that does not appear on a DOJ or FBI
Rap Sheet. State law [Cal. Pen Code §13300(f)] requires California law enforcement agencies to
furnish, without charge, local criminal history information on all peace officer applicants. Local
agency checks should be also conducted for all public safety dispatcher candidates; however,
note that non-criminal justice agency dispatcher candidates have different levels of protection
for their arrest records. 65
The circumstances surrounding any candidate's arrest/conviction record, whether adult or

juvenile, should be investigated. The conduct that led to an arrest or conviction is in many cases
as relevant (if not more) than the presence or absence of an arrest.
The facts surrounding the candidate's present or past involvement in any civil court action
should be researched. This requirement applies to peace officer and public safety dispatchers.
Arrest reports and court records should be obtained for both peace officer candidates and public
safety dispatcher candidates for law enforcement agencies.
FELONY CONVICTIONS
Any person convicted of a felony (or of a crime in another jurisdiction that would be a felony in
California) is prohibited from employment as a California peace officer [Cal. Govt Code
§1029(a)]. With few exceptions, this prohibition holds even if the conviction was sealed,
expunged, or set aside. It may also apply to any convictions that were subsequently reduced to a
misdemeanor occurring on or after January 1, 2004.
Proceedings under juvenile court are generally not considered to be a criminal conviction under
GC §1029 unless the individual was certified, tried, and convicted as an adult. Therefore,
juvenile convictions are not included as a legal bar to appointment as a peace officer. However,
the conduct surrounding the offense should certainly be considered as part of the overall
background.
There are no similar regulations prohibiting the employment of those convicted of a felony as
public safety dispatchers.
64 Per Cal. Pen Code §11170(b)(9), peace officer candidates may also be screened through the California Child Abuse
Central Index, but a separate inquiry is required.
65 See “Disclosure Provisions” in Chapter 3: “Legal Qualifications and Statutory Framework”

MISDEMEANOR CONVICTIONS
Misdemeanor convictions are not, in and of themselves, automatically disqualifying either for
peace officers or for public safety dispatchers. However, the conduct underlying any conviction
should be carefully examined with regard to its relevance to the candidate's suitability for
appointment, especially the impact on eligibility to possess a firearm pursuant to Penal Code §
1170.18(k) 66, §29805, or 18 USC § 922(d) and (g). Note: For peace officer candidates, a
firearms clearance letter will be mailed separately from DOJ.
Some persons convicted of offenses have undergone legal proceedings either to seal or
expunge a criminal conviction (see Table 5.2: Restoration of Rights). Investigators need to check
any returned Rap Sheets for the full details, and it may be necessary to obtain "Minute Orders"
from the court of record to determine the factual outcome.
Department policy will largely govern the response to involvement in criminal activity, detentions,
arrests, convictions, diversion programs, and even probation. While the PHS covers a wide array
of detected and undetected illegal activity - including illegal use of controlled substances - the
decision regarding their impact on hiring (apart from issues of legal disqualification under Cal.
Govt Code §1029) rests with the agency.
Agencies may be tempted to deal with each issue and admission on a case-by-case basis;
however, this approach can result in claims of disparate treatment, especially against
individuals in protected classes (i.e., race, gender, age, sexual orientation, marital status,
disability, political affiliation, etc.). A well thought-out and articulated policy in advance of the
decision may assist in minimizing the likelihood of accusations and litigation.
SEALED AND EXPUNGED RECORDS

In certain circumstances, applicants may lawfully deny that an arrest (and in some cases even a
conviction) ever occurred. Table 5.2 provides examples regarding circumstances in which a
peace officer applicant might lawfully refrain from disclosing arrests and/or convictions that
have been sealed, expunged or set aside. These statutes are complicated, and each
circumstance must be carefully evaluated, in consultation with legal counsel, before making a
final decision as to a candidate’s eligibility for disclosure or non-disclosure of an arrest or
conviction, the candidate’s eligibility to possess firearms, and suitability for peace officer
employment. Public safety dispatcher applicants are generally exempted from disclosing any
legal proceeding that was sealed, expunged or set aside, with the exception of those falling
under the Federal Youth Offender Act (18 USC § 5038).
It is important to underscore that a sealing or expungement usually does not relieve the
applicant from providing information about the underlying conduct that led to such a sealed or
expunged record. (One possible exception might be an arrest/conviction expunged by a court
pursuant to PC §851.8, in which case the court made a factual finding of innocence, as there is
no underlying conduct to disclose). “Rap Sheets” obtained from DOJ or the FBI are presumptively
authoritative records of an individual’s history of arrest and/or conviction.
66 Proposition 47: The Safe Neighborhoods and Schools Act
5–22
Table 5.2
PEACE OFFICER RESTORATION OF RIGHTS FOLLOWING ARREST AND/OR CONVICTION
APPLICANT STATUS
Eligible for Eligible for

Must Respond Peace Officer Firearms Appearance of DOJ
Restoration Method to Inquiries? Employment? Clearance? “Rap” Sheet
Release per
Release per
Penal Code §1203.4a YES YES YES
PC §1203.4a
(misdemeanor)
Release per PC §1203.4 Release per

YES NO NO
(felony) PC §1203.4
Sealed record per

NO YES YES No reference
PC §1203.45 (misdemeanor)
Expunged record per H&S Code NO YES YES No reference

§11361.5(a) and §11361.7 If at least 2 yrs
have passed from
date of conviction
or arrest if no
conviction
Expunged record per H&S Code NO YES YES No reference

§11361.5(b)(1) and §11361.7 If at least 2 yrs
(misdemeanor) have passed from
date of conviction
or arrest if no
conviction
Pardon per PC §4852.17 and Pardon per

§4853 YES NO* YES**
PC §4852.17
Reduced per PC §17(b)

Reduced to misdemeanor
(misdemeanor) prior to YES YES YES
per PC §17(b)
January 1, 2004
Reduced per PC §17(b)

Reduced to misdemeanor
(misdemeanor) after January 1, YES NO N/A
per PC §17(b)
2004 per GC §1029(a)(3)
Diversion successfully
completed, case
Successful completion of a
dismissed; OR
diversion program based upon
Diversion terminated, case
an arrest pursuant to PC YES YES YES
dismissed; OR
§1000.4, §1001.33, §1001.55,
Diversion terminated,
OR §1001.75
criminal proceedings
reinstated
Sealed record per PC §851.7 or

WIC §781 NO YES YES No reference
Expunged record per PC §851.8 NO YES YES No reference
* Unless the applicant is applying for the position of parole officer with the Department of Corrections or the Youth Authority [see
Government Code §1029(c)].
** Unless crime of which he/she was convicted involved the use of a dangerous weapon.

The POST PHS admonishes applicants to obtain legal advice before failing to disclose any arrest
and/or conviction. Background investigators must therefore determine whether such
information, if discovered, constitutes a material omission of required information, or the
exercise of a “release from penalties” right afforded to applicants by law.
PRACTICAL CONSIDERATIONS
In dealing with legal issues, it is important to consider:
• The seriousness of the offense itself
• The age of the candidate at the time of the offense/conduct
• How recently the offense/conduct occurred
• The occupation/career path of the candidate at the time of the offense
• Any mitigating circumstances
• The impact, if any, upon the candidate's potential credibility as a witness in a court of law
CIVIL COURT ACTION

The investigation of a candidate's involvement as a plaintiff or defendant in any civil court action
can prove to be very informative. The investigator may want to go so far as to check the civil
filing index of the superior courts of counties where the candidate has resided. 67
RESTRAINING OR STAY-AWAY ORDER

Behavior that led to a restraining or stay-away order placed on a candidate can directly relate to
the applicant’s suitability for the job. Both the behavior and the circumstances should be
thoroughly investigated. Restraining orders associated with allegations of domestic violence
appear in the CLETS System DVROS database and should be revealed during any “wants and
warrants check.”
DIVERSION PROGRAMS
There are many forms of court-ordered diversion programs. Peace officer candidates must report
such diversions,68 but the reporting requirements are different for non-sworn positions, such as
public safety dispatcher. Investigators should consult the specific section of law authorizing the
diversion in order to determine whether that proceeding must be reported.
FINGERPRINTING
The submittal of fingerprints is required for both peace officer and public safety dispatcher
applicants. Throughout California, paper fingerprint cards have been replaced by Live Scan.
Agencies that do not have their own Live Scan terminal should contract with another agency to
provide this service.
Although Live Scan responses may return in 24 hours or less, problem records can take upwards
of 30 days. Firearms clearance letters are mailed separately. Investigators should carefully read
each fingerprint return, as quite often problem records require resubmission or other further
action.
67 The use of public record information, even by agencies in the conduct of their own background investigations, may
require disclosure of that information to a candidate if it is to be used adverse to their interests per Cal. Civ Code
§1786.53.
68 Participation in diversion programs as a result of simple possession of marijuana occurring five years ago or longer need
not be reported (Cal. Pen Code §1000).
5–24
Due to the costs associated with fingerprinting candidates, agencies have delayed processing
fingerprints. Lengthy or indefinite delays can and have resulted in overlooking the submittal of
fingerprints entirely, a fact often detected during the POST compliance audit.
A copy of the return should be retained in the candidate's background file, and Commission
Regulations 1953(e)(3)(C) and 1959(e)(2)(C) specify that a search be made of the Federal
Bureau of Investigation records and that a copy of that return should also be retained in the
candidate's background file.
The California Department of Justice prohibits a hiring agency from using the Automated Criminal
History System to investigate a candidate's history of arrest or conviction, or transmitting local
criminal history information over the CLETS system for employment purposes.
ILLEGAL DRUG AND ALCOHOL USE

As discussed in Chapter 3, “Legal Qualifications and Statutory Framework,” it is unlawful to
make disability-related inquiries prior to making a conditional offer of employment (COE).
Protected disabilities include a history of drug addiction or dependence. Therefore, questions
that can be expected to elicit this type of information are prohibited pre-offer. This would include
questions such as “Have you ever been treated for drug addiction?” or “How many times in your
life have you used illegal drugs?”
The PHS includes questions on current and past illegal drug use. The latter question asks
candidates to indicate if they: (1) never used any drug recreationally, or (2) tried or used drug(s),
but only under limited circumstances (e.g., parties, concerts, etc). Candidates who check box (2)
are asked to provide details about their drug use, including drug(s) used, most recent date used,
and circumstances. Note that if neither box (1) or (2) is checked, it may be assumed (after ruling
out carelessness) that the candidate may have used illegal drugs under more than limited
circumstances. However, in compliance with the prohibition on pre-offer disability inquiries,
investigating the extent and nature of past illegal drug use should be deferred until the post-
offer stage.
Alcoholism — past and current — is a protected disability; therefore, questions about how much a
candidate drinks, etc., are not allowable prior to a COE. However, inquiries about job-relevant
behavior are permissible, even if that behavior was a result of drunkenness. For example, it is
permissible to ask about DUIs, or attendance problems at work because of alcohol use.
PHS Section 9
Motor Vehicle Operation
Commission Regulations 1953(e)(4) and 1959(e)(3) mandate checking the DMV records of both
peace officer and public safety dispatcher candidates to determine their driving record and
adherence to the law. Although a review of a candidate's driving history is required, the
operation of a motor vehicle is neither a state nor a POST requirement for either public safety
dispatchers or peace officers. Rather, the review of driving history is intended to provide
information regarding the candidate’s impulse control/attention to safety, conscientiousness,
and other related character attributes.
This section requires candidates to provide information on their driving history, including:
• Driver license number, state, expiration date, and name under which license was granted
• License refusals, revocations, etc.
• Traffic citations (excluding parking citations)

• Refusal or revocation of automobile liability insurance

• Automobile insurance
• Liability coverage (peace officers only)
• Motor vehicle accidents in the past seven years (peace officers only)
DRIVER LICENSE
As mentioned above, possession of a valid driver license is not a requirement for either peace
officer or public safety dispatcher employment, and therefore should not be a condition of
employment unless this is an express agency qualification standard (since some peace officers,
and many public safety dispatchers are not required to drive a vehicle).
Information on driving records and the status of licenses in California can be obtained by
completing DMV Form INF 252 (Appendix F). Completed forms, including the department's
Requester Code Number, should be mailed to:
Department of Motor Vehicles
Division of Headquarters Operations Information Services
P.O. Box 944231, Mail Station G201
Sacramento, CA 94244-2310
Under California Department of Justice policy (Bulletin 98-22-CAS), California Law Enforcement
Telecommunications Systems (CLETS) subscribing agencies may access DMV records via CLETS
for their candidates.
As an alternative, hiring departments can require candidates to provide an official DMV printout
of their driving history. Candidates can request their official driving record by completing and
mailing DMV Form INF 1125 or taking it directly to a DMV field office.
If the candidate lived or worked outside of California, out-of-state agencies may be contacted for
records, although virtually all states (including California) have purge criteria that may limit
driving history information. The amount of time that information remains on a DMV record may
be influenced by the driving record itself. As a general rule, in California, infractions remain on a
record for 37 months, misdemeanor offenses for seven years, and DUIs and hit-and-run
incidents for ten years.
DRIVER LICENSE REFUSED

