Background Checking: Background Requests

Recommendation, 2006 Feb 28

Editors: Craig Corner, HireCheck; Chuck Allen, HR-XML Consortium, Inc.

Contributors:

Brad Whitney, American Background; Sue Morgan, HireCheck; Mark Sulimirski, ChoicePoint; Paul Kiel, HR-XML Consortium, Inc.; Dan Gagne, HireRight; Owen Wilson, Total Information Services, Inc.; Ralph Jimenez and Gary Nargiz, EdVerify, Mark Jones; Kim Bartkus, HR-XML Consortium

©2006 HR-XML. All rights reserved. No part of this publication may be reproduced, stored in a retrieval system, or transmitted, in any form or by any means, electronic, mechanical, photocopying, recording, or otherwise, without the prior written permission of the publisher.

Abstract

HR-XML’s Background Checking specification supports requests to providers of employment screening services and the return of search results. The specification consists of a number of components, one of which is the BackgroundCheck Requests specification. As the name implies, the BackgroundCheck Requests specification defines messages to support background-check requests to third-party service providers.

Status of this Document

The key words "MUST", "MUST NOT", "REQUIRED", "SHALL", "SHALL NOT", "SHOULD", "SHOULD NOT", "RECOMMENDED", "MAY", and "OPTIONAL" in this document are to be interpreted as described in RFC 2119.

Table of Contents

1 Overview.. 3

1.1 Objective. 3

1.2 Design Requirements. 3

2 Schema Design. 4

2.1 BackgroundCheck Schema. 4

2.1.1 BackgroundCheck. 4

2.1.2 BackgroundSearchPackage. 5

2.1.3 Screenings. 7

2.1.4 AdditionalItems. 8

2.1.5 Screening. 11

2.1.6 SearchCriminal 14

2.1.7 SearchDrug. 17

2.1.8 SearchEducation. 19

2.1.9 SearchEmployment 19

2.1.10 SearchLicense. 20

2.1.11 SearchMilitary. 22

2.1.12 SearchOther 23

2.1.13 SearchReference. 24

2.1.14 Global Simple Types. 25

3 Implementation Considerations. 25

3.1 Data Privacy. 25

3.2 Laws Governing Background Checks. 26

3.3 Required/Recommended Fields. 26

4 Appendix A – Document Version History. 27

5 Appendix B – Related Documents. 27

6 Appendix C – Reference Examples. 28

6.1 BackgroundCheck Example. 28

7 Appendix D - Required/Recommended Fields Chart 29

1 Overview

The BackgroundCheck Requests specification is a component of the HR-XML Consortium’s Background Checking specification.

The entire Background Checking specification is explained in a separate overview document:
http://ns.hr-xml.org/2_5/HR-XML-2_5/Screening/US/BackgroundChecking.html

This document contains only the definitions for the schema used for background check requests.

The BackgroundCheck Requests specification also makes extensive use of the Consortium’s approved “Cross Process Objects” (CPOs). A list of documentation for the Consortium’s complete set of CPOs can be found in Appendix B.

The following changes were made to the Background Requests 2.1 specification. The schema, documentation and instances have been updated accordingly.

Background Check schema and Background Requests documentation

· Added optional element BackgroundSearchPackage\ProcessingInformation

· Added optional element BackgroundSearchPackage\SupportingDocumentation

· Added SearchDrug to Screenings schema, which affected this specification.

· Added AdmittedChargeSummary to Screenings schema, which affected this specification.

1.1 Objective

The Background Requests specification defines a schema that can be used to structure background check requests to providers of employment screening services.

1.2 Design Requirement s

The HR-XML Consortium’s Background Requests 2.0 specification was built upon the Consortium’s original background check specification. Wherever possible, the HR-XML Consortium’s Screening Workgroup attempted to make the schema for background check requests backwardly compatible with the original version of the specification.

2 Schema Design

2.1 BackgroundCheck Schema

2.1.1 BackgroundCheck

Component Name

[Global types listed at the end of the table.]

ContentModel*
Data type
Occurrence:
Sequence | Choice | All (minOccurs/maxOccurs)
Attributes

Definition

/
BackgroundCheck

- BackgroundCheckType - (1/1)

Root element for Background Check schema, which is designed to hold data necessary to execute requests for one or more types of screenings.

/ BackgroundCheck/
ReferenceId

- EntityIdType - S (0/1)

A trading-partner identifier.

