May 24, 2011 Quarterly Program Directors’ Meeting – Agenda; 10-11:30 Attendance Helping Tornado/Storm Hit Communities in Kansas AmeriCorps Week Review Performance Measures Revision Update 30 Day Exiting Reminder Mid Term Evaluations; End Term Evaluations Federal Program Officer Visit - KVC, June 22-24, 2011 Dismiss those not continuing National Performance Measures Grant review process dates Budget Revisions 50% Program Director Time Beginning Recruitment Regional Member Trainings July Program Directors Orientation Training Needs/ Review? Background Check Powerpoint/Review

Latest Update Sent: Tuesday, April 19, :24 PM Subject: Criminal History Rule Update …proposed rule is at OMB … published in the next few weeks. Covered individuals with recurring access to vulnerable populations selected on or after April 21 st, 2011, will be subjected to heightened checks unless the Corporation has approved an exception. However, as the rules around exceptions are part of the notice and comment rulemaking process, no program is required to conduct heightened checks at this time. Programs will have 60 days from the date of publication of the final rule to come into compliance. Jennifer Bastress Tahmasebi Deputy Director, AmeriCorps State and National Corporation for National & Community Service

Basics – Why are individuals checked? The law and regulations require it … To bar participation of sex offenders and murderers, To protect the integrity of national service programs, and To protect the populations we all serve … as a standard for eligibility of members and employees.

Basics – Who gets checked? Anyone who will receive the following through a national service program: Living allowance or stipend National Service Education Award Program Salary

Salary Anyone who will receive a salary … Program’s employees – Employees whose salary is allocated as a direct cost, not in the indirect cost pool – Funded by federal or non-federal share Partner’s employees performing key activities – Site supervisors, trainers, and similar positions supporting the program – Paid by grant funds or constitutes an in-kind contribution (even if not recorded) … through a program receiving assistance under the national service laws.

Common Stumbling Block: Identifying Positions “On the Budget” Covered positions are those paid from either federal share or non-federal share (match) Budgets should contain staff from partners providing major program services (e.g., site supervisors) Omitting a position from the budget does not exempt the position from coverage Shifting positions between funding sources does not exempt the position from coverage Multiple positions budgeted as “lump sum” are not exempted from coverage

Basics – What gets checked? This is a 2-3 part check 1. National Sex Offender Public Registry – Also called the National Sex Offender Public Website or NSOPW - Do this first; if they are on this you don’t need to do a fingerprint check as they will be disqualified. and 2. Statewide Criminal History – KBI for Kansas – For the state where the individual resides at the time of application, and the state where he or she will serve Easy rule of thumb is check where they lived in the last year, but NOT required – rationale? (Out of state students)

Basics – What gets checked? This is a 2-3 part check and 3. National FBI Fingerprint Background Check for those with access to a vulnerable population: Children a)Children b)Elderly c)Disabled

National Sex Offender Public Registry Name based No charge to search on web Must use the nationwide search Must document with printout of result Must complete and resolve “hits” before enrollment (i.e. what do you do if it finds something? Search deeper)

Statewide Criminal History / FBI National Fingerprint Must use KBI for Kansas for State Criminal History Registry FBI prefers you go through State FBI for to do national FBI fingerprint check (50.00) Must retain original results from each source (discuss pass/fail) Program Policy must identify disqualifying offenses: – Murder – Any that should result in registration on state sex offender list – Others YOU decide IN WRITING

Basics – When are the checks performed? NSOPR – No earlier than application – No later than enrollment – May NOT enroll without the results, period Statewide criminal history; National FBI Fingerprint – Initiate no later than enrollment – Must accompany candidate while pending if they are to be in contact with vulnerable population

Basics – How do programs perform the checks? There are 9 required steps. Variance requires an alternate search protocol (ASP): 1.Verify identity 2.Obtain prior written authorization 3.Document understanding of contingent selection 4.**Provide opportunity for review 5.Safeguard information 6.Accompany individuals with pending statewide/fingerprint checks 7.Document identity was verified and that you performed the required checks 8.Maintain results of the checks 9.Document that selection was based on results

Challenge - Failing to Perform the Required Checks Applicants who do not undergo National Service Criminal History Checks will not be eligible to serve in a covered position Applicants who refuse to undergo checks are not eligible to serve or be employed If you do not conduct the required checks on covered individuals, you are enrolling and employing individuals who have not passed regulation-based eligibility criteria; you may have to pay back Corporation funds if identified

Challenge – FBI Checks CNCS changed their position and now require BOTH the State Criminal History Registry Check (KBI in Kansas) for all members in Kansas AND the national fingerprint FBI background check for members with access to a vulnerable population Organizations may not be permitted to obtain FBI checks, KBI will only give pass/fail to non-profits; you may have to have individuals request their own FBI records HOWEVER Kansas law prohibits employers requiring employees to get their own background checks; AND CNCS doesn’t allow you to make members pay for their own checks Members may pay and be reimbursed by programs

Challenge – FBI Checks An FBI fingerprint-based check does NOT include the required NSOPR check; and The FBI’s sexual offender data Identifier / data file is not the same as the NSOPR.

