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8000 Background Checks for State and Federal Audit Staff

BC September 2019

DFPS may undergo audits conducted by entities outside of DFPS. The access to DFPS resources for persons from outside agencies is coordinated through DFPS Internal Audit.

This policy applies only to state and federal audit staff. Auditors employed by a private firm follow section 3000 Background Checks for Non-DFPS Staff.

8100 DFPS Background Checks and Employment with Auditor agency

BC September 2019

If DFPS Background Checks denies access to a state or federal auditor, that denial only prohibits direct access to DFPS resources.

The decision to hire or terminate a state or federal auditor is made at the discretion of the agency that employees the auditor.

8200 Types of Background Checks

8210 DFPS History Check

BC September 2019

DFPS Background Checks staff complete a DFPS history check on state and federal audit staff who have a business need for direct access to DFPS information technology resources or facilities.

A DFPS history check is not required for state and federal audit staff who do not have a business need for direct access to DFPS resources, and are only allowed to view the DFPS Data Warehouse or information that is publicly available.

8220 DPS Criminal Check

BC September 2019

State and federal audit staff receive criminal background checks from the agency they are employed with. As a result, this population is not required to have a criminal background check processed by DFPS.

8300 Requesting a Background Check

BC September 2019

State and federal auditors who require direct access to DFPS resources for business purposes must consent to a DFPS History background check by completing and signing the Form F-506-4047 Non-DFPS Staff Computer Security Agreement.

The state or federal auditor’s DFPS sponsor completes the following:

  •   Submits the completed forms to DFPS Program Support, along with any supporting documentation, to initiate the background check.

  •   Ensures that the background check request is submitted and completed before access to DFPS resources is allowed.

  •   Ensures that the state or federal auditor’s employer has verified the accuracy of the vital information obtained on each person seeking access, including documentation used for background check renewals.

  •   Retains the original signed forms requesting a background check, and the responses provided by Background Checks.

  •   Initiates a renewal background check, if required, by submitting Form F-506-4047 Non-DFPS Staff Computer Security Agreement and any supporting documentation to Program Support

  •   Notifies Background Checks if a state or federal auditor discloses any abuse or neglect history by sending an email to the DFPS External Access BGC mailbox. The email must include the person’s name, Social Security number, and the nature of the situation.

  •   Submits required documentation to DFPS Program Support when the state or federal auditor no longer needs access to DFPS resources.

Once all required forms are submitted, the assigned DFPS Program Support specialist initiates the background check request through the Automated Background Check System (ABCS).

Background Checks staff notifies the DFPS sponsor regarding the results of the background check.

State or federal auditors must not be allowed access to DFPS resources until the initial background check has been cleared by Background Checks staff.

8310 Renewals of Background Checks

BC September 2019

A person who has a background check under this policy must have a new background check every year.

To initiate the renewal background check request, the DFPS sponsor submits Form F-506-4047 Non-DFPS Staff Computer Security Agreement, along with any supporting documentation to Program Support. The request must be submitted before the expiration date of the current background check.

If the DFPS sponsor requests the renewal background check before the background check expiration date the state or federal auditor is allowed to continue accessing DFPS resources while Background Checks is processing the results.

Background Checks staff notifies the DFPS sponsor about the results of the renewal background check. If the results of the renewal check reveal abuse or neglect history that would bar the state or federal auditor from accessing DFPS resources, the DFPS sponsor ensures that the person’s access is removed.

8400 Making a Determination

BC September 2019

Background Checks staff make a determination to approve or deny a state or federal auditor’s direct access to DFPS resources and inform the DFPS sponsor of the final decision.

The initial determination is based on Appendix 3000-2: DFPS History Chart for External Users, DFPS Prospective Employees, and CASA Employees, Volunteers, and Board Members.

8410 Cleared Background Checks

BC September 2019

If a state or federal auditor has no history of abuse, neglect, or exploitation that is identified as requiring further action on Appendix 3000-2: DFPS History Chart for External Users, DFPS Prospective Employees, and CASA Employees, Volunteers, and Board Members, Background Checks staff notify the DFPS sponsor and Application Security Administrators (ASA) staff that the background check has been cleared for the person.

8420 Absolute Bars

BC September 2019

If a state or federal auditor has a history of abuse, neglect, or exploitation that is identified as an Absolute Bar on Appendix 3000-2: DFPS History Chart for External Users, DFPS Prospective Employees, and CASA Employees, Volunteers, and Board Members, Background Checks staff notify the DFPS sponsor that the background check results bar the person from having access to DFPS resources.

