CORI Regulations

Effective May 16, 2008 the Criminal History Systems Board (CHSB) has amended its Criminal Offender Record Information (CORI) regulations.  The amendments to the CHSB CORI Regulations enhance the CORI certified users responsibilities and directly affect how agencies certified under M.G.L. c. 6, §§ 172(b) and/or 172(c) process CORI requests.  Information regarding these updates was mailed to all CORI Certified agencies on May 2, 2008 .  CORI certified agencies are expected to implement the following amendments immediately:

• Upon initial and renewal CORI certification attend CORI training as a condition of certification;

 

• Submit an ID Theft Index PIN Number (assigned by CHSB) with the CORI request form for those individuals that present an official letter from the CHSB with an ID Theft Index Personal Identification Number (PIN) Number confirming they are a victim of identity theft and as a result have a criminal record that is erroneously associated with their identity.  An updated CORI request form with this field was mailed to all currently certified agencies on May 2, 2008;

 

• If a government issued form of identification with a photograph is not available at the time of verification of the fields contained on the CORI request form, then the agency shall verify the information on the CORI request form with either a birth certificate or social security card;

 

• If the subject of the CORI request is not available to appear in person for verification prior to submission of the CORI request, then the agency shall accept a legible copy of the identification prior to submission and verify the identification in person either prior to or simultaneously with the applicant beginning or receiving any employment, service or benefit;

 

• Provide the subject of the CORI request with a copy of the results of the CORI (unless it is a “no record” response) and copies of the CHSB’s Information Concerning the Process for Correcting a Criminal Record and the CHSB’s Information on How to Establish Yourself as a Victim of Identity Theft for CORI Purposes.

For additional information please also see the Frequently Asked Questions. 

(1)  CORI Training

Effective May 16, 2008 the CHSB regulations have been amended by inserting the following:

803 CMR 3.01( 7) “ Any individual or agency certified by CHSB to access CORI shall be required to attend training as a condition of initial certification and upon each subsequent certification renewal.  Said trainings shall be conducted in a format and in intervals established by the CHSB.”

Certified agencies will be notified of upcoming dates, times and the locations of CORI trainings once they have applied for either initial, renewal or expanded CORI certification.  If you are not due for renewal of certification for some time and would like to attend a CORI training prior to renewal you may contact the CORI Training and Compliance Unit at 617-660-4673 for upcoming dates and times.  In addition, please visit the CHSB website for off-site general CORI training locations .

(2)  Identity (ID) Theft Index

Effective May 16, 2008 the CHSB regulations have been amended by inserting the following:

803 CMR 2.03, “Identity Theft File".  The National Crime Information Center (NCIC) file that provides law enforcement with the ability to identify individuals with stolen identities and distinguish identity theft victims from impostors.  Information Contained in the Identity Theft File shall also be used by the CHSB when furnishing CORI information to certified non-criminal justice agencies pursuant to M.G.L. c. 6, §§ 172(b) or 172(c).”

803 CMR 3.05(1)(b), “Each certified non-criminal justice agency also shall obtain from any individual whose CORI is requested from the CHSB the person’s Identity Theft File Number if the individual has been enrolled in the NCIC Identity Theft File by the CHSB.  If an individual provides an agency with and Identity Theft File Number on a CORI request form, the agency shall submit the request for such individual’s record according to the business process specified by the CHSB, which may include, but not be limited to faxing such request to a dedicated fax number at the CHSB.  This business process will prevent the dissemination to the certified non-criminal justice agency of any records or data the CHSB has determined does not belong to the identity theft victim.”

The CHSB has implemented an Identity Theft Index for the purpose of assisting individuals that have been the victim of identity theft and as a result have a CORI wrongly associated with their information.  The ID Theft Index is limited to those individuals that have a CORI as a result of the crime of ID theft; it is not for individuals that have solely have had their credit or bank history accessed by the offender. As a non-criminal justice agency certified by the CHSB, you may have applicants that disclose to you that they have been a victim of identity theft and have enrolled in the CHSB Identity Theft Index.  To implement this process all certified agencies must update their CORI requests forms to include the ID Theft Index PIN Number field.  This updated form was mailed to certified agencies on May 2, 2008.

When submitting CORI requests for applicants that have disclosed to you that they are victims of identity theft, please complete the paper form with the ID Theft Index PIN Number and fax it to 617-660-4614.   Be advised, the CHSB Web-CORI application does not currently have the capability to process requests for victims of ID Theft.  Therefore, please be sure to fax only these types of requests.

For victims of identity theft that  have a criminal record that is wrongly associated with their CORI, please review the CHSB Information on How to Establish Yourself as a Victim of Identity Theft for CORI Purposes.

