Persons applying to be registered home child care providers who are denied based on a Child Abuse/Neglect (CA/N) probable cause history may request a review of their situation for extenuating/mitigating circumstances.  This memorandum discusses detailed instructions on the process these reviews will follow.  Attached to the memorandum is a flow chart diagramming the process.  Staff may utilize the flow chart as a desk aid when determining what option to offer an individual through the review process.


County offices receive notification if a prospective registered child care provider has a CA/N hit.  This notice is in the form of a letter from the Background Screening Investigation Unit of the Child Abuse/Neglect Central Registry.  The letter will identify the perpetrator of the incident, the date of the incident, the type of allegation/s (physical abuse, neglect, sexual abuse, emotional maltreatment, etc.), the severity of the incident and the conclusion of the incident.  Upon receipt of this notice, the county office immediately initiates the appropriate action based on the status of the provider's registration.

For active providers, send an IM-80 informing them of the proposed action to be taken on their registration.  The provider registration and health and safety certification is closed when the IM-80 expires.  Under no circumstances should the registration remain open, even when a hearing has been requested.

If the individual is applying to be a registered home provider, send an IM-32CC notifying them that their registration request has been denied.  The legal reference to be used for these denials is CCS/SS/SCS/HCS/HB490/308.  This legislation passed in August, 1999 and is described in Memorandum IM-117 dated August 27, 1999.  In both situations, offer the individual an opportunity to have their denial reviewed for extenuating/mitigating circumstances prior to processing a request for an administrative hearing.  This information must be included on the IM-80 (for active providers) or the IM-32CC (for applying providers).  A copy of the IM-80 or IM-32CC must be sent to the child care eligibility household at the same time the provider is informed of the proposed action.

Certain types of CA/N incidents will not be allowed for review.  Individuals who have had one of these incidents may request an administrative hearing, but their situation has been deemed by the agency to be severe enough that a review will not be completed.  Following is a list of these CA/N types:

  • Any sexual abuse, regardless of the severity;

  • Any emotional maltreatment, regardless of the severity;

  • Physical abuse or neglect of the following severity:
    •   Moderate;
    •   Serious;
    •   Severe;
    •   Permanent damage, or
    •   Fatal.
  • Educational neglect of any severity above moderate.

If an individual requests a review for extenuating/mitigating circumstances with any of the above CA/N types, inform them that a review cannot be done and discuss the option of an administrative hearing.


At the time a registered provider (active or applying) requests a review of their registration, county office staff must obtain the following information to begin the review process:

1. The CA/N report on the incident in question including any narrative;

2. A statement from the provider explaining why they believe their registration should remain active or be approved.  This statement must include any extenuating/mitigating information about the CA/N report and/or the provider's present situation that should be considered in the review.  The statement may be supplemented by,

3. A statement from a household member, (including the information contained in #2 above) if that household member is the CA/N perpetrator.

An authorization for release of information does not need to be signed by the alleged perpetrator of the hotline report because this information is used for intra-agency purposes.

Please note that a review will not be completed at any level without the first two items listed above.  If a request is submitted without either number one or number two, the request will be returned to the county office denying the review.  The provider may then choose to request an administrative hearing.


The county office will review the registration information first.  The review must be completed by someone above the front line worker level.  It is preferable that the review include Children's Services and Income Maintenance staff. The decision may be made at the local county level to uphold a denial based on the submitted information, or to continue the review at the area level.

If the decision is to continue the review process to the area level, the local county office will include a recommendation of their findings.  Any information that the county office has that pertains to the individual should be included in the recommendation. 

The county office will have two (2) working days from the date the information is gathered to review the documentation and either deny the provider or recommend to area office the individual continue in the review process.

NOTE:  Only send those reviews which need to continue the review process to the next level.  If the decision is made to uphold the registration denial, the review does not go to the next level.  The individual is then notified that they may request an administrative hearing.


When it is determined to pursue the review process beyond the local county office level, all appropriate documentation will be forwarded to the area office.  Area offices will determine if the information submitted by the county office is complete as specified in section "PROCESSING A REQUEST FOR REVIEW" of this memorandum.

Area office staff will have three (3) working days upon receipt of the documentation to review the information and determine whether the decision to deny the individual's registration should be upheld or make a recommendation that the review process continue to the central office level.  If Area Office determines to uphold the decision of denial they will notify the county office of their decision.  The county office will then notify the provider of the review decision.

