Glossary of Terms

Terminology

100pt ID Check (Verification of Identity)
Validation and cross reference of a candidate’s identity documents.

ABN Verification
An ABN search of www.business.gov.au of publicly available information provided by businesses when they register for an Australian Business Number (ABN).

ACN Verification
A company name search of ASIC’s National Names Index, an index of Australian corporate and business names.
Address History Check A search of various online databases to ascertain a connection between the candidate and their provided residential address.

Adverse Media Check
A search of international media sources, for articles of an adverse nature mentioning the candidate’s name, including (but not limited to) information relating to fraud, corruption, corporate crime, terrorism, money laundering, extortion, notable terminations, poor character and illegal activity.

Aged Care Checks (Vulnerable Persons Police Check)
A Police Check used for roles where the individual is to be working with the aged and other vulnerable persons. This search has a partial exclusion to the spent conviction scheme for serious offences, sexual offences, offences against the person, for employment/engagement in positions/occupations involving the care, instruction or supervision of vulnerable persons (including children, aged persons, and the disabled).

APRA Compliance
APRA enforces ‘Fit and Proper’ Prudential Standards CPS 520 and SPS 520 which outline that an organisation must: develop and implement a Fit and Proper Policy; undertake checks to assess the fitness and propriety of Responsible Persons both prior to initial assessment and on an annual basis, ensuring individuals do not hold a Responsible Persons position unless assessed as Fit and Proper to do so; and Report to APRA on assessment of Responsible Persons.

ASIC Compliance (AFS)
Organisations applying for an AFS Licence are required to nominate responsible managers. As part of the ongoing compliance requirements of AFS licensees and licence applicants, the Australian Securities and Investments Commission (ASIC) issued Regulatory Guide 105 – Licensing: Organisation Competence (RG 105), which outlines what ASIC looks for when assessing compliance with the organisational competence obligation under s912A(1) of the Corporations Act 2001.

ASIC References
ASIC references must be undertaken as part of ASIC Compliance Background Checking with at least one reference from outside of the responsible manager’s current organisation.

ASX Director Checks
The ASX advises that a listed entity should “undertake appropriate checks before appointing a person, or putting forward to security holders a candidate for election as a director”.

Audiogram (Hearing Test)
Tests the ability of the candidate to hear sounds.

Australian Health Practitioner Regulation Agency (AHPRA) Check
A search of the Australian Health Practitioner Regulation Agency’s (AHPRA) Register of Practitioners for the candidate’s name.

Australian Banking Industry Conduct Background Check Protocol
The Australian Bankers’ Association implemented the Banking Industry Conduct Background Check Protocol to promote good conduct and ethical behaviour by formalising obligations for protocol Subscribers to ask a series of fact-based questions as part of the hiring process about whether the individual is subject to an ongoing Misconduct Investigation, or was dismissed or resigned in specific circumstances in relating to misconduct, so they can make informed recruitment decisions.

Background Check
A collective or singular search undertaken on an individual to assess certain aspects of their past.

Background Check Case Studies (PeopleCheck Porkie, CheckMate)
Examples of background checks carried out on individuals whereby major discrepancies have been identified in the background checking of a PeopleCheck candidate. These cases highlight examples where background checking has identified an aspect of the candidate’s background that our client would otherwise not have been aware of.

Background Checking Policy
A Company document outlining their processes and procedures in relation to background checking (background screening).

Bankruptcy Check
A search to determine if the candidate is or has been subject to a bankruptcy, a Part X agreement, a Part IX debt agreement or some other proceeding under the Bankruptcy Act.

Banned Persons Check
A search of banned/disqualified persons registers.

Basic Credit/Basic Court Check (Credit Check)
A Public Record search of Court Writs, Court Judgements, Securities and limited bankruptcies.

Candidate Access to Credit History Check (Credit Check)
A report detailing a candidate’s credit history.

Corporate Entity Checks (Company Checks, Due Diligence)
Background checks undertaken where a company is looking to form a relationship with another corporate entity in order to minimise the risks associated with this decision for the company if this association does not work out.

Consent Form (Informed Consent Form, Background Check Consent Form)
A document that individuals must sign to allow permission for PeopleCheck to commence background checking enquiries.
Degree Mill (Diploma Mill) – A degree mill issues individuals with “degrees” without requiring the study which would traditionally be associated with the qualification. The qualifications (often referred to as lifestyle degrees) are purchased online and/or “awarded” based on the individual’s work/life experience, although there is generally no verification of the experience that an individual claims to have.

