8.3. SR 03-04-2013C'ry of
Elk
River
REQUEST FOR ACTION
TO
ITEM NUMBER
Mayor and City Council
8.3
AGENDA SECTION
MEETING DATE
PREPARED BY
General Business
March 4, 2013
Michael Hecker, Parks and Recreation
Director
ITEM DESCRIPTION
REVIEWED BY
Background Screening Policy
Cal Portner, City Administrator
REVIEWED BY
ACTION REQUESTED
Approve by motion, the City of Elk River Background Screening Policy.
BACKGROUND /DISCUSSION
During the development of the Field and Facility Use Allocation Policy, it became apparent that we had
the need for a comprehensive background screening policy. National standards, as developed by
National Recreation and Park Association and National Alliance for Youth Sports, recommend a policy
to protect child safety through employee /volunteer background screenings.
The city's current screening policy is limited to Minnesota crimes, leaving substantial gaps in the screening
and lacks sufficient procedures to verify the identity of the person screened.
The attached policy applies to all Parks and Recreation employees and volunteers who will or may be
expected to have contact with children or vulnerable adults, as well as all Field and Facility Users'
program participants who will or might have such contact, as a condition of the approval for a field and
facility use permit. This applies to any youth sports organizations that use our athletic facilities.
A survey of local youth organizations found they annually conduct background screenings for coaches
and volunteers at a cost of $8 -19 per person. Our policy allows them be in compliance by conducting
their own background screening, if it satisfies all the elements of this policy. Our policy proposes a more
thorough screening every two years.
City Attorney Mark Mathison assisted with the development of this policy and provided a more detailed
analysis and consideration, which is attached for your information.
FINANCIAL IMPACT
Currently, background screenings for staff and volunteers are completed by the police department
through the Bureau of Criminal Apprehension, which has never been a direct cost to the department.
The estimated cost for background screenings under the new policy is $7,400, for all full -time, part -time,
and seasonal employees, contract employees, coaches and volunteers in the department at $18.50 per
person. If approved by City Council, we will budget $7,400 in 2014 for professional services.
r P 0 W E R E 0 0 V
A"URE
ATTACHMENTS
• Background Screening Policy
• Attorney Memorandum Background Screening Policy
POWERED 0Y
IN AUE
DRAFT FEBRUARY 2013
BACKGROUND SCREENING POLICY
Background Screening: An Exercise of Reasonable Care
The saying that a "bad volunteer is better than no volunteer" is untrue and
dangerous, and should never be considered appropriate when selecting
volunteers and employees, especially those who will work with children, youth,
and vulnerable adults. While municipal parks and recreation departments and
youth organizations across the country depend on volunteerism, failing to take
reasonable steps to screen employees and /or volunteers for risk factors related
to the roles they will play leaves such organizations, their volunteers and
employees, and most importantly, their participants at unacceptable risk.
While no background screening process can be absolutely comprehensive, and
none can offer a guarantee of safety, the City of Elk River hopes that by
implementing a strong policy and procedures will enhance public safety,
engender public confidence, and reduce the risk of exposure to liability
associated with failing to conduct reasonable background checks. The City
believes that a thorough background screening process will assist the City and
the community to provide quality programming in which safety is always the top
priority.
Policy Coverage
This Background Screening Policy shall apply to:
All volunteers and applicants for volunteer positions with the City of Elk
River
All applicants, employees and volunteers of City Field & Facility Use
Permit holders (referred to throughout this policy as "Permit Holders ")
who are18 years of age and above and who will be, or who reasonably
may expected to be, working directly with children, youth or vulnerable
adults in connection with performing services for the Permit Holder
• To the extent permitted under City ordinance, to all applicants for, and
employees in, paid positions with the City's Parks and Recreation
Department who will or might have such contact.
Policy Purpose
To protect the safety and well -being of children, youth, and vulnerable adults
participating in Parks and Recreation programs of the City of Elk River as well
DRAFT
as such persons participating in programs administered by Permit Holders, the
City of Elk River considers thorough background screening to be an exercise of
reasonable care, and has therefore adopted the following policy.
