CV Grantee Training Conference 2017

CV Grantee Training Conference 2017
California Volunteers Criminal History Check Requirements CV Grantee Training Conference 2017 Today I’ll be covering a critical piece of managing an AmeriCorps programs – CHC. This presentation is on our website at Grantee Central, and we’ve got a TON of information to get through so I recommend that you resist taking a lot of notes. You should have received the CV CHC Steps Checklist (on the back of the CV CHC Verification form) which has the bulk of everything I’m going to cover today on it. From both a program management and protection viewpoint, compliant criminal history checks are critical. As we’ve looked at findings from our monitoring (file reviews, Site Visits) and from audits by IPERA, we wanted to cover this important topic and share some of the nitty-gritty that is sometimes missed. We’ll be posting this on our website later and hopefully it can be a resource for training staff. For this reason, we’ll do a thorough review of all the steps required both in conducting and documenting the checks to be fully compliant. We’ll also introduce several new tools to use for documentation of the checks process, and finally, talk about the CV version of the Disallowance Guide used when checks are incomplete or insufficient. Tara Baltzley CV Sr. Program Officer CaliforniaVolunteers 2016

Why do checks? Protect the Vulnerable (including members)
Protect Your Program Safety is the most important reason why these requirements are important, but there are other reasons as well. They were enacted by Congress in the Serve America Act. Thus, they are legally required by both CNCS and CaliforniaVolunteers Noncompliance can have serious consequences. Cost disallowance is the standard remedy for noncompliance, and grantees that do not meet our standard of on-time, every time, risk financial penalties. We’ll talk more about those later. CaliforniaVolunteers 2016

Who and When? ALL Covered Positions BEFORE they start!
AmeriCorps Applicants Staff Charging Time to the AC Grant (the budget test) – includes match and in-kind BEFORE they start! Covered positions are ‘any position receiving a salary, stipend, living allowance or education award from a CNCS funded grant’. This includes potential staff and AmeriCorps members. It also includes individuals funded by the federal share, match, or a mixture of the two – by this criteria, that is anyone listed on the budget. For California, we require that all checks are completed and a clearance decision is made BEFORE they start. CaliforniaVolunteers 2016

Match? ALL Covered Positions
Staff Charging Time to the AC Grant (the budget test) – includes match and in-kind The salary could be coming from a partner, but if it’s listed on your budget as match – they need CHC NSOPW.gov is often the thing missed Let‘s explore this aspect more deeply. You may think of your program staff as an obvious under this criteria, but often programs forget other listed on their budget under the grantee or match side of the budget. This includes partner staff, if their time is counted toward your match funds. Often these folks have had a CHC as part of their hiring process – school staff for example who may be acting as Site Supervisors. With certain documentation these can be considered compliant – but what’s usually missing is the NSOPW.gov check. This is not something that most schools would have run on their staff, but it’s a key component of the CNCS requirement. CaliforniaVolunteers 2016

NOTE: CV Requirements DIFFER from CNCS Minimum Requirements :
It’s important to remind you that each state commission can choose higher standards than CNCS’ minimum requirements. Remember that ultimately, background checks are to PROTECT. From a risk standpoint, California’s commission, CaliforniaVolunteers, takes the view that everyone (including members) is ‘Vulnerable’ and thus DOES NOT DIFFERENTIATE BETWEEN WHAT LEVEL OF ACCESS someone has to vulnerable populations. For CV grantees, ALL covered positions require the SAME checks (which is ALL 3). CaliforniaVolunteers 2016

CV exceeds CNCS’ minimum requirements:
California: CV exceeds CNCS’ minimum requirements: View all populations as vulnerable – so ALL staff and AmeriCorps members must be checked Must be CLEARED prior to start -- No ‘accompaniment’ NSOPW – require you repeat it annually on AmeriCorps members So again, the key differences, which I’m only pointing out so that if you use any of CNCS’ CHC training materials, you’ll be aware that there are several important differences and you MUST follow CV’s requirements. ALL AC members and staff must have ALL checks done. CV requires that the checks are completed and CLEARED prior to the start of service or for staff to work on the AmeriCorps grant. And lastly, we require that for returning AC Members (with less than 120 break in service for your program) you must repeat the NSOPW.gov check. The CNCS Knowledge Network has great resources for training, but you must always keep these differences in mind when using those. CaliforniaVolunteers 2016

