Background Investigations: A Primer for Nonprofits

Background Investigations:

A Primer for Nonprofits

About Me

Michelle Pyan is the owner of CI and has been a licensed private investigator in the states of Wisconsin, New York, and Florida since 1991. She has experience in human resources since 1993.

Michelle is passionate about background investigations and has been examining the Fair Credit Reporting Act and other applicable state and federal laws since 1998.

Commercial Investigations LLCwww.commercialinvestigationsllc.com

Background Investigations: A Primer for Nonprofits

AboutUs

Commercial Investigations is a New York State and Florida State licensed private investigative agency.

CI provides the Proactive Truth regarding applicants, reducing turnover and limiting exposure to civil liabilities.

Services include:

Employee Background Investigations Volunteer Background Investigations Board Member Background

Investigations Medical Staff Background Investigations Tenant Background Investigations Merger and Acquisition Background

Investigations Full Due Diligence Investigations Opposition Research and Political

Investigations Background Investigations: A Primer for NonprofitsCommercial Investigations LLCwww.commercialinvestigationsllc.com

www.commercialinvestigationsllc.com



AboutYou

What are you doing today to screen volunteer applicants? Employees? Board members?

How many volunteers do you handle in a year or monthly? Employees? Board members?



Background Investigations: A Primer for NonprofitsCommercial Investigations LLCwww.commercialinvestigationsllc.com

1. Are you aware of current industry standards?

2. How can you strengthen your volunteer screening process?

3. Do you have a comfortable understanding of how background investigations work?

Three Questions to Think About

Volunteers are an integral part of society.

Unfortunatelythere is that small percent of volunteer contact that is actually harmful.


Pilferage Commercial Bribery Embezzlement Vandalism Burglary Insurance/Workers

Compensation fraud Arson Computer Fraud

Beyond the Unthinkable

Volunteers are not the only segment that nonprofits need to be concerned with.

Employees and board members can also harm an organization and its clientele.



Savvy nonprofit organizations realize that there are ways to mitigate the risk of letting the wrong person be a volunteer, employee, or board member; in turn mitigating the risk of fraud, abuse, illegal activity, and negative influence.

Background Investigations are one of the best ways to mitigate those risks.




Deterrent Strategy Enhances Safety Increases Productivity Reduces Turnover and

Training Costs Protects Organization

from Liability

Benefits

The Ins and Outs of Background Investigations



Origin



Origin A multidimensional inquiry that

combines our Multijurisdictional Criminal inquiry with known aliases provided from our SSN & Address Information inquiry.

We report the state and the approximate date that the SSN was issued and run the SSN through the Social Security Administration’s Death Master File.

Next, we run the SSN trace to obtain a list of alias names, including maiden names.

Then use this information to make a final pass through our Multijurisdictional Criminal inquiry instant database on the primary name supplied and all aliases revealed in the SSN & Address Information.



Cursory IndicatorNew York



Cursory Indicator New York

In July 2011, Commercial Investigations launched Cursory Indicator New York, after being in development since 1999.

Commercial Investigations worked with New York State law enforcement to bring this to the non-law enforcement world.

Commercial Investigations is the exclusive provider of Cursory Indicator New York to its clients and other background screening organizations.




Proprietary inquiry allows CI clients to quickly assess when additional criminal record research is needed in New York.

Positively identifies the subject.

CI's expert investigative staff handles the tiered inquiry.

Automatically proceeds to tier two if Cursory Indicator New York indicates that it is necessary to perform more comprehensive inquiries.




Why consider Cursory Indicator New York: New York Statewide Law Enforcement

Criminal Data available in one Inquiry to Non Law Enforcement Entities

Cost Effective Tiered System indicates when more

comprehensive Inquiries are needed Positively identifies the subject Includes Misdemeanor and Felony

Convictions Discloses Misdemeanor Convictions that

might be missed in County Criminal searches

Reduces costs associated with New York Statewide (OCA) searches

Most results available within 2 to 4 Hours

Fair Credit Reporting Act (FCRA) Compliant

Proprietary to Commercial Investigations LLC



Sex Offender Registry




Although some sex offender registry data is part of the Multijurisdictional Criminal part of Origin, howevera state specific sex offender registry inquiry is important to cover all levels of sex offender data publically available.

