BEST PRACtICES HANDBOOK

A Guide to Understanding a Criminal Record and Hiring a Person with a Criminal HistoryAnton AssociatesBEST Practices HANDBOOK1 After 9/11 criminal background checks became a trend with applications stating: No Arrests, Clean Background, No Felony Convictions.

With nearly one in four adults having a criminal record, backgrounds began creating a barrier to employment for many.

Many with only minor offenses, or charges that never transpired into convictions.

Anton AssociatesBEST PRACTICES2According to a Society for Human Resource Management (SHRM) study July, 2012, approximately 87% of employers conduct criminal history reports on some job applicants.

69% of employers conduct criminal backgrounds on all applicants.

Anton AssociatesBEST PRACTICES3

Reduce legal liability and negligent hiring 52%Ensure safe work environment for employees49%Reduce/prevent theft and other criminal activity36%Comply with applicable state law requiring background 28%Assess the overall trustworthiness of the job candidate17%Other5%

Respondents were able to select top two reasons, so percentages do not equal 100%Anton AssociatesREASONS EMPLOYERS CONDUCT BACKGROUNDS4 According to the Bureau of Justice Statistics (BJS), most workplace violence is committed by strangers, not employees. The Bureau reported past and/or current employees account for only 14-16% of workplace violence, with no evidence any of them had a criminal history.

The Bureau of Justice Statistics (BJS) - the United States' primary source for criminal justice statistics Anton AssociatesBUREAU OF JUSCTICE STATISTICS5Anton AssociatesCONDUCTING A CRIMINAL BACKGROUND6 April 25, 2012, the United States Equal Employment Opportunity Commission (EEOC) issued an Enforcement Guidance on the Consideration of Arrest and Conviction Records in Employment Decisions Under Title VII of the Civil Rights Act.

Requiring employees consider the relationship between an arrest or conviction and the job applicants qualifications for the particular job.

Guidelines include three approaches, (GREEN FACTORS) in validating employment for someone with a criminal record.

Anton AssociatesEEOC ENFORCEMENT GUIDANCE71) Nature & Gravity of the Offense or Conduct; Consideration of the relevance of the record and the risks, if any, for position the person is applying for.2) Time elapsed since the offenses, conduct, and/or completion of sentence; There are no specific timeframes, amount of time passed and the risk posed should be taken into consideration.

3) Nature of the job held or sought; Identifying the job title/duties and essential functions and circumstances under which the job is performed. Considering the job environment and determining if applicant/employee is fit or unfit for the job.

Anton AssociatesTHE EEOC GREEN FACTORS8 IN-HOUSE FINGERPRINTING AT STATE BUREAU OF IDENTIFICATION (SBI) OUTSOURCE TO A COMMERCIAL BACKGROUND COMPANY According to the study, 73% of organizations completely or partially outsource background checks.

Anton AssociatesHOW DO YOU CONDUCT A BACKGROUND?9A Background Check is intended to verify information already provided by the applicant on the job application and in the interview and must be: AccurateComprehensiveLegalTimely

Anton AssociatesBACKGROUND CHECK VERIFICATION10 There are no licensing requirements for Criminal Background third-party screening companies to follow.

The National Consumer Law Center (NCLA), reported many Criminal Background Screening companies routinely:

MISMATCH PEOPLE OMIT CRUCIAL INFORMATION ABOUT A CASE REVEAL SEALED OR EXPUNGED INFORMATION MISCLASSIFY OFFENSESAnton AssociatesNATIONAL CONSUMER LAW CENTER11Delaware State Police, State Bureau of IdentificationIncludes state of Delaware information, both adult and juvenile recordsFingerprinting at one of the three locations is requiredCost of fingerprinting is $52.50 per personFederal Bureau of InvestigationIncludes information from all states; federal convictions; some juvenile recordsObtain by being fingerprinted at one of the three locations in DelawareCost of fingerprinting for a complete background check is $69.00 per personConsumer Reporting AgenciesMay or may not include adult and juvenile chargesMay or may not include information from all statesMay or may not include federal convictionsObtain usually, by just a name and birth date searchInformation not always updated on regular basis and therefore, not always as accurateCost varies

Anton AssociatesCOMPARING BACKGROUND REPORTS12Anton AssociatesREADING A CRIMINAL BACKGROUND13 Review all background screening results:- Ensure information matches correctly- Exact Name Match- Exact Social Security Number Match- Exact Birth Date Match- Check accuracy of report with applicant

Anton AssociatesREVIEWING RESULTS14Date of Arrest: The exact date that the arrest occurred.

