Follow-up on Audit of Security Clearance Process

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August 2008
7053-63-2 (CRS)

Reviewed by CRS in accordance with the Access to Information Act (AIA).
Information UNCLASSIFIED.

Caveat

The results of this work do not constitute an audit of the security clearance process. Rather, this report provides an update on the progress made regarding the Management Action Plan provided in the September 2006 Audit of the Security Clearance Process.

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Acronyms and Abbreviations
Introduction
Methodology
Overall Assessment
MAP Implementation Progress

Acronyms and Abbreviations

CF: Canadian Forces
CFPM: Canadian Forces Provost Marshal
CFRG: Canadian Forces Recruiting Group
CRS: Chief Review Services
CSIS: Canadian Security Intelligence Service
DPM Secur: Deputy Provost Marshal (Security)
DND: Department of National Defence
DSO: Departmental Security Officer
MAP: Management Action Plan
NATO: North Atlantic Treaty Organisation
TB: Treasury Board

Introduction

As required by the Treasury Board (TB) Policy on Internal Audit, Chief Review Services (CRS) undertook an audit follow-up to assess the implementation of the management action plan (MAP) provided by the Canadian Forces Provost Marshal (CFPM) in response to the Audit of the Security Clearance Process (September 2006).

The Government Security Policy requires that departments ensure that any individual with access to government assets or information is reliable and trustworthy, and for national security purposes, ensure an individual's loyalty to Canada. Because the North Atlantic Treaty Organisation (NATO) and Canadian clearance standards are quite similar, Canadian Forces (CF) members and Department of National Defence (DND) employees working for NATO are not required to undergo the NATO clearance process.

Within DND/CF individual commanders and managers have been delegated the authority to grant or deny reliability status-a prerequisite for a security clearance. The Deputy Provost Marshal Security (DPM Secur), while relying heavily on information gathered and analysed during the reliability process, has the responsibility for granting security clearances up to and including top secret. Only the Deputy Minister or the Chief of the Defence Staff may deny a clearance.

At the time the audit was completed, DPM Secur 2 was processing or providing information for approximately 40,000 reliability and clearance requests annually.

Methodology

This audit follow-up is not another audit of the same issues, but rather a review of documentation and evidence to assess progress made in implementing the MAP. The following methods were used to determine progress made regarding the MAP:

Interviewed DPM Secur and DPM Secur 2; and
Examined policy documents, plans and reports related to the clearance process.

Overall Assessment

Reasonable progress has been made in regards to addressing staffing and training issues within DPM Secur 2 and in outsourcing the reliability checks conducted on new recruits. As well, updated clearance policy, guidance and training courses are expected to be in place by the end of December 2008. | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

MAP Implementation Progress

Effectiveness of Security Clearance Process

| | | | | | | | | | | | | | | | | | | |plans were developed and action taken to address staffing issues related to the security clearance program, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

| | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |The Canadian Forces Recruiting Group (CFRG) has just finalised a contract for the conduct of reliability checks for recruits | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

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While there have been improvements regarding staffing, | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

Risk Management Strategy

Security Clearance Process Control

To date DPM Secur has issued two CANFORGENs outlining roles and responsibilities related to the reliability process. Reliability and clearances policies have been rewritten | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |Finally, a contract has been signed for the provision of a training course for unit security supervisors | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | |

Notes

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