What's new/legislative changes

Beginning October 2019, the Minnesota Department of Human Services (DHS) will launch Phase 2 of the implementation and rollout of enhanced background studies for licensed family child care providers. Licensed child care centers began submitting enhanced background studies in October 2018, and in January, counties began submitting background studies for individuals who were newly affiliated with licensed family child care providers. To date, DHS has received over 33,000 child care background studies.

Implementation, launch and county licensor roles

Phase 2 of the implementation for licensed family child care providers is organized into groups of targeted counties/regions with scheduled timeframes and deadlines for submission of background studies. County licensing agencies will continue to play a key role in the background study process as they will initiate background studies through the NETStudy 2.0 system for family child care providers. Additionally, to increase access to fingerprinting service locations, and to assist child care providers in meeting federal and state compliance requirements, a number of county licensing agencies have agreed to host DHS Livescan devices at their respective sites on a scheduled timeframe. See the rollout schedule (below):

Group 1 launch dates: October 2019-March 2020

Group 2 launch dates: November 2019-April 2020

Group 3 launch dates: December 2019- May 2020

Group 4 launch dates: January 2020- June 2020

DHS Background Studies will be contacting each county in advance of scheduled launch dates to provide detailed information related to implementation activities.

Additional information and resources

• If you need guidance or clarification on who might need a background study, the Family Child Care Background Study Worksheet: Is a background study required? DHS-7733 (PDF) document has more information.
• A provider with questions about who needs a background study is encouraged to contact their licensor. 
• For general information and frequently asked questions about background study requirements for child care providers, visit the background studies webpage.

Over the next few years, federal laws require states to conduct criminal background studies on all individuals affiliated with license-exempt centers registered to receive Child Care Assistance Program (CCAP) funding, legal non-licensed providers, licensed child care centers, and licensed family child care programs. 

The 2019 Minnesota Legislature enacted the following provisions:

• Child care background study subject: The law clarifies when volunteers, contractors and others need a background study. This change does not impact household members or employees. DHS Licensing will provide more details in an upcoming implementation plan. (Effective July 1, 2019).
• Additional background study databases: Background studies for all adults and any individuals ages 17 and younger who are employed by a child care program will include a search of three additional name-based databases to meet federal requirements. DHS will initiate these additional searches; this will not impact what is required to be entered in NETStudy 2.0 and will not increase background study fees. (Effective for studies initiated after July 1, 2019).
• Background study clearance notice: The commissioner may issue a clearance notice for a background study subject if 1) another state has not responded to a request for criminal, sex offender, or maltreatment information after 10 days, and 2) the lack of a response from another state is the only reason that the study could not be cleared. (Effective July 1, 2019).

What does an enhanced background study include?

• State criminal and sex offender registries
• State child abuse and neglect registry
• Out-of-state criminal, sex offender, and child abuse and neglect registries (if applicable)
• National Crime Information Center (NCIC) National Sex Offender Registry (NSOR)
• FBI criminal history.

Implementation, rollout planning and county roles
Thousands of individuals associated with family child care and child care center programs will need to be studied. DHS continues planning for a significant rollout of the enhanced background studies for family child care providers. It is expected that a rollout will start during the third quarter of 2019, and will occur by regions throughout the state.

DHS and county licensing agencies will work together to ensure that every provider completes the enhanced background studies over an 18-month period.

Enhanced background studies are being phased in using the NETStudy 2.0 system.

• Phase 1: On Jan. 1, 2019, counties began submitting background studies to the NETStudy 2.0 system for new family child care providers, new household members and new caregivers at existing programs.
• Phase 2: This is expected to begin in the third quarter of 2019. All existing licensed family child providers, household members ages 13 and older, substitutes, etc. will need to have an enhanced study completed using NETStudy 2.0 on a schedule determined by the DHS. 