A driver license may be refused for a number of reasons that may or may not have relevance to
suitability for employment as a peace officer or public safety dispatcher. Investigators should
inquire into the reason for the refusal of any state to grant a driver license to the candidate.
VEHICLE INSURANCE
The California Compulsory Financial Responsibility Law requires that operators and owners of
motor vehicles be covered by vehicle liability insurance or place a $35,000 deposit with the
Department of Motor Vehicles, or a bond for the same amount. The investigator should
determine if candidates are complying with insurance requirements on their vehicles. Note that
persons can be covered by their parents’ insurance if they drive their parents’ vehicle, or if their
vehicle is co-registered to their parents. However, they should be named as an additional
insured, either generically on the policy or by name.
5–26
DRIVING RECORD
The candidate's driving record, in particular the nature and number of moving violations and the
number of accidents, can provide useful information about the individual's driving ability as well
as other job-relevant personal characteristics. An individual's history of automobile accidents is
less likely to be of critical importance for public safety dispatcher candidates and is therefore
not included on that PHS.
In a routine investigation, inquiries should not be made into the number of parking citations the
candidate has received, since no precise number of parking citations can be established as being
job-relevant. Parking citations are also extremely difficult to track, as many agencies have contracted
this function to private organizations. However, the investigator should look into any illegal abuses of
the citation process or warrants issued as a result of parking citations.
REVOKED OR SUSPENDED LICENSE

A revoked or suspended driver license can be very relevant to candidate suitability, especially
where such a suspension or revocation resulted from other willful misconduct (i.e., failure to
appear, failure to pay a fine).
REFUSED AUTO LIABILITY INSURANCE

The driving history of a candidate who has been refused auto liability insurance must be
carefully investigated to determine why the insurance was refused. A candidate's insurability is
critical for those agencies where driving is an essential function of the position.
PHS Section 10
Other Topics
The questions in this section ask about a history of physical violence, gang membership, and
other behavior associated with anger control problems and anti-social tendencies. Specifically,
these items include:
• Denial of a concealed weapons permit
• Membership or association with criminal enterprises, gangs, or other groups that advocate
violence, racism or other forms of bigotry
• Having a tattoo associated with a criminal enterprise, gang, or other group that advocates
violence, racism, or other forms of bigotry
• History of physical violence
• History of domestic violence
TATTOOS
The PHS limits inquiries about tattoos to those that signify affiliation with or membership in
criminal enterprises, street gangs, or other groups that advocate violence and/or bigotry. No
other questions about tattoos in general should be asked unless they can be shown to be
relevant to performing the job. Tattoos that are covered by uniforms or are never exposed to the
public while on duty, should not be the basis for adverse employment actions, absent
concurrence with an agency's legal counsel.

Table 5.3
DIFFERENCES BETWEEN PEACE OFFICER AND PUBLIC SAFETY DISPATCHER
PERSONAL HISTORY STATEMENTS
Personal History Statement Peace Officer Public Safety Dispatcher

SECTION POST FORM 2-251 POST FORM 2-255
1. Personal Information Inquiries regarding: U.S. citizenship or Inquiries regarding: Legal

application for citizenship authorization for employment in
U.S.
2. Relatives and References Requests contact information for No difference

7 to 10 references
3. Education Inquiries regarding: Attendance at No difference

POST basic courses
4. Residence No difference No difference
5. Experience and Requests candidate to list all past Requests candidate to list
Employment and current employment employment for past 10 years
Inquiries regarding: Past job Inquiries regarding: Past job
performance problems performance problems
6. Military Experience No difference No difference
7. Financial No difference No difference
8. Legal Requests candidate to disclose all Requests candidates applying to

detentions, arrests, and convictions, criminal justice agencies (as
including diversion programs that defined in PC § 13101) to disclose
were not successfully completed, and any detention, arrest, or conviction,
in some cases, offenses that may except where sealed or expunged
have been pardoned, unless Candidates applying to non-criminal
specifically exempted by state or justice agencies are only required to
federal law disclose arrests resulting in
conviction, except where sealed or
expunged
9. Motor Vehicle Operation Inquiries regarding: No inquiries regarding:

• Vehicle liability insurance • Vehicle liability insurance
• Accidents • Accidents
10. Other Topics No difference No difference
5–28
Chapter 6
POST COMPLIANCE INSPECTIONS
POST is required by statute (Cal. Pen Code §13512) to conduct regularly scheduled inspections
to verify that agencies are in compliance with documentation requirements and appointment
standards. Records are inspected of those peace officers and public safety dispatchers (whose
agencies are in the POST program) for whom a Notice of Appointment (POST 2-114) has been
received by POST since the last site visit.
Tables 6.1 and 6.2 (located at the end of this chapter) represent the tables of content from
the background investigation files (Background Investigation Tab Dividers). Table 6.1 lists the
required areas of documentation for peace officer background investigations; Table 6.2 lists the
corresponding required areas of documentation for public safety dispatcher background
investigations.
The specific documentation requirements for each area are discussed briefly below, including the
relevant statute and/or regulation, the focus of the inspector’s review, and common
oversights/problems encountered during compliance inspections. Where problems/ deficiencies
are noted during a compliance inspection, POST Regional Consultants will conduct periodic re-
checks to ensure that those items have been corrected.
The Background Investigation Tab Dividers can be printed or ordered from the Background/Hiring
section under the Forms tab on the POST website (www.post.ca.gov).
Tab A
BACKGROUND NARRATIVE REPORT
Commission Regulations 1953(g) and 1959(g)
A narrative report must be compiled by the background investigator and included in the
employee’s background file. The narrative must fully address and document all mandated areas
of inquiry, and contain sufficient information to allow the hiring authority to make a defensible
decision. Complete documentation must be included in the file.
Common Oversights/Problems:
— Narrative does not provide sufficient detail (e.g., “all references were positive”).
— No documentation in file to allow for actual identification of contacts interviewed and
what was said.
— Narrative fails to address all mandatory areas of inquiry.
— Narrative includes all information with no supporting documentation in applicable tabs.

Tab B
PERSONAL HISTORY STATEMENT (POST form or alternative)
Commission Regulations 1953(c) and 1959(c)
A thoroughly completed Personal History Statement must be contained in the file. The POST
forms 2-251 (Peace Officer) or 2-255 (Public Safety Dispatcher) can be used, or an alternative
form that includes questions related to the ten areas of investigation listed in Commission
Regulations 1953(c) and 1959(c). Completed forms will be reviewed to ensure sufficient personal
information to begin and conduct the background investigation [e.g., current and past residences,
current and past employment (including unexplained gaps in employment or residences),
references, family members].
— Sections of the form are incomplete or inaccurate.
— No signature on last page.
— Candidate has not initialed each page, if required by PHS form.
Tab C
DOJ/FBI FINGERPRINT RETURNS – Peace Officers and Public Safety Dispatchers
Government Code §1029(a),(b) and §1031(c), and Commission Regulations 1953(e)(3)(B),(C)
and 1959(e)(2)(B),(C)
Results from both Department of Justice and Federal Bureau of Investigation fingerprint checks
for criminal history must be in the file. The results must be relevant to the position sought and
conducted prior to but no greater than a year from hire.
— Confusing a delay notification with an actual clearance return.
— Reports are more than one year old and/or associated with a different position
(e.g., non-sworn, correctional officer).
— Failing to request returns from both DOJ and FBI on the Live Scan request form.
DOJ FIREARMS CLEARANCE – Peace Officers Only

18 USC §922, Cal. Pen Code §29800 et seq and Commission Regulation 1953(e)(3)(B)
Results from the Department of Justice (DOJ), Bureau of Identification (BID), pertaining to
authorization to possess and carry firearms (i.e., Firearms Clearance) must be contained in the
file. The DOJ mails the Firearms Clearance separate from the record check (fingerprint return).
— Confusing a DOJ concealed weapons print return for reserve officers with a Firearms
Clearance: a reserve officer needs the same fingerprint returns as a full-time officer.
— Confusing a delay notification with an actual clearance return.
— Reports are more than one year old and/or associated with a different position (e.g.,
correctional officer).
6–2
Tab D
DRIVING RECORD CHECK
Commission Regulations 1953(e)(4) and 1959(e)(3)
Results from the Department of Motor Vehicles or other official driving record must be in the file.
Information is used to determine the candidate’s driving record and adherence to the law. POST
regulations do not require a copy of the candidate’s driver license, as operation of a motor vehicle
is not required by state law or POST regulation.
Common Oversight/Problem:
— Reports are more than one year old.
— Copy of CDL in file in lieu of driving record.
— Missing official DMV printout.
Tab E
LOCAL LAW ENFORCEMENT AGENCY RECORD CHECKS
Cal. Pen Code §13300(k), and Commission Regulations 1953(e)(3)(A) and 1959(e)(2)(A)
Returns from checks of records from agencies serving jurisdictions where the candidate has
lived, worked, attended school, or had other extended stays should be included in the file. The
record check inquiries and responses should be appropriate to the position being sought. The
background summary should identify specific names of agencies checked based on information
provided in the PHS. Letters from agencies on letterhead are the best evidence of compliance
with this requirement. If agencies do not provide a written return, the fact that they were checked
should be noted in the narrative. (Note: some agencies restrict — or decline entirely — requests
for local criminal history on non-peace officer applicants).
— Missing from file or not covered in narrative.
— Not waiting for all returns.
— Copies of CLETS, NCIC, or other similar computer record printouts in file.
Tab F
CREDIT RECORDS CHECK
A check of the individual’s financial status must be contained in the file. The check should be
conducted prior to but no greater than a year before hire.
— Reports are more than one year old.
— Report is not from bona fide credit reporting agency (i.e., Experian, TransUnion, Equifax).

Tab G
EDUCATION VERIFICATION
Cal. Govt Code §1031(e) and Commission Regulations 1953(e)(5) and 1959(e)(4)
Official transcripts are the only authoritative means of verifying a person’s educational
background. The transcript shall be an original, a certified copy, or a copy marked “copied from
original” that is signed and dated by the background investigator.
If any contact was made with current and prior educational institutions attended by the
employee, this should be contained in the file also. Peace officer files must contain
documentation verifying graduation from either a U.S. public high school, accredited DOD high
school, or accredited/approved private or nonpublic high school; verification of passing the GED
or other high school equivalency test approved by the State Department of Education; California High
School Proficiency Examination; or possession of a two-year (e.g., Associate’s), four-year (e.g.
Bachelor’s), or advanced degree from an accredited college or university. The use of credential
evaluation services does not meet the requirements of GC 1031(e) or Commission Regulation
1953(e)(5).
— Documented education does not correspond/support education claimed on PHS.
— Transcripts are not official.
— Diploma rather than transcript is included.
— Copy of transcript is not certified or lacks notation that it was copied from the original.
— School is not accredited per Government Code §1031(e) – peace officer only.
— Includes training records rather than, or in addition to, education records (e.g., transcripts).
(Training records should be placed under the MISC tab.)
Tab H
CITIZENSHIP/AGE REQUIREMENTS – Peace Officers
Cal. Govt Code §1031(a) and (b) and Commission Regulation 1953(e)(1),(2)
Documentation verifying U.S. citizenship and age must be contained in the peace officer’s file.
Acceptable evidence includes an official U.S. birth certificate, naturalization documentation, U.S.
passport or passport card, or citizenship documentation. The documents shall be an original, a
certified copy, or an investigator-attested copy.
— Certificate is not issued by a government agency.
— Document is not certified, original or an investigator-attested copy of the original and/or
certified document.
— For candidates who are not yet citizens, failing to include proof of application for citizenship
and legal resident alien card.
— Accepting an "Abstract of Birth" in lieu of an official birth certificate.
— Passport or passport card is not current/valid.
— Copy of the passport or passport card is not endorsed by the investigator as being a true copy
of the original.
— Copy of passport card does not include both sides.
6–4
EMPLOYMENT ELIGIBILITY – Public Safety Dispatchers
8 USC §1324a and Commission Regulation 1959(e)(1)
Documentation verifying employment eligibility must be contained in the public safety

dispatcher’s file. Acceptable evidence includes U.S. birth certificate, naturalization
documentation, or current permanent resident card. Social security cards may also be used as
proof of eligibility to work provided they do not indicate otherwise.
— Work authorization is expired.
— Documentation does not support right to work.
Tab I
MILITARY HISTORY CHECK
50 USC Appendix §462 and Commission Regulations 1953(e)(10) and 1959(e)(9)
Verification of military service (DD-214 long form) or verification of Selective Service registration,
if appropriate, must be in the file. The DD-214 long form will contain the candidate's separation
information (type of separation, character of service, authority and reason for separation,
separation and reenlistment eligibility codes).
Selective Service registration is required for all males (excluding the sons of foreign diplomats)
born on or after January 1, 1960.
— Document submitted is not DD-214 long form.
— No documentation is offered for willful failure to register.
Tab J
DISSOLUTION OF MARRIAGE CHECK
Evidence of dissolution of previous marriage(s)/domestic partnerships must be contained in the

file.
— Failure to include entire court-issued final dissolution of marriage/domestic partnership, with
an affixed court date/verification stamp, in the file.
— Only entry of judgment in file.
Tab K
EMPLOYMENT HISTORY CHECKS
Documented verification of contact with previous employers must be contained in the file.
— Insufficient number of employers contacted (regulations require at least 10 years worth).
— Contacts with employers not dated.
— No supporting documentation (e.g., questionnaires, employer comments) in the file.
— Using former evaluations in lieu of personal contact with employers.

