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Overcoming the
Challenges of
International
Background Screening
Presented by: Robert Capwell
Chief Knowledge Officer
Employment Background
Investigations, Inc.
Today’s Presenter
Robert Capwell Chief Knowledge Officer
Employment Background Investigations, Inc. (EBI) www.ebiinc.com
Past Chair - NAPBS
(National Association Of Professional Background Screeners)
* Presenter is not a licensed attorney - Nothing in this
presentation should be deemed as legal advice. Readers should
consult with their own legal counsel to determine their individual
legal responsibilities.
Agenda
U.S. Immigration Statistics
Risks of Not Screening
Use of Watch Lists
Don’t Rely on Government Screening of Foreign Nationals
Challenges of International Background Checks
Getting the Right Information Upfront
Disclosure and Authorization
Background Checks in Canada
Background Checks in India
Background Checks in the U.K.
U.S. Immigration Statistics
According to the Bureau of
Justice Statistics:
12.5% of the current U.S. population consists of immigrants.
In 2009, more than 1.1 million persons became Legal Permanent Residents (LPRs) of the United States
Growing number of workers are from other countries or in the United States on work VISAS.
Large number of U.S. citizens have spent time abroad
Many U.S. firms have operations abroad
LPR Growth Trends by Country
Mexico, Philippines, China, India, The Dominican Republic, Cuba, Canada, El Salvador, Vietnam, United Kingdom, South Korea, Haiti, Columbia, Jamaica, Germany Guatemala, Poland, Japan, Peru, Pakistan
Top 20 countries of LPRs according
to a 2009 report from the
Department of Homeland Security
(DHS)
Risks of Not Screening
All employers have the legal duty to exercise due
diligence in hiring
An employer can be sued for negligence if hiring
someone who they knew, or in the exercise of reasonable
care should have known, was dangerous, unfit, or
unqualified for the particular job and it was foreseeable
that someone could be harmed
The same standard of care applies to employers who hire
individuals who have spent time abroad
Studies have shown that education and employment fraud
for international applicants can run as high as 25%
That means that 1 in 4 applicants you screen may have
false credentials
Assumption of Gov. Screening
Employers should never assume that a background check
was performed when a non-U.S. resident obtains a VISA
Since 9/11, the U.S. government has increased its efforts
on screening foreign visitors thru “watch lists”
Screening for a government VISA does not include lesser
crimes or crimes that may be relevant to employment or
position applied for
Approval of a VISA does not include verification of past
employment or education
Police Certificates: Concerns of authenticity, availability,
differ by country
Resource: http://travel.state.gov/visa/fees/fees_3272.html
Watch Lists
U.S. Terrorist and Debarred Parties Lists
OFAC Specially Designated Nationals
(SDN) & Blocked Persons
http://www.treasury.gov/resource-
center/sanctions/SDN-
List/Pages/default.aspx
OFAC Sanctioned Countries http://www.nsopw.gov/
Department of State Trade Control
(DTC) Debarred Parties List
http://www.pmddtc.state.gov/complia
nce/debar.html
U.S. Bureau of Industry & Security
(formerly BXA)
http://www.bis.doc.gov/
U.S. Bureau of Industry & Security
(BIS) Unverified Entities List
http://www.bis.doc.gov/enforcement/
unverifiedlist/unverified_parties.html
BIS Denied Persons List http://www.bis.doc.gov/dpl/default.sh
tm
BIS Denied Entity List http://www.bis.doc.gov/entities/defaul
t.htm
Watch Lists (continued)
U.S. Terrorist and Debarred Parties Lists
FBI Most Wanted Terrorists &
Seeking Information
http://www.fbi.gov/wanted/wanted_te
rrorists AND
http://www.fbi.gov/wanted/terrorinfo
FBI Ten Most Wanted http://www.fbi.gov/wanted/topten
Watch Lists
International Terrorist and Debarred Parties Lists
HM Treasury Sanctions List (formerly
The Bank of England Sanctions List)
http://www.hm-
treasury.gov.uk/financialsanctions
Office of the Superintendent of
Financial Institution (OSFI) Canadian
Sanctions
http://www.hm-
treasury.gov.uk/financialsanctions
INTERPOL Most Wanted List http://www.interpol.int/Public/Wanted/
Search/Recent.asp
United Nations Consolidated
Sanctions List
http://www.un.org/docs/sc/committees
/1267/tablelist.htm
European Union Terrorism List http://www.un.org/docs/sc/committees
/1267/tablelist.htm
