Contractors and/or their employees may be denied access to an institution if they are ex-offenders or if they have been arrested or indicted for, or convicted of, a felony crime. They may also be denied access if they violate a Department Order, or otherwise represent a threat to the safe, secure and orderly operation of the institution.

1.1 Submission of fingerprint cards to the Arizona Department of Public Safety (DPS) records section, and inquiries to Department files, the Arizona Criminal Justice Information System (ACJIS) database, and criminal justice agencies in jurisdictions where the applicant has lived during the five years prior to applying for the position, to:

1.1.1 Verify that the applicant is a United States citizen, when citizenship is a bona fide occupational qualification.

1.1.2 Verify that the applicant is eligible to work in the United States, in accordance with the Immigration Reform Act, when citizenship is not a bona fide occupational qualification.

1.1.3 Determine if the applicant has a criminal history.

1.2 Inquiries to Arizona Department of Transportation, Motor Vehicle Division records to determine whether the applicant has a current driver license and a record of traffic violations.

1.3 Inquiries to educational institutions listed by the applicant and/or review of diplomas, degrees and certified transcripts received from those institutions, to verify the applicant's educational background.

1.4 Inquiries to the applicant's references, and to the applicant's neighbors (with the applicant's consent), to verify the applicant's character and reputation.

1.5 Inquiries to military officials and/or review of copies of the Military Discharge Record, DD214, to verify the applicant's military record.

1.6 Polygraph examination of the applicant, only after a conditional offer of employment has been made and accepted, and when deemed appropriate by the Administrative Investigations Bureau (AIB) Administrator, to verify all or part of the information contained on an application.

1.7 Inquiries to credit reporting agencies (at the discretion of the AIB Administrator or designee).

1.2 The BIU shall conduct the background investigation including, but not limited to, the procedures outlined in 602.01.

1.2.1 When possible, the background investigation shall be conducted prior to the hiring of an applicant.

1.2.2 If the background investigation cannot be conducted prior to the hiring of an applicant, the BIU shall conduct the investigation no later than 30 workdays following the hiring of the applicant.

1.3 At the conclusion of the background investigation, the BIU shall make an appropriate recommendation as to the applicant's suitability for employment to the hiring authority.

1.4 Hiring authorities shall verify the qualifications and work history on each application for candidates offered positions, to determine if the candidate meets the requirements of the position.

1.4.1 When possible, this verification shall take place prior to hiring an applicant.

1.4.2 If the verification cannot be made prior to the hiring of an applicant, it shall take place no later than 30 workdays after the applicant is hired.

1.1 Obtain from the contractor a list that includes the name, date of birth and social security number of each staff the contractor proposes to use to perform the contract and who would require access to an institution, and attach for each person on the applicant list a completed Criminal History Information Request, Form 70501012, and a signed Consent To Search, Form 70501097.

1.2 Submit the list, with the Criminal History Information Request and signed Consent To Search forms attached, to the institution's ACJIS Terminal Operator for a warrant and criminal history inquiry. The attachments shall be submitted to the institution's ACJIS Terminal Operator at least ten work days before the contract work is scheduled to begin, to allow time for the inquiries to be completed.

1.2.1 At the discretion of the Program Administrator, the initial warrant/criminal history inquiry on ACJIS may be completed by BIU. When BIU is requested to make the warrant/criminal history check, the Program Administrator shall forward a Supplement 33, Form 30400005 along with a Fingerprint Card to BIU for appropriate follow-up and filing, in accordance with Department Order 501, Correspondence/Records Control.

1.3 Following the ACJIS inquiry, determine whether contract staff shall be permitted access.

1.4 Consider any relevant factors when determining whether to permit access to an ex-offender, including the following criteria:

1.4.1 The requirements of this Order.

1.4.2 The likelihood that access to an institution will enhance the opportunity for other similar offenses.

1.4.3 The time elapsed since the conviction.

1.4.4 The likelihood that personal circumstances that led to the offense will recur.

1.4.5 The ex-offender's conduct since the conviction, if known.

1.5 Maintain a current roster of all contract staff who have access to the institution. The roster shall be made available for review by the Department's investigators when requested.

1.1.1 Forward a written report of the investigation of each applicant to the hiring authority.

1.1.2 Ensure that all reports regarding applicant investigations, including those returned by hiring authorities, are filed at the Central Office BIU.

1.2 Hiring authorities shall, in accordance with the time frames outlined in this Order:

1.2.1 Evaluate the information contained in the I&I Background Investigation Report and the addendum report in determining whether the applicant is suitable for the position.

1.2.2 Return the I&I report and forward any other reports concerning the applicant to I&I no later than 20 work days after deciding whether or not to hire the applicant, with a statement as to whether or not the applicant was hired.

1.3 Hiring authorities shall ensure that information and reports concerning applicants are:

1.3.1 Treated as confidential.

1.3.2 Not divulged to applicants or any other unauthorized persons.

1.3.3 Used for the sole purpose of selecting qualified applicants.

1.4 All employees shall ensure that ACJIS security and privacy provisions are maintained.

1.1.1 Contractors shall comply with the terms of this Order and all other relevant written instructions.

1.1.2 Investigations shall be conducted when there are allegations of:

1.1.2.1 Non-compliance with Department Orders and/or other written instructions.

1.1.2.2 Misconduct or criminal acts.

1.1.3 Routine searches of persons, personal property, equipment and vehicles shall be conducted:

1.1.3.1 At established checkpoints.

1.1.3.2 When the Program Administrator, security staff or Criminal Investigations Bureau (CIB) staff determines there is reasonable suspicion that contract staff are in possession of contraband while within a secure area of an institution.

