fadv_its a crime guide 4 09 25 14

Table of contents

Introduction 2What are the rules? 7What do most companies order? 11What does it cost? 19How long does it take? 20How do I read the results? 24

IT’S A CRIME!

INFORMATION YOU NEED. PEOPLE YOU CAN TRUST.

WHITE PAPER

A guide to understanding criminal record searches for employers and property managers

2IT’S A CRIME!

You want to perform criminal background checks on your employees or residents with a background screening company, but you want to know more about what is done and you’re not sure where to begin or are confused about what to order?

This reference guide is for you!

Filled with simple explanations, benchmarking metrics, illustrative graphs and quick lists, you’ll get the basic information you need to better understand how criminal records are used in a background check process.

This guide is an ideal resource for any organization wanting concise information on key criminal screening components and considerations that’s easy to research, read or skim.

INTRODUCTIONWhy criminal record searches?

“We hired a person with an armed robbery charge that could have been avoided had we run the check first.”

-Manager of HR, Medium Enterprise Banking Company

Source: August 2014 survey of 592 First Advantage customers performed by TechValidate

3IT’S A CRIME!

Why spend the time and money to perform a criminal background check?

The list of reasons for performing criminal background checks is long, but we’ve condensed it for you here. Each advantage is compelling on its own, but most screen their employees and residents with a mix of criminal checks and other types of screening for a variety of reasons

• Protect your organization

Everything from your employees to your property and proprietary information could potentially be at risk if they’re accessible to an individual with history of criminal violence, theft or fraud.

• Reduce turnover

Better understanding your candidates helps you pick the “best fit” person based on the position, qualifications and more, which helps reduce turnover.

Why criminal record searches?

“Prior to my arrival, an employee was hired with a fraud and forgery conviction that was not indicated on their application. It was uncovered after the fact. Had a criminal search been conducted they would not have been hired as they worked in the finance department.”-Manager of HR, Medium Enterprise Pharmaceuticals Company

-Manager of HR, Medium Enterprise Pharmaceuticals Company


43% of companies report the major risks of not screening are potential legal action and damage to their brand reputation.


What do you see as the major risk for notscreening with a criminal background check?

Note: this is a multiple-choice question - response percentages may not add up to 100

0% 10% 20% 30% 40% 50%

Costs from potential litigation

Costs of recruiting or rehiring

Impact on company reputation

Workplace violence - securitycosts to organization

Workplace theft

Other

43%

28%

43%

36%

31%

19%

4IT’S A CRIME!

• Strengthen compliance

Several industries including finance, healthcare, transportation and multifamily housing have more guidelines and regulations that require specific types of background checks be performed.

• Decrease legal risk

Performing pre-hire or residence backgrounds checks and annual rescreens helps reduce the legal risk related to negligent hiring and retention. Under the premise of negligent hiring, employers can be held liable if they do not use reasonable care when hiring employees, and one of those individuals later commits an act that risks the welfare of others.

Before we begin . . . a little background on the life cycle of criminal records

From the time of an arrest to the time of a conviction at trial to an appeal – many different record documents are generated by many different people – from the arresting officer to the court. Who generates these records and where they are stored are decided upon by the jurisdiction in which the crime happened. Inconsistency from jurisdiction to jurisdiction is the pain point in criminal records research – as the location where the records are stored and what those records contain can change depending on where the crime takes place and what the crime was.

Bad Hires Have Big Consequences

A 2013 CareerBuilder survey found that 27 percent of U.S. employers reported a single bad hire cost more than $50,000* and other global sources found that a bad hire can cost them up to three times the salary!

Likewise, more than 50 percent of employers from the world’s top 10 largest economies said that a bad hire (an employee who not a good fit for the job or did not perform it well) has negatively impacted their business, leading to:

• Significant revenue loss• Lost productivity• Negative employee

morale• Negative client

relations• Increased costs to

re-hire and train a replacement

Source: http://www.careerbuilder.com/share/aboutus/pressreleasesdetail.aspx?sd=5%2f8%2f2013&siteid=cbpr&sc_cmp1=cb_pr757_&id=pr757&ed=12%2f31%2f2013

5IT’S A CRIME!