For general information regarding identity theft and for identity victims that do not have a criminal record wrongly associated with their CORI, please visit the Federal Trade Commission’s website at:  www.ftc.gov/bcp/edu/microsites/idtheft/.

(3)  Verification of Information Contained on CORI Request Form

Effective May 16, 2008 the CHSB regulations have been amended by inserting the following:

803 CMR 3.05(2)(d), “In order to obtain a CORI check on an applicant, the agency shall:…(d) verify the identity of the applicant whose CORI is being requested with at least one form of government issued photographic identification or if the individual has not been issued such a form of identification, then verify the applicant’s information with a government issued non-photographic identification, such as a birth certificate or social security card…”

803 CMR 3.05(3), “If the applicant whose CORI is being requested is unable to appear in person at the agency to provide the required government issued identification at the time the CORI request form is completed, then the individual may provide the agency with a clear, legible copy of the identification.  In such instances, the agency is required to conduct an in-person verification of the identity of the applicant with at least one form of government issued identification prior to or simultaneously with the applicant beginning or receiving any employment, service or benefit to ensure the CORI received from the CHSB corresponds to the applicant for whom a request was made.”

The CHSB CORI regulations require certified agencies to verify and document the information contained on the CORI request form with government-issued photographic identification.  The amendments to the CHSB regulations permit agencies to accept a birth certificate or social security card only if the individual does not have a government-issued photographic form of identification. 

The CHSB CORI regulations require agencies to verify the information contained on the CORI request form prior to submission to CHSB.  In addition, the amendments to the CHSB regulations provide a limited exception to verification prior to submission.  The exception provides that in the event the individual is unable to appear in person to provide the required government issued photographic identification, then the agency shall (1) obtain a copy of the identification prior to submission; and (2)  then verify the information either prior to or simultaneously with the applicant beginning or receiving any employment, service or benefit to ensure that the CORI received from CHSB correspondences to the applicant for whom a request was made.

(4)  Documentation to be provided to individuals subject to a CORI check

Effective May 16, 2008 the CHSB regulations have been amended by inserting the following:

803 CMR 6.11(1), “All agencies certified to access CORI under the provisions of M.G.L. c. 6, §§ 172(b) or 172(c) are required to provide a copy of the CORI received from the CHSB to each individual whose record is requested, unless the CHSB indicates to the agency that no record exists for an individual.  In every case in which a certified non-criminal justice agency receives a response other than a “No Record” response from the CHSB, the agency shall provide the individual with a copy of the record before any determination or decision is made on the basis of the record.  In addition to the copy of the record, the agency shall also provide the individual with information made available by the CHSB on how to correct a CORI and information on how to enroll in the Identity Theft File to establish that the person is the victim of identity theft.”

The CHSB CORI regulations allow for the dissemination of the CORI result to the individual for whom a request was made, at any time; this is not reserved solely to individuals that identify themselves as victims of identity theft.  The amendments to the CHSB regulations, require certified agencies to:  (1) provide applicants with a copy of the CORI (unless it was a “No Record”); (2) provide a copy of CHSB’s Information Concerning the Process in Correcting a Criminal Record; and (3)  provide a copy of CHSB’s Information on How to Establish Yourself as a Victim of Identity Theft for CORI Purposes.

Please see the NEW CORI REGULATIONS FREQUENTLY ASKED QUESTIONS FOR FURTHER INFORMATION.  Thank you for anticipated cooperation in implementing the CHSB regulations and procedures.  For additional information on the existing CHSB CORI Regulations please see the information provided below.

The information provided below pertains to amendments to the CHSB CORI regulations that were promulgated on June 30, 2005.  The May 16, 2008 amendments to the CHSB CORI regulations supplement the existing CORI regulations.  The below information concerning the 2005 regulations is provided to assist agencies certified by the CHSB in understanding the requirements of the CHSB regulations.  The updates to the CHSB regulations effective May 16, 2008 do not replace the existing regulations.  Rather, the regulations supplement the regulations promulgated on June 30, 2005.

Effective June 30, 2005, regulations pertaining to Criminal Offender Record Information (CORI) requests were implemented and certified agencies were expected to incorporate the requirements of these regulations into their CORI business processes.

Pursuant to Line Item 8000-0110 of Chapter 149 of the Acts of 2004, the CHSB has implemented new regulations    that mandated the following major requirements:

• Prior to requesting CORI, certified agencies must collect additional information from applicants by using the new CORI request form to verify his or her identity.
  
