Texas CASA Best Practice Guide35xs6u1zhs1u1p3cy926rkn4-wpengine.netdna-ssl.com/... · TEXAS CASA...

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FBC & ABCS BACKGROUND

CHECKS

SEPTEMBER 2017

Texas CASA Best

Practice Guide

TEXAS CASA

BEST PRACTICE GUIDE:

FBC & ABCS BACKGROUND CHECKS

2

TABLE OF CONTENTS

INTRODUCTION ...................................................................................... 3

1. FINGERPRINT-BASED CRIMINAL HISTORY CHECK (FBC) .................... 3

1.1. ACCOUNT USERS .............................................................................. 3 1.2. RISK ASSESSMENT ............................................................................. 4 1.3. CRIMINAL HISTORY RECHECKS ............................................................. 4

2. ABUSE & NEGLECT REGISTRY CHECK SYSTEM (ABCS) ....................... 5

2.1. ACCOUNT USERS .............................................................................. 5 2.2. ABCS RECHECKS .............................................................................. 5

3. BACKGROUND CHECKS PRACTICES & POLICIES ................................ 5

4. BACKGROUND CHECKS TRACKING SYSTEMS ................................... 6

5. WHEN TO REQUEST, COMPLETE & VERIFY BACKGROUND CHECKS . 6

6. INFORMING PARTIES OF VOLUNTEER ELIGIBILITY ............................ 7

6.1. INFORMING THE COURTS OF VOLUNTEER ELIGIBILITY ................................ 7 6.2 INFORMING PROGRAM STAFF OF VOLUNTEER ELIGIBILITY .......................... 9

7. UNSUBSCRIBING ................................................................................ 9

8. AUDITING ........................................................................................ 10

9. USING DATABASE SYSTEMS FOR RECORD KEEPING & AUDITING ... 10

ATTACHMENT A: ACTION & DECISION CHART FOR FBC “HITS” FOR VOLUNTEERS ........................................................................................ 11

ATTACHMENT B: ORGANIZATIONAL TEMPLATE .................................. 12

ATTACHMENT C: TRACKING SPREADSHEET ......................................... 13

ATTACHMENT D: OPTIMA APPLICANT PROCESS FORM ........................ 14

ATTACHMENT E: VOLUNTEER CHECKLIST ............................................ 15

ATTACHMENT F: FBC & ABC PROCEDURE FLOWCHART ....................... 16

ATTACHMENT G: FBC STORAGE REQUIREMENTS ................................ 17

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INTRODUCTION

CASA programs are required by standards and state law to complete both an abuse and neglect history check through the Department of Family and Protective Services Automated Background Check System (ABCS), and a fingerprint-based criminal history check (FBC) through the Department of Public Safety, on all volunteers, staff and board members. Authority to run the FBC on volunteers and staff is granted through federal law in the National Child Protection Act (NCPA). Authority to run the FBC on board members is granted through the Texas Administrative Code and supporting statutes.

The goal for this best practice guide is to aid your CASA program in evaluating and developing a fail-proof system for your background checks that minimizes risk to children you serve as well as to your organization. The following methods and practices are suggestions for your program to implement and tailor to fit your organization’s needs.

This best practice guide includes suggestions for:

account users,

minimizing risk,

tracking systems,

unsubscribing,

auditing,

database systems, and more.

We’d like to extend our thanks to the many programs statewide that shared their practices and policies – this best practice guide is a collaboration of their work.

Step-by-step FBC and ABCS Resource Guides and other information about the DPS and DFPS websites are available on the Texas CASA website or at your request. Please contact Lisa Briggs at [email protected] if you need assistance or have any questions.

1. FINGERPRINT-BASED CRIMINAL HISTORY CHECK (FBC)

Criminal history checks are obtained through a fingerprint based check (FBC). For the FBC, programs must use the Department of Public Safety (DPS) who has established our account through MorphoTrust and the Fast Pass centers.

1.1. Account Users

Texas CASA strongly advises every program to have a minimum of two DPS account users, with one of them being the Executive Director (ED). Each user must set up their individual accounts, and personal login information is not to be shared with or used by anyone.

Having two users serves multiple purposes:

mailto:[email protected]

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Should one of the users become unavailable, whether expectedly or unexpectedly, there is a secondary user which means your program is not left without access. It is essential to have a plan in place so your program is never without access or the ability to submit or retrieve background checks.

