covert surveillance
TRANSCRIPT
Covert SurveillanceCode of Practice
Pursuant to Section 71 of the Regulation of Investigatory Powers Act 2000
Covert SurveillanceCode of Practice
Pursuant to section 71 of the Regulation of Investigatory Powers Act 2000
LONDON: TSO
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Published by TSO (The Stationery Office) and available from:
Onlinewww.tsoshop.co.uk
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© Crown Copyright 2002Seventh Impression 2007
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Printed in the United Kingdom for TSO
N5652539 C20 10/07
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Contents
Chapter 1 5Background
Chapter 2 9General rules on authorisations
Chapter 3 15Special rules on authorisations
Chapter 4 19Authorisation procedures for directed surveillance
Chapter 5 27Authorisation procedures for intrusive surveillance
Chapter 6 37Authorisation procedures for entry on or interference with property or with wireless telegraphy
Chapter 7 47Oversight by commissioners
Chapter 8 48Complaints
Annex A 49Authorisation levels when knowledge of confidential information is likely to be acquired
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1.1 Inthiscodethe:
“1989 Act”meanstheSecurityServiceAct1989;“1994 Act”meanstheIntelligenceServicesAct1994;“1997 Act”meansthePoliceAct1997;“2000 Act”meanstheRegulationofInvestigatoryPowersAct2000;“RIP (S)A”meanstheRegulationofInvestigatoryPowers(Scotland)Act2000.
1.2 ThiscodeofpracticeprovidesguidanceontheuseofcovertsurveillancebypublicauthoritiesunderPartIIofthe2000Actandonentryon,orinterferencewith,property(orwithwirelesstelegraphy)undersection5ofthe1994ActorPartIIIofthe1997Act.Thiscodereplacesthecodeofpracticeissuedin1999pursuanttosection101(3)ofthe1997Act.
1.3 Generalobservationformspartofthedutiesofmanylawenforcementofficersandotherpublicauthoritiesandisnotusuallyregulatedbythe2000Act.Forexample,policeofficerswillbeonpatroltopreventanddetectcrime,maintainpublicsafetyandpreventdisorderortradingstandardsorHMCustomsandExciseofficersmightcovertlyobserveandthenvisitashopaspartoftheirenforcementfunctiontoverifythesupplyorlevelofsupplyofgoodsorservicesthatmaybeliabletoarestrictionortax.Suchobservationmayinvolvetheuseofequipmenttomerelyreinforcenormalsensoryperception,suchasbinoculars,ortheuseofcameras,wherethisdoesnotinvolvesystematicsurveillanceofanindividual.
1.4 Although,theprovisionsofthe2000ActorofthiscodeofpracticedonotnormallycovertheuseofovertCCTVsurveillancesystems,sincemembersofthepublicareawarethatsuchsystemsare
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inuse,theremaybeoccasionswhenpublicauthoritiesuseovertCCTVsystemsforthepurposesofaspecificinvestigationoroperation.Insuchcases,authorisationforintrusiveordirectedsurveillancemaybenecessary.
1.5 The2000Actprovidesthatallcodesofpracticerelatingtothe2000Actareadmissibleasevidenceincriminalandcivilproceedings.Ifanyprovisionofthecodeappearsrelevanttoanycourtortribunalconsideringanysuchproceedings,ortotheInvestigatoryPowersTribunalestablishedunderthe2000Act,ortooneoftheCommissionersresponsibleforoverseeingthepowersconferredbythe2000Act,itmustbetakenintoaccount.
general extent of powers
1.6 Authorisationsunderthe2000ActcanbegivenforsurveillancebothinsideandoutsidetheUnitedKingdom.AuthorisationsforactionsoutsidetheUnitedKingdomcanonlyvalidatethemforthepurposesofproceedingsintheUnitedKingdom.AnauthorisationunderPartIIofthe2000ActdoesnottakeintoaccounttherequirementsofthecountryoutsidetheUnitedKingdominwhichtheinvestigationoroperationistakingplace.