County licensing agencies will continue to play a key role in the enhanced background studies process, and will serve as the primary source for initiating all background studies through NETStudy 2.0 for providers and other individuals who are affiliated with licensed family child care programs. Some county licensing agencies have expressed an interest in temporarily providing fingerprinting and photo imaging services to ensure expanded access is available to providers. County licensing agencies cannot charge their own fees for new background studies conducted through NETStudy 2.0.

New household members and caregivers
As of Jan. 1, 2019, when a licensed provider notifies the county licensing agency of a new household member, a new caregiver, a substitute or other person needing a background study, the county licensing agency must initiate the background study process through the NETStudy 2.0 background study system.

Minors
County licensors will also initiate background studies for minors when a licensed provider notifies the county licensing agency that a minor is living in the household where the licensed program will be provided and the minor is not receiving licensed services from the program.

Background studies for minors are based on the individual’s name and date of birth. Please note: While most minors (ages 13 to 17) living in the household will receive a background study based on the minor’s name and date of birth, a fingerprint-based FBI study will be required if the minor meets any of the following conditions:

• The minor is paid by the provider.
• The minor has a Minnesota criminal record.
• There is reasonable cause to believe that the minor has a criminal record in another state.
• Individuals 10 to 12 years of age who live in the household where the licensed services will be provided when the commissioner has reasonable cause as defined in Minn. Statute 245C.

No fees for enhanced studies
In August 2018, DHS announced that the department will pay the background study costs for existing licensed providers. As part of the rollout of the enhanced background studies and for a limited period of time, existing licensed providers as of March 1, 2019 will not incur a fee to obtain the enhanced background study through NETStudy 2.0. DHS will continue to provide more details as we approach implementation.

DHS Livescan survey responses
DHS sent out a survey to all the counties in May 2019 to determine which counties would be able to facilitate the use of Livescan fingerprinting devices. DHS Background Studies will be following up with those counties that have expressed interest in advance of the implementation.

Additional information and resources

• Over the coming weeks, DHS will increase communications and updates regarding the rollout and implementation efforts to ensure county licensing agencies and providers are kept updated.
• Learn more about DHS coverage of costs of new enhanced background studies for existing licensed providers. 
• A provider with questions about who needs a background study is encouraged to contact their licensor.
• For general information and frequently asked questions about background study requirements for child care providers, visit the background studies FAQs webpage.

Assisted living licensure
Assisted living facilities (those with and without dementia care) will be required to have background studies under a contract between the commissioner of health and the commissioner of human services. A controlling individual or managerial official of an assisted living facility must have a background study prior to the commissioner of health issuing a provisional license, issuing a license resulting from an ownership change or renewing a license. Employees, contractors and volunteers also will be required to have background studies. Classifies data collected as private data. Effective Aug. 1, 2021

Child care federal compliance
The law clarifies who needs a study for child care programs and details exclusions for individuals providing services that are not part of the child care program. All adults and individuals 17 and younger who are employed by a child care program (or when there is reasonable cause) must submit non-fingerprint-based data for a search of a national sex offender registry and the out-of-state criminal and sex offender registries in any state where the subject has lived in the last five years.

A study subject affiliated with a licensed child care center or a certified license-exempt child care center must be under continuous direct supervision prior to completion of the background study. The commissioner may issue a clearance notice for a study subject if 1) another state has not responded to a request for criminal, sex offender or maltreatment information after 10 days, and 2) this is the only reason that the study could not be cleared. Effective July 1, 2019

Family First Prevention Services Act
The law requires new background studies for individuals connected with licensed children's residential facilities. Individuals employed by a licensed children’s residential facility that serves children eligible to receive federal Title IV-E funding must complete the new background study by March 1, 2020. Individuals connected with a licensed children's residential facility that serves children not receiving federal Title IV-E funding must complete the new background study by March 1, 2021.

