Background Investigation

1. Background Investigation Sergeant Eric Anspach - Eanspach@azdps.gov x2625 Officer Jermaine Evans – Jevans@azdps.gov x2982 Investigator Francesca Anatra – Fanatra@azdps.gov x2604 Arizona Department of Public Safety Sworn Selection & Recruiting Unit

2. Background Investigation DISCLAIMER: Nothing in this electronic summary presentation is meant to replace any information contained within the Background Investigation manual nor does it remove assigned background investigators from the responsibility of adhering to the full contents of the Background Investigation manual. VIDEO

3. Performance Objectives Background Investigation • Describe the guidelines and proper conduct necessary to successfully perform sworn background investigations for the Arizona Department of Public Safety. 2. Explain the recommended manner in which to begin a background investigation. 3. Describe the elements of a background investigation and demonstrate the interview process necessary to complete a comprehensive background investigation 4. Common areas for improvement in BI reports • Review of sample background investigation reports

4. Sworn Employees Background Investigation • Time & Activity reporting code will be 0223 • KASE entry is “BI” • If a background can’t be completed by the due date, contact your respective Division Administrative Sergeant, via the chain of command, for direction as soon as possible. • This includes periods of time during the assigned background investigation (HRB gives a four (4) week turnaround time element once the BI is assigned to the responsible Division). An example of this would be you starting your vacation or a lengthy court trial in the middle of an assigned BI).

5. Conflict of Interest Background Investigation If the candidate is a friend or relative or there is a possible conflict, real or perceived, that could hinder an impartial background investigation, refer the investigation to your supervisor for reassignment.

6. Confidentiality Background Investigation • All investigations are completely confidential in nature. (DPS G.O. 3.2.20) • At no time shall results of the investigation or information obtained be disclosed to the candidate, his/her acquaintances or family members, unauthorized Department employees or any member of the public. • The candidate’s expectation of privacy shall not be compromised by discussing any part of the investigation with other police officers unless they are directly involved in the development of facts.

7. Conduct • Refrain from making any comments, negative or positive, to the candidate concerning their chances of being accepted for employment. • Once the investigation is complete and the information is submitted to HRB, the only communication with the candidate will be from HRB. • At all times during the investigation, a positive, professional image shall be displayed while representing the Department. • The process shall be fair and equitable for all candidates. • If during the background investigation a crime involving a victim is discovered, inform your supervisor. Background Investigation

8. EEO/ADA Background Investigation • Investigators shall not make inquires or comments regarding the following: • Race • Religion • National origin (You can ask if they are a U.S. citizen) • Gender • Age (You may inquire if the candidate is 21 years of age) • Physical capabilities or disabilities • Sexual orientation • Medical conditions

9. candidate Process Background Investigation • There are several phases to the application process. It is important for the investigator to be aware of where the background investigation occurs in the application process. • Screen application packet for minimum qualifications • Written, physical and qualification appraisal board examinations • Creation and placement on eligibility list (does not apply to Sworn Reserves) • Background investigation • Polygraph • Pre-employment drug screen • Psychological examination • Medical Examination • Final file review (Sgt., Lt. & Cmdr.) • New Hire P/PAR and Executive Management approvals

10. Beginning the Background Investigation Background Investigation • Importance of a complete, thorough background investigation: • Vicarious liability • Department’s responsibility to ensure the best, qualified candidate is hired • The investigator’s role in determining the candidate’s eligibility and character • The investigator’s responsibility to ensure the candidate meets the qualifications stated in AZPOST rules R13-4-105 and R13-4-106

11. R13-4-105. Minimum Qualifications for Appointment For the purposes of this class Background Investigation • Except as provided in subsection (C) or (D), a person shall meet the following minimum qualifications before being appointed to or attending an academy: • 1. Be a United States citizen; • 2. Be at least 21 years of age; except that a person may attend an academy if the person will be 21 before graduating; • 3. Be a high school graduate or have successfully completed a General Education Development (G.E.D.) examination; • 4. Undergo a complete background investigation that meets the standards of R13-4-106. A person may begin an academy before the results of the fingerprint check are returned. However, the academy shall not graduate the person and the Board shall not reimburse the academy for the person's training expenses until a qualifying fingerprint check return is obtained; • 5. Undergo a medical examination that meets the standards of R13-4-107 within one year before appointment;