1.7 WheretheconductauthorisedislikelytotakeplaceinScotland,authorisationsshouldbegrantedunderRIP(S)A,unlesstheauthorisationisbeingobtainedbythosepublicauthoritieslistedinsection46(3)ofthe2000ActandtheRegulationofInvestigatoryPowers(AuthorisationsExtendingtoScotland)Order2000;SINo.2418).Additionallyanyauthorisationgrantedorrenewedforthepurposesofnationalsecurityortheeconomicwell-beingoftheUnitedKingdommustbemadeunderthe2000Act.ThiscodeofpracticeisextendedtoScotlandinrelationtoauthorisationsmadeunderPartIIofthe2000ActwhichapplytoScotland.AseparatecodeofpracticeappliesinrelationtoauthorisationsmadeunderRIP(S)A.
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use of material in evidence
1.8 Materialobtainedthroughcovertsurveillancemaybeusedasevidenceincriminalproceedings.Theproperauthorisationofsurveillanceshouldensuretheadmissibilityofsuchevidenceunderthecommonlaw,section78ofthePoliceandCriminalEvidenceAct1984andtheHumanRightsAct1998.Furthermore,theproductofthesurveillancedescribedinthiscodeissubjecttotheordinaryrulesforretentionanddisclosureofmaterialundertheCriminalProcedureandInvestigationsAct1996,wherethoserulesapplytothelawenforcementbodyinquestion.
directed surveillance, intrusive surveillance and entry on or interference with property or with wireless telegraphy
1.9 Directedsurveillanceisdefinedinsection26(2)ofthe2000Actassurveillancewhichiscovert,butnotintrusive,andundertaken:
(a) forthepurposesofaspecificinvestigationorspecificoperation;
(b) insuchamannerasislikelytoresultintheobtainingofprivateinformationaboutaperson(whetherornotonespecificallyidentifiedforthepurposesoftheinvestigationoroperation);and
(c) otherwisethanbywayofanimmediateresponsetoeventsorcircumstancesthenatureofwhichissuchthatitwouldnotbereasonablypracticableforanauthorisationunderPartIIofthe2000Acttobesoughtforthecarryingoutofthesurveillance.
1.10 DirectedsurveillanceinvestigationsoroperationscanonlybecarriedoutbythosepublicauthoritieswhoarelistedinoraddedtoPartIandPartIIofschedule1ofthe2000Act.
1.11 Intrusivesurveillanceisdefinedinsection26(3)ofthe2000Actascovertsurveillancethat:
(a) iscarriedoutinrelationtoanythingtakingplaceonanyresidentialpremisesorinanyprivatevehicle;and
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(b) involvesthepresenceofanindividualonthepremisesorinthevehicleoriscarriedoutbymeansofasurveillancedevice.
1.12 Applicationstocarryoutintrusivesurveillancecanonlybemadebytheseniorauthorisingofficerofthosepublicauthoritieslistedinoraddedtosection32(6)ofthe2000Actorbyamemberorofficialofthosepublicauthoritieslistedinoraddedtosection41(l).
1.13 Applicationstoenteronorinterferewithpropertyorwithwirelesstelegraphycanonlybemadebytheauthorisingofficersofthosepublicauthoritieslistedinoraddedtosection93(5)ofthe1997Act.Undersection5ofthe1994Actonlymembersoftheintelligenceservicesareabletomakeapplicationstoenteronorinterferewithpropertyorwithwirelesstelegraphy.
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2.1 AnauthorisationunderPartIIofthe2000Actwillprovidelawfulauthorityforapublicauthoritytocarryoutsurveillance.Responsibilityforauthorisingsurveillanceinvestigationsoroperationswillvary,dependingonwhethertheauthorisationisforintrusivesurveillanceordirectedsurveillance,andwhichpublicauthorityisinvolved.ForthepurposesofChapter2and3ofthiscodetheauthorisingofficer,seniorauthorisingofficerorthepersonwhomakesanapplicationtotheSecretaryofStatewillbereferredtoasan‘authorisingofficer’.
