“Responsible Staffing” (Preventing Abuse)
Guidelines on Screening Practices
for Use by Unitarian Universalist Association Organizations
When Adding Clergy, Professional Leaders, Staff, and Volunteers
What is the challenge? In the absence of Unitarian Universalist Association
recommended guidelines to follow when calling ministers, hiring professional
leaders and church staff, and recruiting volunteers, congregations
and other UUA organizations may be reluctant to conduct warranted screening
of ministers, employees, and volunteers.
Why is the lack of screening a problem? Failure to institute uniform screening procedures
can result in unnecessary risks for vulnerable members of the UUA community
as well as an unnecessary risk of legal liability for congregations and other
UU organizations. Legal liability turns on whether or not, when a congregation
or organization gives a person access to vulnerable members, it took appropriate
steps to protect those members from harm.
How can this problem be addressed? Only by adopting appropriate screening
guidelines and following the procedures they call for will these risks be minimized.
Who ought to take responsibility for implementing this effort? The decision
to adopt guidelines and the responsibility for implementing them will be up
to the governing board of each congregation, associate member organization,
independent affiliate organization, and related organization, to each District
board, and to the Unitarian Universalist Association Board of Trustees on behalf
of the Association, the Ministerial Fellowship Committee, the Religious Education
Credentialing Committee, and the Sponsored Organizations. Although each congregation
or organization retains the discretion to adopt or reject this policy, we urge
you to consider the potential ramifications of your decision.
When should this problem be addressed? Before it is time to regret the
failure to act in time.
Tracey Robinson-Harris ,
Director, Congregational Services Staff Group
Harlan Limpert,
Director, District Services Staff Group
Beth Miller , Director, Ministry and Professional Leadership Staff Group
John Weston , Settlement Director
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This Program and Its Goal
Beginning in the 1970’s with the renaissance of the women’s movement
and ever since, the UUA and its member congregations and related organizations
have explored the meaning of our covenant, both theologically and experientially.
Our Purposes and Principles, passed by the General Assemblies of 1984 and 1985,
are the most notable theological expression of that work. Foremost among the
many experiential expressions is our focused attention to the quality of congregational
life. Thanks to the UU Women’s Federation, the professional ethics codes
of the UU Ministers Association and the Liberal Religious Educations Association,
Task Force I, Task Force II, the authors and editors of Creating Safe Congregations
and Restorative Justice for All, and many others, the UUA provides an
abundance of material to aid congregations in addressing the misuses of power,
and specifically sexual power, in our congregations and related organizations.
By means of programs such as Journey Toward Wholeness, addressing racism
and oppression, and Safe Congregations, addressing clergy misconduct and abuse,
peer harassment and abuse, and child abuse and neglect, and resources such as
the Safe Congregations Handbook (available from the UUA Bookstore) and Restorative Justice
for All, our Association has grown increasingly aware that if “earth
shall be fair, and all her people one,” we must start with how we live
with one another in our congregations.
Congregations and related UU organizations that follow Safe Congregations
guidelines will keep abuse-enabling conditions to a minimum and address issues
of abuse of power in ways both grounded and informed. The goal of Responsible
Staffing is more confined: to recommend guidelines that enable congregations
and other UU organizations to take reasonable precautions when bringing new
people into positions of leadership that give them access to vulnerable people. Ministerial search committees, religious educator
search committees, personnel committees, nominating committees, religious education
committees, caring committees, CONs and other youth- and young adult-serving
bodies, District bodies—any body charged with the responsibility to recommend
or hire staff or to recruit volunteers will make better choices by following
these guidelines. We recommend adoption of these guidelines by the Unitarian
Universalist Association itself, as well, including the UUA Ministerial Fellowship
Committee, the Religious Education Credentialing Committee, and its Sponsored
Organizations. Our goal is to create among us a culture of covenantal accountability.
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Risk Factors and Risks
It is important to keep an open mind about persons who may take advantage of
a condition of vulnerability. There are predatory adults, no doubt: self-centered,
narcissistic, capable of denial to an extraordinary degree, and devious. Such
persons seem to possess finely-tuned radar, allowing them to identify someone
whose life circumstances and dependency needs make them especially ready targets.
