Screening potential volunteers
Abstract
Screening volunteers is part of the larger risk management effort that helps your program exercise reasonable care (sometimes called “due diligence”) when faced with the chance that harm could result from activities. This effective practice provides an outline and explanation of the various steps that can include an application, formal interview, reference checks, criminal history record check, and ongoing monitoring. Shared by LEARNS/ The Northwest Regional Educational Laboratory in January 2008.Issue
Screening is a multi-step process that can seem confusing or intimidating, but must be performed as part of a program's overall risk management strategy when working with vulnerable populations.Action
Below is a sample outlining the steps typically involved in screening a potential volunteer or staff member:Step 1: Orientation to the Program
The first step in screening is orienting the applicant to your program. This may be a formal session or informal first meeting. Regardless of format it is important to communicate that the safety of your clients is paramount. At this time you will also introduce the mission and goals of your program, clarify time commitment, articulate qualifications, and explain the screening process. Being clear about your screening process up front allows applicants who may not be suitable to self-select out.
Step 2: Application Packet
At this step potential applicants are given a packet that includes an overview of the program, position description, formal application, record check permission form, self disclosure of criminal activity questions, and a request for other required paperwork such as CPR/First Aid certifications, professional licenses, GED or HS Diploma, as appropriate. Be sure to collect information that will help you judge whether candidates meet requirements for service, state-specific permissions for background checks, and other background information (i.e., current home address and addresses for the past five years). The application process allows you to observe the applicant's behavior, personality, and other characteristics that may affect his or her appropriateness for the position. Refer to the "U.S. Department of Education Mentoring Program's Guide to Screening and Background Checks" (http://www.edmentoring.org/pubs/screening.pdf ) to view sample forms and other screening materials.
Step 3: Formal Interview and Reference Checks
The formal interview gives you a chance to ask questions that expand or clarify information gathered through an application packet. These questions should be open-ended (not answerable by yes or no). This face-to-face exchange provides an excellent opportunity to evaluate an applicant's communications skills, level of enthusiasm, motivations, mannerisms, and general comfort level in a social situation. The interview is also a chance for the applicant to get to know your program, ask detailed questions, and generally gauge if he or she will be a good fit.
Checking references allows you to learn about the applicant from a third party. References might include former and current employers, former volunteer directors, friends, roommates, and professional colleagues, but not persons related by blood or marriage. Be diligent when checking references. Always follow up with additional questions until you have the answers you need to make a determination. Don't skip reference checks if references are difficult to reach or unavailable.
Step 4: Criminal History Record Checks
The criminal history record check is the next step for applicants you are still considering (there is no reason to do a criminal history record check on someone who didn't pass the reference checks or the interview). As the Corporation notes:
"Unless the Corporation approves an alternative screening protocol and unless prohibited or otherwise precluded by state law, a covered grantee must, in selecting an individual for participation, conduct and document two searches: (A) A search (by name or fingerprint) of the state criminal registry for the state in which the program operates and the state in which the applicant resides at the time of application; and (B) a search of the Department of Justice (DOJ) National Sex Offender Public Registry (NSOPR) at http://www.nsopr.gov."
(From Corporation for National and Community Service, 45 C.F.R. § )
Throughout the country, local-level screening varies greatly including:
- Differences in laws from city to city and state to state
- Access to records
- Information needed to initiate a search
- Definitions of particular crimes
- Availability of data (online or location specific)
- Report format and content
Start with the state criminal history records repository to determine if you are allowed to search the records, whom to contact, what information you need, how much it costs, how long it will take, and the types of information you'll get back. A list of state repositories can be found in Appendix B of the "U.S. Department of Education Mentoring Program's Guide to Screening and Background Checks" (http://www.edmentoring.org/pubs/screening.pdf).
Step 5: Interpreting the Results of Record Checks
A clean criminal history is not evidence that an applicant is perfectly safe and suitable. Unfortunately, no criminal history record check can fully document these attributes. In addition, unless the record check was based on fingerprint comparisons (FBI, SafetyNET, and some states), there is no guarantee that the individual being checked is the person with the criminal record. And even then, the FBI databases are only as conclusive as the data supplied by local and state jurisdictions. Thus, a clean record merely means that no record of past criminal convictions was found for the individual in question.
If an applicant is found to have a criminal history record, you should:
1. Confirm, to the best of your ability, that the individual hasn't been identified in error. This may require asking further questions of the applicant or working with a particular law enforcement agency to get the information needed to clarify the situation.