2.2 PartIIofthe2000Actdoesnotimposearequirementonpublicauthoritiestoseekorobtainanauthorisationwhere,underthe2000Act,oneisavailable(seesection80ofthe2000Act).Nevertheless,wherethereisaninterferencebyapublicauthoritywiththerighttorespectforprivateandfamilylifeguaranteedunderArticle8oftheEuropeanConventiononHumanRights,andwherethereisnoothersourceoflawfulauthority,theconsequenceofnotobtaininganauthorisationunderthe2000Actmaybethattheactionisunlawfulbyvirtueofsection6oftheHumanRightsAct1998.
2.3 Publicauthoritiesarethereforestronglyrecommendedtoseekanauthorisationwherethesurveillanceislikelytointerferewithaperson’sArticle8rightstoprivacybyobtainingprivateinformationaboutthatperson,whetherornotthatpersonisthesubjectoftheinvestigationoroperation.Obtaininganauthorisationwillensurethattheactioniscarriedoutinaccordancewithlawandsubjecttostringentsafeguardsagainstabuse.
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necessity and Proportionality
2.4 Obtaininganauthorisationunderthe2000Act,the1997Actand1994Actwillonlyensurethatthereisajustifiableinterferencewithanindividual’sArticle8rightsifitisnecessaryandproportionatefortheseactivitiestotakeplace.The2000Actfirstrequiresthatthepersongrantinganauthorisationbelievethattheauthorisationisnecessaryinthecircumstancesoftheparticularcaseforoneormoreofthestatutorygroundsinsection28(3)ofthe2000Actfordirectedsurveillanceandinsection32(3)ofthe2000Actforintrusivesurveillance.
2.5 Then,iftheactivitiesarenecessary,thepersongrantingtheauthorisationmustbelievethattheyareproportionatetowhatissoughttobeachievedbycarryingthemout.Thisinvolvesbalancingtheintrusivenessoftheactivityonthetargetandotherswhomightbeaffectedbyitagainsttheneedfortheactivityinoperationalterms.Theactivitywillnotbeproportionateifitisexcessiveinthecircumstancesofthecaseoriftheinformationwhichissoughtcouldreasonablybeobtainedbyotherlessintrusivemeans.Allsuchactivityshouldbecarefullymanagedtomeettheobjectiveinquestionandmustnotbearbitraryorunfair.
Collateral Intrusion
2.6 Beforeauthorisingsurveillancetheauthorisingofficershouldalsotakeintoaccounttheriskofintrusionintotheprivacyofpersonsotherthanthosewhoaredirectlythesubjectsoftheinvestigationoroperation(collateralintrusion).Measuresshouldbetaken,whereverpracticable,toavoidorminimiseunnecessaryintrusionintothelivesofthosenotdirectlyconnectedwiththeinvestigationoroperation.
2.7 Anapplicationforanauthorisationshouldincludeanassessmentoftheriskofanycollateralintrusion.Theauthorisingofficershouldtakethisintoaccount,whenconsideringtheproportionalityofthesurveillance.
2.8 Thosecarryingoutthesurveillanceshouldinformtheauthorisingofficeriftheinvestigationoroperationunexpectedlyinterfereswiththeprivacyofindividualswhoarenotcoveredbythe
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authorisation.Whentheoriginalauthorisationmaynotbesufficient,considerationshouldbegiventowhethertheauthorisationneedstobeamendedandreauthorisedoranewauthorisationisrequired.
2.9 Anypersongrantingorapplyingforanauthorisationorwarrantwillalsoneedtobeawareofparticularsensitivitiesinthelocalcommunitywherethesurveillanceistakingplaceandofsimilaractivitiesbeingundertakenbyotherpublicauthoritieswhichcouldimpactonthedeploymentofsurveillance.Inthisregard,itisrecommendedthatwheretheauthorisingofficersintheNationalCriminalIntelligenceService(NCIS),theNationalCrimeSquad(NCS)andHMCustomsandExcise(HMCE)considerthatconflictsmightarisetheyshouldconsultaseniorofficerwithinthepoliceforceareainwhichtheinvestigationoroperationtakesplace.
