1. Lowering Criminal Record Barriers – Including New Rights in New York State
Hi everyone, and welcome to the Legal Action Center’s webinar on Criminal Records. We’ll go over the basics of criminal records, their effect on employment and housing, and different steps to overcome the barriers they pose.
September 10, 2019

2. Who are Your Trainers? Kate Wagner-Goldstein Samantha Reiser Legal Action Center
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

3. The Legal Action Center
Anti-Discrimination & Privacy work for people with criminal records, alcohol/drug histories, and/or HIV/AIDS
Legal services & litigation
Advice to providers
Trainings
Policy advocacy & research
But first, a bit about us. The Legal Action Center is a nonprofit policy and law organization that provides antidiscrimination and privacy legal services for clients with past or present Substance Use Disorders, HIV or AIDS, and/or criminal records. Our services include litigation, policy advocacy, and technical assistance for providers.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

4. How to Get Help? Website has many resources!
Free publications, free webinars and more
Call with questions about privacy or discrimination relating to HIV/AIDS, substance use disorders, and/or criminal records – (212)
Refer clients (see services on next slide)
If you’re looking for resources related to the issues we’re discussing today, feel free to visit our website at lac.org. We have publications, webinars, and other resources that can help answer some common questions or provide guidance for next steps.
For specific questions or to refer clients, call our office at We can answer questions about privacy or discrimination related to HIV or AIDS, substance use disorders, and criminal records.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

5. Free Legal Services HIV testing & confidentiality
Discrimination based on:
HIV status
Alcohol/drug history
Criminal record –
Rap sheet review and error correction
Certificates of Relief and Good Conduct
Job & Housing Discrimination
The legal services we offer at LAC involve HIV testing and confidentiality, discrimination based on HIV status, alcohol or drug history, and criminal records. We also offer Rap Sheet services, guidance for Certificates of Rehabilitation, and further assistance with job and housing discrimination based on criminal records.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

6. Community Health Access to Addiction and Mental Healthcare Project (CHAMP)
CHAMP can help you:
KNOW your insurance rights
FIGHT insurance denials for mental health and addiction
care
CHALLENGE insurance barriers & discrimination
GET the most from your coverage
RECEIVE fair reimbursement
LEARN about options for low-cost care for the uninsured AND MUCH MORE! So you can access treatment for mental health & substance use disorders, including medication.
CALL our Helpline (888) Helpline Hours: Monday-Friday, 9 – 4 p.m.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

7. Today’s Handouts Booklets Your New York State RAP Sheet
Are You Somebody with…HIV/AIDS? Alcohol or Drug Addition? A Criminal Record?
Pamphlets
How to Gather Evidence of Rehabilitation
Protect Yourself! Learn Your Rights!
Voting and Criminal Records
Sealing Old New York Convictions  
Short Hand-Outs:
Evaluation Forms
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

8. Today’s Presentation Criminal Records
Laws Protecting Individuals with Criminal Records
Evidence of Rehabilitation
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

9. Criminal Records
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

10. Terms and Definitions Crime: felony or misdemeanor Felony Misdemeanors
Class A (AI or AII), B, C, D,E
Misdemeanors
Class A, B, U
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

11. Terms and Definitions
Violations: non-criminal offense punishable by a sentence of not more than 15 days in jail.
that can be charged in the form of a summons (or desk appearance ticket – DAT) or an arrest
Traffic infractions: not crimes, and are defined under Vehicle & Traffic Law.
typically charged in the form of a summons and not requiring an arrest.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

12. Terms and Definitions Non-Conviction Outcomes Dismissal Acquittal
Decline to Prosecute
Juvenile Delinquent (JD) Adjudications
Children under the age of 17 (on October 1, 2019, children under the age of 18) tried in family court (except if they are charged with certain violent felonies).
Finding of guilt is called an adjudication not a conviction.
Youthful Offender (YO) Adjudications
Individuals under 18 who are tried as an adult and found guilty of a crime may be given YO status by a judge.
YO status is an adjudication, not a conviction.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

13. Case Study
Joanne is applying for a job as a cashier. She knows she has a number of convictions over the last ten years, including some for prostitution, and maybe a couple for drug possession.
What can she do to increase her chances of getting the job?
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

14. Case Study What can Joanne do to increase her job prospects?
Find out what exactly is on her criminal record and see if there are errors or information that can be sealed.
Learn the laws protecting her against criminal record discrimination.
Gather information to strengthen her application.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