Document, document, document!
Do the Big 3 on time, every time! Document, document, document! So now, let’s move to the basics of what’s needed, step by step. I’m calling these the Big 3. They need to be done on time, every time! And you need to document them properly, to be compliant. CaliforniaVolunteers 2016

The ‘Big 3’ State Check(s) – California and state of residence
Federal Check – FBI NSOPW.gov The required checks are: 1) The State Check - This would be California and if your applicant is residing elsewhere at the time they apply, you’ll have to check that state as well. 2) the Federal Check – checking the FBI database and 3) The National Sex Offender Registry which is managed by the Department of Justice at NSOPW.gov CaliforniaVolunteers 2016

Remember, for the source of checks you must use a CNCS-approved state repository. For California, the Cal DOJ is the only approved repository of criminal history information. It also happens to give you both the state of California and FBI check if you check both boxes on the LiveScan form – so you can kill two birds with one stone. For other states (if your applicant is applying from another state of residence at the time they apply) you’ll need to check what the approved repository is for that state. All of those are listed on CNCS website in the criminal history check section. Some states have several options. CaliforniaVolunteers 2016

Let’s go through each step…
The Process Let’s go through each step… So now, let’s go through each step. Keep in mind you have to both Do these and Document them. The CV NSCHC Verification Form is where you can document the process and each step is on the back in the CV – National Service Criminal History Check (NSCHC) Steps Checklist for each step CaliforniaVolunteers 2016

Obtain Consent Get written consent to perform checks
Document understanding that eligibility is contingent on results (My AC application) CNCS criteria (only murder or sex offense) Your program’s criteria / policy (can be more stringent) So let’s go through each step of the check process. First, you must obtain written consent from your applicant to perform the checks and document their understanding that their eligibility will be based on the results. The My AmeriCorps Application has some language that includes this, but if you use your own program application you should consider including this. Please check with your HR department, as California may require that the consent be separate from the application. Including it in the member agreement / contract is too late in the process, since that’s signed after you’ve run the checks. CaliforniaVolunteers 2016

Verify identity through government-issued (maintain documentation)
photo identification (maintain documentation) The next step is to verify the applicant’s identity with government-issued identification. You’ll need to record the ID# and expiration date as evidence of having viewed it. CaliforniaVolunteers CHC Verification form has a place to note this information. [See California AmeriCorps State National Service Criminal History Check Verification Form] CaliforniaVolunteers 2016

2 for 1 at the California DOJ! The only CNCS-approved repository
Source of Checks 2 for 1 at the California DOJ! The only CNCS-approved repository California State Check Fingerprint-based FBI Check State of Residence Check – that state’s repository Again, you must get the criminal history information from a CNCS-approved repository. For California, the ONLY approved repository is the California DOJ. The good news is, you can also obtain the second check, the fingerprint-based FBI check through the California DOJ. So it’s 2 for 1! CaliforniaVolunteers 2016

Additionally, if your applicant is residing elsewhere at the time of submitting the application, you’ll need to do a check of that state’s approved repository. CNCS has a list of all approved repositories on their Knowledge Network. CV also has the list on Grantee Central. CaliforniaVolunteers 2016

The only CNCS-approved source covering ALL sex offenses
Source of Checks NSOPW.gov The only CNCS-approved source covering ALL sex offenses For sex offense history, even though the other checks could provide some information, the only comprehensive source is the Department of Justice’s National Sex Offender Registry (NSOPR). The NSOPW.gov accesses information held on this national registry. This is a FREE and easy to use website where you can run your own checks. You could consider doing this check first, since it’s fast, free and if your applicant is on here, they are disqualified from service and you won’t need the other two! CaliforniaVolunteers 2016

This is what it looks like
This is what it looks like. If you get any ‘hits’ on the name, you have to cross-check those against your applicant’s information. You must also be sure that all states, territories and tribal areas are reporting. CaliforniaVolunteers 2016

Enter your applicant’s name just as it appears on their government-issued ID. It’s also good practice to run checks on maiden names. Do not use the Advanced Search option as that limits the search. CaliforniaVolunteers 2016