Criminal records can include the following:

• Police report – Arrest Records

• Fingerprints

• Criminal Complaint/Information

• Warrants

• Juvenile records

• Convictions

• Dismissals

• Appeals

Where the above records are located can vary—here are some examples:

Law Enforcement Booking Files – Arrest Records

• Local Police, County Sheriff, State Troopers, FBI / US Marshall

Courthouses - Administrative Office of Courts – Federal District Courts

• Criminal complaints, information/indictments

• All records relating to the pleadings of a criminal case

• Orders of convictions, sentencing – appeals

Departments of Corrections (if jail or prison time occurs)

• Jails, prisons, holding facilities

• Inmate records

Note

History has shown that criminals often offend near where they live.

http://www.nij.gov/journals/253/Pages/predicting.aspx

6IT’S A CRIME!

Special Repositories

• Sex Offender Registries

• State Abuse Registries

• FBI / NCIC

• Proprietary Databases

• Commercially aggregated criminal records databases

How are criminal records stored?

How these records can be accessed is based on how they are stored—either they are hard copies (on paper), electronic but not accessible via online access, or they are online. Sometimes, access to the records is granted only through court clerk assistance or by having a permissible purpose:

• Electronic Storage

• Online Access Systems

• Paper Copies

• Indexes (for example a listing of the convictions by name and birth date)

7IT’S A CRIME!

WHAT ARE

THE RULES?Fair Credit Reporting Act

The Fair Credit Reporting Act (FCRA) is the federal law in the United States (U.S.) that governs the delivery of consumer reports. In the context of background screening and the use of consumer reporting agencies (CRA’s) such as background screening providers, it includes rules that require compliance by both the CRA and the employer. Failure to comply with these can result in costly penalties or in privacy rights of action by individual consumers.

At the state level or even local jurisdictional level there may be additional rules or laws that govern the use of criminal information in an employment context. Those range from rules governing the scope of time that may be included in criminal record searches, to laws that restrict employers from inquiring about the criminal history of an applicant in the employment application (known as “ban-the-box” laws). It is strongly encouraged that before your company undertakes a background screening initiative, that you consult with your lawyer for employment laws and rules around the use of criminal record information in your context and situation. Click here to access full text of the FCRA.

8IT’S A CRIME!

What do you need from an applicant to conduct a search?

Besides permission (see the section on the Fair Credit Reporting Act in this guide), you need the following information listed below. Note: a third party screening company should match at least two of the identifiers to return the results to you. Note: often times courts truncate or remove part of the Social Security Number (for data privacy reasons) so that verifier is not often available.

Information needed to request a search

What are some other countries who have rules?

Every country has its own privacy and data security regulations, and several regions have created regional privacy laws that impact how a candidate’s personal data is collected, transferred across borders, retained and used in employment decisions. Conversely, some countries have unclear laws or no regulations at all. Also, constitutional laws differ across countries. It is critical that you consult with legal counsel to determine what combination of policies should be followed—in-country laws, European Union (EU) Data Protection Directive, Organization of Economic Cooperation & Development (OECD), UN Human Rights, or FCRA policies. Here is a quick list of some of the most prolific regional global privacy regulations, along with links for more information.

* FCRA accommodation / Industry standard

What identifiers can be used:

• First name, last name, middle name

• Date of birth

• SSN - if provided & included in record

• Addresses - limited use

At least 2 full matching identifiers are

needed for a CRA to provide a reported

record*

How to match a consumer to criminal record history information?

9IT’S A CRIME!

• The European Union Directive 95/46/EC

The Directive sets the floor for European Union privacy regulations. Each member country has its own regulations, which may be more stringent.

http://eur-lex.europa.eu/LexUriServ/LexUriServ.do?uri=CELEX:31995L0046:EN:HTML

• Canada’s Personal Information Protection and Electronic Documents Act (PIPEDA)

In addition to PIPEDA, provincial legislation may cover privacy issues. For example, Alberta, British Columbia and Quebec have their own privacy legislation that is similar to PIPEDA.

http://www.priv.gc.ca/leg_c/leg_c_p_e.cfm#contenttop

• Asia’s Asia-Pacific Economic Cooperation (APEC) Privacy Framework

While not a privacy regulation, it provides basic principles for processing personal information. Some Asia-Pacific countries have enacted privacy regulations.

http://publications.apec.org/publication-detail.php?pub_id=390

• Organization of Economic Cooperation & Development Guidelines

OECD Guidelines on the Protection of Privacy and Transborder Flows of Personal Data are the foundation of many privacy guidelines and regulations. The OECD Privacy Principles can help organizations understand the general privacy requirements worldwide.