12. R13-4-105. Minimum Qualifications for Appointment 6. Not have been convicted of a felony or any offense that would be a felony if committed in Arizona; 7. Not have been dishonorably discharged from the United States Armed Forces; 8. Not have been previously denied certified status, have certified status revoked, or have current certified status suspended; 9. Not have illegally sold, produced, cultivated, or transported for sale marijuana; 10. Not have illegally used marijuana for any purpose within the past three years; 11. Not have ever illegally used marijuana other than for experimentation; 12. Not have ever illegally used marijuana while employed or appointed as a peace officer; 13. Not have illegally sold, produced, cultivated, or transported for sale a dangerous drug or narcotic; 14. Not have illegally used a dangerous drug or narcotic, other than marijuana, for any purpose within the past seven years; Background Investigation

13. R13-4-105. Minimum Qualifications for Appointment Background Investigation 15. Not have ever illegally used a dangerous drug or narcotic other than for experimentation; 16. Not have ever illegally used a dangerous drug or narcotic while employed or appointed as a peace officer; 17. Not have a pattern of abuse of prescription medication; 18. Undergo a polygraph examination that meets the requirements of R13-4-106, unless prohibited by law; 19. Not have been convicted of or adjudged to have violated traffic regulations governing the movement of vehicles with a frequency within the past three years that indicates a disrespect for traffic laws or a disregard for the safety of other persons on the highway; 20. Read the code of ethics in subsection (F) and affirm by signature the person's understanding of and agreement to abide by the code. VIDEO

14. R13-4-105. Minimum Qualifications for Appointment B. The illegal use of marijuana, or a dangerous drug or narcotic is presumed to be not for experimentation if: 1. The use of marijuana exceeds a total of 20 times or exceeds five times since the age of 21 years; or 2. The use of any dangerous drug or narcotic, other than marijuana, in any combination exceeds a total of five times, or exceeds one time since the age of 21 years. Background Investigation

15. R13-4-106. Background Investigation Requirements Background Investigation • Personal history statement. A person who seeks to be appointed shall complete and submit to the appointing agency a personal history statement on a form prescribed by the Board (This is the AZ POST PHQ) before the start of a background investigation. The history statement shall contain answers to questions that aid in determining whether the person is eligible for certified status as a peace officer. The questions shall concern whether the person meets the minimum requirements for appointment, has engaged in conduct or a pattern of conduct that would jeopardize the public trust in the law enforcement profession, and is of good moral character. • B. Investigative requirements for the candidate. To assist with the background investigation, a person who seeks to be appointed shall provide the following:

16. R13-4-106. Background Investigation Requirements Background Investigation • Proof of United States citizenship. A copy of a birth certificate, United States passport, or United States naturalization papers is acceptable proof. • Proof of education. A copy of a diploma, certificate, or transcript is acceptable proof. • Record of any military discharge. A copy of the Military Service Record (DD Form 214, Member 4) is acceptable proof. • Personal references. The names and addresses of at least three people who can provide information as personal references. • Previous employers or schools attended. The names and addresses of all employers and schools attended within the previous five years. • Residence history. A listing of the complete address for every location that the person has lived in the last five years.

17. R13-4-106. Background Investigation Requirements Background Investigation C. Investigative requirements for the agency. A complete background investigation includes the following inquiries and a review of the returns to determine that the person seeking appointment meets the requirements of R13-4-105, and that the person's personal history statement is accurate and truthful. For each person seeking to be appointed, the appointing agency shall *=BI’s responsibility: *1. Query all the law enforcement agency records in jurisdictions listed in subsections (B)(5) and (B)(6); *2. Query the motor vehicle division driving record from any state listed in subsections (B)(5) and (B)(6); 3. Complete and submit a Fingerprint Card Inventory Sheet to the Federal Bureau of Investigation and Arizona Department of Public Safety for query;

18. R13-4-106. Background Investigation Requirements Background Investigation 4. Query the National Crime Information Center/Interstate Identification Index (NCIC/III), and the Arizona Criminal Information Center/Arizona Computerized Criminal History (ACIC/ACCH), or the equivalent for each state listed in subsections (B)(5) and (B)(6); *5. Contact all personal references and employers listed in subsections (B)(4) and (B)(5) and document the answers to inquiries concerning whether the person meets the standards of this Section;

19. Background Investigation 6. Administer a polygraph examination, unless prohibited by law. The results shall include a detailed report of the pre-test interview and any post-test interview and shall cover responses to all questions that concern minimum standards for appointment as required by R13-4-105, truthfulness on the personal history statement, and the commission of any crimes; and *7. If the results of the background investigation show that the person meets minimum qualifications for appointment, has not engaged in conduct or a pattern of conduct that would jeopardize public trust in the law enforcement profession, and is of good moral character, complete a report that attests to those findings.

