Industry-Specific Legal Compliance
Legal compliance is one of the hallmarks of our service and, as such, we understand that certain industries require that you take additional steps to maintain your organization’s compliance. The in-house legal team at the HireRight family of companies, of which Kroll Background America, Inc. is a part, works diligently to maintain our knowledge of industry specific-regulations that govern background screening practices.
Some of the industries for which our legal team regularly monitors legislation and conducts ongoing research include:
Protecting children is of critical concern; therefore, we are committed to performing thorough, compliant, and cost-effective background screening of all individuals having contact with children. Additionally, we understand the critical task colleges and universities have in providing a safe learning environment for their students. The legal department at KBA and across the HireRight family of companies continuously monitors background screening legislation affecting schools, childcare centers, and other education-oriented businesses.
Insured depository institutions and credit unions in the United States are subject to strict background screening requirements for any person involved as an institution-affiliated party or otherwise participating, directly or indirectly, in the conduct of the affairs of the insured institution. Specifically, insured institutions must perform a ten (10)-year criminal background check to determine whether any affiliated party has been convicted of (or entered into a pretrial diversion or similar program when prosecuted for) any criminal offense involving dishonesty, breach of trust or money laundering. A search of each federal banking agency’s listing of individuals assessed civil monetary penalties (CMPs) or who have been permanently removed or prohibiting from banking should also be conducted. Additionally, the FBI offers a fingerprint service through the American Bankers Association that insured institutions can use to obtain a fingerprint-based search in addition to traditional identifier based criminal searches in relevant jurisdictions.
In addition to FDIC screening requirements, the USA Patriot Act requires a broad range of entities meeting the Act’s definition of a financial institution to establish a “Know Your Customer” program. As part of such a program, institutions are required to implement reasonable procedures for verifying customer identities, maintaining detailed customer records, and consulting lists of known or suspected terrorists or terrorist organizations when opening new accounts.
In Canada, the Office of the Superintendent of Financial Institutions (OSFI) Guideline E-17 sets forth principles to assist Federally Regulated Entities (FREs) with establishing policies and procedures regarding their assessments of the suitability and integrity of their directors, principal officers, chief agents, and senior management (“Responsible Persons Per Guideline E-17, all Responsible Persons must be subject to a thorough background check upon initial appointment to their position. These individuals must likewise undergo routine, ongoing assessments during the tenure of their positions. Such assessments are used to gauge the continued suitability and integrity of these Responsible Persons. OSFI expects every FRE to have a written policy regarding the performance of assessments of their Responsible Persons.
Healthcare & Life Sciences
Healthcare organizations in the United States are typically subject to a maze of state and federal screening regulations, of which it can be difficult to stay abreast. The legal department at KBA and across the HireRight family of companies has simplified these regulations into single page summaries for each state outlining background screening requirements for employees in nursing homes, home health agencies, adult daycare facilities, hospitals, and other types of health facilities. Each summary explains what type of background search is required for particular positions and to what health facilities the requirements apply. The summaries also detail any abuse registry search requirements, whether conditional hires are allowed and for how long, and if background screening results must be maintained onsite. Citations are provided for each requirement so that clients may easily refer to the specific law or regulation where the requirement can be found.
In addition to the state-by-state summaries,we have also prepared charts of applicable fines and penalties for failing to meet screening requirements and requirements for facilities treating minors. By breaking the requirements down into easy-to-read summaries, we hope to better educate our clients on the negative possibilities of failing to perform compliant background checks.
Our attorneys also regularly monitor legislation affecting background screening for healthcare organizations as a response to the legislative landscape's ever-changing nature.
Organizations operating within the life sciences industry are subject to ever-evolving requirements effected by the U.S. Food and Drug Administration in conjunction with the U.S. Drug Enforcement Agency regarding the necessity of a thorough employee screening program. It is the opinion of these governing bodies that the proper assessment of information regarding prior criminal records and substance abuse is critical in assessing an employee’s likelihood for committing a drug security breach.
Professionals at KBA and HireRight are well-versed in the nuances associated with maintaining screening procedures that are compliant with your unique industry requirements and can recommend services to help you effectively safeguard your organization from the repercussions of non-compliance, as well as the risks associated with hiring candidates with unsavory histories.
Drivers of commercial motor vehicles in the United States must be screened in accordance with the Federal Motor Carrier Safety Regulations. The regulations detail specific record searches and past employment verifications employers of commercial drivers must perform and the frequency in which this screening must occur.
Clients of KBA and HireRight benefit from our organization's deep familiarity with and understanding of the unique compliance pressures faced by our transportation clients. In fact, we can provide a complete and reader-friendly summary of the regulations’ requirements to simplify the compliance process. We can also offer our clients with a concise, easy-to-follow summary of the Federal Motor Carrier Safety Administration (FMCSA) and Department of Transportation (DOT) drug testing requirements applying to pre-employment, post-accident, return-to-duty, reasonable suspicion, random, and follow-up testing.