1.1.4 Program Administrators shall determine, on a case-by-case basis, whether ex-offenders and individuals accused of misconduct or crimes shall be denied access to an institution.

1.2.1 Contract staff are advised that identification cards are Department property that must be signed for at the time they are issued and later, upon request, returned to the Program Administrator.

1.2.2 Identification cards are collected and destroyed when a contract staff is no longer permitted access to an institution.

1.3 The Program Administrator shall:

1.3.1 Forward a request for an investigation to the Assistant Director for I&I and to the local CIB office when made aware of allegations of misconduct or criminal acts committed by contract staff.

1.3.2 Determine whether a contract staff under investigation for misconduct shall be denied access to the institution pending the outcome of the investigation.

1.3.3 Deny access to individuals pending the outcome of the investigation if the allegations are related to the following offenses:

1.3.3.1 Commission of a felony or pending felony charges.

1.3.3.2 Commission of a misdemeanor involving moral turpitude.

1.3.3.3 Use, possession or sale of narcotics, illicit drugs or hallucinogens.

1.3.3.4 Non-compliance with security-related Department Orders and/or other written instructions.

1.3.3.5 Any other allegations of misconduct that would, if confirmed, pose a threat to institutional security.

1.3.4 Permit the contract staff to have access if allegations of misconduct are determined to be unfounded.

1.3.5 Advise the contract staff of those contract employees who shall be denied access to the institution.

1.3.6 Advise the contract staff that the denial is based upon information obtained from the ACJIS database, if the specific reason for denial is based upon criminal history information obtained from ACJIS.

1.3.6.1 The specific data obtained from ACJIS shall not be revealed.

1.4 The Assistant Director for I&I shall ensure that:

1.4.1 Follow-up action is taken by the local CIB office when the Program Administrator reports that an ACJIS inquiry has located an outstanding warrant or pending felony charge.

1.4.2 Reports of contract staff misconduct are investigated, and a copy of the final investigation report is furnished to the Program Administrator no later than ten work days after completion of the investigation.

1.4.3 The case is referred to the prosecutor if filing of criminal charges is appropriate.

1.5 The Program Administrator shall forward a recommendation to the Assistant Director for Administrative Services that a contract be terminated if the Program Administrator determines that a contractor failed to satisfactorily prevent a contract staff, who was denied access, from providing services or materials to the institution.

30400030, Background Questionnaire

70501012, Criminal History Information Request

70501097, Consent To Search

• Eligibility to work in the United States, in accordance with the Immigration Reform Act, when citizenship is not a bona fide occupational qualification.

• Criminal history, or lack thereof.

• Driving record.

• Educational background.

• Character and reputation.

• Military record.

• All or part of the contents of the application by polygraph examination, only after a conditional offer of employment has been made and accepted, and when deemed necessary by the AIB Administrator.

The Assistant Director for Administrative Services shall, within 90 days after the effective date of this Order, issue a Technical Manual that explains, at a minimum, the process for terminating a contract if a contractor fails to satisfactorily prevent a contract staff, who was denied access, from providing services or materials to the institution.

Includes the following documents from applicants for all employee positions:

• Arizona State Employment Application, Form SF-500, and any supplements.
• Background Questionnaire, Form 30100030, and any related statements and supplements.
• Consent To Search, Form 70501097.
• Applicant Fingerprint Card (on the standard form provided by DPS).

Includes the following documents from applicants for all contract and volunteer positions:

• Background Questionnaire, Form 30100030, and any related statements and supplements.
• (Background Investigation Supplement 33, Form 30400005, shall be used in place of the Background Questionnaire for contract staff whose service is limited, or who contract for one-time jobs, e.g., a repair service or a roofing contract.)
• Consent To Search, Form 70501097.
• Applicant Fingerprint Card (on the standard form provided by DPS).

CONTRACTOR - A person, or a State agency, political subdivision, corporation, or association, or its employees or assignees, under contract to provide goods or services to the Department.

EX-OFFENDER - Any person convicted in a court of competent jurisdiction of a misdemeanor or felony crime, the punishment for which could have been, or was, imprisonment in a county jail, state prison, or federal correctional institution.

HIRING AUTHORITIES - Individuals to whom authority has been delegated to:

• Offer employment to qualified applicants/candidates, contractors and student interns who will work under their supervision.
• Approve a lateral transfer, promotion or voluntary grade decrease of qualified candidates.
• Demote employees.

PROGRAM ADMINISTRATOR - Wardens, Deputy Wardens, Administrators or Bureau Administrators.

VERIFICATION/INVESTIGATION - An investigation of an applicant to verify:

A.R.S. 41-1492 et seq, Arizonans with Disabilities Act of 1992

A.R.S. 41-1750, Criminal Identification Section

A.R.S. 41-2201 et seq, Arizona Criminal Justice Information System

18 U.S.C. 1030, Fraud (and related activity in connection with computers)

28 C.F.R. 20.1 et seq, Security and Privacy Regulations, Criminal Justice Information Systems

18 C.F.R. 35.130 et seq, Non-Discrimination on the Basis of Disability by State and Local Government Services

Americans with Disabilities Act of 1990, Titles I-V