1596.871
. The Legislature recognizes the need to generate timely
and accurate positive fingerprint identification of applicants as a
condition of issuing licenses, permits, or certificates of approval
for persons to operate or provide direct care services in a child
care center or family child care home. It is the intent of the
Legislature in enacting this section to require the fingerprints of
those individuals whose contact with child day care facility clients
may pose a risk to the children's health and safety. An individual
shall be required to obtain either a criminal record clearance or a
criminal record exemption from the State Department of Social
Services before his or her initial presence in a child day care
facility.
(a) (1) Before and, as applicable, subsequent to issuing a license
or special permit to any person to operate or manage a day care
facility, the department shall secure from an appropriate law
enforcement agency a criminal record to determine whether the
applicant or any other person specified in subdivision (b) has ever
been convicted of a crime other than a minor traffic violation or
arrested for any crime specified in subdivision (c) of Section 290 of
the Penal Code, or for violating Section 245, 273ab, or 273.5,
subdivision (b) of Section 273a, or, prior to January 1, 1994,
paragraph (2) of Section 273a, of the Penal Code, or for any crime
for which the department is prohibited from granting a criminal
record exemption pursuant to subdivision (f).
(2) The criminal history information shall include the full
criminal record, if any, of those persons, and subsequent arrest
information pursuant to Section 11105.2 of the Penal Code.
(3) Except during the 2003-04 to the 2016-17 fiscal years,
inclusive, neither the Department of Justice nor the department may
charge a fee for the fingerprinting of an applicant who will serve
six or fewer children or any family day care applicant for a license,
or for obtaining a criminal record of an applicant pursuant to this
section.
(4) The following shall apply to the criminal record information:
(A) If the State Department of Social Services finds that the
applicant or any other person specified in subdivision (b) has been
convicted of a crime, other than a minor traffic violation, the
application shall be denied, unless the director grants an exemption
pursuant to subdivision (f).
(B) If the State Department of Social Services finds that the
applicant, or any other person specified in subdivision (b), is
awaiting trial for a crime other than a minor traffic violation, the
State Department of Social Services may cease processing the criminal
record information until the conclusion of the trial.
(C) If no criminal record information has been recorded, the
Department of Justice shall provide the applicant and the State
Department of Social Services with a statement of that fact.
(D) If the State Department of Social Services finds after
licensure that the licensee, or any other person specified in
paragraph (2) of subdivision (b), has been convicted of a crime other
than a minor traffic violation, the license may be revoked, unless
the director grants an exemption pursuant to subdivision (f).
(E) An applicant and any other person specified in subdivision (b)
shall submit fingerprint images and related information to the
Department of Justice and the Federal Bureau of Investigation,
through the Department of Justice, for a state and federal level
criminal offender record information search, in addition to the
search required by subdivision (a). If an applicant meets all other
conditions for licensure, except receipt of the Federal Bureau of
Investigation's criminal history information for the applicant and
persons listed in subdivision (b), the department may issue a license
if the applicant and each person described by subdivision (b) has
signed and submitted a statement that he or she has never been
convicted of a crime in the United States, other than a traffic
infraction as defined in paragraph (1) of subdivision (a) of Section
42001 of the Vehicle Code. If, after licensure, the department
determines that the licensee or person specified in subdivision (b)
has a criminal record, the license may be revoked pursuant to Section
1596.885. The department may also suspend the license pending an
administrative hearing pursuant to Section 1596.886.
(b) (1) In addition to the applicant, this section shall be
applicable to criminal record clearances and exemptions for the
following persons:
(A) Adults responsible for administration or direct supervision of
staff.
(B) Any person, other than a child, residing in the facility.
(C) Any person who provides care and supervision to the children.
(D) Any staff person, volunteer, or employee who has contact with
the children.
(i) A volunteer providing time-limited specialized services shall
be exempt from the requirements of this subdivision if this person is
directly supervised by the licensee or a facility employee with a
criminal record clearance or exemption, the volunteer spends no more
than 16 hours per week at the facility, and the volunteer is not left
alone with children in care.
(ii) A student enrolled or participating at an accredited
educational institution shall be exempt from the requirements of this
subdivision if the student is directly supervised by the licensee or
a facility employee with a criminal record clearance or exemption,
the facility has an agreement with the educational institution
concerning the placement of the student, the student spends no more
than 16 hours per week at the facility, and the student is not left
alone with children in care.
(iii) A volunteer who is a relative, legal guardian, or foster
parent of a client in the facility shall be exempt from the
requirements of this subdivision.
(iv) A contracted repair person retained by the facility, if not
left alone with children in care, shall be exempt from the
requirements of this subdivision.
