Provincial Guidelines

For

The Development of Diocesan Policies on Screening

This guideline is being written as a resource for those people in dioceses who will be developing policies with regard to screening of candidates for positions in parishes and the general diocesan organization. The writers of the guideline are working on the assumption that dioceses already have in place screening policies, including application forms, references, interviews, etc., for the employment of permanent and part-time paid staff. These guidelines will, therefore, concentrate on the issue of volunteers, but the same principles apply to paid employees.

The guidelines that follow are designed as a framework for developing specific diocesan policies and they should be read with the local diocesan situation in mind.

The committee recommends that dioceses develop appropriate policy statements under each of the following major headings (capitalized). The statements in italics are offered as the type of statement which might be useful as policy. The material in standard print is commentary and rationale for the policy position being recommended. Some of the commentary could be included with the policy statements or a separate handbook might be used for the rationale.

It is also important to stress that much of the work associated with these guidelines can and should be delegated by the pastor to other leaders in the parish. For example, for low risk positions, the application forms, data collection, orientation and keeping of records can all be done by the person, normally a lay pastoral minister or volunteer, who is in charge of the ministry. Without appropriate delegation, the whole program would become unmanageable. In the case of very high risk positions and key leadership positions, the pastor or his immediate team members would want to be involved.

PREAMBLE

Every organization offering services and programs owes a duty of care to protect its participants, its staff members (paid and unpaid), its governing body, and the community-at-large.

The management of volunteers is as important as the management of paid staff and requires the allocation of appropriate human and financial resources.

The Roman Catholic Faith Community of the Diocese of ------------ is intent on offering appropriate, helpful and safe programs to the community. Experience has shown that most people who offer their time, talent energy to help in offering these programs serve with love and dedication and do great good.

At all times, the goal -- protection and safety of our people, our volunteers, our paid-staff and our Church -- will guide our intentions and actions.

STATEMENT OF PURPOSE

It is the purpose of the Roman Catholic (Arch) diocese of _________.

1. To safeguard, in all respects, all of those, but most especially the vulnerable, to whom we minister.

We have an obligation to protect everyone with whom we deal. However, when vulnerable people participate in our programs, the organizations providing the services have a much higher obligation to ensure their protection than for those judged to be quite capable of taking care of themselves. This means screening very thoroughly people who are going to work with them.

    2. To ensure the integrity, safety and reputation of our volunteers.

An effective volunteer management program ensures that:

• volunteers are working in an organized, structured environment;

• policies and procedures outline the volunteers' rights as well as responsibilities, and how the organization will support them should a problem or incident occur;

• job descriptions, interviews and supervision ensure that the volunteer is placed in a position that is best suited to his/her abilities and interests;

• by doing a risk assessment, the organization has considered personal safety. The risk assessment will ensure that we are not placing a volunteer in a dangerous location (i.e. unsafe equipment or working alone at night) or placing an inexperienced volunteer alone.

   3. To ensure, that, as a faith community, we fulfill all of our obligations.

The development of screening policies and procedures is intended to meet our ethical, moral, and spiritual responsibilities to promote wholeness, accountability, trust, care and safety in our ministries.

TEN STEPS OF SCREENING

The nature of the ministry and the level of risk involved will determine the intensity of the screening process employed . It is worth noting again that many of the tasks involved in screening should be delegated to the immediate contact persons for a group. For low risk positions the application form, job description and training will be very simple and easy to handle.

Protocol for all Positions

If it is determined that a ministry is "high risk", it is essential that ALL of the following "Ten Steps of Screening" be implemented in the recruiting, selecting, and managing of paid staff and volunteers.

High risk positions are relatively few in number. They include such ministries as one-on-one counseling, supervision of overnight situations with young people, home visitation in a one-on-one context and special ministries of this type.

 1. Determine the Risk

The nature of the ministry and the inherent level of risk involved dictate the degree of screening required. The greater the risk, the greater will be the degree of screening applied.

There should be a basic record of everyone who serves the Church as a paid employee and/or volunteer. Employment and/or volunteer application forms would serve this purpose. Factors that will help determine the level of risk include: the participant, the setting, the nature of the activity, and the level of supervision required.

The Participant

The vulnerability of the person or persons being served, that is, anyone who has difficulty protecting him or herself from harm temporarily or permanently and is at risk because of age, disability, handicap, or circumstances such as emotional distress, grieving or loss of confidence.

The Relationship

The "perceived authority" of the person delivering the service and the degree of dependence of the recipient are important factors. A Eucharistic Minister or a counselor would have more "perceived authority" than a casual parish visitor.

The Setting

The circumstances of the delivery - alone or with others - needs to be taken into account. A caretaker who cleans up when no one is around is a lower risk than one who works alone while children's programs are in full operation.

