Public Records Public Records Research:Research:

Sources, Search Tips and Sources, Search Tips and Legal BasicsLegal Basics

Workshop Web SiteWorkshop Web Site

www.virtualchase.com/wsu/www.virtualchase.com/wsu/ Login: vchwsuLogin: vchwsu Password: whi1560Password: whi1560 Login/password is case sensitiveLogin/password is case sensitive 0 in the password is a zero0 in the password is a zero Content expires before the start of Content expires before the start of

next Web Search Universitynext Web Search University

Workshop ObjectivesWorkshop Objectives

Recognize public vs private informationRecognize public vs private information Identify potential public sources of Identify potential public sources of

private informationprivate information Understand the limitations of electronic Understand the limitations of electronic

government recordsgovernment records Review major online public records Review major online public records

research toolsresearch tools Grasp the basics of how law affects Grasp the basics of how law affects

access and use of personal informationaccess and use of personal information

Public vs. Private Public vs. Private Information:Information:

Finding What You Want to Finding What You Want to Know, LegallyKnow, Legally

What’s the Difference?What’s the Difference?

Public recordsPublic records Private informationPrivate information Public informationPublic information Quasi-public Quasi-public

informationinformation

What is Public Record?What is Public Record?

GGovernment recordsovernment records Used to meanUsed to mean no access restrictions no access restrictions

Rapidly changing both online & offlineRapidly changing both online & offline Redacted personal identifiersRedacted personal identifiers

Court, property recordsCourt, property records Business filings (incorp’s, dba’s, UCCs)Business filings (incorp’s, dba’s, UCCs) Public co. filings (EDGAR)Public co. filings (EDGAR) Professional licensesProfessional licenses Many agency records (IP, inspections)Many agency records (IP, inspections)

But …But …

Not all government records are Not all government records are public recordpublic record

What is public record varies by What is public record varies by jurisdictionjurisdictionRapsheets: public in PA, but not in NCRapsheets: public in PA, but not in NCMarriage certificates: public in NC, but Marriage certificates: public in NC, but

not in MDnot in MD

Changes Affecting Changes Affecting Public Access or StatusPublic Access or Status County recorder docs (deeds, tax liens, births, County recorder docs (deeds, tax liens, births,

deaths) - mandatory or voluntary removal of deaths) - mandatory or voluntary removal of SSNsSSNs

TX – AG op mandated removal of SSNs from all TX – AG op mandated removal of SSNs from all county court records; superseded by law (2007 county court records; superseded by law (2007 HB 2061)HB 2061)

AR – redact personal info from all court records AR – redact personal info from all court records except the court transcript (court rule)except the court transcript (court rule)

CO – court directive mandates removal of CO – court directive mandates removal of sensitive info from court docs (2005, amended sensitive info from court docs (2005, amended in 2007)in 2007)

Changes Affecting Changes Affecting Public Access or StatusPublic Access or Status Several states, including MO, NY, CA, CO, Several states, including MO, NY, CA, CO,

AZ, OR, NM, VT pull UCC images from AZ, OR, NM, VT pull UCC images from Web site (2007)Web site (2007)

Plea agreements – removed from S.D.FL Plea agreements – removed from S.D.FL and E.D.PAand E.D.PA

NY – removed crimes resulting in 15 days NY – removed crimes resulting in 15 days or less in jail from criminal histories or less in jail from criminal histories provided by the NY Office of Court Admprovided by the NY Office of Court Adm

Oneida County, NY – gives online access Oneida County, NY – gives online access to recorder docs only to certain groupsto recorder docs only to certain groups

Impact on ResearchImpact on Research

More time & money for on-site More time & money for on-site research and retrievalresearch and retrieval

Greater skillGreater skillKnowledge of sourcesKnowledge of sourcesTenacious investigative skillsTenacious investigative skills

More than ever, online research More than ever, online research supplementssupplements on-site research on-site research

