References to AGSVA Include Exempt Agencies Unless Otherwise Indicated

Personnel security practitioners guidelines

This guide is designed to assist AGSVA and exempt agency personnel security practitioners in implementing the Protective Security Policy Framework and the Australian Government Personnel Security Protocol.

References to AGSVA include exempt agencies unless otherwise indicated.

Version 1.0

Approved

September 2010 Contents Contents...... i

Summary of the security clearance process...... 1

Introduction...... 2

Bias ...... 2

Assessing officer competencies...... 2

Competencies of an assessing officer...... 3

Ongoing assessment of competencies...... 3

Additional duties that may be required of assessing officers...... 4

Provision of training...... 4

AGSVA’s responsibilities to manage outsourced vetting providers...... 4

Justifying information required in a security clearance...... 4

Assessing officers sensitivity to clearance subjects...... 5

Classification and protection of records on the Personal Security File...... 5

Recording metadata...... 5

References to the PS Act and employment legislation for non-APS agencies...... 6

Abbreviations...... 7

1. Confirming a new clearance is required, and issuing the clearance pack...... 8

1.1. Clearance request is received...... 9

Is provisional access requested?...... 9

1.2. Does the clearance subject hold a clearance with another agency?...... 9

1.3. Send clearance pack to subject...... 9

1.4. Has the pack been returned by the due date?...... 10

Attachment A Guideline to appropriate document certification...... 11

Certifying copies for a PSF...... 11

Unacceptable certification...... 12

Certification of documents on previous PSFs...... 13

1A Transferring an existing clearance into an agency...... 14

1A.1 Send a ‘consent to release form’ to subject...... 15

i Police records checks (PRCs) and other third party information...... 15

1A.2 Request PSF from the previous agency...... 15

1A.3 Does the PSF meet the minimum standards?...... 16

Is the current clearance subject to a waiver?...... 16

1A.4 Is the existing clearance at the required level or higher?...... 16

1A.5 Is the clearance current?...... 17

1A.6 Accept clearance...... 17

2. Clearance pack processing...... 18

2.1. Confirm eligibility for a clearance...... 19

Confirm Australian citizenship...... 19

Confirm the clearance subject has a checkable background...... 19

2.2. Gaps Anomalies and Discrepancies (GADs)...... 20

Documents required for security clearances...... 20

GADs checking...... 20

Statutory Declarations in lieu of documents...... 21

Verification of documents...... 22

Is the assessing officer satisfied that information provided by the clearance subject in the PPF is consistent with supporting documents?...... 22

Request additional information from the clearance subject...... 22

Is the additional GADs information provided?...... 23

Attachment A Evidence of Australian citizenship for security clearances...... 24

Background ...... 24

How do you confirm Australian citizenship...... 24

What documents do you have to provide as evidence of Australian citizenship?...... 26

Attachment B Example clearance checklist...... 27

Attachment C Alternate proof of identity documents...... 29

Attachment D Translations...... 31

Attachment E Example Financial Declaration...... 32

Attachment F Example Financial Statement...... 36

ii Attachment G Documents, checks and inquiries required for security clearances...... 40

Documents required...... 40

Checks and inquiries...... 44

3 Internal and External Checks...... 45

3.1. Analysis of personal information...... 46

PPF...... 46

Financial position...... 47

Security incident and breach history...... 47

Are there any inconsistencies in relation to residential addresses and employment addresses?...... 47

Are there any issues arising from the GADs?...... 48

Internal Checks...... 48

3.2. Seek reports from supervisor or workplace referees, and personal referees where appropriate...... 48

Are there unresolved issues regarding current or previous employment?...... 48

Referee checks...... 49

Confirm accuracy of the referee’s interview report...... 50

3.3. Conduct supplementary checks where appropriate...... 50

Medical checks...... 50

Psychological checks...... 50

Financial checks...... 51

Qualification checks...... 51

Employment details...... 51

Electoral roll checks...... 51

White pages checks...... 51

Interviews for cause...... 52

3.4. Conduct an interview where appropriate...... 52

Review PSF...... 52

Preparing for the interview...... 52

External Checks...... 52

iii 3.5. Police Records Checks (PRCs)...... 52

Australian PRCs...... 52

Level of PRC...... 53

PRCs from other countries...... 53

Action if a conviction is recorded...... 53

3.6. Solvency check where appropriate...... 54

Bankruptcy checks...... 54

Credit history checks...... 54

Supplementary solvency checks...... 54

3.7. DIAC Australian entry/exit (movement records) check where appropriate...... 54

3.8. ASIO checks for all negative vetted level 1 and 2 security clearances...... 54

Requesting an ASIO assessment...... 55

Requesting priority handling for an ASIO check...... 56

ASIO response...... 56

Requesting a re-assessment...... 56

Attachment A Personnel security checks for initial clearances...... 58

Attachment B Residential address and employment history comparison...... 59

Attachment C How to conduct security clearance interview...... 66

Attachment D Indicative ASIO assessment request...... 70

Attachment E Indicative ASIO review request...... 71

4. Recommendation to the Delegate for a clearance at the requested level...... 72

4.1. Meeting the principles of procedural fairness (natural justice)...... 73

4.2. Make a recommendation...... 73

Recommendation letter...... 74

4.3. Is specific aftercare recommended?...... 74

4.4. Quality assurance of the PSF...... 74

4.5. Pass to Delegate for decision...... 75

Attachment A Example ‘Instrument of Approval’...... 76

5. Delegate’s decision where the clearance is recommended...... 77

iv 5.1. Does the Delegate approve of a clearance being granted?...... 78

5.2. Is the approval at a lower level than recommended?...... 78

5.3. Update the PSF to include the decision to grant a clearance at a lower level and the Delegate’s reasons...... 78

5.4. Is approval of the clearance conditional on aftercare?...... 79

5.5. Update the PSF to include the decision for aftercare and the Delegate’s reasons...... 79

6. Advise clearance subject and agency of clearance...... 80

6.1. Is approval of the clearance at a lower level?...... 81

Letter to clearance subject advising of lower level grant and review process...... 81

6.2. Is approval conditional on specific aftercare provisions?...... 82

Letter to clearance subject specifying aftercare and review process...... 82

6.3. Is the clearance granted as requested?...... 82

6.4. Advise the clearance subject’s agency of the outcome of the clearance...... 82

7. Recommendation to the Delegate against a clearance or granting a clearance at a lower level...... 83

7.1. Meet principles of procedural fairness...... 84

7.2. Make a recommendation against granting the clearance...... 84

7.3. Make a recommendation to grant the clearance at a lower level with specific aftercare...... 84

7.4. Make a recommendation to grant the clearance at a lower level without specific aftercare. .85

7.5. Quality assurance of the PSF...... 85

7.6. Pass to the Delegate for a decision...... 85

8. Delegate’s decision where the clearance is not recommended...... 86

8.1. Did ASIO make a prejudicial assessment?...... 87

8.2. Advise the Delegate of the appeal process...... 87

8.3. Advise the Delegate of review process and any procedural fairness measures taken...... 87

8.4. Does the Delegate approve the clearance?...... 88

8.5. Ensure the Delegate documents the reasons for the approval...... 88

9. Advise clearance subject and agency of outcome when clearance is denied...... 89

9.1. Advise agency to withdraw all access to classifed material if access has not already been withdrawn...... 90

v 9.2. Advise clearance subject of outcome and review process...... 90

9.3. Advise clearance subject of the clearance outcome and the appeal process of an ASIO assessment...... 91

9.4. Process the review or appeal...... 91

10. Aftercare and revalidation...... 93

10.1.Is specific aftercare required?...... 94

Aftercare provisions where the clearance subject provides information...... 94

Requests for supervisor’s or referee’s reports...... 94

Outcomes of aftercare...... 94

10.2.Are the aftercare conditions met?...... 95

10.3.Advise agency to withdraw access...... 95

10.4.Advise clearance subject of outcome...... 95

10.5.Is a revalidation required?...... 96

10.6.Undertake revalidation...... 96

10.7.Clearance holder or sponsoring agency advises of a significant change of personal circumstance, or serious security concern...... 96

Review for cause...... 97

Upgrades to clearances...... 97

11. Personal Security File disposal...... 98

11.1.Is the clearance subject still employed by an agency covered by AGSVA?...... 99

11.2.Archival action...... 99

Contractors’ PSFs...... 99

11.3.Disposal in accordance with the Archives Act...... 100

11.4.Update metadata to indicate the PSF was destroyed...... 100

11.5.Request for transfer of clearance received...... 100

11.6.Is the clearance subject still with your agency?...... 101

11.7.Provide access to PSF...... 102

11.8.Transfer the PSF to the requesting exempt agency on transfer...... 102

11.9.Update metadata to indicate the PSF was transferred...... 102

Useful links...... 104

vi vii Summary of the security clearance process

Agencies identify requirement for a security 1. AGSVA confirms clearance requirement and 2. Clearance pack 3. Finalise internal and clearance issue the clearance pack processing external checks

1a. Transferring a clearance into AGSVA

Is the 4. Make recommendation for 10. Revalidation 6. Advise clearance subject Yes 5. Delegate’s clearance including aftercare clearance and subject’s agency decision requirements if appropriate recommended?

9. Advise clearance subject 7. Make recommendation and subject’s agency of 8. Delegate’s against clearance outcome when clearance is decision denied

11. Archiving and disposal of PSFs

1 Introduction These guidelines should be read in conjunction with:

 Protective Security Policy Framework - core policies  Australian Government Personnel Security Protocol  Adjudicative Guidelines  Agency personnel security guidelines  Security clearance subjects guidelines, and  Clearance subject’s agency’s relevant legislation and policy guidelines. These guidelines should form the basis for security clearance policies and procedures for the Australian Government Security Vetting Agency or exempt agencies (AGSVA). It is recommended that the AGSVA identify any client agency policies relating to clearances.

The words ‘are to/is to’ in these guidelines refer to protocols or a legislative requirement. The clearance subject’s sponsoring agency may have additional legislative requirements.

The word ’should’ in these guidelines refers to better practice. However, it is recommended that where the AGSVA does not implement the policy or procedure specified in these guidelines the reasons are recorded as part of the AGSVA’s risk assessment.

A summary of all inserted hyperlinks and link addresses is at the end of these guidelines.

Bias There is to be no bias or perceived bias in the security clearance process, see paragraph 4.1 and the PSPF – Personnel Security - Procedural fairness Guidelines. Assessing officers should not assess clearances for family members or other people with whom they have or have had a close personal or business relationship.

Assessing officer competencies

The AGSVA and exempt agencies are to ensure that all assessing officers have a detailed knowledge of the Australian Government Personnel Security Core Policy and the Mandatory Requirements in the Protective Security Policy Framework, or be provided with training to develop this knowledge, prior to assessing clearances in Australia.

Assessing officers are to:

 meet any obligations set out in legislation governing the Australian Public Service or the agency for which they are performing clearances  comply with the Information Privacy Principles (IPPs) of the Privacy Act 1988  comply with the security provisions in the Crimes Act 1914 and the Criminal Code 1995  not use their position to benefit themselves or others

2  declare any real or potential conflict of interest, and  ensure sensitive information is secure and never used for personal gain or to prejudice fair decision making.

The assessing officer is responsible for assessing the clearance subject’s character and identifying any factors that may expose the clearance subject to improper influence or coercion. Security concerns or factor areas are to be assessed against the PSPF – Personnel Security - Adjudicative Guidelines.

The assessing officer’s recommendation can affect the clearance subject’s career path. Consequently, an assessing officer is to demonstrate tolerance of the views of others and remain objective when assessing people and situations. Refer to Australian Human Rights Commission - Federal Discrimination Law.

Competencies of an assessing officer Assessing officer training is to include:

 compliance with privacy legislation  principles of natural justice / procedural fairness  handling official information  workplace communications skills  validation of data, and  conduct of personnel security assessments.

In addition training of assessing officers undertaking complex or Negative Vetting Level 2 assessments for access to TOP SECRET information and resources is to include:

 advanced interviewing skills  data analysis  conduct of complex security assessments  advanced communication skills, and  compliance with legislation in the public sector. Assessing officers undertaking Negative Vetting Level 2 or complex vetting assessments at lower levels should hold a Certificate IV in Government (Personnel Security) or equivalent. It is also recommended that assessing officers undertaking less complex Negative Vetting Level 1 and Baseline Vetting assessments hold a Certificate III in Government (Security) - Personnel Security Stream or equivalent.

Trainee assessing officers may work under close supervision of a competent assessing officer. The competent assessing officer remains responsible for, and should sign off on, any recommendations made.

3 Ongoing assessment of competencies

The AGSVA and exempt agencies are to regularly assess the competencies of all assessing officers and provide additional training to any assessing officer with identified deficiencies in competencies.

Additional duties that may be required of assessing officers The AGSVA or exempt agencies may also require assessing officers to:

 manage other assessing staff  liaise with internal and external clients, and  make recommendations to the AGSVA or exempt agency Delegate in relation to personnel security policy and procedures.

Provision of training

The AGSVA or exempt agencies may provide training in-house or through outsourced providers. In seeking PSPC approval for training the AGSVA or exempt agency is to provide a course outline indicating how the training meets the competencies outlined above.

If training is outsourced, this should be through a Registered Training Organisation (RTO). RTOs are accredited training providers who offer courses through the Australian Quality Training Framework. A list of RTOs is available from Training.gov.au.

AGSVA’s responsibilities to manage outsourced vetting providers

Where the AGSVA or exempt agencies outsource elements of the security clearance process, the AGSVA or exempt agency is to ensure that:

 the service provider complies with the IPPs, the Public Service ‘Code of Conduct’ and the official secrecy provisions of the Crimes Act 1914 Division 7 parts VI and VII, and the Criminal Code 1995 chapter 5  the service provider adheres to the protective security standards detailed in the Protective Security Policy Framework  the service provider’s vetting staff are suitably trained and display the required competencies  the AGSVA or exempt agency reviews any documents such as the interview format as required by the PSPC, and  information and physical security measures at the premises of the contracted service provider comply with the requirements of the Protective Security Policy Framework.

Justifying information required in a security clearance Assessing officers should be able to:

 clearly detail to the clearance subject why the information is required, and

 justify each question asked in interviews with clearance subjects.

4 In particular, clearance subjects may raise concerns relating to the questions on relationships and finances. (See the Privacy Act 1988 (Privacy Act)).

The assessing officer is not to ask inappropriate questions or use inappropriate language in asking these questions. (See Section 13 of the Public Service Act 1999 (PS Act s13) – APS Code of Conduct).

See PSPF – Personnel Security – Personnel Security Practitioners Guidelines – Attachment G to section 2 - Documents, checks and inquiries required for security clearances.

Assessing officers sensitivity to clearance subjects Assessing officers have access to significant quantities of the clearance subject’s personal information. The use of this information may distress the clearance subject. Therefore, an assessing officer should be aware of sensitivities and use reasonable tact in making queries with, and about, the clearance subject.

Assessing officers are to assess any identified vulnerabilities against the factor areas identified in the PSPF – Personnel Security - Adjudicative Guidelines and, even though this may cause some distress to the clearance subject, assessment of vulnerabilities is essential. However, in more sensitive or complex cases it is recommended that a senior assessing officer with well developed empathy and interviewing skills undertake the assessment.

Classification and protection of records on the Personal Security File The Personal Security File (PSF), including file notes contains significant amounts of personal information that may cause harm to the clearance subject if used inappropriately. The PSF should have a dissemination limiting marker.

Individual records may contain classified material and should be classified at the appropriate level for the document. If individual documents are classified the highest classification used is to be applied to the PSF.

Assessing officers should review and classify and/or re-classify any documents on existing PSFs as part of a clearance revalidation, or when a PSF is transferred to the AGSVA.

All information on a PSF is personal information and is covered by the Information Privacy Principles (IPPs) of the Privacy Act.

Recording metadata Metadata refers to the information collected about the clearance process that is held on an agency’s clearance management system. This may include:

 the date the clearance was commenced  dates information was provided  dates external checks were sent and received  check results ie clear, recorded, etc

5  date clearance was granted  aftercare summary  dates any specific aftercare provisions are to be finalised  revalidation dates, and  archival action. The Archives Act 1983 (Archives Act) requires that some metadata be kept after the disposal of a PSF.

References to the PS Act and employment legislation for non-APS agencies These guidelines refer to sections of the PS Act relating to employment conditions and the APS Values and APS Code of Conduct for public servants employed under the PS Act. Where a client agency employs staff under different legislation, assessing officers should be aware of the client agency’s employment provisions.

