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5300 Central Registry and Criminal History Searches

5310 Staff Responsibilities for Background Checks

LPPH April 2013

Policy

Background check responsibilities are shared within DFPS between Child Care Licensing and the Centralized Background Check Unit (CBCU). The following chart outlines the roles and responsibilities.

The Centralized Background Check Unit (CBCU)

Child Care Licensing

a.   Answering all general questions for providers about background checks, including the process for getting a fingerprint-based check completed

b.   Notifying the Licensing inspector when:

1.  urgent background check issues involve serious risk to children

2.  a risk evaluation is approved or denied

3.  an emergency release of a Central Registry match is approved or denied by the Legal Division

4.  an operation does not provide background check related documentation that is required by policy or rule

5.  a person at a child-care operation has a pending criminal charge

6.  a home-based provider indicates that a household member with an offense or abuse or neglect history that is a bar or requires a risk evaluation is no longer living in the home.

c.   Notifying operations in writing of all DPS, FBI, and Central Registry matches (when appropriate), and handling all associated follow-up

d.   Troubleshooting assistance for entering background checks online

e.   Responding to any reported IdentoGo fingerprint issues related to the DPS fingerprinting service

f.    Responding to inquiries about when a person is eligible for a risk evaluation

g.   Researching results of background checks and risk evaluations for providers

h.   Responding to inquiries received to the CBCU Support Line

i.    Processing risk evaluations, including gathering all required documentation and forwarding that on to the appropriate staff for a final decision

j.    Consulting with the Legal Division regarding possible emergency release of a Central Registry match and notifying the operation and the designated perpetrator (DP) when an emergency release is approved by Legal (the Licensing investigator requests the emergency release if the Central Registry finding resulted from the investigator’s investigation)

k.   Reviewing the Child Abuse / Neglect Central Registry Check Detail Report for Licensing report from IMPACT to determine possible Central Registry matches and clearing the batch report

l.    Researching possible Central Registry matches

m. Offering and tracking a due process hearing request when a due process hearing had not been offered for a CPS or APS finding and notifying Legal when the hearing request is received

n.   Sustaining perpetrators in IMPACT when a due process hearing is waived

o.   Ensuring that matches are handled according to the Licensing Policy and Procedure Handbook (LPPH)

p.   Requesting desk reviews and tracking when they are due

q.   Providing written documentation to Licensing staff any time it is determined a provider is not meeting background check requirements

a.   Answering questions related to background check rules or policy, which includes:

1.  Responding to inquiries about who is required to have a name-based background check or fingerprint-based background check, or both

2.  Responding to inquiries about when a person is required to have a background check

b.   Ensuring that pending background checks on each caseload are completed

c.   Tracking and completing any due process already offered by the Licensing staff person who initiated the process

d.   Consulting with the Legal Division regarding possible emergency release of a Central Registry finding that resulted from a Licensing investigation and notifying the operation and the designated perpetrator (DP) when an emergency release is approved by Legal

e.   Documenting in CLASS whether an emergency release of a Licensing finding is approved by Legal and notifying the CBCU of the results

f.    Evaluating compliance with background check laws and rules, including:

1.  verifying that background checks, including FBI checks, are being completed within the required time frames for anyone required by law to have a background check

2.  resolving all FBI checks that are pending in CLASS

3.  following up on pending criminal charges during inspections

4.  ensuring that persons that are barred from being present at the operation are not present at the operation while children are in care

5.  following up on any background check matches that require follow up

6.  evaluating any conditions of a risk evaluation during an inspection

g.   Ensuring CBCU staff are informed about actions taken in the field that may effect pending background checks the CBCU is processing

h.   Assisting the CBCU as needed when questions arise about background checks processed for child-care operations

5311 Persons For Whom Central Registry and Criminal Background Checks Are Required

LPPH April 2013

Policy

Central Registry and criminal history background searches must be conducted on certain persons to determine whether that person has:

  •  a history of abusing or neglecting a child; or

  •  a criminal history that includes an offense listed in the charts on the DFPS website.

Texas Human Resources Code §§42.056(g), 42.159, 42.206

DFPS Rules, 40 TAC §§743.105; 744.801(7); 744.901(7); 744.1103(1); 745.613; 745.651; 746.801(8); 746.901(7; 746.1103; 746.1105(1); 747.207(7); 747.801(4); 747.1205; 747.1207(4); 747.1401(a); 748.105(5); 748.363(9); 748.505(b)(1); 749.105(4); 749.553(9); 749.605(b)(1); 749.2447(7); 749.2473(a)(2)(B); 749.2653(a)(2); 749.3623(5); 750.105(4)

42 U.S.C. 671(a)(20)

5312 Persons For Whom Name-Based Background Checks Are Required

LPPH March 2014

Policy

Name-based criminal history and Central Registry checks must be conducted on the following persons:

a.   The director, owner, and operator of the operation

b.   Each person employed at the operation

c.   Each prospective employee at the operation

d.   Each current or prospective foster parent providing foster care through a child-placing agency

e.   Each prospective adoptive parent seeking to adopt through a child-placing agency

f.    Each person (other than a client in care) who is 14 years old or older and:

1.   is counted in child-to-caregiver ratios in accordance with the relevant minimum standards,

2.   lives in a prospective adoptive home, if the adoption is being handled by a child-placing agency,

3.   has unsupervised access to children who are in care at the operation, or

4.   lives at the operation

g.   Each person (other than a client in care) who is 14 years old or older, who will regularly or frequently be staying or working at an operation or prospective adoptive home while children are in care. (The person must be physically present at the operation to require a background check.)

h.   Each substitute employee at the operation, unless it is confirmed that the employer who contracts with the operation to provide the substitute employee has already completed a background check on the substitute employee through DFPS within the last 24 months

i.    Applicants for an administrator’s license and licensed administrators

For more information on name-based background checks, see Definitions of Terms.

Texas Human Resources Code §§42.056; 42.159; 42.206

DFPS Rules, 40 TAC §§745.601; 745.615; 745.625; 745.8933; 745.8993

5313 Persons For Whom Fingerprint-Based Background Checks Are Required

LPPH March 2014

Policy

Residential Child Care Operations, Child Care Centers, Before or After-School Programs and School-Age Programs

Any person affiliated with a residential child care operation, child care center, before- or after-school program, or school-age program who requires a name-based background check must also have a fingerprint-based background check, unless:

  •  the person is a frequent or regular visitor, in which case only a name-based background check is required; and

  •  the person is not otherwise required to have a fingerprint-based background check under 40 TAC §745.615(b)(2). (Below, in this item, see Other Persons Who May Have Out-of-State Criminal History.)

For an explanation of what constitutes a name-based or fingerprint-based background check, see the entries for those terms in Definitions of Terms.

Applicants for an Administrator’s License and Licensed Administrators

Applicants for an administrator’s license and licensed administrators must submit fingerprints, unless a valid FBI check was completed previously. See 5314 For Whom Background Checks Are Not Required.

Substitute Employees or Substitute Caregivers

A contractor who provides one or more substitute employees or caregivers to an operation (other than a small employer-based child care operation or a temporary shelter child care operation) must ensure that the substitute employees or caregivers meet the same background check requirements as an employee or caregiver who performs similar duties.

The director, owner, or operator of the operation must verify that a substitute employee or caregiver is eligible to be present at the operation before allowing the person to work.

Other Persons Who May Have a Criminal History Outside of Texas

All child care operations except small employer-based child care operations are required to complete a fingerprint-based background check on any person who is required to complete a name-based background check, if:

  •  the operation has reason to suspect that the person has a criminal history in another state; or

  •  the person has lived in another state any time during the previous five years.

See 5312 Persons For Whom Name-Based Background Checks Are Required.

For an explanation of what constitutes a name-based or fingerprint-based background check, see the entries for those terms in Definitions of Terms.

Persons Whose Renewal Background Checks Are Late

If a person’s renewal background check is requested more than 24 months after the day that the previous check was requested, the previous fingerprint check cannot be used to meet background check requirements and the person must submit another set of fingerprints. See 5315 When Background Checks Are Required.

Procedure

As required by the Federal Bureau of Investigation (FBI):

  •  all persons who are required to have an FBI fingerprint check must be fingerprinted by a qualified person; and

  •  all fingerprints must be submitted electronically through the DPS-assigned fingerprinting service centers. See the IdentoGo website for locations.

Texas Human Resources Code §§42.056; 42.206

DFPS Rules, 40 TAC §§745.601; 745.615; 745.625; 745.630; 745.8934; 745.8993

For an explanation of what constitutes a renewal background check or fingerprint-based background check, see the entries for those terms in Definitions of Terms.

5314 Persons For Whom Background Checks Are Not Required

LPPH March 2014

Policy

Professionals

Background checks are not required for a professional who has cleared a background check through another governmental regulatory entity, if:

a.   the operation that the professional provides services to does not employ or have a contract with the professional;

b.   the professional is present at the operation in an official capacity only; and

c.   written parental consent must be obtained in the case of day care operations, before the operation may allow the professional to have unsupervised access to a child in care.

For the definition of the word professional, see Definitions of Terms.

Board Members of Corporations or Associations

Background checks are not conducted on the board members of corporations or associations, unless a member:

a.   is also an employee;

b.   is a volunteer who is counted in the child-to-caregiver ratio;

c.   has unsupervised access to children in care at the operation; or

d.   will regularly or frequently be present at the operation while children are in care.

