THE COMMONWEALTH OF MASSACHUSETTS
Department of Early Education and Care
Group Child Care/School Age Child Care
Residential & Placement Licensing
Technical Assistance Paper
BACKGROUND RECORD
CHECK REVIEW
[606 CMR 14.00]
________________________________________________________________
This technical assistance paper is intended to help you understand how to maintain
compliance with EEC’s new1 Background Record Check (BRC) regulations (606 CMR
14.0).
In addition to the Criminal Offender Record Information (CORI) background check,
which has been historically required by EEC, EEC’s new regulations now allow EEC and
its licensed programs to access highly confidential Department of Social Services (DSS)
information to aid in making licensing or employment decisions. Specifically, the new
EEC regulations allow EEC and its licensed programs to access information regarding
whether applicants for licensure or employment have been identified by DSS in a
supported 51B report2 as the person responsible for the abuse or neglect of a child.
The topics addressed in this technical assistance paper include:
 how to conduct initial and periodic BRCs for Applicants/Licensees and
Reviewers3;
 how to conduct initial and periodic BRCs for employees, regular volunteers and
interns;
 how and when to conduct a Discretionary or Presumptive Review of adverse
background record check findings;
 how to document compliance with EEC’s BRC regulations;
 how to properly store background record information; and
 how to develop your BRC policies.
I. Background Record Checks for New and Currently Licensed Programs
There are two types of Background Record Check reviews: 1) the “EEC Review,” which
is required for Applicants/Licensees and Reviewers; and 2) the “Employer Review,”
which is required for program employees, volunteers and interns. Both processes are
described below as they apply to new and currently licensed programs.
EEC’s new Background Record Check regulations were promulgated in November 2006 and are being
implemented in phases during FY 2007.
2
For the purposes of this TA paper any reference to a “supported 51B” shall mean a report prepared by
DSS pursuant to MGL C.119, § 51B, detailing the DSS investigation and determination that there is
reasonable cause to believe that a child identified in the report has been or is at risk of being abused or
neglected.
3
A “Reviewer” is anyone, in addition to the Licensee, who will be authorized to receive, review or discuss
BRC results of current or prospective employees, volunteers or interns in the program.
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1
A. The EEC Review
Under EEC’s BRC process, licensed programs can access confidential CORI and DSS
background information, but only after EEC screens and approves the Licensee4 for the
program, as well as any staff who will be designated to conduct the background check
reviews (“Reviewers”) of current and prospective employees, volunteers and interns.
The following discusses how to submit a BRC request for Applicants/ Licensees and for
Reviewers.
1. Applicant/Licensee BRC Request
Before your program can be initially licensed by EEC, you must submit to EEC a
request for an EEC review of the license applicant’s background. You must do so
by completing an “EEC Background Record Check: Applicant/Licensee
Request” form (the “BRC Applicant/ Licensee Request”) for the license applicant
and submitting the form to your Regional licensing office. These completed and
signed forms must be submitted to EEC in paper format; this is because EEC must
maintain in its licensing files each programs signed BRC Applicant/Licensee
Request form(s) for auditing purposes.
EEC will review the license applicant’s BRC results (e.g., whether there is a
criminal record and/or any supported 51B history), and determine, pursuant to
EEC regulations, whether s/he may serve as an EEC Licensee. EEC will mail
written notification of its decision to the license applicant. Once the license
applicant is approved5, the EEC BRC Unit will send “Consent for Background
Record Check of Employee/Volunteer/Intern” forms to the license applicant for
his/her use in the Employer Review of prospective employees, regular volunteers
and interns, as described in Section I(B) below.
Once a new program is licensed, periodic BRCs are required for the Licensee at
the time or each license renewal, and/or if the Licensee changes. You must
maintain on file in your program a copy of each signed BRC Applicant/Licensee
request.
Please note: The process described for EEC approval of
Applicants/Licensees applies to all programs, whether new or currently
licensed, during the initial implementation of the new BRC process in
FY07. In other words, all currently licensed programs must submit to
EEC a background record check request for the Licensee of their program
before they can access any confidential CORI and/or DSS background
record check data through EEC for hiring purposes. BRC requests from
your program for prospective employees, volunteers or interns submitted
on or after April 17, 2007 will not be processed unless and until EEC
4
The Licensee is the person designated by the program as having the ultimate legal responsibility for the
management of the program and having the ultimate legal responsibility to maintain compliance with EEC
regulations.