Abbreviations

AAT Administrative Appeals Tribunal

AFDA Administrative Functions Disposal Authority

AFP Australian Federal Police

AGSVA Australian Government Security Vetting Agency or exempt agency

AGD Attorney-General’s Department

APS Australian Public Service

APSC Australian Public Service Commission

ASA Agency security adviser

ASIO Australian Security Intelligence Organisation delegate Person authorised by an agency head to act on his/her behalf

DSAP Designated security assessed position

GADS Gaps, anomalies and discrepancies

IPP Information Privacy Principle

ITSA Insolvency and Trustee Service Australia

HR Human resources

PS Act Public Service Act 1999

PRC Police records check

PSF Personal security file s Section (of an Act) Eg Section 22 of the Public Service Act 1999 – PS Act s22 agency The clearance subject’s employing agency that has requested the clearance

7 1. Confirming a new clearance is required, and issuing the clearance pack

1.2 Does the 1.4 Has the pack 1.1 Clearance clearance subject 1.3 Send clearance been returned by request hold a clearance No Yes pack to subject. the due date? received. with another agency?

Yes No

Commence Treat as for a clearance Refer to AGSVA processing of pack. transfer, revalidation or policy on clearance (Section 2) upgrade reminders and cancellation. (Section 1A)

8 1. Confirming a new clearance is required, and issuing the clearance pack and agency specific fit and proper person checks

1.1. Clearance request is received The clearance request should:

 be approved by an agency contact, and  confirm whether a clearance is held with another agency.

Enter clearance subject’s metadata on clearance database.

Is provisional access requested? Provisional access is requested where access to security classified resources is required before a security clearance is granted.

Prior to being granted provisional access:

 the agency is to undertake a risk assessment, identifying any residual risks  the clearance subject is to return a completed security pack, and  the AGSVA is to be satisfied there are no obvious indicators suggesting the security clearance may be problematic or that may bring into question the clearance subject’s general suitability for a security clearance. If any areas of concern arise the AGSVA is to withdraw provisional access and AGSVA advise the agency and clearance subject. See PSPF – Personnel Security - Agency personnel security guidelines.

Requests for provisional access should also be entered onto the clearance database.

1.2. Does the clearance subject hold a clearance with another agency? If yes, go to section 1.A, if no:

1.3. Send clearance pack to subject The following information should be included in the clearance pack:

 a single point of contact for clearance subject within the AGSVA  the date the completed pack and supporting documents should be returned and advice that if all forms are not fully completed and all requested documents are not provided, the security clearance process will be delayed and may be cancelled  instructions and examples on how to certify documents, if required. Refer to A  weblink to the Security clearance subjects guidelines, and  advice to the clearance subject to retain a copy of all forms for reference in future revalidations of, or upgrades to, the clearance if the pack is not completed electronically.

9 1.4. Has the pack been returned by the due date? Refer to AGSVA policy on return of clearance packs.

In general:

 packs should be due back within two weeks of the date of dispatch unless the clearance subject contacts the AGSVA and makes alternative arrangements  after two weeks the AGSVA should follow up with the clearance subject and request that he or she return the completed pack within two weeks, and  if the pack is not returned after the four weeks has elapsed and the clearance subject can provide no reasonable explanation for this, the AGSVA should notify the clearance subject’s agency contact of the clearance subject’s non compliance. If no, refer to AGSVA policy on reminders and cancellation of clearance processes.

If yes, go to section2.

Attachment A – Guideline to appropriate document certification

10 Attachment A Guideline to appropriate document certification The AGSVA should not keep original or certified copies of primary identification documents on the file as it may increase the likelihood of identify fraud if the PSF is compromised. The AGSVA is to return any original documents and return or destroy certified copies once the assessing officer records sighting the documents and completes all cross referencing to the Personal Particulars Form. (See section 2.)

The security package requests that the clearance subject supply certified true copies of primary identification documents including:

 full birth certificate  and if held by the clearance subject: - change of name certificate(s) (eg. deed poll certificate) - naturalisation and/or citizenship certificate(s) - current marriage certificate - divorce certificate(s) (ie decree nisi or decree absolute) - military discharge certificate - passport(s) - tertiary qualification (where a tertiary qualification is mandatory for the position), and - driver’s licence. Secondary documents such as:

 proof of employment, and  proof of addresses do not require certification.

Certifying copies for a PSF An assessing officer or an authorised witness to a Statutory Declaration under the Statutory Declarations Act 1959 may certify copies of documents for a security clearance. Each certified true copy is to contain the following information:

Certified True Copy of an Original Sighted by me (or words to that effect) Signature clearly printed full name occupation/designation, and date of certification.

The assessing officer may insert missing elements from the certification of the document (except the signature) where these details are provided in other places in the clearance pack. The assessing officer should return documents to the clearance subject for recertification if the information is not

11 provided elsewhere in the clearance pack. The assessing officer is to document the additional information provided on the PSF.

Assessing officers should make a file note of any information relating to certified copies that was not on the certified copies but was located elsewhere in the clearance pack and used to update the certified copies. It is recommended that the assessing officer updates the copies in a different colour ink and stamps the copy “UPDATED BY ASSESSING OFFICER”.

Labels may be used to facilitate the certification of documents. The signature of the certifier is to cross the edge of the label onto the document being certified to reduce the possibility of the label being peeled off and used elsewhere.

It is acceptable for the certification to include different handwriting as long as the signature and date are in the same penmanship and in the same ink. This style sometimes occurs when the clearance subject tries to assist the certification officer by writing in the basic detail of the certification required.

Single page certification - certification should be on the side with the image of the original document. It is acceptable to certify on the back of the page if it is not possible to certify the front, ie where the document copy is in a dark colour and the certification will not be able to be read.

Multiple page certification – if multiple pages of a document are required as corroborating documents, then each page is to be individually certified. If a double-sided document is certified on one side only, only the side with the certification may be used as a corroborating document.

Unacceptable certification Certification that is not acceptable includes:

 unsigned certification  certification that has been initialled or signed only, with none of the other elements described in certifying copies for a PSF  if a label has been used for the certification and the certifier has not signed across both the page and the label, and  certification that is on the back of the copy unless it is not possible to certify the front of the copy, ie where the document copy is in a dark colour and the certification cannot be read.

12 Certification of documents on previous PSFs Where an assessing officer has documented that he or she has sighted the documents previously the clearance subject does not need to provide documents, or copies, again. (See Section 2.)

PSFs completed before February 2001

You should accept any documents that are provided as they do not have to be certified. The Australian Government Protective Security Manual (PSM) 1991 (valid up to February 2001) stated only that a copy of the required document had to be sighted and obtained.

PSFs completed from February 2001 to October 2010

Certification of documents is to be in accordance with the PSM 2007.

13 1A Transferring an existing clearance into an agency

Clearance request 1A.1 Send general received indicating consent to subject (if not 1A.2 Request PSF from clearance held with received with clearance the previous agency another agency request)

1A.3 Does PSF 1A.5 Is the 1A.4 Is the meet minimum Yes Yes current Yes 1A.6 Accept clearance standards? clearance at clearance. current? required level or higher?

No No No Revalidate or upgrade clearance

(see Section 10).

14 1A Transferring a clearance into an agency

1A.1 Send a ‘consent to release form’ to subject (If not included with the request for clearance)

The AGSVA should include a ‘general consent form’ with the clearance pack for the clearance subject’s consent for his/her previous employer to release his/her PSF. The AGSVA should advise the clearance subject that the clearance request cannot be actioned without the general consent form.

Police records checks (PRCs) and other third party information The IPPs require third party information such as PRCs to be removed prior to PSFs being transferred into AGSVA from exempt agencies, or vice versa. Therefore the exempt agency should transfer the PSFs without PRCs or other third party information. The AGSVA should remove any PRCs or third party information including agency specific checks from PSFs received from exempt agencies, if not previously removed.

The AGSVA will advise whether a new PRC is required on transfer of the PSF or whether it will conduct a new PRC at the next revalidation. If the AGSVA requires a new PRC on transfer the new PRC form may be sent with the general consent form.

1A.2 Request PSF from the previous agency Refer to AGSVA policy on procedures for recognising clearances where a PSF cannot be transferred.

Some agencies have restrictions on the transfer of PSFs. This includes, but is not limited to:

 the Department of Defence which cannot transfer PSFs of Defence Force service personnel, and  ASIO which cannot transfer PSFs. AIC agencies should not transfer PSFS for positive vetting clearances to negative vetting agencies unless the clearance subject still requires a positive vetting clearance. Positive vetting agencies other than ASIO should only provide proof of clearance and copies of some personal documents. ASIO can only provide a statement of clearance.

Section 11 provides details to the losing agency about their responsibilities for providing access to the clearance subject’s PSF by the AGSVA.

The AGSVA should:

 confirm that the clearance subject did hold a clearance with the exempt agency and the level of that previous clearance, as sometimes clearance subjects believe that they have undergone a security clearance process when in fact they have only undergone a police records check  confirm whether the clearance is current or expired  send the exempt agency a copy of the general consent form signed by the clearance subject  request that the exempt agency sends the PSF to the assessing officer

15  confirm an estimated date of arrival or make arrangements to access the PSF in another way, and  ask the exempt agency to provide the assessing officer with written confirmation of the previous clearance and existence of the PSF if any delays in receipt of the PSF are expected. If the PSF does not arrive from the exempt agency by its estimated arrival date the AGSVA should contact the exempt agency to determine the reason.

On receipt an assessing officer should assess the PSF before seeking additional information from the clearance subject to complete the clearance process. Where a PSF holds certified true copies of applicable personal documents or an assessing officer has recorded that the documents have previously been sighted the clearance subject should not be asked to re-supply these documents. (Refer to Section 1 A Guideline to appropriate document certification.)

Record date of receipt of the PSF on the metadata record.

1A.3 Does the PSF meet the minimum standards? Refer to section 2.

If no, go to section 10 – Revalidation.

Is the current clearance subject to a waiver? Refer to section 4.

The AGSVA should advise the sponsoring agency if the clearance is subject to a waiver or specific aftercare. The sponsoring agency should reassess the waiver or aftercare provisions to determine if they are consistent with that agency’s policies and risk assessment.

If the sponsoring agency does not approve the waiver, go to section 7 – Recommend clearance not be granted.

1A.4 Is the existing clearance at the required level or higher? If no, go to section 10– revalidation

16 1A.5 Is the clearance current? The requirement to revalidate clearances varies with the level of clearance:

Baseline vetting Negative vetting level 1 Negative vetting level 2 Revalidation every 15 Revalidation every 10 Revalidation every 5 years years years Updated Personal Updated Personal Updated Personal Particulars Form covering Particulars Form covering Particulars Form covering period since previous period since previous period since previous process process process Police records check Police records check Police records check One professional referee One professional referee Two referee checks (one check check professional and one personal) ASIO check ASIO check Financial declaration Financial declaration Financial statement

It is recommended that when the clearance has less than one year before a revalidation is required that the revalidation be undertaken on transfer of the PSF.

If no, go to section 10 – revalidation

1A.6 Accept clearance AGSVA will decide whether to accept a clearance from an exempt agency as an administrative decision which can be made by the clearance administrator within the AGSVA or whether a delegate’s approval is required.

The AGSVA can grant the clearance subject access to classified information and/or resources up to the level of the original clearance for the remainder of the original clearance period.

The AGSVA is to advise the clearance subject and sponsoring agency of the outcome.

The advice letter should contain:

 level of access granted  any after care requirements  the date for next action, and  advice on reporting change of circumstances. Go to section 10.

17 2. Clearance pack processing

2.2 Gaps Anomalies and Start internal and Completed pack 2.1 Confirm eligibility Discrepancies (GADS) external checks received for a clearance. (Check and cross reference (Section 3). (Section 1). supporting documents for consistency).

18 2. Clearance pack processing

2.1. Confirm eligibility for a clearance

Confirm Australian citizenship If the clearance subject was born after 1986 then an Australian Birth Certificate is not proof of citizenship. Refer to A.

Despite holding evidence of Australian citizenship, people may have ceased to be an Australian citizen because they acquired the citizenship of another country prior to 4 April 2002 or because they renounced their Australian citizenship.

DIAC is the agency responsible for determining a person’s Australian citizenship status. If there is any doubt about a clearance subject’s Australian citizenship status, the AGSVA should refer the matter to DIAC. Further information is available at www.citizenship.gov.au.

The AGSVA is to advise the sponsoring agency and request an eligibility waiver if the clearance subject is not an Australian citizen, and an eligibility waiver has not previously been provided.

Refer to PSPF – Personnel Security - Agency personnel security guidelines and Evidence of Australian citizenship for security clearances.

If the sponsoring agency head does not approve the waiver the AGSVA is to stop the clearance process. Refer to section 7 – Recommend clearance not be granted.

Confirm the clearance subject has a checkable background If the AGSVA cannot confirm the background of the clearance subject then a recommendation or request for eligibility waiver is to be requested from the sponsoring agency.

Note: AGSVA may not be able finalise background checking until after section 4 is completed.

A clearance subject has an uncheckable background when the assessing officer cannot complete the required minimum checks for a clearance. A background may be uncheckable because:

 checks cannot be conducted in a country of former residence, eg checks for refugees are frequently not possible  the documents do not exist - either they never existed, or no longer exist or it is not possible to get copies from the issuing authority, or  the source of the documents may not be credible. AGSVA is to exhaust all reasonable and available alternative checking avenues. The assessing officer is to document the alternative measures undertaken. For examples of alternate checks refer to Gold standard for identity verification and C.

The AGSVA is to interview all clearance subjects identified as having uncheckable backgrounds. The interview is not a substitute for the mandatory background checks, but can be used to corroborate information collected from other sources or to address any remaining doubts or concerns.

19 The AGSVA is to exhaust all reasonable and available overseas checking avenues before assessing the clearance subject’s background checking status. Overseas checking sources that may corroborate information provided in the clearance subject’s completed security pack and during interview include, but are not limited to:

 government agencies and bodies  academic institutions  local police records if available (obtained through liaison with the Australian Federal Police (AFP))  humanitarian and aid agencies that maintain records for displaced persons  places of worship which often maintain birth, death and marriage information in lieu of government records, and  private companies with whom the clearance subject has been employed. Immigration records may be a useful source for corroborating some information regarding the identity and background of non-Australian born citizens. However, checks made under the Migration Act 1958 to assess a clearance subject’s suitability to hold Australian citizenship are different from those required for assessing suitability to hold a security clearance. Therefore, the AGSVA cannot use citizenship or residency status as a substitute for minimum checks and inquiries.

Assessing officers are to document thoroughly the means by which suitability standards are satisfied in cases where a security clearance is granted to an individual with an otherwise uncheckable background.

2.2. Gaps Anomalies and Discrepancies (GADs)

Documents required for security clearances AGSVA is to sight copies of documents as listed in Attachment G.

AGSVA is to record the documents or certified copies as sighted (see Attachment A). Once details are cross referenced with the information in the Personal Particulars Form (PPF) and other clearance pack documents the assessing officer is to return original documents to the clearance subject. The AGSVA may return or destroy copies of documents.

GADs checking GADs checking refers to checking and cross referencing supporting documents and information provided by clearance subjects in their personal particulars forms (PPF) for consistency.

Assessing officers should:

 ensure that all documents requiring signature and witnessing have been signed and that signatures and date of signature match  ensure that all documents requiring certification have been acceptably certified (refer to section 2, Attachment A: Appropriate document certification)  confirm addresses and dates of residence with supporting documents

20  confirm employment and dates employed with supporting documents  confirm identity details in PPF are consistent with the birth certificate, marriage certificate, passport and any other identity documents provided  check that appropriate referees and their contact details have been listed where applicable. Relatives should not be accepted as referees, and  check the financial declaration for completeness (if applicable). It is also recommended that assessing officers complete a checklist as they work through the GADs check to ensure that all supporting documents to cover the checking period have been supplied. (See B: Example clearance checklist.)

Where the assessing officer makes changes to documents provided by the clearance subject he or she should clearly mark, initial and date the documents as ‘changes effected from information provided by the clearance subject’.

Statutory Declarations in lieu of documents The clearance subject may provide Statutory Declarations in lieu of some supporting documents if it is not possible, or reasonable within operational time restraints, to obtain copies from the issuing authority.

