SECURITY VETTING

Security Vetting, as distinct from other types of vetting, for example checks to determine suitability to work with children, is regulated by the Government's statement of vetting policy which is set out in full on the security vetting questionnaire(s}. This policy was announced to Parliament by the then Prime Minister on 15 December 1994 and came into effect on 1 January 1995.

Why is a security vetting system necessary?

Protective security is required in this country, as it is in others, to counter the threats to national security which may stem from the following: foreign intelligence services; terrorist groups; those who wish to overthrow or undermine Parliamentary democracy by political, industrial or violent means; individuals who may be susceptible to pressure or improper influence; who have shown dishonesty or lack of integrity which throws doubt upon their reliability; who have demonstrated behaviour or are subject to circumstances which may otherwise indicate unreliability.

The security vetting system is a key element of protective security.

What is the aim of the security vetting system and how does it work?
Its aim is to ensure that the character and personal circumstances of an individual are such that he or she can be trusted with sensitive Government information or assets. There are currently three categories of security clearance: Counter-Terrorist Check Security Check Developed Vetting

Checks are carried out only so far as is necessary to safeguard national security in the light of the current assessment of the threats to security. All candidates for posts which are subject to security vetting - whether recruits, potential recruits, or existing employees - are asked to complete a security questionnaire which explains the purpose and sets out the Government's statement of security vetting policy in full and invites them to provide the personal details required for the necessary checks to be carried out. In addition, a Basic Check may be carried out as a precursor to a security clearance, or in its own right, as a recruitment check on identity and trustworthiness.

Who is affected?
The system applies to those in the following categories whose employment involves access to sensitive Government information or assets:

Crown servants including o civil servants; o members of the security and intelligence agencies o members of the armed forces; o the police; employees of certain other non-government organisations which are obliged to comply with the Government's security procedures; employees of contractors providing goods and services to the Government.

What is a Basic Check?

The Basic Check is not a formal security clearance but is designed to provide a level of assurance as to the trustworthiness and integrity of individuals whose work, in the main, involves access to CONFIDENTIAL assets or occasional SECRET assets. It includes: verification of identity; the taking up of references; a nationality check; a criminal record declaration.

For List X companies an enhanced BC is required for access to MOD SECRET.

What is a Counter-Terrorist Check?

You will need a Counter-Terrorist Check (CTC) clearance if your post: involves proximity to public figures at particular risk from terrorist attack; gives access to information or material assessed to be of value to terrorists; involves unescorted access to certain military, civil, industrial or commercial establishments assessed to be at particular risk of attack by a terrorist organisation.

It includes: verification of identity; a check against departmental/company records; the completion of a Security Questionnaire; a check against the criminal and security records of the UK and, if appropriate, of overseas countries; exceptionally, a detailed interview with you conducted by an investigating officer.

A CTC in itself does not allow you access to, or knowledge or custody of, SECRET or other protectively marked assets.

What is a Security Check?

You will need a Security Check (SC) clearance if your post requires you to have substantial access to SECRET assets or occasional access to TOP SECRET assets. It includes: a basic check of identity documents and employment/education referees; a check against departmental/company records; the completion of a Security Questionnaire; a check against the criminal and security records of the UK and, if appropriate, of overseas countries; a credit reference check; sometimes, the completion of a Financial Questionnaire and, exceptionally, a detailed interview with you conducted by an investigating officer.

What is Developed Vetting?

Developed Vetting (DV) is the most comprehensive form of security vetting and is what you will need if your post requires you to have substantial access to TOP SECRET assets or if you will be working in the security and intelligence agencies. It includes: all those checks associated with SC; the completion of a DV Supplement Questionnaire; the completion of a Financial Questionnaire; a detailed interview with you conducted by an investigating officer; further enquiries, including the checking of references, in writing, by telephone or by interview, from both personal friends and your tutors and employers as appropriate.

