1. Fingerprint-Based Criminal History Check Compliance
ASPAA
2014 Fall Conference

2. Does your school district…
Have an Agency Security Contact (ASC)?
Require Security and Awareness Training every two years?
Have a current list of approved personnel?
Have a current user agreement with DPS?

3. WESD Story Informed of FBI Audit past school year
Reached out to other school districts
Recognized there was much work to complete
Special Thanks to…
Tempe Elementary
Fowler
Connie Gray at WESD

4. Objective
To gain knowledge and use resources to generate/update district policy and procedures to reach compliance.

5. AGENDA Introduction School District Authorization
Agency Security Contact (ASC)
Authorized Personnel
Applicant Process
Handling of Results
Physical Security
Communication / Dissemination
Destruction
Technical / Digital Security
Consequences for Misuse
Submissions Quality Assurance
Federal Disclosures
Training
Audits
Forms

6. Introduction Public Law 92-544 Passed by Congress October 1972
Allows for exchange of criminal history
Protects public and individual privacy rights
FBI responsible for exchange of records between federal and state agencies
Arizona, ARS delineates responsibility
to Department of Public Safety (DPS)
Both agencies subject to laws,
rules & regulations

7. School District Authorization
DPS User Agreement
Required before fingerprint submission
Signed by DPS and agency CEO
New agreement if CEO changes
Outlines Terms and Conditions
Requires appointment of Agency Security Contact (ASC)

8. School District Authorization
– Including Updates
Governing Board Policies (GDFA)

9. Agency Security Contact (ASC)
Designate an Agency Security Contact (ASC)
Primary liaison for communication FBI/DPS
Responsible for:
Information Changes
Authorized Personnel Lists
Privacy and Security Compliance
Coordination with Compliance
Trainings
Acknowledgement Statements
Audits for DPS and FBI
Can designate secondary ASC

10. Authorized Personnel All staff members who may... Process fingerprints
Come in contact with criminal history information
Human Resources personnel
Superintendent
District and/or School Administration
Member opening mail
Member responsible for disposal

11. Applicant Process Chain of Custody Consent Form
Required for all paid and unpaid personnel (including volunteers)
*WESD performs fingerprint-based background check on certified personnel regardless if they have fingerprint clearance card
Acknowledges submittal to
AZ Department of Public Safety (DPS)
Federal Bureau of Investigations (FBI)

12. Handling of Results Results sent to the Agency Security Contact (ASC)
Must be secured immediately!
Avoid stacking on desks, for example

13. Physical Security Stored in a locked filing room
Only Authorized Personnel can access
May store in locked filing cabinet
Keys to either the room or cabinet must be stored securely to the knowledge of only Authorized Personnel

14. Communication / Dissemination
Only Authorized Personnel has access
Apply extreme care, prevention
Overhearing
Eavesdropping
Interception of Communication
Results can be discussed with applicant
Cannot be given a copy of results
Review and challenge process

15. Communication / Dissemination
Do Not…
Distribute to another school district
or send electronically
Take pictures or send text messages
Refer to on social networks
Discuss with family and friends

16. Communication / Dissemination
Authorized Personnel will not confirm or deny the existence of an individual’s criminal history record to the public or to any unauthorized individual or agency…
Regardless of results (“HIT” or not)

17. Destruction FBI AZ Library General Records Retention Schedule
Wants destroyed immediately after purpose is met (e.g. decision of employment)
AZ Library General Records Retention Schedule
Personnel Record
Contract Record
Fingerprint Cards
|Seek legal counsel for advice|

18. Technical / Digital Security
Guidelines and FBI CJIS Security Policy
Notation of criminal history records
On a computer
On an application system
Database of “Hits”

19. Consequences for Misuse
Procedures must state consequences if misuse of criminal history information
Typical related policies/regulations
Staff Ethics
Staff Conduct
Disciplinary Steps

20. Consequences for Misuse
Arizona Revised Statute
Unauthorized access to criminal history records
Cancellation of CJI/CHRI access
Expose Agency or individual to:
Criminal Penalties
Civil Liability

21. Submissions Quality Assurance
Noncriminal Justice Agency Guide, Identity-Verified Prints
WESD Policies/Procedures

22. Federal Disclosures Must, must, must include…
“The fingerprints will be used to check the criminal history records of the FBI.”
Saying “national background check” is not enough
Must also include reference to procedures for
Changes
Updates
Corrections

23. Federal Disclosures
If information of record is used to disqualify applicant, school district must…
Provide applicant opportunity to challenge accuracy of information
Give applicant reasonable time to correct the information
Advise applicant of the procedures
to challenge/change the record
Also included in new hire paperwork

24. Training Training Requirements
Within six (6) months of hire or appointment
Repeat every two (2) years

25. Training Training Types District Policies and Procedures
Standard and Security Awareness Training (online)
Approximately 20 minutes
DPS offers NCJA Compliance Training
Suggested, not mandatory

26. Audits Held by DPS and/or the FBI
Subject to routine fingerprint compliance audits began in 2013
Entire fingerprint-based criminal history check process
Authorized Personnel List and Contact Information
Fingerprint submissions
Privacy and Security
Training
User agreement

27. Audits
FBI Audit
Authorized use of criminal history records information (CHRI)
Dissemination of CHRI
Reason fingerprinted and purpose code usage
Applicant notification and records challenge
Security of CHRI
Outsourcing of Noncriminal Justice
Administrative Functions
User Fee

29. Forms Authorized Personnel List ASC and other Authorized List
Must change within 30 days after ASC change
Must be submitted and maintained
New list provided if any changes occur

31. Forms Acknowledgment Statement Criminal History Record Information
Acknowledges training and potential consequences
Signed by Authorized Personnel

33. Forms Noncriminal Justice Agency Training Documentation Form
Track trainings for all Authorized Personnel
Dates of training or retraining
Training Types
Verification of acknowledgment form signed
by each Authorized Personnel

35. Forms Applicant Review and Challenge of Criminal History
Informs applicant
How to obtain a copy of his or her AZ criminal history
How to change, correct or update FBI criminal history record

37. Forms Chain of Custody Form For employees and volunteers
Applicant consent to complete fingerprint-based criminal history record check
Specifically notifies applicant that the AZ DPS and FBI will process

39. Chain of Custody Forms Fingerprint Clearance Cards
IVP Process for Certification
Generated by DPS, blue envelope
Basic Fingerprint Cards (contracted)
Not required
May be generated by Agency, brown envelope

41. Forms Fingerprint Cards Generated by DPS
Certified and contracted (same)
Blank cards (for criminal history records)
Agency information
Agency address
Agency code
Type
Certified
Non-Certified
Volunteer

43. ? Questions ? Justin Wing, Director of Human Resources
Washington Elementary School District
Nancy Jefferys, ACJIS Compliance Specialist/Instructor
Arizona Department of Public Safety