Frequent Visitors to Foster Homes

For foster homes, the following persons are not considered frequently present or frequently and regularly present at a foster home and are not required to have a background check:

a.   A child unrelated to a foster parent who visits the foster home, unless:

  •  the child is responsible for the care of foster children, or

  •  there is reason to believe that the child has a criminal history or has previously abused or neglected a child.

b.   An adult unrelated to a foster parent who visits the foster home, unless:

  •  the adult has unsupervised access to children in care, or

  •  there is reason to believe that the adult has a criminal history or has previously abused or neglected a child.

Persons Affiliated With Inactive Foster Homes

Background checks are not required for foster homes that are on inactive status.

If a home is taken off of inactive status and a background check has not been requested within 24 months on any person at the home for whom a check is required, a new background check must be completed (including the submission of fingerprints, when applicable), before a child can be placed in the home. In statute and rule, the phrase every 24 months, means 24 months to the day that the previous request was made.

Persons Who Have Previously Completed An FBI Check

A person who is required by DFPS to have a fingerprint-based background check does not have to submit a new set of fingerprints for an initial background check, if the person:

a.   has submitted fingerprints for an FBI check performed by the Texas Education Agency;

b.   the FBI result is available to DFPS through the DPS clearinghouse; and

c.   the date of fingerprinting is within 24 months of the day that the previous DFPS background check was requested.

A person is not required to submit fingerprints for an initial or renewal background check, if:

a.   the person has had a fingerprint-based background check conducted through DFPS;

b.   a name-based check was requested within the past 24 months; and

c.   the results of the fingerprint check are attached to that name-based check.

For an explanation of what constitutes a name-based or fingerprint-based background check, see the entries for those terms in Definitions of Terms.

Texas Government Code §411.087

Texas Human Resources Code §42.056

DFPS Rules, 40 TAC §§745.601; 745.621; 745.630; 749.2823

42 USC §671(a)

5315 When Background Checks Are Required

LPPH March 2014

Policy

An operation must request a background check under the following circumstances:

a.   The operation submits its application for a permit

b.   The operation hires someone

c.   The operation contracts with someone

d.   A person applies to be a foster or adoptive parent at a home that would be verified by the operation

e.   A person who is not a client and is 14 years old or older moves into a home or operation, or is living in the home or operation and becomes 14 years old. (A person who is not a client and is living in the home or operation is known as a non-client resident.)

f.    The operation becomes aware of a person who requires a background check under 40 TAC §745.615.

An applicant for an administrator’s license must request a background check on himself or herself when submitting the application.

Renewal Background Checks

An operation must request a renewal background check within 24 months of the day that the previous check was requested.

To renew an administrator license, a licensed administrator on active status must request a renewal background check within 24 months of his or her last request for a background check.

For more information on a renewal background check, see Definitions of Terms.

Texas Human Resources Code §§42.056; 42.159; 42.206

DFPS Rules, 40 TAC §§745.625; 745.8934; 745.8993

5316 Submitting Background Check Requests

LPPH April 2013

Procedure

Background check requests must be submitted in the following ways:

a.   Applicants must submit their initial background check requests according to instructions in 3000 Application and Issuance.

b.   For residential child-care operations and child day-care operations (other than child day-care homes) that already have a permit, requests must be submitted online through the DFPS website.

c.   For child day-care homes that already have a permit, background check requests may either be submitted to the local Licensing office using Form 2971 Child Care Licensing Request for Background Check, or online through the DFPS website.

5316.1 Requiring Identifying Information

LPPH April 2013

Procedure

When Form 2971 CCL Request for Background Check is received, the Licensing or CBCU staff who processes the form must ensure that certain identifying information is provided by the director, owner, or operator of the child-care operation in order to conduct the background check. This information includes the following:

a.   Name (last, first, middle), including any maiden or married names or aliases

b.   Date of birth

c.   Sex

d.   Social Security number

e.   Current and previous addresses

f.    Driver license or a state-issued identification card number

g.   Race

h.   Any addresses, including counties, where a person has lived outside the state of Texas any time during the five years preceding the date of the request for a background check

The Licensing or CBCU staff contacts the operation if any of the identifying information is missing from Form 2971.

DFPS Rules, 40 TAC §745.623

5316.2 Verifying Information

LPPH April 2013

Procedure

When Form 2971 CCL Request for Background Check is received, staff must confirm that the director, owner, or operator of the child-care operation has signed the form indicating that he or she has verified the information submitted is correct. Verification means he or she has checked the person’s driver license, state-issued ID, or Social Security card against the information that he or she was given. The submission of an online request is considered the same as a signature.

5317 Initiating Background Checks

LPPH April 2013

Procedure

Upon receiving Form 2971 CCL Request for Background Check and following procedures in 5316.1 Requiring Identifying Information and 5316.2 Verifying Information, the Licensing or CBCU staff uses the information on the form to initiate a background check in CLASS.

5318 Allowing Direct Access Before a Background Check Is Complete

LPPH March 2014

Policy

An operation must always receive the results of a person’s name-based background check before the operation may allow the person to provide direct care or have direct access to the children in care.

If a fingerprint-based background check is required for a person affiliated with a child care operation other than a temporary shelter, the operation must also receive the results of the fingerprint check before allowing the person to provide direct care or have direct access to a child in care, unless:

  •  the operation is experiencing a staff shortage; and

  •  the results of the name-based DPS and Central Registry checks do not preclude the person’s presence at the operation while children are in care.

For the definition of staff shortage, see Definitions of Terms.

A person who is allowed to provide direct care under the criteria above must submit his or her fingerprints as soon as possible, but not later than 30 days after the earliest date that he or she first provides direct care, has direct access to a child, or is hired.

If the results of the fingerprint-based background check contain criminal history that precludes the person from being present at the operation while children are in care, the operation must not allow the person to be present while children are in care.

See:

5380 Determining Compliance With Background Check Requirements

5383 Defining Presence at an Operation

For an explanation of what constitutes a name-based or fingerprint-based background check, see the entries for those terms in Definitions of Terms.

DFPS Rules, 40 TAC §745.626

5319 Determining a Staff Shortage

LPPH April 2013

Procedure

When an operation indicates it allowed or is currently allowing a person to provide direct care or have direct access to a child in care before receiving fingerprint results as described in 5318 Allowing Direct Access Before a Background Check Is Complete, Licensing staff requests the following from the operation to ensure a staff shortage (see Terms and Definitions in 5300 Central Registry and Criminal History Searches) did or does exist:

a.   Employee attendance records

b.   Attendance records (for day-care operations) or placement records (for residential operations) for children in care

c.   Any additional documentation that can demonstrate a staff shortage

If Licensing staff determine that a staffing shortage did not exist at the time the operation allowed a person to provide direct care or have direct access to a child before the person’s fingerprint results were received, then Licensing staff cite the operation for violating Human Resources Code §42.056(g).

DFPS Rules, 40 TAC §§744.801; 744.905; 746.801; 746.905; 747.635

5320 Conducting DFPS Central Registry Searches

5321 Purpose of Central Registry Searches

LPPH April 2013

Policy

The Centralized Background Check Unit (CBCU) conducts Central Registry searches to determine whether a person’s presence at the operation violates the licensing statute, administrative rules, or minimum standards or presents a risk to the health and safety of children in care.

The DFPS Central Registry is made up of the following individuals (IMPACT codes are shown in parentheses):

a.   Designated perpetrator (DP)

b.   Designated both (DB), meaning both victim and perpetrator

c.   Sustained perpetrator (SP) in a Child Protective Services (CPS) or Licensing abuse or neglect investigation

d.   Sustained both (SB) in a CPS or Licensing abuse or neglect investigation and

e.   Designated perpetrator (DP) in an Adult Protective Services Facility investigation with a disposition of Confirmed and in which the victim was a child

Texas Human Resources Code §§42.0445; 42.056; 42.159; 42.206

DFPS Rules, 40 TAC §§745.611; 745.613; 745.625

5321.1 How Central Registry Matches are Determined

LPPH January 2011

Procedure

DFPS initiates the request for a Central Registry check in CLASS as described in 5317 Initiating Background Checks to determine whether the person required to have a name-based background check is listed in the DFPS Central Registry for abusing or neglecting a child. (See 5312 For Whom Name-Based Background Checks Are Required to determine whether a person is required to have a DFPS Central Registry check.)

Once the Central Registry check is completed, IMPACT generates a Detail Report for Licensing, which contains all possible DFPS Central Registry matches for the persons who were submitted for a background check.

The Centralized Background Check Unit (CBCU) compares the following information in the Detail Report to determine whether the person at the operation has a history of abuse or neglect:

a.   The names of the possible matches and the name of the person who is the subject of the background check

b.   The Social Security number (SSN) of the possible matches and the SSN of the person who is the subject of the background check

c.   The date of birth (DOB) of the possible matches and the DOB of the person who is the subject of the background check

5321.11 Completed or Closed Investigations

LPPH October 2010

Procedure

For completed or closed investigations, CBCU compares the identifying information of the person submitted for a background check and the identifying information for all of the possible matches. If the CBCU determines that the person in question is in all likelihood the DP, DB, or SP in an abuse or neglect investigations indicated in the Detail Report for Licensing, then the CBCU staff takes the steps in 5322 Reviewing an Abuse or Neglect Investigation in IMPACT and 5323 Reviewing an Abuse or Neglect Case in CLASS if the investigation is a Licensing investigation.

5321.12 Open Investigations

LPPH October 2010

Procedure

For persons who are identified in the Detail Report for Licensing as a principal in an open investigation, the Centralized Background Check Unit (CBCU) follows up in IMPACT or with the investigator until the conclusion of the investigation to determine the outcome.

If a person at the operation becomes a DP, DB, or SP, then the CBCU staff takes the steps in 5322 Reviewing an Abuse or Neglect Investigation in IMPACT and 5323 Reviewing an Abuse or Neglect Case in CLASS if the investigation is a Licensing investigation.

