Rhode Island Code of Regulations
Title 214 - DEPARTMENT OF CHILDREN, YOUTH AND FAMILIES
Chapter 10 - GENERAL ADMINISTRATION AND MANAGEMENT
Subchapter 00 - N/A
Part 1 - General Administration and Management
Section 214-RICR-10-00-1.8 - Criminal Record Background Checks
Universal Citation: 214 RI Code of Rules 10 00 1.8
Current through September 18, 2024
1.8.1 General Requirements
A. A nationwide criminal
record background check includes the taking of fingerprints. An individual
subject to a criminal record background check may also be required to undergo
an employment background check, and/or a sex offender check, and/or a child
abuse and neglect registry check for substantiated allegations of child abuse
and neglect.
B. Individuals Subject
to Criminal Record Background Check(s)
1.
Statewide and nationwide criminal record background checks are required for
prospective:
a. Foster parents and visiting
resources for children receiving Department services and household members, age
eighteen (18) or over.
b. Adoptive
parents and household members age eighteen (18) or over.
c. Legal guardians and household members age
eighteen (18) or over.
d. Owners
and operators of:
(1) Residential child care
facility(s);
(2) Child Care
Center(s) and Family Child Care Home(s);
(3) Child Placing Agency(s); and
(4) Community-based program(s) required to be
licensed or certified by the Department.
e. Applicants for positions involving
supervisory or disciplinary power over or routine contact with a child(ren)
without the presence of other employees, including any prospective employees,
volunteers and consultants of a:
(1)
Residential Child Care Facility;
(2) Child Care Center or Family Child Care
Home;
(3) Child Placing Agency;
or
(4) Community-Based Programs
required to be licensed by the Department.
f. Applicants for employment in any
Department position.
g. Volunteers,
interns, and consultants applying for Department positions that involve
supervisory or disciplinary power or routine contact with a child(ren) without
the presence of other employees.
2. Statewide criminal record background
checks are required for prospective:
a.
Department volunteers and consultants applying for positions that do not
involve supervisory or disciplinary power or routine contact with a child(ren)
without the presence of other employees;
b. Volunteers of residential child care
facilities, child care centers, or family child care centers licensed by the
Department;
c. Family child care
home household members, age eighteen (18) or older;
d. Respite care providers; and
e. Members of the Board of Directors of a
child placing agency.
3.
Statewide criminal record background checks may be required for individuals
who:
a. Are subjects of reports of child abuse
and/or neglect;
b. Are referred to
the Department for services or are adult household members of individuals
referred to the Department for services; or
c. Have contact with children receiving
services from the Department.
4. An individual who requires a nationwide
criminal record background check is also subject to the statewide criminal
record background check.
1.8.2 Criminal Record Background Checks - Prospective Foster and Adoptive Parents
A. Statewide and nationwide criminal record
background checks are completed on all prospective foster and adoptive parents
and prospective visiting resources for children receiving Department services
and their household members over age eighteen (18). All nationwide criminal
record background checks include the taking of fingerprints. A visiting
resource is an individual who agrees to maintain regular contact, which may
include overnight and weekend visitation, with a child in care and is a
prospective foster care resource.
B. Children are not placed in foster homes
pending licensure until all required background checks are completed.
C. Statewide Criminal Record Background
Check:
1. In the case of a foster or adoptive
home licensed through a child placing agency, it is the responsibility of the
child placing agency to ensure that the statewide criminal record background
check is completed on applicants and their household members eighteen (18) and
over.
2. As part of the
re-licensing process, a statewide criminal record background check is completed
by:
a. Department licensing staff for foster
and adoptive resources licensed through the Department.
b. The child placing agency staff person for
foster and adoptive resources licensed through the child placing
agency.
3. Department
staff are prohibited from providing copies of this information to persons
outside of the Department. Staff refer subjects of a criminal record background
check, who wish copies of clearance results, directly to the Department of the
Attorney General.
D.
Nationwide Criminal Record Background Check
1.
The applicant or adult household member is instructed by the assigned
Department or child placing agency staff to apply to the Bureau of Criminal
Identification of the state police or the local police department for a
nationwide criminal record background check.
a. The applicant is provided with and
instructed to bring to law enforcement agency a Fingerprint Affidavit. The
Fingerprint Affidavit includes the Criminal Record Background Checks Addendum -
Disqualifying Information and informs the law enforcement agency where to send
the results (either to the Department or the Child Placing Agency).
b. A criminal record background check is
conducted without charge to prospective foster parents and/or adoptive parents.
