Department of Criminal Justice Information Services

1. Department of Criminal Justice Information Services MA Senior Care Foundation Training March 3, 2011

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

3. Agency Name Has Changed Effective November 4, 2010, the Criminal History Systems Board (CHSB) became DCJIS or the Department of Criminal Justice Information Services. However, our agency mission remains the same.

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

6. New and Improved Board Coming! • Effective May 4, 2012, the Criminal Records Review Board (CRRB) will replace the present Board. • CRRB’s membership will increase to include members from labor and workforce development, victim services, ex-offender rehabilitation, and personal privacy. • CRRB’s primary role will be to investigate and conduct hearings of complaints regarding violations of the CORI statutes and regulations.

7. CRRB’s Enhanced Authority CHSB (soon to be CRRB) now has the authority to sanction employers and landlords with increased fines. • $1,000 for a first violation. • $2,500 for a second violation. • $5,000 for a third or subsequent violation.

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

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.

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. “

15. Effective May 4, 2012, All Employers and Landlords Will Have “Standard CORI Access.” • Employers and Landlords will be able to access CORI using a new system “iCORI” currently in the planning stages. • They will be able to access CORI for employment, housing, volunteer and professional licensing purposes. • Employers and Landlords will register for CORI access, instead of applying to become certified.

16. The new “Standard CORI Access” will be restricted to: • Convictions: • All murder, manslaughter, and sex offense convictions • Any felony convictions that occurred within the last 10 years or for which the applicant was incarcerated within the last 10 years; and  • Any misdemeanor convictions that occurred within the last 5 years or for which the applicant was incarcerated within the last 5 years. • Note: If any criminal conviction qualifies to be included on the CORI report under the above rules, then all prior convictions will appear on the CORI report as well, regardless of when they occurred. • Pending cases: Any criminal charges pending as of the date of the request, including pending cases that have been continued without a finding.

17. Exceptions to Standard CORI Access: “Required CORI” Employers who must comply with statutory, regulatory, or accreditation requirements regarding employees’ criminal records, e.g. hospitals and banks will have access to additional adult CORI information. Employers that currently receive CORI under federal or state law authorizing or requiring them to conduct CORI checks will continue to have the same access, e.g. schools, camps, day care centers, nursing homes and assisted living facilities.

18. “Open CORI” • Effective May 4, 2012, the amount of CORI deemed “public” will change. • After May 2012, DCJIS will still provide CORI, within certain time parameters, in response to public requests. • Stay tuned for further information • on the new parameters.

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.

21. CORI CHECK RESULTS PROCESSING GUIDELINES CONT. • CORI check results and CORI request forms may be kept for the duration of employment/volunteer service and up to three years thereafter for purposes of defending against any discrimination action. • Only one copy of an individual’s CORI check results is to be kept on file, either electronically or in paper form, at any time. • CORI data must be completely destroyed when no longer needed. Paper copies of CORI check results must be shredded. Electronic copies must be deleted from the folder in which they are kept, any “recycle” mechanism utilized by the computer’s operating system, any backup medium utilized by the agency.

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)

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 RecordANDInformation 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.

31. SAMPLE CRIMINAL RECORD FOR TRAINING PURPOSES ONLY NAME: DOE, JOHN PCF: 123456789 DOB: 01/01/1950 Page: 01 ****WARNING**** THIS INFORMATION IS CORI. IT IS NOT SUPPORTED BY FINGERPRINTS. PLEASE CHECK THAT THE NAME REFERENCED BELOW MATCHES THE NAME AND DATE OF BIRTH OF THE PERSON. COMMONWEALTH OF MASSACHUSETTS DEPARTMENT OF CRIMINAL JUSTICE INFORMATION SERVICES ***PERSONS COURT SUMMARY*** NAME: DOE, JOHN FORMAL NAME: JOHN PCF: 123456789 DOB: 01/01/1950 SEX: M RACE: W POB: BOSTON, MA SSN: 987654321 MOTHER: ROE, JANE FATHER: JEFF ADDRESS: 123 MASSACHUSETTS AVENUE, BOSTON ALIAS: NAME: ROE, JON FORMAL NAME: DOB: 01/01/1950 SEX: M RACE: ADULT APPEARANCES ARG DATE: 01/01/2005 PD: BOS COURT: BOSTON MUNICPAL DKT#: 123CR005 OFF: OPER UND INFL OF LIQ 111A DISP: C 01/12/05 CWOF SP 07/12/05 PROG DISM STATUS: C WPD:

32. NAME: DOE, JOHN PCF: 123456789 DOB: 01/01/1950 Page: 02 ARG DATE: 02/02/2003 PD: LYN COURT: LYNN DISTRICT DKT#: 456CR003 OFF: ASSAULT AND BATTERY A&B DISP: C 02/20/03 G 90 DA SS 05/20/03 PROG VWF PD 03/25/03 TERM STATUS: C WPD: ARG DATE: 03/03/2000 PD: CAM COURT: MIDDLESEX SUPERIOR DKT#: 789CR000 OFF: A & B DANGEROUS WEAPON SHOD FOOT DISP: C 04/12/00 G PROB 04/12/01 VWF CC PD 05/10/00 TERM STATUS: C WPD: ARG DATE: 04/04/1997 PD: NEU COURT: NEWBURYPORT DISTRICT DKT#: 123CR097 OFF: LARCENY LESS DISP: WAR 04/04/97 WAR/WD 04/20/97 REST STATUS: O WPD: ARG DATE: 05/05/1995 PD: WOR COURT: WORCESTER SUPERIOR DKT#: 890CR095 OFF: POSS TO DIST CLASS B COCAINE DISP: C 05/15/95 (JT) 05/30/95 DF 06/04/95 DR G 2 YRS CMTD STATUS: C WPD: ARG DATE: 04/20/1995 PD: WOR COURT: WORCESTER DISTRICT DKT#: 456CR095 OFF: POSS TO DIST CLASS B COCAINE DISP: C 05/01/95 BO STATUS: C WPD: ***END OF ADULT APPEARANCES***

33. Ban the Box Effective November 4, 2010, employers in Massachusetts can no longer ask on an initial written employment application whether an applicant for a job has been convicted of a criminal offense unless the employer is prohibited by law from hiring individuals for a particular position because of criminal convictions. 

34. More Due Process Rights Coming Soon Effective May 4, 2012, if an employer has obtained criminal history information about an applicant, regardless of the source, he or she must provide the criminal history to the applicant prior to asking him or her about it.

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.

37. “Self-Audits” Will Help Police the System Effective May 4, 2012, individuals will be able to create their own online accounts to see what non-law enforcement entities have requested their CORI. Individuals will be able to determine if their CORI’s were run prior to an interview or job rejection. Individuals will still be able to request a copy of their own CORI.

38. Sealing Post CORI Reform • Effective May 4, 2012, misdemeanors may be sealed 5 years after the conviction or any period of incarceration, whichever is last. • Felonies  may be sealed 10 years after the conviction or any period of incarceration, whichever is last. • Restraining order violations treated as felonies. • CWOF’s may be considered for sealing as non-convictions.

39. Present Access to Sealed Records Criminal Justice Agencies see a “sealed record indicator.” Sealed Records are available to determine eligibility and suitability for licenses to carry firearms. Office of Early Education and Care sees a “sealed record indicator.” Everyone else sees “No record on file.”

40. Post CORI Reform: Court Access to Sealed Records • In certain proceedings, if a party has reasonable belief that sealed record information is relevant to child custody/visitation, 209A abuse or safety of any person, sealed records shall be reviewed in camera by judge. • If determined relevant, not for use in open court. • Records shall be impounded. • Applicable to DCF proceedings, divorce proceedings and 209A hearings.

41. Post CORI Reform Law Enforcement Access to Sealed Records Effective May 4, 2012, criminal justice agencies shall have immediate access to, and be permitted to use as necessary, for the performance of their criminal justice duties, any sealed CORI and any sealed information concerning criminal offenses or acts of delinquency committed by any person before the age of 17.

42. Questions?