Procedural Guide 0070-561.10 LIVE SCAN AND CALIFORNIA LAW ENFORCEMENT TELECOMMUNICATIONS SYSTEM (CLETS) CLEARANCES Date Issued: 03/05/13 New Policy Release Revision of Existing Procedural Guide/ Live Scan and California Law Enforcement Telecommunications System (CLETS) Clearances, dated 12. Revision Made: NOTE: Current Revisions are Highlighted This Procedural Guide has been revised to add the foreign consulate identification card and foreign passport as acceptable types of primary photo IDs. Cancels: None DEPARTMENTAL VALUES This policy supports our Department’s effort to ensure child safety, timely legal permanency, with family reunification being the first preference followed by adoption and legal guardianship and placement stability. A key component is the use of criminal background checks to assess the appropriateness and safety and meet Title 22 approval standards for the homes of relative/non-relative extended family members for children in our care. WHAT CASES ARE AFFECTED This Procedural Guide is applicable to all new and existing referrals and cases. OPERATIONAL IMPACT The Department recognizes the importance of ensuring that prospective relative and non-relative extended family members’ homes meet Title 22 approval Standards. Prior to the placement of a child in the home of a relative, or non-relative extended family member or adoptive home, a criminal records check must be conducted for every person 18 years and older living in the home. A criminal records check must be conducted on all adults known to the placement agency to have significant contact with the child. A criminal records check may be conducted on any person over the age of 14 0070-561.10 (Rev.02/13) Page 1 of 19 living in the home that the CSW believes may have a criminal record. Within 10 calendar days following the criminal records check conducted through the CLETS system, the CSW shall ensure that a fingerprint clearance check of the relative and any other person whose criminal record was obtained is initiated through the Department of Justice to ensure the accuracy of the criminal records check conducted through the CLETS system and shall review the results of any criminal records check to assess the safety of the home. The Department of Justice shall forward fingerprint requests for federal level criminal history information to the FBI. While prospective relative and non-relative extended family member caregivers are responsible for providing their own transportation to Live Scan equipment sites, our Department, at its discretion, will utilize vouchers, tokens and other transportation assistance, which may include Department personnel facilitating this process. If a prospective relative or non-relative extended family member caregiver resides in an adjacent or nearby county (i.e., Kern, Orange, Riverside, San Bernardino or Ventura), applicants should be informed of the nearest DCFS Live Scan site and, if necessary, be provided with transportation assistance (e.g., vouchers, tokens, Emergency Aid Requisition). All regional offices (except Covina Annex), and the Edmund D. Edelman Children’s Court are equipped with Live Scan machines accessible during regular business hours, Monday-Friday. All participate in an agreement to complete clearances and forward results to the proper CSW/SCSW. Please note however, that with the new Criminal Clearance Tracking System (CCTS), it becomes the responsibility of the Live Scan Technician in each respective office for entering all requests into CCTS. The information for an applicant, who is going to another office to be Live Scanned, would be entered on-line by the technician in the sending office. Criminal Clearance Tracking System (CCTS) The CCTS is a confidential, comprehensive web-based application that automates the manual tracking of Live Scan, California Law Enforcement Telecommunications System (CLETS) and Child Abuse Central Index (CACI) activity. CSW’s and SCSWs can access the system via the link which is provided in the e-mail notifications or via LA Kids to view Live Scan results. Dependency Investigators and Adoption CSW’s with secondary assignments can also access the results relating to their cases. Kinship Support Division Staff Workers and Supervisors will have access of all requests and results for the purpose of performing assessment of homes. Effective July 1, 2005, only electronically transmitted fingerprint submissions will be accepted by the Department of Justice (DOJ). Any fingerprint cards received