Tab L
RELATIVES/PERSONAL REFERENCES CHECKS
Commission Regulation 1953(e)(7) and 1959(e)(6)
Documented verification of contact with personal references must be contained in the file.
— Contact information not included in file.
— Contacts with references not dated.
— No supporting documentation (e.g., questionnaires, comments) in the file.
— No documentation of contact with secondary references or ex-spouses/domestic partners.
Tab M
NEIGHBORHOOD CHECKS
Commission Regulation 1953(e)(9) and 1959(e)(8)
Documented verification of contact with current and past neighbors must be contained in the file.
— Residential history included instead of actual contacts with current/former neighbors.
— No checks of past residences.
— Contacts with neighbors not dated.
— No supporting documentation (e.g., questionnaires, neighbor comments) in the file.
Tab N
MEDICAL CLEARANCE – Peace Officers and Public Safety Dispatchers
Cal. Govt Code §1031(f) and Commission Regulations 1954(e) and 1960(e)
Documented verification that the medical evaluation was conducted according to regulation must
be contained in the background file. The suitability declaration must be signed by the examining
physician, and must include the physician’s printed name, license number, the date the
examination took place, that it met appropriate regulatory requirements, and that the individual was
found suitable for employment. A copy of the suitability declaration is permissible, if the original is
maintained by the agency’s human resources department. The actual medical examination results
(i.e. medical information) must be kept as a confidential medical record, separate from the
background file.
— Suitability declaration signed by medical assistant or nurse practitioner rather than physician.
— Confidential medical information in file.
— Evaluation completed more than one year prior to date of employment/appointment.
— No documentation in file; merely a note that clearance letter is kept at HR.
— No medical license # or contact information for physician.
— Statement indicating the evaluation was conducted per Regulation 1954/1960 not included
on clearance.
6–6
PSYCHOLOGICAL CLEARANCE – Peace Officers Only
GC §1031(f) and Commission Regulation 1955(e)
Documented verification that the psychological evaluation was conducted according to regulation
must be contained in the peace officer’s background file. The suitability declaration must be
signed by the evaluating psychologist, and must include the psychologist’s printed name, license
number, the date the evaluation took place, that it met regulatory requirements, and that the
individual was found suitable for employment. A copy of the suitability declaration is permissible,
if the original is maintained by the agency’s human resources department. The actual
psychological results (i.e., medical information) must be kept as a confidential medical record,
separate from the background file.
— Suitability declaration not signed by psychologist.
— Confidential psychological information in file.
— Evaluation completed more than one year prior to date of employment.
— No documentation in file; merely a note that clearance letter is kept at HR.
— No medical license # or contact information for psychologist.
— Statement indicating the evaluation was conducted per Regulation 1955 not included on
clearance.

Table 6.1
BACKGROUND INVESTIGATION AREAS OF DOCUMENTATION – PEACE OFFICER
(As shown in the Background Investigation Tab Dividers)
6–8
Table 6.2
BACKGROUND INVESTIGATION AREAS OF DOCUMENTATION – PUBLIC SAFETY DISPATCHER
(As shown in the Background Investigation Tab Dividers

Intentionally blank
6–10
APPENDICES
Guidelines for the Investigator A–1

Intentionally blank
A–2
Contents
Appendix A
DEVELOPMENT OF POST
BACKGROUND INVESTIGATION DIMENSIONS
The creation of the POST background investigation dimensions resulted from a review of multiple
job analyses of both the peace officer and public safety dispatcher position, including the 1977
and 1998 job analyses from which the previous background dimensions were derived, a
personality-based peace officer job analysis conducted by POST in 2003 which led to the
development of psychologically-based job dimensions, a 2003 project by the Department of
Justice on Community Oriented Policing, and a 2002 POST study leading to the creation of oral
interview factors.
An additional rich source of information about both job classifications was provided by the O*NET
database. Created in 1999 by the U.S. Department of Labor, this interactive database includes
information on tasks, skills, abilities, knowledge, work activities, and attributes for 1,122
occupations, including police patrol officer and police, fire, and ambulance dispatchers. Because
the O*NET assesses all occupations against the same set of criteria, it provides a very effective
means for comparing peace officer and dispatcher worker attributes.
Table A.1 on the next page lists 21 O*NET job requirements and attributes most relevant to
background investigations. The importance of these attributes for peace officers and public
safety dispatchers are extremely similar; only a few percentage points separate the ratings for
virtually every characteristic. These results serve to demonstrate that, despite the fact that peace
officers and public safety dispatchers involve very different duties and tasks, these two
occupations are strikingly similar with respect to many worker requirements.
Given this similarity, one common set of ten background dimensions was created for peace
officers and public safety dispatchers. The dimensions are organized into five major categories
(Moral Character, Handling Stress and Adversity, Work Habits, Interactions with Others, and
Intellectually-Based Abilities). These dimensions are fully described in Chapter 2, Peace Officer
and Public Safety Dispatcher Background Investigation Dimensions.

Contents
Intentionally blank
A–4
Appendix A
Contents
Table A.1
IMPORTANCE RATINGS:
SELECTED U.S. DEPARTMENT OF LABOR O*NET JOB ATTRIBUTES AND REQUIREMENTS
Importance Rating (%)

ATTRIBUTE REQUIREMENTS PEACE OFFICER DISPATCHER
Integrity CHARACTER – Job requires being honest and ethical. 96 % 91 %
Stress Tolerance DEALING WITH STRESS – Job requires accepting

criticism and dealing calmly and effectively with high stress 93 96
situations.
FREQUENCY OF CONFLICT SITUATIONS – How often

are there conflict situations the employee has to face in 94 88
this job?
DEALING WITH UNPLEASANT OR ANGRY PEOPLE –

How frequently does the worker have to deal with
92 94
unpleasant, angry, or discourteous individuals as part of
the job requirements?
SELF CONTROL – Job requires maintaining composure,

keeping emotions in check, controlling anger, and avoiding 96 94
aggressive behavior, even in very difficult situations.
Decision Making CRITICAL THINKING – Using logic and reasoning to

and Judgment identify the strengths and weaknesses of alternative 86 81
solutions, conclusions or approaches to problems.
FREQUENCY OF DECISION MAKING – How frequently is

the worker required to make decisions that affect other
94 95
people, the financial resources, and/or the image and
reputation of the organization?
INDUCTIVE REASONING – The ability to combine pieces

of information to form general rules or conclusions
84 88
(includes finding a relationship among seemingly unrelated
events).
DEDUCTIVE REASONING – The ability to apply general

rules to specific problems to produce answers that make 75 81
sense.
Conscientiousness DEPENDABILITY – Job requires being reliable,

88 91
responsible, and dependable, and fulfilling obligations.
INITIATIVE – Job requires a willingness to take on

80 82
responsibilities and challenges.
ATTENTION TO DETAIL – Job requires being careful

90 88
about detail and thorough in completing work tasks.
GETTING INFORMATION: Observing, receiving, and

93 99
otherwise obtaining information from all relevant sources.
continues

Contents
Table A.1 continued

IMPORTANCE RATINGS:
SELECTED U.S. DEPARTMENT OF LABOR O*NET JOB ATTRIBUTES AND REQUIREMENTS
Importance Rating (%)

ATTRIBUTE REQUIREMENTS PEACE OFFICER DISPATCHER
Interpersonal WORKING DIRECTLY WITH THE PUBLIC – Dealing

Skills directly with the public, such as serving customers in 92 92
restaurants and stores, receiving clients or guests, etc.
WORK WITH WORK GROUP OR TEAM – How important

92 93
is it to work with others in a group or team in this job?
CONCERN FOR OTHERS – Job requires being sensitive to

others’ needs and feelings and being understanding and 81 84
helpful on the job.
ACTIVE LISTENING – Giving full attention to what other

people are saying, taking time to understand the points
88 97
being made, asking questions as appropriate, and not
interrupting at inappropriate times.
Communication ORAL COMPREHENSION – The ability to listen to and

Skills understand information and ideas presented through 84 100
spoken words
SPEAKING – Talking to others to convey information

81 92
effectively.
WRITING – Communicating effectively in writing as

appropriate for the needs of the audience.
84 59
WRITTEN EXPRESSION – The ability to communicate

66 84
information and ideas in writing so others will understand.
A–6
Contents
Appendix B
SAMPLE NOTIFICATIONS, ADVISEMENTS
AND RELEASE AUTHORIZATIONS
Appendix B includes the following samples of written notifications, advisements and release
authorizations.
Sample forms that can be modified for agency use can be found on the POST website:
http://lib.post.ca.gov/Publications/formsList.pdf
Samples:
B.1 Notification of Conditional Job Offer
B.2 Advisement to Candidate Regarding False Statements
B.3 Advisement Seeking Lateral Placement – Peace Officers
B.4 Advisement Seeking Lateral Placement – Public Safety Dispatchers
B.5 Authorization/Advisement to Conduct a Pre-Employment Peace Officer Background
Investigation
B.6 Authorization to Release Information for Employment – Peace Officer Candidates
B.7 Authorization to Release Information for Employment – Public Safety Dispatcher
Candidates
B.8 Advisement to Candidates Regarding the Use of Credit Information for Employment
Purposes
Guidelines for the Investigator B–1

Intentionally blank
B–2
Appendix B
Contents
Sample B.1
NOTIFICATION OF CONDITIONAL JOB OFFER
AGENCY LETTERHEAD
[Date]
[Name]
[Mailing Address]
[City, ST Zip]
SUBJECT: CONDITIONAL OFFER OF EMPLOYMENT
Dear Mr./Ms. ___________________:
This letter constitutes a conditional offer of employment as a ______[Position]______ with the
____________[Agency Name]_______________ Department. However, a final, unconditional
job offer will be made only upon successful completion of each and every one of the following:
1. A medical screening in accordance with the provisions of Government Code Sections
1031, 12940 and the California Commission on Peace Officer Standards and Training.
2. A psychological screening in accordance with California Government Code §1031(f)

and guidelines established by the California Commission on Peace Officer Standards
and Training.
3. Completion of the background investigation pursuant to California Government Code

§1031(d), to include information that was neither legal nor practical to obtain prior to
the extension of this offer, or in response to issues that arose subsequent to this offer.
Should you be unsuccessful in any of the above evaluations, this job offer is revoked.
Due to some expected attrition of candidates who either resign or are removed from the
eligibility list at the post-offer stage, the number of conditional job offers extended may exceed
the number of immediate vacancies. If this happens, you may be placed in a candidate pool
and will be extended an offer of employment as soon as a vacancy arises.
THEREFORE, DO NOT GIVE NOTICE, QUIT YOUR PRESENT EMPLOYMENT OR RELOCATE

UNTIL YOU HAVE BEEN OFFICIALLY NOTIFIED THAT YOU HAVE SUCCESSFULLY
COMPLETED THE MEDICAL EVALUATIONS AND YOUR HIRE DATE HAS BEEN CONFIRMED.
Sincerely,
[Name]
[Title]
[Contact Number – optional]

[Email – optional]

Sample B.2
ADVISEMENT TO CANDIDATE REGARDING FALSE STATEMENTS
ADVISEMENT TO CANDIDATE
REGARDING FALSE STATEMENTS
CANDIDATE NAME:
The overall purpose of the pre-employment background investigation is to verify that your
application and any statements you have made to your prospective employer concerning your
qualifications are true.
The California courts have held that an employer has a legal duty to know the persons whom it
employs. In some cases, California law may mandate a background investigation before
employment, while in other cases it is merely a case of public policy or prudence before placing
someone in a position of public trust.
Both State and Federal courts have also held that there is an absolute necessity for public
employees to be truthful. You must understand that a lack of truthfulness or deception of any type
on your part will automatically and irrevocably result in your application being rejected from further
consideration.
For some people, there may be one or more incidents or occurrences in their background which
they regret or over which they may feel some embarrassment. A prospective employer will not
make inquiries into areas of a person's background that have no legitimate bearing on their
qualifications for the job. You should understand that the mere presence of so-called "negative"
information in your background is not automatically disqualifying. For example, an applicant may
have engaged in petty thievery as a child, used illegal drugs, been fired from a job, or been
convicted of a crime as an adult. While these things in and of themselves may not automatically
remove that person from consideration for a job, lying about them will.
A pre-employment background investigation is not intended to be an intimidating experience or an
unwarranted invasion into your privacy. Your background investigator will contact persons who
know you, including present and/or former employers, and will examine official documents and
records concerning you to assure that you have been honest in your application and to fulfill the
legal mandates imposed by the courts and legislature. The more forthright you have been, the
greater the likelihood that your background can be completed in a timely and successful manner.
CERTIFICATION
I understand that any false statement and/or deliberate misrepresentations, whether by omission
or commission, will result in my application being automatically and irrevocably rejected from
further consideration. I certify that I have read the above statement, understand its contents and
have been furnished a copy of it.
Signature: _________________________________________ Date: _____________________
B–4
Appendix B
Sample B.3
ADVISEMENT SEEKING LATERAL PLACEMENT
PEACE OFFICERS
ADVISEMENT TO PEACE OFFICERS