Why Contact Your Lawyer?

It is possible to get a Criminal Records in many countries, but you need to know HOW they can be used. Here are some examples:

Ireland. The Irish criminal records search is only available to employers who are hiring individuals who are caring for the vulnerable or working in certain security positions. Singapore. The Singapore search is only available to a Singapore citizen who is a non-Singapore resident and who is applying for a position with a regulatory requirement of a criminal history search.

France. The criminal record search can only be used in France for employment positions where there is a clear, direct correlation to the position

Poland. The criminal record search may only be done on positions where there is a regulatory requirement to do so.

10IT’S A CRIME!

OECD Privacy Principles: http://www.privacyrights.org/ar/fairinfo.htm#2

OECD Guidelines on the Protection of Privacy and Transborder Flows of Personal Data: http://www.oecd.org/document/18/0,3343,en_2649_34255_1815186_1_1_1_1,00.html

Just because data is available, should you use it?

Data can be available from a different part of the world, but it may not be useable for your purpose. Make sure your vendor helps you know what is TRUE:

1. Travel worthy: Can the information be obtained by a third party and exported out of the home country? What, if any, restrictions are there on cross border transmission, results, and data retention?

2. Reputable: Is the search available from a reputable and reliable source that has met vendor audit standards?

3. Useable: Does the originating source allow the information to be used for employment or resident purposes?

a. It’s not uncommon for information to be available but to be restricted for the source that we wish to use it for. For example, an attorney can get criminal history from the courts in Germany but that is only for the purposes of the case and not for employment purposes.

4. Exact: Are there issues with accuracy or identifier matching? If the only source of the information is a name match only search the results may not be accurate or meet local law requirements and your expectations.

11IT’S A CRIME!

WHAT DO MOST

COMPANIES ORDER?

What’s the difference between them, and what can—or should—you order?

There is no silver bullet in criminal background checks, and no single source criminal database that you can search.

Overview of the Types of Searches You Can Select

• Database Search (to cast a wide net, but usually requires more pin-pointed follow up for risk due diligence)

• Courthouse Search (both county and federal)

• State Repository Search (where available)

• SCJIS Search / FBI Search / Fingerprint Search (if your business/company qualifies as an “authorized recipient” as defined by the law)

12IT’S A CRIME!

Details about these searches are provided later in this guide.

TIP: Ask your screener to help you know what you don’t know—to understand what records are available in the areas where you want to search!

So why don’t you search them all?

You can! If you have a lot of money and time.

COST. Each courthouse charges a different fee to access the records. If you wanted to do a physical courthouse search in every county in the U.S. (of which there are over 3000) even if the search was simply $1, then you would be spending a lot of money for each candidate!

TIME. Not all courthouse records are available online so depending on the location, a person must physically go to the courthouse to see if there is a record on file. This manual effort is not realistic in today’s fast-paced world, yet it is still a process that exists today and can impact your turnaround time.

Best Practice Tip

Always perform a national criminal database search AND a county courthouse search together. Combined, these two searches complement each other and drastically enhance the effectiveness of a background check.

• Although national criminal database information is comprehensive, all databases have coverage gaps due to inadequate technology capabilities in some jurisdictions and state privacy laws which ban the electronic distribution of criminal data.

• County courthouse information is the most in-depth and up-to-date data available since it is researched at the courthouse on a daily basis; however, it only covers one county out of approximately 3,000+ in the U.S. and relies heavily on information provided by an applicant.

37% of companies report being unsure about when to order a federal criminal search versus a county search.

-Source: August 2014 survey of 592

First Advantage customers performed by TechValidate

13IT’S A CRIME!

So what do companies do?

Most companies start by leveraging available online data casting a broad net to help identify where a record may be. These are called national database searches.

Tip: in some cases, a state- or province-wide, countrywide or other type of search may be available providing comprehensive results. These are few in number but are available in some locations! Most of the time, you have to take a multi-step approach to selecting where and how you will search.