And there are lifelong pedophiles (those sexually attracted to children) and
ephebophiles (those sexually attracted specifically to teenage boys; the term
is sometimes used to designate those attracted to adolescents regardless of
gender).
Far more common are irresponsible persons who, although they would never think
of themselves as capable of doing harm to another human being, use alcohol or
other substances to release themselves from their own ethical commitments. Indeed,
the prospect of such release may be the largest single purpose of the abuse.
Common, too, are individuals who exercise poor judgment for a variety of reasons.
The risks such persons pose to children, teenagers, and vulnerable adults are
grave, extending to the breach of selfhood, of psychological and physical integrity,
with lifelong effects. The risks their activities pose to congregations and
to congregation’s leadership, ordained and lay, are serious. In congregations
where leaders fail to check the references and the background of such persons,
both the congregation as an institution and the leaders as individuals can be
held liable for negligent hiring. In congregations where leaders turn a blind
eye to inappropriate, much less predatory, conduct, the institution as a whole
and the governing board as individuals may be liable both for negligent
supervision and for failure to report.
In the past year criminal conviction checks (a.k.a. “criminal record
searches,” or “criminal background checks”) have become increasingly
popular as a way for congregations both to identify individuals who may not
be suited to work in a religious or caring community, and to limit the liability
of the congregation and its leaders. Of course, criminal conviction checks are
limited in their scope and must never be seen as anything more than a long-shot
rule-out. The guidelines we recommend to congregations and other UUA organizations
will require empathy, sensitivity, education, and above all persistence on the
part of those charged with recommending the call, hire, or recruitment of a
minister, professional leader, or staff member to positions of power and sensitivity
in a congregation, a District, or in the UUA.
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A Delicate Balance
Respect for personal privacy is a long and honorable tradition in Unitarian
Universalist congregations. It is integral to the “free and responsible
search for truth and meaning” that we embrace, and to the individualism
that has characterized us since Puritan times. During the 1950s and 60s, when
many now older members affiliated with Unitarian Universalist congregations,
personal privacy was fiercely defended in the face of McCarthyism and stifling
social conformity. Security procedures of any kind in a congregational setting
thus continue to be found offensive in principle by some Unitarian Universalists.
These guidelines cover two varieties of security procedures. Background
checks, as we use the term, search public data banks such as criminal conviction
records. Reference checks seek non-public information, and concentrate
on interviewing persons who have acquaintance with the person under consideration.
These guidelines recommend a balance between respect for personal privacy on
the one hand and respect for congregations as trust-based communities on the
other. Persons in congregational settings expect to be able to be vulnerable;
we expect to be safe from exploitation, to be able to “let our guard down.”
Thus the question criminal conviction checks ask—has this person been
convicted of a felony (and in some searches, misdemeanor)?— deserves an
accurate answer. Yet an answer in the affirmative is in many cases only an invitation
to further exploration. Was the criminal trespass for purposes of burglary,
or civil disobedience? Was the drug conviction for selling cocaine or possessing
marijuana? Was the statutory rape conviction of a 40-year-old man with 12-year-old
girl, or of an 18-year-old with a 16-year old? How long ago was it? What kind
of life has the person lived since? And remembering the differential rates of
prosecution and conviction of people of European background and people of color/members
of historically marginalized groups, what was the context of the event, and
what other factors were involved?
In addition, the requirements of the particular position sought should be relevant
to the analysis of an individual’s conviction history. For instance, a
recent conviction for embezzlement should disqualify an applicant for a position
in which the individual will have access to others’ finances. Similarly,
because of the unique role of ministers in UUA organizations, more extensive
and exhaustive review measures are appropriate.
Federal and state law may also impact inquiries into criminal history or other
background reviews. For instance, the federal Fair Credit Reporting Act imposes
particular authorization and disclosure requirements for background checks conducted
by outside agencies, and state law may have additional requirements or limitations.
