IFB_5000_ALD1020_ATT_11_v1.pdf

ACCD Contractor or Subcontractor Access Requirements

Authorized ID and access to those acting as a Contractor or Contractor’s Subcontractor who are providing services at Austin Convention Center Department (ACCD) must adhere to the security requirements defined below. Violation of the applicable requirements below may result in the Contractor or its Subcontractor to be removed from ACCD facility or property.

1. Other than ACCD and in-house contractor employees, and unless other arrangements are made with the Contract Manager, persons conducting business with Austin Convention Center (ACC) are required to enter through the service entrance at the pedestrian gate on Red River St. and check-in at the Security Check-In inside the service yard or with the Security Operations Center. Persons arriving at ACC may also enter through the Administrative Offices entrance on Cesar Chavez Street.

Persons conducting business with Palmer Events Center (PEC) are required to enter through the garage service entrance and check-in with the PEC Security Operations Center or PEC Administrative Offices. Any other means of access entry into the facilities are unauthorized.

2. Contractors, Contractor’s Subcontractors or others who are providing services at ACCD shall be issued Temporary Badge/Access, which may be an ACCD Photo or Non-Photo ID Badge.

3. All persons not directly escorted by an ACCD employee must clearly display an access/ID device while on ACCD facility premises.

4. Use of ACCD access/ID devices to access any part of ACCD facilities for non-business purposes (events, shows, etc.) is prohibited.

5. Any ACCD employee may check an individual’s status or contact Security Operations Center whenever observing person(s) in non-public areas of ACCD facilities who are not being directly escorted by an ACCD employee or who are not displaying any required access/ID devices.

6. Restricted areas of the facility with signs stating “Authorized Personnel Only”, “Restricted Access”, Client Access Only” or “No Access” are off limits to all persons except those authorized.

7. Unless authorized by ACCD Management, exterior access into ACCD facilities using keys is prohibited.

8. Under no circumstances shall any person issued an access/ID device, allow another person entry into any ACCD facility using their access/ID device. This includes “piggy-backing” through access doors or gates. Any person with an ACCD ID badge or access device who allows another person to enter using their access privileges should bring the person directly to the Security Operations Center to be checked-in.

9. Due to security and safety concerns, Contractors and Contractor’s Subcontractors conducting business at ACCD, are not allowed to walk through the open service yard vehicle gates to enter or exit the service yards. Entry and exit should be by way of the designated pedestrian gates and walkway using appropriate access/ID devices and check-in procedures.

10. Pedestrian traffic through ACCD’s service yards and exhibit halls is restricted to authorized persons during event/show move-in and move-outs. Children under seventeen (17) are prohibited from ACCD service yards and exhibit halls during move-in and move-outs.

11. During periods where there is no move-in or move-out traffic in the service yards, only persons with legitimate business needs are allowed into the service yards.

12. Temporary badge/access devices issued to contractors, subcontractors or temporary workers must be returned to the Security Operations Center at the completion of the ACCD work assignment. Non-photo temporary badges must be returned at the end of the employees work shift/assignment. Failure to return temporary badges/access devices at the completion of work assignments may lead to future ACCD facility access restrictions.

Attachment C Security Requirements

No AUS Badge Required for Contractor (for deliveries or services that require escorted services only)

1. AIRPORT SECURITY CLEARANCE AND IDENTIFICATION (ID):

1.1. Airport Security: Access to the premises must be strictly controlled. Officers, employees, or agents of the Contractor shall never enter a restricted or operational area of the airport without the express permission of AUS or any governmental bodies having jurisdiction. The contractor assumes full liability from any such unauthorized incursions.

1.2. Security Badges: The Contractor personnel shall be required to display company/employer-issued photo ID at all times when in the building. Failure to do so may be grounds for AUS removal of Contractor Personnel from the worksite, without regard to Contractor’s schedule.

1.3. The Contractor shall comply with all other security requirements imposed by AUS and shall ensure that all employees and subcontractors are kept fully informed as to these requirements.

The Contractor shall be escorted by AUS employees at all times while on the AUS Campus.

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

Approved: Security Steering Committee Revised: 05/12/2021 Version: 4

Austin Water

FACILITY SECURITY PROCEDURE FOR

CONTRACTORS

SP-1070

Water and Wastewater Treatment Plants, Water Pump Stations and Reservoirs, Lift Stations, Service Centers, and Administration Buildings

NOTICE: ACCESS TO AUSTIN WATER SITES

WILL NOT BE GRANTED UNTIL THE ENCLOSED

APPLICATION IS SUBMITTED AND APPROVED.