Why me?
You should only be subject to CTC, SC or DV if your post is deemed by your vetting authority to require it. If you consider, either now or in the future, that your post does not require a security clearance, you should discuss this with your line manager or superior, in the first instance, or with your Departmental Security Officer.

What about the European Convention on Human Rights?

Human Rights legislation guarantees certain human rights and fundamental freedoms including the right to privacy and freedom of expression. These rights are subject to a number of exceptions; in particular they may be subjected to such interference as is necessary in a democratic society in the interests of national security. Your vetting authority has full regard to the ECHR in applying the security vetting system.

What about unfair discrimination?

All candidates for security vetting are treated impartially and consistently, irrespective of their sex, marital status, age, grade, colour, ethnic origin, religious affiliation or sexual orientation.

What safeguards are there?

Your vetting authority will exercise the greatest care to ensure that all information collected during the vetting process is accurate, for example that there is no confusion over identity when carrying out criminal record checks. In addition, under the terms of the Security Service Act 1989, you may complain to the Security Service Tribunal - a panel independent of the Government comprising senior members of the legal profession - if you believe the Security Service has provided incorrect vetting information about you.

What long questionnaires - are they really necessary?

The questionnaires can look daunting but you will find that the questions are straightforward. You can complete information in stages, saving and coming back to the process for example. if you need to gather information to answer one or more of the questions. Remember though that you have a maximum of 30 days to complete the questionnaire before the information you have completed is deleted from our system. This is to ensure your privacy and our compliance to Data Protection. You must answer all questions. If you refuse to provide important information, it may not be possible to grant you a security clearance. If you do not understand a question please ask for guidance from whoever issued you with the questionnaire. If you realise after you have submitted in the questionnaire that you have inadvertently made a mistake or omitted something important, please tell your vetting authority or whoever you returned the questionnaire to. If you do not do so, the error/ omission could be held against you during the assessment process. Also make certain that you have signed the printed version of the declaration page and returned it to the address indicated so as to avoid delay in your application caused.

I used to be politically active and think that the Security Service may hold a record on me. Will it affect my clearance?
The Security Service is only likely to have a record on you as a political activist if you have been involved with an organisation which advocates, or has in the past advocated the overthrow of Parliamentary democracy by political, industrial or violent means. If you think there might be a problem, declare this on the questionnaire and you will be given every opportunity to explain the situation. Your suitability for security clearance will be decided on the overall picture and not on one isolated piece of information.

Will a criminal record result in security clearance being refused?

Each case will be judged on its merits and a number of things taken into account (e.g. the seriousness of the offence(s); the length of time since it was committed; the age of the subject at the time; and any other special circumstances). The important thing is to be completely open and honest about any criminal history - including spent convictions and police cautions. Any attempt to conceal information could be taken as evidence of unreliability/dishonesty and may affect the granting of security clearance.

Why should I provide confidential medical information?

The DV Supplement Questionnaire explains how medical information will be obtained and safeguarded. Your vetting authority requires the name and address of your GP (or Military Medical Officer where appropriate for armed forces' personnel), whom they may contact, and needs to know whether you have suffered from certain medical and psychological conditions which could have a bearing on your fitness to handle very sensitive information. If necessary you may be asked to undergo a medical examination. If you are not sure of the answer to a question or would prefer that it be obtained from your GP, you may say so on the questionnaire. If you refuse to consent to medical reports being obtained this can lead to refusal of security clearance.

What is the purpose of a financial check and what does it entail?

The purpose of the check is to assess whether you are or have been in serious financial difficulty or show signs of financial irresponsibility to the extent that you could become vulnerable to financial inducement. There is no need to worry about mortgage and credit card debts which are in line with your income as long as you are normally able to manage the repayments. A check will be made with a credit reference agency and you may be asked to complete a Financial Questionnaire about your personal financial circumstances. Additionally, the investigating officer may ask you questions about your financial situation during your interview.

What will I be asked at the interview?

