TE_CYS-50_SECARMY_Directive_REFERENCES_2014-23.pdf

REFERENCES

a. The Crime Control Act of 1990, Pub. L. No. 101-647, 104 Stat. 4789 (1990).

b. U.S. Office of Personnel Management (OPM) Federal Investigative Services INV 15 (Requesting OPM Personnel Investigations), April 2012.

c. Department of Defense (DoD) 5400.11-R (Department of Defense Privacy Program), May 14, 2007.

d. DoD Directive 5015.2 (DoD Records Management Program), March 6, 2000.

e. DoD Directive 6400.1 (Family Advocacy Program (FAP)), August 23, 2004.

f. DoD Instruction 1100.21 (Voluntary Services in the Department of Defense), March 11, 2002, Incorporating Change 1, December 26, 2002.

g. DoD Instruction 1400.25, Subchapter 1403 (DoD Civilian Personnel Manual:

Employment), December 1 1996, Incorporating Change 5, March 25, 2000.

h. DoD Instruction 1400.25, Volume 731 (DoD Civilian Personnel Management System: Suitability and Fitness Adjudication for Civilian Employees), August 24, 2012.

i. DoD Instruction 1400.25, Volume 1231 (DoD Civilian Personnel Management System: Employment of Foreign Nationals), July 5, 2011.

j. DoD Instruction 1402.5 (Criminal History Background Checks on Individuals in Child Care Services), January 19, 1993.

k. DoD Manual 6025.13 (Medical Quality Assurance (MQA) and Clinical Quality Management in the Military Health System (MHS)), October 29, 2013.

I. Memorandum, Assistant Secretary of Defense (Readiness and Force Management), Dec 4, 2013, subject: Waiver for Family Housing and Mental Health Records Checks for Individuals in Child Care Services.

m. Memorandum, Deputy Assistant Secretary of Defense (Civilian Personnel and Policy), Aug 26, 2013, subject: Responsibilities under the Department of Defense Suitability and Fitness Adjudications for Civilian Employees Programs.

n. Army Regulation (AR) 25-400-2 (The Army Records Information Management System (ARIMS)), 2 October 2007.

o. AR 40-68 (Clinical Quality Management), 26 February 2004, Incorporating Rapid Action Revision issued 22 May 2009.

Army Directive 2014-23 Enclosure 1

p. AR 165-1 (Army Chaplain Corps Activities), 3 December 2009.

q. AR 190-45 (Law Enforcement Reporting), 30 March 2007.

r. AR 215-1 (Military Morale, Welfare and Recreation Programs and Nonappropriated Fund Instrumentalities), 24 September 2010.

s. AR 215-3 (Nonappropriated Funds Personnel Policy), 29 August 2003.

t. AR 340-21 (The Army Privacy Program), 5 July 1985.

u. AR 380-67 (Personnel Security Program), 24 January 2014.

v. AR 420-1 (Army Facilities Management), 12 February 2008, Incorporating Rapid Action Revision No. 2 issued 24 August 2012.

w. AR 608-1 (Army Community Service), 13 March 2013.

x. AR 608-10 (Child Development Services), 15 July 1997.

y. AR 608-18 (The Army Family Advocacy Program), 30 October 2007, Incorporating Rapid Action Revision issued 13 September 2011.

z. Department of the Army Personnel Security Investigation Portal (PSIP) Requestor Guide, November 2012.

aa. Department of the Army Personnel Security Investigation Portal Childcare Requestor Guide, November 2012.

Army Directive 2014-23 10 Enclosure 1

ROLES AND RESPONSIBILITIES

1. The Assistant Secretary of the Army (ASA) (Manpower and Reserve Affairs) (M&RA) is the Army proponent for overall strategy, policy and supervision of the conduct of screenings and background checks for individuals who have regular contact with children. The ASA (M&RA) will delegate a Deputy Assistant Secretary of the Army to serve as the chair of the Headquarters, Department of the Army (HQDA) Program Review Board (PRB) Review Panel. The ASA (M&RA) will also designate two individuals to serve as voting members on the panel.

2. The ASA (Acquisition, Logistics and Technology) (ALT) is designated the Army Acquisition Executive, Senior Procurement Executive and Senior Official responsible for managing the acquisition of contract services.

3. The ASA (Financial Management and Comptroller) (FM&C) and DCS, G-8 will ensure the appropriate prioritization and resource guidance to support background checks of individuals providing Child and Youth Services.

4. The ASA (Installations, Energy and Environment) (IE&E) is the Army proponent for ensuring the integration of this policy into the Army's installation regulations, policies and operations. The ASA (IE&E) will designate two individuals to serve as voting members on the HQDA PRB Review Panel.

