1. 2007 Annual Conference “ Criminal Background Checks – Challenges & Utility” Jill Dougherty Nancy Swetnam

2. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation CHALLENGES & UTILITY Challenges: –Increasing Demand & Use –Decision Making Process & Implementation Utility: –Best Practices for Regulatory Excellence

3. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation DECISION How Is Decision Made? Who Are The Advocates/Opponents? –Legislature –Public –Regulated Professionals –Unregulated Professionals –Regulatory Entity

4. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation INFLUENCES ON DECISION Public Demand/Public Safety Media/High Profile Cases Political Influences Expectations of Agency Accountability Liability Concerns

5. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation INFLUENCES ON DECISION Requirements for Other Professions Emerging Professions Global Economy Mobility of Professionals Societal Changes

6. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation INFLUENCES ON DECISION Acceptance of Regulation Desire to Maintain Integrity of Profession Technology Current Political Issues – e.g. Immigration

7. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation OUTCOME Good Public Policy? Inconsistencies Across Professions, States, Borders Implementation Requirements & Challenges Best Practices

8. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation BACKGROUND CHECKS None Self Report Local/References Name Check Fingerprint Based

9. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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?

10. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation ISSUES TO CONSIDER Cost: Who Pays & Is It Affordable? Processing Time Processing Challenges – e.g. Rejected Fingerprints Accuracy Completeness

11. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation ISSUES TO CONSIDER Impact on Workload: Private Vendor? Regulatory Decision: Impact & Value Public Record Retention Schedule Policies & Procedures Legal Challenges

12. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation U.S. EXPERIENCE More Background Checks Inconsistencies Re Requirement, Use/Impact, Retention Fingerprint Based

13. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

14. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

15. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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

16. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation U.S. EXPERIENCE Processing Time Improved Significant Gaps in Records Increased Use Live-Scan Use of Other Sources Communication Issues: Texas Audit

17. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation U.S. EXPERIENCE Most Professions No Statutory “Bar” Felony Misdemeanor of “Moral Turpitude” Relationship Between Criminal Conduct & Profession “Unprofessional Conduct”

18. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation U.S. EXPERIENCE Nature & Seriousness of Crime Age at Conviction Recency of Crime Evidence of Rehabilitation Candor in Application Process

19. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation U.S. EXPERIENCE Restoration of Civil Rights Denial/Conditional Licensure Disciplinary Action Self Reporting Requirement? Summary Suspension “Permanent” Revocation

20. Atlanta, Georgia 2007 Annual Conference Council on Licensure, Enforcement and Regulation 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@weirfoulds.com Nancy Swetnam Arizona Supreme Court, Certification & Licensing Division 1501 West Washington, Suite 104 Phoenix, Arizona 85007 602-452-3362 nswetnam@courts.az.gov