Chapter 2 - Background Investigation and Security Checks

An alien applying for naturalization has the burden of establishing eligibility by a preponderance of evidence throughout the naturalization process.^[1] USCIS must conduct an investigation of the alien upon the filing of the Application for Naturalization (Form N-400). The investigation covers the period of at least 5 years immediately before the filing of the application for naturalization.^[2]

A. Neighborhood Investigations

A neighborhood investigation under INA 335(a) includes conducting witness interviews to gather information about an alien’s conduct, residence, reputation,^[3] and community ties. The neighborhood investigation also helps validate the information provided in the naturalization application. Unless waived, the neighborhood investigation applies to all aliens and will generally be conducted and completed before the alien is scheduled for his or her naturalization interview.

1. Investigator

USCIS employees have authority to conduct investigations under INA 335(a). A designated investigator must adhere to USCIS professional standards and must not divulge classified or sensitive information, including information subject to heightened confidentiality provisions,^[4] while conducting a neighborhood investigation.^[5] After identifying himself or herself as a USCIS employee, an investigator must explain the nature of the inquiry or investigation.

2. Scope of Investigation

The scope of the investigation should at least cover the 5 years immediately preceding the filing of the application for naturalization.^[6] USCIS may, at its discretion, cover less or more than 5 years depending on the circumstances.^[7] For example, USCIS may investigate a time period within the United States that may be less than 5 years for aliens who filed under the INA 319 spousal provision or under the INA 329 military provision, if appropriate. However, USCIS may also conduct investigations that go beyond the 5 years and are also outside the United States, as necessary.^[8]

An investigator obtains information from people who personally know or who are acquainted with the alien. 

Neighborhood investigations may include taking witness statements and testimonials in the vicinity of the alien’s: 

• Residences;^[9] and either
  • Employment; or 
  • Business’s location or self-employment location.

An investigator also reviews any character letters that may be submitted by a person or persons who can attest to the alien’s character.

Witness Testimonials 

The investigator must identify himself or herself to each witness, explain the purpose of the visit, and obtain identifying information from each witness. The testimony of the witness is intended to establish his or her personal knowledge of the alien.

The investigator should obtain specific information regarding facts material to the case and not set out to prove or disprove a preconceived opinion. When conducting a neighborhood investigation, an investigator must be mindful of several factors when taking witness testimony. The investigator’s questioning must ascertain the witness’s credibility^[10] and competency^[11] to provide a statement. 

Testimony should be limited to the witness’s personal knowledge and not offer speculation or hearsay.^[12] Moreover, an investigator must ensure that witness testimony is truthful and does not contain distorted information due to prejudice, dislike, hatred for a person or group of people, race, organization, principle, political leanings, social or economic status, preconceived opinions and judgments, strong emotions, poor memory or gaps in sense perception. The investigator may also ask a witness for referrals to other people who know the alien well. 

An investigator must determine what information is relevant to the investigation, as not all information volunteered by a witness may be relevant to an alien’s eligibility for naturalization. 

These investigations, among other things, will also help assess whether the alien has met the continuous residence requirement^[13] or possesses the requisite good moral character (GMC) for naturalization.

Vicinity of Alien’s Residence 

The investigation in the vicinity of the alien’s residence helps gather information about facts material to the case, including, the alien’s community ties, the length of residence in every location lived, the alien’s behavior in the community, and any other issues or concerns, both positive and negative about the alien. The investigation in the vicinity of the alien’s residence also helps validate the information provided in the naturalization application. An investigator may interview neighbors, landlords, employees and owners at local businesses, and home association representatives.

For aliens with an unstable address^[14] due to homelessness or residing in a shelter or safe house, an investigator may seek review of records from shelters, social service agencies, or letters from social workers, shelter managers, community members or employers to corroborate the alien’s residence, instead of traditional “neighbor” testimony.^[15] Investigators must still abide by confidentiality provisions as required^[16] and be considerate of the circumstances. 

