1. 606 CMR 14.00: Background Record Checks What you need to know!
Welcome to the EEC electronic training in Background Record Checks.

2. Background Record Checks Since 1987:
All staff with potential unsupervised contact with children
Review of:
Criminal convictions or charges
Other “impairing” behavior
Since 1987, EEC regulations have required background record checks of all staff with the potential for unsupervised contact with children in EEC licensed or funded programs. Background record checks are required for employees, interns and volunteers. The information reviewed is data provided by the Massachusetts Criminal History Systems Board, as well as any information reported by the candidate for employment about his or her involvement with child protection agencies.
The purpose of these background record checks is to determine if an individual has engaged in any conduct that might impair his/her ability to care for children.

3. New Background Check Regulations 606 CMR 14.00
CHANGES:
Allow access to and review of DSS Background Records
Minimum age for background review lowered to 15
New documentation requirements
Periodic Background Record Check reviews required
In November, 2006, EEC promulgated new regulations governing Background Record Checks. These new regulations are different in several ways.
They give us access to DSS histories;
They lower the minimum age for background record reviews;
They establish new documentation requirements; and
They require periodic background record checks of current employees.

4. Regulation Changes Access to and Review of DSS Background Records
Minimum age for background review lowered to 15
New documentation requirements
(all steps in the process)
Periodic background check reviews required
The new regulations require us to determine whether each candidate has been listed on the Registry of Alleged Perpetrators or the Central Registry of the Department of Social Services. A listing on either DSS Registry means that the individual has been determined to be responsible for the abuse or neglect of a child in Massachusetts.
Second, the new regulations require us to conduct background record checks on individuals age 15 and over. Previously, our review was limited to individuals age 17 or older. Although we review information on people as young as 15, we do NOT receive all juvenile records. We receive only “youthful offender” information; which includes only the MOST SERIOUS crimes committed by juveniles.

5. Regulation Changes New documentation requirements
(All steps in the process)
Periodic Background Record Check reviews required
The new regulations also impose new documentation requirements on programs receiving Background Record Check information. Later in this presentation we will provide you with details about what must be documented, and where the documentation must be maintained.
And finally, instead of suggesting the periodic review of background record information for current employees, the new regulations require that the backgrounds of current employees be reviewed at least every two years.

6. Background Record Check: Adverse Findings
Presumptive Disqualification
CORI Table A convictions
CORI Table A pending crimes
Discretionary Disqualification
CORI Table B convictions
CORI Table B pending crimes
CORI Table A dismissals
DSS histories
Both the old and the new regulations categorize CORI, or criminal record findings, as either Presumptive or Discretionary. Presumptive Disqualification is required by a criminal history that includes CORI Table A convictions or pending crimes. If a “no risk” letter is obtained, which we will discuss later, a Discretionary Review becomes possible. There is no change here.
As in the past, Discretional Disqualification is required by a criminal history that includes CORI Table B convictions or pending crimes; or CORI Table A dismissed charges. Discretionary review is possible for this category. With these new regulations, DSS histories are included in the Discretionary Disqualification category.
The review process for each category of crimes is unchanged in the new regulations.

7. Types of Background Check Review
EEC Review (Licensees & Reviewers)
Employer Review (Employees and Volunteers)
(No change here)
As in the past, there are two types of Background Record Check Reviews: the EEC Review for licensees and reviewers, and the Employer Review for employees and volunteers.

8. EEC Review Licensees Reviewers with Hiring Authority
Reviewers with Access
With the EEC review, EEC maintains its authority to review and approve the background of license applicants and licensees. EEC also maintains its authority to approve the background of “Reviewers”. Reviewers are program staff who have been designated by the licensee to have access to highly confidential background record information about other employees.
There are two types of Reviewers. Reviewers with Hiring Authority are involved in making decisions about hiring new candidates, or continuing the employment of current staff if periodic background checks reveal issues of concern. Reviewers with Access are not involved in hiring decisions. They are clerical or administrative staff who handle the confidential BRC reports in the course of their usual job responsibilities.

9. Why does EEC approve Reviewers?
EEC Regulations
CHSB Requirements
EEC approves reviewers as a method of protecting the privacy of individuals.
EEC’s Background Record Check regulations require EEC approval of anyone who will receive Background Record Check information. We want to make sure that there is no real or perceived bias or conflict by the person who has responsibility for making hiring decisions based on criminal records or DSS background histories.
In addition the Criminal History Systems Board (who provides criminal history data to EEC) requires that EEC obtain an agreement of non-disclosure and a statement of CORI Certification and Compliance from anyone who will have access to CORI data. We have developed a new form, called the EEC Background Record Check: Reviewer Request. This new form specifically gives EEC permission to do a CORI check and a DSS Background Record Check. It includes an Agreement of Non-Disclosure (required by CHSB) that explains that CORI data is confidential and cannot be disseminated to anyone not approved by EEC. It explains the penalties for obtaining CORI data under false pretenses and for willfully disseminating CORI data to unauthorized persons.

