Background study requirements

Background study requirements for legal nonlicensed (LNL) providers are aligned with the background study requirements for licensed family child care providers. All background study requests for legal nonlicensed providers and their household members must be submitted through NETStudy 2.0.

NETStudy 2.0 users are encouraged to regularly review resources provided within NETStudy 2.0, particularly under the Help and Application > Application Forms sections, for updates to NETStudy 2.0-related processes, procedures and forms.

Who is required to have a background study?

Background studies are required for:

· The provider and each household member age 13 and older

· Each household member age 10-12 living in the household where the provider services will be provided when the commissioner has reasonable cause as defined under MN Statutes 245C.02 subd. 15

· An individual who, without providing direct contact services in the legal nonlicensed program, may have unsupervised access to children receiving services from the program, when the commissioner has reasonable cause.

Who is required to have a background study when in-home care is approved and will be provided in the child’s home?

If care is provided in the child’s home, a background study is not required for members of the child’s household. A background study must be completed for the provider. A background study must also be completed for any members of the provider’s household who will have access to children receiving services who are age 13 and older or age 10-12 when the commissioner has reasonable cause as defined under MN Statutes 245C.02, subd. 15.

In addition, a background study is required for an individual who is not part of the child’s household, who, without providing direct contact services in the legal nonlicensed program, may have unsupervised access to children receiving services from the program, when the commissioner has reasonable cause.

When does a CCAP agency need to complete a background study?

A CCAP agency must complete a background study for the legal nonlicensed provider and all other required individuals prior to provider registration and at provider renewal. In some situations, a background study may be due at times other than provider renewal if a background study was completed at a time other than the provider’s initial registration.

Background studies must also be completed when:

· Another person over the age of 13 joins the household

· A current household member turns 13 years old

· A 10-12 year old joins the household where the services will be provided and the commissioner has reasonable cause as defined under MN Statutes 245C.02 subd. 15

· There is a new individual present who, without providing direct contact services in the legal nonlicensed program, may have unsupervised access to children receiving services from the program, when the commissioner has reasonable cause.

Note: NETStudy 2.0 indicates background studies expire after five years. However, statute requires background studies for legal nonlicensed providers and their household members be completed at renewal, which is at least every two years. The CCAP agency must complete a study at renewal, even if NETStudy 2.0 indicates the study is not yet expired.

How much do background studies cost?

The Department of Human Services will pay the background study and fingerprinting fees associated with background studies for all legal nonlicensed providers and affiliated individuals until further notice.

CCAP agencies cannot charge additional fees to legal nonlicensed providers for background studies or registering the provider.

How do CCAP agencies collect data to initiate a background study?

CCAP agencies determine how they will gather information from legal nonlicensed providers to initiate background studies. They may use the Background Study Data Collection Form or the NETStudy 2.0 applicant portal. CCAP agencies are still required to verify the subject’s identity by reviewing an acceptable form of identification. The Background Study Data Collection Form can be obtained from the department’s Background Studies Division within NETStudy 2.0 under Application > Application Forms or by emailing dhs.netstudy2@state.mn.us. Include the acronym “ESVM” in the subject line for questions about legal nonlicensed provider background studies.

· If your agency uses the NETStudy 2.0 applicant portal, study subjects do not need to complete the Background Study Data Collection Form. The subjects will be sent an instruction form with a link which can be used by the provider and their household members to create accounts to initiate studies.

· If your agency does not use the applicant portal, the provider and their household members each need to complete and submit a Background Study Data Collection Form.

What if background study results indicate an individual is disqualified?

If the legal nonlicensed provider is disqualified, the provider cannot register to be a CCAP provider.

Request for reconsideration

A study subject can request reconsideration of their disqualification. The study subject will receive information about their right to request reconsideration in their disqualification letter, including contact information to send their reconsideration request to the CCAP agency. The CCAP agency reviews the request and makes a recommendation in NETStudy 2.0. Review the “NETStudy 2.0 Protocol for Logging in Requests for Reconsideration and Recommendations” under the Help section of NETStudy 2.0 for detailed instructions. DHS Background Studies division processes the reconsideration.

