Skip to site content
U.S. Department of Health and Human Services
Indian Health Manual

Background Investigation Identification Requirement

DEPARTMENT OF HEALTH AND HUMAN SERVICES
Indian Health Service
Rockville, Maryland 20857

Refer to: OHR

INDIAN HEALTH SERVICE CIRCULAR NO. 25-10
Background Investigation Identification Requirement
 

Sec.

1. Definitions
2. Purpose
3. Scope
4. Background
5. Authorities
6. Policy
7. Responsibilities
8. Supersedure
9. Effective Date

  1. Definitions
    1. Adjudication: The review and vetting process of a staff member’s background investigation conducted by Indian Health Service (IHS) Personnel Security. The review process will result in one of two adjudicative outcomes: favorable or unfavorable.
    2. Chaperone: A staff member who has a favorably adjudicated background investigation as required under 25 U.S.C. § 3207 and 34 U.S.C. § 20351, and who attends a medical procedure or exam, as a safeguard and witness, for both the child and the health care provider. A parent, guardian, family member, or friend of the patient may not act as a chaperone. Medical students, medical or pharmacy residents, and other students are not allowed to serve as chaperones.
    3. Child-Care Covered Position(s): Positions within the agency that are expected to perform work covered by 25 U.S.C. § 3207 or 34 U.S.C. § 20351.
    4. Provisional Authorization Form (Also known as “Line of Sight Memorandum”): A notice issued to the supervisor of a staff member who is employed, working, or being considered for employment or work in a Child-Care Covered Position.
    5. Provisional Status: The status of a staff member while awaiting adjudication of their background investigation. Prior to receipt of a favorable adjudication, the person must be within the sight and under the supervision of a chaperone at all times when children are in their care, custody, or control.
    6. Staff or Staff Member: Includes all persons working in any capacity (including virtually) in a childcare covered position, including civil service employees, other civilian employees working under an Intergovernmental Personnel Act agreement or other agreement, United States Public Health Service (USPHS) Commissioned Corps Officers (including those on detail to IHS from other agencies), contractors, medical health professional students, medical or pharmacy residents, and volunteers.
  2. Purpose. The purpose of this circular is to establish an identification card process to visually identify staff members in Provisional Status. The process will ensure that such staff members are within sight of a chaperone at all times when in contact with or exercising control over a child or children under the age of 18.
  3. Scope. This circular applies to staff members in Child-Care Covered Positions and staff members at IHS federally-operated facilities.
  4. Background Investigation. Federal law requires all staff members to undergo a background investigation and receive a favorable adjudication if their position includes duties and responsibilities involving regular contact with or control over children. The IHS staff working in child care-covered positions without a favorably adjudicated background investigation are onboarded in a provisional status.

    When children are in the care, custody, and/or control of a staff member in a provisional status, the staff member in provisional status is required to be under the supervision and in sight of a Chaperone. All staff members in a provisional status must have a Provisional Authorization Form in place stating that they will be in sight of a chaperone at all times when providing care to children. The Provisional Authorization Form is administered and maintained by Personnel Security staff, and serves as notice to the supervisor and staff member that the staff member will be performing work and/or occupying a position that is covered by the Indian Child Protection and Family Violence Prevention Act and the Crime Control Act.

  5. Authorities.
    1. Indian Child Protection and Family Violence Prevention Act, Public Law 101-630, 25 U.S.C. §§ 3201–3210
    2. Crime Control Act, Public Law 101-647, 34 U.S.C. § 20351
    3. Indian Child Protection and Family Violence Prevention Regulations, 42 C.F.R. Part 136, Subpart K, Sections 136.401-136.418
    4. Indian Health Manual (IHM), Part 7, Human Resources Administration and Management, Chapter 1, Excepted Service Examining Plan, Section 7-1.4H
    5. IHM, Part 11, Anti-Abuse and Harassment, Chapter 2, Protecting Children from Sexual Abuse by Health Care Providers
    6. IHS Child Care Covered Positions Memorandum dated January 24, 2023
    7. IHM, Part 3, Professional Services, Chapter 36, Child Maltreatment

  6. Policy. All Staff and Staff Members as defined in this circular are required to wear an IHS Background Adjudication Identification Card (BAIC), placed behind their Personal Identity Verification (PIV) badge, when onsite at all IHS federally-operated facilities. The color-coded IHS BAIC shall be longer than other badges and unobstructed from view. Tampering with or swapping IHS BAICs will warrant appropriate disciplinary or other appropriate action and immediate readjudication of the staff member(s)’ background investigation.

    For staff in Provisional Status, the visible bottom of their IHS BAIC will have a RED color code to identify their provisional status. The red coloring indicates the requirement for supervision of the staff by a chaperone at all times when children under the age of 18 are in their care, custody, or control. A number “2” will be visible in the red section of the BAIC for the color-blind.