Manage client/patron expectationsManage client/patron expectations

Keeping Up with Keeping Up with ChangesChanges Industry experts find it difficultIndustry experts find it difficult TVC Alert Research NewsTVC Alert Research News

www.virtualchase.com/tvcalert/www.virtualchase.com/tvcalert/ BRB Public Records BlogBRB Public Records Blog

publicrecordsblog.typepad.compublicrecordsblog.typepad.com PI BuzzPI Buzz

www.pibuzz.comwww.pibuzz.com

What Is Not Public What Is Not Public Record?Record? FBI criminal records (NCIC)FBI criminal records (NCIC) Income tax recordsIncome tax records Juvenile court recordsJuvenile court records Any government record where Any government record where

access is restricted by law. In some access is restricted by law. In some states…states…Criminal histories (rapsheets)Criminal histories (rapsheets)Vital (birth, death) recordsVital (birth, death) recordsVehicle ownershipVehicle ownership

What Is Private What Is Private Information?Information? Personal or confidentialPersonal or confidential SSN or date of birthSSN or date of birth Unpatented formulasUnpatented formulas Undisclosed business practicesUndisclosed business practices Medical and financial recordsMedical and financial records

Bank account informationBank account informationCredit reportsCredit reports

Private Information May Private Information May Become Public When …Become Public When … You volunteer itYou volunteer it

Publicly listed telephone numberPublicly listed telephone number Product registration formsProduct registration forms Online résumés, blogs, forumsOnline résumés, blogs, forums

You disclose it in a public recordYou disclose it in a public record Assets in a divorce filingAssets in a divorce filing Names of minor children in a bankruptcy Names of minor children in a bankruptcy

filingfiling SSN in real estate documentsSSN in real estate documents

The public observes itThe public observes it Where you workWhere you work

What’s Quasi-Public?What’s Quasi-Public?

Access restrictions & limited info Access restrictions & limited info releasedreleased

Life insurance policiesLife insurance policies www.mib.comwww.mib.com MIB’s Policy Locator ServiceMIB’s Policy Locator Service

Military recordsMilitary records Select information onlySelect information only Requires written requestRequires written request

Some state criminal repository recordsSome state criminal repository records May require fingerprintsMay require fingerprints May require signed releaseMay require signed release

Determining Public Determining Public StatusStatus Major federal privacy lawsMajor federal privacy laws

FCRA & FACTA (consumer)FCRA & FACTA (consumer)• 15 USC §6802(e)15 USC §6802(e)

Gramm-Leach-Bliley (financial)Gramm-Leach-Bliley (financial)• 15 USC §1681b15 USC §1681b

DPPA (driver)DPPA (driver)• 18 USC §272118 USC §2721

State open access lawsState open access lawsVary from state to stateVary from state to state

BRB Publications Inc.BRB Publications Inc.

www.brbpub.comwww.brbpub.com Leading publisher of U.S. public Leading publisher of U.S. public

records reference worksrecords reference works The Sourcebook, 8The Sourcebook, 8thth ed. ed. Public Records Research SystemPublic Records Research System Public Record Retriever Network Public Record Retriever Network

(free)(free) Free government record sitesFree government record sites

Public Record Public Record Research SystemResearch System Annual subscription feeAnnual subscription fee Arranged by state/countyArranged by state/county Gives public status of government Gives public status of government

recordsrecords Informs how to obtain recordsInforms how to obtain records Provides contact information and Provides contact information and

Web sites, when availableWeb sites, when available

Test Your Test Your UnderstandingUnderstanding

True or false. If True or false. If the information the information you seek is not you seek is not public record, you public record, you cannot find it out – cannot find it out – legally or legally or ethically.ethically.

