DFCS Online Policies & Procedures

  DFCS Online Policies & Procedures

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Handbook 7: Relative Home Approvals
7-11  Live Scan Fingerprinting for Relative Home Approvals
Relative Home Approvals
7-11  Live Scan Fingerprinting for Relative Home Approvals
Reference Points
Overview
Combined CLETS/Live Scan Referral Form
Referrals to Live Scan Fingerprinting
Documenting That Live Scan Was Initiated
Out-of-County Live Scan
Results of Live Scan
If Sub Arrest Notification is Not Activated
Delayed Results From Live Scan
Rejected Live Scan Fingerprints
Fingerprinting Procedures for Homebound Adults
Documenting the Results of Live Scan
No Longer Interested Notification
Retention of Criminal Records
Other References


Reference Points
Effective Date: 5/1/07
Last Updated: 1/17/12
 Legal Basis:
Popup Window Welfare and Institutions Code (WIC) § 16504.5(b)
Popup Window Community Care Licensing (CCL)Evaluator Manual - Background Checks
Popup Window CDSS All County Letter (ACL) 08-46: AB 2651 (CHAPTER 701, STATUTES OF 2008) Federal Non-exemptible and Federal Five-Year-Ban Criminal Convictions
PDF ACL 03-55: Retention and Storage of Criminal Background and Child Abuse Central Index Clearance Results
 Non CWS/CMS Forms:
MS Word Sheriff's Dept. Criminal Record Check Request (CLETS) - Combined SCZ 686A-SCZ152 for Caregivers and Volunteers
PDF No Longer Interested Notification


Overview  

Live Scan fingerprint results are required for all out-of-home caregivers, including relatives and non-relative extended family members (NREFMs), prior to approval of the home. Documentation that the individuals were referred to fingerprinting and of the resulting information is necessary to comply with Federal and State requirements. Through Live Scan fingerprinting, the social worker receives the results of both criminal and child abuse referral background checks.

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Combined CLETS/Live Scan Referral Form  

To assure that every individual for whom a CLETS record check is requested submits to Live Scan fingerprinting within ten (10) days of the CLETS request, the CLETS request has been combined with the Live Scan Referral form.  The Live Scan Referral form must accompany the CLETS request, or the Assessment Center staff will not process the CLETS request. 

The combined form Sheriff's Dept. Criminal Record Check Request (CLETS) - Combined SCZ 686A-SCZ152 for Caregivers and Volunteers is used when submitting a CLETS request to the Assessment Center for:

  • A caregiver (primary applicant)
  • Any adult residing in the caregiver's home (additional adult)
  • Any adult known to the social worker to have significant contact with the child, including any person who has a familial or intimate relationship with any person liven in the home (additional adult)
  • Any person between the age of 14-18 living in the home who the social worker believes may have a criminal record
  • A respite care provider (additional adult)
  • A person applying to do volunteer work for the Department

The Assessment Center:

  • Submits the CLETS request to the Sheriff's Department.
  • Files the Live Scan Referral (SCZ152) so that it is available, if the individual goes to the Assessment Center for Live Scan fingerprinting.
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Referrals to Live Scan Fingerprinting in Santa Clara County  

The social worker is responsible for ensuring that the individual has made the appointment for Live Scan fingerprinting and for documenting that the individual actually completed to Live Scan fingerprinting. To schedule and complete Live Scan for purposes of a relative or NREFM home approval, the social worker:

  • Completes a Live Scan Referral (SCZ 152) for each :
    • Caregiver (primary)
    • Adult living in the relative or NREFM household
    • For placement purposes, person having significant contact with the child outside of a professional role (for placement purposes
    • Respite care provider
     
  • Makes a copy of the Live Scan Referral for the case file.
  • Gives the original of the Live Scan Referral to the person to be fingerprinted.
  • Schedules the Live Scan appointment or ensures that the individual schedules an appointment.
    • Welfare and Institutions Code (WIC) § 16504.5(b) requires that that Live Scan fingerprinting be initiated by the Department, within ten (10) judicial days of a California Law Enforcement Telecommunications System (CLETS) check, unless the whereabouts of the subject of the check are unknown or the subject of the check refuses to submit to the fingerprint check.
    • Live Scan is considered initiated when the adult has submitted to finger printing.  

  • Instructs the individual to take the Live Scan Referral to the Live Scan appointment.

If the Live Scan is done at a DFCS facility, the DFCS Live Scan staff:

  • Completes the Request for Live Scan Services form (BCII 8016) by writing “Subarrest Relative” as the record check category on the form.
  • Checks both boxes for “Level of Service" (DOJ and FBI).

