The Government Security Policy prescribes a Reliability Status for those individuals who may have access to Protected Information or assets.

Transcription

1 200. General The Government Security Policy prescribes a Reliability Status for those individuals who may have access to Protected Information or assets. Note: A. B. Reliability Screening is the process which must be completed before the individual can be granted their Reliability Status. A Reliability Status is the result of the Reliability Screening process. Reliability Screening information is collected on the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02). The instructions contained in this chapter supplement and take precedence over the generic instructions attached to the form. 20 Reliability Status 2. A Reliability Status is mandatory for individuals when the duties or tasks of a position or contract necessitate access to PROTECTED information and assets, regardless of the duration of an assignment, Personnel who hold a valid Personnel Security Clearance are not required to undergo an additional Reliability Screening. (Detailed instructions are available in section 203 of this chapter) The Reliability Screening is composed of the following elements: d. e. f. g. h. j. k. Surname (maiden name) and given name(s); Verification of date of birth; Verification of address for the last five years; Verification of educational and professional qualifications or trade certification or accreditation; Verification of employment history; Assessment of performance reliability and personal character by checking with previous employers and identified references; A written declaration concerning any conviction for a criminal offence for which a pardon has not been granted; A criminal record name check and/or (if required)fingerprints check; A personal credit check (if required); Other checks, as determined by the Manager, Personnel Security Screening Division (PSSD) depending on the particular requirements specified in the contract; and A Resolution of Doubt (RoD) interview (if required) for cause. Note: The CSO/ACSO is responsible for Parts to f. (above) and must ensure that all submitted information is both accurate and complete Reliability Screening documentation may only be submitted to PSSD by the Company Security Officer (CSO), Alternate Company Security Officer (ACSO). Organizations have the sole jurisdiction and responsibility for the engagement and termination of an employee They are also responsible for determining and justifying an employee's need for access to 1

2 PROTECTED Information, assets or sites An organization may only submit Reliability Screening documentation on behalf of persons who have commenced employment with that organization or who are under contract to commence work within 60 days. A Reliability Status is valid for a ten-year period from the date of issue, unless rescinded for cause, or will terminate when: The employee leaves the organization on whose behalf the Reliability Status was granted; or Access to PROTECTED Information, assets or controlled sites is no longer required; or The organization's participation in the Canadian & International Industrial Security Program lapses or is cancelled. 7. The CSO/ACSO is responsible to complete the Security Screening Certificate and Briefing Form, TBS/SCT (Rev. 2006/02) either after briefing the applicant who has been granted a Reliability Status by PSSD, or when terminating a Reliability Screening Request or an existing Reliability Status on behalf of an applicant/employee. Note: A. B. C. Protected Information can be recognized by the PROTECTED marking which must appear on all such documentation. An individual must be the age of majority in order to be processed for a Reliability Status or the signature of a parent or guardian must be provided. (Some provinces have different age of majority requirements. Refer to Instructions attached to Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) for the correct requirement). The Criminal Code, Section 748 (3) states that no person convicted of an offence under Section 121 (frauds on the Government), Section 124 (selling or purchasing office), or Section 418 (selling defective stores to Her Majesty), has, after that conviction, the capacity to contract with Her Majesty or to receive any benefits under a contract between Her Majesty and any other person or to hold office under Her Majesty unless a pardon has been granted. (This effectively prohibits granting of a Reliability Status to any such individual.) 202. Access to Protected Information, Assets or Sites A Reliability Status does not in itself confer a right of access to PROTECTED information assets or sites. It does constitute, however, the authority for an organization to allow access to PROTECTED information, assets or sites to persons holding a Reliability Status, on a need - to - know basis, and subject to any restrictions that may be imposed in the contractual or pre-contractual documentation. Access to PROTECTED information, assets or sites is not permitted prior to the granting of the necessary Reliability Status. Persons who have been granted a Personnel Security Clearance may only have access to PROTECTED information, assets or sites on a need-to-know basis Pre-Screening Requirements Background verifications: The CSO/ACSO shall ensure that the applicant can provide sufficient information to permit government authorities to conduct a background inquiry covering the last five years. In cases where this requirement cannot be met or the applicant has resided outside Canada during the past five years, PSSD shall be consulted for further instructions prior to the submission of the forms. The CSO/ACSO is directly responsible to verify the identity of an applicant by using two or more of the official documents listed below The CSO/ACSO shall undertake the verification 2

