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Comprehensive BackgroundCheck RequirementsCCDBG Act Background Check RequirementsRevised: 10/20/2021
Background Check Requirement HighlightsApplicability of Rules State, territorial and Tribal Lead AgenciesLicensed, regulated, and registeredproviders*CCDF providers*Current and prospective staff members* Including those employed before Nov. 19,2014 (date of enactment)*Except those related to all children in care.Individuals Subject to BackgroundChecks Those employed by a provider forcompensationContracted employees and self-employedThose who care for, supervise, or haveunsupervised access to children in careAdults living in a family child care homeRequired National and State-based Background ChecksNational FBIFingerprintCriminal HistoryCheckIn-StateCriminal HistoryCheckNCIC NationalSex OffenderRegistry CheckIn-State SexOffenderRegistry CheckIn-State ChildAbuse andNeglect RegistryCheckFingerprintRequired: FBI Check In-StateCriminalFingerprintOptional: In-StateSOR Out-ofState SOR Out-ofStateCriminalName Based: NCIC NSOR All CANChecksState CriminalHistory CheckState SexOffenderRegistry CheckState ChildAbuse andNeglect RegistryCheckThe FBI fingerprint check isnational, why doesn’t itcover the out-of-statebackground checkrequirements?Only offenses/records witha valid fingerprint make itinto the national FBIdatabase.Checking the individualState records helpsmitigate gaps between theState and FBI records.Background checks are required prior to employment and at least every five years.Background checks should meet a standard 45-day or less turnaround time.Individuals may start work once the FBI or state fingerprint check is returned as satisfactory,but must be continually supervised until a determination is made on all checks.Revised: 02/27/20192
Background Check RequirementsThe background check requirements are brokeninto three primary categories: National This refers to national checks that must beconducted in addition to the state-based checks There are TWO required national checks In-stateNational backgroundchecks:In-state backgroundchecks:Inter-state backgroundchecks:1. National FBI criminalhistory check, withfingerprint3. In-state criminalhistory check, withfingerprint6. Inter-state criminalhistory check2. NCIC National sexoffender registry (NSOR)check4. In-state sex offenderregistry check7. Inter-state sexoffender registry check5. In-state child abuseand neglect registrycheck8. Inter-state child abuseand neglect registrycheck This refers to the current state of residence of theindividual or prospective individual There are THREE required in-state checks Inter-state (or out-of-state) This refers to any and all states where the individualor prospective individual has resided within theprevious 5 years There are THREE required inter-state checksNAAll five of these checks must be performedfor all designated individualsAll three of these checksmust also be performed foreach additional state wherethe individual has residedwithin five yearsAll checks must meet a 45-day or less turnaround time3
Background Check RequirementsThree primary categoriesNationalIn-state1. National FBI criminal history check, 3. In-state criminal history check,with fingerprintwith fingerprintInter-state6. Inter-state criminal history check2. NCIC National sex offender registry 4. In-state sex offender registry check 7. Inter-state sex offender registry(NSOR) checkcheckNA5. In-state child abuse and neglectregistry checkAll five of these checks must be performedfor all designated individuals8. Inter-state child abuse and neglectregistry checkAll three of these checks must alsobe performed for each additionalstate where the individual hasresided within five yearsAll checks must meet a 45-day or less turnaround time4
Background Check Requirements (cont’d)1National FBI Criminal History CheckThe national FBI criminal history check is the first of two national checks thatmust be completed, in addition to the three in-state (state-based) checksIt is required that this check becompleted with the use of afingerprintThis national check does notcover the in-state or inter-statecriminal history check becausethere could be state crimesthat don’t appear in thenational repositoryREQUIRED5
Background Check Requirements (cont’d)2NCIC National Sex Offender Registry (NSOR)The NCIC NSOR check is the second of two national checks that must becompleted, in addition to the three in-state (state-based) checks.This is a namebased searchMust beperformed by lawenforcementThis national checkdoes not cover thein-state or interstate sex offenderregistry checkrequirementsSearching generalpublic facing sexoffender registriesdoes not satisfy thisrequirement6
