Legal and Professional Standards Department - National security vetting procedure (P04e)

1. Summary of changes

1.1.  This standard operating procedure (SOP) was reviewed in October 2023 - no amendments to content have been made. 

2. What this procedure is about

2.1. This SOP details the different levels of national security vetting (NSV) and explains about vetting refusal, withdrawal and lapses, together with the appeals process.

3. Detail the procedure

3.1. There are currently three levels of national security vetting (NSV):

1. counter terrorist check (CTC)
2. security check (SC)
3. developed vetting (DV)

3.2. The requirement of NSV levels are contained in the Cabinet Office Security Policy framework.

3.3.  The baseline personnel security standard (BPSS), or authentication (see SOP P04a), which is not a formal security clearance in itself but is required for all individuals with any access to government assets, must underpin all NSV levels of clearance, together with recruitment vetting (RV) (SOP P04b), management vetting (MV) (SOP P04c) or NPPV levels 2 (full) or 3 (SOP P04d) for the police service, which fully meets the requirements of the BPSS. BPSS allows regular access to UK OFFICIAL assets and occasional access to UK SECRET assets.

Counter terrorist check (CTC)

3.4 The CTC procedure is carried out to prevent those who may have connections with terrorist organisations, or who may be vulnerable to pressure from such organisations, from gaining access to certain persons, premises and information, that could be exploited to further the aims of a terrorist organisation. CTC clearance, on its own, does not allow access to, knowledge or custody of, protectively marked government or police assets. However, as described above, completion of the authentication procedure allows individuals to have regular access to UK OFFICIAL assets and occasional access to UK SECRET assets and, when coupled with either recruitment vetting (RV) or non-police personnel vetting (NPPV) level 2 (Full), also allows regular access to OFFICIAL and occasional access to SECRET police assets.

3.5 The decision as to whether a CTC clearance is required for an individual is a matter for the chief officer. To ensure that all those requiring CTC clearances have them, in accordance with the Vetting Code of Practice and APP Vetting, in Kent CTC clearances are applied to all police officers, members of the Special Constabulary and PCSOs. In addition, police staff and non-police personnel whose work involves proximity to public figures who are assessed to be at particular risk from terrorist attack, or who have access to premises, information or material assessed to be of value to terrorists, are also subject to CTC clearance. 

3.6 The administration of CTC clearances is the responsibility of the vetting team leaders, central vetting unit and the checks are processed by United Kingdom Security Vetting (UKSV).

Security check (SC)

3.7 Security check clearance is required for employment in designated posts that involve long-term, frequent and uncontrolled access to SECRET government assets, and occasional access to TOP SECRET government assets or for those in posts that are in a position to directly or indirectly bring about the same degree of damage.

3.8 As MV is a prerequisite to SC clearance, those individuals are also able to have regular access to SECRET police assets and occasional access to TOP SECRET police assets.

3.9 Where an SC clearance is required for access to SECRET STRAP material, a review of personal finances must be carried out. (Note: MV is a prerequisite to SC and includes a financial check). This is referred to as an SC (enhanced) clearance.

3.10 The administration of SC clearances is the responsibility of the Vetting Team Leaders, Central Vetting Unit and the checks are processed by United Kingdom Security Vetting (UKSV).

Developed vetting (DV)

3.11 DV clearance is required for individuals who have long-term, frequent and uncontrolled access to TOP SECRET national security assets or for those in posts that are in a position to directly or indirectly bring about the same degree of damage. DV also allows regular access to TOP SECRET police assets. Any new requests for additional roles requiring DV clearance must be escalated to the Force Vetting Manager. The Force Vetting Manager will make a recommendation to the Head of PSD, who will either authorise the new request for DV or deny it. If the requestor is dissatisfied with the head of PSD's decision to deny a request, the Head of PSD will refer the matter to the deputy chief constable who will make the final decision.

3.12 The administration of DV clearances is the responsibility of the vetting team leaders, central vetting unit. MV/SC is a prerequisite for DV and interviews are carried out by United Kingdom Security Vetting (UKSV).

Counter Terrorism and Security Act

3.13 The Counter Terrorism and Security Act 2015 places a duty upon specified authorities (which includes the police) to ensure that their functions are discharged having due regard to the need to prevent people being drawn into terrorism. Our staff are not immune from radicalisation, therefore if such concerns regarding an individual or institution are identified, these should be referred to the Kent Police Prevent Team via the FIMU at Kent SB JIU.

Process

3.14 The process for each of the various levels of NSV is clearly documented in the Cabinet Office Security Policy Framework (SPF) that should be referred to for detailed guidance. Applicants will be required to complete a security questionnaire.
 
3.15 However, the following should be noted. The APP vetting states 'the relevant level of force vetting must be cleared before starting NSV clearance although operational timescales may mean NSV clearance is initiated before force clearance is granted finally'. If a management vetting clearance is refused the applicant may pursue an appeal under the management vetting procedure. (See SOP P04c Management Vetting).

Finances

3.16 The APP vetting requires all applicants seeking SC and DV clearances to first of all obtain an MV clearance. Financial vetting enquiries will, therefore, be carried out as part of the MV process.