2.10 Themattersinparagraphs2.1–2.9abovemustalsobetakenintoaccountwhenapplyingforauthorisationsorwarrantsforentryonorinterferencewithpropertyorwithwirelesstelegraphy.Inparticulartheymustbenecessaryinthecircumstancesoftheparticularcaseforoneofthestatutorygroundlistedinsection93(2)(a)ofthe1997Actandsection5(2)(c)ofthe1994Act,proportionateandwhenexercisedstepsshouldbetakentominimisecollateralintrusion.
Combined authorisations
2.11 Asingleauthorisationmaycombine:
twoormoredifferentauthorisationsunderPartIIofthe2000Act;anauthorisationunderPartIIofthe2000ActandanauthorisationunderPartIIIofthe1997Act;awarrantforintrusivesurveillanceunderPartIIofthe2000Actandawarrantundersection5ofthe1994Act.
2.12 Forexample,asingleauthorisationmaycombineauthorisationsfordirectedandintrusivesurveillance.Theprovisionsapplicableinthecaseofeachoftheauthorisationsmustbeconsideredseparately.Thus,apolicesuperintendentcanauthorisethedirectedsurveillancebuttheintrusivesurveillanceneedstheseparateauthorisationofachiefconstable,andincertaincasestheapprovalofaSurveillance
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Commissionerwillalsobenecessary.WhereanauthorisationfordirectedsurveillanceortheuseorconductofacoverthumanintelligencesourceiscombinedwithaSecretaryofStateauthorisationforintrusivesurveillance,thecombinedauthorisationmustbeissuedbytheSecretaryofState.However,thisdoesnotprecludepublicauthoritiesfromobtainingseparateauthorisations.
2.13 Incaseswhereoneagencyisactingonbehalfofanother,itisusuallyforthetaskingagencytoobtainorprovidetheauthorisation.Forexample,wheresurveillanceiscarriedoutbytheArmedForcesonbehalfofthepolice,authorisationswouldbesoughtbythepoliceandgrantedbytheappropriateauthorisingofficer.IncaseswheretheSecurityServiceisactinginsupportofthepoliceorotherlawenforcementagenciesinthefieldofseriouscrime,theSecurityServicewouldnormallyseekauthorisations.
Central record of all authorisations
2.14 Acentrallyretrievablerecordofallauthorisationsshouldbeheldbyeachpublicauthorityandregularlyupdatedwheneveranauthorisationisgranted,renewedorcancelled.TherecordshouldbemadeavailabletotherelevantCommissioneroranInspectorfromtheOfficeofSurveillanceCommissioners,uponrequest.Theserecordsshouldberetainedforaperiodofatleastthreeyearsfromtheendingoftheauthorisationandshouldcontainthefollowinginformation:
thetypeofauthorisation;thedatetheauthorisationwasgiven;nameandrank/gradeoftheauthorisingofficer;theuniquereferencenumber(URN)oftheinvestigationoroperation;thetitleoftheinvestigationoroperation,includingabriefdescriptionandnamesofsubjects,ifknown;whethertheurgencyprovisionswereused,andifsowhy.iftheauthorisationisrenewed,whenitwasrenewedandwhoauthorisedtherenewal,includingthenameandrank/gradeoftheauthorisingofficer;whethertheinvestigationoroperationislikelytoresultinobtainingconfidentialinformationasdefinedinthiscodeofpractice;
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thedatetheauthorisationwascancelled.
2.15 Inallcases,therelevantauthorityshouldmaintainthefollowingdocumentationwhichneednotformpartofthecentrallyretrievablerecord:
acopyoftheapplicationandacopyoftheauthorisationtogetherwithanysupplementarydocumentationandnotificationoftheapprovalgivenbytheauthorisingofficer;arecordoftheperiodoverwhichthesurveillancehastakenplace;thefrequencyofreviewsprescribedbytheauthorisingofficer;arecordoftheresultofeachreviewoftheauthorisation;copyofanyrenewalofanauthorisation,togetherwiththesupportingdocumentationsubmittedwhentherenewalwasrequested;thedateandtimewhenanyinstructionwasgivenbytheauthorisingofficer.
retention and destruction of the product
2.16 Wheretheproductofsurveillancecouldberelevanttopendingorfuturecriminalorcivilproceedings,itshouldberetainedinaccordancewithestablisheddisclosurerequirementsforasuitablefurtherperiod,commensuratetoanysubsequentreview.