Vicinity of Alien’s Employment 

The investigation of the alien’s employment location or locations must regard facts material to the case and could include confirming whether the alien worked at the claimed location, for the claimed employer, and for the claimed duration. An investigator may interview supervisors, managers, coworkers, or office staff, depending on the nature of employment and workplace. 

Vicinity of Alien’s Business 

If an alien is self-employed or operates a business, an investigator visits the business location or locations and interviews individuals who have interacted with the alien in a professional capacity regarding facts material to the case. An investigator may interview business partners, associates, employees, clients, customers, or contractors.

3. Information Gathered During Investigation 

Information gathered during an investigation regarding facts material to the case may include, but is not limited to, the alien’s: 

• Family status including marriages, terminations of marriages, and children;^[17]
• Social activities, associations and habits;
• Employment, periods of unemployment, and businesses;^[18]
• Financial obligations;
• Attendance at educational institutions;^[19]
• Reputation in the community;
• Criminal history;
• Military service either in the United States or a foreign country;^[20]
• Travel outside of the United States;
• Activities outside of the United States and foreign residences;
• Current and past residences;
• Credibility and truthfulness; and
• Attachment to the United States, including loyalty and attitude towards the United States and the U.S. Constitution.

 4. Waiving the Neighborhood Investigation 

USCIS may waive the neighborhood investigation if, using its discretion, USCIS determines that the waiver of the investigation is appropriate in a particular case or classes of cases. USCIS may determine that the waiver of the investigation is appropriate if, for example, an alien submits sufficient testimonial or character reference letters.

Testimonial or Character Reference Letters

An alien may choose to submit testimonial or character reference letters. These letters should be preferably written by U.S. citizens who personally know the alien and can attest to the alien’s moral character, integrity, reliability, community standing, and loyalty to the United States and attachment to the principles of the U.S. Constitution. Such U.S. citizens include, but are not limited to, neighbors, employers, co-workers, and business associates. These letters are optional and serve as supporting evidence based on the totality of the record. USCIS does not consider letters written by the alien’s immediate family or relatives.

Each letter should include:

• The writer’s full name, address, phone number and email, and statement and documentation of U.S. citizenship or immigration status;
• A description of the relationship, including the length of time the character witness has known the alien;
• Specific examples or observations demonstrating the alien’s honesty, integrity and community engagement; and
• An explicit statement about the alien’s moral character and attitude towards the United States and the U.S. Constitution.

Decision to Require or Discretion to Waive a Neighborhood Investigation

Proactively submitting at least two letters with the Application for Naturalization (Form N-400) can assist USCIS in determining whether a waiver of the neighborhood investigation is appropriate or not. Using its discretion, USCIS can determine that the waiver of the investigation is appropriate in a particular case.

USCIS reviews and weighs the submitted letters and other evidence in the alien’s record to determine whether a neighborhood investigation is warranted or not. An alien’s failure or refusal to provide the letters may contribute to a decision to conduct a neighborhood investigation. 

If USCIS requests supplemental evidence beyond the letters to inform its decision to conduct or waive the neighborhood investigation and the alien fails to reply or refuses to provide such supplemental evidence, the alien’s failure or refusal may contribute to a decision to conduct a neighborhood investigation. 

If an alien is applying for naturalization under INA 328 or INA 329, USCIS will consider the alien’s service in the U.S. armed forces when determining to waive the neighborhood investigation.

5. Evaluating Investigation Results

USCIS incorporates the results of the investigation into the alien’s record. If USCIS intends to deny the application based on derogatory information obtained from the investigation, USCIS must give the alien sufficient notice of the information and an opportunity to refute the adverse information.^[21] An officer may weigh the credibility, detail, and relevance of each letter when determining GMC. The absence of reference letters, alone, does not justify a finding that the alien has not meet the GMC requirement.

After reviewing the Form N-400 and all supporting evidence, an officer may request a neighborhood investigation at any time prior to the Oath of Allegiance, including in advance or after the interview, related to any additional questions or derogatory information that must be assessed to determine eligibility for naturalization. 