5322 Reviewing an Abuse or Neglect Investigation in IMPACT

LPPH October 2010

Procedure

Centralized Background Check Unit (CBCU) staff reviews the case in IMPACT in one of the ways described in the following subitems.

5322.1 Using a Case Search

LPPH October 2010

Procedure

Access the Case Search page through the Case tab.

a.   On the Case Search page, search using the Case ID in the Detail Report for Licensing.

b.   On the Case Summary page, select the appropriate stage according to the chart in 5322.3 Accessing Details for an Administrative Review.

c.   If the case is a Licensing case, use the Case Management tab and then the Investigation Conclusion tab to access the facility information on the Investigation Conclusion page.

5322.2 Using a Person Search

LPPH October 2010

Procedure

Access the Person Search page through the Search tab.

a.   On the Person Search page, search for the person in question using the Person ID on the Detail Report.

b.   Click on the Person List to access the Person Detail page.

c.   View the Case List by selecting the View Case List from the View Options selection list.

d.   Select the appropriate Case ID.

e.   On the Case Summary page, select the appropriate stage according to the chart under the subhead Accessing Details for an Administrative Review.

f.   If the case is a Licensing case, use the Case Management tab and then the Investigation Conclusion tab to access the facility information on the Investigation Conclusion page.

5322.3 Accessing Details for an Administrative Review

LPPH October 2010

Procedure

Criteria:

See:

An ARI stage exists.

  •  Select the ARI stage.

  •  Select the Event List tab.

  •  Select the Admin Review/INV Link to view the details of the administrative review.

An ARI stage does not exists.

  • Select the INV stage.

  • Use the Allegation tab to access the Allegation List to review the allegation details on the Allegation page.

Person Search: If

Person Search: Then

An ARI stage exists.

  •  Select the ARI stage.

  •  Select the Event List tab to access the em>Event List.

  •  Select the Admin Review/INV Link to view the details of the administrative review.

An ARI stage does not exists.

  • Select the INV stage.

  • Use the Allegation tab to access the Allegation List to review the allegation details on the Allegation page.

5323 Reviewing an Abuse or Neglect Investigation in CLASS

LPPH October 2010

Procedure

If the investigation is a Licensing investigation, then the Centralized Background Check Unit (CBCU) staff reviews the case in CLASS by:

a.   using the facility information obtained in IMPACT (see 5322 Reviewing an Abuse or Neglect Investigation in IMPACT for more information) to access the correct facility and investigation in CLASS;

b.   reviewing the Investigation Perpetrator Details and the Investigation Conclusion pages for information regarding the overall disposition and the perpetrator; and

c.   contacting the appropriate supervisor if there is a discrepancy between the investigation findings in CLASS and IMPACT.

5324 Reviewing an Abuse or Neglect Case That Is Not in IMPACT

LPPH October 2010

Procedure

Centralized Background Check Unit (CBCU) staff completes the following steps when an investigation record is not in IMPACT:

      Requests the abuse or neglect investigation record from the region or office where the file is located. (Form 7280 Request for Information Regarding a Licensing Central Registry Match, is used to make this request.)

a.   For CPS and APS cases not in IMPACT, the person designated by the regional director to be the designated CPS or APS point of contact for Licensing's Central Registry matches sends a copy of the case file to the CBCU.

b.   The CBCU staff verifies that the person listed in the Central Registry is the same person who is at the child-care operation.

c.   If it appears that the person listed in the Central Registry is the same person who is at the child-care operation, the case is not online, and the case cannot be found within 60 days, the program that conducted the investigation removes the designated perpetrator from the Central Registry.

5325 Actions While Reviewing an Abuse or Neglect Investigation

LPPH October 2010

Procedure

The Centralized Background Check Unit (CBCU) staff completes the following actions while reviewing an abuse or neglect investigation: 

a.   Checks the IMPACT purge date

b.   Verifies that the person listed in the Central Registry is the same person who is at the child-care operation  

c.   Determines whether the information may serve as a basis for action and notifies the Licensing inspector, if needed. See 5331 Acting on Abuse and Neglect Findings in a DFPS Central Registry Report for more information 

d.   Follows the record retention policy in Appendix 1000-1: Retention of Records

e.   Keeps any hard copies of the abuse or neglect investigation records in a separate file or return records to source after review

f.   Records the Central Registry match in CLASS

5330 Acting on Abuse or Neglect Findings

5331 Acting on Abuse or Neglect Findings in a DFPS Central Registry Report

LPPH October 2010

Policy

Centralized Background Check Unit (CBCU) staff must evaluate whether to release findings of abuse and neglect for any person at the operation who has a Central Registry match.

If the finding has not been sustained, the CBCU determines whether to immediately release the finding to the operation as outlined in 5333 Handling Unsustained Central Registry Findings.

If the finding is Sustained (see Definitions of Terms, Sustained finding), then the person's Central Registry history may be released by notifying the operation according to the instructions in 5334 Handling Sustained Central Registry Findings.

DFPS Rules 40 TAC §745.659

5332 Determining Whether the Investigation Is Eligible for Purge

LPPH October 2010

Procedure 

The Centralized Background Check Unit (CBCU) staff checks the IMPACT purge date of the record and proceeds as follows.

  •  If the purge date is overdue and there is no appeal hearing pending with the Administrative Hearings Division of the DFPS General Counsel's Office, the CBCU staff contacts the worker in the region who is responsible for determining if the case is qualified for purge. A worker in each program area is responsible for making such a determination.

  •  If there is an appeal hearing pending, the CBCU staff follows up with the docket clerk to obtain more information.

  •  A case scheduled to be destroyed in one month is not purged from IMPACT until the second Sunday of the following month. The purge date is not considered overdue until after the second Sunday.

      Some cases may not be eligible for purge because they have been merged with other cases.

  •  If the case is eligible for purge, the CBCU staff clears the Central Registry finding.

5333 Handling Unsustained Central Registry Findings

LPPH April 2013

Procedure

The Centralized Background Check Unit (CBCU) staff reviews the investigation to obtain information needed to assess the risk to children in care and to determine whether:

a.   the finding is a CPS or APS finding before April 16, 1999;

b.   the designated perpetrator has been notified of the findings;

c.   the person’s risk to children has already been assessed;

d.   an emergency release determination has already been made;

e.   a due process hearing has been offered.

For more information, see:

5322 Reviewing an Abuse or Neglect Investigation in IMPACT

5323 Reviewing an Abuse or Neglect Investigation in CLASS

The Licensing investigator, not the CBCU, handles due process notifications for unsustained findings resulting from a Licensing investigation. In addition, the Licensing investigator assesses risk and makes the request for an emergency release if an immediate threat or danger is discovered as a result of a Licensing investigation. See:

5333.2 Assessing Risk

5333.3 Emergency Release of Findings Based on Immediate Risk.

5333.1 CPS and APS Findings Before April 16, 1999

LPPH October 2010

Procedure

If it is determined under 5333.2 Assessing Risk that the presence of the designated perpetrator (DP) is not an immediate threat to the health or safety of children and the finding was made before April 16, 1999, then the Centralized Background Check Unit (CBCU) must request a desk review for preponderance of the evidence from the designated CPS or APS contact.

Form 7280 Request for Information Regarding a Licensing Central Registry Match, may be used to request the desk review.

The designated contact person proceeds with a desk review of the investigation to determine whether the preponderance of evidence standard is met.

If

Then

The preponderance of evidence standard is not met.

Within 60 days of the Centralized Background Check Unit's (CBCU's) request, the program that conducted the investigation:

  •  overturns the finding regarding the person;

  •  changes the finding in IMPACT; and

  •  notifies in writing the appropriate persons, which may include the Licensing representative, CBCU staff, the designated perpetrator, and any other persons who are required to be notified of the change.

Reasons Preponderance Is Not Met

The reasons why preponderance is not met can include any of the following:

  •  The retention period may have passed.

  •  The facts of the case do not meet preponderance.

  •  The record cannot be found.

The preponderance of evidence standard is met.

Within 60 days of CBCU's request, the program that conducted the investigation sends the CBCU the results of the desk review along with a copy of the case file.

Once the CBCU receives the desk review from the program that conducted the investigation, the CBCU staff completes the steps as outlined in 5333.12 Actions Taken for CPS and APS Findings on or After April 16, 1999.

5333.11 Offering an ARIF Instead of a Desk Review

LPPH October 2010

Procedure

In some instances program staff may choose to offer an Administrative Review of Investigation Findings (ARIF) to a DP instead of conducting a desk review. Program staff keeps CBCU advised of the situation and time frame, and forward the final results of the ARIF and the investigation file to CBCU.

If an ARIF was offered and not requested, program staff forward the final results of the desk review to the CBCU.

5333.12 Actions Taken for CPS and APS Findings on or After April 16, 1999, and for Licensing Cases

LPPH April 2013

Procedure

The Centralized Background Check Unit (CBCU) staff refers to the following procedures, as appropriate, if:

  •  it is determined under 5333.2 Assessing Risk that the presence of the DP is not an immediate threat to the health or safety of children, and

  •  the finding was made on or after April 16, 1999:

5332 Determining Whether the Investigation Is Eligible for Purge

5333.4 Notifying the Designated Perpetrator

5333.5 Due Process Hearing Actions

5333.2 Assessing Risk

LPPH April 2013

Policy

Licensing or the CBCU assesses the risk to determine whether the designated perpetrator’s (DP’s) presence creates an immediate threat or danger to the health or safety of children.