SEEKING LATERAL PLACEMENT
California Government Code §1031 prohibits the employment of persons who are not of
good moral character or who are not fit to serve as peace officers. This legal prohibition
applies equally to persons seeking employment as peace officers, as well as to persons
already employed as peace officers seeking appointment with another agency.
STATEMENT
You will undergo a rigorous, in-depth background investigation as a result of your

application for this position. In the event that your background investigation for this position
should uncover information that you have, or are suspected of having been, engaged in
illegal activities while employed as a peace officer, this information will likely bar you from
further consideration for this position. Further, in the event that this illegal activity occurred
during the time of your present employment as a peace officer, or if this background
investigation should uncover information which raises questions about your fitness to
continue as a peace officer, this information may be transmitted to your present employer
for their independent investigation.
CERTIFICATION
I certify that I have read this advisement, understand its implications, and have received
a copy of it.
_______________________________________ __________________
Signature of Applicant Date
_______________________________________
Print Name

Sample B.4
ADVISEMENT SEEKING LATERAL PLACEMENT
PUBLIC SAFETY DISPATCHERS
ADVISEMENT TO PUBLIC SAFETY DISPATCHERS

SEEKING LATERAL PLACEMENT
California Code of Rules and Regulations, Title 11 §1959 [enacted pursuant to California
Penal Code §13510(c)] prohibits the employment of persons who exhibit past behavior
incompatible with the performance of the duties of a public safety dispatcher. This legal
prohibition applies equally to persons seeking employment as public safety dispatchers, as
well as to persons already employed as public safety dispatchers seeking appointment with
another agency.
STATEMENT
You will undergo a rigorous, in-depth background investigation as a result of your

application for this position. In the event that your background investigation for this position
should uncover information that you have, or are suspected of having been, engaged in
illegal activities while employed as a public safety dispatcher, this information will likely bar
you from further consideration for this position. Further, in the event that this illegal activity
occurred during the time of your present employment as a public safety dispatcher, or if this
background investigation should uncover information which raises questions about your
fitness to continue as a public safety dispatcher, this information may be transmitted to
your present employer for independent investigation.
CERTIFICATION
I certify that I have read this advisement, understand its implications, and have received a
copy of it.
_______________________________________ __________________
Signature of Applicant Date
_______________________________________
Print Name
B–6
Appendix B
Sample B.5
SAMPLE AUTHORIZATION/ADVISEMENT TO CONDUCT A PRE-EMPLOYMENT PEACE OFFICER
BACKGROUND INVESTIGATION
AUTHORIZATION / ADVISEMENT
INFORMED CONSENT RELEASE AND HOLD HARMLESS FOR CONFIDENTIALITY
OF PRE-EMPLOYMENT BACKGROUND INVESTIGATION DATA
CANDIDATE NAME:
I fully recognize that under California law, individuals must clearly demonstrate their personal, medical, and psychological fitness to serve
in the position of a peace officer. I further recognize that an employing agency must make reasonable efforts to ensure that any person
employed as a peace officer will conform to the standards required by law.
I understand that I am authorizing an intensive investigation into all aspects of my personal, medical, and psychological fitness, and that
such investigation will include contacting persons and/or organizations who have information relating to my fitness, including if I am or
have been a peace officer in California, information protected under sections 832.7 of the Penal Code and 1043 of the Evidence Code. I
also understand that those persons and/or organizations may feel inhibited, intimidated, or otherwise reticent about furnishing information
concerning my fitness unless confidentiality of their information can be guaranteed on a permanent basis, which means I will not be
permitted to access or review information communicated by those persons or organizations about my suitability for peace officer
employment.
I further recognize that although some of the information contained in the background investigative report is a matter of public record, or
may otherwise be accessible to me, this information may be inextricably interwoven with other confidential data to which I otherwise would
not be privy. I have been informed that because this background investigation is mandated by law, responses from persons contacted,
whether solicited or unsolicited, are privileged under California Civil Code §47 or other applicable provisions of law. Those persons must be
able to communicate freely and openly with a background investigator about my qualifications and suitability for law enforcement
employment without fear that their statements might subject them to liability or become known to me.
Therefore, I exonerate, release, and discharge the person contacted by my prospective employer, together with my prospective employer,
and their officers, agents, or assigns, from any claim for liability or damages of any kind, whether in law or in equity, on behalf of myself, my
heirs, agents, or assigns, for their communications about my suitability for employment, and for any refusal to make available to me any
and all confidential information contained in this pre-employment investigation, including but not limited to the identity of any person or
organization who may have supplied information in the course of this investigation, as well as the substance of any such information
supplied which might identify that person, and from any other compliance with this authorization or attempts to comply with it.
I have had adequate time to review this form, I understand its meaning and purpose and understand that I have the right to be furnished a
signed copy of this form, upon request, pursuant to California Labor Code §432.
_________________________________ ___________________________
Candidate Signature Date
This release is valid for 120 days from the date of signature.
A notary public or other officer completing this certificate verifies only the identity of the individual who signed
the document to which this certificate is attached and not the truthfulness, accuracy or validity of that document.
State of California
County of _______________________________________________________
Subscribed and sworn (or affirmed) before me on this ___________ day of

________________, 20___ by ______________________________________,
proved to me on the basis of satisfactory evidence to be the person who
appeared before me.
_________________________________
Notary Public Signature Notary Public Seal

Sample B.6
SAMPLE AUTHORIZATION TO RELEASE INFORMATION FOR EMPLOYMENT – PEACE OFFICER CANDIDATES
RELEASE AUTHORIZATION
EMPLOYMENT INFORMATION – PEACE OFFICER
CANDIDATE NAME:
California Government Code §1031, subdivision (d), provides that each class of Public Officer or Employees declared by law to be Peace
Officers shall "be of good moral character, as determined by a thorough background investigation."
As a candidate for a position with the [Name of Employer] , I am required to furnish information for use in determining my qualifications. I
accordingly authorize, for 120 days from the date I sign this release and waiver, any authorized representative of my prospective employer bearing
this release or any copy thereof, to obtain any and all information you have concerning me, including but not limited to, information pertaining to my
employment, job applications, performance evaluations, attendance records, disciplinary actions, eligibility for rehire, and other information relevant
to my suitability for peace officer employment, including any and all files otherwise deemed confidential or privileged, including any and all materials
that have been sealed by agreement, court order, or otherwise, including, but not limited to, disciplinary matters. I acknowledge and understand that
when my prior employers, or other persons, provide information to my prospective employer in order for my prospective employer to determine
suitability for peace officer employment, that the disclosure of information by my prior employer or other persons to my prospective employer is
protected, by, among other things, the absolute privilege of California Civil Code §47, subsections (b) and (c), and California Government Code
§1031.1.
Pursuant to Penal Code section 832.12, I further understand that peace officers, when seeking employment with another department or agency
employing peace officers in this state, are required to give written permission to the hiring department or agency to review his or her general
personnel file and any other separate file designated by his or her agency, including investigations of misconduct.
I hereby acknowledge and understand that certain records or information contained in any of the files, materials or information that may be disclosed
to my prospective employer pursuant to this release may be considered confidential under California Penal Code §832.7 and other applicable law,
and therefore potentially otherwise subject to discovery or disclosure only pursuant to a noticed motion under California Evidence Code §1043. By
signing this authorization, I hereby voluntarily and irrevocably waive any and all rights to have any record or records or information contained therein
discovered or disclosed only by a noticed motion pursuant to California Evidence Code §1043, and instead hereby freely and voluntarily authorize the
disclosure of all such records, including those records to which, as an employee, the undersigned would have or did have access. I agree that if I am
hired, I may choose to have information gathered during the background investigation remain confidential and not become part of my general
personnel file for purposes of the Public Safety Officers Procedural Bill of Rights Act, Gov’t Code §§ 3300 et seq.
I hereby release, discharge, and exonerate the agency and/or any person furnishing information pursuant to this release, including their agents and
representatives, from liability or damages of any kind arising out of the furnishing and/or inspection of records in compliance with this authorization
and request to release information. I hereby waive any and all right and/or opportunity to review, inspect and/or obtain the background investigation
report and/or any information provided during the background investigation.
It is further understood, acknowledged, and agreed to, that any information secured pursuant to this statutorily required background investigation,
which would negatively reflect on my fitness for duty, may be furnished to my current law enforcement employer or other third parties as may be
deemed necessary in the course of fulfilling its official responsibilities.
This release shall be binding on my legal representatives, heirs, and assigns.
_________________________________ ___________________________
The authorization to release records is valid for 120 days from the date of signature.
the document to which this certificate is attached and not the truthfulness accuracy or validity of that document.
State of California
County of _______________________________________________________

________________, 20___ by ______________________________________, proved to
me on the basis of satisfactory evidence to be the person who appeared before me.
_________________________________
B–8
Appendix B
Sample B.7
SAMPLE AUTHORIZATION TO RELEASE INFORMATION FOR EMPLOYMENT –
PUBLIC SAFETY DISPATCHER CANDIDATES
RELEASE AUTHORIZATION
EMPLOYMENT INFORMATION – PUBLIC SAFETY DISPATCHER
CANDIDATE NAME:
As an applicant for the position of Public Safety Dispatcher with the______[Name of Employer]______, under California
law [Code of Regulations, Title 11, Sections 1956-1960, enacted pursuant to Penal Code §13510(c)], my prospective
employer is required to conduct an investigation into my fitness to serve in this capacity.
I hereby authorize and direct you, your organization, its Custodian of Records, and/or persons in your employ to
furnish and release any and all information which you may have concerning me, including information which may be of
a confidential, privileged, and/or derogatory nature, including, but not limited to: employment information, official
employment documents, employment performance data (pursuant to Government Code §1031.1 and other applicable
law), character reference information, educational records and transcripts (pursuant to the Family Educational Rights
and Privacy Act of 1974 [Public Law 93-380]), medical, surgical, psychological, and dental records (if I am offered
employment with this agency) (pursuant to, e.g., the Confidentiality of Medical Information Act, Civil Code §56 et seq.,
applicable federal law, including but not limited to 29 C.F.R. 1630 et seq.), credit and financial information (pursuant
to, e.g., the Right to Financial Privacy Act, and various state and federal Fair Credit Reporting Acts), local criminal
history information [pursuant to Penal Code §13300(b)(10)], and/or any other information that you possess about me.
I exonerate, release and discharge you, your organization, its officers, agents, and assigns, from any liability or
damages, whether in law or in equity, for furnishing the truthful information requested by the bearer of this
authorization form. Truthful responses are protected, even if unsolicited, by the absolute privilege of California Civil
Code §47.
I have had adequate time to review this form, I understand its meaning and, if requested, will be furnished a copy of it
pursuant to California Labor Code §432.
_________________________________ ___________________________
This release is valid for 120 days from the date of signature.
the document to which this certificate is attached and not the truthfulness accuracy or validity of that document.
State of California
County of _______________________________________________________

________________, 20___ by ______________________________________,
proved to me on the basis of satisfactory evidence to be the person who
appeared before me.
_________________________________

Sample B.8
SAMPLE ADVISEMENT TO CANDIDATES REGARDING THE USE OF
CREDIT INFORMATION FOR EMPLOYMENT PURPOSES
ADVISEMENT TO CANDIDATE
REGARDING CREDIT INFORMATION FOR EMPLOYMENT PURPOSES
The U.S. Fair Credit Reporting Act (FCRA) [15 U.S. Code 1681, §604(b)] and California’s Consumer
Credit Reporting Agencies Act (Civil Code §1785.20.5) require that you be notified separately of
your rights before any prospective employer may use credit data as part of an employment
decision. In some cases, an evaluation of your financial history is mandated by law [California
Code of Regulations, Title 11, Sections 1953(e)(11)/1959(e)(10)], or by policy of your prospective
employer.
You are hereby notified that your prospective employer intends to use credit data as part of its
decision-making process for the position for which you have applied. The Credit Reporting Agency
(CRA), which will furnish this data, will be ___ [Name of Credit Agency]_____________
located at [Agency Address]_______________________. Their telephone
number is [Area Code - Number] . You will automatically be furnished a copy of this report,
but before any adverse actions are taken as a result of this document, you are advised of the
following:
1. Access to your file is limited to persons recognized by the FCRA;

