INDIANA DEPARTMENT OF CHILD SERVICES

DCS CW Manual/Chapter 13 Section 3: Conducting Background Checks for DCS Contractors 1 of 6

CHILD WELFARE MANUAL

Chapter 13: Administration of Child

Welfare

Effective Date: August 1, 2013

Section 3: Conducting Background

Checks for DCS Contractors

Version: 4

POLICY [REVISED]

The Indiana Department of Child Services (DCS) requires background checks for the

purpose of contracts on all employees, volunteers, interns, and subcontractors,

(Covered Personnel) who have or will have:

1. Electronic or physical access to children's records; or

2. Direct contact with children on a regular and continuing basis or any contact

when a child(ren) is/are alone or only with the contractor’s staff in connection

with performance of any services or activities pursuant to a contract with DCS.

Note: All required checks must be completed prior to the contractor submitting

the contract for State signature.

DCS will conduct the following background checks for DCS Contractors which include

the:

1. Fingerprint-Based National and State Criminal History Check (Fingerprint-

Based Check)

2. Child Protection Services History Check (CPS History Check)

3. Sex Offender Registry Check

4. Local Law Enforcement Agency (LEA) Records Check

The type of background check conducted will vary based on the age of the subject of

the check and the subject’s performance of services or activities pursuant to the

contract.

DCS will maintain confidentiality of all information gained during the background check

process, following all applicable state and federal laws. See separate policy 2.6

Sharing Confidential Information.

Fingerprint-Based Checks conducted for a specific contractor and purpose may not be

used for the same purpose with a different contractor. If a Covered Personnel takes on

a new position, new background checks will only be required if the position requires

additional checks than already completed.

Initial Contract Award

For those with direct contact with children on a regular and continuing basis or any contact

when a child (ren) is/are alone or only with the contractor’s staff in connection with

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performance of any services or activities pursuant to a contract with DCS, a background

check will consist of the following for initial award of a DCS contract:

1. For all persons age 18 and older:

a. Fingerprint-Based Check,

b. CPS History Check in every state the subject of the check has lived in

the last five (5) years,

c. Sex Offender Registry Check in every state the subject of the check has

lived in the last five (5) years, and

d. LEA Records Check in every state the subject of the check has lived in

the last five (5) years.

2. For all persons 17 years of age and under:

a. CPS History Check in every state the subject of the check has lived in

the last five (5) years, and

b. Sex Offender Registry Check in every state the subject of the check has

lived in the last five (5) years.

For those with only electronic or physical access to children's records, a background

check will consist of the following for initial award of a DCS contract:

1. CPS History Check in every state the subject of the check has lived in the last

five (5) years, and

2. Sex Offender Registry Check in every state the subject of the check has lived

in the last five (5) years.

Once a contractor has an effective DCS contract, all background checks must be

completed and passed prior to Covered Personnel performing any activities related to

the DCS contract. Any Covered Personnel who might serve as a substitute for a covered

position, even in emergency circumstances, should undergo the checks required for that

covered position.

Exceptions to Fingerprinting

The only exception to fingerprinting a subject of the check is if he or she has a physical

disability that makes it impossible to obtain the subject of the check’s fingerprint. The

exception does not apply to those subjects of the check who can be printed but the

quality of the fingerprints is poor. The exception can only be granted by the DCS

Central Office Background Check Unit (COBCU) and is for limited and case-specific

situations, such as the following:

1. When the individual does not have fingers;

2. When a person trained to take fingerprints has documented that the subject of

the check’s disabling condition prevents fingerprinting; or

3. When a qualified medical practitioner has documented the subject of the check’s

disabling condition prevents fingerprinting.

To receive an exception, the following must be sent to the DCS COBCU:

1. A letter requesting the exception and explaining the disabling condition; and

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2. The required documentation from the person trained to take fingerprints, or

qualified medical practitioner or evidence that the individual does not have

fingers.

If the exception is granted, a non-fingerprint based check is required in every state the

subject of the check has lived in the last five (5) years. For Indiana, the required Name-

Based Check is the Indiana Limited Criminal History (LCH) Check. A new fingerprint

exception must be requested and granted each time fingerprinting is required. See

Practice Guidance.

Annual Certification

DCS requires contractors to collect from each Covered Personnel an annual attestation

regarding whether that individual has any history of a CPS substantiation, arrest or

conviction. The contractor shall report this information to DCS annually.

Four (4) Year Requirement

The required background checks must be performed every four (4) years based on the

anniversary of the individual Covered Personnel’s initial checks.

Code References

IC 10-13-3-38.5 Conducting Fingerprint Criminal History Checks for Contractors

IC 10-13-3-27 Disclosure of State Limited Criminal History Information

PROCEDURE

DCS will check for compliance with the following steps:

The DCS Contractor will complete the following background checks for all Covered

Personnel by:

1. Verifying the identity of each subject of the check, regardless of age. See

separate policy,

2.9 Verifying Identity.

2. Having the subject of the check complete the

Application for Criminal History

Background Check (SF53259/CW3610):

a. The subject of the check must sign and date the form, and

b. Place the original in the subject’s personnel file.

