2. Whether the elements or circumstances of the crime are related to the job or caregiving duties.
3. Any pattern of criminal convictions or delinquency adjudications.
4. The extent to which the crime relates to clients or other vulnerable persons.
5. Whether the crime involves violence or a threat of harm.
6. Whether the crime is of a sexual nature.
(c) In relation to the person, any of the following:
1. The number and type of crimes for which the person has been convicted or adjudicated delinquent.
2. The length of time between the conviction or delinquency adjudication and the decision affecting regulatory approval, employment, or contract.
3. The person’s employment history, including references, if available.
4. The person’s participation in or completion of pertinent programs of a rehabilitative nature.
5. The person’s probation, extended supervision, or parole status.
6. The person’s ability to perform or to continue to perform the job or caregiving role consistent with the safe and efficient operation of the program and the confidence of clients and the parents or guardians of clients.
7. The age of the person on the date the crime was committed.
(2) NONCLIENT RESIDENTS. To determine whether a nonclient resident’s criminal conviction or delinquency adjudication for an offense that is not a serious crime is substantially related to a nonclient resident’s access to clients or the activities of a program for purposes of s. 48.685 (5m), Stats., an agency shall consider all of the following: (a) In relation to nonclient residency, any of the following:
1. The nature and scope of the nonclient resident’s contact with clients or activities of the program.
2. The opportunity nonclient residency presents for committing similar crimes.
3. The amount and type of supervision of the nonclient resident.
(b) In relation to the criminal conviction or delinquency adjudication, any of the following:
1. Whether intent is an element of the crime.
2. Whether the elements or circumstances of the crime involve access to clients or activities of the program.
3. Any pattern of criminal convictions or delinquency adjudications.
4. The extent to which the crime relates to clients or other vulnerable persons.
5. Whether the crime involves violence or a threat of harm.
6. Whether the crime is of a sexual nature.
(c) In relation to the person, any of the following:
1. The number and type of crimes for which the person has been convicted or adjudicated delinquent.
2. The length of time between the conviction or delinquency adjudication and the determination affecting nonclient residency.
3. The person’s participation in or completion of pertinent programs of a rehabilitative nature.
4. The person’s probation, extended supervision, or parole status.
5. The age of the person on the date the crime was committed.
(3) DOCUMENTATION. (a) An agency shall document how it reached the determination under sub. (1) that the criminal conviction or delinquency adjudication of a caregiver under s. DCF 12.02 (4) (a) is or is not substantially related to care of a client or activities of the program. (b) An agency shall document how it reached the determination under sub. (2) that the criminal conviction or delinquency adjudication of a nonclient resident is or is not substantially related to access to clients or activities of a program.
(c) An entity shall document how it reached a determination under sub. (1) that a criminal conviction or delinquency adjudication of a caregiver specified in s. DCF 12.02 (4) (b) is or is not substantially related to the care of a client or activities of a program. Note: Form DCF-F-CFS2261-E, Caregiver Background Checks Substantially Related Investigation Report, is available, but is optional, for documentation of the determination as required in sub. (3). If a home study is required for foster care licensure, subsidized guardianship, or adoption approval, county departments and child-placing agencies must include documentation of the determination in the home study.
An agency or entity is required to determine whether a criminal conviction or delinquency adjudication for an offense that is not a “serious crime” as defined in s. DCF 12.02 (24) is substantially related to the care of children or the activities of the program. It may be helpful to contact the appropriate clerk of court to obtain a copy of the criminal complaint and judgment of conviction as part of that investigation and determination. Section 48.685 (2) (bb), Stats., requires an agency or entity to contact the appropriate clerk of court to obtain a copy of the criminal complaint and judgment of conviction for a violation of s. 940.19 (1), 940.195, 940.20, 941.30, 942.08, 947.01 (1), or 947.013, Stats., if the conviction was within the past 5 years. A person who was refused employment or who had his or her employment terminated and believes he or she may have been discriminated against, may file a complaint under s. 111.335, Stats., with the Equal Rights Division, Department of Workforce Development, P.O. Box 8928, Madison, WI 53708-8928 or telephone 608-266-6860. DCF 12.07 Child welfare denial and revocation information. Each county department and child-placing agency shall provide the department with written information about each person for whom the county department or child-placing agency denied or revoked regulatory approval specified in s. DCF 12.02 (21) (b), (e), (f), or (g) for a reason specified in s. 48.685 (4m), Stats. The county department or child-placing agency shall provide the information in an automation system prescribed by the department or on a form prescribed by the department. Note: County departments and child-placing agencies with direct access to eWiSACWIS, the department’s child welfare automation system, enter the information into the system. Child-placing agencies that do not have direct access to eWiSACWIS provide the information on Form DCF-F-CFS2191, Negative Action Notice, which is available in the forms section of the department’s website, dcf.wisconsin.gov. Send the completed form to Out-of-Home Care Section, DCF/DSP, P.O. Box 8916, Madison WI 53708-8916.
DCF 12.08 Reporting requirements. (1) ENTITY REPORTING OF OFFENSE. An entity shall report to the agency that gave regulatory approval as soon as the entity knows, or should have known, that any of the following apply to a caregiver or nonclient resident at the entity:
(a) The person is the subject of a delinquency petition alleging that the person committed a serious crime on or after his or her 12th birthday.
(b) The person has been adjudicated delinquent on or after his or her 12th birthday for committing any crime.
