PART 63—INDIAN CHILD PROTECTION AND FAMILY VIOLENCE PREVENTION Authority: 5 U.S.C. 301; 25 U.S.C. 2, 9, 13, 200, 3201 et seq.; Source: 61 FR 32274, June 21, 1996, unless otherwise noted. Subpart A—Purpose, Policy, and Definitions § 63.1 Purpose. The purpose of these regulations is to prescribe minimum standards of character and suitability for employment for individuals whose duties and responsibilities allow them regular contact with or control over Indian children, and to establish the method for distribution of funds to support tribally operated programs to protect Indian children and reduce the incidents of family violence in Indian country as authorized by the Indian Child Protection and Family Violence Prevention Act of 1990, Pub. L. 101-630, 104 Stat. 4544, 25 U.S.C. 3201 3211. § 63.2 Policy. In enacting the Indian Child Protection and Family Violence Prevention Act, the Congress recognized there is no resource more vital to the continued existence and integrity of Indian tribes than their children and that the United States has a direct interest, as trustee, in protecting Indian children who are members of, or are eligible for membership in, an Indian tribe. The minimum standards of character and suitability of employment for individuals ensure that Indian children are protected, and the Indian child protection and family violence prevention programs will emphasize the unique values of Indian culture and community involvement in the prevention and treatment of child abuse, child neglect and family violence. § 63.3 Definitions. Bureau Child Child abuse Child neglect Crimes against persons Family violence Indian Indian child Indian country (1) All land within the limits of any Indian reservation under the jurisdiction of the United States Government, notwithstanding the issuance of any patent, and, including rights-of-way running through the reservation; (2) All dependent Indian communities within the borders of the United States whether within the original or subsequently acquired territory thereof; and, (3) All Indian allotments, the Indian titles to which have not been extinguished, including rights-of-way running through the same. Unless otherwise indicated, the term “Indian country” is used instead of “Indian reservation” for consistency. Indian reservation et seq. Indian tribe et seq. Inter-tribal consortium Local child protective services agency Local law enforcement agency Must Offenses committed against children Person responsible for a child's welfare Related assistance Secretary Service Shelter Tribal organization Provided, [61 FR 32274, June 21, 1996, as amended at 85 FR 37564, June 23, 2020] § 63.4 Information collection. The information collection requirement contained in § 63.15, § 63.33 and § 63.34 will be approved by the Office of Management and Budget under the Paperwork Reduction Act of 1995, 44 U.S.C. 3507(d), and assigned clearance number __________. §§ 63.5-63.9 [Reserved] Subpart B—Minimum Standards of Character and Suitability for Employment § 63.10 Purpose. The purpose of this part is to establish: (a) Procedures for determining suitability for employment and efficiency of service as mandated by the Indian Child Protection and Family Violence Prevention Act; and (b) Minimum standards of character § 63.11 What is a determination of suitability for employment and efficiency of service? (a) Determinations of suitability measure the fitness or eligibility (1) Determine the degree of risk the applicant, volunteer, or employee brings to the position; and (2) Certify that the applicant's, volunteer's, or employee's past conduct would not interfere with his/her performance of duties, nor would it create an immediate or long-term risk for any Indian child. (b) Efficiency of service § 63.12 What are minimum standards of character? Minimum standards of character are established by an employer and refer to identifiable character traits and past conduct. An employer may use character traits and past conduct to determine whether an applicant, volunteer, or employee can effectively perform the duties of a particular position without risk of harm to others. Minimum standards of character ensure that no applicant, volunteer, or employee will be placed in a position with regular contact with or control over Indian children if he/she has been found guilty of or entered a plea of nolo contendere or guilty to any felonious offense, or any of two or more misdemeanor offenses under Federal, State, or Tribal law involving crimes of violence; sexual assault, sexual molestation, sexual exploitation, sexual contact or prostitution; crimes against persons; or offenses committed against children. [85 FR 37564, June 23, 2020] § 63.13 What does the Indian Child Protection and Family Violence Prevention Act require of the Bureau of Indian Affairs and Indian tribes or tribal organizations receiving funds under the Indian Self-Determination and Education Assistance Act or the Tribally Controlled Schools Act? (a) The Bureau of Indian Affairs (b) All Indian tribes or tribal organizations § 63.14 What positions require a background investigation and determination of suitability for employment or retention? All positions that allow an applicant, employee, or volunteer regular contact with or control over Indian children are subject to a background investigation and determination of suitability for employment. § 63.15 What questions should an employer ask? Employment applications must: (a) Ask whether the applicant, volunteer, or employee has been arrested or convicted of a crime involving a child, violence, sexual assault, sexual molestation, sexual