2.17 Inthecasesofthelawenforcementagencies(notincludingtheRoyalNavyRegulatingBranch,theRoyalMilitaryPoliceandtheRoyalAirForcePolice),particularattentionisdrawntotherequirementsofthecodeofpracticeissuedundertheCriminalProcedureandInvestigationsAct1996.Thisrequiresthatmaterialwhichisobtainedinthecourseofacriminalinvestigationandwhichmayberelevanttotheinvestigationmustberecordedandretained.
2.18 Thereisnothinginthe2000Actwhichpreventsmaterialobtainedfromproperlyauthorisedsurveillancefrombeingusedinotherinvestigations.Eachpublicauthoritymustensurethatarrangementsareinplaceforthehandling,storageanddestructionofmaterialobtainedthroughtheuseofcovertsurveillance.Authorisingofficers
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mustensurecompliancewiththeappropriatedataprotectionrequirementsandanyrelevantcodesofpracticeproducedbyindividualauthoritiesrelatingtothehandlingandstorageofmaterial.
The Intelligence Services, Mod and HM Forces
2.19 Theheadsoftheseagenciesareresponsibleforensuringthatarrangementsexistforsecuringthatnoinformationisstoredbytheauthorities,exceptasnecessaryfortheproperdischargeoftheirfunctions.Theyarealsoresponsibleforarrangementstocontrolonwarddisclosure.Fortheintelligenceservices,thisisastatutorydutyunderthe1989Actandthe1994Act.
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3.1 The2000Actdoesnotprovideanyspecialprotectionfor‘confidentialinformation’.Nevertheless,particularcareshouldbetakenincaseswherethesubjectoftheinvestigationoroperationmightreasonablyexpectahighdegreeofprivacy,orwhereconfidentialinformationisinvolved.Confidentialinformationconsistsofmatterssubjecttolegalprivilege,confidentialpersonalinformationorconfidentialjournalisticmaterial.So,forexample,extracareshouldbegivenwhere,throughtheuseofsurveillance,itwouldbepossibletoacquireknowledgeofdiscussionsbetweenaministerofreligionandanindividualrelatingtothelatter’sspiritualwelfare,orwheremattersofmedicalorjournalisticconfidentialityorlegalprivilegemaybeinvolved.
3.2 Incaseswherethroughtheuseofsurveillanceitislikelythatknowledgeofconfidentialinformationwillbeacquired,theuseofsurveillanceissubjecttoahigherlevelofauthorisation.AnnexAliststheauthorisingofficerforeachpublicauthoritypermittedtoauthorisesuchsurveillance.
Communications Subject to Legal Privilege
3.3 Section98ofthe1997ActdescribesthosemattersthataresubjecttolegalprivilegeinEnglandandWales.InScotland,therelevantdescriptioniscontainedinsection33oftheCriminalLaw(Consolidation)(Scotland)Act1995.WithregardtoNorthernIreland,Article12ofthePoliceandCriminalEvidence(NorthernIreland)Order1989shouldbereferredto.
3.4 Legalprivilegedoesnotapplytocommunicationsmadewiththeintentionoffurtheringacriminalpurpose(whetherthelawyerisactingunwittinglyorculpably).Legallyprivilegedcommunications
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willlosetheirprotectioniftherearegroundstobelieve,forexample,thattheprofessionallegaladviserisintendingtoholdorusethemforacriminalpurpose.Butprivilegeisnotlostifaprofessionallegaladviserisproperlyadvisingapersonwhoissuspectedofhavingcommittedacriminaloffence.Theconceptoflegalprivilegeappliestotheprovisionofprofessionallegaladvicebyanyindividual,agencyororganisationqualifiedtodoso.
