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. The Lead Agency meets this requirement for licensed family child care homes (Child Development Homes) but this requirement was identified as a possible non- compliance in Iowa's monitoring visit results dated 1/17/24. The Lead Agency will need time to implement new policy and develop new procedures. In-state criminal background checks are done as a part of the National FBI check because the State is part of the National Fingerprint File and as part of this, all fingerprints go through state repository before being submitted to the FBI. The State of Iowa uses Public Law 92-544 or the National Child Protection Act/Volunteers for Children Act (NCPA/VCA) (42 U.S.C. 5119a) as the authority to conduct FBI background checks and has implemented a Volunteer and Employee Criminal History System (VECHS) program. As part of this program all individuals that background checks are completed on have provided written consent. The Lead Agency’s process allows for disclosure of the results of individual background checks with Child Care Center Directors which is not allowable. The Lead Agency has a process to conduct FBI criminal background checks for all staff of child care providers. For Licensed Center staff, the Lead Agency does not receive the results of background checks. The background check results are sent directly to the Child Care Center provider. If there is a transgression the Center director must submit those to the state agency and the state agency reviews the transgression information and makes the determination on employability. The Lead Agency does not see the results that do not have transgressions. Even though Iowa allows providers to sign up as a qualified entity, and receive the detailed results of the background, the CCDBG Act and CCDF regulations prohibit states from publicly releasing or sharing the results of individual background checks (42 USC 9858f(e)(2)(C); 45 CFR 98.43(e)(2)(iii). The Lead Agency’s practice of allowing providers to access child care staff members’ background check results is not allowable. Based on the lack of evidence the Lead Agency is not in compliance with 98.43(b)(1). The Lead Agency recognizes the newly published 2024 Child Care and Development Fund Final Rule: Improving Child Care Access, Affordability, and Stability in the Child Care and Development Fund which clarifies that States, Territories, and Tribes must make determination of eligibility for child care staff based on the background check and cannot leave the determination to the child care provider. The lead agency is in the process of implementation plan development to ensure compliance with this requirement. 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? [x] Yes. [ ] 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. 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. 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. [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. The Lead Agency meets this requirement for licensed family child care homes (Child Development Homes) but this requirement was identified as a possible non- compliance in Iowa's monitoring visit results dated 1/17/24. The Lead Agency will need time to implement new policy and develop new procedures. The State of Iowa uses Public Law 92-544 or the National Child Protection Act/Volunteers for Children Act (NCPA/VCA) (42 U.S.C. 5119a) as the authority to conduct FBI background checks and has implemented a Volunteer and Employee Criminal History System (VECHS) program. As part of this program all individuals that background checks are completed on have provided written consent. Licensed Center's are qualified entities and work directly with Iowa's Department of Public Safety to complete FBI fingerprint check. The Lead Agency does not receive the results of background checks. The background check results are sent directly to the Child Care Center provider. If there is a transgression the Center director must submit those to the state agency and the state agency reviews the transgression information and makes the determination on employability. The Lead Agency does not see the results that do not have transgressions. Even though Iowa law allows providers to sign up as a qualified entity, and receive the detailed results of the background, the CCDBG Act and CCDF regulations prohibit states from publicly releasing or sharing the results of individual background checks (42 USC 9858f(e)(2)(C); 45 CFR 98.43(e)(2)(iii). The Lead Agency recognizes the newly published 2024 Child Care and Development Fund Final Rule: Improving Child Care Access, Affordability, and Stability in the Child Care and Development Fund which clarifies that States, Territories, and Tribes must make determination of eligibility for child care staff based on the background check and cannot leave the determination to the child care provider. The lead agency is in the process of implementation plan development to ensure compliance with this requirement. 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)? [x] Yes. [ ] No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct FBI criminal background checks. 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. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently conducts national FBI checks through our Department of Public Safety but the NCIC NSOR is not part of that process. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently conducts national FBI checks through our Department of Public Safety but the NCIC NSOR is not part of that process. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently conducts national FBI checks through our Department of Public Safety but the NCIC NSOR is not part of that process. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. The Lead Agency meets this requirement for licensed family child care homes (Child Development Homes) but this requirement was identified as a possible non-compliance in Iowa's monitoring visit results dated 1/17/24. The Lead Agency will need time to implement new policy and develop new procedures. The Lead Agency’s process allows for disclosure of the results of individual background checks with Child Care Center Directors which is not allowable. The Lead Agency has a process to conduct sex offender registry checks for all staff of child care providers. For Licensed Center staff, the Lead Agency does not receive the results of background checks. The background check results are sent directly to the Child Care Center provider. If there is a transgression the Center director must submit those to the state agency and the state agency reviews the transgression information and makes the determination on employability. The Lead Agency does not see the results that do not have transgressions. Even though Iowa law allows providers to sign up as a qualified entity, and receive the detailed results of the background, the CCDBG Act and CCDF regulations prohibit states from publicly releasing or sharing the results of individual background checks (42 USC 9858f(e)(2)(C); 45 CFR 98.43(e)(2)(iii). The Lead Agency’s practice of allowing providers to access child care staff members’ background check results is not allowable. Based on the lack of evidence the Lead Agency is not in compliance with 98.43(b)(1). The Lead Agency recognizes the newly published 2024 Child Care and Development Fund Final Rule: Improving Child Care Access, Affordability, and Stability in the Child Care and Development Fund which clarifies that States, Territories, and Tribes must make determination of eligibility for child care staff based on the background check and cannot leave the determination to the child care provider. The lead agency is in the process of implementation plan development to ensure compliance with this requirement 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)? [x] Yes. [ ] 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. 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. 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. The Lead Agency meets this requirement for licensed family child care homes (Child Development Homes) but this requirement was identified as a possible non-compliance in Iowa's monitoring visit results dated 1/17/24. The Lead Agency will need time to implement new policy and develop new procedures. The Lead Agency’s process allows for disclosure of the results of individual background checks with Child Care Center Directors which is not allowable. The Lead Agency has a process to conduct CAN registry checks for all staff of child care providers. For Licensed Center staff, the Lead Agency does not receive the results of background checks. The background check results are sent directly to the Child Care Center provider. If there is a transgression the Center director must submit those to the state agency and the state agency reviews the transgression information and makes the determination on employability. The Lead Agency does not see the results that do not have transgressions. Even though Iowa law allows providers to sign up as a qualified entity, and receive the detailed results of the background, the CCDBG Act and CCDF regulations prohibit states from publicly releasing or sharing the results of individual background checks (42 USC 9858f(e)(2)(C); 45 CFR 98.43(e)(2)(iii). The Lead Agency’s practice of allowing providers to access child care staff members’ background check results is not allowable. Based on the lack of evidence the Lead Agency is not in compliance with 98.43(b)(1). The Lead Agency recognizes the newly published 2024 Child Care and Development Fund Final Rule: Improving Child Care Access, Affordability, and Stability in the Child Care and Development Fund which clarifies that States, Territories, and Tribes must make determination of eligibility for child care staff based on the background check and cannot leave the determination to the child care provider. The lead agency is in the process of implementation plan development to ensure compliance with this requirement. 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)? [x] Yes. [ ] No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct CAN registry checks. 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. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non- compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non- compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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. In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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? [x] Yes. [ ] No. If no, describe the disqualifying criteria: 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: 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: Iowa Code 237A.5 requires all transgressions to have a record check evaluation conducted. Founded child abuse or neglect is considered a transgression. A record check evaluation must consider: - The type and seriousness of the transgression - Time passed since the transgression - The circumstances under which the transgression was committed - The degree of rehabilitation - The likelihood that the person will commit the transgression again - The number of transgressions committed by the person involved. The Lead Agency determines whether a person may be involved in child care through the record check evaluation if a person is already not considered a mandatory prohibition