5.7 Comprehensive Background Checks

Lead Agencies must conduct comprehensive background checks for all child care staff members (including prospective staff members) of all child care providers that are (1) licensed, regulated, or registered under State/Territory law, regardless of whether they receive CCDF funds; or (2) all other child care providers eligible to deliver CCDF services (e.g., license-exempt CCDF eligible child care providers). Family child care home providers must also submit background check requests for all household members age 18 or older. A comprehensive background check must include: three in-state checks, two national checks, and three interstate checks if the individual resided in another State or Territory in the preceding 5 years. The background check components must be completed at least once every five years. All child care staff members must receive a qualifying result from either the FBI criminal background check or an in-state fingerprint criminal history check before working (under supervision) with or near children. Lead Agencies must apply a CCDF-specific list of disqualifying crimes for child care providers serving families participating in CCDF. These background check requirements do not apply to individuals who are related to all children for whom child care services are provided. Exemptions for relative providers will be addressed in subsection 5.8. 5.7.1 In-state criminal history check with fingerprints a. Does the Lead Agency conduct in-state criminal history background checks with fingerprints for all child care staff members (including prospective staff members) of licensed, regulated, or registered child care providers, regardless of CCDF participation? ☐ Yes. ☐ X No. If no, describe any categories of licensed, regulated, or registered child care providers for whom you do not conduct in-state criminal background checks with fingerprints. California received a notice of possible non-compliance on May 8, 2024, from the Office of Child Care based on the January 2024 Cycle 2 monitoring visit and needs additional time to meet the requirement. Staff at licensed child care centers in California who provide any element of care and supervision to children are required to be at least 18 years of age. California law does not currently authorize the Lead Agency to conduct a background check, including in-state criminal history background checks, on other individuals under 18 years of age who may be present or work in a licensed facility. Additional individuals present in licensed child care facilities who may be exempt from background check requirements pursuant to California Health and Safety Code section 1596.871 include the following: o A volunteer providing time-limited specialized services who is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. o A student enrolled or participating at an accredited educational institution who is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. o A volunteer who is a relative, legal guardian, or foster parent of a client in the facility. o A contracted repair person retained by the facility, if not left alone with children in care. o Employees of a childcare and development programs under contract with the State Department of Education who have completed a criminal record clearance as part of an application to the Commission on Teacher Credentialing. o Employees of a childcare and development program operated by a school district, county office of education, or community college district under contract with the State Department of Education who have completed a criminal record clearance as a condition of employment. b. Does the Lead Agency conduct in-state criminal history background checks with fingerprints for all child care staff members (including prospective staff members) of all other child care providers eligible for CCDF participation (i.e., license-exempt providers) other than relative providers? ☐ Yes. X No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct in-state criminal background checks with fingerprints. California received a notice of possible non-compliance on May 8, 2024, from the Office of Child Care based on the January 2024 Cycle 2 monitoring visit and needs additional time to meet the requirement. California law does not currently authorize the Lead Agency to conduct a background check, including in-state criminal history background checks, on individuals under 18 years of age. c. Does the Lead Agency conduct the in-state criminal background check with fingerprints for all individuals age 18 or older who reside in a family child care home? ☐ X Yes. ☐ No. If no, describe individuals age 18 or older who reside in a family child care home who do not receive an in-state criminal background check with fingerprints. Not applicable. 