2. Your consent is required for reports that are provided to employers or that contain
medical information;
3. You can find out what is in your file, although some information, such as “risk
sources” or “credit scores” may be lawfully withheld;
4. You have been informed of the name, address, and telephone number of the CRA
which is furnishing this data;
5. You can dispute inaccurate information with the CRA;
6. Inaccurate information must be corrected or deleted;
7. Outdated information may not be reported (seven years for most information, ten
years for bankruptcies);
8. You may choose to exclude your name from the CRA list for unsolicited credit and
insurance offers;
9. You may seek damages from violators, and;
10. The complete text of this act may be found at www.ftc.gov.
CERTIFICATION: I certify that [Name of Hiring Agency]______________ has my

consent to obtain a copy of my credit report for the limited purpose of my pre-employment
background investigation; that I have been furnished with the name, address, and telephone
number of the CRA, I have been informed that I will receive a copy of my credit report and that I
have been informed in summary form of my rights under the FCRA.
Signature: ____________________________________________________ Date: ______________________
Print Name: ____________________________________________________
B–10
Appendix C
Appendix C
SAMPLE FORMS, REFERENCE CHECK LETTERS
AND QUESTIONNAIRES
Appendix C includes the following examples of forms, reference check letters and questionnaires.
Sample forms that can be modified for agency use can be found on the POST website:
http://lib.post.ca.gov/Publications/formsList.pdf
Samples:
C.1 Background Investigation Checklist – Peace Officer
C.2 Background Investigation Checklist – Public Safety Dispatcher
C.3 Cover Letter for Reference Checks
C.4 Questionnaire for Reference Checks
C.5 Interview Questionnaire for Neighborhood Reference Checks
C.6 Cover Letter to Landlords
C.7 Questionnaire Landlord Reference Check
C.8 Employment Query Letter
C.9 Attachment to Employment Query (Government Code Section 1031.1)
C.10 Cover Letter to Past Employers/Supervisors
C.11 Questionnaire for Past Employers/Supervisors
C.12 Inquiry Letter for Selective Service System
Guidelines for the Investigator C–1

Intentionally blank
C–2
Appendix C
Sample C.1
BACKGROUND INVESTIGATION CHECKLIST – PEACE OFFICER
Page 1 of 2
NAME POSITION
1. Documents Verified
TYPE OF DOCUMENT DATE BY TYPE OF DOCUMENT DATE BY
Birth Date Marriage Dissolution(s):
Citizenship Requirement
Educational Requirement
Selective Svc Registration/Military Discharge
Driver License
2. Reference Checks Completed

DATE DATE
TYPE OF CONTACT PERSONAL LETTER REPLY TYPE OF CONTACT PERSONAL LETTER REPLY
CONTACT MAILED RECEIVED BY CONTACT MAILED RECEIVED BY
Relatives and References Employers, Supervisors, and Co-workers
Neighbors and Landlords Secondary References

Sample C.1 continued

BACKGROUND INVESTIGATION CHECKLIST – PEACE OFFICER
Page 2 of 2
NAME POSITION
3. Record Checks Completed

DATE DATE
TYPE OF INQUIRY LETTER REPLY TYPE OF INQUIRY LETTER REPLY
MAILED RECEIVED BY MAILED RECEIVED BY
Educational Documents Legal Records
FBI Record
CA Department of Justice
Firearms Clearance Letter
Credit Records Local LE Agency Checks:
Military Records
DMV Records
4. Examinations Completed
TYPE OF SCREENING DATE BY OTHER DATE BY
Medical Screening Completed
Psychological Screening Completed
5. Additional Actions Completed

TYPE OF ACTION DATE BY COMMENTS
Applicant Orientation and Questionnaire
Review (Optional)
Applicant Discrepancy Interview, if any (Optional)
Narrative Investigation Report Completed
C–4
Appendix C
Sample C.2
BACKGROUND INVESTIGATION CHECKLIST – PUBLIC SAFETY DISPATCHER
Page 1 of 2
NAME POSITION
Birth Date Driver License
Employment Eligibility Marriage Dissolutions(s)
Education Verification
Selective Svc Registration/Military Discharge

DATE DATE
TYPE OF CONTACT PERSONAL LETTER REPLY TYPE OF CONTACT PERSONAL LETTER REPLY
CONTACT SENT RECEIVED BY CONTACT SENT RECEIVED BY


BACKGROUND INVESTIGATION CHECKLIST – PUBLIC SAFETY DISPATCHER
Page 2 of 2
NAME POSITION

DATE DATE
TYPE OF INQUIRY LETTER REPLY TYPE OF INQUIRY LETTER REPLY
SENT RECEIVED BY SENT RECEIVED BY
FBI Record
CA Department of Justice
Local LE Agency Checks:
Credit Records
Military Records
DMV Records
Medical Screening Completed
Psychological Screening Completed (Optional)

TYPE OF ACTION DATE BY COMMENTS
Applicant Orientation and Questionnaire
Review (Optional)
Applicant Discrepancy Interview, if any (Optional)
C–6
Appendix C
Sample C.3
SAMPLE COVER LETTER FOR REFERENCE CHECKS
AGENCY LETTERHEAD
[Date]
[Name]
[Mailing Address]
[City, ST Zip]
Dear Mr./Ms. ________________________________:
[Name of Candidate] has applied for a position in this

department. We are informed that you may be able to furnish information of value
concerning the candidate’s qualifications.
Please assist us by expressing your opinion of this individual and answering the
questions on the attached questionnaire. Your responses are absolutely privileged
under the law.
We rely upon well-informed individuals to assist us in the selection of personnel who

are qualified for public service training and who will maintain high standards of
performance in law enforcement.
Your cooperation and an early reply in this matter will be appreciated.
Very truly yours,
[Name]
[Title]


Sample C.4
SAMPLE QUESTIONNAIRE FOR REFERENCE CHECKS
QUESTIONNAIRE
REFERENCE CHECK page 1 of 2
CANDIDATE NAME:
1. How do you know this candidate?

________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
2. How long have you known the candidate? ____ years ____ months
3. Do you feel the candidate will be effective in a job where helping other people is a key responsibility?
Y N
Explain: __________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
4. Do you consider the candidate to be an honest person? Y N

Explain: __________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
5. How does the candidate deal with difficult problems or emergencies?

________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
6. How well does the candidate keep his/her commitments on time and as agreed?
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
7. Does the candidate presently engage in illegal drug use? Y N

Explain: __________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
8. Has the candidate expressed or displayed any bias or prejudice towards others? Y N
Explain: __________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
C–8
Appendix C

SAMPLE QUESTIONNAIRE FOR REFERENCE CHECKS
QUESTIONNAIRE
REFERENCE CHECK continued page 2 of 2
CANDIDATE NAME:
9. Would you trust this candidate with your own personal safety or that of your family? Y N
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
10. Please provide any other information about the candidate that you feel might be relevant to the
background investigation:
________________________________________________________________________________
________________________________________________________________________________
________________________________________________________________________________
11. List other personal references we may contact regarding the candidate:
Name Name Name
Address Address Address
Phone Phone Phone
Email Email Email
Signature: _____________________________________________ Date: ____________________
Print Name: _____________________________________________
Address: _____________________________________________
_____________________________________________
_____________________________________________
PLEASE RETURN QUESTIONNAIRE TO: [AGENCY NAME]

[MAILING ADDRESS]
[CITY, ST, ZIP]
[ATTN: CONTACT NAME/DEPARTMENT]
THANK YOU FOR YOUR ASSISTANCE

Sample C.5
SAMPLE INTERVIEW QUESTIONNAIRE FOR NEIGHBORHOOD REFERENCE CHECK
INTERVIEW QUESTIONNAIRE
NEIGHBORHOOD REFERENCE CHECK
CANDIDATE’S NAME: DATE OF INTERVIEW W/NEIGHBOR:
NEIGHBOR’S NAME: NEIGHBOR’S PHONE:
NEIGHBOR’S ADDRESS:
Not at all Somewhat Very well

1. On a scale of 1 (not at all) to 5 (very well), how well do you
know the candidate? (Circle response.) 1 2 3 4 5
2. How long have you known the candidate?

Explain: ____________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
3. Have you ever had any complaints against the candidate? Y N

Explain: ____________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
4. Have any of the other neighbors ever complained about the candidate? Y N
Explain: ____________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
5. Is the candidate friendly and/or helpful to others? Y N

Explain: ____________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
6. Has the candidate ever displayed any racial, ethnic, sexual or religious bias or prejudice? Y N
Explain: ____________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
7. Have you ever suspected any illegal activity by the candidate? Y N

Explain: ____________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
C–10
Appendix C

SAMPLE INTERVIEW QUESTIONNAIRE FOR NEIGHBORHOOD REFERENCE CHECK
INTERVIEW QUESTIONNAIRE
NEIGHBORHOOD REFERENCE CHECK continued page 2 of 2
CANDIDATE NAME:
8. Has law enforcement ever responded to the residence? Y N
Explain: _____________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
9. Do you know the candidate well enough to recommend him/her for this position of public trust? Y N
Explain: _____________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
10. Are you aware of any circumstances that might disqualify the candidate from this position of
public trust? Y N
Explain: ____________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
11. Would you want the candidate as a neighbor in the future? Y N

Explain: ____________________________________________________________________________
___________________________________________________________________________________
___________________________________________________________________________________
Additional Comments:
Reprinted and adapted with permission from Gary Barner Investigative Services.

Sample C.6
SAMPLE COVER LETTER TO LANDLORDS
AGENCY LETTERHEAD
[Date]
[Name]
[Mailing Address]
[City, ST Zip]
Dear Mr./Ms. ________________________________:
[Name of Candidate] , who resided as a tenant
at: ___________________________________________________________________
___________________________________________________________________
from: _____________________________ to: ______________________________
is a candidate for a position as a peace officer public safety dispatcher with this
agency.
We are asking your assistance in helping us determine his/her qualifications for the
position. Please do so by completing the attached questionnaire. Your responses enjoy
absolute privilege under the law.
Sincerely,
[Name]
[Title]

C–12
Appendix C
Sample C.7
SAMPLE QUESTIONNAIRE FOR LANDLORD REFERENCE CHECK
QUESTIONNAIRE
LANDLORD REFERENCE CHECK page 1 of 2
CANDIDATE NAME:
1. How long have you rented/did you rent to the candidate?

_________________________________________________________________________________
2. Do/Did you know the candidate other than as a tenant? Y N

Explain: __________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
3. Does/Did the candidate pay his/her rent on time/as agreed? Y N

Explain: __________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
4. Does/Did the tenant have any problems with other tenants/neighbors? Y N

Explain: __________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
5. Would you rent to this candidate again? Y N

Explain: __________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
6. Did the candidate leave your property in good/satisfactory condition? Y N N/A

Explain: __________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
7. Would you recommend the candidate for a position of public trust such as police officer or public
safety dispatcher? Y N
Explain: __________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________


SAMPLE QUESTIONNAIRE FOR LANDLORD REFERENCE CHECK
QUESTIONNAIRE
LANDLORD REFERENCE CHECK continued page 2 of 2
CANDIDATE NAME:
8. Please give any additional pertinent facts that may occur to you:
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
Signature: _________________________________________ Date: ___________________
Print Name: _________________________________________
Address: _________________________________________
_________________________________________
_________________________________________

[MAILING ADDRESS]
[CITY, ST, ZIP]
C–14
Appendix C
Sample C.8
SAMPLE LETTER – EMPLOYMENT QUERY
[To be used for peace officer candidates who are not currently employed as peace officers and candidates seeking
public safety dispatcher positions with law enforcement agencies.]
AGENCY LETTERHEAD
[Date]
[Name]
[Mailing Address]
[City, ST Zip]
Dear Mr./Ms. ________________________________:
[Name of Candidate] , who was employed by you from _____________ to

_____________, is a candidate for the position of peace officer/public safety dispatcher in this
department. We are asking your assistance in helping to determine his/her qualifications for the position
by supplying us with employment information regarding this individual.
Government Code §1031.1 requires employers to disclose written employment information when a
person is applying for a peace officer/public safety dispatcher position. A copy of the law is attached for
you. An employer has an obligation to disclose written employment information, which includes
information in connection with job applications, performance evaluations, attendance records,
disciplinary actions, eligibility for rehire, and other information relevant to peace officer/public safety
dispatcher performance (except information prohibited from disclosure by any other state or federal law
or regulation).
We would appreciate your cooperation in providing the above employment information regarding
[Name of Candidate] . We are accompanying this request with a notarized authorization
releasing you from civil liability. We would be glad to cover any costs you incur in copying and furnishing
these documents to us. Of course, your responses are absolutely privileged under the law.
Very truly yours,
[Name]
[Title]