exploitation, sexual contact or prostitution, or crimes against persons; (b) Ask the disposition of the arrest or charge; (c) Require that an applicant, volunteer or employee sign, under penalty of perjury, a statement verifying the truth of all information provided in the employment application; and (d) Inform the applicant, volunteer or employee that a criminal history record check is a condition of employment and require the applicant, volunteer or employee to consent, in writing, to a record check. § 63.16 Who conducts the background investigation and prepares the determination of suitability for employment? (a) The Bureau of Indian Affairs (b) Indian tribes and tribal organizations § 63.17 How does an employer determine suitability for employment and efficiency of service? (a) Adjudication (b) Each case is judged on its own merits. All available information, both favorable and unfavorable, must be considered and assessed in terms of accuracy, completeness, relevance, seriousness, overall significance, and how similar cases have been handled in the past. (c) An adjudicating official (1) Indian tribes and tribal organizations must ensure that persons charged with the responsibility for adjudicating employee background investigations are well-qualified and trained. (2) Indian tribes and tribal organizations should also ensure that individuals who are not trained to adjudicate these types of investigations are supervised by someone who is experienced and receive the training necessary to perform the task. (d) Each adjudicating official must be thoroughly familiar with all laws, regulations, and criteria involved in making a determination for suitability. (e) The adjudicating official must review the background investigation to determine the character, reputation, and trustworthiness of the individual. At a minimum, the adjudicating official must: (1) Review each security investigation form and employment application and compare the information provided; (2) Review the results of written record searches requested from local law enforcement agencies, former employers, former supervisors, employment references, and schools; and (3) Review the results of the fingerprint charts maintained by the Federal Bureau of Investigation or other law enforcement information maintained by other agencies. (f) Relevancy is a key objective in evaluating investigative data. The adjudicating official must consider prior conduct in light of: (1) The nature and seriousness of the conduct in question; (2) The recency and circumstances surrounding the conduct in question; (3) The age of the individual at the time of the incident; (4) Societal conditions that may have contributed to the nature of the conduct; (5) The probability that the individual will continue the type of behavior in question; and, (6) The individual's commitment to rehabilitation and a change in the behavior in question. § 63.18 Are the requirements for Bureau of Indian Affairs adjudication different from the requirements for Indian tribes and tribal organizations? Yes. (a) In addition to the minimum requirements for background investigations found in § 63.12, Bureau of Indian Affairs' (b) All (c) Indian tribes and tribal organizations § 63.19 When should an employer deny employment or dismiss an employee? (a) An employer must deny employment or dismiss an employee when an individual has been found guilty of or entered a plea of guilty or nolo contendere to any felonious offense, or any of two or more misdemeanor offenses under Federal, State, or Tribal law involving crimes of violence; sexual assault, sexual molestation, sexual exploitation, sexual contact or prostitution; crimes against persons; or offenses committed against children, except as provided in paragraph (c) of this section. (b) An employer may deny employment or dismiss an employee when an individual has been convicted of an offense involving a child victim, a sex crime, or a drug felony. (c) An employer may consider if a pardon, expungement, set aside, or other court order reaches the plea of guilty, plea of nolo contendere, or the finding of guilt. [61 FR 32274, June 21, 1996, as amended at 64 FR 66771, Nov. 30, 1999; 85 FR 37564, June 23, 2020] § 63.20 What should an employer do if an individual has been charged with an offense but the charge is pending or no disposition has been made by a court? (a) The employer may deny the applicant employment until the charge has been resolved. (b) The employer may deny the employee any on-the-job contact with children until the charge is resolved. (c) The employer may detail or reassign the employee to other duties that do not involve contact with children. (d) The employer may place the employee on administrative leave until the court has disposed of the charge. § 63.21 Are there other factors that may disqualify an applicant, volunteer or employee from placement in a position which involves regular contact with or control over Indian children? Yes. (a) An applicant, volunteer, or employee may be disqualified from consideration or continuing employment if it is found that: (1) The individual's misconduct or negligence interfered with or affected a current or prior employer's performance of duties and responsibilities. (2) The individual's criminal or dishonest conduct affected the individual's performance or the performance of others. (3) The individual made an intentional false statement, deception or fraud on an examination or in obtaining employment. (4) The individual has refused to furnish testimony or cooperate with an investigation. (5) The individual's alcohol or substance abuse is of a nature