In the case of prospective adoptive parents, the Department or the child
placing agency conducting the adoption home study is responsible for all costs
relating to the checks.
2. The Department is provided with details of
criminal convictions in addition to being notified that there is disqualifying
information.
a. If the Department receives
information regarding a history of non-disqualifying criminal information, this
information is reviewed prior to proceeding with licensing.
b. An applicant with a conviction of an
offense that is not automatically disqualifying may be denied licensure if it
is determined that the conduct of the applicant impacts upon the fitness and
suitability of the applicant to provide child care.
c. The Department considers the following
factors to make a determination on the suitability of the caretaker to care for
a child:
(1) Type of conviction
(2) Number of convictions
(3) The age of the individual at the time of
the conviction
(4) The length of
time that has elapsed since the last conviction
(5) The relationship between the crime and
the capacity to care for children
(6) Evidence of rehabilitation
(7) Current relationships with biological
children or history of caring for children
3. A child placing agency is only notified
whether or not disqualifying information exists.
4. An individual applying to be an adoptive
parent may not be required to submit to this check if he/she has undergone a
nationwide criminal record background check for the Department within the
eighteen (18) months prior to the date of application. A letter from the state
or local police who completed the nationwide check verifying the date and
results of that check is acceptable.
E. If disqualifying information has been
discovered, the Department or the child placing agency immediately notifies the
applicant in writing of the denial of licensure.
F. The notification letter informs the
applicant of the right to appeal in conformance with, Complaints and Appeals
and Criminal Record Background Checks, Disqualifying Information § 1.9.6
of this Part.
1.8.3 Criminal Record Background Checks - Prospective Facility Operators and Employees
A. Statewide and nationwide
criminal record background checks are completed on all prospective residential
child care facility owners and operators, child placing facility owners and
operators, child care center owners and operators, family child care home
operators and owners/operators of community-based programs requiring Department
licensing.
B. The applicant must
undergo a state criminal check for each state the applicant has lived in the
past five (5) years.
C. The
applicant must undergo a Rhode Island state sex offender registry check and a
national sex offender registry check.
D. For a nationwide criminal record
background check, the applicant is instructed to apply to the Rhode Island
Bureau of Criminal Identification.
1. Any
expense associated with the criminal record background check is paid by the
applicant and/or requesting agency.
2. The applicant completes the Employment
History Affidavit and Criminal History Affidavit.
3. The applicant is provided with and brings
to the Rhode Island Bureau of Criminal Identification the Fingerprint
Affidavit. The Fingerprint Affidavit includes the Criminal Record Background
Checks Addendum, Disqualifying Information.
E. Results of the criminal record background
check, identifying the nature of any disqualifying information, are sent to the
Department.
1. If the Department receives
information regarding a history of non-disqualifying criminal information:
a. The information is reviewed prior to
proceeding with licensing.
b. An
applicant with a conviction of an offense that is not automatically
disqualifying may be denied licensure if it is determined that the conduct of
the applicant impacts upon the fitness and suitability of the applicant to
provide child care.
c. The
Department considers the following factors to make a determination on the
suitability of the caretaker to care for a child:
(1) Type of conviction
(2) Number of convictions
(3) The age of the individual at the time of
the conviction
(4) The length of
time that has elapsed since the last conviction
(5) The relationship between the crime and
the capacity to care for children
(6) Evidence of rehabilitation
(7) Current relationships with biological
children or history of caring for children
2. If disqualifying information has been
discovered, Department staff immediately notify the applicant of the denial of
licensure.
3. The notification
letter informs the applicant of the right to appeal, if applicable, in
conformance with Complaints and Appeals and Criminal Record Background Checks,
Disqualifying Information § 1.9.6 of this Part.
F. Employees of residential child care
facilities, child placing facilities, child care centers, community-based
programs requiring Department licensing and of family child care homes:
1. Family child care home assistants and
individuals providing emergency coverage are subject to statewide and
nationwide criminal record background checks.
2. Family child care home operator ensures
that the applicant completes the Employment History Affidavit and Criminal
History Affidavit and forwards to Department Licensing.
3. Family child care home operator instructs
the applicant to apply to the Bureau of Criminal Identification of the state
police or the local police department for a nationwide criminal record
background check. The applicant is provided with, and brings to law enforcement
agency, the Fingerprint Affidavit, which includes the Criminal Record
Background Checks - Addendum, Disqualifying Information and informs the law
enforcement agency where to send results.
