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. Pennsylvania received notice of non-compliance in this area in October 2020. There are a variety of factors that require OCDEL to request additional time to meet this requirement. Currently, the state criminal history check is not conducted via a fingerprint scan. This criminal history check is conducted by the Pennsylvania State Police. On October 2020, the Pennsylvania State Police (PSP) received a formal request from the Pennsylvania (PA) Department of Human Services (DHS), Office of Child Development and Early Learning (OCDEL) to work collaboratively in resolving non- compliance concerns with current PA childcare background clearance processes. This work would bring OCDEL into compliance with the Child Care and Development Fund (CCFD) requirements detailed in 45 C.F.R. §98. The absence of Fingerprint-Based Background Checks at the state level was identified as being out-of-compliance with federal regulations pertaining to the criminal background check process used by Pennsylvania. Upon receipt of the request, PSP began to research the possibility of Fingerprint Based State Background Checks (FBBC) and what it would take to implement this process. Further, PSP began to explore a possible funding opportunity to assist with the project costs. PSP submitted a request to the Department of General Services to determine if the FBBC project would be permitted in the scope of the current state-wide vendors (IDEMIA) contract. PSP needed to gain permission to amend the state contract with IDEMIA to include fingerprint-based state background checks or put the project up for bid to the public. On April 22, 2021, PSP received notification that DGS Legal Counsel determined that the State FBBC project fell within the scope of the current IDEMIA contract. This determination meant that no public offering was required, and PSP could move forward with cost estimates and a funding request. A Program Analyst was assigned to do a state FBBC project estimate and a request to apply for funding under a current NCHIP grant was sent to the Bureau of Justice Statistics. As of the end of July 2021, a preliminary full project cost estimate is complete, and PSP has received permission from the Bureau of Justice Statistics to submit a project modification request to the PA Commission on Crime and Delinquency (PCCD). PSP submitted a project modification request to PCCD on August 18, 2021. It was determined in 2023 , that PSP was unable to move this project forward and would identify an alternative for obtaining fingerprint-based state checks. OCDEL is currently working with OCYF to complete the consolidated eligibility letter system (CELS). This project with a tentative date of implementation being September 1, 2024. This scope of work seeks to address areas of non-compliance related to criminal history checks by providing a consolidated letter to child care providers indicating a prospective employee’s eligibility to work in a child care center. This letter will identify eligibility to work in a child care setting through determination of various clearances including: a name-based in-state criminal history check, NSOR, PA ChildAbuse and an FBI Fingerprint check. OCDEL is unable to change the current process for in-state criminal history checks but will continue working with DHS and PSP to identify a solution to this area of non-compliance. 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. Pennsylvania received notice of non-compliance in this area in October 2020. There are a variety of factors that require OCDEL to request additional time to meet this requirement. Currently, the state criminal history check is not conducted via a fingerprint scan. This criminal history check is conducted by the Pennsylvania State Police. On October 2020, the Pennsylvania State Police (PSP) received a formal request from the Pennsylvania (PA) Department of Human Services (DHS), Office of Child Development and Early Learning (OCDEL) to work collaboratively in resolving non- compliance concerns with current PA childcare background clearance processes. This work would bring OCDEL into compliance with the Child Care and Development Fund (CCFD) requirements detailed in 45 C.F.R. §98. The absence of Fingerprint-Based Background Checks at the state level was identified as being out-of-compliance with federal regulations pertaining to the criminal background check process used by Pennsylvania. Upon receipt of the request, PSP began to research the possibility of Fingerprint Based State Background Checks (FBBC) and what it would take to implement this process. Further, PSP began to explore a possible funding opportunity to assist with the project costs. PSP submitted a request to the Department of General Services to determine if the FBBC project would be permitted in the scope of the current state-wide vendors (IDEMIA) contract. PSP needed to gain permission to amend the state contract with IDEMIA to include fingerprint-based state background checks or put the project up for bid to the public. On April 22, 2021, PSP received notification that DGS Legal Counsel determined that the State FBBC project fell within the scope of the current IDEMIA contract. This determination meant that no public offering was required, and PSP could move forward with cost estimates and a funding request. A Program Analyst was assigned to do a state FBBC project estimate and a request to apply for funding under a current NCHIP grant was sent to the