5. The Assistant Chief of Staff for Installation Management (ACSIM) is the Army proponent for developing specific policies for installation management and overseeing their execution.

a. The ACSIM will develop a single overarching Army regulation and pamphlet(s) as necessary that address all aspects of the screening, background check and adjudication processes for personnel covered by this directive. The ACSIM will develop this documentation in concert with, but not limited to, the DCS, G-1; DCS, G-2; The Surgeon General; Director, Army National Guard; Commander, U.S. Army Medical Command;

Commander, U.S. Army Reserve Command; Chief of Chaplains; and Provost Marshal General. The DCS, G-2 will provide subject matter expertise in personnel security to support the ACSIM's development of the specific policy. The ACSIM will revise existing regulations, policies and quality assurance inspection documents as appropriate to ensure the health, safety and well-being of children. All revised policy will be coordinated with external accrediting bodies and synchronized with Army civilian and military personnel proponents.

b. The ACSIM will develop and maintain a list of Commander Designated Entities serving as central points of contact for Army commands and organizations to initiate, coordinate and track background checks and review results for derogatory information.

The Commander Designated Entity will be supported by agencies that provide required background check data, as well as civilian and military personnel offices; Family and MWR personnel; medical personnel; and chaplains. Guidance will identify each office

Army Directive 2014-23 Enclosure 2 responsible for providing information to the Commander Designated Entity and will specify the format and time restrictions for each check to ensure the timely receipt of information and completion of the check.

c. In addition, the ACSIM will designate two individuals to serve as voting members on the HQDA PRB Review Panel and provide the administrative coordinator for the panel.

6. The DCS, G-1 is responsible for policy development and approval in support of the appropriated fund (APF) and nonappropriated fund (NAF) application, hiring, suitability and employment processes for civilian personnel who have regular contact with children. The Assistant G-1 for Civilian Personnel Policy is the approval authority for any exceptions to currently published civilian personnel policy or personnel guidelines in this directive and its supporting enclosures. The DCS, G-1 will assist the ACSIM in developing policy and procedures to support implementation of this directive. The DCS, G-1 will also designate two individuals to serve as voting members on the HQDA PRB Review Panel.

7. The DCS, G-2 is responsible for personnel security policy and operational oversight of the Personnel Security Investigation Center of Excellence. The DCS, G-2 will ensure that organizations within a command that are responsible for the initiation, coordination and tracking of background checks (Commander Designated Entity) have the necessary guidance to initiate required background investigations with the Center of Excellence.

The DCS, G-2 will program the necessary resources for required background investigations performed by authorized investigative service providers on all individuals covered by this directive. The DCS, G-2 is responsible for receiving, programming and reporting the projections for all the additional background investigations required under this directive. The DCS, G-2 will assist the ACSIM in the development of policy and procedures to support implementation of this directive. The DCS, G-2 will designate two individuals to serve as voting members on the HQDA PRB Review Panel.

8. The Chief, National Guard Bureau is responsible for implementing policies and programs within the Army National Guard (ARNG), including facilitating and coordinating processes and procedures with subordinate commands and organizations that are involved in the screening and background check process for all individuals covered by this directive. The Chief will ensure that subordinate commands and organizations designate a single entity (Commander Designated Entity) within their organization to be responsible for the initiation, coordination and tracking of background checks and for reviewing the results to determine whether they contain derogatory information. The Chief is also responsible for the policy and procedures governing required PRBs for the ARNG. The Chief will designate an appropriate review chain for PRB cases to ensure that applicable PRB case files are administratively complete before submission to the HQDA PRB Review Panel. The Director, ARNG will designate two individuals to serve as voting members on the panel.

9. The Chief, Army Reserve is responsible for strategy, policy and program implementation within the U.S. Army Reserve (USAR), including facilitating and

Army Directive 2014-23 2 Enclosure 2 coordinating processes and procedures with subordinate commands and organizations that are involved in the screening and background check process for individuals who have regular contact with children. The Chief will ensure that subordinate commands and organizations designate a single entity (Commander Designated Entity) within their organization to be responsible for the initiation, coordination and tracking of background checks and for reviewing the results to determine whether they contain derogatory information. The Chief is also responsible for the policy and procedures governing required PRBs for the USAR. The Chief will designate an appropriate review chain for PRB cases to ensure that applicable PRB case files are administratively complete before submission to the HODA PRB Review Panel. The Chief will designate two individuals to serve as voting members on the HODA PRB Review Panel.

10. The Surgeon General oversees all medical programs and operations in support of background checks for individuals covered by this directive. The Surgeon General will ensure that subordinate commands and organizations designate a single entity (Commander Designated Entity) within their organization to be responsible for the initiation, coordination and tracking of background checks and for reviewing the results to determine whether they contain derogatory information. Commanders will not designate security specialists for this role. U.S. Army Medical Command (MEDCOM) will ensure that medical treatment facilities (MTFs) conduct the Army Central Registry check. The Surgeon General will designate two individuals to serve as voting members on the HODA PRB Review Panel. In addition, the Office of the Surgeon General will work with U.S. Army Installation Management Command to ensure that the garrison PRB process is applied to MEDCOM suitability cases under DoD Instruction 1402.5 (Criminal History Background Checks on Individuals in Child Care Services). MEDCOM will ensure that applicable PRB case files are administratively complete before submission to the HODA PRB Review Panel.