8430 Risk Assessment

BC September 2019

If the person has any DFPS history identified as Review on the Appendix 3000-2: DFPS History Chart for External Users, DFPS Prospective Employees, and CASA Employees, Volunteers, and Board Members, Background Checks staff does a risk assessment before making a decision to clear or bar the person.

Based on the risk assessment, Background Checks staff notify the DFPS sponsor either that the person is cleared and may have access to DFPS resources, or the person is not cleared and access is denied. Background Checks staff does not include the specific abuse, neglect, or exploitation history in the notice approving or denying clearance.

The person may not access DFPS resources until both of the following occur:

  •   The risk assessment is complete.

  •   The Background Checks staff clears the person.

8500 Reporting New DFPS Investigations

BC September 2019

DFPS Statewide Intake (SWI) notifies Background Checks when a new report of abuse, neglect, or exploitation is received that involves a person who is listed as an “External Staff” in IMPACT.

Background Checks staff works with the state or federal auditor’s DFPS sponsor to conduct a risk assessment on a case-by-case basis, according to the person’s level of involvement in the investigation and the circumstances surrounding the investigation.

Depending on the nature and seriousness of the allegations, Background Checks staff and the DFPS sponsor consult with the DFPS Office of General Counsel (Legal division) to make a determination.

Background Checks and the DFPS sponsor determine whether the state or federal auditor either:

  •   Continues to have direct access to DFPS resources while the investigation is pending.

  •   Is temporarily denied access to DFPS resources while the investigation is ongoing.

If Background Checks and the DFPS sponsor determine that the allegations of abuse, neglect, or exploitation reach the threshold of risk, the DFPS sponsor notifies the state or federal agency employing the state or federal auditor that the person is temporarily denied access to DFPS resources. Background Checks staff track the DFPS investigation until it closes and a final disposition is rendered.

Once the investigation closes, Background Checks notifies the DFPS sponsor about the final disposition.

The DFPS sponsor then does as follows, depending on the circumstances:

  •   If Background Checks staff and the DFPS sponsor determine that the state or federal auditor must be permanently barred, the DFPS sponsor communicates the decision to the person. In addition, the DFPS sponsor submits required documentation to Program Support advising that the person has been barred and should no longer have access to DFPS resources.

  •   If Background Checks staff and the DFPS sponsor determine that an individual who had been temporarily denied access is now cleared, the DFPS sponsor communicates the decision to the state or federal auditor and reinstates the person’s access to DFPS resources.

8600 Reviewing Background Check Decisions

BC September 2019

The following people may request a review of the Background Checks program’s decision to bar a person from access to DFPS clients, property, and information:

  •   A person who is the subject of a background check under this policy.

  •   The DFPS sponsor acting on behalf of a state or federal auditor.

8610 Requesting a Review

BC September 2019

The person requesting a review submits the request to Background Checks in writing within 30 days of the date that Background Checks issued a decision.

The request must include the following information:

  •   The name of the subject of the background check.

  •   The date that Background Checks issued the decision.

  •   Details about the basis of the request, including any of the following that apply:

  •   Previous DFPS background check policies under which DFPS approved the barred person to volunteer or intern and dates of those background checks.

  •   Any new information that the Background Checks staff has not yet considered and that the barred person believes may change the decision.

  •   A detailed statement from the barred person explaining the circumstances surrounding the investigation and why he or she is not a threat to DFPS clients.

  •   Information about which portion or portions of this policy the barred person believes the Background Checks staff may not have followed when making the decision.

  •   Proof that the criminal history or DFPS history does not belong to the barred person.

8620 Conducting the Review

BC September 2019

First Review

Background Checks management conducts the review to make sure that all involved DFPS staff members followed all policies and procedures. Background Checks management reviews the decision with the Background Checks program administrator and DFPS Office of General Counsel (in the Legal division), if necessary, before issuing a response.

Background Checks management considers the following when doing the review:

  •   Additional information that proves that a mismatch has occurred. This means that the subject of the background check is not the person who was arrested, convicted, or involved in the abuse, neglect, or exploitation case in question.

  •   New information about the investigation of abuse, neglect, or exploitation.

Second Review

The DFPS sponsor or the subject of the background check may request a second review if he or she disagrees with Background Checks management’s decision. The director in the Office of the DFPS Deputy Chief Operating Officer conducts the second review.

The DFPS sponsor or the subject of the background check may make this request by following the directions in 8610 Requesting a Review.

The decision determined at the conclusion of the second review is final.

8700 Using DFPS Background Check Resources

BC September 2019

No one may use DFPS background check resources to do any of the following:

  •   Request a background check on a person who is not subject to a DFPS background check policy (either according to this policy or another relevant DFPS policy).

  •   Get background check information on such a person.

Doing so violates DFPS policy and may result in adverse action.

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