CONVICTION RECORDS & EEOC
The U.S. Equal Employment Opportunity Commission
EEOC Policy Statement on the Issue of Conviction Records under Title VII of the Civil Rights Act of 1964, as amended, 42 U.S.C. § 2000e et seq. (1982). (2/4/87)

CONVICTION RECORDS

At the Commission meeting of November 26, 1985, the Commission approved a modification of its existing policy with respect to the manner in which a business necessity is established for denying an individual employment because of a conviction record. The modification, which is set forth below, does not alter the Commission's underlying position that an employer's policy or practice of excluding individuals from employment on the basis of their conviction records has an adverse impact on Blacks(1) and Hispanics(2) in light of statistics showing that they are convicted at a rate disproportionately greater than their representation in the population. Consequently, the Commission has held and continues to hold that such a policy or practice is unlawful under Title VII in the absence of a justifying business necessity.(3)

However, the Commission has revised the previous requirements for establishing business necessity(4) in the following manner. Where a charge involves an allegation that the Respondent employer failed(5) to hire or terminated the employment of the Charging Party as a result of a conviction policy or practice that has an adverse impact on the protected class to which the Charging Party belongs, the Respondent must show that it considered these three factors to determine whether its decision was justified by business necessity:

  1. The nature and gravity of the offense or offenses;
  2. The time that has passed since the conviction and/or completion of the sentence; and
  3. The nature of the job held or sought.(6)

This procedure condenses the Commission's previous standard for business necessity, substituting a one-step analysis for the prior two-step procedure and retaining some but not all of the factors previously considered.(7) The modification principally eliminates the need to consider an individual's employment history and efforts at rehabilitation. However, consideration is still given to the job-relatedness of a conviction, covered by the first and third factors, and to the time frame involved, covered by the second factor. Moreover, the first factor encompasses consideration of the circumstances of the offense(s) for which an individual was convicted as well as the number of offenses.

The Commission continues to hold that, where there is evidence of adverse impact, an absolute bar to employment based on the mere fact that an individual has a conviction record is unlawful under Title VII.(8) The Commission's position on this issue is supported by the weight of judicial authority.(9)

It should be noted that the modified procedure does not affect charges alleging disparate treatment on a prohibited basis in an employer's use of a conviction record as a disqualification for employment. A charge brought under the disparate treatment theory of discrimination is one where, for example, an employer allegedly rejects Black applicants who have conviction records but does not reject similarly situated White applicants.

With respect to conviction charges that are affected by this modification--that is, those raising the issue of adverse impact--Commission decisions that apply the previous standard are no longer available as Commission decision precedent for establishing business necessity. To the extent that such prior decisions are inconsistent with the position set forth herein, they are expressly overruled.

Questions concerning the application of the Commission's revised business necessity standard to the facts of a particular charge should be directed to the Regional Attorney for the Commission office in which the charge was filed.

1. See, e.g., Commission Decision No. 72-1497, CCH EEOC Decisions (1973) ¶ 6352, and Commission Decision Nos. 74-89, 78-10, 78-35, and 80-10, CCH EEOC Decisions (1983) ¶¶ 6418, 6715, 6720, and 6822, respectively.

2. See Commission Decision No. 78-03, CCH EEOC Decisions (1983) ¶ 6714.

3. See, e.g., Commission decisions cited supra nn.1-2.

4. Prior to this modification, for an employer to establish a business necessity justifying excluding an individual from employment because of a conviction record, the evidence had to show that the offense for which the applicant or employee was convicted was job-related. If the offense was not job-related, a disqualification based on the conviction alone violated Title VII. However, even if the offense was determined to be job-related, the employer had to examine other relevant factors to determine whether the conviction affected the individual's ability to perform the job in a manner consistent with the safe and efficient operation of the employer's business. The factors identified by the Commission to be considered by an employer included:
1. The number of offenses and the circumstances of each offense for which the individual was convicted;
2. The length of time intervening between the conviction for the offense and the employment decision;
3. The individual's employment history; and
4. The individual's efforts at rehabilitation.
See, e.g., Commission Decision No. 78-35, CCH EEOC Decisions (1983) ¶ 6720.

Thus, under the previous procedure, business necessity was established by means of a two-step process: first, by showing that the conviction was job-related; then, by separately demonstrating that the conviction would affect the individual's ability to safely and efficiently perform the job upon consideration of the four factors enumerated above.

5. Although the term "employer" is used herein, the Commission's position on this issue applies to all entities covered by Title VII. See, e.g., Commission Decision No. 77-23, CCH EEOC Decisions (1983) ¶ 6710 (union's policy of denying membership to persons with conviction records unlawfully discriminated against Blacks).