Name Used: Name the person gave the police at the time of arrest.

Charging Agency: The arresting enforcement agency, may not always be included on report.

Charges: The offenses the person is suspected of committing.

Status of the Case: Current standing, shows if there was or was not a conviction, or if the case is still pending.

Disposition: The courts final result or determination of the charge.

Charge/Offense: There are 3 types of criminal violations, Petty Offense, Misdemeanor and Felony.

Anton AssociatesCRIMINAL HISTORY INFORMATION

15PETTY OFFENSE/VIOLATION: A minor incident - generally a fine.

MISDEMEANOR: More serious like simple assault, minor shoplifting, harassment; usually involves an arrest, a trial/hearing, and possibly a fine, probation and/or jail time. Four levels of misdemeanors.

FELONY: Most serious, includes arson, murder, rape, drug dealing, robbery; Punishment usually a year or more of prison time and possibly a fine. Classified according to severity and include nine (9) classes.

Anton AssociatesCHARGES/OFFENSES16JUVENILE CHARGES AND OFFENSES

Juveniles can be arrested for the same crimes as adults.

The major difference is the goal of Family Court is to address the best interest of the child, so they will change behavior.

Arrest/Juvenile Found Delinquent are noted on the record. In the state of Delaware a Juvenile Record is not sealed to the public.

Anton AssociatesJUVENILE RECORD17Deferred Judgment: No finding of guilt. Judgment set aside and defendant must comply with conditions given, once completed charges are usually dropped. (Probation Before Judgment (PBJ), or First Offender Option.)

Dismissed: Decision not to prosecute or failure to produce sufficient evidence.Nolle Prosse / Nolle Prosequi: Latin legal phrase meaning be unwilling to pursue, or do not prosecute. Prosecutors decision to voluntarily discontinue criminal charges before a verdict is rendered.

Pardoned: Exemption of a convicted person from penalties of an offense or crime by the power of the executor of the laws, in Delaware, the Governor.

Pending: No outcome determined on the final disposition. Often appears in error. If the offense is a couple years old, it is likely disposition was determined, but was never entered into the database.Anton AssociatesNON GULITY DISPOSITIONS18Guilty: Found to have violated a criminal law by a jury or judge

Juvenile Found Delinquent: A child or young person guilty of some offence, act of vandalism, or antisocial behavior or whose conduct is beyond parental control and who may be brought before a juvenile court

Nolo Contendere / No Contest: Plea to court the defendant will not dispute the charges. Person does not contest charges, but does not claim guilt. Although not pleading guilty, he or she is often treated as guilty.

Anton AssociatesGULITY/DELINQUENT DISPOSITIONS19The EEOC emphasizes arrests (pending and non-pending) and convictions be treated differently, as an arrest does not establish that criminal conduct has occurred.

They discourage relying on an arrest record, but state employers may make an employment decision if the conduct underlying the arrest makes the person unfit for the position in question.

Anton AssociatesARREST vs. CONVICTION20 EEOC states conviction records are sufficient evidence a person engaged in particular conduct.

They require when using conviction records limit it to those job related for the position in question and consistent with business necessity.Anton AssociatesCONVICTION RECORDS21Anton AssociatesCOMMON CHARGES FOUND ON CRIMINAL HISTORY REPORT22 Can arise from a violent threat; Ill get you, Ill kill you, does not usually involve the violence associated with a terroristic activity.

Threatening to commit a crime likely to result in death or injury to another person or property.

Class A Misdemeanor unless the person is above age 62, or the place was a daycare, school or elderly care facility, then it is a Class G Felony.

Anton AssociatesTERRORISTIC THREATENING23 One of the most common criminal charges Charged by degree - First through Third First Degree the most serious Third Degree the most common Degrees of assault are defined according to state law and vary depending on the state.

