Best Practices for Background Screening in SOUTH CAROLINA. schools. Resource

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1 Best Practices for Background Screening in SOUTH CAROLINA schools A Resource

2 Introduction Background screening in schools certainly has its challenges; however, it s an important part of keeping your schools safe. So if it s worth doing, it s worth doing right. Because not all background checks are created equal, meaning your methodology may be exposing your district to risk. To ensure that your district engages in its due diligence in screening employees and volunteers, you need to first understand how background checks are performed and why some methods may be more reliable than others. This e-book was created to educate South Carolina school districts on background checks and to define key strategies for a successful program. Explore further to learn: How background checks are performed Why the quality of the screen matters

3 What is a Background Check? Simply said, a background check is the compiling of public records associated with someone s criminal or civil history, which means the data provided to employers or other organizations that perform background checks is a commodity. If the data is publically available for anyone to access then why aren t all background checks the same? The differences lie in the methodology. A Complex Data Environment There are 3,144 counties in the U.S., each with its own court system or systems, and approximately 5,400 courts. There is no standardization across the country relating to criminal records. For example, there is no consistency in the personal identifiers provided within records. One jurisdiction may include full name, DOB, height, weight and address. Other jurisdictions may only include full name and age. Because of this, there are challenges to identifying every record that may belong to one individual. There are additional challenges with finding all records belonging to an individual because of AKAs (also known as) names like maiden names or nicknames. Additionally, names can be misspelled in error on records or can be keyed in differently if they contain spaces, apostrophes or symbols. Unique identifiers such as Social Security numbers are rarely ever provided within court records, which is a huge misconception to those outside the industry. Background screening for employment purposes does not occur by typing in a SSN then records suddenly appear. That s TV. Not reality.

4 What is a Background Check? (cont.) There is no database, either held by the FBI or commercially available, which contains records from every county in the U.S. It s simply impossible. At best, a commercial database includes records from approximately 50% of U.S. courts (over 400 million records criminal records), and the FBI database has about a tenth of those (around 40 million criminal records). The most complete and reliable records are never found in a database; they are found at the county level, which is the court of record. All of these circumstances make it important to use as many sources possible when performing thorough searches. Photo by Thomas Gaudet

5 National Databases - The Real Story All Background Screens are not created equal, and in the case of national database screens, they are extremely unreliable when they are used as a sole or primary source. However, many vendors openly promote and recommend a database screen only. Here s the real story on national databases: A complete nationwide database does not exist in the U.S. because criminal public record information is highly complex and not consistent from state to state. Only about 50% of U.S. courts are available in a national database (only this portion provides electronic access). Some counties do not report to any state or national repositories. The records in a database may not be the most current or have a final disposition - this is often only found at the court of record. Why? Most databases are very rarely updated with information regarding old charges. If updates even occur, it s simply the addition of new charges. Database searches often return large numbers of records when using common names, resulting in false positives, which can be a liability for organizations.

6 National Databases - The Real Story(cont.) A commercially available National Criminal Database should never be used alone or as the primary method of discovering records, especially when those screened interact with children, even if the vendor tells you they are verifying the data at the county. They are still only verifying the data they found in the database. So what is the value of using a national database? National databases as a supplement to county level searches in jurisdictions where an individual has lived are extremely valuable. A commercial database, aggregated by a background screening provider, is an excellent tool to discover records outside of an individual s address history. But any records found in this database should still be verified at the court of record. Without this important step, the record s accuracy could be in question. The most sophisticated national databases also help discover records that may otherwise be missed by deploying Name Variation Algorithms (NVAs). Name variation is different than AKAs in that it represents how names may be keyed in differently because of hyphens, apostrophes, spacing or misspellings. National databases also contain more than just criminal records. They have historical data regarding sex offenders, which may no longer be on the real-time registry, as well as access to the Security Watch List. Remember: A well aggregated, often updated national database is an essential tool in discovery of records but should be used as a safety net, not a sole or primary source.

7 The Instant Check Deception Another inferior yet highly profitable method some vendors promote is instant checks. These firms often promise immediate results for visitor and volunteer screening, assuring organizations that this type of screen is effective and compliant. So what is an instant check? Any vendor offering an instant check is simply taking a name and running it against a database, which is substandard as a sole or primary source. There is also no vetting process in an instant check, meaning any record found has not been verified to determine a final disposition or if the record even belongs to the applicant in question.

8 The Instant Check Deception(cont.) Not only does this type of search create a false sense of safety, but it can also be noncompliant. The FCRA requires strict procedures to ensure reported information is accurate and up-to-date. If not, applicants must receive an FCRA 613 letter at the same time results are delivered. Recent litigation has proven costly for screening companies that did not fulfill this obligation in a timely manner. The EEOC who issued guidance in 2012 regarding the use of criminal history in hiring decisions (volunteers are considered employees and therefore regulations, statutes and laws apply the same way) has also been very verbal about ensuring that a background check report contains the most up-todate information and has been verified to belong to the applicant. If someone has a common name, expect lots of false alarms with this type of screen, which wastes time and resources while also causing humiliation for the individual who isn t a convicted felon or registered sex offender but happens to have the same name.