Policy Responsibility
The Parks and Recreation Director or his /her designee will be responsible for
administration of this policy.
The responsibilities of the Parks and Recreation Director under this policy shall
include establishing all necessary forms and procedures for implementation of the
policy, including but not limited to issuing forms for consent and notice to individuals
who will be subject to background checks and the maintenance and enforcement of
confidentiality standards.
Policy Effective Date
This policy shall become effective January 1, 2014, and shall be effective thereafter
unless and until it is rescinded or otherwise modified by action of the City Council.
Policy
The City requires particularized background screening for all persons to whom
this policy is made applicable in the section "Policy Coverage" above.
Before any person covered by this policy may engage in any activity of the City
or of the Permit Holder (as the case may be) that individual must pass a
background screen as particularly prescribed by the City.
As a condition of the City's grant of a Field and Facility Use Permit', all City
Permit Holders must agree to certify that each of their employees, members,
and volunteers who will work directly with children, youth, or vulnerable adults
has passed a particularized screen prescribed by the City for such purposes, as
set forth in this policy, before such employee, member, or volunteer may
participate in any activity connected with the Field Use Permit of that
organization.
Each City Permit Holder must enforce the background screening requirements
of this policy including the consequences resulting from a failed background
screening report. The Permit Holder is responsible for the Background Check
1 A 30 -day grace period shall apply from the date of an individual's 18th birthday in order to allow time for
the background screening to be processed. During the 30 -day grace period, the individual must be under
the direct supervision by a qualified adult who has passed the background check. It is the responsibility
of the individual, group, organization, and association to identify the individuals in this situation and to
meet the background screening requirement. Upon the conclusion of the 30 -day grace period, the
individual may not participate unless the background screening requirement is met.
2
DRAFT
fee, which may be billed directly to the Permit Holder. The Permit Holder may
elect to require its participants to pay the Background Check fee. Failure of the
Permit Holder to comply with the requirements of this policy will have
consequences that may include suspension and revocation of the Field and
Facility Use Permit and other privileges.
Each City Permit Holder may also in its discretion choose to require other
members of their organization to pass the background screening procedure
prescribed by this policy.
The City's particular background screen prescribed for its volunteers and
employees and others to whom this policy applies will in each case be narrowly
tailored to the particular position with the City or the Permit Holder held or
applied for by the individual. The City will comply, and requires Permit Holders
to comply, with all applicable laws regarding background screening.
Written (or appropriate electronic) consent must be obtained from each
individual who is proposed for a background check by the City or Permit Holder.
The City will pay the Background Check fee for its own employment applicants,
employees, and volunteers and volunteer applicants, but not for those
background checks requested by Permit Holders in compliance with this policy.
An appropriate notice of rights must be provided to all such individuals, including
notice of his or her right to initiate a dispute with the City's Background
Screening Provider over the content of such background check in certain
circumstances and to be provided with a copy of any background report relied
on by the City or the Permit Holder to disqualify the individual from participation
or employment with the City or Permit Holder.
Any individual failing a City - prescribed background screening shall not be
considered or screened for any position or participation with the City or Permit
Holder to which this policy applies for one year from the date of the failed
screen's having been conducted.
Frequency
Each individual required by this policy to be screened shall have a duty to self -
report immediately to the City or Permit Holder (as the case may be) any
subsequent conviction or other event for which a background screen was
conducted at the outset of their employment or participation.
In addition, each person to whom this policy applies shall be subject to re-
screening every two years, or at such other interval as the City may from time to
time determine in its discretion.
DRAFT
The Screening Process
The Parks and Recreation Director shall prescribe procedures for conducting
background checks using the City's electronic database and software. The
guiding principles and standards for such procedures are set forth below.
The Parks and Recreation Director shall prescribe to the Screening Provider the
particular background data to be considered for each particular position and the
requirements for passing the screening. Background check reports will be
delivered by the Provider on a pass -fail basis only into this database and will be
secured with access limited as set by the Parks and Recreation Director or
his /her designee for each particular context in which backgrounds checks are to
be conducted.