CI’s Sex Offender Registry inquiry helps mitigate a company’s risk of workplace violence and potential negligent hiring or retention lawsuits.

CI recommends that its clients conduct a Sex Offender Registry inquiry in every state the subject has lived in, and by every name the subject has used, within the previous ten years.



Motor Vehicle



Motor Vehicle

Reveals a suspended/revoked license, patterns of reckless behavior, insurance risks and/or substance abuse

If your employee is irresponsible or negligent, with a motor vehicle, or otherwise, your organization may be held responsible for any accidents or incidents that occur as a result

Motor vehicle information can be very beneficial to obtain on all applicants



County, Statewide & Federal



County Criminal

Highly recommended as a minimum criminal record search to ensure the discovery of any misdemeanor or felony charges

CI conducts County Criminal inquiries by submitting a query to a professional court researcher who physically retrieves the records

Uncovers “minor” convictions such as theft, drug possession or shoplifting that are very relevant to employers seeking the best applicants

Examples of charges that can be revealed through a County Criminal Inquiry:

Assault, Robbery Murder



Statewide

Criminal

Consists of information from the New York State Office of Court Administration (OCA)

Results include data from all 62 NY counties pertaining to misdemeanor and felony convictions and open/pending cases

Some town and village criminal disposition data is also included. Since 2003 approximately 20% of all NY town and village Courts have been reporting disposition data to OCA

All NY City and County courts are required to report criminal disposition data to the NYS Office of Court Administration

Cases are updated within New York City approximately every 24 hours and outside NY City at least once a week



Federal Criminal

An important step for eliminating an employer's liability for negligent hiring

Federal searches often reveal serious violations of federal law that state or county searches do not encompass

Examples of federal crimes:

Drug trafficking

Embezzlement

Carjacking

Kidnapping

Crimes committed across state lines



Health Care Comply Plus



Health Care

Comply Plus

Provides information on individual health care providers

Conducts a search of the sanction information compiled by Office of the Inspector General (OIG), General Services Administration (GSA) and other federal agencies

Meets requirements for sanction screening set forth in the OIG's Compliance Program Guidance

More thorough than only checking the OIG and GSA databases established by these governing agencies because it includes historic, as well as current sanction data

Office of the Inspector General sanctions

General Services Administration sanctions

State licensing agency actions Global Scan anti-terrorist data




Reduce turnover

Increase productivity and employee morale

Pre-Employment

Pre-Promotion

Annual Physical

Random

Post Accident

Drug Test


Access to company or customer cash, assets, credit cards, valuables or confidential information

Can demonstrate responsibility and reliability levels

Reveals if subject may be tempted to commit larcenous action

Should only be used with established company policies and procedures

Credit Report

Cyber Investigation

Level 1 Level 2



Education Verification

Determine if applicant meets qualifications for position

Side-by-side of applicant supplied data to verified data



Employment Verification

Validates employment including dates, position, etc.

Customizable interview questions



Reference Verification

Comprehensive interview with subject’s references

Gives information beyond facts of employment

Insight into performance Information about character traits

and/or habitsCommercial Investigations LLCwww.commercialinvestigationsllc.com


International Criminal

CI utilizes experts of foreign court procedures

Records from all 6 continents as well as Mexico, Canada, Puerto Rico

CI ensures compliance with international access and privacy data laws



Professional License Verification

Recommended for employers in industries which require employees to be certified & licensed



Implement an effective volunteer, employee, and board member background investigations policy and procedure.



Volunteer Screening Packages



Volunteer Screening Best Practices & Best Value


Origin





Volunteers Employees Board Members Vendors Contract Labor Temporary Employees Clientele

Who


Time of Service Regular Intervals Random

When


7 Years 10 Years All Available Years Primary Name All Names Current Jurisdiction All Jurisdictions

Depth


Consent Form Request Preadverse Action Adverse Action Disclosure Request

FCRAFair Credit ReportingAct

Savvy nonprofit organizations also realize that a properly implemented background investigations policy and procedure carries with it the concerns of being time consuming, requires the gathering of sensitive data, is paper heavy, and can be costly.

