OPR: IGO REVIEW MONTH: October Aristedes W. Zavaras Executive Director

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1 ADMINISTRATIVE REGULATION REGULATION NUMBER PAGE NUMBER 1 OF 4 CHAPTER: Investigations COLORADO DEPARTMENT OF CORRECTIONS SUBJECT: Background Investigations RELATED STANDARDS: ACA Standards 2-CO-1C-16, 2-CO-1C-18, , and EFFECTIVE DATE: January 1, 2010 SUPERSESSION: 01/01/09 OPR: IGO REVIEW MONTH: October Aristedes W. Zavaras Executive Director I. POLICY It is the policy of the Department of Corrections (DOC) to conduct thorough background investigations on all applicants, to include contract workers, sub-contractors, temporary state employees, student interns, and volunteers. [2-CO-1C-18] These investigations are conducted by Office of Inspector General (OIG) DOC employees and contract workers in cooperation with the Office of Human Resources, Employment Services Unit, and in compliance with state statute. Successful completion of a background investigation is a prerequisite to eligibility for employment or other statuses as defined below. II. PURPOSE The purpose of this administrative regulation (AR) is to define the responsibilities of the Office of the Inspector General, Background Investigation Unit (BIU), and to delineate the background investigation process. III. DEFINITIONS A. Applicant: Any individual who applies for full-time, part-time, temporary, contract, student intern, or voluntary employment with the DOC. B. Background Interviewer/Technician: An OIG DOC employee or contract worker who reviews applicant histories, conducts an initial preliminary background inquiry, and conducts background interviews under the supervision of the background unit investigator (manager). C. Background Investigation: A thorough and systematic inquiry into the personal history of an individual to determine eligibility for employment with the Department of Corrections. Investigations may include but are not limited to, criminal history checks, employment checks, financial history checks, interviews, credential checks, education verifications, field investigations, polygraphs, and psychological or suitability testing. D. Background Investigations Unit (BIU) Manager: An investigator who manages the BIU DOC employees and contract workers; oversees all background investigations conducted by interview technicians; and who certifies the eligible or ineligible status of the applicant based upon the background standards criteria. The BIU manager is the custodian of record for all background investigations records.

2 CHAPTER SUBJECT AR # Page 2 E. Backgrounds Standards: An objective set of confidential standards which identify disqualifiers utilized to determine the eligibility or ineligibility of an applicant. Such standards will be static during the year but reviewed on an annual basis with this administrative regulation to determine the need to add or delete standards based upon changing law or the changing mission of the Department of Corrections. All standards will be specifically formulated to ensure compliance with ADA and EEO laws and guidelines, personnel rules, and applicable statutes. The standards will reflect the Department s mission and the specific needs and requirements necessary for persons who work in a corrections (law enforcement) environment. All standards will be maintained as criminal justice records and pursuant to statute, will not be disclosed except to the executive director, inspector general, OIG DOC employees and contract workers with a need to know, and the manager of Human Resources. All changes to standards will be ratified yearly by the executive director. F. Contract Worker: Any person employed under contractual arrangement to provide services to the DOC: any person employed by private or public sector agencies who is serving under DOC special assignment to provide services or support to DOC programs. The employee/employer relationship lies with the contractor. All Department agreements are for a specified period and are renewable. (Note: For the purposes of this administrative regulation, a contract worker is not a person in the employ of a private prison or a community corrections center). G. DOC Employee: Someone who occupies a classified, full or part-time, position in the State Personnel System in which the Department has affect over pay, tenure, and status. H. Student Intern: A person who is enrolled in an accredited college, university, seminary, or high school and whose participation in an internship could mutually benefit the student and the Department of Corrections. The student intern must be cleared by the DOC Background Investigations Unit to qualify as an intern for a predetermined period of time. I. Sub-Contractor: An individual who is under agreement with a DOC contract worker/agency to provide service(s). J. Temporary State Employee: A qualified person who is appointed to a non-permanent position. Temporary state employees are employed at will and do not have the rights and benefits provided to permanent DOC employees, except those mandated by law and pay grade minimum. (Personnel Rule 4-31) [2-CO-1C-16] [4-4060] K. Volunteer: A person approved by Faith and Citizen Programs and the respective facility administrative head/designee to provide services without compensation for DOC correctional programs. IV. PROCEDURES A. All applicants, intra-agency transfers, and reinstatements shall be made aware by the appointing authority that appointments/continued employment are contingent upon successful completion of a background investigation. Refusal to participate in any portion of the background process will disqualify a person from employment with the DOC. Any false, incomplete, inaccurate, or omission of information requested during the background investigation may be grounds for disqualification for employment or following an appointment, termination from employment. B. A Colorado Department of Corrections application is required for all persons seeking classified state positions with the DOC to include permanent, temporary, reappointment, reinstatement, reentry, and transfer positions from other state agencies. This same application is also required for contract workers, sub-contractors, and student interns. The application must be submitted to the Employment Services Unit who will determine initial qualification for employment and will forward a list of those qualified to the Background Investigation Unit. 1. Student interns under the age of 21 will complete AR Form A, Variance for Interns Under Twenty-One with no Offender Contact, in accordance with administrative regulation , Student Internship Program. The facility program services manager will forward this variance, along with a DOC application to the Background Investigations Unit.

