USAFACT

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USA-FACT
The FACT Academy

• Criminal Record Retrieval
• County Criminal Records
• State Repositories
• Federal Districts
• Instant Search Products

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USA-FACT
Criminal Record Retrieval

• The highest volume service ordered from
  background screening companies by HR and Security
  Professionals is the criminal records history
  service. An applicants criminal history is
  considered to be the most important information
  obtained in background screening job applicants.
  It is very important that clients understand
  just exactly what sources are being researched by
  USA-FACT and the process in place to secure
  quality and expediency in each search we process.
  

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USA-FACT
The Mythical All-Knowing Criminal Records
Repository

• Criminal record retrieval is the most
  misunderstood service provided by the background
  screening industry. There is a very popular
  belief amongst HR and Security Professionals that
  an enormous database exists containing a record
  of every criminal act committed in this country.
  The single database theory is actually the
  furthest thing from the truth. There are several
  different repositories for criminal records in
  the United States and only a few of those sources
  actually contain originally processed criminal
  records.

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USA-FACT
Where do Criminal Records Originate?

• Although there are many types of criminal
  records repositories such as State Databases,
  Department of Corrections Databases, and a FBI
  National Database, criminal records do not
  originate in these repositories. Criminal
  records only originate in county superior courts,
  county municipal courts, and federal district
  courts.

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USA-FACT

• Types of Criminal Record Repositories
• There are many types of criminal record
  repositories but only two sources where records
  originate
• Records originate at the county courthouse
• Records originate at the federal district
  courthouse
• State Repositories collect data sporadically
  from the counties
• Dept of Corrections collect records of
  incarcerated persons
• Sex Offender Databases are maintained by each
  state
• The FBI maintains a National Database (no
  access)
• There are dozens of companies that purchase
  records from the above repositories to create
  National Criminal Databases.

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USA-FACT
Where Does USA-FACT Obtain Criminal Records?

• USA-FACT obtains criminal records from every
  repository available to the screening industry.
  The majority of criminal records research
  processed by USA-FACT is accomplished at the
  superior county courthouses located in each of
  the countrys 3,100 plus counties. USA-FACT also
  accesses 41 state repositories, 92 federal
  districts, 41 Department of Correction offices,
  the OFAC terrorist database, a 50 state National
  Sex Offender database, and a multi-jurisdictional
  National Criminal Database.

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USA-FACT
The County Courthouse Process

• The primary source repository for criminal
  records are the more than 5,000 county
  courthouses in the country. In most smaller
  counties, criminal records are usually located in
  one county courthouse. All records concerning
  felony and misdemeanor criminal records, traffic
  offenses, civil records, and infractions are
  maintained at one location. However, in a larger
  metropolitan area several different courthouses
  exist with specific functions such as a Superior
  Court for felony records and a Municipal Court
  for misdemeanors and traffic infractions.
  USA-FACT searches the highest court in each
  county for criminal records and reports all
  felony and misdemeanor record information
  available.

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USA-FACT
Initiation of the Process

• USA-FACT systems can obtain the search
  information from the client in many different
  ways. Fax protocols, manually entered data into
  our systems from our clients, integration methods
  from Applicant Tracking Systems and Human
  Resource Information Systems, or we can design a
  special email process that our clients can
  utilize to send to their applicants which
  provides the means for applicants to enter their
  own personal information and at the same time
  maintain compliance with screening laws.

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USA-FACT
Sending Information to the Researchers

• USA-FACT systems are automated to receive
  requests from our clients and to directly
  download or fax those requests to our researchers
  within minutes of receiving the information.
  Name, Date of Birth (when available), and county
  to be searched are provided to our researchers to
  process the research in an expedient manner.
  Research is processed per the protocol of each
  courthouse searched. Some courthouses have
  electronic access and those courts are processed
  by USA-FACT Internally through automation or
  direct research by a FACT representative.

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USA-FACT

• In the county criminal records research process,
  time is of the essence...
• USA-FACT expedites the search process by
• Offering several methods of providing information
  to FACT
• Immediately providing information to primary
  research source
• Processing all online searches internally and
  through automation

County Search Process Review
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USA-FACT
How is the Research Conducted?

• Court Researchers receive an electronic request
  for criminal searches from USA-FACT hourly. In
  most cases it is necessary for the researcher or
  their representative to travel to the courthouse
  to perform the research on their list of names.
  Every court in the country differs in the method
  they allow for the researchers to review criminal
  records. Most courts have an electronic index
  that they allow the researchers access to. Some
  courts make it mandatory for the clerk to perform
  the search as they charge a fee for the service.
  The court index is sometimes provided online.
  Online court index systems are processed
  internally at USA-FACTs office for better
  control and faster turnaround time.

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USA-FACT
The Courthouse Criminal Index

• Most County Court Indexes are automated. In
  reviewing this index, notice that there are no
  identifiers on the index to accurately match the
  name on the index to your applicant.

