Conducting Background Investigations

 The quality of your investigation directly relates to future quality of our department  The overall image of department is derived from officers in contact with the public  Background investigations are the foundation for the future success of the department

 We cannot cut corners and we must ensure the people we hire are honest, trustworthy, and are entering this profession for the right reasons.

 Good listening skills  Ability to compare and contrast information  An eye for detail when reviewing records  Curious and imaginative – inquisitive  Question and examine all angles  Strong intuition  Strong interview skills / interpersonal skills  Ability to make quick and accurate observations  Persistent  Ethical

 Confidentiality  The information given by an applicant in the Personal History Statement, and information obtained by the investigator is private and confidential. At no time during the investigation or thereafter, should any portion of the investigation be revealed to persons other than those who are authorized to evaluate the results.  This includes fellow officers!

 Confidentiality  As a general rule, the information gathered from third persons during the background investigation should not be revealed to the applicant. Only department officials authorized to evaluate the applicant should have access to this information.  However, under various circumstances, the applicant may become aware of the contents of the investigation. For example, during the discrepancy interview some information may be disclosed when the applicant is questioned about inconsistencies or contradictions between information given in the Personal History Statement and that obtained during the investigation. During the discrepancy interview, the investigator should avoid revealing the source of any information.

 Confidentiality  Medical information: Information gathered during the medical examination is subject to the same confidentiality restrictions as the above information.  All of the information gathered is to be used solely to make a sound judgment as to the applicant's physical and mental ability to perform the job of a law enforcement officer, and no medical information can be collected until after a conditional offer of probationary employment has been made.  Medical records must be kept in a separate, restricted access file, or a sealed envelope in the regular file folder, with access only on a need- to-know basis.

 Demeanor of Investigating Officer  The applicant and all other persons contacted during the course of the investigation may not have had prior personal contact with a law enforcement officer. It is important that they be left with a feeling that courtesy, integrity, and thoroughness are qualities of law enforcement officers in general, and of the law enforcement agency represented by the investigator.

 Discontinuing the Investigation  If, during the course of the investigation, information is obtained which will positively lead to rejection of the candidate, the investigator should consult with the appropriate superior officer to determine if the investigation should be discontinued.

 Objectivity  It is very important that the investigator maintain objectivity throughout the investigation. No personal biases should affect the quality and content of the investigation.

What Is A Background Investigator Looking For In His Investigation

 Integrity  Self Control  Initiative  Dependability  Situational Reasoning Ability  Interpersonal Skills  Oral Communication Skills  Reading Skill  Writing Skill

 Work History  Military Record  Educational History  Police Record / Criminal Conduct  Traffic Record  Marital and Family Relations  Financial History  Drug & Alcohol History  Friends & Associates  Memberships in Clubs & Groups

(adjust to your department)  Conviction or admission of any felony.  Conviction of any Class A or B misdemeanor in the past 10 years.  Conviction or admission of any illegal drug use within the past 5 years, or use of marijuana within the past two years.  Conviction of family violence within the past 10 years.  Dishonorable discharge from the military.

Conducting The Background Investigation

As Stephen Covey says: “Put First Things First.”

1.Conduct a detailed review of the applicant’s Personal History Statement and other application paperwork and required documents. 2.Review any information discovered during the Polygraph Examination if given.

3.Conduct a personal interview with the applicant to clear up any questions and obtain any additional information needed for the background.  Secure signatures on a number of information release forms needed to obtain information.  Ensure the applicant is providing any missing documents.  Take required fingerprints for Criminal History checks

4.Make an investigative plan. What do I need to check first to determine if there are automatic disqualifiers? What will take the most time? Where will I need to go? Who will I need to see?

 Check for valid TCLEOSE license  TCLEDDS Report  TCLEOSE letter  Verify current peace officer license  Eligible for Appointment  Training Status  Prior Law Enforcement Employment  Check for any disqualifying drug use  Fingerprint and send for Criminal record check with DPS / conduct TCIC / NCIC wanted person check  Conduct Credit Check  Conduct Drivers license check  Check Social Networking sites (Facebook, myspace, etc.

 Reviewing and checking the list of First Things First is quick and easy  May discover issues immediately and save investigative time and effort

 Keep your records in a folder in the order required for the final report, this will facilitate report completion.  You must validate all documents including licenses, high school or college records, and prior law enforcement employment to ensure they meet all required licensing requirements.  You have to interview at least three personal references, but also interview all prior employers for past 10 years and immediate family.

 DISCREPANCY INTERVIEW  Once the background investigation has been completed (or during the course of the investigation), if the investigator becomes aware of inconsistencies or contradictions between information supplied in the Personal History Statement and that obtained during the investigation, he/she should schedule a discrepancy interview with the applicant to resolve the questionable areas.  The investigator should not reveal the source of any information obtained during the background investigation.

 Complete the Background Investigation Report in the Format provided by the department.  Limit your report to the FACTS you discovered during the investigation.  You do not make a recommendation on whether to hire the individual, however you may indentify areas of concern if any are found.

 Three ways to interview references: 1. Face to face 2. Telephone 3. Mail Face to Face is best followed by telephone and least effective is by mail.

 If the applicant is from outside the immediate area (able to drive to an interview and back in the same day), discuss with your supervisor the interview processes to be used and determine if overnight travel is authorized.

Secondary references Always ask for a reference from a reference AND contact the secondary reference. In your report, identify your references as listed reference, secondary reference, or discovered reference

 Check personnel file – site visit required  Check any IAD investigations – site visit required  Interview former supervisors  Interview former co-workers

 If Applicant has applied at other Law Enforcement Agencies – Request copies of their personal history statement and application  Compare with current Personal History Statement for omissions or conflicts  Review background investigation report if completed – site visit required  Status

 Watch time lines  Any terminations  Any discipline  Eligible for re-hire  Interview supervisors and associates  Use questionnaire as a guide

 High school / college  Military record  Divorce  Marriage  Drivers license (check prior state of residence)  Social security number  Automobile insurance  Birth certificate

 Courthouse Checks  Criminal & Civil where applicant lives, has lived etc.  Neighborhood Canvass  Verify Residential History  Via other documents  Paid rent; good tenant etc.

Points To Remember  Gather all available facts  Verify, verify, verify  Stay in touch with background supervisor  Alert to possible concerns  Explore possibilities etc.  You are not required to approve or disapprove the applicant