Key Concepts: Background Check

8 key concepts from Title 22, Division 6, Chapter 8, Article 6: Background Check, for the RCFE Administrator exam. For the searchable, bookmarkable version, use the interactive Study Guide.

Criminal Record Clearance Requirement
87355 p. 81
The Department reviews the criminal record of everyone covered by Health and Safety Code 1569.17, and can approve or deny a facility license (or someone's employment, residency, or even presence at the facility) based on what that review turns up.

Before the Department issues a license, the applicant, the administrator, and any adult (other than a resident) living at the facility all have to have a criminal record clearance or an exemption.
Show Title 22 source text
(a) The Department shall conduct a criminal record review of all individuals specified in Health and Safety Code section 1569.17 and shall have the authority to approve or deny a facility license, or employment, residence, or presence in the facility, based upon the results of such review.Part 1, Page 81
(b) Prior to the Department issuing a license, the applicant, administrator and any adults other than a client, residing in the facility shall have a criminal record clearance or exemption.Part 1, Page 81
Who the Criminal Record Clearance Requirement Covers
H&S 1569.17(b) p. 82
Health and Safety Code 1569.17 (the statute 87355 points to) specifies exactly whose criminal history gets checked, beyond the applicant themselves:
  • Adults responsible for administration or direct supervision of staff.
  • Any person (other than a resident) who lives at the facility, except residents of unlicensed independent senior housing in a contiguous building on the same property.
  • Anyone who helps a resident with dressing, grooming, bathing, or personal hygiene.
Show Title 22 source text
(b) In addition to the applicant, the provisions of this section shall apply to criminal convictions of the following persons:Part 1, Page 82
(1)(A) Adults responsible for administration or direct supervision of staff.Part 1, Page 82
(B) Any person, other than a client, residing in the facility. Residents of unlicensed independent senior housing facilities that are located in contiguous buildings on the same property as a residential care facility for the elderly shall be exempt from these requirements.Part 1, Page 82
(C) Any person who provides client assistance in dressing, grooming, bathing, or personal hygiene.Part 1, Page 82
More People Covered by the Clearance Requirement
H&S 1569.17(b) p. 83
Rounding out who needs a criminal record clearance:
  • Any staff person, volunteer, or employee who has contact with residents.
  • If the applicant is a firm/partnership/association/corporation: the CEO or equivalent.
  • Additional governing-body officers or others with a financial interest, if the Department determines (based on their ability to substantially influence facility operations) that they should be covered too.
Show Title 22 source text
(D) Any staff person, volunteer, or employee who has contact with the clients.Part 1, Page 83
(E) If the applicant is a firm, partnership, association, or corporation, the chief executive officer or other person serving in a similar capacity.Part 1, Page 83
(F) Additional officers of the governing body of the applicant or other persons with a financial interest in the applicant, as determined necessary by the department by regulation. The criteria used in the development of these regulations shall be based on the person's capability to exercise substantial influence over the operation of the facility.Part 1, Page 83
Who's Exempt From the Clearance Requirement
H&S 1569.17(b) p. 83
A few categories of people are exempt from the clearance requirement:
  • A spouse, relative, significant other, or close friend of a resident, as long as they're just visiting, or only providing direct care/supervision to that one resident.
  • Certain volunteers, if ALL of these apply: they're only there during normal waking hours, they're directly supervised by someone with a clearance, they spend no more than 16 hours a week at the facility, they don't help with dressing/grooming/bathing/hygiene, and they're never left alone with residents.
  • A third-party contractor retained by the facility, as long as they're never left alone with residents.
Show Title 22 source text
(2) The following persons are exempt from requirements applicable under paragraph (1): (A) A spouse, relative, significant other, or close friend of the client shall be exempt if this person is visiting the client or provides direct care and supervision to that client only.Part 1, Page 83
(B) A volunteer to whom all of the following apply: (i) The volunteer is at the facility during normal waking hours. (ii) The volunteer is directly supervised by the licensee or a facility employee with a criminal record clearance or exemption. (iii) The volunteer spends no more than 16 hours per week at the facility. (iv) The volunteer does not provide clients with assistance in dressing, grooming, bathing, or personal hygiene. (v) The volunteer is not left alone with clients in care.Part 1, Page 83
(C) A third-party contractor retained by the facility if the contractor is not left alone with clients in care.Part 1, Page 83
Home Health & Hospice Workers Are Also Exempt
H&S 1569.17(b) p. 84
Employees of licensed home health agencies, and members of licensed hospice interdisciplinary teams, are exempt from fingerprint/criminal background check requirements when they're at the facility to see a resident, at that resident's (or their legal decisionmaker's) request. This exemption doesn't apply if that person is also the facility's licensee or an employee of the facility.