Best Practice: Self-directed FBI Checks Some grantees are ASKING their candidates to obtain their own checks from the FBI at www. fbi.gov/hq/cjisd/fprequest.htm These grantees: – Design a process in detail for candidates and staff to follow – Develop tools such as a standard cover letter and keep a supply of payment, fingerprint and other forms on-hand – Establish controls to log and mail the requests from the grantee office so you know what has been requested since the results go to the individual Challenges: – Official fingerprint cards on card-stock are difficult to obtain; some fingerprint locations do not allow regular paper stock – The FBI web site indicates they accept checks but they only accept money orders or credit cards – May not be fast enough – Individuals may not have the money

Challenge – Volume of Applicants Some large programs may have hundreds or even thousands of applicants. How do we deal with the resources needed to perform all of those checks? You only have to check viable applicants. Your process should define when applicants are considered viable and therefore subject to the checks. NSOPR has to be completed before enrollment. Statewide criminal history and/FBI fingerprint checks can be done prior to enrollment, or started no later than enrollment.

Challenges – Pre-existing Background Checks Any checks obtained prior to application to serve or application to be employed would require a full national service criminal history check (two-three part); fulfilling the requirements already stated If your program routinely encounters applicants with existing checks, you may describe the circumstances in an ASP request for consideration by the Corporation.

Challenge – Record Retention NSOPR – You must retain a record of the NSOPR search and associated results either by printing the results or by some other method that retains the digital images of the checks and results. Criminal History – Unless prohibited by State law, you must keep the criminal history report from the reporting agency. – If prohibited by state law, you must obtain an ASP to not retain the records - you will have to design a process that retains some documentation that the check was performed even if the actual record can not be retained.

Challenge – School System Partners If a school system is performing checks that fully meet the regulations (NSOPR, designated statewide sources, up to two states, 9 steps, etc.), and compliance can be checked, an ASP is not needed. If the public school district is not performing compliant checks (as above), an ASP will be approved without the need for you to define where they get their data from, but you will need to ensure that the 9 steps and access for compliance checking is permitted, or propose alternate solutions that are substantially equivalent. If a private or non-public school is not performing compliant checks, then you must identify their entire process as well as the sources for their data to obtain an ASP.

Challenge - Vendors If the vendor performs the required checks and follows all of the procedures, no ASP is needed. If the vendor performs checks that vary, even slightly, from the regulations, you must get an approved ASP.

Sub-challenge – Background Checks are Not Necessarily Criminal History Checks Most vendors perform background checks but not all vendors perform statewide criminal history checks. Credit checks, SSN traces, alias checks, and similar are not statewide criminal history checks. Buyer beware, identify and verify that you are buying the services that are required or have enough detail from the vendor to justify an alternate search protocol.

Challenge – What is an Alternate Search Protocol (ASP) Any alternate process—a criminal history check policy or process that varies from the requirements identified in the regulations– must by approved by the Corporation. Some examples of variance from the regulations: Omitting one of the nine steps; Using a source other than the designated repository; Documenting checks with a “cleared” or “not cleared” response rather than retaining the full record.

24 In Force – But Suspended As of April 21, 2011, any covered individual who meets the “recurring access to vulnerable populations” criterion must undergo 1. NSOPR check, 2. State criminal history check, and 3. FBI fingerprint check CNCS may grant exceptions for (1) episodic volunteers; (2) if an organization is not authorized by State or Federal law to conduct FBI check; (3) if cost is prohibitively expensive; or (4) for good cause

25 THE PROCESS

26 THE PROCESS – Fingerprint Checks a. Agency runs checks on individuals (Am researching packets approach) b. Individuals have checks run and share results

27 Manual printing or "livescan" submissions The most common means of submitting fingerprint is by the traditional method in which "inked and rolled" fingerprints on a cardboard fingerprint card are mailed to the KBI for processing. A new alternative is the electronic capture of fingerprints on a machine known as a "livescan" device. Livescan devices are available at some Police Departments, Jails and Sheriff's Offices in the state. While most livescan submissions are for arrest bookings, civil submissions for public access record checks may be available, especially as this new technology becomes more common.