Background Check Requirements (cont’d)3In-state Criminal History CheckThe in-state criminal history check is the first of three in-state, state-based checksthat must be completed, in addition to the national checks and inter-state checks,when applicableIt is required that thischeck be completed withthe use of a fingerprintSearching a generalpublic facing judicialwebsite does not satisfythis requirementThis state-based check must becompleted in addition to thenational FBI criminal historycheck to mitigate any gaps thatmay exist between the twosourcesREQUIRED7
Background Check Requirements (cont’d)4In-state Sex Offender Registry CheckThe in-state sex offender registry check is the second of three in-state, statebased checks that must be completed, in addition to the national checks andinter-state checks, when applicableIt is optional to use a fingerprintto conduct this checkThis state-based check must becompleted in addition to thenational NCIC NSOR check tomitigate any gaps that may existbetween the two sourcesOPTIONAL8
Background Check Requirements (cont’d)5In-state Child Abuse and Neglect Registry CheckThe in-state child abuse and neglect registry check is the third of three instate, state-based checks that must be completed, in addition to the nationalchecks and inter-state checks, when applicableThis is a name-based search9
Background Check Requirements (cont’d)6Inter-state Criminal History CheckThe inter-state criminal history check is the first of three inter-state, statebased checks that must be completed, in addition to the national checksand in-state checksIt is optional to use afingerprint to conduct thischeckSearching a general publicfacing judicial websitedoes not satisfy thisrequirementThis state-based checkmust be completed inaddition to the nationalFBI criminal history checkto mitigate any gaps thatmay exist between the twosourcesOPTIONAL10
Background Check Requirements (cont’d)7Inter-state Sex Offender Registry CheckThe inter-state sex offender registry check is the second of three inter-state,state-based checks that must be completed, in addition to the national checksIt is optional to use afingerprint to conduct thischeckThis state-based check must becompleted in addition to thenational NCIC NSOR check tomitigate any gaps that mayexist between the two sourcesOPTIONAL11
Background Check Requirements (cont’d)8Inter-state Child Abuse and Neglect Registry CheckThe inter-state child abuse and neglect registry check is the third of threeinter-state, state-based checks that must be completed, in addition to thenational checksThis is a name-based search12
Background Check Requirements (cont’d)Tribal Lead AgenciesAll Tribes are subject to the CCDF background check requirementsThe Final Rule allows Tribesthe flexibility to propose analternative backgroundcheck approach in theirCCDF plansIf an alternative approach is proposed,it is subject to ACF approval13
Applicability of Background Check Requirementsto Child Care ProvidersThese providers must complyThese providers do not have to complyAll licensed, regulated or registeredproviders* (except relatives caring for onlyrelated children)License-exempt who do NOT receive CCDFfundsAny provider who receives CCDF fundsRelative providers, regardless of whether ornot they receive CCDF funds* States have the flexibility to determine which providers are considered licensed, regulated, or registered.14
Applicability of Background Check Requirementsto Child Care Staff MembersThese individuals are subject to background checks*:Any individualemployed by aprovider forcompensationAny individual whois either a contractedemployee or selfemployedAny individual whocares for, supervisesor has unsupervisedaccess to children inthe child care settingAny individual whois an adult (18 yearsold) living in a familyhome provider* When the provider meets the applicability requirements15
Disqualifying CrimesWhich providers are subject to the disqualifying crimes?Unlike the other requirements inthe background check section,the Act only applies therestriction against employingineligible child care staffmembers to child care providersreceiving CCDF assistance.These employmentdisqualifications specifically donot apply to child care staffmembers of licensed providerswho do not serve childrenreceiving CCDF subsidies.16
Disqualifying CrimesWhen is a staff member ineligible for employment by a child care provider?Refuses to consentto the criminalbackground checkKnowingly makes amaterially falsestatement in connectionwith a criminalbackground checkIs registered, or is requiredto be registered, on a statesex offender registry orrepository or the NationalSex Offender RegistryHas beenconvicted of afelony listed at§98.43(c)(1)(iv)Has been convicted of aviolent misdemeanorcommitted as an adultagainst a child listed at§98.43(c)(1)(v)States, territories, orTribes have flexibility todisqualify staff membersbased on a conviction ofa crime not listed above.[45 CFR 98.43(c)(1)]17
