606 CMR 14.00: Criminal Offender and Other
Background Record Checks - Emergency
Regulations
EEC Board Meeting
December 10, 2013
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Background Record Checks Processed by EEC

MA Criminal Offender Record Information Checks
(CORI)

Department of Children and Families (DCF)
Background Record Check
NEW - Sex Offender Registry Information (SORI)
checks with the MA Sex Offender Registry Board
(SORB) database
NEW - Fingerprint-based checks of the state and
national (Federal Bureau of Investigation) criminal
history databases
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BRC Process Flowchart
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Emergency Regulations Are NOW Required
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
To comply with the legislative mandates of
Chapter 459 of the Acts of 2012 as
amended by Chapter 77 of the Acts of 2013

To establish processes for conducting SORI
and fingerprint-based checks

To provide guidance with respect to review
of findings and dissemination of results
Proposed Regulatory Changes to Address
SORI and Fingerprint Checks
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
As a condition of an offer of employment, an applicant must
now satisfactorily complete a Background Record Check (BRC)
investigation that includes the CORI, DCF, SORI and
fingerprint-based check review.

Applicants will acknowledge that, as a pre-employment
condition and periodically thereafter, personal data elements
will be submitted to the SORB database, in order to determine
if they are Level 2 or Level 3 Registered Sex Offenders.

Applicants will be required to consent to a state and national
criminal history database review and submit to a fingerprintbased scan within an established period of time.
Proposed Regulatory Changes to Address
SORI and Fingerprint Checks – cont’d

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Background Record Check Frequency

CORI and DCF checks must be run whenever an initial offer is made
and at least every 3 years for those employees who have
maintained continuous employment, unless the employer
determines a greater frequency.

SORI checks must be run whenever an employment offer is made
and shall be run periodically by EEC.

Fingerprint-based checks must be run with the same frequency as
CORI and DCF checks with the following exceptions:
(1) candidates who have resided outside of MA during their
employment period;
(2) candidates who have disclosed new criminal charges; and
(3) candidates who have a break in employment with an EEC
licensed, approved or funded program of one or more years.
Proposed Regulatory Changes to Address
SORI and Fingerprint Checks – cont’d

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Findings From SORI Checks

If the SORI check indicates that a Candidate is a Level 2 and/or Level
3 Sex Offender, the finding will be treated as a presumptive
disqualification.

A Candidate may submit written documentation from the Candidate’s
Criminal Justice Official concluding that the Candidate does not pose
an unacceptable risk of harm (if not available, the Hiring Authority
may seek assessment of the Candidate’s risk of harm from a qualified
mental health professional)

If written documentation is accepted, EEC would then perform a
Discretionary Review.

After the Discretionary Review, EEC shall notify the Candidate and the
Employer whether or not the Candidate is suitable for hire.
Proposed Regulatory Changes to Address
SORI and Fingerprint Checks – cont’d

Findings From SORI Checks – cont’d

No Candidate may be hired in any capacity nor begin work until the
SORI check is completed.

Should EEC determine, through an address match, that an individual
who is a Level 2 or Level 3 Sex Offender resides in a family child
home, EEC will immediately refer this information to the Licensing staff
for appropriate action.
Note: Since April 2013, EEC has submitted monthly address lists of EEC
licensed programs to SORB. Since November, EEC has submitted
approximately 27,000 names of individuals newly hired or employed in
EEC licensed or funded programs for a SORI check.
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Proposed Regulatory Changes to Address
SORI and Fingerprint Checks – cont’d

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Findings From FBI Background Record Checks

Results of a Candidate’s FBI check will be provided to EEC.

EEC will review the results of the FBI check and will determine
whether the Candidate poses an unacceptable risk to children.

The hiring authority may allow a Candidate, whose CORI and DCF
checks have been approved by the Hiring Authority and who has
been deemed suitable by EEC following a SORI check, to begin
conditional employment and have unsupervised contact with
children at the discretion of the program.

Following review of the FBI data, EEC will notify the hiring
authority whether or not the candidate is suitable for hire.
Proposed Regulatory Changes to Address
SORI and Fingerprint Checks – cont’d

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Findings From FBI Background Record Checks – cont’d

If the Candidate is hired, the Hiring Authority must document in
the employee’s personnel file the date on which the EEC suitability
decision was received and must notify EEC of the date on which
the employee began employment.

If EEC deems the candidate unsuitable, the Hiring Authority must
terminate the conditional employee's employment within fourteen
(14) days of such notice, unless EEC informs to terminate sooner.
Proposed Regulatory Changes to Address
SORI and Fingerprint Checks – cont’d

Background Record Checks for Transportation Service Personnel

Background Record Checks for transportation service personnel who
are employees of an EEC licensed, approved or funded program will
be conducted and documented in accordance with the provisions for
candidates for employment with the potential for unsupervised
contact with children.

EEC licensed, approved or funded programs that contract for the
provision of transportation services must:
• Include in their contract provisions for the review of CORI and
DCF background records for all personnel providing
transportation services to the program; and
• Assure that EEC renders a suitability decision related to SORI
and fingerprint-based check for all personnel providing
transportation services to the program.
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Proposed Regulatory Changes to Address
Gap in Existing Regulations

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Notice of a 51A report

If a 51A investigation results in a supported 51B report,
the family child care licensee, assistant, and/or in-home
non-relative caregiver must immediately stop providing
care, pending a complete BRC review.

An employee, volunteer, intern, or transportation
provider shall not have any unsupervised contact with
children pending a complete BRC review.
Next Steps
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Tasks
Timeline
Board Vote to Approve
Emergency Regulations
December 10, 2013
Public Comment Period on
Emergency Regulations
December 11, 2013 through
January 10, 2014
Review of Public Comment
January 11-31, 2014
Final Approval of New BRC
Regulations
Anticipated February 11,
2014
Publication of Final Regulations in
Secretary of State Register
Anticipated mid-February,
2014