CRA Reporting Restrictions

If you use a CRA – such as a background screening company – there may be restrictions on what is reportable on a background screening report, known as a consumer report. Those include both state and federal laws which can include limitations on the age of criminal records that can be reported. Generally speaking and as a general guide, that period of time is seven years, but there are exceptions and some states permit reporting of criminal records older than seven years.

What’s Your Risk?

The types of searches you select depends on your risk level. The following model outlines what companies typically select depending on the level of risk they are willing to absorb.

Broad net criminal database

search

Any place showinga returned record

from the database search

The locations wherethey have lived the

past 7 years

14IT’S A CRIME!

TIP: Caution against using arrest records

Criminal records searches can include convictions, pending court cases, incarceration records and other similar records, and in some cases arrest records. Employers are cautioned that although some jurisdictions permit the use of arrest records in employment decisions, there are many states and jurisdictions that have restrictions against the use of them.

Low Risk Moderate Risk High Risk

• Little to no exposure to vulnerable populations such as children, the elderly, disabled or sick individuals

• Little to no access to sensitive information about an organization, its employees or its customers

• No responsibility for the welfare and safety of others

• Limited access to and interaction with vulnerable populations, sensitive information about an organization, its employees or its customers

• Partial responsibility for the welfare and safety of others

• Direct, unsupervised access to vulnerable populations, sensitive information about an organization, its employees or its customers

• Full responsibility for the welfare and safety of others

• Assembly line workers in a manufacturing plant

• Construction workers (excluding those working on or near school property)

• Warehouse workers

• Janitorial staff

• Waitstaff

• Construction workers working on or near school property

• Administrative and clerical personnel

• School teachers, coaches and other authority figures

• Medical and personal caregivers for sick and elderly

• Bus drivers

• Employees and contractors with access to customer homes and businesses

• National criminal database search with national Sex Offender Registry Search included

• Courthouse search of one county


• Courthouse search of up to three counties

• One statewide search


• Courthouse search of all counties lived in within past seven years

• One statewide search

• Federal courthouse search

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15IT’S A CRIME!

What’s Available?

Criminal Background Searches

Search Type & Description Advantages When to Use It

Proprietary National Criminal DatabaseThese are databases compiled by private companies with criminal record informa-tion that attempts to be comprehensive and can include electronic collected and/or aggregated data from courthouse searches of criminal records information; usually includes data from all 50 states, gathered from multiple government sources at the local and state level throughout the U.S. Databases need to be updated regularly as records constantly change as more convic-tions are added and some are removed or expunged.

• Fast turnaround: instant – 24 hours• Broadest scope of all criminal searches• Can uncover records in jurisdictions not

listed on a job application• Can include a free search of nationwide

Sex Offender Registries• Some providers automatically research

matching records to ensure results are accurate, complete and compliant with the FCRA

• May be used as a pointer or indicator of county court records to be pulled/searched

Use this basic search as the foundation of a broader screening program, including:• Pre-hire, since it can help to quickly

identify candidates based on internal hiring guidelines

• Rescreening, due to nationwide scope, which can identify new offenses in other jurisdictions that might have occurred

County CourthouseManual, in-person search of records at the courthouse location (superior, circuit, county, common pleas); various reports are available based on the type of records re-quired such as felony including misdemean-or, or felony and misdemeanor (covered later in this report). These records may be available online, electronically, or may only be accessed by manual review and retrieval at the courthouse.

• Offers the most detailed, updated information within the specified jurisdiction

• Fast turnaround: averaging between 24 – 72 hours on average, although each county varies and some are quicker while others are much slower (weeks)

Pair this basic search with a national crimi-nal database search, as the foundation of a broader screening program• Search the current county of residence

and past 3 counties of residence (if possible)

Sex Offender Registry (SOR)Electronic search of either a single state Sex Offender Registry, or combined Sex Offender Registries from all states where publicly available.