15. Learning What’s on a Criminal Record
Very few people can accurately report what is on their criminal record. Confusion about:
charges at arrest vs. conviction;
multiple convictions from same incident;
convictions without jail or prison time;
old convictions, etc.
If report inaccurately, may lose some legal protections.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

16. Learning What’s on a Criminal Record
It’s important to learn what’s on a criminal record in order to:
Accurately state it when needed
See if there are errors that require correcting or information that can be sealed
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

17. contain apparent errors.
Rap Sheet Errors
30-40%
of NYS Rap Sheets
contain apparent errors.
Based on a Legal Action Center study, up to 40% of all New York State Rap Sheets have an error on them. The New York State courts system is a massive institution serving hundreds of thousands of people using outdated computer systems, so there are many clerical errors that appear on Rap Sheets. We can’t emphasize enough how important it is for folks to get a copy of their Rap Sheet so that they can check for errors, correct them, and accurately address their criminal histories. The Legal Action Center can help individuals obtain free copies of their Rap Sheets, highlight any errors, advise on how to correct them, and discuss moving forward with a criminal record.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

18. Rap Sheet Errors Most common errors:
Missing disposition or outcome information
Arrests reported even though no case filed
Unsealed violation convictions
Unsealed dismissed cases (terminated in client’s favor)
Vacated warrants appear
There are five errors in particular that we’ve found are the most common errors found on New York State Rap Sheets.
The first is an arrest cycle with a missing disposition or other outcome information, otherwise known as a “hanging arrest” which appears as an open or pending case, and does not list how the case was resolved. In order to correct this error, you can obtain a Certificate of Disposition from the court you were convicted in and submit it to DOCCS as proof of the case’s resolution.
The second is when arrests are reported even when the District Attorney declined to prosecute this arrest. To correct this error, you can request a Decline Prosecution letter from the DA’s office and submit it to DOCCS.
The third type of error is when violations are left unsealed. As noncriminal convictions, violations are supposed to be automatically sealed, but sometimes can be mistakenly left unsealed. Correcting this error depends on the year of conviction, since the law that automatically sealed violations was only enacted in If the case was before 1991, you’ll need to file a pro se motion to seal the record, a template for which is available on our website and linked in this presentation. If the case was 1991 or later, you can just go to the clerk in the court of conviction and show them that it should be sealed.
The fourth common error is when favorable disposition cases, such as when you are found innocent or the case is dismissed, are left unsealed. In these cases, you can again just go to the court clerk and show they need to be sealed.
The fifth and most risky type of potential error is open warrants. Sometimes, these warrants will have already been vacated, in which case you can request a list of court appearances to prove that you vacated a warrant. But other times, this may not be an error and there may actually be an open warrant. If there’s a risk of the warrant really being open, you will want to consult with your defense attorney about whether the warrant was ever vacated before you bring it to the attention of law enforcement. This should be done as soon as possible.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

19. Criminal Record Sources
Two Questions:
Where is one’s criminal record history located?
AND
Who maintains it?
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

20. Criminal Record Sources
Fingerprint Based
NYS Division of Criminal Justice Service (DCJS)
FBI
Non-Fingerprint Based
Office of Court Administration (OCA) Records
No consent or authorization needed
Commercial Background Reports prepared by consumer reporting agency (CRA) after written consent is obtained from prospective employee or employee
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

21. Criminal Record Sources
A NYS Division of Criminal Justice Services (DCJS) RAP Sheet is fingerprint based
DCJS RAP sheets can ONLY be obtained by the individual or entities that have statutory authority to get them.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

22. Criminal Record Sources
FBI also provides national RAP sheets
Fingerprint-based
Accessible only by authorized agencies
NYS information on your FBI rap sheet comes from DCJS
If NYS RAP sheet has problems, likely FBI RAP sheet will too.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

23. Criminal Record Sources
A NYS Office of Court Administration (“OCA”) report
NOT a RAP sheet!
Can be obtained by anyone for a $95 fee (as of April 2019)
It is not fingerprint-based
It is a report of court records
It should not include information about arrests that did not lead to prosecution, violations, or sealed criminal convictions.
Note: As of April 1, 2014, OCA will no longer report criminal records that only include 1 misdemeanor when the conviction occurred more than 10 years ago. However, individuals are still required to report these convictions when asked about them on a job application.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