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USA-FACT
Ordering Files from the Clerk

• When a name appears on the criminal court index
  and the index does not provide any identifying
  information such as DOB, Address, Social Security
  Number, or Drivers License Number, it then
  becomes important to review the case file to
  obtain this information to accurately match your
  applicant with a criminal record. Ordering the
  file from the clerk can sometimes create long
  delays. Some clerks will only pull files for
  review on certain days or a certain number of
  files only, some have to order files from a
  document warehouse, and sometimes the court file
  might be on a judges desk or checked out by a
  different researcher making it unavailable.

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USA-FACT
Reporting Information Back to USA-FACT
Step 1 Research courthouse for records...
Step 2 Researcher reviews information for
accuracy ...
Step 3 Accesses FACT systems to send info
electronically ...
In over 80 of the courthouses in the country, it
is necessary to perform the research at the
courthouse. Internet accessed information is few
and far between at county courthouses.
Archived information at the courthouse doesnt
come completely prepared for inclusion in a
background report. Review of the info and
interpretation of the cases are often necessary
to report records accurately.
USA-FACT obtains the results from the researcher
either through direct download from our web site
or HR-XML integration technology.
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USA-FACT

• What Happens When there are no Identifiers?
• Accurate and complete record keeping is not one
  of the strengths of our judicial system.
  Information is often incomplete and due to
  privacy laws, the use of Social Security Number
  or Drivers License Number on a public terminal
  is strictly forbidden. When there are no
  identifiers on a case, USA-FACT follows a
  specific protocol to attempt to obtain
  identifiers.
• Contact Clerk of the Court
• Contact one of the legal entities involved in
  the case
• Order Court Documents (at clients request)
• Report it as a name-matched record only

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USA-FACT
Why Does it Take So Long to Obtain Court Docs?
When the electronic research of records breaks
down, the paper search of records begins. The
longest delays in the background screening
process are those created by attempting to dig up
old criminal records that are kept in a storage
facility off site from the courthouse.
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USA-FACT

• In the county criminal records research process,
  time is of the essence...
• USA-FACT expedites the search process by
• Selecting Vendors based on quality of service and
  not price
• Providing Vendors electronic means to report
  information
• Continually researching methods of reducing the
  paper chase of criminal records which create the
  longest delays

County Search Process Review
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USA-FACT
State Repository Searches
The primary source repository for criminal
records are the more than 5,000 county
courthouses in the 3,100 plus counties located in
this country. Each state maintains a database
comprised of the information they are able to
obtain from each of their states counties. 41
of the states in the country allow private
industry like USA-FACT to have access to these
records. Just like the county entities, each
state is different in their search capability and
furthermore each state is different in the
comprehensiveness of their data.
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USA-FACT
The State Process for Researching Criminal Records

• USA-FACT has access to each of the 41 state
  repositories that are available for searching.
  Each state varies in search method, cost,
  turnaround time, and quality of data. The
  protocols for searching in each state vary from
• Mail only requests such as in MA, IA, and NE
• Electronic access such as NC, AL, FL, CO, and
  KS
• Researcher availability such as NJ and AR
• No access in closed states such as California,
  Arizona, and Maryland

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USA-FACT
Statewide Electronic Index Search
About 20 of the available Statewide searches
are accomplished electronically. The same rules
and conditions apply for index searches as often
times state indexes are missing identifier
information.
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USA-FACT
Why Does it Take So Long in Some States?
Not all states provide electronic access to
records and it is necessary to mail requests to
the office in control of the states records for
them to process your request. Massachusetts and
Missouri have the longest delays for information
being returned.
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USA-FACT

• In the state repository criminal records
  research process, time is of the essence...
• USA-FACT expedites the search process by
• Accessing all electronic indexes available
• Maintaining relationships and establishing
  protocol with all states that process by mail
• Applying county research protocol to expedite
  information through the Quality Assurance process

State Search Process Review
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USA-FACT
Federal District Searches

• The only other source repository where criminal
  records originate are in the federal district
  courthouses located in the nations 92 federal
  districts. Federal District criminal searches
  contain federal cases only. Federal cases include
  but are not limited to cases where state lines
  were crossed during the crime (large drug sale
  cases, illegal alien) and federal crimes (bank
  robberies, kidnappings, some conspiracy cases,
  tax evasion, mail fraud) and crimes that are
  committed on federal property.

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USA-FACT
Federal District Search Process
Federal cases are accessible instantly via an
electronic index, which matches federal cases by
name only.
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USA-FACT
Name Matches on the Federal District Index
Unfortunately federal records dont often contain
identifying information in the index, therefore
if a record is found under a name in the index,
its back to the warehouse of paper records to
obtain court documents. When there is no match,
the search is complete.
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USA-FACT

• In the federal district repository criminal
  records research process, time is of the
  essence...
• USA-FACT expedites the search process by
• Automation of the main federal district index
• Maintaining relationships and establishing
  protocol with all districts that process court
  documents by mail
• Applying county research protocol to expedite
  information through the Quality Assurance process

Federal Search Process Review
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USA-FACT

• For Criminal Records research, no matter which
  repository you obtain information from, the rules
  of reporting are the same...
• USA-FACT reports only legally compliant
  information
• Federal Compliance with the FCRA
• State Compliance with each states guidelines
• Client Compliance, only reporting what the client
  wants to see

Compliance Review
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USA-FACT

• Industry Compliance
• Legislation for background screening is ever
  changing. Human Resource Professionals are
  dependent upon their screening companys
  interpretation of the laws that govern background
  screening. The legislation that predominantly
  governs background screening includes
• The Fair Credit Reporting Act (FCRA)
• The Driver Privacy Protection Act (DPPA)
• Americans with Disabilities Act (ADA)
• State civil statutes
• Any and all laws that protect consumer
  information

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USA-FACT

• Compliance in Criminal Records Reporting
• The Fair Credit Reporting Act provides legal
  guidelines for processing criminal records but
  some states have specific laws when it comes to
  reporting criminal records on applicants.

