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CALIFORNIA DEPARTMENT OF JUSTICE Application for Authorization Pursuant to
CALIFORNIA DEPARTMENT OF JUSTICE
Application for Authorization Pursuant to
Penal Code Section 11105.4
(Contract/Proprietary Security Organizations)
BUREAU OF CRIMINAL
INFORMATION AND ANALYSIS
Mail Completed application
to:
Department of Justice
Applicant Information and Certification Program
P.O. Box 903387
Sacramento, CA 94203-3870
TABLE OF CONTENTS
Authorization for Criminal History Information...................................................................................... PAGE 1
Authorization for Custodian of Records Information (NEW - IMPORTANT) ........................................ PAGE 2
Applicant Live Scan Overview ............................................................................................................. PAGE 3
Application for Authorization (REQUIRED) .......................................................................................... PAGE 4
Request for Contributing Agency ORI and/or Response Mail Code (BCII 9001) (REQUIRED) .......... PAGE 5
Guidelines for Completing Request for Contributing Agency ORI and/or Response
Mail Code (BCII 9001).......................................................................................................................... PAGE 6
Notification of ORI, Mail Code and/or Billing Number Assignment (REQUIRED)................................ PAGE 7
Applicant Live Scan Billing Procedures................................................................................................ PAGE 8
Billing Account Application (CJIS 9000)
(REQUIRED - Only if your agency will be billed for services).............................................................. PAGE 10
Applicant Fingerprint Response Subscriber Agreement
(REQUIRED - Please return Page 14 and 15 with this application)..................................................... PAGE 12
Criminal Offender Record Information (CORI) Policy
(REQUIRED - Head of Contributing Agency/Organization).................................................................. PAGE 16
CORI Policy (REQUIRED - Custodian of Records).............................................................................. PAGE 17
Custodian of Records Application Form (BCIA 8374) (REQUIRED) ................................................... PAGE 18
Custodian of Records Request for Live Scan Service (BCII 8016) form
(Utilized ONLY AFTER receiving DOJ authorization confirmation) ..................................................... PAGE 20
CORI Policy (Employee Statement) .................................................................................................... PAGE 21
Contract for Subsequent Arrest Notification Service (BCII 8049)
(REQUIRED - Only if State Statute authorizes Subsequent Arrest Notification) ................................. PAGE 22
No Longer Interested Notification ........................................................................................................ PAGE 23
Authorization for Criminal History Information
California Penal Code Section 11105.4 provides that a contract or propietary security organization may
request criminal record information from the Department of Justice (DOJ) for its prospective employees.
Information released by the DOJ is restricted to the crimes as specified in Penal Code section 11105 (n).
A "contract security organization" means a person, business, or organization licensed to provide services
as a private patrol operator, as defined in subdivision (a)of Section 7582.1 of the Business and Professions
Code.
A "proprietary security organization" means an organization within a business entity that has the
primary responsibility of protecting the employees and property of its employer, and which allocates a
substantial part of its annual budget to providing security and protective services for its employer, including
providing qualifying and in-service training to members of the organization.
In order for us to determine whether your organization meets the requirements to obtain state criminal
history information pursuant to Penal Code section 11105.4, please complete and return the attached
application package. Incomplete forms will be returned unprocessed. Please do not submit your
fingerprint(s) until approval has been granted.
1
Authorization for Custodian of Records Information
IMPORTANT - PLEASE READ CAREFULLY
Pursuant to Penal Code section 11102.2(b); the DOJ established a confirmation program to process
fingerprint-based background responses on individuals designated by applicant agencies to serve as
Custodian of Records. Effective January 1, 2011, no person shall serve as an agency Custodian of
Records unless they have been confirmed by the DOJ. Criminal justice agency personnel who have
undergone a state and federal criminal record background check for their agency (currently employed) are
exempt from these requirements.
As such, before any applicant agency can become fully authorized by the DOJ, the DOJ must first
confirm/approve the agency's designated Custodian of Records.
A Custodian of Records means the individual designated by an agency as responsible for the hiring
decisions, and for the security, storage, dissemination, and destruction of the criminal records furnished to
the agency, and who serves as the primary contact for the DOJ for any related issues. Each agency must
designate at least one Custodian of Records
Applicants applying for Custodian of Records confirmation must meet the following criteria:
1. Be at least 18 year old;
2. Complete and submit the Custodian of Records Application Form (BCIA 8374)
The confirmation process will consist of a completed Custodian of Records Application for Confirmation
form (BCIA 8374), which is included in this packet and must be returned along with all required documents.
Additionally, the Custodian of Records must submit fingerprint images to the DOJ via live scan and pay the
$49 state/federal background check fees along with a $30.00 confirmation fee (A total of $79 in fees will
be collected at the live scan site).
Included in this packet is a pre-filled Custodian of Records Request for Live Scan Service (BCII 8016) form
ready to be utilized to fulfill this requirement once your agency is authorized. PLEASE NOTE: You must
enter all of your Agency's information in the "Employer (Additional response for agencies specified by
statute)" field, with the exception of the Mail Code on the BCII 8016 form in order for the DOJ to process
your submission.
Confirmation will be denied or revoked on those applicants convicted of a felony offense, or any other
offense that involves moral turpitude, dishonesty, fraud or that impacts the applicant’s ability to perform
the duties or responsibilities of a Custodian of Records. The DOJ will retain the fingerprints for subsequent
arrest notification pursuant to Penal Code section 11105.2. Custodian of Records confirmation, denial, or
revocation letters will be mailed by the DOJ to the designated applicant agency, as identified on the
application by the Custodian of Records applicant.
PLEASE NOTE: DO NOT SUBMIT CUSTODIAN OF RECORDS FINGERPRINT IMAGES UNTIL YOU
HAVE RECEIVED CONFIRMATION FROM THE DOJ THAT YOUR AGENCY IS AUTHORIZED.