Statutory Declarations should not be accepted for:

 primary identification documents issued by an Australian authority  primary identification documents issued by a foreign authority where it is possible to obtain the documents. (The AGSVA may accept a Statutory Declaration in lieu of the documents where a considerable delay is expected, on the proviso that the clearance subject will provide the documents once received. The assessing officer should recommend the clearance on the condition the documents are provided within a reasonable time. The assessing officer should include a date in the recommendation)  proof of current employment, or  proof of current residential address. If a Statutory Declaration is provided in lieu of any primary identification from a foreign authority refer to paragraph 2.1: Confirm the clearance subject has a checkable background.

Where the clearance subject has taken all reasonable measures to source the documents, he or she may provide a Statutory Declaration for other supporting documents such as:

 proof of previous residential addresses, and  proof of previous employment. A Statutory Declaration provided in lieu of supporting documents should state:

 that the clearance subject does not have possession of the document(s)  the reason(s) she/he is unable to provide the document(s)

21  that every effort has been made to find the document(s), and  that, if found, the document(s) will be provided to the AGSVA. Refer to information on the Attorney-General’s Department website on Statutory Declaration for further advice. The website also includes links to the Statutory Declarations Act 1959 and Statutory Declarations Regulations 1993.

The assessing officer should check that:

 the witness is an authorised witness in accordance with the legislation  the declaration was signed and witnessed on the same day  if the text of the declaration goes over more than one page then all pages are initialled at the bottom by both the signatory and the witness, and  if corrections are made they are ruled out (no white-out is to be used) and all corrections initialled by both the signatory and the witness. The AGSVA is to return the Statutory Declaration to the clearance subject if these conditions are not met.

Refer to D for information on translation of documents that are not in English.

Verification of documents The assessing officer should be satisfied the copies of supporting documents provided by the clearance subject have not been altered, particularly primary identification documents. If there are concerns the assessing officer should request the originals, or new original documents if the original has been altered.

The Australian Federal Police Forensic Document Examination Team can provide advice on verification and authenticity, contactable at [email protected].

Is the assessing officer satisfied that information provided by the clearance subject in the PPF is consistent with supporting documents? If yes, go to section 3.

If not the assessing officer is to return the documents to the clearance subject to be completed, or request additional documents.

Request additional information from the clearance subject Refer to AGSVA’s policies on the timeframe for return of additional GADs and emailing sensitive personal information. It is recommended that the timeframe for return of GADs be two weeks.

The assessing officer should:

 conduct a thorough assessment for GADs on the entire security package before she/he makes any contact with the clearance subject. It is advisable that assessing officers only approach the clearance subject once on outstanding GADs

22  make initial contact with a clearance subject by telephone where practicable. The assessing officer should: - introduce him or herself - state the purpose of the call - explain the GADs that have been found, and - arrange for the clearance subject to forward the required information  confirm the telephone discussion with a follow up email. The ensuing email should not ask for specific details. It is recommended that assessing officers keep email requests for information general with no specific details of the information being sought so as to minimise the risk of identify fraud. If an assessing officer is unable to make contact with a clearance subject by telephone, she/he may send an email stating there is further information and/or documents required. The assessing officer should ask the clearance subject to make contact by telephone to discuss the details.

It is acceptable for a clearance subject to submit the additional information by email if he or she is comfortable with that approach. However, it is should be the choice of the clearance subject to do so and the assessing officer should not insist on this.

Is the additional GADs information provided? If yes, go to section 3.

If no, refer to AGSVAs policy on cancellation of clearances – go to section 7

ATTACHMENTS

A Evidence of Australian citizenship for security clearances

B Example of clearance checklist

C Alternative proof of identity documents

D Translations

E Example Financial Declaration

F Example of Financial Statement

G Documents, checks and inquiries required for security clearances

23 Attachment A Evidence of Australian citizenship for security clearances Australian citizenship is a condition of eligibility for security clearances, unless this requirement has been waived by the agency head.

The Australian Government Security Vetting Agency (AGSVA) is required to verify Australian citizenship as part of the vetting process unless the sponsoring agency head has granted a citizenship waiver.

Australian citizenship is also generally a requirement for employment in the Australian Public Service. For further information on conditions of engagement refer to the APSC publication: Citizenship in the Australian Public Service

Background Most people born in Australia prior to 20 August 1986 are Australian citizens by birth unless one parent was a foreign diplomat. For people born prior to this date, an Australian birth certificate can be taken as evidence of Australian citizenship.

People born in Australia on or after 20 August 1986 are Australian citizens only if one parent was an Australian citizen or permanent resident of Australia at the time of birth. Children born in Australia whose parents are not permanent residents of Australia or Australian citizens automatically become Australian citizens on their 10th birthday if they have been ordinarily resident in Australia for the period of 10 years since their birth. See the Australian Citizenship Act 2007.

Documents that can be taken as evidence of Australian citizenship for persons born on or after 20 August 1986 are:

 an Australian passport that was issued on or after 1 January 2000 for a period of at least two years  an Australian Citizenship Certificate, or  a Certificate of evidence of Australian citizenship issued by the Department of Immigration and Citizenship (DIAC).

How do you confirm Australian citizenship If the clearance subject was born in Australia on or after 20 August 1986 and does not provide one of the above, he or she is required to provide evidence of Australian citizenship by the following:

 Australian Birth Certificate, and  one of: - proof of one parent’s Australian citizenship at the time of the clearance subject’s birth (ie Australian Birth Certificate, an Australian Passport that was issued for a period of at least two years on or after 20 August 1986 and prior to the birth of the clearance subject; or Certificate of Australian Citizenship issued prior to the clearance subject’s birth), or

24 - proof of one parent’s permanent residence in Australia at the time of the clearance subject’s birth (ie a passport showing a permanent entry stamp into Australia prior to the time of birth). See PSPF – Personnel Security – Personnel Security Practitioners Guidelines - Attachment A to section 2 – Evidence of Australian citizenship for security clearances: What documents do you have to provide as evidence of Australian citizenship.

If the clearance subject was born in Australia on or after 20 August 1986, and has lived in Australia for at least 10 years from birth and cannot otherwise prove citizenship, he or she is to contact DIAC to obtain a Certificate of evidence of Australian citizenship. AGSVA cannot grant a security clearance until a certified copy of the certificate is provided.

Despite holding evidence of Australian citizenship, the clearance subject may have ceased to be an Australian citizen because he or she acquired the citizenship of another country prior to 4 April 2002 or renounced his or her Australian citizenship.

DIAC is the agency responsible for determining a person’s Australian citizenship status. AGSVA should contact DIAC if there is any doubt about Australian citizenship status. Further information is available at www.citizenship.gov.au.

25 What documents do you have to provide as evidence of Australian citizenship?

No Birth Certificate Were you born in Australia? PLUS Certificate of Australian Citizenship Yes

Were you born after No 20 August 1986 Australian Birth Certificate

Australian Birth Certificate

An Australian Passport issued on or after 1 Jan 2000 for a period of at least PLUS two years

OR Certificate of Australian Citizenship

OR Certificate of evidence of Australian citizenship

OR Proof of one parent’s Australian citizenship at the time of your birth

One parent’s Australian Birth Certificate

OR One parent’s Australian Passport 1

OR One parent’s Australian Citizenship Certificate issued before your birth

OR Proof of one parent’s Australian permanent residence at the time of your birth

One parent’s Passport showing a permanent entry stamp

If you cannot otherwise confirm Australian citizenship contact the Department of Immigration and Citizenship to obtain evidence of Australian Citizenship. Contact the Citizenship Information Line on 131 880, or www.citizenship.gov.au

1. An Australian Passport that that was issued to your parent, for a period of at least two years, on or after 20 August 1986 and prior to your birth.

26 Attachment B Example clearance checklist

Clearance Date pack ICT system Updated subject’s name received:

Checkability Clearance Level 5 years 10 years 15 years Period

Agency AO’s Name specific Yes No requirements

QA AO’s name Urgent Yes No

Documents Folio Correct/ Period Certificate No. QA Comments/ assessing No(s complete covered officer’s initials ) Yes No Yes No / NA Request form

Previous PPF

Birth certificate

Change of name

Citizenship

Passport

Driver’s licence

Marriage

Divorce

Academic (if required)

Military record

Employment

Address(es)

27 Forms Folio Correct/ Period Q Comments No(s complete covered A ) Yes No/N Yes No A PPF

Financial Declaration

Financial Statement

Statutory Declaration

Official Secrecy

General Consent

Referee list

AFP consent forms

Schedule of Requirements

Checks

DIAC entry/exit

AFP PRC

Reports

Dual Citizenship Report

Supervisor Reports (last 12 months)

Referee Reports

SAI Report & Aide- Memoire

Interview for cause

28 Attachment C Alternate proof of identity documents The following information may be used by clearance subjects if any information identified on the consent form is unavailable.

Other primary evidence

 other international travel documents with the same characteristics as a passport. Other secondary evidence

 confirmation from a financial institution eg bank, building society, credit union or similar registered organisation that the signatory is a known customer of at least 12 months.  written references signed by an “acceptable” referee confirming the identity of the clearance subject. Refer to AUSTRAC Information Circular No. 4.  a statement or form endorsed by community elders, elected members of Aboriginal or Torres Strait regional or land councils/commissions, or staff members of local land councils confirming the identity of the clearance subject as an Aboriginal or Torres Strait Islander. This document needs to include all names by which the clearance subject has been known. Other documents

The name and address of the clearance subject verified by:

 a document held by a cash dealer/other financial body giving security over the clearance subject’s property  a current employer within the last two years  a rating authority  the Credit Reference Association, and/or  land titles record office. Supporting documents

 inclusion of the name, address and telephone number in the telephone book and confirmation call and/or  marriage certificate. Name of clearance subject verified from:

 credit card (1 only)  council rates notice  telephone account  foreign driver’s licence and/or  Medicare card.

29 Name and address verified by:

 notification from the Australian Electoral Commission confirming inclusion on the electoral roll  a statement from the manager of accommodation rented by the clearance subject  records from a public utility  records of another financial body used by the clearance subject  other records under law  records of educational organisation(s) attended by clearance subject in last 10 years, and/or  trade or professional association records.

30 Attachment D Translations The clearance subject is to seek translations if personal documents are in a language other than English, from a translator accredited by the National Accreditation Authority for Translators and Interpreters (NAATI) or approved by the AGSVA.

Translations of documents into English are to be provided where:

 the assessing officer cannot translate the document and is unable to obtain the necessary information from the document, or  where the original document is unreadable, where the language does not share common words with English, or is not well known outside the country of origin. In these cases, the clearance subject is to provide a certified true copy of the original document and a certified true copy of the translation.

Exceptions can be made where the document provides information in English as well as in the foreign language, or where the necessary information can be identified by the AGSVA.

Some foreign government agencies will provide a translation of an original official document eg Birth Certificate, Marriage Certificate etc, or a dual language original. The AGSVA should accept certified copies of these translated or dual language documents.

31 Attachment E Example Financial Declaration Family name Given names

Determination of financial probity is an essential element of the security vetting process. Experience has shown that unserviceable debts or obligations, or other financial difficulty can increase a person’s vulnerability to coercion or temptation. A favourable assessment of your financial status is therefore essential to your prospective (or continued) access to classified information, valuable assets, or to a specified secure area. So AGSVA can undertake an assessment of your financial status you need to fill in the attached financial questionnaire. We do not wish to, or need to, acquire more detail about your financial affairs except where doubts or questions arise in the course of the examination of the questionnaire. If this does happen you may be asked to: (a) provide further details (e.g. statements of income and expenditure, assets and liabilities); and/or

(b) sign a release form authorising AGSVA to conduct enquiries with financial institutions (e.g. banks, building societies) and others with whom you have financial dealings. Some questions in the financial questionnaire refer to a partner, which could include your spouse (including a de facto or like relationship), other relative, business associate or any other person with whom you share financial arrangements and/or responsibilities. Please provide amounts for all loans, mortgages or credit cards, etc., including instalments, etc. The provision of complete details will minimise the need for follow-up enquiries. Please complete and return this form as soon as possible to minimise the time needed to process your clearance. No enquiries will be made without your written consent and all information provided will be held in the strictest confidence and used only for the purposes stated. If there is not enough space to answer any of the questions completely, please indicate this and continue your answers on separate sheets.

1 Please indicate the average annual income after tax of you and any partner over the last three years.

2 Please provide the sources from which that income arises:

32 3 Please indicate the average annual expenditure of you and any partner over the last three years, taking into account social, car and living expenses, etc.

4 Please indicate your most significant current financial commitments. Examples of these could be a mortgage or loan (including interest-only loans, investment loans, overdrafts), credit card debts or store card debts. You should include all details, e.g. the loan amount, minimum repayment and actual repayment amounts, limits on credit cards, as well as the amount owed, etc.

5 Please indicate any major assets held by you and any partner and estimate the total equity you currently hold in them. Major assets include properties, cars, boats, household contents, savings, etc. Equity is the amount already repaid from a loan, mortgage, etc.

6 Have you or any partner ever been insolvent or declared Yes No bankrupt? If yes, please provide details:

7 Has any business or commercial enterprise in which you or any Yes No partner have been involved ever gone into receivership or a similar scheme or arrangement? If yes, please provide details.

33 8 Have you ever defaulted on a loan, been refused credit or had Yes No banking (including building society or credit union) facilities withdrawn or restricted? If yes, please provide details.

9 During the last ten years, have you or any partner been the Yes No subject of a court order in connection with moneys owing to another party? If yes please provide details.

10 Are there any factors which have affected your financial status? Yes No (e.g. a significant bequest or lottery win, redundancy package or, conversely, financial responsibility for the care of an invalid relative or maintenance payments.)

11 Are there any other financial circumstances which may be Yes No relevant to the assessment of your suitability for a security clearance?

12. Do you wish to discuss any aspect of this form with a Yes No representative of [agency]

34 Declaration

I declare that the information provided in this form and any attachments (which must be signed and dated) is true and correct to the best of my knowledge.

Signature Date

PLEASE ENSURE THAT YOU SIGN AND DATE THIS FORM

35 Attachment F Example Financial Statement

INCOME

Type of Income (Annual) You Partner Earnings from employment Allowance/pension Child Support received Any other income (please specify)

FINANCIAL ASSETS

Asset Value Is the asset shared with someone else? If yes, how much is your share? Savings Accounts (Bank/Credit Union/Building Society) Other Accounts (Bank/Credit Union/Building Society) Investments – Shares Investments – Other

EXPENSES

How much? Item: (Payments made by you and/or your partner) HOME EXPENSES Mortgage repayments Rent Rates and body corporate fees Home and contents insurance Household repairs and maintenance Electricity Gas Telephone

36 How much? Item: (Payments made by you and/or your partner) Any other expenses related to your home FOOD AND GROCERIES Groceries (including: cleaning products, toiletries and supermarket items) Pet Food Any other payment concerning food (including take-away) TRANSPORT Car repayments Car insurance and registration Fuel Parking Public transport Any other transport costs HEALTH AND MEDICAL Doctors Chemist Dentist Optical Health Insurance Sport / activities Special needs (eg disability related expenses) Any other payments concerning health CHILDREN AND EDUCATION Child care School uniforms School expenses e.g. fees, excursions, books Financial support for children living away from home Any other expenses relating to children Education (for yourself or partner) PERSONAL Clothing Cigarettes Alcohol Entertainment costs (e.g. hobbies, events and outings, club memberships)

37 How much? Item: (Payments made by you and/or your partner) Gambling Gifts and donations Union fees Any other personal expenses (e.g. haircuts) FINANCIAL ASSISTANCE OR CARE YOU PROVIDE TO OTHER PEOPLE

Costs of care (eg for frail parent or adult with disability, include activities, respite etc) Please give details

Other financial assistance(eg assurance of support to new migrants or guaranteeing a loan) Please give details

OTHER DEBTS Centrelink repayments Credit cards Fines Tax debts Child support payments Store accounts / Lay-By Personal loans (including from friends and family) Hire (eg whitegoods / household items) Other debt repayments Are there any other costs or expenses which you have not already included? Please give details

ASSET STATEMENT

Item Value Do you own the Do you have a asset with mortgage or loan someone else? If over the asset? If so, how much is so, how much is your share? left to pay off?