There may also be unique resources in each state that can be utilized for purposes
of conducting background checks. These can include offender registries and listings
of individuals who have engaged in fraudulent practices.
These guidelines further counsel a do-it-yourself approach to reference checks.
The greater the ability of the search committee or hiring body to develop detailed
acquaintance with the persons it is considering, the greater its ability to
make an informed selection. Reliance on the technical means offered by outside
agencies should at all points be considered second best to in-person conversation.
Self-reliance requires imagination. “Google” persons’ names
to see what, if anything, comes up. Check out the websites of the congregations
they are currently serving, even those they have served. By such means you may
well unearth valuable new conversation topics by which you can get to know them
better.
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Recommendations
- We recommend that all Unitarian Universalist institutions—congregations,
Districts, Sponsored Organizations, and the UUA itself—adopt the following
guidelines when calling ministers, hiring professional religious leaders and
staff, and recruiting volunteers whose work will put them in close contact
with children and persons in vulnerable circumstances.
We further recommend that the governing board of each institution hold its
search, nominating, recommending, credentialing, and hiring bodies (hereafter
“committees”), including the UUA Ministerial Fellowship Committee
and the Religious Educator Credentialing Committee (hereafter “committees”),
accountable for installing procedures in accordance with these policies:
- The institution shall only consider persons who have completed an application
or questionnaire that includes a year-by-year educational, employment,
and military service history going back to age 18. This history should
include contact information for the immediate supervisor or other responsible
reference for each position, when that is not possible perhaps, other persons, who have
known the persons during this time may be identified. For an example of such application
see the “Application for Paid or Volunteer Employment” in
the Forms section.
- The institution shall only call, hire, accept for service in a sensitive
volunteer capacity, or credential a person who has signed and/or agreed
to abide by:
- an authorization and release that permits the committee to request
and receive information related to any prior activity involving physical
harm to or sexual abuse or harassment of any person or the threat
of any such conduct. This release shall hold harmless from liability
any person or organization that provides information, and shall hold
the institution harmless for treating any such information received
in the best interests of the institution and the UUA and/or as prescribed
by law. For an example of such a release, see “Applicant’s
Statement and Release” in the Forms section.
- a statement disclosing or denying any prior convictions for any
crimes, both felonies or misdemeanors (to the extent permitted by
law), and pledging to notify the institution of any arrest, charge,
conviction, or other relevant information, such as motor vehicle license
revocation, in the future. For an example of such a statement see
“Voluntary Disclosure Statement” in the Forms section.
- a statement disclosing or denying any prior activity involving
sexual misconduct, physical harm to or sexual abuse or harassment
of any person on thebasis of sex, race, religion, national origin,
sexual orientation, age, or disability. For an example of such a statement
see “Voluntary Disclosure Statement” in the Forms section.
- a Fair Credit Reporting Act Disclosure. For an example of such
a statement see “Applicant’s Statement and Release”
in the Forms section.
- the applicable code of professional ethics:
for ministers, the UUMA
Code of Professional Practice  ;
for religious educators, the LREDA
Code of Professional Practices ;
for church musicians, the UU
Musicians Network Code of Professional Practices ;
and
for church administrators, the Association of UU Administrators Code
of Ethics
- Where the position to be filled entails the use of a motor vehicle
to drive individuals affiliated with the institution on field trips or
to doctors’ offices, the institution shall only hire or accept for
service persons who have a valid driver’s license and proof of insurance
and who pledge to notify the institution of any license suspension or
revocation, conviction for moving violation, or other restriction on driving.
- The institution shall only credential, hire, or accept for service
in a sensitive volunteer capacity, a person whose employment and educational
history and, in the case of ministers and professional leaders, history
of service has been verified. In addition, all references should be reviewed
and contacted.
- The committee shall conduct telephone reference checks, which it
may wish to precede with letters of inquiry, with educational institutions,
previous employers, and other persons that inquire about the individual’s
qualifications, performance and conduct. Where appropriate, the committee
shall specifically inquire about whether the reference has any concerns
about the person’s potential to harm others, and whether the
person has had any prior incidence of inappropriate conduct such as
sexual contact with
- Any individual the person was seeing in a professional or congregational
context.
