Pre-Employment
Background ScreeningPre-Employment
Background Screening
I have asked my longtime friend Les Rosen, president of
Employment Screening Resources, a national background screening company in
California, to discuss effective background screening. His firm (www.ESRcheck.com)
is rated the top screening firm in the U.S. Les also is the author of The
Safe Hiring Manual—The Complete Guide to Keeping Criminals, Terrorists and
Imposters Out of Your Workplace (Facts on Demand Press). Though this article
is aimed toward the employer, job applicants also may learn what they should not
do if they want to obtain that job. ESR works with human resources and security
departments and has a full-time legal staff to ensure compliance with federal
and state laws. Please visit the ESR Web site to learn more about background
screening and related issues. Now let’s hear what Les has to say.
In today’s competitive economic environment, firms cannot
afford to be sidetracked by employee problems such as workplace violence, theft,
false resumes, embezzlement, harassment or trumped-up injury claims. Employers
have increasingly turned to pre-employment screening as a critical
risk-management tool to try to avoid hiring problem employees.
Concurrently, companies are becoming more cost conscious as
well. Despite the obvious benefits of pre-employment screening, management often
expects security and human resources professionals to produce more results with
fewer resources. The challenge is to find way to implement an effective
pre-employment screening program that is also cost effective.
Such a program has four goals. First, it must demonstrate
that an employer utilizes due diligence in hiring. That means an employer takes
reasonable steps to determine a job applicant is fit for a particular job.
Second, effective screening obtains factual information about a candidate to
supplement the impressions obtained from an interview alone. It also is a
valuable tool for judging the accuracy of a candidate’s resume. Third,
effective pre-employment screening serves to discourage applicants with
something to hide. Finally, a background-screening program should encourage
applicants to be very honest in their applications and interviews. Since
applicants are told there is a background check, they have a motivation to
reveal information about themselves they feel may be uncovered with that check.
Depending upon the employer, pre-employment background
screening is either outsourced to a background company or investigated
internally through corporate security. In a typical screening program, the
emphasis is on checking for criminal records, as well as other background
searches that are commonly available. An effective program, however, is much
more than just checking criminal records after a candidate has been selected. In
fact, an effective screening program starts even before the first resume is
received or the first interview is conducted. The following steps can increase
the effectiveness of a screening program. However, they all take place before a
hiring decision is made and before a background report is requested. They also
take relatively little time and money compared to the benefits a firm receives.
These nine steps rely upon two vital factors. First, they
utilize multiple and overlapping tools that approach the task from different
directions. Second, they require the department in charge of background
screening to recruit and educate everyone in the hiring process to become
involved in safe hiring, starting with the person who places ads in the
newspaper.
1. Job announcements should clearly indicate the firm
requires background checks. Employers find good applicants are not discouraged
from applying at companies that do background screening. Employees are just as
anxious as employers to work in a safe environment with qualified and honest
people.
2. All applicants must sign consent for a background check,
including a specific consent for criminal records at the time they submit an
application or resume. First, this makes it very clear to a job applicant that
criminal records will be searched. Second, some individuals may voluntarily
disclose a prior difficulty. Companies that hire based on resumes can prepare a
supplemental release form for the applicant to complete and sign. Some firms
include a supplemental sheet in their applications asking a candidate
specifically if they have any concerns about a background screening and whether
there is anything they wish to bring to the company’s attention.
3. Include language in the consent concerning a release of
records from foreign countries. Doing pre-employment screenings and criminal
record checks in foreign countries can be difficult and expensive and in some
cases not even possible. One approach, however, is to add specific language to a
background form indicating the release to search for criminal records also
applies to any jurisdictions outside the United States. That may cause
applicants from abroad to self-disclose problems or apply elsewhere.
4. Applicants should be asked directly if they have a
criminal record in the interview and employment application. During oral
interviews, part of the standard questioning should be, “If we were to check
with the courts, would we discover any criminal convictions or pending cases?”
In asking about criminal records, employers should keep the following in mind:
(a) Always ask the broadest question allowed by the law in your state.
Misdemeanor convictions also can represent serious crimes and should be included
as allowed by state law, rather than just inquire about felonies. (b) Employers
generally are limited to convictions or pending cases, so carefully phrase
questions to not elicit any information about arrests not resulting in
convictions. (c) Ask the applicant to describe any convictions or pending cases
and give the specific location. This allows the employer to pull the court file
and determine if the applicant is truthful. (d) In any written application or
release regarding criminal convictions or pending cases, the form should contain
language to ensure compliance with discrimination laws, e.g., “This company
will not deny employment to any applicant solely because the person has been
convicted of a crime. The company, however, may consider the nature, date and
circumstances of the offense as well as whether the offense is relevant to the
duties of the position applied for.
5. The employment application must clearly state that any
false or misleading statements or material omissions are grounds to terminate
the application process or to terminate employment if it has begun. Where a
person has lied on their application by not admitting a prior criminal
conviction in a response to a direct question, the lack of honesty is a valid
reason for rejection.
6. If the background screening may not be completed before
the start date for the position, the applicant must understand that employment
is conditional upon the employer’s receipt of a background report that is
satisfactory to the employer. The employer also must state that the background
report is subject to the employer’s satisfaction only.
7. Check past employment references. Even if previous
employers limit the information to start and end dates and job title, that is
invaluable. The primary purpose is to confirm an applicant’s whereabouts for
the past five to seven years and to ensure there are no unexplained gaps in
employment. It also assists an employer in determining what jurisdiction to
search for criminal records. Employers can only obtain criminal records by
searching individual courthouses, and there are more than 10,000 in the U.S.
8. Obtain a list of all past addresses. Include on the
consent form a listing of all addresses for the past seven years, as well as the
approximate time at each address.
9. Include future screenings in the consent language.
First, this reinforces the idea the employer is serous about maintaining a safe
workplace. Second, this language facilitates future investigations if necessary
for claims of harassment, theft, violence or other difficulties. Third, the
language is also important due to recent interpretations of the federal Fair
Credit Reporting Act.
In addition to these nine steps, an employer also must
perform additional checks to satisfy due diligence. The most important of these
are courthouse searches for criminal records. There are other checks that can be
performed as well. All these steps have the advantage of promoting workplace
safety with very little additional costs. By enlisting everyone in the hiring
process from the beginning, firms can dramatically increase the effectiveness of
their screening programs.
Lester S. Rosen
© 2005
Blackdog 