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

Facility Security Procedure for Contractors

SP-1070

Approval Record

Prepared by Austin Water Security Management Division:

Rick Verardi, Security Manager Date

Approved by Austin Water Security Steering Committee:

Shay Ralls Roalson, P.E., Assistant Director, Engineering Date Committee Chair

Anna Bryan-Borja, CIA, CFE, Assistant Director, Business Services Date

Rick Coronado, P.E., Assistant Director, Operations Date

Steve Hutton, Acting Chief Information Officer Date

5/12/2021

5/12/2021

05/12/2021

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

Facility Security Procedure for Contractors

SP-1070

Revision Record

Version Date Description- Affected Pages Approved By

1 16 Sept

Updated, included all facilities All pages

Rick Verardi Security Mgr.

2 16 Sept

Updated decal issuing/valid dates Rick Verardi Security Mgr.

3 24 Oct

Updated Escorted access, removed decal, added ID Badges

Rick Verardi Security Mgr.

4 12 May

Updated Escorted access, application updated, additional notices/updates

Rick Verardi Security Mgr.

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

FACILITY SECURITY PROCEDURE FOR CONTRACTORS

SP-1070

Table of Contents

1 SECURITY POLICY

2 SECURITY PROCEDURE

2.1 PURPOSE

2.2 SECURITY PROCEDURE MAINTENANCE

2.3 RESTRICTED AREA ACCESS POLICY

2.3.1 Unescorted Access

2.3.2 Escorted Access

2.4 CONTRACTOR’S BASIC SECURITY RESPONSIBILITIES

2.4.1 Read-and-Follow Requirement

2.4.2 Basic Security Functions

2.5 APPLICATIONS FOR AUTHORITY TO ENTER FACILITIES, BACKGROUND SECURITY CHECKS

AND IDENTIFICATION BADGES

2.5.1 Applications for Authority to Enter Facilities

2.5.2 Background Security Checks

2.5.3 Security Identification Badges

2.5.4 Identification Badge Control and Handling

2.5.5 Revoking Access Authorization

2.6 FACILITY SECURITY AND ACCESS CONTROL

2.6.1 Access to Facilities

2.6.2 Site Security Requirements

2.6.3 Combinations and Key Controls

2.6.4 Operation of Access-Controlled Doors at Remote Facilities

2.6.5 Tailgating

APPENDIX A:

APPENDIX B:

APPENDIX C:

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

1 SECURITY POLICY

Paramount to Austin Water (AW) is:

• The production and delivery of adequate supply of safe drinking water to all customers

• Uninterrupted collection of wastewater, without spills, and

• Adequate processing of wastewater to be safely returned to the environment.

AW shall provide high quality physical security at all its facilities and shall initiate, implement, enforce, and update as needed, specific rules and procedures to protect property, personnel, equipment, and material against unauthorized entry, trespass, damage, sabotage, or other acts that might threaten the security of essential facilities, the quality of the drinking water, or the quality of treated wastewater.

2 SECURITY PROCEDURE

2.1 PURPOSE

The purpose of this Procedure is to provide Contractors and Subcontractors with standard operating methods, directives and instructions in accordance with AW’s mission to protect its assets.

2.2 SECURITY PROCEDURE MAINTENANCE

The maintenance and updating of this Facility Security Procedure is the responsibility of the Security Manager with input from the Treatment Program Division Managers and Facilities Management.

This Facility Security Procedure will be reviewed and updated at least yearly. A record of all revisions will be maintained at the front of all copies.

2.3 RESTRICTED AREA ACCESS POLICY

2.3.1 Unescorted Access

Unescorted access is granted to contractors that have completed the “Application for Authorization to Enter Secured Austin Water Facilities” (Appendix B) and clear the background security check. An Austin Water technology badge or identification badge will be issued.

2.3.2 Escorted Access

Escorted access is not granted to contractors performing regularly scheduled contract work for Austin Water.

Escorted access may be granted in situations that necessitate the need for Austin Water staff to be present for the contractors visit. Escorted access, when approved, is allowed provided an Austin Water and/or City of Austin employee physically escorts the visitor and is present with the visitor at all times.

Exceptions to the Escorted access policy are reviewed and approved by Security Management on a case by case basis. Contractors requesting escorted access must submit their request in writing to Security Management and the site Supervisor a minimum of 12 hours before they intend to be on site except in emergency situations.

