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 §§745.621745.635745.641

 

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 §§745.621745.635745.641

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 §§745.631745.8605

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