and duration that suggests the individual could not perform the duties of the position or would directly threaten the property or safety of others. (6) The individual has illegally used narcotics, drugs, or other controlled substances without evidence of substantial rehabilitation. (7) The individual knowingly and willfully engaged in an act or activities designed to disrupt government programs. (b) An individual must be disqualified for Federal employment if any statutory or regulatory provision would prevent his/her lawful employment. § 63.22 Can an employer certify an individual with a prior conviction or substantiated misconduct as suitable for employment? (a) The Bureau of Indian Affairs (b) Indian tribes and tribal organizations § 63.23 What rights does an applicant, volunteer or employee have during this process? (a) The applicant, volunteer, or employee must be provided an opportunity to explain, deny, or refute unfavorable and incorrect information gathered in an investigation, before the adjudication is final. The applicant, volunteer, or employee should receive a written summary of all derogatory information and be informed of the process for explaining, denying, or refuting unfavorable information. (b) Employers and adjudicating officials must not release the actual background investigative report to an applicant, volunteer, or employee. However, they may issue a written summary of the derogatory information. (c) The applicant, volunteer, or employee who is the subject of a background investigation may obtain a copy of the reports from the originating (Federal, state, or other tribal) agency and challenge the accuracy and completeness of any information maintained by that agency. (d) The results of an investigation cannot be used for any purpose other than to determine suitability for employment in a position that involves regular contact with or control over Indian children. (e) Investigative reports contain information of a highly personal nature and should be maintained confidentially and secured in locked files. Investigative reports should be seen only by those officials who in performing their official duties need to know the information contained in the report. § 63.24 What protections must employers provide to applicants, volunteers and employees? (a) Indian tribes and tribal organizations must comply with the privacy requirements of any Federal, state, or other tribal agency providing background investigations. Indian tribes and tribal organizations must establish and comply with personnel policies that safeguard information derived from background investigations. (b) The Bureau of Indian Affairs must comply with all policies, procedures, criteria, and guidance contained in the Bureau of Indian Affairs Manual or other appropriate guidelines. (c) Federal agencies exercising authority under this part by delegation from OPM must comply with OPM policies, procedures, criteria, and guidance. §§ 63.25-63.29 [Reserved] Subpart C—Indian Child Protection and Family Violence Prevention Program § 63.30 What is the purpose of the Indian child protection and family violence prevention program? The purpose of this program is to develop tribally-operated programs to protect Indian children and reduce the incidence of family violence on Indian reservations. § 63.31 Can both the Bureau of Indian Affairs and tribes operate Indian child protection and family violence prevention programs? Yes. However, tribes are encouraged to develop and operate programs to protect Indian children and reduce the incidence of family violence in Indian country. § 63.32 Under what authority are Indian child protection and family violence prevention program funds awarded? The Secretary is authorized to enter into contracts with Indian tribes, tribal organizations, or tribal consortia pursuant to the Indian Self-Determination and Education Assistance Act, as amended, 25 U.S.C. 450 et seq. § 63.33 What must an application for Indian child protection and family violence prevention program funds include? In addition to the Indian Self-Determination and Education Assistance Act, as amended, 25 U.S.C. 450 et seq. (a) The name and address of the agency or official to be responsible for the investigation of reported cases of child abuse and child neglect, the treatment and prevention of incidents of family violence, and the provision of immediate shelter and related assistance for victims of family violence and their dependents; (b) Projected service population of the program; (c) Projected service area of the program; and (d) Projected number of cases per month. § 63.34 How are Indian child protection and family violence prevention program funds distributed? (a) Funds will be distributed, subject to the availability of appropriations, and: (1) In any fiscal year that the appropriation exceeds 50 percent of the level of funding authorized for this purpose by the Act, 49 percent must be distributed equally to all tribes and tribal organizations and 49 percent must be distributed on a per capita basis according to the population of children residing in the service area. Two percent of the annual appropriation will be set aside for distribution to tribes demonstrating special circumstances. (2) In any fiscal year that the appropriation does not exceed 50 percent of the level of funding authorized for this purpose by the Act, funding must be distributed in equal amounts to all tribes. Two percent of the annual appropriation will be set aside for distribution to tribes demonstrating special circumstances. (3) Special circumstances include but are not limited to a high incidence of