Guidance

Security Vetting Appeals Panel Framework Document

Published 14 May 2024

Introduction and Background

1. Purpose of document

1.1. This framework document (the “framework document”) has been agreed between the Cabinet Office and the Security Vetting Appeals Panel (SVAP).

1.2. The framework document sets out the broad governance framework within which the Cabinet Office and SVAP operate. It sets out the core responsibilities of the SVAP; the relationship between the SVAP and the Cabinet Office; and financial management and budget arrangements.

1.3. The document does not convey any legal powers or responsibilities but both parties agree to operate within its terms.

1.4. This framework document should be reviewed and updated at least every 3 years unless there are exceptional reasons that render this inappropriate. A copy of the document has been placed on GOV.UK.

2. Objectives

2.1. The Cabinet Office and SVAP share the common objective of delivering an independent examination of the merits of vetting decisions as part of the National Security Vetting (NSV) process, taking into account the interests of national security and the rights of the individual. To achieve this, SVAP and the Cabinet Office will work together in recognition of each other’s roles and areas of expertise, providing an effective environment for SVAP to meet its objectives. Through the promotion of partnership and trust, SVAP will support the strategic aims and objectives of the department and wider government as a whole.

3. Classification and ownership

3.1. SVAP has been classified by the Cabinet Office as a Non-Departmental Public Body (NDPB) with an advisory function.

Purpose, duty and powers

4. Purpose

4.1. The establishment of SVAP was announced to Parliament by the Prime Minister by way of a Written Answer on 19 June 1997^{[footnote 1]}. The Prime Minister set out that ‘An independent Security Vetting Appeals Panel…will be established on 1 July to hear appeals against refusal or withdrawal of clearance at Security Check (SC) or Developed Vetting (DV) levels and to advise the head of the organisation concerned.’

4.2. That remit has since been expanded to include Counter Terrorist Check (CTC) security clearance and Accreditation Checks (AC).

4.3. It additionally aims to help strengthen the policies and procedures of the UK National Security Vetting system through its recommendations and engagement with government organisations and vetting decision-makers.

4.4. SVAP’s role is quasi-judicial, in that it involves objectively ascertaining facts, drawing conclusions and assessing the merits of a decision to withdraw/refuse  NSV. For that reason, since the establishment of the Panel in 1997, the positions of the Chair and Deputy Chair have been filled by senior members of the judiciary (Appeal Court or High Court judges).

5. Duties

5.1. NSV is an essential feature of measures that are required to protect UK government assets (people, information and infrastructure) and helps enable government business to function effectively, safely and securely. SVAP has a fundamental role to play in this by examining the merits of vetting decisions, taking into account the interests of national security and the rights of the individual.

5.2. SVAP is available to hear appeals from individuals in government departments, the armed forces, the police and other organisations, or from those employed by contractors of those departments and organisations, who have been through the relevant internal appeal process and remain dissatisfied with the outcome. Separate SVAP arrangements exist for applicants to specific oversight bodies of the Security and Intelligence Agencies.

5.3. SVAP is not available to candidates for recruitment or employment (who have no formal rights of appeal against adverse vetting decisions if their applications are rejected on security grounds).

5.4. SVAP is not available to members of the Security and Intelligence Agencies who are subject to different arrangements.

5.5. Its remit covers only issues related to NSV. It has no mandate to hear appeals against adverse decisions taken under other forms of vetting (e.g. Baseline Personnel Security Standard, Police Vetting, HMPPS pre-employment checks) or matters concerning performance or discipline.

5.6. SVAP considers it important that the vetting appeals process conforms fully to the principles of natural justice (i.e. that it should be timely and fair); that people should know the substance of the information on which an adverse decision is founded and the basis on which that decision is reached (as far as possible, consistent with the need to maintain national security and confidentiality); and that they should be afforded appropriate independent avenues of appeal.

5.7. It will review the basis on which decisions have been taken to refuse or withdraw security clearance and the rigour and fairness of the processes involved. In order to do that, SVAP must examine all the relevant information used to inform the decision surrounding the refusal/withdrawal of an individual’s NSV.

5.8. SVAP will aim to do this in a timely manner, with deadlines set at each stage of the process. The process is wholly dependent on the cooperation of the parties involved in an appeal. Matters of non-disclosure will be considered by the Chair of an appeal and may add to the overall timescale of an appeal.