The interview will be wide-ranging and cover most aspects of your life. The aim is to obtain a rounded picture of you as an individual to determine whether you will be able to cope with access at the highest levels and not become a security risk. In the event that you consider the information gathered about you to be misleading or inaccurate, the interview will provide you with the opportunity to correct or clarify this. You should expect to be questioned about your family background, past experiences, health, sexual orientation, drinking habits, experience (if any) of drug taking, financial affairs, general political views (though not what party you support), hobbies, foreign travel, etc. All these questions are asked for a purpose and you should try to be as frank as possible. The investigating officer will be experienced in conducting such interviews, so it is unlikely that anything you say will cause shock or surprise and every effort will be made to put you at your ease. If you would feel more comfortable discussing certain matters with a different investigating officer, say so and if necessary, efforts will be made to arrange a second interview. Be as candid as possible. It is in your interest that the correct decision is reached.

Im tempted to keep quiet about something I my past and hope no-one finds out
Lying or concealing information on a vetting questionnaire or at interview is viewed very seriously because it is taken as evidence of unreliability and/or dishonesty. Indeed your clearance could be refused because you lied, even though what you were seeking to conceal would not in itself have caused a problem. Furthermore, your clearance could be removed at a later date if the lie subsequently comes to light. It is simply not worth it.

What do I do if I think the interview was conducted unfairly or improperly?

If you consider that your interview with an investigating officer was conducted unfairly or you were asked improper or unnecessary questions, you should discuss the matter with your vetting authority.

Will the information obtained during the vetting process remain confidential?
Vetting confidentiality will be maintained in all but the most exceptional cases where a risk has been identified and a decision taken to 'manage the situation' rather than refuse security clearance. In such cases, those tasked with managing the risk will need the appropriate information in order to do this effectively.

What about the Data Protection Act 1998?

The Act requires those who hold personal data to register that fact with the Data Protection Registrar, together with a description of the data, its source and the persons to whom it may be disclosed. Disclosure to any persons not described in the register is forbidden. However, sensitive personal data held by organisations in connection with personnel security (i.e. security vetting) may be protected by Section 28(1) of the Act which exempts data from the provisions of the Act dealing with registration and disclosure if the exemption is required for the purpose of safeguarding national security. Your vetting authority will have considered a range of factors in deciding whether an exemption certificate is required.

Who should I name as referees and what will they be asked.

You should name people who have known you well over a significant period of your life. They will be asked to describe you and your way of life, attitudes, abilities, etc. Essentially, the investigating officer will be trying to verify and complete the information provided in the vetting questionnaire(s). If potential problem areas have emerged, your referees will be asked about these.

Who decides whether a clearance will be granted?

Your vetting authority will make the decision in the light of all the available information obtained during the vetting process.

Will I be told whether a clearance has been granted?

If you are an existing member of staff, you will be informed of the result of the vetting process. If a clearance has been denied, you will be given the reasons as far as is possible. In a small number of exceptional cases, considerations of national security and maintaining the confidential nature of information provided may limit disclosure. If you are an applicant for employment you will not automatically be told whether your clearance has been granted, as this will not necessarily be a relevant factor in the decision as to whether or not to employ you.

What happens after I have been given a security clearance?

Your security clearance will be monitored and subject to regular review. It is important that you maintain the standards of security expected and notify any changes in your personal circumstances (e.g. marriage, change of partner, etc.) to your vetting authority.

Can I appeal against an adverse vetting decision?

An appeal process is available to all those - other than applicants for employment who have no formal right of appeal - in the public and private sectors and in the armed forces who are subject to security vetting. Separate arrangements exist for staff and contractors of the intelligence agencies. If you are a current employee, your vetting authority will have an internal appeal mechanism in place. If, after appealing internally, you remain dissatisfied with the decision you can appeal to the independent Security Vetting Appeals Panel whose details will be made available to you at the time of your internal appeal. If you require further advice about the security vetting system please contact your vetting authority.

Produced by the Cabinet Office