Post CNIC 1700 Notice Q&A, 10MAY 2016
CNIC Notice 1700 is an interim policy while we implement the Central Suitability Office (CSO). By December 2016, we plan to have a full CNIC Instruction published, which will include the new responsibilities of the CSO. The following document outlines questions and answers concerning the interim policy published in CNIC Notice 1700. CSO will continue to update as questions are asked and answered.
Contents
General Policy and Miscellaneous
Statement of Admissions Form
Roles and Responsibilities
Documentation and Retention
Position Descriptions
Background Check Process
Temporary/Summer/Teen Employees
Volunteers
Installation Records Check (IRC)
CDH Providers
Contractors
CYMS
General Policyand Miscellaneous
Q: When do I follow the Notice and when do I follow an operating manual? Does the date an OM was published make a difference?
A: It is important to always follow policy directives (DOD Instruction, OPNAV Instruction, CNIC Notice, etc.), regardless of the publishing date of an operating manual.
Q: How can I find the notice on the Elibrary?
A: The CNIC Notice 1700 is available on the Elibraryhere. We will work to make sure that the tags are updated so that the Notice, and any further guidance, are easy to locate.
Q: According to CNIC Notice 1700, there is to be a 100% check on CYP files at the program, in the personnel folder, and at the Security Office. Is there specific guidance or a checklist on how to do this?
A: The CSO is currently developing specific guidance for performing a Background Check MDTI. All parties will be notified as soon as the guidance is available.
Q: When is guidance for CNICNOTE 1700 going to be promulgated?
A: The Central Suitability Office will be conducting 3 webinars during the month of February to go over CNIC Notice 1700, Q&A we've compiled since its release, and any questions that the Regions or Installations may have. We highly suggest participating in the webinars so that your installation specific questions are represented. Additionally, the CSO will be releasing Standard Operating Procedures for supplemental guidance.
Q: What is a CNACI?
A: CNACI stands for Child Care National Agency Check with Inquiries and is the OPM background investigation used to determine an individual’s suitability for a child care position. The scope of the CNACI includes the basic National Agency Check with Written Inquiries (NACI) and State Criminal History Repository (SCHR) checks for all states of residence. The NACI consists of a basic and minimum investigation consisting of a National Agency Check (NAC) with written inquiries and searches of records (e.g. Interstate Identification Index, Sex Offender Registry, etc.) covering specific areas of an individual’s background during the past five years, including a Federal Bureau of Investigations (FBI) fingerprint check of criminal history records, prior employment, education, schools of record, references, local law enforcement records, credit checks, immigration and naturalization service (if foreign born), and other sources. As part of a CNACI, the FBI National Criminal Information Center and FBI National Name Check Program databases are also checked.
Q: Are we going to be implementing the Advanced Fingerprint Check and how (if at all) would this speed up the process for CDH Providers getting cleared to operate?
A: Yes, the CSO is currently identifying how the Advanced Fingerprint Check will be implemented.
Q: Can old dates be deleted from CYMS as long as there are current initiated and completed dates and next due dates?
A: Old dates that are incorrect should be updated. Historic data from previous NACIs/investigations, when correct, should not be removed. However, duplicative lines can be deleted.
Q: Do you want a note in CYMS in the Military Member Security Check that says how long their clearance is for (5, 7, or 10 years)?
A: This is not required as an audit point, however, entering this information in the comments/notes section in CYMS is a recommended best practice.
Q: Is it required that our programs add Military Family Life Consultants (MFLCs) background check data into CYMS (much like how we do for Camp Adventure)?
A: ALL CYP Personnel should be in CYMS. If the MFLC are supporting CYP then they should be in CYMS.
Q: To follow up with the MFLC question, do they come to CYP already cleared? If they are cleared when we get them, who would we get their clearance dates from?
A: Yes; they should be cleared when they arrive. However, all personnel should check in with the Security Manager because the clearance needs to be validated by the person on the Responsibility Ledger. That would be the time you would identify any issues/challenges with them being 'cleared'. There is always a risk that something happens along the way and by in-processing, the Security Manager can validate that they have a favorably adjudicated CNACI.
They get their clearances through a central effort at OSD (right now the army is supporting this effort).
Q: I have a question regarding Adjudication Training. In your future guidance/instructions, are you going to require that the Security Managers take the adjudicator's training as long as they follow OPNAV and CNICNOTE for local adjudication?
A: Beginning 31 May 2016 the Central Suitability Office (CSO) will serve as the delegated authority to make suitability adjudications and provide guidance to the field on local suitability determinations as necessary. Once the full CNIC Instruction is published the roles/responsibilities of CSO and action officers will be outlined.
