10100, Why CCR Conducts 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 §§42.05642.15942.206

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
  1. Communicating with providers and background check subjects in order to:
    1. answer questions related to decisions and actions taken on background checks;
    2. troubleshoot problems with submitting background checks online; or
    3. respond to any other inquiries related to background checks.
  2. Notifying the monitoring inspector when:
    1. CBCU staff identify any background check issues that involve serious risk to children;
    2. CBCU staff determine a provider is not meeting background check requirements;
    3. 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;
    4. the CBCU denies a risk evaluation for a permit holder or applicant; or
    5. CBCU rescinds or revises a risk evaluation.
  3. Notifying operations of eligibility determinations related to background check subjects.
  4. Notifying subjects of their eligibility determinations.
  5. Instructing and assisting subjects with obtaining background check results.
  6. Responding to any reported issues related to the Department of Public Safety’s (DPS’s) contracted fingerprinting service.
  7. Processing background check results.
  8. Reviewing and processing requests for risk evaluations.
  9. Reviewing eligibility determinations and risk evaluation decisions.
  10. 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.
  11. Offering and tracking due process requests from notifications sent by CBCU and notifying the Child Care Licensing Legal Enforcement Department of requests when received.
  12. Sustaining perpetrators in IMPACT when a designated perpetrator waives a due process hearing offered by CBCU.
  13. Making appropriate updates to background check pages in CLASS for active background checks when a designated perpetrator becomes a sustained perpetrator.
  14. Requesting preponderance reviews and tracking for completion.
  15. Assisting monitoring staff, as needed, with questions that arise when staff is reviewing background check results.
  1. Answering questions and providing technical assistance related to background check rules.
  2. Evaluating compliance with background check rules, including:
    1. verifying the correct background check types are submitted;
    2. verifying that background checks are completed within the required time frames for anyone required to have a background check;
    3. 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;
    4. 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.
    5. evaluating that the operation is adhering to any conditions placed on a subject’s presence at the operation during an inspection; and
    6. verifying that operations are validating their people list and updating employment statuses.
  3. Notifying CBCU staff when:
    1. regulatory decisions or enforcement actions are made that may affect pending background checks at an operation;
    2. an operation has been cited for not following conditions placed on a subject’s presence; or
    3. a subject has become a designated perpetrator as a result of a DFPS Child Care Investigation (CCI).
  4. 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 §§745.601745.607745.609745.611745.615

 

10112.1 Licensed Administrators

April 2022

Background check types required for licensed administrators and applicants for an administrator’s license include:

  • Central Registry;
  • Fingerprint-based criminal history; and
  • The following out-of-state checks if the licensed administrator or applicant lived out of Texas in the previous five years:
    • criminal history; 
    • abuse and neglect; and 
    • sex offender registries.

CBCU staff process background checks within three days of receiving results.

26 TAC §§745.775; 745.8933; 745.8934; 745.8993

See:

9640 Background Checks for an Administrator’s License

9700 Remedial Action on an Administrator’s License

10113 When Out-of-State Background Checks are Required

10113.1 When an Out-Of-State Criminal History Check Must Be Fingerprint Based

10226 Central Registry and Out of State Abuse or Neglect Results for Licensed Administrators 

10360 Criminal History Matches for Licensed Administrators

 

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 §§745.613745.615

 

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 §§745.607745.609

 

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 §§745.605745.617745.619745.621

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 §§42.05642.15942.206

26 TAC §§745.601745.605745.775745.8933745.8934745.8993749.3623(5)749.3633749.3637

 

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 §§744.1701744.1913746.1801(b)746.2115747.1901(b)747.2015748.3763749.3139745.601(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 §§749.2823749.2825

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

April 2022

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

10220 Determining if Additional Action is Needed for Central Registry Matches

Criminal History 10320 Acting on Results of a Criminal History Check

In addition, CBCU staff refer to 10130.3 Overriding Eligibility Determinations of Provisional for Certain Roles if the subject’s eligibility determination is provisional and the subject’s role is:

  • Director of an operation with a permit;
  • Owner/permit holder of an operation with a permit;
  • Adoptive parent in a home a CPA has approved for adoption;
  • Foster parent in a home a CPA has verified to provide foster care; or
  • Foster/adoptive parent in a home a CPA has verified to provide foster care and approved for adoption.

 

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 Overriding Eligibility Determinations of Provisional for Certain Roles

April 2022

The limitations imposed by the standard conditions for a provisional eligibility determination do not allow persons in the following roles to perform duties required by CCR statute, rules and minimum standards:

  • Director of an operation with a permit;
  • Owner/permit holder of an operation with a permit;
  • Adoptive parent in a home a CPA has approved for adoption;
  • Foster parent in a home a CPA has verified to provide foster care; or
  • Foster/adoptive parent in a home a CPA has verified to provide foster care and approved for adoption.

When CBCU receives new or updated results for a person who is in one of these roles and whose background check eligibility determination is provisional, CBCU overrides the eligibility determination with one of the following eligibility determinations, as outlined below:

  • If risk to children mitigated without CCR imposing conditions on the subject’s presence at the operation, change the eligibility determination to eligible;
  • If risk to children can only be mitigated by CCR imposing conditions on the subject’s presence, change the eligibility determination to conditional and impose conditions that are designed to protect the health and safety of children and allow the subject to perform their required duties; or
  • If risk to children cannot be mitigated by CCR imposing conditions on the subject’s presence, change the eligibility determination to ineligible.

This decision to override standard provisional conditions is temporary, and CBCU may re-evaluate the decision at any time. The final decision on the subject’s eligibility determination is pending the final outcome of the:

  • alleged crime (i.e., charges never filed, dismissal, conviction or acquittal);
  • open investigation of abuse or neglect; or 
  • due process for the Central Registry result. 

Until a final outcome is determined, CBCU staff review provisional eligibility determination override decisions when any of the following occur:

  • CBCU receives updates for criminal history through the subject’s rap back subscription or the subject provides additional information (see 10611 Eligibility Determination Reviews);
  • CBCU receives additional information for a Central Registry result;
  • CBCU receives updates to due process actions for Central Registry results (see 10270 Due Process Hearing Results); or
  • the operation submits a renewal background check.

See 10510 Types of Eligibility Determinations

Procedure

When determining how to override the provisional eligibility determination of a person whose role is director, owner/permit holder, foster parent, adoptive parent or foster/adoptive parent, CBCU staff and a CBCU manager: 

  • review all background check history, including new and updated results; 
  • review the history of the subject’s association with the operation;
  • review the operation’s compliance history to determine changes needed to the background check eligibility determination; 
  • consult the applicable Criminal History Chart, if the new or updated background check results are related to criminal history; and
  • consult with the CCR monitoring inspector, supervisor and program administrator, if additional information or clarification is needed about the operation or subject. 

Documentation and Notifications 

CBCU staff take the following steps:

  1. summarize the consultations, information considered and decision as comments in the Information Specific to this Result section in CLASS;
  2. process the change to the eligibility determination and any conditions as a risk evaluation decision according to 10430 Making a Risk Evaluation Decision;
  3. send revised notifications with the updated eligibility determination to the background check subject and operation; and
  4. email the CCR monitoring inspector advising of the override decision when the subject’s role is owner/permit holder or director.