The Intensity of the Relationship

The frequency and intimacy of encounters is very important. For example, one-to-one grief counseling as opposed to preparation or delivery of Christmas hampers.

Supervision

The possibility of serious supervision must be considered - an overnight event with adolescents needs careful supervision by an experienced person. As a matter of policy, all ministries will be examined in light of the relevant factors to determine the degree of risk involved. When there is doubt as to the degree of risk, a position will be categorized as high risk. Volunteers and employees who are active in more than one ministry will be screened for the position with the highest level of risk. When a person moves from a position with a low level of risk to a position of high risk, appropriate screening will be carried out for the new high-risk position.

Ministry Description

A role description will be written for each ministry.

It is imperative to describe each ministry and define its inherent risk. This description defines the tasks of the ministry and sets the ground rules for all involved. Ministry descriptions do not have to be long but they must set clear and appropriate guidelines and boundaries. By documenting the role, these descriptions provide greater protection for the person being ministered to, the volunteer or paid staff person, and the organization.

2. Recruitment Process

Recruitment for volunteers and staff will be done by a formal public process.

Requests for volunteers or paid staff should be done in a public way through notices printed in parish bulletins, church newsletters, announcements or other forms of public communication. The notice should always be accompanied by a "Description of the Ministry" and notice that an "Application Form" will need to be completed. These two items are powerful screening tools in themselves and prompt people to reflect on the seriousness of their call to this ministry even before any formal interview.

Recruiting materials will clearly indicate that the faith community takes its responsibility towards participants seriously and screens all applicants.

Do not leave people with the impression that everyone who applies will be accepted. Be very clear that you are extremely careful about selecting those who work in ministry and do not apologize for that fact. In this regard, it may be unwise to assign a new member of your faith community to a "high risk" position. Parishioners who have been active and reliable members of the parish for a number of years should be considered first for these positions. In this regard, personal invitations to apply for positions are often very successful, as long as it is made clear that the normal screening process will be used.

3. Application Form

An application form must be completed for all positions.

The completion of an application form is intended to ensure that adequate records are kept. In addition, as with the use of a ministry description, asking individuals to complete an application form demonstrates again the seriousness of our commitment to screening and provides a paper trail that will protect both the applicant and the Church.

The application form should collect basic information -- name, address, previous ministry experience -- as well as give you permission to conduct references and police record checks, as appropriate. For some positions, only the basic information is needed.

4. Interview

Appropriate interviews will be conducted for all high-risk positions.

In the case of high-risk positions, the interview will be carried out by at least two interviewers. The interview provides an opportunity to talk with the applicant about his/her background, gifts, talents, skills, interests, and availability. It also allows an opportunity to explore any concerns you may have about the suitability of this person for the ministry in question and to ensure that there will be a "good fit" between the person and the ministry.

The interview will include questions directly related to risk concerns: i.e. interpersonal style with children or vulnerable adults; history of working with money, and so on.

Notes from the interview will be placed in a secure parish file along with the application form and the ministry description.

5. Reference Checks

For high-risk positions reference checks are always to be completed. Referees should not be family members.

It should be made clear to the referee that the individual is being considered for a position of trust i.e. with children, with other vulnerable people, with money, etc. Reference check results should be documented and kept in the person's file.

A reference check may be the most effective screening step during the selection process. References will confirm the background, gifts, talents and skill of the applicant and will provide an outside opinion as to the suitability of the person for the ministry.

Reference checks are recommended for all high risk positions.

6. Police Record Checks

Police record checks shall be required for all positions deemed high risk.

The candidate will be asked to provide a copy of his/her police record. If any convictions appear, the candidate will be asked to provide details and give permission for you to confirm their nature with the police. For "high risk" ministries where this is required, the police record check signals, in a very public way, concern about the safety of our people.

It is not only important to know if someone has been convicted of a crime, but also to know the nature of the crime. Depending on the nature of the ministry the applicant is seeking, a conviction for abuse and harassment could be more pertinent than a conviction for shoplifting.

7. Orientation and Training

Appropriate orientation to the ministry will be provided along with guidelines for working within the volunteer ministry or paid position.

In fairness to volunteers in particular, it is essential that orientation and training be provided to ensure that the individual is able to perform his/her ministry effectively. This will give confidence to the person undertaking the task and maintain a high level of service to the community.

Applicants should be required to sign an acknowledgment form stating they have read the screening policy, they understand and will comply with it, and that they have attended required training/orientation.

8. Supervision and Evaluation

All ministries will be appropriately supervised.

The intensity and nature of the supervision will vary with the risk involved in the position. This entails a 'senior' person, or peer, spending time with the incumbent to observe, support, and give feedback on their gifts, skills, style, strengths and challenges. In the case of high risk ministries the supervision should be systematic and recorded.