Challenges of Watch Lists
Information is easily accessible, inexpensive and
displays some due diligence
In reality, only a small number of names are included
Subject to typical issues with databases:
completeness, timeliness and accuracy
Name variations, names using non-English alphabet
makes identity difficult
This is not a criminal record search
All data needs to be verified by reporting data source
Most information is name match only
Challenges of International
Background Checks Language and time zone barriers
Name variations and personal identifiers
Means and cost of communication
Locating contact numbers and addresses
Currency exchange rates
Political uncertainty
Legal implications: Privacy and data protection, Safe Harbor, FCRA
Multi-national firms creating a standard approach
Limited access to criminal records or information may not be considered public record
The need to have resources on the ground
Resources: www.privacyinternational.org/index.shtml
Getting The Right Information
Name Information
First, Last, Middle Name, Alias or Other Names
Mother’s Complete Maiden Name or Father’s Complete Name
Birth Information
Date of Birth mm/dd/yyyy - Other formats – yyyy/mm/dd
Country of Birth, City of Birth
Identifier Information
Passport Information, SIN, SSN
Country Id, Country of Issue
Address History
Complete Address: Plot/Flat/apartment, city, state/province, country,
postal code
Timeframe at this address: mm/yyyy to mm/yyyy
Proof of Address: (may be required) Utility Bill, Gov. Doc, DL#
Getting The Right Information
(continued)
College/Institution
Complete Name of Institution
Campus (i.e., School of Law)
Address: City, State/Province, Country
Student Identifiers
Student ID
Roll or Seat #, Diploma Serial#
Name attended under
Degree Information
Degree Earned, Major, Area of Study, Year Earned
Obtain a copy of degree (front and back – may require serial#)
Employment Information
Complete Name, Address, City, State/Province, Country
Contact Information, Title, Supervisor, Reference Letter
Authorization and Disclosure
Best Practices for International Disclosure
Name, Address, Phone of Consumer Reporting Agency
Disclose the types of checks being conducted
Disclosure of Compliance with Applicable Laws
European Union Data Protection Directive
European Data Protection Privacy Act
Personal Information Protection and Electronic Documents Act
(PIPEDA), Personal Information Protection Act (PIPA)
Obtain Consent and Ability to Obtain a Copy of a Report
European Consumers can be charged no more than $12, must
provide copy within 30 days
Must have the ability to dispute, amend or delete incorrect info
Must have the consumer’s consent and signature
Canadian Background Checks
ID Check thru Credit Bureau
Criminal Records (federal and provincial)
Credit Reports
Motor Vehicle Records
Civil – Provincial Court Searches
Employment Verification
Education Verification
What’s Available in Canada
Privacy Protection in Canada
(PIPEDA Personal Information Protection and Electronic Documents Act
Accountability Identifying Purpose
Consent Limiting Collection
Accuracy Safeguards
Openness Individual Access
Limiting Use Disclosure
Challenging Compliance
Additional Resources
PIPEDA http://www.priv.gc.ca/leg_c/leg_c_p_e.asp
Privacy Protection in Canada
Personal Information Protection Act (PIPA)
An Act Respecting the Protection of Personal Information in the Private
Sector (Quebec)
The Personal Information Protection Act (British Columbia)
The Personal Information Protection Act (Alberta)
The Personal Health Information Protection Act (Ontario)
Additional Resources
Provincial Privacy Resource http://www.oipc.bc.ca/
Criminal Records in Canada
CPIC Searches
The Canadian Police Information Centre or “CPIC”
Records maintained by the Royal Canadian Mounted Police (RCMP)
A signed and witnessed consent with clear purpose of employment
Witness must view 2 pieces of Government issued ID and compare the
information from the ID to the form and signature of the applicant. Clear copies
of the ID must accompany the consent form.
Positive identification that a criminal record does or does not exist at the RCMP
can only be confirmed by fingerprint comparison. Results: “A record may
exist” or “A negative response”(No Match)
Delays do exist between a conviction being rendered in court, and the details
being accessible on the RCMP National Repository of Criminal Records (could
be several months English / longer for French).