Contractors must have written confirmation of an exception to the escort policy from Security Management before being granted site access. Security management can be reached at AWFacilitySecurity@austintexas.gov.

Any exceptions granted to contractors regarding the Escorted Access policy are valid for one (1) day. Contractors scheduled for contract work for longer than one (1) day are required to apply for unescorted access.

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

In the event of an unplanned facility emergency that requires an immediate response from a contractor, that contractor may be granted temporary access to the facility. The contractor must be met at the facility entry point by an Austin Water or approved City of Austin employee escort, must sign the visitor guest log (which will include the name of AW/CoA employee escorting the contractor), and must remain in the presence of the escorting AW/CoA employee for the duration of the visit. Security Management must approve all City of Austin employees assigned to escort on Austin Water property.

2.4 CONTRACTOR’S BASIC SECURITY RESPONSIBILITIES

2.4.1 Read-and-Follow Requirement

All Contractors and Subcontractors shall read and follow this Procedure. The Contractor’s Project Manager and Site Superintendent, and all Subcontractors’ on-site Supervisors will be required to sign the “CONTRACTOR’S

ACKNOWLEDGEMENT OF AUSTIN WATER FACILITY SECURITY PROCEDURES FOR

CONTRACTORS” (Appendix A) attesting to the fact that they have read and understood this Procedure. The “Contractor’s Acknowledgement” signed by the Contractor’s Project Manager and Site Superintendent shall be delivered to AW at the Preconstruction Conference, and before any access is permitted to the work site. The “Contractor’s

Acknowledgement” signed by the Subcontractors’ Project Managers and Site Supervisors will be delivered to AW at least two (2) weeks before the Subcontractor requires access to the site.

All Contractor’s and Subcontractors’ employees are expected to be thoroughly knowledgeable in the contents of this Procedure. Contractors and Subcontractors shall instruct their employees on the provisions and requirements of this procedure and shall emphasize the importance of their compliance. Any person’s failure to follow any of the provisions or requirements of this Procedure may result in that person being removed from the job site and losing access privileges.

Persons removed from the site for violations of this Procedure may reapply for access to the site if approved by Security Management and the site Superintendent. Security Management reserves the right to refuse access to persons found to have intentionally violated this Procedure.

2.4.2 Basic Security Functions

The basic security functions of Contractors and Subcontractors shall center on the protection of water and wastewater quality, personnel, and AW and Contractors’ property. These basic functions will involve securing and monitoring the project site, controlling access, preventing unlawful entry, unlocking and locking buildings, and enforcing AW’s rules, policies, procedures and directives.

Contractors and Subcontractors shall provide deterrence against fire, theft, vandalism, and trespass and shall assist in the elimination of safety hazards and security breaches. In some cases, Contractors and Subcontractors will be called upon to assist in the detection and detention of persons guilty of trespassing on or committing offenses on AW property. Uniformed officers from the Austin Police Department and local Sheriffs’ Departments shall provide the enforcement support for criminal acts committed on AW property.

Contractors and Subcontractors shall accurately report and record all transgressions and incidents.

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

2.5 APPLICATIONS FOR AUTHORITY TO ENTER FACILITIES, BACKGROUND SECURITY

CHECKS AND IDENTIFICATION BADGES

2.5.1 Applications for Authority to Enter Facilities

The Contractor shall submit an “Application for Authorization to Enter Secured Austin Water Facilities” (Appendix B) for each of their employees and their Subcontractors’ employees before that employee is allowed to enter the project site. All information requested on the application shall be provided, including required signatures. Each application submitted shall be an original document. Copies or facsimiles are not acceptable.

Each application shall be accompanied by a complete background security check. Each employee’s application and background security check shall be submitted at least five (5) working days prior to the first day that employee is to work on the secured site to allow for adequate review of the documents. Each background check submitted shall be an original document. Copies or facsimiles are not acceptable.

2.5.2 Background Security Checks

The Contractor shall submit a “Criminal History Records Check Disqualifying Criminal Offenses” (Appendix C) and provide a current fingerprint based background security check for each of their employees and their Subcontractors’ employees submitted along with the “Application for Authorization to Enter Secured Austin Water Facilities” (Appendix B). The background check must be performed by either the United States Federal Government (FBI) or the Department of Public Safety from the employee’s home state (the state in which the employee resides and from which they obtained their driver’s license or identification card). The background security check for a non-US citizen shall be performed by their native country’s national law-enforcement agency (e.g. a Canadian citizen shall submit a background check performed by the Royal Canadian Mounted Police).