9 Why Fingerprinting Comes Up Short Using fingerprinting as a background check methodology is even worse than just using a commercial database! The FBI database used for employment and volunteer screening contains one tenth the records of a commercial database (40 million vs. 400 million) with the majority of records lacking final dispositions. The FBI database must depend on each state to send it information regarding arrests and convictions, and each state must depend on every jurisdiction or county to send it records. Arrests and dispositions must be matched successfully as well. Unfortunately, because of the inconsistency and backlogs, this just doesn t happen. In 2010, there were 3,492,900 felony arrests in the U.S. in which fingerprinting was conducted. The backlog for unprocessed or partially processed fingerprint cards for the FBI database was 215,597. Thus over 16% of felony arrests in 2010 were not part of the FBI database at the end of that year. FBI Database Shortcomings: Even less records than the national database Over 50% of records are missing final disposition Not all states or counties report to the FBI database The FBI itself warns against using it as a sole source Only contains fingerprint related offenses which often excludes misdemeanors Consider: Not only is fingerprinting a substandard search methodology when used as a sole source, it also costs 3-4x the price of a professional grade screen!

10 How South Carolina Currently Screens Most districts exclusively use SLED for screening teachers and volunteers. For state certification, teachers must undergo a check via SLED and the FBI (S.C. Code Ann ). However, there are no state mandates regarding sources or methodology for screening employees or volunteers at the district level, meaning you have a choice. So is SLED a reliable screen? Although the data on arrests and convictions in SLED is considered above standard as far as its data quality, it is only a reliable search for South Carolina data. Why It s Risky to Just Use SLED South Carolina is a growing state especially in areas where new jobs are being created like Greenville, Fort Mill and Myrtle Beach. The state s population growth per the most recent U.S. Census was 3.2% (almost a percent higher than the national figure). This influx of growth brings in new residents who are seeking employment or wish to become volunteers in your schools. Depending on a single state check that is a new residence to the applicant isn t an effective screen. Name based SLED checks performed by school districts only use an applicant s legal name or any AKAs provided by the applicant (risky because it doesn t take into account name variations or other aliases not divulged). Even though the data in SLED is good, there are still limitations to its completeness. First, only fingerprint related offenses are indexed by SLED; thus, any arrest, typically misdemeanors, that did not require a fingerprint will not be found in a SLED check. Second, SLED depends on every arresting agency to forward the fingerprint card and arrest data, which it then compiles into its database. Disposition information must also be sent to SLED from the court of record. Because of the way in which SLED collects data, there are opportunities for records to be missing or lacking final disposition, which would need to be found at the court of record.

11 A Better Screen for S.C. Schools Now that we have defined the weaknesses in other search methodologies, what s a better way to screen? A professional grade screen includes: Address History Trace (AHT): This is a report revealing various names, DOBs and addresses associated with a specific Social Security number. An AHT should go back at least seven years. Why it s important: Because an AHT creates a profile of an individual s residence history; this profile determines what jurisdictions should be searched. County Searches: Based on the profile created from the AHT, each jurisdiction/county identified should be searched. Why it s important: Because county courts are considered the official court of record. Most cases are filed and maintained here, meaning the most complete and accurate information is located at the county level. South Carolina Statewide: Goes directly to all available counties in the state. Uses NVA to uncover more possible results. Criminal Record Database: A database search of over 450 million criminal records regularly collected from over 2,600 court sources. Why it s important: Because supplementing a county search with databases casts a wider net and helps find more records. National Sex Offender Search: A comprehensive, real-time search of registered sex offender registries in all 50 states plus Washington D.C., Puerto Rico, Guam and Native American Tribal Registries. Why It s important: Because searching every available sex offender registry in real-time provides maximum protection from registered sex offenders gaining access to your students. AKAs: can include maiden names, nicknames or aliases. Why It s important: Because everyone doesn t always use the same name! And not every applicant will provide all AKAs. Having as many possible names to search increases your chances of finding records that may have otherwise been missed.

12 Three Vital Tips for Better Screening Never use a database search or fingerprinting as the sole source for background checks. There is no single database that receives and aggregates data from every U.S. court. Records from less than 50% of the U.S. courts are included in the industry s national database search. A search such as this should never be used as a standalone but rather as a record locator that expands the scope outside of the jurisdictional profile. Any record found on this type of search should be vetted and validated at the court of record. Always insist on an Address History Trace (AHT) and county level searches. An AHT reveals the jurisdictions where an individual has lived, discovers important AKAs and creates a Jurisdictional Profile, signifying what counties should be searched for possible records. Searching only one county is not an effective search, unless the individual has never left that county for the duration of his or her life, which is highly improbable. Search real-time sex offender registries in addition to a national sex offender database. By searching all available registries in real-time, you can ensure that the data is the most current. By also searching the sex offender database, which is typically part of a national database, historical records can also be found. It s a misconception that once someone is placed on a registry, they remain there forever. Different states have different laws and by using all sources available, you have a complete picture of a person s criminal past.

13 About BIB BIB offers background screening with integrity. We screen, test and verify the backgrounds of your employees and volunteers. Clients love our responsive service and how we accelerate their speed to hire while reducing their costs. With BIB, you get reliable results and easy technology. We re good at what matters and have been since BIB is a founding member of NAPBS and a member of SHRM, AASPA, NACBA, ASA and NRPA. About Secure Volunteer Secure Volunteer is a web based, turnkey platform for screening volunteers. Volunteers enter their own data, removing paper forms from the process. Secure Volunteer manages who has been screened and when, facilitates the approval process, provides a professional grade screen and supplies approved volunteers with ID cards. With Secure Volunteer, organizations screen better and quicker without sacrificing quality or breaking their budgets.