3 CHAPTER SUBJECT AR # Page 3 2. Maintenance/construction contract workers and one time visitors requiring access for a specific purpose may be processed by the administrative head, or designee, in the facility, prior to admission to the facility. At a minimum, a National Crime Information Center/Colorado Crime Information Center (NCIC/CCIC) criminal history and visitors check will be conducted. 3. In addition to standard applicant requirements, community/parole officer and investigator applicants will be required to submit to a polygraph and may be required to submit to a psychological assessment and/or a field investigation to determine suitability for employment. These additional requirements are appropriate with these particular classifications due to their heightened contact with potentially armed offenders or suspects and their requirement to carry and potentially use lethal force in the community setting. These additional requirements are also necessary to satisfy Colorado POST standards. C. The DOC Background Investigations Unit will ensure that a criminal record check is conducted on all applicants and DOC employees in accordance with state and federal statutes and DOC regulations. The purpose of the check is to detect any criminal convictions that relate specifically to job performance. [2-CO-1C-18] [4-4061] The check will assist in determining illegal activities, e.g., criminal arrests, convictions, recent illegal drug use, or behavior, which are inappropriate in a correctional setting. D. At a minimum, a preliminary background check will be conducted on an applicant if that applicant has not previously been selected for employment with the DOC, but has previously passed a background investigation in less than a two year time period. The preliminary check includes, but is not limited to, an NCIC/CCIC check and court records review. E. Pursuant to statute, OIG/BIU interview technicians and/or investigators will conduct background investigations on all qualified applicants upon receipt of a completed DOC application from Human Resources. The preliminary phase of the background investigation will routinely consist of employment checks, NCIC/CCIC criminal history, driving record checks, court checks, and employment verification checks. Financial history checks and credential checks may be conducted during this phase or in a later phase, as the need arises. Applicants may be deemed ineligible at this level if they fail to meet DOC standards. Applicants who meet the standards at this stage may be required to participate in an integrity interview with an interview technician or an investigator. Upon completion of the second phase of the process, the preliminary phase and the interview will be reviewed by the BIU manager to determine whether the applicant is eligible or ineligible based upon the confidential standards criteria. The status of eligible candidates will be made available to the Employment Services Unit. F. During the background process, the BIU may require an applicant to submit to a polygraph examination to verify the applicant s history, statements, or written responses when there is no other means to determine veracity of those written or verbal responses and where a definitive case can be made that there may likely be deception. This argument must be made in writing to the inspector general (designee) who will make a determination as to whether the examination will be required. G. Background clearance will remain in good standing for two years unless changes have occurred since the previous DOC application was submitted. In such cases, the applicant will be required to submit a new DOC employment application and all or a portion of the background process will be repeated, based upon any changes that are identified by the BIU. H. The Employment Services Unit will make referrals to appointing authorities for interview and selection; however, an offer of employment will not be made until the background process has been completed. I. An appointment will not be made until the appointing authority has verified that the background process is complete. J. Access to background information is limited to OIG, OIG DOC employees and contract workers with a need to know, and the associate director of Human Resources. Background information is considered a criminal justice record, is confidential, and will not be divulged to anyone without the prior permission of the inspector general. Any violation of this policy may result in corrective and/or disciplinary action.

4 CHAPTER SUBJECT AR # Page 4 K. Any information discovered during the background investigation that may be construed to have potential terrorism connections must be forwarded to the local Joint Terrorism Task Force (JTTF) or another like agency. [4-4061] V. RESPONSIBILITY A. The Background Investigations Unit is responsible for: 1. Gathering appropriate documentation, e.g., criminal history and final dispositions. 2. Determining immediate disqualifications and eligibility for integrity interview. 3. Conducting integrity interviews. 4. Ensuring compliance with established guidelines and disqualifiers set forth in confidential DOC standards, employment laws (EEO/ADA), and personnel policies and regulations. 5. Reviewing accumulated information to determine eligibility/ineligibility and inputting of the score into applicant data system. 6. Resolving background investigation issues. B. The inspector general is responsible for the direction of the Background Investigations Unit in accordance with applicable statutes. As needed, the inspector general will conduct audits of the background investigation process to ensure proficiency and adherence to statute. C. The manager of Human Resources provides direction relative to applicable state personnel rules and ADA and EEO compliance issues. D. The BIU investigator (manager) will be responsible for the management and evaluation of the background investigations unit and is the custodian of all background investigation files. The BIU manager maintains records and statistics and produces a weekly activity report. E. The executive director may override the background process and may grant variance for the hiring of prior felons. Any request for variance must be made in writing to the manager of BIU. VI. AUTHORITY A Duties of executive director - inspector general - investigators - duties. B. Colorado State Personnel Board Rules. VII. HISTORY January 1, 2008 January 1, 2007 (supersedes AR ) ATTACHMENTS: A. AR Form A, Administrative Regulation Implementation/Adjustments

5 ADMINISTRATIVE REGULATION IMPLEMENTATION/ADJUSTMENTS AR Form A (04/15/08) CHAPTER SUBJECT AR # EFFECTIVE Investigations Background Investigations (FACILITY/WORK UNIT NAME) WILL ACCEPT AND IMPLEMENT THE PROVISIONS OF THE ABOVE ADMINISTRATIVE REGULATION: [ ] AS WRITTEN [ ] NOT APPLICABLE [ ] WITH THE FOLLOWING PROCEDURES TO ACCOMPLISH THE INTENT OF THE AR (SIGNED) Administrative Head (DATE) Attachment A Page 1 of 1