5.7.2 National Federal Bureau of Investigation (FBI) criminal history check with fingerprints a. Does the Lead Agency conduct FBI criminal history background checks with fingerprints for all child care staff members (including prospective staff members) of licensed, regulated, or registered child care providers, regardless of CCDF participation? ☐ Yes. Not applicable • X No. If no, describe any categories of licensed, regulated, or registered child care providers for whom you do not conduct FBI criminal background checks with fingerprints. California received a notice of possible non-compliance on May 8, 2024, from the Office of Child Care based on the January 2024 Cycle 2 monitoring visit for this provision and needs additional time to meet the requirement. Staff at licensed child care centers in California who provide any element of care and supervision to children are required to be at least 18 years of age. California law does not currently authorize the Lead Agency to conduct a background check, including FBI criminal history background checks, on other individuals under 18 years of age who may be present or work in a licensed facility. Additional individuals present in licensed child care facilities who may be exempt from background check requirements pursuant to California Health and Safety Code section 1596.871 include the following: o A volunteer providing time-limited specialized services who is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. o A student enrolled or participating at an accredited educational institution who is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. o A volunteer who is a relative, legal guardian, or foster parent of a client in the facility. o A contracted repair person retained by the facility, if not left alone with children in care. o Employees of a childcare and development programs under contract with the State Department of Education who have completed a criminal record clearance as part of an application to the Commission on Teacher Credentialing. o Employees of a childcare and development program operated by a school district, county office of education, or community college district under contract with the State Department of Education who have completed a criminal record clearance as a condition of employment. b. Does the Lead Agency conduct FBI criminal history background checks with fingerprints for all child care staff members (including prospective staff members) of all other child care providers eligible for CCDF participation (i.e., license-exempt providers)? ☐ Yes. ☐ X No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct FBI criminal background checks. California received a notice of possible non-compliance on May 8, 2024, from the Office of Child Care based on the January 2024 Cycle 2 monitoring visit for this provision and needs additional time to meet the requirement. California law does not currently authorize the Lead Agency to conduct a background check on other individuals under 18 years of age. c. Does the Lead Agency conduct the FBI criminal background check with fingerprints for all individuals age 18 or older who reside in a family child care home? ☐ X Yes. ☐ No. If no, describe individuals age 18 or older who reside in a family child care home who do not receive an FBI criminal background check with fingerprints. Not applicable. 5.7.3 National Crime Information Center (NCIC) National Sex Offender Registry (NSOR) name-based check The majority of NCIC NSOR records are fingerprint records and are automatically included in the FBI fingerprint criminal background check. But a small percentage of NCIC NSOR records are only name-based records and must be accessed through the required name-based search of the NCIC NSOR. a. Does the Lead Agency conduct NCIC NSOR name-based background checks for all child care staff members (including prospective staff members) of licensed, regulated, or registered child care providers, regardless of CCDF participation? ☐ Yes. ☐ X No. If no, describe any categories of licensed, regulated, or registered child care providers for whom you do not conduct NCIC NSOR name-based background checks. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. The California Department of Social Services (CDSS) is pursuing federal technical assistance (TA) with the National Center on Subsidy Innovation and Accountability (NCSIA). California law does not currently authorize the National Crime Information Center (NCIC) National Sex Offender Registry (NSOR) name-based background check for any category of licensed, regulated, or registered child care providers. b. Does the Lead Agency conduct NCIC NSOR name-based background checks for all child care staff members (including prospective staff members) of all other child care providers eligible for CCDF participation (i.e., license-exempt providers)? ☐ Yes. ☐ X No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct NCIC NSOR name-based background checks. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the NCIC NSOR name-based background check for any category of licensed, regulated, or registered child care providers. c. Does the Lead Agency conduct the NCIC NSOR name-based background check for all individuals age 18 or older who reside in a family child care home? ☐ Yes. ☐ X No. If no, describe individuals age 18 or older who reside in a family child care home who do not receive a NCIC NSOR name-based background check. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the NCIC NSOR name-based background check for any category of licensed, regulated, or registered child care providers. 