Bureau of Justice Statistics. As of the end of July 2021, a preliminary full project cost estimate is complete, and PSP has received permission from the Bureau of Justice Statistics to submit a project modification request to the PA Commission on Crime and Delinquency (PCCD). PSP submitted a project modification request to PCCD on August 18, 2021. It was determined in 2023 , that PSP was unable to move this project forward and would identify an alternative for obtaining fingerprint-based state checks. OCDEL is currently working with OCYF to complete the consolidated eligibility letter system (CELS). This project with a tentative date of implementation being September 1, 2024. This scope of work seeks to address areas of non-compliance related to criminal history checks by providing a consolidated letter to child care providers indicating a prospective employee’s eligibility to work in a child care center. This letter will identify eligibility to work in a child care setting through determination of various clearances including: a name-based in-state criminal history check, NSOR, PA ChildAbuse and an FBI Fingerprint check. OCDEL is unable to change the current process for in-state criminal history checks but will continue working with DHS and PSP to identify a solution to this area of non-compliance. 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? [ ] Yes. [x] 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. Pennsylvania received notice of non-compliance in this area in October 2020. There are a variety of factors that require OCDEL to request additional time to meet this requirement. Currently, the state criminal history check is not conducted via a fingerprint scan. This criminal history check is conducted by the Pennsylvania State Police. On October 2020, the Pennsylvania State Police (PSP) received a formal request from the Pennsylvania (PA) Department of Human Services (DHS), Office of Child Development and Early Learning (OCDEL) to work collaboratively in resolving non- compliance concerns with current PA childcare background clearance processes. This work would bring OCDEL into compliance with the Child Care and Development Fund (CCFD) requirements detailed in 45 C.F.R. §98. The absence of Fingerprint-Based Background Checks at the state level was identified as being out-of-compliance with federal regulations pertaining to the criminal background check process used by Pennsylvania. Upon receipt of the request, PSP began to research the possibility of Fingerprint Based State Background Checks (FBBC) and what it would take to implement this process. Further, PSP began to explore a possible funding opportunity to assist with the project costs. PSP submitted a request to the Department of General Services to determine if the FBBC project would be permitted in the scope of the current state-wide vendors (IDEMIA) contract. PSP needed to gain permission to amend the state contract with IDEMIA to include fingerprint-based state background checks or put the project up for bid to the public. On April 22, 2021, PSP received notification that DGS Legal Counsel determined that the State FBBC project fell within the scope of the current IDEMIA contract. This determination meant that no public offering was required, and PSP could move forward with cost estimates and a funding request. A Program Analyst was assigned to do a state FBBC project estimate and a request to apply for funding under a current NCHIP grant was sent to the Bureau of Justice Statistics. As of the end of July 2021, a preliminary full project cost estimate is complete, and PSP has received permission from the Bureau of Justice Statistics to submit a project modification request to the PA Commission on Crime and Delinquency (PCCD). PSP submitted a project modification request to PCCD on August 18, 2021. It was determined in 2023 , that PSP was unable to move this project forward and would identify an alternative for obtaining fingerprint-based state checks. OCDEL is currently working with OCYF to complete the consolidated eligibility letter system (CELS). This project with a tentative date of implementation being September 1, 2024. This scope of work seeks to address areas of non-compliance related to criminal history checks by providing a consolidated letter to child care providers indicating a prospective employee’s eligibility to work in a child care center. This letter will identify eligibility to work in a child care setting through determination of various clearances including: a name-based in-state criminal history check, NSOR, PA ChildAbuse and an FBI Fingerprint check. OCDEL is unable to change the current process for in-state criminal history checks but will continue working with DHS and PSP to identify a solution to this area of non-compliance. 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? [x] Yes. [ ] 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. 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? [x] Yes. [ ] 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. 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. Pennsylvania does not have CCDF eligible license-exempt 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? [x] Yes. [ ] 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. 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? [x] Yes. [ ] 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. 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? [x] Yes. [ ] No. If no, describe any categories of licensed, regulated, or registered child care providers for whom you do not conduct CAN registry checks. 