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Criminal Background
Check Process
Who MUST have a
criminal background check clearance?
Staff, volunteers
(with some exceptions), and employees who have contact with residents
must have a criminal background check clearance prior to initial
presence in the facility.
The following are not required to obtain a background check:
-
Residents of
unlicensed senior housing that are in the same building or on the
same property of an RCFE.
-
Spouse,
significant other, relative or close friend of the resident as long
as the person is visiting or providing direct care and supervision
to that resident only.
-
Volunteers
under the following conditions:
-
Only at the
facility during normal waking hours;
-
Directly
supervised by the licensee or an employee with a clearance or
exemption;
-
Spends no more
than 16 hours per week at the facility;
-
Does not
provide clients with any assistance dressing, grooming, bathing, or
personal hygiene.
-
Third-party
contractor retained by the facility if the contractor is never left
alone with residents (includes repairpersons).
-
Third-party
contractor or other business professional retained by a client and
at the facility at the request or by permission of that client,
including insurance agents, tax preparers, or financial planners.
These individual shall not be left alone with other residents.
-
Licensed or
certified medical professionals, unless they’re a licensee or RCFE
employee.
-
Employees of
licensed home health agencies and members of licensed hospice
interdisciplinary teams who have contact with a resident at the
request of the resident or resident’s legal decisionmaker. However,
these individuals are not exempt from the background check
requirement if a person is a community care licensee, or an employee
of the facility.
-
Clergy and
other spiritual caregivers who are performing services in common
areas of the facility, or who are counseling an individual resident
at the request of or with the permission of the resident.
Nothing in the law
prevents a licensee from requiring any background check exempt person
from obtaining a background check provided the person has contact with
residents.
The Background Check Process
When an individual submits fingerprints, the California Department of
Justice (DOJ) conducts a background check. If the individual has no
criminal history, DOJ will forward a clearance notice to the applicant
or licensee and to CCLD, Caregiver Background Check Bureau (CBCB). If
the individual has a criminal history, DOJ will send a criminal record
transcript to CBCB. The transcript will show arrests and convictions.
CBCB staff will review the transcript and if the convictions are for
crimes that may be exempted, CBCB will send an exemption notification
letter to the applicant or licensee. The letter explains how to request
an exemption and lists the documents/information that must be submitted
to request an exemption. The individual may not be present in the
facility until an exemption is granted by CBCB.
DOJ estimates that 96% of responses indicating either no criminal record
or evidence of criminal record are being electronically returned to CCLD
within three business days. Even with electronic response, delays may
occur for a number of reasons: missing court information; applicant born
prior to 1945 requiring a manual file search; and missing or incorrect
data submitted with the fingerprints; among other things.
Getting Fingerprinted
-
Locate the
Sylvan Identix Live Scan site nearest you and schedule an
appointment by calling 800-315-4507. Same or next day appointment
should be available at most locations. If you use a site other than
Sylvan (local police or sheriff station, department of education
office, etc.) scheduling may be more challenging.
-
If a Sylvan
Identix site is not nearby, use a DOJ site. To find the nearest
location, visit the DOJ website at http://caag.state.ca.us/fingerprints/index.htm,
call 916-227-3332 or ask the Sylvan Identix staff. DOJ sites are
typically located in local police stations. If you’re using a DOJ
Live Scan site, take extra care to ensure that your facility’s
six-digit identification number is correctly imputed. An incorrectly
coded scan will delay the clearance. Hint: You may want to make a
personalized master copy of the “Request for Live Scan Service Form”
by completing everything except applicant (potential employee)
information. This may help reduce errors.
-
If Sylvan
Identix or DOJ Live Scan is not practical, manual ink rolling on
fingerprint cards (FD 258) is still allowed, but results in the
longest response time. There is a 25 percent rejection rate for
“hard cards” due primarily to poor print quality.
Finding Out
About the Clearance
Go to the DSS website.... to check for clearances. This site is updated
daily and is the fastest and easiest way to stay informed. However, the
site does not give information on the status of background checks in
process or if there is a criminal record. It only identifies those who
have come back “cleared.”