  
• Certified agencies must provide applicants the opportunity to dispute the accuracy or relevance of a CORI report prior to making an adverse decision based on the information within a CORI report. Go to this section
  
  
• CORI authorized personnel of certified agencies are required to meet new administrative responsibilities and understand and comply with the agency's certification to access CORI. Go to this section

(1) Additional Information Required from Applicants Prior to Requesting CORI

Effective June 30, 2005, 803 CMR 3.05    requires that certified agencies utilize the revised sample CORI request form that was mailed. This form indicates the new fields of information required by the new regulations in bold font. These new fields of information should be added to your existing certification forms, and must be obtained from any applicant for which CORI will be requested. It is important to note that the  regulations have not changed the signature requirements for conducting CORI requests. Current and prospective employees/volunteers must sign the request form and acknowledge that a CORI check will be conducted by the CHSB. This does not apply to Chapter 336, Chapter444, 1721, 172G and 172H requests.The additional fields of information will provide CHSB more information to conduct additional research should a certified agency have difficulty assessing if a CORI report can be attributed to an applicant. Failure to use the new CORI request form may result in CORI requests being returned unprocessed.

Certified agencies are also required to verify applicants’ identity with a government issued photographic form of identification and maintain a copy of such identification to document the verification process.

How Such Additional Information Will Be Used

After the CHSB receives and processes a CORI request and returns the results to the certified agency, it is the responsibility of the certified agency to assess if the CORI Report can be attributed to the applicant. Occasionally, it may be difficult to assess the relation of a CORI report to an applicant. To assist in situations where the certified agency may have difficulty in making such an assessment, the CORI Unit at the CHSB will conduct further research based upon the additional collected fields of information and government issued photographic form of identification that has been verified by the certified agency.

If you are a certified agency that is having difficulty making the assessment between a CORI report and an applicant, please contact the CORI Unit at 617-660-4640 and speak to a CORI Unit Analyst. You will be required to submit the following documentation:

1. A letter on agency letterhead requesting further research for a recently received CORI report signed by a CORI authorized employee with a valid Agreement of Non-Disclosure and Statement of CORI Certification Compliance on file with the CHSB. Please review the directions to submit an Individual Agreement of Non-Disclosure and Statement of CORI Certification Compliance. This can be found under CORI Forms and Applications or simply click here.
   
   
2. A copy of the original CORI Request form that was submitted to the CHSB (or maintained on file for those agencies that submit CORI requests electronically).
   
   
3. A copy of the government issued photographic form of identification used in the applicant's verification process.

The CORI Unit Analyst will provide instructions as to how to submit such materials for further review by the CHSB and will return a written response to the certified agency that indicates if further information can be provided.

It is important to note that the CHSB cannot answer employment law related issues.

If an applicant asserts that their CORI report is inaccurate, please provide a copy of Information Concerning the Process in Correcting a Criminal Record.

(2) Certified Agencies Must Provide Applicants the Opportunity to Dispute the Accuracy or Relevance of a CORI Report Prior to Making an Adverse Decision Based on the Information Within a CORI Report.

803 CMR 6.11   requires that applicants must be provided with an opportunity to challenge the accuracy and relevance of a CORI report, prior to making an adverse decision. To facilitate this requirement, the CHSB mandates that all certified agencies maintain a CORI policy that is consistent with these regulations. The CHSB has posted a Model CORI Policy  for your review and sets forth the following requirements that all agency CORI Policies must adhere to:

1. Notify the applicant of the potential adverse decision based on the CORI;
2. Provide a copy of the CORI to the applicant and the agency's CORI policy;
3. Provide a copy of the CHSB's Information Concerning the Process In Correcting a Criminal Record and CHSB’s Information Concerning the Process on How to Establish Yourself as a Victim of Identity Theft for CORI Purposes;
4. Inform the applicant which part of the criminal record appears to make him ineligible;
5. Provide the applicant with an opportunity to dispute the accuracy and relevance of the CORI;
6. Upon receipt of additional documentation from the applicant and/or the CHSB, review the information with the applicant and inform him/her of the decision; and
7. Document all steps taken to comply with this section.

(3) Administrative Responsibilities and Understanding of CORI Certification

CORI authorized personnel of certified agencies are required to meet enhanced administrative responsibilities to ensure that CORI is requested, accessed and utilized in compliance with M.G.L. c. 6, §§168 through 178B. The first enhanced requirement is that all CORI authorized personnel need to meet the standards of and sign a revised Agreement of Non-Disclosure and Statement of CORI Certification Compliance . This AOND, as revised in June 2005, requires that all CORI authorized personnel of certified agencies fully understand their scope of certification to access CORI that has been granted by the CHSB and that CORI will be requested only within such scope. Please note if you submit your AOND by mail, the CHSB will only contact agencies pertaining to the submission of the AOND if a staff member has been determined to be inappropriate to access CORI. If the AOND is submitted electronically through the Web-CORI program, the agency administrator will be notified by email as to the approval or denial of your access.