11. The Judge Advocate General, in conjunction with the Army General Counsel, is responsible for providing a legal sufficiency review for every case submitted to the HODA PRB Review Panel.

12. The Chief of Chaplains is responsible for overseeing all religious support programs and operations in support of background checks for individuals covered by this directive.

The Chief of Chaplains will issue annual guidance on the use of the Chapel Volunteer Management System and implementation of this child protection policy among all garrison and unit chaplain-sponsored events and programs. The Chief of Chaplains will designate an appropriate review chain for its PRB cases to ensure that applicable case files are administratively complete before submission to the HODA PRB Review Panel.

The Chief of Chaplains will designate two individuals to serve as voting members on the HODA PRB Review Panel.

13. The Provost Marshal General oversees policy for all law enforcement programs and operations in support of background checks for individuals covered by this directive.

The Provost Marshal General will designate two individuals to serve as voting members on the HODA PRB Review Panel.

Army Directive 2014-23 3 Enclosure 2

14. The Director, U.S. Army Civilian Human Resources Agency is responsible for issuing operational guidance on recruiting for child care services positions and on in-processing selectees for both APF and NAF positions.

15. The Commander, U.S. Army Criminal Investigation Command (CID) provides operational guidance on the conduct of noncriminal justice background name checks for all individuals covered by this directive. CID offices will submit requests to the U.S. Army Crime Records Center through the Army Criminal Investigation and Criminal Intelligence System. The Crime Records Center check will consist of queries of the Automated System Crime Records Center and the Defense Central Index of Investigations (DCll). CID will return name check results to the Commander Designated Entity within 15 calendar days.

16. The Commander, Installation Management Command (IMCOM) is responsible for developing implementing instructions to support the policies and procedures developed by ACSIM, providing overarching guidance, and developing standing operating procedures for conducting required background checks and suitability adjudications for individuals covered by this directive to ensure that processes and procedures are in place to correctly complete background checks and suitability assessments. IMCOM will coordinate the guidance and procedures with MEDCOM, the Civilian Human Resources Agency, U.S. Army Contracting Command, CID and all other affected commands and organizations. IMCOM will also establish procedures governing required PRBs at garrisons and will designate an appropriate review chain for PRB cases to ensure that applicable PRB case files are administratively complete before submission to the HODA PRB Review Panel. Geographically dispersed organizations, garrisons and installations that IMCOM does not manage will adapt the IMCOM standing operating procedures to their unique circumstances. Generally, the following responsibilities apply, subject to command-unique modifications to accommodate specific needs:

a. Garrison Commander/Garrison Manager. The garrison commander or manager is responsible for overseeing the Director, Family and MWR programs (DFMWR) and operational control of the Provost Marshal Office (PMO)/Directorate of Emergency Services (DES) at IMCOM-managed garrisons. The garrison commander/manager is responsible for designating a single entity (Commander Designated Entity) within his/her organization to be responsible for the initiation, coordination and tracking of background checks and for reviewing the results to determine whether they contain derogatory information. Commanders/managers will not designate security specialists for this role. The commander/manager may use contractors to perform this function, but contractors are not authorized to perform inherently Governmental functions, such as rendering a determination on an individual's fitness for CYSS programs. The garrison commander or manager is responsible for conducting PRBs at the garrison level as needed.

b. Chaplain. The chaplain is responsible for overseeing religious support and religious education operations, the Chapel Volunteer Management System program, Watch Care and other chapel contractors at Army-managed garrisons. The chaplain is

Army Directive 2014-23 4 Enclosure 2 responsible for ensuring that required screening and background checks have been completed for individuals under the chaplain's proponency who are covered by this directive.

c. Army Substance Abuse Program (ASAP). ASAP personnel are responsible for checking the name of individuals requiring an installation records check (IRC) against the Drug and Alcohol Management Information System records to identify individuals who may have substance abuse issues. This check requires the individual's consent.

ASAP will provide the following information to the Commander Designated Entity within 5 business days:

• all illicit positive urinalysis tests and any positive test that has not been adjudicated by a medical review officer as authorized use,

• dates of screening when not enrolled with the primary basis and diagnosis if one is available, and

• enrollment period if enrolled, with primary basis and diagnosis and success or failure of rehabilitation .

d. Commander Designated Entity. The Commander Designated Entity is responsible for initiating required background checks with the appropriate offices, tracking and compiling results, reviewing the results to determine whether they contain derogatory information that must be referred to the garrison command, and forwarding case files as necessary for command adjudication. Although commanders may not designate security specialists for this purpose, they may use contractors or other appropriate sources of labor to perform this function. However, contractors are not authorized to perform inherently Governmental functions, such as rendering a determination on an individual's fitness for CYSS programs. The Commander Designated Entity will be supported by agencies that provide required background check data, as well as civilian and military personnel offices; Family and MWR personnel; medical personnel; and chaplains to complete background checks in a timely manner.

e. MTF. The MTF is responsible for checking the names of individuals requiring an IRC against the Army Central Registry. The MTF will return the results of the registry checks to the Commander Designated Entity within 5 business days.

f. DFMWR. The Director is responsible for overseeing all Child, Youth and School Services (CYSS); Army Community Service; and MWR programs and activities. The DFMWR is responsible for ensuring that required screening and background checks have been completed for all individuals covered by this directive.

g. PMO/DES. The organizations are responsible for conducting military police record checks. Where State laws allow, they will also conduct State law enforcement checks.