24. Criminal Record Sources
Where do authorized NYS and NYC government employers or agencies that issue licenses or clearances obtain criminal record information?
If they have the authority to fingerprint applicants (e.g., OPWDD, DOH, etc.), the information comes from NYS DCJS and, if they have the authority, from the FBI.
Not every agency has the authority to fingerprint applicants.
Some agencies obtain information from OCA.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

25. Criminal Record Sources
Where do private employers typically get their information from?
Commercial background check companies (e.g., SterlingBackCheck, HireRight, Accurate Background, etc.)
NYS OCA
NYS Department of Corrections “inmate lookup”
This is NOT an accurate source of criminal record information
Some private companies maintain their own databases
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

26. Approximately 90% of employers surveyed
% of Employers that perform background checks
Approximately 90% of employers surveyed
conduct some sort of background check for job applicants
All of this information is particularly important when applying for jobs, as 80% of all employers conduct some sort of background screening for people applying for jobs with their offices.
Society of Human Resources Management, Background Checking: Conducting Criminal Background Checks (Jan. 22, 2010), at 3.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

27. Most employers should not see:
What Criminal History Information Will Employers See on a Rap Sheet, Criminal History Report, or Background Check?
It depends on the employer, but generally, employers should only see open cases (if open for fewer than five years) and criminal convictions.
Most employers should not see:
Cases that did not result in a conviction and were sealed (e.g., dismissals, declined to prosecute)
Sealed violation convictions
Sealed criminal convictions
Expunged marijuana convictions
But there are some exceptions for police or peace officers and certain qualified agencies (depending on the type of sealing).
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

28. Most employers should not see:
What Criminal History Information Will Employers See on a Rap Sheet, Criminal History Report, or Background Check?
Most employers should not see:
Effective April 11, 2020: Charges that did not lead to a conviction in a resolved case.
Applies to non-convicted charges in a resolved case (not pending).
Will not be reported for civil purposes.
Law enforcement agencies and certain qualified agencies will still have access.
Effective April 11, 2020: Cases with a missing disposition after five years, unless the District Attorney says the case is still pending.
Law enforcement agencies and certain qualified agencies will still have access
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

29. Criminal Record Sealing
What records should be sealed automatically?
Dismissals in your favor
E.g. dismissal of all charges, ACDs
NOT dismissal of one charge due to conviction on related charge
Currently applies to pre-1991 dismissals in one’s favor. Starting October 9, 2019, pre-1991 dismissals in one’s favor will be sealed automatically.
Violation convictions
E.g. disorderly conduct, loitering
NOT violations for driving while ability impaired (DWAI), loitering for purpose of prostitution, otherwise ordered by judge, or if ‘do not seal’ order
Currently applies to pre-1991 violations. Starting October 9, 2019, pre-1991 violations will be sealed automatically.
Continued…
Although New York State does not offer expungement of any criminal records, there are certain instances in which criminal records can be sealed from most of the public. We’ll go over how this is done and what it means in just a moment. It’s important to remember that when records are sealed, they can still be accessed by limited employers. These employers include those that are hiring jobs considered as part of law enforcement, the military, or as “peace officers.” If you have a question about whether a potential employer can access a sealed record, you can call our office.
There are also limited circumstances in which sealed records can be accessed if there is a court order to do so.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

30. Criminal Record Sealing
What records should be automatically sealed or kept confidential? (continued)
Non-conviction outcomes
Juvenile Delinquency adjudications (from Family Court)
Youthful Offender adjudications (from adult court)
NOTE: Juvenile Offender or Adolescent Offender (new – October 2018) convictions are adult convictions from adult courts and are not sealed or kept confidential.
Although New York State does not offer expungement of any criminal records, there are certain instances in which criminal records can be sealed from most of the public. We’ll go over how this is done and what it means in just a moment. It’s important to remember that when records are sealed, they can still be accessed by limited employers. These employers include those that are hiring jobs considered as part of law enforcement, the military, or as “peace officers.” If you have a question about whether a potential employer can access a sealed record, you can call our office.
There are also limited circumstances in which sealed records can be accessed if there is a court order to do so.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

31. Criminal Record Sealing
NYS law permits people to apply to seal felonies or misdemeanors in limited circumstances:
1. Rockefeller drug law reform (CPL )
Can apply to conditionally seal eligible convictions when mandated drug treatment
2. Sex Trafficking law (CPL (1)(i))
Can apply to vacate and seal prostitution-related convictions resulting from coercion
3. CPL
Since October 7, 2017, people with up to 2 convictions (only 1 felony) can apply to seal eligible cases after 10 years (not counting time incarcerated).
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

