Human Resources Manual - 113 - Conducting a Criminal Record Check

1. A criminal records check is an additional step in the staffing process that is used to confirm the suitability of a candidate prior to their appointment to a position of trust, to a highly sensitive position or other position identified as requiring verification.

2. Positions of Trust are positions that must be staffed with individuals whose trustworthiness and character would not place the Government or its clients at risk. Such positions shall require a criminal records check.  Positions of trust are based on at least one of the following criteria:
   1. Duties involving laying charges, investigating offences, court proceedings, evidence admitted to court and security for prisoners;
   2. Duties involving direct control of large amounts of cash, goods or restricted drugs;
   3. Duties involving international travel;
   4. Duties involving access to secure systems or facilities; or
   5. Duties involving responsibility for the security of public property and assets.
3. Highly Sensitive Positions are those in which there must be no question as to the integrity, character and identity of the successful candidate.  Such positions shall require a criminal records check and a verification of the candidate's identification.  Highly sensitive positions are based on at least one of the following criteria:
   1. Duties involving contact with children, vulnerable persons or residents in the Government's care (e.g., teachers, social workers, health care workers);
   2. Decision making at the Superintendent, Director, Assistant Deputy Minister and Deputy Head level of a Department, Board or Agency;
   3. Duties involving the provision of support or advice directly to members of the Executive Council including Executive Assistants.
4. Criminal Records Check is a computer search for information contained in the records of the Royal Canadian Mounted Police (RCMP) and other police forces based on a name and date of birth check only.  This initial search is completed in 7-10 days and indicates whether a record exists or not.  It does not provide detail of a criminal record.  This check is required for all candidates being considered for a position of trust or a highly sensitive position.
5. Certified Criminal Records Check is an additional search that is performed against the central repository of Canadian criminal records managed by the RCMP and provides detail of a criminal record.  The certified criminal records check requires 150 days or more to complete and ensures positive identification via fingerprinting.  This check is required for candidates being considered for a highly sensitive position or if the results of a criminal records check show that a candidate possesses a criminal record.
6. Personnel File is the official record containing personal information, on each employee, held by the Department of Human Resources.
7. Human Resources Representative means those employees of the Department of Human Resources designated to co-ordinate the recruitment process.
8. Hiring Risk Assessment Model is a tool that may be used by the Human Resources Representative to determine what type of verification a position requires– education/certification/employment check; criminal records check; or certified criminal records check.
9. Suitability refers to an applicant’s technical, personal and behavioural characteristics that will enable them to successfully perform the job duties.

10. The protection of an applicant's right to privacy shall be ensured to the fullest extent possible. 
11. Access to criminal record information shall be restricted to the manager of the position being staffed, the Human Resources Representative and the Deputy Head of the hiring Department, Board or Agency.
12. The decision to require a criminal records check shall be based on factors specifically related to the duties and responsibilities of the position being filled.
13. The Labour Relations unit of Corporate Human Resources Division of the Department of Human Resources will compile and maintain a list of all Government of the Northwest Territories (GNWT) positions of trust and highly sensitive positions.
14. During the staffing process (see Section 102– Initiating a Competition) the Human Resources Representative will use the Hiring Risk Assessment Model tool (review instruction sheet) on those positions not already identified as positions of trust or highly sensitive positions.
15. A candidate with a criminal record closely related to the duties and responsibilities of a position shall not be appointed to the position if it is believed that the criminal record would place the Government or its clients at risk. 
16. The final decision concerning the results of a criminal records check shall rest with the Deputy Head.  For Deputy Head positions the determination shall rest with the Secretary to Cabinet in consultation with the Premier.
17. If it is necessary to extend a job offer to a candidate prior to receiving the results of a criminal records check, the final job offer will be subject to a satisfactory criminal records check.  The candidate will not be allowed to start work until the results of the check are known  (additional job offer clauses).
18. If the results of a criminal records check indicate that a candidate may have a criminal record, the candidate will not start work until such a time that the Deputy Head of the hiring Department, Board or Agency is satisfied that the candidate will not place the Government or its clients at risk.
19. If a certified criminal records check is used for the purpose of verifying a candidate's identification, the final job offer may be subject to a satisfactory certified criminal records check within six months of the employee's start date.
20. Should a criminal record exist, an assessment is required to determine whether the record places the Government or its clients at risk.  That determination should be based upon an evaluation of the following factors for criminal convictions and outstanding charges:
    1. The relevance of the recorded incident or pattern of incident(s) to the duties and responsibilities of the position;
    2. The nature and severity of the abuse of trust that would occur in the event that the individual was to behave in a manner specified in their record;
    3. The time that has elapsed between a conviction and the job application;
    4. The conduct of the applicant since the conviction;
    5. An established pattern of repeat adverse behaviour relevant to the duties and responsibilities of the position; and
    6. Any reason to suggest that adverse behaviour may be repeated and threaten the GNWT's ability to carry on business safely and efficiently.
21. Candidates will be provided an opportunity to discuss the circumstances of the record and to provide information relevant to an assessment of the above factors.
22. An existing employee who is being considered for a transfer or promotion to a position of trust or a highly sensitive position or who assumes such additional duties in their current position shall undergo a criminal records check.
23. Employees who are required to carry out the duties of a position of trust or a highly sensitive position for more than six months shall undergo a criminal records check.
24. Candidates who are current GNWT employees and who have previously held either a position of trust or a highly sensitive position in the last two years will not be required to undergo an additional criminal records check.
25. Candidates who are denied a job offer as the result of a criminal records check will be provided two working days to raise any concerns with the Director of Management and Recruitment Services who in consultation with the Director of Corporate Human Resource Services will review the decision with the Deputy Head of the hiring Department, Board or Agency.
26. Candidates are responsible for payment of all fees required for the completion of a criminal records check.
27. Criminal record check results are valid for a period of six months.  Where an applicant is known to have applied on a previous competition for a similar position within the last six months, and a criminal record check was provided, the criminal record check completed for the old competition will be opened and reviewed by the current selection committee and applied to determine suitability for the current competition.