under 45 CFR 98 or Iowa Code 237A.5 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: 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? [ ] Yes. [x] No. If no, describe the current process of notification: This requirement was identified as a possible non-compliance in Iowa's monitoring visit results dated 1/17/24. The Lead Agency will need time to implement new policy and develop new procedures. The Lead Agency’s process allows for disclosure of the results of individual background checks with Child Care Center Directors which is not allowable. For Licensed Center staff, the Lead Agency does not receive the results of background checks. The background check results are sent directly to the Child Care Center provider. If there is a transgression the Center director must submit those to the state agency and the state agency reviews the transgression information and makes the determination on employability. The Lead Agency does not see the results that do not have transgressions. Even though Iowa allows providers to sign up as a ￿qualified entity,￿ and receive the detailed results of the background, the CCDBG Act and CCDF regulations prohibit states from publicly releasing or sharing the results of individual background checks (42 USC 9858f(e)(2)(C); 45 CFR 98.43(e)(2)(iii). The Lead Agency’s practice of allowing providers to access child care staff members’ background check results is not allowable. Based on the lack of evidence the Lead Agency is not in compliance with 98.43(b)(1). The Lead Agency recognizes the newly published 2024 Child Care and Development Fund Final Rule: Improving Child Care Access, Affordability, and Stability in the Child Care and Development Fund which clarifies that States, Territories, and Tribes must make determination of eligibility for child care staff based on the background check and cannot leave the determination to the child care provider. The lead agency is in the process of implementation plan development to ensure compliance with this requirement. 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. Describe: 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. [x] Yes. [ ] No. Describe: 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. [x] Yes. [ ] No. Describe: iv. Get completed in a timely manner. [x] Yes. [ ] No. Describe: 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. [x] Yes. [ ] No. Describe: 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. [x] Yes. [ ] No. Describe: 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. [ ] Yes. [x] No. If no, describe: Iowa was determined to be out of compliance for this requirement. Preliminary letter of non-compliance was issued 1/22/24 and Final Determination letter signed 7/15/24. The Lead Agency conducts FBI criminal record checks for all Child Development Homes and Child Care Homes accepting Child Care Assistance prior to approval. These background checks were found to be in-compliance. For Licensed Centers, a monitoring visit for the 2022-2024 CCDF State Plan did not find evidence that the Lead Agency has requirements in place to conduct the FBI criminal record check that is compliant with the CCDBG statute for Licensed Centers. The Lead Agency’s process allows for disclosure of the results of individual background checks with Child Care Center Directors which is not allowable. The Lead Agency has a process to conduct FBI criminal record checks for all staff of child care providers. For Licensed Center staff, the Lead Agency does not receive the results of background checks. The background check results are sent directly to the Child Care Center provider. If there is a transgression the Center director must submit those to the state agency and the state agency reviews the transgression information and makes the determination on employability. The Lead Agency does not see the results that do not have transgressions. Even though Iowa law allows providers to sign up as a qualified entity, and receive the detailed results of the background, the CCDBG Act and CCDF regulations prohibit states from publicly releasing or sharing the results of individual background checks (42 USC 9858f(e)(2)(C); 45 CFR 98.43(e)(2)(iii). The Lead Agency’s practice of allowing providers to access child care staff members’ background check results is not allowable. Based on the lack of evidence the Lead Agency is not in compliance with 98.43(b)(1). The Lead Agency recognizes the newly published 2024 Child Care and Development Fund Final Rule: Improving Child Care Access, Affordability, and Stability in the Child Care and Development Fund which clarifies that States, Territories, and Tribes must make determination of eligibility for child care staff based on the background check and cannot leave the determination to the child care provider. The lead agency is in the process of implementation plan development to ensure compliance with this requirement b. In-state criminal background check with fingerprints. [ ] Yes. [x] No. If no, describe: Iowa was determined to be out of compliance for this requirement. Preliminary letter of non-compliance was issued 1/22/24 and Final Determination letter signed 7/15/24. The Lead Agency conducts FBI criminal record checks for all Child Development Homes and Child Care Homes accepting Child Care Assistance prior to approval. These background checks were found to be in-compliance. For Licensed Centers, a monitoring visit for the 2022-2024 CCDF State Plan did not find evidence that the Lead Agency has requirements in place to conduct the in-state criminal record check that is compliant with the CCDBG statute for Licensed Centers. The Lead Agency’s process allows for disclosure of the results of individual background checks