After submitting this application, the DOJ's Applicant Information and Certification Program at
[email protected] will determine if your agency is authorized and ready for the next step.
Beginning the confirmation process by submitting your Custodian of Records fingerprint images before your
agency is officially authorized to request criminal record information will result in fees being assessed, which
will not be refunded if your agency is determined as not having requesting authority.
2
Applicant Live Scan Overview
Applicant Live Scan is a system for the electronic submission of applicant fingerprints and the subsequent
automated background check and response. Live scan technology replaces the process of recording an
individual's fingerprint patterns manually through a rolling process using ink and a standard 8" x 8"
fingerprint card. Fingerprints can be digitalized through an electronic process (Live Scan), enabling the
electronic transfer of the fingerprint image data, in combination with personal descriptor information, to
central computers at the Department of Justice (DOJ). This transfer of information takes place in a matter
of seconds, instead of the days required to send hard copy fingerprint cards through the U.S. mail. The
applicant visits an Applicant Live Scan satellite location where the fingerprint images and related data are
electronically transmitted to the DOJ. The recent, rapid expansion of the number of applicant live scan
devices has resulted in an ever increasing volume of applicants availing themselves of live scan technology.
With Live Scan, the applicant is provided with a "Request for Live Scan Service" form (BCII 8016). The
applicant is also provided with a list of nearby live scan locations and must go to one of the specified
locations to submit fingerprints. At these locations, a trained, certified operator enters the information from
the BCII 8016 form into the live scan terminal and initiates the live scan fingerprinting process. After
successful electronic capture of the fingerprint images and the accompanying data, the information is
electronically transmitted to the DOJ.
Once the fingerprints and data are received by the DOJ, they are electronically processed by the DOJ
Global Transaction Controller (GTC). Most live scan submissions that have no data or quality errors and
do not result in possible criminal history matches are processed automatically and are responded to
electronically. Live scan transmissions requiring analysis of a criminal record are electronically sent
to the Applicant Response Unit for analysis and dissemination. Live scan submissions are responded
to by electronic mail, and/or U.S. mail when the electronic mail response is not available.
The DOJ will also coordinate other electronic processes resulting from the automated submissions of
fingerprints, including forwarding the fingerprints to the FBI (if required) and coordinating the collection of
associated fees.
We sincerely hope that this information will be useful and will answer your questions about the
electronic processing of fingerprints in California.
3
DEPARTMENT OF JUSTICE
CONTRACT/PROPRIETARY SECURITY ORGANIZATION
REQUEST FOR AUTHORIZATION TO RECEIVE STATE SUMMARY CRIMINAL HISTORY
INFORMATION PURSUANT TO PENAL CODE SECTION 11105.4
Name of AgencyOrganization:
Mailing Address:
City, State, Zip Code:
Contact Person:
Phone #:
E-mail:
Fax #:
Please describe below (or attached documentation) the purpose of your organization, including services, clients and a description
of employee duties and responsibilities.
1.
The information provided by the Department of Justice (DOJ) to this agency is confidential and shall not be disseminated
to any other person or agency not authorized by law (11105 PC). A violation of this section is a misdemeanor (11142
PC). However, the requesting agency may provide a copy of the DOJ applicant response to the subject of the record
upon request as they are deemed an authorized person.
2.
All personnel/individuals with access to Criminal Offender Record Information (CORI) will have a fingerprint background
clearance record check completed through the DOJ as required by the California Code of Regulations Section 703 (d)
prior to the submission of fingerprints for employment, licensing, certification or volunteer purposes.
3.
All personnel/individuals with access to CORI will have a signed "Employee Statement Form" on file acknowledging an
understanding of laws (See Employee Statement)
4.
All personnel/individuals with access to CORI will be trained in the secure handling, storage, dissemination and
destruction of CORI.
5.
My agency/organization will have a written policy for securing access, storage, dissemination and destruction of criminal
record information. This policy will include the steps to be taken to prevent unauthorized access to CORI maintained in
our agency files. (See Criminal Offender Record Information Policy)
6.
The Department of Justice may conduct audits of the authorized persons or agencies using CORI to ensure compliance
with state laws and regulations. (Section 702 (c) California Code of Regulations)
7.
The information provided by the Department of Justice will be maintained in a secured area/locked cabinet separate from
the employees personnel file and be used only for the purpose for which it was acquired.
8.
Our agency/organization will notify the Department of Justice with regard to any change of agency name, address,
telephone number, fax number, Custodian of Records and contact person.
Signature:
Date:
Printed Name:
Title:
4
STATE OF CALIFORNIA
BCII 9001
(REV. 1/09)
DEPARTMENT OF JUSTICE
REQUEST FOR CONTRIBUTING AGENCY ORI AND/OR RESPONSE MAIL CODE
In order to submit applicant fingerprints via Live Scan, you must have an Originating Agency Identifier (ORI)
code to identify your agency. In addition, your agency must have a unique Response Mail Code in order for the
DOJ to send your responses electronically. The DOJ response and if applicable, subsequent arrest notifications
will be programmatically sent to a secure electronic mailbox, from which you will retrieve your messages.
Please Note: In order to receive an ORI and Mail Code, you must have a completed form BCII 9005,
Subscriber Agreement, on file with the Department of Justice or returned with this request.
Contributing Agency Name:
Mailing Address:
City, State, Zip Code:
Your projection for monthly applicant submissions:
Contact Person Name:
Phone Number:
Please check the box(es) for the type(s) of applicants for whom you will be submitting:
Employment
Title or Position (i.e., Classified Employee)
License, Certification, Permit
Type of License, Certification, Permit
Identify Licensing Agency as it would appear on fingerprint card (i.e., Department of Social Service)
Volunteers
We request that all responses be sent electronically to the same secure mailbox.