2.1.2 BackgroundSearchPackage

/ BackgroundCheck/ BackgroundSearchPackage	type - xsd:string - optional action - xsd:string - optional ProcessingInformation - [complexType] - S (0/1) ReferenceId - EntityIdType - S (0/1) ClientContact - ReferralType - S (0/1) Organization - ReferralType - S (0/) PersonalData - ScreeningPersonalDataType - S (0/) SupportingDocumentation - DocumentationType - S (0/1) Screenings - ScreeningRequestType - S (0/*)	Container to describe screening request information for a single search subject.
/ BackgroundCheck/ BackgroundSearchPackage/ type	- xsd:string -	Further defines the associated element in the context provided. [BusinessRule(s): Additional values are permitted if preceded by an x: ]
/ BackgroundCheck/ BackgroundSearchPackage/ action	- xsd:string -	Indicates if the associated information is an update to existing information such as a missing information.
/ BackgroundCheck/ BackgroundSearchPackage/ ProcessingInformation	AccessCredential - AccessCredentialType - S (0/) ScopeOfWork - FlexibleDetailType - S (0/)	Contains additional details related to an applicant. Contextual: The typical use of AccessCredential within this element would be in the situation where we are working with an ATS or other 3rd party that will be sending searches on behalf of a number of mutual clients. This Access Credential will contain the account information for the mutual client.
/ BackgroundCheck/ BackgroundSearchPackage/ ProcessingInformation/ AccessCredential	- AccessCredentialType - S (0/*)	Information required to login to an account or document.
/ BackgroundCheck/ BackgroundSearchPackage/ ProcessingInformation/ ScopeOfWork	- FlexibleDetailType - S (0/*)	Provides a means for overriding a clients standard scope of work. [Example: scenario where the TPA is to run criminal searches only on the primary name, however, for this specific search subject they may want to run criminal searches on a prior name. ]
/ BackgroundCheck/ BackgroundSearchPackage/ ReferenceId	- EntityIdType - S (0/1)	A trading-partner specific identifier.
/ BackgroundCheck/ BackgroundSearchPackage/ ClientContact	- ReferralType - S (0/1)	This element contains the point of contact for the screening company in the event that there is missing information that the client must provide before the screening can be completed. In larger companies, there can be a number of individuals within an organization responsible for the hiring process.
/ BackgroundCheck/ BackgroundSearchPackage/ Organization	- ReferralType - S (0/*)	Contains information about the organization. Annotation: Identifies the organization that the search(s) will be performed upon or on behalf of depending on the value of type.
/ BackgroundCheck/ BackgroundSearchPackage/ PersonalData	- ScreeningPersonalDataType - S (0/*)	A collection of information containing descriptive elements, demographic and contact information about the person. Annotation: Personal data related to the Search Subject that the search(s) will be performed upon.
/ BackgroundCheck/ BackgroundSearchPackage/ SupportingDocumentation	- DocumentationType - S (0/1)	Container for additional information related to the specified search. [Example(s): Internet Web Address, Routing ID, Image ]
/ BackgroundCheck/ BackgroundSearchPackage/ Screenings	- ScreeningRequestType - S (0/*)	Contains information on the specific types of screenings to be performed and the information necessary to carry out those screenings.

2.1.3 Screenings

/ BackgroundCheck/ BackgroundSearchPackage/
Screenings

- ScreeningRequestType - S (0/*)

Contains information on the specific types of screenings to be performed and the information necessary to carry out those screenings.

ScreeningRequestType

/ [ScreeningRequestType]	ReferenceId - EntityIdType - S (0/1) PackageId - EntityIdType - S (0/1) PriorPersonalData - ScreeningPersonalDataType - S (0/) ClientReferences - EntityIdType - S (0/) SupportingDocumentation - DocumentationType - S (0/1) CopyToApplicant - xsd:boolean - S (0/1) AdditionalItems - FlexibleDetailType - S (0/) Screening - [complexType] - S (0/) UserArea - [see include/import] - S (0/1)	Globally scoped data type. See element or attribute declaration for definition.
/ [ScreeningRequestType]/ ReferenceId	- EntityIdType - S (0/1)	A trading-partner identifier.
/ [ScreeningRequestType]/ PackageId	- EntityIdType - S (0/1)	An identifier for a BackgroundSearchPackage.
/ [ScreeningRequestType]/ PriorPersonalData	- ScreeningPersonalDataType - S (0/*)	A collection of demographic data supplied as input to screenings. This component has been deprecated. BackgroundSearchPackage/PersonalData is the preferred place to capture this information.
/ [ScreeningRequestType]/ ClientReferences	- EntityIdType - S (0/*)	Client references, such as billing codes, department codes, etc.
/ [ScreeningRequestType]/ SupportingDocumentation	- DocumentationType - S (0/1)	Additional information supporting the search.
/ [ScreeningRequestType]/ CopyToApplicant	- xsd:boolean - S (0/1)	Indicates if screening subject has requested a copy of the screening results. CopyToApplicant has a boolean value.

