| An Employment Screening OutlinePolicy | | | | requirements and goals. This will entail a variety of |
| DevelopmentA policy of Factual Employment | | | | personnel protocols, establishing contacts and liaisons |
| Screening; Personality Evaluation/testing; and/or Drug | | | | between the company and the vendor, determining |
| Testing should be developed and embedded into the | | | | time requirements, and such basis mechanisms as fax |
| core policy manual rather than exist as a supplement | | | | numbers.File MaintenanceInvestigative Consumer |
| or bulletin policy. This avoids any "after the fact" | | | | Reports (screening reports) should never be |
| ramifications, should the policy be challenged under | | | | maintained in the employee's jacket, but should instead |
| discriminatory theories.The policy should have an | | | | be kept under lock and key with limited access by |
| effective date, and if the corporate philosophy is for | | | | authorized management personnel in separate file |
| "purification" of existing staff, then a policy | | | | facility and in alphabetical order. The files should be |
| implementation should be evident, along with the | | | | maintained for the seven-year statutory period |
| reasoning for the retroactive purification of the staff. | | | | commensurate with employee file |
| This is common practice following a recently resolved | | | | retention.Background information forms contain |
| internal problem, where specific numbers of staff have | | | | confidential subject data, including date of birth and |
| been terminated for one problem or another. No | | | | other information, and should not be maintained by the |
| justification is needed when implementing new | | | | human resources department. The vendor should do |
| programs if the purification is in line with the philosophy | | | | this as part of their service, and in the event the form |
| of the company.Policy GuidelinesConsistency is the | | | | is required for court purposes, should provide it upon |
| key when establishing new policies, especially when | | | | request for up to seven |
| said policies enter into the gray and ever-changing | | | | years.InterpretationParameters on how to interpret |
| areas of human rights and right to privacy. For | | | | information should be established at the outset of the |
| example, when establishing any screening parameter | | | | program, and should be undertaken by the same |
| there must be absolute consistency within each | | | | personnel to ensure consistent application of theorems |
| specific employment class in order to avoid the | | | | of qualifiers for continued candidacy or hiring. This area |
| obvious Title 7 ramifications. Additionally, inconsistent | | | | is open for discussion and, of course, varies with each |
| programs will invalidate any baseline, as companies | | | | environment.As you can undoubtedly imagine, in order |
| providing employment, drug, and psychological | | | | to properly implement any factual screening program |
| screening have no industry-based uniformity, and new | | | | one needs to start with forms which allow the |
| variables can enter the picture which will skew the | | | | candidate to provide thorough information such as |
| standard.Date of effective programSet forth the date | | | | name, address and so forth. These forms should be |
| of management's decision to implement the screening | | | | the starting point for any intelligent screening program. |
| programs and the actual date of | | | | Just about everyone has an employment application, |
| implementation.Referral to Employee Classification, and | | | | or some form of release/disclaimer used in the initial |
| overview of class requirementsThese details can be | | | | application process.Many screening firms are turning to |
| included here, but are best left in general terms to | | | | some form of independent release form for their |
| allow for modification at a later date. Each class would | | | | clients, after long conducting checks without them. The |
| have specific screening requirements, which would be | | | | forms vary in substance and content, and you would |
| determined by management as to job, applicability, | | | | be well advised to learn as much as possible about the |
| exposure, and other employee interface. Sample | | | | philosophy of the form before using it in order to avoid |
| general class terms include Fiduciary Capacity | | | | trouble from an unsophisticated form. The information |
| Employees - Non- Exempt (cash handlers and janitors | | | | requested should include the following:Full Name* |
| with key access): Management/Policymaker (those | | | | Current and prior addresses* |
| who would set policy and those who have signing | | | | Ancillary name forms* |
| authority); Management/Mid-level (those who supervise | | | | Social Security number* |
| others); and Sales Force - Outside (those who would | | | | Date of birth (Yes, this absolutely legal if it is being |
| be field personnel and those who would use company | | | | used for criminal file identification purposes, and the |
| vehicles).FormologyForms and/or procedures | | | | applicant is made aware of this sole use. You must |
| applicable to each specific employment class should | | | | also not keep a copy of this form anywhere in the |
| be developed to ensure processing consistency and | | | | employee's file in case the EEOC auditor doesn't see |
| provide a competent audit trail for future | | | | things quite the way you do.) |
| reference.Referral of candidate (by name) to firms | | | | Driver's license number* |