• Offers highly specific insight into sex offenses

• National SOR can uncover records in jurisdictions not listed on a job application

• Fast turnaround: averaging between 24 – 72 hours

Use this basic search as the foundation of a broader screening program or when working with vulnerable populations like children and the elderly including:• Pre-hire, since it can help to quickly

identify ineligible candidates based on internal hiring guidelines

• Rescreening, due to nationwide scope, which can identify new offenses in other jurisdictions that might have occurred while the individual was out of town

Statewide Criminal DatabaseComprehensive electronic search of criminal records from one state – gathered from mul-tiple sources at the city, county and state level. (Caution – not all state repositories have current or comprehensive information from all of their county courthouses)

• Fast turnaround: instant – 24 hours• Some providers automatically research

matching records to ensure results are accurate, complete and compliant with the FCRA

When available, use this basic search as the foundation of a broader screening program including• Pre-hire, since it can help to quickly

identify ineligible candidates based on internal hiring guidelines

Statewide Repository SearchManual, in–person search of a state’s central repository either at the law enforcement or administrative office of the court in states where access requirements are minimal, time service is acceptable, and the data integrity of central repository is good.

Deeper, state-level insight augments a broad-based national search.

Use when further verification is necessary to ensure accuracy or to compliment a broader screening program.

16IT’S A CRIME!

Criminal Background Searches

Search Type & Description Advantages When to Use It

Federal CourthouseSearches the appropriate federal juris-dictional courts (comprised of 93 judicial courts) based on residential and/or previ-ous employment addresses; contains case information involving violations of federal laws such as Interstate Drug Trafficking, Racketeering, and Interstate Kidnapping etc.

• Offers highly specific insight into federal offenses, which are often more serious than state-level crimes

Use this in-depth search to complement a broader screening program.• Appropriate for high profile or executive-

level positions, or positions with fiduciary responsibility

Global Criminal To the extent that it is available within a country and permissible under applicable laws, these criminal searches involve a check of local or national criminal records• Criminal record checks might not be

available or permitted in all countries, so employers should consult with a trusted screening provider first and consult with legal counsel

• Offers criminal records information from an applicant’s current country of residence, or past countries of residence

Use this in-depth search to complement a broader screening program.• Appropriate when an applicant has a

previous background history in one or more countries

• Appropriate when an employer is hiring employees who currently live in another country to work:- Inside a country where the employer is

based or has a business presence- Outside the country where the employer

is based, but within the country where the subject lives and the employer has a business presence

FingerprintingInvolves the submission of fingerprints to an agency for comparison against federal/state/local criminal fingerprint records databases.

NOTE: Fingerprinting is not available to all employers or in all industries, nor is it uniformly available in all states for a particular industry.

• Can provide matching biometric criminal information to augment a data-driven background check

Use this in-depth search to complement a broader screening program.• Appropriate only in specific industries

such as finance, education, healthcare that have authorization to access government criminal records databases such as the FBI’s criminal records database

More about county courthouse searches

County courthouse searches provide the most in-depth and current information available within localized jurisdictions, and serve as an ideal complement to a broader national criminal database search. But, there are multiple “flavors” of county-level searches, which can quickly get confusing. Below is a breakdown of the different types of county courthouse searches, along with general differentiators.

17IT’S A CRIME!

County-Level Search Description Advantage

County Felony including Misdemeanor (FIM)

Searches the primary upper court index only Reportable felony and misdemeanor record information can be reported that is found in the primary upper county court index that does not require additional court searches in order to obtain additional misdemeanor record information.

• Most efficient, cost-effective search due to the single primary index search

• Approximately 60% of the time this search will identify misdemeanors in addition to the felony records

• Can be less expensive than FAM• Results can be faster than FAM

County Felony AND Misdemeanor Indices (FAM)

Searches the upper AND lower court indices at the county seat courthouse. Both Felony and Misdemeanor indices can be searched so long as they are located in the same building. Approximately 80% of the time, this search can identify misdemeanors in addition to felony records.

• Can be less expensive than F&M• Includes both Felony & Misdemeanor

records maintained in that primary court

County Felony & Misdemeanor (F&M)

Search both the primary upper and lower court to obtain Felony & Misdemeanor record information. A secondary court location can be searched regardless of location to obtain the secondary court information if the information is not contained in the primary upper court location. Secondary court location searched based on covered address.

