8000 Background Checks for State and Federal Audit Staff
Background Checks May 2023
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.
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 resources or facilities.
The state or federal auditor’s employer submits criminal history background checks on the state or federal auditor. As a result, this population is not required to have a criminal background check processed by DFPS.
Access may be granted to DFPS 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 this policy.
8100 Defining Responsibilities
8110 State and Federal Audit Staff
Background Checks May 2023
The state and federal audit staff:
- Consent to a DFPS History background check by completing and signing Form 2944 Non-DFPS Staff Background Check Request.
- Consent to abide by DFPS computer security guidelines by reading and signing Form 4047 Non-DFPS Staff Computer Security Agreement.
8120 DFPS Sponsor
Background Checks May 2023
The DFPS sponsor:
- 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 completed, and the person is cleared 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 2944 Non-DFPS Staff Background Check Request. Form 2944 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.
8130 DFPS Program Support
Background Checks May 2023
Program Support staff:
- Initiate background check requests through the Automated Background Check System (ABCS).
- Verify that all background checks show cleared results before approving and assigning access to DFPS resources or facilities.
- Terminate access to DFPS resources or facilities when notified that the individual did not clear the required, annual renewal background check.
- Terminate access to DFPS resources or facilities when notified that the individual is no longer employed as a state or federal auditor or no longer requires access to DFPS resources or facilities.
8140 Background Checks Staff
Background Checks May 2023
Background Checks staff:
- Process and complete DFPS History background checks accurately and in a timely manner.
- Provide the results of the background checks to the DFPS sponsor.
- Conduct a risk assessment, if appropriate (see 8330 Risk Assessment).
8200 Renewals of Background Checks
Background Checks May 2023
The DFPS sponsor must submit Form 2944 Non-DFPS Staff Background Check Request to initiate a renewal background check every year for a person who has a background check under this policy. The request must be submitted before the expiration date of the current background check.
If the request is submitted timely, the individual can continue to access DFPS resources and facilities pending the outcome of a renewal background check.
If the results of the renewal check reveal abuse or neglect history that would bar the individual from access, the individual is no longer allowed access to DFPS resources and facilities.
8300 Making a Determination
Background Checks May 2023
Background Checks staff make a determination to approve or deny a state or federal auditor’s direct access to DFPS resources and facilities, and inform the DFPS sponsor of the final decision.
The initial determination is based 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.
8310 Cleared Background Checks
Background Checks May 2023
If a state or federal auditor has no history of abuse, neglect, or exploitation that is listed 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, Background Checks staff notify the DFPS sponsor and Application Security Administrators (ASA) staff that the background check has been cleared for the person.
8320 Absolute Bars
Background Checks May 2023
If a state or federal auditor has a history of abuse, neglect, or exploitation that is identified as an Absolute 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, Background Checks staff notify the DFPS sponsor that the background check results bar the person from having access to DFPS resources or facilities
8321 DFPS Background Checks and Employment with Auditor Agency
Background Checks May 2023
If DFPS Background Checks staff deny access to a state or federal auditor, that denial only prohibits direct access to DFPS resources or facilities.
The decision to hire or terminate a state or federal auditor is made at the discretion of the agency that employees the auditor.
8330 Risk Assessment
Background Checks May 2023
If the person has any DFPS history that requires review, Background Checks staff do 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 of one of the following:
- The person is cleared and may have access to DFPS resources.
- The person is not cleared, and access is denied.
Background Checks staff do not include the specific abuse, neglect, or exploitation history in the notice approving or denying clearance.
The person may not access DFPS resources or facilities until both of the following occur:
- The risk assessment is complete.
- The Background Checks staff clear the person.