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. Currently the responsibility is on the applicant to apply for an interstate criminal history check. Depending on the requirements of the other state, the applicant may not be able to request their own clearances, and Pennsylvania must submit the request on their behalf. In the event the applicant needs the request to come from the state, OCYF will assist with completing the application and getting the results to the applicant. Information about out of state clearances can be found at: https://www.pa.gov/en/agencies/dhs/resources/keep-kids-safe/child-abuse- clearances.html. The Consolidated Eligibility Letter process for child care clearances will include a process for out-of-state clearances that will be led by OCYF, when possible. Certain states require the individual applicant to submit for clearances autonomously. In these instances, the applicant will be required to provide the results of the out-of-state clearance to OCYF before the eligibility determination can be made. This updated process is in response to non-compliance cited in this area on December 13, 2021. 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)? [x] Yes. [ ] 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. 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. Currently the responsibility is on the applicant to apply for an interstate criminal history check. Depending on the requirements of the other state, the applicant may not be able to request their own clearances, and Pennsylvania must submit the request on their behalf. In the event the applicant needs the request to come from the state, OCYF will assist with completing the application and getting the results to the applicant. Information about out of state clearances can be found at: https://www.pa.gov/en/agencies/dhs/resources/keep-kids-safe/child-abuse- clearances.html. The Consolidated Eligibility Letter process for child care clearances will include a process for out-of-state clearances that will be led by OCYF, when possible. Certain states require the individual applicant to submit for clearances autonomously. In these instances, the applicant will be required to provide the results of the out-of-state clearance to OCYF before the eligibility determination can be made. This updated process is in response to non-compliance cited in this area on December 13, 2021. 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. Currently the responsibility is on the applicant to apply for an interstate SOR check. Depending on the requirements of the other state, the applicant may not be able to request their own clearances, and Pennsylvania must submit the request on their behalf. In the event the applicant needs the request to come from the state, OCYF will assist with completing the application and getting the results to the applicant. Information about out of state clearances can be found at: https://www.pa.gov/en/agencies/dhs/resources/keep-kids- safe/child-abuse-clearances.html. The Consolidated Eligibility Letter process for child care clearances will include a process for out-of-state clearances that will be led by OCYF, when possible. Certain states require the individual applicant to submit for clearances autonomously. In these instances, the applicant will be required to provide the results of the out-of-state clearance to OCYF before the eligibility determination can be made. This updated process is in response to non-compliance cited in this area on December 13, 2021. 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)? [x] Yes. [ ] No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct interstate SOR checks. 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. Currently the responsibility is on the applicant to apply for an interstate SOR check. Depending on the requirements of the other state, the applicant may not be able to request their own clearances, and Pennsylvania must submit the request on their behalf. In the event the applicant needs the request to come from the state, OCYF will assist with completing the application and getting the results to the applicant. Information about out of state clearances can be found at: https://www.pa.gov/en/agencies/dhs/resources/keep-kids-safe/child-abuse- clearances.html 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. Currently the responsibility is on the applicant to apply for an interstate CAN check. Depending on the requirements of the other state, the applicant may not be able to request their own clearances, and Pennsylvania must submit the request on their behalf. In the event the applicant needs the request to come from the state, OCYF will assist with completing the application and getting the results to the applicant. Information about out of state clearances can be found at: https://www.pa.gov/en/agencies/dhs/resources/keep-kids- safe/child-abuse-clearances.html. The Consolidated Eligibility Letter process for child care clearances will include a process for out-of-state clearances that will be led by OCYF, when possible. Certain states require the individual applicant to submit for clearances autonomously. In these instances, the applicant will be required to provide the results of the out-of-state clearance to OCYF before the eligibility determination can be made. This updated process is in response to non-compliance cited in this area on December 13, 2021. 