5
Once the licensing process in completed and a license is issued, the “license applicant” becomes the
“Licensee.”
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receives, processes and approves a BRC request on your program’s
Licensee.
2. Reviewer BRC Request
Your program must also seek EEC approval of any “Reviewers” that will be
responsible for or otherwise participating in your program’s procedure for
checking the background records of prospective (or current) employees, regular
volunteers or interns.
Reviewers fall into two categories: (i) those individuals who are involved in
hiring decisions (Reviewer with Hiring Authority), and (ii) those individuals who
are not involved in hiring decisions, but whose administrative duties require them
to receive, handle, or process BRC information (Reviewer with Access). The
number of designated Reviewers should be limited to the smallest possible
number of people in your agency, corporation, or program who are necessary
participants and decision makers in the hiring process or whose administrative
duties require them to receive, handle, or process BRC information.
To seek EEC approval of a Reviewer, you must submit a signed “EEC
Background Record Check: Reviewer Request” form (Reviewer Request form)
for each person, in addition to the Licensee, who will receive, review, discuss or
access the BRC results of current or prospective employees, volunteers or interns
(“candidates”) in the program. Completed Reviewer Request forms must be
submitted to your Regional licensing office in paper format; this is because EEC
must maintain in the licensing file signed BRC Reviewer Request forms for
auditing purposes. You must also maintain copies of these signed Reviewer
Request forms on file in your program.
If your program’s Licensee will be serving as your program’s only Reviewer, and
your program’s Licensee has already been approved through EEC’s new BRC
process, then there is no need to send in a separate Reviewer Request form for the
approved Licensee. Except in very rare instances that are determined by EEC, all
approved Licensees are automatically approved as Reviewers as well.
EEC will review each proposed Reviewer’s BRC results (e.g., whether there is a
criminal record and/or any supported 51B history), and determine, pursuant to
EEC regulations, whether s/he may function as a Reviewer in your program. EEC
will mail written notification of its decision to the Licensee.6
Please note: The process described for EEC approval of Reviewers
applies to all programs, whether new or currently licensed, during the
initial implementation of the new BRC process in FY07. In other words,
all currently licensed programs must submit to EEC a background record
check request for the Reviewers of their program before those Reviewers
6
EEC will also notify the Licensee when it is conducting a Discretionary Review of the Reviewer. Please
note that if a Reviewer is a staff person who has the potential for unsupervised contact with children, then
the Licensee must also conduct its own Employer Review of that person.
EEC BRC TA 4/27/07 (supersedes all previous versions)
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can access any confidential CORI and/or DSS background record check
data through EEC for hiring purposes.
Periodic BRCs are required for Reviewers at the time of each license renewal.
Also, you must ensure that you have received written approval from EEC
authorizing an individual to act as either type of Reviewer for the program before
allowing that person to have access to any BRC information.
 For example, any time your program hires new administrative staff
who will have access to BRC data, or if you wish to expand a current
employee’s responsibilities to include the ability to access confidential
BRC data, such individuals must be screened and approved by EEC
through the Reviewer Request EEC Review process before these
individuals can have access to any BRC information.
In addition, all programs must notify their Regional licensing office should a
Reviewer leave your program, or if an individual who has previously been
designated by you as a Reviewer and approved by EEC as such, is longer serving
that capacity.
3. Confidentiality Notice to all Applicants/Licensees and Reviewers
BRC information is highly confidential, and only those very few people who are
necessary participants in the hiring process and decision are permitted access to
BRC information. CORI and DSS information must never be discussed or shared
with any person who has not been approved by EEC as a Reviewer or/and
Applicant/Licensee. The improper handling of background check information
carries with it the following penalties:


Any person who willfully requests, obtains, or seeks to obtain CORI under
false pretenses, or who willfully communicates or seeks to communicate
CORI to anyone without proper authority, may be fined up to $5,000 or
imprisoned for up to one year. See G.L. c. 6, §178.
Any person who willfully disseminates DSS Background Record Check
information or reports to unauthorized individuals may be fined up to
$1,000 or imprisoned for up to two and one half years, in addition to civil
penalties. See G.L. c. 119, §51F.
