Conducting Background Investigations


Presented by:
Dana Turner

If you are your institution's Security Officer, one of your most important duties is to protect the image and integrity of the institution -- and its employees. Developing, administering and monitoring a comprehensive background investigation process should be an integral part of your Security Program. It's not the Human Resources Department's responsibility, because it often creates conflicts of interest. And the savvy institution doesn't just use this process for pre-employment purposes -- the background investigation process should become a routine component of the institution-wide, evolutionary process that provides a safe and secure environment for our employees to work -- and for our customers to do business.

The primary purpose for conducting a background investigation is to obtain the information necessary that allows the appropriate manager or executive to make an intelligent and informed decision about initiating or continuing a relationship with a person or a company. The most common reasons for conducting background investigations include:
  • Offering initial employment to an applicant
  • Readying a current employee for a promotion or a transfer
  • Nominating a non-institution-affiliated party for a position on the institution's board of directors, audit or supervisory committees
  • Screening potential third-party service providers for necessary contract services
  • Conducting a due diligence investigation prior to granting a loan or line of credit
  • Investigating any suspected theft or misuse
Presentation Topics
  • Introduction
  • The Security Department Should Be Responsible
  • Pre-Employment Background Screening Regulations & Guidance
  • Background Investigation Program: Policy & Procedure Components
  • Sample Background Investigation Program Guidelines
  • Initial & Continuing Background Investigation Practices
  • Pre-Employment Checklist
  • For Institution-Affiliated Parties
    • For Non-Institution-Affiliated Parties
  • Background Investigation Strategies
  • Learn About Offenders
  • Primary Sources Of Information
    • Public Records
    • County Clerk's records
    • Court records
    • Library and commercial database records
    • Licensing records
    • Registration and certification
    • Newspapers and other publications
    • Notary records
    • Other agency records, Department or Secretary of (name)
    • Agency & Private Company Confidential Records
    • Financial Institution Records
      • Types Of Financial Institutions
      • Types Of Financial Relationships
      • Techniques For Concealing Income
      • Opening Accounts
      • Common Documents & Devices
  • Summary
    This presentation is designed to help you:
    • Determine the background investigator's duties and responsibilities -- legal, moral and ethical
    • Comply with current and emerging regulations that mandate pre-employment background screening for employees and third-party service providers
    • Develop a background investigation policy and procedure that makes the best use of the institution's resources
    • Locate and understand the significance of the primary sources of information that are accessible to the background investigator in every community -- including public, agency, private company and financial institution records
    • Describe how certain types of offenders generate particular and predictable records
    • Understand why conviction records alone may not be enough -- and where you can get additional information about arrests and diversions
    • Determine how you can apply the same source information to other functions, such as asset recovery
    (requires Windows Media Player and IE).

    About the speaker:  
    Dana Turner
    Dana Turner is a security practitioner based in Pipe Creek, Texas. Dana has served as a law enforcement officer in several capacities -- including the investigation of business and banking crimes -- and he is celebrating his 34th year in crime.

    As a speaker and conference facilitator, Dana has delivered thousands of platform, telephone and Internet presentations. He has designed and participated in continuing education programs offered by state and national banking and credit union associations, state and federal examining and law enforcement agencies -- and state and national security, audit and human resources organizations.

    As a consultant, Dana has participated in or led hundreds of projects and assisted in the development and delivery of components of seminars, schools and conferences. As a writer, Dana has written many manuals and books -- and numerous newspaper, trade publication and magazine articles published and distributed both nationally and internationally. Dana is the author of the Financial Institution Security Library and he also serves as one of the moderators in's Security Forum.

    CD-ROM includes:

    • Complete presentation
      (including slides and audio)
    • Written Materials
    • Follow-up Q & A

    You have the right under this license agreement for this CD-ROM to use this presentation on a single-workstation. Use on a network is in violation of the copyright agreements. CD may be used by multiple users at a given institution but may not be placed on a network or in any other multi-user environment.

    This program was recorded in its entirety in August 2005. The CD-ROM includes program slides, materials (if available) and follow-up Q & A document.

    Add to Cart:

    • Model: cd_background0805
    • Manufactured by: Glia Group, Inc.

    This product was added to our catalog on Tuesday 11 January, 2005.

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