2.1.4 AdditionalItems

The HR-XML Consortium’s Background Checking specification makes extensive use of the AdditionalItems component both within the BackgroundCheck Request and BackgroundReports schemas. This component is intended as a flexible, but structured container that allows a client to pass through additional search criteria in BackgroundCheck Requests. AdditionalItems also allows a screening provider to respond to such criteria in BackgroundReports. AdditionalItems is one means that the Background Checking specification provides trading partners to implement custom screening types and custom screening criteria.

The AdditionalItems structure is available within each screening type within both the BackgroundCheck Request and BackgroundReports schemas. Both the BackgroundCheck Request and BackgroundReports schemas also contain a UserArea in several places within the schemas. The UserArea uses the “any” datatype, which allows it to accommodate any arbitratary XML structure (see the separate specification titled HR XML Schema Extension 1.0). As a general rule, implementers should first evaluate using the AdditionalItems component as a means to exchange additional search criteria or results before resorting to the use of the UserArea.

/ [ScreeningRequestType]/ AdditionalItems	- FlexibleDetailType - S (0/*)	A flexible container for passing other relevant details.
[FlexibleDetailType]	Sequence - xsd:positiveInteger - S (0/1) EffectiveDate - EffectiveDateType - S (0/1) Text - xsd:string - S (1/) AdditionalItems - FlexibleDetailType - S (0/) type - FlexibleLineType - optional qualifier - xsd:string - optional vendor - VendorType - optional	Globally scoped data type. See element or attribute declaration for definition.
/ [FlexibleDetailType]/ Sequence	- xsd:positiveInteger - S (0/1)	An integer indicating the sequence in which multiple items should be considered.
/ [FlexibleDetailType]/ EffectiveDate	- EffectiveDateType - S (0/1)	Date or time interval on or during which information is effective or known to be correct.
/ [FlexibleDetailType]/ EffectiveDate/ StartDate	- FlexibleDatesType - S (0/1)	The beginning effective date for the specified supporting information.
/ [FlexibleDetailType]/ EffectiveDate/ EndDate	- FlexibleDatesType - S (0/1)	The ending effective date for the specified supporting information.
/ [FlexibleDetailType]/ Text	- xsd:string - S (1/*)	Explanatory text.
/ [FlexibleDetailType] / type	- FlexibleLineType -	The type or classification for the related component.
/ [FlexibleDetailType] / qualifier	- xsd:string -	Additional qualification or classification data.
/ [FlexibleDetailType] / vendor	- VendorType -	Identifies the vendor or supplier.
/ [FlexibleLineType]	- [Union]: FlexibleLineTypes,xStringPatternExtensionType	An extensible list of types. Used to identify the type of AdditionalItem. Enumerations include “Header”, “Informational”, “Detail”, “Trace”, “RawData”, and “Unknown”. Additional values are permitted if prefixed with “x:”.
/ [FlexibleLineTypes]	xsd:restriction base: xsd:string [Enumerations]: Header, Informational, Detail, Trace, RawData, Unknown	A list of types used to identify the type of AdditionalItem.

