Employment Suitability Screening Process
Employment SuitabilityScreening ProcessSupporting MaterialDocument ID (PPN)SM-1555TRIM record numberADD2020/4981919BCS FunctionStrategic management and governanceDocument ownerAssistant Secretary Integrity and Professional StandardsApproval date9 September 2020Document ContactPre-employment Screening Sectionesc@homeaffairs.gov.au
Table of Contents1.2.3.4.5.Introduction41.1.5DefinitionsThe employment suitability screening process72.1.Overview72.2.Onboarding – identification of a need for employment suitability screening82.3.2.4.Information used to inform an employment suitability screening decisionMinimum requirements for an ESC screening882.5.2.6.Screening processes undertaken by the Pre-employment Screening sectionUncheckable backgrounds/gaps, anomalies and discrepancies992.7.Consideration of adverse (or potentially adverse) information10Possible outcomes103.1.Summary of possible outcomes103.2.Decision maker’s authority to grant an ESC113.3.3.4.Decision maker’s authority to grant a conditional ESCStandard conditions of being granted an ESC11113.5.3.6.Decision maker’s authority not to grant an ESCPre-notification procedures where a decision has been made not to grant an ESC1212Continuing assurance processes134.1.4.2.IntroductionClearance holder obligations13134.3.Obligations for staff with supervisory responsibilities144.4.4.5.Additional requirements for contractors and service providersAssessment of information obtained through a continuous assurance process1414ESC validity periods145.1.5.2.OverviewAutomatic revocation of an ESC14155.3.5.4.Expiry of an ESCReactivation of an expired ESC15156.Employment suitability re-screening157.Procedural fairness167.1.Right to reply167.2.Conflicts of interest/bias168.Appeals and complaints168.1.8.2.Review of decisions and complaints referralComplaints regarding the conduct of the employment suitability screening section16178.3.Privacy complaints17Employment Suitability Screening ProcessPage 2 of 34
9.10.Privacy, security, collection, use and disclosure of information179.1.Individuals within the Department who may directly access employment suitability screening9.2.9.3.InformationStorage of employment suitability screening informationSharing of employment suitability screening information181718Delegations1910.1. Delegation for decision-making1910.2. Obligations to cooperate and comply20Waivers and mutual recognition2011.1. Waivers2011.2. Mutual recognition2012.Related policies2013.Legislation2114.Consultation2114.1. Internal consultation2114.2. External consultation21Version Control2111.15.Attachment A – Implementation and communication requirements22Attachment B – Required documents24Introduction and contextRequired documents2424Verification of produced documents‘Known customer’ principle2425Approval to use alternative documents25Foreign language documentsFailure to satisfy identity and citizenship verification process2525Attachment C – Aftercare arrangementsIntroductionInteraction with security clearance aftercareAttachment D – Delegations29293132Delegation for decision-making32Decisions not listed in the above table33Employment Suitability Screening ProcessPage 3 of 34
1.IntroductionThe Australian Government’s Protective Security Policy Framework (PSPF) contains the controls used by theAustralian Government to protect its people, information and resources. Pursuant to the PSPF, the Departmentis required to: ensure the eligibility and suitability of its personnel who have access to Australian Governmentresources (PSPF core requirement 12), and assess and manage the ongoing suitability of its personnel and share relevant information of securityconcern, where appropriate (PSPF core requirement 13).Under the PSPF, agency heads are responsible for setting the minimum suitability requirements for all newstaff employed in their agencies, based on factors such as their risk environment, any agency -specificlegislation and the Australian Government’s expectations that agencies have in place measures to facilitateresource sharing.Within this context, the Department and its operational arm, the Australian Border Force (ABF), operates in aprivileged place at the border and in the community. Every day, the Department makes decisions that affectthe safety, rights and freedoms of people, and Australian trade and commerce. Immigration and BorderProtection (IBP) workers exercise considerable discretion and significant powers on behalf of the Department,often under limited supervision. The community and government trust the Department and its IBP workers toexercise these powers responsibly, lawfully, impartially and professionally.The Department’s work and the information it holds is of considerable value to organised crime syndicates,who actively try to circumvent border controls, reduce border integrity and threaten national security. Visa andcitizenship decision making and the Department’s border management activities are a significant target forcriminal groups who have strong financial and other motives to infiltrate