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HomeMy WebLinkAboutResolution No. 341-09 Ir3�/ 6 R • RESOLUTION BE IT RESOLVED by the Common Council of the City of Rochester that the City adopt a personnel policy regarding background investigation check policy and procedures. A copy of the policy is attached. PASSED AND ADOPTED BY THE COMMON COUNCIL OF THE CITY OF ROCHESTER, MINNESOTA, THIS / 7-n-/ DAY OF tzbF , 2009. A PRESIDENT OF SAID COMMON COUNCIL ATTEST: ITY CLERK APPROVED THIS I ft� DAY OF SST , 2009. U MAYOR OF SAID CITY (Seal of the City of Rochester, Minnesota) Res05\Adopt.PersPolicy.Background • CITY OF ROCHESTER ORGANIZATIONAL POLICY • BACKGROUND INVESTIGATION CHECK POLICY AND PROCEDURES Purpose City employees and volunteers provide an array of services that promote the health and well being of the public. Background checks are a key component in determining suitability for employment. They ensure the timely identification of any history, criminal or otherwise, that may be incompatible with the activities and interactions required for a particular job. General Statement of Policy The City of Rochester will conduct background checks in order to ensure that its current em- ployees, potential employees, temporary and seasonal employees, volunteers and contract personnel pose no unreasonable risk to other staff, the public and/or City resources in the performance of their job. Application This policy applies to all public entities under the jurisdiction of the Mayor and Rochester City Council and provides the minimum basis for conducting background investigations. This policy also allows departments to conduct a more comprehensive background investiga- tion check based on the specific duties and responsibilities for each job and/or as may be re- quired by law or regulatory compliance. Types Background Checks For the purpose of this policy, background checks may include: • Reference checks: to determine suitability for employment. • Employment verification: to determine job history. • Criminal background history: to identify any criminal history that could adversely affect job performance and/or public safety. • Driver's license verification: determine license status and to identify any motor vehicle history that could adversely affect job performance and/or public safety. • A qualifications check/educational verification: to verify educational qualifications and/or degrees/certifications held. • National sex offender registry search: to identify any criminal history that prohibits em- ployment is certain areas. • Social Security number trace: to determine if there is any background information that was not reported by the finalist. • An internet search: obtaining public information about a finalist which may affect job per- formance and/or negatively impact the public by visiting www.google.com or social net- working sites such as myspace.com or facebook. • • A credit check: to identify credit-related history that could adversely affect job pen`or- mance and/or negatively impact the public. 1 CITY OF ROCHESTER ORGANIZATIONAL POLICY • Minimum Standard for all New Employees and Volunteers This section defines the minimum standard background investigation check that shall be done for all new volunteers and new hires for full and part-time positions as well as temporary and seasonal positions, including applicants returning to temporary and seasonal positions. 'Exceptions to the minimum standard exist for some positions. After an interview has taken place, but before a final offer of employment is made, the hiring manager, or their designee, shall document on a Background Check Completion form sup- plied by the HR Department that the following minimum steps for the interview finalist(s) have been performed: • Verify current and previous positions held; • Contact the personal/professional references listed on their application; • Obtain certified copies of all post secondary degrees and professional certifications re- quired for the vacancy; and • Conduct a criminal history check utilizing the State of Minnesota Bureau of Criminal Ap- prehension (BCA) website (https://cch.state.mn.us/ ). Note: the BCA database will not contain most criminal history that occurred in another state, even a neighboring state. A social networking check is not required, but is encouraged. If a valid driver's license is a qualification for the vacancy, the HR Department will verify that • the finalist's driver license is valid and that they possess the appropriate class of license. The completed form and all relevant/supporting documentation of such checks shall be for- warded to the Human Resource Department for review and the appropriate HR representa- tive will notify the hiring manager, or their designee, when the applicant is eligible for hire. If, upon reviewing the completed form and relevant/supporting documentation, the HR De- partment identifies issues related to a finalist's suitability for employment, the matter shall be discussed further between the HR representative and the hiring manager. If needed, the Human Resource Director, Department Head and/or City Attorney's Office may also be re- quested to review the information and assist in determining the finalist's suitability for em- ployment. In the event that the City decides that hiring the finalist may not be in their best interest based on the information obtained from the BCA website, the HR Department will notify the finalist that adverse action is being considered by sending a Pre-Adverse Action letter which ex- plains the grounds or reasons for the denial and giving them the option to submit competent evidence of rehabilitation or explanation to the HR Department. The finalist will have five (5) business days to respond to the HR Department in writing notify- ing City that they are contesting the information and to submit any competent evidence of re- habilitation or explanation for any of the information obtained from the BCA website. • Election judges and temporary and/or seasonal employees returning for a subsequent year are excluded. For volunteers, including Board and Commission members, the criminal history check is required; however all other checks are optional. 