4. Results are sent to the Department,
indicating that the applicant does or does not have disqualifying information.
a. If there is no criminal history, the
Department informs the family child care home operator that the prospective
employee is eligible for employment.
b. If the Department receives criminal
history information that is not automatically disqualifying, this information
is reviewed. An applicant with a conviction of an offense that is not
automatically disqualifying may be denied licensure if it is determined that
the conduct of the applicant impacts upon the fitness and suitability of the
applicant to provide child care.
c.
The Department considers the following factors to make a determination on the
suitability of the caretaker to care for a child:
(1) Type of conviction
(2) Number of convictions
(3) The age of the individual at the time of
the conviction
(4) The length of
time that has elapsed since the last conviction
(5) The relationship between the crime and
the capacity to care for children
(6) Evidence of rehabilitation
(7) Current relationships with biological
children or history of caring for children
d. If disqualifying information has been
discovered, The Department informs the family child care home operator that the
prospective employee is ineligible for employment.
e. The applicant/employee is provided a copy
of the notification and informed of his or her right to appeal if applicable in
conformance with, Complaints and Appeals and Criminal Record Background Checks,
Disqualifying Information § 1.9.6 of this Part.
5. As part of re-licensing, the Department
completes a statewide criminal record background check on family child care
home assistants, individuals providing emergency coverage and adult household
members.
G. Employees of
residential child care facilities, child placing facilities, child care centers
and community-based programs requiring Department licensing:
1. Facility operator requires all persons who
are offered employment, volunteers and consultants, in positions that involve
supervisory or disciplinary power over a child or involve routine contact with
a child without the presence of other employees, to undergo statewide and
nationwide criminal record background checks, statewide and nationwide sex
offender registry check, a Rhode Island Child Protective Services check and a
-Child Protective Service check (also known as Adam Walsh clearance) for each
state the individual has lived in the past five (5) years.
2. The Operator ensures that the applicant
completes the Employment History Affidavit and Criminal History
Affidavit.
3. The Operator
instructs the applicant to apply to the Bureau of Criminal Identification of
the state police or the local police department for a nationwide criminal
record background check. The applicant is provided with, and brings to law
enforcement agency, the Fingerprint Affidavit and informs the law enforcement
agency where to send the results. Results of the check are sent to the
employer, indicating that the applicant does or does not have disqualifying
information.
4. If the facility
administrator hires the employee prior to receiving the results of the check:
a. The Employment History Affidavit, Criminal
History Affidavit and results of the statewide criminal record background
check, indicating no history of disqualifying information, must be completed
and fingerprints taken prior to the applicant beginning the job
assignment.
b. The applicant
ensures that prior to starting employment, the employer has received written
verification that the nationwide criminal record background check has been
initiated and this documentation is placed in the employee's personnel
file.
c. Until the results of the
check are received by the employer, the employee, volunteer, or consultant does
not have supervisory or disciplinary power over or routine contact with
child(ren) without the presence of others.
d. Within ninety (90) calendar days of
hiring, notice is placed in the personnel file identifying the results of the
criminal background check. If notice is not received within ninety (90) days,
the applicant is relieved of child caring responsibilities.
5. Upon receipt of notification
that disqualifying information has been discovered, the facility administrator
immediately notifies the applicant that his/her application is rejected or, if
an individual is already employed, that employment will be terminated in ten
(10) working days.
a. This notification
letter informs the employee of his/her right to appeal in conformance with
Complaints and Appeals and Criminal Record Background Checks, Disqualifying
Information § 1.9.6.
b. A copy
of this letter is provided to Department Licensing and to the EOHHS Hearing
Officer.
c. Any notifications by
the EOHHS Hearing Officer to the Licensing staff within the context of the
appeal are shared with the facility administrator.
6. Employees, volunteers or consultants who
do not have supervisory or disciplinary power over or routine contact with
children without the presence of others need not undergo the criminal record
background checks.
a. The facility operator
certifies in writing that the individual has no supervisory or disciplinary
power over or routine contact with child(ren).
b. A copy of this certification is provided
to the Department's Licensing staff and filed in the employee's personnel
file.
7. A facility
operator's failure to require the criminal record background check or failure
to maintain the written results of the check or the above referenced
certification on file constitutes grounds to revoke the license of the
operator.
8. As part of
re-licensing, the facility operator is responsible to ensure that a statewide
criminal record background check is completed for each full or part time
employee, and volunteer or consultant who has supervisory or disciplinary power
over or routine contact with child(ren) without the presence of
others.
9. Expungement of the
results of the employee's criminal record background check must be consistent
with the facility's policy on expunging the employee's personnel file after
termination of employment.
