Chapter DCF 13

Chapter DCF 13

BACKGROUND CHECKS FOR CHILD CARE PROGRAMS

DCF 13.01   Purpose and scope.

DCF 13.02   Definitions.

DCF 13.03   Background check request.

DCF 13.04   Obtaining armed forces information.

DCF 13.05   Determining whether other offenses are substantially related.

DCF 13.06   Background check eligibility.

DCF 13.07   Reporting requirements.

DCF 13.08   Sanctions.

DCF 13.09   Appeal of background check determinations.

DCF 13.10   Rehabilitation reviews by agency.

DCF 13.11   Eligibility for rehabilitation review.

DCF 13.12   Applying for rehabilitation review.

DCF 13.13   Agency rehabilitation review process.

DCF 13.14   Appealing a rehabilitation review panel’s denial.

DCF 13.15   Compliance with rehabilitation approval; withdrawal.

DCF 13.16   Permissive acceptance of a rehabilitation approval.

DCF 13.17   Fees.

DCF 13.01 DCF 13.01 Purpose and scope. This chapter is promulgated under the authority of ss. 48.67 (intro.), 48.686, and 227.11 (2) (a), Stats., to specify procedures necessary to implement background checks required under s. 48.686, Stats., for caregivers, noncaregiver employees, and household members at a child care program.

DCF 13.01 Note Note: For further information on the scope of the child care background check, see s. DCF 13.02 for definitions of terms used in this section.

DCF 13.01 History History: EmR1918: emerg. cr., eff. 1-30-19; CR 19-089: cr. Register March 2020 No. 771, eff. 4-1-20; CR 20-003: am. Register July 2020 No. 775, eff. 8-1-20.

DCF 13.02 DCF 13.02 Definitions. In this chapter:

DCF 13.02(1) (1) “Agency” means the department, a certification agency, or a school board that establishes or contracts for a child care program under s. 120.13 (14), Stats.

DCF 13.02(2) (2) “Background check request form” means a form prescribed by the department on which a person completes required information for purposes of the child care background check.

DCF 13.02 Note Note: DCF-F-5296-E, Background Check Request Form, is available electronically through the Child Care Provider Portal and on the department’s website at https://dcf.wisconsin.gov/forms.

DCF 13.02(3) (3) “Bar” means any of the following:

DCF 13.02(3)(a) (a) A barrier to a person’s eligibility for regulatory approval, employment, or contract as a caregiver.

DCF 13.02(3)(b) (b) A barrier to a person’s nonclient residency at a child care program.

DCF 13.02(3)(c) (c) A barrier to a person’s eligibility for employment or contract as a noncaregiver employee.

DCF 13.02(4) (4) “Caregiver” means any of the following:

DCF 13.02(4)(a) (a) An employee or contractor of a child care program who is involved in the care or supervision of clients.

DCF 13.02(4)(b) (b) A person who has direct contact with clients of a child care program or has unsupervised access to clients of a child care program, including student teachers, household members age 10 and older, and volunteers counted for the purpose of meeting the required staff-to-child ratios.

DCF 13.02(4)(c) (c) A person who has, or is seeking, a license, certification, or contract to operate a child care program.

DCF 13.02(5) (5) “Certification agency” means the department in a county having a population of 750,000 or more or a county department, person, or tribe that has a contract with the department to certify child care providers under s. 48.651 (2), Stats., in a particular county or tribal area.

DCF 13.02(6) (6) “Child care background check” means the requirements in s. 48.686, Stats., and this chapter.

DCF 13.02(7) (7) “Child care program” means any of the following:

DCF 13.02(7)(a) (a) A child care center that is licensed under s. 48.65, Stats.

DCF 13.02(7)(b) (b) A child care provider that is certified under s. 48.651, Stats.

DCF 13.02(7)(c) (c) A child care program established or contracted for under s. 120.13 (14), Stats.

DCF 13.02(7)(d) (d) A temporary employment agency that provides caregivers or noncaregiver employees to another child care program.

DCF 13.02(8) (8) “Client” means a person who receives direct care from a child care program, from an entity, as defined in s. DCF 12.02 (14), or from a caregiver specified in s. 48.685 (1) (ag) 1. am., Stats., including all of the following:

DCF 13.02(8)(a) (a) An adopted child for whom adoption assistance payments are being made under s. 48.975, Stats.

DCF 13.02(8)(b) (b) A child for whom subsidized guardianship payments are being made under s. 48.623, Stats.

DCF 13.02(8)(c) (c) A person who is 18 to 21 years old, is receiving independent living services under 42 USC 677 (a) from an agency, is no longer placed in out-of-home care, and is residing in the foster home in which he or she was previously placed.

DCF 13.02(9) (9) “Contractor” means, with respect to a child care program, a person who provides services to the child care program under an express or implied contract or subcontract, or that person’s agent.

DCF 13.02(10) (10) “County department” means a county department of social services established under s. 46.22, Stats., or a county department of human services established under s. 46.23, Stats.

DCF 13.02(11) (11) “Department” means the department of children and families.

DCF 13.02(12) (12) “Direct contact” means face-to-face physical proximity to a client that affords the opportunity to commit abuse or neglect of a client or to misappropriate the property of a client.

DCF 13.02(13) (13) “Division of hearings and appeals” means the division of hearings and appeals within the department of administration.

DCF 13.02(14) (14) “Final substantiated finding” means all of the following:

DCF 13.02(14)(a) (a) A final determination made after January 1, 2015, that a person has abused or neglected a child under s. 48.981 (3) (c) 5m., Stats., and s. DCF 40.04 if the final determination has not been reversed or modified on appeal.

DCF 13.02(14)(b) (b) A determination made before January 1, 2015, that a person has abused or neglected a child under s. 48.981 (3) (c) 4., Stats., if the determination has not been reversed or modified on appeal.

