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SERVICE LEVEL CHARTER

Australian Government Security Vetting Agencyand Customers

Term

  1. This Service Level Charter (the Charter) will commence from 1 November 2017 or on the date of execution, whichever is the latter, and will continue until the Australian Government Security Vetting Agency (AGSVA) terminates, revokes, amends or replaces this Charter.
  1. AGSVAconducts security vetting for all Commonwealth Agencies (excludingauthorised vettingAgencies) and, if requested, for State and Territory agencies. Clearances granted by AGSVA have whole-of-government effect.

Parties

  1. This Charter is between AGSVA and all Agencies using AGSVA’s services. Agenciesare Commonwealth, State or Territory entities that are eligible to sponsor a member of staff or contracted staff to undergo a security clearance assessment.
  1. AGSVA is responsible for granting, revalidating and re-evaluating security clearances for the Commonwealth (excludingauthorised vettingAgencies)in compliance withtheAustralian GovernmentProtective Security Policy Framework (PSPF).AGSVApromotes Government national security objectives by assessing the eligibility and suitability of people whorequire access to security protected or other sensitive official information or assetsto do their work.

Purpose

  1. The purpose of thisCharter is to describe agreed vetting service expectations and the mutual obligations that exists between the service provider (AGSVA) and its customers (Agencies).Itdocuments:
  • the services to be delivered;
  • the responsibilities of Agencies;
  • standards for service delivery;
  • the fees payable for the services;
  • relevant points of contact; and
  • governance arrangements.

Services

  1. AGSVA conducts security vetting for the AustralianGovernment (excluding authorised vetting agencies,) and, when requested, for State and Territory Government Agencies.
  1. Security vetting is conducted to ensure that a clearance subject is both eligible and suitable to be granted and maintain a security clearance. A clearance is an inquiry into, and corroboration of, a person’s background, character and personal values.
  1. AGSVA will make decisionsto grantordenya security clearance in accordance with thePSPF. It is Government policy that the number of people requiring security clearances to perform their dutiesis kept to a minimum. Agencies should therefore give careful consideration to whether a security clearance is necessary and what level of access is required.
  1. AGSVA will conduct a standardised process that is consistent with the PSPF for assessing and granting clearances in order to provide a seamless customer experience, maximise efficiency, reduce costs andprovide a security clearance that is recognised across Government, including the authorised vettingAgencies,
  1. AGSVA provides services to Agenciesas outlined at Attachment 1. These services are provided under a fee-for-service model (Attachment 2).
  1. As part of evaluating clearance subjects for employment, Agenciesmay wish to conduct additional checks specific to individual agency requirements. AGSVA will not conduct checks that exceed, or are not required, for a security clearance as prescribed by the PSPF.
  1. Any variations to thisCharter will be in accordance with the process outlined in paragraphs 54-57.
  1. AGSVA will make a determination on the suitability of aclearance subject to hold a security clearance. Agenciesacknowledge that AGSVA is responsible for deciding whether to grant or deny aclearance subject’s security clearance.
  1. Agenciesare responsible for ensuringclearance subjects have access to computer and internet facilitiesto enable the completion and electronic submission of their security clearance application.
  1. AGSVA will respect the privacy of information supplied for the security clearance process. AGSVA will act in accordance with all applicable legislation relating toprivacyincludingthePrivacyAct 1988andtheFreedomofInformationAct1982.
  2. To allow greater collaboration between functional areas when an Agency has concerns about the suitability of an individual to hold an Australian Government security clearance and to access official or classified Australian Government resources, the Agency may, in accordance with the PSPF, request that AGSVA share personal information it holds of relevance to these concerns.
  1. Similarly where AGSVA becomes aware of credible information which is of direct relevance to a clearance subject’s suitability to hold an Australian Government security clearance and to access official or classified Australian Government resources, AGSVA will, in accordance with its obligations under the PSPF, share this personal information with the Agency.
  1. All personal information shared between AGSVA and Agencysecurity personnel is to be handled with sensitivity, and in accordance with the need-to-know principle and the Australian Privacy Principles.
  1. Agenciesare required to annually provide AGSVA with advance notice of the estimated number and level of clearances required each year. This forecasting is to include routine clearances and any major projects requiring additional clearances.