You get immediate results
You get immediate results. If you get a result like this you are finished. You need to print this for your staff or member file record and document the date on your CV NSCHC Verification form. Again, it’s critical that you file the printed copy as proof, and that the date and time of the check are visible. Whoever conducts this check should sign the printout as well. This check has to happen before the start of work/time charged to the grant or for members, before the start of service or any hours noted on the first timesheet. CaliforniaVolunteers 2016

Your results may also look like this, particularly if the individual you’re reviewing has a common name. If that’s the case, print the page out, then click on each result to learn more. You’ll see pictures, their sex, their age, place of residence and more. Cross-check that information against the photo ID information to verify these individuals are not your applicant. As you go, document each one. CaliforniaVolunteers 2016

Sometimes you may see silhouette instead of a photo
Sometimes you may see silhouette instead of a photo. In those cases, since you can’t see that it’s not your applicant, you must click through for more information. We recommend printing out the full list of results, and then checking them off right on that print out, initialing and noting why someone is not a match as you go. Again, you’ll need to keep copies of all of these in the file as proof of a compliant and thorough search. CV’s CHC Verification Form also has a box to check indicating that you’ve done a thorough check, of all hits on NSOPWs, but we would still expect to see some indication of having checked each hit. This could be check marks, or notes as seen here. At a minimum, it should include a signature at the bottom of each page. CaliforniaVolunteers 2016

There’s one more issue here … does anyone see it
There’s one more issue here … does anyone see it? The red at the top shows Montana is not reporting. You’ll need to return to the NSOPW.gov at a later time to obtain Montana’s report. Alternatively, you can also go directly to that state’s sex offender registry website (by googling it) and print results. For example California’s registry is called Megan’s Law. The NSOPW is the aggregator of all states, but each state has their own. CaliforniaVolunteers 2016

NSOPW.gov Nationwide NSOPW.gov (all areas reporting – if a state isn’t reporting, either go directly to their state sex offender registry (google it) and print results, or re- check NSOPW.org later) Documentation – print screen of the results Any ‘hits’ must be printed and resolved (if needed, click thru to info.) Include notes to show all were cross-checked, and determined not to be the applicant Sign the printout and then note the date this was performed on CV’s NSCHC Verification Form So to recap for this important search, you must use the NSOPW.gov as your source for the search and be sure all areas are reporting (don’t choose the Advanced Search feature as that will limit your search). [read slide] CaliforniaVolunteers 2016

Returning Members If less than 120-day break in service, you just need to re-run the NSOPW.gov check. For returning (2nd , 3rd term, etc.) members, if there’s less than 120 day break in service, you only need to re-run the NSOPW.gov check. In your documentation, you’ll use the dates from the original state and FBI checks, and the new NSOPW check date. [Note: This is one of those additional CV requirements (re-running the NSOPW.gov annually on returning members) and you must do it be compliant. It is listed in your contract, exhibit H]. CaliforniaVolunteers 2016

Receive Results Document receipt date of check results (maintain documentation). Consider check results per CNCS requirements and your own program’s policy for eligibility. If the results would disqualify your applicant, provide opportunity to review findings. Be mindful of Civil Rights laws. Document that you did so. So now, hopefully very soon after initiating your various criminal history checks, you receive back your results. You’ll then CONSIDER those against CNCS minimum requirements (anyone recall what those are?) …. And your own program’s policy which could be stricter. CaliforniaVolunteers 2016

[Read slide] : This is a minimum
[Read slide] : This is a minimum. Your program can have stricter policy and depending on the beneficiaries you serve, it may be best to do so. CaliforniaVolunteers 2016

Let’s talk about setting internal program policy for your criteria for who will be eligible to serve in your program. First and foremost, there are CNCS’ Statutory minimums outlined in the Serve America Act. These however are just that, minimums. They were set with the desire to protect program beneficiaries, while also allowing those who may have a criminal history to not be barred from access to doing National Service. An environmental program and a school-based program would obviously have different things to consider in what’s best for their program. CNCS minimums are in the first column. Examples of other guidelines are listed. (The National Center for Missing and Exploited Children vs. OJJDPG have quite varied criteria which makes sense). This would all be in your program’s CHC policy and procedures. CaliforniaVolunteers 2016