Army Directive 2014-23 5 Enclosure 2

SCREENING AND BACKGROUND CHECKS FOR APPROPRIATED AND

NONAPPROPRIATED FUND PERSONNEL, MILITARY PERSONNEL, FOREIGN

NATIONAL EMPLOYEES OVERSEAS AND CONTRACTORS

1. Purpose. To establish screening and background check requirements and supporting guidelines for personnel considered for or in positions that have regular contact with children. Strict compliance with these requirements will help ensure the safety and welfare of children and reduce the risk of child abuse and neglect in Army programs and activities.

2. Applicability. The guidance in this enclosure applies to all APF and NAF employees; members of the military (active and reserve); foreign national employees overseas; and APF and NAF contractors, including subcontractors, who have regular contact with children under age 18, as well as applicants for those positions. All offices responsible for on-boarding and providing support for screening and background checks-including civilian and military personnel offices; chaplains, MTFs, PMO/DES, DFMWR, ASAP and contracting offices-will follow this guidance.

3. Responsibilities. The following organizations will establish guidance and standing operating procedures for their assigned responsibilities to ensure that the applicable personnel who have regular contact with children during the performance of their duties are fit to be responsible for children's safety and well-being. Federal Government activities are the only authorized offices to obtain and process fingerprints. Contractors may obtain an individual's fingerprints, process fingerprint checks and/or request Child Care National Agency Check and Inquiries (CNACI) background investigations from the Army's Personnel Security Investigation Center of Excellence. However, they must return the results of fingerprint checks and CNACI background investigations to the sponsoring Government activity for review and adjudicative processing.

a. IMCOM

(1) With input from the DCS, G-2, develop and issue operational guidance on initiating, screening and adjudicating background checks, in coordination with all commands and proponents that have a role in conducting background checks for individuals who have contact with children through Army programs and services. This includes all organizations that hire, contract for and bring on board individuals to work in such positions and who are involved in the management and oversight of such programs. The guidance will include step-by-step instructions for the preemployment screening process; the IRC and Federal Bureau of Investigation (FBI) fingerprint check;

the CNACI; the PRB process; and the reverification of personnel, including the maintenance, storage, protection and disposal of personally identifiable information (Pll).

(2) Address the process for handling cases where derogatory information is found during reverification or through some other means.

Army Directive 2014-23 Enclosure 3

(3) Include specific language in the statement of work for all contracts that is consistent with the requirements in DoD Instruction 1402.5, enclosure 6, paragraph E6.4.

(4) Establish internal quality control checks, verifications and periodic reviews as part of program assurance regarding required background checks for all individuals.

Incorporate this process into the Garrison Organizational Inspection Program.

b. MEDCOM

(1) Develop and publish standing operating procedures and specific guidance for medical personnel and supporting organizations that includes Commander Designc;lted Entities; step-by-step instructions for the prescreening process; the IRC and advance FBI fingerprint check; the CNACI; the PRB process; and the reverification of personnel, including the maintenance, storage, protection and disposal of Pll.

(2) Include specific language in the statement of work for all contracts that is consistent with the requirements in DoD Instruction 1402.5, enclosure 6, paragraph E6.4.

(3) Address how derogatory information will be handled and coordinated with the garrison as part of the installation PRBs on applicant and employee suitability. The results of background checks for MEDCOM personnel will be processed in consultation with IMCOM.

(4) Address required coordination with the garrison in reviewing and packaging a suitability case file for submission to the HODA PRB Review Panel for adjudication (if required). The guidance must also address the process for handling cases when derogatory information is found during reverification or through some other means.

(5) Establish internal quality control checks, verifications and periodic reviews as part of program assurance related to background checks.

c. ARNG and USAR

(1) Develop supporting internal standing operating procedures as needed to ensure the completion of all screening and background check requirements for personnel, including contractors, based on unique circumstances and timelines for required support.

(2) Provide step-by-step instructions that address the screening process; the IRC and FBI fingerprint check; the CNACI; the PRB process; and the reverification of personnel, including the maintenance, storage, disposal and protection of Pll.

(3) Address the process for handling cases when derogatory information is found during reverification or through some other means.

Army Directive 2014-23 2 Enclosure 3

(4) Designate responsible agents at the unit, regional support command, State, headquarters or other levels (Commander Designated Entities), as appropriate, to initiate requests and track, compile and review the results of all required background checks.

(5) Include specific language in the statement of work for all contracts that is consistent with the requirements in DoD Instruction 1402.5, enclosure 6, paragraph E6.4.

