10000, Background Checks

10100 Why CCR Conducts Background Checks

May 2021

Texas Health and Human Services Commission (HHSC) Child Care Regulation (CCR) department conducts background checks to determine whether a background check subject’s presence at the child care operation complies with federal law, state law, administrative rules and minimum standards in order to protect the health or safety of children.

CBCU staff communicate background check results to:

• the background check subject; and
• the operation that submitted the background check.

42 U.S.C. §671(a)(20)

42 U.S.C. §9857 et seq. and 45 C.F.R. Part 98

26 TAC Chapter 745, Subchapter F

Texas Human Resources Code §§42.056; 42.159; 42.206

See:
10120 Background Check Requests
10112 Types of Background Checks
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10110 Overview of Background Checks

February 2021

 

10111 Overview of CCR Staff Responsibilities Related to Background Checks

May 2021

Responsibilities for background checks are shared with CCR’s Centralized Background Check Unit (CBCU) staff and monitoring staff. The following chart outlines the roles and responsibilities.

CBCU Staff

Monitoring Staff

Communicating with providers and background check subjects in order to: answer questions related to decisions and actions taken on background checks; troubleshoot problems with submitting background checks online; or respond to any other inquiries related to background checks. Notifying the monitoring inspector when: CBCU staff identify any background check issues that involve serious risk to children; CBCU staff determine a provider is not meeting background check requirements; the HHSC Child Care Licensing Legal Enforcement Department approves or denies determination of immediate threat to the health or safety of children of a Central Registry match; the CBCU denies a risk evaluation for a permit holder or applicant; or CBCU rescinds or revises a risk evaluation. Notifying operations of eligibility determinations related to background check subjects. Notifying subjects of their eligibility determinations. Instructing and assisting subjects with obtaining background check results. Responding to any reported issues related to the Department of Public Safety’s (DPS’s) contracted fingerprinting service. Processing background check results. Reviewing and processing requests for risk evaluations. Reviewing eligibility determinations and risk evaluation decisions. Consulting with the Child Care Licensing Legal Enforcement Department regarding unsustained Central Registry results to determine whether the subject’s presence at an operation poses an immediate threat to the health or safety of children. Offering and tracking due process requests from notifications sent by CBCU and notifying the Child Care Licensing Legal Enforcement Department of requests when received. Sustaining perpetrators in IMPACT when a designated perpetrator waives a due process hearing offered by CBCU. Making appropriate updates to background check pages in CLASS for active background checks when a designated perpetrator becomes a sustained perpetrator. Requesting preponderance reviews and tracking for completion. Assisting monitoring staff, as needed, with questions that arise when staff is reviewing background check results.

Answering questions and providing technical assistance related to background check rules. Evaluating compliance with background check rules, including: verifying the correct background check types are submitted; verifying that background checks are completed within the required time frames for anyone required to have a background check; ensuring that background check subjects who are ineligible to be present at the operation are not present at the operation while children are in care; following up with the operation on any background check for a background check subject who is ineligible to be present at the operation with a Pending or Active Employment Status in CLASS. evaluating that the operation is adhering to any conditions placed on a subject’s presence at the operation during an inspection; and verifying that operations are validating their people list and updating employment statuses. Notifying CBCU staff when: regulatory decisions or enforcement actions are made that may affect pending background checks at an operation; an operation has been cited for not following conditions placed on a subject’s presence; or a subject has become a designated perpetrator as a result of a DFPS Child Care Investigation (CCI). Assisting CBCU staff, as needed with questions that arise when CBCU is processing background checks.

See: Definitions of Terms for a definition of CCI.

 

10112 Types of Background Checks

August 2021

All required background checks include a Central Registry check (See: 10121 Persons for Whom Operations Must Submit Requests for Background Checks).

The types of criminal history and out-of-state background checks that CCR requires depends on:

1. the type of operation submitting the request for a background check;
2. the subject’s role at the operation; and
3. whether the subject has lived out of state in the five years prior to the background check request.

Below are the types of background checks HHSC conducts for individuals at child care operations:

Type of Background Check	Description
Central Registry Check	A name-based search of the Central Registry of reported cases of child abuse and neglect in Texas that CBCU staff used to identify background check subjects who:   Have been found by DFPS or HHSC to have abused, neglected or exploited children under age 18 in Texas; Are involved in an open DFPS CPI, CCI or PI investigation; and Are involved in an open AR case. See: 10200 Central Registry and Out-of-State Abuse and Neglect Background Checks and Definitions of Terms for definitions of CCI and CPI.
Name-based Texas criminal history and Texas Sex Offender Registry checks	A name-based search of the Texas Department of Public Safety (DPS) database of:   arrests for alleged crimes committed in Texas; and the Texas sex offender registry. See: 10300 Criminal History Background Checks
Fingerprint-based criminal history and sex offender registry checks	Fingerprint-based searches of:   the DPS database of arrests for crimes committed in Texas; the Federal Bureau of Investigation (FBI) database of arrests for crimes committed within the United States and U.S. territories; the DPS database of the Texas sex offender registry; and FBI database of the national sex offender registry. See: 10300 Criminal History Background Checks and 10380 Sex Offender Registry Check Results
National Sex Offender Registry check	A comparative search between the subject’s name and the National Sex Offender Registry. This name-based check is separate from the check of the National Sex Offender Registry that is included in the fingerprint-based criminal history check. See: 10381.2 Processing Possible Matches for National Sex Offender (NSOR) results and 10381.3 Processing Matches from an NSOR Result
Out-of-state child abuse and neglect registry check	A name-based search of another state’s or territory’s database of persons who have been found to have abused or neglected a child. See: 10290 Out-of-State Abuse and Neglect Background Checks
Out-of-state criminal history check	A search of another state’s or U.S. territory’s database of arrests for crimes committed in that state or territory using the person’s name or fingerprints. See: 10370 Out-of-State Criminal History Checks
Out-of-state sex offender registry check	A name-based search of another state’s or U.S. territory’s sex offender registry. See: 10380 Sex Offender Registry Check Results

26 TAC §§745.601; 745.607; 745.609; 745.611; 745.615

 

10112.1 Licensed Administrators

February 2021

Background check types required for licensed administrators are:

• Central Registry;
• Fingerprint-based criminal history; and
• Out-of-state criminal history, abuse or neglect, and sex offender registries if the licensed administrator, or applicant to become a licensed administrator, lived out of Texas in the previous five years.

26 TAC §§745.775; 745.8933; 745.8934; 745.8993  

See: 9640 Background Checks for an Administrator’s License

 

10113 When Out-of-State Background Checks are Required

February 2021

The chart below outlines when the background check subject is required to have an out-of-state background check:

Operation Type is a …	And the subject …	Is an out-of-state criminal history check required?	Is an out-of-state child abuse and neglect registry check required?	Is an out-of-state sex offender registry check required?
Child care center; School-age or before- or after-school program; Licensed child care home; Registered child care home; or Listed family home (except for a listed home that only provides care to related children);	has resided in another U.S. state or territory during the past five years; is suspected of having criminal history or child abuse neglect history in another U.S state or territory; or is suspected to be a registered sex offender in another U.S. state or territory;	Yes, for each state or U.S. territory where the person lived during the past five years, unless the state where the person resided during the preceding five-year period participates in the FBI's National Fingerprint File (NFF) program.	Yes, for each state or U.S. territory where the person lived during the past five years.	Yes, for each state or U.S. territory where the person lived during the past five years.
General residential operation; Child-placing agency; Verified foster home; or Approved adoptive home;	has resided in another U.S. state or territory during the past five years; is suspected of having criminal history or child abuse neglect history in another U.S. state or territory; or is suspected to be a registered sex offender in another U.S. state or territory;	No	Yes, for each state or U.S. territory where the person lived during the past five years.	Yes, for each state or U.S. territory where the person lived during the past five years.

26 TAC §§745.613; 745.615

 

10113.1 When an Out-of-State Criminal History Check Must be Fingerprint Based

February 2021

The out-of-state criminal history check for a background check subject, who resides in another U.S. state or territory and is associated with a regulated operation in Texas, must be a fingerprint-based check in the subject’s state of residence, unless the state or territory of residence participates in the FBI’s National Fingerprint File (NFF) program.

26 TAC §745.613

 

10114 When a National Sex Offender (NSOR) Background Check is Required

August 2021

National Sex Offender Registry (NSOR) background checks are required for child care operations as follows:

Child Care Operation Type	Background Check Role	NSOR Requirement
Licensed child care center School-age or before- or after-school program	All roles except supervised regular or frequent visitors and volunteers	Required
Child care center School-age or before- or after-school program	Supervised regular or frequent visitors and volunteers	Not Required
Licensed child care home Registered child care home Listed family home caring for unrelated children	All roles except supervised regular or frequent visitors and volunteers	Required
Licensed child care home Registered child care home Listed family home caring for unrelated children	Supervised regular or frequent visitors and volunteers	Not Required
Listed family home caring for only related children	All roles	Not Required
Temporary Shelter Program	All roles	Not Required
Small employer-based child care	All roles	Not Required
Residential child care operations	All roles	Not Required

26 TAC §§745.607; 745.609

 

10120 Background Check Requests

February 2021

Child care providers are required to submit requests for initial and renewal background checks for a person required to have a background check, as specified in Texas Administrative Code Chapter 745, Subchapter F. Licensed operations and registered child care homes are required to submit background check requests online via the provider’s Child Care Licensing account.

All other operation types may submit background check requests for all persons that require a background check either:

• online via the provider’s Child Care Licensing account; or
• by sending in a signed Form 2971 Child Care Licensing Request for Background Check.

Exception: All operation types send a signed Form 2971 Child Care Licensing Request for Background Check to CBCU if the person requiring the background check does not have any of the following types of identification:

• Social Security number;
• Driver license number;
• State-issued identification number;
• Canadian Social Insurance number;
• Military identification card number;
• Passport number; or
• Permanent Resident Card identification number.

26 TAC §§745.605; 745.617; 745.619; 745.621

See:

10121 Persons for Whom Operations Must Submit Requests for Background Checks

Definitions of Terms for Initial Background Check and Renewal Background Check

 

10121 Persons for Whom Operations Must Submit Requests for Background Checks

February 2021

Owners

Each operation (other than temporary shelter programs and small employer-based programs) must request a background check for each owner of the operation, including:

1. A sole proprietor;
2. Each partner in a partnership; or
3. Each board member or officer of a governing body who is involved in the everyday management of the operation, including participating in the development of policies or submitting background check requests for the operation.

Current and Prospective Employees

Each operation must request a background check for each current and prospective employee, including all directors and administrators.

Current and Prospective Foster Parents

Each child-placing agency must request a background check for each current or prospective foster parent.

Prospective Adoptive Parents

Each child-placing agency must request a background check for each prospective adoptive parent seeking to adopt through the child-placing agency. The CPA may request additional background checks on adoptive parents to comply with federal and state laws and rules.

Frequent and Regular Visitors 14 Years Old or Older

Each operation must request a background check for each person (other than a client in care) who is 14 years old or older, including a contract employee, self-employed person or volunteer who will regularly or frequently be present at an operation or prospective adoptive home while children are in care.  

A frequent or regular visitor includes a special skills instructor who visits an operation to provide skills instruction to children at a child care operation. The operation does not have to request a background check for a skills instructor if the special skills organization has already submitted a request for a background check directly to CCR as described in 10123 Persons for Whom Operations Do Not Submit Requests for Background Checks.

Exception: Child-placing agencies do not request a background check for the following frequent or regular visitors in agency foster homes:

1. A child unrelated to a foster parent who visits the foster home, unless:
   1. the child is responsible for the care of foster children; or
   2. there is reason to believe that the child has a criminal history or has previously abused or neglected a child.
2. An adult unrelated to a foster parent who visits the foster home, unless:
   1. the adult has unsupervised access to children in care; or
   2. there is reason to believe that the adult has a criminal history or has previously abused or neglected a child.

Other Persons 14 Years Old or Older

Each operation must request a background check for each person (other than a client in care) who is 14 years old or older, including a contract employee, self-employed person or volunteer who:

1. is counted in child-to-caregiver ratio in accordance with the relevant minimum standards, except as noted below for a parent or volunteer described in 10123 Persons for Whom Operations Do Not Submit Requests for Background Checks;
2. has unsupervised access to children who are in care at the operation;
3. provides direct care or supervision to children in care;
4. resides in the operation; or
5. will reside in a prospective adoptive home.

Texas Human Resources Code §§42.056; 42.159; 42.206

26 TAC §§745.601; 745.605; 745.775; 745.8933; 745.8934; 745.8993; 749.3623(5); 749.3633; 749.3637

 

 

10122 Persons for Whom Operations Do Not Submit Requests for Background Checks

February 2021

Clients in Care

Operations do not request a background check for “clients in care” as defined in 26 TAC §§745.601(3); 745.605(b)(1).

Parent/Volunteer

Operations do not request a background check for a parent or volunteer who only supplements the child-caregiver ratio for a field trip or water activity.

Day care operations do not request a background check for parents who are present at the operation solely because they are visiting their child, which may include dropping off or picking up their child, eating lunch with their child, visiting or observing their child, or consoling their child.

26 TAC §§744.1701; 744.1913; 746.1801(b); 746.2115; 747.1901(b); 747.2015; 748.3763; 749.3139; 745.601(15)(C); 745.605(b)(2)

Professionals and Subcontractors

Operations do not request a background check for a professional who is licensed or is required to have a background check to meet compliance with another governmental entity’s requirements or a subcontractor (person who works for an entity contracted with the operation) if:

1. the operation does not employ or have a contract with the professional;
2. the professional is present at the operation in an official capacity only; and
3. for day care operations, the operation receives written parental consent before the operation allows the professional to have unsupervised access to a child in care.

26 TAC §745.605(b)(3)

See Definitions of Terms for the definition of Professional.

Controlling Persons

Operations do not request a background check for controlling persons unless the controlling person also fulfills a role outlined in 10121 Persons for Whom Operations Must Submit Requests for Background Checks.

26 TAC §745.605(b)(4)

Persons Affiliated with Inactive Foster Homes

Child-placing agencies do not request a background check for individuals in foster homes that are on inactive status.

If a child-placing agency takes a home off inactive status and the renewal background check for any individual is overdue the child-placing agency must request a background check before a child can be placed in the home.

26 TAC §§749.2823; 749.2825

HHSC or DFPS Employee or Volunteer

Operations do not request a background check for someone with responsibilities as an HHSC or DFPS employee or volunteer. The person will have a background check conducted by HHSC or DFPS as part of the person's application to become an employee or volunteer.

26 TAC §745.617(b)

 

10123 Background Check Requests for Substitute Employees and Special Skills Instructors

February 2021

Each organization that provides substitute caregivers or offers special skills instruction at child care operations may request a background check directly to HHSC through an online Child Care Licensing account.

The organization provides the background check determination notification to the CCR-regulated operation using a substitute caregiver or special skills instructor. The background check notification must:

• allow the subject to be present at the operation, with or without conditions; and
• be dated within the past five years (See: 10533.2 Background Checks Submitted Prior to January 13, 2019).

If a CCR-regulated operation does not receive the background check result from the substitute caregiver or special skills instruction organization, the operation must request a background check for the subject.

26 TAC §745.605(a)(2)(B)

 

10124 Receiving Form 2971 Child Care Licensing Request for Background Check

February 2021

Procedure

The chart below outlines the actions staff take when CCR receives Form 2971 Child Care Licensing Request for Background Check:

Operation Type	Staff Action When Form 2971 is Received
Licensed operation; or Registered child care home.	CBCU staff or monitoring staff contact the operation and provide instruction to submit the background check request online via the provider’s Child Care Licensing account. Exception: CBCU staff initiates the background check in CLASS after receiving Form 2971 when the subject does not have any of the following types of identification: Social Security number; Driver license number; State-issued identification number; Canadian Social Insurance number; Military identification card number; Passport number; or Permanent Resident Card identification number.
Listed family home; Temporary shelter care operation; or Small employee-based operation.	First, monitoring staff scan and email Form 2971 to CBCUBackgroundChecks@hhsc.state.tx.us within three calendar days of receiving the form. Next, CBCU staff initiate the background check request in CLASS after receiving the email from monitoring staff and verifying Form 2971 is complete and signed according to 10125 Reviewing Form 2971 Child Care Licensing Request for Background Check.