- Any individual under age 18.
- Special consideration s for ministers: Committees shall initially obtain from the minister at least three references for each congregation served. Where a minister has served in multiple interim ministries, and in the case of positions held more than twenty years earlier, two references per congregation may suffice. In interviewing these “named” references, the committee is advised to ask them for additional, “developed” references. Once the minister is one of no more than eight under consideration, and only with the minister's permission, the committee is encouraged to contact developed references in congregations the minister has previously served. Once the minister has consented to be the committee's candidate, and only with the minister's permission, the committee is encouraged to contact developed references in the congregation presently served. The UUA Transitions Director and the District Executive should be consulted.
- All transcripts, letters, e-mail messages, and other documents
received, and all notes of conversations conducted as a part of the
reference check shall be retained as part of the person’s personnel
record if employed or accepted for service. This file shall be kept
in a secure location, for example a locked file cabinet accessible
only by the board chair and others as authorized by the Board of Trustees.
- No such documents received in connection with persons who are not
employed or accepted for service shall be retained except as mandated
by law; those not so retained shall be destroyed.
- In the case of ministers, such documents shall include the “interpretive
file summary” prepared by the Transitions Office.
- The committee may arrange with an outside agency to conduct sex
offender and criminal background checks and other checks as recommended,
depending on the position for which the person is being considered
and its specific responsibilities. Such arrangements may require the
use of additional disclosure and authorization forms required by the
Fair Credit Reporting Act.
- In all cases, the reference and background checks are to be conducted
by the committee responsible for making the recommendation to call, to
hire, or to accept the service of the volunteer. In most cases, to avoid
needless inquiry and unnecessary expense, the background check should
only be conducted on the committee’s finalist. Once the recommendation
is made, the results of the reference and background checks are to be
delivered to the board chair for retention or destruction.
- We recommend that each outgoing board chair pass on to his/her successor
the means of access to material concerning persons currently on the church
staff or in its membership.
- We recommend that all congregations compose a church staff covenant,
and that all ministers, religious educators, and church staff be required
to abide by the covenant as a condition of service.
- We recommend that the UUA conduct all appropriate criminal conviction
reviews on its current staff if it has not already done so.
- We recommend that all professional staff—i.e. ministers, religious
educators, administrators, and music directors—and all members of
the congregational boards of trustees submit themselves to criminal conviction
reviews in order to model, as leaders, the conduct they expect of new
ordained and lay leaders.
- We recommend the following agencies from which to obtain services:
The following agencies provide extensive information on their services on
line, including the ability to order services on line:
- Oxford Document Management Company, Inc.
655 West Highway 10
Anoka, MN 55303-1623
(800) 801-9114
http//uua.oxforddoc.com
Note: The UUA has contracted with this agency to conduct background
checks at a reduced cost.
- Church Mutual Insurance Company’s Screen Now program, with services
provided by ChoicePoint
3000 Schuster Lane
P.O. Box 357
Merrill, Wisconsin 54452
(800) 554-2642
www.churchmutual.com
- CORI check—Criminal Offender Record Information (Massachusetts
only)
www.eec.state.ma.us/oo_licensing.aspx
- Interpretation and Evaluation
- A committee in receipt of information about a person that is cause
for concern should consider the information in the context of the person’s
candor with the committee, previous steps taken by the person and others
to address the issue, and steps taken to address whatever consequences
it may have had for others and to prevent future problems. Lack of candor
or honesty on an application form –e.g., a denial of any criminal
convictions when a background check reveals otherwise – should usually
result in rejection of the person or termination of the employee unless
the individual is able to provide a very persuasive and adequate explanation
for the discrepancy.
- When a person has a criminal conviction history, the impact of such
a conviction history may vary depending on the unique circumstances presented
in each case. For instance, the hiring authority must consider the nature
of the crimes committed and their relationship to the job in question.