(6) Establish internal quality control checks, verifications and periodic reviews as part of program assurance related to required background checks.

(7) Convene a PRB, as necessary, to review and adjudicate derogatory information and make suitability recommendations to the appropriate commander as designated by the Chief, National Guard Bureau or the Chief, Army Reserve. When the commander recommends suitability despite derogatory information, the commander will package the information properly and forward the PRB case file to the HQDA PRB Review Panel for consideration.

d. Headquarters. Civilian Human Resources Agency

(1) Develop and publish supporting standing operating procedures and internal controls for this directive and ensure appropriate coordination and synchronization with the IMCOM standing operating procedures.

(2) Issue guidance that designates Civilian Personnel Advisory Centers as a liaison between the program or functional manager and the Commander Designated Entity to ensure the submission of all forms and paperwork needed to complete screening and background checks for on-boarding prospective employees and completing reverification, as DoD Instruction 1402.5 requires, for employees. The guidance must address application requirements, the notification to individuals required by statute, unfavorable suitability assessments, and any procedures required for the on-boarding or reverification of APF and NAF employees and foreign national employees overseas, including the Civilian Personnel Advisory Center's involvement and interface with the applicant or employee and the functional proponent or program manager.

(3) Coordinate with IMCOM, other affected commands and the specific program managers to incorporate background check requirements into standardized position descriptions for all applicable APF and NAF positions.

(4) Standardize all job opportunity announcements and occupational assessment questionnaires for these positions across subordinate Civilian Personnel Advisory Centers, including conditions of employment related to background checks.

(5) Obtain the signature of the employee or prospective employee before seeking a background check, thus documenting that he or she has been notified of the

Army Directive 2014-23 3 Enclosure 3 employer's obligation to require a records check as a condition of employment, the individual's right to obtain a copy of the criminal history report made available to the agency, and the right to challenge the accuracy and completeness of any information in the report.

e. ASA (ALT)

(1) Provide procurement guidance to support APF contracts for all requirements for contractors based on responsibilities and procedures as outlined and in accordance with applicable regulations, policies and this directive.

(2) Develop and publish standardized language related to requirements for background checks to be used in the statement of work for all applicable contracts that is consistent with the requirements in DoD Instruction 1402.5, enclosure 6, paragraph E6.4.

f. Chaplains

(1) Develop and publish standing operating procedures and specific guidance for medical personnel and supporting organizations that includes step-by-step instructions for the prescreening process; the IRC and advance FBI fingerprint check; the CNACI;

the PRB process; and the reverification of personnel, including the maintenance, storage, protection and disposal of Pll.

(2) Include specific language in the statement of work for all contracts that is consistent with the requirements in DoD Instruction 1402.5, enclosure 6, paragraph E6.4.

(3) Address how derogatory information will be handled and coordinated with the garrison as part of the installation PRBs on applicant and employee suitability. The results of background checks for chaplain personnel will be processed in consultation with IMCOM.

(4) Address required coordination with the garrison in reviewing and packaging a suitability case file for submission to the HQDA PRB Review Panel for adjudication (if required). The guidance must also address the process for handling cases when derogatory information is found during reverification or through some other means.

(5) Establish internal quality control checks, verifications and periodic reviews as part of program assurance related to background checks.

4. Requirements

a. Preemployment Screening and Assessment. In coordination with the appropriate human resource office, the hiring/responsible organization (for example, CYSS, chaplains, MTF) is responsible for ensuring that an individual has the necessary skill sets for the position. Through review of the application and related forms, personal

Army Directive 2014-23 4 Enclosure 3 interview and reference checks, the hiring/responsible organization will assess the individual's eligibility, qualifications, temperament and suitability for work with children.

The Commander Designated Entity will initiate the background check only after a tentative offer of employment is made.

b. Background Check. The background checks required for those individuals covered by this enclosure are IRC, local law enforcement check (where available), FBI fingerprint check and CNACI (or host nation checks). The IRC is required only for individuals with a prior or current DoD affiliation. Individuals with an unexpired National Agency Check and Inquiries (NACI) require only a State Criminal History Repository check and an IRC. This chart identifies the requirements for screenings and background checks and the responsible office by category of personnel:

Category (Proponent}

Preemployment screening (hiring/responsible organization)

Requirement (Proponent if Different}

1) Application I solicitation

2) Interview I contract review

3) Reference check

APF/

NAFor Military x x x

Contractor x x x

Foreign National

Employees Overseas x x x

Hiring/responsible organization makes a tentative offer of employment. Statement of Previous Arrest or Charge is required for all applicants and must be updated annually (see enclosure 4, paragraph 4f).

Preliminary 1) IRC* X X X investigation a. Local Military Records (PMO) (Commander b. Local Law Enforcement Designated Entity) (PMO/CPAC)

c. Drug and Alcohol (ASAP)

d. Army Central Registry (MTF)

e. DCll/CID Records (CID)

2) FBI fingerprint check (Commander Designated Entity)

3) Local Law Enforcement**

(PMO/CPAC)

x x x x x x

* IRC only applies to individuals with prior or current DoD affiliation. The IRC check will be for the 5-year period preceding the date of application .