We request separate secure mailbox(es) for the following application type(s);
Employment
License, Certification, Permit
Volunteers
ORI's and mail code number(s) will be assigned by the Department of Justice and the information returned
to you on form BCII 9003, Notification of ORI, Mail Code, and/or Billing Number.
5
STATE OF CALIFORNIA
DEPARTMENT OF JUSTICE
GUIDELINES FOR COMPLETING FORM BCII 9001,
"REQUEST FOR CONTRIBUTING AGENCY ORI AND/OR RESPONSE MAIL CODE"
FIELD
INSTRUCTIONS
1)
Service(s) requested
Check the appropriate box(es). You must request an
ORI if you do not already have one and you intend to
submit via Live Scan. You must request an electronic
response mail code if you want your responses to be sent
electronically to a secure mail server instead of by U.S.
mail. Your agency will be assigned an ORI and/or mail
code by the DOJ.
2)
Contributing agency name, mailing address,
and projected monthly submissions
Enter the agency/organization's information.
3)
Contact person
Enter the name of the person within your agency that DOJ
can contact if any questions arise.
4)
Phone number
Enter the contact person's phone number.
5)
Employment
Check this box if you will be submitting fingerprints of
potential employees and enter the title or position of
employees to be fingerprinted. If you will submit for all
employees, state "all employees".
6)
License, Certification, Permit
Check this box if you will submit for licenses, certifications,
or permits and enter the types of licenses, etc. you
issue. .
7)
Identify licensing agency
If you checked the license, certification, and permit box,
please provide the licensing agency name as it would
appear on a fingerprint submission.
8)
Volunteers
Check this box if you will be fingerprinting volunteers.
9)
Electronic response mailbox
Check this box if ALL SUBMISSIONS will be going to the
same electronic response mailbox
10)
If responses in your agency are designated to different
locations based on the application type, and you want a
Designate more than one electronic response
separate mailbox for any or all of your applicant types,
check the appropriate box(es).
6
STATE OF CALIFORNIA
BCII 9003
(REV. 1/09)
DEPARTMENT OF JUSTICE
NOTIFICATION OF ORI, MAIL CODE, AND/OR BILLING NUMBER
CONTRIBUTING Agency - please provide a complete address in the space below. This form will be returned
to you with your ORI, Mail Code, and/or Billing Number information.
Contributing Agency Name:
Mailing Address:
City, State, Zip Code:
Listed below are the ORI, Mail Code, and/or Billing Number assigned to your agency for applicant responses.
ORI
Mail Code
Billing Number
If separate response locations were requested, assigned codes are as follows:
Type
ORI
Mail Code
Employment
Licensing, Certification, or
Permit
Volunteer
The following are the ONLY applicant types with CJIS codes your agency is authorized to submit to the DOJ for
background check purposes. The CJIS Code is for internal use only and is not utilized on the BCII 8016 form.
Applicant Type
CJIS Code
1
2
3
4
5
6
7
8
9
10
Should your address or agency information change in the future, you must notify the DOJ immediately.
Please visit the DOJ's website to obtain form BCIA 8386, Applicant Submitting Agency Request to Change.
7
APPLICANT LIVE SCAN BILLING PROCEDURES
*** Applicant Agencies are not required to complete the Billing Account Application (CJIS 9000) if its
applicants will be paying the DOJ fees at the Live Scan Site ***
The Department of Justice (DOJ) has developed the following procedures for the billing and collection of
fingerprint fees. The first requirement in the applicant Live Scan Billing process is to provide the DOJ with
billing authorization to allow fee collection for services provided. Agencies must provide the following:
*
*
*
All applicant agencies who wish to be billed for submitting fingerprints via Live Scan must
complete form CJIS 9000, Billing Account Application.
Non-state Live Scan agencies (e.g., public schools) must complete a Memorandum of
Understanding.
State agencies (e.g., Social Services) with Live Scan devices must complete a new Interagency
Agreement even if they currently have one.
The approved agencies will be assigned a DOJ billing number to be used for background check fees. The
DOJ billing number cannot be used for the rolling fees. The following actions must occur in order for the
DOJ to generate a monthly invoice for services and to ensure that the correct agency is billed for services
received.
*
*
The Live Scan operator must input a customer billing number on every applicant Live Scan
transmission sent to the DOJ. The customer billing number keyed should be either the number
for the live scan agency or the licensing applicant agency, to be determined as follows:
>
Applicant Agency - The requesting agency is responsible for the information entered on
the 8016 form provided to the applicant. If the billing number is entered on the
Contributing Agency Section (in the area title "BIL") of the 8016 form, the Live Scan
operator will enter the billing number and the requesting agency will be billed. If the
requesting agency does not want to be billed for the applicant, "APPLICANT MUST PAY"
is entered on the 8016 form in place of the billing number.
>
Live Scan Agency - If the live scan agency collects cash, credit, or a check on behalf
of the DOJ for payment of the background check fees, the Live Scan operator will enter the
Live Scan Site billing number. The Live Scan Site will be billed by the DOJ for the
background fees collected.
>
Please note - If the applicant is fee exempt, the Live Scan operator must still enter the
Live Scan agency's customer billing number into the transmission. No charges will
be billed to the agency for fee exempt transmissions.
>
If the applicant is not fee exempt, does not pay for services, and there is no billing number
on the Request for Live Scan Service form, the Live Scan operator should not fingerprint
the applicant.
The DOJ Accounting Office will generate invoices based on the Live Scan transmission
information thirty days in arrears. Based on the monthly billing cycle, each agency will be billed
for transmissions occurring between the first day and the last day of the prior month. The agency
will generally receive invoices within the first fifteen working days of the month.