Anton AssociatesASSUALT CHARGES24THIRD DEGREE ASSAULT: Knowingly or recklessly causing bodily injury to another. Class A Misdemeanor.

SECOND DEGREE ASSAULT: Intentional serious physical injury or injury by means of a deadly weapon/dangerous instrument. Class D Felony.

FIRST DEGREE ASSAULT: Attempting to kill or cause physical injury to another person. Class B Felony unless serious physical injury is inflicted in which case it is a Class A Felony.

Anton AssociatesDEGREES OF ASSUALT25OFFENSE TOUCHING- Intentionally touching a person with a member of his/her body or with an instrument.- Intentionally striking a person with saliva, feces or bodily fluid.- Unclassified Misdemeanor or Class A Misdemeanor.

MENACING- By movement of body or an instrument, intentionally placing a person in fear of imminent physical injury. - Unclassified Misdemeanor.

AGGRAVTED MENACING- Displaying what appears to be a deadly weapon, intentionally placing another person in fear of imminent physical injury.-Class E Felony.

Anton AssociatesOTHER CHARGES26- Many charges fall into different classes depending on the degree of the offense.

- For information about the Justice System; Crimes and Criminal Procedures; Specific Offenses the Delaware Title 11 Code is on-line.Anton AssociatesDELAWARE TITLE 11 CODE

27Anton AssociatesLETS REVIEW CRIMINAL BACKGROUND REPORTS28Anton AssociatesEASYBACKGROUNDS

This background report includes a criminal check, employment verification, education verification and driving history.Two flags signify the results for the criminal record and employee verification should be reviewed carefully.29Anton AssociatesEASYBACKGROUNDS

The first flag indicates a criminal history. A Felony Conviction, Possession of Controlled Substance.30Anton AssociatesEASYBACKGROUNDS

The second flag signifies a discrepancy with employment verification as the employee states end-date was 12/2002 and employer states end-date was 12/2000.Education Verification is fine.31Anton AssociatesEASYBACKGROUNDS

Driving history verification is fine.32Anton AssociatesSTATE BUREAU OF IDENTIFICATION

Most recently, Mr. Johnson obtained a shoplifting under $1500 charge and received a Probation Before Judgment, meaning, there was no finding of guilt. The other 3 adult charges were dismissed.

The only charge Mr. Johnson was found responsible for was Juvenile Found Delinquent.33Anton AssociatesPreCHECK REPORT

PreCheck Company offers pre-employment screening services checking on employment references and national criminal searches.34PRECHECK PROCESS

Candidate completes on-line application.Candidate completes background check form at time of interview.Background information is forwarded to PreCheck day of interview.PreCheck completes Employer References, criminal background for each address listed and verifies education.Full report completion varies from 3 to 8 days.PreCheck reflects charges and convictions as far as ten (10) or more years.

Anton AssociatesPreCHECK REPORT35Employer is a healthcare provider and must use - Department of Health & Social Services Criminal Background Check Unit Disqualifying Crimes Conviction/Time Parameters, set-forth by the Delaware Health & Social services Long Term Care Residents Protection Division.Felony conviction of Manufacture or Distribute a Controlled Substance, was in October 2001. The Job Applicant completed the 10 year time parameter and was eligible for hire.

Anton AssociatesPreCHECK REPORT36The EEOC recommends, as the best way to protect against lawsuits, a case-by-case approach ensuring those with criminal records are not automatically barred from obtaining employment for:

- Youthful indiscretions - Minor run-ins with the law - Serious offenses from the past.

Anton AssociatesINDIVIDUALIZED ASSESSMENT37Facts or circumstances surrounding the offense or conduct.Number of convicted offenses.Age at time of conviction or release from prison.Evidence the applicant held a similar position before conviction.Length and consistency of employment before and after offense. Employment or character references provided.Is the person bonded or can they obtain bonding?What steps to rehabilitation have they taken?Their attitude!