• Checks of mental health records and family housing will be done only to the extent required by references j and I.

• Individual can begin work under line-of-sight supervision (LOSS) with favorable results from the preliminary investigation or if the preliminary investigation reveals any derogatory information forwarded by the Commander Designated Entity, with the written approval of the garrison commander (or equivalent)

• Appointments must be made subject to favorable adjudication of the remaining background checks.

** The local law enforcement check will be for the 5-year period preceding the date of application.

Completed CNACI (includes the State Criminal X X X** background check History Repository Check) (Commander Designated Entity)

Army Directive 2014-23 5 Enclosure 3

Foreign APF/ National

Category NAF or Employees (Proponent) Requirement (Proponent if Different) Military Contractor Overseas

Host nation background check I CNACI X** equivalent

Individual is considered cleared and can work outside of LOSS if the results of the completed background check are favorable. If derogatory information is uncovered by the CNACI (or CNACI equivalent) and forwarded by the Commander Designated Entity, the case must be adjudicated through the PRB process.

Reverification (IRC and FBI fingerprint check) is required every 5 years.

Other relevant record checks may be initiated if deemed necessary to determine an individual's suitability under DoD Instruction 1402.5 to the extent the law permits. Any other checks must be approved by a general officer/member of the Senior Executive Service and found legally sufficient by the servicing legal office.

**See the paragraph on Foreign National Employees Overseas on page 7.

(1) Once the hiring/responsible organization completes the preemployment screening and assessment process and makes a tentative offer of employment, the Commander Designated Entity will initiate the preliminary investigation . If the investigation identifies derogatory information, the garrison commander must provide his or her written approval before the individual will be allowed to begin work. The individual must be notified of the derogatory information and given an opportunity to respond. The garrison commander may-but is not required to-conduct a command level PRB to obtain a recommendation on whether to provisionally hire the individual. If provisionally hired, the individual must work under LOSS until the results of the CNACI (or host nation check) are received and favorably adjudicated. Appointments will be made subject to favorable adjudication of the results of the completed background check.

(2) The Commander Designated Entity is responsible for initiating each check with the responsible office, tracking and compiling the results, and identifying derogatory information. When preliminary investigations return favorable results, the Commander Designated Entity will give the results to the Civilian Personnel Advisory Center and/or the hiring/responsible organization. If derogatory information is found, the Commander Designated Entity will give the results to the hiring/responsible organization for a decision on whether it wishes to pursue the hiring action. If the organization chooses to pursue hiring, the Commander Designated Entity will initiate the CNACI (or host nation check). If the Commander Designated Entity identifies derogatory information when the results of the CNACI (or host nation check) are available, it must forward the information to the command-level PRB for adjudication. The command-level PRB must review the individual's case and recommend whether the individual should be found suitable for a child care services position. The adjudication process is detailed in enclosure 6.

Army Directive 2014-23 6 Enclosure 3

(3) Foreign National Employees Overseas

(a) When permissible by the laws of the host government, the Commander Designated Entity will directly request the host government checks. Where the host nation's agreement prevents a background check comparable to a criminal history check, foreign nationals will not be eligible for employment overseas where regular contact with children is required.

(b) For the preliminary investigation, foreign national employees overseas will, at a minimum, have a DCll check and, if they have prior or current DoD affiliation, a full IRC. An FBI fingerprint Special Agreement Check will be requested unless prohibited by the terms of the host nation agreement.

(4) Foreign Nationals Within the United States. Foreign nationals who have not resided in the U.S. for 3 of the last 5 years will be processed for an FBI fingerprint Special Agreement Check. Foreign nationals who have resided in the U.S. for at least 3 of the last 5 years will receive a CNACI.

c. Reverification Requirement. A reverification that includes an IRC and FBI fingerprint check must be completed every 5 years for APF/NAF employees, military members (active and reserve), foreign national employees overseas and contractors.

The reverification covers the time period since completion of the last background check.

If derogatory information is uncovered during a reverification, the individual must immediately be placed under LOSS pending adjudication through the PRB process.

However, in the case of a mandatory disqualification, an incident for which the individual has been charged with a mandatory disqualifying offense but the charge has not yet been disposed of, or any other circumstances where the commander determines that the nature or seriousness of the derogatory information indicates a potential risk to children, the individual must be removed from any contact with children while on the job until the case is resolved or other personnel action is taken.

d. LOSS

(1) Individuals working under LOSS must be conspicuously identified by distinctive clothing (identifiable colors), badges, wristbands or other apparent markings that are fully visible when viewed from all angles.

(2) Individuals permitted to perform duties under LOSS must be supervised; that is, monitored constantly by an individual who:

(a) has undergone a CNACI and received a favorable suitability determination;

(b) has met periodic reverification requirements under this directive; and

(c) has not previously exhibited wanton or reckless disregard for an obligation to supervise an employee, contractor or volunteer in accordance with this guidance.