child sexual abuse, a high incidence of violent crimes, a high incidence of violent crimes against women, or the existence of a significant victim population within the community. (i) This 2 percent will be subject to discretionary distribution by the Assistant Secretary—Indian Affairs, or his or her designee. Tribes may request these funds through their respective area offices. All requests must demonstrate a high incidence of child sexual abuse, a high incidence of violent crimes, a high incidence of violent crimes against women, or the existence of a significant victim population within the community. (ii) Special circumstances funds will remain available through the third quarter of each fiscal year. In the fourth quarter, unallocated special circumstances funds will be redistributed as set forth in paragraphs (a)(1) and (a)(2) of this section, except that there will be no additional set aside for special circumstances. (b) Any tribe not wishing to receive Indian child protection and family violence prevention funds must inform its respective area office in writing within 90 days after receiving notice of the allocation from the area office. Each area office may reallocate unused Indian child protection and family violence prevention program funds as provided in this section. (c) Funds may be used as matching shares for other federally funded programs which contribute to and promote prevention of child abuse, child neglect, and family violence on Indian reservations, but may not be used to supplant funds available for the same general purposes. (d) Any income resulting from the operation of Indian child protection and family violence prevention programs may be retained and used to promote prevention of child abuse, child neglect, and family violence on Indian reservations. § 63.35 How may Indian child protection and family violence prevention program funds be used? Indian child protection and family violence prevention program funds may be used to: (a) Establish child protective services programs. (b) Establish family violence prevention and treatment programs. (c) Develop and implement multidisciplinary child abuse investigation and prosecution programs. (d) Provide immediate shelter and related assistance to victims of family violence and their dependents, including construction or renovation of facilities to establish family violence shelters. (e) Purchase equipment to assist in the investigation of cases of child abuse and child neglect. (f) Develop protocols and intergovernmental or interagency agreements among tribal, Federal, state law enforcement, courts of competent jurisdiction, and related agencies to ensure investigations of child abuse cases to minimize the trauma to the child victim, to define and specify each party's responsibilities, and to provide for the coordination of services to victims and their families. (g) Develop child protection codes and regulations that provide for the care and protection of children and families on Indian reservations. (h) Establish community education programs for tribal members and school children on issues of family violence, child abuse, and child neglect. (i) Establish training programs for child protective services, law enforcement, judicial, medical, education, and related services personnel in the investigation, prevention, protection, and treatment of child abuse, child neglect, and family violence. (j) Establish other innovative and culturally relevant programs and projects that show promise of successfully preventing and treating family violence, child abuse, and child neglect. § 63.36 What are the special requirements for Indian child protection and family violence prevention programs? (a) Each tribe must develop appropriate standards of service, including caseload standards and staffing requirements. The following caseload standards and staffing requirements are comparable to those recommended by the Child Welfare League of America, and are included to assist tribes in developing standards for Indian child protection and family violence prevention programs: (1) Caseworkers providing services to abused and neglected children and their families have a caseload of 20 active ongoing cases and five active investigations per caseworker. (2) Caseworkers providing services to strengthen and preserve families with children have a caseload of 20 families. If intensive family-centered crisis services are provided, a caseload of 10 families per caseworker is recommended. (3) It is recommended that there be one supervisor for every six caseworkers. (b) The negotiation and award of contracts, grants, or funding agreements under these regulations must include the following requirements: (1) Performance of background investigations to ensure that only those individuals who meet the standards of character contained in § 63.12 are employed in positions which involve regular contact with or control over Indian children. (2) Submission of an annual report to the contracting officer's representative which details program activities, number of children and families served, and the number of child abuse, child neglect, and family violence reports received. (3) Assurance that the identity of any person making a report of child abuse or child neglect will not be disclosed without the consent of the individual and that all reports and records collected under these regulations are confidential and to be disclosed only as provided by Federal or tribal law. (4) Assurance that persons who, in good faith, report child abuse or child neglect will not suffer retaliation from their employers. §§ 63.37-63.50 [Reserved]