32. Criminal Record Sealing Exceptions
Some NYS records should be sealed so they cannot be accessed for most purposes, BUT there are some exceptions including:
Jobs in law enforcement
Jobs in the military
“Peace officer” jobs
Immigration and some law enforcement purposes
Other limited circumstances when courts order it
Although New York State does not offer expungement of any criminal records, there are certain instances in which criminal records can be sealed from most of the public. We’ll go over how this is done and what it means in just a moment. It’s important to remember that when records are sealed, they can still be accessed by limited employers. These employers include those that are hiring jobs considered as part of law enforcement, the military, or as “peace officers.” If you have a question about whether a potential employer can access a sealed record, you can call our office.
There are also limited circumstances in which sealed records can be accessed if there is a court order to do so.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

33. Criminal Record Expungement
NYS does not have a general expungement law, but under a new marijuana decriminalization bill, certain marijuana misdemeanors convictions will be expunged
Penalties:
As of August 28, 2019, possession of up to 2 ounces of marijuana will be a non-criminal violation
Maximum penalty for possession of up to one ounce of marijuana will be $50 fine
Maximum penalty for possession of up to two ounces of marijuana will be $200 fine
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

34. Criminal Record Expungement
Expungement of convictions:
As of August 28, 2019, all future convictions for marijuana possession under 2 ounces will be automatically expunged
By July 29, 2020, all past convictions for marijuana possession up to 25 grams will be automatically expunged
Until then, these convictions will not be reported for civil purposes (e.g. employment), unless someone is applying for a job with law enforcement
Expungement includes some automatic record destruction. Individuals can require in writing that additional physical records be destroyed.
Individuals should consult with an attorney before requesting total destruction of records
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

35. Criminal Record Expungement
Expungement of convictions cont’d:
Even if a conviction has been expunged under this law, individuals can also request their conviction be vacated on the merits. This may be important for someone’s immigration status, as well as in other circumstances.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

36. Case Study: Follow-up
What can Joanne do to increase her chances of getting the job?
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

37. Case Study: Follow-up
Get her rap sheet so she can accurately list her unsealed criminal convictions if needed and correct any apparent errors.
Apply to seal her prostitution-related convictions.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

38. Legal Protections Criminal Records
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

39. Legal Protections Laws protect:
What parts of criminal record may be considered
How employers must weigh a criminal record
When and how employers may find out about a criminal record
What information employers must give people when they run a criminal background check.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

40. Legal Protections
Under NYS law, what parts of your record can employers consider?
Unless specifically required or permitted by statute, employers in NYS may not ask about or consider
arrests dismissed in your favor
youthful offender adjudications
sealed convictions (violations and criminal convictions)
as of July 11, 2019: adjournments in contemplation of dismissal
IN ADDITION, as of July 11, 2019 this information cannot be considered by housing or volunteer positions
EXCEPTIONS include federal government, police and peace officer employers, Port Authority positions or others not covered by NYS law.
NYS Human Rights Law §296(16)
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

41. Legal Protections
What if an employer asks about these records in violation of the law?
As of July 11, 2019, an individual can legally deny that the arrest, case, or conviction exists in almost all employment situations.
But, employers for these and certain other positions may consider these records:
Police or peace officers
Employers with specific exemptions under New York law or that are not subject to NYS law, including federal employers, employers subject to federal laws regarding clearance or licensing, or the Port Authority
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

42. Legal Protections under NYS Law
Under NYS law, how must employers weigh someone’s criminal record?
NY Correction Law Article 23-A:
An applicant or current employee may not be denied job or license or acted adversely upon because of criminal conviction(s) unless:
There’s a direct relationship between the criminal conviction and job or license sought, or
Employment or licensure would create an unreasonable risk to property or public or individual safety.
Continued…
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

43. Legal Protections under NYS Law
NY Correction Law Article 23-A (continued):
Employers and agencies must consider 8 factors when evaluating conviction history:
Public policy of NYS encourages licensure & employment of people with criminal records;
Specific duties & responsibilities related to the license or employment;
Bearing of the criminal offense on person’s fitness or ability to perform duties;
Time elapsed since the criminal offense;
Continued…
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

44. Legal Protections under NYS Law
NY Correction Law Article 23-A (continued):
8 factors continued :
Person’s age at the time of the criminal offense;
6. Seriousness of the offense(s);
7. Any information produced by applicant to show rehabilitation;
and
8. The legitimate interest of the public employer in protecting property, and the safety and welfare of specific individuals or the general public.
NOTE: Certificates of Relief from Disabilities or Certificates of Good Conduct create a presumption of rehabilitation.
Continued…
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

