Department of Criminal Justice Information Services

2. CORI Reform On August 6, 2010, Governor Patrick signed the CORI Reform Bill into law. The Bill makes significant changes to CORI law. The Bill has two effective dates: November 4, 2010 May 4, 2012

4. DCJIS Department of Criminal Justice Information Services Within the Executive Office of Public Safety and Security Secretariat Provider of the Commonwealth’s Criminal Justice Information Services to Law Enforcement Criminal Offender Record Information (CORI) CORI Unit Certification for Post Notification to Victims Firearms Support Services Office of the General Counsel- Legal Department

5. CHSB BOARD Who is the Board? 18 individuals designated by statute to meet monthly and determine who may obtain CORI access and to hear CORI violation complaints How does the Board decide? It balances the public’s need to know with privacy interest of those with criminal records while considering protection of children, elderly, disabled, and other vulnerable populations; need for successful re-integration of ex-offenders and public safety. Unless statute mandates CORI access, e.g., M.G.L. c.6 § 172G

8. What is CORI? Summary of Criminal Arraignments in Massachusetts All history from an individual’s 17th birthday and after, AND Any Youthful Offender information CORI does NOT include Juvenile criminal history records! Juvenile records versus Youthful Offender information

9. Overview of CORI Certification Process It is unlawful pursuant to M.G.L. c. 6, §172 to require an individual to provide a copy of his personal CORI The appropriate method to obtain CORI is through the certification process. Some applications reviewed individually by the board and others approved under a general grant of access previously established by the Board Certifications are valid for 2 years and agencies are responsible for submitting a renewal application before the certification expires. Expired agencies will not be allowed to submit CORI requests.

10. How to apply for CORI Certification Applications are accepted electronically via the Web CORI site Original Certification and Renewal processes both require that the Administrator submit an Agreement of Non-Disclosure (AOND) to the DCJIS. Submitters will be added by the Administrator after certification is approved. Incomplete applications will be returned to applicants. Provide detailed responses to the questions! Upon approval, agency contact will receive CORI certification letter and request form, general information packet by email If submitting a paper application, please be advised only the contact person will be notified of the approval. All other individuals that have submitted AONDs will only be notified if their individual AOND is denied. Applications submitted electronically will receive electronic notification by e-mail that the AONDs have been approved. 3) Contact the legal department at 617-660-4760 if you are interested in applying electronically for certification. Allow between 3 to 4 weeks for processing. Certification letter is very important. The certification letter describes the extent of your agency’s certification. Any questions regarding the scope of your agency’s certification may be directed to the legal department at 617-660-4760.If submitting a paper application, please be advised only the contact person will be notified of the approval. All other individuals that have submitted AONDs will only be notified if their individual AOND is denied. Applications submitted electronically will receive electronic notification by e-mail that the AONDs have been approved. 3) Contact the legal department at 617-660-4760 if you are interested in applying electronically for certification. Allow between 3 to 4 weeks for processing. Certification letter is very important. The certification letter describes the extent of your agency’s certification. Any questions regarding the scope of your agency’s certification may be directed to the legal department at 617-660-4760.

11. Scope of CORI CertificationLong Term Care Facilities Two different levels of CORI certification M.G.L. c. 6, § 172E “…position that involves the provision of direct personal care or treatment to residents of such facility.” ALL CORI, CONVICTION, PENDING, NON-CONVICTION M.G.L. c. 6, § 172(c) “…for the purpose of screening current and otherwise-qualified prospective staff and volunteers who have the potential for unmonitored access to elders.” AND “…for the purpose of screening current and otherwise-qualified prospective staff and volunteers who have the potential for unmonitored access to confidential patient files.” ACCESS LIMITED TO CONVICTION AND PENDING CORI.