 

10125 Reviewing Form 2971 Child Care Licensing Request for Background Check

February 2021

Procedure

If an operation submits Form 2971 Child Care Licensing Request for Background Check, CBCU staff review it to ensure all of the following before initiating the background check:

1. Form 2971 was submitted by a listed home, temporary shelter care operation, a small employer-based child care operation or the person’s available identification meets the exception in 10124 Receiving Form 2971 Child Care Licensing Request for Background Check;
2. The operator of the child care operation signed the form indicating that he or she has verified that the information submitted is correct; and
3. The operator of the child care operation provides the following identifying information for the background check subject:
   1. Name (last, first, middle), including any maiden or married names or aliases;
   2. Social Security number (SSN), if one exists;
   3. Driver license (DL) or a state-issued identification (SID) card number, if the person has one;
   4. Date of birth;
   5. Sex;
   6. Ethnicity and race;
   7. Current and previous addresses in Texas;
   8. The city and state of each residence where the subject has lived outside the state of Texas any time during the five-year period prior to the date of the request for a background check;
   9. Phone number of the subject, if available;
   10. Email address for the person, if available; and
   11. Role at the operation, including:
       • title and job duties;
       • whether the subject will be supervised by a caregiver counted in the child/caregiver ratio; and
       • the ages of the children the subject will be caring for.

26 TAC §745.619

 

10130 Updates to Background Check Results

May 2021

When CBCU staff receive new or updated information for a subject’s background check, CBCU staff refer to the following to determine the subject’s eligibility:

New History Is ...	Staff Follow Process in ...
Central Registry History	10210 Reviewing Results from a Central Registry Search and 10220 Determining if Additional Action is Needed for Central Registry Matches
Criminal History	10320 Acting on Results of a Criminal History Check

 

CBCU staff refer to 10130.3 Changing Provisional Conditions if the subject’s eligibility determination is provisional and the subject’s role is:

• Adoptive Parent;
• Foster Parent;
• Foster/Adoptive Parent;
• Foster/Adoptive Household Member; or
• Owner/Permit Holder.

 

10130.1 Updates Received from Central Registry Recheck

May 2021

CLASS automatically rechecks a subject’s Central Registry background check one year after the most current background check submission. All possible results for the subject are received in CLASS as possible matches. The possible matches include both previously identified and new matches. CBCU staff review all possible results and complete eligibility determinations based on all results (See 10211 Processing Central Registry Recheck Results).

 

10130.2 Updates Received from Criminal History Rap Back

May 2021

CBCU staff receive updates to fingerprint-based criminal history results through the rap back process (See 10331 Acting on New and Updated Criminal History Results for additional information).

 

10130.3 Changing Provisional Conditions

May 2021

CBCU staff and a CBCU manager change the provisional determination when new or updated information results in a provisional eligibility determination for a subject who has one of the following roles:

• Adoptive Parent;
• Foster Parent;
• Foster/Adoptive Parent;
• Foster/Adoptive Household Member; or
• Owner/Permit Holder.

Procedure

CBCU staff and the CBCU manager determine if the subject’s eligibility will be changed to eligible or conditional.

The CBCU staff and manager do the following when changing a subject’s eligibility to conditional:

• determine the conditions needed to protect the health and safety of children;
• notify the CCR inspector assigned to the operation of the decision and conditions; and
• process the decision as a risk evaluation decision, according to 10430 Making a Risk Evaluation Decision.

 

10200 Central Registry and Out-of-State Abuse and Neglect Background Checks

February 2021

The purpose of the Central Registry background checks is to determine if the background check subject has any alleged, designated, or sustained abuse or neglect findings that make the background check subject ineligible to be present at an operation or conditions on the subject’s presence at the operation are needed to protect the health or safety of children, according to 26 TAC 745.671. All background check subjects must have a Central Registry background check completed.

The Central Registry background check is conducted by an automated search of IMPACT, including allegations of abuse or neglect of a child in Texas. CBCU staff verify and process the search results.

If the subject has lived outside of Texas in the past five years, an out-of-state abuse or neglect background check is required for each state or U.S. territory the subject has lived in. CBCU staff work with the subject and the out-of-state agency, as needed, to obtain the results. CBCU staff enter the results into CLASS.

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

26 TAC 745, Subchapter F, Background Checks

See:
Definitions of Terms
10112 Types of Background Checks

 

 
10210 Reviewing Results from a Central Registry Search

February 2021

Procedure

To determine if a background check subject has a Central Registry match, CBCU staff receive the results of a Central Registry background check from an automated search of the IMPACT system that contains all possible matches for the subject.

If there are no potential matches, the status of the Central Registry Background Check Result is automatically set to “Cleared” in CLASS.

If there are potential matches, CBCU staff determine whether the person listed in the IMPACT search result is the same person who is the background check subject by comparing the information in each possible Central Registry Match to the following information:

1. any name (including alternate names and versions of the subject’s name);
2. any possible Social Security numbers (SSNs);
3. any possible date of birth (DOB); and
4. other identifiers or personal information, if needed.

Next, CBCU staff document each possible match result and the next step to take with each match as outlined in the chart below:

The Possible Match is	What to Select on the Central Registry Possible Match Results Page in CLASS	Which Status to Select in the Result Section of the Central Registry Background Check Results Page in CLASS	Next Step
The same person as the subject of the background check,	Accept	Match	CBCU staff proceed to 10220 Determining if Additional Action is Needed for Central Registry Matches.
A different person from the subject of the background check,	Reject	N/A	None. CBCU staff have finished processing the possible match.
Unclear because there is not enough information to determine whether the person listed in the IMPACT search results is the same person as the subject of the background check,	Undetermined	Possible Match	CBCU staff: conduct additional research until a match can be determined or ruled out; and update the Results section of the Central Registry Background Check Results page to “Match” or “Cleared” based on the final determination.

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

 

10211 Processing Central Registry Recheck Results

May 2021

Procedure

When the subject has an active background check, CLASS processes a Central Registry recheck to update a subject’s Central Registry background check history. CLASS creates a Central Registry row on the subject’s Background Check Results History page for the recheck result. The recheck returns any and all possible matches for the subject.

When a recheck returns possible matches, CBCU staff:

• review each possible match result;
• determine if each match is for the background check subject according to 10210 Reviewing Results from a Central Registry Search; and
• review all results received and finalize the match determination as soon as possible but no later than five business days, unless additional time is needed to complete the actions required to finalize the match determination.

 

 

10220 Determining if Additional Action is Needed for Central Registry Matches

February 2021

Procedure

For each Central Registry match, CBCU staff consider the following questions and actions in the chart below to determine whether any additional action is needed before making a determination on the Central Registry match:

Finding	Consider	Action if "Yes"	Action if "No"
Designated finding	Destruction Date: Is the match related to a finding in a case that is eligible for destruction?	CBCU staff clears the match by taking the following steps on the Central Registry Background Check Results page in CLASS: Change the Status field from “Match” to “Cleared” in the Results section. Document the reason for the change as a comment in the Information Specific to this Result section.	CBCU staff considers preponderance review.
Designated finding	Preponderance Review: Is the match related to an unsustained finding made before April 16, 1999?	CBCU staff requests the preponderance review and takes action based on the review as described in 10221 Preponderance Reviews for Unsustained Findings Made Before April 16, 1999.	CBCU staff considers whether the finding should be sustained.
Sustained Finding	Sustained Finding: Is the match related to a designated finding that should be a sustained finding based on prior due process actions? (See: 10222 Reviewing Prior Due Process Offers)	CBCU staff takes action to change the finding to a sustained finding and process according to 10222.2 Acting on Due Process Review.	CBCU staff assesses the finding according to 10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat.
Sustained Finding	Destruction Date: Is the match related to finding in a case that is eligible for destruction?	CBCU staff clears the match taking the following steps on the Central Registry Background Check Results page in CLASS: Change the Status field from “Match” to “Cleared” in the Results section. Document the reason for the change as a comment in the Information Specific to this Result section.	CBCU staff change the finding to a sustained finding according to 10251 Sustaining Findings in DFPS Child Protective Investigations and HHSC Provider Investigations and 10252 Sustaining a DFPS Child Care Investigation Finding.
Allegation of abuse or neglect against the subject	Open Investigation: Is the match related to an open investigation?	CBCU staff determines whether to assess the match to determine if the subject’s presence is an immediate threat to the health or safety of children or to track the investigation for closure according to 10223 Reviewing Open Investigations and DFPS Alternative Response Cases.	No action is needed (the match would be a designated or sustained finding).
Subject is involved in an open alternative response case	Alternative Response Case: Is the match related to the subject being involved in an open alternative response case?	Track the case for progression to an investigation of abuse, neglect or exploitation against the subject according to 10224 Tracking Open Investigations and DFPS Alternative Response Cases.	No action is needed (the match would be for an open investigation or designated or sustained finding).

 

10221 Preponderance Reviews for Unsustained Findings Made Before April 16, 1999

February 2021

Procedure

CBCU staff request a preponderance review for unsustained findings of abuse or neglect made before April 16, 1999, if the finding was made by one of the following programs:

1. DFPS Child Protective Investigation (CPI); or
2. HHSC Provider Investigation (PI).  

See: Definitions of Terms for the definition of CPI and PI.

 

10221.1 Requesting a Preponderance Review

February 2021

Procedure

For DFPS CPI findings, CBCU staff use internal document, Form 7280 Request for Information Regarding a Licensing Central Registry Match, located on the CCR SharePoint site, to request the preponderance review.

For HHSC PI investigations, CBCU staff request a preponderance review by sending an email to PI_appeals@hhsc.state.tx.us and providing the following information:

• Requestor’s name, position and contact information;
• Reason for the request;
• Name of the subject of the background check to review; and
• IMPACT case ID to be reviewed.

 

10221.2 Acting on the Results of the Preponderance Review

February 2021

Procedure

Once DFPS CPI or HHSC PI staff notify CBCU staff of the results of the preponderance review, CBCU staff take the following action as outlined in the chart below:

Result of the Review	Action
The preponderance of evidence standard is not met,	CBCU staff: change the Status field from “Match” to “Cleared” in the Results section of the Central Registry Background Check Results page; document the result of the review as a comment in the Information Specific to this Result section on the Central Registry Background Check Results page in CLASS; and take no further action regarding the result.
The preponderance of evidence standard is met,	CBCU staff: document the result of the review as a comment in the Information Specific to this Result section on the Central Registry Background Check Results page in CLASS; and follow procedures outlined in 10222 Reviewing Prior Due Process Offers.

 

10222 Reviewing Prior Due Process Offers

February 2021

 

 

10222.1 Reviewing History for Prior Due Process Offers

February 2021

Procedure

In order to determine if a designated finding should be sustained, CBCU staff determine if due process has been previously offered by reviewing:

• investigation information in IMPACT;
• Investigation Person page for the investigation in CLASS; and
• prior background checks in CLASS.

 

10222.2 Acting on Due Process Review

February 2021

Procedure

If the finding should be sustained, CBCU staff:

• update the match in CLASS and process the match as a sustained finding (See: 10280 Handling Sustained Central Registry Background Check Results); and
• notify the appropriate DFPS Child Protective Investigation (CPI) or Child Care Investigation (CCI) staff to update the finding in IMPACT.

If the finding should not be sustained, CBCU staff proceed with assessing whether the subject’s presence would present an immediate threat to the health or safety of children (See: 10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat).

See:
10240 Notifying the Alleged or Designated Perpetrator of the Central Registry Results
Definitions of Terms for the definition of CCI and CPI

 

10223 Reviewing Open Investigations and DFPS Alternative Response Cases

February 2021

Procedure

CBCU staff use the chart below to determine whether to assess if the background check subject poses an immediate threat to the health or safety of children because of an open investigation or alternative response:

Case or Investigation Type	CBCU Staff Action
DFPS Child Protective Investigation (CPI) or HHSC Provider Investigation (PI)	If the allegation is physical abuse, sexual abuse, labor trafficking, sex trafficking, child fatality or near child fatality, assess immediate threat to the health or safety of children (See: 10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat). If the allegation is emotional abuse or any type of neglect, track the investigation for closure as long as the background check remains open (See: 10224 Tracking Open Investigations and DFPS Alternative Response Cases for Closure).
DFPS Child Care Investigation (CCI)	If the operation submitting the background check request and the operation that is subject to investigation are different operations, and the allegation is physical abuse, sexual abuse, labor trafficking, sex trafficking, child fatality or near child fatality, assess immediate threat to the health of safety of children (See: 10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat). If the operation submitting the background check request and the operation that is subject to investigation are different operations, and the allegation is emotional abuse or any neglect, track the investigation for closure as long as the background check remains open (See: 10224 Tracking Open Investigations and DFPS Alternative Response Cases for Closure). If the operation submitting the background check request and the operation that is subject to the investigation are the same operation, track the investigation for closure as long as the background check remains open (See: 10224 Tracking Open Investigations and DFPS Alternative Response Cases for Closure). CBCU staff is notified by CCI staff if it is determined the subject’s presence presents an immediate risk to the health or safety of children.
Alternative Response	Track for case closure as long as the background check remains open (See: 10224 Tracking Open Investigations and DFPS Alternative Response Cases for Closure).

See: Definitions of Terms for a definition of CPI, CCI and PI.

 

10224 Tracking Open Investigations and DFPS Alternative Response Cases for Closure

February 2021

Procedure

Documenting an Open Investigation or Alternative Response Case

When the match is for an open investigation that does not meet the criteria in 10223 Reviewing Open Investigations and DFPS Alternative Response Cases for assessing the result for a determination of immediate threat to the health or safety of children, or is for an alternative response case, CBCU staff do the following on the Central Registry Background Check Results page in CLASS:

1. In the Type of Abuse section:
   • verify and, if needed, correct the information for the finding;
   • select “MSV-Open Investigation of Pending Due Process” in the Finding Determination field; and
   • select “Yes” in the Can Be Present field.
2. In the Information Specific to this Result and Overall Background Check sections document, as needed:
   • the open case is being tracked for closure; and
   • that an assessment for determination of immediate threat to the health or safety of children is not needed.
3. Select the Preview the Match Determination button to verify the Match Determination and Can Be Present selections populate correctly based on all results. If the selections are incorrect, make corrections until the selections are correct.
4. Select the Finalize Match Determination button to compete the background check eligibility determination.
5. Select the Save button to save the changes.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

Tracking an Open Investigation or Alternative Response Case for Closure

CBCU staff periodically check the status of an open investigation or alternative response case and enter a comment summarizing the status in the Information Specific to the Result and Overall Background Check sections of the Central Registry Background Check Results page in CLASS.

Determining Actions When an Open Investigation or Alternative Response Case Closes

When the investigation or alternative response case closes, CBCU staff act on the disposition according on the following table:

Investigation or Case being tracked	Investigation or Case Conclusion	CBCU Action
Open Investigation	Investigation results in a Reason to Believe (RTB) finding against the subject (subject becomes a designated perpetrator).	Assess the designated finding for determination of immediate threat to the health or safety of children according to 10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat.
	Investigation does not result in RTB finding against the subject.	CBCU staff: change the Status field from “Match” to “Cleared” in the Results section of the Central Registry Background Check Results page; document the reason for clearing the match as a comment in the Information Specific to this Result section on the Central Registry Background Check Results page in CLASS; and take no further action regarding the result.
Alternative Response Case	Case does not progress to an investigation.	CBCU staff: change the Status field from “Match” to “Cleared” in the Results section of the Central Registry Background Check Results page; document the reason for clearing the match as a comment in the Information Specific to this Result section on the Central Registry Background Check Results page in CLASS; and take no further action regarding the result.
Alternative Response Case	Case progresses to an investigation (subject becomes an alleged perpetrator).	Determine whether to assess the alleged finding for immediate threat or track the open investigation according to 10223 Reviewing Open Investigations and DFPS Alternative Response Cases.

See:
7720 Hearings Concerning Child Abuse or Neglect Findings
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10225 Ensuring Complete Central Registry Results

May 2021

Procedure

When processing a Central Registry result, CBCU staff review all previous active background checks for a subject to verify that each previous active background check includes all results.

If CBCU staff determine that a previous background check does not include all results, the staff adds any missing results according to the Documenting Central Registry Results Job Aid available on the CCR SharePoint site and notifies any other CBCU staff as needed.

 

10230 Acting on a Central Registry Background Check Match

May 2021

Procedure

If the background check subject has a Central Registry match, CBCU staff must evaluate whether to restrict the subject’s presence at the operation.

If the match is for an alleged or designated perpetrator role and any required action listed in 10220 Determining if Additional Action is Needed for Central Registry Matches has been completed, CBCU staff determine whether the subject’s presence at the operation presents an immediate threat to the health or safety of children.

