10000 Background Checks for Single Source Continuum Contractors (SSCC)
Background Checks July 2022
DFPS Background Checks completes background checks on staff members, volunteers, contractors and subcontractors of a single source continuum contractor (SSCC) for Community-Based Care (CBC) who are not employed by DFPS but who have a business need for direct access to or direct contact with DFPS resources and clients.
These SSCC staff members, volunteers, contractors, and subcontractors may have direct access to or direct contact with DFPS resources and clients only after being assessed for risk based on the background check results. This policy explains the criteria for assessing risk.
A background check includes both of the following:
DFPS may also require additional types of background checks, such as an FBI fingerprint check or an out-of-state abuse and neglect history check. SSCC staff members, volunteers, contractors, and subcontractors are not allowed direct access to or direct contact with DFPS resources or clients until all required background checks have been completed and approved by Background Checks. See 10340 Incomplete Background Check. These additional types of background checks are required in the following situations:
- DFPS requires an FBI fingerprint check when any of the following apply:
- The person will have direct access to criminal history record information (CHRI).
- The person will have direct access to IMPACT.
- The person currently lives out-of-state or lived out-of-state in the last two years.
- DFPS has a reasonable belief that the person may have criminal history in another state.
- DFPS may require an out-of-state abuse and neglect history check for good cause, such as when DFPS has a reasonable belief that the person may have a history of abuse or neglect in another state.
10100 Division of Responsibilities for Background Checks on SSCC Staff Members, Volunteers, Contractors, and Subcontractors
10110 SSCC Responsibilities
Background Checks July 2022
SSCCs do the following:
- Enter background check requests into the Automated Background Check System (ABCS).
- Inactivate SSCC staff members, volunteers, contractors, and subcontractors in ABCS within 24 hours after the person is no longer associated with the SSCC, no longer needs direct access to or direct contact with DFPS resources or clients, or is barred from direct access to or direct contact with DFPS resources or clients.
- Notify DFPS Program Support staff when a person is no longer associated with the SSCC, no longer needs direct access to or direct contact with DFPS resources or clients, or is barred from direct access to or direct contact with DFPS resources or clients.
- Confirm that background checks are completed and approved by Background Checks before requesting direct access to or direct contact with DFPS resources or clients for a person.
- Make sure required renewal background checks and required forms are submitted before the expiration date of the existing background check, 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 subject to this policy discloses any criminal history or history of being a perpetrator of abuse, neglect, or exploitation.
10120 Contract Administration Manager (CAM) Responsibilities
Background Checks July 2022
CAMs are the DFPS sponsors of the SSCC for CBC. CAMs do the following:
- Communicate with the SSCC 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 SSCC has verified the accuracy of the personal information of each person seeking direct access to or direct contact with DFPS resources or clients, including in documentation for background check renewals.
- Obtain and provide any missing or additional information that Background Checks requires.
- Notify the SSCC when a subject is barred from having direct access to or direct contact with DFPS resources or clients.
10130 Program Support Responsibilities
Background Checks July 2022
Program Support staff members do the following:
- Request background checks for SSCC staff members, volunteers, contractors, and subcontractors who need direct access to or direct contact with DFPS resources or clients, if the SSCC has not already requested the background checks.
- Verify that all background checks are cleared before approving and assigning direct access to DFPS resources.
- Terminate direct access to DFPS resources when notified that an SSCC staff member, volunteer, contractor, or subcontractor has any of the following situations:
- Does not clear the required annual renewal background check.
- Is no longer associated with the original SSCC.
- No longer needs direct access to DFPS resources.
10140 Background Checks Staff Responsibilities
Background Checks July 2022
Background Checks staff members do the following:
- Complete background checks accurately and in a timely manner.
- Notify Program Support staff to mark cases as sensitive in IMPACT, when applicable.
- Notify the SSCC when the subject of the background check has abuse, neglect, exploitation, or criminal history that DFPS Background Checks staff reviewed and cleared.
- Notify the SSCC by email and copy the CAM when the subject of the background check has abuse, neglect, exploitation, or criminal history that DFPS Background Checks staff reviewed and did not clear.
10200 Background Check Renewals
Background Checks July 2022
The SSCC must initiate a renewal background check request for everyone every 12 months from the date of the original request, for as long as the person is authorized to have direct access to or direct contact with DFPS resources and clients. The person can continue accessing DFPS resources and contacting clients while waiting for the outcome of a renewal background check.
If the results of the renewal background check reveal criminal, abuse, neglect, or exploitation history that would bar the person from direct access or direct contact, the person is no longer allowed direct access to or direct contact with DFPS resources or clients.
10300 Background Check Determinations
Background Checks July 2022
The Background Checks staff decides to clear or bar a person from having direct access to or direct contact with DFPS resources and clients based on the results of the background check.
In addition, if an SSCC staff member, volunteer, contractor, or subcontractor was previously cleared for direct access to or direct contact with DFPS resources and clients and is later involved in a new DFPS abuse, neglect, or exploitation investigation or new criminal arrest, Background Checks reviews the details of the new investigation or arrest to determine whether the person may continue accessing DFPS resources and contacting DFPS clients or be barred from all access to and contact with DFPS resources and clients. See 1312 New DFPS Investigations.