20. Steps to a successful Investigation • Review the candidate’s packet thoroughly prior to beginning the process. • Determine who must be contacted and their locations. • Send out any records or reference checks as early as possible (many take weeks to return). • Make personal contact with anyone to be interviewed. If unable to do so because of location, contact a DPS officer stationed in proximity of the person to be interviewed (if they live in Arizona). • DOCUMENT, DOCUMENT, DOCUMENT AND FOLLOW-UP! Background Investigation

21. Steps to a successful Investigation Background Investigation • Compare all background material for any discrepancies including the following: • Applications (PHQ’s) • Credit report • Criminal history information • Driver’s license record(s) in & out of AZ • Education, citizenship and military docs

22. Steps to a successful Investigation • Acquire any necessary reports including, but not limited to: • Collision records/reports • Criminal records/reports • Civil documents • Divorce proceedings • Orders of protection • Injunctions prohibiting harassment • Any previous AZPOST certification • Applications to other LE agencies • Court documents • Education • Employers • Military records • Driving records Background Investigation

23. Item’s provided by HRB and included in the candidate’s packet: Background Investigation • Copy of DPS Background Investigation manual • Investigator’s Log Supplement • Background Investigator Assignment Form • Must be faxed immediately to HR upon receipt of BI • Out of state (OOS) driver’s license histories may be delayed by as much as two weeks if the information can only be obtained via teletype. HR does run initial OOS checks, however, it’s wise to run your own early in the investigation as some records don’t return expeditiously. Consider having your subject get the certified records and forward them to you. • Credit report

24. Criminal history records information • -ACIC/NCIC, LJNB, DCQI, CCH & SORI checks • -AZ MVD records check • -DPS intelligence report (part of CIRU report) • -DPS narcotics report • Form letters and return envelopes • Education, citizenship and military documents (Member 4 copy, DD- 214) • Any requests for criminal history records sent via teletype • Employer questionnaire forms • Waiver of liability and release Background InvestigationDocuments Provided cont.

25. Investigation Process • All past employers must be contacted. • HRB requires a complete employment history to fairly evaluate the candidate. • If unable to contact a previous employer, insist the candidate assist by contacting past associates or supervisors. • If a previous employer is no longer in business, document so in the report. Background Investigation

26. Contacting Previous Employers / Employment History Background Investigation • Attempt to get applications from previous and current employers and compare the information with the DPS application • Conduct the interview with a supervisor or manager at the company/agency. • Interview previous employers using the “Employer Questionnaire” as a guide not a limitation. • Discuss candidate’s job performance. If problem’s exist ascertain if there is written documentation of the occurrence(s). • Investigate if any complaints occurred with the employee, and if so was any disciplinary action taken.

27. Contacting Previous Employers • Inquire as to why the employee left the company/agency and if eligible for rehire. • Employer may choose to provide a written statement, positive or negative. If this occurs send a blank “Employee Questionnaire” with a stamped, addressed envelope. • If the employer refuses to provide information via telephone send/fax them a copy of the signed candidate waiver and background form letter. If mailed include a return, stamped envelope. Advise the employer you will be sending this and to respond as soon a possible. Make sure you put your name on the envelope so the analyst knows who the investigator is. Background Investigation

28. Contacting Previous Employers • If the employer utilizes an outside verification service (such as The Work Number), and that service is the ONLY source of verification, contact HRB for assistance. • Make a follow-up phone call to ensure they received it. If mailed, check with Human Resources to see if they received a reply and include it in the report. • If possible, obtain copies of any complimentary letters or written reprimands. Background Investigation

29. Contacting Current Employers • The candidate’s current employer must be contacted. • If the candidate refuses to allow the background investigator to contact the current employer this will result in disqualification from the selection process. • Advise the candidate you can’t proceed unless contact is made with the current employer. If the candidate still doesn’t want you to contact their current employer, document it in the report and return the file to HRB, via your chain of command. • The same interview process should be conducted as with previous employers using the “Employer Questionnaire.” Background Investigation

30. Periods of Unemployment Background Investigation • Carefully review gaps in employment with the application to ensure the information in consistent.