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)? [x] Yes. [ ] No. If no, describe any categories of child care providers eligible for CCDF participation for whom you do not conduct interstate CAN registry checks. 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. Currently the responsibility is on the applicant to apply for an interstate CAN check. Depending on the requirements of the other state, the applicant may not be able to request their own clearances, and Pennsylvania must submit the request on their behalf. In the event the applicant needs the request to come from the state, OCYF will assist with completing the application and getting the results to the applicant. Information about out of state clearances can be found at: https://www.pa.gov/en/agencies/dhs/resources/keep-kids-safe/child-abuse- clearances.html 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: Results are reviewed by the Office of Children and Youth Clearance Verification Unit and given a classification of either eligible or ineligible to work in a child care position. d. How does the Lead Agency use results from the interstate child abuse and neglect registry check? [ ] Does not use them to disqualify employment. [x] Uses them to disqualify employment. If checked, describe: Results are reviewed to ensure the prospective staff person has not been convicted or is awaiting trial on charges involving a crime of child abuse, child neglect, physical violence, or moral corruptness. 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: Policy related to privacy of child care staff members (including prospective child care staff member) when providing the results of the comprehensive background check was cited as an area of noncompliance on December 13, 2021. Beginning September 7, 2024 eligibility for employment in a child care center will be determined through the Consolidated Eligibility Letter process. The Office of Children, Youth and Families will make an eligible or ineligible determination for prospective and current child care employees and those residing in a child care home using information from the federal and state clearances outlined above. The letter seeks to eliminate the need for employers to review confidential information about the applicant and streamline the process for clearance checks. Additional time is needed to verify that the new process meets the requirements of the OCC and the Child Protective Services Law (CPSL). 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. [x] Yes. [ ] No. If no, describe: b. In-state criminal background check with fingerprints. [ ] Yes. [x] No. If no, describe: In a child day-care center, group day-care home or family child-care home (￿facility￿), an applicant may be employed on a provisional basis if all the following conditions are met: • Facility received the results of the applicant’s PA Child Abuse History Clearance prior to employment. • Facility received the result of the applicant’s Pennsylvania State Police (does not include fingerprints) OR the FBI finger-print results prior to employment. • The applicant has applied for the remaining required checks and the applicant provides a copy of the appropriate completed request forms to the employer, administrator, supervisor, or other person responsible for employment decisions. The outstanding checks are: o Pennsylvania State Police Criminal Record Check (does not include fingerprints) OR the FBI Criminal History Background Check, o the National Sex Offender Registry (NSOR) check, and o For an applicant who, in the past five years has resided outside of Pennsylvania, criminal history, child abuse, and sex offender registry checks from every state where the applicant lived within the past five years. • The employer, administrator, supervisor or other person responsible for employment decisions has no knowledge of information pertaining to the applicant which would disqualify him from employment based on CPSL. • The applicant swears or affirms in writing, by submitting the Disclosure Statement Application for Employment (PDF) that they are not disqualified from employment pursuant to 23 Pa. C.S. § 6344(c) or any background check required under § 6344(f.1), or has not been convicted of an offense similar in nature to those crimes listed in § 6344(c) under the laws or former laws of the United States or one of its territories or possessions, another state, the District of Columbia, the Commonwealth of Puerto Rico or a foreign nation, or under a former law of this Commonwealth. • If the results of the applicant’s background checks reveal that the applicant is disqualified from employment under §6344(c) or § 6344(f.1) of the CPSL, the applicant must be immediately dismissed by the employer, administrator, supervisor, or other person responsible for employment decisions. • The person responsible for employment decisions requires that the applicant not be permitted to work alone with children and that the applicant shall always work in the immediate vicinity of a permanent employee. • If after 45 days all clearances are not obtained, the facility shall dismiss the applicant from provisional employment. The applicant may not work at the facility until all clearances are obtained. c. In-state Sex Offender Registry. [ ] Yes. [x] No. If no, describe: In a child day-care center, group day-care home or family child-care home (￿facility￿), an applicant may be employed on a provisional basis if all the following conditions are met: • Facility received the results of