Information does not include summary offenses (misdemeanors)
Additional Resources
RCMP Resource http://www.cpic-cipc.ca
Criminal Records in Canada
Provincial Searches
Easier to order than CPIC searches
Based on court records in location where searched
Name based search
Criminal case information provided
Includes Indictable (felony) and Summary Offenses (misdemeanor)
Not the recommended process as a stand-alone search
May contain more updated records than CPIC but should not replace
the name based or fingerprint process
Includes summary offenses
Not a national search or comprehensive
Additional Resources
Provincial Resource http://www.justicebc.ca/en/cjis/index.html
Employment Verification
Similarities and Challenges
Similar to importance and process as past employment verification in the
United States
Same challenges as the U.S. when contacting past employers and
international complications, limited third-party information exists
3 Key Steps to Performing International Employment Verifications
Obtain as much information as possible from applicant – Don’t over collect
and violate Canadian privacy policies
Conduct verifications in the primary language of that area
Be aware of potential fraud
Education Verification
College/Institution
Complete Name of Institution
Campus (i.e., School of Law)
Address: City, State/Province, Country
Student Identifiers
Full Name, Date of Birth
Dates of Attendance, Name attended under
Degree Information
Degree Earned, Major, Area of Study, Year Earned
Complete Name, Address, City, State/Province, Country
Transcripts not typically required
Third Party Sources
AuraData https://www.auradata.com
India Background Checks
ID Check
Criminal Records – local police agency check
Tribunal, District, High Court Searches
Serious Offenders and Most Wanted
Civil – High Court Searches
Motor Vehicle Records
Employment Verification
Education Verification
What’s Available in India
Background Screening
Regulations in India
Legal Requirements or Standards
There are no legal requirements or standards to conducting background
checks in India
Reserve Bank of India (RBI) requires dealer banks to conduct background
checks; however, no stated standard
ISO 27001 certificate holders are required to conduct background checks
Privacy rights must be upheld through Article 21 of the Constitution of India
Credit Information Companies (Regulation) Act 2005 – Right to live in liberty
and dignity
Potential National Academic Depository (NAD) under discussion
National Association of Software Services Companies (NASSCOM) looking
into developing standards along with NAPBS-APAC
Additional Resources
Article 21 http://www.legalserviceindia.com/articles/art222.htm
Credit Information Companies Regulations Act (2005)
http://rbidocs.rbi.org.in/rdocs/Content/PDFs/69700.pdf
Three Types of Criminal Searches
Identity Information Required
Complete Name, Father’s Name, Permanent Address, Dates at Address,
DOB, Photo (true passport size photo)
Permanent address refers to address where applicant receives official
government documents. Many students/younger citizens use parents
address as permanent address
Obtain a copy of PAN Card: Tax identifier number (10) digits, also proves
address and photo
India police will attempt to provide coverage on dates requested
I- Police Certificate Clearances in India
Permanent residence address is key
Police station with Jurisdiction (circle) over address is searched
Criminal details in another city in India will be sent to police station for
permanent address
Three Types of Criminal Searches
II- India Criminal Court Search
Tribunal, District, High Court levels have electronic filings
Targeted court search based on provided address (PAN) or permanent
address
Cases are filed and searched based on city location of filing and not
permanent address
Judicial system case filings are currently available from 1989
Three Types of Criminal Searches
III – Criminal and Civil Violations
Serious offenders and most wanted: Internal police search based on
address and additional identifiers across India for serious offenders
Employment Verification
Similarities and Challenges
Similar to importance and process as past employment verification in the
United States
Same challenges as the U.S. when contacting past employers, international
complications, lack of third-party databases
3 Key Steps to Performing International Employment Verifications
Obtain as much information as possible from applicant to verify
Conduct verifications in the primary language of that area
Be aware of potential fraud
Information returned will vary depending upon employer
Many companies will provide written verification
Education Verification
College/Institution
Complete Name of Institution
Campus (i.e., School of Law)
Address: City, State/Province, Country
Student Identifiers
Student ID
Roll, Hall or Seat #, Diploma/Certificate Serial#