The factors used to assess risk include, but are not limited to, the following:

a.   The nature and severity of the incident

b.   The circumstances surrounding the incident

c.   The seriousness of any injury to a child

d.   The length of time since the incident occurred

e.   Whether there has been repeated abuse and neglect

f.    The compliance history of the operation

g.   The current regulatory status of the operation

h.   The role of the person in the incident

i.    The current position, role, and responsibilities of the person

j.    The degree or immediacy of the threat or danger

Procedure

Emergency Release as a Result of Background Check

When immediate threat or danger to the health or safety of children is discovered as a result of processing a background check, the Centralized Background Check Unit (CBCU):

  •  emails Form 2878 Request for Emergency Release to the Licensing Legal Services Mailbox and copies the Licensing inspector and supervisor;

  •  completes the steps in 5333.3 Emergency Release of Findings Based on Immediate Risk through 5333.5 Due Process Hearing Actions, if the request for an emergency release is approved.

Emergency Release as a Result of a Licensing Investigation

When immediate threat and danger is discovered because of a Licensing investigation that resulted in a finding of Reason to Believe (RTB), the Licensing investigator, with the approval of a Licensing supervisor:

  •  e-mails Form 2878 Request for Emergency Release to the Licensing Legal Services Mailbox and copies the CBCU inspector;

  •  completes the steps in 5333.3 Emergency Release of Findings Based on Immediate Risk through 5333.5 Due Process Hearing Actions, if the request for an emergency release is approved.

See 6930 Actions to Take Following the Investigation of a Regulated Operation.

Risk Does Not Justify an Emergency Release

If the Licensing attorney determines that the designated perpetrator’s (DP’s) presence at the operation does not constitute an immediate threat or danger to the health or safety of children, either the CBCU inspector or the CCL investigator:

a.   enters the Central Registry finding in CLASS under the person’s Background Check Results History page;

b.   documents that an emergency release was not approved in the Information Specific to this Result narrative box; and

c.   completes the steps in 5333.4 Notifying the Designated Perpetrator and 5333.5 Due Process Hearing Actions.

DFPS Rules, 40 TAC §§745.657; 745.733

5333.3 Emergency Release of Findings Based on Immediate Risk

LPPH April 2013

Procedure

If it is determined in 5333.2 Assessing Risk that the designated perpetrator’s (DP’s) presence at the operation is an immediate threat or danger to the health or safety of children and the operation has not already received an emergency release notification, then the Centralized Background Check Unit (CBCU) inspector or the Licensing investigator take the following steps, as appropriate. See 5333 Handling Unsustained Central Registry Findings for more information about how to determine whether the operation has received an emergency release notification.

1.   Enter the Central Registry findings in CLASS under the person’s Background Check Results History page and document information relating to the emergency release of the findings.

2.   Notify the operation of the DP’s unsustained finding by contacting the director, owner, or operator of the operation by telephone and by sending the Background Check Match Letter found on the Background Check Results History page in CLASS.

3.   Notify the DP of the DP’s right to a due process hearing by sending the Central Registry Match Letter to Perpetrator found on the Background Check Results History page in CLASS. See 7720 Hearings Concerning Child Abuse or Neglect Findings for more information. If the designated perpetrator is a minor, the notification must be sent to the parent or guardian. A Licensing investigator also sends the appropriate due process letters. See 6632.1 For Findings of Reason to Believe.

4.   If the CBCU inspector requested the emergency release, the CBCU inspector notifies the Licensing inspector and the Licensing supervisor of the emergency release of the DP’s unsustained finding.If the Licensing investigator requested the emergency release, the Licensing investigator notifies the CBCU inspector of the emergency release of the DP’s unsustained finding.

5.   If the DP (or DP’s parent if the DP is a minor) does not request a due process hearing in a timely manner, follow steps in 5333.51 Actions Taken When No Due Process Hearing Is Requested.

6.   If the DP (or DP’s parent if the DP is a minor) requests a due process hearing, then see 5333.52 Actions Taken When a Due Process Hearing Is Requested.

Additional Steps Taken by Licensing

The inspector follows up with an inspection to ensure that the person is no longer present at the operation. See 4150 Conducting Inspections.

If the Licensing investigator requested the emergency release, the investigator documents a CLASS Chronology (under the category type Investigation) of the date the emergency release was approved by a Licensing attorney and the contacts (including type, date, and purpose of each contact) made to the Legal Division, the operation, and the DP.

DFPS Rules,40 TAC §§745.657; 745.659

5333.4 Notifying the Designated Perpetrator

LPPH April 2013

Procedure

Notifying the Designated Perpetrator of a Licensing Investigation

For Licensing investigations, the Centralized Background Check Unit (CBCU) staff reviews the Investigation Perpetrator Details page in CLASS to determine whether the designated perpetrator (DP) has been notified of his or her right to a due process hearing. If the DP has not been previously notified, then the CBCU alerts the appropriate Licensing investigator. The investigator sends a letter to the DP notifying him or her of the right to a due process hearing. If the designated perpetrator is a minor, the appropriate notification must also be sent to the parent or guardian.

Notifying the Designated Perpetrator of a CPS or APS Investigation

For APS and CPS investigations, the CBCU staff reviews the investigation in IMPACT and documentation in CLASS to determine whether the DP has been previously notified of his or her right to a due process hearing. If the DP has not received notification of the right to a hearing, then the CBCU sends a letter to the DP notifying him or her of the right to a due process hearing. If the designated perpetrator is a minor, the notification must be sent to the parent or guardian.

5333.5 Due Process Hearing Actions
5333.51 Actions Taken When No Due Process Hearing Is Requested

LPPH April 2013

Procedure

CPS or APS Findings

If the designated perpetrator (DP) does not request a due process hearing within the time frame, then the finding is sustained, and the Centralized Background Check Unit (CBCU) staff:

  •  releases the perpetrator’s sustained finding to the operation according to 5334 Handling Sustained Central Registry Findings; and

  •  changes the person’s role from DP to sustained perpetrator (SP) in IMPACT.

Exception: If the DP is a minor, the CBCU staff refers to CPS or APS policy to determine whether or not to change the DP’s role to sustained.

Licensing Findings

See 7711.4 Waiving the Right to an Administrative Review for more information.

5333.52 Actions Taken When a Due Process Hearing Is Requested

LPPH April 2013

Procedure

CPS or APS Findings

If the designated perpetrator (DP) or DP’s parent (if the DP is a minor) requests a due process hearing, the Centralized Background Check Unit (CBCU) sends copies of the following items to the docket clerk in the Legal Division in state office:

a.   Program case records in IMPACT

b.   Any other non-electronically stored records related to the investigation

c.   The letter notifying the DP (or DP’s parent, if the DP is a minor) of his or her right to a due process hearing

d.   The DP’s or DP’s parent (if the DP is a minor) letter requesting a due process hearing

e.   The envelope in which the request for a hearing arrived

f.    Any emergency release documentation

Licensing Findings

If the designated perpetrator (DP) or DP’s parent (if the DP is a minor) requests a due process hearing, the Licensing investigator sends copies of the following items to the docket clerk in the Legal Division in state office:

a.   Program case records in IMPACT

b.   Any other non-electronically stored records related to the investigation

c.   The letter notifying the DP (or DP’s parent, if the DP is a minor) of his or her right to a due process hearing

d.   The DP’s or DP’s parent (if the DP is a minor) letter requesting a due process hearing

e.   The envelope in which the request for a hearing arrived

f.    Any emergency release documentation

For information on how the Legal Division in state office handles a request for a due process hearing, see 5333.53 Role of the Legal Division in Due Process Hearings and Related Actions.

5333.53 Role of the Legal Division in Due Process Hearings and Related Actions

LPPH April 2013

Procedure

The docket clerk in the Administrative Hearings Division of the DFPS General Counsel’s Office must determine whether a timely request for a due process hearing has been received.

The docket clerk prepares records for cases that are assigned to the attorney in the Administrative Hearing Division.

The attorney prepares and presents each case. Preparation for the hearing includes gathering and analyzing relevant evidence and identifying and preparing witnesses. Preparing may also include resolving discovery and handling of open records request. Presentation at hearings includes making legal arguments and examining witnesses.

5333.54 When the Finding Is Sustained in the Due Process Hearing

LPPH April 2013

Procedure

CPS or APS Findings

If the finding is upheld in the due process hearing, it is a sustained finding. The Administrative Hearings Division in state office, Centralized Background Check Unit (CBCU), and CPS or APS then take the following actions:

a.   The Administrative Hearings Division sends a copy of the SOAH decision and order to the appropriate persons, which may include the Centralized Background Check Unit and CPS or APS, as appropriate, and notifies them that a release of the perpetrator’s sustainedinvestigationfinding should be made to the operation according to procedure in 5331 Acting on Abuse or Neglect Findings in a DFPS Central Registry Report.

      If the case was originally an emergency release hearing, then the CBCU contacts the operation to determine whether the person is still affiliated with the operation. If the person is still associated with the operation, then CBCU releases the perpetrator’s sustainedinvestigationfinding to the operation.

b.   The Administrative Hearings Division requests that the role of the perpetrator be changed to a sustained finding in IMPACT.

c.   The Administrative Hearings Division sends the CPS or APS contact person a copy of the SOAH decision and order, to be filed in the CPS or APS case record.

Licensing Findings

See 7724 Documenting the Results of the Due Process Hearing.

