Finding 404040 (2023-001)

Criteria or Specific Requirement: The Indian Child Protection and Family Violence Prevention Act (25 USC 3207 requires tribes and tribal organizations that receive funds under the ISDEAA to 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 25 U.S.C. § 3207(c); 34 U.S.C. § 20351. The Act further states that the tribe or tribal organization can employ only individuals who meet standards of character that are no less stringent than those prescribed by the regulations, which are outlined in 42 CFR section 136.405, and only after an individual has been the subject of a satisfactory background investigation as described in 42 CFR section 136.406. Tribes and tribal organizations may conduct their own background investigations, contract with private firms, or may request that a Federal or State agency conduct investigations., FBI fingerprint checks are required Tribes and tribal organizations can provisionally hire individuals prior to completion of a satisfactory background investigation only if, at all times prior to receipt of the satisfactory background investigation and when Indian children are in the care of the individual, the individual is within sight and under the supervision of someone on staff that has a completed satisfactory background investigation. Condition: One employee out of a selection of 25 for testing was found guilty of a felonious offense or any of two or more misdemeanor offenses under Federal, State, or Tribal law involving crimes of violence; sexual assault, molestation, exploitation, contact, or prostitution; crimes against persons; or offenses committed against children. Context: 25 C.F.R. § 136.405 bars employment in child-related positions for “individuals who have been found guilty of, or entered a plea of nolo contendere or guilty to, any felonious offense or any of two or more misdemeanor offenses under Federal, State, or Tribal law involving crimes of violence; sexual assault, molestation, exploitation, contact, or prostitution; crimes against persons; or offenses committed against children”. Questioned Costs: None Effect: The Tribe is not in compliance with Character Investigations by Indian Tribes and Tribal Organizations and The Indian Child Protection and Family Violence Prevention Act (25 USC 3207). Cause: The Tribe has not implemented internal controls over character investigations by Indian Tribes and Tribal Organizations. Auditor's Recommendation: Management should implement internal controls to follow the requirements in The Indian Child Protection and Family Violence Prevention Act (25 USC 3207). View of Responsible Officials: Before 2017, when the employee was hired, the Band had not fully implemented 25 C.F.R. § 136.405.