It is always in programs’ best interest for the ED to be an account user for the FBC (TXDPS) management system in order to provide oversight, mitigate high risk and make sensitive screening decisions.

1.2. Risk Assessment

The ED is the person ultimately responsible for the program’s background check compliance, and he or she should have access to all records and management systems.

By federal law, if the ED is not an authorized account user, they are not allowed to view the unredacted results. Federal law prohibits notifying the ED of the results verbally or via email. Therefore, they cannot make the final ruling on an individual’s eligibility with the program without account access.

Because eligibility standards dictate that certain criminal history of a volunteer is at the ED’s discretion, it is imperative that the ED be an account user. If the ED is not an approved user, this leaves judgment up to the account users without the input of the ED, which is not advisable based on liability and best practice concerns. Texas CASA recommends the ED be a fully authorized (Level 4) user, but at the minimum, as an alternative to becoming a fully authorized account user, the ED can take the training to become a Level 2 user, meaning they can view the fingerprint results.

Furthermore, confidential information such as criminal and CPS history should only be shared with a limited number of people on a strict, need-to-know basis. Although criminal history is not technically protected as HIPPA information, we should apply the same standards in protecting and honoring individuals’ private information.

Reference Attachment A, Action & Decision Chart for FBC “Hits” for Volunteers, as a guide for the decision maker for background checks in your program.

1.3. Criminal History Rechecks

Once the volunteer has a FBC, they will not have to run one again – for any criminal history in the state of Texas, the program will be notified within 24 hours.

However, the national “rap back” service to notify CASA programs of any criminal history within the United States is not yet in effect. Until it is, programs must complete a name-based criminal history check every two years. The name-based check is completed using only the individual’s identifying information and not their fingerprint. Programs may use any vendor of their choosing for a name-based check.

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2. ABUSE & NEGLECT REGISTRY CHECK SYSTEM (ABCS)

The child abuse and neglect registry checks (ABCS) are run through the Texas Department of Family and Protective Services (DFPS).

2.1. Account Users

Each program should have at least two approved ABCS users: an Administrator and an ABCS Representative.

The Representative (often referred to simply as “user”) can submit, view and receive background checks. They can also approve, deny, or edit DFPS Case Connection access. The Administrator has all the user’s functions, and can also add or delete users and Administrators, edit their ability to receive results, and edit contract details.

Account users are not to share their login information with anyone, or allow another person, whether they are an approved user or not, to sign in the system using their information. Using another’s login information is abuse of the system, and could cause your program to lose access to ABCS indefinitely.

For the same reasons given for the FBC users, programs are urged to consider one of the users be the ED.

2.2. ABCS Rechecks

The child abuse and neglect registry (ABCS) through DFPS has the automatic “rap back” feature. However, this is only true for those with an active ABCS account. If the check was completed prior to Sept. 1, 2014, there is no ABCS account. For checks following Sept. 1, 2014, there is an ABCS account.

However, a volunteer’s ABCS account could be deactivated by the program if the volunteer leaves for a period of time. The program must ensure not only that the ABCS check is complete, but that the account is active, in order for rechecks to no longer be required.

Your program might find utilizing an organizational chart beneficial in identifying what positions are responsible for various tasks (See Attachment B, Organizational Template).

3. BACKGROUND CHECKS PRACTICES & POLICIES

Instructions, Resource Guides and Best Practices for FBC and ABCS checks should be easily accessible to anyone in the program. This is so that IF/WHEN an alternate person needs to become an account user, you can ensure there is no lapse of time looking for your program’s practices and policies.

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4. BACKGROUND CHECKS TRACKING SYSTEMS

The program should track completion of background checks verifications, pre-service training and court notifications.

A spreadsheet, checklist, or use of a database system is necessary in order to ensure every volunteer has a FBC and ABCS background check, as well as documented completion of training, before they are assigned a case. The same method can be used for tracking board and staff members.

Programs can track background checks completion in a variety of ways:

Spreadsheet (See Attachment C) Application Process Form from Optima (See Attachment D) Checklist (See Attachment E)

ABCS – The person(s) identified as ABCS representative(s) will submit the central registry check on the DFPS website and receive the results (see ABCS Procedures Flow Chart, Attachment F). FBC – The primary account user will receive results from the fingerprint check via email (see FBC

Procedures Flow Chart, Attachment F). The agency has three identified options for documentation storage (see Attachment G). Please follow the protocol selected by your program. Completing Checks – A designated user will record the submission and verification date in their database system or an alternate tracking system.