3 either themselves, or they shall be responsible to ensure that an approved employee of the organization has conducted such verification and has obtained copies of the documentation to confirm the background/identity of the applicant. i ii iv. Current passport; Birth certificate; Baptismal certificate; Citizenship certificate or Immigrant Visa and Record of Landing document; v. Canadian work permit/visa; or v Valid driver's licence that has been issued in Canada which includes a laminated photograph When the CSO/ACSO is submitting a Reliability Screening request on behalf of themselves, copies of two or more of the above listed official documentation, which confirms identity, must be submitted to PSSD attached to the application for a Reliability Status. 2. Guidelines/Instructions: The subject of the Reliability Screening must be properly identified through a preliminary verification as follows: d. e. Date of Birth - An applicant's date of birth may be verified using one or more of the above documents. Addresses - The applicant's address(es) for the last five years must be provided. The addresses shall include apartment number, street number, street name (civic number, if appropriate), city, province, and/or state, postal code, country and the from - to dates. Refer to Instructions attached to the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) for guidance; Education/Professional Qualifications - These may be verified by official transcripts, diplomas, certificates from educational/professional institutions and/or originals of professional certification from municipal/provincial/federal licensing bodies, associations or institutions; Employment History - This may be verified by contacting previous employers to ascertain dates of employment, performance and reason for leaving employment; and Character/Employment References - These may be verified by contacting references provided by the applicant. Note: Only after a thorough preliminary verification has been completed, documented and retained by the CSO/ACSO (subject to audit by CISD staff), may a request for a Reliability Screening be submitted to PSSD Procedures for Requesting a Reliability Status 2. The following forms must be completed and processed prior to the granting of a Reliability Status. For ease of processing, all forms with the exception of the Fingerprint Form (RCMP/GRC C-216C) shall be completed and submitted electronically. If this system is unavailable, however, all forms shall be typed or printed, using black ink, in block letters when submitted manually. If any form is illegible, it will be returned to the sender. For those organizations which are using an automated process, the applicant's hardcopy documentation, bearing original signatures, shall be forwarded to PSSD on the same day as the 3

4 electronic submission. Legible facsimiles are acceptable. The forms are: Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02); Security Security Screening Certificate and Briefing Form, TBS/SCT (Rev. 2006/02) (PDF 33 KB); and Fingerprint Form, RCMP-GRC C-216C (If required or requested). Note: Instructions contained in this portion of the Manual, supplement the generic instructions which are attached to each of the forms. 3. Personnel Screening Consent and Authorization Form, TBS E (2006/02) Form Completion Details: The Personnel Screening Consent and Authorization Form is divided into five sections (A - E). Office Use Only Reference number - For use by PSSD; and Department/Organization number and File number. Enter, if known, the organization's number and the applicant's file number assigned by CISD. A. Administrative Information The CSO/ACSO shall complete the following: d. e. f. g. h. Upgrade - Does not apply to Reliability Screening requests; Other - Does not apply to Reliability Screening requests; Indeterminate, Term, Contract, Other - These boxes do not apply to requests submitted by private sector organizations. Place an X in the industry box only; Position/Competition/Contract number - Enter the government Contract number to which the applicant will be assigned; Title - Enter the name/title of the contract; Group/Level - Leave blank. This does not apply to private sector organizations; Name and address of department / organization / agency - Enter the details of the organization which is submitting the Reliability Screening request; and Name of Official - Enter the name of the Security Official who is responsible for issuing the Personnel Screening Consent and Authorization request. B. Biographical Information The applicant shall complete the following: d. e. f. Surname (last name); Full given names (no initials) underline or circle usual name used; Family name at birth (if different from current surname); All other names used (e. Nickname); Sex, Date of birth and Country of birth; Date of entry into Canada if born outside Canada; 4

5 Note: Refer to Instructions attached to the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) for information on additional documentation required if born outside Canad g. h. Daytime telephone number and address; Home address # 1 - Fill in all information boxes in # 1; Note: Civic numbers (if applicable) - Applicants living in rural areas must include number. Home address # 2, 3, 4 et - Complete as required in order to provide previous addresses for the last five years; and Note: There must be no gaps between the months or years for each of the addresses. Attach additional sheets of paper to the hardcopy submission, as appropriate. j. Have you previously completed a Government of Canada security screening form? - If Yes, provide the following: i ii Name of the private sector organization or the name of the government department or agency which initiated the request; Level of screening that was requested; and Year when the request was initiated. k. Criminal convictions in and outside of Canad The CSO/ACSO shall ensure that the applicant understands the following: Note: Refer to Instructions attached to the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) for additional information. i ii iv. v. v vi An applicant with one or more criminal convictions for which a pardon has not been granted, must complete all the boxes in this section. Attach additional sheets of paper in order to cover all convictions; Failure by the applicant to declare fully all criminal convictions will delay the Reliability Screening process and may result in the requested screening being denied. These include convictions handed down when the applicant was a Young Offender; Applicants declaring criminal convictions shall provide one completed fingerprint form (RCMP/GRC C-216C). Photocopies of fingerprint impressions or of the fingerprint form itself will not be accepted; The form is available from the following location; RCMP Logistics Section P.O Box 8885 Ottawa, Ontario K1G 3M8 If the applicant declaring a criminal conviction has resided outside of Canada, the CSO/ACSO should contact PSSD for instructions on what additional documentation may be required; Only a qualified CSO/ACSO, police authority or an accredited agency may take fingerprints: Fingerprints must be submitted in black (if using the new inkless pad, ensure to 5