3. Registering the person age 18 and older for the Fingerprint-Based Check,

unless requesting an Exception to Fingerprinting, which consists of:

a. Registering the subject of the check for electronic fingerprinting by the

DCS approved fingerprint vendor and provide the subject of the check

with a copy of the registration confirmation number given at the end of

the registration process,

b. Providing the subject of the check with the customized step by step

instructions for registering for fingerprints if the contractor is unable to

complete the registration themselves

http://intranet.dcs.in.gov/Pages/Resources.aspx,

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c. Informing the subject of the check to use the same government issued

identification used during registration for fingerprints; and

d. Ensuring the subject of the check is successfully fingerprinted.

4. Obtaining and following up on the Fingerprint Status letter and informing the

subject of the check of their status.

a. If fingerprints are rejected, follow the instructions on the Reprint

Notice. A ‘reprint’ appointment must be scheduled. Provide subject of

the check a copy of the notice if they will be scheduling their ‘reprint’

appointments themselves.

b. For all other results see separate policy,

13.4 Evaluation of

Background Checks for DCS Contractors.

5. Conducting a Sex Offender Registry Check for all persons age 14 years and

older and printing the results via the Dru Sjodin National Sex Offender Public

website at http://www.nsopw.gov/Core/Portal.aspx.

Note: If you are searching a common name and results show multiple

matches, narrow the search by state. If this occurs, search every state

the subject of the check has lived in the last five (5) years.

6. Conducting a CPS History Check for all persons:

a. For Indiana:

1. The DCS Contractor will complete Section A of the Indiana

Request for Child Protection Service (CPS) History Check (SF

52802/CW 2128);

2. The subject of the check, or representative if a minor, will complete

Section B of the Indiana

Request for Child Protection Service

(CPS) History Check (SF 52802/CW 2128;

3. Submit the form to DCS COBCU, who will complete Section C with

the results and return to the contractor.

b. For all other states, conduct a CPS History Check search for every other

state the individual has lived for the past five (5) years, if applicable;

locate information for a CPS administrator to process your search request

at; http://www.ccld.ca.gov/AdamWalshI_2609.htm

Click on “List of Contacts For Other State’s Child Abuse and

Neglect Registries”

c. If the person has CPS history in any state, refer to separate policy, 13.4

Evaluation of Background Checks for DCS Contractors

for further required

action.

7. Conducting LEA Records Checks by:

a. Requesting a records check to be completed by the LEA that would

respond to the subject of the check’s current home address, utilizing the

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Application for Criminal History Background Check (SF53259/CW3610),

Section titled “For Law Enforcement Use Only

b. Requesting searches from the appropriate LEA corresponding to ALL

other residential addresses of the subject of the check during the past five

(5) years, and

c. Upon receiving the results of each check, see separate policy, 13.4

Evaluation of Background Checks for DCS Contractors.

PRACTICE GUIDANCE

Notifying DCS of Substantiation of child abuse or neglect or arrest or convictions

The contractor shall immediately notify DCS within 24 hours of any substantiation of

child abuse or neglect, arrest or conviction of Covered Personnel. The DCS Division

responsible for the contract will evaluate the severity and seriousness of the offense on

a case-by-case basis and contact COBCU if additional guidance is needed.

FORMS AND TOOLS

Application for Criminal History Background Check (SF53259/CW3610)

Request for a Child Protection Services (CPS) History Check SF52802/CW2128)

RELATED INFORMATION

Unreadable Prints and Reprint Notice

Fingerprints may be rejected by the Indiana State Police (ISP) or the Federal Bureau of

Investigations (FBI) for a number of reasons. Each rejection is evaluated individually.

For each Reprint Notice issued the subject of the check must schedule a reprint

appointment. Once the necessary number of rejections within the appropriate

timeframe has been obtained, COBCU will request that a non-emergency Name-Based

Check be processed. Once the name based check has been requested the processing

timeframe is longer than a fingerprint check.

Registering for Fingerprints

If the contractor is unable to complete the registration process for the subject of the

check, the subject of the check is to be provided a copy of the step by step instructions

for registering for fingerprinting through the DCS approved vendor that has been

customized to the correct contract provider name, contact person for that contract

provider, that person’s phone number and the correct reason for printing, and will also

include the contractor’s billing code for those providers having an escrow account and

who choose to pay the expense of printing for the subject.

Exception to Fingerprinting

If an Exception to Fingerprinting request is granted, COBCU will run an Indiana LCH.

The contractor will provide the non-fingerprint based checks for all other states the

subject of the check has resided in the past five years to the COBCU. The COBCU will

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provide a letter via email to the contractor and inform them of the clearance status

resulting from the search.

For purposes of the exception for a physical disability, a "qualified medical practitioner"

means the following:

1. A physician licensed under IC 25-22.5.

2. A physician assistant licensed under IC 25-27.5.

3. A physical therapist licensed under IC 25-27.

4. An advanced practice nurse licensed under IC 25-23.

5. A chiropractor licensed under IC 25-10.

6. A psychologist licensed under IC 25-33.

Inaccurate Criminal Records

If any of the checks conducted by DCS reveal an inaccurate record, the record may be

formally challenged. A Review Challenge of inaccurate information must be made to the

arresting agency. For Indiana convictions, this would be made to the ISP.