with Child Care Center Directors which is not allowable. The Lead Agency has a process to conduct in-state criminal record checks for all staff of child care providers. For Licensed Center staff, the Lead Agency does not receive the results of background checks. The background check results are sent directly to the Child Care Center provider. If there is a transgression the Center director must submit those to the state agency and the state agency reviews the transgression information and makes the determination on employability. The Lead Agency does not see the results that do not have transgressions. Even though Iowa law allows providers to sign up as a qualified entity, and receive the detailed results of the background, the CCDBG Act and CCDF regulations prohibit states from publicly releasing or sharing the results of individual background checks (42 USC 9858f(e)(2)(C); 45 CFR 98.43(e)(2)(iii). The Lead Agency’s practice of allowing providers to access child care staff members’ background check results is not allowable. Based on the lack of evidence the Lead Agency is not in compliance with 98.43(b)(1). The Lead Agency recognizes the newly published 2024 Child Care and Development Fund Final Rule: Improving Child Care Access, Affordability, and Stability in the Child Care and Development Fund which clarifies that States, Territories, and Tribes must make determination of eligibility for child care staff based on the background check and cannot leave the determination to the child care provider. The lead agency is in the process of implementation plan development to ensure compliance with this requirement c. In-state Sex Offender Registry. [ ] Yes. [x] No. If no, describe: Iowa was determined to be out of compliance for this requirement. Preliminary letter of non-compliance was issued 1/22/24 and Final Determination letter signed 7/15/24. The Lead Agency conducts FBI criminal record checks for all Child Development Homes and Child Care Homes accepting Child Care Assistance prior to approval. These background checks were found to be in-compliance. For Licensed Centers, a monitoring visit for the 2022-2024 CCDF State Plan did not find evidence that the Lead Agency has requirements in place to conduct the in-state Sex Offender Registry check that is compliant with the CCDBG statute for Licensed Centers. The Lead Agency’s process allows for disclosure of the results of individual background checks with Child Care Center Directors which is not allowable. The Lead Agency has a process to conduct sex offender registry checks for all staff of child care providers. Iowa’s sex offender registry is public record. For Licensed Center staff, the Lead Agency does not receive the results of background checks. The background check results are sent directly to the Child Care Center provider. If there is a transgression the Center director must submit those to the state agency and the state agency reviews the transgression information and makes the determination on employability. The Lead Agency does not see the results that do not have transgressions. The Lead Agency’s practice of allowing providers to access child care staff members’ background check results is not allowable. Based on the lack of evidence the Lead Agency is not in compliance with 98.43(b)(1). The Lead Agency recognizes the newly published 2024 Child Care and Development Fund Final Rule: Improving Child Care Access, Affordability, and Stability in the Child Care and Development Fund which clarifies that States, Territories, and Tribes must make determination of eligibility for child care staff based on the background check and cannot leave the determination to the child care provider. The lead agency is in the process of implementation plan development to ensure compliance with this requirement d. In-state child abuse and neglect registry. [ ] Yes. [x] No. If no, describe: Iowa was determined to be out of compliance for this requirement. Preliminary letter of non-compliance was issued 1/22/24 and Final Determination letter signed 7/15/24. The Lead Agency conducts FBI criminal record checks for all Child Development Homes and Child Care Homes accepting Child Care Assistance prior to approval. These background checks were found to be in-compliance. For Licensed Centers, a monitoring visit for the 2022-2024 CCDF State Plan did not find evidence that the Lead Agency has requirements in place to conduct the CAN Registry check that is compliant with the CCDBG statute for Licensed Centers. The Lead Agency’s process allows for disclosure of the results of individual background checks with Child Care Center Directors which is not allowable. The Lead Agency has a process to conduct CAN registry checks for all staff of child care providers. For Licensed Center staff, the Lead Agency does not receive the results of background checks. The background check results are sent directly to the Child Care Center provider. If there is a transgression the Center director must submit those to the state agency and the state agency reviews the transgression information and makes the determination on employability. The Lead Agency does not see the results that do not have transgressions. The Lead Agency’s practice of allowing providers to access child care staff members’ background check results is not allowable. Based on the lack of evidence the Lead Agency is not in compliance with 98.43(b)(1). The Lead Agency recognizes the newly published 2024 Child Care and Development Fund Final Rule: Improving Child Care Access, Affordability, and Stability in the Child Care and Development Fund which clarifies that States, Territories, and Tribes must make determination of eligibility for child care staff based on the background