6 complete the entire process before submitting). Prints are to be submitted in the pre-designated areas only and not on the back of the form; and vii Should an applicant have been Reliability Screened before, the CSO/ACSO should contact PSSD to ascertain if the previously provided fingerprint form is available, or if new forms are required to be submitted. Note: A pardon must be applied for and received in writing from the National Parole Board. A pardon is not granted without a written application. C. Consent and Verification The CSO/ACSO, the applicant and authorized organizational and departmental officials are all required to complete certain portions of this section. Note: Refer to Instructions attached to the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) for information concerning Consent and Age of Majority. The applicant shall complete the following: Line 1 - Date of birth, address, education, professional qualifications, employment history, personal character references. Complete as follows: i ii CSO/ACSO shall mark an X in the box located directly after the # 1; Applicant shall initial in the Applicant's initials box; and Organization's authorized official, who may not be the CSO/ACSO, but who conduct such background verifications (refer to section & 2 of this chapter), shall print their name, provide their initials and their telephone number in the three appropriate boxes on line # Copies of the applicant's supporting documentation shall be obtained and retained by the organization, subject to audit by CISD officials. Note:Such enquiries are the responsibility of and shall be conducted by the organization which is hiring the applicant. Line 2. - Criminal record check. Complete as follows: The CSO/ACSO shall ensure that the applicant understands the following: i CSO/ACSO shall mark an X in the box located directly after the # 2; and Applicant shall initial in the Applicant's initials box. Note: CSO/ACSO shall explain to the applicant that Criminal Records checks are conducted by PSSD on each applicant. Should the applicant indicate a past criminal conviction which no written pardon has been applied for and received, or should the name check reveal the need for further identification of the applicant or, should the applicant have resided outside of Canada during a portion of the last five years, a fingerprint form is required for each country of residence including Canad Line 3. - Credit check (financial assessment, including credit records check). Unless authorized by the employee, Section 3C is only to be completed after PSSD has determined that a credit check is a necessary element of the reliability check process. When a credit check has been deemed necessary: i The CSO/ACSO shall mark an X in the box located directly after the # 3; and 6

7 i Applicant shall initial in the Applicant's initials box. Note: The applicant shall be informed that Credit Checks are conducted by PSSD for the following reasons. i ii A criminal record has been confirmed; or The Contract or Client agency has identified this requirement; or For cause. d. e. Lines 4 & 5 - Loyalty and Other. The Privacy Act Statement (and disclosure consent signature). Applicant must read, sign and date the document at the bottom of section C, in the presence of the CSO/ACSO. i CSO/ACSO shall not mark the boxes located on these two lines; and Applicant shall not initial these two lines, as they are not required for the Reliability Screening process. Note: Should the applicant decline to initial the Applicant's initials boxes on lines 1, 2 and 3, and/or refuse to sign the disclosure consent statement, the Reliability Screening application Must NOT be submitted to PSSD. D. Review CSO/ACSO shall complete and initial this section, only after: Reconfirming that sections A, B and C as well as the applicant's initials and signature have been completed properly and that information provided on the form is correct to the best of their (the official's) knowledge; and Background verification enquiries required in section C, line # 1 have been conducted in a thorough manner, either by themselves or by an authorized official of the organization. All necessary supporting documentation has been obtained and copies are attached to the applicant's file at the organization. Such supporting documentation may be requested by PSSD at any time, as well as be subject to an audit by CISD officials. E. Approval This section of the form is for the use of PSSD officials only. Note: Refer to Instructions attached to this form. Consider the following Authorized Departmental / Agency / Organization Security Official Private sector organizations do not have the authority to approve any level of security screening and Photographs - These instructions do not apply to the Reliability Screening process Security Screening, Certificate and Briefing Form, TBS (2006/02) The Security Screening Certificate and Briefing Form is required to be completed and forwarded to PSSD in order to accomplish two 7