5.7.4 In-state sex offender registry (SOR) check a. Does the Lead Agency conduct in-state SOR checks for all child care staff members (including prospective staff members) of licensed, regulated, or registered child care providers, regardless of CCDF participation? ☐ Yes. ☐ X No. If no, describe any categories of licensed, regulated, or registered child care providers for whom you do not conduct in-state SOR background checks. California received a notice of possible non-compliance on May 8, 2024, from the Office of Child Care based on the January 2024 Cycle 2 monitoring visit for this provision and needs additional time to meet the requirement. Staff at licensed child care centers in California who provide any element of care and supervision to children are required to be at least 18 years of age. California law does not currently authorize the Lead Agency to conduct a background check, including in-state SOR checks, on other individuals under 18 years of age who may be present or work in a licensed facility. Additional individuals present in licensed child care facilities who may be exempt from background check requirements pursuant to California Health and Safety Code section 1596.871 include the following: • A volunteer providing time-limited specialized services who is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. • A student enrolled or participating at an accredited educational institution who is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. • A volunteer who is a relative, legal guardian, or foster parent of a client in the facility. • A contracted repair person retained by the facility, if not left alone with children in care. • Employees of a childcare and development programs under contract with the State Department of Education who have completed a criminal record clearance as part of an application to the Commission on Teacher Credentialing. • Employees of a childcare and development program operated by a school district, county office of education, or community college district under contract with the State Department of Education who have completed a criminal record clearance as a condition of employment. b. Does the Lead Agency conduct in-state SOR background checks for all child care staff members (including prospective staff members) of all other child care providers eligible for CCDF participation (i.e., license-exempt providers)? ☐Yes. ☐X No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct in-state SOR background checks. California received a notice of possible non-compliance on May 8, 2024, from the Office of Child Care based on the January 2024 Cycle 2 monitoring visit for this provision and needs additional time to meet the requirement. California law does not currently authorize the Lead Agency to conduct a background check on individuals under 18 years of age. c. Does the Lead Agency conduct the in-state SOR background check for all individuals age 18 or older who reside in a family child care home? ☐X Yes. ☐No. If no, describe individuals age 18 or older who reside in a family child care home who do not receive an in-state SOR background check. Not applicable. 5.7.5 In-state child abuse and neglect (CAN) registry check a. Does the Lead Agency conduct CAN registry checks for all child care staff members (including prospective staff members) of licensed, regulated, or registered child care providers, regardless of CCDF participation? ☐Yes. • X No. If no, describe any categories of licensed, regulated, or registered child care providers for whom you do not conduct CAN registry checks. California received a notice of possible non-compliance on May 8, 2024, from the Office of Child Care based on the January 2024 Cycle 2 monitoring visit for this provision and needs additional time to meet the requirement. Staff at licensed child care centers in California who provide any element of care and supervision to children are required to be at least 18 years of age. California law does not currently authorize the Lead Agency to conduct a background check, including CAN registry checks, on other individuals under 18 years of age who may be present or work in a licensed facility. Additional individuals present in licensed child care facilities who may be exempt from background check requirements pursuant to California Health and Safety Code section 1596.871 include the following: • A volunteer providing time-limited specialized services who is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. • A student enrolled or participating at an accredited educational institution who is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. • A volunteer who is a relative, legal guardian, or foster parent of a client in the facility. • A contracted repair person retained by the facility, if not left alone with children in care. • Employees of a childcare and development programs under contract with the State Department of Education who have completed a criminal record clearance as part of an application to the Commission on Teacher Credentialing. • Employees of a childcare and development program operated by a school district, county office of education, or community college district under contract with the State Department of Education who have completed a criminal record clearance as a condition of employment. b. Does the Lead Agency conduct CAN registry checks for all child care staff members (including prospective staff members) of all other child care providers eligible for CCDF participation (i.e., license-exempt providers)? ☐Yes. ☐X No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct CAN registry checks. California received a notice of possible non-compliance on May 8, 2024, from the Office of Child Care based on the January 2024 Cycle 2 monitoring visit for this provision and needs additional time to meet the requirement. California law does not currently authorize the Lead Agency to conduct a background check on individuals under 18 years of age. c. Does the Lead Agency conduct the CAN registry check for all individuals age 18 or older who reside in a family child care home? ☐X Yes. ☐No. If no, describe individuals age 18 or older who reside in a family child care home who do not receive a CAN registry check. Not applicable. 