• 7-year Rules. There are a dozen states that have
  seven year limitations on reporting criminal
  records
• Arrest Records. There are several states that
  require screening companies to suppress records
  information that do not result in a conviction
• Expunged Cases. There are occasions when an
  applicant has a case expunged and unfortunately
  the court does not remove their record from the
  index. These records must be suppressed by the
  screening company

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USA-FACT

• Industry Privacy Concerns
• Identity Theft is a major crisis in the United
  States and the screening industry has been
  targeted by Identity Thieves as a source where
  they can obtain personal consumer information
  such as credit reports in order to steal
  identities. USA-FACT is serious about the
  protection of consumer data and does not cut
  corners on security with our clients or our
  vendors. Our security protocols include
• Transmitting data through secure Internet
  connections
• Controlling external access to our computer
  systems
• Ensuring that employees understand the
  importance of security
• Ensuring that vendors understand the importance
  of security

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USA-FACT

• Instant Database Products
• Over the past decade many instant search products
  have been developed by private industry to
  expedite results and reduce cost. The National
  Criminal Database products have evolved quite a
  bit over the last decade but still have a long
  way to go to replace live searches. FACT
  estimates that roughly 50 of all criminal
  records are available from repositories for
  inclusion in a National Database created by a
  private company. In extensive testing, we have
  found National Criminal Database products are at
  best 60 effective using a randomly selected
  sample group. The National Sex Offender Database
  products however, are a much more effective
  product than even live searches of the state
  databases because of the roaming factor often
  associated with sex offenders.

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USA-FACT

• National Criminal Databases
• There is not one National Criminal Database but
  several database products offered by a number of
  different companies. Even the FBIs famous
  National Criminal Information Center (NCIC) has
  been proven to be substantially less effective
  than a live search accomplished at the
  courthouse.
• The National Criminal Database is not a huge
  server that several entities hook into to remain
  updated on new records, it is more of a shopping
  cart of records obtained from mostly secondary
  repositories like State Databases and Department
  of Corrections records across the country.
  Information is updated sporadically and a large
  portion of repositories for criminal records do
  not sell their information for inclusion.

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USA-FACT

• Proper Use of National Criminal Databases
• The National Criminal Database can however
  provide a valuable supplement to your county
  criminal searches in that it may reveal criminal
  activity in a place that was not researched in
  the county research process. However, replacing
  your county search process with an instant search
  like the National Criminal Database will almost
  certainly produce a large number of missed
  records in your applicant screening efforts.
• The National Criminal Database is not an FCRA
  compliant product. Any information found on this
  service must be re-investigated using the county
  search process to verify any information as per
  the guidelines of FCRA.

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USA-FACT

• National Sex Offender Databases
• The process used for the National Sex Offender
  Database is significantly more effective than the
  one used for the National Criminal Database.
  There are only 51 sources for Sex Offender
  information and each source is automated
  therefore a savvy technological screening company
  can maintain a database with a 99 confidence
  level.
• The advantage of using a database to accomplish
  this search is that most sex offenders move
  around constantly and many dont bother to
  register when they move. A National search would
  uncover an applicant who has changed his address
  in an attempt to shake off the sex offender
  classification.

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USA-FACT

• Additional Criminal Repositories include OFAC,
  Interpol, and the Department of Corrections
• There are other repositories that contain
  criminal records that are a lot less used for the
  background process than the predominant methods
  used to conduct applicant screening.
• The Office of Foreign Assets Control created a
  database of known terrorist and provided instant
  Internet access to the information. OFAC
  contains very few names.
• Interpol is the International Criminal database
  not used too often in the screening process
• The Department of Corrections are occasionally
  used to determine if candidates served time in a
  state penitentiary.

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USA-FACT

• Criminal Records Retrieval Summary
• The process of providing a criminal history for
  an applicant takes a lot more effort than
  entering a name into a computer and getting
  results. Many of us watch the recent high tech
  Cop Shows on TV like CSI. Their crime labs
  always appear to have access to all of these
  great databases that can pull up your every move
  by just punching your name into a computer.
  These database do not exist.
• Criminal records retrieval is part art form, part
  strategy. Recruiters want information fast,
  legal wants information correct, and hiring
  managers just want people in the chairs to
  process the work. An effective criminal records
  process utilizes all of the tools available for
  expedience without sacrificing the quality and
  validity of the results.