Confidentiality California law prohibits the actual results from being shown to others (including CNCS or CV). Actual results, aka. ‘RAP sheets’, must be locked up with Custodian of Record-only access CNCS has a Pre-Approved Alternative Search Procedure (ASP) for this, which states each file must document this limitation in writing, and that all aspects of checks and clearance were compliant. You must also document the source, dates, clearance decision, and signature of reviewer and date they cleared the person. CV’s Verification form includes ALL of this. [Read slide] It is CV’s understanding that, based on California DOJ regulations, programs are prohibited from sharing results with anyone but the applicant. Therefore, results should never be located in a member’s file or submitted to CV during a desk review. Your HR department and Custodian of Record who’s registered with the Cal DOJ to receive results will likely be very aware of this requirement. Since we can’t review actual results, it’s critical that you use our verification form to record the dates they were received, and considered in light of CNCS’ and your own program policy for selection of an applicant. This situation is covered under what CNCS calls a Pre-Approved Alternative Search Procedure. It can be found in the NSCHC FAQs on Grantee Central. CaliforniaVolunteers 2016

CV has two tools to help you DO and DOCUMENT the checks
CV NSCHC Checklist – outlines each step needed to perform compliant checks CV’s California AmeriCorps State NSCHC Verification Form – documents everything in one place These two updated versions of forms align with CaliforniaVolunteers requirements and should cover what you need to both conduct and document your checks to stay compliant. These are combined into one form, with the steps checklist on the back. You MUST either use this form, or one that has the same components on it. It’s simplest just to use our form. It’s available on our website at Grantee Central under Criminal History Checks. CaliforniaVolunteers 2016

Document Clearance Document clearance decision, with date, name and signature of the ‘certifying official’ THIS DATE MUST BE PRIOR TO START / TIME CHARGED TO GRANT Use CV’s NSCHC Verification Form following the Steps Checklist on the back Place Verification Form in the member or staff person’s file (along with NSOPW printout) If you have a clearance or letter from HR, include that in the file. After receiving results determine eligibility against CV, CNCS and your own program policy -- if they meet the requirements, you CLEAR the person for work or service. You need to document having done so and the date on which they were cleared, along with a signature. You should do this on CV’s California AmeriCorps State National Service Criminal History Check Verification Form and place it in the member file. The date of the final clearance decision is the KEY DATE that CV will use and check against the member’s egrant start date to ensure they were cleared before starting. CaliforniaVolunteers 2016

CaliforniaVolunteers 2016
This form was created by CaliforniaVolunteers to document the check process for each person. It is a critical part of compliance. Because our understanding of California law and the CalDOJ preclude showing results to an auditor or CV staff, this becomes the grant record of having completed the check properly. It includes things such as the source for the state and FBI check (usually the CalDOJ) and the NSOPW.gov for that check; the date that checks were initiated and received, that any results were considered against CNCS, CV and the program’s own policy, and then a selection decision was made and the date that happened. It also lists the penal code that prohibits sharing the results and other important information required by CNCS for the checks process to be considered compliant – All are requirements by CNCS for states that don’t allow sharing the results with oversight agencies (CNCS, CV, IPERIA). It should be signed by the person who reviewed the results and made a clearance decision. If you have an HR department who for some reason won’t share results with you, then you’ll need to ensure they are trained on CNCS requirements. Their or letter to you stating the person has been cleared should be included in the file. CaliforniaVolunteers 2016

CaliforniaVolunteers 2016
On the back of the form are all the needed steps for conducting compliant NSCHCs and for properly documenting those. This is useful for training purposes and for ensuring your CHC policy and procedures are covering everything. CV has a more detailed version to assist with assessing your policy and procedures. These are all available on grantee central. CV is now checking policy and procedures as part of the Program Readiness Review. CaliforniaVolunteers 2016

Additional Considerations
Now let’s quickly go through just a few other considerations… CaliforniaVolunteers 2016

CNCS has what are called Alternative Search Procedures for those who for some reason cannot follow the standard process and requirements for CHC. There is a formal request process that must go through CV to CNCS. However, some ASPs are so common they CNCS has a list of what are termed Pre-Approved Alternative Search Procedures. We talked about California’s state law prohibiting sharing the actual results of checks (aka. Rap sheets showing criminal history). The Pre-Approved ASP states what’s required and we’ve included those elements in our CV NSCHC Verification Form. Another common one is that If a partner or HR is reviewing results, there’s a Pre-Approved ASP for that called “Clearance Letters in lieu of Actual Results” CaliforniaVolunteers 2016