border protection agencies worldwide,including the Department.Against the backdrop of the Department’s extensive responsibilities and powers, there is a need for theDepartment to have policies and procedures in place to mitigate integrity risk. There is a real risk that anemployee or other individual with access to the Department’s assets might misuse their powers or position,with some expectation of gain for themselves or for others. There is also the risk that individuals may bevulnerable to bribery, embezzlement, fraud, extortion or perversion of the course of justice.Corruption in the Department would greatly undermine government and public confidence in the Department,as well as the confidence of its partners, including intelligence organisations and foreign governments.To meet its obligations under the PSPF, the Department has developed a comprehensive employmentsuitability screening framework which is designed to examine a range of Department -specific risk factorsrelevant to its personnel and other individuals who are provided with access to the Department’s assets. Inaccordance with the PSPF, the framework is based on risks that are relevant to the Department’s operatingenvironment. To implement the Department’s obligations under the PSPF, the Secretary of the Departmenthas determined that: in the case of Department employees, an Employment Suitability Clearance (ESC) and a minimumBaseline security clearance are ‘essential qualifications’ and thus:oa condition of engagement for the purposes of paragraphs 22(6)(c) and 22(6)(d) of thePublic Service Act 1999 (Public Service Act), andEmployment Suitability Screening ProcessPage 4 of 34
o a condition of ongoing employment, andin the case of all other individuals who require non-public access to departmental assets, an ESCand a minimum Baseline security clearance are a mandatory precondition of being provided suchaccess.The Australian Government Security Vetting Agency (AGSVA) security clearance and ESC complement eachother. Combined, they provide the Secretary with confidence that an individual is suitable to be employed bythe Department and/or to be provided with non-public access to its assets. The table below summarises thepurpose of, and risk factors examined during, the two clearance processes.PurposeRiskFactorsExamined1.1.AGSVA Security ClearanceEmployment Suitability ClearanceProvides the Australian Government withassurance that an individual can protectAustralian Government security classifiedresources by assessing whether anindividual possesses and demonstrates thefollowing character traits: honesty,trustworthiness, maturity, tolerance,resilience and loyalty.Provides the community with assurancethat there are no risks associated with anindividual or their circumstances which may: External loyalties, influences andassociations Personal relationships and conduct Financial considerations Alcohol and drug usage Criminal history and conduct Security attitudes and violations Mental health disorders cast doubt on an individual’s ability tosupport the Department to achieve itsmission, or otherwise reduce the confidence thecommunity places in the Department tomaintain the integrity and security ofAustralia’s borders. Associations and conflicts of interest Criminal history and/or involvement incriminal or illegal activities Compliance with border-related laws Drug use Compliance with the APS Values,Employment Principles and Code ofConduct Dishonesty in the ESC process Cumulative impact of multiple riskfactorsDefinitionsTermAcronym(if applicableDefinitionAdverse (orpotentially adverse)informationAny information which may cast potential doubt on a clearanceapplicant’s or clearance holder’s ability to satisfy the minimumrequirements for obtaining or maintaining an ESC.AftercarearrangementsArrangements established between an individual and theDepartment, designed to manage and/or mitigate any risks to theDepartment or an individual which may be identified during anemployment suitability screening process.Employment Suitability Screening ProcessPage 5 of 34
TermAcronym(if applicableDefinitionClearance applicantThe individual who is the subject of an initial employmentsuitability screening process or employment suitability rescreening process.Clearance holderAn individual who has already been granted an ESC.Decision makerThe individual or individuals within the Department who have beenauthorised by the Secretary to make decisions in relation toemployment suitability matters, as outlined in Attachment D.DepartmentThe Department of Home Affairs (including its operationalenforcement arm, the ABF).Departmental assetsIncludes (but is not limited to) any information and technologysystems (ICT systems), information, plant and equipment, vessel,aircraft and/or premises that is owned, operated, managed,controlled, leased or contracted by the Department.Employmentsuitability clearanceESCAn essential qualification for engagement and employment withthe Department.ESC assessmentcriteriaThe assessment criteria within the Employment SuitabilityClearance