606 CMR 14.00: Criminal Offender and Other Background Record Checks

1. 606 CMR 14.00: Criminal Offender and Other Background Record Checks 1

2. Chapter 459 of the Acts of 2012 (as amended by Chapter 77 of the Acts of 2013) • Requires and authorizes EEC to conduct fingerprint-based checks of the state and national criminal history databases • Requires EEC to conduct Sex Offender Registry Information (SORI) checks • Effective September 1, 2013

3. Why make this change? • To better protect children from individuals whose prior conduct poses an unacceptable risk to the children served by EEC and its licensed and/or funded programs.

4. Why Emergency Regulations? • Because EEC’s current regulations provide only for CORI and DCF record checks (MA only). • Emergency regulations are effective immediately upon filing (public comments come later). • Allow EEC to comply with legislative mandate as soon as possible.

5. CURRENT PROCESS: • EEC reviews CORI and DCF background information and approves/denies: • Individuals affiliated with a family child care home (license holders/applicants, household members, those regularly on the premises and assistants); • Licensees and Reviewers (for large and small group programs, residential facilities and placement agencies); • In home, non-relative caregivers* • All others are approved/denied by Employers

6. NEW PROCESS: • EEC will review: • SORI data (for all types of care) • FBI (fingerprint) data (for all types of care including employees/volunteers/interns of EEC licensed and/or funded programs and transportation providers but excludes informal relative caregivers) • CORI and DCF data (for family child care-related individuals, all Licensees and Reviewers, and in home, non-relative care providers) • Employers will review: • CORI and DCF data (for their employees/volunteers/interns)

7. NEW PROCESS (continued): • If CORI, DCF and SORI records are approved, THEN: • Applicant will be referred for fingerprint scan. • EEC will review FBI (fingerprint) data results and approve/deny individual for hire/license/in-home, non-relative caregiver reimbursement.

8. The Work So Far…. • The Executive Office of Public Safety and Security (EOPSS) released a competitive bid and has selected MorphoTrust USA to scan fingerprints and submit to FBI. • MorphoTrust USA is collaborating with EOPSS, EEC and ESE to develop a fingerprint scanning process responsive to the needs of those being fingerprinted. • EEC is addressing legal, policy, procedure, IT and staffing issues.

9. Vendor Services • Individuals will register by telephone or on-line for a fingerprint scan appointment. • Individuals will present an acceptable form photo ID – list of approved IDs in process. • Individuals will pay $35 per person at registration (e-pay) or at appointment (bank check or money order only). • Fingerprints will be scanned at 8 locations initially; 30+ locations are expected by April 2014.

10. Proposed Policies and Procedures:SORI Checks • EEC is now responsible for conducting SORI checks and reviewing results for all applicants for licensure, certification, approval, or hire. • If the SORI check results in identifying a Level 2 or Level 3 sex offender, the applicant is presumed disqualified, but may seek a review of the findings. • Upon request, EEC will approve or deny applications for licensure, approval or employment.

11. Processing of Fingerprints • MorphoTrust USA will submit fingerprint scans to FBI. • FBI will process and return results to MA State Police. • State Police will send results to EEC. • EEC will review and communicate results to applicants. • If the fingerprint results indicate a criminal history, EEC will notify applicant of results and of his/her rights to review. • After review, EEC will notify applicant and employer of ability to hire.

12. Proposed Policies and Procedures Until fingerprint processing becomes available: • All new or renewal applications submitted on or after September 1, 2013 for licensure, employment* or in-home non-relative child care may be approved “conditionally” based on CORI, DCF and SORI information. * For purposes of new BRC requirements, transportation providers, including sub-contracts, are considered “employees” • All “conditional” licenses, employment decisions and informal child care approvals will be tracked by EEC and referred for fingerprint registration and processing as soon as it becomes available. • As noted in the FAQs, programs are expected to be keeping a list of all new hires since 9/1/13.

13. Can I hire an individual before the FBI fingerprint results are reviewed? • If the potential employee clears CORI, DCF and SORI, a program may proceed with the hiring process. • Prior to completion of the FBI fingerprint process, the conditional employee may have unsupervised contact with children

14. Proposed Policies and Procedures Once fingerprint processing is available: • All new applicants for licensure or approval must complete full BRC review, including CORI, DCF, SORI and fingerprint (FBI) review before a license or approval will be issued. • All new applicants for employment, volunteers, interns and transportation providers, if determined hiring is necessary, may be hired conditionally pending results of FBI fingerprint checks, provided that the initial CORI, DCF and SORI checks are cleared. • After FBI check is reviewed and approved, programs may finalize hiring decisions without any conditions. • If the fingerprint results indicate a criminal history, EEC will notify applicant of results and of his/her rights to review. • After review, EEC will notify applicant and employer of ability to finalize hiring decision.

15. Proposed Policies and Procedures Once fingerprint processing is available: • All individuals started work or applied for a license or funding before September 1, 2013 must complete fingerprint checks by September 1, 2016, on a schedule to be developed by EEC. • Frequency of BRC Checks: • CORI and DCF checks must be repeated at least every three years, or whenever an individual changes employers. • EEC will periodically run SORI checks. • FBI check must be repeated every three years unless an individual moves out of state and returns or has a break in employment with an EEC licensed or funded program.

16. Next Steps

17. Next Steps • Board Approval of emergency regulation filing: 606 CMR 14:00: Criminal Offender and Other Background Record Checks; • Publication of emergency regulations; • Enhancements to EEC’s IT systems to accommodate FBI and SORI check results; • Hiring/training of BRC staff to receive and process FBI results; • Implementation of new processes; • Public Comment on emergency regulations; • Revisions, as appropriate, based upon public comment; • Board approval and filing of final regulations within 90 days.

18. Further Information • A Revised Q&A document has been posted to EEC’s website following the informational meetings at: http://www.mass.gov/edu/government/departments-and-boards/department-of-early-education-and-care/news-and-updates/2013/ • EEC’s dedicated e-mail box EECFingerprint@massmail.state.ma.us is available for specific questions.