38 House / land Car / caravan / boat Other (please specify)

39 Attachment G Documents, checks and inquiries required for security clearances

Documents required

Document Purpose Comment and further action by assessing officer Full birth A prime means to identify clearance applicant If full birth certificate not available, the following are acceptable: certificate that:  extract or notarised record of birth  provides citizenship details  certificate of adoption  provides birth dates and birth places of  statutory declaration clearance subject  other documents such as religious records (especially for overseas births) in  can provide birth dates, birth places and conjunction with the statutory declaration occupation of parents Formally check with relevant Registrar of Births Deaths and Marriages if there are concerns. Deed poll A legal document that: Formally check with appropriate Registrar of Titles Office if there are concerns.  advises a formal change of name  states the previous name and the current name Citizenship Document confirms citizenship and the date Formally check with the Department of Immigration and Citizenship if there are certificate and location of the grant of citizenship concerns. Certificate of evidence of Australian Citizenship

40 Document Purpose Comment and further action by assessing officer Marriage or Marriage certificate provides details of spouse Applicant does not need to provide other evidence of previous marriages if he/she divorce and witnesses, location of nuptials (helps to provides divorce papers (decree nisi or decree absolute). Where a marriage certificates corroborate other information). certificate is not available (e.g. some countries do not issue them) a person who Divorce certificate (decree nisi or decree witnessed the marriage may sign a statutory declaration. absolute) to corroborate other information - Formally check with: required for each divorce.  the relevant Registrar of Births Deaths and Marriages if there are concerns about Marriage certificate, and  the Family Court of Australia or the relevant overseas issuing authority if there are concerns about the divorce papers. Travel or Examination of the passports may help identify For concerns about authenticity of passports formally contact: residency citizenship of, residence in, or visits to foreign  DFAT Passports Fraud Section for Australian passports, or documents countries.  DIAC for concerns about fraudulent or incomplete contents for foreign passports Provide copies of cover pages and any long term residency visas Current Helps corroborate the clearance subject’s Required for police check driver’s licence identity, as well as evidence of current, and possibly previous, residential addresses.

41 Document Purpose Comment and further action by assessing officer Evidence of Establishing the current and previous Cross check information about the clearance subject against a number of sources current residential addresses will assist in further such as telephone directories and electoral rolls. residential corroborating his or her identity. Proof of the clearance subject’s current and previous residential addresses is address evidenced by any one, or a combination, of a number of items such as:  utilities and telephone bills  rental agreements  land titles, and  personal documentation such as driver’s licences. If personal documents provided for establishing identity are also sufficient evidence of the clearance subject’s current residential address, additional documents are not required. Educational Courses taking during the required checking For concerns about academic qualifications, formally contact the appropriate documentation period can help when cross-referencing past educational facility. and present addresses, periods of unemployment and overseas travel Evidence of If previous employer checks are not possible, Assessing officers must by law obliterate tax file numbers on the PSF copy. previous employment documentation will assist in Assessing officer is to check with the clearance subject whether such inquiries employment corroborating employment history (eg, pay could jeopardise current employment or, in the case of overseas inquiries, be slips, group certificates). Employment history detrimental to the well being of the clearance subject or the clearance subject’s may corroborate personal information, family. The AGSVA or exempt agency is to evaluate the information provided by including, for example, qualifications and travel the clearance subject on this question and consider the balance between the history. interest of the clearance subject and the need for the agency to conduct meaningful inquiries.

42 Document Purpose Comment and further action by assessing officer Discharge Provides details about the clearance subject’s Formally contact the appropriate military service if there are concerns about the certificate or service in the armed forces – helps check document provided. military service identity and confirm employment. record Recent To corroborate the validity of identity photograph documents that contains photographic identification of the clearance subject, and to assist identify applicant to referees

43 Checks and inquiries

Check Purpose Other comment Bankruptcy Provides insight into the clearance Assessing officers are to make inquiries in writing to checks subject’s financial history or current the Insolvency and Trustee Service Australia or credit situation reference agencies such as Veda Advantage, and Dun and Bradstreet Police records Corroborates claims made by clearance Applicants to complete Consent to Obtain Personal checks subject concerning criminal history Information or Police Record Check form. Obtain from the Criminal History Unit of the AFP or CRIMTRAC ASIO security Assesses clearance applicant in relation assessment to national security matters, as defined in Part IV of the ASIO Act 1979 Workplace and Corroborate information provided by personal the clearance subject. referees Comment on the honesty, trustworthiness, maturity, tolerance and loyalty of the clearance subject. Clearance Clarifies any information provided by AGSVA or exempt agency is to conduct interviews subject the clearance subject or obtained for: interviews through inquiries.  Negative Vetting Level 2 clearances Resolves any doubts and anomalies  uncheckable backgrounds that emerge as a result of inquiries.  other levels of security clearance where the Examines areas of potential personal assessing officer has any concern or need to vulnerability. resolve any discrepancies or anomalies (known Helps evaluate the clearance subject’s as interviews for cause) character, values, loyalty and attitudes  reviews for cause in so far as they are relevant to security.

44 3 Internal and External Checks

3.2 Seek reports from Clearance pack 3.1 Analysis of PPF and 3.3 Supplementary 3.4 Conduct an interview supervisors and referees processing financial declaration. checks where where appropriate. where appropriate. complete appropriate.

(Section 2).

3.5 PRCs. 3.6 solvency check 3.7 DIAC Australian where appropriate. entry/exit check where appropriate.

3.8 ASIO checks for all DSAP clearances.

Make recommendation

(Section 4 or 7).

45 3. Internal and external checks

Assessing officers should consider the factor areas identified in the PSPF – Personnel Security - Adjudicative Guidelines when assessing the results of any checks. A summary of checks is at A.

3.1. Analysis of personal information Where the assessing officer identifies concerns an interview for cause may be warranted. An interview for cause asks questions relating to the specific area of concern, refer to paragraph 3.5: Interview for cause.

An interview for cause may take the form of a telephone call or if there are significant concerns then a face-to-face interview. Any interview for cause is to be documented on the PSF. (See paragraph 3.4)

PPF Consider:

 Overseas influences – Was the clearance subject born in another country or does she/he have family members or friends in other countries that may exert influence on the clearance subject? Alternatively can the foreign country use the clearance subject’s family or friends to influence the clearance subject?  Does the clearance subject have any outstanding military obligations to his/her country of origin? – Some countries have compulsory military service for all citizens. If the clearance subject has left the country before she/he had undertaken the service she/he may be required to undertake the service, or be jailed for avoidance, if she/he returns to the country of origin.  Does the clearance subject hold dual citizenship? – The clearance subject may have conflicting loyalty issues. The assessing officer should request the reasons for holding dual citizenship. Some countries do not allow citizenship to be renounced if born in the country and the clearance subject may not be aware of his/her dual citizenship or subsequent obligations if she/he came to Australia as a minor.  Family/relationship circumstances – A person who has a number of partners may have issues with maturity, reliability and/or tolerance. If a clearance subject has had a number of partners in the checking period or there are any concerns about these relationships, the assessing officer should request additional information from the clearance subject.  Clubs – Membership of sporting and/or community clubs is not normally a concern if used for social purposes. However, membership of a large number of clubs with gambling facilities may indicate a potential gambling problem.  Associations – The assessing officer should confirm the purpose of associations with the clearance subject if the assessing officer is unsure, for example: - membership of some religious, left wing or right wing associations may make the clearance subject susceptible to undue influence, and

46 - some associations, particularly religious associations, may impose considerable financial costs on the clearance subject and these should be considered when assessing the clearance subject’s financial position. See PSPF – Personnel Security - Adjudicative Guidelines sections A and B.

Financial position Consider:

 living beyond means, ie income versus expenditure  any unexplained income  bankruptcy, and  any history of debt default. See PSPF – Personnel Security - Adjudicative Guidelines section C.

If supplementary checks are required, see paragraph 3.6

Security incident and breach history The assessing officer should contact the clearance subject’s current and past agencies, if appropriate, to confirm whether the clearance subject has any security infringements or breaches. The assessing officer should request any infringement or breach history from the agency if not previously supplied.

If the clearance subject has a history of security incidents or breaches she/he may have a disregard for security and his/her commitment to protecting classified material in his/her care may be questionable.

Before contacting current private employers the assessing officer should confirm with the clearance subject that they can be contacted. Contacting some organisations may put the clearance subject’s current employment at risk.

Are there any inconsistencies in relation to residential addresses and employment addresses? The clearance subject’s residential addresses and employment addresses should be compared. If there are any inconsistencies the assessing officer should contact the clearance subject for further information. Things to look for include periods of residency in:

 one country while working in another, and  one town while working in another that is some distance away. In some instances the clearance subject may maintain a permanent residential address but work away from home. The assessing officer should identify any temporary residential addresses during these periods.

An example of a comparison table is at Attachment A.

Are there any issues arising from the GADs? See paragraph 3.3.

47 Internal Checks

3.2. Seek reports from supervisor or workplace referees, and personal referees where appropriate. The assessing officer should confirm with the clearance subject that current supervisors or workplace referees can be contacted. Contacting referees in some private organisations may put current employment at risk.

Personal referees should cover the whole assessment period. If the clearance subject’s current supervisor has been supervising for less than three months then the previous supervisor(s) should also be contacted.

It is recommended that the assessing officer conduct referee reports verbally, by phone or, for complex issues, face-to-face where practicable. If a situation arises where this is not practical a written referee assessment may be conducted. As it is more difficult to gauge potential areas of concern from the way answers are provided using written reports, the written report form should be detailed and address all the factor areas identified in the Adjudicative Guidelines.

The assessing officer should substantiate any information provided by referees to avoid possible conflict with the clearance subject over the accuracy of information. The information can be substantiated by contacting additional referees or carrying out other supplementary checks.

The assessing officer should establish the nature of the referee’s relationship with the clearance subject and the length of time he or she has known the subject at the beginning of the referee interview.

The assessing officer should avoid seeking a referee report from family members. Referees should have known the clearance subject for a minimum of three months.

The assessing officer should advise all referees of the purpose for the referee’s report and who can access the information provided in accordance with IPP 2. It is recommended the AGSVA advises referees that the information provided may be passed to other Government agencies if/when the clearance subject changes employment to an exempt agency.

The assessing officer should advise the referees that the information will be treated in confidence. However, if there is a request for review of a clearance process, or a freedom of information request, the information may be provided to the clearance subject.

Are there unresolved issues regarding current or previous employment? If yes the assessing officer should seek supervisor’s or workplace referee’s report(s).

Assessing officers should make contact with the clearance subject’s most recent significant supervisor. Where the most recent supervisor cannot be contacted, then a previous supervisor or alternate workplace referee may be contacted. If current workplace referees are contacted it is recommended that they be at or above the current level of the clearance subject, not subordinates.

Supervisor or workplace referee reports should include information on the clearance subject’s:

48  relationship with the supervisor and how long the clearance subject has been supervised by the referee  reasons for leaving the workplace (if applicable)  attitudes to security in the workplace  personality and behaviour in the workplace  any security breaches, and  honesty, trustworthiness, loyalty, maturity and tolerance in the workplace. Assessing officers should ask supervisors whether they recommend the clearance subject as a suitable person to hold a security clearance and provide reasons for their recommendation. If the recommendation is negative the assessing officer should gather as much detail as possible from the supervisor to assist in substantiation with other referees or supplementary checks.

Referee checks For Baseline Vetting at least one professional referee should provide a report.

For Negative Vetting Level 1 security clearances a minimum of two referees including one professional referee should provide reports, and for Negative Vetting Level 2 security clearances a minimum of three referees including at least one professional referee should provide reports.

Supervisors or workplace referees can provide personal referees’ reports if the factor areas below are covered. In addition they can provide input on the clearance subject’s attitude to security in the workplace (see above).

Personal referees’ reports should include information on the clearance subjects:

 honesty  trustworthiness  maturity  tolerance  loyalty, and  the factor areas identified in the Adjudicative Guidelines. Referees can corroborate information provided by clearance subject such as current and previous addresses, current and previous employment, overseas travel, financial status, and use of alcohol or drugs.

The assessing officer should follow up with appropriate questions where the referee implies or directly states the clearance subject is unsuitable to establish an understanding of the issues. The assessing officer should confirm with the referee if he or she can be contacted again to resolve any security concerns that may arise.

Confirm accuracy of the referee’s interview report At the completion of the referee’s interview it is recommended that the assessing officer provide the referee with a written transcript of the report so the referee can confirm its accuracy. The copy may

49 be provided to the referee by email. If this is not possible the assessing officer may read back the written report to the referee and receive verbal confirmation of its accuracy. The referee’s confirmation should be noted on the report. (Refer to the Office of the Australian Information Commissioner - IPP 8.)

3.3. Conduct supplementary checks where appropriate Refer to AGSVA policies on what supplementary checks may be required and when they should be carried out.

Assessing officers should undertake all practicable supplementary checks required to resolve any issues identified in the clearance process. (Checks that are routinely carried out by the sponsoring agency as a result of a policy decision are referred to as agency specific character checks.)

If issues are not resolved the assessing officer is not to recommend the clearance.

The following are some available supplementary checks but it is not an exhaustive list.

Medical checks See PSPF – Personnel Security - Adjudicative Guidelines section G: Mental health issues and section D: Alcohol and drug usage.

The AGSVA should seek the sponsoring agency agreement prior to undertaking any medical checks as these will incur significant additional costs.

The assessing officer should only carry out supplementary medical or mental health checks where there is a health concern identified in the clearance process that may impact on the clearance subject’s suitability to access classified material. Where concerns are raised advice should be sought from a qualified medical practitioner prior to undertaking checks.

A general consent form is not sufficient for the release of medical information. Any request is to:

 identify the specific issue(s) of concern to the medical practitioner  why the issue(s) is/are of concern in relation to the security clearance process, and  what information is required. The AGSVA can only request supplementary medical checks if it has the written approval of the clearance subject for the medical practitioner to release information relating to the issue. Further information can be found at Australian Medical Associations webpage: AMA Questions and Answers.

If the clearance subject refuses to give his/her approval for the check his/her clearance is not to be granted if the area of concern cannot otherwise be mitigated.

Psychological checks Refer to AGSVA’s policy on psychological testing. This testing should only occur where the AGSVA identifies issues relating to the clearance subject’s ability to protect classified information or resources. Mental illness is in most cases unrelated to the clearance subject’s ability to protect classified information or resources.

50 The AGSVA should seek the sponsoring agency agreement prior to undertaking any psychological checks as these will incur significant additional costs.

If an assessing officer has identified concerns over the clearance subject’s mental ability to protect classified material then additional psychological checks may be warranted. If the clearance subject is currently, or has previously been, under treatment for a mental condition then a request to the practitioner for information, similar to a medical check, can be made. See Medical checks.

It may be appropriate for an AGSVA to appoint an independent practitioner if the clearance subject does not have his/her own practitioner, or if the concern is unrelated to current/previous treatment. The AGSVA should brief the practitioner of the assessing officer’s concerns and the requirements for the protection of classified information.

If the clearance subject refuses to give his/her approval for the check with his or her own practitioner, or refuses to attend an evaluation with an appointed psychologist, the AGSVA is not to grant his or her clearance if the area of concern cannot otherwise be mitigated.

Financial checks See paragraph 3.6.

Qualification checks AGSVA should verify qualifications if the verification is not part of the agency’s pre-employment checks.

The assessing officer may make inquiries in writing to educational institutions if there is doubt over the validity of a clearance subject’s education qualifications.

Employment details Subject to agreement from the clearance subject, the assessing officer may contact current or past employers to confirm employment during periods where proof of employment is not available.

It may not be possible to verify short periods of employment. The assessing officer should consider whether the periods of employment are significant to the ‘whole of person’ assessment of the clearance subject prior to making any recommendation on an uncheckable background.

Electoral roll checks The AGSVA may be able to use electoral rolls to confirm current and previous addresses.

White pages checks The AGSVA may be able to use the white pages to confirm a current address. Addresses for mobile numbers are not readily verifiable.

Interviews for cause The assessing officer should carry out an interview for cause for all levels of clearance where there are specific areas of concern identified in the internal or external checks that have not been adequately resolved by supplementary checks. Interviews for cause should address the specific areas of concern and any other areas of concern that may be identified in the interview.

51 The assessing officer may carry out interviews for cause for minor issues by telephone; however, it is recommended that interviews for cause for significant or complex issues be conducted face-to-face with the clearance subject.

The assessing officer should, if possible, carry out one interview for cause to resolve all issues identified.

The assessing officer is to document all interviews for cause on the PSF.

Refer to Cfor the conduct of a face-to-face interview.

3.4. Conduct an interview where appropriate Clearance interviews are mandatory for all Negative Vetting Level 2 clearances. This interview should address all factor areas as well as any specific areas of concern.

Review PSF The assessing officer should review the PSF prior to any interview to identify any factor areas that may be of particular concern.

Preparing for the interview See C- Interview advice.