3.5 The2000Actdoesnotprovideanyspecialprotectionforlegallyprivilegedinformation.Nevertheless,suchinformationisparticularlysensitiveandsurveillancewhichacquiressuchmaterialmayengageArticle6oftheECHR(righttoafairtrial)aswellasArticle8.Legallyprivilegedinformationobtainedbysurveillanceisextremelyunlikelyevertobeadmissibleasevidenceincriminalproceedings.Moreover,themerefactthatsuchsurveillancehastakenplacemayleadtoanyrelatedcriminalproceedingsbeingstayedasanabuseofprocess.Accordingly,actionwhichmayleadtosuchinformationbeingacquiredissubjecttoadditionalsafeguardsunderthiscode.
3.6 Ingeneral,anapplicationforsurveillancewhichislikelytoresultintheacquisitionoflegallyprivilegedinformationshouldonlybemadeinexceptionalandcompellingcircumstances.Fullregardshouldbehadtotheparticularproportionalityissuessuchsurveillanceraises.Theapplicationshouldinclude,inadditiontothereasonswhyitisconsiderednecessaryforthesurveillancetotakeplace,anassessmentofhowlikelyitisthatinformationsubjecttolegalprivilegewillbeacquired.Inaddition,theapplicationshouldclearlystatewhetherthepurpose(oroneofthepurposes)ofthesurveillanceistoobtainlegallyprivilegedinformation.
3.7 Thisassessmentwillbetakenintoaccountbytheauthorisingofficerindecidingwhethertheproposedsurveillanceisnecessaryandproportionateundersection28ofthe2000Actfordirectedsurveillanceandundersection32forintrusivesurveillance.Theauthorisingofficermayrequireregularreportingsoastobeabletodecidewhethertheauthorisationshouldcontinue.Inthosecaseswherelegallyprivilegedinformationhasbeenacquiredandretained,
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themattershouldbereportedtotherelevantCommissionerorInspectorduringhisnextinspectionandthematerialbemadeavailabletohimifrequested.
3.8 Asubstantialproportionofthecommunicationsbetweenalawyerandhisclient(s)maybesubjecttolegalprivilege.Therefore,anycasewherealawyeristhesubjectofaninvestigationoroperationshouldbenotifiedtotherelevantCommissionerduringhisnextinspectionandanymaterialwhichhasbeenretainedshouldbemadeavailabletohimifrequested.
3.9 Wherethereisanydoubtastothehandlinganddisseminationofinformationwhichmaybesubjecttolegalprivilege,adviceshouldbesoughtfromalegaladviserwithintherelevantpublicauthoritybeforeanyfurtherdisseminationofthematerialtakesplace.Similaradviceshouldalsobesoughtwherethereisdoubtoverwhetherinformationisnotsubjecttolegalprivilegeduetothe“infurtheranceofacriminalpurpose”exception.Theretentionoflegallyprivilegedinformation,oritsdisseminationtoanoutsidebody,shouldbeaccompaniedbyaclearwarningthatitissubjecttolegalprivilege.Itshouldbesafeguardedbytakingreasonablestepstoensurethereisnopossibilityofitbecomingavailable,oritscontentsbecomingknown,toanypersonwhosepossessionofitmightprejudiceanycriminalorcivilproceedingsrelatedtotheinformation.AnydisseminationoflegallyprivilegedmaterialtoanoutsidebodyshouldbenotifiedtotherelevantCommissionerorInspectorduringhisnextinspection.