12. Scope of CORI CertificationAssisted Living Facilities One level of CORI Certification M.G.L. c. 6, § 172C “…entities which employ…any individual who will provide care, treatment, education, training, transportation, delivery of meals, instruction, counseling, supervision, recreation or other services in a home or in a community based setting for any elderly person or disabled person or who will have any direct or indirect contact with such elderly or disabled person or access to such persons’ files…” ACCESS TO ALL CORI, CONVICTION, PENDING AND NON-CONVICTION

13. Requesting CORI for positions not within current certification How do you screen employees not covered by the scope of the current certification? Expanded CORI certification; application submitted to the Board Publicly Accessible CORI request NOTICE: It is a violation of the CORI certification issued to an agency to request CORI for positions or purposes outside of the scope of certification. This may jeopardize the agency’s CORI certification. DCJIS may audit your agency. Agencies found to violate this provision may be subject to civil, criminal and administrative penalties. Expanded CORI certification application must be submitted to CHSB for review. Expanded application should include list of positions agency is seeking additional access in order to screen. Please also provide public safety reasoning for your request. a) If request fits within a general grant, the Board will provide administrative approval and issue an updated certification letter outlining the certification. b) If request does not fit within a general grant the request will need to be individually reviewed by the Board. 2) Publicly accessible CORI requests do not require certification. The publicly accessible CORI request form is available on the CHSB website at www.mass.gov/cjis, click on “Criminal Offender Record Information Services”, then “Forms and Applications”. a) Publicly accessible CORI request differs from the level of information received in response to a request submitted under the agency certification. Publicly accessible CORI is limited to criminal convictions that have either occurred recently or carry a sentence of five years or more. Agencies are generally certified to receive all convictions and pending cases regardless of when the offenses occurred or the sentence for the conviction. Expanded CORI certification application must be submitted to CHSB for review. Expanded application should include list of positions agency is seeking additional access in order to screen. Please also provide public safety reasoning for your request. a) If request fits within a general grant, the Board will provide administrative approval and issue an updated certification letter outlining the certification. b) If request does not fit within a general grant the request will need to be individually reviewed by the Board. 2) Publicly accessible CORI requests do not require certification. The publicly accessible CORI request form is available on the CHSB website at www.mass.gov/cjis, click on “Criminal Offender Record Information Services”, then “Forms and Applications”. a) Publicly accessible CORI request differs from the level of information received in response to a request submitted under the agency certification. Publicly accessible CORI is limited to criminal convictions that have either occurred recently or carry a sentence of five years or more. Agencies are generally certified to receive all convictions and pending cases regardless of when the offenses occurred or the sentence for the conviction.

14. Access to CORI in May 2012 Long Term Care Facilities and Assisted Living Facilities will have the same level of CORI access under M.G.L. c. 6, s. 172E: Access will include ALL CORI “for the purpose of evaluating applicants under final consideration as, or an individual currently working as, an employee, a volunteer or a provider of care, treatment, education, training, transportation, delivery of meals, instruction, counseling, supervision, recreation or other services for an elderly or disabled person or for the purpose of evaluating applicants under final consideration for, or an individual currently working in, a position involving direct or indirect contact with such elderly or disabled persons or access to such persons’ personal information. “

19. Agreement of Non-Disclosure and Statement of CORI Certification Compliance AOND Requirements for CORI Authorized Staff Understand scope of agency certification Understand requirement to maintain an agency CORI policy Understand sanctions for improper dissemination of CORI Understand how to read and interpret a criminal record Understand CORI Check Results Processing Guidelines

20. CORI CHECK RESULTS PROCESSING GUIDELINES Signature required unless otherwise preempted by law. Access to CORI is limited to authorized personnel who have signed an Agreement of Non-Disclosure. CORI check results must be shared with the applicant/employee/volunteer to whom it pertains upon request by the named individual. "Shared" includes the provision of a photocopy of the CORI results. CORI check results must not be disseminated to any other person or agency except as provided by law. CORI check results must be kept separate from any other personnel files. Paper copies of CORI check results must be secured in a locked file cabinet when not being inspected. Electronic copies must be kept in a secure folder; only authorized individuals should have access to the folder.

22. CORI Certification Compliance Assessment CORI Certification Compliance and Training Unit Certification Compliance Assessments have been mailed to certified agencies. Purpose of assessment is to identify areas where agencies require additional training and/or information in order to be in compliance with terms and conditions of CORI certification. Important! Return completed assessments to DCJIS within the time frame indicated in the cover letter. CORI Training is now mandatory!