External Checks It is better practice to carry out external checks once internal checks, except for the clearance interview, are complete. Due to the time required for the external checks this is not always possible. It is strongly recommended that all checks other than the ASIO check be completed before conducting a clearance interview.

The assessing officer is to raise any concerns identified in external checks in the interview if not resolved through supplementary checks.

3.5. Police Records Checks (PRCs)

Australian PRCs The Australian Federal Police (AFP) or CrimTrac carries out Australian PRCs in accordance with the Spent Convictions Scheme. The scheme allows the clearance subject to not declare spent convictions unless there is an exclusion granted.

Level of PRC A ‘Full Exclusion’ PRC is to be sought for all new Negative Vetting Level 1 and 2 clearances or revalidations where a full exclusion PRC is not on the PSF. Clearance subjects are to detail all convictions they have ever received as well as any cases currently waiting or before the courts.

For Baseline Vetting clearances and revalidations a ‘No Exclusion’ is to be sought. The clearance subject is to declare all offences for the previous 10 years, or five years for people under the age of 18, and any other convictions where there is less than a 10 year gap, or five years for minors,

52 between the last declared offence and the older offence, (ie there is to be a period of greater than 10 years, or five years for people under the age of 18, without conviction before offences are spent).

Assessing officers should be aware of sponsoring agencies that may have ‘Partial or Full Exclusions’ under the agency’s legislation. Where the sponsoring agency undertakes a Partial or Full Exclusion PRC this is an agency specific character check. However, the sponsoring agency may, with the clearance subject’s approval, provide a copy of a ‘Nil Report’ result in lieu of a ‘No Exclusion’ PRC in the clearance process to reduce unnecessary extra work.

PRCs from other countries Refer to AGSVA policy on when to request a PRC from another country. It may not be worthwhile to undertake checks for short periods outside Australia at the beginning of the checking period.

The assessing officer may seek a PRC from another country when the clearance subject has spent a considerable portion of the checking period outside Australia holidaying in one country, or has lived outside Australia.

In some countries the accuracy of a PRC is questionable. In such circumstances it may be possible to verify the clearance subject’s honesty and reliability through additional referee checks.

For details of overseas police contacts see the DIAC advice: Character Requirements and Penal Clearance Certificates

Action if a conviction is recorded The AGSVA is to conduct an interview for cause when a PRC is returned with a conviction(s) recorded and the conviction(s) was/were not disclosed. There may have been an honest mistake if the conviction was near the beginning of the checking period or due to confusion over which convictions should be declared under the Spent Conviction Scheme.

Convictions not declared that are closer to the current date should raise concerns over the clearance subject’s honesty.

On occasion, the AFP or CrimTrac may provide incorrect responses due to multiple people with the same name, or a similar name, and the same date of birth. The assessing officer should confirm the details of any results with the clearance subject prior to questioning his or her integrity. Another PRC may be required if there are discrepancies.

3.6. Solvency check where appropriate It is recommended that assessing officers undertake specialist training, or seek specialist advice before undertaking financial analysis.

Refer to AGSVA’s policy relating to when supplementary solvency checks are warranted.

Bankruptcy checks A bankruptcy check is mandatory for Negative Vetting level 2 clearances. The assessing officer is to request checks in writing through the Insolvency and Trustee Service Australia (ITSA).

53 The assessing officer may request a bankruptcy check from the ITSA if there are concerns about the clearance subject’s finances at other clearance levels.

Credit history checks If a clearance subject has a history of loan defaults or a questionable financial history the assessing officer may seek a credit history check.

A number of private organisations can provide credit checks on a fee for service basis such as Veda Advantage, and Dun and Bradstreet.

Supplementary solvency checks Where the assessing officer identifies significant concerns about a clearance subject’s financial history, particularly unexplained affluence, then additional checks may be warranted. Such checks should be determined on a case by case basis but may include bank account records analysis.

3.7. DIAC Australian entry/exit (movement records) check where appropriate When the assessing officer identifies a need to verify the entry to or exit from Australia by a clearance subject DIAC can provide a movement record of all entries and exits from Australia. For further information see:

Movement Records or by emailing [email protected]

3.8. ASIO checks for all negative vetted level 1 and 2 security clearances ASIO assessments provide a recommendation to the AGSVA on the suitability of the clearance subject to access security classified information. The assessment is not a recommendation to grant a clearance – that remains the responsibility of the AGSVA delegate. Prior to making a recommendation the assessing officer is to take into consideration any issues arising out of the internal and external checks, including the ASIO check.

In conducting a security assessment, ASIO takes into account matters such as the activities, associates, attitudes and character of the clearance subject, as these relate to ‘security’ as defined in the Australian Security Intelligence Organisation Act 1979.

It is recommended that the assessing officer request ASIO checks after all internal and external checks are finalised, although due to time constraints this is not always possible.

The AGSVA is to inform ASIO of any issues of security significance or suitability relating to the clearance subject. The assessing officer should not request an ASIO assessment, or should cancel an existing ASIO assessment, if issues sufficient to warrant a recommendation to not grant a clearance arise.

If the clearance subject is not an Australian citizen, the assessing officer should attach a copy of the eligibility waiver to the request to ASIO.

54 Requesting an ASIO assessment AGSVA may request assessments for security clearances from ASIO. State and Territory agencies' requests for assessments will be coordinated by the Head of their First Minister's Department and/or the Commissioner of Police or their delegates, in accordance with the Memorandum of Understanding for the Protection of National Security Information, which was signed in April 2007. State and Territory requests for ASIO assessments are to be submitted through a sponsoring Commonwealth agency.

Requests to ASIO from exempt agencies should include a completed ‘Request for Security Assessment’ form and a copy of the completed PPF. AGSVA will lodge electronic requests which include an electronic PPF. If the AGSVA or exempt agency holds, or subsequently receives, any other information, including interview reports, which may have a bearing on the security assessment this should be included with the request, or if subsequently received forwarded, to ASIO.

ASIO will return an endorsed copy of the request form to the exempt agencies but will not return any other documents. Original documents should not be sent to ASIO except in exceptional circumstances. These cases should always be discussed with ASIO before original documents are dispatched.

ASIO will not assess incomplete forms – the PPF is to be completed in full before being submitted for ASIO assessment.

ASIO has developed the following guidelines for accepting paper PPFs from exempt agencies that are dependent on when the PPF was certified as completed:

 if forms are less than six months old: ASIO will proceed as per usual with any forms which are six months old or less when received by ASIO  if forms are between six and 12 months old: ASIO will proceed with the assessment provided the AGSVA has contacted the subject to confirm no details have changed.7 Contact with the subject for this information should be noted on the form whether or not there are any amendments. The assessing officer should date any annotations for changes of circumstances or the notification that there are no changes, or  if forms are over 12 months old: The clearance subject should complete a new PPF. ASIO will only accept forms over 12 months old in exceptional circumstances. In these cases, the assessing officer should contact ASIO prior to sending the forms. ASIO will not provide assessments for access to security classified information from PPFs that do not meet these criteria.

Requesting priority handling for an ASIO check Urgent priority requests are processed by ASIO ahead of all routine requests for an ASIO assessment. Requests for priority handling are to include a brief description of the circumstances that make the case urgent and the date by which a response is required.

AGSVA should only request urgent handling in circumstances where there is a critical requirement for rapid resolution of the security clearance. Examples of such circumstances may include, but are not limited to, short-notice security clearances for:

55  overseas postings or deployments, or  involvement in counter-terrorism court cases. Requests for urgent priority assessments on the basis of the age of the case, requirement of position or other non time-specific issues will not be given urgent status unless there are exceptional circumstances. ASIO should be contacted to discuss these cases prior to sending assessment requests.

ASIO response ASIO will provide one of three responses in accordance with the ASIO Act, Part IV:

 Non prejudicial, where ASIO will inform the agency that ASIO does not object to a person having access;  Qualified, where ASIO will inform the agency that ASIO does not object to a person having access, but that ASIO does have information relevant to security that the agency should be aware of; and  Adverse, where ASIO recommends that a person’s access be limited or restricted in some way or that the person not be granted access, and ASIO will provide the reasons why. AGSVA should consider ASIO’s recommendation in conjunction with other information presented in the clearance process before making a recommendation to a delegate. If no other prejudicial information is available then it may be appropriate to recommend a clearance with specific aftercare arrangements to monitor and minimise the risk.

Requesting a re-assessment An ASIO re-assessment is required upon revalidation of Negative Vetting Level 1 or 2 clearances.

Additionally, if the clearance subject has previously undergone an ASIO assessment AGSVA should seek another assessment when the clearance subject has had a significant change of circumstance, including but not limited to a significant change in personal circumstance that may have a bearing on the clearance subject’s security assessment. See PSPF – Personnel Security - Changes of personal circumstances guidelines.

If an assessing officer, after speaking with his or her supervisor, is in doubt over the requirement for a re-assessment he or she may email the query to [email protected].

A new ASIO assessment is required for all upgrades of clearances, ie:

 Baseline to Negative Vetting Level 1 or 2  Baseline or Negative Vetting Level 1 to Negative Vetting Level 2, or  any upgrade to Positive Vetting. Requests for a re-assessment from exempt agencies should have a completed ‘Review of Security Assessment’ form and a copy of the completed current PPF attached. The current PPF is to be completed in full (a change of circumstances form and a previous PPF is not sufficient). The guidelines above regarding the age of a PPF apply. Any other information that is relevant to security should also be included. AGSVA is to electronically lodge an updated PPF.

56 The indicative ‘Request for Security Assessment’ (D) and ‘Review of Security Assessment’ (E) forms provide examples of the information ASIO requires. ASIO will accept forms with alternate formatting, provided the same data is included and the form occupies a single page.

Make a recommendation for a clearance go to section 4, or

Make a recommendation against a clearance go to section 7.

Attachments:

A Personnel security checks for initial clearances

B Residential address and employment history comparison

C How to conduct Security Clearance Interview

D Indicative ASIO request cover sheet

E Indicative ASIO review cover sheet

57 Attachment A Personnel security checks for initial clearances

Background investigation Whole of life checks as determined by the Inter- Security Interview Agency Security Forum Financial Statement3

Bankruptcy Check

Suitability assessment

Financial Declaration2 Financial Declaration2

Suitability Screening Questionnaire Suitability Screening Questionnaire

ASIO Assessment ASIO Assessment

Qualification Verification1 Qualification Verification1 Qualification Verification1 Referee Check (Professional) 4 2 Referee Checks (including one (1) 3 Referee Checks (including one (1) Professional) 4 Professional) 4 Police Records Check Police Records Check (Full Exclusion) Police Records Check (Full Exclusion) 5 year Background Check 10 year Background Check 10 year Background Check Identity Check (Gold Standard) Identity Check (Gold Standard) Identity Check (Gold Standard) Baseline Vetting Negative Vetting Level 1 : Negative Vetting Level 2: Positive vetting See SAI Global - AS4811:2006 Designated Security Assessment Positions 1 Qualification verification is required where questions or concerns arise. Qualifications checks should be part of an agency employment screening process where qualifications are claimed and/or mandatory. 2 Financial declaration – a declaration by the clearance subject that he or she does not have any financial concerns, see Example Financial Declaration. 3 Financial statement – detailed summary of the clearance subject’s assets, income and expenditure, see Example Financial Statement. 4 Referee’s checks are to cover the whole checking period, Professional checks are to cover at least the preceding 3 months.

58 Attachment B Residential address and employment history comparison

Assessing officers should look for periods of employment where the employment address is significantly different to the declared residential periods for that period of employment. These differences should be queried with the clearance subject and file notes inserted in the PSF explaining the circumstances. In some instances the clearance subject may maintain a permanent residential address but work away from home. The assessing officer should identify the temporary residential addresses during these periods.

Name: ……………………………..………. Clearance Level……………………….……………

Address History YEA Employment History R

JAN JAN

FEB FEB

MA R MAR

AP R APR

MA Y MAY

JU NE JUNE

JUL Y JULY

AU G AUG

SEP T SEPT

OC OCT T

59 Address History YEA Employment History R

NO V NOV

DE C DEC

JAN JAN

FEB FEB

MA R MAR

AP R APR

MA Y MAY

JU NE JUNE

JUL Y JULY

AU G AUG

SEP T SEPT

OC T OCT

NO V NOV

DE C DEC

JAN JAN

FEB FEB

MA MAR R

AP R APR

MA Y MAY

JU NE JUNE

JUL Y JULY

AU G AUG

SEP T SEPT

OC T OCT

NO V NOV

DE C DEC

JAN JAN

FEB FEB

MA R MAR

AP R APR

MA Y MAY

JU NE JUNE

JUL Y JULY

AU AUG

SEP T SEPT

OC T OCT

NO V NOV

DE C DEC

JAN JAN

FEB FEB

MA R MAR

AP R APR

MA Y MAY

JU NE JUNE

JUL Y JULY

AU G AUG

SEP T SEPT

OC T OCT

NO NOV V

DE C DEC

JAN JAN

FEB FEB

MA R MAR

AP R APR

MA Y MAY

JU NE JUNE

JUL Y JULY

AU G AUG

SEP T SEPT

OC T OCT

NO V NOV

DE C DEC

JAN JAN

FEB FEB

MA R MAR

AP APR R

MA Y MAY

JU NE JUNE

JUL Y JULY

AU G AUG

SEP T SEPT

OC T OCT

NO V NOV

DE C DEC

JAN JAN

FEB FEB

MA R MAR

AP R APR

MA Y MAY

JU NE JUNE

JUL Y JULY

AU G AUG

SEP SEPT

OC T OCT

NO V NOV

DE C DEC

JAN JAN

FEB FEB

MA R MAR

AP R APR

MA Y MAY

JU NE JUNE

JUL Y JULY

AU G AUG

SEP T SEPT

OC T OCT

NO V NOV

DE C DEC

JAN JAN

FEB FEB

MA R MAR

AP R APR

MA Y MAY

JU NE JUNE

JUL Y JULY

AU G AUG

SEP T SEPT

OC T OCT

NO V NOV

DE C DEC

JAN JAN

FEB FEB

MA R MAR

AP R APR

MA MAY Y

JU NE JUNE

JUL Y JULY

AU G AUG

SEP T SEPT

OC T OCT

NO V NOV

DE C DEC

67 Attachment C How to conduct security clearance interview

Overview AGSVA is to conduct interviews for Negative Vetting Level 2 security clearances and uncheckable backgrounds. For other levels of security clearance where the assessing officer has any concern or need to resolve any discrepancies or anomalies, the assessing officer should conduct an interview. These are 'interviews for cause'.

The AGSVA should not deny a security clearance based solely on the unavailability of documents. The exception to this is when the clearance subject refuses to provide the required documents.

Most security interviews are conducted to assist the assessing officer in evaluating the subject’s suitability to be granted a security clearance.

The purpose of the interview is to:

 clarify any information provided by the clearance subject or obtained through inquiries  resolve any doubts and anomalies that emerged as a result of inquiries  examine areas of potential personal vulnerability, and  help evaluate the clearance subject’s character, values, loyalty and attitudes in so far as they are relevant to security.

Preparation The assessing officer should conduct clearance subject interviews in person. This first-hand experience with the clearance subject is often very useful when making an overall evaluation of the clearance subject.

In preparing for an interview the assessing officer may make use of a variety of interviewing tools and techniques including various guides/aides memoire, conversation management and behavioural interviewing techniques. The assessing officer is responsible for determining the most appropriate interviewing method.

The assessing officer should gather the information to use in the interview:

 read the clearance subject’s PSF to become familiar with the clearance subject. Identify any GADs for investigation in the interview  consider any known history of security incidents plus the clearance subject’s general attitudes to the requirements of security policy and procedures. While a small number of incidents may be of no concern, any substantial history of security infringements/breaches or a fundamental disagreement with security policies or practices could lead to doubts about the clearance subject’s suitability to hold a security clearance  separate any forms or documents in the clearance subject’s PSF for use in the interview from any third party information. Assessing officers are not to disclose any third party information, in accordance with the IPPs found in the Privacy Act, and

68  prepare an aide memoire (template or questions) adding any relevant information in factor areas. (HINT: Jot in the names of family members to assist to establish rapport) and remove questions that are not relevant for this clearance subject.

Arranging the interview When contacting the clearance subject to arrange a time and place for the interview the assessing officer is to advise the clearance subject of the reason for, and the in-confidence nature of, the interview.

The assessing officer should inform the clearance subject he or she may be accompanied during the interview process. In some cases the clearance subject may need an interpreter or require some other form of assistance or support from another person. In these cases, another Australian Government officer should accompany the assessing officer. This is to counter any later retractions or accusations by the clearance subject of falsehood or improper conduct, supported by the person accompanying the clearance subject.