If the match is for a sustained perpetrator role, CBCU staff determine:

• if the subject is eligible for a risk evaluation;
• if the subject is eligible to be present at the operation pending the outcome of the risk evaluation; and
• if any conditions on the subject’s presence are needed to protect the health or safety of children.

Central Registry Recheck: Reconsideration of an Existing Risk Evaluation Decision

• If the subject has a risk evaluation for any prior matches, CBCU staff process the Central Registry recheck results according to 10441 Risk Evaluation Reconsideration for New and Updated Background Check Results.

26 TAC §745.671; 745.751

See:
10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat
10280 Handling Sustained Central Registry Background Check Results
10510 Types of Eligibility Determinations

 

10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat

February 2021

A background check subject who has an unsustained Central Registry background check match has the right to request a due process hearing to challenge each finding. Under certain circumstances, CBCU staff may make an ineligible determination for a match related to:

• an alleged perpetrator role prior to the subject becoming a designated perpetrator; or
• a designated perpetrator role prior to the subject being offered due process.

Procedure

Alleged Finding

CBCU staff use the chart in 10223 Reviewing Open Investigations and DFPS Alternative Response Cases to determine whether to assess if the alleged perpetrator’s (AP’s) presence poses an immediate threat to the health or safety of children.

Designated Finding

After taking the relevant actions outlined in 10220 Determining if Additional Action is Needed for Central Registry Matches, CBCU staff review the investigation to determine whether the designated perpetrator’s (DP’s) presence poses an immediate threat to the health or safety of children.  

Reviewing the investigation for Determination of Immediate Threat

When reviewing the investigation, CBCU staff determine if the subject’s presence poses an immediate threat to the health or safety of children by considering the following factors:

1. nature and severity of the incident;
2. circumstances surrounding the incident;
3. seriousness of any injury to a child;
4. length of time since the incident occurred;
5. whether there has been repeated abuse and neglect;
6. compliance history of the operation;
7. current regulatory status of the operation;
8. role of the subject in the incident;
9. current position, role and responsibilities of the subject; and
10. degree or immediacy of the threat or danger.

26 TAC §745.751

 

10232 Requests for Determination of Immediate Threat

February 2021

Procedure

Recommending a Determination of Immediate Threat

If CBCU staff determine that the subject’s presence at the operation poses an immediate threat to the health or safety of children (See: 10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat), CBCU staff:

1. complete and then email Form 2878 Request for Emergency Release, located on the CCR SharePoint site, and supporting documentation to a CBCU manager or designee; and
2. document the request and a summary of the assessment in the Information Specific to This Result section in CLASS.

If the CBCU manager or designee agrees with the request, the manager or designee emails the request and supporting documentation to the:

• Child Care Licensing Legal Enforcement Department;
• CBCU staff who made the recommendation;
• CCR monitoring inspector assigned to the operation; and
• CCR monitoring inspector’s supervisor.

Review of the Recommendation by Child Care Licensing Legal Enforcement Department

An Enforcement attorney for Child Care Licensing:

• reviews the request;
• approves or denies the request; and
• replies to all parties with the approval or denial.

Approval of the Request

If the attorney approves the request, CBCU staff follow the steps in 10232.1 Processing an Approved Determination of Immediate Threat.

Denial of the Request

If the attorney denies the request, CBCU staff process the denial by following the steps in 10233 Determining Subject’s Presence Does Not Pose Immediate Threat to Children.

Additional Consideration for Determination of Immediate Threat if the Subject is Associated with a Current or Prospective Foster or Adoptive Home

If the subject’s presence is determined to pose an immediate threat to children, CBCU staff follow up with the subject and the child-placing agency after the investigation is complete regarding the effect of the investigation outcome on the background check, as appropriate.

26 TAC §745.633

See:
7720 Hearings Concerning Child Abuse or Neglect Findings
10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat
10240 Notifying the Alleged or Designated Perpetrator of the Central Registry Background Check Results
10531 Types of Background Check Notifications

 

10232.1 Processing an Approved Determination of Immediate Threat

February 2021

Procedure

When CBCU staff and the Enforcement attorney for Child Care Licensing determine that the subject’s presence at the operation poses an immediate threat to health or safety, CBCU staff do the following on the Central Registry Background Check Results page in CLASS:

1. In the Emergency Release Date field of the Results section, enter the date the determination of immediate approval is entered into CLASS.
2. In the Type of Abuse section:
   • verify, and if necessary, update the abuse information;
   • in the Finding Determination field, select “MSV-Barred”; and
   • in the Can Be Present field, verify “No” is automatically selected.
3. In the Information Specific to this Result section, document:
   • the determination that the subject’s presence poses an immediate threat to children;
   • a summary of the rational for the assessment;
   • the consultation and approval from the Enforcement attorney for Child Care Licensing; and
   • any other relevant information.
4. Select the Preview Match Determination button to verify the Match Determination and Can Be Present selections are correct. If the selections are incorrect, make corrections until the selections are correct.
5. Save the page by selecting the Save button.

After the above steps are complete, CBCU staff complete the steps in:

• 10240 Notifying the Alleged or Designated Perpetrator of the Central Registry Background Check Results; and
• 10250 Due Process Hearing Actions.

See:
7720 Hearings Concerning Child Abuse or Neglect Findings
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10233 Determining Subject’s Presence Does Not Pose Immediate Threat

February 2021

Procedure

When CBCU staff or an Enforcement attorney for Child Care Licensing determine that the subject’s presence at the operation does not pose an immediate threat to the health or safety of children, CBCU staff do the following on the Central Registry Background Check Results page in CLASS:

1. In the Type of Abuse section:
   • verify, and if necessary, update the abuse information;
   • in the Finding Determination field, select “MSV-Open Investigation or Pending Due Process”; and
   • in the Can Be Present field, select “Yes.”
2. In the Information Specific to this Result section, document:
   • the determination that the subject’s presence does not pose an immediate threat to children;
   • a summary of the assessment;
   • any consultation with Child Care Licensing Legal Enforcement Department; and
   • any other relevant information.
3. Select the Preview Match Determination button to verify the Match Determination and Can Be Present selections are correct. If the selections are incorrect, make corrections until the selections are correct.
4. Save the page by selecting the Save button.

After the above steps are complete, CBCU staff complete the steps in:

• 10240 Notifying the Alleged or Designated Perpetrator of the Central Registry Background Check Results; and
• 10250 Due Process Hearing Actions.

See:
7720 Hearings Concerning Child Abuse or Neglect Findings
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10240 Notifying the Alleged or Designated Perpetrator of the Central Registry Background Check Results

February 2021

A background check subject with an unsustained Central Registry background check match has the right to request a due process hearing to challenge the finding.

Procedure

Alleged Perpetrator (AP)

CBCU staff notify the AP of the background check determination by sending the Match Letter - Subject to provide the background check eligibility determination and information relating to the match.

Designated Perpetrator (DP)

CBCU staff review the DP’s background check history to determine if the DP has been offered due process previously and is awaiting a hearing or if the time to request the hearing has not yet passed.

If the DP has been previously offered due process and does not meet the criteria to be a sustained perpetrator (See: 10222 Reviewing Prior Due Process Offers), CBCU staff send the Match Letter – Subject to provide the background check eligibility determination and information relating to the match to the DP.

If the DP has not been previously offered due process, CBCU staff use the following chart to determine whether to notify the DP of the determination and offer due process:

Investigation Conducted By:	CBCU Staff Action:
DFPS Child Protective Investigation (CPI) or HHSC Provider Investigation (PI)	CBCU staff notify the DP of the eligibility determination and offers due process by sending the DP the Central Registry Match Letter to Perp. Exception: If the DP is a minor, the Central Registry Match Letter to Perp must be sent to the parent or guardian. The parent or guardian can request the hearing for a DP who is a minor. (See: 10270 Due Process Hearing Results)
DFPS Child Care Investigation (CCI)	CBCU staff do not offer due process. If due process has not been offered, CBCU staff contact the DFPS CCI investigator for updates on the due process status as long as the DP’s background check remains open.

40 TAC §§745.8837; 745.8839

See:
Definitions of Terms for a definition of CPI, CCI and PI
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10250 Due Process Hearing Actions

February 2021

Procedure

When CBCU staff send the due process notification (See: 10240 Notifying the Alleged or Designated Perpetrator of the Central Registry Background Check Results), CBCU staff are responsible for tracking the due process request to determine if the background check subject:

1. waives the right to the hearing in writing;
2. does not respond to the notification in a timely manner; or
3. requests the hearing in a timely manner.

If the subject waives the right to the hearing or does not respond to the notification in a timely manner, the subject becomes a sustained perpetrator (SP). CBCU staff update IMPACT and CLASS with the SP role information.

Exception: When DFPS Child Care Investigations (CCI) staff send the due process notification, CBCU staff are not responsible for tracking the due process or updating due process actions and decisions in CLASS and IMPACT. CBCU staff monitor CLASS and IMPACT for updates from CCI staff and contact CCI staff for updates, as needed.

Documenting Due Process Status

For all Central Registry background check matches, CBCU staff document the status of the due process on the Central Registry Background Check Results page in CLASS as long as the background check remains open.

 

 

10251 Sustained Findings in DFPS Child Protective Investigations and HHSC Provider Investigations

February 2021

Procedure

If the designated perpetrator (DP) match is a result of a DFPS Child Protective Investigation (CPI) or HHSC Provider Investigation (PI), and the subject does not request a due process hearing within the time frame, then the finding is sustained and CBCU staff:

• change the subject’s role from DP to sustained perpetrator (SP) in IMPACT;
• update the Central Registry Background Check Results page in CLASS; and
• follow the policies and procedures in 10280 Handling Sustained Central Registry Background Check Results.

Exception if the DP is a minor:  When a DP is a minor, the CBCU staff only change the DP role to an SP role when a hearing is held.

 

 

10252 Sustaining a DFPS Child Care Investigation Finding

February 2021

Procedure

If the finding is the result of a DPFS Child Care Investigation (CCI) investigation, CBCU staff monitor CLASS and IMPACT and update the progress of any due process actions on the Central Registry Background Check Results page in CLASS as long as the background check remains open. The monitoring inspector assigned to the operation notifies CBCU staff when a subject’s due process is complete and the subject’s role becomes a sustained perpetrator (SP). CBCU staff process the SP match according to 10280 Handling Sustained Central Registry Background Check Results.

 

10253 Actions Taken When a Due Process Hearing is Requested

February 2021

 

10253.1 DFPS Child Protective Investigations or HHSC Provider Investigations

February 2021

Procedure

After receiving a request for due process from the designated perpetrator (DP) (or the DP’s parent if the DP is a minor), CBCU staff scan and retain an electronic copy of the following on the CCL share drive:

1. the letter requesting the hearing and the envelope in which the request was received;
2. any letters notifying the DP of the right to request a hearing;
3. any returned mail; and
4. any certified mail green cards.

CBCU staff complete the Central Registry Background Check Results page in CLASS as follows:

1. in the Information Specific to this Result section document the request and any other needed information; and
2. in the Due Process Section:
   • change the Release Hearing Status field from “Choose” to “Requested”; and
   • record the date stamp on the envelope in the Release Hearing Requested Date field.

After scanning and saving the request letter, CBCU staff send the letter and the envelope in which it was received to the docket clerk for the Child Care Licensing Legal Enforcement Department. The docket clerk determines whether the request is timely and valid and notifies CBCU staff of this determination.

When the docket clerk notifies CBCU staff the request is timely and valid, CBCU staff determine if the DP is eligible for a temporary risk evaluation and apply conditions if needed, as described in 10411 Temporary Risk Evaluation and 10510.3 Eligibility Determinations Which Include Conditions.

When the docket clerk notifies CBCU staff the request is not timely or valid, CBCU staff change the designated finding to a sustained finding as described in 10251 Sustaining Findings in a DFPS Child Protective Investigations and HHSC Provider Investigations and 10280 Handling Sustained Central Registry Background Check Results.

 

10254 Role of the Child Care Licensing Legal Enforcement Department in Due Process Hearings and Related Actions

February 2021

Procedure

The docket clerk for the Child Care Licensing Legal Enforcement Department determines whether a request for a due process hearing is timely.

The docket clerk prepares records for cases that are assigned to an Enforcement attorney for Child Care Licensing.

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 the handling of any open records requests. Presentation at hearings includes making legal arguments and examining witnesses.

 

 

10260 Temporary Risk Evaluation for a Central Registry Match

May 2021

CBCU staff offer a background check subject who is a designated perpetrator (DP) a temporary risk evaluation when the subject requests a due process hearing and the subject is eligible to request a risk evaluation. CBCU staff evaluate eligibility for a temporary risk evaluation and process the temporary risk evaluation according to 10411 Temporary Risk Evaluation and 10441 Risk Evaluation Reconsideration for New and Updated Background Check Results.

26 TAC §§745.671; 745.683

See:
10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat
10280 Handling Sustained Central Registry Background Check Results

 

10270 Due Process Hearing Results

February 2021

Upon completion of the background check subject’s due process and if the subject remains affiliated with an operation, CBCU staff process the background check results according to the due process decision documented in IMPACT and CLASS.

 

10271 Finding is Upheld in the Due Process Hearing

February 2021

Procedure

If the finding is upheld, staff in the HHSC Child Care Licensing Legal Enforcement Department take the following actions:

1. send a copy of the due process decision, order and instructions to the appropriate HHSC or DFPS division that conducted the investigation to update the abuse or neglect finding in the Central Registry and file the decision and order in the case record;
2. request that the role of the perpetrator be changed to a sustained perpetrator role in IMPACT;
3. provide CBCU staff with a copy of the order; and
4. notify CBCU staff of the due process decision and action to be taken in the matter.

After receiving the notification, CBCU staff do the following on the Central Registry Background Check Results page in CLASS:

1. In the Type of Abuse section, update the Perpetrator field to “Sustained Perpetrator.”
2. In the Information Specific to this Result and Overall Background Check sections, document;
   • the due process decision;
   • the subject is sustained; and
   • any other relevant information.
3. In the Due Process section, as needed, update:
   • the Release Hearing Status and associated date fields; and
   • the Admin Review Status and associated date fields.
4. Save the page by selecting the Save button.

CBCU staff process the sustained Central Registry result according to 10280 Handling Sustained Central Registry Background Check Results.

See: 7720 Hearings Concerning Child Abuse or Neglect Findings

 

10272 Finding is Overturned After a Due Process Hearing

February 2021

When an administrative law judge overturns the abuse or neglect finding after a due process hearing, CBCU staff update the Central Registry Background Check Results page in CLASS and send notifications to the operation and the subject of the background check.

Procedure

When a finding is overturned in the due process hearing, the Child Care Licensing Legal Enforcement Department staff take the following actions:

1. send a copy of the due process decision, order and instructions to the appropriate HHSC or DFPS division that conducted the investigation to remove the abuse or neglect finding from the Central Registry and file the decision and order in the case record;
2. request that the role of the perpetrator be changed in IMPACT, as appropriate; and
3. notify CBCU staff of the due process decision, the order and actions to be taken in the matter.

After receiving the notification from the Child Care Licensing Legal Enforcement Department, CBCU staff do the following on the Central Registry Background Check Results page in CLASS:

1. In the Results section, Change the “Match” to “Cleared.”
2. In the Information Specific to This Result and Overall Background Check sections, as needed, document;
   • the SOAH decision; and
   • any other relevant information.
3. In the Due Process section,
   • update the Admin Review Status and Release Hearing Status; and
   • the associated dates.
4. save the page by selecting the Save button.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10280 Handling Sustained Central Registry Background Check Results

February 2021

Procedure

A sustained perpetrator (SP) is a person in the Central Registry who no longer has the ability to challenge a finding of child abuse or neglect because:

1. the person waived all of the person’s due process rights by:
   • not timely requesting an administrative review and due process hearing; or
   • waiving those rights in writing; or
2. the finding is upheld after a due process hearing and any subsequent appeals.

After evaluating the destruction date and determining that the case does not meet the requirements for destruction (See: 10220 Determining If Additional Action is Needed for Central Registry Matches), CBCU staff determines if the subject is eligible for a risk evaluation, applies conditions to the subject’s presence, if needed, and processes the risk evaluation as described in 10400 Risk Evaluations.  