Anton AssociatesINDIVIDUALIZED ASSESSMENT38 Train and Educate Department Managers and Decision-Makers so they understand Title VIIs anti-discrimination provisions to ensure Best Practices are conducted throughout the hiring process.Anton AssociatesTRAIN AND EDUCATE39Anton AssociatesPARDONS AND EXPUNGEMENTS40 Official forgiveness of an offense and cancellation remaining penalties. Granted by a head of state, such as a Governor or President. In Delaware, the Governor cannot grant a pardon without a recommendation from a majority of the Board of Pardons. The Delaware Board of Pardons includes: Lieutenant Governor (Chairperson), Secretary of State, State Treasurer Chancellor, and Auditor of Accounts.

Anton AssociatesA PARDON41 An unconditional pardon fully restores all civil rights to the person.

While a pardon does not erase the persons criminal record, it changes all Guilty dispositions to Pardoned.

While an employer may still consider the pardoned offense in a hiring decision, it is recommended that the employer disregard it.Anton AssociatesA PARDON42Seals a criminal record, so that it does not appear on background checks.

When an employer runs a background check for an expunged record, the report should state that the individual has no criminal record.

In Delaware, expungement is usually limited to individuals with either;2 or fewer juvenile adjudications; ORNo adult convictions; ORPardoned adult misdemeanors

Anton AssociatesAN EXPUNGEMENT43Anton AssociatesAPEX PROGRAMADVANCEMENT THROUGH PARDONSAND EXPUNGEMENTS44 In 2011, under the direction of the Welfare (TANF) Employers Committee, a governor-appointed committee, the APEX Program was launched in partnerships with AmeriCorps Vista.

The APEX program is dedicated to providing opportunities to individuals with criminal histories who wish to obtain gainful employment. The program accomplishes this by helping clients through the pardon and expungement process, providing employer education and advancing legislative reform.Anton AssociatesAPEX PROGRAM45- Provides 1-on-1 assistance to individuals with criminal records who wish to apply for a pardon or expungement.- The goal is to reduce barriers to employment.- Operated by the Division of Vocational Rehabilitation and the Division of Social Services.- Utilizes the help of community volunteers. - Currently located in Kent and Sussex Counties, with plans to expand to New Castle County.Anton AssociatesAPEX PROGRAM46ELIGIBILITY FOR APEX PROGRAM

- Arrested, but never found guilty of an offense. OR- At least three (3) years since last arrest, or completion of probation, parole, or incarceration.- Offenses in State of Delaware.- No pending charges.- Not represented by an attorney.Anton AssociatesAPEX PROGRAM47Anton AssociatesPARDON CRIMINAL RECORD

August 2005, Jane Doe was granted a pardon by Governor Minner of two misdemeanor convictions.

February 2012, the APEX Program assisted Jane Doe with applying for a Discretionary Expungement.

October 2012, Jane Doe was granted a Discretionary Expungement of her criminal record.

48 To learn more about Anton Associates you may access the website at: antonassociates.net

Contact: Neva Anton, Anton AssociatesEmail: AntonAssociates@aol.com Telephone: (877) 393-3991Anton AssociatesANTON ASSOCIATES49Neva Anton, owner of Anton Associates since 2000, provides training and program development, career counseling and job placement to hundreds of managers, employees and potential employees, throughout the State of Delaware. Neva known for her unique, holistic approach to training has delivered career workshops which include Customer Service, Leadership, Creative Communication, Team Building, Life and Work Skills. Under the direction of the Delaware Economic Development Office, Workforce Director, Sonia Aguilar, Neva created the Best Practices Guidebook, designed to assist employers in understanding a criminal record and hiring a person with a criminal record.

Joining Neva in the presentation is Matthew Rosen, a Program Specialist for APEX. A National Merit Commended Scholar and Mensa Member, Matthew received a Masters degree from the Faculty of Law at the University of Oxford, in the UK and a Bachelor degree in Criminal Justice from Temple University, Philadelphia, PA. Prior to working for the APEX Program, Matthew worked as a Research Assistant for Temple University, a Communications Contributor at the Pennsylvania Prison Society and as a Trade Associate for the City of Philadelphia, Department of Commerce, International Division and Atid Economic Developers of Israel, LTD., Jerusalem, Israel. Matthew provided extensive research, editing and guidance in the creation of the Best Practices Guidebook for the APEX Program.

Anton AssociatesABOUT THE SPEAKERS50