1. (1) For individuals required to obtain background investigations pursuant to this chapter, the Department of Human Resources shall obtain and maintain in the agency a request with written consent for the background investigation and a statement signed by the applicant, or employee indicating whether he or she has ever been arrested or convicted of a crime, and if so, fully disclosing all arrests and convictions. The statement shall indicate whether he or she has criminal charges pending and if so, shall identify the charges and court in which such charges are pending. The statement shall also include a notice and questionnaire the same as or similar to the following:

   1. (a) "MANDATORY BACKGROUND INVESTIGATION NOTICE: Alabama law requires that a background investigation be conducted on all persons who work or will work in a Department of Human Resources or under contract who have or will have access to Federal Tax Information. You are required to provide full, complete, and accurate information on your criminal arrest and conviction history, excluding minor traffic violations, as well as information on any pending criminal charges, excluding minor traffic violations. This information shall be used to determine your suitability to obtain access to Federal Tax Information. Refusal to complete these documents or providing false information shall result in refusal or termination of employment. The term conviction includes a determination of guilt by a trial, by a plea of guilty, or a plea of nolo contendere. Any individual determined to have submitted false information may be referred to the district attorney or law enforcement for investigation and possible prosecution. An individual who intentionally falsifies or provides any misleading information on the statement is guilty of a Class A misdemeanor, punishable by a fine of not more than two thousand dollars ($2,000) and imprisonment for not more than one year.

2. (2) Felony convictions for any of the following crimes shall make an individual unsuitable for access to Federal Tax Information:

   1. (a) Identity theft as proscribed by the Code of Ala. 1975, §13A-8-192.
   2. (b) Trafficking in stolen identities as proscribed by the Code of Ala. 1975, §13A-8-193.
   3. (c) Use of false identity to obstruct justice as proscribed by the Code of Ala. 1975, §13A-8-194.
   4. (d) Public assistance fraud,; penalties as proscribed by the Code of Ala. 1975, §13A-9-150.
   5. (e) Misapplication of property as proscribed by the Code of Ala. 1975, §13A-9-51.
   6. (f) False or fraudulent statements as proscribed by the Code of Ala. 1975, §40-29-113.
   7. (g) Supplying false or fraudulent statements as proscribed by the Code of Ala. 1975, §40-29-114.(h) Perjury – Aiding or abetting – False bond – Fraudulent removal or concealment – False address as proscribed by the Code of Ala. 1975, §40-29-114.
   8. (h) Perjury – Aiding or abetting – False bond – Fraudulent removal or concealment – False address as proscribed by Code of Ala. 1975, §40-26-115.
   9. (i) Theft as proscribed by Chapter 8 of Title 13A of the Code of Ala. 1975 related to any of the crimes listed in paragraphs a. to h., inclusive and/or any lesser included crimes listed in paragraphs (a) to (h), inclusive.
   10. (j) A crime or offense committed in another state or under federal law which would constitute any of the above crimes in this state.
3. (3) Arrests of more than three times as related to crimes listed in paragraphs (2)(a) to (2)(j), inclusive will be reviewed on a case by case basis and may make an individual unsuitable for access to Federal Tax Information.
4. (4) A single arrest involving more than three actions as related to crimes listed in paragraphs (2)(a) to (2)(j), inclusive will be reviewed on a case by case basis and may make an individual unsuitable for access to Federal Tax Information.

5. (5) CRIMINAL HISTORY STATEMENT

   1. (a) Have you ever been arrested for any crime, excluding minor traffic violations? Yes ( ) No ( ) If yes, state the date, crime, and location. ____________________________________________________

      ____________________________________________________

   2. (b) Have you ever been convicted of any crime, excluding minor traffic violations? Yes ( ) No ( ) If yes, state the date, crime, location, and punishment imposed. ____________________________________________________

      ____________________________________________________

   3. (c) Do you have any criminal charges pending against you, excluding minor traffic violations? Yes ( ) No ( ) If yes, identify the charges and the court in which charges are pending.

      ____________________________________________________

      ____________________________________________________

      Date: ___________
      Signature (Legal Name of Applicant Required): ____________________________________________________

6. (6) An applicant who fails or refuses to provide a Criminal History Statement shall not be allowed to access Federal Tax Information. Failure or refusal to submit said statement may result in disciplinary action, up to termination of employment.
7. (7) Upon receipt of a signed Criminal History Statement from an employee which does not indicate an arrest or conviction for a crime which prohibits access to Federal Tax Information under the suitability criteria, the employee may work provisionally with access to Federal Tax Information pending a suitability determination.

8. (8) The Department of Human Resources shall mail or deliver a request for a background investigation to the Alabama Law Enforcement Agency accompanied by the following:

   1. (a) Two complete sets of fingerprints, properly executed by a law enforcement agency or an individual properly trained in fingerprinting techniques.
   2. (b) Written consent from the applicant or employee for the release of the criminal history background information to the Department of Human Resources.
   3. (c) The fee.
9. (9) The Department of Human Resources shall mail or deliver a request for information regarding any identified arrests to the local law enforcement agencies where the applicant or employee has lived, worked, and/or attended school within the last 5 years. The request shall be accompanied by written consent from the applicant or employee for release of the arrest history background information to the Department of Human Resources.
10. (10) The Department of Human Resources shall validate the identity and the status of an employee’s eligibility to legally work in the United States. The U.S. Citizenship and Immigration Services’ USCIS Form I-9, Employment Eligibility Verification form shall be completed to document verification of the identity and employment authorization of each new employee hired after November 16, 1986, to work in the United States. No later than the third business day after the employee starts work for pay, the new employee shall be processed through the Federal E-Verify electronic system to assist with verification of his or her status in order to confirm employment eligibility.
11. (11) Upon receipt of the criminal history background investigation results from the Alabama Law Enforcement Agency and from local law enforcement agencies, the Department of Human Resources shall make a determination of approval to access Federal Tax Information. This chapter shall not create any right to employment, work, or approval. Upon a determination by the Department of Human Resources that an individual is unsuitable for access to Federal Tax Information, the Department of Human Resources shall not employ an applicant or use a current employee in a position requiring access to Federal Tax Information. The Department of Human Resources may transfer a permanent Merit System employee to an available position for which the employee is qualified where access to Federal Tax Information shall not be an essential function or requirement of the job.
12. (12) If a review of the background investigation information received reveals that the applicant provided false information on the Criminal History Statement and/or on the State of Alabama employment application, the applicant may not be employed with the Department of Human Resources. The Department of Human Resources may make a request to the State Personnel Department that the applicant be removed from the employment register for falsification of an employment application. If an employee is found to have provided false information on the Criminal History Statement and/or on the State of Alabama employment application, the Department of Human Resources may issue disciplinary action, up to termination of employment. The Department of Human Resources may also refer the case of any applicant or employee providing false information to an appropriate law enforcement agency or district attorney for investigation and prosecution.
13. (13) Subsequent background investigations shall be required on an employee who has access to Federal Tax Information at intervals to meet federal requirements. The Department of Human Resources shall pay the cost for subsequent background investigations.

Author: Clifford Smith

Statutory Authority: Code of Ala. 1975, §§41-27-10; 26 U.S.C. §6103(p)(4)(C); P.L. 92-544.

History: New Rule: Published September 30, 2021; effective November 14, 2021.