5.7.6 Interstate criminal history check These questions refer to requirements for a Lead Agency to conduct an interstate check for a child care staff member (including prospective child care staff members) who currently lives in their State or Territory but has lived in another State, Territory, or Tribal land within the previous 5 years. a. Does the Lead Agency conduct interstate criminal history background checks for any staff member (or prospective staff member) who resided in other state(s) in the past 5 years of licensed, regulated, or registered child care providers, regardless of CCDF participation? ☐Yes. ☐X No. If no, describe any categories of licensed, regulated, or registered child care providers for whom you do not conduct interstate criminal history background checks. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. The California Department of Social Services (CDSS) is pursuing federal technical assistance (TA) with the National Center on Subsidy Innovation and Accountability (NCSIA). California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. b. Does the Lead Agency conduct interstate criminal history background checks for any staff member (or prospective staff member) who resided in other state(s) in the past 5 years eligible for CCDF participation (i.e., license-exempt providers)? ☐Yes. ☐ X No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct interstate criminal history background checks. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. c. Does the Lead Agency conduct interstate criminal history background checks for all individuals age 18 or older who reside in a family child care home and resided in other state(s) in the past 5 years. ☐ Yes. ☐ X No. If no, describe why individuals age 18 or older that resided in other state(s) in the past 5 years who reside in a family child care home that do not receive an interstate criminal history background check. California received a preliminary notice of non- compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. 5.7.7 Interstate Sex Offender Registry (SOR) check These questions refer to requirements for a Lead Agency to conduct an interstate check for a child care staff member (including prospective child care staff members) who currently lives in their State or Territory but has lived in another State, Territory, or Tribal land within the previous 5 years. a. Does the Lead Agency conduct interstate SOR checks for any staff member (or prospective staff member) who resided in other state(s) in the past 5 years of licensed, regulated, or registered child care providers, regardless of CCDF participation? ☐ Yes. ☐ X No. If no, describe any categories of licensed, regulated, or registered child Care providers for whom you do not conduct interstate SOR checks. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. The California Department of Social Services (CDSS) is pursuing federal technical assistance (TA) with the National Center on Subsidy Innovation and Accountability (NCSIA). California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. b. Does the Lead Agency conduct interstate SOR checks for any staff member (or prospective staff member) who resided in other state(s) in the past 5 years eligible for CCDF participation (i.e., license-exempt providers)? ☐ Yes. ☐ X No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct interstate SOR checks. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. c. Does the Lead Agency conduct the interstate SOR checks for all individuals age 18 or older who resided in other state(s) in the past 5 years who reside in a family child care home? ☐ Yes. ☐ X No. If no, describe individuals age 18 or older that resided in other state(s) in the past 5 years who reside in a family child care home that do not receive an interstate SOR check. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. 5.7.8 Interstate child abuse and neglect (CAN) registry check These questions refer to requirements for a Lead Agency to conduct an interstate check for a child care staff member (including prospective child care staff members) who currently lives in their State or Territory but has lived in another State, Territory, or Tribal land within the previous 5 years. a. Does the Lead Agency conduct interstate CAN registry checks for any staff member (or prospective staff member) that resided in other state(s) in the past 5 years of licensed, regulated, or registered child care providers, regardless of CCDF participation? ☐ Yes. ☐ X No. If no, describe any categories of licensed, regulated, or registered child Care providers for whom you do not conduct interstate CAN registry checks. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. The California Department of Social Services (CDSS) is pursuing federal technical assistance (TA) with the National Center on Subsidy Innovation and Accountability (NCSIA). California law does not currently authorize the interstate child abuse and neglect registry check for any category of licensed, regulated, or registered child care providers. b. Does the Lead Agency conduct interstate CAN registry checks for any staff member (or prospective staff member) who resided in other state(s) in the past 5 years eligible for CCDF participation (i.e., license-exempt providers)? ☐ Yes. ☐ X No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct interstate CAN registry checks. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate child abuse and neglect registry check for any category of licensed, regulated, or registered child care providers. c. Does the Lead Agency conduct the interstate CAN registry checks for all individuals age 18 or older who resided in other state(s) in the past 5 years who reside in a family child care home? ☐ Yes. ☐ X No. If no, describe individuals age 18 or older that resided in other state(s) in the past 5 years who reside in a family child care home that do not receive interstate CAN registry checks. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate child abuse and neglect registry check for any category of licensed, regulated, or registered child care providers. 5.7.9 Disqualifications for child care employment The Lead Agency must prohibit employment of individuals with child care providers receiving CCDF subsidy payment if they meet any of the following disqualifying criteria: • Refused to consent to a background check. • Knowingly made materially false statements in connection with the background check. • Are registered, or are required to be registered, on the State/Territory sex offender registry or repository or the National Sex Offender Registry. • Have been convicted of a felony consisting of murder, child abuse or neglect, crimes against children (including child pornography), spousal abuse, crimes involving rape or sexual assault, kidnapping, arson, physical assault, or battery. • Have a violent misdemeanor committed as an adult against a child, including the following crimes: child abuse, child endangerment, sexual assault, or any misdemeanor involving child pornography. • Convicted of a felony consisting of a drug-related offense committed during the preceding 5 years. a. Does the Lead Agency disqualify the employment of child care staff members (including prospective staff members) by child care providers receiving CCDF subsidy payment for CCDF-identified disqualifying criteria? ☐ Yes. ☐ X No. If no, describe the disqualifying criteria: California law includes a review of conviction history in line with the exception described at 45 Code of Federal Regulations § 98.43(e)(4) of the final rule. Any licensed or registered child care provider or staff convicted of a felony or misdemeanor is presumptively disqualified from working in a child care facility. However, in the case of most drug-related offenses the individual is provided an opportunity to rebut this presumption by providing evidence of rehabilitation and present good character. If the individual fails to provide such evidence, the individual is disqualified. b. Does the Lead Agency use the same criteria for licensed, regulated, and registered child care providers regardless of CCDF participation? ☐ X Yes. ☐ No. If no, describe any disqualifying criteria used for licensed, regulated, and registered child care providers: Not applicable. c. How does the Lead Agency use results from the in-state child abuse and neglect registry check? ☐ Does not use them to disqualify employment. ☐ X Uses them to disqualify employment. If checked, describe: The identity of an individual with a potential match to California’s Child Abuse and Neglect Registry, the Child Abuse Central Index (CACI), is verified to ensure the individual is the same as that appearing in CACI. If the individual’s identity is verified, they undergo an additional investigation to determine if the CACI report is substantiated. If the investigation reveals substantiated conduct that is inimical to the health, morals, welfare, or safety of either an individual in or receiving services from the facility, or the people of the State of California, the individual is excluded and is not eligible to work or be present in licensed facilities or appear on the TrustLine Registry. The California Department of Social Services’ regional offices monitor compliance with the CACI check requirements. Failure to comply may result in a civil penalty, decertification, removal from registry, and/or exclusion from licensed child care facilities. d. How does the Lead Agency use results from the interstate child abuse and neglect registry check? ☐ X Does not use them to disqualify employment. ☐ Uses them to disqualify employment. If checked, describe: Not applicable. 5.7.10 Privacy Lead Agencies must ensure the privacy of a prospective staff member by notifying child care providers of the individual’s eligibility or ineligibility for child care employment based on the results of the comprehensive background check without revealing any documentation of criminal history or disqualifying crimes or other related information regarding the individual. Does the Lead Agency certify they ensure the privacy of child care staff members (including prospective child care staff member) when providing the results of the comprehensive background check? ☐ X Yes. ☐ No. If no, describe the current process of notification: Not applicable. 5.7.11 Appeals processes for background checks Lead Agencies must provide for a process that allows child care provider staff members (and prospective staff members) to appeal the results of a background check to challenge the accuracy or completeness of the information contained in the individual’s background check report. Does the appeals process: i. Provide the affected individual with information related to each disqualifying crime in a report, along with information/notice on the opportunity to appeal. ☐ X Yes. ☐ No. ii. Provide the affected individual with clear instructions about how to complete the appeals process for each background check component if they wish to challenge the accuracy or completeness of the information contained in such individual’s background report. ☐ Yes. X No. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. The California Department of Social Services (CDSS) is pursuing federal technical assistance with the National Center on Subsidy Innovation and Accountability (NCSIA). California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. iii. Ensure the Lead Agency attempts to verify the accuracy of the information challenged by the individual, including making an effort to locate any missing disposition information related to the disqualifying crime. ☐ Yes. X No. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. The California Department of Social Services (CDSS) is pursuing federal technical assistance with the National Center on Subsidy Innovation and Accountability (NCSIA). California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. iv. Get completed in a timely manner. ☐ X Yes. ☐ No. v. Ensure the affected individual receives written notice of the decision. In the case of a negative determination, the decision must indicate (1) the Lead Agency’s efforts to verify the accuracy of information challenged by the individual, (2) any additional appeals rights available to the individual, and (3) information on how the individual can correct the federal or State records at issue in the case. ☐ Yes. ☐ X No. If checked, describe: A letter is sent to the affected individual, which includes the reasons for the negative decision, appeal rights and instructions, and information on how to request a copy of their criminal record. vi. Facilitate coordination between the Lead Agency and other agencies in charge of background check information and results (such as the Child Welfare office and the State Identification Bureau), to ensure the appeals process is conducted in accordance with the Act. ☐Yes. X No. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. The California Department of Social Services (CDSS) is pursuing federal technical assistance with the National Center on Subsidy Innovation and Accountability (NCSIA). California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. 5.7.12 Provisional hiring of prospective staff members Lead Agencies must at least complete and receive a qualifying result for either the FBI criminal background check or a fingerprint-based in-state criminal background check where the individual resides before prospective staff members may provide services or be in the vicinity of children. Until all the background check components have been completed, the prospective staff member must be supervised at all times by someone who has already received a qualifying result on a background check within the past five years. Check all background checks for which the Lead Agency requires a qualifying result before a prospective child care staff member begins work with children. a. FBI criminal background check. ☐X Yes. ☐No. If no, describe. Not applicable. b. In-state criminal background check with fingerprints. ☐X Yes. ☐No. If no, describe. Not applicable. c. In-state Sex Offender Registry. ☐X Yes. ☐No. If no, describe. Not applicable. d. In-state child abuse and neglect registry. ☐X Yes. ☐No. If no, describe Not applicable. e. Name-based national Sex Offender Registry (NCIC NSOR). ☐Yes. ☐X No. If no, describe. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. The California Department of Social Services (CDSS) is pursuing federal technical assistance (TA) with the National Center on Subsidy Innovation and Accountability (NCSIA). California law does not currently authorize the National Crime Information Center National Sex Offender Registry name-based background check for any category of licensed, regulated, or registered child care providers. f. Interstate criminal background check, as applicable. ☐ Yes. ☐ X No. If no, describe. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. g. Interstate Sex Offender Registry check, as applicable. ☐ Yes. ☐ X No. If no, describe. California received a preliminary notice of non-compliance OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate criminal history background check for any category of licensed, regulated, or registered child care providers. h. Interstate child abuse and neglect registry check, as applicable. ☐ Yes. ☐ X No. If no, describe. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate child abuse and neglect registry check for any category of licensed, regulated, or registered child care providers. i. Does the Lead Agency require provisional hires to be supervised by a staff member who received a qualifying result on the comprehensive background check while awaiting results from the provisional hire’s full comprehensive background check? ☐ Yes. ☐ X No. If no, describe. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not allow provisional hires prior to a determination on all elements of the background check. 5.7.13 Completing the criminal background check within a 45-day timeframe The Lead Agency must carry out a request from a child care provider for a criminal background check as expeditiously as possible, and no more than 45 days after the date on which the provider submitted the request a. Does the Lead Agency ensure background checks are completed within 45 days (after the date on which the provider submits the request)? ☐ Yes. ☐ X No. If no, describe the timeline for completion for categories of providers, including which background check components take more than 45 days. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. Eligibility determinations for individuals with minor or no criminal history are completed in less than 45 days. Those with serious criminal history and those requiring a child abuse or arrest investigation do not meet the 45-day timeframe. The majority of these complex cases are processed within 121 days, on average. b. Does the Lead Agency ensure child care staff receive a comprehensive background check when they work in your State but reside in a different State? ☐ X Yes. ☐ No. If no, describe the current policy: Not applicable. 