8
APPLICANT LIVE SCAN BILLING PROCEDURES (continued)
*
The Operations Support Program, Billing Unit (BU) will bill for fingerprint transmissions on a
monthly basis. To begin receiving monthly fingerprint billings along with a billing detail, your
agency must have both an Agency ORI number and a customer billing number. If you do not
have an ORI number, complete this packet and mail the packet including CJIS 9000 - Billing
Account Application to DOJ. If you already have an ORI number, call (916) 227-3870 (Option #4)
and in approximately 1-2 weeks you will receive the assigned customer billing number. The
monthly billing detail report will consist of the applicant's name, fingerprint date, and total
fingerprint fees billed.
*
Payment to DOJ is due upon receipt of the invoice. If there are discrepancies, please complete
Form BCII 9006 - Credit Request - Applicant Live Scan Fingerprint Billing and fax to BU at
(916) 227-1149, listing the applicant(s) in dispute. The Credit Request form is available on the
internet at http://ag.ca.gov/fingerprints/forms/BCII%209006.pdf. Please pay promptly for those
charges with which you agree, and short pay the invoice by the amount of charges in dispute.
The BU will notify the agency if it denies the Credit Request. NOTE: If an agency does not
submit a Credit Request, the agency will be held liable for the outstanding charges. Failure to
remit payment in a timely manner may result in the agency being sent to collections and having
its customer billing number disabled. The DOJ will not accept Credit Requests received three or
more years after final payment of an invoice. Credit and rebill information will appear at the
bottom of the monthly billing detail report the month following a credit request.
*
The applicant agency will be responsible for payment if the fields on Form BCII 8016 - Request
for Live Scan Service are not completed correctly. Therefore, it is extremely important that the
agency follow the Form BCII 8016 Instructions available on the internet at
http://ag.ca.gov/fingerprints/forms/BCII_8016_8016A_instructions.pdf.
*
The Live Scan agency will be responsible for payment if the operator fails to input a customer
billing number or inputs an incorrect billing number and/or applicant agency information, and the
DOJ cannot determine which agency should be billed for the transmission.
Please call the BU at (916) 227-3870 for any of the following:
1. Establish a customer billing number (only if the ORI and electronic response codes have already
been established).
2. Update billing contact information.
3. To resolve Live Scan Billing discrepancies.
9
STATE OF CALIFORNIA
CJIS 9000
(Orig. 09/2004; Rev. 06/2016)
DEPARTMENT OF JUSTICE
BILLING ACCOUNT APPLICATION
Business/Agency Type:
School District
Private School
Corporation
Sole Proprietorship/Partnership
Non-Profit Organization
Local Government
Federal Government
State Government
(Fund Code Required)
Federally-Recognized Tribe or Designee
ALL APPLICABLE INFORMATION MUST BE COMPLETED LEGIBLY. INCOMPLETE APPLICATIONS WILL BE RETURNED.
Business/Agency Name:
Business/Agency Address:
City:
State:
ZIP Code:
Federal Tax Identification Number*:
Social Security Number (Sole Proprietorship or Partnership)*:
*EITHER a Federal Tax Identification Number OR Social Security Number must be provided.
Authorized Representative:
Telephone Number:
Facsimile Number:
Electronic Mail Address:
I, the undersigned, have the authority to conduct business for the business/agency listed above. I confirm that all the information
on this application is true and correct. I give my permission to the Department of Justice (DOJ) to research and confirm all
information provided and to request a credit report at any time. I understand this is an agreement to pay the processing fees
associated with the electronic transmission of State and/or Federal criminal offender record information requests, including fees
incurred by duplicate transmissions or other errors on the part of the above business/agency or its representative(s). Failure to
remit payment in a timely manner may result in the DOJ utilizing all information provided on this billing account application for
collection purposes; in addition, the DOJ may disable your customer billing number. I agree to the terms of this agreement and
understand it will remain in effect until written cancellation is provided by either party with 30 days notice.
Signature
Printed Name
Title
Date
DOJ Use Only
Input By:
Account #:
Received Date:
Input Date:
ORI #:
ACN #:
10
STATE OF CALIFORNIA
CJIS 9000
(Orig. 09/2004; Rev. 06/2016)
DEPARTMENT OF JUSTICE
BILLING ACCOUNT APPLICATION
Privacy Notice
As Required by Civil Code § 1798.17
Collection and Use of Personal Information. The California Justice Information Services Division's Operations
Support Program (OSP) in the California Department of Justice collects the information requested on this form as
authorized by Penal Code section 11105. OSP uses this information to create a Billing Account for the collection of fees
for services rendered. In addition, any personal information collected by state agencies is subject to the limitations in the
Information Practices Act and state policy. The California Department of Justice's general privacy policy is available at
http://oag.ca.gov/privacy-policy.
Providing Personal Information. All the personal information requested in the form must be provided. This form may
not be processed for failure to provide all personal information requested.
Access to Your Information. You may review the records maintained by OSP in the California Department of Justice
that contain your personal information, as permitted by the Information Practices Act. See below for contact information.
Possible Disclosure of Personal Information. In order to collect fees for services rendered, we may need to share the
information you give us with collection agencies should your account become delinquent.
The information you provide may also be disclosed in the following circumstances:
•
In response to a Public Records Act request, as allowed by the Information Practices Act;
•
To another government agency as required by state or federal law;
•
In response to a court or administrative order, a subpoena, or a search warrant.