(v) Any person similar to those described in this subdivision, as
defined by the department in regulations.
(E) If the applicant is a firm, partnership, association, or
corporation, the chief executive officer, other person serving in
like capacity, or a person designated by the chief executive officer
as responsible for the operation of the facility, as designated by
the applicant agency.
(F) If the applicant is a local educational agency, the president
of the governing board, the school district superintendent, or a
person designated to administer the operation of the facility, as
designated by the local educational agency.
(G) Additional officers of the governing body of the applicant, or
other persons with a financial interest in the applicant, as
determined necessary by the department by regulation. The criteria
used in the development of these regulations shall be based on the
person's capability to exercise substantial influence over the
operation of the facility.
(H) This section does not apply to employees of child care and
development programs under contract with the State Department of
Education who have completed a criminal record clearance as part of
an application to the Commission on Teacher Credentialing, and who
possess a current credential or permit issued by the commission,
including employees of child care and development programs that serve
both children subsidized under, and children not subsidized under, a
State Department of Education contract. The Commission on Teacher
Credentialing shall notify the department upon revocation of a
current credential or permit issued to an employee of a child care
and development program under contract with the State Department of
Education.
(I) This section does not apply to employees of a child care and
development program operated by a school district, county office of
education, or community college district under contract with the
State Department of Education who have completed a criminal record
clearance as a condition of employment. The school district, county
office of education, or community college district upon receiving
information that the status of an employee's criminal record
clearance has changed shall submit that information to the
department.
(2) Nothing in this subdivision shall prevent a licensee from
requiring a criminal record clearance of any individuals exempt from
the requirements under this subdivision.
(c) (1) (A) Subsequent to initial licensure, a person specified in
subdivision (b) who is not exempt from fingerprinting shall obtain
either a criminal record clearance or an exemption from
disqualification, pursuant to subdivision (f), from the State
Department of Social Services prior to employment, residence, or
initial presence in the facility. A person specified in subdivision
(b) who is not exempt from fingerprinting shall be fingerprinted and
shall sign a declaration under penalty of perjury regarding any prior
criminal convictions. The licensee shall submit fingerprint images
and related information to the Department of Justice and the Federal
Bureau of Investigation, through the Department of Justice, or comply
with paragraph (1) of subdivision (h), prior to the person's
employment, residence, or initial presence in the child day care
facility.
(B) These fingerprint images and related information shall be
electronically submitted to the Department of Justice in a manner
approved by the State Department of Social Services and the
Department of Justice for the purpose of obtaining a permanent set of
fingerprints. A licensee's failure to submit fingerprint images and
related information to the Department of Justice or to comply with
paragraph (1) of subdivision (h), as required in this section, shall
result in the citation of a deficiency, and an immediate assessment
of civil penalties in the amount of one hundred dollars ($100) per
violation per day for a maximum of five days, unless the violation is
a second or subsequent violation within a 12-month period in which
case the civil penalties shall be in the amount of one hundred
dollars ($100) per violation for a maximum of 30 days, and shall be
grounds for disciplining the licensee pursuant to Section 1596.885 or
1596.886. The State Department of Social Services may assess civil
penalties for repeated or continued violations permitted by Sections
1596.99 and 1597.58. The fingerprint images and related information
shall then be submitted to the department for processing. Within 14
calendar days of the receipt of the fingerprint images, the
Department of Justice shall notify the State Department of Social
Services of the criminal record information, as provided in this
subdivision. If no criminal record information has been recorded, the
Department of Justice shall provide the licensee and the State
Department of Social Services with a statement of that fact within 14
calendar days of receipt of the fingerprint images. If new
fingerprint images are required for processing, the Department of
Justice shall, within 14 calendar days from the date of receipt of
the fingerprint images, notify the licensee that the fingerprints
were illegible.
(C) Documentation of the individual's clearance or exemption shall
be maintained by the licensee, and shall be available for
inspection. When live-scan technology is operational, as defined in
Section 1522.04, the Department of Justice shall notify the
department, as required by that section, and notify the licensee by
mail within 14 days of electronic transmission of the fingerprints to
the Department of Justice, if the person has no criminal record. Any
violation of the regulations adopted pursuant to Section 1522.04
shall result in the citation of a deficiency and an immediate
assessment of civil penalties in the amount of one hundred dollars
($100) per violation per day for a maximum of five days, unless the
violation is a second or subsequent violation within a 12-month
period in which case the civil penalties shall be in the amount of
one hundred dollars ($100) per violation for a maximum of 30 days,
and shall be grounds for disciplining the licensee pursuant to
Section 1596.885 or 1596.886. The department may assess civil
penalties for repeated or continued violations, as permitted by
Sections 1596.99 and 1597.58.