Key Performance Indicators

  1. AGSVA’s Key Performance Indicators are shown below.

1.AGSVA will achieve average processing time for routine cases (excludingcancellations) of:

a.Baseline: 20 business days or less.

b.Negative Vetting level 1: 90 business days or less.

c.Negative Vetting level 2: 125 business days or less.

d.Positive Vetting: 180 business days or less.

2.Average processing time of routine, non-complex priority Positive Vetting cases will be 90 business days or less.

3.All clearance sponsors will be provided with a monthly update on the status of all clearance requests for their organisation.

4.At least 85 per cent of clearance sponsors indicate an overall satisfied or better approval rating of AGSVA’s performance in regular customer surveys.

5.All phone and email inquiries received by AGSVA will be responded to within two business days.

6.At least 85 per cent of all phone and email inquiries to AGSVA will be resolved within seven business days

7.AGSVA will maintain quality management accreditation (such as ISO9001 certification).

Timeframes

  1. The benchmark timeframes commencewhen AGSVA receives a fully completed vetting pack, including supporting documentationfrom the clearance subject.
  1. Agenciesacknowledge that the ability of AGSVA toprogressclearance requestsmay be affected by (but not limited to):
  • the accurate completion and submission of supporting documents and information by the clearance subject;
  • Agencies not completing required citizenship checks at recruitment;
  • the management of additional checks for non-Australian citizens;
  • the management of additional checks for clearance subjects with backgrounds that are difficult to verify;
  • the availability, degree of cooperation and timeliness of the clearance subject and referees in providing information;
  • the timeliness of response of third-party organisations (for example the Australian Security Intelligence Organisation); and
  • the volume of clearance requests that AGSVA is processing.

Fees

  1. Payment is in accordance with the fee schedule at Attachment 2.Charges will also apply if afully completed pack has been submitted by a clearance subject and is then cancelled before completion.

Billing and Payment

  1. AGSVA will issue invoices monthlyfor all finalised security clearances.Payment is due within 30 days of the date ofreceipt ofthe invoice.

Representatives

  1. Agenciesare to be represented by their respective Security Officer or delegate on issues relating to security vetting.Agenciesshould nominate a primary and secondary point of contact. Agenciesare responsible for informing AGSVA in writing about personnel changes relating to the Security Officer, appointed delegates or points of contact. Agency Security Officers (or delegate(s) as notified in writing to AGSVA) will be responsible for receiving and coordinating the response to any queries, notices or requests sent by AGSVA.
  1. The first point of contact for all Agenciesis the Customer Relationship Management (CRM) team.
  1. Clearances subjects should firstly liaise with their designated Security Officer for any questions or concerns, and then,if required,call AGSVA Client Service Centre.Contact details for AGSVAare at Attachment 3.

AGSVA Reporting

  1. To ensure continuous performance monitoring AGSVA will report to Agenciesmonthly on the:
  • number of security clearance applications requested;
  • status of security clearance applications; and
  • number of security clearances completed.
  1. AGSVA will provide agencies with a quarterly business performance report which will capture the average processing times for all clearance levels.
  1. If AGSVA identifies any suitability concerns during the vetting process which hinder the granting of a security clearance,aProcedural Fairness Letterwill be issued, offering theclearance subject anopportunity to mitigate security concerns.
  1. A sealed copy of the Procedural Fairness Letter will be providedto the clearance subject via the Agency’s nominated representative.An explanatory letter to the Agency’snominated representative will accompany the Procedural Fairness Letter.
  1. The clearance subject will be given 14 days (date specified in the letter) to respond to AGSVA’s concerns and correct any information. AGSVA will then consider the response from the clearance subject and make a final recommendation to the delegate to grantordeny the clearance.
  1. If the clearance subject does not respond to the Procedural Fairness Letter within 14 days of the date specified in the letter, and does not request an extension, AGSVA will provide a recommendation to the delegate to deny the clearance.
  1. If, after this stagethe AGSVA delegate denies the security clearance, the clearance subject and the Agency’s nominated representative will be notified and advised of the clearance subject’s right to seek a review or appeal, as well as their avenues of appeal.