Contact Information. For questions about this notice or access to your records, you may contact OSP by phone at
(916) 227-3870, by e-mail at [email protected], or via mail at:
California Department of Justice
Operations Support Program, D-214
4949 Broadway
Sacramento, CA 95820
Attn: Electronic Billing Section
11
STATE OF CALIFORNIA
BCII 9005
(REV 1/09)
DEPARTMENT OF JUSTICE
PAGE 1 OF 4
APPLICANT FINGERPRINT RESPONSE SUBSCRIBER AGREEMENT
SECURITY OF CRIMINAL OFFENDER RECORD INFORMATION
Criminal Offender Record Information (CORI) is information identified through fingerprint submission to the
Department of Justice (DOJ) with a criminal record or "No Record". It is confidential information
disseminated to applicant agencies authorized by California statute for the purposes of employment,
licensing, certification, and volunteer clearances. The following information describes each agency's
responsibility toward accessing, storage, handling, dissemination, and destruction of CORI.
Background
Penal Code sections 11105 and 13300 identify who may have access to criminal history information and
under what circumstances it may be released.
The DOJ maintains the California Law Enforcement Telecommunications System (CLETS) that provides
law enforcement agencies with information directly from federal, state, and local computerized information
files. However, restrictions have been placed on the user to ensure that the rights of all citizens of
California are properly protected.
Article 1, section 1 of the California Constitution grants California citizens an absolute right to privacy.
Individuals or agencies violating these privacy rights place themselves at both criminal and civil liability.
Laws governing Californians' right-to-privacy were created to curb, among other things, the excessive
collection and retention of personal information by government agencies, the improper use of information
properly obtained for a proper purpose, and lack of a reasonable check on the accuracy of existing records.
(White v. Davis (1975) 13 Cal. 3d 757,775.)
Employment Background Checks
It is only through the submission of fingerprints to the DOJ that the true identity of an individual can be
established. In a 1977 lawsuit (Central Valley v. Younger), the court ruled that only arrest entries resulting in
conviction, and arrest entries that indicate active prosecution, may be provided for evaluation for
employment, licensing, or certification purposes.
Exceptions
Some statutory provisions, such as those relating to youth organizations, schools, and financial institutions,
further limit information dissemination to conviction for specific offenses. Records provided for criminal
justice agency employment as defined in Section 13101 of the Penal Code are exempt from these
limitations. In addition, arrest information for certain narcotic and sex crimes, irrespective of disposition,
will be provided for employment with a human resource agency as defined in section 1250 of the Health
and Safety Code. Other exceptions are listed in the CLETS Policies, Practices, and Procedures
(section 1.6.1).
12
STATE OF CALIFORNIA
BCII 9005
(REV. 1/09)
DEPARTMENT OF JUSTICE
PAGE 2 OF 4
APPLICANT FINGERPRINT RESPONSE SUBSCRIBER AGREEMENT
SECURITY OF CRIMINAL OFFENDER RECORD INFORMATION (continued)
Unauthorized Access and Misuse
The unauthorized access and misuse of CORI may affect an individual's civil rights. Additionally, any
person intentionally disclosing information obtained from personal or confidential records maintained by a
state agency or from records within a system of records maintained by a governmental agency has violated
various California statutes. There are several code sections that provide penalties for misuse or
unauthorized use of CORI.
Authorized Access
CORI shall be accessible only to the Records Custodian and/or hiring authority charged with determining
the suitability for employment or licensing of an applicant. The information received shall be used by the
requesting agency solely for the purpose for which it was requested and shall not be reproduced for
secondary dissemination to any other employment or licensing agency.
The retention and sharing of information between employing and licensing agencies are strictly prohibited.
Retention and sharing of information infringes upon the right of privacy as defined in the California
Constitution, and fails to meet the compelling state interest defined in Loder v. Municipal Court (1976)17
Cal. 3d859. In addition, maintenance of CORI separate from the information maintained by the DOJ
precludes subsequent record updates and makes it impossible for the DOJ to control dissemination of CORI
as outlined in section 11105 of the Penal Code.
CLETS Policies, Practices, and Procedures state that any information transmitted or received via CLETS is
confidential and for official use only by authorized personnel (section 1.6.4). The California Code of
Regulations, Article 1, section 703, addresses the "right and need" to know CLETS-provided information.
The Bureau of Criminal Information and Analysis (BCIA) recommends that state summary criminal
history records, obtained for employment, licensing, or certification purposes, be destroyed once a decision
is made to employ, license, or certify the subject of the record. Agencies that either are mandated or
permitted by California statute to receive subsequent arrest notifications pursuant to Penal Code (PC)
section 11105.2 must complete a Contract for Subsequent Arrest Notification Service (BCII 8049).
Retention of criminal history records beyond this time should be based on documented legal authority and
need. Any records retained must be stored in a secured, confidential file. The agency should designate a
specific person responsible for the confidentiality of the record and have procedures to prevent further
dissemination of the record, unless such dissemination is specifically provided for by law or regulation.
13
STATE OF CALIFORNIA
BCII 9005
(REV. 1/09)
DEPARTMENT OF JUSTICE
PAGE 3 OF 4
APPLICANT FINGERPRINT RESPONSE SUBSCRIBER AGREEMENT
As an agency receiving background clearance information in response to the submission of applicant
fingerprint cards to the DOJ, you are aware of the regulations regarding the security of the hard copy
information that you currently receive. The purpose of this Subscriber Agreement is to restate existing
regulations and clarify how they apply to the electronic receipt of this same information via fax or e-mail.
There are no new regulations. Items 1, 2, 4, 5, and 7 restate existing regulations relative to receiving hard
copy information. Item 2 has been expanded to include electronic information. Items 3 and 6 are intended
to clarify these regulations relative to electronic information.
In accordance with section 11077 of the Penal Code, the Attorney General is responsible for the security
of criminal offender record information. Section 707(a) of the California Code of Regulations requires that
"Automated systems handling criminal offender record information and the information derived
therefrom shall be secure from unauthorized access, alteration, deletion, or release. The computer
terminals shall be located in secure premises."