5.7.14 Responses to interstate background check requests Lead Agencies must respond as expeditiously as possible to requests for interstate background checks from other States/Territories/Tribes in order to meet the 45-day timeframe. a. Does your State participate in the National Crime Prevention and Privacy Compact or National Fingerprint File programs? ☐ Yes. ☐ X No. b. Describe how the State/Territory responds to interstate criminal history, Sex Offender Registry, and Child Abuse and Neglect Registry background check requests from another state. California received a preliminary notice of non-compliance from Office of Child Care on December 13, 2021, for this provision and needs additional time to meet the requirement. Dissemination of California criminal history information is administered by the California Department of Justice consistent with state law. The California Department of Social Services is pursuing federal technical assistance with the National Center on Subsidy Innovation and Accountability. California law does not currently authorize dissemination of criminal history for this purpose. c. Does your State/Territory have a law or policy that prevents a response to CCDF interstate background check requests from other States/Territories/Tribes? ☐ Yes. If yes, describe the current policy. Not applicable. ☐ X No. 5.7.15 Consumer education website links to interstate background check processes Lead Agencies must include on their consumer education website and the website of local Lead Agencies if the CCDF program is county-run, the policies and procedures related to comprehensive background checks. This includes the process by which a child care provider or other State or Territory may submit a background check request. a. Provide the direct URL/website link that contains instructions on how child care providers and other States and Territories should initiate background check requests for prospective and current child care staff members: https://www.cdss.ca.gov/inforesources/community-care/caregiver-background- check/background-check-process. Check to certify that the required elements are included on the Lead Agency’s consumer and provider education website for each interstate background check component. b. Interstate criminal background check: i. ☐ X Agency name ii. ☐ Address iii. ☐ X Phone number iv. ☐ X Email v. ☐ Website vi. ☐ Instructions vii. ☐ Forms viii. ☐ Fees ix. ☐ Is the State a National Fingerprint File (NFF) State? x. ☐ Is the State a National Crime Prevention and Privacy Compact State? xi. If not all boxes above are checked, describe. California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. Dissemination of California criminal history information is administered by the California Department of Justice consistent with state law. The California Department of Social Services (CDSS) is pursuing federal technical assistance (TA) with the National Center on Subsidy Innovation and Accountability (NCSIA). California law does not currently authorize dissemination of criminal history for this purpose. c. Interstate sex offender registry (SOR) check: i. ☐ X Agency name ii. ☐ Address iii. ☐ X Phone number iv. ☐ X Email v. ☐ Website vi. ☐ Instructions vii. ☐ Forms viii. ☐ Fees ix. If not all boxes above are checked, describe. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate SOR background check for any category of licensed, regulated, or registered child care providers. d. Interstate child abuse and neglect (CAN) registry check: i. ☐ X Agency name ii. ☐ Is the CAN check conducted through a county administered registry or centralized registry? iii. ☐ Address iv. ☐ X Phone number v. ☐ X Email vi. ☐ Website vii. ☐ Instructions viii. ☐ Forms ix. ☐ Fees x. If not all boxes above are checked, describe. California received a preliminary notice of non-compliance from OCC on December 13, 2021, for this provision and needs additional time to meet the requirement. The CDSS is pursuing federal TA with the NCSIA. California law does not currently authorize the interstate child abuse and neglect registry check for any category of licensed, regulated, or registered child care providers. 5.7.16 Background check fees The Lead Agency must ensure that fees charged for completing the background checks do not exceed the actual cost of processing and administration. Does the Lead Agency certify that background check fees do not exceed the actual cost of processing and administering the background checks? ☐ X Yes. ☐ No. If no, describe what is currently in place and what elements still need to be implemented. Not applicable. 5.7.17 Renewal of the comprehensive background check . Does the Lead Agency conduct the background check at least every 5 years for all components? ☐ Yes. ☐ X No. If no, what is the frequency for renewing each component? California received a preliminary notice of non-compliance from Office of Child Care (OCC) on December 13, 2021, for this provision and needs additional time to meet the requirement. California participates in a State subsequent arrest and conviction notification program for in- state Criminal History, Sex Offender Registry, and Child Abuse and Neglect Checks. California Department of Justice (CADOJ) retains the fingerprint file and transmits all subsequent California arrest and conviction information pertaining to the provider/staff to California Department of Social Services (CDSS) on an ongoing basis. The CADOJ also provides subsequent child abuse and severe neglect information on these individuals to CDSS.