Attachments: Government Code §1031.1

Authorization/Advisement Form

Sample C.9
SAMPLE LETTER – ATTACHMENT (GOVERNMENT CODE)
Attachment
GOVERNMENT CODE SECTION 1031.1
1031.1. (a) For purposes of performing a thorough background investigation for candidates not
currently employed as a peace officer, as required by subdivision (d) of §1031, or in the case of an
applicant for a position other than a sworn peace officer within a law enforcement agency, an employer
shall disclose employment information relating to a current or former employee, upon request of a law
enforcement agency, if all of the following conditions are met:
(1) The request is made in writing.
(2) The request is accompanied by a notarized authorization by the candidate releasing the employer
of liability.
(3) The request and the authorization are presented to the employer by a sworn officer or other
authorized representative of the employing law enforcement agency.
(b) In the absence of fraud or malice, an employer shall not be subject to any civil liability for any
relevant cause of action by virtue of releasing employment information required pursuant to this
section. This section does not in any way or manner abrogate or lessen the existing common law or
statutory privileges and immunities of an employer.
(c) For purposes of this section, "employment information" includes written information in connection
with job applications, performance evaluations, attendance records, disciplinary actions, eligibility for
rehire, and other information relevant to the performance of a peace officer or other law
enforcement agency applicant, except information prohibited from disclosure by any other state or
federal law or regulation.
(d) An employer's refusal to disclose information to a law enforcement agency in accordance with this
section shall constitute grounds for a civil action for injunctive relief requiring disclosure on the part of
an employer.
(e) Employment information disclosed by an employer to an initial requesting law enforcement agency
shall be deemed confidential. However, the initial requesting law enforcement agency may disclose this
information to another authorized law enforcement agency that is also conducting a background
investigation into a peace officer or other law enforcement agency applicant. If this information is
disclosed to another law enforcement agency, that agency shall utilize the information for investigative
leads only and the information shall be independently verified by that agency in order to be used in
determining the suitability of a peace officer or other law enforcement agency applicant.
(f) An employer may charge reasonable fees to cover actual costs incurred in copying and furnishing
documents to law enforcement agencies as required by this section.
C–16
Appendix C
Sample C.10
SAMPLE COVER LETTER FOR QUESTIONNAIRE
TO PAST EMPLOYERS/SUPERVISORS
AGENCY LETTERHEAD
[Date]
[Name]
[Mailing Address]
[City, ST Zip]
Dear Mr./Ms. ________________________________:
[Name of Candidate] , who was employed by your firm from

____________________ to __________________, is a candidate for the position
of [Position Title] in this department.
We are asking your assistance in helping to determine his/her qualifications for the position.
Would you please help us by answering the questions on the enclosed questionnaire? Your
responses are absolutely privileged under the law.
If you prefer to speak with us by phone, please contact me at [Area Code - Number] . My
normal work hours are [Hours] .
Your cooperation is greatly appreciated.
Very truly yours,
[Name]
[Title]
enclosure

Sample C.11
SAMPLE QUESTIONNAIRE TO PAST EMPLOYERS/SUPERVISORS
QUESTIONNAIRE
EMPLOYMENT QUALIFICATIONS Page 1 of 2
CANDIDATE NAME:
1. Why did the candidate leave your employ?

_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
2. Was the candidate punctual and dependable? Y N

Explain: ___________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
3. How did the candidate get along with other employees?

_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
4. How did the candidate deal with difficult problems or emergencies?

_________________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
5. Was the candidate honest and truthful? Y N

Explain: ___________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
6. Did the candidate have any problems following/adhering to company or agency policies? Y N
Explain: ___________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
7. Did the candidate have any extended work absences? (Do NOT include periods of disability, legitimate
illness, or maternity leave.) Y N
Explain: ___________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
8. Would you rehire or recommend the candidate for hiring? Y N

Explain: ___________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
C–18
Appendix C

SAMPLE QUESTIONNAIRE TO PAST EMPLOYERS/SUPERVISORS
QUESTIONNAIRE
EMPLOYMENT QUALIFICATIONS continued Page 2 of 2
CANDIDATE NAME:
9. Can you think of any reason why the candidate might not be qualified to work in a law enforcement
agency? Y N
Explain:____________________________________________________________________________
_________________________________________________________________________________
_________________________________________________________________________________
10. If you know of other persons who may be able to furnish information about the candidate, please give
their names and contact information:
Name Name
Address Address
Phone Phone
Email Email
Signature ___________________________________________ Date ____________________
Print Name ___________________________________________
Address ___________________________________________
___________________________________________
___________________________________________

[MAILING ADDRESS]
[CITY, ST, ZIP]

Sample C.12
SAMPLE INQUIRY LETTER FOR SELECTIVE SERVICE SYSTEM
AGENCY LETTERHEAD
Date
Selective Service System

Data Management Center
P.O. Box 94638
Palatine, IL 60094-4638
Ladies and Gentlemen:
[Name of Candidate] is a candidate for a position in this department,

and we are unable to locate his proof of registration in your automated system.
Please send us a copy of information pertaining to the candidate’s compliance with Selective Service
registration requirements. We have enclosed a waiver signed by the candidate.
To aid you in finding the candidate’s file, we are providing the following information:
Complete Name:
Current Mailing Address:
Telephone Number: ( )
Date of Birth:
Selective Service Number:
Address at Time of Registration:
Approximate Date of Registration:
Your cooperation is appreciated.
Sincerely,
[Name]
[Title]
enclosure
C–20
Appendix D
Appendix D
SAMPLES OF SELECTED SECTIONS OF
A COMPLETED BACKGROUND INVESTIGATION REPORT
Appendix C includes the following examples of completed areas of the background

investigation files.
Sections Represented:
BACKGROUND INVESTIGATION CHECKLIST (optional – refer to Appendix C – Sample C.1)
TAB A BACKGROUND NARRATIVE REPORT
TAB K EMPLOYMENT HISTORY CHECKS
TAB L RELATIVES/PERSONAL REFERENCES CHECKS
TAB M NEIGHBORHOOD CHECKS
Guidelines for the Investigator D–1

Intentionally blank
D–2
Appendix D
Contents
Sample (Optional)
BACKGROUND INVESTIGATION CHECKLIST – PEACE OFFICER REQUIREMENTS
NAME POSITION
Birth Date 10/09/16 Marriage Dissolution(s): N/A
Citizenship Requirement 10/09/16
Educational Requirement 10/14/16
Selective Svc Regis/Military Discharge N/A
Driver License 10/18/16

DATE DATE
Personal Letter Reply Personal Letter Reply
TYPE OF CONTACT Contact Mailed Received BY TYPE OF CONTACT Contact Mailed Received BY
Kathleen & Robert Smith (parents) 10/10/16 Triple Play Sports Grill 10/12/16
Michael McFarland 10/11/16 VA Linux Systems 10/14/16
Randy Highland 10/11/16 Sanmina Corp (HADCO) 10/14/16
Carolyn Hooper (best friend) 10/15/16 Dot Hill Unlimited (storage facility) 10/18/16
Maria Gonzalez 10/15/16 Compaq (Tandem) 10/18/16 10/24/16
Nancy Johnson 10/15/16 ADECCO (Olsten Staffing) 10/20/16 *

Robin Ferguson 10/16/16 Toys-R-Us 10/21/16 *
Nelson Burnette 10/16/16 Media Services Inc. 10/24/16 *
Rod Sackett 10/20/16 A LA Carte Services 10/24/16 *
Jeremy Demas 10/20/16 PCS Corporation 10/28/16
Peter Chang 10/24/16 Walgreen’s 10/28/16 *

Jeanette Ahmad 10/24/16 Perform Cost Mgmt 10/28/16 *
1524 First Ave (main house) 10/12/16
1528 First Ave (cottage) 10/12/16
1730 Elk Road (apt mgr) 10/12/16
* No information continues

Contents
Sample (Optional)
BACKGROUND INVESTIGATION CHECKLIST – PEACE OFFICER REQUIREMENTS
continued
NAME POSITION

DATE DATE
Letter Reply Letter Reply
TYPE OF INQUIRY Mailed Received BY TYPE OF INQUIRY Mailed Received BY
H.S. Transcripts 10/10/16 10/21/16 FBI Record
College Transcript – De Anza 10/10/16 10/24/16 CA Department of Justice 10/06/16 10/06/16
College Transcript - Cabrillo 10/10/16 10/18/16 Firearms Clearance Letter
Credit Records Local LE Agency Checks:
Credit Check Inc. 10/14/16 10/20/16 Anytown P.D. 10/06/16 10/10/16
Somewhere P.D. 10/06/16 10/18/16
Anycounty County S.D. 10/06/16 10/20/16
Military Records Someplace County S.D. 10/08/16 10/14/16
N/A Township P.D. 10/08/16 10/13/16
DMV Records
Driving Record 10/06/16 10/18/16
Proof of Insurance 10/06/16 10/18/16
Medical Screening Completed 11/04/16 Polygraph (HOLD FOR RESULTS) 10/30/16
Psychological Screening Completed 11/06/16

TYPE OF SCREENING DATE BY COMMENTS
Applicant Orientation and Questionnaire Review
(Optional)
Applicant Discrepancy Interview, if any
(Optional)
D–4
Appendix D
Contents
The Following Provides a Sample Narrative Summary, Executive Summary and Specific Sections from the
Larger Narrative Report
Selected Section
ORGANIZER TAB A
BACKGROUND NARRATIVE REPORT

Contents
TAB A – BACKGROUND NARRATIVE REPORT (Sample Narrative Summary)
Sample
NARRATIVE SUMMARY – PEACE OFFICER
NARRATIVE SUMMARY Page 1 of 3
CANDIDATE NAME: JANIE SMITH
PERSONAL
The following are personal descriptive data concerning Police Officer Applicant Janie Smith.
There is no disqualifying information in this area.
Full Name: Mary Jane Smith
AKA: Mary J. Smith, Janie Smith
Address: 1234 First Avenue, Hometown, CA 90000
Personal Phone: Home: (000) 000-0000 Cell: (000) 000-0000
Work Phone: (000) 000-0000
Date of Birth: 00-00-0000
Place of Birth: Oldtown, State
Citizenship: U.S.
Social Security Number: 500-00-0000
Driver License Number: B0000000 California
Height: 0 ft – 0 in
Weight: 000 lbs
Hair Color: Brown
Eye Color: Hazel
FBI Number: Not Available
CII Number: Not Available
Fingerprint Class: Not Available
The applicant is an unmarried female who resides in a family-owned home with her son. The
applicant’s claims with respect to her age, birth date, birth place, citizenship, and eligibility to work
in the United State are supported by independent documentation contained in this report.
D–6
Appendix D
Contents
Sample
NARRATIVE SUMMARY – PEACE OFFICER continued
RELATIVES, REFERENCES, AND ACQUAINTANCES

No disqualifying information. The applicant enjoys the full and unreserved support of her parent
and stepparent, who describe her as a compassionate, mentally strong, honest, personable, and
thoughtful individual whose interest in this field dates back to childhood. The only criticism of the
applicant centers on her tendency to be self-critical and her time management skills with regard to
her child.
The balance of the applicant’s references is a mixture of professional acquaintances and social
peers, all of whom recommended her for this position. Several expressed initial surprise at her
interest in police work, but the applicant is characterized as someone who is truthful, loyal,
dedicated, compassionate, athletic, professional, possesses high integrity, and not “heavy-
handed.”
Criticisms of the applicant ranged from her small stature to her being soft spoken and her not
working out more (physically). She is also seen as someone who is too much the perfectionist, yet
not always organized.
EDUCATION
No disqualifying information. The applicant reportedly meets the educational requirements of this
position. The applicant claims she is a 1992 graduate of Hometown High School, but only a
facsimile diploma has been received in support of that claim (TAB G).
RESIDENCES
No disqualifying information. The applicant resides in a home owed by her stepfather, which she
shares with her child. Although neighbors report never even having seen the applicant, her
residence has not been the source of any problems.
EMPLOYMENT
No disqualifying information. The applicant is presently employed as a Food Server for a
restaurant, a position she has held for the last five months. The applicant is characterized as a
good worker who will be eligible for rehire.
The balance of the applicant’s employment history consists of 11 positions within the last
10 years. She has worked as a Commodity Manager, “VAM” Procurement Specialist, Buyer/
Planner II, Purchasing Assistant III, Claims Processor, three times as a Temporary Worker, and
twice as a Cashier. What little information there was available was generally positive.

