By Alissa Turner

In today’s atmosphere of heightened security, biometrics technologies have become more commonplace in the law enforcement community.  It is no longer unusual to see such systems employed by even smaller law enforcement agencies.  This trend has now crossed over to civilian companies of all sizes; the biometrics market has expanded beyond that of only the largest organizations.  The availability and affordability of biometrics systems has made it easier for smaller companies to take advantage of the latest developments in safety technology. 

Future market trends include the addition of palm scanning to governing agency databases (many live scan devices now scan palm prints, but these are usually not accepted for agency databases) and more integration with related programs such as records management systems, mug shot programs or facial recognition systems.

Biometrics systems utilize various methods, derived from physical or behavioral traits, to verify a person’s identity.  Some of the more well known technologies in this category include fingerprint scanning, iris scanning and facial recognition.  This article addresses the topic of fingerprint scans for background checks.  It is important to note that scanning fingerprints for the purpose of background checks is a different branch of biometrics than scanning fingerprints for access control.  The former often involves obtaining a complete set of prints that will be compared to up to thousands or millions of other prints in an outside database (a one-to-many comparison) to verify identity, while the latter may entail scanning a single fingerprint that will be compared to a previously enrolled fingerprint within a closed, internal system (a one-to-one comparison) to provide access to a building or computer.

Background checks for potential employees and support staff with access to company facilities -- already a standard procedure at a large number of companies and agencies -- are receiving renewed attention as a way to verify identification as well as the history and integrity of individuals.  Companies who did not previously conduct background checks are now requiring them (or have been mandated by a supervisory agency to require them).  Those that already utilized such checks are considering technology upgrades to take advantage of the recent availability of electronic systems that expedite the process.  Those who are new to the electronic fingerprinting process and are searching for systems need to have a basic understanding of what to look for in an electronic fingerprinting system.

Inked Card Submission Method

Traditionally, background checks have been conducted with fingerprint cards that are sent to an agency that maintains a fingerprint database.  In the United States, for example, the Federal Bureau of Investigation (FBI) maintains a national database, and background check requests are sent to the FBI either directly or through a clearinghouse that forwards background check requests to the FBI.  The FBI compares the fingerprints submitted with the background check request to the fingerprints in its criminal records database. 

Personnel who are trained in proper fingerprinting techniques will roll prints using the standard ink and fingerprint card for a new or prospective employee.   The card as well as associated biographical information is mailed by hand either directly to the FBI or to a mediating agency, which may then mail the card to the FBI.  Card scans and biographical data entry are usually performed at either the mediating agency or the FBI.  (Processing backlogs at this stage may delay the comparison and results by several weeks.  If the organization that is submitting the data has a centralized location to accumulate and process cards before sending, this can provide greater flexibility for the originating company and decrease the waiting period.)  Once the FBI receives the information, the fingerprints are compared against the FBI’s vast database of fingerprints to determine whether there is a match with a criminal record.  The results are then hand-mailed back to either the mediating agency or to the company that originally submitted the prints.

Such a setup means that a company might hire a new employee and spend time training that person, only to have to fire that person six weeks later.  For example, bank regulations may not allow someone with prior convictions for financial crimes to work in certain job positions; however, the current system often has the employee working with sensitive data several weeks prior to discovering that this person did not pass the background check.

To eliminate the delays inherent with the mailing and subsequent re-processing of inked cards, many of the larger processing agencies (such as the FBI and Interpol) have created centralized systems for electronic processing of fingerprints.  To submit transactions to these systems, strict specification guidelines must be followed.  Only certified hardware and software can be used to obtain the prints, as image quality is of utmost importance when making an identification.

Designated agencies process background checks for certain types of companies, and each processing agency has its own specifications for submission methods and data requirements.  In addition, each mediating agency will usually forward the prints to a central agency.  Therefore, when a company selects a fingerprint submission system, cost and integration with that company’s existing system are not the only factors -- all of the various agency requirements must also be considered.

Electronic fingerprint submissions

One chief reason for the rise in adoption of fingerprint scanning technology in the civilian marketplace is that it can save a great deal of time in the background check process -- both for the company submitting the background check request and for the agency that processes the requests.  Clearinghouses and regulatory agencies recognize this.  To encourage the use of electronic fingerprint submissions, many agencies are either mandating electronic submissions (which may force companies without fingerprint systems to pay a fingerprint service provider) or are reducing the standard processing fee for background check fingerprint records that are submitted electronically versus mailing inked cards.

Essentially, there are two basic methods for acquiring electronic fingerprints: card scanning and live scanning.  With a card scan system, the standard inked fingerprint card is scanned on a flatbed scanner, and the images are converted to an electronic format.  Demographic data is entered, and the electronic file can now be sent to the governing agency for a background check.  Depending on the governing agency’s policies, results are returned either electronically or mailed.  With live scanning, fingerprints are rolled on a specially designed scanner to create the electronic fingerprint images -- allowing users to skip the inked card altogether.  Both methods can reduce the waiting period for background checks from several weeks to a few days or even a few minutes, in some cases.

Card Scan and Live Sscan

If a company is trying to decide between card scanning versus live scanning, the most important factor is how the system will be used.  While more companies and agencies are moving toward live scanning, card scanning can be an attractive entry-level system -- particularly for companies with limited budgets, as card scan systems are usually less costly than live scan systems.  Card scan systems also enable the conversion of archived fingerprint records into electronic files and do not require personnel to learn a new method of rolling fingerprints, since the inked cards are still used for print acquisition.  Live scan advantages include the instant conversion to electronic files without waiting to scan a card and the ability to recapture prints of inferior quality (if the system includes a quality check feature) while the subject is still available for printing.  Live scanning also eliminates the messy ink used in the traditional card process.

• Make sure that the hardware and software are certified or approved by the governing agency to which you will be submitting fingerprint records as well as any clearinghouses or mediating agencies you will be using.
• Decide whether you need card scanning, live scanning or both -- or the ability to add one of these features to the system later.
• If you want to integrate the fingerprint system with other programs, such as records management systems, ask the vendor whether integration for other programs is supported and how much this feature or service costs.
• Ask about the vendor’s support and maintenance services.  Request references, and talk to some of the vendor’s customers about their satisfaction with the support provided.
• The fingerprint system software is at least as important as the hardware used.  Look for a vendor that keeps up with the industry and updates the software whenever requirements from the governing agency change.

Depending on the agencies involved, the entire electronic fingerprint process typically takes only a few hours up to a maximum of a few days, rather than the usual four-to-six-week turnaround.  The reduced time involved can save money in administrative costs as well as the associated costs of hiring and then having to dismiss an employee several weeks later because of a failed background check.  Electronic fingerprint systems often include various quality check features that can help to eliminate governing agency rejections of the background check requests due to errors.  Most importantly, electronic fingerprint systems can enhance organization safety for both employees and customers.

Alissa Turner is Marketing Coordinator of Mentalix, Inc. (www.mentalix.com).