DFCS Online Policies & Procedures

  DFCS Online Policies & Procedures

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Handbook 7: Relative Home Approvals
7-15 Subsequent Arrest Notifications and Arrest-Only Investigations on Initial Approvals
Relative Home Approvals
7-15 Subsequent Arrest Notifications and Arrest-Only Investigations on Initial Approvals

Reference Points

Overview
When a Sub Arrest Notification is Received
Determining the Need for an Investigation for an Arrest Only /Sub Arrest Charge
Confirming the Disposition of an Arrest Only/Sub Arrest Charge
Conducting an Investigation
Procedures Following the Investigation
Other References


Reference Points
Effective Date: TBA
Last Updated: 4/24/08
 Legal Basis:
PDF Community Care Licensing (CCL) Evaluator Manual- Background Checks
Popup Window All County Letter (ACL) 07-37: Release of Criminal Offender Record information (CORI) Search Response
 Non CWS/CMS Forms:
MS Word

Denial of Caregiver Home Approval (SCZ 200Q)

 CWS/CMS Forms:
bullet Approval of Family Caregiver Home (SOC 815)


Overview  

If the prospective caregiver or any other individual needing criminal record clearance is found to have a record of an arrest, for which there is no disposition, the social worker may have a duty to investigate the circumstances of the arrest.  This applies to both initial home approvals and subsequent arrests notification received by the social worker after the home has been approved.   Investigation requirements and procedures outlined below are based on regulations found in the California State Community Care Licensing Evaluator Manual.

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When a Sub Arrest Notification is Received  

Subsequent arrest notification, more commonly referred to as “sub arrest” or “rap back”, is a service for which the Department of Family and Children's Services (DFCS) contracts with the California Department of Justice (DOJ). This service insures that DFCS is notified, if a person who has been Live Scan fingerprinted is subsequently arrested in California. The Department must have subsequent arrest notification service for all out-of-home care providers, including all relatives and non-relative extended family members (NREFMs) and any other adults needing clearance for approval of the relative or NREFM home.

The sub arrest notification specifies the violation, but usually will not indicate the disposition.  Therefore, the social worker:

  • Completes an investigation to obtain information regarding the arrest and subsequent disposition. 
  • If no disposition has been reached, determines if the facts underlying the arrest justify an administration action. 
  • Makes a recommendation, based on the investigation, as to whether a subject will be allowed to remain in the relative/NREFM home after the completion of the investigation.

An individual cannot be required to move from the home during the arrest-only investigation. 

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Determining the Need for an Investigation for an Arrest Only /Sub Arrest Charge  

Upon receipt of a criminal history record with arrest-only information (no disposition) or when receiving notification of a subsequent arrest of an individual who has been previously Live Scanned, the social worker:

  • Reviews the criminal history record.
  • Determines the crime type of each arrest.

 

If..

then..

The arrest is for a crime on the Non Exemptible crimes list (CCL 7-2100)

 

 

The arrest must be investigated.

The investigation must proceed even if there is found to be a disposition that includes:

  • Complainant Refused Prosecution
  • Bail Exonerated
  • All Juvenile arrest-only entries including those where the minor was released to the parent or guardian
  • Acquitted or Not Guilty 
  • The arrest is for a crime on the Exemptible Felony/Violent Misdemeanor crimes list (CCL 7-2125)
 

and

  • The arrest is over 5-years-old with a disposition other than conviction

A clearance may be issued without an investigation, if the rap sheet does not reflect a pattern of violent multiple arrest and there is no pending Administrative Action.

  • The arrest is for a crime on the Exemptible Felony/Violent Misdemeanor crimes list
 

and

  • The arrest is less than 5-years-old without a disposition

The arrest may be investigated.

 

The investigation may proceed even if there is found to be a disposition that includes:

  • Complainant Refused Prosecution
  • Bail Exonerated
  • All Juvenile arrest only entries including those where the minor was released to the parent or guardian
  • Acquitted or Not Guilty
Non-Violent Misdemeanor or Infraction (CCL 7-2150)
The arrest may be investigated.

The arrest is for a crime for which the social worker believes that an investigation is warranted

The arrest may be investigated.

 

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Confirming the Disposition of an Arrest Only/Sub Arrest Charge  

If the social worker determines that an investigation must be conducted on an arrest-only or sub arrest, the social worker:

  • Establishes whether a disposition may have actually occurred by contacting the court of the arresting agency in the county in which the person was arrested.
    • In Santa Clara County, call (408) 808-6600 the Criminal Main Number at the Hall of Justice and inquire as to whether there is a disposition on the arrest.
  • Follows the procedure that applies as outlined in the charts below.
    • Requirements for notification of investigation, investigation/no investigation, and denial of approval vary depending upon the nature of the crime.

