2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.
2023-001 – SPECIAL TESTS AND PROVISIONS Federal Program: Tribal Self-Governance Program: IHS Compact Funding Agreement Federal Agency: U.S. Department of Health and Human Services Assistance Listing Number: 93.210 Grant Award Number and Year: Funding Agreement # 66G130108, 7/1/2022 – 6/30/2023 Criteria: Title 42 of the Code of Federal Regulations (CFR), Subpart K - Indian Child Protection and Family Violence Prevention, §136.404, states that "All Indian Tribes or Tribal organization receiving funds under the authority of the ISDEA must identify those positions that permit regular contact with or control over Indian children; conduct an investigation of the character of each individual who is employed or is being considered for employment in a position that involves regular contact with or control over Indian children; and employ only individuals who meet standards of character that are no less stringent that those prescribed by regulations in this subpart." §136.406 goes on to clarify that "the minimum standards of character shall be considered met only after the individual has been the subject of a satisfactory background investigation" which must include "a criminal background check, which includes a fingerprint check through the Criminal Justice Information Services Division of the Federal Bureau of Investigation (FBI), under procedures approved by the FBI." Condition: It was noted during testing performed over the Organization’s compliance with the provisions of its IHS Compact funding agreement, that no employees underwent a fingerprint check through the Criminal Justice Information Services Division of the FBI either before hiring, or during the year under audit. Questioned Costs: None. Cause: The Organization was unable to perform the required fingerprinting for employees and applicants deemed to fall under the criteria of 42 CFR §136.404 because its application to gain access through fingerprinting to FBI criminal records was denied by the California Attorney General’s Office due to lack of statutory
authority that allows the Organization to receive such information. Effect: As of June 30, 2023, no employees of the Organization had undergone fingerprinting as required by 42 CFR §136.406. Recommendation: On January 11, 2023, the Organization obtained approval from the California Attorney General’s Office to receive federal criminal offender record information. However, identification of covered individuals, and actual fingerprinting did not begin until after the year under audit. It appears that the Organization has
been granted the access required to comply with 42 CFR §136.406. We recommend that the Organization establish written policies for determining which employees and applicants should undergo fingerprinting, and adopt and implement policies and procedures for performing an FBI fingerprinting check during the hiring process going forward. Organization’s Corrective Action Plan: Refer to the Organization’s Corrective Action Plan below.