Exemptions
If DSS finds that an individual has been convicted of a crime other than
a minor traffic violation, the individual cannot work or be present in
any community care facility unless they request a criminal record
exemption from CBCB. Simply defined, an exemption is a DSS authorized
written document that “exempts” the individual from the requirement of
having a criminal record clearance. CBCB also examines arrest records to
determine if there is a possible danger to clients (Health & Safety Code
sections 1522, 1568.08, 1569.17, and 1596.871).
To request an exemption the individual must submit:
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A description
of the capacity in which the individual will be associated with the
licensed facility.
-
A written
request from the licensee/applicant on behalf of the individual.
-
A written
request from the affected individual on his/her own behalf if the
licensee chooses not to request an exemption and terminates the
individual from employment.
-
A copy of the
signed Criminal Record Statement (LIC-508) that was completed at the
time of hire.
-
A written
statement signed by the individual describing the events surrounding
each conviction including the approximate date, what happened, why
it happened, and any other information he/she feels is important
about the crime.
The individual
shall also address what he/she has done or how his/her life has changed
to prevent him/her from committing this type of offense again.
Documentation such
as a Minute Order, Judgment of Conviction or a letter from the Probation
Officer that the individual’s current or last period of probation is/was
informal.
Verification of any
training, educational classes, therapy, counseling sessions or other
supporting information such as a Certificate of Rehabilitation.
Three signed
character reference statements including the telephone number and
address of the person writing the reference. Character references must
be current and cannot be from the individual’s relatives or family
members or from employees associated with the licensed facility. The
character reference letters must be dated. References must be on a
reference statement form (LIC 301E).
The individual’s
current mailing address and telephone number.
What Convictions
Require an Exemption?
All convictions other than minor traffic violations, including
misdemeanors, felonies and convictions that occurred a long time ago
require an exemption. However, individuals convicted of serious crimes
such as robbery, sexual battery, child abuse, elder or dependent adult
abuse, rape, arson or kidnapping are not eligible for an exemption. For
a complete list of crimes for which the Department is prohibited from
granting an exemption, go to
www.ccld.ca.gov/docs/exemption.htm
CCLD Role in
Exemptions
When an applicant or licensee receives an exemption notification letter
from CBCB concerning an employee, volunteer or adult resident, he/she
must decide whether to request the exemption for that individual. If an
exemption is desired, the licensee must assist the individual by mailing
all exemption documentation to CBCB. If the licensee does not wish to
pursue the exemption, and subsequently terminates the employee or
removes the non-client adult resident, the licensee must give that
person the “Individual Exemption Request” included with the notification
letter. This document allows the individual to request an exemption on
his/her own behalf. A person seeking an individual exemption may not be
present in any community care facility until an exemption is approved by
CBCB.
Deadline for Exemptions
All requested exemption documents must be received by CBCB no later than
45 days from the date of the exemption notification letter. If
documentation is not received by the deadline, the case will be closed.
If an exemption is requested, it will take at least 75 days to process.
Notification of Decision
The applicant or licensee seeking the exemption will be notified in
writing of CBCB’s decision. With individual exemption requests, the
individual seeking the exemption will be notified.
Right to Appeal
If an exemption is denied, the individual may request an appeal in
writing. The appeal must be received by the DSS no later than 15 days
from the date of the denial notification letter. Appeals received after
the deadline will not be considered.
Transferring an Exemption
With the approval of CBCB, an exemption may be transferred to a similar
community care facility. A facility seeking an exemption transfer must
submit the following requirements to CBCB:
-
Form LIC 9188
(Criminal Record Exemption Transfer Request);
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Form LIC 508
(Criminal Record Statement) with a written explanation of all
convictions;
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A copy of a
valid California driver’s license or valid photo ID;
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A duty
statement or job description.
Problems?
The most common
complaint is the time it takes to get a clearance or notice of a
criminal record. There are several things that can slow down the
process...
-
missing or
inaccurate facility number;
-
prints that
can’t be read (DOJ has 14 days to notify applicant if this is the
case);
-
court records
that need to be located and/or reviewed by DOJ; and
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applicant born
prior to 1945 requiring a manual file search.
If you’re
experiencing a delay, call your LPA first (after checking the CCLD
website for the most recent clearance notices). If you’re experiencing
delays and your LPA doesn’t have information for you, that means the
slow-down is on the DOJ side. In these cases, call Heather at CALA and
she’ll put you in touch with the appropriate DOJ staffer.
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