covert surveillance operations - our policy guide

A GUIDE TO THE AUTHORISATION

OF COVERT SURVEILLANCE OPERATIONS, (sample forms are included with this document)

THE CENTRAL REGISTER

AND

THE MAINTENANCE OF AUTHORISATION RECORDS

WARNING

If these procedures are not followed any surveillance is unlawful, any evidence

obtained will not be admissible in any court proceedings. Further there may be a liability

to pay damages for unlawful surveillance.

IGNORE THIS WARNING AT YOUR PERIL

The Borough of Poole Regulation of Investigatory Powers Act 2000

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A GUIDE TO THE AUTHORISATION OF COVERT SURVEILLANCE OPERATIONS,

THE CENTRAL REGISTER AND

THE MAINTENANCE OF AUTHORISATION RECORDS

INITIAL AUTHORISATION

Officer requesting authorisation:

1. Determine the purpose of the covert surveillance and ensure that a RIPA purpose applies. If not discuss with Legal & Democratic Services as to whether covert surveillance is appropriate and can proceed under the circumstances.

2. Complete application form for authority for directed surveillance, or application form for the use or conduct of a covert human intelligence source. Pay special attention to questions that seek confirmation that proportionality issues have been properly considered (refer to 'Explanatory Notes and Guidance on the Home Office Codes of Practice' document).

3. Forward form to Service Unit Head for approval and signature.

4. If the covert operation is likely to lead to the acquisition of legally privileged information, personal confidential information or confidential journalistic material authorisation is required by the Head of Paid Service or in their absence the Chief Officer (refer to 'Explanatory Notes and Guidance on the Home Office Codes of Practice' document)

5. If the matter is urgent acquire verbal approval from the Service Unit Head entitled to act in urgent cases. Remember that such authorisations only last for seventy-two hours. A written application for authority for covert surveillance should be completed as soon as practicable after an urgent approval has been acquired.

Officer approving authorisation:

6. Check application is satisfactorily completed. Pay particular attention to proportionality issues; remember that this is not a 'rubber stamping' exercise! The authorising officer must be satisfied that the necessary criteria to engage in covert surveillance have been met and that the proposed surveillance action is justified in relation to the possible intrusion of privacy (refer to 'Explanatory Notes and Guidance on the Home Office Codes of Practice' document).


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7. Complete review date information. It is important that covert surveillance operations are properly monitored to ensure that they continue to satisfy the original criteria. It is the authorising officer's responsibility to determine the appropriate review period.

8. Sign form off and arrange for copies to be taken, forwarded and stored in accordance with the record keeping and Central Register requirements.

REVIEW & RENEWAL

1. The point of the review mechanism is to facilitate formal and proper consideration of whether a covert operation should be renewed or cancelled.

Officer requesting renewal:

2. Following review, and assuming approval to continue with the covert operation has been given, complete application for renewal of directed surveillance or application for renewal of the use or conduct of a human intelligence source. The duration of a directed surveillance authorisation is 3 months, duration of a covert human intelligence source authorisation is 12 months. Renewal will, therefore, be required before the 3 month or 12 month period has elapsed.

3. Forward form to Business Unit's authorising officer for approval and signature.

4. If the covert operation is likely to lead to the acquisition of legally privileged information, personal confidential information or confidential journalistic material authorisation is required at Policy Director level (refer to 'Explanatory Notes and Guidance on the Home Office Codes of Practice' document).

Officer approving renewal:

5. Check application is satisfactorily completed. The same requirements apply as in point 6.

6. Complete review date information.

7. Sign form off and arrange for copies to be taken, forwarded and stored in accordance with the record keeping and Central Register requirements.


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CANCELLATIONS1. If at any time the authorising officer is satisfied that the covert

surveillance operation no longer meets the criteria upon which it was originally authorised then he must cancel the operation.

Authorising officer cancelling operation:

2. Complete cancellation form.

3. Arrange for copies to be taken, forwarded and stored in accordance with the record keeping and Central Register requirements (refer to 'Central Register & Records' document).

THE REGISTER

1. The Register will be held by the Head of Legal & Democratic Services in whatever format deemed suitable and practicable.

