Commentary No. 76: The Canadian Government Security Screening Program

G. Davidson (Tim) Smith

Fall 1999
Unclassified

Editors Note: The Canadian government's Security Screening Program has undergone progressive improvements during the past decade. Recognized internationally as a model of efficiency and effectiveness, it also is respected for its fairness and oversight provisions. In this issue, Dr. G. Davidson (Tim) Smith, a counter-terrorism specialist with the Canadian Security Intelligence Service, examines the Program and highlights the features which make it unique.

Disclaimer: Publication of an article in the Commentary series does not imply CSIS authentication of the information nor CSIS endorsement of the author's views.

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Introduction

Over the years, Canada and its citizens have gained international recognition in many fields of endeavour. Although deserving of acknowledgement and commendation, one important Canadian accomplishment remains relatively unheralded. Not highly publicized, even in Canada, the federal government's Security Screening Program has established standards of efficiency and effectiveness which afford it global respect. The Program is applauded for a range of features which provide, inter alia:

• a legislated authority;
• a fully automated electronic operation;
• one standard set of policies, procedures and forms for all clearances across government;
• a single investigative agency with standardized criteria;
• an open governing regime, with details freely available on the Internet;
• a written denial policy; and
• a readily accessible review mechanism.

The success of the government Program has not gone unnoticed. A number of foreign governments have demonstrated interest and have sought information concerning the structure of the Program, its policies and operational principles. Canadian government officials have travelled abroad to brief and assist countries interested in establishing similar security screening programs. In part because of such enquiries, and in part because the Security Screening Program affects many Canadians across the nation and overseas, the Program's history, raison d'être, operation and responsibilities deserve some scrutiny.

History

The origin of the security screening program can be traced back to World War I. In 1931, the RCMP began the fingerprinting and screening of Civil Service Commission (CSC) applicants and appointees. The program was placed on an official footing in Canada as a consequence of the revelations of Igor Gouzenko, the Soviet cipher clerk who defected from the Russian Embassy in Ottawa in September 1945. The allegations of Soviet espionage prompted the Canadian government to initiate a Royal Commission under Supreme Court Justices R.L. Kellock and Robert Taschereau.

The report of the Royal Commission contained recommendations for the implementation of coordinated and uniform security measures across government. As an outcome of the findings, a Cabinet Directive was issued in 1948, formalizing security screening.

What is Canada's Security Screening Program?

In essence, Canada's Government Security Screening Program is intended to protect sensitive Canadian information and assets.

The Program is conducted in accordance with the provisions of the Government Security Policy (GSP) as established by Treasury Board. It comprises the full range of security clearances required by government to access sensitive information. Specifically, government screening relates to assessment procedures which authorize or deny government employees, members of the Armed Forces, or civilian contractors, access to classified information or assets. Included as well are provisions for individuals to access sensitive government-related sites or facilities, such as the Parliament Buildings and Official Residences.

The Airport Restricted Area Access Clearance Program (ARAACP), established in 1987 to improve security at major Canadian airports, also falls within the purview of government screening despite deriving its legislative authority from the Aeronautics Act and not the Government Security Policy. As well, the accreditation of visitors, employees, or members of the Press, for special events conducted under federal government sponsorship, is authorized under the Protection of Internationally Protected Persons Act, but it is executed similarly to the Government Security Screening Program.

Who is responsible for executing Canada's Security Screening Program?

The Canadian Security Intelligence Service (CSIS) is responsible for security screening in Canada under the mandate of the 1984 CSIS Act. CSIS provides security assessments on demand for all federal government departments and agencies, under Sections 13 and 15 of the CSIS Act, by undertaking field investigations and electronic database verifications. The RCMP is the only federal agency that continues to conduct security investigations for its own personnel.

Why is the Security Screening Program important?

As Prime Minister Lester B. Pearson stated to Parliament in 1963, " We would all prefer if we could ignore the necessity of security and do away with the procedures and precautions it imposes on us. Unfortunately, we cannot. It is still the responsibility of government to ensure that every reasonable precaution is taken to protect the security of the nation in all its aspects." The Prime Minister also recognized the need to, "balance the protection of the state and the protection of the individuals who, in a free society, alone give the state its direction, its purpose and indeed its meaning."