Contractors may employ a background check service. Contractors are responsible for ensuring the service conducts the correct type of background check.

The results of each background check shall be dated and submitted as an original, certified official document from the agency performing the check, and shall bear all appropriate letterheads, seals, and signatures. The background check shall clearly indicate the agency performing the check and include their address and telephone number.

Background checks performed less than one year prior to the subject Contract’s Notice-to Proceed will be acceptable.

Due to the current nationwide pandemic Applications and Background Security Checks may be submitted electronically to Security management.

2.5.3 Security Identification Badges

Austin Water utilizes two methods of Security ID Badges

ID Badge: This badge is issued to contractors working at a facility that require access to the facility grounds via the entrance gate. An example would-be long-term contractor. Badges are given an expiration date set to expire at a date determined by Security Management. Badges are issued for a maximum of two years.

Technology Badge: This badge is issued to contractors working at a facility that require access to secured buildings on an AW site. Examples are the cleaning crew, security guards, and contractor superintendents supervising multiple job sites. Badges are given an expiration date set to expire at a date determined by Security Management. Badges are issued for a maximum of two years. Technology Badges are issued at the discretion of Security Management.

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

Authorization to enter protected facilities and the issuing of an ID Badge or Technology Badge shall require a review of the background security check and approval from Security Management.

A new background check is required prior to the issuance of another Badge after the previous one expires.

2.5.4 Identification Badge Control and Handling

All personnel on the job site shall maintain the Security Identification Badge on their person at all times. The Badge should be displayed on their outer clothing in a clear manner. Arm band ID holders are acceptable.

Security Identification Badge holders will take reasonable care to protect their badge from unauthorized use.

Badge holders will not allow others to use their badge.

In the event that a Security Badge holder discovers that their badge has been lost, the badge holder shall immediately report the loss to the Contractor’s Site Superintendent, who will immediately report the loss to the AW Project Sponsor/Manager, and to the AW Plant Superintendent (at treatment plants) or the AW Operation Manager at the South First Support Center (512-972-0502) (for pump stations and reservoirs).

2.5.5 Revoking Access Authorization

Authorization to enter and/or work on any Austin Water site is at the sole discretion of AW and may be revoked at any time.

Authorization to enter secured AW sites shall be revoked immediately for the following reasons:

• The badge holder ends their employment with the Contractor or Subcontractor

• The badge holder allows another person to use their badge, or the badge holder permits, or allows another person without a badge to enter a secured site.

• The badge holder acts without authorization to defeat any security device at any secured site.

• The badge holder’s actions (or inaction) result(s) in damage to AW facilities or threaten(s) the quality of the drinking water.

• The badge holder has been involved in a criminal action on site and has been determined as a threat to any persons or property at this site.

Personnel in the following positions may revoke Access Authorization:

• AW Director and Assistant Directors for Treatment and for Engineering

• AW Division Heads, Plant Superintendents, and Supervisors in the Treatment Program Area

• AW Security Manager

• AW Project Sponsor/Manager and Consultant’s Project Manager

• City of Austin Public Works Project Manager

• Contractor’s Project Manager and Site Superintendent

If a person in one of the positions listed above believes that another person’s Access Authorization should be immediately revoked to eliminate or mitigate a threat to site security or the security of the water, they shall contact the Project Manager/Sponsor or the Contractor’s Site Superintendent. The badge shall be taken from the person and they shall be escorted from the work site.

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

2.6 FACILITY SECURITY AND ACCESS CONTROL

2.6.1 Access to Facilities

Access to AW facilities shall be limited to:

• City of Austin Public Works or Austin Water employees who possess appropriate unescorted access authorization by AW and have a valid Security Identification Badge.

• Contractor’s and Subcontractors’ employees who possess appropriate access authorization(s) and possess and wear a proper AW-authorized Security Identification Badge. All Contractor’s and Subcontractors’ employees will follow AW procedures while on the site.

• Contractor’s or Subcontractors’ supplier delivery personnel. Delivery personnel may be permitted access to complete material deliveries and will not be required to obtain a Security Identification Badge. Delivery personnel shall be closely escorted within the secured site by the Contractor’s Site Superintendent and shall be permitted access only for the time required to unload the material being delivered. Under no circumstances will any delivery personnel be allowed to remain on site for longer than one hour. If delivery of any material or equipment is projected to require more than one hour, an “Application for Authorization to Enter Secured Water Treatment Facilities”, complete Background Security Check, and Security Identification Badge will be required for all personnel associated with making that delivery.