Disqualifying CrimesWhat are the disqualifying felonies?MurderArsonChild abuseor neglectKidnappingCrime againstchildren, includingpornographySpousalabuseCrime involvingrape or sexualassaultPhysicalassault orbatteryDrug-related offense(committed during thepreceding five years)18
Disqualifying CrimesWhat are the disqualifying violent misdemeanorscommitted as an adult against a child?Child abuseChild endangermentSexual assaultMisdemeanor involving child pornography[48 CFR 98.43(c)(1)(v)]19
Appeals ProcessWhat must a state provide if a disqualifying result is receivedfor a staff member?The state making thedetermination that anindividual is disqualifiedis the state responsiblefor the appeals process.The appeals process isbased on accuracy andcompleteness.The state must provideinformation abouteach specificdisqualifying crime tothe individual.The individual must begiven clear instructions,including timelines, onhow to complete theappeals process.The state isresponsible forverifying the accuracyof the informationchallenged.Prospective andcurrent staff membersare subject torequirements.[45 CFR 98.43(e)(3)]20
Review ProcessWhat options do states have for drug-related offense committedin the past five years?States have the option touse an individualizedreview process todetermine those staffmembers convicted ofdrug-related feloniescommitted during theprevious five years to beeligible for employmentby a CCDF provider.The review process isdifferent from theappeals process becauseit allows the Lead Agencyto consider extenuatingcircumstances on a caseby-case basis.States should consult theU.S. Equal EmploymentOpportunityCommission’s guidanceon review processes.[45 CFR 98.43(e)(4)]21
Additional Disqualifying CrimesCan states add additional disqualifying offenses?States have theflexibility to consideradditionaldisqualifying offenseswhen makingemploymentdeterminations.States must at least offer an appeals process for theseadditional disqualifying crimes.States are encouraged to implement an individualized reviewprocess for any other disqualifying crimes not listed in the Act.In addition to challenging the record for accuracy andcompleteness, an individualized review allows the Lead Agencyto consider other relevant information.[45 CFR 98.43(h)]22
Red Light / Green LightWhat if our state is a closed-record state?Most states have adopted FBI security policies and standards to protect their own state criminaldata. These state laws and policies are a barrier to sharing state criminal data with other states.Responding states determine whether the individual iseligible or ineligible for employment given the statebackground check results.Responding states disclose this determination (redlight/green light) to the requesting state, withoutrevealing the specific disqualifying crime(s).If the individual is deemed ineligible by a respondingstate, then that state is also responsible for notifying theindividual and following the appeals process.It is importantto note that therespondingstate may useadditionaldisqualifyingcrimes that arenot listed in theFinal Rule forthe purposes ofdeterminingeligibility.23
Submitting Background ChecksWhen is a child care provider not required to submit a backgroundcheck for a staff member?The staff member receiveda background check thatincluded all of the requiredparts within the past fiveyears while employed by,or seeking employment by,another child care providerin the state;The state gave aqualifying result to thefirst provider for thestaff member; andThe staff member isemployed by a child careprovider within the stateor has been separatedfrom employment from achild care provider for lessthan 180 days.[45 CFR 98.43(d)(3)]24
Provisional EmploymentWhen can a staff member begin working?Prospective staff membersmay not begin work until oneof the following results havebeen returned assatisfactory: FBI fingerprint check or State criminal repository usingfingerprints in the state wherethe staff member residesUntil a determination ismade on all checks,prospective staff must besupervised at all times bysomeone who has alreadyreceived a qualifying resulton a background checkwithin the past five years.States may pose additionalrequirements beyond thisminimum.[45 CFR 98.43(d)(4)]25
Timeliness of Background ChecksWhat if background checks are not completed within 45 days?45Lead Agencies may create theirown procedures in the eventthat one or more of thecomponents of a backgroundcheck are not complete withinthe required 45 days.A state must process, at thevery least, either the FBIfingerprint check or the searchof the state criminal repository,using fingerprints in the statewhere the prospective staffmember resides, before anindividual may begin work.In instances where a state iswaiting for interstatebackground check components,ACF does not intend to penalizestates that have made a goodfaith effort to requestinformation from other states.[45 CFR 98.43(e)(1)]26