For a number of reasons, Canada is viewed as an attractive location by many terrorists-in fact, most of the world's major terrorist groups have a presence here. Terrorist-related activities in Canada generally are of a logistical nature, in support of campaigns abroad and involve fund-raising, propaganda, advocacy, providing refuge, and manipulation of ethnic communities. However, the possibility of individuals indulging in more deadly gestures, should opportunities present themselves, cannot be discounted; in the past, terrorists have been apprehended in Canada while planning the hijacking or bombing of aircraft. Security clearances conducted under the aegis of the Security Screening Program and within the constraints of the ARAACP are designed to prevent the occurrence of such terrorist incidents.

The threat of terrorism, however, is only one of several practical justifications for the existence of Canada's Security Screening Program. As the Aldrich Ames case in the United States has demonstrated, the risk of espionage is not merely real but may be greater now than during the period of the Cold War. Economic disparities and competing national interests have created a market for political, military and technological intelligence. Foreign governments, through their intelligence services, still try to gain unauthorized access to sensitive information, the disclosure of which would be detrimental to the national interests of Canada.

Ideology is no longer the major cause of disloyalty or unreliability among persons having access to classified material or sensitive locations. Nationalism, associated with ethnic, cultural and religious ties, can create insidious demands. Attempts have been made by foreign nationals or representatives of foreign governments to suborn members of homeland communities in Canada, especially individuals known to hold sensitive positions in government or private industry. As well, the coercive and corrupting influence of transnational criminal activities, including narco-trafficking, money-laundering, fraud, tax evasion and immigrant smuggling, can undermine political, economic, and financial systems and civil society.

Information technology is a strategic asset essential to the future prosperity of all countries. Canada is a world leader in the adoption and application of such technologies. Ensuring its security is a challenge for all departments and agencies of the government of Canada.

The Government Security Policy

As a result of wide recognition by government officials that the security classification and personnel screening system was out of date and being misused, a new Government Security Policy (GSP) was introduced in June 1986, with the objective of ensuring appropriate safeguarding of all sensitive information and assets of the federal government. The CSIS Act and the GSP are linked directly through the personnel screening program. Both describe the Service's responsibilities in the conduct of investigations for clearance and assessment purposes. They also describe the Service's responsibility towards the maintenance of a central registry of security clearances for all departments except the RCMP.

In 1994, the GSP was amended to further define departmental responsibility with regard to the determination of applicant suitability for employment, while CSIS' responsibility was limited to the assessment of loyalty and reliability.

What does the Security Screening Program involve?

CSIS undertakes investigations for the purpose of recommending that an individual be granted or denied access to classified information or assets. A security screening assessment seeks to determine if:

• (loyalty) evidence exists that the individual is engaged in, or may engage in, activities that constitute a threat to the security of Canada; and

• (reliability) evidence exists that because of personal beliefs, features of character, association with persons or groups considered a security threat, or family or other close ties to persons living in certain countries, the individual may be induced to act in a way that constitutes a threat to the security of Canada, or may disclose classified material.

The existence of such evidence would constitute grounds for a recommendation for denial of a security clearance.

Fairness and openness

The investigation or assessment conducted in the screening process is based upon "whole person" standards. For example, a minor incident which occurred during teen-age years would not of itself be sufficient to recommend a denial; rather, an assessment is made of the whole period under review, including the whole character of the individual, to determine if a denial is warranted.

Where a security clearance is denied, the GSP provides for a right of review of the decision by the Security Intelligence Review Committee (SIRC), as well as provisions covering the right to reapply for a security clearance.

Information privacy

Only that information which forms an essential component of a security assessment is collected and retained. Furthermore, provisions of the Privacy Act ensure that the information is not accessed without proper authorization.

How does the Security Screening Program operate?

Departmental and Agency Security Officers (DSOs/ASOs) are responsible for ensuring that GSP standards are observed, and are assisted in the task by agencies such as CSIS and the RCMP which provide advice and information about risk, threat and vulnerability. The actual classification of information and assets is based upon an assessment in relation to concerns associated with the National Interest-the damage or injury that would be caused to Canada in the event specific information or assets were disclosed or compromised.