If the subject is eligible for a risk evaluation, CBCU staff do the following on the Central Registry Background Check Results page in CLASS:

1. In the Type of Abuse section:
   • verify and, if needed, correct the information for the finding;
   • select “MSV-Risk Evaluation Required” in the Finding Determination field; and
   • select “Yes” in the Can Be Present field.
2. In the Information Specific to this Result, document:
   • the risk evaluation eligibility, presence and conditions;
   • the due date for any additional information needed; and
   • any other relevant information.
3. Select the Preview the Match Determination button to verify the Match Determination and Can Be Present selections are correct. If the selections are incorrect, make corrections until the selections are correct.
4. Select the Finalize Match Determination button to complete the background check type eligibility.
5. Save the page by selecting the Save button.

After the above steps are complete, CBCU staff send appropriate notifications to the subject and the operation.

If the subject is not eligible for a risk evaluation, CBCU staff do the following on the Central Registry Background Check Results page in CLASS:

1. In the Type of Abuse section:
   • verify and, if needed, correct the information for the finding;
   • select “MSV-Barred” in the Finding Determination field; and
   • select “No” in the Can Be Present field.
2. In the Information Specific to this Result, document:
   • the ineligible determination; and
   • any other relevant information.
3. Select the Preview the Match Determination button to verify the Match Determination and Can Be Present selections are correct. If the selections are incorrect, make corrections until the selections are correct.
4. Select the Finalize Match Determination button to complete the background check type eligibility.
5. Save the page by selecting the Save button.

After completing these steps, CBCU staff send appropriate notifications to the subject and operation.

26 TAC §§745.671; 745.751

See:
7720 Hearings Concerning Child Abuse or Neglect Findings
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10290 Out-of-State Abuse and Neglect Background Checks

February 2021

The purpose of the out-of-state abuse or neglect background checks is to determine if the background check subject has any child abuse or neglect findings in another state or U.S. territory that would make the subject ineligible to be present at an operation or provisionally eligible pending a risk evaluation request and decision. The process for obtaining results varies by state or U.S. territory.

26 TAC §745.613

 

10291 Requesting Out-Of-State Abuse and Neglect History Searches

February 2021

Procedure

If an out-of-state abuse or neglect background check is required, CBCU staff:

• provide guidance to the subject of the background check on how to obtain the results as outlined in the Out-of-State Resource Guide for Child Care Employees and Foster and Adoptive Parents, located on the HHSC CCR public website; and
• work with the subject and the out-of-state agency, as needed, to obtain the results.  

If the state requires HHSC to submit the request as the requesting agency, CBCU staff follow instructions outlined in the internal document saved on the CCR share drive, Out-of-State Resource Guide.

Out-of-state abuse and neglect background check results are valid for five years from the Date Submitted column for the first background check that included the state on the subject’s Background Check History page in CLASS. The results automatically copy over into additional background checks until the results expire, at which time the out-of-state abuse and neglect search must be re-requested if the check is still required.

 

10292 Evaluating Results from Out-of-State Abuse and Neglect History Searches

May 2021

Procedure

After receiving out-of-state abuse and neglect background check results from the applicable state agency or the subject, CBCU staff review the documents to determine whether the results meet the following requirements:

1. the documents have a seal, are on letterhead and/or have details indicating that the search was completed by the appropriate state repository;
2. the name of the state searched is included;
3. the names and identifying information used to complete the search are included and are the same as information submitted for subject of the background check request; and
4. the completion date of the search is no older than the following, unless a CBCU manager has approved an exception:
   • six months prior to the Date Submitted for the background check, if the subject of the background check currently lives in Texas; or
   • 45 days prior to the Date Submitted for the background check, if the subject of the background check currently lives in the state searched.

If the results do not meet the requirements, they are considered to be rejected; CBCU staff save an electronic copy of the document(s) on the CCR share drive and follow procedures in 10293 Rejecting Out-of-State Abuse and Neglect Background Check Results.

If the results meet the requirements, they are considered to be accepted; CBCU staff save an electronic copy of the document(s) on the CCR share drive and follow procedures in 10294 Acting on Accepted Out-of-State Abuse and Neglect Results.

 

10293 Rejecting Out-of-State Abuse and Neglect Background Check Results

February 2021

Procedure

When CBCU staff reject out-of-state abuse and neglect search results, CBCU staff communicate with the subject by either email or telephone and provide the reason(s) for the rejection.

Next, CBCU staff document the following on the correct state’s Out-of-State Abuse and Neglect Background Check Results page in CLASS in the Information Specific to This Result section:

• the information received;
• the reason for the rejection;
• communication with the subject; and
• the location of the saved document.

 

10294 Acting on Accepted Out-of-State Abuse and Neglect Results

February 2021

After receiving the results, CBCU staff document and process the results in order to make an eligibility determination of eligible, ineligible or provisionally eligible, as appropriate.

See: 10510 Types of Eligibility Determinations

 

10294.1 Background Check Subject Has an Out-of-State Abuse or Neglect Registry Match

February 2021

Procedure

CBCU staff may consult with an Enforcement attorney for Child Care Licensing to determine if the subject is ineligible or provisionally eligible to be present as a result of an out-of-state abuse or neglect registry match.

Based on the information in the results and any legal guidance from the Child Care Licensing Legal Enforcement Department, CBCU staff determine if the subject is eligible for a risk evaluation and process the risk evaluation as described in 10400 Risk Evaluations.

Documenting Results

On the correct state’s Out-of-State Abuse and Neglect Background Check Results page in CLASS, CBCU staff do the following:

1. In the Results section:
   • change the Status field to “Match”;
   • enter the date the result was received into the Date Received field.
2. In the Abuse/Neglect Findings section, create a row for each finding with the correct selections.
3. In the Information Specific to this Result section document:
   • any consultation with the Child Care Licensing Legal Enforcement Department;
   • risk evaluation eligibility, presence and conditions;
   • the due date for any additional information needed;
   • the location of electronic copy of the results; and
   • any other relevant information.
4. Select the Preview Match Determination button to verify the Match Determination and Can Be Present selections are correct. If the selections are incorrect, make corrections until the selections are correct.
5. Select the Finalize Match Determination button to complete the eligibility determination.
6. Save the page by selecting the Save button.

After the above steps are complete, CBCU staff send appropriate notifications to the subject and operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10294.2 Background Check Subject Does Not Have an Out-of-State Abuse or Neglect Registry Match

February 2021

Procedure

To document when a subject does not have and out-of-state abuse or neglect match for a state, CBCU staff do the following on the correct Out of State Abuse and Neglect Background Check Results page in CLASS:

1. In the Results section:
   • change the Status field to “cleared”; and
   • enter the date the result was received into the Date Received field in the Results section.
2. In the Information Specific to This Result section, document;
   • the information received; and
   • the location of the electronic copy of the results.
3. Saves the page by selecting the Save button.

After completing the above steps, CBCU staff send appropriate notifications to the subject and the operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10300 Criminal History Background Checks

February 2021

The purpose of the criminal history checks is to determine if the background check subject has a criminal history or sex offender registry result that would make the subject ineligible to be present at an operation or require conditions on the subject’s presence at the operation to protect the health or safety of children, according to the Criminal Convictions charts.

The criminal history background checks are conducted by CBCU staff evaluating results received from state and federal law enforcement repositories.

See:
10112 Types of Background Checks
10510 Types of Eligibility Determinations

Texas Human Resources Code §§42.056; 42.159; 42.206

26 TAC Chapter 745, Subchapter F, Background Checks

 

 

10310 Types of Criminal History Background Checks Required

May 2021

Determining if a Subject Requires a Texas Name-Based Check or Fingerprint-Based Criminal History Check

Each background check subject required to have a background check must have either a fingerprint-based criminal history check or a name-based criminal history check based upon the subject’s role at the operation, as outlined in the chart below:

Type of Operation or Permit	Role at Operation	Type of Criminal History Background Check
Licensed operations; Certified operations; Verified agency foster homes; Approved adoptive homes; Registered child care homes; and Listed family homes that provide care to unrelated children.	All roles except supervised regular or frequent visitors.	Fingerprint-based check.
Licensed operations; Certified operations; Verified agency foster homes; Approved adoptive homes; Registered child care homes; and Listed family homes that provide care to unrelated children.	Supervised regular or frequent visitors.	Name-based check unless the subject requires a fingerprint-based check because the subject: has resided outside of Texas during the five years prior to the request; or is suspected of having criminal history in another state.
Listed family homes that provide care only to related children; Temporary shelter care operations; and Small employer-based child care operations.	All roles.	Name-based check unless the subject requires a fingerprint-based check because the subject: has resided outside of Texas during the five years prior to the request; or is suspected of having criminal history in another state.
All operation types.	A subject who is present at the operation only to observe or complete a skills practicum as part of a college or high school course requirement and is supervised by a qualified caregiver at all times.	Name-based check.
Licensed Child Care administrators; and Licensed Child-Placing Agency administrators.	N/A	Fingerprint-based check.

Determining if a Subject Requires an Out-Of-State Criminal History Check

If the subject lives outside of Texas or has lived outside of Texas in the past five years, an out-of-state criminal history check is required for each state the subject has resided in during the previous five years. (See: 10370 Out-of-State Criminal History Background Checks.)

If the subject lives outside of Texas, see 10113.1 When an Out-of-State Criminal History Check Must be Fingerprint Based to determine if the subject must complete an additional fingerprint-based criminal history check in their state of residency, in addition to completing their fingerprint check in Texas.

26 TAC §§745.611; 745.615

See:
10121 Persons for Whom Operations Must Submit Requests for Background Checks
10112 Types of Background Checks

 

10311 When a Background Check Subject Must Submit Fingerprints for a Criminal History Background Check

February 2021

All subjects who require a fingerprint-based criminal history check complete the fingerprint check in Texas. A subject is required to submit new fingerprints only if a previously completed a fingerprint-based criminal history check becomes invalid for CCR. A fingerprint-based criminal history check remains valid if CCR has an active subscription or can reactivate a subscription to the FBI’s National Rap Back service for the subject.

26 TAC §745.625

See:
10112 Types of Background Checks
10121 Persons for Whom Operations Must Submit Requests for Background Checks

 

10320 Acting on the Results of a Criminal History Check

February 2021

Procedure

If there are no criminal history matches identified for the background check subject, the result for the applicable background check type is marked as “Cleared” in CLASS and the background check type eligibility is “eligible.”

If criminal history match(es) exists, the CBCU inspector assigned to the operation receives a TODO in CLASS indicating a match has been found. The CBCU staff processing the result sends notifications:

1. to the subject according to 10540 Background Check Notifications Sent to the Subject of the Background Check; and
2. to the operation according to:
   • 10533 Background Check Notifications Sent to the Operation; and
   • 10533.1 Additional Information Sent to a Child-Placing Agency.

If additional information, such as court documentation or a risk evaluation is needed, CBCU staff process the criminal history information until a determination of “eligible,” “ineligible” or “conditionally eligible” is reached (See: 10510 Types of Eligibility Determinations) or the background check is closed.

A background check is closed when:

• CBCU determines completion of the check is overdue; or
• the subject’s employment status is changed to inactive, indicating the subject is no longer affiliated with the operation.

If the subject’s employment status is changed to inactive, indicating the subject is no longer affiliated with the operation, CBCU staff stop processing the match.

Sex Offender Registry Results Received with Texas Name Based or Fingerprint Results

Texas name based and FBI fingerprint results include persons listed on the Texas and the national sex offender registries. CBCU staff process registered sex offender results received in the Texas name-based results or the fingerprint results as criminal history as described in 10380 Sex Offender Registry Check Results.

A background check subject who is registered or required to register as a sex offender in Texas or any other state or U.S. territory may not be present at an operation while children are in care.

26 TAC §745.651

See:
10322 Documenting the Criminal History Results
10323 Processing Court Documents
10510 Types of Eligibility Determinations
10520 Employment Status
10531 Types of Background Check Notifications  
10720 Inactivating a Subject’s Role or Employment

 

10321 Determining Appropriate Actions Based on Criminal History

February 2021

Procedure

When notified that a background check subject has criminal history, CBCU staff use the Criminal Convictions charts to determine if the criminal history makes the subject:

1. eligible to be present at the operation without a risk evaluation;
2. ineligible to be present at the operation; or
3. eligible for a risk evaluation.

If eligible for a risk evaluation, CBCU staff also determine if the subject can be present at the operation pending the completion of the risk evaluation.

CBCU staff may place conditions on a subject’s presence to protect the health or safety of children, if needed.

CBCU staff provide a due date for any additional information needed in the Match Letter-Subject.

26 TAC §745.661

See 10510 Types of Eligibility Determinations

 

10322 Documenting the Criminal History Results

August 2021

Procedure

CBCU staff document the results of criminal history checks in the following pages in CLASS:

Type of Criminal History Check is …	CLASS Page on Which Results are Documented
Texas name-based criminal history check, which includes the Texas sex offender registry results,	Texas Name-Based Criminal History Background Check Results.
Fingerprint-based criminal history check, which includes the National Sex Offender Registry results associated with a subject's fingerprints,	Fingerprint Background Check Results.
Out-of-state criminal history check,	Out-of-State Criminal History Background Check Results.
Out-of-state sex offender registry check,	Out-of-State Sex Offender Registry Background Check Results.

 

10322.1 Documenting Results and Making the Background Check Type Eligibility Determination

February 2021

On the applicable background check results page in CLASS, CBCU staff do the following:

1. In the Criminal Charges section:
   • ensure each arrest is included as a row;
   • add or edit each result; and
   • make the appropriate Arrest Determination and Can be Present selections for each row in the Criminal Charges section according to the applicable Criminal Convictions chart.
2. In the Information Specific to the Result section, document:
   • the background check type eligibility determination;
   • the due date if any additional information is needed; and
   • any other relevant information.
3. Select the Preview Match Determination button to verify the Match Determination and Can be Present selections are correct.  If the selections are incorrect, make corrections until the selections are correct.
4. Select the Finalize Match Determination button to complete the background check type eligibility.
5. Save the page by selecting the Save button.

After completing the above steps, CBCU staff send appropriate notifications to the subject and the operation.

See:
10323 Processing Court Documents
10412 Notifying a Subject Who is Eligible for a Risk Evaluation
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10323 Processing Court Documents

February 2021

If a subject’s background check has incomplete criminal history results, CBCU staff give the subject the opportunity to provide court documentation to resolve the results.

Procedure

After the subject provides the court documentation, CBCU staff verify the validity and completeness of the court documents and update the criminal history by completing the steps in 10322 Documenting the Criminal History Results.

If the court documentation results in a change in the eligibility determination, the subject and the operation are sent updated eligibility notifications.

26 TAC §§745.639; 745.645

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications 

 

10330 Receiving New and Updated Criminal History Results

February 2021

CCR may receive new and updated criminal history information from an operation, from a monitoring inspector or through the Texas or National Rap Back programs.

When a subject has valid fingerprints on file with CCR, the subject is enrolled in Texas and National Rap Back programs. These programs allow CCR to automatically receive new Texas or national criminal history for the subject (a rap back result).

Procedure

If a CCR monitoring inspector receives information from an operation that a background check subject associated with the operation has either been arrested, indicted or is the subject of an official criminal complaint accepted by a county or district attorney, the CCR monitoring inspector immediately reports this information to the CBCU inspector assigned to the operation. The CBCU inspector adds the new information as a new criminal history result on the subject’s appropriate background check results page.

When new information is returned electronically to CLASS through the Texas or National Rap Back programs, a Rap Back Match Found TODO is created on the assigned CBCU Inspector’s workload in CLASS.

26 TAC §§744.305(a)(4); 745.631; 745.665; 745.667; 746.305(a)(4); 747.303(a)(4); 748.303(d)(6); 749.503(d)(6)

 

10330.1 Ensuring Complete Criminal History Results

May 2021

Procedure

When processing a criminal history result, CBCU staff verify that the criminal history background check results include all arrests and charges.

If CBCU staff determine that CLASS did not populate all arrests and charges into the subject’s history, CBCU staff add any missing results according to the Documenting Criminal History Results Job Aid available on the CCR SharePoint site.

 

10331 Acting on New and Updated Criminal History Results

May 2021

Procedure

When CBCU staff receive criminal history information indicating that a subject associated with the operation has either been arrested, indicted or is the subject of an official criminal complaint accepted by a county or district attorney, CBCU staff use the appropriate Criminal Convictions Chart and determine whether a conviction for the new or updated offense would make the subject:

1. eligible to be present at the operation;
2. ineligible to be present at the operation;
3. eligible to be present with conditions pending for a temporary risk evaluation decision; or
4. eligible to be present with conditions pending the disposition of the criminal charge.