    For staff with a current favorably adjudicated background investigation, the visible bottom of their IHS BAIC will have a GREEN color code. The green color code indicates they do not require a chaperone and can serve as a chaperone. A number “1” is visible in the green section of the BAIC for the color-blind

    1. All IHS federally operated facilities will create a Quarterly Report of Compliance. The Report will include the names of all staff in Provisional Status, confirmation that they are displaying a RED color-coded BAIC, and the names of the designated chaperone(s) providing the line of sight and supervision.
    2. Staff who work 100 percent remotely must present their BAIC on screen to an on-site chaperone before providing care to a child or children under the age of 18.
  7. Responsibilities.
    1. IHS Director. It is the IHS Director’s responsibility to:
      1. Support and promote the implementation and compliance with this policy IHS-wide.
      2. Support a culture of safety, creating an environment where the well-being and protection of children are the highest priorities.
    2. The Deputy Director for Field Operations (DDFO). It is the DDFO’s responsibility to:
      1. Ensure support and promote the implementation of this policy IHS-wide.
      2. Support a culture of safety, creating an environment where the well-being and protection of children are the highest priorities.
      3. Ensure the Director is informed about the compliance of this policy and the trends in the Quarterly Report of Compliance.
    3. Area Director (AD). It is the AD’s responsibility to:
      1. Ensure compliance with this circular in their Area.
      2. Provide the required Quarterly Report of Compliance to the DDFO and the IHS Office of Human Resources (OHR), Division of Personnel Security and Ethics (DPSE), to verify compliance.
      3. Support a culture of safety, creating an environment where the well-being and protection of children are the highest priorities.
      4. Provide oversight to the Service Units for compliance with and reporting under this policy.
      5. Ensure the DDFO is informed about the compliance with this policy and the trends in the Quarterly Report of Compliance.
      6. Identify funding to purchase BAICs from within the appropriations allocated by IHS HQ to the Area.
    4. Executive Officer (EO). It is the EO’s responsibility to:
      1. Disseminate this circular to all staff in IHS federally operated facilities and monitor compliance.
      2. Provide a Quarterly Report of Compliance to the AD.
    5. Chief Executive Officer (CEO). It is the CEO’s responsibility to:
      1. Ensure implementation of and compliance with this policy. Conduct a monthly compliance check.
        1. At least five percent of staff shall be randomly selected to have their IHS BAIC visually verified and status verified with the Area Personnel Security staff.
        2. Ensure staff in provisional status have a Provisional Authorization Form in place.
        3. Review of the Quarterly Report of compliance. 
      2. Provide a quarterly update on monthly compliance checks to the AD, supplying a copy of the Quarterly Report of Compliance.
    6. Supervisors. It is the responsibility of supervisors to:
      1. Ensure that staff wear the required PIV badge and IHS BAIC when they are onsite at IHS federally operated facilities or are providing services from an off-site location to a child or children under the age of 18.
      2. Ensure that staff with a RED color code have a Provisional Authorization Form in place, with the Area Personnel Security Office, and are in the line of sight and supervised by a chaperone when children under the age of 18 are in their care, custody, or control.
      3. Ensure staff compliance and report BAIC tampering or swapping or other noncompliance to OHR DPSE via email at PersonnelSecuity@ihs.gov.
      4. Collect all BAICs from all separating personnel. Collected BAICs for separated staff must be turned in to the Area Office Human Resources Director.
    7. Area Personnel Security Representatives (PSR). It is the responsibility of PSR to:
      1. Comply with the provisions of this policy.
      2. Ensure that staff with a RED color code have a Provisional Authorization Form uploaded in the Security Manager system until a favorable background investigation is finalized. The card can be issued during the time of entry.
      3. Notify the staff member and departmental supervisor and/or designee when the final adjudicative determination has been made.
      4. Request staff member report to the designated onsite staff to exchange the provisional RED color-coded BAIC for the non-provisional GREEN color- coded BAICs can be collected at the IHS Area Office by the staff member or shipped to the appropriate Service Unit.
      5. Issue BAICs and maintain card stock.
      6. Ship BAICs to 100 percent remote staff.
      7. Quarterly Reports will be submitted to the Area Director by Area Personnel Security Representatives.
    8. IHS Staff. It is the responsibility of all IHS staff to:
      1. Comply with the provisions of this policy.
      2. Ensure that they are wearing their PIV badge and IHS BAIC when they are onsite at an IHS federally operated facility or are providing services from an off-site location to a child or children under the age of 18.
      3. Report non-compliant offenders to IHS OHR DPSE via email at PersonnelSecuity@ihs.gov. All anonymous complaints can be submitted via the IHS Fraud, Waste, Abuse and Mismanagement Hotline online at https://www.ihs.gov/ReportFraud/ or by phone at 1-301-443-0658.
  8. Supersedure. None
  9. Effective date. This Circular becomes effective upon date and signature.

/Roselyn Tso/
Roselyn Tso
Director
Indian Health Service

Distribution: IHS-wide
Date: 01/17/2025