§ 950-1-4-.05. Applicant Information
(1) All applicants and holders of a license or six-month permit must be suitable and of good moral character in order to operate a Facility. All applicants shall be investigated to determine character and suitability to hold such a license or permit. For purposes of this requirement, an applicant includes all board members and officers of corporations, partnerships, associations, or other legal entities having direct contact with the Facility Youth. Evidence of unsuitable character may be the basis for the denial of an initial application or renewal, or the suspension, or revocation of a license or six-month permit.
(2) The Department of Youth Services shall review information regarding the character and suitability of the applicant at the time of initial application. The review will consist of the following components:
(a) Review of Past History: The character and suitability of a licensee/permit holder may be assessed by a review of the past history of the individual regarding their veracity and their ability to care for Youth. Past history to be considered includes but is not limited to the following:
1. False or misleading statements made by the individual to the Department or other Government Facility personnel regarding incidents or events occurring while on the job or surrounding part of any child abuse or neglect investigation conducted by the Department of Human Resources, law enforcement or other government officials are considered as evidence of unsuitable character.
2. Applicants for a license/permit and holders of licenses/permits who are discovered to have had a history of (1) operating without a license and refusal to cease operations and apply for a license or permit or (2) refusal to allow the Department to conduct investigations regarding their activities or allegations of abuse and neglect or history of noncompliance with minimum Standards are also considered as evidence of unsuitable character.
(b) Criminal History: § 38-13-3 - All new licensed applicants (as well as owners, board members, officers of corporations, or partners of any entity owning or operating a Facility who have direct contact with Youth) must do the following:
1. Complete the DYS Mandatory Criminal History Check Notice form. The form can be obtained from the Office of Licensing and Standards. Send the original to DYS and maintain a copy on file at the Facility.
2. Complete the Criminal History Information Release form. Send the original to the Alabama Bureau of Investigation (ABI) and a copy to DHR and the Department at the addresses listed on the form.
3. Obtain fingerprint cards from the Department. Complete all required information on the fingerprint card and have two complete sets of fingerprints made on separate cards by the local law enforcement Agency or anyone trained in fingerprinting techniques. Send the cards along with the Criminal History Information Release form and a cashier's check or money order in the required amount to the address listed on the form. Do not send personal checks, as they are not acceptable.
4. Fingerprints may be collected through the use of ink pads and fingerprint cards or through the use of ink-less "live scan" fingerprinting devices to collect fingerprints and print them on cards or electronically transmit the fingerprints to the Department of Public Safety with the use of a fingerprint card. When no copy of the fingerprint card is available because of the electronic transmission of live scan fingerprints, written documentation from the individual or law enforcement Agency that the fingerprints have been collected and transmitted shall be maintained in the file at the Facility and sent to the Department.
5. Fingerprints are not required when a disability prevents an individual from being fingerprinted. Disabilities preventing fingerprinting include only the loss of both hands, severe scarring of all fingers, closed paralytic hands, and similar disabilities. In situations involving a covered disability, only a completed Criminal History Information Release form is required. The Department of Public Safety shall conduct a criminal history background information check by name and Social Security number only in such cases. Documentation or verification that the disability prevents fingerprinting obtained from law enforcement or from an individual trained in fingerprinting techniques is required to be submitted to the Department of Public Safety and the Department.
6. A photo ID, such as a valid driver's license or military ID, with names and Social Security numbers, must be obtained as identification verification and a copy kept on file at the Facility.
7. The Alabama Department of Public Safety shall perform criminal history background information checks and request national criminal history checks from the Federal Bureau of Investigation. The Department of Public Safety shall send the Department a criminal history background information report listing all arrests, convictions, punishment, and sentences, etc., on individuals being checked.
8. The Department shall review the criminal history background information report and determine whether the applicant meets the suitability requirement based on the presence of any disqualifying conviction listed on the criminal history background information report.
9. A conviction for any of the following crimes disqualifies an individual for licensure: murder; manslaughter, criminally negligent homicide; sex crimes; physical injury or maltreatment of a child, the elderly, or an individual with disabilities; a crime committed against a child; the sale or distribution of a controlled substance, robbery, other convictions disqualifying the person under other federal or state law; rape in the first or second degree; sodomy in the first or second degree; sexual torture, sexual abuse in the first or second degree, enticing a child to enter a vehicle, room, house, office, or place for immoral purpose, promoting prostitution in the first or second degree; violation of the Alabama Child Pornography Act; kidnapping a child (except by a parent) in the first or second degree; incest (when the offender is an adult and the victim is a minor); soliciting a child by computer for the purposes of committing a sexual act and transmitting obscene material to a child by computer; any solicitation, attempt, or conspiracy to commit any of the above crimes; any crime committed in another state or federal, military, Indian, or foreign country jurisdiction which, if it had been committed in this state, would constitute an offense listed above; and any crime subsequently added to the list of crimes covered by the Community Notification Act of 1999.