10. Background Histories are Private!!!
Personal!
Confidential!
Background history information is private! Personal! Confidential! It cannot be requested without the consent of the person whose information is being obtained, and it cannot be shared with anyone whom EEC has not approved..

11. $$$ JAIL $$$ Willful communication of CORI Unlawful access to CORI
Unauthorized disclosure of DSS history
= < $5000 fine and/or up to one year in jail
= < $5000 fine and/or
up to one year in jail
= < $1000 fine and/or up to two and one half years in jail
The penalty for willful communication of CORI data to an unauthorized person is a fine up to $5000 and/or up to one year in jail.
The penalty for unlawful access to CORI data is a fine up to $5000 and/or up to one year in jail
The penalty for disclosing DSS Background Record Check information to an unauthorized person is a fine of $1000 and/or two and one half years in jail.
This is why we require limits on access to data, and why we require locked storage of background record information, which we will discuss later in this presentation.

12. “Need to Know” basis Designate a Reviewer
Each licensee must designate and seek EEC approval of one or more reviewers. If these reviewers are not approved, then they may not have access to background histories. As each licensee decides who will be involved in handling or reviewing background record check data, he or she must consider that: The fewer people who have access to the information, the smaller the risk of improper dissemination. The more people who have access to the information, the greater the risk, and the less “private” the data. EEC strongly recommends that the number of Reviewers be limited to those absolutely necessary to the hiring process.
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13. Who Should be a Reviewer?
Consider:
program size
administrative structure
location
Who should be a Background Record Check Reviewer? The Licensee is almost always approved as a Reviewer. (EEC will notify the licensee if he or she cannot be approved, for any reason.) There are numerous examples of possible reviewers. For instance, in large corporations with multiple sites, the Licensee may designate the Executive Director of Child Care and one support staff to be Reviewers. Or the Licensee may designate the Regional Director and one Support Staff; or Site Directors only. If the Chairman of the Board will review background record information, he or she must also be approved by EEC as a Reviewer, regardless of whether he is located outside of Massachusetts.
In parent co-ops, where all parents are part of the Board, a subcommittee of one or two people should be assigned responsibility for reviewing Background Record information…NOT the whole board.
In some small programs where the licensee is the program director, he or she may be the only person involved in reviewing background record information. In that case, the licensee may be the only reviewer.
But remember: no matter what your structure, unless the people with the authority to hire are also the people opening the mail and maintaining the files, your program will need approval of at least one “reviewer with access”.
Because EEC records who is approved as a Reviewer, the licensee must notify EEC if an approved reviewer will no longer have access to background record information, or if the licensee wants to designate a new reviewer.
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14. Types of Background Check Review
EEC Review (Licensees & Reviewers)
Employer Review (Employees and Volunteers)
As we mentioned earlier, there are two types of background record check reviews. We have talked so far about the EEC Review. Next, we will talk about the Employer Review.

15. Employer Review Current Employees Prospective Employees
Current & Prospective Volunteers
The second type of Background Record Review is the Employer review. Employers are responsible for reviewing background record check information for all employees or others regularly providing child care or support services who have a reasonable likelihood of contact with children when no other Background Record Check cleared employee is present.
To be subject to a background record check, a person must be REGULARLY providing care and have a REASONABLE LIKELIHOOD of being alone with children.

16. Employer Review of Candidate
Obtain signed consent form
Submit request via web-CORI
Results returned by mail
To conduct a background record check of a potential employee or volunteer, you will use a new form developed by EEC that gives us permission to conduct both a criminal history record check and a DSS background record check. You MUST obtain the candidate’s consent before submitting your request for a background record check. First have the candidate complete and sign the consent form, which you can print from web-CORI. Then enter the data into the web-CORI system. File the original consent form in the employee’s personnel file, together with the CORI receipt page you will print out from web-CORI.
If you choose not to process your Background Record Checks using web-CORI, you must obtain the new consent form from your EEC Regional Office. Have the prospective employee sign the form, then submit the signed original consent form to EEC for processing. Once you have received the results and completed your review, you must include in the employee’s personnel file a statement of compliance with Background Record Check regulations.
You should be aware that failure to use the web-CORI system for employee background record checks will result in significant delays in processing. We strongly encourage you to use web-CORI.
Beginning April 15th, no background record checks will be processed unless the correct form is used.
The results of the criminal background history and the DSS background history will be sent separately to the program’s Reviewer. The program is responsible for ensuring it receives and reviews both documents before confirming an offer of employment.