5333.55 When the Finding Is Overturned in the Due Process Hearing

LPPH April 2013

Procedure

CPS or APS Findings

If the finding is overturned in the due process hearing, the Administrative Hearings Division in state office, the Centralized Background Check Unit (CBCU), and CPS or APS, as appropriate, then take the following actions:

a.   The Administrative Hearings Division sends a copy of SOAH’s decision and order to the program that conducted the investigation so the finding of abuse or neglect can be removed from the Central Registry and the program can file the decision and order in the CPS or APS case record.

b.   The Administrative Hearings Division requests that the role of the perpetrator be changed in IMPACT by creating an Administrative Review (ARI) stage in IMPACT and changing the disposition of the allegation to Ruled Out or Unable to Determine, as appropriate; and

c.   The Administrative Hearings Division sends a memo to the CBCU representative that explains the SOAH decision and order and what actions should be taken in the matter.

      If the case was originally an emergency release hearing, then the CBCU staff sends a letter to the operation to clarify that the abuse or neglect was overturned by SOAH and the person is no longer barred from working in child care.

Licensing Findings

See 7724 Documenting the Results of the Due Process Hearing.

5334 Handling Sustained Central Registry Findings

LPPH April 2013

Procedure

If there is a sustained finding, the Centralized Background Check Unit (CBCU) staff checks the IMPACT purge date of the record.

  •  If the purge date is overdue, the CBCU staff contacts the person in the district who is responsible for determining whether the case is qualified for purge. A caseworker in each program area is responsible for making such determinations.

      Some cases may not be eligible for the purge due date because they have been merged with other cases.

  •  If the case is eligible for purge, the CBCU staff clears the Central Registry finding.

If the case is ineligible for purge and the finding is ineligible for a risk evaluation, the Licensing inspector may take one or more of the following actions if the person is present at an operation while children are in care:

a.   Cite the operation for a violation of minimum standards or rules and set a compliance date. See 4200 Citing Deficiencies With an Assessment for more information regarding how to cite a standard without conducting an inspection.

b.   Set special conditions on the license, registration, or certification. Conditions cannot be placed on a listing. See:

3332 Setting Special Conditions on the License or Certificate

3434 Setting Special Conditions on the Compliance Certificate

3551 Setting Special Conditions on the Registration Permit.

      Or:

c.   Deny or revoke the permit. See 7600 Adverse Actions for more information.

All actions taken must be documented in CLASS.

5335 Notifying the Operation of Sustained Central Registry Findings

LPPH April 2013

Procedure

The Centralized Background Check Unit (CBCU) sends the Background Check Match Letter in CLASS via email or regular mail to notify the operation that the continued presence of the sustained perpetrator at the operation while children are in care (or the approval of a sustained perpetrator as a foster or adoptive parent) violates minimum standards and could result in one or more adverse actions, including suspension, adverse amendment, and revocation.

The CBCU uses the following chart to determine how to release sustained Central Registry matches and whether to give the operation the opportunity to request a risk evaluation. See 5370 Risk Evaluation of Criminal History or Findings of Child Abuse or Neglect.

Type of Central Registry Finding for Child Abuse or Neglect

Should the Central Registry Finding Be Released to the Operation?

Is the Person’s Presence a Minimum Standard Deficiency?

Is the Person Eligible for a Risk Evaluation?

Is Contact With Children Allowed Pending the Risk Evaluation?

Sustained finding for physical abuse.

Yes

Yes

No, this person is permanently barred from being present at a child-care operation while children are in care.*

Not applicable, because this person is not eligible for a risk evaluation.**

Sustained finding for sexual abuse.

Yes

Yes

No, this person is permanently barred from being present at a child-care operation while children are in care.

Not applicable, because this person is not eligible for a risk evaluation

Sustained finding for emotional abuse.

Yes

Yes, unless contact with children is allowed pending a risk evaluation.

Yes

Yes, if the person continued to work at the operation pending the outcome of due process for the designated finding because DFPS had not determined the person’s presence at the same operation was an immediate threat or danger to the health or safety of children; or if DFPS previously approved a risk evaluation for the same finding, the more recent check does not reveal new information about the finding, and the circumstances of the person’s contact with children at the operation are the same as when DFPS approved the risk evaluation.

Sustained finding for neglect (including neglectful supervision, physical neglect, medical neglect, and refusal to accept parental responsibility).

Yes

Yes, unless contact with children is allowed pending a risk evaluation.

Yes

Yes, if the person continued to work at the operation pending the outcome of due process for the designated finding because DFPS had not determined the person’s presence at the same operation was an immediate threat or danger to the health or safety of children; or if DFPS previously approved a risk evaluation for the same finding, the more recent check does not reveal new information about the finding, and the circumstances of the person’s contact with children at the operation are the same as when DFPS approved the risk evaluation.

Emergency Release: A finding that has not been sustained, but the CBCU has determined the presence of the person in a child-care operation is an immediate threat or danger to the health or safety of children.

Yes

Yes

No, the person is temporarily barred from being present at a child-care operation while children are in care.

Permanent Removal: The removal from contact with children is not permanent until the finding is sustained. If SOAH overturns the finding, then the Central Registry finding is purged, and the person may be present at the child care operation.

Not applicable, because the person is not eligible for a risk evaluation. The person must not be present at an operation while children are in care.

A finding of abuse or neglect from another state or jurisdiction, regardless of whether the finding is sustained

Maybe (check with Legal)

Maybe (check with Legal)

The person’s eligibility for a risk evaluation is the same as the relevant DFPS sustained finding noted in this chart.

The person’s ability to be present at an operation while children are in care pending the outcome of a risk evaluation is the same as the relevant DFPS sustained finding noted in this chart.

Exceptions

*A prospective foster or adoptive parent, or any person who is required to undergo a background check because of the foster or adoptive parent application, is eligible for a risk evaluation for a sustained finding for physical abuse if it has been more than five years since the finding and the prospective foster or adoptive parent is related to or has a significant longstanding relationship with the foster or adoptive child to be placed.

**Contact with children would be allowed if a risk evaluation is approved for a person meeting the criteria detailed in the exception above.

DFPS Rules, 40 TAC §§745.611(3); 745.613; 745.657; 745.659; 745.695; 745.751

5336 Abuse and Neglect Findings in Out-of-State Registries for Prospective Foster and Adoptive Homes

5336.1 Obtaining Results From Out-of-State Abuse and Neglect Registries
5336.11 Role of the Child-Placing Agency

LPPH March 2014

Procedure

A child-placing agency (CPA) that accepts the placement of children in DFPS conservatorship must ensure that all prospective foster and adoptive parents and any adult household members:

  •  request an out-of-state abuse and neglect history check from each state that they have lived in during the five-year period that preceded the application of a prospective foster or adoptive home; and

  •  submit the results of the check to the CPA.

For the definition of an out-of-state abuse and neglect history check, see DFPS Background Check Terminology.

If the results of an out-of-state abuse or neglect history check clear the person of having any history, the CPA must file the results in the foster or adoptive home’s record for Licensing staff to review during an inspection.

If a CPA receives anything other than results that clear the person or receives a notice stating that the state does not release abuse or neglect findings, the CPA must:

a.   obtain as much information about the match as possible from the prospective foster or adoptive parents before submitting the match to the Criminal Background Check Unit (CBCU) for review; and

b.   submit the match to the CBCU for review using Form 2944 Request for a Review of an Out-of-State Child Abuse and Neglect Finding, if the CPA chooses to proceed with verifying the foster home or approving the adoption.

DFPS Rules, 40 TAC §745.615

5336.12 Role of the Centralized Background Check Unit

LPPH April 2013

Procedure

The Centralized Background Check Unit (CBCU) must contact the other state to obtain any missing or necessary information about the match, including the extent of the due process. If the CBCU still cannot determine if the person has exhausted his or her due process even after contacting the other state, the CBCU must determine risk to children based on the information that they have.

5336.2 Evaluating Results From Out-of-State Abuse and Neglect Registries

LPPH April 2013

Procedure

The Centralized Background Check Unit (CBCU) must evaluate each child abuse or neglect match based on background check rules and determine whether the home may be verified or approved as a foster or adoptive home. The following procedures apply:

a.   If there is a match equivalent to a finding of Reason to Believe for physical or sexual abuse (sustained or unsustained), the home may not be verified or approved.

b.   The child-placing agency (CPA) sends Form 2944 Request for a Review of an Out-of-State Child Abuse or Neglect Findings, to the CBCU for any eligible request for review of these out-of-state findings.

c.   After completing the review and determining whether the home can be verified or approved, the CBCU staff must send a Background Check Match Letter for Out-of-State Child Abuse or Neglect to the CPA.

d.   CBCU must document the results of the review in CLASS Central Registry Finding section in CLASS.

5340 Conducting Criminal History Checks

LPPH April 2013

Policy

DFPS conducts a criminal history check to determine whether a person’s presence at a child-care operation:

  •  violates statutory law, administrative rules, or minimum standards; or

  •  presents a risk to the health and safety of children in care.

Texas Human Resources Code §§42.056; 42.159; 42.206

DFPS Rules, 40 TAC §§745.611(1)(2); 745.613; 745.625; 745.626

5341 For Whom a Criminal History Check Is Required

LPPH October 2010

Procedure

See 5312 For Whom Name-Based Background Checks Are Required to determine who is required to have a name-based criminal history check.

See 5313 For Whom Fingerprint-Based Background Checks Are Required to determine who is required to have a fingerprint-based criminal history check.

5342 Initiating a Criminal History Check

LPPH April 2013

Procedure

See 5316 Submitting Background Check Requests and 5317 Initiating Background Checks for more information.

If an operation initiates a fingerprint-based check for a person who is not required to submit his or her fingerprints, CLASS notifies the operation by email, provided that the operation has a valid email address on file.

5343 Receiving and Documenting Criminal History Check Results

LPPH April 2013

Procedure

Each night an electronic interface sends the information from CLASS to the Department of Public Safety (DPS), and results are sent back electronically from DPS to CLASS. The result is posted to the Results section on the appropriate Background Check Results page. If there is a match, the Centralized Background Check Unit (CBCU) representative assigned to the operation receives a To-Do in CLASS notifying them of the match.