An individual who does not pass the background screening shall be given
required notices relative thereto in accordance with the federal and state Fair
Credit Reporting Acts, including but not necessarily limited to a copy of the
"Summary of Your Rights under the Fair Credit Reporting Act ", notification that
the individual is disqualified from employment or participation, and information
on how to dispute the results of the screening.
The City of Elk River Parks and Recreation Department is a national affiliate of
Operation TLC2 Making Communities Safe, a background screening program of
the National Recreation and Park Association (NRPA) administered by Southeastern
Security Consultants, Inc. (SSCI). SSCI specializes in conducting background
checks for volunteers in accordance with parks and recreation industry standard and
best practices.
The NRPA has reviewed the resources of the National Association of Professional
Background Screeners, and sought the counsel of recognized background screening
experts to develop a set of recommended guidelines for volunteer background
screening. The procedures in this policy have generally been set in accordance with
NRPA agency accreditation standards for parks and recreation agencies and NRPA
recommendations for a parks and recreation volunteer background screening policy.
Every individual required to submit to a background screening must complete, sign,
and date the Consent and Waiver Release Form. Electronic signatures maybe
acceptable in accordance with applicable law. All consent forms must be submitted
to the Recreation Division of the Elk River Parks and Recreation Department or to
the Permit Holder, whichever is the party to whom services will be rendered by the
individual, no later than the date designated by such party. Failure to provide a
completed consent form by an announced reasonable deadline may disqualify the
individual from participation and /or employment. Falsification of information on any
application or the consent/release form is grounds for
disqualification /revocation /dismissal.
11
DRAFT
Upon receipt of the consent form by the City Parks and Recreation Director (or
his /her designee) or by the Permit Holder, the party receiving the consent will
request that SSCI perform the background check of that individual.
What the Screening Will Entail
The prescribed background screening to be conducted under this policy shall
include a search of at least the following sources for particularized data
identified as relevant for the position proposed to be held by the individual
presented for screening:
Social Security Trace. Verifies that the person is who they claim to be.
The social security trace provides a history of past and present addresses and
names associated with the applicant's social security number, including maiden
names and aliases
Address Trace. To confirm jurisdictions in which the person has lived
during the period to be searched. The address trace confirms current and
past addresses to determine the jurisdiction(s) in which the background check
will be conducted.
State or County Criminal Record Search. In particular jurisdictions selected
based on the address trace, searches will be conducted of appropriate criminal
records that are job- or participation - related and consistent with the necessity of
protecting the safety of our children, youth, and vulnerable adults.
National Database Search. A search shall be conducted of a reputable,
regularly updated private national database as a means of supplementing (not
replacing) the thorough state and county criminal history search.
Sex Offender Registry. A search shall be conducted of all 50 State
repositories and the District of Columbia for known, registered sex offenders.
Alternative Screening Process and Service Providers
Upon application to, and approval by, the Parks and Recreation Director, a Permit
Holder may alternatively comply with this policy by conducting background screening
that satisfies all the elements of this policy using a background service provider and
database and software other than those prescribed by the City under this policy.
The Parks and Recreation Director shall provide a form for Permit Holders to seek
such approval, which form shall state the criteria for granting the approval sought.
Consequences to Field Use Permit Holders for Failure to Comply
Failure of a Permit Holder to comply with this policy to the satisfaction of the
City shall be cause for the City to impose suspend or revoke a Field Use permit
DRAFT
and /or to assess fees and /or extended suspensions against responsible
individuals and /or the Permit Holder.
Confidentiality
The City shall prescribe to the Screening Provider the data to be considered for each
particular position and the requirements for passing the screening. Background
screening results will be reported into a secure restricted - access database on a
pass -fail basis. All information received as a result of the screening shall be treated
as confidential private data on individuals and used or disclosed only in accordance
with the Minnesota Data Practices Act and other applicable law. Generally, for
volunteer and employment positions with the City, the screening results will be
available only to the Recreation Manager and his /her background screening
designee, the Parks and Recreation Director, the Chief of Police and the City
Attorney.