the applicant’s PA Child Abuse History Clearance prior to employment. • Facility received the result of the applicant’s Pennsylvania State Police OR the FBI finger-print results prior to employment. • The applicant has applied for the remaining required checks and the applicant provides a copy of the appropriate completed request forms to the employer, administrator, supervisor or other person responsible for employment decisions. The outstanding checks are: o Pennsylvania State Police Criminal Record Check OR the FBI Criminal History Background Check, o the National Sex Offender Registry (NSOR) check, and o For an applicant who, in the past five years has resided outside of Pennsylvania, criminal history, child abuse, and sex offender registry checks from every state where the applicant lived within the past five years. • The employer, administrator, supervisor or other person responsible for employment decisions has no knowledge of information pertaining to the applicant which would disqualify him from employment based on CPSL. • The applicant swears or affirms in writing, by submitting the Disclosure Statement Application for Employment (PDF) that they are not disqualified from employment pursuant to 23 Pa. C.S. § 6344(c) or any background check required under § 6344(f.1), or has not been convicted of an offense similar in nature to those crimes listed in § 6344(c) under the laws or former laws of the United States or one of its territories or possessions, another state, the District of Columbia, the Commonwealth of Puerto Rico or a foreign nation, or under a former law of this Commonwealth. • If the results of the applicant’s background checks reveal that the applicant is disqualified from employment under §6344(c) or § 6344(f.1) of the CPSL, the applicant must be immediately dismissed by the employer, administrator, supervisor, or other person responsible for employment decisions. • The person responsible for employment decisions requires that the applicant not be permitted to work alone with children and that the applicant shall always work in the immediate vicinity of a permanent employee. • If after 45 days all clearances are not obtained, the facility shall dismiss the applicant from provisional employment. The applicant may not work at the facility until all clearances are obtained. The applicant can be hired provisionally if the facility received the results of the applicant’s PA Child Abuse History and the result of either the applicant’s Pennsylvania State Police OR the FBI finger-print results prior to employment. All other clearances must have completed applications prior to provisional employment. d. In-state child abuse and neglect registry. [x] Yes. [ ] No. If no, describe: e. Name-based national Sex Offender Registry (NCIC NSOR). [ ] Yes. [x] No. If no, describe: In a child day-care center, group day-care home or family child-care home (￿facility￿), an applicant may be employed on a provisional basis if all the following conditions are met: • Facility received the results of the applicant’s PA Child Abuse History Clearance prior to employment. • Facility received the result of the applicant’s Pennsylvania State Police OR the FBI finger-print results prior to employment. • The applicant has applied for the remaining required checks and the applicant provides a copy of the appropriate completed request forms to the employer, administrator, supervisor, or other person responsible for employment decisions. The outstanding checks are: o Pennsylvania State Police Criminal Record Check OR the FBI Criminal History Background Check, o the National Sex Offender Registry (NSOR) check, and o For an applicant who, in the past five years has resided outside of Pennsylvania, criminal history, child abuse, and sex offender registry checks from every state where the applicant lived within the past five years. • The employer, administrator, supervisor or other person responsible for employment decisions has no knowledge of information pertaining to the applicant which would disqualify him from employment based on CPSL. • The applicant swears or affirms in writing, by submitting the Disclosure Statement Application for Employment (PDF) that they are not disqualified from employment pursuant to 23 Pa. C.S. § 6344(c) or any background check required under § 6344(f.1), or has not been convicted of an offense similar in nature to those crimes listed in § 6344(c) under the laws or former laws of the United States or one of its territories or possessions, another state, the District of Columbia, the Commonwealth of Puerto Rico or a foreign nation, or under a former law of this Commonwealth. • If the results of the applicant’s background checks reveal that the applicant is disqualified from employment under §6344(c) or § 6344(f.1) of the CPSL, the applicant must be immediately dismissed by the employer, administrator, supervisor, or other person responsible for employment decisions. • The person responsible for employment decisions requires that the applicant not be permitted to work alone with children and that the applicant shall always work in the immediate vicinity of a permanent employee. • If after 45 days all clearances are not obtained, the facility shall dismiss the applicant from provisional employment. The applicant may not work at the facility until all clearances are obtained. The applicant can be hired provisionally if the facility received the results of the applicant’s PA Child Abuse History and the result of either the