Prior to the interview It is recommended that he assessing officer:

 arrive at the interview venue with plenty of time to spare  prepare the furniture to best suit his or her style of interviewing. For clearance interviews, the most common and highly effective seating arrangement is sitting at 10 and two o’clock. This allows the assessing officer to sit comfortably in a non-confrontational position and still have a good view of the clearance subject’s body language  ensure the clearance subject has access to water and tissues  remove clocks from the room as they can be distracting  remove/disable telephones  place a sign on door so colleagues will not interrupt the interview  ensure a comfortable temperature in the room, and  where the AGSVA’s records the interview set up and check the recording device before the clearance subject arrives (have backup tapes/disc/memory cards /batteries etc).

Arrival of the clearance subject It is recommended that prior to commencing the interview the assessing officer confirms whether the clearance subject:

 has the morning/afternoon completely free  has turned off any telephone/ Blackberry/iPod etc., and/or  needs to pay for additional parking. The assessing officer should:

 remind the clearance subject that at any stage he or she can take a break in the interview to get a drink, or use the bathroom facilities

69  advise the clearance subject that it is in his or her best interest to be completely honest  advise the reason for, and the in-confidence nature of, the interview  advise the areas the assessing officer will be covering during the interview including that his or her attitude (manner, demeanour, expressions, and candour) will be of relevance to the assessment.  advise the clearance subject if the interview is being recorded, and  remind the clearance subject of his or her rights and responsibilities regarding the security clearance process. After completing the interview, the assessing officer should inform the clearance subject that she/he will be advised in writing of the outcome, and the rights of review (if the security clearance is denied).

Conducting the interview As the process is intrusive, the assessing officer should:

 conduct the interview in a professional, mature and objective manner and be able to demonstrate a direct link between questions posed and security issues if required  leave biases outside the interview room  be receptive and respectful  react to the information provided by the clearance subject professionally and in a manner that encourages further engagement and communication  not judge a clearance subject on personal morals or values. Assessing officers are to base their assessment only on factor area analysis and suitability indicators  create and maintain a positive rapport with the clearance subject throughout the interview process  watch out for unconscious, non-verbal reactions  remain flexible with questioning. While the assessing officer may access an aide memoire, he or she is to have skills in questioning techniques, and be able to investigate further if there is reason for concern  maintain accurate records of all conversations and interviews by: - recording any conversation or interview and maintain transcripts of the recording, or - making a written record of the conversation. The assessing officer is to retain the transcripts of the conversation or interview on the clearance subject’s PSF. In the event that a clearance subject challenges an adverse finding, the accuracy of records will be critical  provide copies of either recordings or transcripts to the clearance subject if requested (the assessing officer is to inform the clearance subject that this option is available), and  keep the lines of communication open at the end of the interview.

70 Conducting a security clearance interview via video link If conducting a security clearance interview via video link the assessing officer should prepare for and conduct the interview as for a face-to-face interview.

There are a few additional things to consider:

 the facilities should be in a quiet space and afford a reasonable amount of privacy  test the equipment prior to the interview beginning, and  any possible time zone differences.

Conducting a security clearance interview via telephone Conducting a security clearance interview via telephone should be used only where the interview cannot possibly be done in person or via video link.

If conducting a security clearance interview via telephone the assessing officer should prepare for and conduct the interview as for a face-to-face interview.

There are a few additional things to consider:

 different strategies will be needed to build rapport with the clearance subject  the facilities should be in a quiet space and afford a reasonable amount of privacy  any possible time zone differences, and  unconscious and non-verbal reactions cannot be used to assist in detecting when the clearance subject may be uncomfortable, nervous, lying, etc.

71 Attachment D Indicative ASIO assessment request Request for Security Assessment Agency: AGSVA The Secretary PO Box 2176 Return Address: Canberra ACT 2601

Applicant Details Surname Given Names Applicant Surname Applicant Given Name(s) A security assessment is required for the applicant, who is: the current occupant of a position OR the preferred candidate for Temporary employment

Appointment Promotion/Transfer

to a position approved by the Head of Agency as a designated security assessment position

OR A contractor/consultant requiring a security clearance

The clearance proposed is: Negative Vetting Level 1 Negative Vetting Level 2 The following are the details of the designated security assessment position Designation Section/Branch/Division

TitleDetails of position of secure area Detail work area/agency

If applicable,Circumstances causingdetail a consultant/contractorof secure area towhich have access applicant is required to access

If applicable,The Commonwealth detail Government of the Agency circumstances sponsoring this clearance under is: which access is required for a consultant/contractor AGSVA

Attachments Personal Particulars Form AND Information, including interview OR No information which may

reports, which may have a bearing have a bearing on this on this security assessment security assessment is held by this agency

I certify the details above and in the attached form have been checked and are believed to be accurate.

...... Printed name of designated officer Date Signature of designated officer Contact phone number AND email

ASIO USE ONLY Designated Officer It is not desired to recommend against the grant of security clearance for the access proposed

...... Director General of Security

72 Attachment E Indicative ASIO review request Review of Security Assessment

The Secretary Agency: AGSVA PO Box 2176 Canberra ACT 2601 Return Address:

Applicant Details

Surname Given Names Applicant Surname Applicant Given Name(s) The applicant, who occupies a designated security assessment position, is the subject of an agency review for access to proposed level of clearance

The person was granted a security clearance for access to current level of clearance by under reference dated sponsoring agency number date of issue

The reason(s) for this request are: Marriage/Personal relationship Access to information of a higher classification Information which may have a bearing on the person’s security assessment has been obtained

Detail: ...... Clearance granted by another agency does not meet this agency’s needs and additional information is available

Detail: ...... The Commonwealth Government Agency sponsoring this clearance is:

Name of agency

Attachments Personal Particulars Form AND Information, including interview OR No information which may

reports, which may have a bearing have a bearing on this on this security assessment security assessment is held by this agency I certify the details above and in the attached form have been checked and are believed to be accurate.

...... Printed name of designated officer Date Signature of designated officer Contact phone number AND email ASIO USE ONLY Designated Officer It is not desired to recommend against the grant of security clearance for the access proposed

...... Director General of Security

73 4. Recommendation to the Delegate for a clearance at the requested level

Checks complete 4.1 Meeting the 4.2 Make a decision on 4.5 Pass to Delegate 4.4 Quality assurance (Section 3). principles of the recommendation. for decision. of PSF. procedural fairness. for clearance

4.3 Is aftercare recommended? Delegate’s decision

(section 5).

74 4. Recommendation to the Delegate for a clearance at the requested level

4.1. Meeting the principles of procedural fairness (natural justice) See PSPF – Personnel Security - Procedural Fairness Guidelines

If an issue relating to procedural fairness arises involving an outsourced vetting provider, AGSVA should consider whether the outsourced vetting provider’s assessing officer is able to manage the issue or the AGSVA’s personnel security manager should handle the matter.

Where the AGSVA applies the principles of procedural fairness in an administrative process there is a reduced likelihood of requests for review or appeal, and if appealed it is less likely a decision will be declared flawed and a new clearance process ordered.

If the assessing officer recommends against the approval of a clearance as applied for, or the approval of a clearance with any specific aftercare requirements, the clearance subject is to be given a chance to put his/her case forward before the final recommendation is made.

No adverse decision on a recommendation should be made without additional checks and/or a clearance subject interview and, if applicable, referee interview(s).

Any information the assessing officer uses to make a decision should be substantiated, particularly when the information is from a referee where there is the possibility of personal conflict or bias.

The assessing officer is to provide the clearance with any concerns in writing and be the clearance subject is to be given a reasonable period (normally two weeks from the date of advice) to respond to the concerns before a final recommendation is made.

The clearance subject’s response is to be provided to the delegate so she/he may make an informed decision based on all the material available.

4.2. Make a recommendation The assessing officer should review the PSF as a whole prior to making a recommendation. Assessing officers should ensure that all issues have been identified, and all possible areas of concern have been mitigated. If questions still remain supplementary checks should be undertaken.

The AGSVA is to resolve any doubts over the clearance subject’s suitability to access security classified information or resources in the national interest.

Where the clearance subject does not meet the standards required for the level of clearance applied for, but is suitable for a lower clearance level the assessing officer may recommend a clearance at the lower level.

An assessing officer may recommend to:

 grant the clearance at the level applied for  grant the clearance at the level applied for with specific aftercare provisions  grant the clearance at a lower level (see section 7)

75  grant the clearance at a lower level with specific aftercare provisions (see section 7), or  not grant the clearance (see section 7).

Recommendation letter The letter of recommendation should include:

 any gaps in the checking period where supporting documents were not available  how the gaps have been covered/mitigated and any supplementary checks undertaken to clarify the gaps  any anomalies or issues identified  how those anomalies and issues have been mitigated and any supplementary checks undertaken in relation to the anomalies or issues  any issues or anomalies that could not be mitigated after supplementary checks, and  any recommended aftercare provisions with their justification relating to the previous points. It is not necessary to list all checks undertaken if these are normally a part of the clearance process and no issues were identified. (The clearance checklist will identify these checks.)

If the clearance is recommended at a lower level or not recommended go to section 7.

4.3. Is specific aftercare recommended? If no, go to paragraph 4.4.

In certain instances it may be appropriate for the assessing officer to recommend specific aftercare provisions when recommending a clearance. This may include, but is not limited to:

 provision of missing documents that due to delays could not be included in a reasonable period and are covered by a Statutory Declaration  undertaking additional checks where there have been minor incident(s) in the checking period and confirmation that the incident(s) are isolated events  additional financial checks where there is a concern that the clearance subject may be vulnerable to coercion or blackmail due to financial hardship; or has displayed difficulty or a reluctance to service debt (see paragraph 4.1)  additional medical checks where there is concern over possible drug or alcohol abuse  additional or ongoing medical checks where there is concern about health issues that may affect the clearance subject’s suitability to access classified material, and/or  more regular revalidations than the Personnel Security Protocol requires for the level of clearance.

4.4. Quality assurance of the PSF It is better practice that another assessing officer review the completed PSF prior to being forwarded to the Delegate. This is to ensure that all issues have been identified and any mitigation taken into account.

A senior assessing officer should review all complex cases.

76 If the assessing officer reviewing the PSF is unsure of the reasons for a decision or feels the process is incomplete the PSF should be returned to the original assessing officer to address the concerns before passing the PSF to the Delegate.

4.5. Pass to Delegate for decision The assessing officer is to remove any information not relevant to the clearance from the PSF prior to passing the PSF to the Delegate (refer to the Office of the Australian Information Commissioner - IPP 7). This includes but is not limited to any convictions on old PRCs that are now spent and the clearance applied for is not at Negative Vetting Levels 1 or 2.

The Delegate is to make the administrative decision in regard to the granting, withholding or otherwise varying the clearance. As an administrative decision made under the authority of the AGSVA head, the decision is to be formally recorded in case of subsequent requests for review. The Administrative Decisions (Judicial Review) Act 1977 s13(1) provides that a person may request an administrative decision maker to produce a statement setting out the findings on material questions of fact, referring to the evidence or other material on which those finding were based and giving reasons for the decision.

The Delegate should be provided with an ‘Instrument of Approval’ form for the clearance. It is recommended that the instrument include a summary of the recommendations from the assessing officer and separate area for the Delegate’s approval.

This will allow the provision of the instrument to exempt agencies as a means of verifying the validity of the clearances and any conditions, aftercare requirements or waivers that apply to it. It the AGSVA decides not to include the summary of recommendation in the Instrument a copy of the recommendation letter to the Delegate may be provided (see section 11).

The area for the Delegate’s approval should be left blank so that the Delegate feels free to make a decision based on his or her assessment of the information contained within the PSF. An example of an ‘Instrument of Approval’ is at A.

Attachments A Example ‘Instrument of Approval’

77 Attachment A Example ‘Instrument of Approval’ Personal Security File Reference: ______

RECOMMENDATION

Approval is recommended for Mr/s to be granted a security clearance at: Baseline vetting Negative vetting level 1 Negative vetting level 2 Subject to the following specific aftercare provisions: The assessment is subject to the following eligibility waivers:

Recommending Officer:

______/____/____ Signature Date (Assessing Officer’s name) Assessing Officer (AGSVA/providers name)

INSTRUMENT OF APPROVAL

Mr/s is granted a security clearance at: Baseline vetting Negative vetting level 1 Negative vetting level 2 Subject to the following specific aftercare provisions: ______The security clearance is subject to the following eligibility waivers: ______

Authorised Officer:

______/____/____ Signature Date Name: ______Title: ______

78 5. Delegate’s decision where the clearance is recommended This section provides an overview of the Delegate’s process so that assessing officers can advise Delegates if required.

5.1 Does the 5.2 Is the 5.4 Is approval Yes Clearance is Delegate approve Yes approval at a conditional on No recommended of a clearance lower level than aftercare? (Section 4) being granted? recommended?

Yes No No

5.3 Update PSF to include decision and 5.5 Was aftercare Denial of Delegate’s reasons. Yes clearance recommended?

(Section 9)

5.6 Update PSF to include decision and Delegate’s reasons

Advise applicant and Agency

(Section 7) 79 5. Delegate’s decision where the clearance is recommended

This section provides an overview of the Delegate’s process so that assessing officers can advise Delegates if required.

Delegates should refer to the AGSVA’s policies on granting clearances and procedural fairness.

Delegates should refer to the Adjudicative Guidelines when reviewing a PSF before making a decision on granting a clearance.

The Delegate is to meet the requirements of procedural fairness, in particular the hearing rule referred to in the PSPF – Personnel Security - Procedural Fairness Guidelines if the Delegate decides to make a determination that is lower than what is recommended.

It is recommended that if the Delegate is not satisfied that all issues raised in the clearance process have been addressed the Delegate return the clearance to the assessing officer for further action.

On occasion the Delegate may be in possession of relevant additional information that is not contained in the PSF and was not made available to the assessing officer during the clearance assessment. In such cases the additional information should be provided to the assessing officer and the assessing officer should re-evaluate the clearance subject’s suitability to be granted a clearance taking into consideration the additional information and the information already contained in the PSF to reach a ‘whole-person’ decision. It is recommended that the Delegate be replaced in cases where the original Delegate had additional information about the clearance subject (see Bias Rule in the PSPF – Personnel Security - Procedural Fairness Guidelines).

5.1. Does the Delegate approve of a clearance being granted? The Delegate may refuse to grant a clearance at any level if he or she considers the clearance subject is not suitable to be given access to classified material.

If yes, go to paragraph 5.2.

If no, go to section 9.

5.2. Is the approval at a lower level than recommended? If no, go to paragraph 5.4.

If the Delegate does not agree with the recommendation for a clearance she/he may approve the clearance at the lower level for which the Delegate believes the clearance subject meets the minimum requirements.

5.3. Update the PSF to include the decision to grant a clearance at a lower level and the Delegate’s reasons As the Delegate’s decision may be subject to review, it is important that any reasons for a variation to the recommendation be clearly recorded on the PSF along with the actions taken by the Delegate to give the clearance subject procedural fairness.

The Delegate may provide the information on actions she/he has taken verbally to the AGSVA’s personnel security manager. If so the personnel security manager is to document the action and

80 update the PSF. It is recommended that any information written up and added to the PSF by the personnel security manager be agreed to and countersigned by the Delegate.

5.4. Is approval of the clearance conditional on aftercare? If no, go to section 6.

The Delegate may grant a security clearance which is subject to aftercare provisions where he or she believes that unresolved concerns about the clearance subject’s suitability can be mitigated by the aftercare provisions.

The aftercare provisions may be in addition to any recommendation made by the assessing officer.

5.5. Update the PSF to include the decision for aftercare and the Delegate’s reasons The Delegate’s reasons for making a decision other than that recommended by the assessing officer is to be recorded on the PSF as a clearance subject is more likely to request a review where aftercare is required or the clearance level requested was not granted.

The Delegate is to give the clearance subject procedural fairness in all decisions (see paragraph 5.3).

81 6. Advise clearance subject and agency of clearance

6.1 Is approval 6.2 Is approval Delegate grants of clearance at No conditional on No 6.3 Letter to clearance clearance (Section a lower level? specific subject advising of 5) aftercare? outcome and review process.

Yes Yes 6.4 Advise agency of Letter to clearance Send grant letter to outcome subject advising of clearance subject lower level grant and specifying aftercare review process. and review process.

Aftercare

(section 10).