45. Legal Protections under NYS Law
NY Correction Law Article 23-A:
Applies to employment and licensing in NYS except:
Applications for ‘membership’ in law enforcement agencies;
When there is a mandatory forfeiture, disability or bar to employment imposed by law.
NOTE: as a NYS law, does not apply to employers not governed by NYS law (e.g. federal government, Port Authority, employers outside NYS).
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

46. Legal Protections
When can an employer find out about a criminal record?
Depends on local law. Some cities and counties delay when certain employers can ask about criminal records, including:
Albany, Buffalo, Dutchess County, Ithaca, Kingston, New York City (also called Fair Chance Act), Newburgh, Rochester, Syracuse, Tompkins, Ulster County, Woodstock, Yonkers
But note, each law has different protections (e.g., some only apply to government jobs) so check details.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

47. Legal Protections under NYC Law
NYC Fair Chance Act – Highlights
N.Y.C. Admin. Code § 8-107(11-a)(b)
Before a conditional offer of employment is made, most employers cannot ask questions about an applicant’s criminal conviction or pending arrest.
No reference in job postings to arrest or conviction histories.
Application forms cannot request background checks before conditional offer.
After a conditional offer, employer can ask applicants if they have criminal convictions or pending cases, ask about the circumstances leading to the conviction and/or run a background check.
Continued…
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

48. Legal Protections under NYC Law
NYC Fair Chance Act - Highlights (continued)
If employer wants to withdraw a conditional offer due to a criminal record, employer must first provide the applicant with:
The “Fair Chance Notice” explaining its decision (based on Article 23-A factors)
A copy of the criminal record check conducted by it or a vendor (e.g., internet search, background check, etc.); and
Hold job open for at least 3 business days after providing applicant with the document noted above.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

49. Legal Protections under NYC Law
NYC Fair Chance Act - Exceptions
Employers with 3 or fewer employees
Employers required by law to check criminal backgrounds
State or federal government jobs, jobs with Port Authority
Jobs requiring FDIC or FINRA clearance.
Some NYC jobs (including law enforcement and certain positions listed on Department of Citywide Administrative Services’ website)
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