You must maintain on file in your program a copy of each signed BRC Applicant/
Licensee Request form and each signed Reviewer Request form that you submit
to EEC for processing and review. Both of these forms contain an “Agreement of
Non-Disclosure and Statement of CORI Certification Compliance,” which
documents the signatory’s understanding of the confidential nature of the
information, and that he or she will be subject to fines and/or imprisonment if s/he
willfully disseminates or communicates CORI or DSS reports or information to
unauthorized persons.
B. The Employer Review: BRC Requests for Prospective or Current Employees,
Regular Volunteers and Interns
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Once EEC has screened and approved the Applicant/Licensee for your program, and any
proposed Reviewers, your program can begin to access confidential CORI and DSS
background record check information for the purpose of making hiring decisions.
Before anyone (age 15 or older) can be hired to work, or can be approved to be a
volunteer or intern, in your program for a position where s/he may have unsupervised
contact with children, a BRC of that person must be conducted. The process for
Licensees and license applicants to screen and approve employees, regular volunteers and
interns (“candidates”) is called the “Employer Review.”
Employee Reviews on prospective or current candidates may only be conducted by
“Applicant/ Licensees” or “Reviewers with Hiring Authority” who have been screened
and approved by EEC as discussed in the preceding section (Section I(A)).
1. Accessing BRC information
The process for accessing and reviewing the background records of prospective or current
candidates is the same for new programs and currently licensed programs, with the
following limited exception:


New programs (e.g., new license applicants) must submit signed Consent for
Background Record Check forms for prospective candidates to the EEC BRC
Unit in paper format (using the forms provided by the EEC BRC Unit after the
applicant for a new license has been approved by EEC). EEC will process the
BRC candidate request forms and mail the BRC results to the program for review
and decision making.
Currently licensed EEC programs have the advantage of submitting all review
requests for prospective or current candidates electronically to EEC, through the
eccims system (web-CORI).7 EEC strongly encourages programs to use webCORI to minimize processing delays. If you are submitting a request through
web-CORI, do not forget to print a copy of the web-CORI receipt page since you
will need to keep it on file. EEC will process the electronic BRC requests and
mail the BRC results to the program for review and decision making.
Regardless of whether you are submitting a BRC request in paper format or electronically
through web-CORI, it is extremely important that the candidate (the
employee/volunteer/intern) signs the Consent for Background Record Check form, and
that your program maintains signed copies of the document in the candidate’s personnel
file, which must be available for inspection by EEC.8 When using the web-CORI
application, the candidate must complete and sign the Consent for Background Record
Check form prior to the time the information is submitted electronically to EEC.9 It is
unlawful to submit a request for a BRC prior to receiving the candidate’s signed consent.
2. Receiving and Reviewing BRC information from EEC
7
If you do not have access to web-CORI, you may learn how to access it by going to the EEC website at
https://www.eee.state.ma.us/brc.aspx.
8
You must also review a government issued photo ID for the candidate and make a photocopy of this ID to
include with the original signed Consent form in the candidate’s personnel file.
9
You must also place a copy of the web-CORI receipt page in the candidate’s personnel file.
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The BRC information that you will receive from EEC will include CORI results and DSS
background record check results (51B history). The CORI results and the DSS
background record check results will come separately.
The CORI results will consist of the candidate’s criminal history, if any. It will include
identifying information regarding the candidate, such as name, date of birth, and place of
birth. If there is no criminal history, the document will state that there is “No Record.” If
there is any criminal history, consisting of adult or youthful offender convictions, other
non-conviction results, or pending charges, these will be shown by charge, date,
disposition and status on the CORI results. These CORI results represent all the
documents you will receive from EEC regarding the candidate’s CORI check.
You will also receive from EEC, under separate cover, the results of the DSS background
record check. It will include the candidate’s name and other identifying information,
such as age and address, if available. If the candidate has no supported DSS 51B reports
(or if a supported 51B report was overturned on appeal), the document will show that
there are “No Findings.” If there is supported 51B information, the results will show the
nature of the support (e.g., physical abuse, sexual abuse, emotional abuse, or neglect,
among others), the date of the support, and if the person found responsible for the abuse
or neglect was named to the DSS Registry of Alleged Perpetrators. The DSS Registry of
Alleged Perpetrators includes a list of individuals with supported allegations that resulted
in the death of or serious injury or incapacity to a child.