check and cannot leave the determination to the child care provider. The lead agency is in the process of implementation plan development to ensure compliance with this requirement e. Name-based national Sex Offender Registry (NCIC NSOR). [ ] Yes. [x] No. If no, describe: The Lead Agency acknowledges non-compliance with the completion of NCIC NSOR checks for licensed child care center staff, child development home and CCA PA providers. Given additionally found non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed f. Interstate criminal background check, as applicable. [ ] Yes. [x] No. If no, describe: In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. g. Interstate Sex Offender Registry check, as applicable. [ ] Yes. [x] No. If no, describe: In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. h. Interstate child abuse and neglect registry check, as applicable. [ ] Yes. [x] No. If no, describe: In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with this requirement. The Lead Agency needs additional time to meet this requirement. Iowa currently does not conduct interstate checks as part of our background check process and is therefore out of compliance with this requirement. Given overall non-compliance with how Iowa allows child care center background check completion, a strategic plan to address all areas of non-compliance with background check requirements is being developed. 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: In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with background check requirements. The Lead Agency needs additional time to meet this requirement and is working on a comprehensive solution to all background check non-compliances. Iowa is out of compliance with this requirement because we do not complete all the required pieces of the comprehensive background checks. Child Development Homes and Child Care Homes with a CCA agreement are required to complete FBI fingerprint checks, in-state criminal history, in-state child abuse and neglect registry and in-state sex-offender registry checks prior to being approved to work and there is no provisional hire status however the NCIC NSOR and interstate checks are not completed. Licensed child care centers employees must complete in-state criminal history, in-state child abuse and neglect registry and in- state sex-offender registry checks prior to starting employment and then are supervised pending return of the FBI fingerprint checks. However NCIC NSOR and interstate checks are not completed. 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)? [x] Yes. [ ] No. If no, describe the timeline for completion for categories of providers, including which background check components take more than 45 days. 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? [ ] Yes. [x] No. If no, describe the current policy: The Lead Agency does not routinely conduct out of state record checks. 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? [x] Yes. [ ] 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. Information on how to request these checks in Iowa resides on the lead agency’s website. The Iowa Department of Public Safety responds to requests for criminal history. Other states may submit a request online, by mail or by fax and must pay the required fee before the check will be completed. Iowa’s CAN Registry is operated by the lead agency and there is no fee for information. States must fill out the Request for Child and Dependent Adult Abuse Information form and email, mail or fax it to the information contained on the form. Iowa’s SOR is able to be publicly accessed at the following website https://www.iowasexoffender.gov/ 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. [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://hhs.iowa.gov/programs/programs-and- services/child-care The instructions are under the heading Provider Record Checks for Child Care 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. [x] Address iii. [x] Phone number iv. [x] Email v. [x] Website vi. [x] Instructions vii. [x] Forms viii. [x] Fees ix. [x] Is the State a National Fingerprint File (NFF) State? x. [x] Is the State a National Crime Prevention and Privacy Compact State? xi. If not all boxes above are checked, describe: c. Interstate sex offender registry (SOR) check: i. [x] Agency name ii. [x] Address iii. [x] Phone number iv. [ ] Email v. [x] Website vi. [x] Instructions vii. [x] Forms viii. [x] Fees ix. If not all boxes above are checked, describe: There is not a direct email address for Iowa’s SOR however there is a Support Contact link which allows the user to send a message. d. Interstate child abuse and neglect (CAN) registry check: i. [x] Agency name ii. [x] Is the CAN check conducted through a county administered registry or centralized registry? iii. [x] Address iv. [x] Phone number v. [x] Email vi. [x] Website vii. [x] Instructions viii. [x] Forms ix. [x] Fees x. If not all boxes above are checked, describe: 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: 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? In the CCDF State Plan Approval letter dated 12/13/2021 it was noted that Iowa was out of compliance with background check requirements. The Lead Agency needs additional time to meet this requirement and is working on a comprehensive solution to all background check non- compliances. Iowa is out of compliance with this requirement because we do not complete all the required pieces of the comprehensive background checks. Current policy requires FBI fingerprint checks, in-state criminal history, in-state child abuse and neglect registry and in-state sex-offender registry checks however NCIC NSOR and interstate checks are not completed.