| conducting various levels of screening.This is very | | | | Criminal history disclosure section (This varies from |
| important as the baseline for the screening rests with | | | | state to state, and must be constructed in accordance |
| the vendor since no industry guideline exists. It is also | | | | with guidelines and standards for the disclosure, |
| critical in combating allegations of age/policy/screening | | | | acquisition and release of criminal information under |
| discrimination. If you are curious about changing a | | | | applicable state law.) Agreement and consent to |
| vendor, this should be done with a memorandum of | | | | obtain consumer information (Some of the more |
| policy modification, rather than a core change, which | | | | sophisticated forms now in use have some effective, |
| will survive litigation if the effective change is | | | | built-in disclosure inducement items which are the result |
| implemented across the board for hires subsequent to | | | | of investments in psychological research and testing. |
| the date of vendor change. Good, Solid Factual | | | | These are designed to get more than just a |
| Employment Screening is not the Ultimate | | | | regurgitation of subject identifiers.) We have purposely |
| Decision-Maker you are.Policy decisionThis should rest | | | | not provided a sample form with this article due to the |
| with top corporate management, or at the highest | | | | proprietary nature of the good ones in existence. Also, |
| divisional levels. It should be included in the minutes of | | | | since each business environment is different, it is |
| board meetings, and disclosed in publicly held (10K/10Q) | | | | possible that a "generic" form might be used |
| firms as a negligent hiring mitigator. The policy can be | | | | improperly.ConclusionAt this point, you should have a |
| used as a positive offsetter for ongoing litigation | | | | basic familiarity and comfort level with the world of |
| disclosure requirement in 10K/10Q.Vendor SelectionA | | | | factual employment screening and its ramifications. |
| thorough background check on the firm supplying the | | | | The key things to remember are as follows.* Establish |
| service should include:* How long in business?* Type | | | | an intelligent and consistent policy of factual |
| of criminal conviction research (hand vs. database), as | | | | employment screening, drug testing, and/or personality |
| well as if and | | | | evaluation.* Perform a thorough job of screening your |
| how discoveries are verified against subject | | | | employment candidates.Rely only upon tried |
| identifiers.* How deep are the research and data | | | | and true methods of employment screening, as trendy |
| capabilities?* National research capability* Licensure | | | | or new wave methods, which are untested, can land |
| designation (PI, reporting agency, credit bureau, and so | | | | you in court very quickly.* Use common sense and |
| forth).* For older firms like guard service companies, | | | | rely on your intuition. Good, solid factual employment |
| how long since they "got into the fad" of employment | | | | screening is not the ultimate decision maker - you are. |
| screening?* Press noteworthiness* Depth of human | | | | The final report should only serve to reinforce your |
| resources vs. security experience (both is optimal).* | | | | evaluation of the candidate, nothing more.* Run your |
| Litigation history (errors/omissions).* Depth of | | | | screening program with compliance in mind at all times. |
| professional liability insurance.* Who runs the division?* | | | | If you don't, it is certain that labor attorneys, EEOC |
| Cost/turnaround/reporting method - raw data is instant | | | | auditors, and others will confront you.In a nutshell, |
| death; a "compiled report" is best.* Jurisdictional | | | | employment screening is like any other sensible |
| coverage and researcher consistency - avoid the | | | | management policy. If you are careful, smart, |
| database vendors.* Analysis of ancillary services (i.e. | | | | thoroughly qualify your vendors, and implement a viable |
| How can a new private patrol operator or recently | | | | common sense program, you will not only get better |
| retired police officer afford to have thoroughly | | | | people in the organization, but also have less |
| researched the nuances of employment screening | | | | opportunity to exercise your workplace violence |
| laws in all 50 states?)* How often is the program | | | | contingency plans or initiate fraud |
| reviewed by counsel?Screening Program ReviewThe | | | | examinations.Thomas C. Lawson, CFE, CII is President |
| program should be reviewed quarterly for compliance | | | | and Founder of APSCREEN International, the world's |
| as the issues change regularly, and an antiquated | | | | leading full service Consumer Reporting Agency since |
| policy can make the whole process suspect, if not | | | | 1980. Lawson is called "one of the real pros" as he has |
| litigable. Make sure that an updating memorandum is | | | | helped to reshape laws including those for employment |
| included in the procedure file for audit | | | | screening, permissible credit reporting, asset discovery |
| purposes.ImplementationThe human resources | | | | and fraud examination. Tom is a Life Member of: |
| department should set up the program with the | | | | ACFE, ASIS, SHRM, PIHRA, PNRRA, PRRN, CII, WAD, |
| vendor's assistance. Each organization will develop its | | | | WIN, FCAOC and OCEMA. |
| own forms and procedures based on its own | | | | |