Army Directive 2014-23 7 Enclosure 3

(3) Supervision in this context is not necessarily the same as supervision by the employee's supervisor for employment purposes.

(4) Individuals otherwise required to perform duties only under LOSS may perform duties without LOSS supervision if interaction with the child:

(a) occurs in the presence of the child's parent or guardian;

(b) is in a medical facility, subject to the supervisory policies of the facility and in the presence of a mandated reporter of child abuse; or

(c) is necessary to prevent the death Of or serious harm to the child, and supervision is impractical or infeasible (for example, medical emergency or emergency evacuation of a child from a hazardous location).

e. Failure to Complete. Failure to complete a background check does not create a positive presumption of an applicant's suitability to perform duties in a position subject to a background check, nor does such a failure create any right to legal or procedural recourse.

f. Statement of Previous Arrest or Charge. As part of their application, all individuals must complete a statement answering these questions:

• Have you ever been arrested for or charged with a crime involving a child?

• Have you ever been asked to resign because of or been decertified for a sexual offense? If so, describe the case disposition.

The statement must be signed under penalty of perjury and updated annually.

5. Special Instructions

a. CYSS. Regular CYSS contractors (those whose services are anticipated to be required on a regular, recurring basis) must have a background check (an IRC (when applicable), a local law enforcement check (where available), an FBI fingerprint check and a CNACI) completed with a favorable suitability determination before working outside of LOSS. The determination of whether services are recurring is based on the frequency and duration of services. Recurring contacts may include services performed:

• more than an average of 1 day a week for 3 or more months, or

• daily for a period of 1 month or longer.

Recurring contracts may include instructors, sports officials, school bus drivers, and child care service providers. Examples include permanent and temporary child youth program assistants; permanent and temporary personnel working in programs and services offered under Army Child Care in Your Neighborhood, Army School Program in

Army Directive 2014-23 8 Enclosure 3

Your Neighborhood and Army Youth Program in Your Neighborhood; Camp Adventure volunteers; personnel at seasonal sports camps; tutors at both home and school; driving school instructors; custodial services personnel; coaches; respite care providers under the Exceptional Family Member Program; performing arts camp instructors; medical family life counselors; regularly scheduled bus drivers; youth development specialists;

technology specialists; homework specialists; State coordinators for Operation Military Kids; ARNG Child, Youth and School Services program coordinators; and USAR Child and Youth Services program specialists.

b. Medical. Military members, civilian employees and contractors filling any healthcare position involving regular interaction with children must have background checks (an IRC (when applicable), an FBI fingerprint check and a CNACI). This group includes pediatric clinic ward, nursery and specialty service personnel (including staff at neonatal and pediatric intensive care units); Family medicine clinic personnel; members of patient-centered medical home teams; operating room and anesthesia personnel (when pediatric surgery is performed); Exceptional Family Member Program personnel;

early development intervention personnel; child behavioral health personnel; radiology, dental and laboratory personnel administering pediatric care; emergency department personnel; speech pathologists; audiologists; school-based clinic personnel;

occupational and physical therapists who work with children; community and public health nurses; Family advocacy personnel; immunization clinic personnel; and obstetrics/gynecology clinic personnel.

c. Chaplains. Military members (active and reserve), civilian employees and contractors filling any position involving regular interaction with children must have background checks (an IRC (when applicable), a local law enforcement check (where available), an FBI fingerprint check and a CNACI). This group includes Family life chaplains, youth group leader chaplains, chaplain's assistants, directors of religious education, religious education coordinators, youth group leaders and extenders, youth ministry specialists, Watch Care personnel, and any contract clergy or other personnel who have regular, recurring contact with children in chapel or chaplain-sponsored events or activities. Determination of whether services are recurring is based on the frequency and duration of services. Recurring contacts may include services performed:

• more than an average of 1 day a week for 3 or more months, or

• daily for a period of 1 month or longer.

d. Other Contractors. Some contractors provide services on an occasional basis or for such a short duration that conducting the CNACI is not feasible. These contract individuals must have an IRC (when applicable), a local law enforcement check (if available), and an FBI fingerprint check with favorable results before working; otherwise, they may only work under LOSS. Examples include a sports official who is used a few times during the season as backup for youth games; or an individual whose contact occurs on a very infrequent basis (once or twice a year for a short period of time) in support of field trips, community carnivals, holidays or special entertainment events.

Army Directive 2014-23 9 Enclosure 3

6. Pll

a. All managers, hiring officials and supervisors will ensure that internal procedures and safeguards are developed, implemented and maintained to protect Pll in accordance with AR 340-21 (The Army Privacy Program) and AR 25-400-2 (The Army Records Information Management System (ARIMS)).

b. All commanders will ensure that personnel who handle Pll are aware of their responsibilities for protecting personal information collected and maintained under the Army's Privacy Program.