Public Records Public Records Research:Research:

It’s All About SourcesIt’s All About Sources

Facts About Online Facts About Online RecordsRecords 35% of public records are online35% of public records are online Many are incomplete or inaccurateMany are incomplete or inaccurate

Lack identifying information (SSN, DOB)Lack identifying information (SSN, DOB) Lack disposition (or up-to-date) dataLack disposition (or up-to-date) data

Online verification is difficultOnline verification is difficult Many free government sources do not Many free government sources do not

provide personal identifiersprovide personal identifiers Verify by requesting a copy of the original Verify by requesting a copy of the original

recordrecord On-site copy may not contain identifiersOn-site copy may not contain identifiers

SSN Validator (www.ssnvalidator.com)SSN Validator (www.ssnvalidator.com)

Primary SourcesPrimary Sources

Who/what Who/what generates the generates the data?data?

Who/what is Who/what is responsible for its responsible for its collection, collection, maintenance or maintenance or use?use?

Finding SSNs & DOBsFinding SSNs & DOBs

Online if you are luckyOnline if you are lucky Filing forms changing to stop requesting Filing forms changing to stop requesting

SSNsSSNs Tax liens, UCCsTax liens, UCCs Deeds, mortgage documentsDeeds, mortgage documents Bankruptcy filingsBankruptcy filings Vehicle accident reportsVehicle accident reports Divorce, custody filings, probate recordsDivorce, custody filings, probate records Property foreclosures (court records)Property foreclosures (court records) Death certificatesDeath certificates

Finding Information Finding Information About Private CompaniesAbout Private Companies Identify regulating agenciesIdentify regulating agencies

Restaurants, food handlers (Health depts.)Restaurants, food handlers (Health depts.) Human tissue, donor services (FDA, Health Human tissue, donor services (FDA, Health

depts.)depts.) Manufacturing (EPA, OSHA)Manufacturing (EPA, OSHA)

Licenses and permitsLicenses and permits Business organizationBusiness organization Special (liquor, gambling)Special (liquor, gambling) Professional (insurance, doctor, dentist)Professional (insurance, doctor, dentist)

Background check the ownersBackground check the owners

Major Online SourcesMajor Online Sources

U.S. Party/Case IndexU.S. Party/Case Indexpacer.uspci.uscourts.govpacer.uspci.uscourts.gov

EDGAREDGARwww.sec.gov/edgar.shtmlwww.sec.gov/edgar.shtml

Excluded Parties List SystemExcluded Parties List Systemepls.arnet.govepls.arnet.gov

LexisONELexisONEwww.lexisone.comwww.lexisone.com

The U.S. Party/Case The U.S. Party/Case IndexIndex Federal civil and criminal lawsuitsFederal civil and criminal lawsuits BankruptciesBankruptcies Register w/PACER to accessRegister w/PACER to access Check “Courts Not On Index”Check “Courts Not On Index” Lastname, firstnameLastname, firstname Searching middle initialsSearching middle initials

Sometimes indexed, sometimes notSometimes indexed, sometimes notFor everything, search withoutFor everything, search without

EDGAREDGAR

2 search options2 search options Header data onlyHeader data only Full-text for past 4 yearsFull-text for past 4 years

Full-text option: Find mention of people Full-text option: Find mention of people or private companies within documentsor private companies within documents

Supports Boolean or Natural LanguageSupports Boolean or Natural Language Operators must be capitalized (AND, OR, Operators must be capitalized (AND, OR,

NOT)NOT)

More on EDGARMore on EDGAR

Conceptual search engineConceptual search engine Search for Search for chocolatechocolate might retrieve might retrieve cocoacocoa

Case sensitive searchingCase sensitive searching ButBut recent queries suggest no difference recent queries suggest no difference

between between Donald TrumpDonald Trump and and donald trumpdonald trump Supports proximity (NEARSupports proximity (NEARnn)) Supports wildcard (*) truncationSupports wildcard (*) truncation Undocumented – supports nestingUndocumented – supports nesting