What if the provider is not disqualified but a household member is disqualified?

If the legal nonlicensed provider is not able to be authorized to provide care in the provider’s home because a household member of the provider has a factor that prohibits authorization, the family can request in-home care. For in-home care to be authorized, the family must request that the care be provided in the child’s home. The family’s request for in-home care must be approved by the department before the provider can be authorized to provide care in the child’s home. See Chapter 11.27 (In-Home Child Care Requests and Provider Information). If the child and the provider live in the same home, the provider does not meet legal nonlicensed criteria and cannot be paid by CCAP. See Chapter 11 (Providers) and Chapter 11.9 (Legal nonlicensed (LNL) providers).

Can previously denied legal nonlicensed applicants be authorized at a later date?

You may later authorize a previously denied legal nonlicensed applicant if the person:

· Applies for and obtains a valid Minnesota child care license, a license issued by a tribe or another state

AND

· Maintains the valid child care license

AND

· Provides child care in the area under the jurisdiction of the licensing tribe or in the state of licensure.

Do agencies need to perform a background study on legal nonlicensed providers registered by other CCAP agencies?

Agencies registering a legal nonlicensed provider who is already registered with another CCAP agency must initiate a new study on the provider and their household members. NETStudy 2.0 will determine if the individuals meet transferability requirements.

· If the individual meets transferability requirements (provides their Social Security number at every enhanced child care study initiation), new fingerprints are not needed and NETStudy 2.0 will connect the individual’s study results from the previous CCAP agency with the new CCAP agency.

· If the individual does not meet transferability requirements, a new study is required.

If the legal nonlicensed provider is not available within NETStudy 2.0 within two business days of your agency entering them in MEC2 as pending, email dhs.netstudy2@state.mn.us to request that the provider be “mapped” to your agency because they are registering with another CCAP agency. Include the acronym “ESVM” in the subject line and the following in the body: provider name, CCAP provider ID, provider date of birth, provider address and description of the issue. NETStudy 2.0 staff will complete work in NETStudy 2.0 to “map” the provider to your agency.

Where can I find more general information about legal nonlicensed background study requirements?

Each agency’s legal nonlicensed NETStudy 2.0 user is the agency’s first point-of-contact for background study questions related to legal nonlicensed providers. For more general information about child care provider background studies, see the department’s Minnesota child care provider background studies webpage or contact the department’s Background Studies Division at dhs.netstudy2@state.mn.us. Include the acronym “ESVM” in the subject line for questions about legal nonlicensed provider background studies. For questions about specific legal nonlicensed provider background studies, include: the provider’s name, CCAP provider ID, provider date of birth, provider address and description of the issue.

Initiating background studies

Before a study can be initiated, the legal nonlicensed provider must be entered in MEC2 in order for information to be transmitted to NETStudy 2.0. There is certain minimum information that must be entered in MEC2 to complete the legal nonlicensed provider’s pending registration in order for the provider to transfer to NETStudy 2.0, including 1) provider address and 2) Registration & Renewal window fields.

Note: Only the provider’s data is transferred to NETStudy 2.0 from MEC2. Information about other household members who are required to have background studies completed must be obtained through the NETStudy 2.0 applicant portal or Background Study Data Collection Form.

If you have questions about NETStudy 2.0, visit the Department of Human Services background studies page or contact DHS Background Studies at dhs.netstudy2@state.mn.us. Include the acronym “ESVM” in the subject line for questions about legal nonlicensed provider background studies. For questions about specific legal nonlicensed provider background studies, include: the provider’s name, CCAP provider ID, provider date of birth, provider address and description of the issue.

New legal nonlicensed providers registering with CCAP for the first time

· For new legal nonlicensed providers registering with CCAP for the first time, enter preliminary information into MEC2 and set the provider’s registration to status to “pending.” The data will transfer to NETStudy 2.0 overnight, and a study can be initiated by the CCAP agency’s NETStudy 2.0 user within two business days.