The determination is based on the following appendices:
Appendix 3: Criminal History Bars for DFPS Volunteers, Interns, and Non-DFPS Staff
The appendices indicate the following:
- The criminal convictions that are absolute bars to access to and contact with DFPS resources and clients.
- The DFPS history of abuse, neglect, or exploitation that is an absolute bar to access to and contact with DFPS resources and clients.
SSCC staff members, volunteers, contractors and subcontractors authorize Background Checks staff to disclose any criminal history or DFPS history of abuse, neglect, or exploitation found during the background check to the SSCC and CAM. This authorization is granted when the person signs Form 2951 SSCC Staff Background Check Request and Release of Information and submits it to the CAM.
There are several possible determinations (outcomes) of a background check. These are described in the subsections below.
10310 Cleared
Background Checks July 2022
When the subject of the background check is an SSCC staff member, volunteer, contractor, or subcontractor, Background Checks staff notifies the SSCC that the person is cleared and may have direct access to or direct contact with DFPS resources and clients, if either of the following applies:
- The person does not have any history of DFPS abuse, neglect, or exploitation and also has no criminal convictions.
- The person has history that does not result in a bar.
However, see 10330 Risk Assessment for exceptions for juvenile criminal history and criminal convictions not listed.
In the cleared notification to the SSCC, Background Checks staff lists any criminal, abuse, neglect, or exploitation history that was reviewed and cleared. This includes the following information for each DFPS investigation or criminal incident:
- The date the DFPS investigation closed or the date the criminal incident was resolved.
- The specific type of DFPS history or crime.
- The person’s role in the investigation or criminal incident.
- The overall finding of the DFPS investigation or outcome of the criminal investigation.
10320 Absolute Bar
Background Checks July 2022
When the subject of the background check is an SSCC staff member, volunteer, contractor, or subcontractor, Background Checks staff notifies the CAM and SSCC that the background check results bar the person from direct access to or direct contact with DFPS resources and clients, if the person has any of the following:
- Criminal history listed on Appendix 3: Criminal History Bars for DFPS Volunteers, Interns, and Non-DFPS Staff.
- Abuse, neglect, or exploitation history identified in Appendix 1: Abuse, Neglect, and Exploitation History Bars for DFPS Employees, Prospective Employees, Non-DFPS Staff, CASA Employees, Volunteers, and Board Members.
- Abuse, neglect, exploitation, or criminal history that requires a risk assessment and that Background Checks staff determines is a bar. See 10330 Risk Assessment.
Background Checks staff does not include any information that identifies the specific criminal, abuse, neglect, or exploitation history in the barred notification to the SSCC and CAM.
10330 Risk Assessment
Background Checks July 2022
When the subject of the background check is an SSCC staff member, volunteer, contractor, or subcontractor, Background Checks staff reviews the history to determine whether a risk assessment is required before making a determination on whether to allow the person to have direct access to or direct contact with DFPS resources or clients, if the person has either of the following:
- One or more criminal convictions not listed on Appendix 3: Criminal History Bars for DFPS Volunteers, Interns, and Non-DFPS Staff.
- Abuse, neglect, or exploitation history not identified in Appendix 1: Abuse, Neglect, and Exploitation History Bars for DFPS Employees, Prospective Employees, Non-DFPS Staff, CASA Employees, Volunteers, and Board Members.
Background Checks staff also conducts a risk assessment on all juvenile criminal history obtained from the Texas Department of Public Safety (DPS) or the FBI. If Background Checks staff assesses that there is risk of immediate harm if direct access to or direct contact with DFPS resources or clients is allowed, Background Checks staff consults with the DFPS Office of the General Counsel (Legal Division) to make a final determination.
Based on the risk assessment, Background Checks staff does one of the following:
- Notifies the SSCC that the person is cleared and may have direct access to or direct contact with DFPS resources and clients. See 10310 Cleared.
- Notifies the SSCC and CAM that the person is barred and may not have direct access to or direct contact with DFPS resources or clients. See 10320 Absolute Bar.
A person is not granted direct access to or direct contact with DFPS resources or clients until the risk assessment is complete and the person is cleared.
10340 Incomplete Background Check
Background Checks July 2022
If a background check is requested, but Background Checks staff is not able to successfully complete it, all of the following occur:
- Background Checks staff closes the background check.
- Background Checks staff records it as a bar for failure to comply.
- The person is barred from direct access to and direct contact with DFPS resources or clients.
This occurs in the following circumstances:
- The person does not communicate with Background Checks staff or provide needed information and documents within 10 calendar days after being asked for the information or documents.
- Background Checks staff is unable to obtain all required information to complete the background check within 30 calendar days after the request date.
The CAM may contact Background Checks to request an extension of the 30-day deadline. The CAM must provide proof that reasonable steps have been taken to provide the required information.
If a background check is closed and the person is barred under these circumstances, the CAM submits a new background check request to restart the process once the required documentation is available. Please see 10120 Contract Administration Manager (CAM) Responsibilities.