Excluded Parties List Excluded Parties List SystemSystem Contract or financial assistance Contract or financial assistance

debarments or suspensionsdebarments or suspensions Separate search for past exclusionsSeparate search for past exclusions Supports wildcards (Supports wildcards (green*green* or or anders?nanders?n; ;

differs from partial search)differs from partial search) Verification necessary for personsVerification necessary for persons

No identifiers (SSN, dob) onlineNo identifiers (SSN, dob) online No street address for personsNo street address for persons Street address provides for companiesStreet address provides for companies

LexisONELexisONE

Free case lawFree case law FederalFederal

U.S. Supreme Court (all opinions)U.S. Supreme Court (all opinions) Appellate courts (current 5 years)Appellate courts (current 5 years) No district (trial level) courtsNo district (trial level) courts No special (tax, military) courtsNo special (tax, military) courts

StateState Mostly appellate level; sometimes only high courtMostly appellate level; sometimes only high court Current 5 yearsCurrent 5 years

Fee access to public records and verdicts & Fee access to public records and verdicts & settlementssettlements

Finding Tools – General Finding Tools – General

BRB Free Resource CenterBRB Free Resource Centerwww.brbpub.com/www.brbpub.com/

pubrecsites.asp?h=1pubrecsites.asp?h=1 Black Book OnlineBlack Book Online

www.blackbookonline.infowww.blackbookonline.info The Virtual ChaseThe Virtual Chase

www.virtualchase.com/topics/www.virtualchase.com/topics/Database of SourcesDatabase of Sources

Finding Tools – Specific Finding Tools – Specific

Legal Dockets OnlineLegal Dockets Onlinewww.legaldockets.comwww.legaldockets.com

Business Filings OnlineBusiness Filings Onlinetinyurl.com/qp3xdtinyurl.com/qp3xd

Portico Personal PropertyPortico Personal Propertytinyurl.com/r3y3ytinyurl.com/r3y3y

Criminal RecordsCriminal Recordswww.virtualchase.com/topics/www.virtualchase.com/topics/

criminal_records.shtmlcriminal_records.shtml

Commercial VendorsCommercial Vendors

AutoTrackXP (CPO), Accurint (LN), AutoTrackXP (CPO), Accurint (LN), MerlinMerlin

Mix private & public informationMix private & public information Access requires permissible useAccess requires permissible use

Contract details permissible usesContract details permissible usesStatutory restrictions (GLB, DPPA)Statutory restrictions (GLB, DPPA)Many commercial vendors disallow use Many commercial vendors disallow use

for FCRA-regulated activitiesfor FCRA-regulated activities

Public Records Public Records Research:Research:

Legal IssuesLegal Issues

Major Federal Privacy Major Federal Privacy LawsLaws Gramm-Leach-Bliley (GLB)Gramm-Leach-Bliley (GLB)

15 USC §6802(e)15 USC §6802(e) Financial recordsFinancial records

Fair Credit Reporting Act (FCRA)Fair Credit Reporting Act (FCRA) 15 USC §1681b15 USC §1681b Consumer reportsConsumer reports

Driver’s Privacy Protection Act (DPPA)Driver’s Privacy Protection Act (DPPA) 18 USC §272118 USC §2721 Driver recordsDriver records

Permissible (Legal) Permissible (Legal) UsesUses Each law has its own exceptionsEach law has its own exceptions Business reasonsBusiness reasons Litigation and other legal reasonsLitigation and other legal reasons Employment reasonsEmployment reasons Other (signed written permission, Other (signed written permission,

court order)court order)

Permissible Uses Permissible Uses GenerallyGenerally Fraud prevention or detectionFraud prevention or detection Legal or beneficial interestLegal or beneficial interest Compliance with another lawCompliance with another law Fiduciary on behalf of consumerFiduciary on behalf of consumer Current litigation or arbitrationCurrent litigation or arbitration

Service of processService of processPre-trial investigationsPre-trial investigationsEnforcement of judgmentsEnforcement of judgments