Name attended under
Degree Information
Degree Earned, Major, Area of Study, Year Earned
Obtain a copy of degree (front and back)
Complete Name, Address, City, State/Province, Country
Transcripts/Mark-sheets may be required
Obtain a Copy of the Diploma
Diploma Formats
Student Registration Number Degree Serial Number
Name attended under
Student Registration Number
Degree Serial Number
Obtain a Copy of the Diploma
Diploma Formats
Student Registration Number Degree Serial Number
Name attended under
Student Registration #
Serial #
Located on the back
Specific Requirements to Process
No Standard Rule of Thumb for Education Verifications
Certain universities may require a copy of a diploma and also mark-
sheets/transcripts
Few will just authenticate the documents
A bank check could be required from a state or district bank
80% require fees approx. $20.00
Requests via Mail
University may require postmark from India
Timeline and Challenges
Request must accompany required information
Appropriate funds within proper currency
Requests should take 7-10 days
Significant delays may occur if you don’t follow the process
Education Fraud
Source – 2010 Accredibase Study
Top regions with unaccredited institutions and unaccredited
agencies
United Kingdom Background
Checks
Address Verification
Criminal Records
Watch Lists
Civil – County Court Judgments
Motor Vehicle Records
Credit – Credit Safe
Employment Verification
Education Verification
What’s Available in the U.K.
EU Approach to Privacy
Relevant Legislation
E.U. approach is to rely on comprehensive legislation that requires creation
of government data protection agencies
Each E.U. member has their own privacy laws as well
E.U. privacy regulations generally prohibit the transfer of personally
identifiable information to countries where the E. U. has not judged there to
be adequate data protection
Privacy Protection in the EU
Relevant Legislation
European Union Data Protection Directive
Data Protection Privacy Act
European Privacy Act
Additional Resources
European Commission Data Protection Portal
http://ec.europa.eu/justice_home/fsj/privacy/index_en.htm
EU-SH Safe Harbor
http://www.export.gov/safeharbor/
UK Information Commissioner – Data Protection
http://www.ico.gov.uk/what_we_cover/data_protection.aspx
UK Codes of Practice
http://www.ico.gov.uk/what_we_cover/data_protection/guidance/codes_of_p
ractice.aspx
Safe Harbor Framework
Purpose
To bridge the difference with the U.S., a “Safe Harbor” framework was
developed
A U.S. firm can become Safe Harbor certified through a self-certification
process (Department of Commerce website at
https://www.export.gov/safeharbor/
A listing of firms on the Safe Harbor list at:
https://safeharbor.export.gov/list.aspx.
Even if the data transfer is accomplished through Safe Harbor, the employer
still must adhere to other privacy requirements, such as providing proper
notice and obtaining proper consent
Safe Harbor
7 Principles
Notice - Individuals must be informed that their data is being collected and about
how it will be used
Choice - Individuals must have the ability to opt out of the collection and forward
transfer of the data to third parties
Onward Transfer - Transfers of data to third parties may only occur to other
organizations that follow adequate data protection principles
Security - Reasonable efforts must be made to prevent loss of collected
information
Data Integrity - Data must be relevant and reliable for the purpose it was
collected for
Access - Individuals must be able to access information held about them, and
correct or delete it if it is inaccurate
Enforcement - There must be effective means of enforcing these rules
Criminal Records Legislation
Rehabilitation of Offenders Act 1974
Applies to England, Scotland and Wales
Applies to individuals that have been convicted and sentenced not more than
2.5 years of prison
If offender is without convictions for a designated period of time from date of
conviction, ex-offender is considered to be rehabilitated
Upon completion of rehabilitation, conviction is considered “Spent”
If prison sentence is over 2.5 years in prison, conviction can never become
“Unspent”
Under ROA terms, a “Spent” conviction is not a proper reason for non-
employment
Applicants don’t need to disclose “Spent” convictions
Additional Resources
ROA Act 1974
http://www.justice.gov.uk/downloads/offenders/rehabilitation/rehabilitation-
offenders.pdf
Rehabilitation of Offenders Act
1974
Exceptions
Professionals (medical practitioners, barristers, accountants, vets)
Legal (judges, constables, prison officers and traffic wardens)
Regulated occupations (firearms dealers, directors of insurance companies,
nursing home management and taxi drivers)
Health services (working with children, caring for vulnerable adults)
National security (air traffic controllers, employees of the Crown)
When seeking these types of employment, the applicant is obligated to reveal a