Partners Performing Checks
This is covered in the CHC FAQs and states that if a partner conducts your checks but doesn’t let you see the actual results (aka RAP sheets), you must have a written agreement with them ensuring they are conducting the checks correctly and that they aren’t clearing anyone who doesn’t meet CNCS minimum requirements (sex offense or murder). They can then issue clearance decisions to your program. Copies of those ( or letters) are grant records and you must print them and include them in the member file. You must also ensure any check that they aren’t doing (NSOPW.gov) are conducted by the program. CaliforniaVolunteers 2016

Another special consideration is the use of vendors to perform checks
Another special consideration is the use of vendors to perform checks. From a CNCS source: Many organizations use a for-profit company, what we call a vendor, to help with the checks. Our words of advice on this are buyer beware. If you use a vendor to assist with this process, you are still accountable for on-time, every time compliance. The vendor must comply with all of our requirements, just as you would have otherwise. Very often, vendors are not used to our requirements, so if you are using one, you must thoroughly document questions like which component they will complete, that they will use the correct sources (the official repositories), that they do not have time-limited data, and that they maintain the results for as long as required as grant records. This is a very common cause of noncompliance. CaliforniaVolunteers 2016

 If the vendor conducts the wrong checks, ultimately its on the program. There’s a section on Vendors on the Criminal History Check page of the Knowledge Network. You’ll want to check that out if you use or consider using a vendor. CV, CNCS or IPERIA auditors may want to see your vendor agreement to ensure they are conducting proper checks. CaliforniaVolunteers 2016

School District Checks
This is similar to ‘partners performing checks’. You must have a memo stating they meet requirements. If you work with a school district, you should read that section regarding what’s needed in CNCS’ Current Pre-Approved ASPs (Jan. 2016). There are specific FAQs regarding what’s needed to provide assurance that checks are being conducted properly if CHC results are not being reviewed by program staff. CaliforniaVolunteers 2016

Programs Need Written CHC Policy & Procedures
CV has a policy checklist on grantee central Use of CV’s NSCHC Steps Checklist and CV’s NSCHC Verification Form should be part of every program’s procedures It’s also required that you have written NSCHC policy and procedures. Unfortunately we often see this as an area where staff turnover hurts programs. Having this in writing is not only required, but important for your onboarding of new staff – and not just those who’ll run the checks. All staff should know the basics. Again, CV has a Program Policy & Procedures Assessment tool on grantee central in the Criminal History Checks section to help programs ensure these are adequate. CaliforniaVolunteers 2016

Assign a Background Check Expert who’ll keep up on the latest policy
Staying Current Assign a Background Check Expert who’ll keep up on the latest policy This area of compliance is so critical to both protecting your members and beneficiaries and also an area where funds are at stake as well. Programs need to stay updated on any updates, so we highly recommend having someone on your staff become the expert on this subject area. Your CV PO can offer assistance as well. Be sure to have clear procedures and policies and strong training for transferring this information when there are staff changes. CaliforniaVolunteers 2016

AmeriCorps Grantee Training Conference 2017
This is CV’s Grantee Central /Program Resources Page. Here you’ll find a NS Criminal History Checks Resources section. AmeriCorps Grantee Training Conference 2017

Resources CV’s Grantee Central: under ‘Resources’ there is an entire CHC section including: CV Criminal History Checks Training (this one!) CV Contract - Exhibit H CV NSCHC Verification Form and Steps Checklist FAQS CNCS NSCHC FAQs – Updated Jan 2016 CV’s Supplemental Info on Staff Checks (excerpts from the others) CV CHC Policy and Procedures Development Steps Checklist There you can access each of these items. Remember if you utilize CNCS resources for training that California Volunteers has more stringent requirements which were covered in this presentation and can be found in your grantee contract Exhibit H. They are also covered in the two forms we looked at today, CaliforniaVolunteers National Service Criminal History Check Verification Form and CV National Service Criminal History Steps Checklist. This presentation, is also on Grantee Central with the notes. CaliforniaVolunteers 2016