28. Prior to advertising a competition, the Human Resources Representative determines whether the position to be filled is a position of trust or a highly sensitive position.  The requirement for a criminal records check is typically specified in the approved job description.
29. When necessary the Human Resources’ Representative uses the Hiring Risk Assessment Model tool to determine what type of verification the position requires. Positions identified as having moderate or high risk during the assessment will require a criminal records/certified criminal records check.
30. Upon completion of the interview, the proposed appointee is asked to authorize consent for disclosure of all criminal records information.
31. The Human Resources’ Representative explains why the criminal records information is required and informs the proposed appointee that the purpose of the check is to assess suitability for employment in that particular position. As well, the proposed appointee is informed that all information collected will be highly restricted.
32. For positions of trust, highly sensitive positions and positions identified using the Hiring Risk Assessment Model tool, the proposed appointee is asked to consent to a criminal records check.  The Human Resources Representative completes parts One and Two of the "Consent For Disclosure of Criminal Record Information” form.
    
    On the same form, the proposed appointee:
    1. Dates and signs part Four;
    2. Initials box One, Two and Three* of part Five.
       
       * Required only for positions responsible for the well-being of one or more children or vulnerable persons.
    The candidate must submit the completed form in person to the local RCMP office at which time they will be required to produce two pieces of identification.  One piece of identification must have a picture.
33. For positions that are responsible for the well being of one or more children or vulnerable persons, the proposed appointee will also authorize consent for a criminal records check that will disclose all sexual offences for which a pardon has been granted or issued.  The Human Resources’ Representative completes the following two forms in addition to the “Consent for Disclosure of Criminal Record Information” form described above:
    1. Consent for a Criminal Record Check for a Sexual Offence for which a Pardon has been granted or issued
    2. Consent to Disclosure of Record
    In the “Reason for the Consent” section of each form, the Human Resources Representative shall include:
    1. The title of the position being filled;
    2. Contact information for their department; and
    3. A brief description of the nature of contact that the position will have with children or vulnerable persons.
34. If the results of the criminal records check indicate that the candidate does not possess a criminal record, the Human Resources Representative proceeds as follows:
    1. For positions of trust, the Human Resources Representative may extend a job offer.
    2. For highly sensitive positions, the Human Resources’ Representative verifies the identity of the candidate by comparing the name on the results of the criminal records check to that of the candidate's Canadian Citizenship Card or SIN Card or an original birth certificate.
       
       

       NOTE:  Verification of the candidate’s identification using their SIN Card requires the candidate's approval.

    3. If permission is not granted, or if the candidate does not possess identification as described above, they will be required to undergo a certified criminal records check.  A job offer shall then be subject to a satisfactory certified criminal records check.
    4. If the name on the identification matches the name on the results of the criminal records check, the Human Resources’ Representative may extend a job offer to the candidate.
35. If the results from the criminal records check indicate that the appointee may have a criminal record, the candidate is asked to undergo a certified criminal records check.  The certified check will require the proposed appointee to visit the RCMP for fingerprinting. For further information, contact the Canadian Criminal Records Information Services at (613) 998-6362 or visit their website.
36. The candidate is asked to discuss the circumstances of the record and to provide information relevant to an assessment of relevant factors as outlined in #20.
37. The Deputy Head assesses the risk by considering the details of a criminal record to factors specifically related to the duties and responsibilities of the position being filled and decides whether to extend a job offer to the candidate.
38. All records of the criminal record check for the successful appointee are placed in the appointee's personnel file.
39. All records of criminal record checks obtained from other unsuccessful candidates are retained in the competition file in a sealed envelope marked confidential. These criminal record checks may be opened if the applicant applies on a similar position within six months.

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