Sec.20-529e-16. Background investigation

(a) The department shall have the authority to conduct investigations and examinations for:

(1) The purposes of initial registration, registration renewal, registration suspension, registration conditioning, registration revocation or termination, or general or specific inquiry or investigation to determine compliance with sections 20-529e-1 to 20-529e-17, inclusive of the Regulations of Connecticut State Agencies. The department shall have the authority to access, receive and use any books, accounts, records, files, documents, information or evidence including, but not limited to:

(A) criminal, civil and administrative history information, including non-conviction data as specified in applicable provisions of the Connecticut General Statues; and

(B) any other documents, information or evidence the department deems relevant to the inquiry or investigation regardless of the location, possession, control or custody of such documents, information or evidence; and

(2) The purposes of investigating violations or complaints arising pursuant to sections 20-529e-1 through 20-529e-17, inclusive, of the Regulations of Connecticut State Agencies, or for the purposes of examination, the department may review, investigate, or examine any licensee, individual or person subject to sections 20-529e-1 to 20-529e-17, inclusive, of the Regulations of Connecticut State Agencies, in order to carry out the purposes of said regulations.

(b) The department may conduct a background check as part of the initial application for registration as an appraisal management company or for the renewal thereof. The department shall review any information regarding a criminal conviction in accordance with the criteria set forth in 46a-80 of the Connecticut General Statutes.

(c) If an applicant, registrant, controlling person, compliance manager, owner or managing principal’s criminal history background investigation reveals one or more convictions, the conviction shall not automatically bar registration, provided the conviction is not related to the transfer of real property. The department shall consider the provisions as set forth in section 46a-80 of the Connecticut General Statutes, as well as all of the following factors regarding the conviction:

(1) The level of seriousness of the crime;

(2) The age of the person at the time of the conviction;

(3) The factual circumstances surrounding the commission of the crime, if known; and

(4) The person's prison, jail, probation, parole, rehabilitation, and employment records since the date the crime was committed.

(Effective November 10, 2015)