If the Live Scan is scheduled at a Sheriff's Office, the individual first calls one of the DFCS locations for a Request for Live Scan Services form to present to the Sheriff Department's staff, along with the Live Scan Referral, at the time of the Live Scan appointment.

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Documenting That Live Scan Was Initiated  

Social workers are required to document that Live Scan fingerprinting is initiated by submission of fingerprints within ten (10) judicial days of the CLETS record check for every individual checked through CLETS. The ten judicial days start from the date the Sheriff's Department sends the CLETS results to DFCS. The SCZ 152 serves as document ion of the social worker's compliance with this requirement.

If the individual does not submit to fingerprinting within the ten day time frame, the social worker verifies that:

  • The adult no longer resides in the home or
  • The child is removed from the home.
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Out-of-County Live Scan  

For relatives, NREFMs and any other adult needing clearance for the home approval who lives in a California county other than Santa Clara County, the social worker:

  • Completes a Live Scan Referral (SCZ 152) for each:
    • Caregiver (primary)
    • Adult living in the relative or NREFM household
    • For placement purposes, person having significant contact with the child outside of a professional role (for placement purposes
    • Respite care provider

  • Makes a copy of the Live Scan Referral for the case file.
  • Gives the original of the Live Scan Referral to the person to be fingerprinted.
  • Instructs the individual to take the referral to the Live Scan appointment.
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Results of Live Scan  

Within 72 hours of Live Scan fingerprinting, excluding weekends and holidays, the social worker receives results from the:

    • Department of Justice (DOJ) - California Bureau of Identification and Information (BCII) regarding any criminal history in the state of California.
    • FBI regarding any criminal history involving federal laws.
    • Department of Justice (DOJ) Child Abuse Central Index (CACI) regarding any child abuse referral history.


Convictions for Non-Exemptible Crimes

The results of a criminal record check must be reviewed to determine if there is a history of criminal convictions.  If there is a conviction, a further determination must be made as to whether the conviction is for an exemptible crime or for a non-exemptible crime under state and federal criteria. 

The social worker:

If.. then..

the crime is on the state

non-exemptible crimes list

it is non-exemptible, and the home cannot be approved.

the crime is not on the state non-exemptible crimes list

determine if it is a felony conviction.

If.. then..
it is a felony  conviction

Determine if the felony crime is a federal non-exemptible crime or a federal five year ban crime by reviewing the federal non-exemptible crimes lists.

(Continue with procedures in the following chart.)

it is not a felony conviction proceed with the Director's Exemption process.

If.. then..

the crime is not on the federal non-exemptible or a federal five year ban crime list

proceed with the Director's Exemption process.
the crime is on the federal non-exemptible or a federal five year ban crime list

the home may not be exempted.*

*This law applies to:

  • Relatives and NREFMs applying for home approvals after Oct. 1, 2008 and to all other adults who reside in the home.
  • Individuals who move into approved homes after Oct. 1, 2008
  • Individuals who are found after Oct. 1, 2008 to have significant contact with a child who is placed in an approved home.
  • Consults with County Counsel if there are questions.
                        If the the individual's criminal conviction may not be exempted, the home cannot be approved while the individual resides in the home.  An individual may appeal the determination that the crime for which he or she has been convicted meets the statutory language for a state or federal non-exemptible crime or federal five year ban crime.

See OPP Chapter 7-9: Relative Home Approval Grievance Procedures.  

If an individual is found to have any misdemeanor or felony convictions for crimes that are exemptible, a Simplified Exemption or Director's Exemption must be signed, before the home can be approved and the child placed in the home.



Criminal Charges with No Disposition

If the Live Scan results indicate that an individual has an arrest charge and there is no disposition, the social worker must determine if an investigation of the arrest is needed.  Refer to OPP Chapter 7-15: Subsequent Arrest Notifications and Arrest-Only Investigations on Initial Approvals for complete procedures for arrest only charges.

On the DOJ criminal history document, near the bottom of the document is a statement that indicates either that the Department will or will not receive subsequent arrest notification from the DOJ.  Click here for examples of the statement on the DOJ document.  Subsequent arrest notification must be activated in order to approve the home.  See the following section for procedures if subsequent arrest notification has not been activated.

