Revised ANR Background Investigation Procedures Manual July 2002

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Revised ANR Background Investigation Procedures
ManualJuly 2002
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Agenda

• 105 p.m. Opening and Introductions
• Agenda Review
• Desired Outcomes
• ChangesAgain?
• 125 p.m. Dr. Gomes Letter
• 130 p.m. Employees and Volunteers BI 225
  p.m. Activity What Goes Where?
• 240 p.m. Questions and Answers
• 245 p.m. What Else Is Still Needed?
• 250 p.m. Evaluation

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Group Agreements

• Show respect to others and yourself
• Allow for differences
• One person to speak at a time
• Side conversations detract

• Start and end on time
• Follow the plan but allow flexibility
• Listen to others

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Change!
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When things change, people want

• Empathy
• Information
• Useful ideas

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Too often people get

• Cheerleading
• Orders
• Avoidance

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Stages of Change

• Denial (self protection)
• Resistance (apathy, confusion, anger)
• Exploration
• Commitment

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Supports

• Knowing benefit of the change
• Skills
• A Plan
• Group connections

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Road to Successful Change

• Commitment and support
• Involvement and ownership
• Process as important as product

• Change champions guide process
• Perceived benefits are positive

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Communicating Change
Encourage staff to be advocates for safe and
secure UCCE programs
Guide staff to become confident about the new
process
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Part of the Cycle

• Evaluation
• of ANR
• 1999
• Background Investigation
• Policy and Procedure

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Review and Revise

• Committee Members
• Elizabeth Gomez, Pat Johns, Gary Johnston,
  Sharon Junge, Vince Lazaneo, Carole MacNeil,
  Diane Metz, Carol Omelich, Ed Opton, Sally
  Philbin, Pam Thomas and Robert Watkins
• Began work in Fall 2001

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Proactive Organizations Function More Smoothly
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Background Investigation Committees Task

• Committees charge
• Review the 1999 policies and procedures and
  update the background policy as necessary.
• Review the application of policy.

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Committee Findings

• Employees who by job title, job description or
  job convention work with youth 18 years and under
  complete a background investigation including
  fingerprint clearance by DOJ and FBI
• All volunteers in UCCE complete a background
  investigation that includes a DOJ fingerprint
  clearance.
• Training for staff is vital and must coincide
  with issuance of the policy.

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Employees
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Which Employees?

• Employees who have supervisory or disciplinary
  authority for youth 18 years and younger
• Consider the following
• --Responsible Unit Director, usually the CD
• --Criminal Records Handler
• --Direct Contact with youth
• --Supervision role with youth

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Decided By

• Job Title
• --this employees title includes Youth
• Job Description
• --this employee works with youth even
  though youth is not in the job title.
• Job Convention
• --regardless of title or description, this
  employee has direct contact or supervisory
  roles with youth under the age of 18

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What does the process include?

• An application packet
• Confidential self-disclosure form
• DOJ criminal record clearance
  FBI clearance
• Orientation and training

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Considerations

• Step By Step for Employees in Appendix IV
• ANR Office of Academic Personnel notifies
  responsible administrator of results
• Provisional employment may be granted stipulating
  no work with or supervision of youth. (Page 8
  employees section)

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Volunteers
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What is new about the policy?

• All volunteer applicants must successfully
  complete a volunteer application process, before
  being appointed by the County Director.
• Only after this appointment, can they participate
  in ANR programs in the capacity of a volunteer.

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What does the process include?

• An application packet
• Confidential self-disclosure form
• DOJ criminal record clearance
• Orientation and training

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When is this happening?

• Volunteers holding appointment prior to July 1,
  2002 must successfully complete the revised ANR
  volunteer application process and receive DOJ
  clearance by January 1, 2003.

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What about new volunteers?

• Any volunteer appointed to provide service in a
  UC Cooperative Extension program after July 1,
  2002 must successfully complete the revised ANR
  volunteer application process and receive DOJ
  clearance prior to service.