For DPS clearinghouse results, the CBCU must copy and paste the results manually into CLASS. For additional information regarding documenting DPS results, see the DPS Documentation Guide on the Background Check Q&A page on the DFPS Intranet. For documenting FBI check results, see the FBI Check Documentation Guide on the Background Check Q&A page on the DFPS Intranet.

5344 Criminal History Check Results and Permit Issuance

LPPH April 2013

Policy

Licensing must receive the results from the background checks before issuing a permit to operate a licensed center, a licensed child-care home, a registered child-care home, a listed family home, an independent foster family home, or an independent foster group home. For all other permits, Licensing may issue a permit to an applicant before receiving the results of the background checks.

See 3321 Evaluating Before Issuing an Initial or Non-Expiring License or Certificate

DFPS Rules, 40 TAC §§745.631; 745.633

5350 Acting on the Results of a Criminal History Check

5351 Determining Appropriate Actions Based on Criminal History

LPPH March 2014

Procedure

When notified that a person at an operation has a criminal history, the Centralized Background Check Unit (CBCU) uses the DFPS Criminal Convictions charts to determine whether the person’s criminal history contains criminal offenses that:

a.   violate the minimum standards;

b.   are eligible for a risk evaluation; or

c.   permanently bar the person from the operation while children are in care.

If a person is permanently barred, the CBCU inspector notifies the appropriate Licensing inspector.

For any felony offense not specifically enumerated in the relevant chart, the person must have an approved risk evaluation before being present at the operation, if:

  •  the person was convicted of the offense within the past 10 years; or

  •  the person is on parole for the offense.

A substantially similar federal offense or offense in another state is treated the same as a similar offense in Texas.

Criminal offenses that result in deferred adjudication – regardless of whether the court has dismissed the proceedings and discharged the person with deferred adjudication – are treated like convictions when the person is an applicant for a permit or an administrator’s license.

A person required to register as a sex offender in Texas may not be present at an operation while children are in care.

Criminal History Matches for Newly Designated Administrators

When a child-placing agency (CPA) or general residential operation (GRO) designates a new administrator, the residential Licensing inspector conducts a Background Check – Results Search on the designee in CLASS.

If there is a criminal history match for the administrator, the residential Licensing inspector contacts the CBCU inspector assigned to the operation so that the match can be evaluated for any bars or risk evaluations that may apply to the person in his or her role of administrator.

The residential Licensing inspector subsequently documentsin CLASS:

  •  the time, date, and type of contact made with the CBCU; and

  •  the reason for the contact.

All of the data is entered in the Chronology underthe category type Background Check that appears under the name of the operation.

If the CBCU inspector determines that the administrator is barred from being an administrator, the following actions are taken:

1.   The CBCU inspector notifies the operation and residential Licensing inspector that the person may not serve as administrator.

2.   The residential Licensing inspector contacts the Licensing staff person at the DFPS state office in Austin who handles the administrator licensing program, so that remedial action may be taken against the administrator’s license.

If the CBCU inspector determines that the administrator qualifies for a risk evaluation for the role of administrator and the operation requests a risk evaluation, the CBCU inspector informs the operation that the person may not be present at the operation as administrator while the risk evaluation is being processed.

DFPS Rules, 40 TAC §§745.651; 745.655; 745.656; 745.695; 745.696

5352 Handling Juvenile Offenses

LPPH April 2013

Procedure

In the legal system, juvenile offenses are civil adjudications and are not considered to be criminal convictions. The Centralized Background Check Unit (CBCU) sends an email to the DFPS Licensing Legal Services mailbox if the CBCU questions whether an offense should be released to the operation. All juvenile offenses are marked with a Cleared status on the DPS Background Check Results page unless Legal determines the offense poses a risk to the children in care and must be released to the operation.

5353 Notifying the Operation of the Criminal History

LPPH April 2013

Procedure

The Centralized Background Check Unit (CBCU) sends the Background Check Match Letter in CLASS via email or regular mail to notify the operation of the criminal history record. The CBCU staff may not send the operation a copy of the criminal history record, but must paraphrase the information from the record stating the relevant convictions and arrests on the report. The CBCU may also telephone the provider to share criminal history results in addition to sending the letter.

5354 Handling Disputed Criminal Histories

LPPH October 2010

Procedure

If the person with the history indicates that the criminal history is not his or hers and the criminal history would be a minimum standards violation, the Centralized Background Check Unit (CBCU) provides the operation with a FAST Pass and DPS Fingerprint Exemption Form 2976. Before sending the person the form, the CBCU faxes a copy to DPS to Error Resolution.  

The person with the criminal history must schedule an appointment and take the form to a DPS-assigned applicant fingerprinting service center to submit DPS electronic fingerprints. At the time of the appointment, the person is charged the $9.95 processing fee to have his or her prints submitted. This procedure is only used when the person indicates that the criminal history is not his or hers, and the person is not required to complete an FBI check. After the fingerprints are taken, the results are sent back to DFPS and processed in the same way that other fingerprint results are handled.

5355 Criminal Matches That Are Not Convictions

5355.1 Criminal Matches That Are Not Convictions That May Be Shared With an Operation

LPPH October 2010

Procedure

Criminal matches with the following final dispositions are not convictions and are therefore not minimum standards violations, but should still be sent to an operation as useful information:

a.   Prosecutor Not Accepting Charges – Criminal charges were never filed.

b.   Release Without Prosecution – Prosecution accepted charges, but then decided not to prosecute.

c.   No Bill – A grand jury did not indict.

d.   Dismissal – Charges were dismissed after they were filed.

e.   Acquittal or Not Guilty – The trial verdict was in defendant's favor.

f.   Pardon or Clemency – The conviction was nullified.

5355.2 Criminal Matches That Are Not Convictions That May Not Be Shared With an Operation

LPPH October 2010

Procedure

Criminal matches with the following final dispositions are not convictions and are therefore not minimum standards violations, and DFPS may not share this information with an operation:

  •  Order of Nondisclosure – A court order exists that prohibits disclosure of any records relating to the underlying criminal allegations, arrest, and so on. The order can be granted only if the defendant has successfully completed deferred adjudication probation and has filed a request for nondisclosure with a court of jurisdiction.

  •  Expunged Record – A person’s criminal history has been erased, and the person is legally entitled to deny that arrest ever occurred (this is the same concept as an order of nondisclosure, except it does not involve probation).

5355.3 Other Actions Related to Criminal Matches

LPPH April 2013

Procedure

The Centralized Background Check Unit (CBCU) should take the following actions when appropriate:

a.   Process an operation’s request for risk evaluation (see 5370 Risk Evaluation of Criminal History or Findings of Child Abuse or Neglect)

b.   Make a recommendation to the Licensing inspector to cite minimum standard or rule deficiencies related to obtaining background check information

c.   Notify the Licensing inspector if a person is barred from the operation based on his or her criminal history

The Licensing inspector should take the following actions when appropriate:

a.   Cite the operation for any violations of minimum standards or rules and set a compliance date.

b.   Conduct an inspection, when necessary, to verify any person that has been determined to be a risk to the children in care is not present at the operation.

c.   Set special conditions on the permit (see 3332 Setting Special Conditions on the License or Certification Permit); conditions cannot be placed on a listing

d.   Deny or revoke the permit

5355.31 When to Deny or Revoke a Permit Based on Criminal History

LPPH April 2013

Policy

Licensing must deny or revoke a permit when:

  •  the applicant or permit holder has a criminal history that would preclude him or her from being present at the operation while children are in care; or

  •  the applicant or permit holder’s spouse or any other person is barred from being present at an operation and the applicant or permit holder refuses to or is unable to remove the person from the operation.

See 5351 Determining Appropriate Actions Based on Criminal History for more information about who is permanently barred from being present at a child-care operation while children are in care.

The inspector denies or revokes a permit based on the person’s criminal history if the applicant or permit holder:

a.   is not eligible for a risk evaluation;

b.   is eligible for a risk evaluation, the operation requests a risk evaluation for the person, and the risk evaluation is not approved; or

c.   is eligible for a risk evaluation, but the operation does not request one.

See 5351 Determining Appropriate Actions Based on Criminal History for more information regarding who is eligible for a risk evaluation.

If the applicant or permit holder is a business entity, such as a corporation, there may be room for the person with the criminal history to leave the business entity without Licensing having to revoke or deny the permit. However, if the person with the criminal history remains in charge of the business entity, then Licensing takes adverse action against the permit. In such cases, the Licensing inspector seeks advice from the state office Legal Division.

Texas Human Resources Code §42.072(d),(f)

DFPS Rules, 40 TAC §§745.653; 745.709

See:

3711 Types of Deficiencies That Cannot Be Corrected

7621 Circumstances That May Call for Adverse Action

5355.32 Denying Verification or Approval of a Foster or Adoptive Home Due to Conviction of a Drug-Related Felony

LPPH March 2014

Based on federal regulations, prospective foster or adoptive parents may not be verified or approved to foster or adopt, if they have been convicted of a drug-related felony within the last five years. Alcohol-related convictions are considered drug convictions.

DFPS Rules, 40 TAC §§745.653; 745.651; 745.709

42 USC §671(a)

5355.33 Actions Taken for Arrests, Indictments, or Criminal Complaints

LPPH April 2013

Procedure

When DFPS receives criminal history information indicating that a person employed or in contact with children at the operation has either been arrested, indicted, or is the subject of an official criminal complaint accepted by a county or district attorney, the Centralized Background Check Unit (CBCU) determines whether that person may be present in an operation while children are in care.