• Search up to two court locations, no matter how distant it is from the primary court location, in order to obtain a complete felony and separately-held misdemeanor search

• This search in conjunction with a national database search can provide the most thorough search available

County Felony Record Search (FRI) Searches the primary upper court index for minimum of past 7 years. Only Felony level information will be returned.

• Can be less costly than FIM

38% of companies don’t understand the difference between a database search and county courthouse search.



Glossary of terms as used below

Upper court: Prosecutes more serious crimes in some jurisdictions or may try all crimes

Lower court: Prosecutes minor crimes or offenses

Primary: Indicates the main court associated with the address where the individual has lived the longest in the past 7 years

18IT’S A CRIME!

Most frequently ordered criminal searches

Source: First Advantage, June 2014

Most Frequently Ordered Criminal Searches

1 National Criminal Database Search

2 County Courthouse Search (Felony Including Misdemeanor)

3 County Courthouse Search (Felony and Misdemeanor)

4 Federal Courthouse Search

5 National Sex Offender Registry

19IT’S A CRIME!

Average cost of criminal searches

Criminal background checks are priced “per search,” and the cost is often based on volume. If you perform a higher number of searches, you can generally receive a reduced ‘per search’ price. Below are average prices you can expect for the most common types of criminal background checks.

Don’t forget court access fees

In addition to the cost of the search, most companies have a “pass along” fee from the court house itself which can vary from jurisdiction to jurisdiction.

Source: First Advantage, June 2014

Nat. Criminal Database Search $25.00

Statewide Criminal Search $18.00

County Courthouse Search (felony including misdemeanor) $12.00

County Courthouse Search (felony & misdemeanor) $14.00

Federal Courthouse Search (felony & misdemeanor) $12.00

Global Sanctions Search $11.00

National Sex Offender Registry $15.00

State Sex Offender Registry $12.00

QTY. DESCRIPTION AMOUNT

WHAT DOES

IT COST?

20IT’S A CRIME!

HOW LONGDOES IT TAKE?

When can you expect results returned?

After submitting a criminal background check request, the first thing you want to know is how long it will take to get your results. This is called turnaround time (TAT), which is the amount of time it takes to get your results after submitting a background check request. It matters because the faster you get your results, the quicker you can make more informed hiring decisions. In competitive hiring situations, your screening and hiring speed can be a big advantage.

Fast turnaround times are good, and are mostly associated with electronic database searches, such as national criminal database searches. Searches that require a researcher to physically travel to the courthouse, such as county courthouse searches, typically take a little longer due to the manual process, but they provide another layer of in-depth and current insight about a candidate.

21IT’S A CRIME!

Top 10 states and counties with difficult turnaround times

Some jurisdictions have slower turnaround times, due to technology limitations at the government level, legislative restrictions and other issues.

State Average TAT (in days)

New Jersey 20.73

Illinois 12.40

Pennsylvania 11.75

Arizona 11.64

New York 11.20

Indiana 11.14

North Carolina 10.9

Texas 10.7

Georgia 10.34

Wisconsin 9.7

County Average TAT (in days)

Kings County, NY 14.97

Queens County, NY 14.22

Bronx County, NY 14.13

Belknap County, NH 9.7

Big Horn County, WY 9.65

Aroostook County, ME 9.19

Plumas County, CA 9.07

Cumberland County, ME 7.77

Cheshire County, NH 7.65

Fairfield County, CT 7.61

Source: First Advantage 2014

Average Turnaround Times

0 12hrs 24hrs 36hrs 48hrs 60hrs 72hrs

State Sex Offender Registry

Federal Search

National Criminal File

National Sex Offender Registry

County Criminal Records

Statewide Criminal Search

Minutes - 12hrs

12 - 48hrs

24 - 72hrs

22IT’S A CRIME!

NOTE: Court jurisdictions and state central repositories across the country have various methods and requirements for conducting criminal history searches:

• Fulfillment times can be impacted by a requirement that the court clerks must conduct the search or at the state level a law enforcement agency must conduct the search

• Some jurisdictions may limit the number of searches that can be submitted at one time

• Online systems may provide only partial information on a case, and additional research must be conducted at the court level or have an alternate manual review

• Records may match on name and date of birth to multiple offenders. Court cases may need to be pulled to identify additional matching criteria

• Unexpected issues at the courts (weather, fires, system moves, or location moves) can affect availability

45% of companies report they have candidates that require criminal background checks in multiple countries.