8 different purposes. For Briefing and Acknowledgement Purposes: After a Reliability Status has been granted by PSSD, the CSO/ACSO shall provide a comprehensive briefing to the employee concerning their security responsibilities, and obtain in writing the Acknowledgement of the employee to comply with the necessary requirements. Form Completion Details: The form is divided into four sections (A - D) Office use Only i Reference number - For use by PSSD; and Department/Organization Number and File number. Enter, if known, the organization's number and the applicant's file number assigned by CISD. A. to be Completed by the Security Office The CSO/ACSO shall complete the following: Complete the information boxes located on the first three lines of Part A. Place an in the box marked Initial Briefing or Reactivation, with the exception of: X i Unit/Branch - does not require to be filled in by private sector organizations; and Termination - refer to instructions in section A.i of this chapter. Authorized Level of Individual Under this heading, leave blank all information boxes for the next three lines. Note: This portion of the form is for use by PSSD. Only a government security official may authorize and grant a Reliability Status to an individual. B. C. Briefing Summary This summary is to be read by the employee. The CSO/ACSO is to answer any questions which may be raised by the employee and contact PSSD to obtain answers to other questions beyond the CSO/ACSO's knowledge. Acknowledgement The employee is to sign and date the form in the presence of the CSO/ACSO. Note: Due to difficulty in many instances arranging for an employee to sign a Reliability Status termination, the CSO/ACSO shall remind each new employee and each employee, who has undergone the updating process, that a Reliability Status is terminated once an employee ceases to be employed by the organization or when an employee's work no longer requires a Reliability Status. Every effort, however, must be made to have the form signed by the employee. D. Briefing OfficialThe CSO/ACSO is to sign and date the form. The form with the original signatures is to be forwarded to PSSD. A second copy of this form is to be placed on the security file of the employee, and a third copy given to the employee. 2. For Termination Purposes: If an applicant terminates employment prior to receipt of a Reliability Status, or an employee granted a Reliability Status terminates employment with the organization, the CSO/ACSO shall complete and submit this form. Form Completion Details: 8

9 The form is divided into four parts (A - D) Office use Only i Reference number - For use by PSSD; Department/Organization number and File number. Enter, if known, the organization's number and the applicant's/employee's file number assigned by CISD. A. to be Completed by Security Office The CSO/ACSO shall complete the following: Complete the information boxes located on the first three lines of Part A, with the exception of: i Unit/Branch - does not require to be filled in by private sector organizations; and Initial briefing or reactivation and Change in security requirement. Neither of these boxes are applicable when submitting a termination notice. Mark an X in the Termination box. Authorized Level of Individual i Under this heading, circle Reliability Status only if the employee has been previously granted this level, or If the Reliability Screening process was incomplete, leave blank all information boxes in this section. (e. all three lines) B. C. BRIEFING SUMMARY The employee should re-read and be reminded of the security conditions which remain in effect even after their Reliability Status has been terminated. ACKNOWLEDGEMENT Every attempt should be made to contact the employee and have them re-read, sign and date the termination Acknowledgement. Note: Where efforts to contact the employee by registered mail, or otherwise, are not possible or unsuccessful, the CSO/ACSO shall complete the form to the extent practicable, sign it and forward it to the PSSD with an explanatory letter or notation. Every effort, however, must be made to have the form signed by the employee. D. Briefing Official The CSO/ACSO is to sign and date the form. A copy of the form should be given to the employee. The form, with original signatures, is to be forwarded to PSSD. A final copy of this form is to be placed on the employee's security file to close out the records Transfer of Reliability Status Between Organizations The Reliability Status of an individual may be transferred between organizations, provided the following criteria have been met: The Reliability Status was not terminated more than two years ago; The Reliability Status is not due for updating; and The individual has stated that there have been no changes in their personal history regarding criminal convictions 2. The form is to be completed as per a new request (refer to section of this chapter) but with 9

10 the following differences: Section A. Place an X in the Transfer Box; Section B. Ensure to provide all the required details on line Have you previously completed a Government of Canada security screening form? ; Section C. Leave blank all the boxes on lines 1 through 5. The individual, however, must sign and date the form in order to confirm the validity of the personal details in Section B, above Inability to Grant, or Denial of a Reliability Status If it is not possible to obtain background information to cover the last five years or if significant adverse information arises during the process of a Reliability Screening, the applicant will be so notified, in person, (unless the information is exempt from disclosure under the Privacy Act) and given an opportunity to explain the circumstances. Should the Director, Canadian Industrial Security Directorate (CISD) of Public Works and Government Services Canada (PWGSC), after reviewing all relevant information and negative recommendations, decide that the applicant does not meet the requirements for a Reliability Status, the applicant concerned shall be so notified in writing of their rights of access to review and redress mechanisms Reliability Status Records Safeguarding and Disposal: Because of its sensitivity, Reliability Screening documentation containing personal information shall not be retained in an organization's personnel files but rather in a separate security file and safeguarded appropriately. CSO/ACSO's shall maintain a current listing of all employees who have been granted a Reliability Status for tracking, updating and auditing purposes. In accordance with Access to Information guidelines issued by the Treasury Board Secretariat, Reliability Screening records, under ATI Bank PSE 921, shall be destroyed two years after an employee leaves the institution for which the Reliability Screening was conducted. 2. Submission of Reliability Screening Forms: This process requires the following: One copy of Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) is required to initiate the process of Reliability Screening. Photocopies of these forms with original signatures may be used. Clear and legible facsimiles are acceptable; Note: The form must be completed accurately with all required information or it will be returned. d. One original Fingerprint Form, RCMP-GRC C-216C (submit as required, as requested only); One copy of Security Screening Certificate and Briefing Form, TBS/SCT (Rev. 2006/02) is required both when a Reliability Status is granted by PSSD, and subsequently at the time of termination. Photocopies of the form with original signatures may be used; and Unless otherwise advised by a CISD Security Official, forms are to be sent in a sealed envelope, addressed to: Canadian Industrial Security Directorate (CISD) Public Works and Government Services Canada Personnel Screening Division c/o Central Mail Room 10