2. The Register will record details of all authorisations, renewals and cancellations. It will include the following information:

i the type of authorisation

i the date the authorisation was given

i name and position of the authorising officer

i unique reference number (URN) of the operation/investigation

i the title of the operation/investigation, including a brief

description and names of subjects, if known

i whether the urgency provisions were used, and if so why

i whether the operation/investigation is likely to result in obtaining

confidential information as defined in the explanatory notes to

the Home Office Codes of Practice

i date of renewal of authorisation, where applicable

i name and position of authorising officer who approved renewal

i date of cancellation of operation/investigation

i name and position of authorising officer who cancelled

operation/investigation


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3. Arrangements will be made by authorising officers for a URN to be assigned to every operation/investigation and this number will be used for the life of the operation/investigation.

4. An alpha/numeric URN will be used to indicate Business Unit or Directorate, number of operation/investigation and year as follows:

i Financial Services

= FS 01/03, FS 02/03, FS 03/03. FS 04/03 etc

i Poole Housing Partnership

= HM 01/03 etc

i Planning Design & Control

= P 001/03 etc

i Environment & Consumer Protection

= CP 01/03 etc

i Revenues & Benefits

= RB 01/03 etc

i Legal & Democratic

= L 01/03 etc

5. Authorising officers will make arrangements for all authorisations, renewals and cancellations to be copied to the Head of Legal & Democratic Services, so that the Central Register can be properly maintained.

6. Copies of authorisation, renewal and cancellation forms will be destroyed by the Head of Legal & Democratic Services after the appropriate Register entries have been made. There is no requirement for this information to be duplicated within the Legal & Democratic Services.

7. The Register information recorded about an operation/investigation will be held for a minimum period of three years after the authorisation (or renewal, or cancellation) has ceased


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MAINTENANCE OF AUTHORISATION, RENEWAL AND CANCELLATION DOCUMENTATION1. Authorising officers will arrange for the following information to be held

centrally within Business Units:

i a copy of the approved authorisation, together with any

supplementary documentation submitted with the application

i a record of the period over which surveillance has taken place

i a record of the result of each review of the authorisation

i a copy of any renewal of an authorisation, together with any

supporting documentation submitted when the renewal was

requested

i the date and time when any instruction was given by the

authorising officer

i a copy of any cancellation of an authorisation

i This information should be filed by the URN, so that it

corresponds with the Central Register.

2. Authorisation, renewal and cancellation documentation, together with any supplementary information, should also be filed on the client record, where this is applicable.

3. All documentation listed in paragraph 8 above will be maintained for a minimum period of three years.

4. For further information about the retention and destruction of information and evidence gathered as a result of an operation/investigation (the 'product') refer to Section 2 of each of the Home Office Codes of Practice.

SECURITY & CONFIDENTIALITY OF RECORDS

1. All authorisation records must be processed in accordance with the requirements of the Data Protection Act 1998. These records should be classified as confidential and securely stored.


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REFERENCE NO. __________ PART II APPLICATION FOR AUTHORITY FOR DIRECTED

SURVEILLANCE

Public Authority(including full address)

The Borough of Poole,

Civic Centre, Poole, Dorset BH15 2RU

Name of Applicant Unit/Branch /Division

Full Address

Contact Details

Operation Name (if applicable)

Details of application:

1. The level of authority required or recommended (where that is different): - Give office, rank or position of authorising officer in accordance with the Regulation of Investigatory Powers (Prescription of Offices, Ranks and Positions) Order 2000/2417

Delete as applicable:

Policy Director (where confidential material likely to be acquired)

Head of Service Unit

Officer entitled to act in urgent cases


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2. The only purpose for which directed surveillance applicable:

• For the purpose of preventing or detecting crime or of preventing disorder;

3.Explain why the directed surveillance is proportionate to what it seeks to achieve

Consider the following:

• What is the nature of the suspected or alleged offence/infringement?

• What, if any, are the alternatives to covert surveillance?

• If there are other options what are these and why have they been rejected?

• What is the level of intrusion likely to be? Can such intrusion be justified against the anticipated outcome?