23IT’S A CRIME!

Global Turnaround Times

When available, global criminal background checks are returned within an average of two weeks. However, turnaround times, costs and results vary from country to country, as these checks are influenced by a complicated mix of factors that can include:

• Technology capabilities, which dramatically vary among countries and directly impact the ability to access and research public records information

• Political climate within a country, which can sometimes be volatile and unsafe

• Natural disasters, which regularly occur all over the world and can cripple a country’s core infrastructure and temporarily suspend unnecessary activities such as fulfilling background screening requests

• Cultural sensitivities and norms, which can sometimes limit or prevent background screening from being performed

• Language barriers, which can lead to misinterpretations, errors or other issues that compromise result turnaround times and quality

24IT’S A CRIME!

Understanding returned reports

If information is found that matches the subject’s information you provided in your search request, it’s called a ‘hit’ and it will be included in your criminal background check report.

Reports vary by provider, but they usually include basic information such as case numbers, dispositions and disposition dates. If you need additional details, you can use this information to perform a more in-depth search.

Top 5 criminal record search hit rates by state and country

State Hit Rate

Kentucky 15.9%

North Carolina 10.4%

Indiana 10.2%

Minnesota 8.6%

Tennessee 8.3%

Country Hit Rate

Australia 4.12%

New Zealand 1.85%

South Africa 1.18%

United Kingdom 1.11%

Canada 0.54%

HOW DO I READ THE

RESULTS?

25IT’S A CRIME!

The following information is usually returned in criminal background reports, although it may be labeled differently depending on the provider’s report format.

• Type of Search: this refers to the type of record search you performed (county, state, or federal felony and misdemeanor, national criminal database, national sex offender, etc.)

• Date of Search: this is the actual date the record was checked

• Address Covered: this is the address where you requested a criminal background to be performed

• Record Source and Location: this is the source of the data, such as name of database, courthouse or local/state/federal office providing the data

• Given Name Search – this is the name you provided in your search request

• Search Results: this includes the final result which can be Record Found, No Record Found, Processing (search has been ordered but is not yet complete)

If a record is found, additional information is provided, such as:

• Case reference number

• Name, address, Social Security Number (if available), and Date of Birth for subject of record

• Actual charge (date/type of record)

• Disposition of charge

• Record date

• Description of sentence

• Order process history

• Source status history

26IT’S A CRIME!

Putting together a plan for criminal background checks

Looking ahead, you need a plan for implementing a new or revised criminal background check program. Here are a few considerations that might help.

First Advantage National Criminal FiIe ALPHARETTA, FULTON, GA

What recordrepository wassearched or the“source”

If a record wasfound or a “hit”

Details returnedfrom the record“hit” includingthe charge

And the “disposition”meaning was the person foundguilty

Record Source DATABASE SEARCH (XD6) - COURT OF COMMON PLEAS

Search Results Record Found

Type of Search First Advantage National Criminal File

Date of Search 10/20/2010

Address Covered 1234 ADDRESS PLACE

Address City Covered ALPHARETTA

Address County Covered FULTON

Address State Covered GA

Address Zip 30005

Location PHILADELPHIA, PA

GIVEN NAME SEARCH JOHN DOE

Full Matched by the following identifiers: Address, Last Name, First Name, DoB, SS#

Case Reference # MC-51-CR-0018184-20096115

Name on File JOHN DOE

Address on File PHILADELPHIA, PA

DoB on File 01/01/xxxx

Charge RECKLESSLY ENDANGERING ANOTHER PERSON

Charge Type MISDEMEANOR

Disposition GUILTY

Date 2010-07-16 00:00:00:0

Current as of Date 2010-07-31 00:00:00:0

96% of companies report that less than 25% of candidates are turned away due to information included in their background screen.



27IT’S A CRIME!

1. Determine Your Risk Tolerance

As we’ve shown, there are many types of criminal searches, based on available technology, geographic scope and level of result detail. All criminal background checks should be thoughtfully chosen based on risk tolerance, and consistently applied in the hiring process.

While there are often many organization-specific issues to consider when determining related risk tolerance, below are a few critical questions you can ask.