2 CITY OF ROCHESTER ORGANIZATIONAL POLICY • The Human Resource Director, Department Head and/or City Attorney will make a final de- termination as to a finalist's fitness for employment with the City of Rochester. Finalist not hired because of criminal conviction data obtained from the BCA website will be sent an Adverse Action letter advised that they are eligible to apply for any future vacancies and that all competent evidence of rehabilitation will be considered upon reapplication. Comprehensive Background Investigation Check: This is an enhanced level of investigation that is applicable to selected applicants including those applying for positions that deal with children, vulnerable adults, expensive equipment, finances, and sensitive/secure information or operations or where information from the mini- mum standards check is questionable. The comprehensive background investigation check also searches for criminal history convic- tion information from national, state and local databases as opposed to the BCA search which is limited to only Minnesota conviction information. Background checks are also statutorily required for specific positions: • Peace Officers - Minn. Stat. § 13.41; 626.84; 626.87. • Fire Protection - Minn. Stat. § 299F.035; 604A.31. • • Children's Service Worker[Volunteer — Minn. Stat. § 299C.61; 299C.62; 299C.64. (Includes employees and volunteers who care for, treat, educate, train, or provide recreation for children and who are not subject to another statutory background check as a condition of employment.) The hiring manager, or their designee, is responsible for requesting that a comprehensive background investigation check be conducted on a finalist for a particular position based the level of responsibility and accountability of that particular position and for identifying what in- formation the investigation is to include. Process for Comprehensive Background Investigation Check This process is similar to the minimum standard background check process in that it takes place after the interview, but before a final offer of employment is made, and requires the hir- ing manager, or their designee, to document on a form supplied by the FIR Department that the following steps for the interview finalist(s) have been performed: • Verify current and previous positions held; • Contact the personal/professional references listed on their application; and • Obtain certified copies from the finalist(s) of all post secondary degrees and professional certifications required for the vacancy. A social networking check is not required, but is encouraged. • 3 CITY OF ROCHESTER ORGANIZATIONAL POLICY Again, if a valid driver's license is a qualification for the vacancy, the HR Department will veri- fy that the applicant's driver license is valid and that they possess the appropriate class of li- cense. Once requested, the Human Resource Department will authorize that a comprehensive background investigation be performed by an outside vendor. The outside vendor will be subsequently responsible for providing all appropriate notices required by the Fair Credit Re- porting Act (FCRA) and the Minnesota Access to Consumer Reports Act (MACRA) to the fi- nalist that "consumer reports" and "investigative consumer reports", as those terms are de- fined in the Fair Credit Reporting Act, will be obtained for employment purposes and their right to receive a copy of those reports. The results of the comprehensive background investigation from the outside vendor and the completed form with relevant/supporting documentation of the minimum standard check from the hiring manager, or their designee, shall be forwarded to the Human Resource Depart- ment for review. The appropriate HR representative will notify the hiring manager, or their de- signee, when the applicant is eligible for hire. If, upon reviewing the results of the comprehensive investigation and the completed form and relevant/supporting documentation, the HR Department identifies issues related to a finalist's suitability for employment, the matter shall be discussed further between the HR representa- tive and the hiring manager. If needed, the Human Resource Director, Department Head and/or City Attorney's Office may also be requested to review the information and assist in . determining the finalist's suitability for employment. Convictions and Rehabilitation The City will conform to Minnesota Statutes Chapter 364 relating to criminal offenders and rehabilitation, which encourages the rehabilitation of criminal offenders. The statute further recognizes that the opportunity to secure employment is essential to the rehabilitation of ex- offenders and the resumption of their responsibilities of citizenship. Although a disqualification is possible, a previous conviction does not automatically disqualify an applicant from consideration for employment with the City of Rochester. However, if an applicant attempts to withhold information or falsifies information pertaining to a previous conviction(s) and/or their qualifications, they will be disqualified from further em- ployment consideration in any position with the City due to falsification of their application. Criminal convictions and evidence of rehabilitation will be reviewed on a case-by-case basis following Minnesota Statutes Chapter 364 (Criminal Offenders and Rehabilitation) with con- sideration for the protection and best interests of the clients, assets and employees of the City of Rochester. In determining if a conviction directly relates to the position of public employment sought, the City shall consider: • 1. the nature and seriousness of the crime or crimes for which the individual was con- victed; 2. the relationship of the crime or crimes and the position of public employment sought; 4 CITY OF ROCHESTER ORGANIZATIONAL POLICY • 3. the relationship of the crime or crimes to the ability, capacity, and fitness required to perform the duties and discharge the responsibilities of the position of employment. Competent evidence of sufficient