spent conviction, and it is not illegal to refuse or end employment solely on the
grounds of that conviction
Caveat
When seeking these types of employment, the applicant is obligated to reveal a
spent conviction, and it is not illegal to refuse or end employment solely on the
grounds of that conviction
Criminal Record Searches
Basic Disclosure – £25 – Typically 2 weeks
Most common type of search and available to any employer with applicant’s
consent
Must complete required UK – Basic Disclosure Request Form
Full Name, Alias Other Names, Mother’s Maiden Name, Address History 5
years, Gender Birth Date, Sex, Nationality, National Insurance #, Passport,
Driver’s License #
Additional Information Required
Utility bill (e.g. gas, electricity or telephone) or another document issued by a
government department or local authority which confirms your current
address, and
Passport, Driver license, or birth certificate which confirms date of birth details
CPNI – Centre for the Protection of National Infrastructure
Pre-Employment Screening – A Good Practice Guide
http://www.cpni.gov.uk/documents/publications/2009/2009024-
gpg_pre_employment_screening.pdf
Criminal Record Searches
(continued) Standard Disclosure £25 – Typically 2 weeks
Standard Disclosures will report both spent and unspent convictions, cautions,
reprimands and warnings held on the Police National Computer
Professionals (medical practitioners, barristers, accountants, vets and
opticians)
Legal (judges, constables, prison officers and traffic wardens)
Regulated occupations (firearms dealers, directors of insurance companies,
nursing home management and taxi drivers)
Health services (working with children, caring for vulnerable adults)
National security (air traffic controllers, employees of the Crown)
When seeking these types of employment, the applicant is obligated to reveal a
spent conviction, and it is not illegal to refuse or end employment solely on the
grounds of that conviction
Additional Information Required
Utility bill (e.g. gas, electricity or telephone) or another document issued by a
government department or local authority (Applicant must reside in the U.K.)
Passport, Driver license, or birth certificate which confirms date of birth details
Criminal Record Searches
(continued)
Enhanced Disclosure £25 – Typically 2 – 3 weeks
This is the most comprehensive criminal check available and may only be obtained
when the applicant/employee will be involved in the direct care for, training,
supervising or being in sole charge of children or vulnerable adults
The Enhanced Disclosure may also show any information held on local police
records considered relevant to the position being sought
Additional Information Required
Utility bill (e.g. gas, electricity or telephone) or another document issued by a
government department or local authority (Applicant must reside in the U.K.)
Passport, Driver license, or birth certificate which confirms date of birth details
Employment Verification
Similarities and Challenges
Similar to importance and process as past employment verification in the
United States; however, paper based
Most UK and European employers require consent to be provided
Results will typically be returned via a “letter of reference” or “letter of good
standing”
3 Key Steps to Performing International Employment Verifications
Obtain as much information as possible from applicant to verify
Conduct verifications in the primary language of that area
Be aware of potential fraud
Information returned will vary depending upon employer
Most companies will provide written verification
Education Verification
College/Institution
Complete Name of Institution
Campus (i.e, School of Law)
Address: City, State/Province, Country
Student Identifiers
Full Name
Date of Birth
Dates of Attendance
Name attended under
Degree Information
Degree Earned, Major, Area of Study, Year Earned
Complete Name, Address, City, State/Province, Country
Transcripts not typically required
Education Fraud in Europe
Source – 2010 Accredibase Study
Top Ten European countries with unaccredited
institutions and unaccredited agencies
Hillmax College Celebrity
Brian May – Guitarist from the rock group Queen. Brian
actually received his doctorate from the UK at Liverpool John
Moores University
In Conclusion
Weigh the risks of not conducting international
background checks
Develop an internal policy and plan
Have a thorough understanding of country by
country laws and regulations
Be aware of consumer privacy
Secure confidential data at all times
Understanding what you need upfront
Knowing the process will shorten verification
timelines
Never take documentation at face value
Any Questions?
Robert Capwell
Chief Knowledge Officer Employment Background Investigations, Inc. (EBI)
rcapwell@ebiinc.com
(800) 324-7700
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