DCJIS_CORI_Training_Mass_Senior_Care_Foundation_3.3.11

Report
Department of
Criminal Justice Information Services
MA Senior Care Foundation Training
March 3, 2011
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
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.
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
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 reintegration of ex-offenders and public safety.
Unless statute mandates CORI
access, e.g., M.G.L. c.6 § 172G
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.
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.
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
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.
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
Scope of CORI Certification
Long 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.
Scope of CORI Certification
Assisted 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 NONCONVICTION
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.
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. “
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.
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.
Exceptions to Standard CORI Access:
“Required CORI”
1. 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.
2. 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.
“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.
Agreement of Non-Disclosure and Statement of
CORI Certification Compliance
AOND Requirements for CORI Authorized Staff
o Understand scope of agency certification
o Understand requirement to maintain an agency
CORI policy
o Understand sanctions for improper dissemination
of CORI
o Understand how to read and interpret a criminal
record
o Understand CORI Check Results Processing
Guidelines
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.
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.
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!
CORI Request Process
Fields 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)
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.
CORI Request Process
Verification
• 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
CORI Request Process
Verification
• 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 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.
Opportunity to Dispute Accuracy and
Relevance of CORI
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.
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.
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
DOB: 01/01/1950 SEX: M RACE: W
POB: BOSTON, MA
MOTHER: ROE, JANE
FATHER: JEFF
ADDRESS: 123 MASSACHUSETTS AVENUE, BOSTON
ALIAS:
NAME:
ROE, JON
FORMAL NAME:
DOB: 01/01/1950
SEX: M
PCF: 123456789
SSN: 987654321
RACE:
ADULT APPEARANCES
ARG DATE: 01/01/2005 PD: BOS
COURT: BOSTON MUNICPAL
OFF: OPER UND INFL OF LIQ
111A
DISP: C 01/12/05 CWOF SP 07/12/05 PROG DISM
DKT#: 123CR005
STATUS: C
WPD:
NAME: DOE, JOHN
PCF: 123456789
DOB: 01/01/1950
Page: 02
ARG DATE: 02/02/2003 PD: LYN
COURT: LYNN DISTRICT
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
DKT#: 456CR003
ARG DATE: 03/03/2000 PD: CAM
COURT: MIDDLESEX SUPERIOR
OFF: A & B DANGEROUS WEAPON
SHOD FOOT
DISP: C 04/12/00 G PROB 04/12/01 VWF CC PD 05/10/00 TERM
DKT#: 789CR000
ARG DATE: 04/04/1997 PD: NEU COURT: NEWBURYPORT DISTRICT
OFF: LARCENY LESS
DISP: WAR 04/04/97 WAR/WD 04/20/97 REST
DKT#: 123CR097
ARG DATE: 05/05/1995 PD: WOR COURT: WORCESTER SUPERIOR
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
DKT#: 890CR095
ARG DATE: 04/20/1995 PD: WOR COURT: WORCESTER DISTRICT
OFF: POSS TO DIST CLASS B
COCAINE
DISP: C 05/01/95 BO
***END OF ADULT APPEARANCES***
STATUS: C
STATUS: C
WPD:
WPD:
STATUS: O WPD:
STATUS: C
WPD:
DKT#: 456CR095
STATUS: C
WPD:
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.
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.
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.
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.
“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.
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.
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.”
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.
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.
Questions?

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