4.1.5 – Background Investigation 
Standard: The agency process for hiring personnel shall include procedures for a national background investigation prior to appointment, including verification of a candidate’s qualifying credentials, review of a candidate’s civil and criminal record, particular attention to drug and child/adult-abuse records, and driving record for employees assigned to operate motor vehicles.
Suggested Evidence of Compliance: Provide the background investigation procedures and examples of background checks completed.
COMMENT: Please provide examples of completed background checks. The EOC provided appears to be the applications, but not the completed background checks.
EOC 8 – add date to document.
RESPONSE: Background checks are conducted by Westchester County Human Resources and when completed, PRC receives a copy of the Preclearance Form signed by the Westchester County HR Commissioner informing PRC that the background check is complete and PRC may now appoint the applicant.
PRC Job Titles Requiring Drug Testing is maintained by Westchester County HR. The date of the last revision has been added to the revised EOC
The following EOCs contain approved and completed background checks:
Narrative:
Background investigations are conducted to determine that applicants appointed are qualified and suitable. Verification of a candidate’s qualifying credentials is administered through information received during the application process. As indicated in the Westchester County (WC) Civil Service Rules, WC Human Resources (HR) conducts a preclearance investigation once a PRC applicant has been selected for hire.
Potential hires must meet the minimum qualifications and are fingerprinted and checked for criminal history in all 50 states. In addition, WC has a Drug-Free Workplace Policy and PRC has an established list of positions that require drug testing. If applying to a position that requires drug testing, the candidate submits to a drug test.
If an employee is tasked with operating a County-owned motor vehicle, a Request for Approval to Drive must be completed and a valid Class D license is required. Employee personal driver activity is monitored through Risk Management and any violations are reported to PRC and driving ceases immediately in the case of suspended, revoked, or expired licenses.
Individuals hired who work primarily with children are checked through the NYS Division of Criminal Justice Sex Offender Registry.
Agency Evidence of Compliance:
4.1.5 – EOC 1 WC Civil Service Rules: Rule 28 Investigations
4.1.5 – EOC 2 WC Employee Handbook: Background Investigations
4.1.5 – EOC 3 Employment Application
4.1.5 – EOC 4 Conditional Offer of Employment
4.1.5 – EOC 5 Fingerprint Data Form
4.1.5 – EOC 6 Background Verification Check Clearance Form
4.1.5 – EOC 7 WC Drug-Free Workplace Policy
4.1.5 – EOC 8 PRC Job Titles Requiring Drug Testing
4.1.5 – EOC 9 Results of Controlled Substance Test
4.1.5 – EOC 10 Approved Request for Approval to Drive
4.1.5 – EOC 11 NYS Sex Offender Registry Information Return
4.1.5 – EOC 12 Approved Preclearance Form
4.1.5 – EOC 13 Completed Background Investigation 1
4.1.5 – EOC 14 Completed Background Investigation 2
4.1.5 – EOC 15 Completed Background Investigation 3