5. WHEN TO REQUEST, COMPLETE & VERIFY BACKGROUND

CHECKS

Volunteers – Submitting the background check request before the first day of pre-service training is strongly recommended. Most programs wait until approximately the third training to request the fingerprint check. Waiting to swear in volunteers until all background checks are verified is strongly recommended. A volunteer may not be assigned a case until all completed and cleared background checks have been received. Staff – Staff must receive the results before their first day of employment. If a job offer is extended, it must be contingent upon the receipt of completed and cleared background checks. Retracting an offer of employment due to background check results is never best practice if it can be avoided. Board Members – Board members must receive the results prior to attending the first official board meeting. Completing and clearing background checks prior to an offer of board service is

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recommended. Note: Because many with an agencies often seek out and invite community members to join the board, it is important to specify to any potential board member, that a cleared and returned background check is a prerequisite before a formal offer of service is extended. Other Roles – In-house or contracted IT persons and any individual acting in a helper role who has any possibility of coming into contact with a child must have a child abuse and neglect registry check (ABC) and a fingerprint check (FBC).

6. INFORMING PARTIES OF VOLUNTEER ELIGIBILITY

6.1. Informing the Courts of Volunteer Eligibility

There are several ways to notify the court that program volunteers have been properly vetted and have completed pre-service training. Notification must occur before or at the time a volunteer is appointed to a case. The following are notification suggestions, but it is always best to ask your judge(s) how they would like to receive this information.

Suggestions:

Add the background check verification dates and pre-service training completion date to the Oath the judge signs. This method ensures the dates are in the volunteer’s file, because the Oath is a required document for their file. Sample below.

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Include the background check verification dates and pre-service completion date on the case assignment order. This serves two purposes. One, this serves as notification to the judge, and two, it forces the program to look at the background check dates and make sure they are all recorded and up-to-date (FBC two-year check) before a case is assigned to a volunteer. Sample below.

Submit a spreadsheet or a list including a statement that the individuals being sworn in have completed 30 hours of training and their fingerprint and child abuse and central registry checks are verified, and provide a date or date range. Sample below.

(CASA PROGRAM) CASA Volunteer Qualification Statement

The following individuals have successfully completed the (CASA Program) 30-hour pre-service training program and have had the following background checks completed: fingerprint-based criminal history check, child abuse and neglect registry check, and a social security number verification, prior to today’s swearing in on (insert date.)

Brady, Michael Nelson, Alice

Brady, Carol Franklin, Samuel

Martin, Marcia Jones, Davy (Source: Dallas CASA)

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6.2 Informing Program Staff of Volunteer Eligibility

There are several ways to notify the Advocacy or Volunteer Coordinators (VC) when the volunteer has met all the necessary requirements and is case assignable. It’s easy to assume the volunteer is ready after they complete the training and are sworn-in, but this might not always be accurate, and the VC needs to confirm all background checks have been completed before they assign them a case.

VC checks the database for verification dates VCs are notified via email when volunteers are case assignable VC checks the volunteer’s file for verification dates on the applicant progress form The spreadsheet, including the verification dates, can be shared with the VCs Checklist or face sheets

As previously stated, only the account users can see or know the results of the background check. Background check results should not be forwarded or accessible to anyone except approved account users. The VC can be notified the background checks have been verified and the volunteer is case assignable. In the case there is a returned “hit” that precludes a volunteer from proceeding, the VC and anyone else who is not an approved user is to only be told the volunteer is not eligible - results should never be shared.

7. UNSUBSCRIBING

When an individual leaves your program, you must disable your subscription for that person on both DFPS (ABCS) and DPS (FBC) accounts within 48 hours. The approved account users and representatives are the only persons who can unsubscribe to volunteers, board members and staff.

It is good practice to have a communication and tracking system (see Attachment A) in place for when a person needs to be deactivated. Depending on the size of your program, the process can vary. Programs should identify the approved account user who will be unsubscribing to volunteers, board members and staff so that all are aware of who to notify when a person leaves the program. Suggestions:

The VC notifies the appropriate persons when a volunteer retires, is terminated or has been inactive for a certain amount of time. This is likely entered in your Optima or CasaManager as “leave date.” The deactivation date can be noted in the volunteer’s file and/or in the database.

A checklist for individuals leaving the program including an “unsubscribe” task can circulate to the appropriate staff to perform their tasks and note when completed.