Permissible Uses—Permissible Uses—FCRA FCRA Consumer reporting agencies (CRAs)Consumer reporting agencies (CRAs)

People or entities that perform People or entities that perform outside outside researchresearch for employment or other FCRA for employment or other FCRA regulated purpose (15 USC §1681b(a))regulated purpose (15 USC §1681b(a))

Special obligations to the research Special obligations to the research subject might conflict with duty to clientsubject might conflict with duty to client

Inside researcher (e.g., employer) is not Inside researcher (e.g., employer) is not a CRAa CRA

Example FCRA Example FCRA Regulated ActivitiesRegulated Activities Pre-employment & employmentPre-employment & employment

Exceptions under FACTAExceptions under FACTA Insurance underwritingInsurance underwriting Consumer credit transactionConsumer credit transaction Determining eligibility for a license Determining eligibility for a license

issued by a government agencyissued by a government agency

FCRA Is ComplexFCRA Is Complex

You (the outside researcher) cannot You (the outside researcher) cannot run a criminal background check on run a criminal background check on a client’sa client’s prospective employee prospective employee without the interviewee’s consent without the interviewee’s consent (and fulfilling other obligations).(and fulfilling other obligations).

But the employer can run a criminal But the employer can run a criminal check w/o consent and disclosure check w/o consent and disclosure ifif he does the research himself.he does the research himself.

FTC Interpretive FTC Interpretive GuidanceGuidance FTC Staff Opinion LetterFTC Staff Opinion Letter

http://www.ftc.gov/os/statutes/fcra/http://www.ftc.gov/os/statutes/fcra/sum.htmsum.htm

Haynes-Sum, 15 September 1999Haynes-Sum, 15 September 1999Law firms could be CRAs under the ActLaw firms could be CRAs under the ActFCRA covers any information used for FCRA covers any information used for

a regulated purpose, including public a regulated purpose, including public recordsrecords

Interesting Case LawInteresting Case Law

Remsburg v. Docusearch, 816 A.2d Remsburg v. Docusearch, 816 A.2d 1001 (NH, 2003)1001 (NH, 2003)tinyurl.com/kpd7wtinyurl.com/kpd7wResearchers owe a duty to exercise Researchers owe a duty to exercise

reasonable care not to subject the reasonable care not to subject the research subject to an unreasonable research subject to an unreasonable risk of harmrisk of harm

Test Your Test Your UnderstandingUnderstanding Do you need a Do you need a

permissible use permissible use (legal reason) to (legal reason) to access public access public records?records?

Open Access Laws Open Access Laws and Privacy Issues:and Privacy Issues:

Keeping Up with the ChangesKeeping Up with the Changes

Professional ReadingProfessional Reading

BRB Public Records BlogBRB Public Records Blogpublicrecordsblog.typepad.compublicrecordsblog.typepad.com

PI BuzzPI Buzzpibuzz.compibuzz.com

Reporters Committee for Freedom Reporters Committee for Freedom of the Pressof the Presswww.rcfp.orgwww.rcfp.org

TVC Alert Research NewsTVC Alert Research Newswww.virtualchase.com/tvcalert/www.virtualchase.com/tvcalert/

Public Records Public Records Research:Research:

Company Research and Company Research and Business PeopleBusiness People

Finding Personal Finding Personal IdentifiersIdentifiers Becoming increasingly difficultBecoming increasingly difficult Commercial vendors (LN/Accurint, Commercial vendors (LN/Accurint,

CPO/AutoTrackXP, Merlin)CPO/AutoTrackXP, Merlin) Disclosed in public recordsDisclosed in public records General Web searchingGeneral Web searching

Online résumés, personal Web sites Online résumés, personal Web sites (blogs, MySpace), discussion forums, (blogs, MySpace), discussion forums, Martindale-Hubbell, Who’s Who, biosMartindale-Hubbell, Who’s Who, bios