If you receive “No Record” and “No Findings” responses on both of the candidate’s
CORI results and DSS background record check results, you may proceed with your
decision to hire.
However, if the candidate’s CORI results or DSS background record check results
contain adverse findings (anything other than “No Record” or “No Finding”) further
review is required. A candidate, who has a criminal history or has a supported DSS 51B
history, is eligible to work in your program, but only if you have reviewed and approved
the individual’s BRC results in accordance with EEC regulations (606 CMR 14.00). You
must review the candidate’s criminal history10 and/or DSS 51B history11 and determine
that the candidate does not pose an unacceptable risk of harm to children. This review of
the candidate’s background is called a Discretionary Review or a Presumptive Review,
depending upon the nature of the adverse findings.
Both the Discretionary Review process and the Presumptive Review process, as well as
the factors to be considered in preparing your rationale for hiring decisions, are discussed
in detail below in Sections II(B) and II(C), and in EEC’s Background Record Check
regulations at 606 CMR 14.10 and 14.11.
If you determine that the CORI would not have an adverse impact upon the candidate’s ability to work in
your program in a manner that ensures the safety of children, you may hire that candidate without waiting
for the candidate to supply supporting documentation. You must, however, document your rationale hiring
that candidate and the steps that you took to ensure compliance with EEC regulations.
11
This review requires that you review the supported DSS 51B reports(s). The process of obtaining the
supported 51B reports(s) will be discussed in Section II.
10
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Please note: The CORI results and the DSS background record check results will
come separately by mail from EEC. Both the CORI and the DSS BRC results
must be considered prior to confirming an offer of employment. No offer of
employment may be confirmed until both the CORI and DSS background record
check results have been received and reviewed.
3. Documenting the Receipt and Review of BRC information
When a candidate’s BRC has been processed and the results are received by your
program, your program must maintain in the candidate’s personnel file verification,
signed and dated by the Reviewer, that the BRC review (both DSS and CORI) was
completed. Section III of this document discusses your documentation responsibilities in
detail.
Please note: One document explaining your rationale for hiring is
sufficient to address both CORI and supported 51B findings, if both apply.
II.
Reviewing Background Record Check Results: the Discretionary and
Presumptive Review Process
A. Types of BRC results
There are four types of BRC responses that you may receive from EEC:12
 No Record/No Findings
 Pending
 CORI findings
 DSS findings
No Record/No Findings
If you receive both “No Record” and “No Findings” responses for both the CORI and
DSS BRC, you may proceed with your decision to hire.
Pending
If the candidate’s CORI information reveals that the candidate has an outstanding
warrant for any offense (“Pending”), then you must inform the candidate s/he is not
eligible for any position where there is the potential for unsupervised contact with
children unless and until the warrant is removed and the candidate is approved
through the Presumptive or Discretionary Review Process (See Sections II(B) and (C)
below).
If the candidate’s DSS information indicates that the candidate has an open 51B
investigation (“Pending”), then you must inform the candidate the s/he is ineligible
for any position where there is the potential for unsupervised contact with children
unless and until the 51B investigation is completed and results in a decision of
12
You will receive two separate sets of results, one for CORI and one for DSS information. No hiring
decision may be made until both sets of results have been received and reviewed in accordance with EEC
regulations and policy.
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unsupport, or unless and until the investigation is completed and the candidate is
approved through a Discretionary Review Process (See Section II(B), below).
CORI findings
The CORI results will indicate whether a candidate has a criminal background that
requires further review before hire. The EEC BRC regulations list two tables of
crimes: Presumptive Disqualifications and Discretionary Disqualifications.


Crimes that result in “Presumptive Disqualifications” are convictions,
pending charges, or cases resulting in a continuance without a finding (but are
still open) found in CORI, Table A (606 CMR 14.16).13 If you receive CORI
results with a Presumptive Disqualification please follow 606 CMR 14.10 and
Section II(C) below.
Crimes that result in “Discretionary Disqualifications” are convictions,
pending charges, and cases resulting in a continuance without a finding
(where the case is still open) found in CORI, Table B (606 CMR 14.16).