(2) Except for persons specified in paragraph (2) of subdivision
(b), the licensee shall endeavor to ascertain the previous employment
history of persons required to be fingerprinted under this
subdivision. If it is determined by the department, on the basis of
fingerprints submitted to the Department of Justice, that the person
has been convicted of a sex offense against a minor, an offense
specified in Section 243.4, 273a, 273ab, 273d, 273g, or 368 of the
Penal Code, or a felony, the State Department of Social Services
shall notify the licensee to act immediately to terminate the person'
s employment, remove the person from the child day care facility, or
bar the person from entering the child day care facility. The
department may subsequently grant an exemption pursuant to
subdivision (f). If the conviction was for another crime except a
minor traffic violation, the licensee shall, upon notification by the
State Department of Social Services, act immediately to either (1)
terminate the person's employment, remove the person from the child
day care facility, or bar the person from entering the child day care
facility; or (2) seek an exemption pursuant to subdivision (f). The
department shall determine if the person shall be allowed to remain
in the facility until a decision on the exemption is rendered. A
licensee's failure to comply with the department's prohibition of
employment, contact with clients, or presence in the facility as
required by this paragraph shall result in a citation of deficiency
and an immediate assessment of civil penalties by the department
against the licensee, in the amount of one hundred dollars ($100) per
violation per day for a maximum of five days, unless the violation
is a second or subsequent violation within a 12-month period in which
case the civil penalties shall be in the amount of one hundred
dollars ($100) per violation for a maximum of 30 days, and shall be
grounds for disciplining the licensee pursuant to Section 1596.885 or
1596.886.
(3) The department may issue an exemption on its own motion
pursuant to subdivision (f) if the person's criminal history
indicates that the person is of good character based on the age,
seriousness, and frequency of the conviction or convictions. The
department, in consultation with interested parties, shall develop
regulations to establish the criteria to grant an exemption pursuant
to this paragraph.
(4) Concurrently with notifying the licensee pursuant to paragraph
(3), the department shall notify the affected individual of his or
her right to seek an exemption pursuant to subdivision (f). The
individual may seek an exemption only if the licensee terminates the
person's employment or removes the person from the facility after
receiving notice from the department pursuant to paragraph (3).
(d) (1) For purposes of this section or any other provision of
this chapter, a conviction means a plea or verdict of guilty or a
conviction following a plea of nolo contendere. Any action that the
department is permitted to take following the establishment of a
conviction may be taken when the time for appeal has elapsed, when
the judgment of conviction has been affirmed on appeal, or when an
order granting probation is made suspending the imposition of
sentence, notwithstanding a subsequent order pursuant to Sections
1203.4 and 1203.4a of the Penal Code permitting the person to
withdraw his or her plea of guilty and to enter a plea of not guilty,
or setting aside the verdict of guilty, or dismissing the
accusation, information, or indictment. For purposes of this section
or any other provision of this chapter, the record of a conviction,
or a copy thereof certified by the clerk of the court or by a judge
of the court in which the conviction occurred, shall be conclusive
evidence of the conviction. For purposes of this section or any other
provision of this chapter, the arrest disposition report certified
by the Department of Justice, or documents admissible in a criminal
action pursuant to Section 969b of the Penal Code, shall be prima
facie evidence of conviction, notwithstanding any other law
prohibiting the admission of these documents in a civil or
administrative action.
(2) For purposes of this section or any other provision of this
chapter, the department shall consider criminal convictions from
another state or federal court as if the criminal offense was
committed in this state.
(e) (1) The State Department of Social Services shall not use a
record of arrest to deny, revoke, or terminate any application,
license, employment, or residence unless the department investigates
the incident and secures evidence, whether or not related to the
incident of arrest, that is admissible in an administrative hearing
to establish conduct by the person that may pose a risk to the health
and safety of any person who is or may become a client.
(2) The department shall not issue a criminal record clearance to
a person who has been arrested for any crime specified in Section 290
of the Penal Code, or for violating Section 245, 273ab, or 273.5, or
subdivision (b) of Section 273a of the Penal Code, or, prior to
January 1, 1994, paragraph (2) of Section 273a of the Penal Code, or
for any crime for which the department is prohibited from granting a
criminal record exemption pursuant to subdivision (f), prior to the
department's completion of an investigation pursuant to paragraph
(1).
