Not Protectively Marked
Detailed briefing paper - Vetting Processes Appendix 1
1.This detailed briefing paper documents the Force and National Security Vetting processes and is included as an attachment to the report submitted by the DCC to provide members with reassurance regarding efficacy of approach and consistency vetting activities.
2.Force Vetting
2.1Verification
2.2The integrity of Vetting processes can only be sustained where the accuracy of information provided has been verified before it is used to progress a Vetting check. Therefore, all information provided by Vetting subjects is verified before Vetting procedures are commenced.
2.3Recruitment (Pre Employment) Vetting (RV)
2.4Basic Check / Baseline Standard. The term Basic Check (BC) / Baseline Standard (BS) derives from National Security Vetting but it is not a formal Security Clearance. It is a recruitment check to verify the claimed identity and establish the reliability of an individual. When applied to recruitment vetting, the term BC / BS is also used, and includes additional measures relevant and appropriate to the Police Service, most notably a Criminal Records declaration, where candidates are obliged to provide details of spent convictions and cautions. On completion, a Police BC / BS allows frequent and unsupervised but “need to know and use” access to information and physical assets PM up to and including CONFIDENTIAL and occasional unsupervised “need to know and use” access to information and physical assets PM SECRET.
2.5The Position of Vetting in the Recruitment Process. In accordance with the requirements of the Data Protection Act (DPA) and to minimize interference with Article 8 of the ECHR, pre employment vetting is only carried out when a decision is reached that in all other respects, the applicant is eligible for appointment.
2.6Categories of Personnel Subject to Recruitment Vetting. Recruitment Vetting is applicable to all personnel in the following categories:
Police Officers
Police Officers transferring or attached to Hampshire Constabulary (unless an equivalent vetting status is confirmed)
Special Constables
Police Community Support Officers
Police Staff
Police staff transferring or being attached to Hampshire Constabulary (unless an equivalent vetting status is confirmed)
Non Police Personnel
2.7Recruitment Vetting procedures consist of:
Confirmation and verification of claimed identity
Verification of claimed or declared educational or professional qualifications where these are prerequisites for appointment
Obtaining and verifying (when necessary) references
Confirmation of entitlement to reside and work in the UK
Conviction record[1] and non conviction data checks conducted against the applicant and if applicable the applicant’s spouse, partner or cohabitant, dependant children over the age of 10, step relatives and in laws, known associates or business partners
Financial(Credit Reference) checks[2]
2.8Non Police Personnel Vetting (NPPV)
2.9To maintain consistency form an integrity perspective, Force Vetting procedures are also undertaken for Non Police Personnel who occasionally or regularly visit Force premises or who provide services to the Force either under contractual or voluntary arrangements.
2.10Although there will always be occasional exceptions to the rule, Non Police Personnel are usually categorized as follows:
Escorted Visitors
Unescorted Visitors
Temporary Staff
Contractors
Other Agency Personnel
Volunteers
Interpreters
2.11Non Police Personnel with no access to information or physical assets will not routinely be subject to vetting procedures.
2.12Non Police Personnel with access (including access from remote locations / premises not under the control of Hampshire Constabulary) to information and physical assets will be subject to either abbreviated or full vetting procedures dependant on the sensitivity and or Protective Marking / sensitivity of those assets.
2.13Abbreviated NPPV procedures consist of:
Confirmation and verification of claimed identity
Confirmation of entitlement to reside and work in the UK
Conviction record and non conviction data checks conducted against the vetting subject
2.14Full NPPV procedures consist of:
Confirmation and verification of claimed identity
Verification of claimed or declared educational or professional qualifications where these are prerequisites for the service being provided
Obtaining and taking up references
Confirmation of entitlement to reside and work in the UK
Conviction record and non conviction data checks conducted against the vetting subject and if applicable the vetting subject’s spouse, partner or cohabitant, any dependant children over the age of 10, step relatives and in laws
Financial checks (Financial Questionnaire)
2.15Management Vetting
2.16Management Vetting (MV) is intended to provide an additional level of assurance / confidence as to the integrity and suitability of personnel afforded access to Protectively Marked or otherwise sensitive information or physical assets and to personnel exposed to situations or environments where there might be a conflict of interest arising through their association with certain groups or organisations or through their personal background and other circumstances including behavioural vulnerabilities.
