Uncovering Swift Guidance In Legal Background Check
FADV_Its a Crime Guide 4 09 25 14
1. Table of contents
Introduction 2
What are the rules? 7
What do most companies order? 11
What does it cost? 19
How long does it take? 20
How do I read the results? 24
IT’S A CRIME!
INFORMATION YOU NEED. PEOPLE YOU CANTRUST.
WHITE PAPER
A guide to understanding criminal record searches for employers
and property managers
2. 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.
INTRODUCTION
Why 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
3. 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
Source: August 2014 survey of 592
First Advantage customers performed
by TechValidate
43% of companies report
the major risks of not
screening are potential legal
action and damage to their
brand reputation.
Source: August 2014 survey of 592 First Advantage customers performed by TechValidate
What do you see as the major risk for not
screening 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 - security
costs to organization
Workplace theft
Other
43%
28%
43%
36%
31%
19%
4. 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.as
px?sd=5%2f8%2f2013siteid=cbpr
sc_cmp1=cb_pr757_id=pr757ed=12%
2f31%2f2013
5. 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
6. 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)
7. 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.
8. 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?
9. 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=C
ELEX: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 isonly available
to employers who are hiring
individuals who are caringfor
thevulnerableor working in
certain security positions.
Singapore.TheSingapore
search isonly availableto a
Singapore citizen who is a non-
Singapore resident and who
is applyingfor a position with
a regulatory requirementof a
criminal history search.
France.Thecriminalrecord
searchcanonlybeused
inFranceforemployment
positionswherethereisaclear,
directcorrelationtotheposition
Poland.The criminal record
search may only be done on
positions where there is a
regulatory requirement
to do so.
10. 10IT’S A CRIME!
OECD Privacy Principles: http://www.privacyrights.org/ar/fairinfo.htm#2
OECD Guidelines on the Protection of Privacy andTransborder 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 isTRUE:
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.
11. 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)
12. 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
stateprivacylawswhich ban
the electronic distribution
of criminal data.
• County courthouse
information isthe most
in-depth and up-to-date
data available since
it is researched atthe
courthouseon adaily
basis; however, itonly
coversone countyoutof
approximately 3,000+ in
theU.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
13. 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 showing
a returned record
from the database search
The locations where
they have lived the
past 7 years
14. 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
• National criminal database search with
national Sex Offender Registry Search
included
• Courthouse search of up to three counties
• One statewide search
• National criminal database search with
national Sex Offender Registry Search
included
• Courthouse search of all counties lived in
within past seven years
• One statewide search
• Federal courthouse search
IndicatorsSamplePositionsCriminalBackgroundChecks
15. 15IT’S A CRIME!
What’s Available?
Criminal Background Searches
Search Type Description Advantages When to Use It
Proprietary National Criminal Database
These 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 Courthouse
Manual, 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 Database
Comprehensive 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 Search
Manual, 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.
16. 16IT’S A CRIME!
Criminal Background Searches
Search Type Description Advantages When to Use It
Federal Courthouse
Searches 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
Fingerprinting
Involves 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.
17. 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 FM
• Includes both Felony Misdemeanor
records maintained in that primary court
County Felony Misdemeanor
(FM)
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.
-Source: August 2014 survey of 592
First Advantage customers performed by TechValidate
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
18. 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
19. 19IT’S A CRIME!
Average cost of criminal searches
Criminal background checks are priced “per search,” andthe cost isoften basedonvolume. Ifyou
perform a higher numberof searches,you can generally receive a reduced ‘per search’ price. Below
are average pricesyou can expectforthe most commontypesof 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?
20. 20IT’S A CRIME!
HOW LONG
DOES ITTAKE?
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.
21. 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
22. 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.
-Source: August 2014 survey of 592
First Advantage customers performed by TechValidate
23. 23IT’S A CRIME!
GlobalTurnaroundTimes
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
24. 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 READTHE
RESULTS?
25. 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
26. 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 record
repository was
searched or the
“source”
If a record was
found or a “hit”
Details returned
from the record
“hit” including
the charge
And the
“disposition”
meaning was the
person found
guilty
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.
-Source: August 2014 survey of 592
First Advantage customers performed by TechValidate
27. 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
Source: August 2014 survey of 592 First Advantage customers performed by TechValidate
28. 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.
29. 29IT’S A CRIME!
Resources
Equal Employment Opportunity Commission
• Consideration of Arrest and Conviction Records in Employment Decisions UnderTitleVII 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 UnderTitleVII 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
