Wednesday, December 21, 2005

Deferred Adjudications – What Employers Should Know

A “deferred adjudication” is a disposition whereby a defendant is placed on “deferred adjudication probation” for a period of time in exchange for a guilty plea or a plea of no contest. If the defendant completes the probation successfully, typically the charge is dismissed.

Some employers struggle to understand the meaning of and the law surrounding the use of deferred adjudication in the employment decision, and with good reason. Generally, the law regarding the use of deferred adjudications is vague, contradictory, or not enforced. Courts are divided on the question of whether or not a disposition of deferred adjudication constitutes a judgment. Some have determined that since a deferred adjudication (again, in exchange for a plea of guilt or no contest) results in a consequence which involves a sentence to custody (probation) that it is, indeed, a judgment. Other courts have determined that since no final determination of innocence or guilt has been delivered, that no judgment has been entered.

Deferred adjudications are intended to protect first time offenders who have committed minor criminal infractions from the lifetime stigma a conviction may impose. However, deferred adjudications remain a part of a person’s public record unless the charge is expunged or granted restricted access. Therefore, in most cases, deferred adjudications remain visible to employers and difficult to ignore during the employment decision. Currently, we are aware of no law, except in California, that restricts background screening agencies from reporting deferred adjudications, or, employers from considering deferred adjudications in the employment decision. California allows the reporting of D/A cases where the defendant is still on probation but not cases that have progressed to a dismissal. Yet, some employers prefer that deferred adjudications not be reported to them. Others want them to be reported but have difficulty deciding how to consider them in the employment decision. Since deferred adjudications, by definition, are not considered to be convictions some element of care and common sense must be used when considering them. Here are some things you may want to consider with regard to D/A dispositions:

1) A policy that states deferred adjudications shall not be considered in the employment decision may be short sighted and may place your customers and employees at risk. Consider amending your employment application to request information regarding deferred adjudications as well as convictions. For example: “Have you ever been subject to deferred adjudication, indictment, conviction, probation or fined for a crime other than a traffic offense?” (Employment Application – Texas Attorney General’s Office) Or, “Have you ever been convicted of, pled guilty or no contest to a felony or a misdemeanor crime, regardless of whether sentence was imposed by the court.” (Employment Application – High Technology Manufacturing Firm). Remember, applicants are correct in responding “no” to the conviction question unless the question specifically requests D/A information.

2) Deferred adjudications once were reserved for first offenders. This is no longer true. We have seen multiple deferred adjudications granted to repeat offenders. Often, in cases where each crime was committed in a different venue. Caution should be exercised when considering a single deferred adjudication, especially one for which the charge does not directly relate to the position applied for. However, multiple deferred adjudications for the same crime may indicate a pattern of behavior that could place your company at risk. Moreover, an applicant who receives D/A for one crime while still on D/A for a previous crime might be considered differently than an applicant with a single D/A.

3) A D/A probation that was not terminated satisfactorily generally results in a conviction being entered by the court. These should be considered the same as a straight conviction.

4) Certain organizations, particularly those entrusted with the safety of vulnerable persons such as children or the elderly, are legally justified in giving deferred adjudications close scrutiny. In fact, even a single deferred adjudication for a serious crime may warrant denial of employment. Some of those crimes are: Indecency with a child; rape; murder; sexual assault; injury to a child, elderly, or disabled person; kidnapping; sale, use or distribution of controlled substances or other dangerous drugs; robbery; and assault with serious bodily injury. Other crimes may apply depending on the employer and the overall mission of the employer.

Some states are considering laws that will allow a person who has received a deferred adjudication to apply to have their record expunged or to have access restricted. Requiring the person to apply for this privilege allows judges to consider each request on its own merits. Texas is one state that has moved in that direction. Employers who use database searches to obtain their criminal information run the additional risk of receiving D/A information that has been restricted or expunged since the database was last updated. Employers are advised to avoid this liability by using real court record searches. Last, the use of common sense may be the best advice when considering deferred adjudication in the employment decision. By making sure the charge is job related, by paying attention to patterns of behavior, and carefully assessing charges for violent offenses, employers can make proper employment decisions while keeping their workplaces safe for all.

Asset Control does not provide legal advice and nothing included in this article should be considered as such. As always, we advise that you ask your legal department or outside attorney to assist with the development of policy and in other sensitive Human Resources matters. Know the FEP laws in each state in which you do business.


At 10:47 AM, Anonymous Anonymous said...

Thank you! Finally some advice that makes sense and is helpful!

At 8:51 PM, Anonymous Anonymous said...

so why is it so hard to get a job or career with this deferred adj? what type of jobs can you go for?

At 9:41 PM, Blogger Arizona foreclosures said...

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At 6:12 PM, Anonymous Anonymous said...

While employment screening is a necessary evil, with the courts undecided on what should or should not be on record, innocent people can be refused employment.

At 1:18 AM, Anonymous Anonymous said...

There are certainly a lot of details like that to take into consideration. That’s a great point to bring up. I offer the thoughts above as general inspiration but clearly there are questions like the one you bring up where the most important thing will be working in honest good faith.

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At 9:16 PM, Anonymous Anonymous said...

So If your on one D/A for one minor violation, and you get another D/A in a different county for a different violation, is that considered a conviction?

At 11:50 PM, Blogger Matt Wood said...

I am working on a temporary assignment for a major insurance company in their IT department. I have been working their for several years now and just recently interviewed for a position there.

I advised the hiring manager about a class C misdemeanor that may show up during the background check. I went through D/A and the case was dismissed. I was assured not to worry as the only thing they look for are felonies/misdemeanors involving fraud, theft, breach of trust.

Lo and behold, I am now being terminated due to it showing up on my background check. I am trying to fight with HR department on keeping my job and getting the position by providing them with all the documents from the county clerks office that shows that the case was dismissed and the charges were dropped.

I spoke with an HR manager who said she forwarded it over to Legal for review. Any chance of their being a positive outcome to this? I really do not want to lose my job, be unemployed, and risk being denied by other employers over something as silly as this.


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