When Area Office determines the review process should continue, the supporting information with their recommendation is sent to Central Office, to the attention of the Income Maintenance Child Care Program and Policy Unit.


Central Office will have ten (10) working days from the date the documentation is received  to review the information for extenuating/mitigating circumstances.  The Central Office review team consists of staff from Income Maintenance Child Care Program and Policy Unit and Children's Services Program and Policy Unit.  The review will be completed as a joint effort by the two units and the recommendation will be made jointly.

When the review is completed, Central Office Income Maintenance Child Care Program and Policy Unit will send a notice to the county office of the decision of the review.  The county office will then notify the provider of the outcome of the review.  A sample of the notice is attached to this memorandum.

If the decision is to uphold the denial of registration, the provider may then request an administrative hearing.  If it is determined the provider's registration may be continued/approved, the county office will take the necessary action to backdate any payment due to the provider while the review decision was pending.


There have been several questions regarding reviews of CA/N incidents that are subject to expungement.  Regardless of the date a CA/N is due to be expunged in the Child Abuse/Neglect Central Registry system, action must be taken to close or deny a provider's registration if a match has been found.  The provider may ask for a review as previously outlined in this memorandum.  If the CA/N becomes expunged during the review process, the review will be completed.  If the decision of the review is to uphold the denial of registration, the provider may either request an administrative hearing or submit another background screening after the CA/N has been expunged.


Upon receipt of this memorandum, Child Abuse/Neglect reports received through the Central Registry Unit (CRU) will be screened by CRU for the alleged perpetrator's status in the Child Care Registration system.  This information will be forwarded at the same time the CA/N report is referred to the county office for investigation.  If it is found, upon completion of the CA/N investigation, that a registered child care provider, or a member of their household age 18 or older, receives a "probable cause" conclusion, Children's Services staff will notify Income Maintenance staff.

The "CA/N Disposition Form Letter for Parents, Non-Custodial Parents, and Alleged Perpetrators" (CS-21) will be used as notification to Income Maintenance staff.  A copy of the CS-21 will be sent to the County Director or Income Maintenance Program Director, as appropriate, when a registered child care provider (or a member of their household age 18 or older) has been found with a "probable cause" CA/N conclusion.

Income Maintenance staff will follow the same process for initiating denial of the provider's child care registration as outlined in this memorandum and memorandum IM-#117 dated August 27, 1999.


Central office staff has been fielding numerous inquiries from providers who are interested in having the CA/N incident, for which their registration was denied, be reviewed.  Under no circumstances should a review of a provider's child care registration be confused with a review of the Child Abuse/Neglect report findings.  The review defined in this policy memorandum is for the purpose of determining the continuation/approval of a child care provider's registration.  The CA/N report is submitted as part of the extenuating/mitigating circumstances.  The report is not reviewed for the appropriateness of the conclusion of the CA/N investigation.  Income Maintenance Child Care Program and Policy does not have the authority to review any CA/N findings for the purpose of determining if the CA/N decision should be reversed.  Staff is encouraged to discuss the difference in the two review processes with providers to avoid any miscommunication or confusion.  Direct any inquiries pertaining to a CA/N review to the appropriate Children's Services staff person.

  • Share this memorandum with all appropriate staff.

  • Follow instructions outlined in this memorandum for obtaining the necessary information to begin a request for review of child care registration.

  • Institute local procedures for child care registration reviews.

  • Institute area office procedures for child care registration reviews.

  • Institute local procedures for Children's Services staff to notify Income Maintenance staff when a probable cause CA/N is received during a registered home child care provider's registration year.

  • Direct any inquiries pertaining to reviews of CA/N report conclusions to Children's Services.
IM Distribution #6
CS Distribution #A
(Not all attachments available on-line.)

[ Memorandum Table of Contents ]







The above named individual has requested a review for extenuating/mitigating circumstances of the denial of their child care registration.  The denial was based on the conclusion of a probable cause, reason to suspect, or substantiated Child Abuse/Neglect incident dated (incident date) with findings of (category of abuse), and (severity of abuse) in nature.

The review has been completed and the following decision has been made:

  • Uphold the decision to deny registration.

  • Reverse the decision to deny registration.
Please notify the provider and the eligibility household of this decision.