Clearance Maintenance Conditions

  1. Agenciesare to monitor and implement any specific aftercare requirements that are specified by AGSVA.
  1. Clearance subjects are responsible for informingAGSVAof any changes in circumstances that may affect their security clearance, during both the assessment process and once a clearance has been granted. AGSVA’s contact detailsare listed atAttachment 3.
  1. Similarly, Agencieshave a responsibility to inform AGSVA of any changes of circumstances that may have bearing on a clearance subject’s(including contracted staff)continuing suitability to hold an Australian Government security clearance.
  1. Ifan Agencyhas doubt about a clearance subject’s suitability to maintain a security clearance, the Agencyis responsible for notifying AGSVA and requesting a Review for Cause. AGSVA will consider the circumstances and decide whether the Review for Cause is required. A Review for Cause will only be conducted where genuine security concerns are identified. The Agency is also responsible for managing the clearance holder in the workplace while AGSVA undertakes the Review for Cause.

Positive Vetting Annual Security Appraisal

  1. To maintain PV clearances agencies are to ensure staff undertake an annual security appraisal.
  1. An annual security appraisal is primarily intended to prompt clearance holders to update security areas of their changes in circumstances, identify potential security issues and reinforce the obligations associated with holding a PV. Agency processes are to include:
  • advice to the clearance holders outlining their security obligations and the expectations of them;
  • completion by the clearance holders of a self-appraisal outlining any security relevant information and changes in personal circumstances;
  • comment from supervisors on the clearance holder’s security awareness and any issues that may have security implications; and
  • a security section review of the material submitted and any security-relevant material acquired since the previous review.
  1. Where concerns are identified, further investigation may be warranted or a ‘review for cause’ initiated.

Revalidations

A revalidation is a periodic review conducted to ensure that an individual is still suitable to hold a security clearance at the granted level. The purpose of the revalidation is toidentify the need to maintain the current security clearanceandassess the accuracy and currency of information about the individual. Revalidations for security clearances are required as shown in Table 1.

Table 1: Security Clearance Revalidation Frequency

PSPF standards for the frequency of revalidations
Baseline Vetting / Negative Vetting Level 1 / Negative Vetting Level 2 / Positive Vetting
15 years / 10 years / 5 to 7 years / Annual Security Appraisal.
A full revalidation is conducted every
5 to7years
  1. AGSVA will initiate all revalidations. It is the responsibility of Agenciesto ensure thattheir clearance holders comply with having their security clearances revalidated within the above timeframes. There are potential security risks to an Agencywhenits clearance holders do not complete revalidation processes.Without revalidations,AGSVAcannot assess thecontinued suitability of clearance holders to maintainsecurity clearances.If a clearance subject does not comply with the revalidation process, AGSVA will cancel the clearance and notify both the Agency and the clearance holder.

Transfer of other nations’ clearances

  1. Security clearances issued by the Governments of Canada, New Zealand, the United Kingdom and the United States of America may be recognised by AGSVA and transferred at the same level if the security clearance is current. If the security clearance has lapsed or been cancelled, or if the clearance holder requires a security clearance upgrade, this would entail a new vetting action by AGSVA. Any new vetting action undertaken in these circumstances would be complex due to the lack of an independently verifiable checkable background. AGSVA is unable to undertake a security clearance for a non-Australian citizen who does not reside in Australia.

Changes in Clearance Level

  1. In the event that an Agency wishes to sponsor an individual for a higher level clearance or have a clearance downgraded, the Agency should request the required action by completing the appropriate form on AGSVA’s website.AGSVA will then commence the necessary process.

Cancellation of Sponsorship during the vetting process

  1. In the event that an Agencycancels sponsorship of a clearance subject’s clearance during a vetting process, the Agency must advise AGSVA immediately, by completing and submitting the appropriate form from the AGSVA website. A cancellation fee may apply in some circumstances (see Attachment 2).