82 6. Advise clearance subject and agency of clearance

Refer to AGSVA’s policy on which sponsoring agency representative should be advised when a security clearance is granted. It is recommended that the person making the request for clearance and/or the agency security section be informed when a clearance is granted. In most instances a copy of the grant letter is sufficient.

Clearance grant letter requirements Any clearance grant letter is to include:

 the level of the clearance  the grant date  any eligibility waiver granted in the clearance process and any restrictions that are placed on the clearance subject’s access relating to the waiver  any specific aftercare provisions imposed as part of granting of the clearance  the date for revalidation  a security briefing if the clearance subject has not already undergone training or been provided with a briefing as part of the clearance process, and  details on review processes (particularly if the clearance is granted at a lower level or with aftercare provisions).

6.1. Is approval of the clearance at a lower level? If no, go to paragraph 6.2.

Letter to clearance subject advising of lower level grant and review process See Clearance grant letter requirements.

Refer to AGSVA’s policy on procedures for advising clearance subjects of clearance denials and the internal review processes. AGSVA should seek legal advice on the review and appeals processes that are open to an aggrieved clearance subject prior to giving advice on avenues for review or appeal.

As the decision to grant a clearance at a level below than requested may have implications for the clearance subject’s suitability for employment these decisions may be subject to requests for review.

The AGSVA should advise the clearance subject in writing as soon as possible of the outcome of the clearance process. The letter should also clearly identify the specific reasons for the clearance being granted at a different level to that requested.

The AGSVA is to include details on the review process open to the clearance subject in the grant letter. As the reasons for not issuing a clearance at a particular level and the review process will vary on a case by case basis it is not normally possible to have a template letter.

It is recommended that AGSVA include details of an AGSVA equity contact in the letter so the clearance subject can discuss his/her options before formally lodging an intent to request a review.

83 6.2. Is approval conditional on specific aftercare provisions? If no, go to paragraph 6.4.

Letter to clearance subject specifying aftercare and review process See Clearance grant letter requirements.

While the decision is to grant the clearance as requested, any aftercare provisions may have implications for the clearance subject’s confirmation of employment and these decisions may be subject to requests for review.

The AGSVA is to detail the specific aftercare provisions and how they are to be met in the grant letter. The AGSVA is to also provide the specific reasons for the aftercare and any review processes open to the clearance subject in the letter.

6.3. Is the clearance granted as requested? See Clearance grant letter requirements.

As the clearance is being granted at the level requested without conditions there is little likelihood of the clearance subject wishing to request a review. However, the option is still available to the clearance subject as she/he may not be happy with the way the clearance process was carried out.

It is recommended that AGSVA provide details in the grant letter of an AGSVA contact that the clearance subject can call to discuss any grievances.

6.4. Advise the clearance subject’s agency of the outcome of the clearance The AGSVA is to advise the sponsoring agency’s security section of the clearance outcome.

The AGSVA should only advise of any specific aftercare provisions if it is necessary for the management of the aftercare provisions or may have an impact on the clearance subject’s ability to perform his or her duties (refer to the Office of the Australian Information Commissioner - IPP 10).

When the clearance is granted without specific aftercare provisions, or where the agency is required to monitor the aftercare provisions the AGSVA may consider it to be appropriate to send the sponsoring agency a copy of the grant letter.

84 7. Recommendation to the Delegate against a clearance or granting a clearance at a lower level

7.2 Make a Internal and 7.1 Meet principles of recommendation external checks procedural fairness against granting the 7.5 Quality assurance 7.6 Pass to Delegate for complete (Section clearance of PSF decision 3).

7.3 Make a recommendation to Delegate’s decision grant the clearance at a (Section 8) lower level with specific aftercare

7.4 Make a recommendation to grant the clearance at a lower level without specific aftercare

85 7. Recommendation to the Delegate against a clearance or granting a clearance at a lower level

The assessing officer’s decision should be based on whether the clearance subject meets the minimum standards required for a clearance and the clearance subject’s whole-person assessment taking into consideration all issues and mitigating factors in the PSPF – Personnel Security - Adjudicative Guidelines.

The assessing officer is to resolve any issues in the national interest.

When the assessing officer does not consider the clearance subject should be granted a clearance at the level requested the assessing officer may recommend that a clearance subject:

 not be granted a clearance at any level  be granted a clearance at a lower level than requested with specific aftercare provisions, or  be granted a clearance at a lower level without specific aftercare provisions. The assessing officer should advise the sponsoring agency’s agency security adviser of the recommendation for all clearances processes where Provisional Access has been approved and for revalidations of existing clearances so that any access to security classified information or resources by the clearance subject can be withdrawn or closely monitored until the Delegate makes his or her decision.

7.1. Meet principles of procedural fairness Refer to AGSVA’s policy on procedural fairness.

It is recommended that the AGSVA personnel security manager review compliance with procedural fairness. See paragraph 4.1 and PSPF – Personnel Security - Procedural Fairness Guidelines.

The AGSVA should not make an adverse decision on a recommendation without supplementary checks and/or a clearance subject interview and, if applicable, referees’ reports.

7.2. Make a recommendation against granting the clearance The assessing officer is to be confident that the clearance subject poses a risk to the national interest and does not met the minimum requirements for a clearance at any level.

The assessing officer is to clearly identify the areas of specific concern that have led to the recommendation to the Delegate to inform his/her decision in the letter of recommendation. The assessing officer is also to outline any other identified issues and any mitigating factors.

The assessing officer is to consider any response received from the clearance subject arguing his/her case (see paragraph 7.1) when making the recommendation.

7.3. Make a recommendation to grant the clearance at a lower level with specific aftercare The assessing officer can recommend specific aftercare provisions to address identified concerns with any recommendation to grant a clearance (see section 4.3).

86 The assessing officer can recommend a security clearance at a lower level than requested with specific aftercare provisions. Where there are no specific disqualifying concerns but the assessing officer is not satisfied that the clearance subject is suitable to be granted a clearance at the requested level, the assessing officer may recommend a clearance at a lower level with specific aftercare provisions if the assessing officer is confident that with the specific aftercare the clearance subject is suitable for a clearance at the lower level.

The assessing officer should clearly define what security classified information and resources can be accessed and how access to other information and resources should be supervised in the recommendation letter. As the concern is normally relating to a specific country of influence, or concern, the clearance subject should not be placed in a position where there can be a conflict of interest involving that country.

In some cases where aftercare is recommended the clearance subject may be suitable to access material at the level requested when he or she meets the aftercare provisions. The assessing officer should consider this when making a recommendation and if appropriate should also recommend an early revalidation at the completion of the aftercare so that access to the requested level can be reassessed.

7.4. Make a recommendation to grant the clearance at a lower level without specific aftercare The assessing officer can recommend a security clearance at a lower level than requested where the assessing officer is:

 not confident that the clearance subject meets the minimum standards for the clearance level requested, but  is confident that the clearance subject is suitable for a clearance at a lower level.

7.5. Quality assurance of the PSF Refer to paragraph 4.3.

7.6. Pass to the Delegate for a decision

Refer to paragraph 4.5.

87 8. Delegate’s decision where the clearance is not recommended

Advise clearance 8.1 Did ASIO 8.2 Advise the 8.4 Does Clearance is not No subject and make a Yes Delegate of the Delegate recommended manager that prejudicial appeals process approve (Section 5) clearance is not assessment? clearance? granted. 8.3 Advise the (Section 10) Delegate of the review No process and any Yes procedural fairness measures taken. 8.5 Ensure the Delegate documents reasons for approval.

Go to Section 6

88 8. Delegate’s decision where the clearance is not recommended

Refer to AGSVA’s policy on granting clearances.

8.1. Did ASIO make an adverse or qualified assessment? If no, go to paragraph 9.3.

Refer to the ASIO Act, Part IV, S38.

Should ASIO provide an adverse or qualified assessment in respect of a clearance subject, the Delegate should then inform the clearance subject of that assessment.

The agency should consider ASIO’s recommendation in conjunction with other information presented in the clearance process before making a recommendation to a delegate. If no other prejudicial information is available then it may be appropriate to recommend a clearance with specific aftercare arrangements to monitor and minimise the risk.

Has an Attorney-General’s Certificate been issued? Refer to the ASIO Act, Part IV, S38.

ASIO will provide direction to the Delegate, as approved by the Attorney-General’s certificate, concerning what information can be provided to the clearance subject concerning the adverse or qualified assessment.

8.2. Advise the Delegate of the appeal process Refer to paragraph 9.3 for appeals process.

The Delegate should be aware the clearance subject may appeal the assessment, or any decision made as a result of the assessment, in the Administrative Appeals Tribunal.

The Delegate should ensure the clearance subject has been:

 advised of the adverse or qualified ASIO assessment, taking into account any restrictions imposed by an Attorney-General’s Certificate, and appeals process through the Administrative Appeals Tribunal, and/or  given a chance to respond under the procedural fairness provisions to any other suitability concerns. Any response by the clearance subject should be included on the PSF.

8.3. Advise the Delegate of review process and any procedural fairness measures taken Refer to AGSVA’s policy on internal reviews of administrative decisions.

Refer to PSPF – Personnel Security - Guide to procedural fairness.

Refer to paragraph 9.2 for review processes.

8.4. Does the Delegate approve the clearance? If no, go to section 10.

89 The Delegate may approve the granting of a security clearance, either at the level requested or at another level whether the assessing officer has or has not recommended granting a clearance. This approval may or may not be subject to specific aftercare (refer to section 5).

8.5. Ensure the Delegate documents the reasons for the approval If the Delegate decides to make a decision other than that recommended, the decision and the Delegate’s reasons are to be clearly documented on the PSF in case there is a request for a review of the decision or a review of the clearance process.

Go to section 5.

90 9. Advise clearance subject and agency of outcome when clearance is denied

9.1 Advise agency to Does the Delegate does not Did ASIO 9.2 Advise clearance withdraw all access to No clearance subject grant clearance make a subject of outcome and No classified material if not request review or (Section 8). prejudicial review process. already withdrawn. assessment? appeal?

9.3 Advise clearance Yes subject of outcome and Yes appeal process. 9.4 Process review or appeal

Reassess Is review or Yes clearance go to appeal in the (Section 2). subject’s favour?

Archive PSF

(Section 11)

91 9. Advise clearance subject and sponsoring agency of outcome when clearance is denied

Refer to AGSVA’s policy on advising clearance subjects of clearance denials and internal review processes.

AGSVA should seek separate legal advice on the review and appeals processes that are open to an aggrieved clearance subject prior to giving advice on avenues for review or appeal.

9.1. Advise agency to withdraw all access to classifed material if access has not already been withdrawn The AGSVA is to advise the agency security section of the sponsoring agency of the clearance decision. The reasons why the clearance was not granted should not be provided by AGSVA to the sponsoring agency unless there are specific grounds (refer to the Office of the Australian Information Commissioner - IPP 10).

AGSVA should have previously advised that access to security classified information or resources be withdrawn when concerns about the clearance subject’s suitability to hold a clearance were identified, pending the outcome of the clearance process.

AGSVA should confirm with the sponsoring agency that access has been withdrawn.

9.2. Advise clearance subject of outcome and review process Did ASIO make a prejudicial assessment?

If yes, go to paragraph 9.3.

The AGSVA is to advise the clearance subject of the outcome of the clearance process, the reasons the clearance was not granted (eg. identity concerns, integrity issues or the presence of personal vulnerabilities) and the avenues available for review.

The AGSVA is to advise the clearance subject of the time allowed for lodging a request for review. It is recommended the clearance subject be given a reasonable period to lodge a request for review, which will vary depending on the complexity of the issues and any operational constraints within the sponsoring agency.

The avenues for review will vary depending on the status of the clearance subject:

 Internal agency review – AGSVA should advise all aggrieved clearance subjects of the option for an internal review. The clearance subject would normally be given at least two weeks from notification of the outcome to indicate he or she is requesting a review. If there are specific operational requirements this time may be varied.  Review by the Merit Protection Commissioner – this option is only available to current APS employees. Employees have up to twelve months to lodge a request for review.  Review by the Ombudsman – this option is available to contractors and their employees, and current and potential APS employees.

92  High Court of Australia or Federal Court of Australia – all administrative decisions may be reviewable by the courts. In addition the clearance subject may make a formal complaint to:

 the Privacy Commissioner if she/he feels the way information was handled breaches the Privacy Act, or  the Human Rights Commissioner if she/he feels she/he has been unfairly discriminated against.

9.3. Advise clearance subject of the clearance outcome and the appeal process of an ASIO assessment Did ASIO make a prejudicial assessment?

If no, go to 9.4.

The Delegate is to advise the clearance subject of the outcome of the clearance process and give the reasons, where possible, why ASIO gave a qualified or adverse assessment and the clearance was not granted. ASIO will provide the Delegate with the grounds for the assessment.

If an Attorney-General’s Certificate has been issued then only the grounds for the adverse or qualified assessment advised by ASIO can be notified to the clearance subject. The Delegate is not to notify the clearance subject of the existence of the Attorney-General’s Certificate.

The Delegate is to advise the clearance subject regarding their right to appeal the assessment to the AAT.

The AAT may consider a review of an adverse or qualified ASIO assessment at the clearance subject’s request. However, an ASIO assessment or the findings of an AAT review will not overrule an Delegate’s authority to grant or deny a security clearance.

Does the clearance subject request a review or an appeal?

9.4. Process the review or appeal The AGSVA is to advise the clearance subject’s agency security section if the clearance subject indicates she/he will request an appeal of an ASIO assessment or seek a review of the clearance decision.

In relation to a decision to deny a security clearance, an internal AGSVA review may:

 uphold the original decision  vary the original decision, or  declare the decision flawed and direct that a new assessing officer reassess the clearance process. An external review (see paragraph 9.2) cannot reverse a decision made by the Delegate. The external reviewing officer or agency may determine that:

93  the decision or process was flawed and direct that the clearance process be redone by another assessing officer  the decision be reviewed by another Delegate, or  the clearance be processed by an independent authority (an exempt agency). Does the review find in the clearance subject’s favour?

If yes, go to section 2.

94 10. Aftercare and revalidation

Clearance subject 10.1 Is No 10.5 On expiry, No advised of specific is the clearance (Section aftercare clearance still 6). required? required?

10.4 Advise clearance subject of outcome. Yes Yes

10.6 Revalidate 10.2 Are Yes clearance to cover aftercare period since last conditions clearance met? (from Section 1).

No 10.3 Advise agency to withdraw access. Archive PSF (Section 12). 10.7 Clearance subject or agency advises of change of personal circumstances

95 10. Aftercare and revalidation

The AGSVA has responsibility for the ongoing management of security clearances.

Sponsoring agencies have responsibility for ongoing security awareness training and advising AGSVA of any:

 significant security concerns, and  security infringements and breaches relating to a clearance holder.

10.1. Is specific aftercare required? If no, update the metadata and record the date for the next revalidation.

If yes, the AGSVA security clearance management system should be updated to include specific reminders relating to key dates and outcomes for the aftercare (the PSF metadata should also be updated if this is separate to the clearance management system).

Aftercare provisions where the clearance subject provides information The AGSVA is to provide advice to the clearance subject of the requirement to provide information relating to the aftercare provisions at the identified date(s). This advice should include:

 any documents to be completed by the clearance subject  a list of supporting documents to be provided to the clearance subject  timeframe for the return of the documents  date/time of an interview if applicable, and  outcome if the clearance subject decides not to complete the aftercare.

Requests for supervisor’s or referee’s reports The AGSVA should request any supervisor’s or referee’s reports identified as being part of the ongoing management of the clearance subject’s clearance and include a return date. It is recommended that AGSVA provide the supervisor or referee with a specific referee’s report form that addresses the identified aftercare issues only.

Outcomes of aftercare The assessing officer should make a recommendation to the Delegate based on the checks he or she has undertaken as part of the aftercare process which recommends one of the following:

 the aftercare provisions have been successfully met and the aftercare can be finalised  the aftercare should be continued or repeated, or  the aftercare conditions have not been met and access should be withdrawn subject to the completion of a full revalidation.

10.2. Are the aftercare conditions met? If no, go to paragraph 10.3.

96 The AGSVA is to update the clearance subject’s metadata to indicate successful completion of the aftercare.

Go to paragraph 10.4.

10.3. Advise agency to withdraw access The AGSVA is to advise the sponsoring agency’s security section to withdraw access to security classified information and resources in circumstances where the aftercare conditions are not met or the clearance subject decides not to undergo the aftercare, subject to the outcome of a full revalidation of the clearance subject’s suitability to access security classified information or resources.

