Overview
EEC did not conduct background record checks for FCC program licensees, their household members, or persons regularly on the premises. Specifically, 14 (23%) of the 60 FCC program licensees were noncompliant with the required background record checks. We projected these findings onto the entire FCC program licensee population of 5,799 using a 95% confidence level, suggesting the true proportions of noncompliance with background record check regulations. The breakdown of these exceptions and projections are as follows:
- Of the 14 exceptions, 6 (43%) had none of the required background record check components completed. The projected noncompliance equates to an estimated 220 individuals in the FCC program licensee population, or approximately 3.8%.
- Of the 14 exceptions, 5 (36%) did not have the required fingerprint background record checks (some of which had been run but were still pending). The projected noncompliance equates to an estimated 162 individuals in the FCC program licensee population, or approximately 2.8%.
- Of the 14 exceptions, 3 (21%) had not undergone the required background record check renewal every three years. The projected noncompliance equates to an estimated 62 individuals in the FCC program license population, or approximately 1.1%.
Individuals who no longer reside or work on a program’s premises may still be listed as household members in LEAD in error, potentially leading to inaccurate background record check results. Without accurate background record checks for FCC program licensees, EEC cannot ensure the safety of the children in these programs.
Authoritative Guidance
According to 606 CMR 14.05(2),
Family Child Care Background Record Check (BRC) candidates include the following:
(a) Current family child care [programs or] licensees and applicants for licensure;
(b) Household members . . . 15 years of age or older, regardless of whether such individuals are present while child care children are present; and persons regularly on the premises (including volunteers and other regular visitors) 15 years of age or older in family child care programs; and
(c) All current and prospective family child care assistants and volunteers, regardless of whether such individuals are present in an unsupervised capacity with children in the Program.
The above candidates will be required to complete a [Criminal Offender Record Information], DCF, [sex offender registry information], [National Sex Offender Registry], fingerprint-based check and all out of state checks . . . according to the timelines defined by EEC policy.
Reasons for Issues with FCC Program Licensee Background Record Checks
EEC told us that it cannot update the information in LEAD on household members and individuals on premises of FCC programs unless those programs submit a signed affidavit confirming that the individual no longer resides or works at the program.
Recommendations
- EEC should require FCC programs to submit signed affidavits to EEC immediately upon any change to the program’s household members.
- EEC must ensure that all relevant individuals related to FCC programs receive background record checks and renewed background record checks every three years.
Auditee’s Response
EEC recognizes the importance of background record checks on FCC program providers and their household members.
During the audit period, due to the COVID-19 pandemic, FCC providers were closed from March 23, 2020, through June 29, 2020, when some, but not all, programs began to reopen and were brought into BRC compliance. Additionally, funded programs, which are closed in the summer, were brought into compliance after they reopened.
Currently, EEC requires that all relevant individuals related to FCC programs receive background record checks and renewed background record checks every three years. EEC will not issue a license to an FCC where the relevant individuals have not passed the background record checks. The LEAD system sends providers an email notifying them of any individual requiring a renewal in their program at 120, 90, 60, and 30 days before expiration. EEC further implemented a policy that cancels any BRC candidate who fails to submit a fingerprint within 45 days. This information is shared between the Navigator and LEAD systems so that a license will not be issued when there are employees with outstanding or expired background record checks. Finally, EEC requires FCC programs to submit signed affidavits upon any change to the program’s household members, including when an individual without a completed background record check vacates the premises.
Specifically, in response to the 14 exceptions identified by the Auditor, those exceptions relate to 14 programs and 19 individuals within those programs. Of those 19 individuals:
- 1 provider was closed and not providing care during the audit period.
- 2 household members had valid fingerprints for different roles that were not properly transferred in the system.
- 1 household member had a valid fingerprint that was incorrectly attached to an older submission.
- 1 household member was not 15 at the time of the renewal visit, and thus did not require a BRC.