Under title 5, Code of Federal Regulations, part 731 (5 CFR 731) OPM and agencies with delegated authority, can make suitability determinations and take suitability actions. Per OPM, the two week Essentials of Suitability Adjudication Program (ESAP) is accredited through the Federal Law Enforcement Training Accreditation (FLETA) and is compliant with the National Suitability Adjudicator Training Standards. ESAP certification authorizes personnel to make or approve suitability adjudications; this is falls into the CSO security officer requirements/responsibilities.
The Center for Development of Security Excellence (CDSE) offers a free alternative online suitability education/training course that is sufficient in preparing action officers who are designated in writing by the Region or installation commander to assist with carrying out suitability adjudications. Additionally there is also a 3-day suitability education/training course offered by the Graduate School-at a cost. Please see the attached for detailed information on both.
Statement of Admissions Form
Q: Should the DD2981 form be used in place of CNIC CYP 1700/09?
A: Yes. Per CNIC Notice 1700, effective 8 January 2016, the DD Form 2981 should be used in place of CNIC CYP form 1700/09. For inspection purposes, the CNIC CYP form 1700/09 will be accepted for Statement of Admissions completed for the 2016 calendar year. However, please begin implementing DD Form 2981 immediately.
To avoid confusion, the CNIC CYP 1700/09 form has been removed from the E-Library.
Q: How often is the DD Form 2981 to be completed?
A: The DD 2981 must be certified annually so that individuals working with children may self-admit any automatic or presumptive qualifiers. The form will also be completed every five years as part of the reinvestigation process, regardless of the date the yearly certification was signed.
Q: On the DD2981, block 9, there is a double-negative that makes the question confusing for applicants as well as those administering the form. How should we handle this issue?
A: You are correct that there is a confusing double-negative in block 9. The question asks, "In the past year, I have not been arrested, charged, or held by law enforcement in regard to anything mentioned in block 8 above." If the individual answers "yes," then they are to explain their answer in the space provided, which doesn't make sense given the mistake in block 9.
First, the intent of this question is to find out if the person has indeed been arrested/charged/held for any of the offenses outlined in block 8. A "yes" answer is meant to confirm such activity. Those who administer the form should direct users to cross out NOT in block 9: "In the past year, I have [not] been arrested." Thus, if the individual marks "yes," it now makes sense for them to explain with specifics of their arrest/charge.
Second, this issue was brought to the DoD Manual working group meeting on 21 Jan. They are aware of the error and are working to revise the form. Unfortunately, the approval process for form edits is quite lengthy, so we must deal with the inconsistency of the form in the interim. We understand that manually editing the form isn't an optimal solution and will inform you as soon as the form updates have been completed through the DoD process.
Q: Who signs the Annual Certifications section in blocks 9a-9e?
A: Because this is a self-admission statement, the individual in child care service would sign and date the form. The initial date and signature would be in block 9a. Then each consecutive year, the individual would again sign and date in blocks 9b through 9e.
Q: Does a Statement of Admission have to be completed for children 12 and older? Or is that only for 18 and older?
A: The DD-2981 is currently required annually for providers and family members ages 18 and older. (This requirement may change with the future CNIC Instruction, but these are the current inspection requirements.)
Roles and Responsibilities
Q: Can you clarify the Region Commanders Responsibilities found in paragraph 6b of the Notice?
A: REGCOMs will provide oversight to ensure compliance, manpower necessary to support the effort at the installation level, and guidance on suitability decisions once a recommendation has been made. For OCONUS regions, the foreign background check equivalency ledger (Enclosure 3 of the Notice) is a priority. REGCOMs should work to identify these, along with the associated action officers, and provide the completed ledger to Child and Youth Programs (CYP) HQ.
Documentation and Retention
Q: The Notice states: Installation Human Resource Officer (HRO) must maintain the background check records in the OPF for all CYP employees selected for positions that involve working with children under the age of 18 for 2 years following termination of their service in accordance with reference (e) and enclosure (1). Is the HRO required to maintain provider files as well?
A: No, the HRO is not required to maintain provider files as well. At the installation, the Child Development Home (CDH) Monitor, CDH Director, or the CYP Director for a very small program would be responsible for retaining the provider files.
However, per the HR RAB meeting on 3/29/16, the HRO is now required to support the initiation of the provider background checks.
Q: Who has the identified responsibility for maintaining documentation on completed background checks for those outside CYP?
A: NAF HR should maintain the documentation on completed background checks for employees outside CYP in the employee's Official Personnel File (OPF) (Morale and Welfare (MW), Fleet and Family Support Center (FFSC), etc.) and APF HR (via Defense Civilian Personnel Data System (DCPDS)/eOPF).
