ESR 25 Question Due Diligence Checkup
PDF version: ESR 25 Question Due Diligence Checkup
The Employment Screening Resources® (ESR) 25 Question Due Diligence Checkup is a yearly audit to document that ESR utilizes due diligence during the background screening process. Below are the 25 questions background screening companies should ask to find out if they follow best practices for due diligence in the background screening profession.
- 1. Is your background screening company a member of the National Association of Professional Background Screeners (NAPBS®), a non-profit trade association representing the screening industry with a mission “to advance excellence in the screening profession,” and does your firm actively participate and support professionalism in the screening industry?
- 2. Is your company formally accredited by the NAPBS® Background Screening Credentialing Council (BSCC) for successfully proving compliance with the Background Screening Agency Accreditation Program (BSAAP)?
- 3. Have there been any material changes in the past year that would adversely affect your ability to provide industry standard employment screening reports?
- 4. Is all work performed in the United States to protect privacy and control quality and not sent offshore to India or other places that are beyond the reach of U.S. privacy laws? If so, can you explain in detail how privacy is protected?
- 5. Are all employment and education checks conducted by professionals in a controlled call center type environment so that nothing is sent to at-home workers? If so, can you explain how data privacy and the quality of work are monitored?
- 6. For employment verifications, are anti-fraud procedures in place such as independent verifications of all past employer phone numbers instead of relying upon an applicant supplied number?
- 7. For education verifications, are steps taken to verify if a college or university is accredited and to watch out for “Diploma Mills” that offer worthless degrees for the right price?
- 8. Are criminal searches conducted using the most accurate means, which normally means on-site visits to county courthouses and no database substitutes?
- 9. Do you search for both felonies and misdemeanors when available?
- 10. When a criminal hit is reported, does a knowledgeable person in your firm review the findings to determine if there are any legal issues in reporting the findings as opposed to having the information entered by a court researcher?
- 11. When there is a criminal “hit,” do you contact the employer immediately to advise that there is a potential problem?
- 12. Does your firm take measures to ensure that ALL legal and relevant criminal records are searched as opposed to just going back “seven” years?
- 13. If a client orders a “multi-jurisdictional” database search, do you re-verify any criminal “hit” at the courthouse level for maximum accuracy, instead of relying just on notifying the applicant of a potential hit?
- 14. Do you notify your clients of changes in the federal Fair Credit Reporting Act (FCRA) and other applicable laws for background screening?
- 15. Do you at least, on a yearly basis, do an internal FCRA compliance audit?
- 16. Do you offer international background checks and can you describe your process?
- 17. Is your firm aware of the EU-U.S. Privacy Shield Framework launched by the Department of Commerce and European Commission in 2016 to comply with European Union (EU) data protection requirements and how it will affect screenings of applicants from the EU?
- 18. Has your firm received notification from the U.S. Department of Commerce’s International Trade Administration (ITA) that its self-certification of adherence to the EU-U.S. Privacy Shield Framework is approved and effective?
- 19. Do you have data protection, privacy, security, and data breach policies and can you provide this information?
- 20. Do you know the average turn-around time for background checks?
- 21. If there is a delay for reasons that are out of your control, are your clients notified online with in-depth notes and the anticipated ETA (estimated time of arrival) of information?
- 22. Are your clients provided with written documentation and resources on safe hiring, due diligence, and legal compliance issues?
- 23. Are your clients provided with upgrades in technology that would enhance workflow, such as the ability to have applicants consent online or integration with an ATS (Applicant Tracking System) or HRIS (Human Resource Information System)?
- 24. Can you describe your initial training program for team members that work on accounts and any ongoing training they receive?
- 25. Does your company undergo a yearly “Service Organization Controls” SOC 2® (SSAE 16) Audit Report that confirms the company meets high standards set by the American Institute of Certified Public Accountants (AICPA) for protecting the privacy, security, and confidentiality of consumer information used during the background check process?
For Employment Screening Resources® (ESR), the answer to all of these questions is “YES.”
Contact the ESR Sales team for more information about background check solutions from ESR.