Communications involving Confidential Personal Information and Confidential Journalistic Material
3.10 Similarconsiderationmustalsobegiventoauthorisationsthatinvolveconfidentialpersonalinformationandconfidentialjournalisticmaterial.Inthosecaseswhereconfidentialpersonalinformationandconfidentialjournalisticmaterialhasbeenacquiredandretained,themattershouldbereportedtotherelevantCommissionerorInspectorduringhisnextinspectionandthematerialbemadeavailabletohimifrequested.Confidentialpersonalinformationisinformationheldinconfidencerelatingtothephysicalormentalhealthorspiritualcounsellingconcerninganindividual(whetherlivingordead)who
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canbeidentifiedfromit.Suchinformation,whichcanincludebothoralandwrittencommunications,isheldinconfidenceifitisheldsubjecttoanexpressorimpliedundertakingtoholditinconfidenceoritissubjecttoarestrictionondisclosureoranobligationofconfidentialitycontainedinexistinglegislation.Examplesmightincludeconsultationsbetweenahealthprofessionalandapatient,orinformationfromapatient’smedicalrecords.
3.11 SpiritualcounsellingmeansconversationsbetweenanindividualandaMinisterofReligionactinginhisofficialcapacity,wheretheindividualbeingcounselledisseekingortheMinisterisimpartingforgiveness,absolutionortheresolutionofconsciencewiththeauthorityoftheDivineBeing(s)oftheirfaith.
3.12 Confidentialjournalisticmaterialincludesmaterialacquiredorcreatedforthepurposesofjournalismandheldsubjecttoanundertakingtoholditinconfidence,aswellascommunicationsresultingininformationbeingacquiredforthepurposesofjournalismandheldsubjecttosuchanundertaking.
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4.1 Directedsurveillanceisdefinedinsection26(2)ofthe2000Actassurveillancewhichiscovert,butnotintrusive,andundertaken:
(a) forthepurposesofaspecificinvestigationorspecificoperation;
(b) insuchamannerasislikelytoresultintheobtainingofprivateinformationaboutaperson(whetherornotonespecificallyidentifiedforthepurposesoftheinvestigationoroperation);and
(c) otherwisethanbywayofanimmediateresponsetoeventsorcircumstancesthenatureofwhichissuchthatitwouldnotbereasonablypracticableforanauthorisationunderPartIIofthe2000Acttobesoughtforthecarryingoutofthesurveillance.
4.2 Covertsurveillanceisdefinedinsection26(9)(a)ofthe2000Actasanysurveillancewhichiscarriedoutinamannercalculatedtoensurethatthepersonssubjecttothesurveillanceareunawarethatitisormaybetakingplace.
4.3 Privateinformationisdefinedinsection26(10)ofthe2000Actasincludinganyinformationrelatingtoaperson’sprivateorfamilylife.Theconceptofprivateinformationshouldbebroadlyinterpretedtoincludeanindividual’sprivateorpersonalrelationshipwithothers.Familylifeshouldbetreatedasextendingbeyondtheformalrelationshipscreatedbymarriage.
4.4 Directedsurveillancedoesnotincludecovertsurveillancecarriedoutbywayofanimmediateresponsetoeventsorcircumstanceswhich,bytheirverynature,couldnothavebeenforeseen.Forexample,apoliceofficerwouldnotrequireanauthorisationtoconcealhimselfandobserveasuspiciouspersonthathecameacrossinthecourseofapatrol.
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4.5 Byvirtueofsection48(4)ofthe2000Act,surveillanceincludestheinterceptionofpostalandtelephonecommunicationswherethesenderorrecipientconsentstothereadingoforlisteningtoorrecordingofthecommunication(asthecasemaybe).Forfurtherdetailsseeparagraphs4.30–4.32ofthiscode.
4.6 Surveillanceinresidentialpremisesorinprivatevehiclesisdefinedasintrusivesurveillanceinsection26(3)ofthe2000Actandisdealtwithinchapter5ofthiscode.However,wheresurveillanceiscarriedoutbyadevicedesignedoradaptedprincipallyforthepurposeofprovidinginformationaboutthelocationofavehicle,theactivityisdirectedsurveillanceandshouldbeauthorisedaccordingly.
4.7 Directedsurveillancedoesnotincludeentryonorinterferencewithpropertyorwithwirelesstelegraphy.Theseactivitiesaresubjecttoaseparateregimeofauthorisationorwarranty,assetoutinchapter6ofthiscode.