The person must not be present if a conviction for the arrest or charged offense would permanently or temporarily bar the person from being at the operation pending the outcome of a risk evaluation, or if the CBCU determines that the person poses an immediate threat to the health or safety of children.  If the person is arrested or charged with a crime and would be eligible for a risk evaluation if convicted, DFPS may place conditions or restrictions on the person’s presence at the operation while children are in care pending the resolution of the criminal matter.

See the charts on the DFPS website for more information on what criminal offenses are eligible for a risk evaluation and whether presence at an operation may be allowed while children are in care during the risk evaluation process if there is a conviction.

DFPS Rules, 40 TAC §§744.305(a)(4); 745.688; 745.699; 745.701; 746.305(a)(4); 746.1105; 747.207(9); 747.303(a)(4); 747.1205; 747.1207(4); 748.105; 749.105; 748.505; 749.605; 749.2653

5360 Background Check Clearance Notices

LPPH October 2010

CLASS automatically sends a complete background check cleared e-mail when all background checks requested have a cleared result. CLASS automatically sends an initial background check cleared notice if a fingerprint check has been requested but has not been completed, and the DPS and Central Registry check results are cleared. See the chart below for further clarification.

When the following background checks are requested:

… and the following results are received:

… the following cleared notice is sent:

DPS and Central Registry only

DPS and Central Registry are cleared

Complete

DPS, Central Registry, and FBI

DPS, Central Registry, and FBI are cleared

Complete

DPS, Central Registry, and FBI

DPS and Central Registry are cleared and FBI is pending

Initial

5370 Risk Evaluation of Criminal History or Findings of Child Abuse or Neglect

LPPH October 2010

Policy

The operation's request for risk evaluation must be based on the operation's own determination that the person is not a risk to children in care. The operation must provide a rationale for this determination.

5371 Persons Who Are Eligible or Ineligible for a Risk Evaluation

LPPH April 2013

Policy

For more information on what criminal history offenses and Central Registry findings make a person eligible or ineligible for a risk evaluation, see 5351 Determining Appropriate Actions Based on Criminal History and 5335 Notifying the Operation of Sustained Central Registry Findings.

5372 When a Risk Evaluation Is Not Required

LPPH March 2014

Policy

A risk evaluation is not required, if:

a.   the operation previously requested a risk evaluation for the same finding or criminal conviction and DFPS approved the request;

b.   the more recent background check does not reveal a new finding or criminal conviction; and

c.   the person’s role (as identified in the decision letter for the risk evaluation) and the circumstances of the person’s contact with children at the operation are the same as when DFPS previously approved the risk evaluation.

The operation must submit a new request for a risk evaluation by notifying the Centralized Background Check Unit (CBCU) at the time that any of the above conditions can no longer be met.

The CBCU determines whether the person can continue to work or be present at the operation pending the new risk evaluation. See 5373.1 Exceptions for Contact With Children While Risk Evaluation Is Underway.

After the operation notifies the CBCU of its intent to request a new risk evaluation, the time frames and other processes for completing a risk evaluation that are explained in 5375.2 Time Frames for Requesting and Completing Risk Evaluations apply. Any conditions or restrictions placed by the CBCU on the person’s presence at the operation as a result of the previously approved risk evaluation remain in effect, unless and until they are explicitly amended by the CBCU.

DFPS Rules, 40 TAC §745.697

5373 When a Risk Evaluation Is Required

LPPH October 2010

Policy

If an operation wants to continue to allow the person to be present while the children are in care, a new risk evaluation must be requested on any criminal history or Central Registry finding that does not meet the criteria immediately above in 5372 When Risk Evaluation Is Not Required. Unless the person meets an exception identified in 5373.1 Exceptions for Contact With Children While Evaluation Is Underway, the person must not be in contact with the children in care until the risk evaluation has been completed and the Centralized Background Check Unit (CBCU) manager has determined that the person does not pose a risk to children in care.

5373.1 Exceptions for Contact With Children While Risk Evaluation Is Underway

LPPH April 2013

Policy

See the chart in 5335 Notifying the Operation of Sustained Central Registry Findings for more information about when an individual who has a Central Registry match may be present while a risk evaluation is being considered.

See 5351 Determining Appropriate Actions Based on Criminal History for more information about when an individual with a criminal history match may be present while a risk evaluation is being considered.

DFPS Rules, 40 TAC §§745.703; 745.697; 745.657

5374 Documents Required for Risk Evaluations

5374.1 Documentary Evidence Required for Criminal History Matches

LPPH April 2013

Procedure

Documentation Required for All Risk Evaluations for Criminal Convictions

The Centralized Background Check Unit (CBCU) requires the operation requesting a risk evaluation to submit the following documentary evidence regarding criminal history for consideration in determining rehabilitation:

a.   A completed Form 2974 Request for Risk Evaluation Based on Past Criminal History or Central Registry Findings

b.   A valid rationale from the operation’s director, owner, operator, or administrator explaining why the person who has the criminal history does not pose a risk to the health and safety of children

c.   An official copy of the final record of judicial finding or conviction (signed by the judge and file stamped)

d.   Age of the person at the time the crime was committed

e.   A detailed, signed statement from the person regarding the nature and seriousness of the crime including:

1.   why the person was arrested;

2.   who else was involved in the criminal incident;

3.   whether anyone was injured;

4.   the extent and nature of other arrests within the person’s past criminal history;

5.   what has changed for this person since the time of the arrest; and

6.   why the person does not feel that he or she poses a risk to children in care

f.    Evidence of rehabilitative effort

g.   The work history of the person over the past 10 years, including names of employers, dates of employment, and positions held

h.   Letters of recommendation from at least three references (such as professionals, employers, law enforcement) who are not related to the person and who have knowledge about the person’s character and ability to work with children

i.    Information related to the person’s role (or prospective role) with the operation, including:

1.   job title (for employees);

2.   hours and days of service;

3.   job responsibilities;

4.   nature and amount of interaction with children in care;

5.   plans for supervision of the person; and

6.   anticipated amount of unsupervised time with children in care.

j.    The ages and any special needs of children in care for whom the person will be responsible or with whom the person may interact, or both

k.   Any additional items requested by the CBCU manager to assist with the determination of risk

Additional Documentation Required if the Person Is Related To or Has a Significant Longstanding Relationship With the Child to Be Placed in a Foster or Adoptive Placement

The operation submits information to the CBCU pertaining to:

  •  any person eligible for a risk evaluation who is part of a relative foster or adoptive placement or a foster or adoptive placement; and

  •  who has a significant longstanding relationship with the foster or adoptive child, including:

a.   the names and dates of birth of any foster or adoptive children who have been or are expected to be placed in the home (if known);

b.   a description of the foster or adoptive parent’s relationship to each child; and

c.   a copy of a home assessment or home screening if one has been completed

Additional Documentation Required if the Person Was Incarcerated

The CBCU requires the operation requesting a risk evaluation to submit the following documentary evidence regarding criminal history, if the individual was incarcerated:

a.   A copy of local, state, or federal release order

b.   The date that the individual was released from incarceration

      And

c.   The terms and conditions of parole

Additional Documentation Required if the Person Received a Probated Sentence, Including Deferred Adjudication

The CBCU requires the operation requesting a risk evaluation to submit the following documentary evidence regarding criminal history, if the individual was given a probated sentence (including deferred adjudication):

a.   Dates of the probation and details related to the terms and conditions of probation including documentation of whether or not the person successfully completed the terms of the probation

b.   Proof that the person paid all court costs, supervision fees, and court-ordered restitution and fines (if the person is presently on probation, a statement from the person’s probation officer regarding the status of the person’s probation)

c.   The date that the probation was or will be completed, if the individual received deferred adjudication

DFPS Rules, 40 TAC §745.687

5374.2 Documentary Evidence Required for Central Registry Matches

LPPH April 2013

Procedure

Documentation Required for All Risk Evaluations for Central Registry Matches

The Centralized Background Check Unit (CBCU) requires the operation requesting a risk evaluation to submit the following documentary evidence regarding Central Registry findings for consideration in determining risk:

a.   A completed Form 2974 Request for Risk Evaluation Based on Past Criminal History or Central Registry Findings

b.   A valid rationale from the operation’s director, owner, operator, or administrator explaining why the person who has a Central Registry finding does not pose a risk to the health and safety of children

c.   Age of the person at the time of the abuse or neglect

d.   The amount of time that has elapsed since the person’s last abuse or neglect finding

e.   A detailed, signed statement from the person regarding the nature and seriousness of the abuse or neglect finding, including:

1.   The circumstances involved in the abuse or neglect incident and investigation;

2.   The extent and nature of the person’s past abuse or neglect history;

3.   What has changed for this person since the time of the abuse or neglect finding; and

4.   Why the person does not feel that he or she poses a risk to children in care

f.    Evidence that the factors impacting the risk of future abuse or neglect have changed

g.   Letters of recommendation from at least three references (such as professionals, employers, law enforcement) who are not related to the person and who have knowledge about the person’s character and ability to work with children

h.   The work history of the person over the past 10 years including names of employers, dates of employment, and positions held

i.    Information related to the person’s role (or prospective role) with the operation, including:

1.   Job title (for employees);

2.   Hours and days of service;

3.   Job responsibilities;

4.   Nature and amount of interaction with children in care;

5.   Plans for supervision of the person; and

6.   Anticipated amount of unsupervised time with children in care

j.    The ages and any special needs of children in care for whom the person will be responsible or with whom the person may interact, or both

k.   Any additional items requested by the CBCU manager to assist with the determination of risk

Additional Documentation Required if the Person Is Related To or Has a Significant Longstanding Relationship With the Child to Be Placed in a Foster or Adoptive Placement 

The operation submits information to the CBCU pertaining to:

  •  any person eligible for a risk evaluation who is part of a relative foster or adoptive placement or a foster or adoptive placement; and

  •  who has with a significant longstanding relationship with the foster or adoptive child including:

a.   the names and dates of birth of any foster or adoptive children who have been or are expected to be placed in the home (if known);

b.   a description of the foster or adoptive parents’ relationship to each child; and

c.   a copy of a home assessment or home screening if one has been completed

DFPS Rules, 40 TAC §745.689

5375 Requests for Risk Evaluations

5375.1 Incomplete Requests for Risk Evaluations

LPPH April 2013

Procedure

The Centralized Background Check Unit (CBCU) does not accept incomplete requests for risk evaluations. To return a risk evaluation to the operation as incomplete, the CBCU staff use Form 2849 Incomplete Request for Risk Evaluation.