Other Resources CV also has additional resources you can ask your PO for: Sample HR letter attesting to a compliant process Effective Dates document for staff checks from prior to 2013 CV Assessment Period guidance The requirements for staff checks can be especially challenging. CHC has evolved over the years, so for staff hired prior to 2012, their can be somewhat lesser requirements. Also, CNCS and CV had an Assessment period in 2014 that allowed all grantees to review all files and there was an amnesty period to report those without penalty. It included documentation that you had to place in the staff file so if you get a request for a staff member whose noncompliance was ‘cleared’ during that period, you’ll need to include that. If you have questions, let you PO know and we can assist. CaliforniaVolunteers 2016

These are good resources on CNCS’ website, but BE CAREFUL to remember that CV’s requirements EXCEED the CNCS minimums. We require that ALL 3 CHECKS (STATE, FBI and NSOPW.gov) are run on EVERYONE! We don’t consider whether members or staff are serving ‘vulnerable populations’ or not, and we require that all CHECKS are CLEARED prior to start. (CNCS allows people to start serving once checks are initiated as long as a cleared person accompanies them [‘accompaniment’] and allows them to serve unaccompanied once EITHER the state(s) or FBI and NSOPW have cleared). This can make their materials very confusing. CV recommends that you always review CV NSCHC materials on grantee central to prevent confusion. Training using CNCS’ online course is required, but we do a webinar and walk through it together, to assist you in passing it and avoid confusion. CaliforniaVolunteers 2016

Non-Compliant Checks CNCS 2017 NSCHC Enforcement Guide
Based on risk-mitigation levels The more you’ve done right, the less this hurts! So how is this all monitored? CV, CNCS, the OIG and IPERIA all are required to monitor grantee checks. We do this through Member File reviews (either as part of our annual MFDR process, or on site visits). We also have a Background check Tracker. CNCS has an updated Cost Disallowance guide for non-compliance - it’s called the Enforcement Guide . This new methodology is based on risk mitigation and can be found on CV’s website at Grantee Central. CaliforniaVolunteers 2016

An important part of the new Enforcement Guide is that it is greatly encouraging self-reporting of these to your program officer. The self-reporting needs to happen before a formal request for reviewing member files – such as in CV’s Staff and Member File and Desk Review process or on a Site Visit. You can review your files and self-report any mistakes to received a 50% reduction in fines. Self-reporting can cut the disallowed cost in half. You must follow a process for self-reporting. FIRST, conduct any checks you may discover that are missing or haven’t been completed! Then, contact your PO and they’ll provide a Self-Reporting form. Following that CV will direct you. This also includes self-reporting of checks that were completed late. CaliforniaVolunteers 2016

Assessing Disallowed Cost
Discovered non-compliance (through self-report or file review) = corrective action needed Expanding the scope of the review Late or missing checks assessed using CNCS’ Enforcement Guide Matrix – this results in a fine The documentation and assessment are reviewed by CNCS and a payment request is issued After non-compliance is discovered (either through self-report or a file review), CV will direct you regarding corrective action needed This could include, expanding the scope of the review (ie. to review all your currently serving members and staff on the budget) and documenting the findings Late or missing checks are then assessed using CNCS’ Enforcement Guide Matrix – this results in a fine The documentation and assessment are reviewed by CNCS and a payment request is issued CaliforniaVolunteers 2016

Common Findings Staff of partners (Site Supervisors) not having been checked (NSOPW) Forgetting to re-run NSOPW for returning members Vendor problems Late checks for late-starting members CaliforniaVolunteers 2016

Criminal history checks are just one aspect of good practice for protecting those you’re serving, your members and your program. CaliforniaVolunteers 2016

Contact your PO or email tara.baltzley@cv.ca.gov
Thank You!!! Questions? Contact your PO or CV understands that NSCHC is a complex process to be compliant in both doing and documenting checks correctly. We want to support you by ensuring you have all the tools you need. Bookmark and review the resources on Grantee Central (this training, with notes is posted) – especially the Supplemental FAQs that we’ve given out today. If you have any questions, reach out to your PO or feel free to me directly. CaliforniaVolunteers 2016

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