Common Name Common Name SearchingSearching Need personal identifiers for verificationNeed personal identifiers for verification

Full name, SSN or date of birthFull name, SSN or date of birth Helpful in combination w/a nameHelpful in combination w/a name

Profession, occupation or industryProfession, occupation or industry Hobbies, interestsHobbies, interests Residence, place of workResidence, place of work Memberships, affiliationsMemberships, affiliations

Difficult for both manual research and Difficult for both manual research and online searchingonline searching

Researching Business Researching Business PeoplePeople Professional licenses Professional licenses

+ disciplinary data+ disciplinary data**** Business filingsBusiness filings Court records Court records

(including (including bankruptcies and bankruptcies and liens)liens)

Case lawCase law News storiesNews stories Campaign donationsCampaign donations

Intellectual propertyIntellectual property Authored worksAuthored works Congressional Congressional

testimonytestimony Agency comment Agency comment

lettersletters EDGAR, SEC EDGAR, SEC

“litigation” Web site“litigation” Web site Internet ArchiveInternet Archive

**Often includes telephone research

Free Search Tools for Free Search Tools for Business PeopleBusiness People ZoomInfo (www.zoominfo.com)ZoomInfo (www.zoominfo.com) EDGAR (www.sec.gov/edgar.shtml)EDGAR (www.sec.gov/edgar.shtml) Authoratory (www.authoratory.com)Authoratory (www.authoratory.com) Social networksSocial networks

LinkedIn (www.linkedin.com) targets LinkedIn (www.linkedin.com) targets business peoplebusiness people

MySpaceMySpace FacebookFacebook Wink (queries multiple social networks + Wink (queries multiple social networks +

special Web sites)special Web sites)

Due Diligence Research Due Diligence Research on Companieson Companies Databases by regulating agenciesDatabases by regulating agencies

MAUDE (medical devices, tinyurl.com/3nbzt)MAUDE (medical devices, tinyurl.com/3nbzt) FCC (filed comments, tinyurl.com/4f83)FCC (filed comments, tinyurl.com/4f83)

OSHA Accidents (tinyurl.com/ruudd) & OSHA Accidents (tinyurl.com/ruudd) & Inspections (tinyurl.com/ms4rw)Inspections (tinyurl.com/ms4rw)

Envirofacts (www.epa.gov/enviro/)Envirofacts (www.epa.gov/enviro/) Integrates data from 7 EPA databasesIntegrates data from 7 EPA databases

GPO Access (www.gpoaccess.gov; GPO Access (www.gpoaccess.gov; Federal Register, Congressional Record, Federal Register, Congressional Record, hearings)hearings)

Search Engine Search Engine StrategiesStrategies For best results, run multiple queries in several For best results, run multiple queries in several

search enginessearch engines ““donald trump”donald trump” ““donald j trump”donald j trump” ““mars inc”mars inc” ““mars incorporated”mars incorporated”

Common name + what you knowCommon name + what you know ““gary price” + librariangary price” + librarian

Uncommon last name + what you knowUncommon last name + what you know tyburski + “ballard spahr”tyburski + “ballard spahr”

Query limitersQuery limiters site:.gov or site:.state.xx.ussite:.gov or site:.state.xx.us

Search Engine Search Engine Strategies Cont.Strategies Cont. "not for public dissemination""not for public dissemination" "not for public release""not for public release" "official use only" (variations "official use only" (variations

include FOUO and U//FOUO)include FOUO and U//FOUO) "company confidential""company confidential" "internal use only" "internal use only"

Final Questions?Final Questions?

Presenter InformationPresenter Information

Genie TyburskiGenie Tyburski

Web Manager, The Virtual ChaseWeb Manager, The Virtual Chase

Ballard Spahr Andrews & Ingersoll, Ballard Spahr Andrews & Ingersoll, LLPLLP

EM: tvceditor@virtualchase.comEM: tvceditor@virtualchase.com