- It is recommended that agencies use a later date in the “Mailed date” field, such as the date the provider registration is being entered in MEC2, on the Registration & Renewal window to prevent or delay auto-denials to allow time for information to transfer to NETStudy 2.0.

Previously registered legal nonlicensed providers with a closed registration status

· For previously registered legal nonlicensed providers with a closed registration status, set the provider’s registration status to “pending.” The data will transfer to NETStudy 2.0 overnight, and a study can be initiated by the CCAP agency’s NETStudy 2.0 user within two business days.

- It is recommended that agencies use a later date in the “Mailed date” field, such as the date the provider registration is being entered in MEC2, on the Registration & Renewal window to prevent or delay auto-denials to allow time for information to transfer to NETStudy 2.0.

Currently registered legal nonlicensed providers at renewal

· For currently registered legal nonlicensed providers renewing their background study, information should already be available in NETStudy 2.0 for the CCAP agency’s NETStudy 2.0 user to submit a new study. To complete a background study for these providers and other required household members:

- If the CCAP agency completes the data entry:

· In NETStudy 2.0, select the legal nonlicensed provider from the Provider dropdown in which the background study subject is to be affiliated.

· Complete the data entry using the subject’s data collection form. An email address is required to be entered for the background study subject.

- If the CCAP agency has the provider complete data entry via the Applicant Portal:

· The NETStudy 2.0 user will generate the Applicant Initiated Instruction Form in NETStudy 2.0 and send the form to the legal nonlicensed provider. For instructions on generating the Applicant Initiated Instruction Form, refer to the NETStudy 2.0 LNL and FCC User Manual. When generated, the title at the top of the document is “Applicant Background Study.”

· The legal nonlicensed provider will follow instructions on the Applicant Initiated Instruction Form/Applicant Background Study. The form includes a unique provider number.

· After the provider has followed the steps in the instruction form, the NETStudy 2.0 user will see the provider in their Not Yet Submitted queue and will be able to resume and submit the study.

Consent and disclosure and fingerprint pre-enrollment

Study subjects must complete a consent and disclosure and fingerprint pre-enrollment within 14 days of the CCAP agency submitting the study:

· If the CCAP agency completes the data entry, upon submission of the background study the study subject will receive two emails. One email will be from DHS to complete the consent and disclosure. The second email will be from the fingerprint and photo vendor to complete the fingerprint pre-enrollment.

· If the CCAP agency has the provider complete data entry via the Applicant Portal, the subject will complete their consent and disclosure at the time of initiating their background study. The subject will receive one email from the fingerprint and photo vendor to complete the fingerprint pre-enrollment.

There are several resources related to the consent and disclosure and fingerprinting available in NETStudy 2.0 under the Help section. For additional questions, contact DHS Background Studies at dhs.netstudy2@state.mn.us. Include the acronym “ESVM” in the subject line for questions about legal nonlicensed provider background studies. For questions about specific legal nonlicensed provider background studies, include: the provider’s name, CCAP provider ID, provider date of birth, provider address and description of the issue.

Entering background studies results in MEC² and registering the provider

NETStudy 2.0 background studies results do not transmit to MEC2. CCAP agencies determine how background studies results will be shared between NETStudy 2.0 users and MEC2 provider workers. Provider workers must update the Background Study Window in MEC2 once results are obtained from NETStudy 2.0.

A provider registration will auto-deny in MEC2 after pending for 30 days after the “mail date.” The legal nonlicensed provider registration may be approved after the auto-denial if background study results are obtained or other registration requirements are met after the auto-denial. Providers can be registered retroactively from when background study results are received to the date the provider can first be paid for child care services. See Chapter 9.3 (Payments to Providers).

Note: It is recommended that the provider worker document all information about background studies in MEC² on the Provider Notes window.

Legal authority

Minnesota Statutes 119B.125 subds. 1a, 2, and 3
Minnesota Statutes 245A.10 subd. 2 (a-d)
Minnesota Statutes 245C.03 subd. 6a
Minnesota Statutes 245C.05
Minnesota Statutes 245C.08
Minnesota Statutes 245C.14
Minnesota Statutes 245C.15