5.9. Where an adverse vetting decision is based on material which cannot be disclosed to the appellant for the purpose of safeguarding national security, personal privacy, and/or third-party confidentiality, Special Advocate arrangements are available at the discretion of the Chair.^{[footnote 2]}

5.10. SVAP conducts hearings where all parties are invited to make representations to a panel comprised of the SVAP members. A Panel must have a Presiding Chair (either the SVAP Chair or Deputy Chair) and, in most cases, two Lay Members.

5.11. An appeal Panel will draft and issue a final report to all parties, which brings the SVAP appeal to a conclusion

6. Powers

6.1. SVAP is quasi-judicial in that it involves arbitrating a dispute and ascertaining the facts in regard to the refusal and/or withdrawal of NSV.

6.2. The SVAP makes recommendations and advises departments/organisations on NSV decision-making, policy and procedures. It has no power to substitute its conclusions with the decision of the decision-making organisation; although the SVAP’s recommendations are almost invariably followed.

6.3. Any ensuing action following the SVAP’s recommendations remains at the discretion and responsibility of the relevant department or organisation.

6.4. SVAP has the power to recommend that a decision to refuse or withdraw security clearance should stand or be set aside^{[footnote 3]}, or that security clearance should be granted or restored. These powers can extend to recommending that the NSV process be re-run.

6.5. It can make recommendations for procedural and policy improvements/changes on the organisation’s vetting practices, including the appeal process, in order to help organisations improve and maintain required vetting standards.

6.6. In addition to reviewing and providing recommendations on the merits of a vetting decision, SVAP has the powers to comment on NSV processes and/or policy.

6.7. In meeting its obligation to help strengthen the procedures of the UK National Security Vetting system and organisational decision-making and processes, where required, and at the discretion of the Chair and/or Deputy Chair, representatives from the department/organisation can be requested to meet with the SVAP to discuss specific issues surrounding their vetting practices and/or overarching policies.

6.8. The SVAP is not responsible for any compensation/reimbursement to individuals and/or organisations for costs incurred as a result of an SVAP appeal. Equally, SVAP does not have the powers nor jurisdiction to issue decisions - or express a view - on settlement/compensation for appellants who have been subject to an adverse vetting decision.

7. Governance

7.1. SVAP is a Non-Departmental Public Body with an advisory function, sponsored by the Cabinet Office, and is currently based in the Government Security Group (GSG). GSG supports Ministers, the Cabinet Secretary and Chief Executive of the Civil Service by monitoring and enhancing departmental security performance and managing serious or pan-government security risks and incidents. It also supports the delivery of key security capabilities and services to departments, including National Security Vetting.

7.2. SVAP has its own Terms of Reference which are reviewed from time to time.

7.3. It is also required to feed into data collections commissioned by the Cabinet Office ALB Support Team, such as Public Appointments diversity data, data privacy assessments, etc.

7.4. Panel members are made fully aware of the ‘Nolan’ Principles at the time of their appointment, and the Seven Principles of Public Life are made available as part of the recruitment campaign process. Induction training includes a full briefing from the SVAP Secretariat and, separately, from the security authorities.

Role of Cabinet Office

8. Sponsoring department and Minister

8.1. The Senior Sponsor for SVAP is the Government Chief Security Officer (GCSO), currently Vincent Devine.

8.2. The Cabinet Office Minister responsible for overseeing government security, currently Baroness Neville-Rolfe, is the responsible minister.

9. Appointments to the Panel

9.1. Appointments to the SVAP are made by the Prime Minister on merit and in accordance with the Governance Code on Public Appointments.

9.2. Appointment terms are between 4 and 5 years; appointees can be re-appointed for a second term but their total appointment length must not exceed a period of 10 years.

10. The Principal Accounting Officer (PAO)

10.1. The Principal Accounting Officer (PAO) for SVAP is the Permanent Secretary of the Cabinet Office.

11. PAO’s specific accountabilities and responsibilities

11.1. The Permanent Secretary of the Cabinet Office is accountable to Parliament for the management of public money.

12. Role of the sponsorship team

12.1. SVAP is supported by a small team which functions as both the Secretariat to the SVAP and its sponsor team. Within its role as sponsor, it will report through its Deputy Director and Director to the GCSO, who in turn reports to the Chief Executive of the Civil Service/Cabinet Office Permanent Secretary.

13. Estate implications

13.1. There are no dedicated office costs for SVAP and no estate implications.

13.2. As SVAP remains under the aegis of the Cabinet Office and GSG, the Secretariat and the functions of the SVAP continues to operate from the Cabinet Office estate in London.

