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2000 Background Checks for Contracted Services

Background Checks April 2023

DFPS Background Checks conducts background checks on anyone who provides services on behalf of various DFPS programs, including those services provided through the following:

  • Purchased Client Services (PCS)
  • Prevention and Community Well-Being (PCW) contractors and grantees
  • Single Source Continuum Contractors (SSCC)

Background check requests are required for contractors, grantees, and the volunteers for the contractor or grantee who provide services to populations served by DFPS or require direct access or direct contact to DFPS clients, participants, or resources.

A background check has two parts, as follows:

In addition to obtaining a Texas Name-Based Criminal History check and DFPS History check, a FBI Fingerprint Check or an Out-of-State Abuse and Neglect History Check may be required.

  • An FBI Fingerprint Check is required under the following conditions:
    • A subject currently lives or has lived outside of Texas within the past five years.
    • DFPS has a reasonable belief that a subject may have criminal history in another state.
  • An Out-of-State Abuse and Neglect History Check may be required by DFPS for good cause, such as a reasonable belief that a subject may have such a history.

Certain subjects are exempted from this policy or may require background checks under a different policy. See the following policy sections for additional information on exemptions and background checks for other populations:

Background check requirements for residential operations are outlined in 26 Texas Administrative Code, Chapter 745, Subchapter F.

Contractors may not use DFPS background check resources, and specifically the Automated Background Check System (ABCS), to request background checks on anyone who is not subject to this policy. Using DFPS background check resources in ways that violate DFPS policy may result in penalties to the contractor.

2100 Division of Staff Responsibilities for Purchased Client Services

Background Checks April 2023

All staff affected by this policy are responsible for understanding the policy and maintaining open communication about issues that relate to background checks.

Specific background check responsibilities are shared within DFPS by:

  • Background Checks
  • Program staff (including contract managers, contract technicians, and contract program directors)
  • Contractors and grantees

2110 DFPS Background Checks (BC) Staff Responsibilities

Background Checks April 2023

Background Checks staff are responsible for doing the following:

  • Communicating with the DFPS contract manager, contractor, or the requestor of the background check.
  • Notifying contractors in writing about background check decisions and handling all associated follow-up.
  • Assessing the results of background checks required by this policy.
  • Processing risk assessments, when applicable.
  • Ensuring the results of the background check are handled according to the requirements in this policy.
  • Communicating with DFPS legal staff and program management, when applicable.

2120 Program Staff

Background Checks April 2023

Various DFPS program staff from areas such as contract management and PCW are responsible for doing the following:

  • Ensuring background checks required by this policy are completed for all contractors, grantees, and their staff and volunteers.
  • Ensuring Background Check staff are informed about actions related to a subject that may affect pending background checks, such as when a subject changes role or is no longer being considered for a position.
  • Entering background check requests in the ABCS for subjects, when applicable.
  • Ensuring contractors are knowledgeable about reporting new arrests and investigations. See 1310 Reporting New Criminal Incidents and DFPS Investigations.

2130 Contractors and Grantees

Background Checks April 2023

Contractors and grantees are responsible for doing the following:

  • Submitting initial and renewal background check requests in a timely manner for subjects who require background checks according to this policy.
  • Ensuring background check requests contains accurate information.
  • Ensuring all background check results are received before allowing a subject direct contact with DFPS clients, participants, or resources.
  • Ensuring subjects disclose any criminal, abuse, or neglect history at the time of the background check request. DFPS may notify the contractor or the subject that failing to disclose all history may prohibit the subject from providing services to populations served by DFPS or obtaining direct access or direct contact with DFPS clients, participants, or resources.

2200 Requesting a Background Check

Background Checks April 2023

The ABCS requestor requests background checks through the ABCS for each subject who provides services to populations served by DFPS or requires direct access or direct contact with DFPS clients, participants, or resources.

The following two forms may be utilized to collect the required information for each subject requiring a background check under this policy.

If a subject completes a background check for a contract and the contract ends, the subject is not required to complete a new background check until the conditions in 2230 Renewing a Background Check are met, as long as a new contract number is assigned to the contract.

2210 Contractors and Grantees with Multiple Contracts and Grants

Background Checks April 2023

If a subject provides services under multiple contracts or grants, the person is not required to undergo background checks for each contract or grant, if:

  • Services are provided under the auspices of the same legal entity.
  • The subject provides the services in the same role under each contract or grant.
  • The background check on file was conducted within the previous 24 months.

Background check requirements provided under multiple contracts or grants are met when the subject does one of the following:

  • Obtains a copy of the background check notice confirming the most recent background check was cleared or a risk assessment was approved.
  • Submits a new background check under each agency account ID in ABCS.

ABCS User or Administrator

If a subject is an ABCS requestor under multiple contracts or grants, he or she must clear a background check for each account to which he or she has access.

