The Emergency Management & Security Branch, MGCS presents

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The Emergency Management & Security Branch, MGCS presents

Reality of Screening• One third of Canadians have “Red Flags”associated with their background– 10.7% of Canadians have criminal records– 90% are less than candid about their criminalconvictions– 6% supply false SIN numbers– 23% have alias/alternate names– 25% of candidate embellish the duration of previousemployment– 9% of applicants have lied about education claims– Red flags double when employment verifications arecompleted with reference checks.Source: Corrections Canda3


Recommended Screening Practices• When should you screen?– Before you make a job offer or enter into a contract• Who should you screen?– Everyone and every contractor• Why should you screen?– Protect the health and safety of staff and clients– Protect confidential and sensitive information andassets– Exercise due diligence with respect to the recruitmentand selection of individuals = hire better people– Engender public confidence in your organization– Mitigate risks4


Who’s Screening?• Federal government• Provincial governments for selectedoccupations (mostly vulnerable sector, IT,financial)• Some municipal governments(e.g., Ottawa, Halton,Toronto) for selectedoccupations• Ontario Power Generation• Ontario Lottery Corporation• Financial Institutions• School Board Employees• Etc.5


It can happen to you…• A Toronto-based trucking company couldhave saved $250,000 had they conducteda background check on a woman theyhired to manage their accountsdepartment.• Over the course of her two years as a bookkeeper, theemployee siphoned $250,000 from the company's generalaccount. She was ultimately prosecuted on criminal chargesof fraud and theft under $5,000, and sentenced to threeyears in jail.• If they had called her previous employer they would havediscovered that the woman they hired had defrauded themof $100,000 and was ordered to pay back the money.• The Quebec government announced that it would conductbackground checks on the province's 35,000 day-careworkers. After an investigation into 7,030 day-care owners,they found that 20 had criminal records.Source: Canadian HR Reporter6


OPS Security Structure• The different types of security measures should beintegrated to minimize potential risks and maximize theorganization’s effectiveness.7


OPS Personnel and ContractorScreening Policies• The OPS Personnel and ContractorScreening policies were developed to:– Protect employees, contractors, visitors inOPS occupied facilities– Protect information, assets and services– Identify potential risks– Ensure the public trust continues to beprotected– Ensure consistent practices across the OPS– Protect reputation of government8


Personnel Screening Policy• OPS Personnel Screening Checks Policy wasapproved March 2005.• OPS “positions of trust”:– Access to highly sensitive information and assets– Activities involving contact with, or responsibilityfor, the well being of children/ vulnerable people– Duties associated with work of law enforcement• Ministries/agencies employing public servants.• Policy covers employees hired under the PSA(now PSOA).• The Personnel Screening Policy is beingimplemented in four phases.9


Personnel Screening Status• Next Steps:– Implementation of Phase 3 (harmonizationof other OPS check processes)– Phase 4 priority check requests dealt withon a case by case basis using a riskmanagement approach11


Contractor SecurityScreening• Policy approved October 2006.• Requires screening checks for all Contractorswho do business with the OPS.• Applies to all ministries,agencies that appointemployees under the PublicService of Ontario Act(previously PSA) and theOntario Realty Corporation.• Implemented in a phasedapproach.12


Contractor Screening Highlights• Phased Implementation:– All new and existing contracts in the six priority areas– All new contracts• Other high risk contracts will be screened on apriority basis. Existing ministry contracts uponthe request of the Deputy Head.• Security Clearance must be obtained prior toawarding a contract. Contract cannot beawarded if a security clearance is not grantedto a company.• Clearances valid up to 5 years.• Clearances from other organizations may beaccepted and/or exchanged.• Compliance is subject to Audit.13


Screening Evaluation• A determination to grant security clearance willbe based solely on the information from thescreening check and any subsequentinformation provided by the individual beingchecked and in consideration of, but not limitedto the following evaluation criteria:– Whether the conviction / charge / judicial orderrelates to the position or contract– The nature, extent and seriousness of the conviction /charge / judicial orders– The frequency of the conviction /charge / judicial order– The passage of time since theconviction / charge / judicial order– The individual’s undeclaredinformation about any conviction/ charge / judicial order.14