• Is confidential material likely to be acquired? If so the surveillance is significantly intrusive.

4. The identities, where known, of those to be subject of the directed surveillance:

Name:

Address:

DOB:

Other information as appropriate:

5. The action to be authorised, including any premises or vehicles involved;


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6.Give an account of the investigation or operation;

7. Explanation of the information which it is desired to obtain as a result of the authorisation:

8. Collateral intrusion:

INDICATE ANY POTENTIAL FOR COLLATERAL INTRUSION ON OTHER PERSONS THAN THOSE TARGETED: INCLUDE A PLAN TO MINIMISE COLLATERAL INTRUSION


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9. Legally privileged, personal confidential information or confidential journalistic material

INDICATE THE LIKELIHOOD OF ACQUIRING CONFIDENTIAL MATERIAL

Anticipated Start Date: Time:

10..Applicant’s Details.

Name (print) Tel No:

Grade/Rank Date

Signature

11.Authorising Officer's Comments.


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12.Authorising Officer's Recommendation.

I, [insert name], hereby authorise the directed surveillance operation as detailed above. This written authorisation will cease to have effect at the end of a period of 3 months unless renewed (see separate form for renewals).

Name (Print) Grade/ Rank

Head of Paid Service (or in his absence the Chief Officer)

Signature Date

13. Confidential Material Authorisation

Name (Print) Grade/Rank

Signature Date

From Time: Date

14. Urgent Authorisation: Details of why application is urgent


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Signature Date

15. Authorising officers comments. (This must include why the authorising officer or the person entitled to act in their absence considered the case urgent).

16. Please give reasons why the person entitled to act in urgent cases considered that it was not reasonably practicable for the authorisation to be considered by a person otherwise entitled to act.


Signature Date/Time

17. Review Date (The Authorising Officer must set a review date)

18. A copy of this form must be forwarded for the Central Register to: The Head of Legal & Democratic Services, Civic Centre, Poole, Dorset, BH15 2RU

19. Copies should also be maintained centrally by the Service Unit and on the appropriate client file.


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REFERENCE NO. __________ PART II APPLICATION FOR AUTHORISATION OF THE USE OR

CONDUCT OF A COVERT HUMAN INTELLIGENCE SOURCE





Full Address

Contact Details

Operation Name (if applicable)

Details of application:

1. The level of authority required or recommended (where that is different): - Give office, rank or position of authorising officer in accordance with the Regulation of Investigatory Powers (Prescription of Offices, Ranks and Positions) Order 2000/2417

Delete as applicable:

Policy Director (where confidential material likely to be acquired)

Head of Service Unit

Officer entitled to act in urgent cases

2. Grounds on which the action is necessary:

For the purpose of preventing or detecting crime or of preventing disorder


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3.Explain why the authorised conduct or use of a source is proportionate to what it seeks to achieve

Consider the following:

• What is the nature of the suspected or alleged offence/infringement?

• What, if any, are the alternatives to covert surveillance?

• If there are other options what are these and why have they been rejected?

• What is the level of intrusion likely to be? Can such intrusion be justified against the anticipated outcome?

• Is confidential material likely to be acquired? If so the surveillance is significantly intrusive.

4. Details of the purpose for which the source will be tasked or deployed (eg in relation to an organised serious crime, espionage, a series of racially motivated crimes etc)

5. Where a specific investigation or operation is involved, details of that investigation or operation

6. Details of what the source will be tasked to do


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7. Collateral intrusion:

INDICATE ANY POTENTIAL FOR COLLATERAL INTRUSION ON OTHER PERSONS THAN THOSE TARGETED: INCLUDE A PLAN TO MINIMISE COLLATERAL INTRUSION

8. Confidential/Religious Material:

INDICATE THE LIKELIHOOD OF ACQUIRING ANY CONFIDENTIAL/RELIGIOUS MATERIAL

9. Applicant’s Details.


Grade/Rank Date

Signature


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10.Authorising Officer's Comments.

11.Authorising Officer's Recommendation.