Contents
Sample
NARRATIVE SUMMARY – PEACE OFFICER continued
MILITARY
No disqualifying information. The applicant reports she has not served in the Armed Forces, and
she was not required to be registered under the Selective Service Registration Act.
FINANCIAL
No disqualifying information. The applicant has twenty-two reported credit accounts and has
satisfied them on a timely basis. The obligations reported on her Personal History Statement (PHS)
form are roughly consistent with those which appear on her credit report (TAB F).
LEGAL
No disqualifying information. The applicant's fingerprints have been submitted to the Department
of Justice by the Anytown Police Department, and they have conducted her local criminal history
checks as well (TABS C & E).
The applicant initially reported no involvement with illegal acts within the required reporting.
However, during her independent polygraph examination she reported having used marijuana
most recently at age 20 (on the edge of the seven year reporting requirement) and having been
detained by Arizona police for drinking and was released to her stepfather.
MOTOR VEHICLE OPERATION

No disqualifying information. The applicant possesses a valid California Driver License which is
free of any collisions or citations. She is properly insured under the California Financial
Responsibility Act (TAB D).
GENERAL TOPICS:
No disqualifying information. The applicant's mandated psychological and medical assessments
were conducted separately from this inquiry.
Supporting documentation is appended.
_________________________________________________ Date: ______________________

Consulting Associate Signature
_________________________________________________
Print Name
D–8
Appendix D
Contents
TAB A – BACKGROUND NARRATIVE REPORT (Sample Executive Summary)
Sample
EXECUTIVE SUMMARY – PEACE OFFICER
EXECUTIVE SUMMARY Page 1 of 1
ANALYSIS AND CONCLUSIONS

The completed background investigation of Police Officer Applicant Janie Smith revealed no
disqualifying information. Apart from the dearth of available employment information, the areas of
investigative concern center on the applicant's Conscientiousness and Willingness to Confront
Problems.
CONSCIENTIOUSNESS
Although characterized by others as conscientious, certain other factors belie that description. The
applicant was initially disqualified on her background after inconsistencies on her PHS were
compared to admissions on her polygraph. Although these matters were addressed by the
Department, the issue is raised again by the fact that the applicant has failed to furnish all of the
documents (high school transcripts) which she had been instructed to furnish (and acknowledged
in writing). Without those transcripts, it is not possible to demonstrate her legal eligibility for
appointment.
The applicant also reports having been employed in 1992 at the Walgreen’s in Anyville, Arizona,
but store officials dispute her claim. It has not been established if the applicant simply failed to
devote enough time to accurately complete her form, or if there is another reason. Her parents
have suggested that time management is not one of her strengths.
CONFRONTING AND OVERCOMING PROBLEMS, OBSTACLES AND ADVERSITY

Some of the applicant’s references expressed some surprise at her interest in a police career,
pointing to the combination of her small stature, soft-spoken nature, and willingness to back down
when challenged. She is also seen by some as a person who is overly self-critical, so should she be
conditionally offered employment with the Department, her psychological assessment may be
especially important in assessing this job dimension.
This background and the completed Investigation Narrative are based solely on the interviews,
and supporting documentation is appended herein.
Mark Evans
Consulting Associate

Contents
Selected Section
ORGANIZER TAB K
EMPLOYMENT HISTORY CHECKS
Sample Employment History Checks
D–10
Appendix D
Contents
TAB K – EMPLOYMENT HISTORY CHECKS
Sample
EMPLOYMENT REFERENCE CHECK
CONTACT WITH PREVIOUS EMPLOYERS Page 1 of 4
Employer: 1) TRIPLE PLAY SPORTS GRILL

Donald Mandel, Owner
Contact Date: 10-12-16
No disqualifying information. The applicant has been employed there as a Food Server
since May 6 of this year. The applicant will be eligible for rehire.
The applicant’s personnel file does not contain any performance evaluations, disciplinary
actions or commendations. The applicant’s original application listed only her address
and previous employer.
Mandel reported that his brother-in-law, Eric Tracey who is a co-owner, is not available for
comment, and co-workers “do not know anything” and should not be contacted on the
job or at home. Mandel reported that he “respectfully” does not wish to state whether he
would recommend the applicant for this position, adding that there is “nothing negative.”
He just does not feel “exposure” as a food server is the same as what a police officer
would face.
Mandel reported that the applicant responds well to criticism and direction, and she gets
along very well with co-workers. The applicant is punctual, reliable, hardworking,
customer service oriented, and he considers her a good employee who has no negative
areas.
The applicant follows restaurant policies, and observes safety rules, she uses her work
time constructively, shows initiative when appropriate, and she keeps Mandel informed
of problems that deserve his attention. The applicant has lost her temper at work, but
Mandel would not elaborate. Mandel also reported that the applicant has never exhibited
any racial or ethnic bigotry, and she dresses appropriately for work.
Employer: 2) VA LINUX SYSTEMS

Larry Fowler, Human Resources Manager
No disqualifying information. The applicant was employed there as a Commodity
Manager between August 28, 2010 and February 23 of this year. The applicant’s division
was eliminated, but Fowler reports that she would be eligible for rehire in another
position.
There is no personnel file for the applicant, and the applicant’s manager and co-workers
were also laid-off.

Contents
Sample
EMPLOYMENT REFERENCE CHECK continued
Employer: 3) SANMINA (HADCO)

Noel Thatcher, Director, Human Resources
No disqualifying information. The applicant was employed there as a “VAM Procurement
Specialist” between February 2, 2008 and August 18, 2010. The applicant is eligible for
rehire.
In response to a written request, Thatcher reported that Sanmina purchased Hadco in
June of 2010, and none of the applicant’s co-workers or supervisors are still with the
company. According to Thatcher’s records, the applicant never received a “below
standard” evaluation, she was never the subject of any disciplinary actions, and the
applicant never conducted herself in a manner which would raise questions about her
good moral character.
Thatcher also reported that while the applicant was in their employ, she never
demonstrated any behaviors that would suggest she would be unable to successfully
perform the essential functions of this position. The applicant never displayed any ill-
temperament or assaultive behavior toward any co-worker, supervisor, or member of the
public. There was also never any reason to question her honesty or integrity.
Employer: 4) DOT HILL UNLIMITED (STORAGE FACILITY)

Emma Baxter, Human Resources Administrator
No disqualifying information. The applicant was employed there as a Buyer/Planner II
between April 29, 2006 and January 29, 2008. The applicant’s eligibility for rehire is
unknown, according to Baxter, who would only respond to a written request per company
policy.
Baxter reported that none of the applicant’s performance evaluations were “below
standard,” she was never the subject of any disciplinary actions, and the applicant never
conducted herself in a manner that would raise questions about her good moral
character. Baxter also reported that while the applicant was in their employ, she never
demonstrated any behaviors that would suggest she would be unable to successfully
perform the essential functions of this position. The applicant never displayed any ill
temperament or assaultive behavior toward any co-worker, supervisor, or member of the
public. There was also never any reason to question her honesty or integrity.
D–12
Appendix D
Contents
Sample
Employer: 5) COMPAQ COMPUTER CORPORATION (TANDEM COMPUTERS)

Nola Sanchez, Human Resources Administrator
No disqualifying information. The applicant was employed there as a Purchasing
Assistant III between May 31, 2005 and April 25, 2006.
In response to a written request, Sanchez reported that company policy prohibits the
release of any further information.
Employer: 6) ADECCO (OLSTEN STAFFING)

Wilton Flagstone, Human Resources - Corporate Headquarters
No information. The applicant reported she was employed there between September
2003 and June 2005.
Flagstone reported that ADECCO purchased Olsten, and records prior to 2007 have been
purged.
Employer: 7) TOYS-R-US
(Automated Employment Verification)
No information. The applicant reported she was employed there for one week in
November 2003. The automated system only keeps records from 2007 forward.
Employer: 8) MEDIA SERVICES, INC.

Anyville, California
No information. The applicant reported she was employed there as a Temporary Worker
between August and September 2003. There is no listing with Directory Assistance for
this company.

Contents
Sample
Employer: 9) A LA CARTE SERVICES

Employment Verification, Anytown, California
No information. The applicant reported being employed as a Temporary Worker between
August and September 2003. Several phone messages have not been answered. A
written request was sent, and the response received (which is not signed or dated) states
that they purchased the business in 2003 and have no records for the applicant.
Employer: 10) PCS CORPORATION

June Wilson, Human Resources, Somewhere, Arizona
No disqualifying information. The applicant was employed there as a Claims Processor
between November 23, 2002 and August 13, 2003 at which time she relocated to
California, according to Ann Swane (worker). Swane reports that she only has a computer
entry for the applicant. When asked if the applicant is eligible for rehire, Swane replied,
“Anyone has the right to apply.”
Employer: 11) WALGREEN’S

Employment Verification, Anycity, Arizona
No information. The applicant reported she was employed there as a Cashier between
June and November 2002. Store Manager Morey Anderson reports that this store was
not even built until August 2005, and he has been there since then and has no record of
the applicant having worked for him. Doreen Rider at Corporate Headquarters Human
Resources also has no record of the applicant. She reports their records go back to 2000
and both a name and social security number search come up no record found.
Employer: 12) PERFORM COST MANAGEMENT SERVICE, INC.

Somewhere, Arizona
No information. The applicant reported she was employed there as a Data Entry Clerk
between May and November 2002. There is no listing with Directory Assistance for this
company.
D–14
Appendix D
Contents
Selected Section
ORGANIZER TAB L
RELATIVES/PERSONAL REFERENCES CHECKS
Sample Relatives/Personal References Checks

Contents
TAB L – RELATIVES/PERSONAL REFERENCES CHECKS
Sample
REFERENCE CHECK
CONTACT WITH RELATIVES AND REFERENCES Page 1 of 7
Relative: 1) KATHLEEN and ROBERT SMITH – Parent and Step-parent

No disqualifying information. The Smiths report that the applicant has fully discussed this
position with them, and they expressed no reservations, (apart from the natural concerns
about the dangers inherent in the job). The applicant has been interested in this line of
work since childhood and appears to have developed interest through an uncle who was
a police officer.
The applicant's best qualities will be her compassionate, thoughtful and personable
nature, her honesty, and the fact that she is “mentally strong.” Mrs. Smith reports that
the applicant is “not a good liar,” and she goes out of her way to assist others, while
Mr. Smith notes that she knows what she wants and works for it.
The only areas in which they feel the applicant could improve herself would be to be less
hard on herself or not have such high expectations, to give herself credit, and to improve
her time management skills with her child. The Smiths report that the applicant is most
concerned about finding gainful employment and is most easily bothered by the
mistreatment of people or animals or by her siblings not being more respectful to their
mother. In these situations, the applicant will speak her mind or work it out on her own,
but sometimes cries when she is angry.
Mr. Smith reports that “nothing comes to mind” with regard to any problems with the
applicant in her youth, and Mrs. Smith reports that the applicant was insecure about her
looks in junior high and high school. She notes that the applicant “acted out” and wanted
attention from boys. However, both reported that the applicant accepted discipline when
it was deserved.
The applicant has given them no reason to doubt her ability to successfully perform the
essential functions of this position. She uses physical exercise such as running, using a
treadmill, yoga, and activities with her son as a means of keeping fit and for the release
of stress.
Personal
Relationship: 2) MICHAEL McFARLAND – Ex-significant Other
No information. The applicant reports that he is the father of her child, but she has had
no contact with him in ten years. He declined further comment.
D–16
Appendix D
Contents
Sample
REFERENCE CHECK continued
Professional: 3) RANDY HIGHLAND – Home Theater Installer

No disqualifying information. Highland reports having met the applicant some ten years
ago through work at COMPAQ. Highland reports that they dated for a while, and he is the
“acting dad” to the applicant’s child. They see one another daily in that context.
Highland reports that he was initially surprised at her interest in this job. However, she
has expressed that this has been a “dream of hers”, she wants to “assist those who
need,” and he recommends her for this position. The applicant has been truthful,
hardworking and loyal throughout their acquaintance.
Highland also reports that the applicant has never exhibited any racial or ethnic bigotry,
there were never any “domestic issues” in their relationship, and Highland could not
recall ever having seen her really become angry. Highland reports she has borrowed
money and his car, and both were returned “fine.”
The applicant is a “good” driver who maintains an alert state while driving. The applicant
has not received any citations or been involved in any collisions. Highland could not recall
the applicant having driven while intoxicated, and he is also certain the applicant does
not abuse drugs.
Highland expressed some concern over the applicant’s ability to successfully perform the
essential functions of this position due to her size “5-2, 120.” Highland reports that the
applicant runs to maintain her physical fitness, but he also felt that she should take a
karate course because of her small stature.
Personal
Best Friend: 4) CAROLYN HOOPER – Homemaker
No disqualifying information. Hooper reports that the applicant and she have been
acquainted for more than seven years. They met through Hooper’s fiancé, who worked
with the applicant. They see one another a few times each week in social settings or at
family events.
Hooper also expressed initial surprise at the applicant’s applying for this job. Hooper
characterized the applicant as someone who “will not stab you in the back,” and she
considers her a “good role model for her son.” The applicant is also up-front, loyal, and
dedicated.

