Final report of the Service Improvement Review of security clearance processes

Report: 6
Date: 12 May 2005
By: Commissioner

Summary

This report sets out the recommendations and improvement plans from the final report of the Service Improvement Review (SIR) of Security Clearance Processes (also known as Vetting). It outlines the key actions and financial implications of the SIR’s recommendations. Metropolitan Police Authority (MPA), Planning, Performance and Review Committee (PPRC) is invited to endorse the Report and Improvement Plan, and approve the arrangements for implementation.

A. Recommendations

That

1. the recommendations and improvement plan as set out in Appendix 1 be approved; and
2. the proposed arrangements for implementation in paragraphs 10 and 11 and Appendix 2 of this document be approved.

B. Supporting information

The review process

1. Work commenced on the SIR of Vetting in July 2004 and the Project Initiation Document was approved by the MPA PPRC at its meeting on 9 September 2004. The Management Summary of the Final Report and the Improvement Plan were discussed at the MPS Management Board meeting on 6 December 2004.

2. Fourteen recommendations have been made by the Review. Following discussion at its December 2004 meeting, Management Board asked for a further report on the proposed way forward at its March 2005 meeting. In particular, Management Board asked for further clarification around Recommendation 1 of the Review - that the long term aim for the MPS should be the amalgamation of the functions of all five vetting units into one MPS Vetting Unit, and that this unit sits within the MPS’ Directorate of Professional Standards (DPS).

3. A more recent development relating to vetting, separate to the SIR, has been the need, in the short term, to address a backlog of current vetting cases which has built up in DPS. As a result of this, some of the individual recommendations from the SIR have been, or are being, implemented as part of the work taking place within DPS (and being reported regularly to MPS Management Board) to clear this backlog.

4. Following the presentation of the follow up report to its March 2005 meeting, the MPS Management Board agreed the recommendations of the Review.

The outcome of the review

5. Vetting is a series of checks carried out when a person applies to join the MPS as an employee or a contractor (or when an existing employee applies for a post within the MPS which has a higher level of vetting clearance). The aim of carrying out the checks is to protect the MPS from persons and organisations, both internal and external, who may seek to harm it or make it vulnerable to harm through their own vulnerabilities. An ideal vetting service will balance timeliness, risk and cost. Vetting potential employees currently costs the MPS around £2 million per year.

6. This SIR was prompted by concern that the time taken to complete vetting was reducing local effectiveness waiting for new employees to join and creating costs through prospective employees taking up offers of alternative employment elsewhere. The research has identified that current problems with vetting include a failure to provide a customer-focussed service, a lack of communication, duplication of activities and particularly lengthy checks for people who have backgrounds outside the UK. The Review Team identified that the largest impact on this problem could be made by considering the Initial Vetting Clearance (IVC), Counter Terrorist Check (CTC) and Management Vetting (MV) vetting levels and it is in these areas that more detailed research has been concentrated. Security Check (SC) and Developed Vetting (DV) levels were not researched to the same level of detail at this stage and no changes are proposed at present to these functions.

7. There are currently five units in the MPS who are involved in carrying out different types of vetting:

• Personnel Security Group (PSG) within the Directorate of Professional Standards (DPS) (DCC8)
• Special Branch (SB) Vetting Unit within Specialist Operations Department (SO12)
• Character Enquiry Centre (SO4) within Central Operations (from 4 April 2005)
• Vetting Unit (SO4) within Central Operations (from 4 April 2005)
• Royalty Protection Unit, within Specialist Operations Department (SO14).

The significant difference in the type of vetting carried out by these units is that PSG and SB are the only units which carry out vetting for prospective MPS employees. These two units, therefore, formed the main focus of the Review.

8. In summary, the proposed way forward for implementation of the Review’s recommendations is:

• By the end of June 2005:
  • Combine the CTC administrative functions of Personnel Security Group (PSG) (currently in DPS) and Special Branch (SB) Vetting Unit (currently in SO), initially within PSG. Any identified traces would still be fed back directly to SB as is current Association of Chief Police Officers (ACPO) policy.
  • Include SO4 and SO14 representation on the MPS Vetting Board.
  • Develop a Service Level Agreement with the Security Service for their input to the employee vetting process.
  • Develop a more flexible approach to the application of residency criteria and clarify the process for checking names of overseas origin.
  • Remove the need for CTC clearance from those posts where it cannot be justified.
• By the end of March 2006:
  • Create an MPS Vetting Unit, which sits within DPS, which will include all the current functions of PSG and the CTC administrative function from SB Vetting Unit (as referred to above).
  • Include checks for permanent employees of the Royal Household (currently done by SO14) in the functions of the new MPS Vetting Unit.
  • Complete a pilot to test the viability of granting interim clearances.
  • Develop a comprehensive system for monitoring the performance of MPS vetting functions.
  • Consider the potential for transferring staff who will be released from the SO4 Vetting Unit into the new MPS Vetting Unit.
  • Make the recommended changes to the current Management Vetting (MV) process.
  • Agree the extent to which Special Branch database checks for potential employees should be carried out.
• Long term (after March 2006)
  • Develop the Information Technology (IT) link to the Security Service and combine recruitment and security application forms online.
  • Consider the potential for combining the SC vetting functions of PSG and SB Vetting Unit and whether this should be incorporated into the MPS Vetting Unit. This should be revisited to identify whether it is appropriate to give this issue further consideration.
  • Consider the potential for incorporating the DV vetting functions of SB into the MPS Vetting Unit. This should be revisited to identify whether it is appropriate to give this issue further consideration.