Studies related to children's residential facilities require fingerprints and photographs. The FBI does not retain the fingerprints. The fee for children's residential facilities studies may not exceed $51 per study. Effective July 1, 2019

FBI compliance
If the commissioner of human services makes a disqualification determination using information from a national criminal history record check:

• The data is private.
• The data cannot be shared with private agencies, employers or counties.
• A prospective employer is not required to obtain a copy of a subject’s disqualification letter (which lists the crime(s) for which they are disqualified). The information from a national criminal history record check is private data and cannot be shared with county agencies, private agencies or prospective employers. 

Effective Oct. 1, 2019

Head Start background studies
Head Start programs receiving chapter 119A.52 funding may contract with the commissioner to conduct background studies on individuals affiliated with the program. The law requires a national criminal history record check. Programs that do not contract with the commissioner, are not licensed, and are not registered to receive payments under chapter 119B are exempt from chapter 245C requirements. Nothing in this section supersedes background study requirements in chapters 119B or 245H or programs registered to receive Chapter 119B payments. Transferable background studies must include all components of studies for a certified license-exempt child care center under chapter 245C. Effective July 1, 2019

Professional Educator Licensing and Standards Board (PELSB) background studies
PELSB must contract with DHS to conduct background studies for first-time teaching license applicants. Effective July 1, 2019

Permanent bar set aside
The law allows for the set aside of a permanent bar for an individual employed in the nonemergency medical transportation services field if more than 40 years have passed since sentence discharge. Effective Jan. 1, 2020

Substance use disorder set aside
The commissioners of health and of human services must set aside a disqualification for an individual in the substance use disorder field who requests reconsideration and who meets the following criteria: The individual may not have been disqualified for specified crimes. The individual must have documentation of successful treatment completed at least one year prior the request for reconsideration with no disqualifying crimes during that time and have documentation of abstinence from controlled substances for at least one year. Effective Jan. 1, 2020

Tribal organization background studies
Tribal organizations may contract with the commissioner to conduct background studies on individuals affiliated with a child care program sponsored, managed or licensed by a tribal organization. The law requires a national criminal history record check on those individuals. A tribally affiliated child care program that does not contract with the commissioner is exempt from requirements of chapter 245C. Transferable background studies must include all components of studies for a certified license-exempt child care center under chapter 245C. Effective July 1, 2019

Child foster care 

Beginning June 18, all newly initiated background studies for minors (17 years of age and younger) affiliated with family child foster care programs will have a name and date of birth state study instead of one that uses fingerprints. (Minnesota Laws 2018, Chapter 166)

Adult foster care 

Beginning June 18, all newly initiated background studies for minors (17 years of age and younger) affiliated with family adult foster care programs will have a name and date of birth state study instead of one that uses fingerprints. (Minnesota Laws 2018, Chapter 166)

Family child care 

Historically, children (ages 13 – 17) living in the household with a family child care program were required to have a state background study based on their name and date of birth. In 2017, a law change would have required these children to have a state background study based upon their fingerprints. The 2017 law never went into effect because DHS had not finished updating its computer system and did not require providers to meet the enhanced requirements. 

After much conversation among providers, legislators, and DHS staff, the 2017 law was changed in 2018. Under the new law, most children (ages of 13 to 17) living in the household with a family child care program will continue to be required to have a state background study based on their name and date of birth. There are a number of circumstances in which a child living in the household would be required to have a fingerprint-based FBI background study.

A fingerprint-based FBI check will be required for children living in the household if they meet any of these requirements: 

• They supervise children, or 
• They are employed by the child care provider, or
• They live outside of Minnesota, or
• They  have lived outside of Minnesota at any time in the last five years, or
• They have a Minnesota criminal record, or
• There is reasonable cause to believe that they may have a criminal record in another state. 

The new law also capped the cost of background studies for children at $20, unless a fingerprint-based FBI background study is required (in which case an additional fingerprinting fee is also required).  