I, [insert name], hereby authorise the conduct or use of a covert source as detailed above. This written authorisation will cease to have effect at the end of a period of 12 months unless renewed (see separate form for renewals).


Signature Date

12. Confidential Material Authorisation


Signature Date

From Time: Date


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13. Urgent Authorisation: Details of why application is urgent


Signature Date

14. Authorising officers comments. (This must include why the authorising officer or the person entitled to act in their absence considered the case urgent).

15. Please give reasons why the person entitled to act in urgent cases considered that it was not reasonably practicable for the authorisation to be considered by a person otherwise entitled to act.


Signature Date/Time


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Date set for review:

18. A copy of this form must be forwarded for the Central Register to:

The Head of Legal & Democratic Services, Civic Centre, Poole, Dorset, BH15 2RU



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REFERENCE NO. __________

PART II APPLICATION FOR RENEWAL OF DIRECTEDSURVEILLANCE AUTHORITY

(PLEASE ATTACH THE ORIGINAL AUTHORISATION)





Full Address

Contact Details

Operation Name OperationNumber *

Renewal Number

Details of renewal:

1. Renewal numbers and dates of any previous renewals

Renewal Number Date

2. Detail the information as listed in the original authorisation as it applies at the time of the renewal


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3. Detail any significant changes to the information in the previous authorisation

4. Detail why it is necessary to continue with the authorisation

5. Indicate the content and value to the investigation of the product so far obtained by the surveillance.

6. Give an estimate of the length of time the authorisation will continue to be necessary.


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7. Applicant’s Details

Name (print)

Tel No:

Grade/Rank Date

Signature

8. Authorising Officer's Comments.

9. Authorising Officer's Recommendation.

I, [insert name[ hereby authorise the renewal of the directed surveillance operation as detailed above. The renewal of this authorisation will last for 3 months unless renewed in writing.


Signature Date

Renewal From: Time: Date:


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PART II APPLICATION FOR RENEWAL OF THE USE OR CONDUCT OF A COVERT HUMAN INTELLIGENCE SOURCE

(please attach the original authorisation)




Name of Applicant

Unit/Branch /Division

Full Address

Contact Details

Operation Name OperationNumber *filing Ref

Renewal Number

Details of renewal:

1. Renewal numbers and dates of any previous renewals

Renewal Number Date

2. Detail any significant changes to the information in the previous authorisation


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3. Indicate the content and value to the investigation of the product so far obtained by the source.

4. Detail why it is necessary to continue with the authorisation, including details of any tasking given to the source.

5. Give an estimate of the length of time the authorisation will continue to be necessary.

6. Applicant’s Details


Grade/Rank Date

Signature


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7. Authorising Officer's Recommendation.I, [insert name] hereby authorise the renewal of the conduct/use of the source as detailed above. The renewal of this authorisation will last for 12 months unless renewed in writing.


Signature Date

Renewal From: Time: Date:




The Head of Legal & Democratic Services, Civic Centre, Poole, Dorset, BH15 2RU.



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PART II - CANCELLATION OF DIRECTED SURVEILLANCE




Name of Applicant


Operation Name Operation Number *

* Filing Ref

Details of cancellation:

1. Explain the reason(s) for the cancellation of the authorisation:

2. Explain the value of surveillance in the operation:

3. Time and Date of when the authorising officer instructed the surveillance to cease.Date: Time:

Authorisation cancelled Date: Time:


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4. Authorising Officer's Recommendation.I, [insert name[ hereby authorise the cancellation of the directed surveillance operation as detailed above.


Signature Date





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PART II - CANCELLATION OF THE USE OR CONDUCT OF A COVERT HUMAN INTELLIGENCE SOURCE




Name of Applicant


Operation Name Operation Number *

* Filing Ref

Details of cancellation:

1. Explain the reason(s) for the cancellation of the authorisation:

2. Explain the value of source in the operation:


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3. Authorising Officer’s statement:I [insert name] hereby authorise the cancellation of the use/conduct of the covert source as detailed above.


Signature Date

4.Time and Date when the authorising officer instructed the use of the source to cease.Date: Time:

5. Authorisation cancelled Date: Time:




covert surveillance operations - our policy guide

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