after July 1, 2005, will be returned to DCFS for resubmission to the DOJ in the required electronic format, unless specified criteria has been met. See Part H of this Procedural Guide. Our Department may request criminal history information on individuals when the request is related to child protective services/placement issues, child abuse investigations conducted pursuant to the child abuse reporting act (CANRA), investigations involving a child in which the child is alleged to come within the jurisdiction of the juvenile court, and, in limited situations, whether the child should be 0070-561.10 (Rev.02/13) Page 2 of 19 returned to the parent. (WIC 16504.5(a), 366.21(e) & (f), 366.22(a)) Criminal history information requested for any other reason is not permitted and will subject the person making the request to be discharged from the Department. Our department has agreed to process Live Scan fingerprints for relative/non-relative extended family member caregivers of Probation minors. See Part F for information specific to Probation Department clearances. APPROPRIATE REQUESTS FOR CRIMINAL HISTORY INFORMATION SITUATION CLEARANCE TYPE Assessment of a relative’s, non-relative CLETS followed up with LIVE SCAN extended family member’s home during and CHILD ABUSE CENTRAL INDEX the approval process for an emergency (CACI) placement. Assessment of a relative’s, non-relative LIVE SCAN extended family member’s home during the approval process. Non-emergent placement For parents on all court cases. CLETS AND LIVE SCAN CLETS & Live Scans up to and including the disposition hearing (detention, PRC, adjudication and disposition hearings) and CLETS post disposition hearing may be utilized to determine detriment to the child and suitability of return. However, in order to use a parent's Live Scan post disposition hearing (reunification cases under WIC 366.21(e), 21(f) and WIC 366.22), see the box below. For parents after Disposition -FR CLETS AND LIVE SCAN For use as a part of a parent's case plan after the disposition hearing to determine suitability of return of the child: Per WIC 366.22, 366.22, and 16504.5(f), as of July 1, 2007, the court cannot consider a parent's live scan results when determining suitability of return of the child to the parent at the WIC 366.21(e), 0070-561.10 (Rev.02/13) Page 3 of 19 SITUATION CLEARANCE TYPE (For parents after Disposition –FR cont.) CLETS AND LIVE SCAN 21(f) and WIC 366.22 hearings, unless the parent agreed to Live Scan as a part of the case plan. However, if the parent has live scanned but has not agreed to have the results be a part of the case plan, the live scan results should still be submitted to the court by the CSW. Voluntary Family Maintenance, Voluntary CLETS AND LIVE SCAN Family Reunification or Family Note: The parent’s refusal to submit to Preservation cases. Live Scan shall not prevent the provision of VFM, VFR or Family Preservation services. If the parent(s) whereabouts are unknown at Document any refusal in the Contact that time, Live Scan shall be done when Notebook. their whereabouts become known. During the investigation of a child abuse CLETS referral. The parent (may include custodial and non- custodial parent, and offending and non- offending parent), any adult residing in the home, and any person that has significant contact with the child (such as the boyfriend or girlfriend of the parent). CSWs shall initiate a criminal background check on all referrals when at least one of the following is alleged: domestic violence, physical abuse, sexual abuse, substance abuse, exploitation or severe neglect. For referrals alleging emotional abuse or general neglect, CSW must consult with the SCSW to determine if initiating a criminal background check is relevant and appropriate. When placing a child in the home of a CLETS AND CHILD ABUSE CENTRAL prospective caregiver, or other person INDEX (CACI) who is not a licensed or a certified foster LIVE SCAN parent All persons over the age of 18 years residing in the home, other than professionals providing professional services to the child, known to the placing entity that may have significant contact with the child, including any person who has a familial or intimate relationship with any person living in the home. No Live Scan is required on youth currently under DCFS supervision who is 18, or turns 18 or older, residing in out-of-home care. 0070-561.10 (Rev.02/13) Page 4 of 19 SITUATION CLEARANCE TYPE Recommending the return of a child placed