2. Determine if there is a disposition for the crime (case has been dismissed or they were not convicted).
3. Apply your program's criteria for disqualification and mitigating circumstances.
4. Disqualify the applicant if the person has been convicted of any disqualifying offenses without sufficient mitigating circumstances.
5. If there is an offense that does not warrant immediate disqualification, use this opportunity to ask more questions and gather more information so that you can make an informed decision.
Information obtained should be interpreted solely on the basis of an applicant meeting the requirements necessary to perform successfully according to your position description, the list of identified risks inherent in the position, and list of disqualifying offenses and mitigating circumstances to be taken into account.
Permanent disqualifiers include:
- An individual who is subject to a sex offender registration requirement (as specifically stated in the final rule on national service criminal history checks)
- Prior history of abuse of vulnerable populations, sexual or otherwise
- Conviction of any other crime in which vulnerable populations were involved
- History of extreme violence or sexually exploitive behavior
- Termination from a paid or volunteer position due to misconduct with vulnerable populations
Step 6: Additional Screening Mechanisms
When determining if additional screening — beyond the state criminal history record check and sex offender registry check— is necessary for a specific applicant, ask yourself if these checks give your program all the background information it needs to determine his or her eligibility. If the answer is no, additional checks may be necessary.
Remember, the screening methods you choose are tied to the details of the position description and possibly the setting or policies governing staff and volunteers. For example, you'll need additional checks if applicants are required to drive as part of their duties (e.g., a driving records check). If applicants are required to handle money as part of their duties, you may need to run a credit-history check. If a school site or district policy requires a TB test for all on-campus volunteers, then you have an additional screening mechanism to consider. Depending on your circumstances and volunteer requirements, some of these screening mechanisms may not be necessary. It is up to your program, your legal counsel, and your partners to determine if any of these are required.
Step 7: Ongoing Supervision and Monitoring
Supervision is an essential component of your risk management program and deals with the here and now, not with past actions. Screening is ongoing, as supervision provides an opportunity to evaluate how well the volunteer is performing according to the job requirements, as well as a mechanism to make corrections along the way. But if safety issues arise, action should be taken immediately and, depending on the nature of the offense, steps should be taken with the proper authorities.
General Considerations
The process outlined above is listed in brief and may be conducted in different ways. For a detailed example of a mentor screening process visit: http://www.edmentoring.org/pubs/screening.pdf.
- Each program should carefully research and set up a screening system in accordance with state and federal guidelines.
- Each program needs to work with appropriate legal counsel and partner staff to determine the scope of screening needed based on individual program needs and the needs of those served.
Context
Millions of children, older adults, and persons with disabilities receive support services from programs each year. While rare, abuses do occur, causing trauma to individuals, mistrust in communities, and legal problems for programs. In 1993 the National Child Protection Act [Pub. L. No. 103-209] was passed to help protect children, the elderly, and the disabled. In 1996 Megan's Law [federal (HR2137)] was passed requiring the release of relevant information to protect the public from sexually violent offenders. Additional laws have been passed since 1993 strengthening protections for our most vulnerable populations. In 2007 the National Service Criminal History Checks Final Rule (45 C.F.R. §) outlined screening requirements for Corporation grantees.Outcome
Creating a thorough and appropriate screening process helps programs show due diligence in the protection of the vulnerable populations they serve. Program staff are better equipped to screen potential volunteers when a formal process is in place. Additionally, a formal screening process helps guarantee uniformity and consistency, and should be added to the policies and procedures of the organization.Evidence
It is difficult to measure whether or not screening volunteers impedes crime and abuse, but we do know that screening helps keep undesirable volunteers out of programs. For example, MENTOR/The National Mentoring Partnership's SafetyNet pilot program * found that:- Approximately 6.5 percent of potential volunteers screened through the pilot had criminal records of concern
- Even though volunteers knew a background check was being performed, over half (53.4 percent) of those with criminal records indicated on their application form that they did NOT have a criminal record
* SafetyNET Pilot Program Manual and Forms, available online at: http://apps.mentoring.org/safetynet/manual.adp.
Posted On
February 6, 2008For More Information
Resources
Frequently Asked Questions: Final Rule on National Service Criminal History Checks
http://www.nationalserviceresources.org/filemanager/download/ProgramMgmt/FAQs_FinalRule_Oct29_07.pdf
Guidelines for the Screening of Persons Working with Children, the Elderly, and Individuals with Disabilities in Need of Support
http://www.ncjrs.gov/pdffiles/167248.pdf
The U.S. Department of Education Mentoring Program's Guide to Screening and Background Checks
http://www.edmentoring.org/pubs/screening.pdf