4_-_BI_Standard_Procedures.pdf

Section J ‐ Attachment #4

Standard Operating Procedures for Contractor Background Investigation Contractor and USMS Contracting Officers Representative (COR)

Contractor Responsibilities Pre‐Appointment

The Warden or designee shall be the contractor’s contact person for all matters regarding the processing of contractor personnel. Based on the following and the Guidelines of Acceptability for USMS Contract Jails, the Warden or designee will determine if the applicant is suitable for employment. The Warden or designee shall certify that the following steps have been completed with satisfactory results and submit the certification with the applicant’s information.

1. The Warden or designee will conduct a pre‐employment interview.

2. The Warden or designee will conduct a credit check for employment purposes as described in the Fair Credit Reporting Act. A copy of the credit report will be included in the package.

3. The Warden or designee will supply a copy of a correctly filled out Questionnaire for Public

Trust Positions, SF‐85P, completed by the applicant. If the applicant is required to carry a firearm while in the performance of their duties, a form SF‐85P‐S will be used.

4. The Warden or designee will provide the COR with two FD‐258 fingerprint cards for each applicant. The COR will supply the contractor with fingerprint cards bearing the ORI of the COR’s office. When the COR receives the completed fingerprint cards, he/she will mail them to the FBI. All results of the fingerprint check will be received by the COR.

5. The Warden or designee will voucher the applicant’s employment records for the past five years.

6. The Warden or designee will certify in writing that the applicant is a United States citizen or legal resident of the United Stated verified by appropriate documentation. For non‐citizens applicants or subcontractors, the contractor must seek approval from the COR. Non‐citizen applicants or subcontractors must be citizens of an allied nation as defined by the United States Office of Personnel Management (www.opm.gov/employ/html/citizen.htm).

7. The Warden or designee will certify that the applicant has met the residency requirements.

8. The Warden or designee will certify that they have conducted a urinalysis in accordance with P.S. 3735.04, Drug Free Workplace.

9. The Warden or designee will perform a local law enforcement agency check for the past five years as part of a background investigation.

10. Additionally the Warden or designee will submit one completed fingerprint card (FD 258 version) to the FBI. The card will bear the ORI number for the COR’s district. The FBI will send the results directly to the COR.

11. The Warden shall certify the above steps have been completed with satisfactory results and submit the certification to the COR requesting a conditional approval.

12. After receiving the USMS’ conditional approval the contractor notify COR within 24 hours of actual entry on duty (EOD) date and of background investigation scheduling date and case number.

13. The Warden or designee is responsible for reviewing and adjudicating the background investigation (see below for further details).

USMS/COR Responsibilities

Upon receipt of the conditional request memo or letter, the USMS COR will run NCIC/NLET and submit the fingerprint card to the FBI.

Prior to issuing the conditional approval the COR shall complete the following steps:

1. Run NCIC/NLETS for all states of residence as reflected on the SF 85P.

2. Upon favorable results of fingerprints and NCIC/NLETS; the COR shall grant a conditional approval. The conditional approval shall include the following: full name, date of birth, social security number and position applied for.

3. If the fingerprint results or NCIC/NLETS contain derogatory information the conditional may or may not be issued based on the Guidelines for Acceptability. If the COR desires additional information to resolve the issue, the warden or his designee shall be contacted to obtain additional information from the applicant.

The USMS retains authority to approve all contractor staff, subcontractors and volunteers, who work or have contact with federal detainees under the terms of this contract. No individual who is under supervision or jurisdiction of any parole, probation or correctional authority shall have contact with Federal Detainees, files, records, or movement records.

The COR will keep a roster or spreadsheet that lists each employee at the contract facility, their title, their EOD date, date of conditional approval, the date their background investigation was received, the date their background was adjudicated and the date they were separated from employment.

Once the NCIC/NLETS results are no longer needed, they will be destroyed. They will not be kept in the personnel files.

Contractor Responsibilities Post Appointment

Within one year of each on‐site employee’s EOD, the contractor shall obtain, review, identify and resolve derogatory information contained on the background investigation results using the Guidelines of Acceptability for USMS Contract Jails. The contractor shall make a determination regarding the employee’s suitability for employment under this contract.

Investigations with little or no derogatory information will be reviewed and forwarded to the COR within 90 days of the investigation completion date. Investigations requiring resolution of derogatory information will be forwarded within 180 days of the investigation completion date.

Extended adjudication time frames, on a case‐by‐case basis, may be requested from the COR.

Upon receipt, review and resolution of any derogatory information contained in the reinvestigation report, the Warden shall forward to the COR a written final determination regarding the employee’s continued employment under this contract.

A copy of the background investigation report results shall be attached. The contractor shall ensure all employees and full‐time subcontractors are reinvestigated every five years as prescribed in the Scope and Coverage of a Periodic Reinvestigation.

The contractor shall maintain all personnel records, on‐site, for the duration of the contract and make these records available to the USMS upon request.

Personnel working on this contract and requiring unescorted access to USMS facilities and or information systems are required to be approved by the USMS security office in accordance with Homeland Security Presidential Directive 12 as required by USMS Security Program Manager attachment B (available upon award). These personnel must be approved in writing by the USMS Personnel Security Branch before such access can be granted and may require and additional background investigation through the Office of Personnel Management at the minimum level of a NACI.

Written Wavier Request

If the Warden or designee wishes to employee the applicant after finding that the applicant does not meet Guidelines of Acceptability USMS Contract Jails, the contractor may submit a written request for a waiver. The request will contain the following:

a. the details and circumstances of the applicant’s behaviour that is outside the guidelines;

b. the reasons why the applicant should receive further consideration;

c. The availability of other suitable applicants.