2.17To ensure that Management Vetting procedures are proportionate, each “designated” post is subject to a Risk Assessment and identified as one in which the incumbent (in whatever capacity) is required to have knowledge of or access to Police Service specific sensitive information which, if compromised, could result in substantial risk of serious damage to the Force, Criminal Justice / Partnership agencies, or other stakeholder groups and individuals and for individuals who whilst not filling such posts are in a position to directly or indirectly bring about the same degree of damage.
2.18Advertising
2.19All advertisements (internal and external) for Management Vetting designated posts must explicitly state that the post attracts intrusive vetting procedures and that a refusal by any applicant to participate in the process will result in them becoming ineligible for the post.
2.20Management Vetting Procedures
2.21Management Vetting (MV) procedures are supplementary to Recruitment Vetting (RV) procedures. By definition, external applicants will first be subject to RV checks. MV procedures consist of:
A review and if necessary a re-initiation of RV procedures
Internal Departmental records check
Completion of a self declaration form detailing personal circumstances and financial questionnaire
A review of personal finances
In extreme circumstances, a subject / intervention interview conducted by the Force Security & Information Assurance Manager (FSIAM)
2.22Retrospective Management Vetting
2.23Personnel employed in posts for which Management Vetting is a prerequisite will be required to retrospectively participate in the vetting procedure. In the event of a refusal or vetting failure, the individual concerned could be removed from the post under the auspices of Service Confidence. In these circumstances, Management of Change procedures would be invoked to identify, wherever possible, an alternative post not subject to Management Vetting for the individual concerned.
3.National Security Vetting
3.1Counter Terrorist Check
3.2A Counter Terrorist Check (CTC) is a National Security Vetting level required for Police Officers, Special Constables, Police community Support Officers, and Police Staff employed in posts in which, as previously stated, incumbentsare required to have knowledge of or access to information relating to persons, sites or materials which if compromised could be extremely valuable to terrorist or other extremist organisations.
3.3Counter Terrorist Check Procedures
3.4The following vetting procedures comprise a Counter Terrorist Check:
A review of RV procedures
Completion of a Security Questionnaire
Internal and external departmental records checks
3.5Security Check
3.6Security Check (SC) is a National Security vetting level required for individuals employed in posts where incumbents are, as previously stated, required to have knowledge of or access to information which if compromised could threaten life directly or seriously prejudice public order or individual security or liberty, cause serious damage to the continued effectiveness of valuable security or intelligence operations and for individuals who whilst not filling such posts are in a position to directly or indirectly bring about the same degree of damage or who will have sufficient knowledge to obtain a comprehensive picture of Protectively Marked SECRET plans, policies or projects.
3.7Security Check (SC) Vetting Procedures
3.8The following Vetting procedures comprise a SC:
A review and if necessary re-initiation of RV procedures
Completion of a Security Questionnaire
Internal and External Departmental records check
Financial checks
Background checks on an applicant’s spouse, partner or cohabitant if not already conducted during the RV review process
In extreme circumstances, a subject / intervention interview conducted by the FSIAM or a nominated Filed Vetting Officer from a designated vetting agency.
3.9Developed Vetting
3.10Developed Vetting (DV) is a National Security vetting level required for individuals employed in posts where, as previously stated, incumbentsare required to have access to or knowledge of information which if compromised could threaten directly the internal stability of the United Kingdom (UK), lead directly to widespread loss of life or cause exceptionally grave damage to the continued effectiveness of extremely valuable security or intelligence operations and for individuals who whilst not filling such posts are in a position to directly or indirectly bring about the same degree of damage.
3.11Developed Vetting (DV) Procedures
A review and if necessary re-initiation of RV procedures
Completion of a Security Questionnaire and DV Supplement
Internal and External Departmental records check
Financial checks including a review of personal finances
Background checks on an applicant’s spouse, partner or cohabitant if not already conducted during the RV review process
A subject interview and additional enquiries (referee interviews) conducted by Defence Vetting Agency (DVA) Field Vetting Officers
3.12Advertising
3.13All advertisements (internal and external) for National Security designated posts must explicitly state that they attract intrusive vetting procedures and that a refusal by any applicant to participate in the process will result in them becoming ineligible for the post.