SUBSCRIBER AGREEMENT
This agreement is between the :
and the Department of Justice for the purposes of the exchange of criminal offender record information.
The above agrees that:
1.
Criminal offender record information and the information derived therefrom shall be accessible
only to the records custodian and/or hiring authority charged with determining the suitability
of the applicant.
2.
Confidential information received electronically or via mail shall be used solely for the purpose
for which it was requested and shall not be reproduced for secondary dissemination to any other
employment or licensing agency.
3.
Retention of CORI is permissible if, after making its initial employment, licensing, or
certification decision, the agency has legitimate business need for the information and there
are no statutory requirements to destroy such information. Any record information that is
retained by the applicant agency must be stored in a secure and confidential file.
4.
Criminal history background checks have been completed on all individuals with access or
proximity to terminals or fax machines receiving criminal offender record information.
5.
Staff with access to criminal offender record information have received training and counseling
on the handling of criminal offender record information and have signed employment statement
forms acknowledging and understanding of the criminal penalties for the misuse of criminal
offender record information (Penal Code sections 502, 11142, and 11143).
14
STATE OF CALIFORNIA
BCII 9005
(REV. 1/09)
DEPARTMENT OF JUSTICE
PAGE 4 OF 4
APPLICANT FINGERPRINT RESPONSE SUBSCRIBER AGREEMENT
6.
Reasonable measures shall be taken to locate terminals and fax machines in a secure area to
provide protection from unauthorized access to criminal offender record information by other
than authorized personnel. Access is defined as the ability to view criminal offender record
information on a terminal or on paper.
7.
Pursuant to section 702 of the California Code of Regulations, authorized agencies violating
this agreement may lose direct access to criminal offender record information maintained by
the Department of Justice.
Contributing Agency Name:
Mailing Address:
City, State, Zip Code:
Phone Number:
Signature of Agency Official
Printed Name of Agency Official
Title of Agency Official
Date
15
CALIFORNIA JUSTICE INFORMATION SERVICES DIVISION
CRIMINAL OFFENDER RECORD INFORMATION POLICY
Use of Applicant Criminal Offender Record Information
Head of contributing agency/organization must sign and return document
This policy has been developed to meet the requirements of the State of California, Department of Justice, Division of
California Justice Information Services, for any agency that receives Criminal Offender Record Information (CORI).
To ensure the suitability of individuals accessing confidential criminal history records, anyone with access to CORI
shall be fingerprinted and processed through the California Department of Justice.
The overall responsibility for the administration of this rests with the agency head or person in charge.
A.
Record Security: Any questions regarding the release, security and privacy of Criminal Offender Record
Information (CORI) are to be resolved by the agency head or person in charge.
B.
Record Destruction: It is recommended that the state summary of CORI obtained for employment, licensing or
certification purposes be destroyed once a decision is made to employ, license or certify the subject of the
record. Retention beyond this time, should be based on legitimate business need or statute.
C.
Record Dissemination: CORI shall be used only for the purpose for which it was requested.
D.
Record Storage: CORI shall be securely maintained and accessible only to the agency head and any others
designated by the agency head committed to protect CORI from unauthorized access, use, or disclosure.
E
Record Reproduction: CORI shall not be reproduced for secondary dissemination to any other employment or
licensing agency. However, the requesting agency may provide a copy of the DOJ applicant response to the
subject of the record.
F.
Training:
G.
Penalties: Misuse of CORI is a criminal offense. Misuse of CORI may result in criminal or civil prosecution
and/or administrative action up to and including loss of access to information maintained by the Department of
Justice.
I HAVE READ THE ABOVE AND UNDERSTAND THE POLICY REQUIREMENTS.
The agency head shall:
1. Understand and enforce this policy.
2. Be fingerprinted and have a criminal history clearance.
3. Have on file a signed copy of the attached Employee Statement Form (which is itself a part
of this policy) which acknowledges an understanding of laws prohibiting misuse of CORI.
Signature:
Date:
Print Name:
Title:
Contributing Agency/Organization Name:
Mailing Address:
City, State, Zip Code:
Physical Address:
16
CALIFORNIA DEPARTMENT OF JUSTICE
CALIFORNIA JUSTICE INFORMATION SERVICES DIVISION
CRIMINAL OFFENDER RECORD INFORMATION SECURITY REQUIREMENTS
Use of Applicant Criminal Offender Record Information
Custodian of Records must sign and return document
CUSTODIAN OF RECORDS DUTIES
1.
The information provided by the Department of Justice (DOJ) to this agency is confidential and shall not be disseminated to any other
person or agency not authorized by law. A violation of this section is a misdemeanor. (Penal Code Section 11142). However, the
requesting agency may provide a copy of the DOJ applicant response to the subject of the record.
2.
All personnel/individuals with access to Criminal Offender Record Information (CORI) will have a fingerprint background clearance
record check completed through the DOJ as required by the California Code of Regulations Section 703 (d) prior to the submission of
fingerprints for employment, licensing, certification or volunteer purposes. ($32 processing fee)
3.
All personnel/individuals with access to CORI will have a signed "Employee Statement Form" on file acknowledging an understanding
of laws prohibiting its misuse. (See Employee Statement)
4.
All personnel/individuals with access to CORI will be trained in the secure handling, storage, dissemination and destruction of CORI.
5.
My agency/organization will have a written policy for securing access, storage, dissemination and destruction of criminal record
information. This policy will include the steps to be taken to prevent unauthorized access to CORI maintained in our agency files.
6.
The Department of Justice may conduct audits of the authorized persons or agencies using CORI to ensure compliance with state laws
and regulations. (Section 702 (c) California Code of Regulations)
7.
The information provided by the Department of Justice will be maintained in a secured area/locked cabinet separate from the
employees personnel file and be used only for the purpose for which it was acquired.