The hiring authority must also evaluate whether the person could perform
acceptably in spite of the conviction or whether the person can adhere
to certain clear agreed upon limits or boundaries to their activities
within the church community. Thus, the hiring authority should consider
a person’s efforts at rehabilitation, work record, and the remoteness
in time of the conviction. These factors may provide facts to support
a decision to hire a person despite his/her conviction history.
- We recommend that the UUA allocate funds for and require the following
staff to obtain advanced training in personnel evaluation in order to
assist committees in interpreting and evaluating the information they
obtain:
- Transitions Director and Religious Education Credentialing Director,
MPL
- Lay Leadership Development Director and Young Adult and Campus
Ministry Director, CS
- Youth Office Director, LFD
- Field staff and District Services Director, DS
- We recommend that every committee schedule a session facilitated by
a person with advanced training in personnel evaluation in which the essential
and recommended questions (see Appendix B) are a topic for discussion.
See the Creating Safe Congregations Workbook II, to be issued soon.
- When the news is bad
There will be occasions—may they be rare!—when the results of
the criminal conviction check rule the person out of consideration. The temptation
at this point may be to tell a “white lie,” so as to avoid the
difficult conversation that must take place. Don’t succumb! As theologian
Langdon Gilkey was fond of saying, “Religion is where we deal with the
negativities.” In dealing with the negativities sensitively, even tenderly,
while no less firmly, we affirm ourselves and our faith communities as both
compassionate and responsible. Living, as we must, in the world as
we find it, sometimes the best we can hope for is an environment in which
misbehavior is named, consequences exacted, rehabilitation encouraged, and
recovery respected, and in which covenants are authentic compounds of realism,
respect, and redemption.
- We recommend that the UUA negotiate with a provider a variety of “UUA
background check packages” for the various congregational positions,
and that it maintain on-line links to the recommended agencies on uua.org.
The intent is to make the background check relatively easy to carry out and
reasonable in price to help congregations ensure they are taking appropriate
steps to protect children, youth, and vulnerable adults in their congregation
and ensure the healthy functioning of the congregation at large. It
is important to remember that these recommendations are not intended to serve
as the maximum level of screening or review for potential employees or volunteers.
Each organization must take responsibility for determining appropriate screening
and hiring practices according to their unique circumstances in support of
their UU mission. Once a hiring decision is made it is also important that
appropriate policies be adopted to minimize the potential for harm and that
appropriate supervision and oversight of all operations and individuals in
ongoing.
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Appendix A – FAQ
- Question: If a previous employer won’t give any information
about the person’s performance, what are our options?
Answer: You cannot force a former employer to provide you with information.
However, you should ask as many questions as possible to ensure that you have
explored possible avenues of information. Make a written note of the questions
asked even if there is no response. You have fulfilled your responsibility
for checking an applicant’s references if you ask the necessary questions,
even if the response is not informative.
- Question: What should congregations do to keep secure the personnel
records of the minister, professional leadership, church staff, and volunteers?
Answer: Personnel records, including applications and reference checks,
must be maintained in a locked filing system administered by human resources
or staff with similar responsibilities. Personnel files should not be generally
accessible; an individual must have authorization prior to gaining access
to another employee’s or volunteer’s file. Material such as medical
records and criminal history documents should be maintained in a locked filing
system separate from the main personnel files.
- Question: We understand that the Ministerial Fellowship Committee
requires that ministers report all criminal convictions, former or current.
What is the purpose of this rule? Should our congregation make a similar requirement?
Answer: As explained above in the Responsible Staffing policy, a history
of criminal convictions may be relevant to an applicant’s suitability
for a particular position. For instance, an individual with a history of sexual
abuse convictions would not be suitable for a ministerial position. In some
situations, a congregation could be considered negligent and legally liable
if it hired an individual with a criminal conviction history and it did not
take appropriate steps to ensure that such conduct would not be repeated.
Hence, we recommend that congregations do full criminal conviction histories
for anyone seeking a position as minister or professional leader. In addition,
each congregation should require all staff to provide immediate notice of
at least any criminal convictions, and any arrests or institution of legal
proceedings of any kind to the extent required by state law, arising during
employment.