14. Resolution of disputes between SVAP and Government Security Group

14.1. SVAP and GSG will take a pragmatic and issue-based approach to dispute resolution.

14.2. This framework document and other governance documents and guidance should be used as a reference point for agreement between the two parties. A resolution should be agreed upon in a timely manner and in such a way that any potential disruption to on-going operations is limited as much as possible.

14.3. Parties should endeavour to identify emerging issues as early as possible, and to communicate these to each other through the most appropriate route of engagement. This could include routine sponsorship meetings to address  day-to-day issues, or direct conversations between the senior management for more urgent matters. Parties will ensure they come to a shared understanding of risk and take action accordingly.

14.4. Both parties will agree on clear routes of escalation for addressing both routine issues and urgent matters arising. In the first instance, issues should be escalated within the organisation at a working level and in a timely manner.

14.5. Where this does not resolve the dispute, the issue should be escalated to the Cabinet Office Permanent Secretary (Principal Accounting Officer).

14.6. Once the dispute is resolved, both parties should endeavour to learn the lessons from this process, and guidance should be recorded and communicated within each organisation to aid future deliberations.

14.7. United Kingdom Security Vetting (UKSV) – the single government provider of National Security Vetting (NSV) - was transferred to the Cabinet Office in 2020 and reports to the GCSO.

14.8. As both UKSV and SVAP operate under the GCSO, which also oversees NSV policy, the SVAP Chair may escalate any disputes which may threaten the independence and remit of SVAP to the Permanent Secretary.

15. Reporting on legal risk and litigation

15.1. Given the advisory nature and non-statutory role of the SVAP, there is limited risk of any substantial litigation being brought against the SVAP. However, cases before the SVAP could be taken to the Employment Tribunal or be the subject of Judicial Review. 15.2. In respect to any substantial piece of litigation involving the SVAP, the SVAP and Cabinet Office will agree to a litigation protocol which will include specific provisions to ensure appropriate and timely reporting on the status of the litigation and the protection of legally privileged information transmitted to the Cabinet Office to facilitate this. Until such a protocol is agreed, the parties will ensure that:

• material developments in the litigation are communicated to the Senior Sponsor in an appropriate and timely manner;
• legally privileged documents and information are clearly marked as such;
• individual employees handling the legally privileged documents are familiar with principles to which they must adhere to protect legal privilege;
• circulation of privileged information within government occurs only as necessary and on the advice of SVAP’s legal advisers.

SVAP governance structure and responsibilities

16. Cabinet Office Permanent Secretary (Principal Accounting Officer)

16.1. The PAO is personally responsible for safeguarding the public funds for which they have charge; for ensuring propriety, regularity, value for money, and feasibility in the handling of those public funds. The PAO is accountable to Parliament.

16.2. The PAO is responsible for ensuring that a Framework document that sets out the broad governance framework within which SVAP and the Cabinet Office  operates is in place.

16.3. The PAO is responsible for the sign-off of any pay award for SVAP Lay Members.

16.4. The PAO is responsible for dispute resolution between SVAP and GSG.

16.5. The PAO has delegated some of their authority to the GCSO who is the Senior Sponsor of SVAP.

17. Government Chief Security Officer (Senior Sponsor)

17.1. The Senior Sponsor - in their role of the GCSO - has delegated authority for ensuring that GSG has a high standard of corporate governance and effective controls over the management of resources; this extends to the SVAP.

17.2. They are responsible for the staffing and resourcing of the SVAP Secretariat to the appropriate levels from within their Business Unit to ensure that the SVAP can fulfil its functions and duties.

17.3. They are also responsible for the annual appraisal of the SVAP Chair against the set priorities and objectives agreed by both the Senior Sponsor and Chair.

18. The Secretariat

18.1. The Secretariat is resourced by members of GSG. This team forms both the Sponsor team for the SVAP and the Secretariat function for the SVAP.

18.2. In its role as the Secretariat to the SVAP, it manages the SVAP procedures and operations including engagement with stakeholders on issues falling within the remit of SVAP. In this role, the Secretariat staff report to the Chair and Deputy(s) of the SVAP.

18.3. In its role as the Sponsorship team, it supports the central Cabinet Office Public Appointments team in managing the appointments of members to the SVAP, and responds to data collections commissioned by the Cabinet Office ALB Support Team, such as Public Appointments diversity data, Data privacy assessments, etc. In this role, it reports directly to the Cabinet Office via its Deputy Director and Director who report to the GCSO.