5375.2 Time Frames for Requesting and Completing Risk Evaluations

LPPH March 2014

Time Frame for Persons Who Cannot Be Present Pending a Risk Evaluation

Upon receiving notification from the Centralized Background Check Unit (CBCU) that a person is eligible for a risk evaluation but may not be present at an operation pending the results of the risk evaluation, the operation has 21 calendar days to submit to the CBCU a complete risk evaluation packet.

Time Frames for Persons Who Can Be Present Pending a Risk Evaluation

Upon receiving notification from the CBCU that a person may continue to work or be present at an operation pending a risk evaluation, the operation has seven calendar days to notify the CBCU that a risk evaluation will be requested.

The operation must submit a completed risk evaluation packet to the CBCU within 21 calendar days of the operation receiving notice that a risk evaluation is required. Two 14-calendar-day extensions may be requested for good cause.

The CBCU has 14 calendar days to review the risk evaluation packet and notify the operation that the packet is either complete and accepted for processing or is incomplete.

If a packet is incomplete, the notification letter explains what is needed to complete the packet. The operation then has one additional 14-calendar-day period to submit the missing information.

If a packet is complete, the CBCU has 21 days to make a determination on the risk evaluation; however, the CBCU may exceed this time frame for good cause.

When Time Frames Are Not Met by the Operation

If an operation misses any time frame for requesting a risk evaluation, the CBCU notifies the operation in writing that:

  •  the risk evaluation packet is either incomplete or the deadline for requesting a risk evaluation has passed; and

  •  the person who is the subject of the background check may not continue to be present at an operation until the CBCU receives the results of the risk evaluation.

The CBCU sends the Licensing inspector a copy of the written notice.

The Licensing inspector follows up with an inspection to ensure that the person who is the subject of the background check is no longer present at the operation while children are in care pending the outcome of the risk evaluation.

If the Licensing inspector determines that the person is still present at the operation while children are in care, the Licensing inspector cites the operation for not complying with 40 TAC §745.686.

5375.3 Conditions and Restrictions Pending the Outcome of a Risk Evaluation 

LPPH April 2013

Pending the outcome of a risk evaluation, the CBCU may place conditions or restrictions on a person’s presence at an operation in order to protect the health or safety of children.

DFPS Rules, 40 TAC §§745.685; 745.686; 745.688

5376 Making a Risk Evaluation Determination

LPPH April 2013

Procedure

When making risk evaluation determination, the Centralized Background Check Unit (CBCU) considers the following:

For Both Criminal History and Central Registry Findings

In addition, for Central Registry Findings

  •  The operation’s completed Form 2974 Request for Risk Evaluation Based on Past Criminal History or Central Registry Findings

  •  All of the documentary evidence submitted by the operation

  •  The compliance history and regulatory status of the operation

  •  The person’s roles and responsibilities that are included on the Form 2974 Request for Risk Evaluation Based on Past Criminal History or Central Registry Findings

  •  The child abuse or neglect case

  •  Nature and seriousness of the abuse or neglect findings

  •  The extent and nature of the person’s past abuse or neglect history

  •  Age of the person at the time of the abuse or neglect

  •  The amount of time that has elapsed since the person’s last abuse or neglect activity

In addition, the CBCU manager consults and follows any federal requirements related to adoptive and foster parents.

The CBCU notifies the operation of the risk determination results. The CBCU manager’s determination of risk is final. Applicants or operations do not have the right to request an administrative review of a risk evaluation.

DFPS Rules, 40 TAC §§745.625; 745.681; 745.683; 745.685; 745.686; 745.687; 745.688; 745.689; 745.695; 745.697; 745.707; 745.711

5376.1 Documenting Risk Evaluations

LPPH April 2013

Procedure

Risk evaluations are tracked in CLASS in the Risk Evaluation section of the Background Check Results pages.

5380 Determining Compliance With Background Check Requirements

LPPH April 2013

Procedure

During each inspection, other than an Investigation inspection, Licensing staff must determine whether

  •  the names of persons described in 5311 For Whom Central Registry and Criminal Background Checks Are Required have been submitted to DFPS for background checks at the required times; and

  •  the operation has complied with all background check requirements.

See 5315 When Background Checks Are Required for more information.

When conducting a monitoring or follow-up inspection, the Licensing inspector must ask the operation for a list of all persons at the operation that are required to have a background check. For child-placing agencies this list must include any foster or adoptive parents who have been verified since the last monitoring visit. The Licensing inspector must then compare this list with the People List in CLASS or CLASSmate to determine whether any names were not submitted. This list should be kept in the operation’s case record.

Licensing staff should determine whether the operation has allowed anyone to have access to a child in care before receiving the results from the complete background check. If so, then the Licensing staff must verify the following:

a.   the person’s DPS and Central Registry check does not contain information that would preclude the person from working or being present at the child-care operation while children are in care;

b.   the operation was experiencing a staffing shortage (see the Terms and Definitions in 5300 Central Registry and Criminal History Searches and 5319 Determining a Staff Shortage); and

c.   the person’s fingerprints were submitted within 30 days of having access to a child in care.

For FBI checks that are pending in CLASS, the Licensing inspector resolves them by following the steps in the FBI Tip Sheet on the DFPS Intranet.

Licensing staff evaluates compliance with any risk evaluation conditions or restrictions that apply to persons at the operation.

See 4140 Preparing for Inspections and 4150 Conducting Inspections for more information.

If the operation does not or has not submitted the required background requests or did not comply with background check requirements, the Licensing staff cites the operation for violating the Human Resources Code or the appropriate rule from the Texas Administrative Code, Chapter 745, Subchapter F.

Texas Human Resources Code §§42.056; 42.159; 42.206

DFPS Rules, 40 TAC §§745.623; 745.625

5381 Documenting Background Check Information

LPPH March 2014

Procedure

For information on where to document details related to a background check, see the questions related to DPS, Central Registry, or FBI documentation on the Background Check Q&A page.

5382 Handling Court Orders That Allow Presence When a Person Is Barred

LPPH March 2014

Procedure

If a court orders a child to remain in a placement where barred persons live or are present, the following steps are taken:

1.   If the inspector for the Centralized Background Check Unit (CBCU) learns about the court order through the operation, the CBCU inspector informs the Licensing inspector, and vice versa.

2.   If the children are in DFPS conservatorship, the Licensing inspector contacts the caseworker or the caseworker’s supervisor to verify that a court order allowing the person to be present at the operation is in effect.

3.   The Licensing inspector informs the CBCU inspector, who then documents the information in CLASS, under the person’s Background Check Results History.

4.   The Licensing inspector informs the operation that the operation must obtain a written court order as soon as possible and forward a copy to the CBCU inspector. The Licensing inspector also informs the operation that it must keep the written order on file while it is in effect and the barred person is living or present in the operation while children are in care.

5.   Upon receiving a copy of the court order, the CBCU inspector sends the Licensing inspector an electronic copy. The Licensing inspector must place the copy of the order in the operation’s hard copy file.

5383 Defining Presence at an Operation

LPPH March 2014

Policy

A person is considered present at an operation while children are in care, if the person:

a.   is physically present at the operation while any child is in care of the operation;

b.   has responsibilities that may require the person to be present at the operation while children are in care;

c.   lives at the operation or is present at the operation on a regular or frequent basis; or

d.   otherwise may have access to children in care of the operation, regardless of the location where the care is provided.

DFPS Rules, 40 TAC §745.603

5390 Background Check Reminder Letter – Listed Family Homes Only

LPPH April 2013

Policy

By the last day of each month, Licensing staff send a letter to each listed family home that has a 24-month background check due during the following month.

Procedure

By the 15th day of each month, Licensing.staff in state office send the LH 24 month BC Reminder Report to regional staff. This report lists all background checks that are due for listed family homes the following month.

By the last day of each month, Licensing staff notify each home on the LH 24-month BC Reminder Report that a background check is due by taking the following steps:

1.   complete Form 2740 LH BGC Reminder Letter, located in the DFPS Automated Forms System, by:

  •  entering the third Friday of the month the background check is due as the date the information is due to Licensing; and

  •  completing the other required fields.

2.   save Form 2740 LH BGC Reminder Letter to the operation’s electronic record by:

  •  copying the text from the completed Form 2740 into Form 2834A FPS Letterhead, available on the Corrective and Adverse Action History page in the CLASS system; and

  •  saving the form with the name of BGC Reminder Letter.

3.   print a copy of the final version of the BGC Reminder Letter from CLASS;

4.   mail the printed BGC Reminder Letter and Form 2748 Voluntary Closure Request to the home through regular mail; and

5.   enter a Chronology documenting when the letter was mailed to the home.

See 7800 Automatic Actions if a listed family home does not submit the information required for a background check within the required timeframe.

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