applicant’s Pennsylvania State Police OR the FBI finger-print results prior to employment. All other clearances must have completed applications prior to provisional employment. f. Interstate criminal background check, as applicable. [ ] Yes. [x] No. If no, describe: In a child day-care center, group day-care home or family child-care home (￿facility￿), an applicant may be employed on a provisional basis if all the following conditions are met: • Facility received the results of the applicant’s PA Child Abuse History Clearance prior to employment. • Facility received the result of the applicant’s Pennsylvania State Police OR the FBI finger-print results prior to employment. • The applicant has applied for the remaining required checks and the applicant provides a copy of the appropriate completed request forms to the employer, administrator, supervisor or other person responsible for employment decisions. The outstanding checks are: o Pennsylvania State Police Criminal Record Check OR the FBI Criminal History Background Check, o the National Sex Offender Registry (NSOR) check, and o For an applicant who, in the past five years has resided outside of Pennsylvania, criminal history, child abuse, and sex offender registry checks from every state where the applicant lived within the past five years. • The employer, administrator, supervisor, or other person responsible for employment decisions has no knowledge of information pertaining to the applicant which would disqualify him from employment based on CPSL. • The applicant swears or affirms in writing, by submitting the Disclosure Statement Application for Employment (PDF) that they are not disqualified from employment pursuant to 23 Pa. C.S. § 6344(c) or any background check required under § 6344(f.1), or has not been convicted of an offense similar in nature to those crimes listed in § 6344(c) under the laws or former laws of the United States or one of its territories or possessions, another state, the District of Columbia, the Commonwealth of Puerto Rico or a foreign nation, or under a former law of this Commonwealth. • If the results of the applicant’s background checks reveal that the applicant is disqualified from employment under §6344(c) or § 6344(f.1) of the CPSL, the applicant must be immediately dismissed by the employer, administrator, supervisor, or other person responsible for employment decisions. • The person responsible for employment decisions requires that the applicant not be permitted to work alone with children and that the applicant shall always work in the immediate vicinity of a permanent employee. • If after 45 days all clearances are not obtained, the facility shall dismiss the applicant from provisional employment. The applicant may not work at the facility until all clearances are obtained. g. Interstate Sex Offender Registry check, as applicable. [ ] Yes. [x] No. If no, describe: In a child day-care center, group day-care home or family child-care home (￿facility￿), an applicant may be employed on a provisional basis if all the following conditions are met: • Facility received the results of the applicant’s PA Child Abuse History Clearance prior to employment. • Facility received the result of the applicant’s Pennsylvania State Police OR the FBI finger-print results prior to employment. • The applicant has applied for the remaining required checks and the applicant provides a copy of the appropriate completed request forms to the employer, administrator, supervisor, or other person responsible for employment decisions. The outstanding checks are: o Pennsylvania State Police Criminal Record Check OR the FBI Criminal History Background Check, o the National Sex Offender Registry (NSOR) check, and o For an applicant who, in the past five years has resided outside of Pennsylvania, criminal history, child abuse, and sex offender registry checks from every state where the applicant lived within the past five years. • The employer, administrator, supervisor, or other person responsible for employment decisions has no knowledge of information pertaining to the applicant which would disqualify him from employment based on CPSL. • The applicant swears or affirms in writing, by submitting the Disclosure Statement Application for Employment (PDF) that they are not disqualified from employment pursuant to 23 Pa. C.S. § 6344(c) or any background check required under § 6344(f.1), or has not been convicted of an offense similar in nature to those crimes listed in § 6344(c) under the laws or former laws of the United States or one of its territories or possessions, another state, the District of Columbia, the Commonwealth of Puerto Rico or a foreign nation, or under a former law of this Commonwealth. • If the results of the applicant’s background checks reveal that the applicant is disqualified from employment under §6344(c) or § 6344(f.1) of the CPSL, the applicant must be immediately dismissed by the employer, administrator, supervisor, or other person responsible for employment decisions. • The person responsible for employment decisions requires that the applicant not be permitted to work alone with children and that the applicant shall always work in the immediate vicinity of a permanent employee. • If after 45 days all clearances are not obtained, the facility shall dismiss the applicant from provisional employment. The applicant may not work at the facility until all clearances are obtained. h. Interstate child abuse and neglect registry check, as applicable. [ ] Yes. [x] No. If no, describe: In a child day-care center, group day-care home or family child-care home (￿facility￿), an applicant may be employed on a provisional basis if all the following conditions are met: • Facility received the results of the applicant’s PA Child Abuse History Clearance prior to employment. • Facility received the result of the applicant’s Pennsylvania State Police OR the FBI finger-print results prior to employment. • The applicant has applied for the remaining required checks and the applicant provides a copy of the appropriate completed request forms to the employer, administrator, supervisor or other person responsible for employment decisions. The outstanding checks are: o Pennsylvania State Police Criminal Record Check OR the FBI Criminal History Background Check, o the National Sex Offender Registry (NSOR) check, and o For an applicant who, in the past five years has resided outside of Pennsylvania, criminal history, child abuse, and sex offender registry checks from every state where the applicant lived within the past five years. • The employer, administrator, supervisor, or other person responsible for employment decisions has no knowledge of information pertaining to the applicant which would disqualify him from employment based on CPSL. • The applicant swears or affirms in writing, by submitting the Disclosure Statement Application for Employment (PDF) that they are not disqualified from employment pursuant to 23 Pa. C.S. § 6344(c) or any background check required under § 6344(f.1), or has not been convicted of an offense similar in nature to those crimes listed in § 6344(c) under the laws or former laws of the United States or one of its territories or possessions, another state, the District of Columbia, the Commonwealth of Puerto Rico or a foreign nation, or under a former law of this Commonwealth. • If the results of the applicant’s background checks reveal that the applicant is disqualified from employment under §6344(c) or § 6344(f.1) of the CPSL, the applicant must be immediately dismissed by the employer, administrator, supervisor, or other person responsible for employment decisions. • The person responsible for employment decisions requires that the applicant not be permitted to work alone with children and that the applicant shall always work in the immediate vicinity of a permanent employee. • If after 45 days all clearances are not obtained, the facility shall dismiss the applicant from provisional employment. The applicant may not work at the facility until all clearances are obtained. 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? [x] Yes. [ ] No. If no, describe: 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? [x] Yes. [ ] No. If no, describe the current policy: 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. Applicants who have resided outside of Pennsylvania in the last five years are required to obtain out of state clearances. Depending on the requirements of the other state, the applicant may not be able to request their own clearances, and Pennsylvania must submit the request on their behalf. In the event the applicant needs the request to come from the state, OCYF will assist with completing the application and getting the results to the applicant. Information about out of state clearances can be found at: https://www.pa.gov/en/agencies/dhs/resources/keep-kids-safe/child-abuse- clearances.html Applicants who are no longer in Pennsylvania and require clearances from Pennsylvania for another state, may request a copy of their PA Child Abuse clearance by completing a consent and release of information form for the Pennsylvania Child Abuse History Certification. This form allows the Pennsylvania Department of Human Services to release the applicant’s Child Abuse History Clearance information directly to the agency noted on the form. The form can be found at: https://www.pa.gov/content/dam/copapwp- pagov/en/dhs/documents/keepkidssafe/clearances/documents/CY%20999%20- Consent%20Release%20of%20Information.pdf The Pennsylvania Criminal History check is housed online and can be accessed through the PATCH system by the applicant: https://epatch.pa.gov/home. Pennsylvania participates in the National Sex Offender Registry and background checks from other states would have the information available through NSOR. 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://www.pa.gov/en/agencies/dhs/resources/keep-kids-safe/child-abuse- clearances.html 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. [ ] 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: PA is not a National Fingerprint File or Crime Prevention and Privacy Compact State. c. Interstate sex offender registry (SOR) 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. If not all boxes above are checked, describe: 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? Pennsylvania requires all background checks to be completed every 5 years. The Office of Child Care has determined that the PA in-state criminal check is not compliant with OCC regulations due to the check being conducted without fingerprints. The components of the background checks include: FBI Fingerprint Check, PA Child Abuse, NSOR, PA Criminal Check- all of these are expected to be renewed every five years, including the PA Criminal History check. OCC considers PA to be non-compliant with the five year renewal period on basis of the check being conducted without fingerprints even though the check is expected to be renewed every five years.