7. Records Maintenance and Destruction

a. Records of background checks will be maintained in accordance with applicable laws and regulations.

b. Disposal of materials must be completed to limit the reconstruction of documents or in the same manner as what is required to destroy classified material. Copies of For Official Use Only documents will be disposed of in accordance with the provisions of Title 44, U.S. Code, Chapter 33 (Disposal of Records), DoD Directive 5015.2 (DoD Records Management Program), and AR 25-400-2.

c. Before destroying any information that was used to determine suitability, the Commander Designated Entity will properly document the adjudication of suitability determination in the DoD Central Adjudication Tracking System. For inspection purposes, the Commander Designated Entity's documentation will serve as proof that required background checks were satisfactorily completed and adjudicated.

Army Directive 2014-23 10 Enclosure 3

SCREENING AND BACKGROUND CHECKS FOR FAMILY CHILD CARE, HOMES

OFF-POST AND OTHER IN-HOME PROVIDERS

1. Purpose. To establish screening and background check requirements and supporting guidelines for providers of Army Family Child Care (FCC), Homes Off-Post (HOPS), Army-sanctioned foster care (overseas only) and Army-sanctioned respite care. For the purposes of background check requirements, these caregivers will be referred to as "in-home care providers." Strict compliance with these requirements and command oversight are critical to ensure the health, safety and well-being of children and to reduce the risk of child abuse and neglect for children cared for in-home settings since no other supervision occurs in these settings.

2. Applicability. The guidance in this enclosure applies to all individuals who provide care in a home setting and to individuals 12 years and older living in the provider's home for more than 30 consecutive days. Commander Designated Entities, MTFs, PMOs/DESs, ASAP offices, and DFMWRs responsible for on-boarding and/or who support screening and background checks will use this guidance to ensure that all providers have favorable suitability determinations made before they are allowed to operate.

3. Responsibilities

a. DFMWR is responsible for screening all applicants to be in-home providers by reviewing resumes, conducting personal interviews and checking at least two references before initiation of the background check. Providers with a military spouse must have a letter of reference signed by the service member's commander. Once initial screening is assessed as favorable, DFMWR will ask the Commander Designated Entity to initiate the background check for the applicant and all individuals 12 years or older who have resided in the home for more than 30 days.

b. The Commander Designated Entity is responsible for initiating, receiving and processing requests for background checks, tracking and compiling results, and identifying derogatory information from the results of the background check.

c. These offices are responsible for completing portions of the IRC and submitting the information to the Commander Designated Entity for interpretation:

• PMO/DES: installation military police records and local law enforcement checks,

• ASAP: drug and alcohol abuse record,

• MTF: Army Central Registry, and

• CID: DCll/CID records.

Army Directive 2014-23 Enclosure 4

d. Commanders are responsible for:

(1) providing operational guidance, standing operating procedures and oversight for managing the installation FCC and HOPS programs to ensure that all in-home care providers and those individuals aged 12 and older who reside in the provider's home are properly screened and a favorable adjudication of background checks occurs before they are allowed to accept children into care. LOSS is not permitted for this category of providers. The guidance must also address the requirement for immediate command review and adjudication should derogatory information be found during the annual background check reverification or through some other means. In-home care providers may not resume child care operations until favorable adjudication is reached.

(2) ensuring that cases with derogatory information are reviewed and submitted through the PRB for a suitability recommendation to the commander. All cases of individuals whom the commander recommends as suitable, despite derogatory findings, will be forwarded to the HQDA PRB Review Panel for a final determination of suitability.

(3) maintaining and storing all background check records in accordance with appropriate security measures.

(4) establishing internal quality control checks, verifications and periodic reviews as part of program assurance for all FCC and HOPS providers.

4. Requirements

a. Preemployment Screening and Assessment. DFMWR is responsible for ensuring that an individual has the necessary skill sets for the position and, through personal interview and reference checks, will assess the applicant's temperament and suitability for work with children as an in-home care provider. In addition, FCC and HOPS applicants who are military spouses must provide a specific letter of reference from the sponsor's unit commander addressing the suitability of the provider and all individuals 12 years or older who reside in the home. Only after this prescreening assessment is made will the Commander Designated Entity start the actual background check process.

b. Background Check. Once DFMWR completes the preemployment screening and assessment and believes the individual is suitable to work with children, the Commander Designated Entity will initiate the background check. The background check requirements for all in-home providers are the IRC (when applicable), local law enforcement check (where available), FBI fingerprint check and CNACI. The background check requirements for all individuals 18 years or older who have resided in the provider's home for over 30 days include the IRC and FBI fingerprint check. For youth 12 to 17 years of age who have resided in the provider's home for more than 30 days, only the IRC is required. This next chart illustrates the requirements for in home care providers, including individuals 12 years or older who have resided in the home for 30 consecutive days or more:

Army Directive 2014-23 2 Enclosure 4

Category (Proponent)

Preemployment Screening

(DFMWR)

In-Home Providers:

FCC/HOPS,

Requirement (Proponent if Different) Foster, Respite

1) Application X

2) Interview review X

3) Reference check X

Individuals 12 Years or

Older Residing in the Home

4) Unit commander letter of…