50. Fair ChanCe aCt notiCe Fair ChanCe aCt notiCe
100 Gold street, suite 4600
new y
nyc.gov/FairChanceNYC
nyc.gov/humanrights
Commissioner/Chair
CarMelyn P. Malalis
CarMelyn P. Malalis
Commissioner/Chair
100 Gold street, suite 4600
new y
nyc.gov/humanrights
nyc.gov/FairChanceNYC
If you wish to respond, please contact ______________________________________________________________.
If you wish to respond, please contact ______________________________________________________________.
______________________________________________
______________________________________________
Fair ChanCe aCt notiCe
Fair ChanCe aCt notiCe
Commission on
Human Rights
Commission on
Human Rights
ork, ny 10038
ork, ny 10038 TM TM G. G. H. H. E. E. F. F. I. I.
If you have additional documents we should consider, please send them, including evidence that you attended school, job training, 2. 3.
supervisors, clergy, and parole or probation officers.
Your criminal record creates an unreasonable risk to specific persons, the general public, or 1.
our property because:
Based on these factors, we may deny you the job because
or counseling; or are involved with your community. They can include letters from people who know you, like teachers, counselors, 2. 4. 3. 1.
Your criminal record creates an unreasonable risk to specific persons, the general public, or
Based on these factors, we may deny you the job because 1. 1. 3.
our property because: 4. 3. 2. 2.
If you have additional documents we should consider, please send them, including evidence that you attended school, job training,
supervisors, clergy, and parole or probation officers.
or counseling; or are involved with your community. They can include letters from people who know you, like teachers, counselors,
The government encourages employers to hire people with criminal records.
The government encourages employers to hire people with criminal records.
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
____________________________________________________________________________________________
responsibilities because:
How long ago your criminal activity, not your conviction, occurred:
Your age when your criminal activity, not your conviction, occurred:
We believe your record impacts your fitness or ability to perform these duties and
Your evidence of rehabilitation and good conduct, which is listed below.
If you did not have a certificate, we did not hold that against you.
Your certificate(s) of relief or certificate of good conduct shows that you are rehabilitated.
the general public, which is:
The seriousness of the conduct that led to your criminal record, which is:
Our legitimate interest in protecting property, and the safety and welfare of specific individuals or
We believe your record impacts your fitness or ability to perform these duties and
Your age when your criminal activity, not your conviction, occurred:
responsibilities because:
Our legitimate interest in protecting property, and the safety and welfare of specific individuals or
The seriousness of the conduct that led to your criminal record, which is:
How long ago your criminal activity, not your conviction, occurred:
If you did not have a certificate, we did not hold that against you.
Your certificate(s) of relief or certificate of good conduct shows that you are rehabilitated.
the general public, which is:
Your evidence of rehabilitation and good conduct, which is listed below.
_____
years
_____
months
_____
Article 23-A
years old :
_____
months
years
_____
Article 23-A
_____
years old :
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.
(choose one or both below)
(choose one or both below)
Applicant Name
We believe there is a direct relationship between your criminal record and the job we offered to you, and
Applicant Name
We believe there is a direct relationship between your criminal record and the job we offered to you, and
the factors listed above do not lessen that relationship because:
the factors listed above do not lessen that relationship because:
For more information
For more information
about the law, visit:
about the law, visit:
After extending a conditional offer of employment, we checked your criminal record. Based on the enclosed
After extending a conditional offer of employment, we checked your criminal record. Based on the enclosed
check, we have reservations about hiring you for the position of ____________________________________, and
check, we have reservations about hiring you for the position of ____________________________________, and
may decide to retract our job offer. Below explains why. We invite you to provide us with any information
may decide to retract our job offer. Below explains why. We invite you to provide us with any information
that could help us decide to offer you the job. If you choose to provide us with additional information you
that could help us decide to offer you the job. If you choose to provide us with additional information you
Bill de Blasio
Bill de Blasio
have ___________ days (must be at least three business days) from the date you receive this to do so.
have ___________ days (must be at least three business days) from the date you receive this to do so.
Mayor
Mayor
In your response, you may:
In your response, you may: •
Tell us about any errors on your criminal record; •
Tell us about any errors on your criminal record; •
Give us any additional information you’d like us to consider after reviewing this notice. •
Give us any additional information you’d like us to consider after reviewing this notice.
The following factors were considered, as required by
ork state
of the new y
The following factors were considered, as required by
of the new y
ork state
Correction law, before making our determination:
Correction law, before making our determination:
@nyCCHr
@nyCCHr A. A.
Article 23-A
Article 23-A
Evaluation Form
Evaluation Form B. B.
The specific duties and responsibilities of the job, which are:
The specific duties and responsibilities of the job, which are: C. C. D. D.

51. Legal Protections under Federal and NYS Laws
There are also federal and state laws that cover contents and use of background checks.
Federal Fair Credit Reporting Act, 15 U.S.C. § 1681 et seq.
New York State Fair Credit Reporting Act, N.Y. Gen. Bus. Law § 380 et seq.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

52. Legal Protections under Federal and NYS Laws
Common FCRA violation to watch out for!
You must get a copy of your background check at least 5 days before you are denied a job / promotion, etc.
Call LAC if you think the employer did a background check and you:
didn’t get a copy OR
got a copy at the same time you were told you were denied.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

53. Occupational Licenses
Under new NYS law (effective April 12, 2019), an applicant for licensure for the following licenses cannot be automatically barred because of their criminal record:
Check casher
Community district education council and city-wide council
Bingo supplier
Notary public
continued 53
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

54. Occupational Licenses
Licenses with no mandatory bar continued:
Suppliers for games of chance, for games of chances licensees, for bingo licensees, and for lessors of premises to bingo licensees
Insurer adjusters and for employment with insurance adjusters
Real estate brokers or real estate salesman
Driving school employees
Instead, licensing decisions for these licenses must be based on Article 23-A analysis 54
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

55. Case Study Follow-up
Reminder: Joanne is applying for a job as a cashier.
She now knows she has 8 misdemeanor convictions from for prostitution and drug possession charges. (None of her charges are sealed yet.) She was sentenced to 5 years’ probation and completed a drug treatment program. She has worked as a sales clerk in a clothing store for the last year.
If Joanne receives an FCA notice that the employer is considering denying the job based on her criminal record, what might Joanne write or attach to her response?
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

56. Strengthening Applications
Gathering Evidence of Rehabilitation
Applying for Certificate of Rehabilitation
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