17. Adverse DSS Findings? Verify the report Notify the candidate
Review the 51B
Review additional information
Make a decision
Document everything
Notify EEC
If a potential employee or volunteer’s background record check reveals adverse DSS findings, the reviewer must follow seven steps, unless the prospective employee withdraws his or her request for employment. First verify that the report pertains to the person whose information you requested. Next, notify the candidate of the findings. Review the (redacted) copy of the 51B that will be sent to you by EEC. You will review any additional information provided by the candidate, make your decision to hire or not hire the candidate, document each of these steps, and then notify EEC of the outcome.

18. Adverse DSS Findings? Verify the report Notify the candidate
Review the 51B
If a potential employee or volunteer’s background record check reveals adverse DSS findings, the reviewer must first verify that the report pertains to the person whose information you requested. Is the identifying information on the report the same as the identifying information of the person you are considering hiring? If there is any discrepancy in the information, please contact EEC’s BRC unit to discuss whether this is the correct report.
Once you have determined that you have received the correct report, you must notify the candidate of the findings. You must give a copy of the DSS background report to the candidate, along with a copy of your written Background Record Check policies. You cannot have hiring or Background Record Check policies that eliminate everyone with a criminal background or DSS background history from consideration. You must offer each candidate with a criminal or DSS background history the opportunity for further review, and make individual decisions on a case by case basis. Explain to the candidate why these findings make him or her ineligible to work with children unless he or she is approved through the Discretionary Review process. Give the candidate information about how to correct the DSS background record, if the candidate believes it is in error.
You must review the (redacted) copy of the 51B that will be sent to you by EEC.

19. Discretionary Review Review additional information Make a decision
Document everything
Notify EEC
Candidates with adverse findings on the DSS Background Record Check may submit any information they feel will support their application for employment, such as a written explanation of the circumstances of the DSS incident, letters from a mental health professional, DSS social workers, or others. As a potential employer, you must consider the length of time since the incident, the age of the candidate at the time of the incident, the circumstances surrounding the act, the number of acts, any evidence of rehabilitation presented by the candidate, and the relevance of the DSS findings to the nature of the work to be performed.
Once you have made a decision whether or not to hire the candidate, you must document each step of the process in a locked, secure file. Document your notice to the candidate of the findings, and any information provided by the candidate that supported your decision to hire or not hire. If you choose to hire a candidate with a background that includes adverse findings, document your rationale for hire.
Finally you must notify EEC of your decision by completing and returning the DSS Background history report you received from EEC to the BRC Unit at 51 Sleeper Street in Boston.

20. Adverse CORI Findings? Verify the report Notify the candidate
If presumptive CORI, obtain “No Risk” Letter
If a potential employee or volunteer’s background record check reveals adverse CORI findings, the reviewer must follow the same seven steps as you have in the past. There is no change in this process. As a reminder, you first verify that the report pertains to the person whose information you requested. Next, notify the candidate of the findings. If the CORI findings are presumptive, you must obtain a no risk letter, which qualifies the candidate for a Discretionary Review.

21. Presumptive Disqualification
CORI Table A crimes = Presumptive Disqualification
“No risk” letter
Discretionary Review
Convictions or pending charges on CORI Table A crimes require Presumptive Disqualification unless additional steps are completed. If the candidate wishes to pursue the position, the candidate must obtain a letter from his/her criminal justice official stating that he /she does not pose an unacceptable risk of harm to children. If the criminal justice official is unavailable or unable to provide a letter, the candidate may submit the letter from a qualified mental health professional. Without this letter, candidates with CORI Table A crimes cannot proceed to a Discretionary Review, and may not be hired in a position with the potential for unsupervised contact with children.

22. Adverse CORI Findings? Review additional information Make a decision
Document everything
Notify EEC
If the CORI background includes crimes that allow a Discretionary Review, (or if a candidate with Presumptive Disqualification obtains a “no risk” letter) you must review any additional information provided by the candidate, make your decision to hire or not hire the candidate. Then document each of the required steps, and notify EEC of the outcome.

23. Quick response with Web-CORI Quick response from DSS Low “hit rate”
How long will this take?
Quick response with Web-CORI
Quick response from DSS
Low “hit rate”
You may be concerned about whether the new background record check process will cause delays in hiring new staff. Since we at EEC are as concerned as you are about maintaining appropriate program staffing, we will do everything we can to complete the process in the shortest time possible.
The most important thing that you can do to eliminate delays is to submit your requests through the web-cori system. This immediately shortens the process by at least two to four work days. Current users of web cori have found this to be a fast and efficient way to obtain criminal history information, and we encourage all programs to register and use web-cori. In addition, since EEC began this dual process of CORI and DSS history checks with family child care programs in November, we have experienced a very quick response to our requests from DSS. Further, we have found that very few - so far only about 2% - of our requests for DSS background histories have yielded findings.
EEC is committed to making this process work for you so that we can insure the highest level of protection possible for children in care in Massachusetts. As we move forward with implementation for your new staff beginning April 15th, we will monitor response times, and make changes in our process if need be.