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8. AUDITING

It is best practice for programs to audit their ABCS and FBC background checks against their active roster for volunteers, board members and staff at least annually and spot check quarterly. This is not only a compliance issue, but, more importantly, it is a matter of safety and minimizing risk to the children you serve and to your agency. A generated list, a spreadsheet or a report from your database of your active volunteers, board members and staff should be compared to an offline work list, meaning individuals your program is currently subscribed to on the DPS and DFPS management system. A step-by-step guide to creating a FBC worklist is in the Offline Applicant Management User Guide found on the Texas CASA website. This is also a way to check to make sure you are not still subscribed to anyone who has left your program.

Should you find you have an active volunteer who has not had either had an FBC or ABCS or both, they must immediately be suspended from their case. They cannot have any contact with children until the background check results are received and verified.

9. USING DATABASE SYSTEMS FOR RECORD KEEPING &

AUDITING

As more programs turn into paperless offices, including background check information and dates in a secure database is an effective and efficient way to access information.

Both Optima and CasaManager have fields to enter background checks. Reports may be run for the use of auditing, unsubscribing to inactive volunteers, and ensuring background checks have been completed before assigning a volunteer to a case. It is also a good record-keeping practice to enter the date the background check was submitted and when it was received.

Both systems also have the ability to run reports that include individual names with the background checks dates. This is one way to get a quick overview of your program’s compliance. If a date is missing next to an individual it could simply mean that a date was not entered, or, more urgently, it could mean that this person does not have a background check.

Optima has a Recertify tab that can be used for the two-year national criminal recheck, until the rap back service becomes effective. This report can be run weekly or monthly, and individuals who appear on the list will need a recheck.

In CasaManager there are options to run reports for background checks using start and end dates to view who needs a recheck according to their original verification date.

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ATTACHMENT A: ACTION & DECISION CHART FOR FBC

“HITS” FOR VOLUNTEERS

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ATTACHMENT B: ORGANIZATIONAL TEMPLATE

FBC

The FBC primary account user is (Name, Title.) The secondary account user is (Name, Title.) Only these individuals have access to the DPS management system and are allowed to look at

the criminal history of those our program are subscribed to through the DPS website.

(Name, Title) receives email notifications regarding criminal history and subsequent criminal

activity of board members, volunteers, and staff.

(Name, Title) is responsible for FBC storage. (Enter program’s storage policy from one of the 3 options listed on the FBC storage requirements found in the Best Practice Guide: FBC & ABC.)

(Name, Title) is responsible for running the name-based two-year national criminal history

checks.

ABCS

(Name, Title) submits the ABCS request for volunteers, board members and staff.

(add additional bullet if a different person submits requests for board members and staff)

(Name, Title) receives the ABCS results.

(Name, Title) (files a hard copy or uploads an electronic copy) of the ABCS results into the volunteer’s file.

(add additional bullet if a different person files copies of board members and staff results) Tracking and Informing

(Name(s)) is responsible for ensuring all new volunteers have verified FBC and ABCS and 30 hours of training completed before being sworn-in.

(Name, Title) enters the ABCS verification date into (database system/spreadsheet.)

(Name, Title) enters the FBC verification date and re-check date into (database

system/spreadsheet.)

(Name) informs the court(s) of the background check verification dates and training completion

date of the volunteers by way of (enter process or direct where to find the directions.)

Unsubscribing

(Names, Titles) notifies (Name, Title) when a volunteer, board member or staff leaves the

program.

(Name, Title) unsubscribes to the volunteers, board members and staff when they leave the program.

(add additional bullet if a different unsubscribes to the board members and staff) Auditing

(Names, Titles) audits the program’s background checks (frequency.)

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ATTACHMENT C: TRACKING SPREADSHEET