DCF 13.02(15) (15) “Household member” means a person who is age 10 or older, who resides, or is expected to reside, at a child care program, and who is not a client of the child care program or caregiver.

DCF 13.02(15m) (15m) “Noncaregiver employee” means a person who provides services to a child care program as an employee or a contractor and is not a caregiver, but whose work at the child care program provides the ability to move freely throughout the premises and opportunities for interactions with clients of the child care program.

DCF 13.02(16) (16) “Regulatory approval” means any of the following:

DCF 13.02(16)(a) (a) Issuance, continuation, or renewal of a license by the department under s. 48.66, Stats.

DCF 13.02(16)(b) (b) Issuance or renewal of certification by a certification agency under s. 48.651, Stats.

DCF 13.02(16)(c) (c) Approval of the person subject to the child care background check for a child care program to be established or contracted for by a school board under s. 120.13 (14), Stats.

DCF 13.02(17) (17) “Rehabilitation review” means an agency process in s. 48.686 (5), Stats., under which an eligible person who has a bar may seek approval for any of the following:

DCF 13.02(17)(a) (a) Regulatory approval.

DCF 13.02(17)(b) (b) Employment or contract with a child care program to be a caregiver or noncaregiver employee.

DCF 13.02(17)(c) (c) Residency at a child care program.

DCF 13.02(18) (18) “Reside” means to be present at a child care program for more than an aggregate of 14 calendar days within a 90-day period. “Reside” does not include incidental presence that does not afford unrestricted access to the premises or to children in care.

DCF 13.02(19) (19) “Role” means a person’s job as a caregiver or noncaregiver employee or a person’s status as a household member at a child care program.

DCF 13.02(20) (20) “School board” means the board that has the powers specified in s. 120.13, Stats., for the schools of a school district.

DCF 13.02(21) (21) “Serious crime” has the meaning given in s. 48.686 (1) (c), Stats.

DCF 13.02 Note Note: A table that lists the child care serious crimes is available at https://dcf.wisconsin.gov/files/publications/pdf/5206.pdf.

DCF 13.02(22) (22) “Tribe” means a federally recognized American Indian tribe or band in Wisconsin.

DCF 13.02(23) (23) “Volunteer” means a person who is not compensated, but agrees to give time, with or without reimbursement for expenses, to transport or to work with children in a child care program.

DCF 13.02 History History: EmR1918: emerg. cr., eff. 1-30-19; CR 19-089: cr. Register March 2020 No. 771, eff. 4-1-20; correction in (7) (a), (8) (intro.) made under s. 35.17, Stats., Register March 2020 No. 771; CR 20-003: cr. (3) (c), r. and recr. (4) (a), am. (4) (b), (7) (d), (15), cr. (15m), am. (17) (b), (19) Register July 2020 No. 775, eff. 8-1-20; CR 21-107: am. (14) (b) Register June 2022 No. 798, eff. 7-1-22.

DCF 13.03 DCF 13.03 Background check request.

DCF 13.03(1) (1) Required forms and fees. A background check request shall include a completed background check request form, armed forces records under s. DCF 13.04, release forms, child care background check fees, and any additional information that the department determines is necessary to obtain the records required under s. 48.686 (2) (am), Stats.

DCF 13.03(2) (2) Fingerprint searches.

DCF 13.03(2)(a) (a) Prior to working as a caregiver or noncaregiver employee or residing in a child care program, the subject of the background check shall submit fingerprints in a manner directed by the department.

DCF 13.03(2)(b) (b) Every 5 years or as otherwise requested by the department, caregivers, noncaregiver employees, and household members shall resubmit fingerprints in a manner directed by the department and the information specified under sub. (1).

DCF 13.03 Note Note: DCF-F-5296-E, Background Check Request Form, is available electronically through the Child Care Provider Portal and on the department’s website at https://dcf.wisconsin.gov/forms.

DCF 13.03 History History: EmR1918: emerg. cr., eff. 1-30-19; CR 19-089: cr. Register March 2020 No. 771, eff. 4-1-20; CR 20-003: am. (2) Register July 2020 No. 775, eff. 8-1-20.

DCF 13.04 DCF 13.04 Obtaining armed forces information.

DCF 13.04(1) (1) If a person who is the subject of a background check served in a branch of the U.S. armed forces within the previous 3 years, including any reserve component, the department shall make every reasonable effort to obtain the discharge status of that person, either from the discharge papers issued to the person or from the armed forces branch in which the person served. The department shall document the efforts made to obtain the discharge status of the person.

DCF 13.04(2) (2) If the discharge status of the person described in sub. (1) is other than honorable, the department shall make every reasonable effort to obtain information on the nature and circumstances of the discharge.

DCF 13.04 Note Note: The information from the armed forces may include military court findings or information relevant to making a background check determination.

DCF 13.04 History History: EmR1918: emerg. cr., eff. 1-30-19; CR 19-089: cr. Register March 2020 No. 771, eff. 4-1-20.

DCF 13.05 DCF 13.05 Determining whether other offenses are substantially related.

DCF 13.05(1) (1) Caregivers, noncaregiver employees, and household members. To determine whether a caregiver’s, noncaregiver employee’s, or household member’s conviction or delinquency adjudication for an offense that is not a serious crime is substantially related to the care of a child or the activities of a child care program, the department shall consider all of the following:

DCF 13.05(1)(a) (a) In relation to the person’s role at the child care program, all of the following:

DCF 13.05(1)(a)1. 1. The nature and scope of the person’s contact with clients.

DCF 13.05(1)(a)2. 2. The scope of the discretionary authority and independent judgment the person has to make decisions or take actions that affect the care of clients.