11 Place du Portage, Phase III, 0B3 11 Laurier Street, Gatineau QC 2745 Iris Street, 2nd Floor Ottawa ON K1A 0S5 Mail and private courier are not accepted at 2745 Iris Street. All correspondence should be sent to the above address Reports Change of Circumstances Report: An employer/employee who becomes aware, or has reasonable and probable grounds to suspect that circumstances, which prevailed when the applicant was granted a Reliability Status, have changed and could affect adversely that individual's reliability or trustworthiness, or who for any reason doubts the reliability or trustworthiness of such an individual: Shall forward a complete report of the change of circumstances through their manager to the CSO/ACSO, who shall forward it on to PSSD; and May deny that individual access to PROTECTED information and assets until the situation is resolved. 11

12 250. General The Government Security Policy prescribes a Personnel Security Clearances for those individuals who may have access to CLASSIFIED information, assets, or sites. Information Personnel Security Screening Division (PSSD) is responsible for ensuring that all employees who are so required or who are selected Key Senior Officials (KSO) of Canadian organizations that are being processed for or have been granted a Facility Security Clearance (FSC) by the Canadian Industrial Security Directorate (CISD), hold a current Personnel Security Clearance (PSC) to the appropriate level. Part I of this chapter detailed the procedures to be followed to obtain the necessary Reliability Status, which is required prior to gaining authorized access to PROTECTED information, assets or sites. Part II details the Personnel Security Screening procedures required prior to gaining authorized access to CLASSIFIED information, assets or sites. 2. Scope The Government of Canada Security Policy (GSP) establishes Personnel Screening Standards to ensure that only persons whose reliability and trustworthiness have been established, are granted access to PROTECTED information, assets or sites. It further guarantees that only those persons whose reliability, trustworthiness and loyalty to Canada has been established are granted access to CLASSIFIED information, assets or sites. Equally important, the same standards provide a framework and process for carrying out personnel security screening assessments that respect the rights of the individual who has consented to undergo any level of security screening. 3. Application Personnel Security Screenings are carried out according to the highest level of information and assets which will be accessed in the normal performance of assigned work duties or contracts and require an assessment of an individual's reliability, trustworthiness and loyalty. The following chart depicts the levels of PSCs: Types of Personnel Security Level Confidential Secret Top Secret Information or Asset Access Confidential Secret Top Secret The relationship of the above three levels of security clearance to the security classification scheme is as follows: Confidential - when compromise could reasonably be expected to cause injury to the national interest. Secret - when compromise could reasonably be expected to cause serious injury to the national interest. Top Secret - when compromise could reasonably be expected to cause exceptionally 12

13 grave injury to the national interest. Note: The Canadian government no longer uses the classification RESTRICTED. This classification may still be encountered in the form of NATO RESTRICTED or foreign / allied national RESTRICTED information or assets. 4. It is important to note that no individual is entitled, by virtue of rank or position, to have access to, knowledge of, or custody of CLASSIFIED information and assets. The individual must have the appropriate PSC level and an identified need - to - know (Access includes the opportunity to gain knowledge of information by visual or auditory means). 25 Organization's Responsibilities Relating to a Personnel Security Clearance A Personnel Security Clearance does not in itself confer a right of access to CLASSIFIED information, assets or sites; however, it does constitute the authority for an organization to allow an employee access to CLASSIFIED information, assets or sites, up to and including the classification level indicated in the security clearance authorization issued by the PSSD, on a need-to-know basis, and subject to any restrictions that may be imposed in contractual or pre-contractual documentation. Access to CLASSIFIED information, assets or sites is NOT permitted prior to receipt of the necessary PSC. Personnel Security Screening documentation may only be submitted to PSSD by the Company Security Officer (CSO),or the Alternate Company Security Officer (ACSO). A non-canadian citizen, who has been granted a Canadian FSC with, may have access to CLASSIFIED information and assets which originates from their nation of citizenship, as well as to certain Canadian information and assets. Such individuals require approval by CISD prior to being given access to third-nation information and assets. These individuals shall not be given access to CLASSIFIED information and assets marked For Canadian Eyes Only. Any questions concerning access privileges should be referred to the CISD. Under normal circumstances, an organization may not request a PSC for an employee at a higher level than the FSC. Certain exceptions are permitted for NATO levels of clearance. The responsible Field Industrial Security Officer (FISO) should be consulted for specific guidance. Organizations have the sole jurisdiction and responsibility for the engagement and termination of an employee. They are also responsible for determining and justifying an employee's need for access to CLASSIFIED information, assets or sites. An organization may only submit personnel security screening documentation on behalf of individuals who have commenced employment with that organization, or are under contract to commence work within 60 days. It is important to note that a NATO clearance of COSMIC TOP SECRET and a Canadian clearance of TOP SECRET are valid for a five year period only. NATO SECRET, NATO CONFIDENTIAL and Canadian SECRET and CONFIDENTIAL are valid for a ten year period from the date of issue unless rescinded for cause, and will terminate when: the individual leaves the employ of the organization on whose behalf the security clearance was granted; the individual is transferred to another position where access to CLASSIFIED information, assets or sites is not required; or the organization's Facility Security Clearance lapses or is cancelled. 8. The CSO/ACSO is responsible for initiating the renewal and termination of PSCs. Notes: 13