2220 24-Hour Residential Child Care Providers That HHS Child Care Licensing Regulates

Background Checks April 2023

A 24-hour residential child care provider is a facility that provides 24-hour care for more than 12 children and includes General Residential Operations and Child-Placing Agencies. These providers are regulated by Health and Human Services (HHS) Child Care Regulation (CCR) and are required to do background checks on their staff members and volunteers, according to HHS licensing rules. See Child Care Licensing Background Check Rules.

The following are two types of background checks that a 24-hour residential childcare provider may be required to do:

  • The background checks required under this policy.
  • The background checks required by CCR.

A 24-hour residential childcare provider requests both types of background checks if the entity that contracts with DFPS, or any staff member of the entity, meets any of the following criteria:

  • The subject is an ABCS requestor.
  • The subject also works under a contract that provides services to clients of Adult Protective Services.
  • The subject also works under a contract that provides supervised, independent living services to clients of CPS.
  • The subject is a principal on the contract and has access to the financial records of the entity that contracts with DFPS. A principal is a person (such as the chief operating officer, chief executive officer, or executive director) who has the authority to make financial decisions on behalf of the entity.

2230 Renewing a Background Checks

Background Checks April 2023

For subjects continuing to work under a contract or grant, the contractor submits renewal background checks as follows:

  • No later than every 24 months, based on the request date of the previous background check.
  • Earlier than 24 months, if the subject’s role or responsibilities under the contract or grant changes.

After the new request is submitted, the subject may continue to provide services to populations served by DFPS, and maintain direct access or direct contact with DFPS clients, participants, or resources while the results are being reviewed, unless informed otherwise by DFPS.

If a subject’s employment or volunteer placement under a contract or grant is discontinued, a new background check is required before the subject returns to work or to volunteer, even if the previous background check was completed within the preceding 24 months.

If a subject’s background check renewal is not completed within the required time frame, the person will be moved to an inactive state by the system through the external sunsetting process. Once made inactive, any authorized user of ABCS no longer has access to that system.

2300 Completing an FBI Fingerprint Check

Background Checks April 2023

An FBI fingerprint-based criminal history check must be completed within 30 days of the request, or the subject may be barred from providing services to populations served by DFPS or obtaining direct contact or direct access with DFPS clients, participants, or resources. A contractor may request an extension to the time frame if the contractor provides proof that the subject has taken reasonable steps to meet the requirement.

After the initial background check is complete, a new FBI fingerprint-based criminal history check is not required if the subject was fingerprinted for a DFPS purpose on or after June 1, 2015.

2400 Assessing the Results of Background Checks

Background Checks April 2023

If a subject has any abuse, neglect, exploitation, or criminal history, Background Checks staff assess the history to determine if the subject may provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources.

2410 DFPS History

Background Checks April 2023

Background Checks staff use Appendix 1: Abuse, Neglect, and Exploitation History Bars for DFPS Employees, Prospective Employees, Volunteers, and Interns, Non-DFPS Staff, and CASA Employees, Volunteers, and Board Members to assess all DFPS history. This appendix indicates the types of DFPS history that are absolute bars to provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources. See 2520 Absolute Bar.

All other DFPS history is reviewed by Background Checks staff to determine whether the history poses a risk to DFPS clients, participants, or resources and requires a risk assessment. If the history does not pose a risk to DFPS clients, participants, or resources and does not require a risk assessment, the person is cleared for direct access or direct contact to DFPS clients, participants, or resources. See 2411 Risk Assessment for DFPS History and 2510 Cleared.

2411 Risk Assessent for DFPS History

Background Checks April 2023

Background Checks staff may complete a risk assessment for DFPS history that is not identified as a bar on Appendix 1: Abuse, Neglect, and Exploitation History Bars for DFPS Employees, Prospective Employees, Volunteers, and Interns, Non-DFPS Staff, and CASA Employees, Volunteers, and Board Members to determine whether the subject may provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources, if the following are true:

  • A subject has a finding of abuse, neglect, or exploitation that poses a risk for providing services or obtaining direct access or direct contact with DFPS clients, participants, or resources.
  • The finding does not justify an absolute bar (as defined in 2520 Absolute Bar).

To assess the risk to providing services to populations serviced by DFPS and obtaining direct access or direct contact with DFPS clients, participants, or resources, Background Checks staff review the case documentation and consider such factors as the following:

  • The length of time since the abuse, neglect, or exploitation occurred.
  • The severity of the abuse, neglect, or exploitation.
  • A pattern of any type of abuse, neglect, or exploitation.
  • The role that the contractor or contractor’s staff played in the case.
  • The current position and responsibilities of the subject.
  • The contractor’s history of compliance with DFPS policies.
  • Whether any additional factors mitigate the risk to DFPS clients, participants, or resources.

Background Checks management must approve the risk assessment before the subject may provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources. Based on the results of the assessment, Background Checks staff notify the contractor and the DFPS contract manager that the subject is either of the following:

  • Cleared and may provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources. See 2510 Cleared.
  • Barred and may not provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources. See 2520 Absolute Bar.