4.Assessment of Vetting Information
4.1Judging reliability and trustworthiness is dependant on an affective assessment of information provided by the subject and that collected through the Vetting process. All information is analyzed before informed decisions regarding approval, refusal, withdrawal or limitation of security clearances are made.
4.2When undertaking assessments the following are taken into account:
The higher the level of clearance, the more stringently any criteria will be applied
The security / integrity implications of any adverse information
The significance of any past conduct or circumstances for example making distinctions between isolated and minor blemishes on an individuals record and information indicating habitual or significant vulnerabilities
The maturity of the Vetting Subject when the information was recorded
4.3Adverse Indicators in Current Records
4.4Careful consideration as to whether or not to proceed with the vetting process will be given where:
The vetting subject has previously been refused security clearance or had a clearance withdrawn
There is adverse information regarding character, behaviour or circumstances likely to lead to refusal
4.5Before deciding not to proceed, further consideration will be given where:
A sufficient period of time has elapsed since the adverse information was recorded without further problems
Policy changes in respect of denying, withdrawing or limiting security clearance
Previous decisions were border line or the subject’s circumstances have changed sufficiently to justify reconsideration
4.6In any of the above instances, an initial subject / intervention interview will be considered to clarify the current position or any ambiguity.
4.7Evidence of Dishonesty or Lack of Integrity
4.8Assessments will take into account the vetting subject’s previous behaviour including:
Previous infringement of security or other regulations including the Police Code of Conduct and Police Staff regulations where this has been repeated or serious
Significant or repeated indiscretion about official Police matters
Deliberate attempts to mislead, by omitting significant information or lying during the recruitment or vetting process
4.9Assessments will also account for declared criminal convictions or police cautions.
4.10Behavioural Vulnerabilities and Personal Circumstances
4.11The following are considered behavioural vulnerabilities and personal circumstances likely to impair judgment or result in vulnerability to pressure or inducement:
Addiction to or indiscriminate use of alcohol or drugs
Serious financial difficulties
Conduct, for example compulsive gambling or sexual misconduct, giving rise to the risk of susceptibility to pressure or improper influence
Any illness or medical condition which may cause significant defects in judgment or which may make the subject(unintentionally) a risk to security[3]
A lifestyle apparently inconsistent with declared or known sources of income
Poor performance
Indiscipline
4.12Conflicts of Interest
4.13Conflicts of interest can arise through association with certain groups or organizations or through personal background and other circumstances. The following are considered areas of conflict and indicators of unsuitability for security clearance where individuals:
Have committed, attempted or helped in criminal activities or any activities contrary to the interests of National Security or Parliamentary democracy
Actively support such activities
Are associated with extremists or criminals or persons suspected of being as such
Are susceptible to pressure through relatives, friends, associates or strangers
5.Making Security Clearance Decisions
5.1General Considerations
5.2Decisions to approve, refuse, withdraw or limit security clearances are made only when all available information has been assessed. Any of the following factors will create a presumption of unsuitability to hold security clearance, particularly in cases where two (2) or more factors are combined:
Known associations with criminals or extremists
Fundamental conflicts of interest
A lack of integrity by deliberately withholding or falsifying information relevant to recruitment or vetting processes
Unreliability demonstrated by serious or repeated infringement of security and other regulations or by repeated or serious indiscretion regarding official Police matters
Serious behavioural vulnerabilities
Vulnerability to financial or other incentives as a consequence of financial difficulties or misconduct
Illness or mental condition considered by a qualified health care professional likely to seriously impair judgment or unintentionally create a risk to security
Unreliability due to addiction or indiscriminate use of alcohol or drugs
Susceptibility to pressure or improper influence because of current or past conduct
5.3Action on Completion of Vetting
5.4Assessors can agree, refuse, withdraw or limit security clearances. To ensure that the vetting process has the confidence of staff and is publicly defensible, individuals subject to the vetting process are provided with as much information as possible about their security clearance and made aware that there is an appeals process.