It is a departmental responsibility to determine an individual's suitability for employment. It is also the department's responsibility to determine if an individual requires access to classified information or assets to carry out his/her employment, and, if so, what level of clearance is necessary.

National Interests

The National Interests of Canada span a broad spectrum. Among the range of concerns are:

• national defence and such particulars as details of weapons systems, military plans, and equipment acquisitions;

• public safety and the welfare of Canadians and visitors to Canada;

• international affairs, with necessary attention given to sensitive diplomatic exchanges and trade negotiations of significance for the security and economic welfare of Canada and Canadian interests abroad;

• federal-provincial relations which often involve delicate relationships and discussions which must be conducted in a confidential manner;

• all matters relating to the Cabinet process, such as Minutes of Meetings, official memorandums and subjects of discussion are necessarily of a highly classified nature.

Other select areas of economic interest to Canada arise from time to time which warrant the attention of the Security Screening Program.

To meet the requirements of protecting the National Interest, the GSP has defined three security clearance levels: Confidential (Level 1), Secret (Level II), and Top Secret (Level III). The acquisition of a security clearance is not an arbitrary decision arrived at by an employee or manager. Rather, the need for a security clearance is dependent upon the need for access to classified information or assets in the performance of duties associated with an individual's employment. If an individual's job requires access to classified material or assets, the individual will require a security clearance to perform the work.

Clearance process

Level 1 and II Security clearance requests are conducted electronically, and most result in a recommendation to grant the clearance being made to the DSO/ASO. Further enquiries including an interview with the subject or a full field investigation may be required at times, if the process reveals questionable information. A full field investigation is also required for all Level III security clearances.

A field investigation includes CSIS records checks, the interview of friends, neighbours, employers, local police checks and the interview of the applicant.

In all cases, at all Levels, the security screening process may reveal significant information which would lead CSIS to recommend that the requested clearance be denied. In other cases, CSIS may advise the Departmental or Agency Security Officer (DSO/ASO) of information which, while being of concern, may be insufficient to warrant a recommendation to deny, but would nevertheless require departmental attention and appropriate action.

Examples

The effectiveness and importance of the government's Security Screening Program can be illustrated by reference to a number of recent cases. Several applicants for airport access clearances were found to have an association with extremist groups in their homeland. Of particular interest were two individuals who required access to secure areas of the airport. Both were found to have been actively involved with terrorist groups, and had in fact spent time overseas providing support to these groups. The department responsible for granting the clearances, in this case Transport Canada, denied them to both individuals.

A security clearance request also uncovered the willingness, indeed the eagerness, of a government employee to pass on information to a foreign intelligence service operating in Canada under the guise of diplomatic status. A security clearance would have allowed this individual to provide very sensitive and potentially damaging information to the foreign government which was directing him.

Another clearance was denied to a person who, it was uncovered, had held a position of authority in an international terrorist organization prior to immigrating to Canada, and still maintained contact with supporters of this terrorist organization. His position would have given him access to highly sensitive technical information of much interest to the group he was aligned with.

Automated electronic operation

The security screening system used in Canada today has more than kept pace with advancements in electronics and computer technology. Impressive changes have occurred during the past ten years, moving the system from hard-copy methodology to electronic delivery, thereby reducing , in some cases, the turn-around time by half. The result is a highly efficient, fully automated system requiring fewer personnel to manage and operate, delivering greater speed of inquiry and return, and eliminating frustration on the part of both applicants and DSOs/ASOs.

Summary

The Government Security Screening Program was designed to protect sensitive Canadian information and assets. Its unique features, which have earned international recognition, include:

• automated electronic operation, providing greater speed of inquiry and return;

• standard policies and procedures, whereby each department and agency follows the same standards and rules throughout the process;

• a single investigative agency and legislated authority, (with one exception) designed for consistency; and

• a unitary review arrangement, providing for a written denial policy in conjunction with one readily available review mechanism (SIRC).

Results have shown it to be a balanced, efficient and effective system. This Program is a credit to Canada and is well positioned to remain a world leader in government screening.

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Commentary is a regular publication of the Analysis and Production Branch of CSIS. Inquires regarding submissions may be made to the Chairman of the Editorial Board at the following address:

The views expressed herein are those of the author, who may be contacted by writing to:

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ISSN 1192-277X
Catalogue JS73-1/76