Contents
Sample
Personal There has never been any reason to doubt the applicant's honesty or to suspect her of
Best Friend: any racial or ethnic bigotry. Hooper reports that she has seen the applicant become upset
#4 cont’d with her son, but never physically violent. Hooper recommends the applicant for this
position, adding that the applicant has stated this has been her “childhood dream.”
The applicant is a “good” driver who maintains an alert state while driving. Hooper reports
that the applicant has attended traffic school, but she is not aware of any details. She has
never seen the applicant drive while intoxicated, in fact, the applicant will call for a ride if
she has been drinking. There has been no evidence of substance abuse on the
applicant’s part, according to Hooper.
When asked if the applicant would be able to successfully perform the essential functions
of this position, Hooper replied, “I think she is capable.” Hooper reports that the applicant
bike rides, takes yoga, and runs to maintain her physical fitness.
Hooper reports that the applicant speaks softly and will back down; this is the one area in
which she felt the applicant could improve. Hooper feels the applicant should be more
outspoken and aggressive. However, Hooper did not consider this to be disqualifying.
Personal: 5) MARIA GONZALEZ – Buyer

No disqualifying information. Gonzalez reports having known the applicant for nearly nine
years and met her through work at Dot Hill Unlimited. They now see one another in social
settings several times each month.
Gonzalez described the applicant as a responsible individual who is loyal and dedicated.
Gonzalez reports that, although it “seems otherwise,” the applicant possesses a “strong
attitude” and can be judgmental. The applicant is someone whom Gonzalez would feel
comfortable entrusting with her own personal safety, and she has never had any reason
to doubt the applicant’s honesty. For these reasons, Gonzalez reports she is willing to
recommend the applicant for this position.
Gonzalez reported being unaware of any reason the applicant could not successfully
perform the essential functions of this position. The applicant runs and goes to a gym “off
and on” to maintain her physical fitness.
The applicant is a “very alert” driver who has not been involved in any collisions or
received any citations of which Gonzalez reports being aware. Gonzalez reports the
applicant has never driven while intoxicated, and there has never been any evidence of
substance abuse on the applicant’s part, either. If there was any area in which the
applicant could improve herself, it would be to not be hard on herself. Gonzalez reports
that the applicant “wants things perfect,” and tends to put herself down.
D–18
Appendix D
Contents
Sample
Personal: 6) NANCY JOHNSON – Administrative Assistant

No disqualifying information. Johnson reports having known the applicant for nearly nine
years and first met her at Dot Hill Unlimited. Johnson reports they have remained in
contact on a social basis and see one another about twice each month.
The applicant is well suited for this position, according to Johnson. The applicant has
demonstrated an ability to be friendly, open-minded, and she possesses a positive
attitude. She adds that the applicant is willing to try new things, she is athletic, and she is
a good mother. There has never been any reason to doubt the applicant's honesty or to
suspect her of any racial or ethnic biases.
Johnson did not feel the applicant has any areas of needed improvement. The applicant
is not easily flustered, and Johnson could not recall ever having seen her really become
angry, other than occasional “boyfriend problems.”
The applicant is a “good” driver who maintains an alert state while driving. Johnson
reported being unaware of any citations or collisions involving the applicant. Johnson also
reported never having seen the applicant drive while intoxicated, nor has she shown any
evidence of substance abuse.
Johnson is confident the applicant will do well, and have no problems successfully
performing the essential functions of this position since she works out regularly to
maintain her level of fitness.
Personal: 7) ROBIN FERGUSON – Contract Manager

No disqualifying information. Ferguson reported that the applicant and she met through
their sons’ Little League team nearly three years ago. They have since become friends
and see one another a few times each month in social settings.
Ferguson has always found the applicant to be an honest individual who is responsible,
and “she wants to help people.” The applicant has follow through abilities, she is
trustworthy, and she deals with everyone on a professional level. The applicant appears
to handle stress well and is not easily angered.
The applicant has discussed interest in this position, noting that this has been a long
term goal of hers. Ferguson feels comfortable recommending the applicant, pointing out
that there are no obvious areas in which the applicant needs to improve.

Contents
Sample
Personal: Ferguson reports that the applicant is a “conscientious” and safe driver who has not been
#7 cont’d the subject of any citations or collisions. Ferguson reports being unaware of the applicant
ever having driven intoxicated, and there has never been any reason to suspect her of
substance abuse.
The applicant should be able to successfully perform the essential functions of this
position. Ferguson reports that the applicant works out at a gym and bike rides to
maintain her physical fitness. Ferguson also reports that the applicant is able to get along
with people of diverse backgrounds.
SECONDARY AND WORK-RELATED REFERENCES
Personal: 8) NELSON BURNETTE – Unemployed

No disqualifying information. Burnette reports that he met the applicant through work at
Hadco nearly six years ago. They now see one another in social settings a few times each
month.
The applicant is someone whom Burnette would recommend for this position, even
though her interest in this position appeared to him to come “out of the blue.” Burnette
reports that the applicant is a good person who possesses high integrity. The applicant
has high aspirations, she is goal-oriented, and he considers her an “all around good
person.”
Burnette reports the applicant handles stress well, she is not easily flustered, and he has
never seen her really become angry. The applicant has never exhibited any racial or
ethnic bigotry, and there has been no reason for Burnette to suspect her of substance
abuse, either.
The applicant is a “very good” driver who maintains an alert state while driving. Burnette
is not aware of the applicant being involved in any collisions or receiving any citations.
Burnette reports never having seen the applicant drive while intoxicated.
The applicant could be more consistent in working out, but there are no other areas in
which Burnette feels the applicant could improve. However, the applicant runs and
should have no difficulty successfully performing the essential functions of this position,
according to Burnette.
D–20
Appendix D
Contents
Sample

Personal: 9) ROD SACKETT – Electrical Engineer

No disqualifying information. Sackett reports that he has known the applicant for only
eighteen months. They first met as co-workers at VA Linux and have since become social
friends. They now see one another two or three time each month in social settings.
Sackett described the applicant as an honest individual who has never given any
indication of substance abuse. The applicant has also been even-tempered and able to
get along with people of diverse backgrounds.
Sackett feels the applicant's best qualities are her friendly manner, her hardworking
nature, and her dedication. Sackett reports that the applicant “won’t be heavy handed,”
and she tries to reconcile things. For these reasons Sackett is willing to recommend the
applicant for this position, even though he reports he was initially surprised at her
applying for this position.
Sackett denies being aware of any areas in which the applicant could improve. However,
he reports he has seen the applicant become upset over “trivial matters.” Sackett reports
that he has no reason to doubt the applicant’s ability to successfully perform the
essential functions of this position. The applicant maintains her physical fitness through
running.
Professional: 10) JEREMY DEMAS – Food Server

No disqualifying information. Demas reports that he and the applicant have been working
together at the Triple-Play Grill for the past five months. While Demas recommends her
for this position, he expressed some surprise at her interest in being a police officer.
The applicant is someone whom he finds rather timid around strangers. This is not a
problem where they work, and the applicant can be a very warm and friendly person
“once you get to know her.”
Demas has seen no evidence of racial or ethnic bigotry on the applicant’s part, and there
has been no reason to doubt her personal honesty, either. Demas added that “I just have
a hard time seeing her as a cop,” but, “maybe her training will bring that out in her.”

Contents
Sample

Professional: 11) PETER CHANG – Food Server

No disqualifying information. Chang reports that he and the applicant have actually
known one another since they were high school classmates, and they now work together
at the Triple-Play Grill. He recommends her as a police officer.
Chang feels the applicant is someone who is extremely compassionate and interested in
helping people. “She wants to make a difference” and feels that this is the career in
which she can accomplish this. The applicant has been a good friend and a good co-
worker, throughout the time they have known one another.
Chang concedes that the applicant can be a little disorganized from time to time, but he
does not believe this will impact her work as a police officer. He believes the applicant
will be the type of police officer who never gets the City sued.
The applicant was arrested as a teenager, Chang recalled, but it was nothing more than a
“high school party when somebody called the cops.” He doubts she has ever had any
other trouble with the police, and he considers her impeccably honest.
Professional: 12) JEANETTE AHMAD – Systems Administrator

No disqualifying information. Ahmad reports that she and the applicant worked together
at Compaq Computers for nearly one year. Although they rarely see one another now,
they keep in contact by e-mail.
Ahmad expressed some surprise at the applicant’s interest in being a police officer,
adding that “she’s pretty tiny to be a cop.” At the same time, however, the applicant used
to work out in the company gym, so she assumes that she will be able to successfully
perform the essential functions of this position.
Ahmad considered the applicant to be a very honest person, and she was never one to
express any racial or ethnic bigotry. She was also a very loyal friend, and they were known
as the “Two Amigos” at Compaq. The applicant can be trusted to keep a secret, and she
was “always there” whenever she was needed. In fact, Ahmad reports she was “my Maid
of Honor at my wedding.”
D–22
Appendix D
Contents
Selected Section
ORGANIZER TAB M
NEIGHBORHOOD CHECKS
Sample Neighborhood Checks

Contents
TAB M – NEIGHBORHOOD CHECKS
Sample
NEIGHBORHOOD CHECK
CONTACT WITH NEIGHBORS AND LANDLORDS Page 1 of 1
Residence: 1) 1524 First Avenue – Main House, Nielson Residence

No disqualifying information. Nielson reports that she has never even seen the applicant.
The applicant’s residence is quiet and has not been the source of any problems on the
property. (Investigator’s note: this is a very rural area; the applicant’s residence is one of
three on a seven and one half acre property.)
Residence: 2) 1528 First Avenue – Cottage, Jacobs Residence

No disqualifying information. Jacobs also reports that she has never even seen the
applicant. The applicant has been a quiet neighbor, and there have been no problems at
her residence on the property. She reported being aware of nothing that would disqualify
the applicant from further consideration for this position.
Residence: 2) 1730 Elk Road – House, O’Connor Residence

No disqualifying information. O’Connor also reports that she has never seen the
applicant. The applicant has been a quiet neighbor, and there have never been any
problems involving the applicant on the property.
D–24
Contents
Appendix E
LINKS TO ONLINE FORMS
FOR BACKGROUND PACKET
FORM NUMBER AND TITLE:
POST Form 2-114

NOTICE OF APPOINTMENT/TERMINATION
........................................................ http://lib.post.ca.gov/Publications/2-114.pdf
POST Form 2-251

PERSONAL HISTORY STATEMENT – PEACE OFFICER
........................... http://lib.post.ca.gov/Publications/2-251-phsPeaceOfficers.doc
POST Form 2-255

PERSONAL HISTORY STATEMENT – PUBLIC SAFETY DISPATCHER
.............................. http://lib.post.ca.gov/Publications/2-255-phsDispatchers.doc
STD Form 180

MILITARY RECORDS REQUEST
............... https://www.archives.gov/files/research/order/standard-form-180.pdf
USCIS Form I-9

EMPLOYMENT ELIGIBILITY VERIFICATION
........................................................................................https://www.uscis.gov/i-9
Guidelines for the Investigator E–1

Contents
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E–2
Appendix F
Contents
Appendix F
LAW ENFORCEMENT REQUEST
FOR DRIVER LICENSE/IDENTIFICATION
RECORD INFORMATION
(DMV INF 252)
Form DMV INF 252
Guidelines for the Investigator F–1

Contents
Intentionally blank
F–2
Contents
Guidelines for the Investigator F-3

Contents
Intentionally blank
F–4

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What is the purpose of the Background Investigation Manual?

What is the purpose of the Background Investigation Manual?

What forms are included in the background packet?

What forms are included in the background packet?

2020

Joyce Dudley District Attorney

Rick Braziel Educator

Alan Barcelona Special Agent

Lai Lai Bui Detective

Thomas Chaplin Chief

Robert T. Doyle Sheriff

Geoff Long Public Member

John McMahon Sheriff

Jethroe Moore Public Member

James O’Rourke Sergeant

Batine Ramirez Sergeant

Laurie Smith Sheriff

Walt Vasquez Chief

Xavier Becerra Attorney General

The mission of the California Commission on Peace

Government Code §1031 requires a pre-employment background investigation for peace

The Background Investigation Manual: Guidelines for the Investigator provides a

POST Commissioners ....................................................................................................................... i

CHAPTER 1. INTRODUCTION _________________________________________________ 1-1

CHAPTER 2. PEACE OFFICER AND PUBLIC SAFETY DISPATCHER BACKGROUND

CHAPTER 3. LEGAL QUALIFICATIONS AND STATUTORY FRAMEWORK ________________ 3-1

Guidelines for the Investigator vii

EMPLOYMENT DISCRIMINATION LAWS AND REGULATIONS .................................................. 3-10

CHAPTER 4. THE BACKGROUND INVESTIGATION PROCESS ________________________ 4-1

THE CONDITIONAL OFFER OF EMPLOYMENT .......................................................................... 4-15

CHAPTER 5. AREAS OF INVESTIGATION AND THE POST PERSONAL HISTORY

Guidelines for the Investigator ix

PHS Section 7: Financial ................................................................................................ 5-17

CHAPTER 6. POST COMPLIANCE INSPECTIONS __________________________________ 6-1

Tab I: Military History Check ................................................................................... 6-5

B NOTIFICATIONS AND ADVISEMENTS ................................................................................... B-1

C SAMPLE FORMS, REFERENCE CHECK LETTERS AND QUESTIONNAIRES ........................ C-1

Guidelines for the Investigator xi

C.12 Inquiry Letter For Selective Service System ..................................................... C-20

D SAMPLES OF SELECTED SECTIONS OF A COMPLETED BACKGROUND INVESTIGATION

E LINKS TO ONLINE FORMS FOR BACKGROUND PACKET .....................................................E-1

F LAW ENFORCEMENT REQUEST FOR DRIVER LICENSE/IDENTIFICATION RECORD

2.1 Summary of POST Background Investigation Dimensions ............................................. 2-3

4.1 The Background Investigation Process ............................................................................ 4-2

This manual is intended to assist background investigators in accomplishing this challenging

FOCUS OF THE MANUAL

Guidelines for the Investigator 1–1

2. Target Readership: Background Investigators

3. Target Jobs: Peace Officer and Public Safety Dispatcher

4. Not a Substitute for Training

5. Not Legal Advice

1 Cal. Bus & Prof Code §7520 et seq.

THE ROLE OF POST

2. Training Course Certification

Guidelines for the Investigator 1–3

POST professional support to the background investigation process includes:

POST VS. AGENCY CANDIDATE SCREENING CRITERIA

4 Also refer to Appendix E.

ORGANIZATION OF THE MANUAL