CBCU staff do not offer a temporary risk evaluation if the subject is associated with a foster or adoptive home.

CBCU staff may also consult with an Enforcement attorney for Child Care Licensing to determine if the new or updated information causes the subject’s presence to pose an immediate threat to the health or safety of children.

CBCU staff process new or updated results according to 10320 Acting on the Results of a Criminal History Check and 10321 Determining Appropriate Actions Based on Criminal History.

Reconsideration of an Existing Risk Evaluation Decision

If the subject has a risk evaluation for any prior matches, CBCU staff process the new criminal history results according to 10441 Risk Evaluation Reconsideration for New and Updated Background Check Results.

26 TAC §§744.305(a)(4); 745.631; 745.665; 745.667; 746.305(a)(4); 747.303(a)(4); 748.303(d)(6); 749.503(d)(6)

See:
10411 Temporary Risk Evaluation
10510 Types of Eligibility Determinations
10520 Employment Status
10531 Types of Background Check Notifications

 

10340 Handling Juvenile Offenses

February 2021

Procedure

All juvenile history is marked as “Juvenile Offense” on the applicable background check results page unless CBCU staff and an Enforcement attorney for Child Care Licensing determine additional action is appropriate based on the threat associated with the subject’s presence at the operation.

 

10340.1 Determining a Subject’s Presence Poses an Immediate Threat Based on Juvenile History

February 2021

Procedure

CBCU staff consult with a CBCU manager and the Child Care Licensing Legal Enforcement Department when determining whether the subject’s presence presents an immediate threat to the health or safety of children after considering the following:

• whether the offense would result in an “ineligible” or “provisionally eligible” determination if it were an adult criminal charge or conviction;
• the length of time since the offense occurred; and
• the status of the disposition hearing for the offense (adjudicated, pending, supervisory caution, dismissed, etc.).

To make the determination, CBCU staff may conduct research to verify that the offense is a juvenile offense and to confirm the status, if the information is not provided in the background check results.

 

10340.2 Possible Actions for Juvenile Offenses

February 2021

Procedure

An Enforcement attorney for Child Care Licensing determines whether the offense(s):

• should result in an ineligible determination based on a determination of an immediate threat to the health or safety of children;
• should be released to the child-placing agency (CPA) for informational purposes (only for subjects associated with foster or adoptive homes); or
• may not be released to any operation.

CBCU staff save copies of emails and documentation of the consultation on the CCR share drive.

 

10340.21 Actions for Determination of Immediate Threat for Juvenile Offense

February 2021

If the subject’s presence is determined to present an immediate threat to the health or safety of children because of the juvenile history, CBCU staff do the following on the applicable criminal history results page in CLASS:

1. In the Abuse/Neglect Findings section, on the row(s) for the juvenile result(s):
   • select “MSV – Barred” in the Arrest Determination field; and
   • verify Can Be Present selection populates to “No.”
2. In the Information Specific to this Result section, document:
   • a summary of the consultation and decision with the Child Care Licensing Legal Enforcement Department; and
   • any other relevant information.
3. Select the Preview Match Determination button to verify the Match Determination and Can Be Present selections are correct. If the selections are incorrect, make corrections until the selections are correct;
4. Select the Finalize Match Determination button to complete the eligibility determination.
5. Save the page by selecting the Save button.

If the subject’s presence is determined to present an immediate threat to the health or safety of children, CBCU staff follow the process in 7711.3 Explaining the Right to an Administrative Review and send a letter notifying the subject of the following:

• the determination of immediate threat to the health or safety of children;
• the information that was released to the operation;
• the subject’s right to request an administrative review; and
• how to request an administrative review.

If the subject’s presence was determined to present an immediate threat to the health or safety of children, CBCU staff send an ineligible determination notification to the operation. If the background check was submitted for a foster or adoptive parent or household member, CBCU staff also provide the “Background Check Match Letter” to the CPA as described in 10533.1 Additional Information Sent to a Child-Placing Agency.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications 

 

10340.22 Actions for Determining the Subject’s Presence Does Not Pose an Immediate Threat for Juvenile Offense

February 2021

If the subject’s presence was determined not to present an immediate threat to the health or safety of children and will not be released for informational purposes, CBCU staff do the following on the applicable Background Check Results page in CLASS:

1. In the Abuse/Neglect Findings section, on the row(s) for the juvenile result(s):
   • select “Not a Minimum Standards Violation” in the Arrest Determination field; and
   • verify Can Be Present field populates to “Yes.”
2. In the Information Specific to this Result section, document:
   • the decision relating to the release of the juvenile history;
   • a summary of any consultation and decision with the Child Care Licensing Legal Enforcement Department; and
   • any other relevant information.
3. Select the Preview Match Determination button to verify the Match Determination and Can Be Present selections are correct. If the selections are incorrect, make corrections until the selections are correct.
4. Select the Finalize Match Determination button to complete the eligibility determination.
5. Save the page by selecting the Save button.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

Additional Consideration for a CPA

When an Enforcement attorney for Child Care Licensing determines the juvenile history should be released to a CPA for informational purposes only, CBCU staff send the “Match Letter – Subject” to the subject (See: 10540 Background Check Notifications Sent to the Subject of the Background Check) and the “Background Check Match Letter” to the operation. (See: 10533 Background Check Notifications Sent to the Operation and 10533.1 Additional Information Sent to a Child-Placing Agency.)

40 TAC Chapter 745, Subchapter M, Division 1 Administrative Reviews; Chapter 745, Subchapter M Division 2 Due Process Hearings; 26 TAC §745.601(4)

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications 

 

10350 Criminal Offenses that Result in Deferred Adjudication Community Supervision

February 2021

CBCU staff consider a criminal offense that results in deferred adjudication community supervision as a criminal conviction as follows:

If …	Then, deferred adjudication community supervision for an offense is considered …
CCR is not in the process of issuing, denying or revoking the person’s permit,	a criminal conviction until the person successfully completes the terms of community supervision. Proof that a person has successfully completed the terms of community supervision is an order from the court that dismisses the proceedings and discharges the person.
CCR is in the process of issuing, denying or revoking the person’s permit,	a criminal conviction with respect to Licensing’s decision to issue, deny or revoke the permit. It does not matter if the person has successfully completed the terms of community supervision and the court has dismissed the proceedings and discharged the person.

26 TAC §745.663

 

10360 Criminal History Matches for Licensed Administrators

February 2021

For licensed administrators, in addition to the offenses identified on the Licensed or Certified Child Care Operation: Criminal History Requirements chart, the CBCU also evaluates offenses related to financial crimes, including the following Penal Code offenses:

1. Title 7 Offenses Against Property;
2. Title 8 Offenses Against Administration; and
3. Title 11 Organized Crime.

If CBCU staff determine that the administrator is ineligible to be an administrator or requires a risk evaluation, CBCU staff notify the CCR program specialist responsible for the administrator licensing program, so that enforcement action may be taken against the administrator’s license.

26 TAC §745.775

See:
9640 Background Checks for an Administrator’s License
9700 Remedial Action on an Administrator’s License

 

10370 Out-of-State Criminal History Background Checks

February 2021

The purpose of the out-of-state criminal history background checks is to determine if the background check subject has criminal history in another state or U.S. territory that would make the subject ineligible to be present at an operation or provisionally eligible pending a risk evaluation request and decision. The process for obtaining out-of-state criminal history results varies by state or U.S. territory.

26 TAC §745.613

See: 10113 When Out-of-State Background Checks are Required

 

10371 Requesting Out-of-State Criminal History Searches

February 2021

Procedure

When an out-of-state background check is required, CBCU staff:

• provide guidance to the subject of the background check on how to obtain the results, as outlined in the Out-of-State Resource Guide for Child Care Employees and Foster and Adoptive Parents, located on the HHSC CCR public website; and
• work with the subject and the out-of-state agency, as needed, to obtain the results.

If the state requires HHSC to submit the out-of-state criminal history request, CBCU staff follow instructions for submitting the request, as outlined in the internal document saved on the CCR share drive Out-of-State Resource Guide.

Out-of-state criminal history check results are valid for five years from the Date Submitted column for the first background check that included the state on the subject’s Background Check History page in CLASS. The results automatically copy over into additional background checks until the results expire, at which time the out-of-state criminal history background check must be re-requested if the check is still required.

 

10371.1 States Participating in the National Fingerprint File Program

February 2021

Certain states participate in the National Fingerprint File (NFF) program. Results for NFF-participating states are received in the subject’s FBI results and, therefore, do not require an additional search of the state’s criminal records.

If the subject of the background check needs an out-of-state background check from an NFF-participating state, an out-of-state check is not required for that state and CBCU staff process the results according to 10320 Acting on the Results of a Criminal History Check.

26 TAC §745.613

 

10372 Evaluating Results from Out-of-State Criminal History Searches

February 2021

Procedure

After receiving out-of-state criminal history background check results from the applicable state agency or the subject, CBCU staff review the documents to determine whether the results meet the following requirements:

1. documents have a seal, are on letterhead and/or have details indicating that the search was completed by the appropriate state repository;
2. the name of state searched is included;
3. the names and identifying information used to complete the search are included and are the same as information submitted for the subject in the background check request; and
4. the completion date of the search is no older than the following, unless a CBCU manager has approved an exception:
   • six months prior to the Date Submitted for the background check if the subject of the background check currently lives in Texas.
   • 45 days prior to the Date Submitted for the background check if the subject of the background check currently lives in the state searched.

If the results do not meet the requirements, they are considered rejected. CBCU staff save a copy of the document(s) on the CCL share drive and follow procedures in 10373 Rejecting Out-of-State Criminal History Results.

If the results do meet the requirements, they are considered accepted. CBCU staff save a copy of the document(s) on the CCL share drive and follow procedures in 10374 Acting on Accepted Out-Of-State Criminal History Results.

 

10373 Rejecting Out-of-State Criminal History Background Check Results

February 2021

Procedure

When the CBCU rejects out-of-state criminal background check history results, CBCU staff communicate with the subject by either email or telephone and provide the reason(s) for the rejection.

Next, CBCU staff document the following on the correct state’s Out-of-State Criminal History Background Check Results page in CLASS in the Information Specific to This Result section:

• the information received;
• the reason for the rejection;
• communication with the subject; and
• the location of the saved document.

 

10374 Acting on Accepted Out-of-State Criminal History Results

February 2021

After receiving the results, CBCU staff document and process the results in order to make an eligibility determination of “eligible,” “ineligible” or “provisionally eligible,” as appropriate.

26 TAC §745.613

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications  

 

10374.1 Subject Has Out-of-State Criminal History

February 2021

Procedure

CBCU staff may consult with an Enforcement attorney for Child Care Licensing if the subject of the background check has an out-of-state criminal history result and clarification is needed to determine the appropriate action based on the Criminal Convictions Charts.

Based on the information in the results and any legal guidance from the Child Care Licensing Legal Enforcement Department, CBCU staff determine if the subject is eligible for a risk evaluation and process the risk evaluation as described in 10400 Risk Evaluations.

Documenting Results

On the correct state’s Out-of-State Criminal History Background Check Results page in CLASS, CBCU staff do the following:

1. In the Results section:
   • change the Status field to “Match”; and
   • enter the date the result was received into the Date Received field.
2. In the Criminal Charges section:
   • create a row for each charge; and
   • complete the Arrest Determination field and Can Be Present field button for each results row.
3. In the Information Specific to This Result section, document:
   • any consultation with the Child Care Licensing Legal Enforcement Department;
   • the due date if any additional information is needed;
   • the location of the electronic copy of the out-of-state criminal background check history results;
   • any other relevant information; and
   • Select the Preview Match Determination button to verify the Match Determination and Can Be Present selections populate correctly based on all results. If the selections are incorrect, corrections until the selections are correct.
4. Select the Finalize Match Determination button to complete the eligibility determination.
5. Save the page by selecting the Save button.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications 

 

10374.2 Subject Does Not Have Out-of-State Criminal History

February 2021

Procedure

If the subject does not have an out-of-state criminal history result in the state, CBCU staff do the following on the correct state’s Out-of-State Criminal History Background Check Results page in CLASS:

1. In the Results section:
   • change the Status field to “Cleared”; and
   • enter the date the result was received into the Date Received field.
2. In the Information Specific to This Result section, document:
   • a summary of the documentation;
   • any consultation with the Child Care Licensing Legal Enforcement Department;
   • the location of the electronic copy of the out-of-state criminal background check history results; and
   • any other relevant information.
3. Save the page by selecting the Save button.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications 

 

10380 Sex Offender Registry Check Results

August 2021

A background check subject who is registered or required to register as a sex offender in Texas or any other state or U.S. territory may not be present at an operation while children are in care.

Procedure

The registered sex offender background check types are summarized in the table below:

Registered Sex Offender Background Check Type	Sex Offender Registry	How Results are Received in CLASS	Results Page in CLASS
Texas Name-based	Texas Sex Offender Registry	Texas Name-based Criminal History Check batch process	Texas Name-Based Criminal History Background Check Results
FBI fingerprint-based background check	Fingerprint-based National Sex Offender Registry	FBI Criminal History Check batch process	Fingerprint Background Check Results
Out-of-state background check for each state included in the subject’s background check request	Out-of-State Sex Offender Registry	CBCU staff search each required state’s sex offender registry	Out-of-State Sex Offender Registry Background Check Results
National Sex Offender Registry (NSOR) background check	NSOR	NSOR background check batch process	National Sex Offender Registry Background Check Results

26 TAC §745.669

 

10381 Texas Sex Offender and National Sex Offender Registry Results

August 2021

Procedure

Texas name-based and FBI fingerprint results include persons listed on the Texas and national sex offender registries, as described in 10322 Documenting the Criminal History Results.

The National Sex Offender Registry (NSOR) check includes results from a name-based search for persons listed on the NSOR.

 

10381.1 Processing Matches for Texas Name-Based Sex Offender and Fingerprint Sex Offender Results

August 2021

CBCU staff process sex offender registry results received from Texas name-based and FBI fingerprint results on the Fingerprint Background Check Results or Texas Name-Based Criminal History Background Check Results page, as appropriate. CBCU staff do the following on the applicable background check results page in CLASS:

1. In the Criminal Charges section:
   • create a row for the result, if needed;
   • select “Other Criminal Offense” in the Criminal Charge field;
   • enter “Registered Sex Offender” in the If Other, Please Specify field;
   • complete the Disposition and Arrest Date fields with the correct information;
   • select “MSV-Barred” in the Arrest Determination field; and
   • Can Be Present field, verify “No” is automatically selected.
2. In the Information Specific to This Result section, document:
   • a summary of the result;
   • a statement the subject cannot be present; and
   • any other relevant information.
3. Select the Preview Match Determination button to verify the Match Determination and Can Be Present selections populate correctly based on all results. If the selections are incorrect, make corrections until the selections are correct.
4. Select the Finalize Match Determination button to complete the eligibility determination.
5. Save the page by selecting the Save button.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications 

 

10381.2 Processing Possible Matches for Name-Based National Sex Offender Registry (NSOR) Search

August 2021

The National Sex Offender Registry (NSOR) background check provides results from a name-based search of the NSOR. CLASS receives the possible results from an automated search.

Procedure

Reviewing Results from an NSOR Search

CBCU staff receive notification of a possible NSOR match from an automated name-based search of the NSOR database that contains all possible matches for the subject.

If there are no potential matches, the status of the NSOR check result is automatically set to “Cleared” in CLASS.

If there are possible matches, CBCU staff determine whether the person listed in the search result is the same person as the subject of the background check by comparing the information in each possible NSOR match to the following information:

1. any name (including alternate names and versions of the subject’s name);
2. any possible Social Security numbers (SSNs);
3. any possible date of birth (DOB); and
4. other identifiers or personal information, if needed.

Next, CBCU staff select the appropriate radio button and staff document each possible match result and complete the next step to take with each match as outlined in the chart below:

The Possible Match is	What to Select on the NSOR Possible Match Results Page in CLASS	Resulting Status in the Result Section of the NSOR Background Check Results Page in CLASS	Next Step
The same person as the subject of the background check,	Accept	Match	CBCU staff process the NSOR match, according to 10381.3 Processing Matches from an NSOR Search.
A different person from the subject of the background check,	Reject	Cleared	CBCU staff have finished processing the possible NSOR match.
Unclear because there is not enough information to determine whether the person listed in the search results is the same person as the subject of the background check,	Undetermined	Possible Match	CBCU staff: conduct additional research until a match can be determined or ruled out; and update the Results section of the NSOR Background Check Results page to “Match” or “Cleared” based on the final determination.