19. The Chair

19.1. The Chair is responsible for the overall operation of the SVAP and ensuring that it is fulfilling its purpose (paragraph 4), is undertaking its duties (paragraph 5), and is working within its set powers (paragraph 6).

19.2. They are also responsible for ensuring the SVAP meets the governance, financial management and efficiency standards required of it as a public body.

19.3. The Chair is responsible for leading the Deputy Chair(s), Lay Members and the Secretariat in undertaking the SVAP’s functions; including providing meaningful performance assessments on other members of the Panel.

19.4. The Chair, when selected to preside over an appeal, will lead a panel of three in their task of examining and analysing the issues in relation to the vetting decision and the process of drafting the final report containing the decisions and recommendations.

19.5. Where required, the Chair will engage and provide direction and/or ruling on matters concerning eligibility, jurisdiction, and disclosure.

19.6. The Chair will operate in adherence with the Seven Principles of Public Life and will ensure those principles are also adhered to by the Deputy Chair(s) and Lay Members.

20. Deputy Chair(s)

20.1. The Deputy Chair,  in all aspects, will deputise for the Chair where required.

20.2. Throughout their tenure, the Deputy Chair will support the Chair to deliver the remit and objectives of SVAP and the Chair.

20.3. They will also, when selected to preside over an appeal, lead a panel in their duties, as the Chair would (see paragraph 19.4).

20.4. Where required, the Deputy Chair will engage and provide direction and/or ruling on matters concerning eligibility, jurisdiction, and disclosure.

20.5. The Deputy Chair will operate in adherence with the Seven Principles of Public Life.

21. Lay Members

21.1. Lay Members will hold a certain level of technical expertise and relevant professional skills and experience (at a senior level) to undertake their role.

21.2. Lay members will work constructively with the Chair/Deputy Chair to ascertain the facts of the vetting case, commit to consensual decision-making, and contribute to the panel’s overall conclusions and recommendations in relation to an individual appeal.

21.3. As with the Chair and Deputy Chair(s), they will operate in adherence with the ‘Nolan’ Principles, and the Seven Principles of Public Life.

Management and financial responsibilities and controls

22. Delegated authorities

22.1. SVAP has no delegated authority concerning financial responsibilities.

23. Spending authority

23.1. GSG’s expenditure, and as such SVAP’s, is administered under formal delegations issued by the Treasury. As the GCSO, Vincent Devine is personally accountable to the Permanent Secretary of Cabinet Office as Principal Accounting Officer and she is to Parliament for ensuring that the Department has a high standard of corporate governance and effective controls over the management of resources. The GCSO is delegated this responsibility and accountability by the Accounting Officer for the Department and he further delegates this to the Strategy & Policy Director.

24. Budget, Panel Remuneration and Staff pay

24.1. SVAP does not have its own budget and associated costs are covered by GSG.

24.2. SVAP is demand-led, and expenditure depends on the volume of casework during any given year and the time spent on each case by the Panel members.

24.3. The SVAP Chair and the Director of Strategy and Policy in GSG will agree a budget/affordability ceiling for each financial year, which will be reviewed annually to ensure SVAP remains within the affordability thresholds of GSG and Cabinet Office for SVAP to operate within.

24.4. Any additional funding required by the SVAP above an agreed affordability annual budget ceiling will need to be approved by the Director of Strategy and Policy in GSG to enable CO to deliver within its financial delegations.

24.5. As the Chair and Deputy Chair(s) are retired members of the Judiciary, daily remuneration rates for these posts are set by the Ministry of Justice (MoJ) each year. Uplifts to judicial members’ pay are implemented in the following financial year and as such will be factored into annual budgetary/affordability reviews.

24.6. Lay Members’ remuneration rates are reviewed annually by the Secretariat and any pay award must be agreed by the Director of Strategy and Policy in GSG and the PAO. Any likely uplifts to Lay Members’ rates of remuneration will be in line with market rates and as such will be factored into annual budgetary/affordability reviews.

24.7. Costs for the Secretariat are paid out of the GSG budget, and staffing for the Secretariat sit on GSG headcount. In all respects, the SVAP Secretariat staff are subject to the Cabinet Office terms and conditions of employment.