Fir

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Ori

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Sub

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AB

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sub

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Michael

Brady

7/20/1950

2/2/2017

2/6/2017

2/9/2017

2/7/2017

2/10/2017

3/2/2017

3/8/2017

3/8/2019

3/16/20173/20/2017

Carol

Brady

8/5/1952

2/2/2017

2/7/2017

2/9/2017

2/8/2017

2/11/2017

3/2/2017

3/9/2017

3/9/2019

3/16/20173/20/2017

Alice

Nelson

9/1/1949

2/4/2017

2/8/2017

2/9/2017

2/8/2017

2/11/2017

3/3/2017

3/10/2017

3/10/20193/16/20173/20/2017

Greg

Brady

9/30/1974

4/5/2016

4/6/2016

4/25/2016

4/7/2016

4/10/20164/24/20164/30/2016

4/30/2018

5/1/2016

5/10/2016

Marcia

Martin

10/25/1975

3/20/2014

3/21/2014

3/24/20163/21/20163/23/20164/13/20144/20/2014

4/20/2016

4/20/20184/25/20164/30/2016

Peter

Brady

5/10/1977

9/1/2013

9/3/2013

9/4/2013

9/1/2016

9/4/2016

9/20/20139/25/2013

9/25/2015

9/25/201710/1/201310/4/2013

Jan

Covington

12/1/1978

5/2/2009

5/4/2009

5/10/2009

8/1/2016

8/5/2016

9/1/2016

9/10/2016

9/10/2018

6/5/2009

6/7/2009

7/20/2017

7/21/2017

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ATTACHMENT D: OPTIMA APPLICANT PROCESS FORM

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ATTACHMENT E: VOLUNTEER CHECKLIST

Volunteer __________________________________________

Activity Date

Application received __________

Reference checks completed 1.________ 2.________ 3._________

Interview completed __________

Orientation attendance __________

Training commitment signed __________

Copy of driver’s license received _________ Expiration date: _________

Proof of automobile insurance __________ Expiration date: _________

DMV driving record received __________

ABCS verification __________

FBC verification __________ National name-based 2yr check due:_________

Social security number verification __________

30 hours of training completed __________

Court observation completed __________

Oath signed __________

Confidentiality agreement signed __________

Transportation agreement signed __________

Swearing-in completed __________

Leave date __________ Unsubscribe date: ABC______ FBC______

Staff’s signature:____________________________Date:______

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ATTACHMENT F: FBC & ABC PROCEDURE FLOWCHART

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ATTACHMENT G: FBC STORAGE REQUIREMENTS

FBC Storage Requirements The security requirements related to local CASA program access to the Fingerprint-Based Background Check can be found on the Texas CASA website. All programs are required to meet these security requirements and should regularly review their program’s policies and procedures related to these records. Programs will need to choose from one of three storage options outlined below: Option One – Do Not Store FBC Results: As long as you are subscribed to an individual’s record, you have the ability to view the results at any time, effectively eliminating the need to print or electronically store the results.

Pros:

DPS is responsible for assuring the security of the online account; programs would not need to do anything further to protect the information. No paper copies, no locked cabinet storage, no electronic storage space used. Risk of unauthorized viewing of the records is greatly minimized.

Cons:

Additional views after the first view are $1.00 per record. Viewing and clearing an individual’s record through the online account may not provide programs sufficient tracking. Programs would likely need to add something to personnel and volunteer files that indicate the record was obtained, reviewed and cleared. When an individual leaves the program, the program must unsubscribe from the record. Without a stored copy, after unsubscribing to an individual, the Verification Form would be the only documentation of a cleared record in the event of a later question or incident.

Option Two – Print a Hard Copy: This option requires strict and separate storage. Records may not be stored within individual personnel or volunteer files. They must be kept in a separate file, and that file must be kept in a locked and secure location to which access is restricted to those employees authorized by DPS to view the records.

Pros:

Programs retain the actual documentation of the record, thus eliminating the need for an additional tracking or verification form. A copy of the record is available after unsubscribing to an individual record, in the event that documentation is needed.

Cons:

Separate and locked storage required apart from the individual’s file. Continued locked and restricted access storage is required through the document destruction timeline. Programs must maintain strict tracking of record destruction timelines.

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Option Three – Store an Electronic Copy: Although this option may appeal to programs moving toward paperless operations, it is the option that requires programs to implement the strictest and most complex IT security protocols.

Pros:

The actual record is retained, eliminating the need for a separate verification or tracking form. If all security requirements are met, it can be saved within an electronic personnel or volunteer file. The actual record is available after unsubscribing to an individual record, in the event that documentation is needed.

Cons:

Electronic storage requires a dedicated IT staff, encryption software and a file management system dedicated and stored with restricted access. Non-compliance with security requirements determined through an FBI or DPS audit could result in a program having to take costly and far-reaching measures to correct deficiencies, including a complete wipe of all existing records from all devices/servers. Programs must maintain strict tracking of record destruction timelines. (Records would have to be purged and overwritten.) IT staff would have to be vetted when servicing the network or server which contains the FBC/CHRI information. Password(s) have to be different for all individuals accessing the information.

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