• Visitors who have been authorized in advance, in writing, by the Plant Superintendent or Division Manager. (Persons who perform work on the site or deliver equipment or materials to the site are not considered to be visitors) Visitors who have been authorized such access must be closely escorted within AW facility by an AW employee who possesses the appropriate access authorization and Security Identification Badge. The Entry gate guard staff shall maintain a Visitor Register to record all visits. The Visitor Register shall record the name of each visitor, their employer, date of the visit, arrival and departure times, the purpose of visit and the name of the escort. This Visitor Register shall be made available at every project progress meeting and shall be delivered to the AW Project Manager at the end of the project. Visitors do not require an ID badge. Contractors are not eligible for access to the facility as a visitor except for pre-bid meetings.

2.6.2 Site Security Requirements

All AW facilities shall be kept secure at all times. The following provisions, at a minimum shall be maintained:

• An eight-foot high perimeter fence shall be maintained without gaps or holes, with gate(s) locked with a tempered chain and padlock. A security guard may also be employed if desired by the Contractor or required by the Contract.

• All perimeter door(s) (if present) shall be locked and alarmed.

• Other installed security devices (if present) such as motion detectors, fence monitors and CCTV cameras shall be operational.

• All classified material (if present) shall be properly stored.

During the Contractor’s working hours, the Contractor’s Site Superintendent shall maintain an active cellular telephone to enable AW’s Plant Superintendent or the Central Security Operator to contact him/her in the event that a security alarm is triggered on the job site. If an alarm is triggered and the Plant Superintendent or the Central Security Operator is unable to contact the Contractor’s Site Superintendent to ascertain the reason for the alarm, law enforcement officers will be summoned to the site.

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

At the beginning of each day that the Contractor or a Subcontractor performs work on a pump station or reservoir site, a Supervisor authorized by the Contractor (and previously identified to the pump station or reservoir Central Security Operator) shall open the security gate to the site as follows:

• Place a telephone call to the Central Security Operator (512-972-0502) before unlocking the gate.

• Identify themselves and advise the Central Security Operator that they are at the site entrance, identify where on the site they intend to work, and advise that they are about to open the gate. The Central Security Operator will disarm any alarms that might be triggered by the gate opening or by employees working in the areas identified. The Central Security Operator will advise the Supervisor placing the call when the alarms are disarmed.

• Unlock the gate, enter the site, and lock the gate or post a guard to assure that only authorized personnel wearing required, proper Security Identification Badges may enter.

At the end of every work day at a pump station or reservoir site, when the last employee has left the job site, the Contractor’s Site Superintendent shall place a call to the Central Security Operator to advise that everyone has left the site, that the security gate is locked, and that the alarms should be rearmed.

2.6.3 Combinations and Key Controls

Knowledge of the combination of locks and access to any keys will be limited to designated individuals assigned to work in the associated facilities. All combinations will be changed regularly at times designated by the Division Manager, and whenever it is suspected the combination has been compromised.

Facility keys are cut to fit a number of cylinders. If a key shared with the Contractor is lost, all similar lock cylinders, whether present on the site or off the site, will be re-keyed by AW, at the expense of the Contractor.

2.6.4 Operation of Access-Controlled Doors at Remote Facilities Entry to all remote facilities will be coordinated with the Central Security Operator. Many facilities include an access-control door. An access-control door may be used by authorized Security Identification Badge holders for entry and exit using the following procedure:

Entry procedure:

1. Contact the Central Security Operator (512-972-0502) and request permission to enter. Hang up the telephone.

2. The CSO will call back the person requesting to enter (on their previously authorized number) and verify the request.

3. The CSO will unlock the door or request that the person’s Security Identification Badge be presented to the exterior card reader.

4. Unlock the deadbolt (if present)

5. Enter PIN

6. Open door

7. Enter

8. Close the door

Exit procedure:

1. Press crash bar

2. Open door

3. Exit

4. Close the door

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

5. Lock the deadbolt (if present)

6. Contact the CSO and request that the door be locked, advise them that the site’s alarms need to be re-armed

7. The CSO shall lock the door and re-arm all alarm devices

8. The CSO shall call back and ask the requestor to verify that the door is locked

2.6.5 Tailgating

Tailgating is the entry of multiple individuals through an access-controlled door or gate without closing the door (or gate) between entries. Tailgating is allowed by authorized ID Badge holders provided that each presents their badge to the card reader or person controlling access prior to entry. Tailgating by unauthorized individuals or anyone not possessing an authorized ID Badge is not allowed.

