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3000 Background Checks for Non-DFPS Staff

Background Checks January 2020

DFPS Background Checks (BC) completes background checks on individuals who are not employed by DFPS, but who have a business need for direct access to DFPS information technology resources or facilities. This includes:

  •  IT contractors

  •  Auditors

  •  Janitorial staff

  •  Health passport users

  •  Security guards

  •  Shred vendors

  •  Contracted case management services staff (DFPS contracts with non-profit or other governmental entities to oversee case management services)

  •  Additional populations with an approved business need.

Access may be granted to DFPS information technology resources or facilities only after the individuals are assessed for risk based on the background check results. The criteria used for assessing risk are explained in 3000 Background Checks for Non-DFPS Staff.

Types of Background Checks Required for Non-DFPS Staff

A background check always includes the following:

  •  A Texas name-based criminal history check requested through the Texas Department of Public Safety (DPS).

  •  A DFPS history check of the IMPACT system.

DFPS may also require the following additional types of background checks:

  •  An FBI criminal history check is required by DFPS when a person currently resides out-of-state or resided out-of-state in the last two years. It may also be required if there is good cause, such as when DFPS has a reasonable belief that an individual may have a criminal history in another state.

  •  An out-of-state abuse or neglect history check may be required by DFPS if there is good cause, such as when DFPS has a reasonable belief that an individual may have a history of abuse or neglect in another state.

3100 Populations Exempted From Background Checks for Non-DFPS Staff

Background Checks January 2020

The following populations are not subject to the requirements in 3000 Background Checks for Non-DFPS Staff. Instead, they require a background check under the DFPS policies listed below:

  •  For DFPS employees (including paid interns and students who receive a stipend), see 4000 DFPS History Checks for Prospective Employees.

  •  For DFPS volunteers (including unpaid interns), see 7000 Background Checks for DFPS Volunteers and Interns.

  •  For Texas CASA, see 5000 Background Checks for Court Appointed Special Advocates (CASA) Employees, Volunteers, and Board Members.

  •  For State and Federal Audit Staff, see 8000 Background Checks for State and Federal Audit Staff.

3200 Division of Responsibilities for Background Checks on Non-DFPS Staff

3210 DFPS Sponsor Responsibilities

Background Checks July 2020

DFPS sponsors do the following:

  • Communicate with vendors to make sure everyone complies with background check policy.
  • Take appropriate actions to address noncompliance.
  • Make sure that background checks and required forms are submitted as required in 3000 Background Checks for Non-DFPS Staff.
  • Make sure that the vendor has verified the accuracy of the personal information on each person seeking access, including in documentation for background check renewals.
  • Obtain and provide any missing or additional information that Background Checks requires.
  • Confirm background checks are completed and approved by Background Checks before allowing a person to access DFPS information technology resources or facilities.
  • Make sure required renewal background checks and required forms are submitted before the expiration date to avoid interruption of system access.
  • Make sure new background checks and required forms are submitted to restore access if an account has been deleted because of inactivity.
  • Notify Background Checks if a person discloses any criminal history or abuse or neglect history.
  • Notify Background Checks and Program Support staff when a person is no longer employed with his or her original DFPS vendor or no longer needs access to DFPS information technology resources or facilities.

3220 Program Support Responsibilities

Background Checks January 2020

Program Support staff:

  •  Initiate background check requests for Non-DFPS staff who require access to DFPS information technology resources or facilities, if the background checks have not already been requested by the DFPS contractor.

  •  Verify that all background checks show cleared results before approving and assigning access to DFPS information technology resources or facilities.

  •  Terminate Non-DFPS staff access to DFPS information technology resources or facilities when notified that the individual did not clear the required, annual renewal background check.

  •  Terminate Non-DFPS staff access to DFPS information technology resources or facilities when notified that the individual is no longer employed with his or her original DFPS contractor or no longer requires access to DFPS information technology resources or facilities.

3230 Background Checks Staff Responsibilities

Background Checks January 2020

Background Checks staff:

  •  Complete background checks accurately and in a timely manner.

  •  Notify DFPS sponsors about the results of the background checks, in accordance with this policy.

3300 FBI Fingerprint Checks

Background Checks January 2020

An individuals who lives outside of Texas, or has lived outside of Texas in the last two years, must undergo an FBI Fingerprint Check.

The individual will not be allowed to access DFPS information technology resources or facilities until all required background checks have been completed and cleared by Background Checks staff. See 3540 Incomplete Background Checks.

3400 Background Check Renewals

Background Checks January 2020

The sponsor must initiate a renewal background check for each individual every 12 months from the date of the original request for as long as the individual is authorized to access DFPS information technology resources or facilities. The individual is allowed to have continued access to DFPS information technology resources and facilities pending the outcome of a renewal background check.