Discretionary disqualifications are also all charges that did not result in a
conviction once the case was closed for both Table A and B of 606 CMR
14.16. If you receive CORI results with a Discretionary Disqualification,
please follow 606 CMR 14.11 and Section II(B) below.
DSS Findings
DSS background record check results will indicate whether the candidate has a DSS
history that requires further review before hire. Any DSS information that shows that
a candidate has been named in a supported 51B report as the person responsible for
the abuse of neglect of a child will result in a “Discretionary Disqualification” of
the candidate, and requires the employer to notify EEC of the following:
 that the employer has shared the results of the DSS background record check
with the candidate and the candidate still wishes to pursue the hiring process
and undergo Discretionary Review by the employer, and that EEC must send
the employer a redacted copy of the 51B report so that the Discretionary
Review may take place; OR
 that the employer has shared the results of the DSS background record check
with the candidate and candidate has chosen not to proceed with the
Discretionary Review process; OR
 that the employer has chosen not to hire the candidate for reasons completely
unrelated to the DSS results. Some reasons where an employer may choose
not to hire a candidate for reasons completely unrelated to the DSS results
include: i) a decision not to hire, after the Discretionary or Presumptive
Review process, based upon adverse CORI results; ii) elimination of
available funding for the position for which the candidate applied; or iii) a
lower than anticipated enrollment of new children, thus eliminating the need
for the new position.
13
A presumptive disqualification may become a discretionary disqualification if certain conditions are met.
These conditions (the submission of a “no risk” letter) are discussed in Section II(C) of this technical
assistance paper.
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B. Discretionary Review Process
If you receive adverse CORI or DSS findings (i.e., anything other than a “No Record” or
“No Findings” result), you must follow all of the steps below before making a decision
whether to hire or continue to employ the individual whose BRC results you have
received, unless the candidate withdraws from consideration for the position.
It is strictly your decision whether to hire a candidate or continue to employ an individual
with adverse findings on either CORI or DSS Background Record Checks results,
provided you comply with the provisions of EEC’s BRC Regulations (606 CMR 14.00 et
seq.) If you receive CORI and/or DSS Background Record Check information, which is
other than “No Record” or “No Finding,” you must compare the identifying information
(name, date of birth, social security number) on the application you submitted with the
identifying information on the report(s) you received from EEC. If there is a discrepancy
in the information, contact the EEC BRC Unit at 617-988-7801.
Upon determining that you received the correct response for the information you
submitted, the following steps must be taken:
1.
You must notify the candidate in writing that s/he has adverse CORI
and/or DSS Background Record Check information and that this
information may result in your not hiring the person. (See Appendix A of
this document for a sample Notice). This notification must also include the
following:

2.
A copy of the CORI and/or DSS Background Record Check
results.

Notification to the candidate as to which part of the record makes
him or her ineligible.

A copy of the Criminal History Systems Board’s information
regarding the process of correcting a criminal record14 or
information about how to dispute a DSS record,15 as applicable.

If the adverse information comes from a DSS background record
check, you must ask the candidate if s/he wishes to proceed with
hiring process and undergo Discretionary Review. If s/he does
wish to undergo Discretionary Review, you must notify EEC so
that EEC may send you a copy of the redacted 51B report so that
you may proceed with the Discretionary Review process.

Information on how you will provide the candidate with the
opportunity to dispute the relevance of the CORI and/or DSS
Background Record Check information. (See Appendix A of this
document for a Sample.)

Notification to the candidate regarding the information required for
completion of a Discretionary Review.
Review all documentation provided by the candidate (see below).
That information may be found on the CHSB’s website, http://www.mass.gov/chsb, under Frequently
Asked Questions About CORI, “Someone Else’s CORI.”
15
Concerns should be addressed to the DSS Ombudsman’s Office at (617) 748-2000.
14
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3.
4.
If you choose to hire the candidate, you must document in writing your
clear and convincing evidence that s/he is appropriate for employment in
your program and your rationale for hire. (See Appendices B and C16 of
this document for sample Discretionary Approval documents.)
Document all steps taken. (See Appendix C of this document for a sample
form for documenting Discretionary hires).
