Simply conducting background checks on employees is not enough. Organizations must understand and navigate the constantly changing local, state and federal laws to avoid lawsuits for conducting background checks.
Warning how background checks can get your staffing agency in big troubleMike McCarty
The highly unregulated background screening industry has peddled extremely low quality background checks by relying on incomplete databases, limiting the scope of the search to 7 years or not including alias names. Now, there is a fast growing movement to restrict the use of criminal background checks. It is critical that staffing companies understand how to conduct legally compliant criminal background checks that align with:
• Ban the Box
• EEOC 2012-2016 Strategic Plan
• Fair Credit Reporting Act
• Social Media Background Checks
FCRA Lessons for Indiana Home HealthcareMike McCarty
Do you understand what your requirements are under the federal Fair Credit Reporting Act? A recent lawsuit against an Indiana home healthcare agency has shed some light on ensuring your understand your requirements under the FCRA.
Warning how background checks can get your staffing agency in big troubleMike McCarty
The highly unregulated background screening industry has peddled extremely low quality background checks by relying on incomplete databases, limiting the scope of the search to 7 years or not including alias names. Now, there is a fast growing movement to restrict the use of criminal background checks. It is critical that staffing companies understand how to conduct legally compliant criminal background checks that align with:
• Ban the Box
• EEOC 2012-2016 Strategic Plan
• Fair Credit Reporting Act
• Social Media Background Checks
FCRA Lessons for Indiana Home HealthcareMike McCarty
Do you understand what your requirements are under the federal Fair Credit Reporting Act? A recent lawsuit against an Indiana home healthcare agency has shed some light on ensuring your understand your requirements under the FCRA.
Eeoc strategic plan & legally defensible background checksMike McCarty
The EEOC has issued new Guidance on the use of arrest and conviction records for employment. This presentation highlights the changes and provides some insight for employer compliance.
The EEOC, Congress, and many state legislatures are closely scrutinizing how employers use background checks, especially criminal histories and credit reports. This presentation will walk employers through the process of preparing a background screening policy that helps ensure a safe and productive workforce while staying out of regulators’ and plaintiffs’ attorneys’ crosshairs.
Eeoc strategic plan & legally defensible background checksMike McCarty
The EEOC has issued new Guidance on the use of arrest and conviction records for employment. This presentation highlights the changes and provides some insight for employer compliance.
The EEOC, Congress, and many state legislatures are closely scrutinizing how employers use background checks, especially criminal histories and credit reports. This presentation will walk employers through the process of preparing a background screening policy that helps ensure a safe and productive workforce while staying out of regulators’ and plaintiffs’ attorneys’ crosshairs.
Employment Screening Laws & Background Checks Question & AnswerEliassen Group
Key Takeaways from this webinar include:
1) What Background Checks are being routinely run by Employers during the Hiring Process.
2) EEOC Laws and Regulations for Employers regarding Background Checks and how those laws have changed since it’s inception in 1964
3) Employers Best Practices to Avoid and Defend Negligence and Discrimination Claims.
*Not to be used as legal advise*
PeopleMatter partner, SterlingBackcheck, walks through how new Fair Credit Reporting Act (FCRA) regulations are impacting the background screening process ... for better or for worse.
Compliance Risk Assessment Fall 2016 Class 11 Stephen Paine.docxaryan532920
Compliance Risk Assessment
Fall 2016 Class 11
Stephen Paine
Compliance Risk Assessment:
Case Studies and Third Party Risk
Announcements
Tuesday, November 22 is our last class and it will be a Laboratory Class in which you will participate in mock interviews. Consider it a Moot CRA. More details next week.
You have turned in four assignments that have been graded; although your second graded assignment does not have to count. That grade was still recorded and I will drop your lowest of the four grades to calculate your total written assignment component (25%) of your overall grade for the course.