Separation

  1. In the event that an individual (either an employee or contractor) separates from an Agencyafter a clearance has been granted, the Agency must advise AGSVA.

Dispute Resolution

  1. AGSVA is committed to resolving disputesand complaints relating to services provided by AGSVA.Agenciesand AGSVAagree that any disputes and/or complaints between the Parties relating to the Charteror AGSVA’sserviceswill be resolved in a cooperative manner.
  1. The process for escalation of issues raised by either Party will be:
  • All communication should initially be exchanged between AGSVA’sCustomer Relationship Management Teamand the Agency’sSecurity Officer (or delegate as notified by writing to AGSVA).
  • In the event of an issue arising, the Party with the issue must arrange a meeting with the other Party to discuss the issue. This should be done within two weeks of the issuebeing identified.
  • If the issue or issues cannot be resolved to the satisfaction of the instigating Party concerned, thenthe issue or issues must be set out in writing and forwarded to the other Party. This must be done within two weeks of the initial meeting taking place.
  • The respondingParty must then forward a written response to the instigating Party in dispute addressing the problems raised and outlining a way forward. This must be done within two weeks of receiving the written complaint.
  • If necessary, the representatives of each Party will meet again to seek resolution of the issue or issues.
  • Issues that cannot be resolved in this way are to be escalated to the Executive Management of AGSVA and the Agency/Agencies.

Agency-Specific Requirements

  1. Agency-specific terms departing from, or in addition to, the Charterwill only be considered where they are consistent with the PSPFand the Agencysubmits a business caseto AGSVAjustifying the requirements for the changes.The business case should include a risk analysis demonstrating the need for the proposed change.
  1. Where agency-specific terms departing from, or in addition to, the Charter are requested by any agency, the relevant Agency Head will write to AGSVA requesting the variation and nominating a point of contact within their agency. AGSVA will then enter into negotiations with the agency to produce a draft Notice of Amendment.
  1. An agreed change to theChartermust be formalised by the execution of a Notice of Amendment.

Governance

  1. The Assistant Secretary Vetting is responsible for the day-to-day management of the Charter with responsible Agency representatives.The AGSVA Governance Board willapproveany changes to the Service Level Charter to the Assistant Secretary Vetting.
  1. The AGSVA Governance Board is chaired by the Associate Secretary for Defence and includes Senior Executive Service (SES) level representation from the Attorney-General’s Department, ASIO, Australian Public Service Commission, Department of Finance, Department of Human Services, Department of Immigration and Border Protection and the Department of Prime Minister and Cabinet. The Governance Board meets four times per year and its purpose is to oversee AGSVA’s management of vetting services and systems. Governance arrangements will ensure a more integrated and customer-driven delivery system by providing agencies using AGSVA’s serviceswith a mechanism for providing strategic guidance on its operations. The Governance Board will also provide the forum for stakeholder engagement on AGSVA’s Annual Report, prior to its consideration at the Secretaries Board.

Variations to the Charter including Termination, Revocation, Amendment or Replacement

  1. AGSVA, by written notice, may terminate, amend or replace theCharter at any time. This will only occur after consultation with the AGSVA Governance Board and with the concurrenceof the Assistant Secretary Vetting.
  1. In the event of termination of the Charter,AGSVA will, unlessagenciesinstruct otherwise, deliver all services underway at the date of termination. Agencieswill pay the fees for these services in accordance with extant AGSVA fees and charges.
  1. In the event of revocationof the Charter AGSVA will, unless agenciesinstruct otherwise, cease any further assessment of applications and the agencywill pay the fees for those services already delivered in accordance withextant AGSVA fees and charges.
  1. In the event of amendment or replacement of the Charter AGSVA will advise agenciesin writing of the date that the Charter will be amended or replaced, and the date that any changes the updated Charter introduces will come into effect.

Reporting against theCharter

  1. AGSVA will publish a statement of performance against the Charteron AGSVA website. AGSVA will conduct an internal review of theCharterannually.

SIGNED for, and on behalf of, the Commonwealth of Australia represented by the Australian Government Security Vetting Agency, a part of the Department of Defence, by