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Background Investigations: The Basic Industry Standard in the United States

By Gregory E. Sumner, Rotary Club of Rome, District 6910, Georgia

In today’s employment world, background investigations are a common and necessary part of pre-employment screening.  According to a (2004) study, the Society of Human Resource Management found that over 80 percent of companies claim they run some type of criminal check on applicants before hiring, up from 51 percent in 1996.  It is no longer a matter of if your company conducts background investigations on all new employees; it’s who’s performing this service for you.

The term background investigation is misused frequently in the American lexicon.  To provide an operational definition of a background investigation means to conduct a compilation of services in an effort to glean a better understanding of an individual.  While the criminal history is what most employers will conduct at the bare minimum, it is, well…a “criminal history” and not a “background investigation”.  There are many services, other than a criminal history, that are performed when conducting a true background investigation.  At a minimum, there are four parts to an industry-standard basic background investigation: Social Security Number Trace, National Sex Offender Search, Office of Foreign Assets Control (OFAC)--Specially Designated National List and Criminal History.

The first step in a background investigation is to have the applicant fill out and sign a consent form, either through an on-line applicant tracking system, or the old fashioned way--in writing.  Either way, the consent form compiles particulars about an applicant that is necessary for a thorough background investigation, such as the applicant’s full name, any maiden names, date of birth, Social Security number, past seven years of residency, and signature (either electronic or in writing).  Once this is received by the background investigation company, they should conduct what is commonly called a Social Security Number Trace.  This allows the background investigation company to analyze the information provided on the consent form, especially the past seven years of residency, to determine whether the applicant has been candid.  The Social Security Number Trace will provide the background investigation company with potential current and past addresses of the applicant.  This allows the background investigation company to search criminal history records in the jurisdictions listed by the applicant or those found through the Social Security Number Trace. 

The second part is to conduct a National Sex Offender Search, which can be found at   http://www.nsopr.gov/.  This is a free search offered through the Department of Justice.  The national sex offender search may provide a sex offender record in a jurisdiction either not provided by the applicant on the consent form or not found during the Social Security Number Trace.  Thereby, allowing the background investigation company to retrieve the original criminal record and disposition.

The third part is to conduct an Office of Foreign Assets Control (OFAC)--Specially Designated National List search, which can be found at http://www.treas.gov/offices/enforcement/ofac/sdn/.  This is a free search conducted through the United States Department of the Treasury.  The OFAC search is a government--terrorism and narcotics trafficking watch list.

The fourth and final part of conducting an industry-standard basic background investigation is the Criminal History.  The Criminal History can be categorized into three primary searches: state, county, and federal criminal history records.  The first rule of thumb when conducting a true and thorough criminal history is “If it can be obtained on-line and in an instant, it’s not real”.  There are some criminal history records available on-line.  However, the majority must be obtained through various law enforcement agencies or a Clerk of Court.  If a full-state search is available and it is a reliable record, meaning all Clerks of Court are required to report to the state’s criminal history repository, then it may be a good search.  A good example is a Georgia criminal history, which can only be obtained through a Georgia Crime and Information Center (GCIC) trained terminal operator.  They will conduct what is called a “purpose code e” search. The “e” stands for employment.  This search goes into the Georgia Bureau of Investigations GCIC terminal to check for all misdemeanors and felonies and any wants and warrants on an individual nationwide.  The good news is that this is a very good full State of Georgia search for misdemeanors and felonies, and in addition you will receive notification of a want or warrant in another state and the arresting agency.  The bad news is that the criminal history search itself stops at the state line.  If an employer is sending their applicants to the local police or sheriff’s department to get a criminal history on themselves, this is what they are getting.  They are not getting a national criminal history.  There are many companies on the internet that will lead you to believe you can get a national criminal history on-line.  What you are getting is everything available on the internet that is free of charge, such as Department of Correction records.  It is okay to use some form of national criminal search as a secondary search in your background investigation.  However, you do not want to use it as a primary criminal history search. 

Another primary search is a county criminal record search.  In some states, you do not have a choice in obtaining a full-state record, because only county criminal records are available.  These records are open to the public.  You can walk into any Clerk of Court in the Country and request to review criminal records.  In many states, you should obtain a county criminal history in addition to the state, which would be the best option. An example would be like in California.  California is a closed record state, meaning you can’t obtain a full-state criminal history, so a search must be done in the counties where either the applicant listed that they lived, and/or that you found during the Social Security Number Trace. 

The last primary search is a federal district criminal history.  This is done by checking all 94 federal district courts.  Though very important, this search is often overlooked.  To put it into perspective, federal crimes are investigated by federal agents, like the Federal Bureau of Investigation (FBI).  The FBI generally investigates and prosecutes very serious crimes.  When an individual is arrested, the case is filed in one of 94 federal district courts.  If a state and/or county criminal history is obtained on an individual who has been arrested for a federal crime, it would not appear in those repositories.  It could only be located in the federal district repository where it was filed.

Conducting a thorough background investigation can be a complex and time consuming process unless performed by a company that knows how and where to obtain quality information.  This article discusses an industry-standard basic background investigation.  As there are many services available for a more thorough background investigation, consult with your employment attorney and pre-employment screening company to decide which ones best fit your particular hiring needs.

Gregory E. Sumner, Ph.D.

Founder and President

Professional Screening & Information, Inc.

316 Broad Street

Rome, Georgia 30161

(706) 235-7574

gsumner@psibackgroundcheck.com