Course evaluations are starting and you are STRONGLY urged, encouraged and begged to complete your evaluation of this course.
http://law.fordham.edu/evaluate
Recap of Class 1
Pfizer Case Study and Compliance Risks
Legal and Regulatory Incentives/Conflicts of Interest
Political Failure of Controls
Reputational Recidivism
Point of Sale/Distribution
Definitions
Compliance Risk is the risk of failing to comply with applicable legal or regulatory requirements resulting in a material loss (financial or reputational) or legal/regulatory sanction
A Compliance Risk Assessment is a framework to enable the evaluation and analysis of the overall Compliance risk (both inherent risks and control effectiveness) associated with a particular business area
Recap of Class 2
The Five Elements of an Effective Compliance Program
Tone at the Top
Enron Chronology: July 1985 Enron established through merger and by November 2006 entire senior management team has either been indicted or convicted with Enron and Arthur Andersen no longer operating
Corporate Culture and Communication
Codes of Conduct set the values for employees to follow and those values are based on Compliance Risk.
3. Compliance Risk Assessment
4. Testing and Monitoring
5. Chief Compliance Officer
Case Study: HSBC
Financing drug cartels
Permitting sanctioned regimes to process dollar payments
Claw back of compensation (including Compliance Officers)
Criminal charges for “failure to maintain an effective AML program”
Recap of Class 3
Compliance Tools/Controls
Advisory Function
Coverage of Front Office and Technology, Finance and Operations
Conflicts of Interest -- A Deep Dive
Conflicts of interest are inherent in the financial services business
Historical success of the industry has been managing these conflicts by eliminating or disclosing them
Top to bottom review of business operations to address conflicts of interest of every kind
Risk Assessments
Follow-Up
Policies and Procedures
Education and Training
Compliance Surveillance and Business Unit Review and Testing
‹#›
Recap of Class 4
A Compliance Risk Assessment is a framework to enable the evaluation and analysis of the overall Compliance risk (both inherent risks and control effect ...
The State of Employment Law: How to Comply with Trending Hiring LawsComplyRight, Inc.
The second in our two-part series, this presentation offers valuable insights on the state of employment law today. This time, we’re covering the major trends (and challenges) every employer must manage for more effective hiring. For example, did you know more than 33 states now restrict criminal history inquiries, and salary history bans are in effect in 11 states?
Get expert direction on the best strategies — and practical solutions — for maintaining compliance and shielding your business from legal risk.
How to Use Background Screening to Hire Ex-Offenders: The employment of ex-offenders exposes you to risks that seemingly pull in opposite directions. Learn how you can use background screening in compliance with applicable laws to thread the needle between these risks. The process puts you on firmer ground if you decide to exclude an ex-offender, and it may help you find an applicant who will become an excellent employee.
AlphaStaff Webinar Importance of Drug and Background ScreeningAlphaStaff
Hiring someone is a decision that should not be based solely on the person’s ability to handle the job. While skills required to conduct the job are necessary, one cannot rule out threats caused by an employee with a checkered past (or present). Someone with a criminal record or someone who isn’t who they say they are can potentially cause significant damage to the welfare of the company and its staff.
This webinar, led by one of the country’s premier background check and drug screening companies and a key partner of AlphaStaff, will highlight the need, the process and the advantages of proper pre-employment screenings. Presented by Sterling Infosystems.
Palestine last event orientationfvgnh .pptxRaedMohamed3
An EFL lesson about the current events in Palestine. It is intended to be for intermediate students who wish to increase their listening skills through a short lesson in power point.
Welcome to TechSoup New Member Orientation and Q&A (May 2024).pdfTechSoup
In this webinar you will learn how your organization can access TechSoup's wide variety of product discount and donation programs. From hardware to software, we'll give you a tour of the tools available to help your nonprofit with productivity, collaboration, financial management, donor tracking, security, and more.