The background studies conducted by DHS are not available right now while DHS finishes updating its computer system.  Providers will be given more information before they need to take any action and will continue to complete county studies until they receive further notice from DHS.  (Minnesota Laws 2018, Chapter 166)

General changes for background studies 

The 2018 law requires individuals affiliated with a DHS-licensed program to have a fingerprint-based FBI check if the individual:

• Currently lives outside of Minnesota or 
• Has lived outside of Minnesota in the last five years.  

This change is effective starting in August 2018.  More information will be posted on the DHS website and in NETStudy 2.0.

Laws of Minnesota 2017, Chapter 90
Effective the day following final enactment 

Child foster care background study streamlining (Sections 2-9)
This amends state law to differentiate between the background study processes for family foster care and corporate foster care. The change specifies that county and private agencies must submit the background study request to DHS only when the child foster care applicant or license holder resides in the home where foster care services are provided. The applicant or license holder is responsible for submitting background study requests to DHS in settings where the license holder does not reside in the home where services are provided.  

Laws of Minnesota 2017, 1st Special Session, Chapter 6
Various effective dates

Child Care and Development Block Grant Conformity (Article 16, Sections 3, 5, 18-42)
These changes require a new fingerprint-based background study for all child care providers. The new background study, which will be valid for five years, will include a review of Minnesota criminal records, checks against Minnesota’s predatory offender registry and child abuse and neglect registry. It will also include a review of FBI criminal records, the National Sex Offender public website, and child abuse and neglect registries in any state where the subject has resided in the previous five years. All individuals whose activities involve the care or supervision of a child or include unsupervised access to children will be required to undergo the new enhanced background study. The department will be working with county social service agencies and providers to review the amendments to the law, develop more detailed materials and meet with affected parties to review these changes.

The department will contact providers and counties with more details about when the new enhanced background studies will be required.

Affected providers

The new study requirements apply to licensed family child care, licensed child care centers, legal nonlicensed child care, and license-exempt centers that receive Child Care Assistance Program (CCAP) payments. The new law requires all “child care staff” and controlling individuals to have a compliant study. “Child care staff” is defined as anyone who meets at least one of these definitions: 

• Anyone employed by a child care provider
• Anyone whose activities involve the care or supervision of a child for a child care provider
• Anyone who has unsupervised access to a child who is cared for or supervised by a child care provider
• An individual at least 13 years or older who resides in a licensed family child care home or a legal nonlicensed child care program. Individuals under the age of 18 will not have the FBI portion of the study, but they must have a fingerprint-based background study that complies with all other elements of the CCDBG study. 

Content of new studies

All studies will be conducted using the study subject’s fingerprints. The state does not retain fingerprints, but the FBI may keep them. All new studies will require the department to review the following databases: 

• A fingerprint search of FBI criminal records (for individuals 18 years of age and older)
• A search of the National Sex Offender public website
• A fingerprint search of records held by the Minnesota Bureau of Criminal Apprehension (BCA)
• A search of Minnesota's predatory offender registry
• A search of Minnesota's child abuse and neglect registry
• An out-of-state search of the child abuse and neglect registry for every state where that the individual resided during the past 5 years.

Changes in disqualifications

The law adds new permanent disqualifications that prohibit licensure, certification, CCAP registration, residing in the licensed or registered household of a child care provider, or working for a child care provider. This list only includes the new changes to disqualifications in state law – all others are listed in Chapter 245C:

• Refusing to consent to the background study
• Knowingly making a materially false statement in connection with the background study
• Being registered, or being required to be registered, on a state sex offender registry or repository or the National Sex Offender Registry
• Having been convicted of a felony consisting of one of the following: murder; child abuse or neglect; a crime against children, including child pornography; spousal abuse; a crime involving rape or sexual assault; kidnapping; arson; physical assault or battery; or a drug-related offense committed during the preceding 5 years
• Having been convicted of a violent misdemeanor committed as an adult against a child, including the following crimes: child abuse, child endangerment, sexual assault, or of a misdemeanor involving child pornography.