14 A. B. An individual must be the age of majority in order to be processed for a Personnel Security Clearance, or the signature of a parent or guardian must be provided. Some provinces have different age of majority requirements). Refer to instructions attached to the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02). The Criminal Code, Section 748 (3) states that no person convicted of an offence under Section 121 (frauds on the Government), Section 124 (selling or purchasing office), or Section 418 (selling defective stores to Her Majesty), has, after that conviction, the capacity to contract with Her Majesty or to receive any benefits under a contract between Her Majesty and any other person or to hold office under Her Majesty unless a pardon has been granted. (This effectively prohibits granting of a PSC to any such individual) Pre-Screening Requirements When an individual is being considered for employment in areas where access to CLASSIFIED information, assets or sites will be required, the CSO/ACSO shall determine first the reliability and trustworthiness of that individual. Detailed instructions follow. In addition, the CSO/ACSO shall ensure that the employee can provide sufficient information to permit government authorities to conduct a background enquiry covering the last ten years. Enquiries can only be conducted in countries that have bilateral/reciprocal agreements with Canadian investigative authorities. In cases where the ten year requirement cannot be met, or an individual is not a Canadian citizen, or the individual has resided outside of Canada for more than a year, during the preceding ten years, guidance should be sought from the PSSD, prior to the submission of screening documentation. This is particularly applicable to nationals of those countries from which reliable background information cannot be obtained. After favorable findings, a request for a Personnel Security Clearance may be submitted to the PSSD. The CSO/ACSO is directly responsible to verify the identity of an applicant by using two or more of the following official documents listed below. The CSO/ACSO shall undertake the verification either themselves, or they shall be responsible to ensure that an approved employee of the organization has conducted such verification and has obtained copies of the documentation to confirm the background/identity of the applicant: i ii iv. Current passport; Birth certificate; Baptismal certificate; Citizenship certificate or Immigrant Visa and Record of Landing document; v. Canadian work permit/visa; or v Valid driver's licence that has been issued in Canada which includes a laminated photograph When the CSO/ACSO are submitting a security screening request on behalf of themselves, copies of two or more of the above noted official documentation, which confirms identity, must be submitted to PSSD, attached to the application for the Security Clearance. Guidelines/Instructions: The subject of the security screening must be properly identified through a preliminary verification as follows: Surname (maiden name) and Given Name(s); 14

15 d. e. f. Date of Birth - An applicant's date of birth may be verified using one or more of the above documents in section of this chapter); Addresses - The applicant's address(es) for the last ten years must be obtained. The current address only shall be included on the Instructions attached to the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02). The address on this form must include apartment number, street number, street name (civic number, if appropriate), city, province and/or state, postal code, country and the from-to dates. The must include the full ten years of detailed addresses; Education/Professional Qualifications - These may be verified by official transcripts, diplomas, certificates from educational/professional institutions and/or originals of professional certification from municipal/provincial/federal licensing bodies, associations or institutions; Employment History - This may be verified by contacting previous employers to ascertain dates of employment, performance and reason for leaving employment; and Personal Character/Employment References - These may be verified by contacting references provided by the applicant. Note: Only after a thorough preliminary verification has been completed, documented and retained by the CSO/ACSO (subject to audit by CISD staff), may a request for a Security Clearance be submitted to PSSD Procedures for Requesting a Personnel Security Clearance 2. The following forms shall be completed and processed prior to the issuance of a PSC. For ease of processing, all forms with the exception of the Fingerprint Form (RCMP/GRC C-216C) shall be completed and submitted electronically. If this system is unavailable, however, all forms shall be typed or printed, in block letters, using black ink. If any form is illegible, it will be returned to the sender. In those organizations which are using an electronic process, the applicant's hardcopy documentation bearing original signatures shall be forwarded to the PSSD on the same day as the electronic submission. The forms are: Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02); Security Clearance Form, TBS/SCT E (Rev. 2006/02); Security Screening Certificate and Briefing Form, TBS/SCT (Rev. 2006/02) and; Fingerprint Form, RCMP-GRC C-216C (If required or requested). Note: Instructions contained in this portion of the manual, supplement the generic instructions which are attached to each of the forms. 3. Personnel Screening, Consent and Authorization Form, TBS/SCT E (2002/07) Form Completion Details: The Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) is divided into five sections (A - E) Office use Only i Reference Number - For use by PSSD; and Department/Organization Number and File Number 15