Assessment Criteria Supporting Material.Employmentsuitability screeningA process to determine whether an individual is suitable to havenon-public access to departmental assets.Employmentsuitability screeninginformationAny information declared by an individual or otherwise obtainedthrough any employment suitability screening process.Employmentsuitability screeningpolicyThis policy document, as well as any associated PPCF documents.Employmentsuitability screeningEmployment Suitability screening includes:Non-public accessEmployment Suitability Screening Process any initial employment suitability screening process any employment suitability re-screening process any employment suitability continuous assurance processundertaken pursuant to this or a related policy.Ongoing or unrestricted access to departmental assets which arenot available to members of the public.Page 6 of 34
AcronymTerm(if applicablePersonnel Securityand SuitabilitySectionDefinitionAny member of the Section with the functional responsibility foremployment suitability re-screening, including: any Senior Executive with responsibility for, or oversight of, theemployment suitability re-screening function any other individual appointed by the Assistant Secretary of theIntegrity and Professional Standards Branch (I&PS) to assistwith any employment suitability re-screening process.Pre-employmentScreening SectionAny member of the Section with the functional responsibility forinitial employment suitability screening, including: any Senior Executive with responsibility for, or oversight of, theemployment suitability screening function any other individual appointed by the Assistant Secretary ofthe Integrity and Professional Standards Branch (I&PS) toassist with any employment suitability screening process.2.The employment suitability screeningprocess2.1.OverviewThe initial employment suitability screening and employment suitability re-screening processes consist of thefollowing high level steps: a need for an individual (the clearance applicant) to undergo employment suitability screening oremployment suitability re-screening is identified the clearance applicant completes all required documentation the Pre-employment Screening Section or Personnel Security and Suitability Section undertake arange of checks which are used to assess whether the clearance applicant is able to satisfy theminimum requirements for obtaining an ESC a decision maker makes a decision as to the clearance applicant’s suitability to be granted an ESCand advises the clearance applicant and their relevant business area accordingly once the employment suitability screening or re-screening process is complete, the clearanceapplicant’s business area may provide the clearance applicant with non-public access to Departmentalassets.Employment Suitability Screening ProcessPage 7 of 34
2.2.Onboarding – identification of a need for employmentsuitability screeningIf an individual requires non-public access to departmental assets, that individual will need to undergoemployment suitability screening and be granted an ESC as a precondition to being provided that access.The identification of a need for an individual to undergo employment suitability screening will generally occurthrough a broader organisational process associated with the movement or assignment of people into, or withinthe Department.Attachment A details how the employment suitability screening process must be incorporated into relevantdepartmental documents and activities which govern recruitment, movement and the provision of non-publicaccess to departmental assets.Individuals who already hold an ESC (i.e. a clearance holder) may be required to undergo employmentsuitability re-screening at any time. To avoid doubt, employment suitability re-screening is to be undertaken tothe same standard, and using the same checks and inquiries, as an initial employment suitability screeningprocess.2.3.Information used to inform an employment suitability screeningdecisionInformation used to inform an employment suitability screening decision comes from two sources: information provided by the clearance applicant as part of the employment suitability screening or rescreening application process, and information obtained by checks and inquiries undertaken by the Pre-employment Screening orPersonnel Security and Suitability Sections.Additional data relating to a clearance applicant will be sourced by the Pre-employment Screening orPersonnel Security and Suitability Sections through a range of database checks.Processing of an employment suitability screening application will not commence until the clearance applicantsubmits all required documentation.2.4.Minimum requirements for an ESC screeningUnless the clearance applicant is subject to a waiver issued by the Secretary, or a delegate of the Secretary,the following minimum requirements must be satisfied before a clearance applicant can be issued with anESC: the clearance applicant must not meet any grounds or present any risks (as specified within the ESCAssessment Criteria Supporting Material) upon which the decision maker may decide not to grant theirESC (in cases where potential risks have been identified, those risks must be able to be adequatelymanaged and mitigated through an Aftercare Arrangement) the clearance applicant must obtain a minimum Baseline Commonwealth security clearance (unlessthe ESC applicant has been granted short term or provisional access to security classified information,holds a foreign security clearance which is recognised by the Australian Government or otherwiseEmployment Suitability Screening ProcessPage 8 of 34
