Conducting Effective Background Checks

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Course Level
Delivered via
5 Credits


A frequent misconception about background checks is that there exists a massive, centralized data repository that stores every piece of information the government has ever collected on every person. In truth, information is often incomplete and fragmented between different agencies and non-governmental organizations. Sometimes the data available is simply unreliable. 

Furthermore, there is not a universal way to perform a background check, given that the level of depth and scope will vary based on the purpose of the search. The background check for a construction worker will not be the same as that for a high-level manager, and a check on an individual will differ greatly from one performed on an organization.  

This course will help you make sense of these issues by reviewing the fundamentals of performing background checks, exploring the various types of background checks and the purposes of each, and addressing the legal considerations to take into account when performing a background check. 

Key Takeaways:  

  • Fundamentals of performing background checks 
  • Legal considerations of performing a background check 
  • How to develop an effective background check policy  
  • Which records are available when conducting a background check 



You Will Learn How To:

Decide when to conduct a background check

Discern the types of records available when executing background checks

Develop a background check policy that will improve the quality of your organization’s employees and other business relationships

Identify research strategies and resources for effective background checks

Assess the major laws that govern background checks, including the Fair Credit Reporting Act; various anti-discrimination laws; financial and health privacy laws; considerations for state-specific laws; and anti-corruption statutes

Table of Contents

Lesson 1 Introduction
Lesson 2 When to Perform a Background Check
Lesson 3 Developing a Background Check Policy
Lesson 4 Public Records and Data Vendors
Lesson 5 Court and Law Enforcement Records
Lesson 6 Other Government Records
Lesson 7 Credit Reports
Lesson 8 Other Financial Records
Lesson 9 Additional Online Resources
Lesson 10 Reference Checking
Lesson 11 International Background Checks
Lesson 12 The Fair Credit Reporting Act
Lesson 13 Anti-Discrimination Rules
Lesson 14 Financial and Health Privacy Laws
Lesson 15 State-Specific Laws
Lesson 16 Bribery and Anti-Corruption Laws

CPE Information

This course fulfills the annual ethics CPE requirement for CFEs. Learn more about the ethics CPE requirements for CFEs.
CPE Credit: 5
NASBA Information: Business Law and Regulatory Ethics
Advanced Preparation: None
Last Updated: June 2022
Delivery Method: QAS Self-Study


CPE Credit

Please note: To be eligible for CPE credit, you must complete the final exam within one year of purchase date. You may only claim CPE credit for a course once.

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System Requirements:

  • Internet access: High-speed connection recommended
  • Speakers required for video sound

The Association of Certified Fraud Examiners, Inc. is registered with the National Association of State Boards of Accountancy (NASBA) as a sponsor of continuing professional education on the National Registry of CPE Sponsors. State boards of accountancy have final authority on the acceptance of individual courses for CPE credit. Complaints regarding registered sponsors may be submitted to the National Registry of CPE Sponsors through its website:


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