10. The Department shall issue a suitability determination letter to the applicant and maintain a confidential file on individuals for whom a criminal history background information report or report updates have been received. The letter shall state only whether the person is suitable as an applicant for licensing. It will not list any convictions or other criminal history information.
11. The Department shall send the applicant on whom a criminal history background information check has been requested a copy of the letter determining suitability. The individual has thirty days from the date of notification to request in writing a reversal of the determination of suitability. No request for a reversal shall be made for a sex crime or a crime involving a child, an elderly individual, or an individual with disabilities. A request may not be made unless five years have passed for misdemeanors and ten years for felonies from the end of the sentence or probation or parole, whichever is the latest. The individual with the disqualifying criminal conviction shall affirmatively show clear and convincing evidence of successful rehabilitation. All of the following shall be considered:
(i) Nature and responsibility of the position which the convicted person would hold or has held.
(ii) Nature and seriousness of the offense committed.
(iii) Circumstances under which the offense occurred.
(iv) Date of the offense.
(v) Age of the person when the offense was committed.
(vi) Whether the offense was an isolated or repeated incident.
(vii) Social conditions which may have contributed to the offense.
(viii) An available probation or parole record, report, or recommendation.
(ix) Evidence of rehabilitation, including good conduct in prison or in the community, Counseling or psychiatric treatment received, acquisition of additional academic or vocational schooling, successful business or employment history, and the recommendation of his/her supervisors.
(x) The Department shall send a copy of the criminal history background information report received from the Department of Public Safety to the individual on whom a criminal history background information check has been requested. The affected individual shall have the opportunity to challenge the accuracy of the report with the Department of Public Safety.
(xi) The Department shall deny the initial application if the applicant receives a determination of unsuitability.
(xii) Only one criminal history background information check shall be required per individual. If the individual certifies on the Mandatory Criminal History Check Notice statement that a criminal history check has been performed by the Department of Human Resources or by the Department of Education, the Department shall issue a determination of suitability based on the criminal history report and automated updates received from the Department of Public Safety. If the previous report cannot be obtained or located, a new criminal history check shall be required by the Department.
(xiii) Any applicant or holder of a license or six month permit shall inform the Department of any subsequent criminal conviction. Oral reports by telephone to the Department or in person shall be made within twenty-four hours and followed by a written report within five days. This information shall be kept on file by the Department. The Department shall require the individual to provide detailed information about the conviction and submit fingerprints and completed forms for a criminal history background information check if a check has not already been performed. The Department shall use the information gathered to make a suitability determination regarding the conviction.
(xiv) The Department shall not be responsible for the payment of any fees required for obtaining criminal history background information on individuals.
(xv) Anyone who fails or refuses to complete the required forms, fingerprints, photo ID, required fee, or who reveals a disqualifying conviction in completing the form may not be issued a license or permit.
(c) Child Abuse and Neglect History. The character and suitability of an applicant shall also be assessed by a clearance of the State Central Registry on Child Abuse/Neglect.
1. At the time of initial application, a Request for Clearance of State Central Registry on Child Abuse/Neglect (DHR-DFC-1598) shall be submitted by the applicant to the Department for processing (Obtain form from local DHR office). Completed forms shall be kept in the application file. NOTE: Subsequent Request for Clearance of State Central Registry on Child Abuse/Neglect may be requested at any time.
2. A review shall be conducted on all applicants for a license/permit who are discovered to have been determined by a child or adult protective service Agency in any state, to have perpetrated the abuse or neglect of a child or adult.
3. Determinations that fall within the general subject area outlined under Criminal Records check above, even if no criminal conviction has occurred, are considered evidence of unsuitable character.
4. Approval shall be denied, terminated or the approval revoked if persons are determined to not be of appropriate character or suitability to work with or provide care and supervision for Youth.(New Rule: Filed December 17, 2004; effective January 21, 2005. Amended by Alabama Administrative Monthly Volume XXXVII, Issue No. 02, November 30, 2018, eff. December 21, 2018.)
Author: Alabama Department of Youth Services, Office of Licensing and Standards
Statutory Authority: Code of Ala. 1975, §§ 44-1-27(a), (b); 44-1-24(4), (6); 38-13-4.
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