57. Evidence of Rehabilitation: How to Show It?
How can people strengthen their applications?
Collect evidence of rehabilitation.
Apply for a Certificate of Relief from Disabilities (“CRD”) or Certificate of Good Conduct (“CGC”).
Note: Prior to applying for a CRD/CGC, non-citizens should consult an immigration attorney to check if criminal record may make him/her deportable or if there is another immigration concern.
We’ve discussed criminal records, where they are recorded, and what other people will learn about them…
… NOW how to overcome barriers they create?
Collect evidence of rehabilitation.
Apply for a Certificate of Relief from Disabilities (“CRD”) or Certificate of Good Conduct (“CGC”).
Evidence of Rehabilitation (EOR) generally refers to certificates of completion of programs, educational degrees, character references, etc. EOR is the physical embodiment of all the positive changes you are making in your life. Gathering EOR is a great opportunity to review how far you’ve come and really speak on your progress in life. The Legal Action Center has a document on our website entitled “How to Gather Evidence of Rehabilitation” that can help you identify other forms of EOR.
Certificates of Relief from Disabilities and Certificates of Good Conduct (known collectively as certificates of rehabilitation) are widely recognized forms of evidence of rehabilitation that lower statutory barriers related to having a criminal conviction.
Certificates can assist people obtain meaningful employment that they would otherwise be excluded from because of their criminal records.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

58. Evidence of Rehabilitation: How to Show It?
Types of evidence of rehabilitation
Education – school or training programs
Jobs or volunteer work
Programs, e.g. drug treatment or anger management
 Sensitive info, so consider if want to share it.
Certificates of Relief and Certificates of Good Conduct create a presumption of rehabilitation.
Continued…
Why no script?
I suggest taking the language previously on the slide because more conversational anyway:
Evidence of rehabilitation can include almost any positive activities. For example, educational efforts whether in school or training programs or jobs or volunteer work.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

59. Evidence of Rehabilitation: How to Show It?
Forms of evidence of rehabilitation
Describe accomplishment.
Emphasize skills, ability, character changes.
Provide documentation – certificate, diploma, etc.
Recommendation letters – from jobs, school or training, service providers or personal contacts
If possible, letters should say writer knows about conviction(s) and trusts person anyway.
See “How to Gather Evidence of Rehabilitation” at for more information.
Evidence of rehabilitation can be provided in a different forms. For example, the applicant can just report themselves that they have done the activity, for example going to school. They may have filled that in on an application or reported it at an interview. But it may be helpful to also provide some kind of documentation that both reminds the employer of it and offers proof, for example a certificate of completion. And ideally, perhaps in addition to the other forms, the applicant would also provide a more personal letter of recommendation from the job, school or service provider. This kind of letter can describe their achievements in more detail and hopefully also says something about them as an individual and how they performed especially well, for example that the person motivated their co-workers or put in extra effort. It can take some work to write those letters well and make them really personal. We have tips on our website.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

60. Evidence of Rehabilitation: Certificates of Rehabilitation
Certificates of Relief from Civil Disability (CRDs)
&
Certificates of Good Conduct (CGCs)
Certificates of Relief from Disabilities and Certificates of Good Conduct (known collectively as certificates of rehabilitation) are widely recognized forms of evidence of rehabilitation that lower statutory barriers related to having a criminal conviction.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

61. Certificates of Rehabilitation
Certificates of Relief and Certificates of Good Conduct provide:
Evidence of rehabilitation
Remove automatic bars to employment or occupational licenses
Both lift same bars EXCEPT only certificate of good conduct lifts bars to “public office.” (But few public office positions have bars.)
 NOTE: Conviction(s) can still be considered and asked about.
Certificates can help people obtain meaningful employment that they might otherwise be excluded from because of their criminal records.
Both certificates do basically the same thing, with the exception that a Certificate of Good Conduct can give you the right to hold public office for jobs that require that.
Once you have identified which certificate you are eligible for and applied, you are well on your way to gathering evidence of rehabilitation. That is right, certificates of rehabilitation are considered to be one of the best ways to show rehabilitation because legally it creates a “presumption of rehabilitation.”
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

62. Certificates of Rehabilitation
Eligibility for a Certificate of Relief from Civil Disabilities (CRD):
Felony conviction on no more than 1 date
Any number of misdemeanors
There is no waiting period before applying.
Certificate only applies to conviction for which it was granted.
Anyone with felony convictions from only one date and any amount of misdemeanors will be eligible to apply for a Certificate of Relief from Disabilities. (Felony convictions from only one date may sound confusing, but basically if someone was convicted of two felonies in a single trial or a single plea deal, and not on any other dates, they are eligible for a certificate of relief from disabilities.)
There is no waiting period associated with applying, and you can even apply for one at sentencing in a criminal court proceeding.
You do have to apply individually for any convictions that are eligible for a certificate of relief from disabilities.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