CLETS and LIVE SCAN in a Planned Permanent Living Arrangement (aka long-term foster care) to the home of a parent or legal guardian. Before releasing a child to a non-custodial CLETS and LIVE SCAN parent or non-offending parent, and when assessing whether an arrested or incarcerated parent left his or her child with an appropriate relative or person. Any person over the age of 14 years living in CLETS AND LIVE SCAN the home who the CSW believes may have a criminal record Completing an Adoptions home study LIVE SCAN (includes CACI) Effective 01/01/12, when a nonminor CLETS and LIVE SCAN dependent (NMD) returns to foster care after a period of trial independence (case was terminated and the youth re-enters as a NMD) and the placement being considered for the NMD is a home with minor dependents.* *A criminal record does not disqualify the youth from re-entering foster care as a NMD. NOTE: Pursuant to Welfare and Institutions Code 16504.5 (f) (1), the Court shall consider the criminal history of the parent or legal guardian obtained via fingerprint images when determining the parent's suitability for reunification (for all 366.21(e), (f) and 366.22 hearings), provided that he/she agreed to submit to fingerprint images to obtain criminal history information as part of the case plan. If the parent has Live scanned but has not agreed to have the results be a part of the case plan, the Live scan results should still be submitted to the court by the CSW. If the parent or guardian refuses to Live Scan, DCFS can still obtain the parent's criminal history via a CLETS or ask County Counsel to subpoena the criminal history from the DOJ. Also, effective July 1, 2007 courts can't consider pre-disposition convictions for reunification purposes. Thus, it's even more important for DCFS to know the parent's full criminal history before the disposition hearing. So, CSWs should obtain CLETS on parents as soon as possible. Such as during the ER investigation, for the PRC, and for the disposition hearing. And CSWs continue to obtain Live Scans for the ER investigation, detention, PRC, adjudication and disposition hearing. 0070-561.10 (Rev.02/13) Page 5 of 19 CRIMINAL RECORD CHECKS SHALL NOT BE REQUESTED WHEN: • Recommending an unmonitored visit for a parent/legal guardian who has had his or her criminal history previously obtained and recently updated by DCFS. • Transferring a referral or a case. CSWS are to ensure that CLETS and Live Scan results are included in all transferred case files. • No Live Scan is required on youth currently under DCFS supervision who is 18, or turns 18 or older, residing in out-of-home care. This includes NMDs that remain under the supervision of DCFS and have not had any periods of trial independence. NOTE: A Criminal Records Exemption may be requested and issued only if permission is granted by the California Department of Social Service within 14 days of receipt of the request. In no event shall DCFS place a child in the home of a person ineligible for an exemption in accordance with the standards/limitations set for the in Health and Safety Code 1522 (1) (g). There is no need to obtain a criminal records exemption prior to placing a child in the home of a parent who has a criminal conviction. However, if the conviction itself is indicative of child abuse, then the worker will need to determine whether placement with that parent would pose a risk to the child. ACCEPTABLE TYPES OF PRIMARY PHOTO IDs (All photo IDs must be valid and unexpired.) California or out-of state driver’s license* Alien Registration Card California DMV Identification Card Immigration or green Card U.S. Passport Book Certificate of Naturalization or Citizenship Military I.D. Non immigrant Visa Canadian Border Crossing Card Reentry Permit Mexican Border Crossing Card with Refugee Travel Document Valid I 94 Employment Authorization Card Student I.D. Card Temporary Resident or ID Card US Passport Card Alien Registration Card Foreign Consulate ID card Foreign Passport * As a primary form of picture identification, a state-issued driver’s license, which meets the requirements of Public Law 109-13, may be presented by an applicant when being fingerprinted. However, in the absence of the new driver’s license, for those applicants 0070-561.10 (Rev.02/13) Page 6 of 19 without a driver’s license, a state identification card may be presented if the state’s identification card standards are the same as for the driver’s license. SECONDARY FORMS OF IDENTIFICATION Not having