In order to conduct the Discretionary Review, you may ask the candidate to submit
relevant information that will help you make your decision.17 The kind of information
you may wish to request includes:





a written explanation of the offense(s) or act(s) or other information from the
candidate;
letters of recommendation or explanation from people who know the candidate
and have relevant information that can help you make your decision;
information from the candidate’s probation officer or parole officer, if any;
information from a mental health professional who has treated the candidate, if
any; and/or
information from DSS staff (such as social workers), if any or others who may
provide information which may assist you in making your decision.
If you receive and consider information from any source, you must document that you
used that information. Before making a decision, you should consider the following
information:







the age of the crime or allegations of abuse or neglect;
the age of the candidate/employee at the time of the offense(s) or act(s);
the seriousness and specific circumstances of the offense(s) or act(s);
the relationship of the criminal or abusive/neglectful acts to the nature of the work
to be performed;
the number of offenses or incidents;
any relevant evidence of rehabilitation; and/or
any other relevant information, including information submitted by the candidate.
Please note: In every case where you receive BRC information (either CORI or
DSS) that necessitates a Discretionary (or Presumptive in some cases of CORI)
Review, you must complete and return to the EEC BRC Unit the cover sheet sent
to you with the CORI results and/or the DSS 51B reports, indicating whether or
not the candidate was approved for hire.18
16
Please note that Appendix B is meant strictly as an example. You may choose to combine Appendices B
and C into one document.
17
If you determine that the CORI would not have an adverse impact upon the candidate’s ability to work in
your program in a manner that ensures the safety of children, you may hire that candidate without waiting
for the candidate to supply supporting documentation. You must, however, document your rationale hiring
that candidate and the steps that you took to ensure compliance with EEC regulations. You may make a
hiring decision without a response from the candidate only if you plan to hire the candidate.
18
This cover sheet must also be returned to EEC in situations involving outstanding warrants regarding
CORI and pending DSS 51A investigations.
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C.
Presumptive Disqualification Review Process (606 CMR 14.10)
Presumptive disqualification only applies to convictions, pending charges, or cases
resulting in a continuance without a finding and left open for any crime found in
CORI, Table A at 606 CMR 14.16. If you receive presumptive disqualification results,
you must notify the candidate of the findings and his/her right to challenge the accuracy
of the information. Once you have determined that the CORI information received is
accurate, the candidate with a Presumptive Disqualification must submit a “no risk”
statement, as described below.
Presumptive “No Risk” Statement: A candidate with a presumptive disqualification, who
does not withdraw his application for employment, must submit a statement from the
candidate’s criminal justice official or, if the criminal justice official is unavailable or is
not able to supply the statement, from a qualified mental health professional concluding
that the candidate does not pose an unacceptable risk of harm to children (“no risk”
statement). If the candidate submits documentation from the criminal justice official or
mental health professional stating that the candidate does not pose an unacceptable risk of
harm to children, then the disqualification becomes a “discretionary” one and you must
conduct a Discretionary Review to determine whether to hire the candidate. Note:
Overcoming the “presumption,” through the “no risk” letter, does not relieve you from
conducting a Discretionary review. Section II(B), above, describes the factors and
information you must consider in conducting your Discretionary Review and how your
decision must be documented.
III.
Maintaining and Storing Background Record Check Information
EEC’s BRC regulations (606 CMR 14.00 et. seq.) require programs to maintain CORI
and DSS information in a manner that ensures it remains confidential. EEC’s regulations
further require that programs maintain appropriate records for monitoring purposes. To
meet these two requirements, programs must keep some documents in a candidate’s
personnel file, while others must be kept in a locked, segregated and secure file.
A. Documents maintained in a candidate’s personnel file
The candidate’s personnel file must contain the following BRC information:
 The original signed Request/Consent for Background Record Check form; along
with a copy of the photo ID AND (one of the two below)
 A statement that both a CORI review and DSS background record check review
were completed in accordance with EEC regulations and policies before the staff
member was hired or the volunteer or intern was permitted to work in a position
with the potential for unsupervised contact with children; OR.
 If the BRC request was submitted through web-CORI for prospective or current
employees/volunteers/interns, once you receive the CORI results and the DSS
51B results by mail from EEC and review them, you (the “Reviewer”) must
indicate on the web-CORI receipt page that your review has taken place by
signing and dating the appropriate lines, and placing that form in the employee’s
personnel file.