H. Prior nationwide criminal record
background checks for employees:
1. An
applicant for employment is not required to submit to fingerprinting if he/she
has submitted to the nationwide criminal record background check eighteen (18)
months prior to the date of application.
2. Employer may request, from the Bureau of
Criminal Identification of the state police or the local police department or
the Attorney General's Office for employees of residential child care
facilities, child placing facilities, child care centers or community-based
programs requiring Department licensing, a letter indicating if any
disqualifying information was discovered.
3. State or local police bureau of criminal
identification or the Attorney General's Office responds by stating if
disqualifying information was discovered (without disclosing the nature of the
information) or by stating that no disqualifying information was
discovered.
4. The letter from the
state or local police who completed the nationwide criminal record background
check, which verifies the date and results of that check, is maintained on
file.
1.8.4 Criminal Record Background Checks - Employees of the Department
A. All prospective employees of the
Department are required to undergo statewide and nationwide criminal record
background checks. The nationwide criminal record background check includes the
taking of fingerprints.
B. All
Training School employees, and all contractors and consultants who do business
at or in any of the components of the Training School, must undergo criminal
background checks and must submit to the following criminal background checks
every fifth (5th) year of their employment or contractual/consultant
relationship with the Training School.
1.
Such background checks are conducted during the anniversary month of the
employee's date of hire or assignment to the Training School. In the case of
contractors/consultants, such background checks are conducted during the
anniversary month of the start of that individuals work with the Training
School.
2. Five (5)-year criminal
background checks are done using State Bureau of Criminal Investigation (BCI)
checks.
a. For employees covered by this
regulation, failure to submit to these checks may be used as cause for
disciplinary action, up to and including dismissal from employment with
cause.
b. For consultants and
contractors covered by this regulation, failure to submit to these checks may
be used as cause for termination with cause of any and all agreements for
consulting or contracting with the Department, with the consultant/contractor
forfeiting any and all future payments within their contract for services with
the Department.
c. Any criminal
information found in these checks are subject to administrative review and
appropriate disposition.
C. All prospective Department volunteers,
interns and consultants undergo a criminal record background check(s).
1. A statewide criminal record background
check is required for volunteers, interns, and consultants when their positions
will not involve supervisory or disciplinary power or routine contact with a
child without the presence of other employees.
2. Statewide and nationwide criminal record
background checks are required for Department volunteers, interns, and
consultants when their positions involve supervisory or disciplinary power or
routine contact with a child without the presence of other employees.
D. For a nationwide criminal
record background check, the Department instructs applicants to apply to the
Bureau of Criminal Identification of the Department of the Attorney General,
state police or the local police department.
1. The applicant is given a copy of the
Fingerprint Affidavit and must bring this form to the law enforcement
agency.
2. The Fingerprint
Affidavit includes the Criminal Record Checks Addendum, Disqualifying
Information and informs the law enforcement agency where to send results of the
check.
E. Upon receipt
of the results of the criminal record background check, the Department may take
action relative to the applicant's employment:
1. If there is no criminal history, the
applicant and the Department are informed in writing.
2. If the Department receives criminal
history information that is not automatically disqualifying, this information
is reviewed. An applicant with a conviction of an offense that is not
automatically disqualifying may be denied employment if it is determined that
the conduct of the applicant could endanger the health or welfare of a child
and would be inconsistent with the purpose and intent of the Department.
a. The Department considers the following
factors to make a determination regarding the suitability of the applicant for
employment at the Department:
(1) Type of
conviction
(2) Number of
convictions
(3) The age of the
applicant at the time of the conviction
(4) The length of time that has elapsed since
the last conviction
(5) Evidence of
rehabilitation
3. Upon the discovery of any disqualifying
information with respect to an applicant, the Department informs the applicant
of the disqualifying information.
4. The notification letter informs the
applicant of the right to appeal in conformance with Complaints and Appeals and
Criminal Record Background Checks, Disqualifying Information § 1.9.6 of
this Part.
F. If the
prospective employee, volunteer, intern, or consultant has undergone a
nationwide criminal records background check within the previous six (6) months
of application for employment, the Department may accept a letter from the
Bureau of Criminal Identification verifying the date and results of the
check.
1.8.5 Appeals of Denial/Revocation of Licensure or Denial/Termination of Employment
A. If an individual is
disqualified for the conviction for any Level 1 Offense (refer to Criminal
Record Background Checks, Disqualifying Information, §1.9.6(A)
of this Part), that individual has a right to appeal the denial or revocation
of a license or the denial or termination of employment for the purpose of
demonstrating that he or she has not been convicted for such an offense.