• Will the individual regularly interact with the public?

• Will they have access to at-risk populations, such as children or the elderly?

• Will they have access to sensitive customer information?

• Will they have access to sensitive company information?

• Does their professional licensure require criminal screening?

2. Based on your answers to these questions, consider the following steps.

• Create screening packages

Job-specific screening packages can help promote hiring consistency by applying the same requirements to all applicants, and they help ensure job-relatedness by customizing risk tolerance to the position being filled.

“We run background checks with our staff and 2,000+ pool of volunteers (800+ checks a year). We are diligent about our checks and I am confident that running them helps keep our children safe.”

--Executive, Nonprofit


28IT’S A CRIME!

• Consider minimum industry requirements and standards

For example, within the financial industry, guidelines established by the Federal Deposit Insurance Corporation (FDIC) recommend that—at a minimum— employees be screened to uncover criminal convictions and industry sanctions.

• Ensure configurability

Group jobs or properties into categories (i.e., entry-level, management-level and executive-level) based on risk tolerance associated with:

• Access to: 1) sensitive company or customer information; and/or 2) vulnerable populations such as children, sick people or the elderly.

• Responsibility (direct or indirect) for the safety and welfare of others.

• Control over public perception, brand reputation and/or investor satisfaction (primarily C-level positions).

3. Review plan with legal counsel to ensure your program you are building is compliant worldwide.

29IT’S A CRIME!

Resources

Equal Employment Opportunity Commission

• Consideration of Arrest and Conviction Records in Employment Decisions Under Title VII of the Civil Rights Act of 1964 http://www1.eeoc.gov/laws/guidance/arrest_conviction.cfm

• Questions and Answers About the EEOC’s Enforcement Guidance on the Consideration of Arrest and Conviction Records in Employment Decisions Under Title VII http://www1.eeoc.gov/laws/guidance/qa_arrest_conviction.cfm

Federal Trade Commission

• Summary of requirements when disposing background screening information. http://www.consumer.ftc.gov/media/video-0026-employee-background-checks

• Video geared towards job applicants. Provides helpful information for employers. http://www.consumer.ftc.gov/articles/0157-employment-background-checks

• Advice geared to the data subject (consumer). Provides helpful information for employers. http://www.consumer.ftc.gov/articles/pdf-0044-employment-background-checks.pdf

• The Fair Credit Reporting Act & social media: What businesses should know http://www.business.ftc.gov/blog/2011/06/fair-credit-reporting-act-social-media-what-businesses-should-know

• Using Consumer Reports: What Employers Need to Know http://business.ftc.gov/documents/bus08-using-consumer-reports-what-employers-need-know

Federal Interagency Reentry Council

• Reentry Myth Buster: Criminal Histories and Employment Background Checks http://csgjusticecenter.org/wp-content/uploads/2012/11/Reentry_Council_Mythbuster_FCRA_Employment.pdf

To find out more information about these any other issues affecting employee hiring practices or to schedule a FREE consultation, contact First Advantage today.

866.400.3238 [email protected]

As the trusted partner of over 45,000 organizations worldwide, we at First Advantage provide easy-

to-understand background screening results so you can confidently make decisions about prospective

employees, vendors and renters. Not only does this safeguard your brand, but you also arrive at

dramatically better background insights – insights you can rely on.

It’s time to partner with First Advantage. Now in 25 locations, 12 countries and conducting over 23

million international background screens annually.Trusted Knowledge. Exceptional People.

© First Advantage 2014 FA_WP_ITSACRIME

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U.S. Small Business Association

• Conducting Employee Background Checks – Why Do It and What the Law Allows http://www.sba.gov/community/blogs/community-blogs/business-law-advisor/conducting-employee-background-checks-%E2%80%93-why-do-

• Facebook, Credit Checks, Criminal Records? Where the Law Stands on Employee Background Checks http://www.sba.gov/community/blogs/facebook-credit-checks-criminal-records-where-law-stands-employee-background-checks

• Pre-Employment Background Checks http://www.sba.gov/content/performing-pre-employment-background-checks

United States – California

• State of California Department of Justice – Office of the Attorney General Workplace Privacy & Privacy in the Job Search https://oag.ca.gov/privacy/workplace-privacy