25. Risk management

25.1. The Chair of SVAP and the Head of Secretariat shall ensure that the risks it faces are dealt with in accordance with UK Government guidance, Management of Risk: Principles and Concepts^{[footnote 4]} and ensure it develops an appropriate risk management strategy.

Counter fraud and theft

25.2. SVAP will adopt and implement policies and practices to safeguard itself against fraud and theft in line with Cabinet Office central guidance.

Business plans reporting and information sharing

26. Strategic Plans

26.1. SVAP will agree on an annual basis a Strategic Plan that sets out the SVAP’s objectives and responsibilities, and how it intends to deliver these over each financial year. The plan will be developed by the SVAP Secretariat in conjunction with the SVAP Chair, Senior Sponsor and other members and in consultation (where necessary) with its partners.

27. Financial reporting

27.1. SVAP reports directly to the GSG Director of Strategy and Policy and the GSG Finance Team. Financial reporting to the Cabinet Office is managed by GSG  in the usual way.

28. Annual report

28.1. SVAP will submit an annual report to the Prime Minister through the Cabinet Office Minister responsible for Government Security, currently Minister for the Lords.

29. Reporting performance to the department

29.1. SVAP routinely completes Cabinet Office Arms Length Body coordination and reporting commissions on its performance.

29.2. SVAP also reports on performance to the GCSO.

30. Information sharing

30.1. SVAP shall provide the Cabinet Office with such information about its operations, performance, individual projects or other expenditure as the sponsor department may reasonably require and in compliance with all data protection legislation and regulations.

Information, Records Management and Information Requests

31. Information and records management

31.1. The Chair of SVAP has delegated authority for the information and records management of the SVAP to the SVAP Secretariat.

31.2. SVAP will ensure that the organisation (including the membership and Secretariat) use Cabinet Office IT systems. They will use the electronic document and records management systems supplied by the Cabinet Office for the storage and management of corporate records and information.

31.3. SVAP will apply the systems, policies and procedures required by the Cabinet Office Departmental Records Officer (DRO) to ensure compliance with relevant legislation and to ensure that the public record is being created, managed, stored and archived appropriately.

31.4. SVAP will ensure that sufficient resources are made available to support compliance, application of the DRO’s requirements and day-to-day management of the organisation’s information assets, including people, financial and physical (i.e. storage systems, accommodation, etc).

31.5. SVAP will develop and implement an annual action plan for the continual improvement of its information management and ensure that arrangements are in place for routine reporting to the Cabinet Office DRO on progress against this plan, compliance and risk.

31.6. SVAP will supply to the Cabinet Office DRO, on request, the information and assistance required to enable them to carry out their function.

31.7. SVAP will ensure that records and information are surrendered to the DRO for disposal on request.

31.8. SVAP will adhere to the relevant policies as set out by the Cabinet Office for the storage of physical assets.

32. Data Protection

32.1. The SVAP will ensure that it has an up-to-date Data Privacy Notice available for data subjects to review.

32.2. It will ensure that relevant Data Privacy documentation is up to date and that SVAP is operating in compliance with the respective legislation.

33. Freedom of Information and other information requests

33.1. The SVAP is an exempt body for the purposes of the Act, appearing at Section 23(3)(i)^{[footnote 5]}.

33.2. Section 23(1) of the Freedom of Information Act 2000 exempts, as a class, all information directly or indirectly supplied by, or relating to, certain bodies dealing with security matters. This provision confers absolute exemption for the purpose of Section 2 of the Act.

33.3. Information supplied by SVAP may also be subject to exception under the Environmental Regulations and the Data Protection Act 1998.

Senior Sponsor and Government Chief Security Officer

Chair of the Security Vetting Appeals Panel

1. Hansard, Column WA 2946 ↩

2. A Special Advocate is a security-cleared barrister, who will make representations to the Panel on behalf of the appellant in respect of the undisclosed (‘closed’) material. ↩

3. In some cases SVAP may conclude that a decision was wrong, or that it was unsafe (in that it had made made without taking all relevant factors into account or taking into account matters which should not have been taken into account), but is not in a position to recommend what decision should have been taken. In addition, for various reasons it may not be practicable or appropriate to recommend that the process be re-run. In these circumstances, the only available course is to recommend that the decision to withdraw or refuse clearance is set aside (cancelled or annulled), so that it is no longer of any binding effect. This result may be of importance to an appellant. ↩

4. The Orange Book (PDF, 465KB) ↩

5. Freedom of Information Act 2000 ↩