28 Agencies to use You may ask a local Police Department or Sheriff's Office, or other authorized body (vendors too) to take the prints. Although local law enforcement agencies are not obliged to provide this service, generally at least one agency that offers this service can be found in all counties in Kansas. You may be charged a reasonable fee to offset the expense of providing the service. In larger cities, commercial fingerprinting services may also be found

29 Obtaining the proper fingerprint card for checks on others Fingerprints to be submitted for records checks must be recorded on the current version of the FBI's Applicant Fingerprint Card, FD Form 258: 58.pdfhttp:// 58.pdf. Criminal justice agencies that process applicant fingerprint cards maintain a stock of these cards. If you cannot obtain assistance from your local Police Department or Sheriff's Office, the KBI: will provide blank cards for you to use. The card must be completed properly before submitting to the KBI for processing. Review the sample card for instructions and guidance.

30 KBI-Submitting an "ink and roll" fingerprint card For each person being checked, mail to the KBI one fingerprint card with a completed Manual Record Check Request form: Manual%20Record%20Check%20Request%20Form% pdf The KBI address is on the form. Be sure to include the proper payment. Manual%20Record%20Check%20Request%20Form% pdf

31 Submitting a "livescan" fingerprint record To qualify for livescan submissions, you must have prior approval of the KBI and you must have access to a livescan device. Obtaining KBI approval to submit livescan records involves establishing a billed account with the KBI. Approval requires that you submit fingerprint- based record checks on a recurring basis, and that you have a satisfactory credit history. To request approval, submit a letter of request equest%20to%20Submit%20Livescan%20FPC.pdf directly to the KBI.You must have access to a livescan device that is connected to the KBI. This can be a livescan device operated by a Kansas Police Department, Sheriff's Office or other agency that is willing to provide service for public requests, or it can be a livescan device you own. The state of Kansas has established procedures, standards and protocols for electronic record creation and transmission, and these must be met before livescan connections can be made. If you are interested in obtaining a livescan device and establishing electronic connectivity to the Kansas Central Repository, please contact the KBI Data Processing Section, Attention: AFIS Coordinator, 1620 SW Tyler, Topeka, Kansas

32 a. Agencies Run Checks Source: ory/request_fingerprint.shtml This page describes the procedures for obtaining and submitting Applicant fingerprint cards for record checks of others.

33 THE PROCESS – Fingerprint Checks 1. For agencies - Memorandum of Understanding with KBI for FBI Fingerprint Checks (NOT REQUIRED THROUGH KBI but preferred) (see next slide) 2. Fingerprinting done at police station; sheriff’s office; research kits? Usually additional charge 3. Problem: The KBI provides only a “pass/fail” notice on the fingerprint checks

34 THE PROCESS – Fingerprint Checks 4. Because non-profit based programs will not be able to ascertain specific conviction information for an individual who receives a “fail” notice, they cannot determine whether the individual is ineligible for AmeriCorps service based on CNCS criteria (conviction for murder or any crime that requires an individual to be listed on a State or National sex offender registry). Therefore, programs must establish their own written policy concerning how they will handle fail notices.

35 THE PROCESS – Fingerprint Checks Possible options for policy: 1. Allow individuals to have their own FBI Fingerprint Checks done, bring results to you, and demonstrate that their conviction(s) does not make them ineligible to serve based on CNCS criteria. 2. Consider a fail notice from the KBI as making a person not eligible to serve?? Virginia allows this. I have asked CNCS. Am also researching if you can determines specific criteria for fail.

36 Memorandum of understanding with KBI through Leslie Moore Other contact: Ms. Tammy Sisk KBI

37 b. Individuals Run Own Check If an individual’s own criminal history record is needed, they will submit a different fingerprint card; the Personal Identification card. For information on that process, please visit the Reviewing Your Own Criminal History : Note: Kansas Law as per KBI web site says “Employment record checks must be initiated by the employer, not by the employee. Kansas statutes prohibit employers from requiring employees or prospective employees to obtain their own criminal history records as a condition of employment. “

38 Costs for fingerprint-based record checks KBI website says but Tammy Sisk quoted for the fingerprint FBI Check. Add to this cost of state criminal history registry check and possible charge for sherrif’s/police station taking prints.

Tools and Resources hecks_Fact_Sheet_Final_ pdf public.shtml fingerprint.shtml Resource Center – – FAQs – Regulations – Instructions on how to request an alternate search protocol – Staff screening Tool Kit, 3rd Edition 18 USC Section 1111 (Definition of murder)