2.1.5 Screening

/ Screening	type - SearchTypes - qualifier - SearchQualifierType - xml:lang - - optional ReferenceId - EntityIdType - S (0/1) QuestionSetId - EntityIdType - S (0/1) CountryCode - CountryCodeType - S (0/1) Region - xsd:string - S (0/1) ServiceLevel - ServiceLevelTypes - S (0/1) PermissiblePurpose - PermissiblePurposeQualifiers - S (0/1) EndUser - xsd:string - S (0/1) Vendor - VendorType - S (0/1) Duration - xsd:duration - S (0/1) ClientReferences - EntityIdType - S (0/) Comments - xsd:string - S (0/) AdditionalItems - FlexibleDetailType - S (0/*) SupportingDocumentation - DocumentationType - S (0/1) SearchCriminal - xsd:string - C (0/1) SearchDrugs - [complexType] - C (0/1) SearchEducation - [complexType] - C (0/1) SearchEmployment - [complexType] - C (0/1) SearchLicense - [complexType] - C (0/1) SearchMilitary - [complexType] - C (0/1) SearchOther - xsd:string - C (0/1) SearchReference - [complexType] - C (0/1) UserArea - [see include/import] - S (0/1)	Contains information for screening or testing data about the candidate.
/ Screening/ type	- SearchTypes -	Further defines the associated element in the context provided. [BusinessRule(s): Additional values are permitted if preceded by an x: ]
/ Screening/ qualifier	- SearchQualifierType -	Enumerated list of search type qualifiers. Refer to SearchQualifiers for more details. [BusinessRule(s): Additional qualifiers agreed to by trading partners may be specified by preceding the qualifier with an x:. ] [Example(s): x:WantsandWarrants ]
/ Screening/		Globally scoped data type. See element or attribute declaration for definition.
/ Screening/ ReferenceId	- EntityIdType - S (0/1)	A trading-partner specific identifier. Annotation: Reference Number associated with this screening.
/ Screening/ QuestionSetId	- EntityIdType - S (0/1)	Specifies the question set id to be used in a variety of candidate screening processes.
/ Screening/ CountryCode	- CountryCodeType - S (0/1)	Contains the ISO 3166-1 two-character country code. [BusinessRule(s): For authorities not bound by a country, the attribute would be blank. ] [Example(s): DE (Germany), UK (United Kingdom), US (United States , Blank (United Nations). ]
/ Screening/ Region	- xsd:string - S (0/1)	Represents the State, Province, and/or County. [BusinessRule(s): Military addresses should be stored in multiple regions (hierarchy region from highest to most specific): 1st region = APO (Army/Airforce Post Office); FPO (Fleet Post Office). 2nd region = 2 letter designator for part of world (AE – Europe, AA – America ]
/ Screening/ ServiceLevel	- ServiceLevelTypes - S (0/1)	Service level of the agreement entered into by trading partners.
/ Screening/ PermissiblePurpose	- PermissiblePurposeQualifiers - S (0/1)	Specifies the purpose of the screening. [Example(s): Consumer Initiated Transaction, Written Authorization, Collection ]
/ Screening/ EndUser	- xsd:string - S (0/1)	It specifies the name of the company that has requested the screening.
/ Screening/ Vendor	- VendorType - S (0/1)	An entity that provides products or services to another entity. Annotation: Specifies the source of the screening information. [BusinessRule(s): Valid values are: Equifax; Experian; TransUnion; Merged ]
/ Screening/ Duration	- xsd:duration - S (0/1)	Specifies the duration of the reported work. [BusinessRule(s): If not specified, typically the duration is derived by the receiving system on the basis of work schedule information and/or Start/EndDateTime, ]
/ Screening/ ClientReferences	- EntityIdType - S (0/*)	Container to provide additional screening related information specific to all searches for the specified applicant.
/ Screening/ Comments	- xsd:string - S (0/*)	Describes the contextual information relating to a group of elements. [Example(s): Comments relating to Military History or a resume. ]
/ Screening/ AdditionalItems	- FlexibleDetailType - S (0/*)	A flexible container for passing other relevant details and search criteria.
/ Screening/ SupportingDocumentation	- DocumentationType - S (0/1)	Container for additional information related to the specified search. [Example(s): Internet Web Address, Routing ID, Image ]