Performance appraisal should occur at least once a year and possibly two or three times in the first year. This could vary from a group appraisal for lectors to an individual appraisal and interview for home visitors. By instituting a formal supervision and evaluation process, the volunteer or paid staff member can be observed "on the job" and their ministry can be monitored on an ongoing basis. For high risk positions, a record should be kept of the appraisal.

9. Participant Follow Up

Supervisors will monitor the program by checking, from time to time, on participant satisfaction.

Regular ongoing contact with program participants and family members helps to ensure that programs remain relevant and of high quality. Such monitoring can also act as an effective deterrent to someone who might otherwise do harm and go undetected. It is vital that the organization let all involved know that regular supervision and evaluation, including contact with program participants and families, is part of your faith community's risk management procedures and that this practice does not reflect negatively on anyone.

If a volunteer or paid staff member and a program participant are usually alone together, it would be appropriate for someone to conduct random spot checks by visiting the location where they are together.

OTHER STRATEGIES FOR THE MANAGEMENT OF RISK

When a position is classified as high risk, an effort will be made to manage or reduce the risk by applying one of the following strategies:

1. Eliminate the risk - There may be activities that have risks and consequences so great that they should be discontinued.

2. A parish may decide an overnight camping trip with altar servers is an activity with unacceptable risks.

3. Modify the activity - Change the location and the activity.

4. All home visitation for the sick could be done with a minimum of two volunteers. Youth group leaders could have at least one other adult volunteer present if they are driving youngsters home.

5. Transfer or Share Liability - Involve other organizations or service groups which are better prepared to handle the specific risk in question.

6. Transportation for youth or vulnerable adults, such as seniors, could be arranged through a local bus or taxi company.

7. Assume the risk but minimize it wherever possible - Design all volunteer tasks with risks in mind. Ensure appropriate screening of individuals, orientation and training and the ongoing supervision and evaluation of volunteers as described in this policy statement.

CONFIDENTIALITY AND RECORD KEEPING

The information gathered for the purposes of screening will be accessible only to the candidate for positions of ministry and to those directly responsible for engaging them.

The policy on maintenance and confidentiality of records will be explained to all candidates.

It is important to have basic information, such as addresses and telephone numbers for all volunteers and staff. This can be delegated to the person in charge of each low risk ministry. They will need such information to be able to operate efficiently.

Where more extensive screening processes are used because of the nature of the ministry, the record should be kept and updated while the person is serving with the organization. For legal reasons, basic data on screening and supervision of this type should be kept on file for a number of years after a person has ceased the ministry.

It is important to explain these procedures to candidates and incumbents and to make it clear that they can examine their files at any time and may insert documentation of their own.

IMPLEMENTATION PLAN

The development of a screening process for volunteers and paid staff will be undertaken in the period 20__ to 20__.

The screening process will be a permanent feature of diocesan and parish operations.

Action Plan

It is recommended that the policy statement above be accompanied by the outline of a diocesan action plan which includes, depending on the current situation of the diocese, the following types of considerations:

• Procure access to expertise in the field of human resources by hiring or having someone in

• the organization trained.

• Establish a committee or similar structure to oversee the implementation of screening.

• Carry out an educational program on screening with pastors and other leaders in the diocese.

• Begin as soon as possible to have people trained in the detailed techniques of screening.

• Beginning with new entrants, plan to have everyone in a high-risk position screened within a stated time frame.

• Plan for an ongoing program of training for those involved in screening by using those trained in the initial phase as screeners so that in-house resources can be developed.

Longer Term Considerations

The main body of this guideline deals with the immediate concerns of parishes and dioceses in Ontario in establishing a Screening Process for Volunteers and Lay Employees. After the inauguration of the program, the following items may require consideration, at the provincial level, as a supplement to the guideline.

These would include development of:

• Model application forms, letters of appointment, and other such "routine" documents;

• Model interview procedures appropriate to specific placements;

• Generic job descriptions for the main volunteer positions in a parish;

• A model protocol for dealing with the maintenance of files and confidentiality;

• An outline of basic personnel procedures and the establishment of a network of contacts, that smaller dioceses could draw upon, for advice and guidance.

Dioceses will know how much help they may need with these matters.

In the opinion of this Committee, the development of sound screening and personnel practices will require a five-year process. If more than the initial thrust is required provincially, then it may be prudent to leave in place an ad hoc ACBO personnel committee for a defined period of time - probably three years. The expenses for such a committee would be borne by the ACBO office.

Respectfully submitted,

Fr. Jim Hannah, (Archdiocese of Toronto)
Franca Lanigan, (Diocese of St. Catherines)
Roseanne Lyons, (Diocese of Sault Ste. Marie)
Mark Ouellette, (Diocese of London)
Tom Reilly, (O.C.C.B.)