Guidance

Aftercare and existing clearances

Updated 4 January 2023

Aftercare is the term used for the management of effective personnel security. Its purpose is to investigate and monitor anything of continuing security concern, between periods of normal review, which could affect an individual holding a security clearance.

The Counter Terrorist Check (CTC), Level 1, Security Check (SC) and Developed Vetting (DV) security vetting processes give an assurance of an individual’s suitability for access to sensitive Government information or other valuable assets. However, vetting alone does not give a guarantee of future reliability. It is important that personnel security continues after the initial security clearance is approved and that any new information or concerns that may affect the reliability of a cleared person are brought quickly to the attention of the appropriate authorities. This is achieved through a combination of aftercare and routine security clearance review procedures.

Aftercare also includes risk management measures put in place to monitor the security reliability of individuals who hold a security clearance.

1. Aftercare Incident Report (AIR)

AIRs are to be raised in cases where actual or potential security concerns exist about an individual who holds a security clearance. Should information become available that raises doubts about an individual’s suitability for access to protectively marked or sensitive assets, the circumstances are to be reported to UKSV.

Anyone, not just Security Officers, can do this via the NSVS portal. The online form allows reports to be submitted anonymously or by a named individual. This is the preferred route for submitting an AIR but concerns can also be reported by email to UKSV-Aftercare.Group@cabinetoffice.gov.uk.

The author of the AIR should provide as much information as possible about their security concern and first consider whether the annual Security Appraisal Form (SAF) or Change of Personal Circumstances (CPC) form would be a more appropriate means of notification. More information is provided below about using these forms.

2. Change of Personal Circumstances (CPC)

As a holder of national security clearance, you have a responsibility to report any change in your personal circumstances that could potentially affect your clearance. Guidance on how to submit a CPC. You are required to report the following events:

• Change of name
• Change of nationality
• Change of partner
• Divorce, or dissolution of a Civil Partnership
• DV holders only; Change of co-resident (lodger, housemate, au pair, live-in domestic staff)
• Involvement with the Police (receiving a caution, reprimand, final warning, or conviction - other than minor road traffic offences)
• Significant change in financial circumstances (bankruptcy, receiving a large inheritance, suffering substantial financial impact due to divorce or the dissolution of a civil partnership). CTC/Level 1 clearance holders do not need to report a change in financial circumstances.

3. Security Appraisal Form (SAF)

DV clearance holders must complete an annual SAF. These can be submitted via the sponsor portal and we encourage the use of this process to avoid any delays.

Further guidance if you need to submit a SAF by email.

4. Transferring NSV clearances

When an individual moves to a new employing organisation, there may be a continuing requirement for them to hold a security clearance. This could be either at the same level of clearance or a lower one. In these circumstances, the Sponsor of the clearance at the receiving organisation should submit a Transfer Request Form via the NSVS Sponsor Portal.

4.1 Criteria for Transfer

Before a clearance transfer can be approved, the following criteria need to be met in order to comply with Cabinet Office personnel security policy;

• The clearance must not be older than 10 years for SC or CTC, and 7 years for DV.
• No more than 12 months between the individual leaving one organisation and joining another.
• Individual must not have lived overseas for more than 6 months if there has been a break in service.

The importing Department may apply a shorter validity period, either across the board or to particular categories of personnel (e.g., MOD issues shorter DVs to Reservists than to Regulars). If this has already been exceeded, the Sponsor should initiate a new clearance rather than requesting a transfer.

For transfers into/within Defence, MOD also applies the following conditions:

• The expiry date of the clearance must not have passed (exception: if the subject holds a DV clearance and has remained in continuous employment, an extension of up to 6 months may have been granted to allow time for a review to be actioned. In this case, the extended DV may be transferred).
• If there has been a change in the personal circumstances of the security cleared individual, they must have submitted the appropriate CPC form for processing. If they have not done so, the clearance transfer may be delayed until this action is complete.

5. Extraction of SC from DV Clearance

Where a DV clearance has expired or is no longer required, organisations requiring the underlying SC must complete a request for extraction through the NSVS Sponsor Portal. This is to ensure that the vetting profile is accurately maintained and reflects the correct level of clearance.

6. NATO Clearance Notification Requests

Requests for a NATO Clearance must be submitted through the NSVS Sponsor Portal at the earliest opportunity to ensure it is provided on time. If you have an urgent request, you should email UKSV-NATOs.Group@cabinetoffice.gov.uk with ‘NATO request’ in the subject line.

7. Leaver Notification

When a holder of national security clearance departs from an organisation, a Leaver notification form should be submitted via the NSVS Sponsor Portal. The reason for leaving must be provided, to ensure that any potential security issues are recorded. The security clearance will be lapsed upon submission of a Leaver notification, but may be eligible for reinstatement if the individual transfers to another security cleared role within 12 months.