2024.06.01 Introducing a competency framework for languag learning materials ...Sandy Millin
http://sandymillin.wordpress.com/iateflwebinar2024
Published classroom materials form the basis of syllabuses, drive teacher professional development, and have a potentially huge influence on learners, teachers and education systems. All teachers also create their own materials, whether a few sentences on a blackboard, a highly-structured fully-realised online course, or anything in between. Despite this, the knowledge and skills needed to create effective language learning materials are rarely part of teacher training, and are mostly learnt by trial and error.
Knowledge and skills frameworks, generally called competency frameworks, for ELT teachers, trainers and managers have existed for a few years now. However, until I created one for my MA dissertation, there wasn’t one drawing together what we need to know and do to be able to effectively produce language learning materials.
This webinar will introduce you to my framework, highlighting the key competencies I identified from my research. It will also show how anybody involved in language teaching (any language, not just English!), teacher training, managing schools or developing language learning materials can benefit from using the framework.
The Indian economy is classified into different sectors to simplify the analysis and understanding of economic activities. For Class 10, it's essential to grasp the sectors of the Indian economy, understand their characteristics, and recognize their importance. This guide will provide detailed notes on the Sectors of the Indian Economy Class 10, using specific long-tail keywords to enhance comprehension.
For more information, visit-www.vavaclasses.com
How to Create Map Views in the Odoo 17 ERPCeline George
The map views are useful for providing a geographical representation of data. They allow users to visualize and analyze the data in a more intuitive manner.
Warning! How Background Checks Can Get You in Big Trouble
1. Warning!
How Background Checks Can Get You in
Big Trouble
Mike McCarty
CEO
317-745-6946
Mike.mccarty@safehiringsolutions.com
www.safehiringsolutions.com
2. Presenter Background
Founder/CEO Safe Hiring Solutions
Co Founder/ CEO eReferenceCheck
Violent Crime Detective Metro Nashville PD
3000 clients
Provide violence prevention training/ consulting:
U.S. Dept of Justice
U.S. Dept of Defense
U.S. Homeland Security
Federal Law Enforcement Training Center
National Sheriff’s Assoc
Indiana Law Enforcement Training Academy
Numerous State Attorney General Offices
3. Truth about background screening industry
Highly unregulated
Historically low quality product/service
No standard of care
Reliance on incomplete databases
FCRA provides consumer protection but no
standard of care beyond up-to-date information
Limit reporting to 7 years
Alias names
4. Best Practices in Background
Screening
Core Criminal Package
SSN Verification
National Criminal
Database
National Sex Offender
County Criminal Search
Federal Criminal Search
Additional Solutions
BMV Records
Employment Credit Report
Child Abuse Registry
Employment Verifications
Character Reference
Checks
eReferenceCheck
5. Due Diligence
Negligent Hiring Doctrine: If an employer hires someone
that they either knew or should have known was dangerous
or unfit for a position and it was foreseeable that someone
could have be harmed then they could be sued for negligent
hiring. It is the "should have known" that creates problems
for employers.
Negligent Retention Doctrine: If employer becomes aware or
should have become aware of problems with an employee
who demonstrated unfitness and employer takes no corrective
action (investigating, reassignment or termination). It is not
enough to just screen new hires. Due diligence must be
exercised in an ongoing safe workplace program.
7. #1 “Ban the Box”
Removes questions on application concerning criminal history
Removes valuable integrity tool for employers who compare
screening reports against applications
Theory
Does NOT:
Ex- offenders being disenfranchised
Criminal history preventing opportunity to interview
Prevent asking about criminal history during interview
Conducting criminal background checks
50 Municipalities/ 9 states have adopted
8. #2 EEOC
EEOC 2012-16 Strategic Plan
Approved 4/25/12
4-1 vote
Guidance effective immediately
Game plan for the EEOC field
offices
9. Guidance replaced:
1987 EEOC Policy
Statement regarding
conviction records
Zero tolerance policies
3 pronged approach
1990 Policy Guidance on
the Consideration of Arrest
Records
10. Disparate Impact
Disparate Impact holds that
employment practice might be
discriminatory & illegal if they
have a disproportionate adverse
impact on members of a minority
group.
