Criminal Background Checks Challenges

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Criminal Background Checks Challenges
Utility
2007 Annual Conference

• Jill Dougherty
• Nancy Swetnam

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CHALLENGES UTILITY

• Challenges
• Increasing Demand Use
• Decision Making Process Implementation
• Utility
• Best Practices for Regulatory Excellence

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DECISION

• How Is Decision Made?
• Who Are The Advocates/Opponents?
• Legislature
• Public
• Regulated Professionals
• Unregulated Professionals
• Regulatory Entity

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INFLUENCES ON DECISION

• Public Demand/Public Safety
• Media/High Profile Cases
• Political Influences
• Expectations of Agency Accountability
• Liability Concerns

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INFLUENCES ON DECISION

• Requirements for Other Professions
• Emerging Professions
• Global Economy
• Mobility of Professionals
• Societal Changes

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INFLUENCES ON DECISION

• Acceptance of Regulation
• Desire to Maintain Integrity of Profession
• Technology
• Current Political Issues e.g. Immigration

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OUTCOME

• Good Public Policy?
• Inconsistencies Across Professions, States,
  Borders
• Implementation Requirements Challenges
• Best Practices

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BACKGROUND CHECKS

• None
• Self Report
• Local/References
• Name Check
• Fingerprint Based

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ISSUES TO CONSIDER

• Need Risk to Public
• Required Authority Regulatory Entity, Local,
  State, Federal
• Initial, Renewal or Both?
• Need for Probable Cause
• Grandfather Clause?
• Provisional License?

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ISSUES TO CONSIDER

• Cost Who Pays Is It Affordable?
• Processing Time
• Processing Challenges e.g. Rejected
  Fingerprints
• Accuracy
• Completeness

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ISSUES TO CONSIDER

• Impact on Workload Private Vendor?
• Regulatory Decision Impact Value
• Public Record
• Retention Schedule
• Policies Procedures
• Legal Challenges

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U.S. EXPERIENCE

• More Background Checks
• Inconsistencies Re Requirement, Use/Impact,
  Retention
• Fingerprint Based

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U.S. EXPERIENCE

• Non-Criminal Justice Agency
• State National Check Statute or Local
  Ordinance Authority
• No Executive Order
• Federal Law
• Live-Scan vs. Rolled Fingerprints

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U.S. EXPERIENCE

• Transmittal Via Department Public Safety
• Local Check by DPS In 2 Days
• Electronic Transmittal to FBI
• National Results From FBI 2 Weeks
• Warrant Conviction Information
• Does Not Confirm Citizenship

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U.S. EXPERIENCE

• User Agreement
• Can Share Results With Applicant
• No Secondary Dissemination
• Confidentiality
• Subject to Audit
• Fingerprint Card Returned to Agency
• No Retention Requirements

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U.S. EXPERIENCE

• Processing Time Improved
• Significant Gaps in Records
• Increased Use Live-Scan
• Use of Other Sources
• Communication Issues Texas Audit

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U.S. EXPERIENCE

• Most Professions No Statutory Bar
• Felony
• Misdemeanor of Moral Turpitude
• Relationship Between Criminal Conduct
  Profession
• Unprofessional Conduct

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U.S. EXPERIENCE

• Nature Seriousness of Crime
• Age at Conviction
• Recency of Crime
• Evidence of Rehabilitation
• Candor in Application Process

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U.S. EXPERIENCE

• Restoration of Civil Rights
• Denial/Conditional Licensure
• Disciplinary Action
• Self Reporting Requirement?
• Summary Suspension
• Permanent Revocation

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Speaker Contact Information

• Jill Dougherty
• WeirFoulds LLP
• The Exchange Tower
• P.O. Box 480, Suite 1600
• 130 King Street West
• Toronto, ON M5X 1J5
• 416-947-5058
• jdougherty_at_weirfoulds.com
• Nancy Swetnam
• Arizona Supreme Court, Certification Licensing
  Division
• 1501 West Washington, Suite 104
• Phoenix, Arizona 85007
• 602-452-3362
• nswetnam_at_courts.az.gov