8.
Our agency/organization will notify the Department of Justice with regard to any change of agency name, address, telephone number,
fax number, Custodian of Records and contact person.
9.
The "No Longer Interested Notification Form" will be sent to DOJ, when applicable.
10.
Our agency/organization will send an updated Live Scan Subscriber Agreement form to DOJ signed by our new agency official, when
applicable.
On behalf of our agency/organization, I hereby acknowledge that I have read and agree to the above.
Signature:
Date:
Print Name:
Title:
Contributing Agency/Organization Name:
Mailing Address:
City, State, Zip Code:
Physical Address:
17
STATE OF CALIFORNIA
BCIA 8374
(Orig. 03/2010; Rev. 08/2015)
DEPARTMENT OF JUSTICE
CUSTODIAN OF RECORDS
APPLICATION FOR CONFIRMATION
Print Form
(Penal Code section 11102.2)
Reset Form
Applicant Information
Last Name
First Name
Middle Name
Address
City
State
Zip Code
Phone Number
Date of Birth
Driver's License or
CA ID Number
Agency/Organization Information
Agency Head
Phone Number
Agency Name
ORI
Address
Mail Code
City
State
Zip Code
Please answer fully the following questions:
1.
Does the designated Custodian of Records work for the applicant agency?
Yes
No
If yes, what is the relationship?
If no, what is the relationship?
2.
Have you ever used a name other than the one on this application?
3.
Have you ever been arrested in California or any other state and/or are you awaiting adjudication for any offense for which you were arrested?
Yes
No
If yes, please list other names below.
Yes
No
If yes, give details below.
4.
Have you ever been convicted by any court of a felony or misdemeanor offense in California or any other state?
Yes
No
If yes, disclose the date and place of arrest, whether the conviction was for a felony or misdemeanor, and the sentence imposed.
If yes, give details below.
5.
Have you ever been denied a professional license or had such license revoked, suspended, or restricted?
6.
Have you ever been adjudged liable for damages in any suit grounded in fraud, misrepresentation, or in violation of state regulatory laws?
Yes
No
Yes
No
If yes, give details below.
7.
Have you ever failed to satisfy any court ordered money judgment including restitution?
Yes
No
If yes, give details below.
Misrepresentation or Failure to Disclose Requested Information on this Application
Is Cause for Denial or Revocation of Confirmation.
Certification
I certify under penalty of perjury under the laws of the State of California to the truth and accuracy of all statements, answers, and representations made in the
foregoing application, including all supplementary statements.
Signature of Applicant
California Department of Justice
Bureau of Criminal Information and Analysis
Custodian of Records Unit
P.O. Box 903417
Sacramento, CA 94203-4170
Date
DOJ USE ONLY
Confirmation of Custodian of Records
Date confirmed:
Completed by:
(initials)
18
STATE OF CALIFORNIA
BCIA 8374
(Orig. 03/2010) (Rev. 11/2014)
DEPARTMENT OF JUSTICE
CUSTODIAN OF RECORDS
APPLICATION FOR CONFIRMATION
(Penal Code section 11102.2)
Privacy Notice
Collection and Use of Personal Information. The Custodian of Records Unit in the Department of Justice collects the
information requested on this form as authorized by Penal Code 11102.2(d). The Custodian of Records Unit uses this
information for the purpose of processing fingerprint-based criminal offender record information background responses
on individuals designated by applicant agencies to serve as Custodian of Records. In addition, any personal information
collected by state agencies is subject to the limitations in the Information Practices Act and state policy. The Department
of Justice's general privacy policy is available at: http://oag.ca.gov/privacy-policy.
Providing Personal Information. All the personal information requested in the form must be provided. Failure to
provide the requested information will result in denial of the request and/or rejection of the application.
Access to Your Information. You may review the records maintained by the Custodian of Records Unit in the
Department of Justice that contain your personal information, as permitted by the Information Practices Act. See below
for contact information.
Possible Disclosure of Personal Information. In order to process fingerprint-based criminal offender record information
background responses on individuals designated by applicant agencies to serve as Custodian of Records, we may need
to share the information you give us with other law enforcement or regulatory agencies.
The information you provide may also be disclosed in the following circumstances:
•
In response to a Public Records Act request, as allowed by the Information Practices Act;
•
To another government agency as required by state or federal law;
•
In response to a court or administrative order, a subpoena, or a search warrant.
Contact Information. For questions about this notice or access to your records, you may contact the Custodian of
Records Unit by e-mail at [email protected] or via mail at:
California Department of Justice
Bureau of Criminal Information and Analysis
Custodian of Records Unit
P.O. Box 903417
Sacramento, CA 94203-4170
19
STATE OF CALIFORNIA
BCIA 8016CUS
(orig. 04/2001; rev. 12/2010)
DEPARTMENT OF JUSTICE
REQUEST FOR LIVE SCAN SERVICE
(Custodian of Records)
Print Form
Reset Form
Applicant Submission
CA0349400
CUSTDN RECORDS 11102.2 PC
Authorized Applicant Type
ORI (Code assigned by DOJ)
CUSTODIAN OF RECORDS
Type of License/Certification/Permit OR Working Title (Maximum 30 characters - if assigned by DOJ, use exact title assigned)
Contributing Agency Information:
DEPARTMENT OF JUSTICE
15798
Agency Authorized to Receive Criminal Record Information
Mail Code (five-digit code assigned by DOJ)
P.O. Box 903417
Street Address or P.O. Box
Contact Name (mandatory for all school submissions)
SACRAMENTO
CA
State
City
94203-4170
ZIP Code
Contact Telephone Number
Applicant Information:
Last Name
First Name
Other Name
(AKA or Alias) Last
First
Sex
Date of Birth
Weight
Height
Place of Birth (State or Country)
Male
Eye Color
Female
Hair Color
Social Security Number
Middle Initial
Suffix
Driver's License Number
Billing
Number
Misc.