- 7 household members were listed as not active, were not listed as a household member or “regularly on premises” (ROP), and/or were not living with the provider during the audit period.
- 1 household member had a valid fingerprint according to the suitability letter.
Auditor’s Reply
EEC states that, during the audit period, FCC providers were closed from March 23, 2020 through June 29, 2020, due to the COVID-19 pandemic and that some programs began to reopen thereafter. However, this closure period occurred before the audit period began. Therefore, the closures during that time do not explain the deficiencies during the audit period that we identified. The majority of the audit period occurred well after FCC programs had resumed operations, and EEC had ample opportunity to ensure compliance with background record check requirements. It is unclear why EEC would cite unrelated facts from before the audit period.
Regarding the specific exceptions identified, EEC provides explanations for the 19 individuals involved in the 14 exceptions, suggesting that many of these exceptions were due to inaccuracies or misclassifications. However, these explanations point to underlying issues (described below) in EEC’s recordkeeping and oversight processes, which require improved management to both resolve and prevent in the future.
- Provider Closure: EEC notes that one provider was closed and did not provide care during the audit period. However, according to EEC’s own records, this provider was listed as active during the audit period when we collected the evidence in 2024. If the provider was indeed closed in 2021 or 2022, it is imperative that EEC’s records accurately reflect this status to prevent potential risks. Inaccurate records hinder EEC’s ability to monitor compliance effectively.
- Fingerprint Errors: For the two household members whose valid fingerprints were not properly transferred in the system, and the one household member whose valid fingerprint was incorrectly attached to an older submission, these issues highlight deficiencies in EEC’s recordkeeping. Accurate and up-to-date records are essential for ensuring compliance with background record check requirements and for keeping children safe.
- Age Misclassification: EEC states that one household member was under 15 years old at the time of the renewal visit and did not require a background record check. However, the data within LEAD indicates that household member was in fact 15 years of age and did not have a background record check during the audit period. Our audit work relied upon the accuracy of the EEC records contained within the LEAD system. It is possible that, if EEC’s records contain additional inaccurate data, the true number of exceptions is understated. EEC’s self-reported inability to maintain accurate records and effectively oversee background record checks is a serious concern, as relying on outdated or incorrect information could compromise the safety of children in FCC programs.
- Inactive or Non-Resident Household Members: The seven household members who EEC claims were listed as not active, were not listed as household members or “regularly on premises,” or were not living with the provider during the audit period suggests inconsistencies in EEC’s records. If these individuals were no longer residing within the homes of the FCC programs, EEC should have received and processed signed affidavits to update its records accordingly. These inconsistencies in EEC’s records not only hinder its ability to monitor compliance effectively but also limit our capacity to assess the full scope of noncompliance. The purpose of conducting background record checks on household members in the FCC program homes is to ensure that none of these individuals pose a threat to the safety of children in FCC programs. Inaccurate records could potentially allow dangerous individuals near these vulnerable children.
- Discrepancy in Suitability Letter: The household member who EEC claims had a valid fingerprint according to the suitability letter but was not reflected accurately in EEC’s system indicates a disconnect between documentation and data records. This discrepancy underscores the need for EEC to ensure consistency across all records and to verify that suitability determinations are accurately recorded in its systems.
We note that EEC only attempted to explain 13 of the 19 individuals identified in the 14 exceptions. They have not provided any explanation for the remaining 6 individuals.
While EEC attributes many of these exceptions to administrative or recordkeeping errors, the fact remains that during the audit period, EEC did not ensure that all required background record checks were completed. Accurate recordkeeping and effective oversight are critical components of EEC’s responsibility to protect the safety and well-being of children in FCC programs.
Moreover, EEC notes that it requires FCC programs to submit signed affidavits upon any change to the program’s household members. However, relying solely on FCC programs to self-report changes without robust oversight increases the risk of incomplete or outdated information, which can lead to noncompliance with background record check requirements.
| Date published: | November 25, 2024 |
|---|