Q: Concerning two-year background check documentationretention, does this mean to maintain the email from the process owner, or the background check findings?
A: Document retention applies to both the emails and background check documentation. The emails from the Action Officer(s) should be kept in the designated file by both the HR Manager and Installation CYP. Background check documentation (outlined in Enclosure 1, 8b) should be kept in the HR OPF.
Q: What is thepolicy for retaining an OPF after an employee separates?
A: The information is required to be maintained in both the CYP employee folder (with no Personally Identifiable Information (PII)) and OPF and unfortunately, you will have to provide the guidance to retain longer than the standard HR requirement of 6 months. Documentation Retention was an audit readiness concern. The two years was provided in response to NAVAUDSVC and that is the new CNIC / Navy requirement for background check documentation for all individuals working with Children (greater than CYP). This is the interim solution as we work to stand up the CSO. Once this is in place, the CSO will maintain the retention for audit readiness and serve as the single location for processing review.
Q: Is the HRO still required to use the CYP Background Clearance Form for this requirement or has/will this form be discontinued if email documentation will suffice?
A: The CYP Background Clearance Form should still be used for now. The emails are confirmations from the action officers, and should also be held / retained in both the OPF and the CYP Employee file.
Q: Are the supervisor's personnel files standardized across the Navy in the way that employee staff files are to be set up to include the documentation required in the file?
A: The CSO had a team meeting with HR to help standardize this process across the enterprise. When the CSO reaches full operating capacity, this requirement will be removed from CYP, as the CSO will be the central audit point. The OPF, however, will still be in place with HR.
Q: Who is responsible for maintaining documentation of non-CYP contractor background checks?
A: Once the CSO is at full operating capacity it will maintain all background check documentation. A solution for the interim is still under development and all parties will be notified as soon as the guidance is available.
Q: What background check paperwork from the Action Officers is required in the CYP folder? For example, for a FAP check?
A: According to the CNIC Notice 1700, all that is needed in the CYP file for IRCs is a memo (signed by the appropriate Action Officer listed in the ledger for the assigned check) that says the date the check was run and noting it as favorable. Because we've had issues getting installations into compliance, we noted in the Q&A that an encrypted email from the Action Officer is also acceptable to place in the folder, provided that it gives the date run and notes it as favorable.
If the person running the checks is doing more than one at a time, he/she can send an encrypted email with multiple individuals' listings (with dates run and noted favorable). This email can be placed in each person's CYP folder and will serve as the Action Officer Memo for that check.
If the issue is timing of the emails, then yes, the form signed by the person doing the check is also fine. Again, that is assuming it is signed by the Action Officer listed in the ledger, notes the date the check was run, and notes the favorable determination. Those are the key data points for the folder, regardless of format.
Q: The SARP office uses their own form to complete the check, however, it contains PII. Is it okay if the HR Assistant makes a copy of the form, blacks out the PII, and sends the form to the Director for their files?
A: Appreciate that you are keeping PII out of the CYP folders. Yes, that would be fine, as long as you comply with the previous answer and the CYP folder requirements for each check: signed by the action officer, date the check was run, and favorable determination.
Position Descriptions
Q: HR raised the issue that many of the position descriptions (PD) of those outside CYP do not state that background checks are required.
A: PDs will have to be updated so that everyone with regular contact with children gets the appropriate background check per the Notice. We are currently in the process of identifying the requirement for other individuals who have “regular contact” to be incorporated as part of the CNIC Instruction.
Background Check Process
Q: We have stopped letting new staff begin work until the Child Care National Agency Check with Inquiries (CNACI) is initiated. Initiation from the Security Manager to the Office of Personnel Management (OPM) has been taking more than the 10 day requirement.
A: Make notes in Child and Youth Management System (CYMS) of when items were provided to the Security Manager and when they were sent to OPM to create a record of the timeline. As we fully implement the Central Suitability Office over the next few months, these issues will be ironed out.
Q: There have been a few new staff selections with open NACI investigations. Now that they have been selected for a CYP position, they need the additional coverage of a CNACI. Do we have to wait until the original NACI closes to initiate a CNACI?
A: The Security Manager should be able to call OPM about an open investigation and put in an upgrade request saying the subject requires additional verification. In this case, requesting the extra coverage code "8" in block "B". We shouldn't have to wait until the NACI results come back. If that is impossible, instead of initiating a full CNACI after the NACI comes back, they can initiate a Special Agreement Check (SAC) which includes just the childcare-specific portions of the CNACI (FBI fingerprint check plus SCHR plus National Sex Offender Registry).