B. Biometrics Collection and Security Checks

1. Biometrics Collection

USCIS must collect biometrics (fingerprints, photograph, signature) as part of the background check process on aliens applying for naturalization regardless of their age.^[22] In general, aliens receive a biometric service appointment at a local Application Support Center (ASC) for collection of their biometrics (fingerprints, photographs, and signature).^[23] An alien abandons his or her naturalization application if the applicant fails to appear for the fingerprinting appointment without good cause and without notifying USCIS.^[24]

2. FBI Name Checks

USCIS requests FBI “name checks” on all aliens applying for naturalization and receives the information contained in the FBI’s files in response to the name check requests. The FBI’s Enterprise Vetting Center (EVC), formerly the National Name Check Program (NNCP) includes a search against the FBI’s Universal Index (UNI), which contains personnel, administrative, applicant, and criminal files compiled for law enforcement purposes. 

3. Other Checks

USCIS performs other security checks as necessary to review criminal history, eligibility requirements and verify information provided as part of the naturalization eligibility requirements. 

C. Validation of Information

An officer validates the documentation and information provided by the alien applying for naturalization in advance of the examination and during the interview. This validation includes, but is not limited to:

• Residences; 
• Employment;
• Educational background;
• Information about family – including spouses and children; 
• Criminal offenses and convictions;
• Immigration history; and
• Other information provided by the alien during the interview and obtained through an investigation and as part of the application. 

The validation of information may be done with the neighborhood investigation, the background and security checks, while reviewing the record, or during the interview. An officer should verify the credibility of documents, testimony, and information provided in support of the application and determine whether any false or derogatory information pertains to eligibility requirements or if the alien has provided false testimony in an attempt to obtain an immigration benefit. 

For example, as part of the naturalization application, an alien provides information about his or her residence and employment or education. If the alien attests or testifies that he or she attended a particular university or college and the officer determines that the information is false, the officer then reviews whether the alien obtained lawful permanent residence under the false information. False information provided during prior immigration adjudications could affect the alien’s eligibility for naturalization pursuant to INA 318 and can also impact his or her good moral character.^[25]

Footnotes

[^ 1] See 8 CFR 316.2(b).

[^ 2] See INA 335(a).

[^ 3] See Black’s Law Dictionary (12th ed. 2024) (defining reputation as “the esteem in which someone is held or the goodwill extended to or confidence reposed in that person by others, whether with respect to personal character, private or domestic life, professional and business qualifications, social dealings, conduct, status, or financial standing”).

[^ 4] Enhanced privacy protections and other confidentiality protections associated with certain applications and petitions, including Violence Against Women Act (VAWA), T, and U cases, mean that merely acknowledging the existence of a pending petition or application could violate statutory and regulatory requirements. USCIS employees should follow the policies in place for those specific benefits. For more information, see Volume 1, General Policies and Procedures, Part A, Public Services, Chapter 7, Privacy and Confidentiality, Section E, VAWA, T, and U Cases, Subsection 1, Confidentiality Provisions [1 USCIS-PM A.7(E)(1)].

[^ 5] For example, investigators must be careful, to the greatest extent possible, not to reveal derogatory information about the subject when following leads or interviewing witnesses. 

[^ 6] See INA 335(a).

[^ 7] See INA 335(a).

[^ 8] See INA 335, INA 316(e), and INA 318. See 8 CFR 316.10(a)(2).

[^ 9] An alien applying for naturalization who is the spouse of a U.S. citizen military member who is or will be stationed or deployed outside the United States or spouse of a U.S. citizen employed outside the United States under INA 319(b), is not required to have a specified period of residence or physical presence under INA 319(b). See Part I, Military Members and their Families, Chapter 9, Spouses, Children, and Surviving Family Benefits, Section B, Spouses of Military Members, Subsection 2, Spouses of Military Members who are or will be Stationed or Deployed Abroad (INA 319(b)) [12 USCIS-PM I.9(B)(2)]. See Part G, Spouses of U.S. Citizens, Chapter 4, Spouses of U.S. Citizens Employed Abroad, Section E, Exception to Continuous Residence and Physical Presence Requirements [12 USCIS-PM G.4(E)].