- Question: How do we go about reference and background checks when
the person has spent significant time abroad?
Answer: The mere fact that an individual has spent time abroad does
not alter the responsibility to conduct a review of the individual’s
qualifications, performance, and conduct. Although the resources for such
review may be more limited, background checks should be conducted using the
resources reasonably available.
- Question: Are there any questions which under federal or state law
the committee cannot ask of persons for positions in
- Ministry
- Religious professions
- Staff
Answer: General guidelines about impermissible areas of inquiry can
be found on the website for the U.S. Equal Employment Opportunity Commission,
www.eeoc.gov .
Impermissible areas of inquiry may involve an applicant’s status as
a disabled individual (see the EEOC’s Enforcement Guidance on Pre-employment
Disability Related Questions and Medical Examinations) or matters such as
race/color and national origin. Local anti-discrimination agencies may also
provide additional information on permissible areas of inquiry.
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Appendix B – Reference Checks –
Essential and Recommended Questions
ESSENTIAL QUESTIONS FOR PERSONS UNDER CONSIDERATION FOR POSITIONS
IN MINISTRY, RELIGIOUS EDUCATION, CHURCH MUSIC, CHURCH ADMINISTRATION, AND CONTACT
WITH VULNERABLE PEOPLE
Adapt, as appropriate, if talking with a personal reference versus an
employment reference.
Hello. My name is _______________. I’m a member of (name of congregation).
(Name of candidate) has applied for the position of (name of position) within
our congregation. I have the responsibility to contact individuals who know
(him / her) to better understand if (he / she) is a good match for the job.
May I ask you some questions?
- What is your relationship with (name of candidate)? _____________________
- How long have you known him/her? _________________________________
- Describe the work for which he/she was responsible? ___________________
- On a scale of 10 with 10 being the highest, how well did he/she perform
in the job? __________________________. Please elaborate, sharing his/her
strongest attributes and areas in which he/she could have performed better.
___________________________________________________________
- What was/is his/her reason for leaving your employ? ___________________________
- Would you consider rehiring (name of candidate), if the occasion arose?_____
If no, please explain why? ____________________________________
- To your knowledge, has he/she ever been accused of any behaviors that would
be considered unethical, inappropriate, illegal?_____ Please explain:_________
- (Name of candidate) will be working with children. Is there any reason
to believe that children would not be safe with him/her? ______ If yes, please
explain: _________________________________________________________
ADDITIONAL RECOMMENDED QUESTIONS FOR NON-MINISTERIAL CANDIDATES:
How would you describe the applicant’s relationship with others? (If
talking with a former employer, you might ask specifically about relationships
with coworkers, subordinates (if applicable), and with supervisor. _____________________________________
Does the candidate have a positive or a negative attitude? Please elaborate:
___________________________________________________________
The position for which he/she is being considered is (elaborate). How well
would you expect him/her to perform in this role? _____________________________________.
Are there any other comments you wish to make about this candidate? _______________________________________________________________.
ADDITIONAL RECOMMENDED QUESTIONS FOR MINISTERIAL CANDIDATES
(adapted from the Ministerial Settlement Resources Guide of the UUA.
See
full text.
- As far as you know does _____________have clear personal and professional
boundaries? i.e. can they say no when to many demands are put upon her/his
personal time?
- Does _____________tend to have a strong support system?
- Does _____________have strong family ties?
- Is _____________warm and available to her/his congregants?
- Is _____________a strong leader?
- Does ____________implement the vision of the congregation with clarity?
- Is ____________strong on pastoral care? Describe please.
- Have you known of a personal life crisis that ______________ has had and
how did he/she handle it?
- Have you experienced or do you have a perception of how ____________would
handle a difference of opinion issues with a congregant?
- Have you experienced or do you have a perception of how _____________ would
handle a difficult pastoral care issue?
- What is the most significant contribution that ___________ has made to
the UU ministry?
- What has been the greatest challenge presented to _______________?
- Is there anything in his/her personal and professional life that we should
know?
- Would you want ___________as your minister?
- At this point ask the Reference to add whatever they wish to the reference.
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