Overview
EEC did not conduct background record checks for all employees of its licensed residential programs. Of the 2,852 employees from the 40 residential programs we sampled,18 we identified 243 exceptions across 39 of the 40 residential programs. Specifically, 19 (8%) of these 243 employees did not have any completed component of the background record checks; 89 (37%) of the 243 employees did not have a completed fingerprint check; and 1 (<1%) of the 243 employees did not have either a completed Criminal Offender Record Information check or a completed DCF check. We found that 50 (21%) of these 243 employees did not receive the required renewed background record check. EEC also did not ensure that 84 (35%) of the 243 employee fingerprint checks were completed within the required 120 days. In fact, the average number of days to complete the fingerprint checks was 343 (or 223 beyond the required 120 days).
Background Record Check Exception Types for Licensed Residential Programs
| Exception Type by Employee | Number of Exceptions* | Percentage** |
|---|---|---|
| No Background Record Check | 19 | 8% |
| No Fingerprint Check | 89 | 37% |
| No Criminal Offender Record Information or DCF Check | 1 | <1% |
| No Renewed Background Record Check | 50 | 21% |
| FP Checks Completed > 120 days | 84 | 35% |
| Total | 243 | 100% |
* This table examines the exceptions to our testing sample, not all exceptions that may exist in the entire population. Given the nature of sampling, we would expect the total number of exceptions to be higher than the number provided here.
** Discrepancy in total is due to rounding.
EEC cannot ensure the safety of children in its residential programs if it does not complete background record checks for all employees from those programs in a timely manner or at all.
Authoritative Guidance
According to 606 CMR 14.05(1),
The following candidates must complete an EEC [background record check] regardless of type:
(a) All candidates who are directly employed or intern within Programs must complete a full [background record check] through the Program, regardless of whether such individuals work in an unsupervised capacity.
Section 7(a)(i) of Chapter 15D of the General Laws states,
As part of the department’s licensing and background record check process, the department, prior to issuing any license, shall: (1) obtain from the sex offender registry board all available sex offender registry information, including all registration forms and documents maintained by the sex offender registry board considered necessary by the department to investigate background record checks or licensing violations, associated with the address of the program, center, facility or home; and (2) conduct fingerprint-based checks of the state and national criminal history databases. . . . Additionally, the department shall obtain all available criminal offender record information through the department of criminal justice information services . . . and all supported findings and pending investigations of abuse or neglect available through the department of children and families.
EEC’s Background Record Check Unit Policy Number: 19–009 states,
Conditional hiring is authorized after a candidate has completed all components of an EEC [background record check] with the exception of the fingerprint-based check of state and national criminal databases. . . . Candidates in this status are urged to complete fingerprint-based checks as quickly as possible.
Candidates may only be in unsupervised conditional status for a maximum of 120 days from the date of the implementation of this status unless the Program receives a written extension of the status from EEC.
Reasons for Issues with Background Record Checks
EEC told us that it is each program’s responsibility to track employee background record checks and renewals. While we understand that residential programs must report employees to EEC for background record checks and renewals to be conducted, it is ultimately the responsibility of EEC to ensure that the programs’ employees have had the required background record checks.
Recommendations
- EEC should actively monitor the process to ensure that it completes and renews background record checks for all residential program employees as required.
- EEC should not rely solely on the residential programs to track and manage the renewal of background record checks for their employees but should instead implement its own oversight to ensure compliance.
Auditee’s Response
EEC recognizes its role in ensuring background record checks have been completed for all employees of its licensed residential programs.
During the audit period, a [Criminal Offender Record Information (CORI), [Sex Offender Registry Information (SORI)], and DCF check was still required for any candidate working in a program even where a fingerprint-based check had not yet been completed. Additionally, due to the COVID‑19 pandemic, the federal Department of Health & Human Services issued guidance on April 15, 2020, stating that child care institutions could conduct all available name-based criminal background checks and complete the fingerprint-based checks as soon as they could safely do so, in situations where only name-based checks were completed. EEC followed this guidance during the COVID-19 pandemic from April 15, 2020, until the state of emergency was lifted in June 2021. After June 2021, candidates who were fingerprinted outside of the 120-day timeframe were brought into compliance.
During the audit period, residential programs could only view fingerprint status, which was updated when suitability was determined. This suitability date is what the programs relied on to ascertain the date for renewal.
Additionally, during the audit period, residential programs were responsible for initiating the background record checks for their employees. After the CORI, SORI, and DCF checks were run, a fingerprint-based check was run. If an individual had no history on the fingerprint-based check, the programs were responsible for approving certain checks and providing that decision to EEC for a suitability determination.
Currently, EEC is responsible for completing all background record checks and suitability determinations for employees in licensed residential programs. All residential program candidates must obtain a fingerprint-based check within 45 days of submission. Once the fingerprint-based check has been completed, CORI, SORI and DCF checks are initiated. EEC no longer allows conditional status for employees of residential programs. A full suitability determination must be issued by EEC prior to any residential candidate working in an EEC licensed residential program. Additionally, since August 2023, background record checks for residential candidates have been processed through the BRC Navigator system. This system now allows EEC licensors and BRC staff to monitor candidates in the renewal period. EEC is now using reports within the Navigator and LEAD systems to assist licensing staff to monitor timeframes for BRC renewals and EEC is continuing to enhance these systems to provide better notifications to candidates and programs regarding renewal statuses.
Auditor’s Reply
EEC claims that during the audit period, Criminal Offender Record Information, Sex Offender Registry Information, and DCF checks were still required for a candidate even when a fingerprint check had not yet been completed. However, this does not appear to be the case as we identified candidates in our finding without one or more of these checks. These program employees have unsupervised access to the children in EEC’s care, and as such, failure to conduct required background screenings creates unnecessary risk to child safety. It is likely that this is why these checks are required by law, regulation and policy, and this is why it is important for EEC to comply with them.
EEC attributes some of these deficiencies to the challenges posed by the COVID-19 pandemic and references federal guidance issued on April 15, 2020, which allowed for name-based criminal background checks in lieu of fingerprint-based checks during the pandemic. It is important to note that the cited federal guidance emphasized the importance of completing fingerprint-based checks “as soon as they could safely do so.” We remind EEC that our finding indicates that the average number of days to complete the fingerprint checks was 343. We believe it is reasonable to expect that a fingerprint check could be scheduled and safely conducted within less time than the nearly one-year we identified. This does not appear to align with the federal guidance cited by EEC. Moreover, the state of emergency in Massachusetts ended on June 15, 2021, and the majority of the audit period occurred after this date. The federal guidance cited by EEC did not apply to the majority of the audit period. Additionally, all exceptions noted in our finding occurred after the end of the COVID‑19 state of emergency. We found that many employees’ background record checks remained incomplete or were not conducted in a timely manner throughout the remainder of the audit period. Therefore, it appears to be inaccurate or misleading to cite COVID-19 as the cause of the finding.
EEC also states that, during the audit period, residential programs were responsible for initiating background record checks and that EEC’s role was limited to conducting certain checks upon notification from the programs. While residential programs play a role in initiating checks, EEC acknowledges in its response that it is ultimately responsible for ensuring compliance with background record check requirements and determining a candidate’s suitability. Reliance on programs to self-manage this process without sufficient oversight from EEC may result in noncompliance and pose potential risks to child safety.
EEC states it has since taken steps to improve its processes, such as eliminating conditional status for employees, requiring full suitability determinations before employment, and implementing new systems to monitor renewals. These are positive developments that, if effectively implemented and monitored, could address some of the deficiencies identified.
| Date published: | November 25, 2024 |
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