(c) The person is the subject of a pending criminal charge alleging that the person committed a serious crime.
(d) The person has been convicted of any crime.
(e) A final substantiated finding has been made that the person abused or neglected a child.
(f) A finding that is comparable to a final substantiated finding has been made in any other jurisdiction.
(g) A unit of government or a state agency as defined in s. 16.61 (2) (d), Stats., made a finding that the person has abused or neglected a client or misappropriated the property of a client. (h) If a position requires a person to be credentialed by the department of safety and professional services, the person has been denied a license or had a license restricted or otherwise limited.
(2) OTHER ENTITY REPORTING. (a) An entity shall report to the agency that gave regulatory approval as soon as possible, but no later than the agency’s next business day, if any of the following occurs:
1. A person who is age 12 or over and is not a client begins residing at, or is expected to reside at, an entity.
2. A person who is residing at the entity and is not a client turns 12 years of age.
3. A nonclient resident turns 18 years of age.
4. A corporation or limited liability company designates a new person to be subject to the caregiver background check.
5. A caregiver under s. DCF 12.02 (4) (a) or a nonclient resident at the entity changes his or her name. (b) 1. When a change specified under par. (a) 1. to 4. occurs regarding an entity, the entity shall submit a completed background information disclosure for the new person subject to the caregiver background check to the agency as soon as possible, but no later than the agency’s next business day.
2. Notwithstanding par. (a) 3., a nonclient resident in a child care center licensed under s. 48.66, Stats., or with a child care provider certified under s. 48.651, Stats., is not required to complete a background information disclosure if all of the following apply: a. The nonclient resident is turning, or has recently turned, 18 years of age.
b. The nonclient resident previously submitted a completed background information disclosure to the department or certification agency.
(3) ENTITY POLICY. An entity shall include in its personnel or operating policies a provision that requires a person who is a caregiver specified in s. DCF 12.02 (4) (b) to notify the entity as soon as possible, but no later than the entity’s next working day, if any of the following apply: (a) The person is the subject of a delinquency petition alleging that the person committed a serious crime on or after his or her 12th birthday.
(b) The person has been adjudicated delinquent on or after his or her 12th birthday for committing any crime.
(c) The person is the subject of a pending criminal charge alleging that the person committed a serious crime.
(d) The person has been convicted of any crime.
(e) A final substantiated finding has been made that the person abused or neglected a child.
(f) A finding that is comparable to a final substantiated finding has been made in any other jurisdiction.
(g) A unit of government or a state agency as defined in s. 16.61 (2) (d), Stats., has made a finding that the person has abused a client or misappropriated the property of a client. (h) If a position requires a person to be credentialed by the department of safety and professional services, the person has been denied a license or had a license restricted or otherwise limited.
DCF 12.09 Sanctions. (1) ENTITY ACTIONS. (a) An entity that commits any of the following acts may be subject to one or more of the sanctions specified in par. (b):
1. Hires, employs, or contracts with a caregiver or permits a nonclient resident to reside at an entity or with a caregiver specified in s. DCF 12.02 (4) (c) if the entity knows, or should know, that the caregiver or nonclient resident is barred under s. 48.685 (4m) (b) or that a nonclient resident is ineligible for residency under s. 48.685 (5m), Stats. 2. Violates any provision in s. 48.685, Stats., or this chapter regarding caregivers specified in s. DCF 12.02 (4) (b) or (c), including requiring completion of a background information disclosure as required under s. 48.685 (6), and conducting the caregiver background check as required under s. 48.685 (2) and (3), Stats. 3. a. Knows, or should know, that a nonclient resident at the entity failed to complete and submit the background information disclosure to the applicable agency as required under s. 48.685 (6), Stats., or that a nonclient resident knowingly gave false information on or knowingly omitted information from the background information disclosure submitted to the applicable agency. b. Knows, or should know, that a nonclient resident of a caregiver specified in s. DCF 12.02 (4) (c) failed to complete and submit the background information disclosure to the entity specified in s. DCF 12.02 (14) (k) as required under s. 48.685 (6), Stats., or that a nonclient resident knowingly gave false information on or knowingly omitted information from the background information disclosure submitted to the entity specified in s. DCF 12.02 (14) (k). 4. Fails to complete and submit the background information disclosure to the applicable agency as required under s. 48.685 (6), Stats. 5. Knowingly gives false information on or knowingly omits information from the background information disclosure submitted to the applicable agency.
6. Fails to comply with applicable reporting requirements under s. DCF 12.08 (1) or (2). 7. Fails to have a policy on reporting changes as required in s. DCF 12.08 (3). (b) Any of the following sanctions may be imposed on an entity that commits any of the acts described in par. (a):
1. Denial, revocation, nonrenewal, suspension, or termination of regulatory approval.
2. Specific conditions or limitations placed on the regulatory approval.
3. A forfeiture of not more than $1,000.
4. A requirement that the entity develop a written plan that specifies corrections that will be made to personnel screening practices, obtain agency approval of the correction plan, and implement the correction plan.
5. Attendance at agency-designated training on personnel screening or other appropriate training at entity expense.
(2) SANCTIONABLE ACTIONS BY AN INDIVIDUAL. An applicant for regulatory approval who does any of the following may be subject to denial of an application for regulatory approval:
(a) Fails to complete and submit a background information disclosure to the appropriate agency.
(b) Knowingly provides false information on or knowingly omits information from the background information disclosure submitted to the agency.