What would you do?• The Applicant is applying for Systems Analyst (Biometrics) atthe Ministry of Health and Long Term Care.• The applicant is 26 years old and received her citizenship at theage of 21 after immigrating from Norway.• She did not declare any prior convictions.• The Threat Risk Assessment completed by the managerindicates that the Applicant's duties include access to identityfoundation documents.• The OPP have indicated that she has a criminal record.• She was convicted in Brampton on January 8, 2007 of:– Uttering Forged Document - s. 368(1)(A) CCC– Possession of Property Obtained by Crime - s. 354(1)(A) CCC– Received an Absolute Discharge• When interviewed by the security screener, the applicant statedshe was coerced to commit these offences by her abusivespouse who has been deported back to Norway.• She explained that her marital relationship is now terminatedand that she and her child have received counselling to assist inher abusive past.15


Things to ConsiderJob RelatednessNature, extent and seriousnessCircumstances surrounding the conduct, toinclude knowledgeable participationFrequencyRecentnessApplicant’s age and maturity at the timeVoluntariness of participationPresence or absence of rehabilitation and otherpertinent behavioural changesMotivation at the timeCurrent attitude towards the conductLikelihood of continuation or recurrenceApplicant deliberate concealment of information16


What would you do?• The staff of a prospective contractor are being screened. Thecontact is to run a private issuing office for the Ministry ofTransportation. The office issues drivers licenses on behalf ofthe provincial government.• The employee of the contractor will be working as a CustomerServices Representative. The work location is in North Bay andPowassan.• The individual is 43 years old and lives in Corbeil which islocated approximately 10 kilometres south-east of North Bay.He has lived at that residence for over 17 years.• He declared 2 prior convictions relating to impaired driving.• The contract requires that the contract staff have:– access to highly sensitive records– access to identity of foundation documents• The OPP verify the following 2 convictions:– Driving with more than 80 mgs of alcohol in blood (Sec. 253 (B)CC) – July 14, 1997 – 20 days & prohibited from driving for 12months– Driving with more than 80 mgs of alcohol in blood (Sec. 253 (B)CC) – September 29, 2003 – Fined $1200 and prohibited fromdriving for 2 years17


Things to ConsiderJob RelatednessNature, extent and seriousnessCircumstances surrounding the conduct, toinclude knowledgeable participationFrequencyRecentnessApplicant’s age and maturity at the timeVoluntariness of participationPresence or absence of rehabilitation and otherpertinent behavioural changesMotivation at the timeCurrent attitude towards the conductLikelihood of continuation or recurrenceApplicant deliberate concealment of information18


Don’t let this happen in yourworkplace….• REGINA (CUP) – The woman who duped top-level administrators at theUniversity of Regina into thinking she was a qualified engineeringprofessor has been sentenced to two years of house arrest.…• The phony professor was also ordered to pay back $16,500 to astudent who invested in her research company…• Nguyen pleaded guilty to charges of fraudulently "personating" her exhusbandto get hired at the university, causing the CanadianFoundation for Innovation (CFI) and the Natural Sciences andEngineering Research Council (NSERC) to act upon forged documentswhen they awarded grants in her name, and causing the Association ofProfessional Engineers and Geoscientists of Saskatchewan (APEGS) toact upon forged documents when it certified her as an engineer intraining. …• Before being sentenced last Wednesday, Nguyen spoke from thedefendant’s box, denying she had tarnished the reputation of theuniversity. … Gerein [the judge] said Nguyen’s conduct causedharm, especially to students. "Your lack of intent to harm has littleimportance here today," he told her.19


Screening to Date• The Personnel and Contractor Screeningpolicies are in the process of beingimplemented.• To date, there have been:– Over 7,200 screening checks requested– Over 7,000* clearances granted– Less than 1% of the requests have resultedin denials* The remainder of check requests are either in process or have beenwithdrawn.20


Lessons Learned• KISS wherever practical• Training, Training, Training• Importance of Accountability• Consistency is Critical• Protection and Control of PersonalInformation• Collect only the information needed• Early establishment of monitoring andauditing processes• Screening can take time• Out of Country Checks take more time21


For more information…• On Personnel Screening:– HR OpenWeb: Policies andDirectives/Personnel Screening Checkshttp://intra.hropenweb.gov.on.ca/hrpolicies/PersonScrnChk_pol.html• On Contractor Screening:– MGS Intranet Site, Corporate Directives andGuidelines: http://intra.pmed.mbs.gov.on.ca• Further questions, please contactEmergency Management and SecurityBranch, Ministry of Government andConsumer Services at: 416-325-9400or at AskEMSB@ontario.ca22


QUESTIONS?23

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