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

APPENDIX A:

CONTRACTOR’S ACKNOWLEDGEMENT OF AUSTIN WATER

FACILITY SECURITY PROCEDURES FOR CONTRACTORS

PROJECT NAME: _______________________________________________

CIP/PROJECT NUMBER: _______________________

By signing this document, I acknowledge that I have received a copy of the Austin Water SP-1070 FACILITY SECURITY PROCEDURE FOR CONTRACTORS and that I have read it and understand its contents. Furthermore, I agree to follow all the provisions contained therein.

CONTRACTOR: _________________________________________________________

PROJECT MANAGER:

Print

SITE SUPERINTENDENT:

Signature

Print Signature

SUBCONTRACTOR: _________________________________________________________

SUBCONTRACTOR: _________________________________________________________

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

APPENDIX B:

APPLICATION FOR AUTHORIZATION

TO ENTER SECURED AUSTIN WATER FACILITIES

(CONTRACTOR EMPLOYEE)

PROJECT: _____________________________________ Date of Application: ____ - ____ - ____

CONTRACTOR: __________________________________________________________________

SUBCONTRACTOR: _______________________________________________________________

SITE(S) TO BE ACCESSED: _______________________________________________________

APPLICANT: _________________________ ____________________________ ___________________ Last Name First Name Middle Name Job Title: ____________________________________________

Home Address: ______________________________________________________ Birth date: _____ - ____ - ______ Street / Apt No.

City State Country Zip Code

SUPERVISOR: ________________________________ Job Title: __________________________________

Work Telephone No. ____________________________________

AUTHORIZATIONS:

CONTRACTOR’S PROJECT MANAGER: ______________________________ ______________________________ Print Sign

I HAVE READ AND UNDERSTAND THE POLICIES AND PROCEDURES LISTED IN THE

SP-1070 DOCUMENT. I UNDERSTAND THAT ANY VIOLATION OF THOSE POLICIES

MAY RESULT IN MY ACCESS TO ALL AUSTIN WATER SITES BEING REVOKED.

SIGNATURE: ____________________________________

FACILITY SECURITY PROCEDURE FOR CONTRACTORS Policy: SP-1070

APPENDIX C:

Criminal History Records Check Disqualifying Criminal Offenses

An individual has a disqualifying offense if the individual has been convicted of, or found not guilty of by reason of insanity, any of the disqualifying crimes listed in this paragraph in any jurisdiction during the 10 years before the date of the individual’s application for unescorted access authority, or while the individual has unescorted access authority. The disqualifying criminal offenses are as follows:

1 Felony involving burglary.

Yes

No

13 Murder.

Yes

No

2 Felony involving theft. □ □ 14 Assault with intent to murder. □ □

Felony involving dishonesty, fraud, or misrepresentation. □ □ 15 Espionage. □ □

Felony involving possession or distribution of stolen property. □ □ 16 Rape or aggravated sexual abuse. □ □

5 Aggravated assault. □ □ 17 Kidnapping or hostage taking. □ □

6 Felony involving bribery. □ □ 18 Treason. □ □

7 Terrorist threat. □ □ 19 Class A Criminal Mischief (500 or Above). □ □

Armed or felony unarmed robbery. □ □ 20

Criminal Trespass at Critical Infrastructure Facility. □ □

Felony involving willful destruction of property. □ □ 21

Burglary of Vehicle

Felony involving importation or manufacture of a controlled substance.

□ □ 22 Engaging in Organized Criminal Activity □ □

11 Extortion. □ □ 23 Conspiracy or attempt to commit any of the criminal acts listed on this page. □ □

12 Felony arson. □ □

By signing below, I certify that I do not have any of the above listed disqualifying criminal offenses.

Also signing below indicates my understanding that I have a continuing obligation under Title 49, CFR, Parts 1542.209 and 1544.229 to disclose to Austin Water within 24 hours if I plead guilty or nolo contendere (“no contest”) to, have an adjudication withheld, have been convicted or found not guilty by reason of insanity to any of the disqualifying crimes listed on this application or the federal security regulations.

Also signing below indicates the information I have provided on this application is true, complete, and correct to the best of my knowledge and belief and is provided in good faith. I understand that a knowing and willful false statement on this application can be punished by fine or imprisonment or both. (See section 1001 of Title 18 United States Code.)

PRINT NAME SIGNATURE DATE