Paperless System



Sample Volunteer Screening Portal



Paperless System Walkthrough




Legal Notice(FCRA)


Legal Notice



Legal Notice(NYS Article 23A)



Legal Notice

Paperless System Walkthrough



Confirmation Email

Dear Sample,

Your background investigation report has been successfully ordered and forwarded to Test Customer for review. You can also see a copy of the same report by clicking here. The entire background report may not be complete at this time, but you can still see the status of each item and then you can check back later, as often as you like to see the recently finished items.

In order to view your report you will need to provide:• Report Number (listed on the subject line of this email)• Last Name• Date of Birth• Last 4 digits of your Social Security Number If you have any questions about the accuracy of the completed report, you may send Test Subscriber a letter indicating the part of the report that you believe to be incorrect to the address below. Test Subscriber will re-verify the results if reasonable grounds exist. If parts of the report are deleted or changed due to the re-verification process, you will receive a corrected report. Should you have any questions, please contact us at [email protected] or call us at 1-800-284-0906.

Receipt of PaymentThank you for your payment of $24.95.Your payment authorization code is 00009999. We appreciate the opportunity to serve you!



mailto:[email protected]

Benefits Volunteer Enters Personal Information

Eliminates Organization Data Entry for Volunteer Screenings

Volunteer Owns the Information

Reduces Duplication

Protects Sensitive Volunteer Data

Volunteer Donation Option

Ensures Compliance with FCRA

Volunteer Handles Dispute of Adverse Data



Client Report Retrieval

Optimized for Internet Explorer



Client Report Retrieval Process



Report Results



Report Results Walkthrough



Benefits Volunteer Enters Personal Information

Eliminates Organization Data Entry for Volunteer Screenings

Volunteer Owns the Information

Reduces Duplication

Protects Sensitive Volunteer Data

Volunteer Donation Option

Ensures Compliance with FCRA

Helps Avoid Negative Press with Proper Due Diligence of Screening

Volunteer Handles Dispute of Adverse Data



How to evaluate your current background investigations.




Evaluate Qualifications Compliance

Federal and State Laws

National Association of Professional Background Screeners

Get buy in from within your organization to enhance or implement a background investigations program.



Benefits of Screening your Volunteers




Making the Case

Discourages Undesirable Applicants

Encourages Open Communication

Eliminates Uncertainty

Demonstrates Due Diligence

Promotes Workplace Safety

Excellent Return on Investment


Discourages Undesirable Applicants

Job Postings Notice about Background Check

Application Paperwork include Consent Form

»Discrepancies

»Incomplete Information


Encourages Openness

Indicates to Employees and Applicants that Past Actions are Important

Provides an Opportunity for an Applicant to Discuss their Past

Increases Moral


Eliminates Uncertainty

Second Impression

Confirms Application and Resume

Industry Standard Operating Procedure


Demonstrate Due Diligence

Negligent Hiring

Negligent Retention

Negligent Referral


Real Negligent Hiring Cases

Woman Attacked in Her Home $2.5 Million

Child Sexually Assaulted $1.75 Million

Unlicensed Nurse $235,000


Promotes Safety and Security

Mitigates Risk»Abuse

»Security Breaches

»Identity Theft

»Bad PR

Everyone Feels Safer


Excellent Return on Investment

Peace of Mind

Less than First Day’s Pay

Insurance Discounts


Volunteer Screening Page




Meet

Due Diligence


Sample Reports

http://www.commercialinvestigationsllc.com/DDOct2010.html

http://www.commercialinvestigationsllc.com/Dues_Report_Tech_Valley_Medical_Center_10162010.pdf





http://www.commercialinvestigationsllc.com/files/Dues_Report_Tech_Valley_Medical_Center_10162010.pdf





Monitoring

Continuous Inquiry New York



VolChecked



Volunteer Pay Option



Compliance and Cost Analysis



Wrap Up



Presented by Michelle PyanPresidentLicensed Private Investigator(800) 284-0906www.commercialinvestigationsllc.com

facebook.com/commercialinvestigationsllc

twitter.com/CI_LLC

linkedin.com/company/commercial-investigations-llc

[email protected]

Background Investigations:

A Primer for Nonprofits

The information provided in this presentation does not constitute legal or accounting advice. It is for information and discussion purposes only.

This presentation may not be reproduced without the written consent of the author.



Background Investigations: A Primer for Nonprofits

Business

Transcript of Background Investigations: A Primer for Nonprofits