Permit Holders shall be responsible for maintaining the confidentiality of background
check reports and related information as appropriate within their organizations and
for identifying those persons who shall have access to the screening results. In all
events, such information must be used solely for the purposes of compliance with
this policy.
Note is made that in limited circumstances, the City may have a legal duty to
disclose such information to third parties, including government agencies.
Securing and Retaining Screening Results
The City of Elk River is responsible for securing the results of criminal
background checks conducted pursuant to this Policy that are reported to the
City in an electronic database and retaining them for the time period required by
law, or seven years, whichever is greater.
Disputes
In the event an individual who has been subject to a background check under
this policy wishes to dispute the information on which a background check
report has been based, the individual must initiate such directly with the
Background Check Provider (generally, SSCI). The City of Elk River shall not
be responsible for conducting or participating in any such dispute. The
resolution of any such dispute shall be governed by the federal and Minnesota
Fair Credit Reporting Acts and other applicable law.
The City of Elk River and its employees are not responsible for errors or
omissions that may be contained in any background check report made under
this policy.
31
DRAFT
Each approved group, organization, and association is required by this policy to
accept the findings of the City of Elk River approved background screen vendor
and enforce the disqualification.
Non - waiver
Nothing in this policy shall be construed as a waiver or limitation of the
discretion of the City of Elk River to disqualify an individual for a position with
the City as an employee or volunteer when, in the sole opinion of the City of Elk
River, such disqualification is in the interests of the City of Elk River and not
inconsistent with applicable law.
GP:3324618 v5
7
MEMORANDUM
TO: ELK RIVER CITY COUNCIL
FROM: MICHAEL HECKER
MARK MATHISON
RE: BACKGROUND SCREENING POLICY
DATE: FEBRUARY 28, 2013
EXECUTIVE SUMMARY
Today we present for consideration and adoption by the Council a new policy on
background screening that is proposed to be effective January 1, 2014. As drafted, this policy
would apply to all Parks & Recreation Department applicants and employees who will or may be
expected to have contact during the course of their performing services for the City with
children, youth, or vulnerable adults. In addition, this policy would also apply to require
background screening of all Field & Facility Users' program participants who will or might have
such contact, as a condition of the grant or continuation of a Field & Facility Use permit.
Parks and Recreation would be responsible for administration of this policy as written.
The background screening proposed under this policy is broader than the screening the City has
done in the past for employees and volunteers under the current City ordinance. The new
screening would be conducted by a vendor to the City and be integrated into the current software
and secure database in use at Parks & Rec. This will logistically streamline administration of the
new screening system. The cost for each background screen is a reasonable $18.50, though this
is a significant increase in cost over the City's current practices that will require budget planning.
In preparing and proposing this policy, careful attention has been paid to the many
competing practical and legal considerations that come into play for a municipality with respect
to background screening. We believe that the screening proposed here represents a reasonable
effort to enhance the safety of the most vulnerable populations we serve. The policy is designed
so that its administration will simultaneously observe the rights of individuals to be screened and
related duties of the City. We believe this policy represents the City's best opportunity to
balance the variety of competing objectives in this context.
BACKGROUND SCREENING CONSIDERATIONS
The proposed policy will require thorough background screening of individuals who in
connection with City service or facility use will have, or might reasonably be expected to have,
contact with children, youth, or vulnerable adults. The current scope of background screening is
significantly more limited than the screening proposed here. The motivation to do a more
thorough background screening arises from recognition of the fact that not all background
screening is created equal, and there are virtually an endless variety of possibilities in terms of
what sources a screen actually uses as well as the disqualifiers it applies in any particular
circumstance. As we understand it, the scope of the City's current screening is basically limited
to Minnesota crimes committed, leaving substantial gaps in the screening effort and potentially
lack sufficient procedures to verify the identity of the person screened.