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Who does the policy apply to?

• ALL CE VOLUNTEERS
• Individuals who agree to provide a service or
  conduct an activity that supports the goals of a
  CE-sponsored program.
• The CE volunteer is oriented, trained and
  appointed as part of an organized volunteer
  program

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What about other volunteers?

• In addition, any informal volunteers not
  specifically associated with a formal program are
  subject to this policy and may require background
  investigation screening.

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Who are Informal Volunteers?

• Temporary office workers, farm helpers,
  chaperones and anyone who works with
  Cooperative Extension voluntarily.
• Informal volunteers who exercise authority over
  any youth or work with CE youth without the
  fulltime presence of a person (employee or
  volunteer) who has been cleared through the
  background investigation policy are required to
  successfully complete background investigation
  screening before carrying out such duties.

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How about conditional appointments of volunteers?

• A conditional appointment of volunteers cannot
  be made for a pending volunteer clearance.

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Conditional Appointmentsfor Volunteers

• Some reasons for Conditional appointments
• 1. Applicants lack a valid drivers license.
• 2.  Applicants have a revoked drivers license
• 3. Applicants with no vehicle insurance. 
• 4. Volunteer applicants who have other
  household residents with reportable DOJ
  convictions.
• Other reasons may also arise.

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Everyone
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Background Investigation Records

• What happens to my fingerprint records?
• Who has access to the records?
• Do you share the information with other
  organizations?

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What happens to my fingerprint records?

• A confidential UC record of active volunteers
  with clearance from the California DOJ will be
  maintained.
• All returned fingerprint cards, as well as all
  DOJ faxed or web-based notices on applicant
  clearance and fingerprint must be destroyed after
  recording the DOJ clearance.

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Who has access to the records?

• Only the local designated personnel authorized to
  receive DOJ results may see any of the DOJ
  records.
• It is a misdemeanor crime to share results with
  unauthorized personnel.

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Do you share the information with other
organizations?

• These records are for the use of UC only. No
  records can be shared with any non-UC entity,
  including local county governments.
• UC is a single organization and can share results
  information with other UC units.
• The records of another organization cannot be
  accepted by UC for background investigation
  clearance.

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Uniform Policy

• This policy applies to all of UCCE and is not
  designed to single out individuals for a
  clearance.
• The policy provides uniform clearance procedures
  for everyone who works with our program
  clientele.

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What steps are needed to get fingerprinted?

• Employees or volunteers fill out appropriate
  self-reporting form. (Appendix III-A III-B)
• Employees or volunteers complete a Live Scan form
  or two copies of the fingerprint card forms for
  employees and one set for volunteers.
• Person submits fingerprint form and any fee at
  identified Live Scan service location or county
  submits prints checks for paper card processing.

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The Wait and the Results

• Results can be delayed so the process should be
  started immediately upon selection or
  application.
• Academic Coordinators office notifies County
  Director regarding employees
• The responsible unit administrator notifies
  prospective volunteer of background investigation
  results.

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What about Fingerprint Rejections?

• Some fingerprints are rejected as unreadable.
  The prints will need to be taken a second time.
• With the second resubmission, indicate the ATI
  number assigned to the first rejected set of
  prints.
• If the second set of prints are unreadable, the
  DOJ will conduct a background clearance using
  the original ATI number from the first rejection.
  
• Fingerprinting will not be done more than twice.
  

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Benefits of County Director Led Training

• County Directors are leaders of
  the process.
• County Directors will better understand
  their staffs responsibilities and their
  own role in the process.
• Develop site specific county training plans

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Why?

• Background investigation provides a tool to
  enhance safety and security in UCCE programs.
• ANR, as a responsible community member, adopts a
  best practices approach for the protection of
  staff and program clientele.
• Emphasizes ways to communicate risk and safety
  best practices by providing UC employees and
  volunteers with current information in this area.
  

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Finding the NEW Policy

• The policy will be on our new UC web site at
  http//oakland.ucanr.org/bipm/