Prohibits employers from using a
“facially neutral” policy that has an
adverse impact on a protected
class.
11. Facially Neutral
Facially neutral policy:
Burden is on employer to show
policy is:
Does NOT appear to be
discriminatory on its face;
Rather is one that is discriminatory
in its application.
Job related
Consistent with business necessity
EEOC interested in who is being
denied based on background
check
12. Case law…
Green v. MO Pacific
Railroad (1977)
Zero tolerance policies
discriminatory
3 pronged approach
El v. SEPTA
Murder 40 yrs ago
Policy no violence
3rd Circuit Ct in favor of
SEPTA
13. Old Guidance…
Employer could demonstrate Title
VII compliance by using 3
factors with background checks:
1. Nature & gravity of crime;
2. Time that has passed since
conviction/completion of
sentence; and
3. Nature of job held or sought
14. New Guidance
Now employers may satisfy
Title VII by using internal
policy if it is “narrowly
tailored”
Targeted screens based on
Green Factors ( 3 prongs)
Individualized Assessment
15. Individualized Assessment
1.
2.
3.
4.
5.
6.
7.
Facts surrounding conviction
(allowing candidate to explain)
Number of convictions
Age at time of conviction/ release
Performed same type of work POST
conviction with same or similar
employer with no issues
Consistency of employment history
before & after conviction
Rehab efforts (training, education)
References
16. Arrest records require further
investigating….
Arrest alone should NOT be used
to deny employment
Certain minority groups arrested
at disproportionately higher rates
FCRA restricts reporting of arrest
records to 7 yrs
17. Challenges to EEOC
Freeman Case (8/9/2013)
Dallas marketing company EEOC
brought disparate impact claim against
Maryland Fed District Court:
“ Careful & appropriate use of criminal
history information is an important part
of employment process of employers
through the U.S.”
noted EEOC conducts criminal and
credit background checks
18. State Challenges
7/2013 AL, CO, GA, KS,
MT, NE, SC, UT, WV sent
objection letters to EEOC
11/4/2013 TX sued EEOC
in No. Dist TX
Certain convictions
prevent employment in
law enforcement, schools
etc
Compliances cause them
to violate state law
19. #3 Fair Credit Reporting Act
Yes it applies even if you don’t use credit info
FCRA applies if you pay a 3rd party vendor like SHS
Specific requirements:
Disclosure & Authorization (written or electronic)
If taking adverse action based in “whole or part” on a
background screening report:
Pre-Adverse Action Letter, Copy of Report,
Summary of Rights under FCRA
Adverse Action Letter
20. Willful Non- Compliance of FCRA
Hunter, et al v. First Transit
Inc.
Failed to provide
disclosures to applicants
BEFORE running
background check;
Failed to follow two-step
adverse action process
when denied employment
$5.9 Million Settlement
21. Recent FCRA Lawsuits/ Settlements
Domino’s Pizza $2.5 Million
Running checks without authorization
Not providing Pre-Adverse Action information
K-Mart $3 Million for FCRA Violations
Walt Disney Company- Pending
CRA’s Sued for FCRA Violations
First Choice Screening- Pending
HireRight $2.6 Million- multiple FCRA violations
22. #4 Social Media Background Checks
Be careful….there can be legal implications:
Discrimination- seeing protected information like
marital status, age, race, etc.
Privacy- Yes even the internet has a reasonable
expectation of privacy since most sites require
friending
Authenticity-How do you know it is your candidate?
Common names?
23. Social Media Concerns
How do you verify information?
How do you know it is your candidate?
How do you know that your candidate is not
operating online under an assumed identity?
21 states have restricted use of social media checks
24. Conclusion
Review policies concerning FCRA/ EEOC
Review background screening program to ensure:
Best practice use of screening program
Quality reference checks
CRITICAL- Partnering with a Screening Firm that:
Committed to FCRA, Federal/State/ Local Compliance
Provides training/ communication on issues impacting
background screening
NOT just an aggregator of data