If the results of the renewal check reveal criminal, abuse, or neglect history that would bar the individual from access, the individual is no longer allowed access to DFPS information technology resources and facilities.

3500 Background Check Determinations

Background Checks January 2020

Background Checks staff make a determination to clear or bar an individual based on the background check results.

The initial determination is based on:

Appendix 3000-1: Criminal History Chart for DFPS Employees, Volunteers, Interns, Prospective Employees, and Non-DFPS Staff

Appendix 3000-2: DFPS History Chart for External Users, DFPS Prospective Employees, and CASA Employees, Volunteers, and Board Members.

References to DFPS employment in the charts also apply to individuals who are not DFPS employees but are subject to this background check policy.

The charts indicate:

  •  Criminal convictions that are absolute bars to DFPS employment.

  •  Criminal convictions that are a likely or possible contraindication to DFPS employment.

  •  DFPS history of abuse, neglect, or exploitation that is an absolute bar to DFPS employment.

  •  DFPS history of abuse, neglect, or exploitation that requires further review to determine the person’s eligibility for DFPS employment.

Background Checks staff will not disclose criminal history or DFPS history of abuse, neglect, or exploitation found on non-DFPS staff to anyone outside of DFPS.

3510 Background Check Determinations: Cleared

Background Checks January 2020

If an individual has no history of any criminal convictions listed on the Appendix 3000-1: Criminal History Chart for DFPS Employees, Volunteers, Interns, Prospective Employees, and Non-DFPS Staff and no history of abuse, neglect, or exploitation that is identified as requiring further action on the Appendix 3000-2: DFPS History Chart for External Users, DFPS Prospective Employees, and CASA Employees, Volunteers, and Board Members, Background Check staff notify the ASA who then notify the DFPS sponsor that the background checks have cleared for the individual.

3520 Background Check Determinations: Absolute Bars

Background Checks January 2020

If an individual has a history of criminal convictions or of abuse, neglect, or exploitation that is identified as an Absolute Bar (or Barred) on Appendix 3000-1: Criminal History Chart for DFPS Employees, Volunteers, Interns, Prospective Employees, and Non-DFPS Staff or Appendix 3000-2: DFPS History Chart for External Users, DFPS Prospective Employees, and CASA Employees, Volunteers, and Board Members, Background Checks staff notify the ASA who then notify the DFPS sponsor that background check results bar the individual from having access.

3530 Background Check Determinations: Risk Assessment

Background Checks January 2020

If an individual has a history of criminal convictions or abuse, neglect, or exploitation and the history is identified as a Contraindication on Appendix 3000-1: Criminal History Chart for DFPS Employees, Volunteers, Interns, Prospective Employees, and Non-DFPS Staff or as a Review on Appendix 3000-2: DFPS History Chart for External Users, DFPS Prospective Employees, and CASA Employees, Volunteers, and Board Members, Background Checks staff conduct a risk assessment before rendering a decision.

An individual is not granted access until the risk assessment is complete and the individual is cleared. Background Checks staff also conduct a risk assessment on juvenile criminal history obtained from DPS or the FBI. If Background Checks staff assess that there is risk of immediate harm if access is allowed, Background Checks staff consult with the DFPS Office of General Counsel (Legal Division) to make a final determination.

Certain criminal convictions not specifically noted in the Appendix 3000-1: Criminal History Chart for DFPS Employees, Volunteers, Interns, Prospective Employees, and Non-DFPS Staff may require a risk assessment, if there is concern that the criminal offense poses a risk of harm or loss to DFPS or its clients.

Based on the risk assessment outlined above, Background Checks staff notify the ASA who notifies the DFPS sponsor either that the individual is cleared and may have access to DFPS information technology resources or facilities, or the individual is not cleared and access is denied. Background Checks staff does not include the specific criminal, abuse, neglect, or exploitation history in the notice approving or denying clearance.

3540 Incomplete Background Checks

Background Checks January 2020

A background check is considered incomplete for one of two reasons:

  •  The individual does not communicate with Background Checks staff or provide needed information and documents within 10 calendar days.

  •  Background Checks staff are unable to obtain all required information to complete the background check within 30 calendar days of the request date.

If a background check is not successfully completed, it is closed and recorded as a bar for failure to comply and the person may not be granted access to DFPS information technology resources or facilities.

The DFPS sponsor may contact Background Checks to request an extension to the 30 day deadline. The contractor must provide proof that reasonable steps have been taken to meet the requirement.

If a background check was closed and the individual barred under these circumstances, the DFPS sponsor must submit new background check request forms to restart the process once the required documentation is available.

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