The motivation to ensure strong screening is somewhat in tension with competing legal
considerations. This complex of issues requires a balancing act by the City of its rights, duties,
and motivations. Like other public and private employers, the City could potentially face
liability for failing to screen, or for hiring or allowing an ex- offender to be in contact with
vulnerable populations in performing services for the City or those who use its facilities on the
other hand, the City must balance potential liability for violating the rights of individuals by
conducting background screens that may not be directly job - related or that are overbroad in other
respects under state or federal law. Including the City's own ordinance, the web of laws
applicable to background screening is dense and complex. This memo does not attempt to set
out all of these laws and their application to the City or its field users in various circumstances.
Some of the most notable applicable laws that must be taken into consideration include the
following:
• Federal Fair Credit Reporting Act and Minnesota Access to Consumer Reports
Act
o These statutes require certain notice and disclosure to individuals to be
screened and provides avenues for dispute of screen's accuracy
• Federal Title VII and related Discrimination Laws & Minnesota Human Rights
Act
o These laws apply to employment and in that context preclude the City
from excluding individuals based on criteria that are not directly job -
related or that are too old or too speculative. Consideration of arrests, as
opposed to convictions, is especially problematic under these laws. In
essence, these laws require targeted screening based on an individualized
assessment of the job or role to be performed by the individual in question.
Only appropriate disqualifiers will pass legal muster, based on this
particularized assessment considering especially the nature of the crime,
the nature of the job or role, and the time elapsed since the offense.
Minnesota Criminal Offenders Rehabilitation Act.
o This statute applies to the City and limits how and when the City may
require background screening for employment other than police and fire
employment. It also prohibits exclusion from employment based on older
crimes and arrests, among other things.
2
• Minnesota Child Protection Background Check Act and Federal Serve America
Act
o This federal law requires organizations whose employees work with
vulnerable individuals (children, the elderly or disabled) to complete a
background check on those employees, including state and federal
criminal history check and a search of the predatory offender
database. Appropriate consent must be provided by the employee. The
Minnesota law permits, but does not require, such background screening,
and creates a system and procedure for the BCA to conduct such checks.
The price of such a BCA check is higher than the price of the TLC /SSCI
check proposed under this policy.
• Minnesota Government Data Practices Act
o This statute governs the confidentiality and potential for disclosure of
criminal history information obtained by the City.
• Ordinance
o To conduct background checks the City must have an ordinance in place; a
resolution of the Council will be insufficient under state law beginning in
2015. The current City ordinance states that the police department
exclusively conducts background screening for employment purposes.
The current ordinance would not need to be changed to permit the
background screening contemplated by this policy for volunteers and field
users. Change is required, however, before the policy can be applied to
Parks and Recreation employment applicants and employees. The policy
specifically calls out that no such application will occur unless and until
such ordinance change has been effected.
NOTABLE POLICY FEATURES
Some description and explanation of the proposed policy's most notable features follow
here.
• The Background Screening policy will become effective January 1, 2014, if
approved by the Council.
• The Background Screening policy will be tied in with the new Field Use policy
such that field and facility use permit holders will be required to comply with the
Background Screening policy. The database and software that will be used by the
City (which is already in place for other purposes) will be available to the permit
holders, and will be the preferred system for handling the screening requirement.
Permit holders may also comply, however, by applying to the Parks and
GP:3360150 dl
Recreation Director for permission to conduct an equivalent background check
using a different system and vendor and certifying that the alternative meets the
requirements of the policy.
• We have determined that the vendor TLC /SSCI provides a thorough screening
process at a reasonable price and that the City will be able to customize the
screening process with the vendor so that the City can appropriately manage its
compliance with Minnesota and federal law according to its own consideration
and interpretations.
• In order to conduct appropriately customized screens for particular positions and
roles with the City and field users, the Parks and Recreation Director will work
with legal counsel to develop particularized screening criteria to be used in each
case. The disqualifiers for one position may not be the same as those for another
position. This analysis will take into consideration factors such as the essential
functions of the position, the relevant crimes and duration of disqualification
related to each, and will record the analysis and justification for disqualification.
Staff who will be responsible for its administration will need training in
application of this policy.
• The City may not require applicants for its positions to pay the cost of the screen
and will need to budget for this expense. Field users may consider and set their
own policy on the payment of fees.
11
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