Eligibility DeterminationWho can make a determination that a prospective staff memberis eligible to work?The Lead Agency is required to make determinations regarding a child care staffmember’s eligibility for employment.The Lead Agency must provide a response for the background check to the childcare provider in a statement that indicates only whether the prospective staffmember is eligible or ineligible, without revealing specific, disqualifyinginformation or other information regarding the individual.If the staff member is ineligible, the Lead Agency must provide information abouteach specific disqualifying crime to the prospective staff member, as well asinformation on how to appeal the results of the background check to challenge theaccuracy and completeness.[45 CFR 98.43(e)(2)]27
Results of Background ChecksCan detailed results be shared with the provider (prospective employer)?Most Lead Agencies currently use Public Law 92–544 or the National Child ProtectionAct/Volunteers for Children Act (NCPA/VCA) (42 U.S.C. 5119a) as the authority toconduct FBI background checks.NCPA/VCA requiresdissemination of the results toa governmental agency, unlessthe State has implemented aVolunteer and EmployeeCriminal History System(VECHS) program.Through the NCPA/VCA VECHSprogram, Lead Agencies mayshare an individual’s specificbackground check results withthe child care provider,provided the individual hasgiven consent.Lead Agencies have theflexibility to continue to usethese statutes as authority tocomplete the FBI fingerprintcheck, as long as theemployment determinationprocess required by the Act isfollowed.28
FeesWho is responsible for paying the background check fees?States, territories, and tribes have the flexibility to determine who pays forbackground checks (i.e. Lead Agency, the provider, or the applicant).Fees that a state, territory, or tribe may charge for the costs of processingapplications and administering a criminal background check, shall not exceed theactual costs for the processing and administration.At Lead Agency’s discretion, CCDF funds may be used to pay the costs ofbackground checks including legally exempt and family child care providers, andtheir household members.29
Differences Between ChecksNational Crime Information Center National Sex Offender Registry(NCIC NSOR) vs. National Sex Offender Public Website (NSOPW)A search of the NSOPW does not satisfy the statutory requirement for a searchof the NSOR.States are required to conduct both anFBI fingerprint check AND a separatename-based search of the NCIC NSOR.The FBI check searches several files of the NCIC, including NSOR,but there are a number of individuals in the NSOR who are notidentified by solely conducting an FBI fingerprint search.REQUIRED In some cases, individuals were not fingerprinted at thetime of arrest, or the prints were rejected by the FBI forpoor quality. This small percentage of records can be accessed througha name-based search of the NCIC.30
Differences Between Checks (cont’d)FBI Checks vs. In-state and Inter-state Criminal RepositoryFBI fingerprint check providesaccess to national criminal historyrecord information across state lineson people arrested for felonies andsome misdemeanors under state,federal, or tribal law.A search of both the statecriminal records and an FBIfingerprint check returnsthe most up-to-date record.There may be informationin state databases that isnot in the FBI database.Both checks better addressindividuals that are not forthcomingregarding their past residences orcommitted crimes in a state inwhich they did not reside.31
Differences Between Checks (cont’d)What if a state is participating in the FBI’s National Fingerprint File (NFF)?Requesting State(state of residence)Participating in the NFF program does notprevent the need for an in-state criminalhistory check.The FBI requires the requesting state toconduct their own in-state check prior tosubmitting the FBI check request (if there aredisqualifying crimes identified in the in-statecheck, there is no need for the FBI check).Responding State(former state of residence)An FBI fingerprint check satisfies therequirement to perform an inter-state check ofanother state’s criminal history recordrepository if the responding state participatesin the NFF program because the FBI check willsearch the NFF state’s database directly.32
National Fingerprint FileCCDF Background CheckComponentsStates participatingStates NOT participatingin NFF must complete: in NFF must complete:FBI Fingerprint Check National Crime Information Center National SexOffender Registry In-State Criminal Repository using fingerprintsInterstate Criminal Repository in other states ofresidence for past five years Completed prior to FBI checkOnly for non-NFF states Only for non-NFF statesState Sex Offender Registry, in state and otherstates of residence for past five years State Child Abuse and Neglect Registry, in stateand other states of residence for past five years 33