Reviews and renewals

3.17 The following review periods are a minimum standard and NSV clearances may be reviewed more regularly at the discretion of Kent Police:

• CTC: ten years (five years for non-police personnel)
• SC: ten years (supported by annual security review). Where SC clearance is required for access to STRAP material - five years (five years for non-police personnel)
• DV: seven years (supported by annual security review)

3.18 A renewal of clearance requires a full re-vet, i.e a full application must be completed and all required checks pertinent to that particular level of vetting are to be carried out.

Vetting refusals, withdrawals and lapses

3.19 If individuals are refused any level of NSV clearance, or have their clearances withdrawn, UKSV should be notified immediately by the Central Vetting Unit. The notification should contain details of the name and date of birth of the individual, and any reference number (if known), along with a short summary of the reason(s) for the vetting refusal or withdrawal. 

3.20 If the security service has passed information or an assessment, based on either their own records or material received from a liaison source, they should be notified of the decision to grant or refuse a national security vetting clearance.

3.21 Individuals holding a DV clearance who transfer to a ‘non-designated’ post will retain their DV status for 12 months from the transfer date, before the clearance lapses.
 
3.22 When a person transfers to another organisation, that requires a DV clearance, there must not have been more than one year between leaving one organisation and joining another. In addition the individual must not have resided overseas for more than six months. If these circumstances apply, the DV clearance must be renewed. 

3.23 Individuals holding an SC clearance who transfer to a ‘non-designated’ post will retain their SC status for 12 months from the transfer date, before the clearance lapses. 

3.24 When a person transfers to another organisation, that requires an SC clearance, there must not have been more than one year between leaving one organisation and joining another. In addition the individual must not have resided overseas for more than six months. If these circumstances apply, the SC clearance must be renewed. 

3.25 In cases where persons holding vetting clearance are required to resign or are dismissed from the police service, their vetting clearance will lapse immediately. In cases involving NSV, the UKSV should be notified immediately by the Central Vetting Unit.

Appeals

3.26 Existing employees, below NPCC rank, who have an NSV clearance refused or withdrawn may appeal the decision by sending a letter of appeal to the Head of Professional Standards, within 14 days of receipt of the written notice of the vetting decision. The deputy chief constable, or during periods of absence, another NPCC officer, will aim to review the case as quickly as possible. The individual will be given the opportunity to make personal representation and may be accompanied by a workplace colleague or staff association representative. The officer conducting the appeal will provide the applicant with a written statement outlining the result of the appeal. The decision reached will be final. For existing police staff, representation is by way of section 10(3) Employment Relations Act 1999.

3.27 Where the appellant is the Head of Professional Standards, they should send their letter of appeal directly to the deputy chief constable.  

3.28 NPCC applicants for developed vetting (DV), up to the rank of deputy chief constable should appeal to the chief constable, within 14 days of receipt of a written notification of the vetting decision. The chief constable will aim to review the case as quickly as possible. The individual will be given the opportunity to make personal representation and may be accompanied by a workplace colleague or representative. The chief constable will provide the applicant with a written statement outlining the result of the appeal. The decision reached will be final. For existing police staff, representation is by way of section 10(3) Employment Relations Act 1999.

3.29 The monitoring officer or the chief executive (from the elected local policing body) is the decision-maker for approving the chief constable’s DV clearance. Appeals against a decision to refuse or withdraw a chief constable’s DV clearance are heard by the Home Office departmental security unit (DSU). 

3.30 Where the internal appeals process has been exhausted and the individual remains dissatisfied with the outcome regarding their refusal of NSV, they may seek to appeal to the independent Security Vetting Appeals Panel (SVAP), or may use other legal processes. SVAP is not available to individuals who have been refused NSV clearance as part of a recruitment process (i.e. applicants for appointment where no job offer is made).

3.31 Applicants to the force who have an NSV clearance refused or withdrawn (where police vetting clearance has been granted) may appeal the decision by sending an appeal letter to the force vetting manager within 14 days of receipt of the written notice of the vetting decision. Force vetting manager will review the case as quickly as possible. The applicant will not have the right for their appeal to be heard in person. The Force Vetting Manager will provide the applicant with a written statement outlining the result of the appeal. The decision reached will be final.   

4. Equality Impact Assessment (EIA)

4.1. An EIA has been carried out and shows the proposals in this policy would have no potential or actual differential impact on grounds of race, ethnicity, nationality, gender, transgender, disability, age, religion or belief or sexual orientation.

5. Risk assessment

5.1. This SOP has been assessed as medium risk.

6. Consultation

• Central Vetting Unit
• Special Branch
• Recruitment
• Business Centre
• HR
• Health and Safety
• Legal
• Freedom of Information
• IT Security
• Finance

7. Monitoring and review

7.1. This SOP will be monitored, and reviewed after two years, by the Force Vetting Manager. The monitoring will take into consideration any changes in relevant legislation or procedures impacting on national security vetting.

8. Other source documents

None listed.

9. Security

9.1 Kent Police have measures in place to protect the security of your data in accordance with our Information Management policy (Policy W1000 – Information Management).

10. Retention and disposal of records

10.1 Kent Police will hold data in accordance with our Records Review, Retention and Disposal policy (Policy W1012 – Records Review, Retention and Disposal).