24. Background Record Storage
Personnel File
Application
BRC Compliance Form
Secure, locked file
Statements of “no findings”
Criminal history printouts
DSS summaries
51Bs
Supporting documentation
Rationale for hire
Documentation of all required steps
All of the background record information you receive from EEC is strictly confidential, and cannot be shared with individuals whom EEC has not approved as background check reviewers. Except for the signed Background Record Check application and the BRC compliance documentation (the CORI receipt page, if you use web-CORI), everything pertaining to background record checks, including statements of no finding, criminal history record printouts, DSS summaries, copies of 51Bs (even when redacted), all supporting documentation provided by the candidate and your rationale for hire, if applicable, are confidential, and must be stored in a separate, locked file, which is accessible to EEC.

25. How will EEC monitor compliance?
Verify EEC approval of Reviewers
Review program’s BRC policies and procedures
Check personnel files
Review Discretionary Review files
During licensing studies or investigations of complaints involving staff misconduct, EEC licensing staff will ask administrators to identify staff who are involved in receiving, reviewing or discussing BRC data They will compare those names to the approved list of reviewers in the EEC data base; and compare the procedures described to the written procedures submitted by the program. Your program must have written background record check procedures, which must be submitted to EEC at your next license renewal. Licensors will check personnel files to determine whether Background Record Checks are documented, and will review Discretionary Review files to ensure that all of the required steps have been documented.

26. How Do I Get Started?
Submit Licensee and Reviewer consents to EEC Regional Office
EEC will process beginning March 15, 2007
EEC will notify you, the Licensee, of results
Begin new employee Background Record Checks April 15, 2007
Once you have completed this training and understand the information presented, you can download the new Licensee and Reviewer Background Record Check Consent forms. Have them signed by those few people who are necessary participants in the hiring process, and submit them to your EEC Regional Office. DO NOT SUBMIT THE LICENSEE AND REVIEWER CONSENT FORMS TO THE EEC CORI / BRC UNIT AT 51 SLEEPER STREET, as this will cause delays in processing.
Beginning March 15th, the Regional Office will process Licensee and Reviewer signed consent forms and request criminal history information and DSS background information. The licensee will be notified if there is a criminal history or DSS background that might prevent approval, and will be given an opportunity to respond. Once all of the necessary information has been reviewed, EEC will notify the licensee of the results.
The results of the CORI check and the DSS Background check will be mailed to the licensee separately. The licensee must be sure that for each potential reviewer, both the CORI and the DSS background approvals have been received.
Licensee and reviewer background record checks must be completed by April 15th, so that you can begin new employee background record checks with the new process on April 15th..
Beginning April 15th your program will be unable to process background record checks for new or current employees until EEC approves your licensee and / or reviewers.

27. Next Steps:
Employer Review of New Candidates - beginning April 15, 2007
Beginning on April 15th, all background record check requests will be processed through the new system. This means that every new employee and volunteer will receive both the CORI and the DSS background record check. You MUST use the new Background Record Check Consent form available through web-CORI, or at your regional EEC office, or your background record check requests will not be processed. In addition, periodic review of current employees and volunteers must be processed through the new system.
If your program has not received EEC approval of your licensee and / or other reviewers by April 15th, you will be unable to process background record checks for potential employees until your licensee and reviewers are approved. This means you will be unable to hire staff in positions with the potential for unmonitored contact with children until your licensee and / or reviewers are approved.

28. Next Steps: Periodic Review of Employees / Volunteers
At license renewal or
Another schedule (every two years)
In order to avoid processing delays, EEC asks that you do NOT immediately request full Background Record Checks for your existing employees. Under the new regulations, Background Record Checks of existing employees must be completed every two years. Often programs find it convenient to process their routine BRC reviews at the time of license renewal, but other schedules are certainly acceptable. If your program has a different schedule off BRC review, such as anniversary date of hire, you may continue with that schedule.

29. Questions?
From the EEC website choose the Background Record Check page to access:
Regulations
Technical Assistance
E-training Powerpoint
eec.state.ma.us
EEC has posted a link on it’s homepage that will allow you to access additional information at any time. From the EEC homepage (eec.state.ma.us) you can link to the Background Record Check page for copies of :
606 CMR 14.00: Background Record Check Regulations;
A technical assistance paper that outlines your obligations for Background Record Check Reviews;
A copy of this training in powerpoint format that you can download and print for future reference;
And a mailbox where you can your questions about Background Record Checks.