23. CORI Request ProcessFields of Information Required on CORI Request Form To conduct CORI requests, agencies must collect, verify and submit the following information (803 CMR 3.05): Name Date of Birth Social Security Number (optional) Place of Birth Mother’s Maiden Name Current and Former Addresses Sex Height, Weight and Eye Color State Driver’s License Number Signature (unless otherwise preempted by law) There are 2 basic steps to collecting the information to process a CORI request: 1) Step One- Collecting of the additional fields of information; obtain signature from applicant. 2) Step Two- Verifying the information with government issued identification.There are 2 basic steps to collecting the information to process a CORI request: 1) Step One- Collecting of the additional fields of information; obtain signature from applicant. 2) Step Two- Verifying the information with government issued identification.

24. How the ID Theft Index Affects CORI Request Processing Agencies must: Use CORI request form that includes “ID THEFT Index PIN Number” field; If an applicant discloses to your agency that they have a ID Theft Index PIN Number, your agency must either MAIL or FAX the CORI request for that individual to 617-660-4613. DCJIS will: Process the CORI request in the regular course of business and provide the agency with the CORI that has been determined to be attributable to that individual.

25. CORI Request ProcessVerification An applicant’s information must be verified with a government issued photographic form of identification such as: Driver’s License Passport Alien Registration Card Employment Authorization Card U.S. Military Identification Card Document the type of ID used for verification on the bottom of the CORI request form

26. DCJIS Regulations require: Verification of Government issued Photo ID, must occur prior to submission of CORI request to DCJIS Exception: If identification cannot be verified in person prior to submission, then may be verified at time of employment/benefit provided that: (a) copy is provided prior to submission; and (b) verified in person at time of employment or benefit. DCJIS Regulations require: Government issued identification must include a photograph. Exception: If no photo identification is available, then a birth certificate or social security card is acceptable. CORI Request ProcessVerification

27. CORI RESULTS No record in Massachusetts Further Investigation* Criminal Record* *Unless the result is a “No Record” agencies must provide: a copy of the criminal record; DCJIS’s Information Concerning the Process in Correcting a Criminal Record; AND DCJIS’s Information on How to Establish Yourself as a Victim of Identity Theft for CORI Purposes.

28. Opportunity to Dispute Accuracy and Relevance of CORI

29. Opportunity to Dispute Accuracy/Relevance Pursuant to 803 CMR 6.11 Certified agencies must: 1)Notify an applicant of the potential adverse decision based upon a CORI report 2)Provide a copy of the CORI report to the applicant, as well as the agency’s CORI policy 3)Provide a copy of the Information Concerning the Process in Correcting a Criminal Record AND Information on How to Establish Yourself as a Victim of Identity Theft for CORI Purposes.

30. Opportunity to Dispute Accuracy/Relevance Minimum Requirements Cont’d: 4) Inform the applicant which part of the CORI appears to make him or her ineligible 5) Provide the applicant with the opportunity to dispute the accuracy or relevancy of the CORI 6) Upon receipt of additional information from the applicant or the DCJIS, review the information with the applicant and notify him or her of the decision 7) Document all steps taken to comply with the section of the regulations. Agency CORI policy must outline how this opportunity will be afforded to applicants. CHSB cannot provided employment law advice. Please consult with your own legal counsel. Agency CORI policy must outline how this opportunity will be afforded to applicants. CHSB cannot provided employment law advice. Please consult with your own legal counsel.

35. Opportunity to Dispute Accuracy and Relevance of CORI Now: if a certified employer is inclined to make an adverse decision on the basis of CORI, he or she must provide the applicant certain due process rights. Effective May 4, 2012, any employer inclined to make an adverse decision on the basis of criminal history will be required to provide the CORI.

36. Effective May 4, 2012 Safe Harbor for employers that request and use CORI from DCJIS Employers not liable for negligent hiring practices by reason of relying solely on CORI received from DCJIS and not performing additional checks, unless required to do so by law. Employers not liable for discriminatory practice for failure to hire person based on inaccurate CORI requested from DCJIS, if the employer would not have been liable if the information had been accurate. Safe Harbor provisions apply only to employees that request CORI from DCJIS AND made an employment decision within 90 days of obtain CORI AND maintained and followed DCJIS regulations pertaining to verification of the subject’s identity.

42. Questions?