1. Within thirty (30) days of receipt of an
adverse agency decision, the applicant/employee must inform the Department of
his or her intent to appeal by filing a Formal Request for an Appeal with the
Executive Office of Health and Human Services.
a. The applicant/employee must attach a copy
of his/her disqualifying information report, which identifies the specific
disqualifying offense(s).
b. The
applicant/employee provides evidence that he or she has not been convicted of
any Level 1 offense.
2.
The Hearing Officer reviews the materials submitted on behalf of the
applicant/employee and conducts the appeal process and provides a written
decision in accordance with timeframes and procedures established in §
1.10 of this Part,
Complaints and Appeals.
B. If an individual is disqualified for the
conviction for any Level 2 Offense (refer to Criminal Record Background Checks,
Disqualifying Information, §1.9.6(B)
of this Part), that individual has a right to appeal the denial or revocation
of a license or the denial or termination of employment for the purpose of
demonstrating his/her long standing record of excellence in child care or by
demonstrating that he or she has been rehabilitated.
1. An applicant/employee must inform the
Department within thirty (30) days of receipt of an adverse agency decision, of
his/her intent to appeal by filing a Formal Request for a Hearing.
2. The applicant/employee must attach a copy
of his/her disqualifying information report, which identifies the specific
disqualifying offense(s).
3. The
applicant/employee must provide written references attesting to the applicant's
long-standing record of excellence in child care. Such references must be from
individuals who are qualified by education or experience to testify to the
abilities of the applicant/ employee. Such individuals include:
a. Licensed child care providers;
b. Current or previous child care
professionals;
c. Other
professionals with credentials to effectively judge the applicant's
qualifications in providing child care; or
d.
The Department considers the following factors that may mitigate
the Level 2 disqualifying information/offense by a showing that the individual
has successfully rehabilitated him or herself. Those factors include:
(1) Number of convictions
(2) The age of the individual at the time of
the conviction
(3) The length of
time that has elapsed since the last conviction
(4) The relationship between the crime and
the capacity to care for children
(5) Evidence of rehabilitation
(6) Current relationships with biological
children or history of caring for children
1.8.6 Criminal Record Background Checks- Disqualifying Information
A. LEVEL 1 OFFENSES
1. If an individual is disqualified for the
conviction for any of the following offenses, that individual has a right to
appeal for the purpose of demonstrating that he or she has not been convicted
for such an offense.
a. 1st degree Felony
Child Abuse or Neglect
b. 2nd
degree Felony Child Abuse or Neglect
c. Felony Committed Against a Child
(1) 1st Degree Child Molestation
(2) 2nd Degree Child Molestation
(3) Child Pornography
(4) Circulation of obscene publications and
shows
(5) Sale or exhibition to
minor of Indecent publications, pictures or articles
(6) Child nudity in publication
(7) Transportation for indecent
purposes
(8) Harboring
(9) Sex trafficking
(10) Pandering
(11) Deriving support or maintenance from
prostitution
d. Felony
drug offense committed less than five (5) years ago
e. Felony Involving Violence
(1) Murder
(2) Manslaughter
(3) Rape
(4) 1st degree Sexual Assault
(5) 2nd Degree Sexual Assault
(6) Kidnapping
(7) Car-Jacking
(8) 1st Degree Arson
(9) 2nd Degree Arson
(10) Mayhem
(11) Felony Assault, including Domestic
Violence, committed less than five (5) years ago
(12) Felony Battery committed less than five
(5) years ago
f. Human
Trafficking
g. Illegal Possession
of a Firearm less than five (5) years ago
B. LEVEL 2 OFFENSES
1. If an individual is disqualified for the
conviction for any of the following offenses, that individual has a right to
appeal for the purpose of demonstrating his or her long standing record of
excellence in child care.
a. Felony Assault
committed over five (5) years ago
b. Felony Battery committed over five (5)
years ago
c. Robbery
d. Breaking and Entering
e. Burglary
f. Illegal Possession of a Firearm over five
(5) years ago
g. Misdemeanor
Domestic Assault less than five (5) years ago
h. 3rd Degree Sexual Assault
i. Felony Drug Offense committed over five
(5) years ago
2. If an
individual is disqualified for the conviction for any of the following
offenses, when the offense does not involve
a. child, that individual has a right to
appeal for the purpose of demonstrating his or her long standing record of
excellence in child care or by demonstrating that he or she has been
rehabilitated a. Transportation for Indecent purposes
b. Harboring
c. Pandering
d. Circulation of obscene publications and
shows
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