63. Certificates of Rehabilitation
To Apply for a Certificate of Relief from Civil Disabilities (CRD):
Apply to court of conviction if never went to state prison.
Can request at sentencing or anytime after.
Apply to DOCCS if served prison time (even if never on parole).
Can apply after release, even if still on parole.
Add script – but the script on the previous slide had text that applied to this one so I just pasted it here.
Anyone who has not spent time in prison for a felony conviction must apply for a certificate of relief through the court they were convicted. Anyone who did spend time in prison, has to apply through the Department of Corrections and Community Supervision (DOCCS), in Albany, NY. Convictions that are not from New York State also must be processed through DOCCS.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

64. Certificates of Rehabilitation
When do you need a Certificate of Good Conduct (CGC):
Two or more felony convictions (if convictions were on different dates) OR
Applying for a “public office” with a conviction bar (or other application that specifically requires CGC)
One CGC covers entire conviction history!
Certificates of Good Conduct (CGC) are for anyone that has been convicted of two or more felony convictions (where the convictions occurred in different courts or on different days). There is also an ineligibility period that must be met before applying for a CGC that is based on two factors:
1. The highest level felony you have ever been convicted of:
A and B felony convictions have a mandatory five year waiting period, while C, D and E felony convictions have a three year waiting period.
and
2. The date of your last criminal conviction or when you were released from prison onto parole supervision, whichever is later.
Note, if you are applying for something that requires a CGC rather than a CRD, you can apply for that. That generally would only happen if you were applying for something that was considered “public office,” but it is possible some types of gun license may also require a CGC [Lionel, would you be able to call DOCCS to confirm please?]. Our office doesn’t specifically advise regarding gun licenses, but can give a referral if needed.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

65. Eligibility for a Certificate of Good Conduct:
Certificates of Rehabilitation
Eligibility for a Certificate of Good Conduct:
Waiting periods before eligible to apply:
Class A or B felonies – 5 years
Class C, D or E felonies – 3 years
Misdemeanors – 1 year
To figure out when someone is eligible to apply for a CGC, look at the date of your last conviction or release from prison onto parole, whichever is later, and add the waiting period associated with your highest felony conviction, is how one can figure when they are able to apply for a CGC.
The Legal Action Center can advise you on your eligibility if you obtain a free rap sheet through our organization, or provide us with a copy of the most current one (that includes all your criminal convictions) that you have. You can also get more detailed information about certificates from our booklet… available on our website.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

66. Certificates of Rehabilitation
To Apply for a Certificate of Good Conduct (CGC):
Once the required waiting period has passed, download an application at:
or call and ask parole to send you an application at (518)
Complete the form and return to Parole. If you have worked in the last three years, you must provide proof that you paid income taxes.
Other important things to know about certificates are:
1. Out of state or federal convictions are eligible for Certificates (as long as you are applying for a job in New York State).
2. Certificates of Rehabilitation are generally recognized only by NYS.
3. If you are currently on parole, you must apply for a certificate of rehabilitation through your parole officer.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

67. Case Study Follow-up
Which certificate is Joanne eligible for? Where should she apply? (Reminder, she has 8 misdemeanors all from NYS.)
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

68. Additional New Laws to be Aware of
Non-driving drug offenses will no longer result in mandatory six-month driving suspension (effective now)
Maximum sentence for a Class A misdemeanor is 364 days (reduced from 365 days) (effective now)
Disclosure of mugshots prohibited under the Freedom of Information Law, unless their disclosure serves a specific law enforcement purpose (effective now)
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

69. Please return the evaluations
Feedback?
Please return the evaluations
to the presenter.
Thank you!
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

70. Call the Legal Action Center
HAVE QUESTIONS?
Call the Legal Action Center
(800)
If you have further questions, you can call our office at , or toll-free at during business hours. We only take criminal record-related calls at certain times, so you may be told to call back another day.
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice.

71. Follow us!
Keep up with the Legal Action Center by following us on Facebook, Twitter, LinkedIn & Instagram!
You can also subscribe to our updates at:
© 2019, Legal Action Center │ This document is informational and does not constitute legal advice. 49