(3) The State Department of Social Services is authorized to
obtain any arrest or conviction records or reports from any law
enforcement agency as necessary to the performance of its duties to
inspect, license, and investigate community care facilities and
individuals associated with a community care facility.
(f) (1) After review of the record, the director may grant an
exemption from disqualification for a license or special permit as
specified in paragraphs (1) and (4) of subdivision (a), or for
employment, residence, or presence in a child day care facility as
specified in paragraphs (3), (4), and (5) of subdivision (c) if the
director has substantial and convincing evidence to support a
reasonable belief that the applicant and the person convicted of the
crime, if other than the applicant, are of good character so as to
justify issuance of the license or special permit or granting an
exemption for purposes of subdivision (c). However, an exemption
shall not be granted pursuant to this subdivision if the conviction
was for any of the following offenses:
(A) An offense specified in Section 220, 243.4, or 264.1,
subdivision (a) of Section 273a, or, prior to January 1, 1994,
paragraph (1) of Section 273a, Section 273ab, 273d, 288, or 289,
subdivision (c) of Section 290, or Section 368, of the Penal Code, or
was a conviction of another crime against an individual specified in
subdivision (c) of Section 667.5 of the Penal Code.
(B) A felony offense specified in Section 729 of the Business and
Professions Code or Section 206 or 215, subdivision (a) of Section
347, subdivision (b) of Section 417, or subdivision (a) or (b) of
Section 451 of the Penal Code.
(2) The department shall not prohibit a person from being employed
or having contact with clients in a facility on the basis of a
denied criminal record exemption request or arrest information unless
the department complies with the requirements of Section 1596.8897.
(g) Upon request of the licensee, who shall enclose a
self-addressed stamped postcard for this purpose, the Department of
Justice shall verify receipt of the fingerprint images.
(h) (1) For the purposes of compliance with this section, the
department may permit an individual to transfer a current criminal
record clearance, as defined in subdivision (a), from one facility to
another, as long as the criminal record clearance has been processed
through a state licensing district office, and is being transferred
to another facility licensed by a state licensing district office.
The request shall be in writing to the department, and shall include
a copy of the person's driver's license or valid identification card
issued by the Department of Motor Vehicles, or a valid photo
identification issued by another state or the United States
government if the person is not a California resident. Upon request
of the licensee, who shall enclose a self-addressed stamped envelope
for this purpose, the department shall verify whether the individual
has a clearance that can be transferred.
(2) The State Department of Social Services shall hold criminal
record clearances in its active files for a minimum of two years
after an employee is no longer employed at a licensed facility in
order for the criminal record clearances to be transferred.
(3) The following shall apply to a criminal record clearance or
exemption from the department or a county office with
department-delegated licensing authority:
(A) A county office with department-delegated licensing authority
may accept a clearance or exemption from the department.
(B) The department may accept a clearance or exemption from any
county office with department-delegated licensing authority.
(C) A county office with department-delegated licensing authority
may accept a clearance or exemption from any other county office with
department-delegated licensing authority.
(4) With respect to notifications issued by the Department of
Justice pursuant to Section 11105.2 of the Penal Code concerning an
individual whose criminal record clearance was originally processed
by the department or a county office with department-delegated
licensing authority, all of the following shall apply:
(A) The Department of Justice shall process a request from the
department or a county office with department-delegated licensing
authority to receive the notice, only if all of the following
conditions are met:
(i) The request shall be submitted to the Department of Justice by
the agency to be substituted to receive the notification.
(ii) The request shall be for the same applicant type as the type
for which the original clearance was obtained.
(iii) The request shall contain all prescribed data elements and
format protocols pursuant to a written agreement between the
department and the Department of Justice.
(B) (i) On or before January 7, 2005, the department shall notify
the Department of Justice of all county offices that have
department-delegated licensing authority.
(ii) The department shall notify the Department of Justice within
15 calendar days of the date on which a new county office receives
department-delegated licensing authority or a county's delegated
licensing authority is rescinded.
(C) The Department of Justice shall charge the department or a
county office with department-delegated licensing authority a fee for
each time a request to substitute the recipient agency is received
for purposes of this paragraph. This fee shall not exceed the cost of
providing the service.
(i) Notwithstanding any other law, the department may provide an
individual with a copy of his or her state or federal level criminal
offender record information search response as provided to that
department by the Department of Justice if the department has denied
a criminal background clearance based on this information and the
individual makes a written request to the department for a copy
specifying an address to which it is to be sent. The state or federal
level criminal offender record information search response shall not
be modified or altered from its form or content as provided by the
Department of Justice and shall be provided to the address specified
by the individual in his or her written request. The department shall
retain a copy of the individual's written request and the response
and date provided.