Directorship Check (Conflict of Interest Check, Business Interests)
A search of office holdings in privately owned Australian companies, including directorships and shareholdings.

Discrepancy Review
Clarification of discrepancies and adverse information identified in the background checking process with the candidate.

Driving History Check (Traffic History Checks, Driving Record Checks, Driver License History)
A search of Driving Records, including disqualifications, traffic infringements, demerit points and convictions held by the Transport Authority in the candidate’s state of residence.

Drug and Alcohol Screening (Drug and Alcohol Testing)
A pre-employment (or random) check to assess if an individual has a drug or alcohol reading in their system.

Employment Medical Examination (Pre-Employment Medical Assessment)
A check conducted prior to a candidate commencing a role to provide the employer with an overall health assessment of a candidate which can assist companies in mitigating risk.

Employment Verification Check (Employment History, Employment Check)
Verification of factual information with the Human Resource Department (or equivalent) of the former employer.

Federal Court Check
A search based on the candidate’s name of multiple online databases for available cases.
Financial Background Checks (Financial Probity) – Components involve searching publicly available records and obtaining candidate consent to collect details pertaining to their financial history.

Fit and Proper
‘Fit and proper’ prudential standards apply for authorised deposit-taking institutions and for life and general insurance companies. Prior to appointment, a responsible person must be determined to be ‘fit and proper’ to hold the role via various background checks.

Fraud Prevention
An effective background checking program can help employers mitigate against fraud by examining a potential employees’ past behaviour.

GCMS Testing (Gas chromatography–mass spectrometry (GC-MS))
Investigation of the preliminary non-negative drug screening that requires confirmatory testing.

International Background Checks (International Criminal History Check, International Coverage)
Background checks undertaken in overseas locations where a candidate has previously worked, lived or studied.

Manager Interview/Reference
Interview with the candidate’s former line manager to verify aspects such as their duties and responsibilities, conduct, performance, honesty and integrity.

Musculoskeletal Assessment
An assessment of a candidate’s bones, muscles and joints for abnormalities.

National Police Check (Police Check, Criminal Record, Criminal History Search, Crime Check)
A name search facilitated by the Australian Federal Police (AFP) of the National Names Index database for information that identifies whether a particular individual is recorded in the relevant police records of any jurisdiction as a person of interest.

National Police History Check (Police Check, Criminal Record, Criminal History Search, Crime Check)
A name search of The Australian Criminal Intelligence Commission (ACIC) National Names Index database for information that identifies whether a particular individual is recorded in the relevant police records of any jurisdiction as a person of interest.

People Proofs
ASIC-regulated companies have specific background checking requirements (“people proofs”) to adhere to for their nominated Responsible Managers/Officers. Such background checks include Police Check, Bankruptcy Checks, copies of Qualifications and two written ASIC business references.

Personal Information
Defined by the Privacy Act 1988 (Cth) as: Information or an opinion, whether true or not, about an identified individual, or an individual who is reasonably identifiable.

Personal Property Securities Register (PPSR)
The PPSR is an online government register that assists individuals when buying personal property by determining if the property has a security interest attached to it.

Police Check (National Police History Check, National Police History Record Check, Criminal Record, Criminal History Search, Crime Check)
A search of records held by a police agency for information that identifies whether a particular individual is recorded in the relevant police records of any jurisdiction as a person of interest.

Police Certificate
A police certificate is a document issued by the relevant police/government authority which outlines if an individual has a criminal record.

Police Check Types
There are various types of police check types, including: General Employment – No Exclusion, Vulnerable Persons – Partial Exclusion, APRA –

Partial Exclusion and ASIC
No Exclusion.

Police History Information
Information or results released as part of a Police Check.

Pre-employment reference check
Interview with the candidate’s nominated referees to verify employment and performance.

Premium Service
A PeopleCheck service that can be added to any order for urgent background checking requests. All Premium Service cases are immediately assigned to PeopleCheck’s Priority Team until finalised for a faster turnaround time (conditions apply).

Professional and Licensee Registers Check
A search of professional and licensee registers to confirm that a candidate holds the appropriate license to perform their role.

Professional Verification (Membership Verification)
Validation of a candidate’s professional memberships or qualifications direct with the awarding institute.

Qualification Verification (Qualification Check, Degree Validation)
Validation of a candidate’s education qualifications direct with the awarding institute.

Rescreen Alert (Re-screen alert)
A notification after a specified period of time that a candidate is due to be re-screened. This alert ensures that employers are constantly monitoring aspects relating to the candidate’s situation that may change over time and have an impact on their role.