5.5Approving Security Clearance
5.6When security clearances are approved, all reservations will be clearly recorded. Vetting subjects will be notified that security clearance has been approved. Notification provides the opportunity to remind individuals of their responsibilities and that personnel security (vetting) is an iterative process. All personnel will be encouraged to freely report any security concerns with confidence that their concerns will be dealt with sensitively, sympathetically and in confidence.
5.7Transfers, Loans and Moves
5.8Transfers, loans and moves of personnel to and within Hampshire Constabulary will not take place until successful completion of the vetting process or until confirmation of appropriate levels of security clearance have been received. Confirmation of a posting to a designated post will not be made until all security considerations have been met. By definition, it most circumstances, it is only be possible to provide provisional agreement to a move to a designated post pending appropriate security clearance.
5.9Acceptance or Rejection of a Transfer or Loan
5.10Where an individual is being transferred or loaned, there will be no obligation to proceed if after examination of all relevant information, it is assessed that an individual is not suited to fill the post or vacancy on security or integrity grounds.
5.11Transfer of Security Records
5.12When the transfer, loan or move of an individual to a designated post has been agreed, the security records / vetting files must be handed over and Hampshire Constabulary will become responsible for aftercare procedures and security clearance reviews.
5.13Where a transferred or loaned individual does not require security clearance in a post, arrangements will be made and agreed regarding the appropriate treatment of individual security / vetting records. (This is particularly important where security clearance has previously been refused or withdrawn). Where vetting files contain particularly sensitive material, it will always be appropriate for the supplying organization to retain them. In such cases, there must be a clear note on the individual’s personnel file indicating a requirement to contact the supplying organization before that individual is considered for security clearance.
5.14Adverse Vetting Decisions
5.15Refusing Security Clearance – Existing Employees
5.16Where security clearance is refused, the reasons will be recorded on the vetting file. The vetting subject will be informed that security clearance has been refused and as far as is possible, will be notified of the reasons although in many cases, security or confidentiality considerations may prevent this. The proposed appointment will not be made.
5.17Where refusal is a consequence of information relating to the vetting subject being obtained from Criminal Record and non conviction data checks, the vetting subject can be shown the original information supporting the decision. Where interviews take place, the vetting subject will be invited to agree a factual account of any concerns.
5.18Vetting subjects have no right of access to third party personal or sensitive personal data, any reports from external agencies or to reports received in confidence from third parties.
5.19Refusing Security Clearance – On Recruitment
5.20There is no requirement to inform an individual of the reasons why they have been refused employment. However, where the decision to refuse is based solely on security grounds, the applicant can be told the reasons if the reasons are likely to have an impact on future employment applications, except where security or confidentiality considerations prevent explanation.
5.21Withdrawing Security Clearance
5.22Where a decision is made to withdraw security clearance, the procedure is the same as that for refusing security clearance.
5.23Limiting Security Clearance
5.24Where limitations to security clearance are applied, the subject will normally be told and wherever possible, given an explanation, although in exceptional circumstances this may not be possible.
5.25Informing Vetting Subjects of the Reasons behind Adverse Vetting Decisions
5.26Where individuals are given reasons for refusal, withdrawal or limitation of security clearance, the criteria used will be explained, the supporting evidence, subject to previously annotated limitations will be provided and they will be treated with sensitivity.
5.27In cases where supporting evidence was obtained from an external agency or during “Vetting in Confidence” interviews, the information will only be disclosed if:
It was provided by the individual’s managers or colleagues
It relates directly to the individual’s performance of their duties
Those providing the information agree that it may be disclosed
5.28It is an accepted principle that any information obtained during the Vetting process, particularly from third parties will be kept in confidence. However, and subject to legislative and common law confidentiality expectations, there may be circumstances where it is appropriate to share or exchange information internally and externally so that any risks can be properly managed. Such cases are rare and will always be handled sensitively. Permission from originators of information will always be sought before disclosing details given in confidence and the principle of confidentiality will be maintained except in the most exceptional circumstances.