2.1.6 SearchCriminal

/ Screening/ SearchCriminal	Municipality - xsd:string - S (0/1) County - xsd:string - S (0/1) PostalCode - xsd:string - S (0/1) CourtName - xsd:string - S (0/1) CourtType - xsd:string - S (0/1) Database - xsd:string - S (0/1) AdmittedAliases - ScreeningPersonalDataType - S (0/) AdmittedChargeSummary - xsd:string - C (0/1) AdmittedCharges - xsd:string - C (0/) AdditionalItems - FlexibleDetailType - S (0/*)	Contains information to execute a criminal background search.
/ Screening/ SearchCriminal/ Municipality	- xsd:string - S (0/1)	Represents the city, town, village, or hamlet. Annotation: City within region to be searched.
/ Screening/ SearchCriminal/ County	- xsd:string - S (0/1)	County within region to be searched where the charge was processed. [BusinessRule(s): If county and/or court is not available, then PostalCode and Municipality must be supplied. In all cases, Region and CountryCode in the parent element must be supplied. ]
/ Screening/ SearchCriminal/ PostalCode	- xsd:string - S (0/1)	Codes established by postal authorities for purposes of sorting and delivering mail. See PostalAddress Recommendation. Annotation: Postal code within region to be searched.
/ Screening/ SearchCriminal/ CourtName	- xsd:string - S (0/1)	Name of court. This may include the location, such as region, county or postal code. [BusinessRule(s): If court and/or country is not available, Postal Code and Municipality must be supplied in all cases. Region and country Code in the parent element must be supplied. ]
/ Screening/ SearchCriminal/ CourtType	xsd:extension base: xsd:string type xsd:restriction base: xsd:string [Enumerations]: felony, misdemeanor, felonyMisdemeanor - -	Jurisdiction of court to be searched. [Example(s): Felony, Misdemeanor, Both ]
/ Screening/ SearchCriminal/ CourtType/ type	xsd:restriction base: xsd:string [Enumerations]: felony, misdemeanor, felonyMisdemeanor	Further defines the associated element in the context provided. [BusinessRule(s): Additional values are permitted if preceded by an x: ]
/ Screening/ SearchCriminal/ Database	- xsd:string - S (0/1)	Identifies private database to be searched. [BusinessRule(s): Primarily used for statewide searches. ]
/ Screening/ SearchCriminal/ AdmittedAliases	- ScreeningPersonalDataType - S (0/*)	Contains information on aliases admitted or supplied by the search subject. Annotation: Client provided information to enable scoring of results based upon Search Subject provided information.
/ Screening/ SearchCriminal/ AdmittedChargeSummary	- xsd:string - C (0/1)	Summary of Admitted Charges.
/ Screening/ SearchCriminal/ AdmittedCharges	CriminalCase - xsd:string - S (0/*)	Contains information on charges admitted by the search subject. Annotation: Client provided information to enable scoring of results based upon Search Subject provided information.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase	CaseNumber - xsd:string - S (0/1) OtherCaseId - xsd:string - S (0/) ArrestingAgency - xsd:string - S (0/1) Jurisdiction - xsd:string - S (0/1) CountryCode - CountryCodeType - S (0/1) Region - xsd:string - S (0/1) County - xsd:string - S (0/1) Municipality - xsd:string - S (0/1) FileDate - FlexibleDatesType - S (0/1) Charges - [complexType] - S (1/)	Contains information identifying and describing a criminal case or charges to which the search subject admits.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ CaseNumber	- xsd:string - S (0/1)	Case number assigned by the court.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ OtherCaseId	xsd:extension base: xsd:string type - xsd:string -	Identifies the criminal activity such as a Department of Corrections Id.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ OtherCaseId/ type	- xsd:string -	Further defines the associated element in the context provided. [BusinessRule(s): Additional values are permitted if preceded by an x: ]
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ ArrestingAgency	- xsd:string - S (0/1)	Identification of the originating arrest agency.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ Jurisdiction	- xsd:string - S (0/1)	The limits or territory within which authority may be exercised. Annotation: Name, division and district of the Court.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ CountryCode	- CountryCodeType - S (0/1)	Contains the ISO 3166-1 two-character country code. [BusinessRule(s): For authorities not bound by a country, the attribute would be blank. ] [Example(s): DE (Germany), UK (United Kingdom), US (United States , Blank (United Nations). ]
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ Region	- xsd:string - S (0/1)	Represents the State, Province, and/or County.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ County	- xsd:string - S (0/1)	County within region to be searched where the charge was processed.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ Municipality	- xsd:string - S (0/1)	Represents the city, town, village, or hamlet.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ FileDate	- FlexibleDatesType - S (0/1)	Filing date related to the case.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ Charges	ChargeOrComplaint - xsd:string - S (1/1) ChargeTypeClassification - ChargeQualifiers - S (0/1) ArrestDate - FlexibleDatesType - S (0/1) OffenseDate - FlexibleDatesType - S (0/1) Sentence - xsd:string - S (0/1) SentenceDate - FlexibleDatesType - S (0/1) Disposition - xsd:string - S (0/1) DispositionDate - FlexibleDatesType - S (0/1) ProbationStatus - xsd:string - S (0/1)	Contains information about criminal charges related to the case.
/ Screening/ SearchCriminal/ AdmittedCharges/ CriminalCase/ Charges/ ChargeOrComplaint	- xsd:string - S (1/1)	Identifies a crime, offense, infraction or violation for which the defendant was arrested.