16 A. Administrative Information The CSO/ACSO shall complete the following. Fill in all boxes, with the exception of the following: i ii iv. v. v vi vii Upgrade - DO NOT USE this box when an applicant who previously has been granted a Reliability Status, requires a security clearance. Mark an X in the New box; Other - This box should be filled in only when a NATO or SIGINT caveat screening is required (NATO and SIGINT require a security clearance level to be identified in the appropriate box, as well); Indeterminate, Term, Contract, Other - These boxes do not apply to requests submitted by private sector organizations. Place an X in the Industry box only; Position/Competition/Contract number - Enter the Contract number to which the applicant will be assigned; Title - Enter the name/title of the contract; Group/Level - Leave blank. This does not apply to private sector organizations; Name and Address of Department / Organization / Agency - Enter the details of the organization which is submitting the Reliability Screening request; and Name of Official - Enter the name of the Official in the organization for whom the applicant will be working. The CSO/ACSO's name should NOT appear in this box unless the applicant will be working for them. B. Biographical Information The applicant shall complete the following d. e. f. Surname (last name); Full given names (no initials) underline or circle usual name used; Family name at birth (if different from current surname); All other names used (e. Nickname); Sex, Date of birth and Country of birth; Date of entry into Canada if born outside Canada; Note: Refer to Instructions attached to the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) for information about additional documentation required if born outside Canad g. h. Daytime telephone number and address; Home address # 1 - Fill in all information boxes in # Note: Civic numbers (if applicable) - Applicants living in rural areas must include civicnumber or lot, concession number and township. Home address # 2, 3, 4 et - Complete current address ONLY. All other addresses for ten years of history are to be filled in on the Security Clearance Form, TBS/SCT E (Rev. 2006/02); 16

17 Note: There must be no gaps between the months or years for each of the addresses. Attach additional sheets of paper to the hardcopy submission, as appropriate. j. Have you previously completed a Government of Canada security screening form?- If Yes, provide the following: i ii Name of the private sector organization or the name of the government department or agency which initiated the request; Level of screening that was requested; and Year when the request was initiated. k. Criminal Convictions in and Outside of Canad Note: Refer to Instructions attached to Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) for additional information. i ii iv. v. v vi vii An applicant with one or more criminal convictions and without a pardon must complete all the boxes in this section. Attach additional sheets of paper in order to cover all convictions; Failure by the applicant to declare fully all criminal convictions will delay the Reliability Screening process and may result in the requested screening being denied. These include convictions handed down when the applicant was a Young Offender; Applicants declaring criminal convictions shall provide ONE completed fingerprint form (RCMP/GRC C-216C). Photocopies of fingerprint impressions or of the fingerprint form itself will not be accepted; The form is available from the following location; RCMP Logistics Section P.O Box 8885 Ottawa, Ontario K1G 3M8 If the applicant declaring a criminal conviction has resided outside of Canada, the CSO/ACSO should contact PSSD for instructions on what additional documentation may be required; Fingerprints may only be taken by a qualified CSO/ACSO, police authority or an accredited agency; Fingerprints must be submitted in black (if using the new inkless pad, ensure to complete the entire process before submitting). Prints are to be submitted in the pre-designated areas only and not on the back of the form; and Should an applicant have been Reliability or Security Screened before, the CSO/ACSO should contact PSSD to ascertain if the previously provided fingerprint form is available, or if new forms are required to be submitted. Note: A pardon must be applied for and received in writing from the National Parole Board. A pardon is not granted without a written application. C. Consent and Verification The CSO/ACSO, the applicant and authorized organizational and departmental officials are all required to complete certain portions of this section, as follows. Note: Refer to Instructions attached to the Personnel Screening, Consent and Authorization 17