Process changes

• The law requires DHS to conduct the background studies for all child care provider types. 
• All studies will require study subjects to be fingerprinted and photographed. A new study will cost $40, and will need to be repeated at least once every 5 years. There is a separate fingerprinting fee paid to the fingerprinting vendor.  

Questions?

If you have questions about any of these changes, please see our frequently asked questions about child care background studies.

Laws of Minnesota 2015, Chapter 71

Background Study Enhancements effective July 1, 2015:
Several significant provisions were enacted that will improve the accuracy of DHS background studies and increase protections for vulnerable adults and children who receive services from those who have a background study. The changes include:

• Counties will be required to conduct background studies on new county employees who have child protection duties, and on current county employees who are assigned new child protection duties. The counties are allowed, but are not required, to conduct these background studies through the DHS NETStudy system. (Article 1, sections 4, 5, and 7 )
• DHS will conduct both maltreatment and FBI checks on non-Minnesota residents who provide direct care services in nursing homes, home care facilities, or boarding care homes. (Article 7, section 1 )
• Tribal organizations will be allowed to contract with DHS to do FBI checks on individuals affiliated with tribally licensed nursing facilities. (Article 7, section 9)

Group Residential Housing Providers (Article 1, sections 3, 6, and 28)

• Effective July 1, 2016, DHS is required to conduct background studies on providers of group residential housing or supplementary services. Background studies are required for controlling individuals, managerial officials, employees and volunteers who have direct contact or unsupervised access to recipients, or their person property or private data.
• The provision also requires group residential housing providers to pay a fee of $20 to DHS for each background study conducted.
• By July 1, 2017, providers of group residential housing or supplementary services must be able to demonstrate that all required individuals have undergone a background study and are either not disqualified or if disqualified, the disqualification has been set aside for their program.

Non-emergency Medical Transportation (NEMT) Providers (Article 11, sections 7, 8 and 9)

• Effective Jan. 1, 2016, DHS is required to conduct background studies for providers of NEMT, which includes any persons with a direct or indirect ownership interest of 5 percent or higher in the transportation service provider; each controlling individual; managerial officials; each driver employed by the transportation service provider to assist a passenger during transport; and all employees of the transportation service agency who provide administrative support.
• Individuals are not permitted to provide services until the background study has been completed and the provider receives a notice that the individual is not disqualified or, if disqualified, the disqualification has been set aside.
• The provision also requires special transportation providers to pay a fee of $20 to DHS for each background study conducted.

Laws of Minnesota 2015, Chapter 78

Several significant provisions were enacted that will help clarify and streamline background studies conducted by DHS. The changes include:

• Clarifying the definition of "access to persons served by a program" in the background study law to include access to the personal, financial or health information of individuals receiving services by the program. In other words, when a person is disqualified from "direct contact with, or access to" children and vulnerable adults receiving services from a program, they are also disqualified from having access to any personal, financial or health information about the individuals receiving services . (Article 4, section 33. Effective Aug. 1, 2015);
• People working through supplemental nursing service agencies, personnel agencies, educational programs and unlicensed home and community-based waiver providers are no longer required to undergo annual background studies once they are using the new NETStudy 2.0 system to initiate background studies. (Article 4, sections 34, 35 and 36. Effective immediately);
• NETStudy 2.0 accepts a background study's driver's license from any state for identification purposes, where it only used to accept a Minnesota driver's license. (Article 4, section 37. Effective immediately);
• Clarifies requirements related to transferability of background studies across entities that are owned and controlled by the same entity. The sensitive information person must be employed by the agency. (Article 4, section 38. Effective immediately);
• Clarifies record keeping requirements for license holders who rely on background studies initiated by others to include those initiated by supplemental nursing services agencies and to exclude those initiated by educational programs. ( Article 4, section 40. Effective Aug. 1, 2015);
• Specifies conditions under which license holders using NETStudy 2.0 can satisfy the documentation requirements for ensuring required background studies have been completed through a written agreement with the educational program. (Article 4, section 41. Effective Aug. 1, 2015)