a primary photo ID is not a valid reason to bypass the Live Scan process. Applicants may provide one or more of the following secondary forms of identification, as long as two of the supplemental documents are provided to validate the authenticity of the secondary identification document/forms. State Government Issued Certificate of Marriage Certificate (Government Certified Birth Issued) U.S Active Duty/Retiree/Reservist Military U.S. Government Issued Consular Report Identification Card (000 10-2) of Birth Abroad Federal Government Personal Identity Certificate of Citizenship (N560) Verification Card (PIV) Department of Defense Common Access Certificate of Naturalization (N550) Card U.S. Tribal or Bureau of Indian Affairs INS I-551 Resident Alien Card Issued Identification Card Since 1997 Social Security Card INS 1-688 Temporary Resident Identification Card Court Order for Name Change/Gender INS 1-688B, 1-766 Employment Change/Adoption/Divorce Authorization Card SECONDARY IDENTIFICATION DATA SUPPORT DOCUMENTS When validating the authenticity of secondary identification documents and forms, the data and information must be supported by at least two of the following: 1. Utility Bill (Address) 2. Jurisdictional Voter Registration Card 3. Vehicle Registration Card/Title 4. Paycheck Stub with Name/Address 5. Spouse/Parent Affidavit 6. Cancelled Check or Bank Statement 7. Mortgage Documents RETENTION OF RECORDS The California Department of Social Services recommends that counties retain criminal background and CACI clearances results for at least three years after the home is no longer in use. Further the results may be stored in the child’s case file. Automated systems handling criminal offense record information and the information derived there shall be secure from unauthorized access, alternation, deletion or release. The 0070-561.10 (Rev.02/13) Page 7 of 19 computer terminals shall be located in secure premises. See California Code of Regulation Section 707 (a) and Penal Code Section 11077. Procedures A. WHEN: INVESTIGATING A CHILD ABUSE REFERRAL CSW Responsibilities During the investigation of a child abuse referral, CSWs shall initiate a criminal background check on all child abuse referrals when at least one of the following is alleged: domestic violence, physical abuse, sexual abuse, substance abuse, exploitation or severe neglect. For referrals alleging emotional abuse or general neglect, CSW must consult with the SCSW to determine if initiating a criminal background check is relevant and appropriate. 1. Obtain a CLETS or CACI clearance by completing the 5600-A manually or online in CWS/CMS or LA Kids, on any parent (could include custodial and non-custodial parent, and offending and non-offending parent), any adult residing in the home, and any person that has significant contact with the child (such as the boyfriend or girlfriend of the parent), any person an arrested or incarcerated parent has left his or her child with while the parent is in custody, and any adult residing in the home that the social worker believes may have a criminal record. 2. Submit all requests to your SCSW for online approval. 3. Submit to the Live Scan Technician in your office to be entered online or faxed to DOJ. NOTE: CSWs are not to fax CLETS requests to DOJ themselves, all CLETS requests must be submitted to the Live Scan Technician located in the regional office. 4. Upon completion of child abuse investigation, if it is determined that ongoing services (court or voluntary) will be provided, request that the parents/legal guardian submit to being Live Scanned. Complete a DCFS 5600. Submit to the SCSW for approval. 5. If a parent/legal guardian refuses to be Live Scanned, their refusal shall not prevent the provision of VFM or Family Preservation services. Document that individual’s refusal in the Contact Notebook. 0070-561.10 (Rev.02/13) Page 8 of 19 SCSW Responsibilities 1. Review the DCFS 5600 and the 5600-A, if complete and correct, sign and forward to the Live Scan Technician for processing. If not, return to the CSW for corrective action. 2. Check e-mail via Outlook to receive notification that the applicant has been Live Scanned. 