Finding Text
2023-002 – Character Investigations
Federal program information:
Funding Agency: U.S. Department of Health and Human Services
Title: Indian Health Services Self-Governance
Assistance Listing Number: 93.210
Award Period: January 1, 2023 – December 31, 2023
Criteria: 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 character investigations of any employee or person who will be employed if their duties will involve regular contact with children. 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.
Condition: The Department does not have policies and procedures in place covering character investigations. During our review of employee files, all five employee files tested did not have evidence of a character investigation.
Context: Five of five files tested.
Questioned Costs: None.
Cause: Policies and procedures are not in place to ensure employees in contact with children have character investigations completed.
Effect: The program described above is not in compliance with character investigation requirements.
Auditors’ Recommendation: Policies and procedures should be designed and implemented to require all individuals in contact with children to undergo a character investigation prior to being hired. Ensure the policies are enforced once adopted.
Management Response: The Department completes character investigations for school and daycare employees, but did not initiate the practice of completing character investigations for health clinic employees until 2024. The Department will develop and implement a policy and procedures for character investigations that is compliant with the Indian Child Protection and Family Violence Prevention Act. For employees that have regular contact with children, the Department will only employ individuals who have been the subject of a satisfactory background check.