Principal benefits

9. The Review makes recommendations which will enable the MPS to:

• Adopt a more flexible approach to vetting where practical and a more rigorous approach where prudent;
• Restructure the organisation of the MPS’ vetting functions in order to maximise the benefits of a more streamlined approach;
• Ensure that equality for all is inbuilt to the vetting process.

Implementation arrangements

10. Implementation of the Review’s recommendations will be led from within DPS by the MPS Vetting Board chaired by Commander DPS and including representatives from each MPS Business Group. The Vetting Board’s role is to take forward the implementation of this Review and any others which make recommendations affecting vetting; forecast and determine Business Groups’ vetting requirements and prioritise accordingly; set vetting policy and agree standard operating procedures; monitor performance across all vetting units and resolve vetting issues that cannot be resolved by individual vetting units. This Board will report to the MPS’ Corporate Governance Strategic Committee and through them to the MPA PPRC. Issues related to the Royal Household will be addressed by the Royal and VIP Executive Committee of the Home Office (RAVEC).

11. A Vetting Working Group (and other working groups as necessary) will be tasked by and report to the Vetting Board to deliver on specific initiatives. The Review has recommended that a cross-Business Group Implementation Team is formed to ensure that the recommendations are progressed and that a detailed, resourced implementation plan, based on the Improvement Plan at Appendix 1, is agreed, developed and monitored. An Implementation Manager has been appointed and the Implementation Team being formed will report to the MPS Vetting Board. The Governance structure for the implementation is shown at Appendix 2.

Progress to date

12.

• In January 2005 a senior officer was appointed to lead on addressing the short-term backlog of vetting cases and to implement a change management structure that will be used for implementation of the SIR recommendations (reflected in the implementation arrangements above).
• Representatives from SO4 and SO14 are active members of the MPS Vetting Board.
• The MPS’s Internal Consultancy Group is currently developing a comprehensive system for monitoring MPS vetting performance.
• Detective Chief Superintendent Flower, DPS, has been given delegated authority by Management Board to grant clearances, in exceptional cases, where it may not be possible to complete all the required checks, so long as any risk posed can be appropriately managed.
• Plans are advanced for improving the IT links between the MPS and the Security Service and for enabling two MPS members of staff to work within their External Vetting Unit to increase the turnaround times of MPS Vetting requests.
• SO14 are currently working with the Royal Household to agree protocols on vetting and this work will continue. The vetting work currently undertaken by SO14 will pass to PSG when the protocols with the Royal Household have been agreed and RAVEC have endorsed proposed resources.

C. Race and equality impact

1. The equality and diversity implications were considered throughout the Review. Specific equality issues with current vetting policy have been highlighted in the report and recommendations made. These relate to delays in the process caused when an applicant has or appears to have a background outside the UK and the potential for applicants to be refused employment due to the application of residency criteria or the inaccessibility of data upon which to make vetting decisions.

2. An Equalities Impact Assessment should be carried out prior to any new vetting policy being introduced, proposed new governance arrangements should ensure that this is done.

D. Financial implications

1. The spending implications of the Review’s recommendations are detailed in the Report in Appendix 1. Implementing the recommendations of this review will require:

• An estimated capital investment of £98, 000 in IT
• An estimated revenue spend of between £140, 000 - £202, 000 per annum, dependent on the extent to which Special Branch checks are adopted and the extent to which the MPS takes on checks for employees of the Royal Household
• An estimated revenue spend of £99, 000 per annum for the Implementation Team, dependent on the size of the Implementation Team and the length of time it is required

2. There is the potential to deliver savings based on reduced recruitment costs, estimated as potentially up to £270, 000 per annum.

3. DPS current estimates are that this funding will be found from within their agreed growth bid.

E. Background papers

• All review papers are held by MPS Internal Consultancy Group.

F. Contact details

Report authors: Caroline Bridgman, Deputy Commissioner’s Command (DCC 2), MPS.

For more information contact:

MPA general: 020 7202 0202
Media enquiries: 020 7202 0217/18

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