3. Retrieve automated results via Outlook with the CCTS link. Confer with the CSW regarding the criminal clearance results, if necessary. B. WHEN: ASSESSING THE HOME OF A RELATIVE/NON-RELATIVE EXTENDED FAMILY MEMBER FOR PLACEMENT CSW Responsibilities 1. When notified that a relative or non-relative extended family member is interested in placing a child in their home, contact the caregiver and take the information needed to request a CLETS. a) If the CLETS is requested pursuant to a temporary emergency placement with a relative or non-relative extended family member (see policy number 100- 520.10 Evaluating a Prospective Caregiver), prior to initiating the CLETS the CSW shall check the subject's valid photo ID to ensure that the subject is in fact the same person whose CLETS is being obtained. Prior to placing the child with the subject, that person must present a valid ID to the CSW so that the CSW can determine that the subject whose CLETS was obtained is the same person who is being given the child for the temporary emergency placement. Prior to placement, the CSW should also check the valid photo ID of every person whose CLETS was obtained. b) If the CLETS is requested pursuant to a temporary emergency placement with a relative or non-relative extended family member (see policy number 100-520.10 Evaluating a Prospective Caregiver) and prior to initiating the CLETS the CSW did NOT check the subject's valid photo ID to ensure that the subject was in fact the same person whose CLETS was being obtained, before releasing the child to the subject, that person must present a valid photo ID to the CSW so that the CSW can determine that the subject whose CLETS was obtained is the same person who is being given the child for the temporary emergency placement. Prior to placement, the CSW should also check the valid photo ID of every person whose CLETS was obtained. 2. Direct the applicant to the Live Scan location closest to his/her home to initiate the Live Scan process as soon as possible but no later than ten calendar days by either scheduling an appointment or coming in on a walk-in basis. See Procedural Guide 0100-520.10, Evaluating a Prospective Caregiver. 0070-561.10 (Rev.02/13) Page 9 of 19 3. Notify the subject of the inquiry that (s)he must present a valid and unexpired photo ID to the Live Scan technician from the above noted list or in lieu of a valid and unexpired photo ID a Secondary Identification Document and Secondary Data Support Documents, from the above noted list. Inform the applicant that appointments can be made, however, applicants are usually seen on a first come, first served basis. (A child waiting in the office receives priority processing.) days by either scheduling an appointment or coming in on a walk-in basis. See Procedural Guide 0100-520.10, Evaluating a Prospective Caregiver. 4. Complete, the DCFS 5600/5600-A, (to request both a CLETS and Live Scan), for the prospective caregiver, and all other adults residing in the caregiver’s home, and all adults having significant contact with the child. If the child is in the office, annotate on the DCFS 5600 “Child in office” to expedite the processing of the CLETS requests. Submit to the SCSW for approval. a) Contact the Child Abuse Central Index (CACI) to request a check of all prior allegations of child abuse and/or neglect concerning the home. In addition, complete the BCIA-4084, Facsimile Inquiry for Child Abuse Index (CACI), and fax it to DOJ. The fax number is (916) 227-5054 or (916) 227-3253. 5. The Live Scan Technician will notify the CSW within 10 calendar days after the receipt of the 5600, if the party did not appear. If the applicant fails to complete the Live Scan within ten calendar days, contact the applicant to reschedule the Live Scan. Resubmit the DCFS 5600 to the Live Scan Technician. NOTE: Effective 1-1-07, CLETS results will not contain NCIC, III (i.e. FBI results) CLETS will only cover the state of California records. However, NCIC III Results will be provided when Live Scan is conducted. 6. While waiting on the Live Scan results, simultaneously submit a search for foster placement/emergency shelter care in the event that a relative placement cannot be made. 7. Upon receipt of the automated Live Scan results, follow all procedures set forth in Procedural Guides 0100-520.10, Evaluating a Prospective Caregiver and 0100- 520.70, Exemptions for Relatives and Prospective Guardians with Criminal Record History. File all copies of the DCFS 5600, 5600-A, and criminal history results in the Case Activity Folder. SCSW Responsibilities 1. Review the DCFS 5600-A and the DCFS 5600, if complete, approve online and forward to the Live Scan technician for entering information into CCTS. If not, return to the CSW for corrective action. 0070-561.10 (Rev.02/13) Page 10 of 19