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Industry-Specific Legal Compliance

Legal compliance is one of the hallmarks of Kroll’s service and, as such, we understand that certain industries require that you take additional steps to maintain your organization’s compliance. Kroll’s in-house legal team works diligently to maintain our knowledge of industry specific-regulations that govern background screening practices, so you can rest assured the information you receive from us is procured in a compliant manner and is legally issuable.

Some of the industries for which Kroll regularly monitors legislation, conducts ongoing research, and provide our clients with extensive educational resources relating to background screening compliance include:


Education

Protecting children is of critical concern and Kroll helps our education clients make sure they are performing thorough, compliant, and cost-effective background screening of all individuals having contact with children. Kroll’s legal department continuously monitors background screening legislation affecting schools, daycare centers, and companies that may enter the premises of education facilities. In the United States, Kroll sends a quarterly legislative newsletter to our education clients via e-mail alerting them to relevant legislation at both the federal and state levels. The legislative alerts contain a concise summary of the legislation’s main provisions and are available for review at any time on Kroll’s online client support library.


Financial Services

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 principles to assist Federally Regulated Entities (FREs) with preparing background screening processes sufficiently robust to pass potential future audits. Per Guideline E-17, all Responsible Persons, most notably members of boards of directors and senior management, 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
Health facilities in the United States are subject to a maze of state and federal screening regulations that can be difficult to keep up with. Kroll’s legal department 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, Kroll also provides clients with 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, Kroll aims to reduce the burden on human resources and compliance personnel for our healthcare clients.

In order to stay on top of these changing laws and regulations, Kroll’s attorneys continuously monitor legislation affecting background screening for health facilities. Kroll provides a quarterly legislative alert to keep healthcare clients up to date on recent legislative changes.

Life Sciences
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.

Kroll’s in-house service experts 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.



Transportation

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. Kroll’s client support library provides a complete and reader-friendly summary of the regulations’ requirements to simplify the compliance process. Kroll also provides 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.