National Fingerprint File StatesStates participating in NFFColoradoMontanaConnecticutNew JerseyFloridaNew YorkGeorgiaNorth nesseeMarylandVermontMichiganWest VirginiaMinnesotaWyomingMissouriNANFF StateThe FBI has direct accessand automatically checkseach NFF state’s criminalhistory repositories aspart of its search, inaddition to the FBIdatabase.34
National Fingerprint File States - ExamplesThe FBI requires the requesting NFF state to conduct their own in-statecriminal history check prior to requesting the national FBI.Being an NFF state does not negate the need for state-level sex offender registryor child abuse and neglect registry checks.Example 1: Individual lives in FL (NFF) and hasnever resided elsewhere1. Florida: in-state criminal history check is required for NFF statesas a prerequisite for the FBI criminal history check request2. The national FBI criminal history check must be completedNFF State35
National Fingerprint File States - ExamplesExample 2: Individual lives in FL (NFF) and lived in GA(NFF) within previous 5 years1. FL — in-state criminal history check is required forNFF states as a prerequisite for the FBI criminal historycheck request2. The national FBI criminal history check must becompleted3. GA — inter-state criminal history check is notrequired for NFF statesNFF State36
National Fingerprint File States - ExamplesExample 3: Individual lives in AL (Non-NFF) and has neverresided elsewhere1. The national FBI criminal history check must becompleted2. AL — in-state criminal history check is required forNon-NFF statesNFF State37
National Fingerprint File States - ExamplesExample 4: Individual lives in FL (NFF) and lived in GA(NFF) and AL (Non-NFF) within previous 5 years1. FL — in-state criminal history check is required for NFFstates as a prerequisite for the FBI criminal historycheck request2. The national FBI criminal history check must becompleted3. GA — inter-state criminal history check is not requiredfor NFF states4. AL — inter-state criminal history check is required forNon-NFF statesNFF State38
National Fingerprint File States - ExamplesExample 5: Individual lives in CA (Non-NFF) and lived in OR(NFF), WA (Non-NFF), and ID (NFF) within previous 5 years1. The national FBI criminal history check must be completed2. CA — in-state criminal history check is requiredfor Non-NFF states3. OR — inter-state criminal history check is not requiredfor NFF states4. WA — inter-state criminal history check is requiredfor Non-NFF states5. ID — inter-state criminal history check is not requiredfor NFF statesNFF State39
CCDF Background Check ImplementationPlanning ChecklistThe Checklist contains specific questions concerning key planningsteps Lead Agencies are considering, or have taken, to implementcomprehensive criminal background checks. It is broken downinto five sections:1State and isqualifyingCrimes andOffenses4VolumeEstimates andStaffing5CentralBackgroundCheck Registry40
ResourcesCriminal Background CheckResources Web Page (LINK)ComprehensiveBackgroundChecks BasicsComprehensiveBackground ChecksImplementationTribal ComprehensiveBackground ChecksResources Child CareBackground CheckBasics TA Guide CCDF Criminal BackgroundImplementation PlanningChecklist Tribal Background CheckRequirement Highlights Background CheckRequirementsHighlights Using Live ScanFingerprinting to Meet CCDFCriminal Background CheckRequirements CriminalBackground CheckRequirements:CCDBG ActBackground CheckRequirements Best Practices in CCDF ChildCare Background Checks Child Care Subsidy CriminalBackground Check ContactList Approved Methods for the FBIFingerprint Component ofCriminal Background Checks:Brief for CCDF Tribal LeadAgencies CCDBG Background Check andMonitoring Requirements forCCDF Tribal Lead AgenciesFingerprintingResources FingerprintConsiderations andResources Brief Fingerprinting:Considerations andResources One-Pager Using Live ScanFingerprinting to MeetCCDF CriminalBackground CheckRequirements Tribal Criminal Background CheckRequirements (slides) National Center on Tribal EarlyChild Development41
ResourcesAdministration for Children and Families Web Page (LINK)PI – Implementing the NCICNSOR Background CheckRequirement (CCDF-ACF-PI2017-03)PIQ – Clarification on CCDBGAct Background CheckRequirements and Health andSafety Training Requirements(CCDF-ACF-PIQ-2017-01)42
Email: ncsia@ecetta.infoPhone: 301-881-2590 x273Thank you!
Check The FBI fingerprint check is national, why doesn't it cover the out -of state background check requirements? Only offenses/records with a valid fingerprint make it into the national FBI database. Checking the individual State records helps mitigate gaps between the State and FBI records . Revised: 02/27/2019