31. Contacting Police Agencies • If the candidate has worked for a police agency, the agency must be contacted in accordance with AZ POST rule R13-4-106. If the agency is in Arizona, the Investigator must review the file in person at that agency. • Contact other police agencies where the candidate may have applied. Inquire on the status of the application. If rejected, list reason and the name of the person providing information. • Contact AZ POST for certification status or if there are any discipline cases pending (CLEARS check). Background Investigation

32. Financial Stability • The investigator will evaluate the candidate’s ability to meet financial obligations and live within his/her means. • A credit report is included in the file and should be reviewed. • If the investigation indicates any problems, the candidate must be given an opportunity to explain how the problem(s) will be addressed. • If the credit report reflects unpaid bills remanded to a collection agency, make note of it and ensure it is discussed with the candidate. • If settlements are outstanding, ascertain status and balance owed. Background Investigation

33. Compare totals with DPS income for compatibility

36. Background Investigation Driving Record SAMPLE REPORT VIDEO How do I interpret all these codes??

37. Driving Record Background Investigation • The candidate’s driving record must be evaluated to ensure incidents do not exist which would preclude employment by DPS. • A printout from MVD must be included in the candidate’s file. • Compare the candidate’s long form application with the MVD printout to ensure consistency. • Inquire if the candidate has been involved in any collisions. If so, determine who was at fault, when/where it occurred, and if any citations were issued.

38. Driving Record Background Investigation • Obtain copies of all collision reports in which the candidate was a driver for inclusion in the report. • Determine if any legal action is pending as a result of a collision involving the candidate. • Inquire if any citations, tickets, or collisions have occurred since the application was submitted. VIDEO

39. Criminal History Records • Check all local agencies where the candidate has lived, worked, attended school or was stationed in the military. • In-state and out-of-state, telephonically if possible. Some states state police agencies house all criminal records for every agency within their state, so make sure to run a check with the equivalent state police agency’s records unit. • Teletype (done through OpComm) or a letter with waiver is usually required • If using a teletype, DPS ORI is AZ0079900 • Use the teletype when all other methods have failed (it takes 2 to 3 weeks to get the return mailed to you). Some states (like MI, NJ and NY) charge a fee, even to LE agencies EXCEPT for LE agency teletype requests. Make sure you state the purpose of the teletype request is for “criminal investigation” • If any report(s) exist, include a copy in the background investigation. Background Investigation

41. Criminal History Records Background Investigation • Check with local DPS units and inquire if the candidate is known in any way. If so, list officers contacted and any comments in the background investigation. • Review any criminal history checks included in the packet, ACIC/NCIC • Obtain court dispositions of any criminal or civil cases.

42. Additional Investigative Reports Background Investigation • Online resources for background information • NOTE: DO NOT assume information located on or obtained from non-governmental websites is accurate—you must verify! CLICK ME!

43. Military Records Background Investigation • Information for military records can be obtained via fax. All branches and military contacts are listed in the “Background Investigation Reference Manual.” • Candidate must sign and date the SF-180 waiver (page 1) – HR will provide a pre-filled and signed waiver which you must send off. • Contact the applicable branch of military via phone prior to faxing/requesting any information. • Request information regarding all Article 15’s. • If early discharge, ascertain why and be specific. • Contact supervisor and conduct an employer interview.

44. Background InvestigationMilitary Records UCMJ manual Manual for Court Martials

45. Personal References • Investigators must speak to all references listed on the application. Record the date, time and location of the interviews. • A list of sample questions for references is included in the “Background Investigation Reference Manual.” • COVER LETTER (ONLY TO BE USED BY MAIL AS A LAST RESORT) • QUESTIONNAIRE • Ask the references listed for additional references; if necessary, contact them. • Interviews with neighbors can provide valuable information and leads for follow-up. If possible, interview 2-4 persons who reside near the candidate. • EX-Spouse Background Investigation

46. Personal References Background Investigation • Personal references tend to be positive and acquaintances are often candid. • If additional interviews are necessary, re-interview references. • If the reference resides in another part of Arizona, have a local DPS officer conduct the interview and have them supplement your report.

47. Personal History Questionnaire Background Investigation • The PHQ and Sworn application documents (provided by HRB) shall be reviewed thoroughly by the background investigator prior to interviewing the candidate.

48. Personal History Questionnaire Background Investigation • Information in the AZPOST PHQ and the Sworn application should be verified in a personal interview with the candidate. This information is verified with the candidate to ensure that: • -Candidate interpreted the question correctly. • -Candidate answered truthfully. • -All responses were recorded correctly by the candidate.

49. Personal History Questionnaire Background Investigation • During the interview the candidate should be asked to correct any inaccuracies that may be present in the document and to certify the accuracy of the document if information is corrected.

50. Personal Profile (Interview) • The personal profile and interview process is necessary to aid the Department in hiring individuals with high moral conduct. This also gives the candidate the opportunity to clarify, confirm and discuss the information contained in the application and information received from investigative sources. • Use the PHQ’s, HRB provided documents, and information you have discovered as tools for the interview. • Be sure to complete this supplementary criminal history form and report the results. • Additional questions may be necessary. If there are areas of concern or discrepancies be sure to investigate them thoroughly. Background Investigation