rehabilitation may be established by the production of: 1. a copy of the local, state, or federal release order; and 2. evidence showing that at least one year has elapsed since release from any local, state, or federal correctional institution without subsequent conviction of a crime; and evidence showing compliance with all terms and conditions of probation or pa- role; or 3. a copy of the relevant Department of Corrections discharge order or other docu- ments showing completion of probation or parole supervision. In addition to the documentary evidence described above, the City shall consider any evidence presented by the applicant regarding: 1. the nature and seriousness of the crime or crimes for which convicted; 2. all circumstances relative to the crime or crimes, including mitigating circumstances or social conditions surrounding the commission of the crime or crimes; 3. the age of the person at the time the crime or crimes were committed; 4. the length of time elapsed since the crime or crimes were committed; and 5. all other competent evidence of rehabilitation and present fitness presented, includ- ing, but not limited to, letters of reference by persons who have been in contact with • the applicant since the applicant's release from any local, state, or federal correc- tional institution. Notification upon Denial of Employment or Disqualification from Occupation The City of Rochester must comply with the Fair Credit Reporting Act (FCRA) and the Minne- sota Access to Consumer Reports Act (MACRA) when conducting background checks through a consumer reporting agency such as a credit bureau, detective agency, or human resource consulting company. When using a third-party vendor, the credit, criminal, social security and driver's license veri- fications are subject to the FCRA. In the event that the City decides that hiring the finalist may not be in their best interest based on the information obtained through a consumer report, the HR Department will notify the fi- nalist that adverse action is being considered by sending a Pre-Adverse Action letter based on a Consumer Report which: • Explains the grounds or reasons for the denial and that they may submit competent evidence of rehabilitation or an explanation to the HR Department. • Provides the individual with a Statement of Consumer Rights from the FTC before taking adverse action. • Gives the individual a copy of the consumer or investigative report. • • Advises the finalist of his or her rights under the FCRA to dispute incomplete or false in- formation. 5 CITY OF ROCHESTER ORGANIZATIONAL POLICY • The finalist will have five (5) business days to respond to the HR Department in writing notify- ing City that they are contesting the information and to submit any competent evidence of re- habilitation or explanation for any of the information obtained from the consumer report. The Human Resource Director, Department Head and/or City Attorney will make a final de- termination as to a finalist's fitness for employment with the City of Rochester. Finalist not hired because of information obtained from a Consumer Report will be sent an Adverse Action letter and advised that they are eligible to apply for any future vacancies and that all competent evidence of rehabilitation will be considered upon reapplication. Reporting a Conviction It is the duty of all current employees to affirmatively notify their immediate Supervisor (or their Department Head) of a criminal conviction that occurred anytime after they assumed their position with the City of Rochester. The conviction must be reported within two weeks after it is officially entered into court records. For purposes of this policy, conviction includes any conviction which has not been expunged and for which a jail sentence could have been imposed. Once notified, the Supervisor will discuss the conviction with the Human Resources Depart- ment who shall follow the procedures contained in this policy in determining the job related- ness of the criminal conviction to the performance of the duties of the position. Intentional failure of the employee to notify their immediate Supervisor (or their Department Head) of a criminal conviction may be grounds for employment sanctions up to and including suspension and termination, regardless of when the omission is discovered. Such failure may be grounds for suspension and termination of employment regardless of whether it is deter- mined that such conviction is of a nature that would have disqualified the employee from the position of employment in question. The City of Rochester reserves the right to periodically review the criminal history of current employees and volunteers to ensure compliance with the goals and intent of this policy. Job Announcement/Employment Application Background Investigation Check Notice Every job announcement and application for employment with the City of Rochester must contain a notice to applicants that, prior to hiring, the final candidate(s) must successfully pass a pre-employment background investigation. The notice shall also advise applicants that they may be required to sign an informed consent form allowing the City to obtain their crimi- nal history and/or verify their qualifications in connection with the position sought and that ap- plicants who do not sign the informed consent form will not be considered further for the posi- tion. See attachment "G." The failure of a job announcement to include a notice that a background check may be re- quired shall not preclude the City from conducting these checks. 6 CITY OF ROCHESTER ORGANIZATIONAL POLICY • Disclaimer Nothing herein shall be construed as limiting the rights of the City of Rochester to determine a candidate's suitability for employment. The City shall fully comply with all laws and regula- tions governing background checks. In the event the laws or regulations are amended, this Policy and the applicable terms, conditions or requirements shall be deemed to have been amended automatically. The City of Rochester also reserves the right to amend this policy as needed or necessary. Effective: • 7