Show Title 22 source text
(F) Employees of licensed home health agencies and members of licensed hospice interdisciplinary teams who have contact with a resident of a residential care facility at the request of the resident or resident's legal decisionmaker are exempt from fingerprint and criminal background check requirements imposed by community care licensing. This exemption does not apply to a person who is a community care facility licensee or an employee of the facility.Part 1, Page 84
Steps Everyone Must Take Before Working, Residing, or Volunteering
87355 p. 87-88
Before working, residing, or volunteering at a licensed facility, everyone subject to the criminal record review has to:
  • Give the Department a valid mailing address to receive communications; and once someone holds a clearance or exemption, they have to keep that address current and notify the Department within 10 days of any change.
  • Get a California clearance or exemption as the Department requires, OR
  • Request a transfer of an existing clearance, OR
  • Request (and be approved for) a transfer of an existing exemption, unless the Department allows them to work/reside/be present while that transfer request is pending.
Show Title 22 source text
(e) All individuals subject to a criminal record review pursuant to Health and Safety Code Section 1569.17(b) shall prior to working, residing or volunteering in a licensed facility:Part 1, Page 87
(1) Submit a valid mailing address at which the individual shall receive communications from the Department. (A) An individual who holds a criminal record clearance or exemption shall maintain a current and valid mailing address with the Department and shall notify the Department within ten (10) days of any change in mailing address.Part 1, Page 87
(2) Obtain a California clearance or a criminal record exemption as required by the Department orPart 1, Page 88
(3) Request a transfer of a criminal record clearance as specified in Section 87355(c) orPart 1, Page 88
(4) Request and be approved for a transfer of a criminal record exemption, as specified in Section 87356(r), unless, upon request for a transfer, the Department permits the individual to be employed, reside or be present at the facility.Part 1, Page 88
Documentation for Volunteers & Non-Client Residents
87355 p. 90
The licensee has to keep documentation of criminal record clearances or exemptions for volunteers who need fingerprinting, and for non-client adults living at the facility; that documentation has to be available at the facility for the Department to inspect.
Show Title 22 source text
(k) The licensee shall maintain documentation of criminal record clearances or criminal record exemptions of volunteers that require fingerprinting and non-client adults residing in the facility.Part 1, Page 90
(1) Documentation shall be available at the facility for inspection by the Department.Part 1, Page 90
Who Must Be Immediately Removed Pending an Exemption Decision
87356 p. 90.2-91
While the Department decides whether to grant or deny an exemption, the licensee has to immediately terminate, remove, or bar from entering the facility anyone who:
  • Has been convicted of, or is awaiting trial for, a sex offense against a minor;
  • Has been convicted of a felony;
  • Has been convicted of a serious specified offense (sexual battery, certain child abuse/lewd conduct, or elder/dependent adult abuse under Penal Code 243.4/273a/273d/273g/368, or another crime under H&S 1569.17(c)(3));
  • Has been convicted of one of a further specific list of crimes: battery, shooting at an inhabited dwelling, corporal injury on a spouse/cohabitant, discharging a firearm with gross negligence, exhibiting a weapon/firearm, making a criminal threat resulting in gross bodily injury or death, criminal threats generally, cruelty to animals, or willful harm/injury to a child; or
  • Has simply been ordered removed by the Department for any other reason.
The licensee has to comply with that removal notice once it's issued.
Show Title 22 source text
(a) The Department shall notify a licensee to act immediately to terminate the employment of, remove from the facility or bar from entering the facility any person described in Sections 87356(a)(1) through (5) below while the Department considers granting or denying an exemption. Upon notification, the licensee shall comply with the notice.Part 1, Page 90.2
(1) Any person who has been convicted of, or is awaiting trial for, a sex offense against a minor;Part 1, Page 90.2
(2) Any person who has been convicted of a felony;Part 1, Page 90.2
(3) Any person who has been convicted of an offense specified in Section 243.4, 273a, 273d, 273g, or 368 of the Penal Code or any other crime specified in Health and Safety Code Section 1569.17(c)(3);Part 1, Page 90.2
(4) Any person who has been convicted of any crime specified below: (A) Battery (B) Shooting at Inhabited DwellingPart 1, Page 90.2
(C) Corporal Injury on Spouse/Cohabitant (D) Discharging Firearm with Gross Negligence (E) Exhibiting Weapon/Firearm (F) Threat to Commit a Crime Resulting in Gross Bodily Injury or Death (G) Criminal Threat to Harm or Injure Another Person (H) Cruelty to Animals (I) Willful Harm or Injury to Child; orPart 1, Page 91
(5) Any other person ordered to be removed by the Department.Part 1, Page 91

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