 

10381.3 Processing Matches from an NSOR Result

August 2021

Procedure

Active Registered Sex Offender

If, according to the name-based NSOR result, CBCU staff determine that the person is actively registered as a sex offender, CBCU staff do the following on the NSOR Results page in CLASS:

1. In the Information Specific to this Result section, document information about the match.
2. In the Match Determination field, select “MSV-Barred”;
3. In the Can Be Present field, verify “No” is automatically selected; and
4. Select the Save button to save the page and complete the eligibility determination.

After completing the above steps, CBCU staff send appropriate notifications to the subject and the operation.

Inactive Registered Sex Offender

If, according to the name-based NSOR result, CBCU staff determine that the person is not actively registered as a sex offender, CBCU staff do the following on the NSOR Results page in CLASS:

1. In the Information Specific to this Result section, document information about the match.
2. In the Match Determination field, select “Not an Minimum Standards Violation”;
3. In the Can Be Present field, verify “Yes” is automatically selected; and
4. Select the Save button to save the page and complete the eligibility determination.

After completing the above steps, CBCU staff send appropriate notifications to the subject and the operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10382 Out-of-State Sex Offender Registry Results

August 2021

Procedure

CBCU staff obtain results of other states’ and U.S. territories’ sex offender registries by conducting a search of the applicable registry when a subject requires an out-of-state sex offender registry check. CBCU staff update the Out-of-State Sex Offender Registry Background Check Results page in CLASS.

Results are valid for five years from the Submittal Date of the first request for the state or U.S. territory. The results automatically copy over into additional background checks until the results expire. CBCU staff conduct a new search of the out-of-state sex offender registry if the out-of-state sex offender registry check is still required and the results have expired.

If the subject of the background check is not found in the applicable state’s or U.S. territory's registry, CBCU staff do the following on correct state’s or territory's Out-of-State Sex Offender Registry Background Check Results page in CLASS:

1. In the Results section:
   • select “Cleared” in the Status field; and
   • enter the date the search was completed in the Date Received field.
2. In the Information Specific to this Result section, document the search results.

If the subject of the background check is found on the applicable state’s or U.S. territory's registry, CBCU staff do the following on the correct state’s or territory's Out-of-State Sex Offender Registry Background Check Results page in CLASS:

1. In the Results section:
   • select “Match” in the Status field; and
   • enter the date the search was completed in the Date Received field.
2. In the Information Specific to this Result section, document the search results.
3. In the Match Determination field, select “MSV-Barred.”
4. In the Can Be Present field, verify “No” is automatically selected.
5. Select the Save button to save the page and complete the eligibility determination.

After completing the above steps, CBCU staff send appropriate notifications to the subject and the operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications 

 

 

10400 Risk Evaluation

May 2021

A risk evaluation is a process the Centralized Background Check Unit (CBCU) conducts to determine if a subject of a background check who has certain criminal history or child abuse or neglect history poses a threat to the health or safety of children in a particular operation. The result of the risk evaluation process is a determination of whether the subject may be present at the operation with or without conditions.

A CBCU manager or designee conduct a risk evaluation only:

1. after CBCU notifies the subject that he or she is eligible to request a risk evaluation; and
2. when the subject requests the CBCU to complete a risk evaluation be completed.

26 TAC §745.601

 

10410 When a Risk Evaluation is Required

February 2021

When reviewing background check matches, CBCU staff determine whether the subject is eligible for a risk evaluation as outlined below:

• Criminal offenses: reviewing the applicable Criminal Convictions charts; and
• Abuse or Neglect findings: reviewing 26 TAC §745.671.

Risk Evaluation for Out-of-State Background Check Results

When reviewing out-of-state criminal history or abuse or neglect matches, CBCU staff may consult with an Enforcement attorney for Child Care Licensing to resolve questions about the match and determine if the subject is eligible for a risk evaluation.

Additional Consideration for Subjects Associated with Prospective Foster or Adoptive Homes

A prospective foster or adoptive parent, or any subject 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 subject meeting the criteria detailed above.

26 TAC §§745.661; 745.671

 

10411 Temporary Risk Evaluation

February 2021

A subject whom the CBCU has allowed to be present at the operation with a provisional eligibility determination may request a temporary risk evaluation under the following circumstances:

1. CBCU has been notified of certain crimes for which the subject has been arrested, indicted or charged (See: 10331 Acting on New and Updated Criminal History Results); or
2. the subject has a child abuse or neglect finding that is not sustained, has requested a due process hearing for the finding and is eligible for a risk evaluation according to 26 TAC §745.671(a)(7-8).

Completing a temporary risk evaluation is optional; the purpose of a temporary risk evaluation is for a CBCU manager or designee to evaluate the conditions on the subject’s presence at the operation. If the subject does not request an optional risk evaluation, provisional conditions remain in place until the charge or finding has been resolved.  

The process for the CBCU to notify a subject about the results and for the subject to request a temporary risk evaluation is the same as the policies and procedures outlined in 10412 Notifying a Subject Who is Eligible for a Risk Evaluation and 10420 Processing Risk Evaluation Requests.

Exception: A Child-Placing Agency (CPA) must receive a background check determination of “eligible” or “eligible with conditions” for all household members of foster and adoptive homes before the CPA verifies a foster home or approves an adoptive home.

26 TAC §§745.671; 745.673; 745.683; 745.697

See: 10510.3 Eligibility Determinations Which Include Conditions

 

10411.1 Reevaluating a Temporary Risk Evaluation

February 2021

CBCU staff reevaluate a temporary risk evaluation decision when:

1. the CBCU receives additional information regarding the pending criminal case or abuse or neglect finding; or
2. the subject of the risk evaluation provides additional information and requests a review of the decision.

26 TAC §745.697

See: 10611 Eligibility Determination Reviews

 

10412 Notifying a Subject Who is Eligible for a Risk Evaluation

February 2021

Procedure

When a subject has a criminal conviction, arrest, indictment, charge, or child abuse, neglect or exploitation finding that requires a risk evaluation, CBCU staff send the Match Letter – Subject notification to advise the subject:

1. that the subject is eligible to request a risk evaluation;
2. whether the subject can be present at the operation pending the risk evaluation decision;
3. whether there are any conditions placed on the subject’s presence at the operation; and
4. that the due date for requesting the risk evaluation is 30 days from the date of the notification.

26 TAC §§745.661; 745.671

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10420 Processing Risk Evaluation Requests

February 2021

When the CBCU receives a risk evaluation request, CBCU staff first evaluate if the subject submitted the request for a risk evaluation by the due date provided in the notification. Next, CBCU staff evaluate whether the subject submitted a completed risk evaluation packet that includes the information required in:

• 10421 Information Required for All Risk Evaluations;
• 10422 Additional Information Required for Criminal History Matches, if applicable; and
• 10423 Additional Documentation Required if the Subject is Associated with a Foster and/or Adoptive Home, if applicable.

26 TAC §§745.681; 745.683; 745.685; 745.687

 

10421 Information Required for All Risk Evaluations

February 2021

For all risk evaluations, CBCU staff determine if the subject requesting a risk evaluation submitted the following information to CBCU:

1. A completed Form 2974 Request for Risk Evaluation Based on Past Criminal History or Central Registry Findings, which requires a detailed, signed statement from the subject regarding the nature and seriousness of the crime or abuse or neglect finding, including:
   • the age of the subject at the time of the crime or the abuse or neglect finding;
   • the circumstances that led to the arrest(s) or finding(s);
   • who else was involved;
   • whether anyone was injured;
   • the extent and nature of other arrests or abuse or neglect history;
   • what has changed for the subject since the arrest or finding; and
   • why the subject does not feel that he or she poses a risk to children in care.
2. The subject’s work history over the past 10 years, including names of employers, dates of employment and positions held.
3. Evidence of rehabilitative effort.
4. At least three reference letters from individuals who are not related to the subject (such as professionals, employers, law enforcement) and who have knowledge about the subject’s character and ability to work with children.
5. Any additional items requested by the CBCU manager or designee to assist with the risk evaluation decision.

26 TAC §§745.689; 745.691

 

10422 Additional Information Required for Criminal History Matches

February 2021

If the risk evaluation is for a criminal history match, the subject submits the following information:

1. Information required in 10421 Information Required for All Risk Evaluations.
2. A copy of the police report regarding the circumstances of the arrest.
3. An official copy of the final record of judicial finding or conviction (signed by the judge and file stamped, if available).
4. Age of the subject at the time the crime was committed.
5. The following information related to a probated sentence (including deferred adjudication community supervision), if applicable;
   • the terms and conditions of probation, including documentation of whether the subject successfully completed the terms and conditions of the probation;
   • proof that the subject paid all court costs, fees, restitution and fines; and
   • a statement from the subject’s probation officer regarding the status of the subject’s probation, if the subject is currently on probation.
6. The following information if the subject was incarcerated:
   • a copy of local, state or federal release order;
   • the date that the subject was released from incarceration; and
   • the terms and conditions of parole, if applicable.
7. A detailed, signed statement from the subject regarding the nature and seriousness of the crime including:
   • why the subject was arrested, indicted or charged with a crime;
   • where the subject was when arrested, indicted or charged with a crime;
   • who else was involved in the criminal incident;
   • whether anyone was injured;
   • the extent and nature of other arrests within the subject’s past criminal history;
   • what has changed for this subject since the time of the arrest; and
   • why the subject does not feel that he or she poses a risk to children in care.

26 TAC §745.689

 

10423 Additional Documentation Required if the Person is Associated with a Foster or Adoptive Home

February 2021

If the subject requesting a risk evaluation is associated with a prospective or current foster or adoptive home, CBCU staff determine if the child-placing agency that submitted the background check submitted the following information to the CBCU:

1. signed Form 2405 Affidavit for Risk Evaluation by Child-Placing Agency, including a valid rationale from the child-placing agency’s owner, executive director, administrator or some other similar position of authority explaining why the subject does not pose a risk to the health or safety of children;
2. 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);
3. a description of the foster or adoptive parent’s relationship to each child; and
4. a copy of the most recent home assessment or home screening, if one has been completed.

26 TAC §745.689

 

10424 Documenting the Risk Evaluation Request

February 2021

After receiving a risk evaluation request, in the Risk Evaluation section on the applicable background check results page in CLASS, CBCU staff do the following:

1. in the Request Date and Due Date fields, enter the applicable dates;
2. select the type of risk evaluation by checking the appropriate box(es);
3. review the request and any documentation received to determine if the risk evaluation packet is complete according to 10420 Processing Risk Evaluation Requests; and
4. in the Overall Background Check Comments section, summarize the documents received and whether the packet is complete.    

The CBCU manager or designee follows the applicable steps in 10430 Making a Risk Evaluation Decision and 10433 Documenting a Risk Evaluation Decision to complete the risk evaluation decision.

 

10430 Making a Risk Evaluation Decision

February 2021

A CBCU manager or designee reviews the risk evaluation request and decides whether the subject who requested the risk evaluation is ineligible to be present, eligible to be present at the operation, or if conditions are needed to protect the health or safety of children at the operation that submitted the background check request.

The CBCU manager or designee must deny the risk evaluation if the subject who requested the risk evaluation submitted:

1. an incomplete packet; or
2. insufficient information for the CBCU to make a decision.

26 TAC §745.695

 

10431 Factors to Consider When Making a Risk Evaluation Decision

February 2021

When making a risk evaluation decision, the CBCU manager or designee considers the following factors:

1. the contents of the risk evaluation packet as outlined in 10421 Information Required for All Risk Evaluations, 10422 Additional Information Required for Criminal History Matches, and 10423 Additional Documentation Required if the Subject is Associated with a Foster and/or Adoptive Home;
2. whether the subject who requested the risk evaluation failed to submit any information;
3. the compliance history and regulatory status of the operation;
4. the subject’s intended or current roles and responsibilities that were included in the operation’s background check submission;
5. the length of time that has elapsed since the criminal conviction, child abuse or neglect finding, or crime for which the subject has been arrested, indicted or charged;
6. the nature and severity of the criminal conviction, child abuse or neglect finding, or crime for which the subject has been arrested, indicted or charged;
7. the subject’s role in the criminal conviction, child abuse or neglect finding, or crime for which the subject has been arrested, indicted or charged;
8. whether there is a pattern of any type of crime or abuse or neglect;
9. work history, references and any evidence of rehabilitative effort over the past 10 years;
10. any federal requirements regarding criminal history and child abuse and neglect findings; and
11. any other relevant factor that enhances or mitigates the risk to the health or safety of children in the operation.

 

10432 Time Frame for Making a Risk Evaluation Decision

February 2021

The CBCU manager or designee provides the subject and the operation that submitted the background check request with a written risk evaluation decision within 45 days from:

• the date the background check request was submitted; or
• the date the CBCU sent the eligibility notification related to the new or updated information to the subject, if the risk evaluation is a result of new or updated information received by the CBCU.

26 TAC §745.693

 

10433 Documenting a Risk Evaluation Decision

February 2021

Procedure

After making a risk evaluation decision, the CBCU manager or designee does the following in the Risk Evaluation section on the applicable background check results page in CLASS:

1. In the Decision Date field, enter the date of the decision.
2. In the Type of Risk Evaluation field, verify the applicable background check type box(es) are checked.
3. In the Risk to Children field, select the appropriate selection indicated in the table below.
4. In the Summary of Decision text box, document the rationale and summary for the decision.
5. In the Conditions text box, enter any conditions placed on the subject’s presence at the operation.
6. Select the Save button to finalize the decision.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

The CBCU manager or designee completes the Risk to Children field based on the risk evaluation decision. CLASS calculates the background check eligibility based on the Risk to Children as outlined in the table below:

Risk Evaluation Decision	Risk to Children Field in Risk Evaluation Section of the Applicable Background Check Results Page	Background Check Eligibility in Operation Background Check History section of Background Check Results History Page
Approved	No”	Eligible
Denied	“Yes”	Ineligible
Approved with Conditions	“Conditional”	Conditional

When a CBCU manager or designee denies a risk evaluation, the CBCU manager or designee does the following in the Risk Evaluation section on the applicable background check result page in CLASS:

1. In the Decision Date field, enter the date of the decision.
2. In the Type of Risk Evaluation field, verify the applicable background check type box(es) are checked.
3. In the Risk to Children field, select “Yes.”
4. In the Summary of Decision text box, document the rationale and summary for the denial and missing or incomplete documents.
5. Select the Save button to finalize the decision.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications 

 

10440 When a Risk Evaluation Expires

May 2021

An approved or conditionally approved risk evaluation only expires when:

1. the background check subject has been arrested, indicted or charged with another crime;
2. the background check subject has an additional criminal conviction or child abuse or neglect finding;
3. the subject’s role at the operation, including the circumstances of the subject’s contact with children, becomes different than when the CBCU approved the risk evaluation;
4. the subject becomes employed at a different operation than when the CBCU approved the risk evaluation; or
5. the CBCU amends or rescinds the risk evaluation in response to:
   • a request for a review of the risk evaluation decision; or
   • an operation not following conditions on a subject’s presence at the operation.

If a risk evaluation expires due to new criminal or child abuse or neglect history, a different role at the operation, or employment at a different operation, a CBCU staff and manager review the new information and the risk evaluation decision to determine if:

• the subject’s eligibility determination will become provisional and a new risk evaluation is needed;
• the risk evaluation will remain in place without changes;
• the risk evaluation conditions will be revised; or
• the subject is ineligible to be present at the operation.

26 TAC §745.697

See: 10441 Risk Evaluation Reconsideration for New and Updated Background Check Results

 

10441 Risk Evaluation Reconsideration for New or Updated Background Check Results

May 2021

Procedure

When CBCU staff receive new Central Registry or criminal history information for a subject who has an existing risk evaluation, CBCU staff consider whether to continue, revise or rescind the risk evaluation based on the new information.

Prior to finalizing the match determination, CBCU staff consult with a CBCU manager to make this decision.

See:
10211 Processing Central Registry Recheck Results
10330 Receiving New and Updated Criminal History Results
10331 Acting on New an Updated Criminal History Results

 

10441.1 Reconsideration of Risk Evaluation Due to New or Updated Criminal History Results

May 2021

Procedure

When processing new or updated criminal history results for a subject who has an existing risk evaluation, CBCU staff decide if the subject is ineligible to be present or whether changes to the risk evaluation are needed.  