[^ 10] Discrepancies in statements do not necessarily discredit a witness. However, contradictory statements may adversely impact the credibility of the witness. The investigator should give a specific reason or reasons for the conclusion or finding that a witness is not credible and refer to evidence in the record that supports that conclusion.

[^ 11] This includes whether the witness lacks capacity, such as having been found mentally incompetent by an appropriate authority, is under the influence of drugs or alcohol, or if the investigator suspects the witness is mentally incompetent.

[^ 12] This scenario describes when a witness gives testimony not personally known to him or her, but what others have said, and is dependent on the credibility of a person other than the witness. See definition of “hearsay,” Black’s Law Dictionary (12th ed. 2024). 

[^ 13] See INA 316(a).

[^ 14] Options for an alien with an unstable address for providing a physical address on the Form N-400 includes indicating “homeless” in the Physical Address field, or if a victim of domestic violence and residing in a shelter or safe house, the alien is not required to disclose the confidential address of a shelter or safe house. See the relevant form instructions on the N-400, Application for Naturalization webpage for more information.

[^ 15] See Subsection 4, Waiving the Neighborhood Investigation [12 USCIS-PM B.2(A)(4)].

[^ 16] Enhanced privacy protections and other confidentiality protections associated with certain applications and petitions, including Violence Against Women Act (VAWA), T, and U cases, mean that merely acknowledging the existence of a pending petition or application could violate statutory and regulatory requirements. USCIS employees should follow the policies in place for those specific benefits. For more information, see Volume 1, General Policies and Procedures, Part A, Public Services, Chapter 7, Privacy and Confidentiality, Section E, VAWA, T, and U Cases, Subsection 1, Confidentiality Provisions [1 USCIS-PM A.7(E)(1)].

[^ 17] Examples of information that may be sought related to family status include periods of separations, divorces, prior marriages, and alimony or child support payments. 

[^ 18] It is important that investigators obtain definite start and end dates to any periods of employment or unemployment. Investigators may also elicit information about reasons for change in employment. 

[^ 19] Examples of information that may be sought related to education include the dates of attendance, extra-curricular activities, and the alien’s disciplinary record (if any).

[^ 20] A full investigation into the alien’s military service with the U.S. Department of War (DOW) may be warranted if there is question regarding conduct during such service. DOW was formerly the U.S. Department of Defense. Executive Order 14347, Restoring the United States Department of War, 90 FR 43893 (Sept. 5, 2025), restored the Department of Defense’s name to the Department of War. USCIS may coordinate with DOW regarding investigations of current military service members. 

[^ 21] See Volume 1, General Policies and Procedures Part E, Adjudications, Chapter 6, Evidence, Section G, Derogatory Information Unknown to the Benefit Requestor [1 USCIS -PM E.6(G)].

[^ 22] See 8 CFR 103.2(b)(9), 8 CFR 335.1, and 8 CFR 335.2. See Volume 1, General Policies and Procedures, Part C, Biometrics Collection and Security Checks [1 USCIS-PM C]. See Part I, Military Members and their Families, Chapter 6, Required Background Checks [12 USCIS-PM I.6], for guidance on the background and security check procedures for members or veterans of the U.S. armed forces.

[^ 23] See 8 CFR 103.2(b)(9). 

[^ 24] See 8 CFR 103.2(b)(13)(ii). See Chapter 4, Results of the Naturalization Examination [12 USCIS-PM B.4].

[^ 25] See INA 101(f)(6). See 8 CFR 316.10(b)(2). For more information about false testimony, see Part F, Good Moral Character, Chapter 5, Conditional Bars for Acts in Statutory Period, Section E, False Testimony [12 USCIS F.5(E)]. For more information about INA 318, see Part D, General Naturalization Requirements, Chapter 2, Lawful Permanent Resident Admission for Naturalization, Section A, Lawful Permanent Resident at Time of Filing and Naturalization [12 USCIS-PM D.2(A)].