Re-screening
Re-screening involves specifying the point/s at which candidates should be subject to background checking throughout their employment. Generally, this involves undertaking a similar package of background checks as those included in the initial screening, with the exception of the checks that were sufficiently verified initially and would not have altered since (e.g. verification of previous employment or qualifications). Re-screen packages therefore generally focus on “point in time” checks such as Police Checks, Bankruptcy Checks, Basic Credit Checks, Visa/Passport (Work Rights) Checks etc.

Responsible Manager
Responsible managers are defined as “the people who manage your financial services business”.

Responsible Person
A Responsible Person is defined by APRA based on the responsibilities and activities of the role and is generally an individual who is “responsible for the management and oversight of a regulated institution/RSE Licensee’s business operations”.

Resume Assessment (Resume Check, CV Check, CV Assessment)
Analysis of a candidate’s CV/resume against their completed background checking documentation, for gaps and inconsistencies.

Sensitive Information
Defined by the Privacy Act 1988 (Cth) as: Information or an opinion about an individual’ racial or ethnic origin, political opinions, membership of a political association, religious beliefs or affiliations, philosophical beliefs, membership of a professional or trade association, membership of a trade union, sexual preferences or practices, or a criminal record. Sensitive information also includes health information and genetic information about an individual that is not otherwise health information.

Social Media Checks
A search and review of publicly available social media sites regarding a specific individual.

Spent Conviction Scheme
Legislation aimed to prevent discrimination of an individual on the basis of certain previous convictions.

Spirometry Assessment (Lung Function Assessment)
The measuring of breath.

State Court Check
A search of available Supreme Court decisions in the candidate’s state of residence.

VEVO Check (Visa Check, Work Entitlement)
Validation of a foreign candidate’s work rights in Australia with the Department of Immigration and Border Protection (DIBP).

Visa / Passport (Work Rights) Validation (Visa Check, Work Entitlement)
Validation of a candidate’s work rights in Australia through various sources depending on the candidate’s nationality or citizenship.

Vision Assessment (Eye Test)
An assessment of the candidate’s vision, including colour blindness.

Volunteer Checks (Vulnerable Persons Police Check)
A discounted Police Check used for volunteer purposes when the work of an individual is to be unpaid (e.g. work experience, charity or community services) and is generally required if the volunteering role involves vulnerable persons such as children, the aged or people with a disability. This search has a partial exclusion to the spent conviction scheme for serious offences, sexual offences, offences against the person, for employment/engagement in positions/occupations involving the care, instruction or supervision of vulnerable persons (including children, aged persons, and the disabled).

VirtualRefCheck
Our online, completely automated reference checking solution.

Watch Lists Check (Anti Money Laundering (AML), AML Check, Sanction)
A comprehensive search of watch, international sanctions, or regulatory and law enforcement lists for individuals and entities who are considered a heightened risk. This search assists the compliance process in areas such as Anti-Money Laundering (AML)/Counter Terrorism Finance (CTF) risk, Politically Exposed Persons (PEP) monitoring, anti-bribery and corruption.

Work Fitness Assessments (Pre-employment Functional Capacity Assessment)
Workplace fitness assessments are useful for determining whether the candidate has the necessary physical capabilities for performing a specific role/task.

Workers Compensation Check
Verification of prior and existing workers compensation claims.

Working With Children Checks (WWC)
A Working with Children Check is a requirement in all states and territories in Australia for people who volunteer or work in child related roles. The inclusions of this background check vary from state to state.

Working With Children Check Validation
Verification of the candidate’s Working with Children Check undertaken by the relevant state organisation to confirm the validity and expiration date.

Acronyms

ACIC – Australian Criminal Intelligence Commission
AFP – Australian Federal Police
AFS Licence – Australian Financial Services Licence
AFSA – Australian Financial Security Authority
AHPRA – Australian Health Practitioner Regulation Agency
AML – Anti-money laundering
APAC – Asia Pacific
APP – Australian Privacy Principles
APRA – Australian Prudential Regulation Authority
ASIC – Australian Securities and Investments Commission
ASX – Australian Securities Exchange
AUSTRAC – The Australian Transaction Reports and Analysis Centre
CTF – Counter-Terrorism Financing
DFAT – Department of Foreign Affairs and Trade
DVS – Document Verification Service
FSR – Financial Services Regulation
ITSA – Insolvency and Trustee Service Australia
NPHC – National Police History Check
NPHI – National Police History Information
OAIC – Office of the Australian Information Commissioner
PAW – Privacy Awareness Week
PEP – Politically Exposed Persons
TASA – Tax Agent Services Act
TPB – Tax Practitioners Board

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