If CBCU staff determine that changes to the risk evaluation are needed, CBCU staff consult with a CBCU manager.  

 

10441.2 Reconsideration of Risk Evaluation Due to New or Updated Central Registry Results

May 2021

Procedure

When CBCU receive new or updated Central Registry results for a subject who has an active risk evaluation, CLASS prompts CBCU staff to indicate if an existing risk evaluation will remain valid.  

CBCU staff follow the procedures in the document Job Aid: Risk Evaluation Reconsideration and Documentation for New and Updated Background Check Results, available on the CCR SharePoint site, when CBCU staff document a risk evaluation reconsideration decision.

26 TAC §745.697

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10450 Risk Evaluation Predictions

February 2021

The purpose of a risk evaluation prediction is to determine whether the CBCU would likely approve a risk evaluation for a subject of a background check who has an unsustained Central Registry finding.

CBCU conducts a risk evaluation prediction when:

1. the subject has not exhausted or waived due process related to the Central Registry finding (See: 10250 Due Process Hearing Actions);
2. the finding has not resulted in a determination of immediate risk (See: 10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat); and
3. the subject would be eligible for a risk evaluation if the finding is sustained (See: 10410 When a Risk Evaluation is Required).

A risk evaluation prediction is completed when there is an exception to completing a temporary risk evaluation (See: 10411 Temporary Risk Evaluation).

 

10451 Requesting CBCU Complete a Risk Evaluation Prediction

February 2021

 

10451.1 When Monitoring Staff May Request a Risk Evaluation Prediction

February 2021

CCR staff may request a risk evaluation prediction when determining whether to deny or revoke an operation’s permit or an administrator’s license and a CBCU manager and the requestor have agreed a temporary risk evaluation is not appropriate. The subject of the background check with the finding may be the applicant or permit holder or may have an association with an operation that would affect the permit or application. For example, the subject could reside at the operation.

 

10451.2 When Legal Requests a Risk Evaluation Prediction

February 2021

An enforcement attorney for Child Care Licensing may also request a risk evaluation prediction to resolve a due process case. The subject may be willing to accept a neglect finding or an abuse finding that is eligible for a risk evaluation if the CBCU indicates that the subject may still be present at the operation either without conditions or with conditions included in the prediction decision.

 

10451.3 How to Request a Risk Evaluation Prediction

February 2021

Procedure

To request a risk evaluation prediction, CCR staff or the enforcement attorney emails the following information to the manager of the CBCU inspector assigned to the operation:

• the name, Social Security number and date of birth of the subject with the unsustained finding;
• the operation’s name and number;
• the subject’s role and level of presence at the operation submitting the background check request, if available;
• a brief summary of the investigation and concerns, including:
  • the IMPACT investigation number;
  • whether the subject is currently present at the operation, if the finding was the result of a DFPS Child Care Investigation (CCI) investigation;
  • whether a safety plan was implemented;
  • whether the subject’s presence at the operation was precluded pending the completion of DFPS’ CCI investigation; and
  • whether the subject’s contact with the victim(s) was restricted during a DFPS Child Protective Investigation (CPI) investigation;
• the status of due process;
• any information that DFPS or HHSC has communicated to the subject;
• additional information requested by the CBCU manager; and
• any additional information the CCR staff or enforcement attorney believes is relevant to the prediction.

 

10452 Processing Requests for Risk Evaluation Predictions

February 2021

Once the CBCU manager has the information in 10451.3 How to Request a Risk Evaluation Prediction, the manager does the following:

1. makes a prediction decision of denial, approval, or approval with conditions;
2. communicates the risk evaluation prediction decision to the person who requested the prediction; and
3. documents the risk evaluation prediction and communication of the decision in the Overall Background Check Comments section on the Central Registry Results page in CLASS for the subject’s current or most recent background check, including any conditions that would be recommended.

 

10452.1 Factors to Consider When Making a Risk Evaluation Prediction

February 2021

When making a risk evaluation prediction, the CBCU manager considers the reasons for the request, any additional information the requestor believes is relevant and the risk evaluation considerations listed in 10431 Factors to Consider When Making a Risk Evaluation Decision.

 

10453 Monitoring Staff Responsibilities After Receiving a Risk Evaluation Prediction Decision

February 2021

 

After receiving a risk evaluation prediction decision from the CBCU, CCR monitoring staff:

• work with an enforcement attorney for Child Care Licensing to determine:
  • if the operation permit or administrator’s license will be denied or revoked; and
  • what information can be released to the permit applicant or the administrator license holder regarding the reason for the denial or revocation; and
• notify the CBCU manager of the decision to issue, deny or revoke the permit or administrator’s license (See: 7633 Notice of Decision to Deny, Revoke or Suspend an Application or Permit and 9700 Remedial Action on an Administrator License).

 

10500 Eligibility Determinations, Employment Status and Notifications

February 2021

Eligibility Determinations

After processing background check results from all the required background check types requested for a background check subject, CBCU staff make an eligibility determination based on the results received. The eligibility determination indicates if the subject can be present at the operation and whether any conditions have been applied to protect the health or safety of children in care at the operation.

Employment Status

A subject’s employment status of “active,” “inactive” or “pending” is determined by processing the background check types, the eligibility determination and whether the subject’s role has been inactivated.

Notifications

CBCU staff send background check notification to provide:

1. an eligibility determination due to:
   • receipt of results from the requested background check types (See: 10510 Types of Eligibility Determinations);
   • updates to existing results (See: 10331 Acting on New and Updated Criminal History Results); and
   • closure of noncompliant background checks (See: 10510.41 Determination of Ineligible Due to Noncompliant Background Checks);
2. reminders to assist operations in maintaining background check compliance (See: 10534 Other Background Check Notifications Sent to the Operation); and
3. instructions to the background check subject outlining the actions needed to complete a background check (See: 10541 Other Background Check Notifications Sent to the Subject of the Background Check).

 

10510 Types of Eligibility Determinations

February 2021

An eligibility determination addresses whether a subject is eligible to be present at a child care operation based on:

• the status of the subject’s background check;
• the background check types processed; and
• whether conditions apply to the subject’s presence.

The eligibility determination is calculated in CLASS based on the processing of the results received.

There are five possible eligibility determinations for a background check submission:

Eligibility Determination	Presence at the Operation	Valid Period
Pending	The subject may not be present at the operation.	This determination is valid at the beginning of the background check. As the background check types are processed, the eligibility determination is updated.
Eligible	The subject may be present at the operation.	This determination is valid until the next renewal period (two or five years) unless CBCU receives new or additional information that changes the determination.
Ineligible	The subject may not be present at the operation.	This determination is permanent unless CBCU receives new or updated information that changes the determination.
Provisional	The subject may be present at the operation but under specific conditions the CBCU placed on the subject’s presence.	This determination is time limited and will be updated to one of the other eligibility determinations once the background check has been completed (e.g., out-of-state checks have been completed, a risk evaluation decision has been made or due process of a Central Registry finding has been resolved).
Eligible with Conditions	The subject may be present at the operation, under specific conditions. The conditions CBCU places on the subject’s presence are made with a risk evaluation decision.	This determination is valid until the next renewal period (two or five years), unless the CBCU receives new or additional information that changes the determination.

The following are the standard conditions for provisional:

1. The person is never in charge of the operation.
2. The person is never alone with a child or group of children in the care of or enrolled in the operation, including during transportation.
3. The person may only be supervised by a person with no conditions regarding his or her presence at the operation.
4. The person never transports children in the care of, or enrolled in, the operation during hours of operation.
5. The person is never responsible for financial transactions at the operation.
6. The person never administers medication to children in the care of the operation, except for in a medical emergency to prevent the death or serious bodily injury of a child.
7. The person is never allowed to supervise caregivers or volunteers or employees who have access to children.

26 TAC §§745.601; 745.629; 745.635

 

10510.1 Background Check Type Eligibility

February 2021

CLASS calculates eligibility for a particular background check type based on the selections made by CBCU staff processing the background check type. The background check type eligibility is located in the BGC Type Eligibility column in the Background Check Results section of the subject’s Background Check Results History page in CLASS.

 

10510.2 Overall Background Check Eligibility

February 2021

CLASS calculates a subject’s overall background check eligibility based on the status of requested background check types and the processing of results received for each type. CLASS determines overall background check eligibility based on the most restrictive eligibility for the background check types requested. A subject’s eligibility:

• identifies the subject’s ability to be present at the operation and any conditions placed on the subject’s presence;
• is provided to the operation and the subject through the applicable background check notifications; and
• is located:
  • in the Eligibility column in the Operation Background Check History section of the Background Check Results History page in CLASS; and
  • on the Background Check History page of the provider’s Child Care Licensing account.

26 TAC §745.629

 

10510.3 Eligibility Determinations Which Include Conditions

February 2021

Under certain circumstances when a subject is eligible to be present at the operation, CBCU staff place conditions on the subject’s presence to protect the health or safety of children. CBCU staff place conditions on a subject’s presence when:

• a risk evaluation is approved with conditions;
• a background check result includes a minimum standard violation that is relevant to a condition or restriction already placed on the subject’s presence at the operation; or
• any of the following is pending:
  • the subject’s out-of-state criminal history check or out-of-state child abuse or neglect registry check;
  • the outcome of a risk evaluation for eligible criminal conviction(s), child abuse and neglect finding(s) or crime(s) for which the subject has been arrested or charged; or
  • receipt of requested court documentation for a crime that:
    • is eligible for a risk evaluation; and
    • would allow the subject to be present at the operation pending the outcome of a risk evaluation.

The operation must comply with conditions placed on the subject’s presence. If the operation does not comply with conditions, CCR may amend the conditions, rescind a risk evaluation decision (if applicable) or take enforcement action.  

26 TAC §§745.631; 745.637

See:
7400 Corrective Action
7500 Administrative Penalties
10430 Making a Risk Evaluation Decision
10510 Types of Eligibility Determinations

 

10510.4 Determinations of Ineligible

February 2021

The subject and the operation receive an “ineligible” determination when:

1. a background check result indicates the subject is ineligible to be present; or
2. the subject fails to complete all background check types timely.

After an operation is notified of an “ineligible” determination, the operation must:

1. immediately remove the subject from the operation or otherwise discontinue the subject’s affiliation with the operation; and
2. inactivate the subject within seven days of the subject no longer being affiliated with the operation.

26 TAC §745.651

 

10510.41 Determination of Ineligible Due to Noncompliant Background Checks

February 2021

A subject has 45 days from the date the background check request is submitted to complete all background check types and provide any additional information. CBCU staff close a background check that is not completed timely. A subject’s eligibility determination becomes ineligible when CBCU staff close the background check. CBCU staff may extend the due date to allow completion of out-of-state checks, if appropriate.

Procedure

A background check becomes overdue when the background check subject does not:

• complete all background check types;
• provide required court documents; or
• respond to a notification requiring risk evaluation.

When closing a background check, CBCU staff:

1. document the reason for the closure;
2. update applicable fields on the background check results page;
3. provide the “ineligible” determination notification and Match Letter – Subject, as appropriate; and
4. inactivate the subject at the operation, if needed.

26 TAC §§745.627; 745.639

See: 10430 Making a Risk Evaluation Decision.

 

 

10520 Employment Status

February 2021

CBCU staff determine employment status in CLASS based on the processing of background check types, the eligibility determination and whether the subject has been inactivated.

The chart below lists the different employment statuses and indicates whether the subject may be present at the operation:

Employment Status	Description	May the Subject be Present?
Pending	This employment status applies to a subject: for whom CBCU staff has not yet made an eligibility determination; or whom CBCU staff has determined to be ineligible to be present at the operation, but the operation has not yet inactivated the subject on the Background Check History page of the operation’s Child Care Licensing account page.	No
Active	This employment status applies to a subject: who is associated with the operation; and whom CBCU staff has determined to be eligible to be present at the operation, either with or without conditions.	Yes, and the operation must comply with any conditions that are placed on the subject’s presence. (See: 10510 Types of Eligibility Determinations)
Inactive	This employment status applies to a subject whom: the operation has inactivated on the Background Check History page of the operation’s Child Care Licensing account; or CBCU staff has determined to be ineligible because the subject did not complete the background check timely and CBCU staff has closed the background check.	No

See:
10510.41 Determination of Ineligible Due to Noncompliant Background Checks
10720 Inactivating a Subject’s Role or Employment

 

10530 Background Check Notifications

February 2021

The chart below outlines the notifications CBCU staff send to the subject of the background check and to the operation:

Notification	Sent to
Background check results	Subject of the background check and the operation
Actions the subject must take to complete background check types	Subject of the background check
Closure of incomplete background checks	Subject of the background check and the operation
Actions the operation must take to maintain certain aspects of background check compliance	The operation

See:
10533 Background Check Notifications Sent to the Operation
10534 Other Background Check Notifications Sent to the Operation
10540 Background Check Notifications Sent to the Subject of the Background Check
10541 Other Background Check Notifications Sent to the Subject of the Background Check

 

10531 Types of Background Check Notifications

February 2021

A notification is created one of two ways:

• automatically by CLASS when certain conditions are met; or
• manually by CBCU staff using a template to create the notification.

All notifications for the subject can be viewed, sent or resent from the subject’s Notification History page in CLASS. Copies of all notifications created for the operation are stored in the Forms and Letters page in CLASS.

Manual Notifications

CBCU staff create manual notifications using templates in CLASS. Manual notifications communicate specific background check information to the subject, the operation or another authorized recipient.

The following table describes each of manual notifications:

Notification Title	Recipient	Purpose
Background Check Match Letter – 2853, 2891	Operation	Communicates a subject’s background check results to a child placing agency when the requested subject’s role is foster and/or adoptive parent or household member.
Risk Evaluation Decision to Operation – Conditional	Operation	Communicates the risk evaluation decision to the operation when approved with conditions.
Match Letter - Subject	Subject	Communicates a subject’s background check results to the subject.
Central Registry Match Letter to Perp	Subject	Offers due process to a subject with Central Registry findings of abuse/neglect that are unsustained.
Risk Evaluation Decision to Subject - Conditional/Denied	Subject	Communicates the risk evaluation decision to the subject.
HHSC Letterhead	Operation, Subject or Other Person	Communicates any unique background check information for which a template is not available.

System-Generated Notifications

CLASS creates and sends system-generated notifications to communicate background check status information to the subject and operation and to remind the operation or subject of any additional required actions to complete. The type of notification generated depends on the information being communicated.  

The following table describes each of the system-generated notifications:

Notification Title	Recipient	Purpose
Employment Eligibility Notification	Operation	Notifies the operation that the subject is eligible to be associated with the operation in the requested role.
Employment Ineligibility Notification	Operation	Notifies the operation that the subject is ineligible to be associated with the operation in the requested role and includes a notice of the requirement to inactivate the subject.
Provisional Notification	Operation	Notifies the operation that the subject is eligible to be associated with the operation in the requested role on a provisional basis with standard provisional eligibility conditions.
Employee List Validation	Operation	Notifies the operation to validate its employee list within 30 days of receiving the notification.
Background Check Renewal Due	Operation	Notifies the operation that a background check renewal is due in 30 days. (i.e., two or five year intervals)
Employment Eligibility Notification	Subject	Notifies the subject that he or she is eligible to be associated with the operation in the requested role.
Provisional Notification	Subject	Notifies the subject that he or she is eligible to be associated with the operation in the requested role on a provisional basis with standard provisional eligibility conditions.
Background Checks Required Notification	Subject	Communicates information and instructions related to the completion of a fingerprint check, Out-of-State Child Abuse and Neglect Registry or Out-of-State Criminal History check.
15-day Notification	Subject	Reminds the subject of actions that he or she must take to complete background check types listed in the Background Checks Required Notification.
Fingerprint Rejection Notification	Subject	Notifies the subject of a rejected fingerprint received and actions needed to resolve the fingerprint check.

26 TAC §§745.621; 745.629; 745.651

See:
10510 Types of Eligibility Determinations
10720 Inactivating a Subject’s Role or Employment
10730 Validating the Employee List for an Operation

 

10532 How to Send Background Check Notifications

February 2021

Notifications are sent via email. If the intended recipient of the notification does not have an email address on file, CBCU staff obtain an email address or send the notification via USPS mail.

 

10532.1 Time Frame for Sending the Background Check Determination

February 2021

After receiving the results of a background check, CBCU staff send the operation and the subject of the background check a written determination of the background check as soon as possible but no later than 45 days from the date the operation submitted the background check request.