 

If, upon investigation, the disposition for an arrest for..

 

is found to be..

 

then ..

any type of crime

Released/Detention only/849(B) Penal Code or

Finding of Factual Innocence or

Infraction

The arrest is not to be investigated.

 

Non-Exemptible Crime

If, upon investigation, the disposition for an arrest for a..

 

 

is found to be..

 

 

then the social worker..

Non-Exemptible

crime (CCL 7-2100)

Conviction   

  • Sends a Letter of Denial of Application to the caregiver and
  • Sends a Letter of Denial to the other household member, if another household member was charged with the crime.

Non-Exemptible

crime

Diversion

Refers to CCL Manual 7-1540.

There are at least seven different Diversion Programs that are processed differently. 

Non-Exemptible

crime

No Conviction
  • If the subject of the arrest is the caregiver:
    • Notify the caregiver, informing the caregiver that an investigation is being conducted.

     

  • If the subject is another adult in the caregiver’s home:
    • Notify the subject informing him/her that an investigation is being conducted.
     
    • Notify the caregiver, informing the caregiver that an investigation is being conducted regarding the adult member of the household.
     
    • If, the subject of the arrest responds that he/she does not want the investigation to continue:
      • Close the investigation.
      • Notify the prospective caregiver that the home cannot be approved.

 

Exemptible Felony or Violent Misdemeanor

If, upon investigation, the disposition for an arrest for an..

 

 

is found to be..

 

 

then the social worker..

Exemptible Felony or Violent Misdemeanor (CCL 7-2125)

Conviction

Process an exemption.

Exemptible Felony or Violent Misdemeanor

Diversion

Refers to CCL Manual 7-1540.

There are at least seven different Diversion Programs that are processed differently. 

Exemptible Felony or Violent Misdemeanor

No Conviction

  • If the subject of the arrest is the caregiver:
    • Notify the caregiver,  informing the caregiver that an investigation is being conducted
  • If the subject is another adult in the caregivers’s home:
    • Notify the subject informing him/her that an investigation is being conducted.

    If, the subject responds that he/she does not want the investigation to continue:

    • Close the investigation.
    • Notify the prospective caregiver that the home cannot be approved.

 

Non Violent Misdemeanor or Infraction

If, upon investigation, the disposition for an arrest for a..

 

 

 

is found to be..

 

 

 

then the social worker..

Non Violent Misdemeanor or

Infraction

(CCL 7-2150)

Conviction

Processes an exemption.

Non Violent Misdemeanor or

Infraction

Diversion

Refers to CCL Manual 7-1540.

There are at least seven different Diversion Programs that are processed differently. 

Non Violent Misdemeanor or

Infraction

No Conviction

  • Updates the file.
  • Proceeds with the home approval.
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Conducting an Investigation on an Arrest Only or Sub-Arrest  

After it is determined that an investigation is warranted on an arrest-only charge or sub arrest notification, the social worker determines if the individual continues to reside in the home or have significant contact with the child.  For a sub arrest notification, the notification may be received several years after the initial home approval, and the individual's circumstances may be different. 

  • If the individual no longer resides in the home and does not continue to have significant contact with the child, no further action is needed.  
  • If the individual continues to reside in the home or continues to have significant contact with the child, the social worker proceeds with an investigation.

 

To conduct an investigation regarding an arrest only or a subsequent arrest of an individual living in the home with the minor or having ongoing contact with the minor, the social worker:

  • Obtains a copy of the arrest report and evaluates the person's role in the crime.
    • Individuals frequently make statements to the police that are documented in the arrest reports.
  • Evaluates the individual's role in the crime.
  • If necessary, obtains a copy of the person's Department of Motor Vehicle (DMV) record.
  • Interviews the individual for additional information or asks the subject to provide the disposition and arrest information.

  • Writes all notes regarding contacts and telephone calls on an SC 909.
    • Do not document the investigation in CWS/CMS Contact Notes.
  •  
  • Places all arrest-only investigation documents in an enveloped marked “Confidential.”
    • All arrest-only investigation documents are confidential.
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Procedures Following the Investigation  

Following the investigation for the arrest charge, the social worker:

  • Prepares a Memorandum to the social work supervisor and Social Services Program Manager (SSPM) summarizing all findings and making a recommendation concerning the inclusion of the person in or the exclusion of the person from the placement.
  • Based upon the decision by the SSPM, takes any necessary immediate action in regards to the child's placement.
  • Sends separate letters concurrently to the caregiver and person who was arrested to inform them of the Department's decision about the person's presence in the child's placement.
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Other References  
bullet2 OPP Chapter 7-13: Director's Exemption
MS Word All DFCS Staff Memo dated 5/27/04
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