Summary of Report 06-049

July 2006

Report Number 06-049

According to the results of a State Auditor's Office survey, the majority of the 54 state agencies that are authorized by law to access criminal history records use this access to perform criminal history background checks on their employees, licensees, and contractors. Specifically:

- Thirty-eight agencies (70 percent) reported that they perform criminal history background checks on applicants for new licenses, permits, or certificates.

- Twenty-one agencies (39 percent) reported that they perform criminal history background checks when individuals renew licenses, permits, or certificates.

- Thirty-three agencies (61 percent) reported that they perform criminal history background checks on employees and contractors.

Agencies can access criminal history records in a variety of ways. For example, agencies can perform name-based criminal history background checks using state criminal history records. (Although these checks are referred to as name-based checks, they can be performed using an individual's name, Social Security number, race, gender, and date of birth.) The agencies can also perform more thorough checks by obtaining an individual's fingerprints and checking them against state or national criminal history records. Using fingerprints is the most expensive method, but it is also the most accurate.

We audited six state agencies and determined that five of them should improve their processes for performing criminal history background checks and following up on the results of those checks to identify individuals who are prohibited from receiving licenses or becoming employed. Those agencies were:

- The Commission on Law Enforcement Officer Standards and Education

- The Texas Education Agency and State Board for Educator Certification

- The Department of Aging and Disability Services

- The Department of State Health Services

- The Department of Criminal Justice

These agencies should also strengthen the processes they use to identify individuals convicted of offenses after they have already received a license or become employed. During our audit, the sixth agency audited--the Department of Licensing and Regulation--identified and prevented individuals who had serious criminal convictions from obtaining licenses as electricians and air conditioning and refrigeration contractors. However, the Department changed its process after the conclusion of this audit and now performs criminal history background checks on a sample of renewal applicants. This change increases the risk that licensees with criminal convictions that would prohibit them from licensure could maintain their licenses.

While we could not definitively conclude that the individuals for whom we performed criminal background checks during this audit had been convicted of an offense, we provided the results of the checks we obtained from the Department of Public Safety to the agencies we audited. We recommended that the agencies investigate these results. The agencies should continue the investigations and take disciplinary action and/or possibly revoke licenses or employment in accordance with state laws and regulations.

State agencies do not always consider deferred adjudications during their licensing or employment processes, in part because they are not required by statute to do so. In addition, when the dispositions of arrests are not reflected in the Department of Public Safety's Computerized Criminal History system, agencies do not always follow up to determine the dispositions. Not determining the dispositions of arrests could allow an individual who has committed a serious criminal offense to obtain a license or a job for which he or she would not otherwise be eligible under the law or agency rules. The Department of Public Safety is a resource for identifying the disposition of arrests.

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