18 Form, TBS/SCT E (Rev. 2006/02) for information concerning Consent and Age of majority. Line 1 - Date of Birth, Address, Education, Professional Qualifications, Employment History, Personal Character References. i ii CSO/ACSO shall mark an X in the box located directly after the # 1; Applicant shall initial in the Applicant's initials box; and Organization's authorized official, who may not be the CSO/ACSO, but who conduct such background verifications (refer to section and 2 of this chapter), shall print their name, provide their initials and their telephone number in the three appropriate boxes on line # Copies of the applicant's supporting documentation shall be obtained and retained by the organization, subject to audit by CISD officials. Note: Such enquiries are the responsibility of and shall be conducted by the organization which is hiring the applicant. Line 2 - Criminal Record Check. Complete as follows: i The CSO/ACSO shall mark an X in the box located directly after the # 2; and Applicant shall initial in the Applicant's initials box. Note: CSO/ACSO shall explain to the applicant that Criminal Records checks are conducted by PSSD on each applicant. Should the applicant indicate a past criminal conviction which no written pardon has been applied for and received, or should the name check reveal the need for further identification of the applicant, or should the applicant be applying for a TOP SECRET or COSMIC TOP SECRET level clearance, or should the applicant have resided outside of Canada during a portion of the last ten years, a fingerprint form is required for each country of residence, including Canad Line 3 - Credit Check (financial assessment, including credit records check). Unless authorized by the employee, Section 3C is only to be completed after PSSD has determined that a credit check is a necessary element of the reliability check process. When a credit check has been deemed necessary: i The CSO/ACSO shall mark an X in the box located directly after the # 3; and Applicant shall initial in the Applicant's initials box. Note: The applicant shall be informed that Credit Checks are conducted by PSSD for the following reasons. ii iv. v. v A criminal record has been confirmed; or The Contract or Client agency has identified this requirement; or a TOP SECRET or COSMIC TOP SECRET security clearance has been requested; or For cause. d. Line 4 - Loyalty. Complete as follows: i CSO/ACSO shall mark an X in the box located directly after the # 4; and Applicant shall initial in the Applicant's initials box. 18

19 e. Line 5 - Other (specify, see instructions) Complete as follows: i CSO/ACSO shall mark an X in the box located directly after the # 5; Applicant shall initial in the Applicant's initials box and sign the back of the photograph. Refer to instructions attached to the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02). Section E (Approval) - Photographs: Photographs are required for new and upgrade Level III (TOP SECRET/COSMIC TOP SECRET) security clearances and when so requested by PSSD; and ii The CSO/ACSO or other authorized industry representative, as well as the applicant, shall sign the back of the photograph and print their name. The applicant must also read, sign and date the Privacy Act Statement at the bottom of Section C and forward the document to the CSO/ACSO. Note: Should the applicant decline to initial the Applicant's initials boxes on lines 1, 2 and 3, and/or refuse to sign the disclosure consent statement, the Reliability Screening application Must NOT be submitted to PSSD. D. Preview CSO/ACSO shall complete and initial this section, only after: reconfirming that sections A, B and C as well as the applicant's initials and signature have been completed properly and that information provided on the form is correct to the best of their (the official's) knowledge; and background verification enquiries required in section C, line # 1 have been conducted in a thorough manner, either by themselves or by an authorized official of the organization. All necessary supporting documentation has been obtained and copies are attached to the applicant's file at the organization. Such supporting documentation may be requested by PSSD at any time, as well as be subject to an audit by CISD officials. E. Approval This section of the form is for the use of PSSD officials only. Note: Refer to Instructions attached to this form. Consider the following: Authorized Departmental/Agency/Organization Security Official Private sector organizations do not have the authority to approve any level of security screening ; and Photographs - Refer to Instructions attached to the form TBS E(Rev.2002/07) and to the Note for Line 5, above. 4. Security Clearance Form, TBS/SCT E (Rev. 2006/02) Note the following: Before permitting the applicant to start completing the Security Clearance Form, TBS/SCT E (Rev. 2006/02), the CSO/ACSO should advise the applicant that failure to include all required information, or to complete the form in an accurate or legible manner will result in 19

20 the documentation being returned, thereby delaying the screening process; The CSO/ACSO should explain to the applicant as well, the consequences of attempting to conceal any information which might have a bearing on the degree of confidence that could be placed in them by the Government; and The CSO/ACSO should provide a copy of the completed Security Clearance Form to the applicant for future reference. Form Completion Details The form is divided into seventeen sections; Requests at the levels of CONFIDENTIAL and SECRET including NATO shall have completed the following twelve sections (A to J inclusive and P); and Requests at the level of TOP SECRET or COSMIC TOP SECRET shall complete all sections. New Security Clearance Applications Office Use Only A. Administrative Information The CSO/ACSO shall complete all boxes, with the exception of: d. e. f. Reference Number and Department Number - for use by CISD; File Number - Enter, if known, the applicant's file number assigned by CISD; Upgrade - DO NOT USE this box when an applicant who previously has been granted a Reliability Status, requires a security clearance. Mark an X in the New box; Other - This box should be filled in only when a NATO or SIGINT Caveat screening is required. NATO and SIGINT require a security clearance level to be identified in the appropriate box, as well; Department/Agency/Organization and Organization Number - Enter the name of the private sector organization and, if known, the CISD issued organization number in the applicable boxes; and Employee ID Number/PRI/Rank and Service Number (if applicable) This box does not apply to requests submitted by private sector organizations; B. Biographical Information The applicant shall complete and note the following: Boxes Should contain identical information as the Personnel Screening, Consent and Authorization Form, TBS/SCT E (Rev. 2006/02) Box 7 - Applicants born outside Canada will be required to complete Section G and provide additional information and copies of supporting documentation; and Boxes 8 / 9 - Provide information, if applicable. If not, enter N/A in first box 8. C. Security Screening 20