does not require a Commonwealth security clearance because this requirement has been waived bythe Secretary or their delegate) the clearance applicant must have a checkable background the clearance applicant must be an Australian Citizen, or a foreign citizen who has a lawful right towork in Australia the clearance applicant’s identity must be verified to the Department’s identity verification standards(as outlined in Attachment B).2.5.Screening processesThere are a range of checks undertaken by the Pre-employment Screening and Personnel Security andSuitability Section as part of the employment suitability screening or employment suitability re-screeningprocesses. These checks are designed to enable the Department to: identify whether there are any risk factors associated with the clearance applicant which may result inthe clearance applicant being not granted an ESC identify whether there are any risk factors which may necessitate the development of tailored riskmitigation strategies through an Aftercare Arrangement.The Pre-employment Screening or Personnel Security and Suitability Sections may request a clearanceapplicant to provide additional information, put additional questions to the clearance applicant or conductadditional database checks in order to assess a clearance applicant’s ability to satisfy the minimumrequirements for being granted an ESC.The clearance applicant may invite a support person (including a staff representative) to attend any meetingwith the Pre-employment Screening or Personnel Security and Suitability Sections.2.6.Uncheckable backgrounds/gaps, anomalies and discrepanciesA clearance applicant has an uncheckable background when the Pre-employment Screening or PersonnelSecurity and Suitability Sections cannot complete the minimum checks and inquiries required to support theemployment suitability screening process, or the checks and inquiries, where able to be made, do not provideadequate assurance about the clearance applicant’s life or background.It is recognised that in some circumstances, a clearance applicant may be genuinely unable to provideinformation required as part of an employment suitability screening process, or evidence to support theirclaims, or there may be no practical means to corroborate the background of the clearance applicant. Thismay arise, for example, when: checks cannot be conducted because they relate to a period of time when the clearance applicantresided in a foreign country documents required to be produced do not exist (for example, because they never existed, no longerexist, or it is not possible to get copies from the issuing authority) the source of the documents may not be credible.Where a clearance applicant has an uncheckable background (or the clearance applic ant has providedinformation which creates gaps, anomalies or discrepancies), the Pre-employment Screening or PersonnelEmployment Suitability Screening ProcessPage 9 of 34
Security and Suitability Sections may interview the clearance applicant. The interview may be used tocorroborate information collected from other sources, or to address any remaining doubts or concerns.Where, after an interview, the lack of information about an applicant creates reasonable doubt regarding theirability to satisfy the minimum requirements for obtaining an ESC, the decision maker may determine theclearance applicant is not suitable to be granted an ESC.2.7.Consideration of adverse (or potentially adverse) informationWhere a check undertaken by the Pre-employment Screening or Personnel Security and Suitability Sectionsidentifies adverse (or potentially adverse information), the information will be assessed to determine whetherthe information may impact on the clearance applicant’s ability to satisfy the minimum requirements for beinggranted an ESC.If a clearance applicant has existing non-public access to departmental assets, the Personnel Security andSuitability Sections (and the Pre-employment Screening Section in rare circumstances) must also undertakea preliminary risk assessment to identify and mitigate any potential or actual risks to the clearance applicantor the Department
Onboarding - identification of a need for employment suitability screening 9 Information used to inform an employment suitability screening decision 9 Minimum requirements for an ESC 10 Screening processes undertaken by the employment suitability screening team 10 Unche
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