Based on policy and procedures approved by the Department of Justice, the social worker may discuss all convictions noted on the DOJ criminal record with the subject.  It is not necessary to obtain a Judgment of Conviction prior to this discussion. It is also permissible to show the DOJ criminal record to the subject.  If the subject is an adult living in the home, the subject's criminal shall not be shown to the prospective caregiver.  If the subject is the caregiver, the caregiver's criminal record shall not be shown to his or her spouse.  (CCL Manual 7-1500)

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If Sub Arrest Notification is Not Activated  

If the statement on the DOJ Applicant Clearance indicates that the Department will not receive subsequent arrest notification, the social worker:

  • Arranges with the applicant to undergo Live Scan fingerprinting, again
  • Creates a new Approval of Family Home (SOC815) showing:
    • The new date for the Live Scan Appointment in the third column on page 3 of the SOC815 Criminal Background Checks.  
    • The new date of the DOJ RAP-back requested (column 11), which is the same date as the Live Scan Appointment date.
      • All other dates on the Criminal Background Checks page remain the same.
  • Submits a copy of the SOC815 to the Placement Tracking Team (PTT) for data input and for the PTT to forward to the eligibility worker.
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Delayed Results From Live Scan  

If the results cannot be accessed immediately by the DOJ or FBI, a notation will appear at the bottom of the results document, indicating the delay. A delay notification may occur when:

  • There is a criminal record, which may include an arrest that resulted in dismissal of charges, including orders into diversion programs.
  • A person has no criminal record but, previously, had a criminal record check for purpose such as employment or day care licensing.
  • Other circumstances requiring manual investigation by the DOJ or FBI.

The social worker must wait until the actual results are received before approving the home or documenting the response on the SOC 815.  The date of the delay notification is not documented.

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Rejected Live Scan Fingerprints  

Occasionally, Live Scan fingerprints submitted by a client will not be able to be processed for various reasons. When a social worker receives notification that the first set of Live Scan fingerprints have been rejected for a client, the social worker must notify the client that the client must make an appointment to submit to another Live Scan fingerprinting. If the second set of Live Scan fingerprints are rejected, a background check can proceed by using just the client's name and other identifying information. If the second rejection is by the Department of Justice (DOJ), DOJ automatically does the check, based on the person’s name, date of birth, and Social Security number.  If the second rejection is by the FBI, clerical staff fills out the request for name check and sends it in.  In the case of the FBI name check, it can take approximately 75 working days to get the results.   Clerical staff will make sure that the rejections are on file and will track and receive the name check results.

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Fingerprinting Procedures for Homebound Adults  

In the case of homebound adult household members of prospective relative and NREFM placement homes, manual fingerprinting can be completed.  The social worker contacts Melissa Ke at 975-5120 to schedule a home visit by clerical staff who completes manual fingerprinting of the homebound person.  The social worker transports and accompanies the clerical staff person on the home visit.  Results of manual fingerprinting are processed slower than electronic prints; results are usually received within three to four weeks.

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Documenting the Results  

The social worker enters the results of the Live Scan fingerprinting on the CWS/CMS Approval of Family Home (SOC815), page 3, titled Criminal Background Checks.   Information is entered as follows:

  • Box 3 -  Date the Live Scan appointment is made (not scheduled).
  • Box 4 -  Date the social worker receives the DOJ (CBII) Live Scan response.
  • Box 6 -  Date the person was actually fingerprinted via Live Scan.
  • Box 7 -  Date the social worker receives the FBI response.
  • Box 11 - Date the person was actually fingerprinted via Live Scan.
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No Longer Interested Notification  

Under the California Penal Code, any agency that submits fingerprints related to approval of a relative or non-relative extended family member for the purpose of establishing a record to receive subsequent arrest notification service must immediately notify the Department of Justice (DOJ) when the approval of the caregiver's home is terminated. Termination of a caregiver home occurs when a child returns home, the placement ends, the child turns 18 or the child's case is closed following the establishment of guardianship or adoption. When terminating placement  in a caregiver's home, the social worker:

  • Notifies the DOJ by mailing or faxing a No Longer Interested Notification form to the DOJ at the address found on the bottom of the form.
  • Places a copy of the form in the child's case file.
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Retention of Criminal Record Checks  

Criminal background records obtained on relatives, NREFMs and adults needing criminal record clearance for approval and placement of a child in a relative or NREFM home are to be retained for at least three years, after the home is no longer used as a placement for a child. Therefore, all criminal record checks are left in the case file when the relative or NREFM placement ends, such as when the child's case is closed or when the child moves to another placement. This includes CLETS and Live Scan results.

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Other References  
doc STEPS for Live Scan Fingerprinting in Santa Clara County
doc STEPS for Live Scan in Counties other than Santa Clara County for Relatives & NREFMs
Popup Window California Applicant Live Scan Fingerprint Services Location & Hours of Operation
PDF List of State non-exemptible crimes
PDF List of Federal non-exemptible crimes
Popup Window Agency Memorandum #08-30: Federal Non-Exemptible Crimes
bullet2 OPP Chapter 7-15: Subsequent Arrest Notifications and Arrest-Only Investigations on Initial Approvals
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