10.4. Advise clearance subject of outcome The AGSVA is to advise the clearance subject of the outcome of the aftercare process, including any continuing conditions.

The AGSVA is to advise the clearance subject if:

 the aftercare conditions were not met, or  there are ongoing conditions approved by the Delegate that were not part of the original aftercare provisions when the clearance was granted. The AGSVA is to advise any avenues for review (see paragraph 9.4).

If aftercare conditions are not met go to section 2 and revalidate the clearance.

97 10.5. Is a revalidation required?

Revalidation minimum requirements It is recommended that AGSVA schedule revalidations to commence three months prior to the due date. This will allow for the process to be completed by the due date.

The AGSVA should contact the clearance subject’s agency prior to commencing a revalidation to determine if a clearance holder still requires a security clearance at the current or lower level.

Where the subject has left an agency, or is a contractor, and AGSVA is not certain of the clearance subject’s current sponsoring agency the AGSVA may contact the clearance subject direct to get details of his or her current employing/sponsoring agency.

If the clearance subject no longer works for a government agency as an employee or contractor then a clearance, and the revalidation, is no longer required.

When an agency advises that a clearance is required at a lower level than currently held the AGSVA may extend a clearance to the period allowed for in the table above.

10.6. Undertake revalidation A revalidation is to consist of the requirements listed in Revalidation minimum requirements.

Were there any significant changes of circumstance or any concerns raised by the:

 supervisor  PRC  for Negative Vetting Level 2 referee, and  for Negative Vetting levels 1 &2 ASIO? If no update the metadata and record the date for the next revalidation.

If yes then the assessing officer should investigate the area of concern.

10.7. Clearance holder or sponsoring agency advises of a significant change of personal circumstance, or serious security concern The clearance holder is to advise the AGSVA of any changes of circumstance or security concerns. The sponsoring agency should reinforce this requirement through the agency’s security awareness training.

If the sponsoring agency becomes aware of security concerns the agency will undertake preliminary investigation to determine the significance then advise AGSVA of any significant changes or concerns.

Agencies may seek AGSVA advice on the significance of changes and security concerns relating to clearance subjects. The AGSVA is to assess the significance of any changes notified to them and undertake a review for cause for all significant changes in circumstances.

98 Review for cause AGVSA initiates reviews for cause. A review for cause is a review of the clearance holder’s continued suitability to access classified material after a significant change of circumstance has been identified. AGSVA may undertake a review for cause as:

 a revalidation, or  an investigation into the specific area of concern. The AGSVA may also initiate a review for cause if there has been a significant security incident or multiple minor incidents involving the clearance holder.

A clearance holder’s grant letter advises him or her to notify changes in circumstance to the AGSVA. When the AGSVA assesses these changes to be significant an assessing officer will undertake a review for cause.

Before making a recommendation for continuing access or withdrawal of access the assessing officer should investigate as a specific concern any single significant change of circumstance or concern which is:

 advised to the AGSVA, or

 identified as part of a revalidation.

If the assessing officer has significant concerns and is not satisfied the clearance holder’s level of access to security classified information or resources should continue, the AGSVA is to advise the sponsoring agency to limit the clearance holder’s access until the review is complete and a decision is made.

Upgrades to clearances Apart from the revalidations required on expiry of a clearance, if the level of ongoing access changes and the clearance holder needs a higher level of security clearance the AGSVA should conduct a revalidation at the higher level.

For upgrades to Negative Vetting Level 1 and 2 clearances the total checking period is to be at least 10 years, ie the checking period covered by the initial clearance, any subsequent revalidation and the current revalidation is to be at least 10 years. If the period has already been met then the current revalidation need only cover the period since the initial clearance or last revalidation.

Upgrades of Baseline clearances to Negative Vetting clearances will need an ASIO assessment as well as a PPF that covers the 10 year checking period (see paragraph 3.8) and a Full Exclusion PRC.

A new ASIO assessment is required for all security clearance upgrades.

Go to section 2.

99 11. Personal Security File disposal

11.1 Is the Clearance no Yes 11.4 Update clearance subject 11.2 Archival action 11.3 Disposal in longer required metadata to still employed by accordance with the (Section 10) indicate the PSF an AGSVA Archives Act agency? was destroyed

11.6 Is the Update metadata 11.5 Request for clearance Yes 11.7 Provide access to 11.8 Transfer the PSF to indicate record transfer of clearance to subject still with PSF to the requesting transferred exempt agency an AGSVA agency on transfer received agency?

100 11. Personal Security File disposal

Refer to AGSVA’s policy on access to the PSFs of officers within non-exempt agencies, who still require access to classified information, by a gaining exempt agency prior to the transfer of the clearance subject. The AGSVA is to give access to the PSF to the gaining exempt agency.

Refer to AGSVA’s policy on archival of PSFs. It is recommended that if the AGSVA does not have an ongoing archival/disposal process in place the AGSVA review all PSFs that have expired at least annually and undertake disposal action accordingly.

This section refers to the National Archives of Australia - Administrative Functions Disposal Authority (AFDA) 1764-1766. The AGSVA should seek legal advice prior to disposal of PSFs for clearance holders in agencies not covered by the AFDA.

11.1. Is the clearance subject still employed by an agency covered by AGSVA? If yes, go to paragraph 11.2.

If transferring to an exempt agency go to paragraph 11.5.

If the clearance subject has left the agency for other reasons go to paragraph 11.3.

11.2. Archival action Refer to AGSVA‘s policy on archival action for PSFs of current staff or non-exempt agencies.

When a clearance holder’s clearance has expired and he or she no longer requires access to classified material then the AGSVA may dispose of the PSF in accordance with AFDA 1764-1766 issued in accordance with Archives Act s24. The AFDA allows for the disposal of PSFs at least one year after the expiry of the clearance or five years after separation from the agency, whichever is sooner.

Once a clearance subject has provided supporting documents to the AGSVA and the details recorded on the PSF, the clearance subject is not required to re-supply these documents. It is therefore recommended that the AGSVA retain PSFs of current employees or contractors until they leave the Public Service or cease to be a contractor to the Australian Government and are no longer likely to need a clearance. This will save considerable inconvenience to the clearance subject if a new security clearance is required at a later date.

Contractors’ PSFs Confirmation of contractors’ employment conditions can be difficult. It is recommended that if the AGSVA has not confirmed the contractor’s clearance requirement one year after the expiry of a clearance, the AGSVA contact the sponsoring agency to identify if the clearance is required or not.

If the sponsoring agency cannot confirm the requirement the AGSVA may confirm the requirement with the contractor. If the contractor still requires a security clearance, the AGSVA should ask the contractor for a new contact in the sponsoring agency and then confirm the requirement for a clearance with the new contact.

101 11.3. Disposal in accordance with the Archives Act The AGSVA should seek advice from its records management section when disposing of PSFs to ensure all archival requirements are met. A ‘Notification of Records Destroyed’ (NAS45 form) is to be sent to the National Archives of Australia whenever PSFs are destroyed.

All PSFs contain personal information and are to be disposed of in accordance with the Privacy Act and the PSPF – Australian Government information security core policy.

For paper records if the AGSVA uses a contracted destruction service the AGSVA should ensure all primary identification documents are removed and shredded before the PSFs leave the AGSVA. Any contracted destruction company used should be ASIO-approved.

11.4. Update metadata to indicate the PSF was destroyed The AGSVA is to update metadata relating to the PSF, and/or the AGSVAs security clearance management system, to include the date of destruction. The metadata is to be kept for at least 10 years after destruction as per the AFDA.

11.5. Request for transfer of clearance received Refer to section 11.1.

The AGSVA, exempt agencies, States and Territories may transfer PSFs to other exempt agencies, States or Territories where the clearance holder is permanently transferring to the other exempt agency or State or Territory agency and the clearance subject will require access to classified material at their new agency.

Prior to Transfer Prior to the transfer of a PSF, the agency should remove any Police Records Checks and information relating to agency specific operations or other third party information that was provided specifically to the agency with an understanding of confidentiality.

The losing agency should not remove referees’ reports relating to the clearance. The AGSVA or exempt agency should advise referees that their reports will be passed with the PSF if the clearance is transferred to another agency (see paragraph 3.3).

The physical transfer of the PSF is to be in accordance with the PSPF – Australian Government information security core policy.

Temporary transfers PSFs for current employees on temporary transfer should not be transferred unless the gaining agency requires a higher level of clearance or the clearance expires during the period of the temporary transfer. In these instances the gaining agency is responsible for the upgrade of the clearance.

The losing agency is to confirm the level of clearance held as well as any waivers or aftercare conditions on the clearance. If requested the losing agency should give access to the PSF to the gaining agency (see paragraph 11.7).

102 At the end of the temporary transfer it is recommended that the clearance subject complete a ‘General Consent’ form and the agency transfer the PSF back to the original agency.

Permanent transfers Clearance subjects are to complete a ‘General Consent’ form when moving from an agency covered by AGSVA, an exempt agency or a State or Territory to enable the transfer of their PSF to the AGSVA, or gaining exempt agency or a State or Territory.

The losing agency is to provide the clearance subject’s PSF as soon as practicable to the gaining agency. It is recommended that this occur within five working days of receipt of the ‘General Consent’ form.

Some instances where this is not practicable may include:

 the clearance subject is still employed by the agency (see paragraph 11.6)  the clearance subject is under investigation for a security breach or violation. The gaining agency should be advised and if possible be given a probable time of completion of the investigation  the clearance subject is undergoing a revalidation of his or her clearance and the clearance review is yet to be finalised. The gaining agency should be given the option of finalising the revalidation as it may need to upgrade the clearance and hence undertake a new revalidation  the clearance subject is undergoing a review for cause. The gaining agency should be advised and if possible be given a probable time of completion of the review, and  there is specific legislation that prevents the transfer of the PSF from the losing agency.

Contractors’ PSFs It is recommended that contractors’ PSFs be treated in a similar fashion to temporary transfers.

It is recommended that the AGSVA hold the PSF if the contractor requires access to more than one agency, and one agency is an agency covered by the AGSVA.

The agency holding the PSF is to confirm the level of clearance and any conditions, if requested by another agency. The agency holding the PSF should also allow access to the PSF when requested (see paragraph 11.7).

11.6. Is the clearance subject still with your agency? If no, go to paragraph 11.8.

On occasion a clearance subject may be employed by multiple agencies. This is particularly relevant to ICT contractors.

If the clearance subject is still with an agency covered by the AGSVA and continues to requires access to classified material the AGSVA should confirm the level of the clearance to the requesting exempt agency within 48 hours of receipt of a ‘General Consent’ form and advise on how the PSF may be accessed.

103 As the clearance subject has authorised the access explicitly the Privacy Act requires access to the PSF be given unless there is other legislation precluding the access.

11.7. Provide access to PSF Refer to the AGSVA’s policy on how access to PSFs of current employees will be given to exempt agencies.

The AGSVA is to allow access to the PSF by the requesting exempt agency as soon as practicable. The access could include:

 sending the PSF on condition of return if the clearance subject does not commence with the requesting exempt agency  sending a photocopy of the PSF with the original being forwarded on transfer of the clearance subject, or  allowing access to the original PSF at AGSVA’s premises prior to transfer, with the PSF being forwarded to the requesting exempt agency on transfer of the clearance subject. This option is not practical if both agencies are not closely located.

11.8. Transfer the PSF to the requesting exempt agency on transfer Within 24 hours of the request for a ‘General Consent’ form the AGSVA’s personnel security staff should:

 confirm the receipt of the ‘General Consent’ form  confirm the clearance level and any waivers or aftercare conditions relating to the clearance, and  advise when the requesting exempt agency can expect to receive the PSF. The PSF should be sent to the requesting exempt agency in reasonable time after the request, which is recommended to occur within five working days from receipt of the ‘General Consent’ form unless this is not practical (see paragraph 11.5).

Action if the PSF is lost In the event the PSF has been lost and cannot be transferred, the AGSVA should advise the requesting exempt agency as soon as the loss is identified.

The AGSVA’s personnel security section is to advise its records management section so that appropriate actions under the Archives Act and Privacy Act may be taken. It may also be appropriate to advise the AGSVA security manager so an internal investigation can be undertaken.

IPP 4 of the Privacy Act requires that agencies keep personal information secure. The AGSVA should seek advice from the Privacy Commissioner on whether to advise the clearance subject of any loss of a PSF.

11.9. Update metadata to indicate the PSF was transferred Refer to paragraph 11.4. Transfer of the PSF is a form of disposal and the requirements of the AFDA apply.

104 The AGSVA is to update metadata and AGSVA’s clearance management system to include the date of transfer and the name of the agency the PSF was transferred to.

105 Useful links

Legislation Administrative Decisions (Judicial Review) Act 1977 http://fedlaw.gov.au/comlaw/Legislation/ActCompilation1.nsf/0/BFB52FB83FDF88CACA2574F0000D 99D1?OpenDocument

Archives Act 1983 http://www.comlaw.gov.au/comlaw/Legislation/ActCompilation1.nsf/0/032100365F7BB019CA2573 6E00174A75?OpenDocument

Australian Citizenship Act 2007 http://www.comlaw.gov.au/comlaw/management.nsf/lookupindexpagesbyid/IP200614688? OpenDocument

Australian Citizenship (Transitionals and Consequentials) Act 2007 http://www.comlaw.gov.au/comlaw/Legislation/Act1.nsf/0/6268DEB029E169D6CA2572A500179573 ?OpenDocument

Australian Security Intelligence Organisation Act 1979 http://www.austlii.edu.au/au/legis/cth/consol_act/asioa1979472/

Migration Act 1958 http://www.austlii.edu.au/au/legis/cth/consol_act/ma1958118/

Migration Amendment (Employer Sanctions) Act 2007 http://www.comlaw.gov.au/ComLaw/Legislation/Act1.nsf/asmade/bytitle/EEA67B79862903A4CA25 7289001C3083?OpenDocument

Privacy Act 1988 http://www.austlii.edu.au/au/legis/cth/consol_act/pa1988108/

Public Service Act 1999 http://www.comlaw.gov.au/ComLaw/Legislation/ActCompilation1.nsf/0/8C4EC24BC05A40D1CA257 4DB000909DC/$file/PublicService1999WD02.pdf

Statutory Declarations Act 1959 http://www.austlii.edu.au/au/legis/cth/consol_act/sda1959280/

Workplace Relations Act 1996 http://www.austlii.edu.au/au/legis/cth/consol_act/wra1996220/

APSC Publications APS Values http://www.apsc.gov.au/values/index.html

APS Code of Conduct http://www.apsc.gov.au/conduct/

106 Conditions of Employment http://www.apsc.gov.au/publications04/conditions.htm

Citizenship in the Australian Public Service http://www.apsc.gov.au/publications07/citizenship.htm

Termination of employmen t http://www.apsc.gov.au/publications02/terminations.htm

Other useful links The Privacy Commission advice on the Information Privacy Principles http://www.privacy.gov.au/publications/ipps.html

Privacy Commission advice on the Spent Convictions Scheme http://www.privacy.gov.au/act/convictions/index.html

National Archives of Australia advice on metadata Finding and accessing records in your agency http://www.naa.gov.au/records-management/Access/Internal/index.aspx

Attorney-General’s Department Statutory Declaration advice http://www.ag.gov.au/statdec

DIAC advice on Visa Entitlement Verification Online (VEVO) for Organisations http://www.immi.gov.au/managing-australias-borders/compliance/info-employers/evo-orgs.htm

DIAC advice on Visas and Immigration http://www.immi.gov.au/employers

DIAC advice on movement records http://www.immi.gov.au/managing-australias-borders/border-security/systems/movement- records.htm

DIAC advice on foreign police checks Character Requirements and Penal Clearance Certificates http://www.immi.gov.au/allforms/character-requirements/character-penal.pdf

AUSTRAC advice on referees to confirm identity AUSTRAC Information Circular No. 4 http://www.austrac.gov.au/files/aic_04_acceptable_referee_categories.pdf

National Accreditation Authority for Translators and Interpreters http://www.naati.com.au/

Veda Advantage credit history checks http://www.vedaadvantage.com/home/home_default.aspx

Administrative Functions Disposal Authority http://www.naa.gov.au/Images/AFDA_tcm2-666.pdf

Archives destruction record ‘Notification of Records Destroyed’ (NAS45 form) http://www.naa.gov.au/images/nas45_tcm2-1293.pdf

Australian Medical Association question and answer webpage AMA Questions and Answers http://www.ama.com.au/node/3763

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