DFPS History may not be shared with any external entities including contractors. 

2420 Criminal History

Background Checks April 2023

Background Checks staff use Appendix 3: Criminal History Bars for DFPS Volunteers, Interns, and Non-DFPS Staff to assess all criminal history. This appendix indicates the criminal convictions that are absolute bars to provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources. See 2520 Absolute Bar.

All other criminal history is reviewed by Background Checks staff to determine if the subject may provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources. See 2423 Risk Assessment for Criminal History.

All subjects required to complete a background check under this policy are required to self-report any new arrest. See 1310 Reporting New Criminal Incidents and DFPS Investigations.

Background Checks staff assess new arrest information according to this policy and determine what action is required, if any.

2421 Sex Offender Registry Records

Background Checks April 2023

Background Checks receives information regarding sex offender registration as part of the criminal history background check process. If the subject of a background check is currently a registered sex offender in Texas or any other state, the subject is barred from providing services to populations served by DFPS and obtaining direct access or direct contact with DFPS clients, participants, or resources.

2422 Juvenile History Records

Background Checks April 2023

DFPS receives certain juvenile history records from DPS and the FBI while conducting a criminal background check. Background Checks staff review juvenile history records and assess the risk to DFPS clients, participants, or resources based on 2423 Risk Assessment for Criminal History.

If Background Checks staff determine there is a risk of immediate harm because of the subject’s juvenile history, Background Checks staff consult with DFPS legal staff to determine the appropriate action.

2423 Risk Assessment for Criminal History

Background Checks April 2023

Background Checks staff may complete a risk assessment for criminal history that is not identified as a bar on Appendix 3: Criminal History Bars for DFPS Volunteers, Interns, and Non-DFPS Staff or if the subject has certain juvenile incidents or crimes. A risk assessment helps staff determine whether the crime poses a risk to the health or safety of children, and therefore, justifies a bar to provide services to populations served by DFPS, or obtain direct access or direct contact with DFPS clients, participants, or resources.

To assess the risk to DFPS clients, participants, or resources, Background Checks staff consider such factors as the following:

  • Whether the subject has taken any measures toward rehabilitation.
  • The length of time since the crime occurred.
  • The severity of the crime.
  • Whether there is a pattern of any type of juvenile or adult criminal history.
  • The role that the subject played in the crime.
  • The current or prospective position and responsibilities of the subject.
  • The contractor’s history of compliance with DFPS policies.
  • Whether any additional factors mitigate the risk to DFPS clients, participants, or resources.

For juvenile history, staff consider the following additional factors:

  • The age of the victim, if applicable.
  • The age of the subject at the time of the incident.
  • Whether the incident would justify a bar if the offense is similar to an adult crime.

Background Checks management must approve the risk assessment before the subject may provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources.

2430 Out-of-State Abuse and Neglect History Check

Background Checks April 2023

If DFPS has good cause to request a check for an abuse and neglect history from another state, and the contractor or subject refuses to provide the information needed to facilitate the check, DFPS bars the subject from providing services to populations served by DFPS and obtaining direct access or direct contact with DFPS clients, participants, or resources. See 2520 Absolute Bar.

A bar imposed because of a refusal to provide information may be reversed, if:

  • DFPS receives the requested information.
  • A risk assessment determines that the subject’s history does not justify a bar under this background check policy.

After processing a background check, the final determination is sent to the background check requestor or the email address listed for the account in ABCS based on notification type.

2500 Making a Determination

Background Checks April 2023

Although Background Checks staff determine whether a subject may or may not provide services to populations served by DFPS or obtain direct access or direct contact with DFPS clients, participants, or resources, the determination does not prohibit the subject from remaining employed or volunteering with the contractor. The decision to hire, terminate employment, or remove a volunteer is made at the discretion of the contractor; however, the contractor ensures that staff who are not cleared by Background Checks do not provide any services to populations served by DFPS or have direct access or direct contact with DFPS clients, participants, or resources.

Subjects may provide services to populations served by DFPS or have direct access or direct contact with DFPS clients, participants, or resources before the initial background check has been cleared by Background Checks, if there are documented extenuating circumstances approved by DFPS.

For information on conducting reviews of background check determinations, see 1320 Reviewing Background Check Decisions.

2510 Cleared

Background Checks April 2023

A subject is deemed cleared for providing services to populations served by DFPS and obtaining direct access and direct contact with DFPS clients, participants, or resources, if the subject meets the following conditions:

2520 Absolute Bar

Background Checks April 2023

A subject is deemed barred from providing services to populations served by DFPS and obtaining direct access or direct contact with DFPS clients, participants, or resources if the subject meets the following conditions:

If DFPS contract staff are notified that the background check results in a bar that precludes the execution of a contract, the contract manager:

  • Notifies the applicant or prospective contractor of the contract denial.
  • Notifies procurement of the decision to deny the contract.
  • Refers any inquires to Background Checks.

 

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