Number
(Agency Billing Number)
(Other Identification Number)
Home
Address
Street Address or P.O. Box
City
State
Level of Service:
Your Number:
DOJ
ZIP Code
FBI
OCA Number (Agency Identifying Number)
If re-submission, list original ATI number:
(Must provide proof of rejection)
Original ATI Number
Employer (Additional response for agencies specified by statute):
Employer Name
Mail Code (five digit code assigned by DOJ)
Street Address or P.O. Box
State
City
ZIP Code
Telephone Number (optional)
Live Scan Transaction Completed By:
Name of Operator
Date
Transmitting Agency
LSID
ORIGINAL - Live Scan Operator
ATI Number
SECOND COPY - Applicant
Suffix
Amount Collected/Billed
THIRD COPY (if needed) - Requesting Agency
CALIFORNIA DEPARTMENT OF JUSTICE
CALIFORNIA JUSTICE INFORMATION SERVICES DIVISION
EMPLOYEE STATEMENT
Use of Applicant Criminal Offender Record Information
All personnel with access must sign this form which is kept by the Custodian of Records
As an employee/volunteer of:
Contributing Agency/Organization Name:
You may have access to confidential criminal record information which is controlled by state and federal
statutes. Misuse of such information may adversely affect the individual's civil rights and violate
constitutional rights of privacy. Penal Code section 502, prescribes the penalties relating to computer crimes.
Penal Code Sections 11105 and 13300, identify who has access to criminal history information and under
what circumstances it may be disseminated. Penal Code Sections 11140-11144 and 13301-13305,
prescribe penalties for misuse of criminal history information. Government Code Section 6200, prescribe
felony penalties for misuse of public records. Penal Code Sections 11142 and 13300 state:
"Any person authorized by law to receive a record or information obtained from a record who
knowingly furnishes the record or information to a person not authorized by law to receive a record
or information is guilty of a misdemeanor."
Civil Code Section 1798.53, Invasion of Privacy, states:
"Any person who intentionally discloses information, not otherwise public, which they know or should
reasonably know was obtained from personal or confidential information maintained by a state
agency or from records within a system of records maintained by a federal government agency,
shall be subject to a civil action, for invasion of privacy, by the individual."
CIVIL, CRIMINAL, AND ADMINISTRATIVE PENALTIES:
* Penal Code Section 11141: DOJ furnishing to unauthorized person (misdemeanor)
* Penal Code Section 11142: Authorized person furnishing to other (misdemeanor)
* Penal Code Section 11143: Unauthorized person in possession (misdemeanor)
* California Constitution, Article I, Section ( (Right to Privacy)
* 1798.53 Civil Code, Invasion of Privacy
* Title 18, USC, Sections 641, 1030, 1951, and 1952
Any employee who is responsible for such misuse may be subject to immediate dismissal. Violations of this
law may result in criminal and/or civil action.
I HAVE READ THE ABOVE AND UNDERSTAND THE POLICY REGARDING MISUES OF
CRIMINAL RECORD INFORMATION
Signature:
Date:
Print Name:
Title:
Contributing Agency/Organization Name:
PLEASE NOTE: Do not return this form to the DOJ. Your Custodian of Records should maintain these forms
21
STATE OF CALIFORNIA
BCIA 8049
(orig. 12/1998; rev. 02/2011)
DEPARTMENT OF JUSTICE
CONTRACT FOR SUBSEQUENT ARREST NOTIFICATION SERVICE
Department of Justice
Bureau of Criminal Information and Analysis
P.O. Box 903417
Sacramento, CA 94203-4170
The agency listed below is authorized to receive state summary criminal history information from the files of the
Department of Justice (DOJ) for employment, licensing, or certification purposes. This agency further requests that
fingerprint transactions submitted for this purpose be retained in DOJ's files for California only subsequent arrest
notification service pursuant to section 11105.2 of the California Penal Code. Fingerprint submissions received
before the effective date of this contract will not be retained by the California Department of Justice.
AGENCY NAME:
AGENCY ADDRESS:
CITY:
STATE:
ZIP CODE:
ORI NUMBER: (If Applicable)
CONTACT PERSON(S):
CONTACT PERSON(S) TELEPHONE:
Please retain the following authorized categories:
ALL EMPLOYEES
ALL VOLUNTEERS
ALL LICENSES, CERTIFICATIONS, OR PERMITS
OTHER: (specify)
This agency certifies that, to its knowledge, there is no statute or regulation prohibiting this notification and that all
requirements for criminal record security and privacy of individuals will be met. This agency will notify the Bureau of
Criminal Information and Analysis when it no longer has a legitimate interest in a subject, as required by section
11105.2 of the California Penal Code. The agency agrees to immediately return any subsequent arrest notification
received from DOJ for any person unknown to the agency.
FOR DOJ USE ONLY:
Signature of Agency Representative
Approved
Date
Print Name
Title of Agency Representative
Not Authorized
Signature of DOJ Representative
22
Effective Date
No Longer Interested Notification
California Penal Code section 11105.2 (d) states, in part, that any agency which submits the fingerprints of applicants
for employment or approval to the Department of Justice (DOJ) for the purpose of establishing a record of the
applicant to receive notification of subsequent arrests, shall immediately notify the Department when employment is
terminated or the applicant is not hired.
it is the responsibility of the hiring/approving authority to notify the Department of Justice, Bureau of Criminal
Information and Analysis when employment has been terminated or when an applicant or volunteer is not actually
retained in the position for which they applied.
The No Longer Interested Form can be access at the following link:
http://ag.ca.gov/fingerprints/forms/nli.pdf
PRINT FORM
RESET FORM
23
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