26 TAC §745.627

 

10533 Background Check Notifications Sent to the Operation

February 2021

CBCU staff send a notification letter to the operation that includes:

1. a determination of whether the subject is ”Eligible,” ”Ineligible,” ”Eligible with Conditions” or ”Provisionally Eligible” to be present at the operation (See: 10510 Types of Eligibility Determinations);
2. any conditions CBCU staff place on the subject’s presence at the operation; and
3. a list of each additional operation that has submitted a background check request for the subject and when the operation submitted the request.

If the operation does not comply with the conditions placed on the subject, CCR may amend the conditions, rescind the risk evaluation decision or recommend or impose an enforcement action.

26 TAC §§745.633; 745.637

 

10533.1 Additional Information Sent to a Child-Placing Agency

February 2021

When CBCU staff is sending information to a child-placing agency because the subject is associated with a current or prospective foster or adoptive home, the letter must include the following additional information:

1. the types of background checks conducted;
2. any criminal history obtained;
3. any sustained Central Registry findings;
4. any Central Registry finding that is not sustained and the subject’s eligibility determination is “ineligible” (See: 10231 Assessing the Risk of Central Registry Matches for Determination of Immediate Threat);
5. any out-of-state abuse or neglect findings;
6. whether the subject is eligible to request a risk evaluation; and
7. if a subject is eligible to request a risk evaluation, whether the subject may be present at the operation pending the outcome of the risk evaluation.

If the operation does not comply with the conditions placed on the subject’s presence, CCR may amend the conditions, rescind the risk evaluation decision or recommend or impose an enforcement action.

Criminal History that May Not Be Shared

CCR staff must not share with the subject or a child-placing agency information about criminal matches with a disposition of Order of Nondisclosure or Expunged Record because they are not convictions and, therefore, are not minimum standards violations.  To ensure the information is not shared, CBCU staff delete the row containing the result from the Results section on the applicable criminal history background check results page in CLASS. If it is the only result received, CBCU staff also change the “Match” to “Cleared.”

26 TAC §745.633

 

 

10533.2 Background Checks Submitted Prior to January 13, 2019

February 2021

Prior to January 13, 2019, background check results were communicated through match letters and emails for each background check type; these results did not communicate an overall background check result. These letters and emails are considered valid notifications until the background check renewal date. For background checks submitted prior to January 13, 2019, that are current, the operation must have results allowing the subject to be present, dated prior to January 13, 2019, for each background check type included in the background check submission.

 

10534 Other Background Check Notifications Sent to the Operation

February 2021

CBCU staff send the following notifications to the operation in order to assist the operation with maintaining compliance:

1. Background Check Renewal Due Notice – Sent 30 days before a subject’s renewal check is due, if the subject is still active on the operation’s Employee List.
2. Employee List Validation Notice – Sent 30 days before the operation’s Employee List Validation is due.

These reminders are also posted on the operation’s Child Care Licensing Account Message Board 30 days prior to the due date.

26 TAC §§745.621; 745.651

See:
10120 Background Check Requests
10730 Validating the Employee List for an Operation

 

10540 Background Check Notifications Sent to the Subject of the Background Check

February 2021

CBCU staff send the following types of information in notifications to the subject of the background check:

1. the types of background checks included;
2. any criminal history identified;
3. any sustained Central Registry finding identified;
4. any Central Registry finding that is not sustained;
5. if a Central Registry finding is not sustained, instructions on requesting a due process hearing to dispute the finding;
6. any out-of-state abuse or neglect history identified;
7. the determination of whether the subject may be present at the operation;
8. whether the subject may request a risk evaluation;
9. any conditions placed on the subject’s presence at the operation;
10. any additional information needed by the CBCU to complete the background check and when the information is due; and
11. instructions on how to challenge the accuracy of the background check results and how to request a review of the background check determination.

26 TAC §745.639

 

10541 Other Background Check Notifications Sent to the Subject of the Background Check

February 2021

CLASS sends the following notifications to the background check subject to provide instructions for completing the background check process:

• Background Checks Required Notification – Notifies the subject to complete fingerprinting and out-of-state checks according to the background check submission.
• Fingerprint Rejection Notification – Notifies the subject that the FBI rejected the subject’s fingerprint submission by the FBI and provides information about how to resolve the rejection.
• 15-Day Notification – Notifies the subject that the subject’s background check is not complete and of any additional action that is required.

 

10600 Background Check Reviews

February 2021

CBCU staff conduct background check reviews when the background check subject:

1. believes the results are inaccurate;
2. has new information that was not available at the time the CBCU made the determination; or
3. disagrees with the determination.

CBCU staff review the request and information provided and issue a decision within 30 days of receipt. CBCU staff may extend the 30 days for good cause.

CBCU staff conduct the following reviews when requested by the background check subject:

• Reviews of Background Check Results (See: 26 TAC §745.643);
• Reviews of Background Check Determinations (See: 26 TAC §745.645); and
• Reviews of Risk Evaluation Decisions (See: 26 TAC §745.699).

 

 

10610 Background Check Results Reviews

February 2021

Procedure

If a subject believes the background check results received are inaccurate or incomplete, the subject may request a Background Check Results Review. The subject contacts the CBCU staff who sent the background check determination notification. CBCU staff discuss the results and reasons for the determination and advise the subject on possible ways to resolve the disputed information, including contacting the agency that provided the results. This includes providing information for a result that was pending final disposition at the time of the background check determination.

The subject provides any documentation supporting resolution of incorrect or inaccurate results to the CBCU staff.

Based on the outcome of the review, CBCU staff document the following in the Information Specific to this Result section on the applicable Background Check Results page in CLASS:

• communication with the subject;
• a summary of the documentation received; and
• the decision, including if presence or conditions were changed.

If the review changed the results, CBCU staff do the following on the applicable Background Check Results page in CLASS:

1. Update the result, as needed in the Results section.
2. Select the Preview Match Determination button to verify that the Match Determination and Can Be Present selections are correct. If the selections are incorrect, make corrections until the selections are correct.
3. Select the Finalize Match Determination button to complete the eligibility determination.
4. Save the page by selecting the Save button.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

26 TAC §745.643

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

10611 Eligibility Determination Reviews

February 2021

CBCU staff complete an Eligibility Determination Review if the background check subject disagrees with the determination and requests a review.

The subject must submit a request for the Eligibility Determination Review:

1. within 30 days of the determination or decision date; or
2. when the subject has new information that was not available at the time of the determination.

The subject’s request must:

1. be in writing;
2. be sent to the CBCU staff who issued the determination by email, regular mail or fax to include:
   • the subject's name;
   • the date the CBCU issued the background check determination;
   • the reason the subject disagrees with the eligibility determination, if applicable; and
   • any new information that was not available at the time of the determination.

Providing New Information

If the subject has new information that was not available at the time of the determination, CBCU staff complete the Eligibility Determination Review according to 10611.1 Completing the Eligibility Determination Review.

26 TAC §745.645

 

10611.1 Completing the Eligibility Determination Review

February 2021

CBCU staff consider the following when conducting an Eligibility Determination Review:

1. any reason the subject disagrees with the background check determination;
2. any new information the subject provided; and
3. whether all background check rules in Chapter 745, Subchapter F were followed.

CBCU staff document the review and decision on the applicable Background Check Results page in CLASS in the Information Specific to this Result section:

• the request for the review;
• communication with the subject;
• a summary of the documentation received; and
• the decision, including if presence or conditions were changed.

If the review changed the results, CBCU staff also do the following on the applicable Background Check Results page in CLASS:

1. In the Results section, update the result as needed.
2. Select the Preview Match Determination button to verify the Match Determination and Can Be Present selections are correct. If the selections are incorrect, make corrections until the selections are correct;
3. Select the Finalize Match Determination button to complete the eligibility determination.
4. Save the page by selecting the Save button.

After completing the above steps, CBCU staff send appropriate notifications to the subject and operation.

See:
10510 Types of Eligibility Determinations
10531 Types of Background Check Notifications

 

 

10611.2 Review of the Eligibility Determination Review Conducted by the Director of CBCU

February 2021

If the subject disagrees with the results of the Eligibility Determination Review, the subject may request the CBCU director to complete a review of the Eligibility Determination Review. The review is completed by the CBCU director or a designee who was not previously involved in the background check determination or Eligibility Determination Review.

The result of the CBCU director’s or designee’s review is final.

26 TAC §745.645

 

10612 Risk Evaluation Decision Review by the CBCU Director

February 2021

When requested by the subject of the background check, the CBCU director, or an assigned designee, completes a Risk Evaluation Decision Review to review the accuracy of a risk evaluation decision. The result of the Risk Evaluation Decision Review is final.

The subject submits a request for the Risk Evaluation Decision Review:

1. in writing; and
2. to the CBCU staff who issued the determination or decision by email, mail or fax.

The subject’s request must include:

1. the subject's name;
2. the date the CBCU issued the background check determination;
3. the reason the subject disagrees with the eligibility determination, if applicable; and
4. any new information that was not available at the time of the determination.

Procedure

CBCU staff forward requests for a Risk Evaluation Decision Review to the CBCU director.

26 TAC §745.699

 

10700 Monitoring Operations for Compliance with Background Check Requirements

February 2021

Procedure

During inspections and investigations, the CCR monitoring inspector determines if the operation is complying with all background check requirements, including:

1. Submitting background check requests for all persons required to have a background check according to the appropriate time frames;
2. Ensuring that persons who are present at the operation have an eligibility determination of “Eligible,” “Eligible with Conditions” or “Provisionally Eligible with Conditions”;
3. Adhering to conditions placed on a person’s presence at an operation;
4. Inactivating a person’s role or employment; and
5. Validating the operation’s employee list.

 

 

10710 Evaluating an Operation’s Compliance with Background Check Requirements

February 2021

 

10711 Determining Whether the Operation Submitted All Required Checks

February 2021

When conducting application, initial and monitoring inspections, the CCR monitoring inspector asks the operation for a list of all persons at the operation who are required to have a background check (See: 10121 Persons for Whom Operations Must Submit Requests for Background Checks and 10122 Persons for Whom Operations Do Not Submit Requests for Background Checks). For child-placing agencies, this list must include any foster or adoptive parents who have been verified or approved since the last inspection, including household members ages 14 years and older.

The CCR monitoring inspector then compares this list with the People List in CLASS or CLASSMate.  

During investigations, CCR monitoring inspectors compare principals and collaterals with the People List.

The purpose of these comparisons is to determine compliance with background check requirements, including whether the operation:

1. failed to submit any names timely (including renewal checks);
2. allowed anyone with a Pending employment status to be present at the operation unless the subject is present for the sole purpose of attending orientation or preservice training and does not have contact with children in care;
3. is complying with conditions placed on a subject’s presence; and
4. has allowed anyone who is ineligible to be present at the operation.

See:
4140 Preparing for Inspections
4150 Conducting Inspections
10120 Background Checks Requests
10121 Persons for Whom Operations Must Submit Requests for Background Checks

26 TAC §§745.621; 745.635; 745.641

 

10712 Evaluating for Conditions on a Subject’s Presence

February 2021

When conducting an application, initial or monitoring inspection, the CCR monitoring inspector must evaluate each background check subject on the operation’s People List in CLASS or CLASSMate that has conditions using the Conditions indicator (indicated by a ‘Yes’ in the Conditions? column for the subject).

For each subject with conditions, the CCR monitoring inspector must view the specific conditions in CLASS or CLASSMate and evaluate whether the operation is adhering to those conditions.

CCR monitoring inspectors must follow the same process during an investigation inspection for principals and collaterals.

26 TAC §745.635(3)

 

10713 Determining if the Operation Validated the People List

February 2021

During initial and monitoring inspections, CCR monitoring inspectors evaluate whether operations have validated the current list of persons associated with the operation as required.

See: 10730 Validating the Employee List for an Operation

26 TAC §745.651

 

10714 Administrative Penalties for Background Check Violations

February 2021

Failure to comply with background check requirements may require that the CCR monitoring inspector recommend an administrative penalty. See 7520 Assessing the Need for an Administrative Penalty.

26 TAC §§745.621; 745.635; 745.641

See:
4140 Preparing for Inspections
4150 Conducting Inspections
10120 Background Checks Requests
10121 Persons for Whom Operations Must Submit Requests for Background Checks

 

10720 Inactivating a Subject’s Role or Employment

February 2021

Operations must indicate when the background check subject is no longer associated with the operation. The operation must inactivate a subject’s role or employment status within seven calendar days after the subject is no longer associated with the operation. This includes when:

1. a subject leaves employment or a volunteer role;
2. a subject moves out of the operation;
3. a subject is no longer in a role that requires a background check;
4. a prospective employee or volunteer was not hired or affiliated with the operation; or
5. a subject is ineligible to be present at the operation.

If an operation has a Child Care Licensing account and is unable to access it, CBCU staff or the CCR monitoring inspector assigned to the operation may assist by inactivating the subject in CLASS.

26 TAC §745.651

 

 

10730 Validating the Employee List for an Operation

February 2021

Operations must validate the current list of persons associated with the operation:

1. listed family homes: once every year through the operation’s Child Care Licensing account or local CCR office;
2. licensed and registered child care homes: once every year through the operation’s Child Care Licensing account;
3. small employer or shelter care operations: once every year through the operation’s Child Care Licensing account or local CCR office; or
4. all other operations: once every three months through the operation’s Child Care Licensing account.

If an operation does not have access to its Child Care Licensing account and requests assistance from CCR, CBCU staff or the CCR monitoring inspector assigned to the operation may validate the operation’s People List in CLASS.

26 TAC §745.651

 

10740 Handling Court Orders

February 2021

Procedure

A court order may be in place that:

1. requires a child to remain in a placement where a barred person lives or is present; or
2. waives one or more background check requirements, such as a fingerprint check or risk evaluation.

If a court order is in place, the following steps are taken:

1. If the CCR monitoring inspector assigned to the operation learns about the court order through the operation, the CCR inspector informs the CBCU inspector assigned to the operation, and vice versa.
2. If the child is in DFPS conservatorship, the CCR monitoring 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 CBCU inspector documents the information in CLASS, as a comment in the Overall Background Check Comments section of the subject’s Background Check Results History page.
4. The CCR monitoring inspector informs the operation that the operation must obtain a written court order as soon as possible and forward a copy to the CCR monitoring inspector and to the CBCU inspector. The CCR monitoring 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 CCR monitoring inspector places the copy of the order in the operation’s hard copy file.

 

 

10750 When to Deny or Revoke a Permit Based on Criminal History or Child Abuse or Neglect History

February 2021

CCR must deny or revoke a permit when:

• the applicant or permit holder has a criminal history or child abuse or neglect history that makes the subject ineligible to be present at the operation while children are in care; or
• the applicant’s or permit holder’s spouse or any other subject is ineligible to be present at an operation and the applicant or permit holder refuses to or is unable to remove the subject from the operation.

For more information about who is ineligible to be present at an operation while children are in care, see 10200 Central Registry and Out-of-State Abuse and Neglect Background Checks, 10300 Criminal History Background Checks, 10380 Sex Offender Registry Check Results, and 10510.41 Determinations of Ineligible.

Procedure

CCR denies or revokes a permit if criminal history or child abuse or neglect history exists that would make any of the following subjects ineligible to be present at an operation:

1. applicant or permit holder; or
2. household member, including a spouse, in the applicant’s or permit holder’s home whom the applicant or permit holder is either unable to or refuses to remove from the home.

A subject is ineligible to be present in an operation if:

1. the subject’s background check request is closed because the subject did not:
   • complete any background check type; or
   • provide additional information; or
2. the subject has criminal history or child abuse or neglect history that:
   • is not eligible for a risk evaluation;
   • is eligible for a risk evaluation, but the background check subject does not request a risk evaluation; or
   • does not have an approved risk evaluation.

For more information regarding who is eligible for a risk evaluation, see 10410 When a Risk Evaluation is Required and 10411 Temporary Risk Evaluation. If the applicant or permit holder is a business entity, such as a corporation, there may be room for the subject with the criminal history or child abuse or neglect finding to leave the business entity without CCR revoking or denying the permit. However, if the subject with the criminal history or child abuse or neglect finding remains in charge of the business entity, then CCR takes adverse action against the permit. In such cases, the CCR monitoring inspector seeks advice from the Child Care Licensing Legal Enforcement Department.

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

26 TAC §§745.631; 745.8605

See:
3711 Denial Because of Background Information
7621 Criteria for Imposing a Denial
7624 Criteria for Imposing a Revocation