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B. Documents maintained in a locked, segregated and secure file
Your program must keep its rationale for hiring the candidate after the Discretionary
Review Process in a locked, segregated and secure file:19
You are not required to keep any other CORI data, (such as the notice from the Board of
Probation), or any other DSS data (such as the DSS findings or the 51B reports).
However, if you do choose to keep such documentation, you must keep it in your locked,
segregated and secure files and not in the candidate’s personnel file. Examples of the
optional CORI and DSS data that, if kept, must be stored in you locked, segregated and
secure files include:
 any adverse CORI or DSS Background Record Check findings that you
receive from the EEC BRC Unit;
 any statements of “no record” or “no findings” that you receive from the EEC
BRC Unit;
 your written documentation that you informed the candidate of his/her right to
challenge the accuracy or relevance of CORI and DSS Background Record
information and of the process to do so;
 a signed copy of your notification to EEC regarding whether you need
redacted copies of the DSS 51B report(s);
 a copy of the “no risk” letter that you receive allowing a candidate with a
presumptive disqualification to proceed with a Discretionary Review, if
applicable;
 copies of any information that you receive as part of a Discretionary Review
Process; and
 a copy of your notification to EEC as to whether or not you hired the
candidate once the Discretionary Review process was complete.
CORI and DSS data may be kept for no more than three years or until you conduct a new
BRC on that person, whichever comes first. At the end of the this period, you must
destroy the prior documents related to the candidate’s BRC, with the exception of your
rationale for hire, which must be kept as long as the candidate works in your program.20
IV.
Background Record Check Policies
You must maintain written BRC policies that specify how you will assure the following:



19
20
that you complete BRCs for each new employee before an offer of employment is
confirmed;
how you will ensure that an EEC approval is obtained for each Reviewer (that is,
each person you authorize to receive, review or discuss the BRC results of other
potential employees, regular volunteers or interns in the program);
how you will ensure that EEC is notified when an approved Reviewer leaves your
employment and how you will obtain EEC approval for each new Reviewer; and
Only the Licensee, Reviewer(s), if any, and EEC may have access to this file.
This information should be shredded so that it is not possible to read the documents.
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
how you will assure that new BRCs are completed for your program’s Licensee
and Reviewers at each license renewal and for every staff member, regular
volunteer, and intern who has the potential for unsupervised contact with children
at least every two years.21
In addition, your BRC policies should specify that you will complete a new Background
Record Check review for an employee, volunteer or intern any time the program receives
information that may indicate that a new CORI or DSS Background Record Check
review is appropriate (for example, notification that a staff member has been arrested or
has been named as a person responsible for abuse or neglect of a child).
If you need further assistance or have any questions about employee Background Record
Checks, please refer to the EEC regulations for Criminal Offender and Other Background
Record Checks (606 CMR 14.00) at the EEC website, or call the EEC BRC unit at 617988-7801.
21
A Licensee for a multi-site program need only submit a BRC for that License once every two years and
not each time a particular site is renewed. Please discuss the timing of this request with your licensor
should you have questions.
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APPENDIX A
Sample Notice to a Candidate of the Right and the Process to Challenge
the Accuracy or Relevancy of Background Record Information
To: ( Name of Candidate)
Date:
Re: Your application for employment or volunteer service
Please be advised that we may choose not to hire you or accept your volunteer service
because of the CORI and/or DSS Background Record Check information we have
received. A copy of the CORI and/or DSS Background Record Check information that
we received is attached. The particular part of the record that makes you ineligible is as
follows:
________________________________________________________________________
You have a right to dispute the accuracy and/or relevance of the CORI and/or DSS
Background Record Check information that we have received. Information about the
process to correct a criminal record is attached. To dispute DSS information, please
contact the DSS Ombudsman’s Office directly at (617) 748-2000.
In addition, depending on the nature of the CORI information we received, you may have
the right to a Discretionary Review.
If this box is checked, you must submit a statement from your criminal justice
official or from a qualified mental health professional concluding that you do not pose an
unacceptable risk of harm to children before we can conduct a Discretionary Review.