6.The Commission's revised business necessity analysis follows a decision by the United States Court of Appeals for the Eighth Circuit in the Green v. Missouri Pacific Railroad Company case. Green, 523 F.2d 1290 (8th Cir. 1975), is the leading Title VII case on the issue of conviction records. In that case, the court held that the defendant's absolute policy of refusing employment to any person convicted of a crime other than a minor traffic offense had an adverse impact on Black applicants and was not justified by business necessity. On a second appeal in that case, following remand, the court upheld the district court's injunctive order prohibiting the defendant from using an applicant's conviction record as an absolute bar to employment but allowing it to consider a prior criminal record as a factor in making individual hiring decisions as long as the defendant took into account "the nature and gravity of the offense or offenses, the time that has passed since the conviction and/or completion of sentence, and the nature of the job for which the applicant has applied." Green v. Missouri Pacific Railroad Company, 549 F.2d 1158, 1160 (8th Cir. 1977).

7.See discussion supra n.4.

8.See, e.g., Commission Decision No. 78-35, CCH EEOC Decisions (1983) ¶ 6720.

9. See Green, 523 F.2d at 1298; Carter v. Gallagher, 452 F.2d 315 (8th Cir. 1971), cert. denied, 406 U.S. 950 (1972) (brought under 42 U.S.C. §§ 1981 and 1983); and Richardson v. Hotel Corporation of America, 332 F. Supp. 519 (E.D. La. 1971), aff'd mem., 468 F.2d 951 (5th Cir. 1972). See also Hill v. United States Postal Service, 522 F. Supp. 1283 (S.D. N.Y. 1981); Craig v. Department of Health, Education, and Welfare, 508 F. Supp. 1055 (W.D. Mo. 1981); and Cross v. United States Postal Service, 483 F. Supp. 1050 (E.D. Mo. 1979).

Listed below is a PowerPoint presentation outlining the reasons and processes for criminal screening in the workplace:

 

What is found on a criminal record search?

Crime is defined as a violation of a local, state, or federal penal code. Crime is what ever is defined by law as illegal. In order for an act to be criminal, there must be a law against the action which defines the crime, the law prohibits the act, and prescribes a penalty for violating the prohibition. (Samaha, pg. 9)

All crime is considered to have an element of harm. The harm can be spitting on the street to murder. The harm is a requirement of criminal liability and must be proved "beyond a reasonable doubt". (Samaha pg. 20)

Crime is classified into felonies and misdemeanors. Local crimes, often misdemeanors are called ordinance violations. Graded from most to least serious, crimes are usually separated into capital and non-capital felonies, gross and petty misdemeanors, and violations. The basic difference between a felony and misdemeanor is in the penalties. Felony conviction generally carries possible sentence to prison for at least a year, with maximums up to life. Capital felonies are those for which the death penalty is authorized. Practically the only capital felony remaining in America is murder. (Samaha pg. 25)

Misdemeanors are punishable by jail sentences, fines, or both. Gross Misdemeanors typically carry penalties closer to one-year maximums; ordinarily misdemeanors are punishable in the ninety-day range and petty misdemeanors up to thirty days.

Violations, generally traffic violations, are not considered criminal convictions and are penalized by fine alone.

 

Types of Criminal Record Searches

 

County Criminal - Carolina Investigative Research can provide criminal record checks on the county level in all counties of the United States and in the provinces of Canada. The records are searched in the county courthouses. Carolina Investigative Research will provide felony record searches and often misdemeanors in one search. Some jurisdictions hear felonies and misdemeanors in separate courthouses. In these jurisdictions, a felony and a misdemeanor search must be requested for a complete record search.

Statewide Searches-Records of the state repository for criminal records. The repository is often the State Police. It can also be a search of all county courts in the statewide court system. Police or law enforcement searches are often not as thorough or available as courthouse searches.  State Police checks may only include records by fingerprint and limited in the number of cases. The records may only be felony records, often only provide arrest information and are limited to what is reported to the agency.  Statewide Courthouse searches are the most thorough.

Federal Searches-Search of the Federal Courts for felony and misdemeanor records where the Federal Courts have jurisdication. For more information, please see our section on federal records

 

International Searches-Criminal Record searches from overseas. Carolina Investigative Research will only provide international searches if they are available from an official governament source and if the search is legal. Carolina Investigaive Research is listed as complying with Safe Harbor. See Safe Harbor

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National Criminal Database-A search of a proprietary database consisting of incarceration records, probation records, sex offenders and some limited county courts.

Here is the Federal Trade Commissions opinion regarding use of databases to conduct employment background reports.

Opinion from FTC regarding use of databases in employment or tenant screening

 

       

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