In order for us to conduct a Discretionary Review, you must submit as much of the
following information as you would like us to consider:
 your written explanation of the offense(s) or incident(s);
 letters of recommendation or explanation from people who know you and who
have relevant information that can help us determine whether or not you are
appropriate for employment in a child care or residential program;
 information from your probation officer or parole officer;
 information from a mental health professional who has treated you ; or
 information from DSS staff or others that may help us determine whether or not
you are appropriate for employment in a child care or residential program.
Once we have reviewed the information you provide, we will notify you of our decision
regarding your employment or volunteer service in our program.
______________________________/ _____________
Signature of Licensee/Reviewer
date
______________________________/_________
Signature of Candidate
date
I withdraw my application for employment or volunteer service.
______________________________/_________
Signature of Candidate
date
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THIS DOCUMENT IS TO BE USED ONLY AS A SAMPLE AND NOT AS ANY
TYPE OF AUTHORIZATION BY EEC. DECISIONS RESULTING FROM
DISCRETIONARY REVIEW OF EMPLOYEES, VOLUNTEERS, AND INTERNS
ARE THE SOLE RESPONSIBILITY OF THE EMPLOYER.
APPENDIX B
SAMPLE BRC DISCRETIONARY APPROVAL REVIEW (RATIONALE)
CANDIDATE:
Jane Doe
Ms. Doe has applied for a position as an Infant/Toddler Teacher. She has a discretionary
criminal history consisting of the following charge: Larceny by Check (12/15/04). She
also has the following dismissed charge: Driving with Expired Registration (2/28/99). In
addition, Ms. Doe has been named in a supported DSS 51B report as a person responsible
for the neglect of her two biological children, (7/5/00).
With regard to the CORI, Ms. Doe explained that she wrote a check on an account that
had insufficient funds and that she was unaware that her driver’s license had expired.
With regard to the supported 51B report, Ms. Doe explains that her ex-husband, who is
the father of her two children, was regularly verbally abusive to Ms. Doe. In addition, he
would frequently use profanity and raise his voice in front of the children. One night,
while the Does had guests at their home, Mr. Doe struck Ms. Doe several times while
screaming at her. The Doe children, who were four and seven years of age at the time,
witnessed these events. One of the guests called the police. The police reported the
matter to DSS. DSS investigated and supported for neglect of the Doe children against
both Mr. and Ms. Doe. Ms. Doe and her husband are now divorced. The father is
allowed supervised visits with the children and Ms. Doe has full legal and physical
custody of the children. Ms. Doe explains that she had been emotionally abused by her
ex-husband for many years, but never had the courage to leave since he controlled the
finances in the family. Shortly after the incident of physical abuse, she sought assistance
through a battered women’s shelter and left her husband. She has now received her
Associate’s Degree in Early Childhood Education and is working towards a Bachelor’s
Degree.
Ms. Doe has submitted two letters of reference, which describe her as hard working and
family oriented. The first letter is from a party who knows Ms. Doe through her
volunteer work in the community. The party goes on to state Ms. Doe exhibits sound
judgment and loves children greatly. The second letter is from her pastor and reinforces
these sentiments. Ms. Doe is described as an enthusiastic parent with a pleasant and
positive attitude.
Based on the submitted information it is found that the documentation supported granting
an EEC Background Record Check discretionary approval.
ACTION TAKEN:
Grant Discretionary Approval and Hire Candidate
Reviewer:
___________________________________ Date:
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____________
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APPENDIX C
Sample Form for Documenting Discretionary Hires
Name of Prospective Employee: _____________________________________________
1.
The CORI conviction(s) or charges/ DSS 51B supports are from the following
years:
2.
The age of the candidate at the time of the offense(s)/ acts:
3.
The seriousness and specific circumstances of the offense/act:
4.
The relationship of the criminal / abusive / neglectful act to the nature of the work
to be performed:
5.
The number of offenses/ incidents:
6.
The candidate submitted the following information as evidence of his/her
rehabilitation:
7.
Any other relevant evidence of rehabilitation and the source of the evidence:
8.
Any other information:
Please state in writing your rationale for hiring the candidate, based on the above factors.
If you consider any information that is not listed above, please identify what that
information is and how you used such information in making your decision:
Reviewer Signature _______________________________
Date of Decision _______________
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