4.8 Directedsurveillanceincludescovertsurveillancewithinofficepremises,(asdefinedinparagraph6.31ofthiscode).Authorisingofficersareremindedthatconfidentialinformationshouldbeaffordedanenhancedlevelofprotection.Chapter3ofthiscodeprovidesthatincaseswherethelikelyconsequenceofsurveillanceistoacquireconfidentialinformation,theauthorisationshouldbegivenatahigherlevel.
Authorisation Procedures
4.9 Undersection28(3)ofthe2000Actanauthorisationfordirectedsurveillancemaybegrantedbyanauthorisingofficerwherehebelievesthattheauthorisationisnecessaryinthecircumstancesoftheparticularcase:
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intheinterestsofnationalsecurity1,2;forthepurposeofpreventinganddetecting3crimeorofpreventingdisorder;intheinterestsoftheeconomicwell-beingoftheUK;intheinterestsofpublicsafety;forthepurposeofprotectingpublichealth;4
forthepurposeofassessingorcollectinganytax,duty,levyorotherimposition,contributionorchargepayabletoagovernmentdepartment;orforanyotherpurposeprescribedbyanordermadebytheSecretaryofState.5
4.10 Theauthorisingofficermustalsobelievethatthesurveillanceisproportionatetowhatitseekstoachieve.
4.11 ThepublicauthoritiesentitledtoauthorisedirectedsurveillancearelistedinSchedule1tothe2000Act.Responsibilityforauthorisingthecarryingoutofdirectedsurveillancerestswiththeauthorisingofficerandrequiresthepersonalauthorityoftheauthorisingofficer.TheRegulationofInvestigatoryPowers(PrescriptionsofOffices,RanksandPositions)Order2000;SlNo:2417designatestheauthorisingofficerforeachdifferentpublicauthorityandtheofficersentitledtoactonlyinurgentcases.Whereanauthorisationfor
1 OneofthefunctionsoftheSecurityServiceistheprotectionofnationalsecurityandinparticulartheprotectionagainstthreatsfromterrorism.ThesefunctionsextendthroughouttheUnitedKingdom,savethat,inNorthernIreland,wheretheleadresponsibilityforinvestigatingthethreatfromterrorismrelatedtotheaffairsofNorthernIrelandlieswiththePoliceServiceofNorthernIreland.AnauthorisingofficerinanotherpublicauthorityshouldnotissueanauthorisationunderPartIIofthe2000ActorunderPartIIIofthe1997ActwheretheoperationorinvestigationfallswithintheresponsibilitiesoftheSecurityService,assetoutabove,exceptwhereitisadirectedsurveillanceinvestigationoroperationthatistobecarriedoutbyaSpecialBranchorwheretheSecurityServicehasagreedthatanotherpublicauthoritycancarryoutadirectedsurveillanceoperationorinvestigationwhichwouldfallwithintheresponsibilitiesoftheSecurityService.
2 HMForcesmayalsoundertakeoperationsinconnectionwithamilitarythreattonationalsecurityandotheroperationsinconnectionwithnationalsecurityinsupportoftheSecurityService,thePoliceServiceofNorthernIrelandorotherCivilPowers.
3 Detectingcrimeisdefinedinsection81(5)ofthe2000Actandisappliedtothe1997Actbysection134ofthatAct(asamended).
4 Thiscouldincludeinvestigationsintoinfectiousdiseases,contaminatedproductsortheillicitsaleofpharmaceuticals.
5 ThiscouldonlybeforapurposewhichsatisfiesthecriteriasetoutinArticle8(2)oftheECHR.
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directedsurveillanceiscombinedwithaSecretaryofStateauthorisationforintrusivesurveillance,thecombinedauthorisationmustbeissuedbytheSecretaryofState.
4.12 Theauthorisingofficermustgiveauthorisationsinwriting,exceptthatinurgentcases,theymaybegivenorallybytheauthorisingofficerortheofficerentitledtoactinurgentcases.Insuchcases,astatementthattheauthorisingofficerhasexpresslyauthorisedtheactionshouldberecordedinwritingbytheapplicantassoonasisreasonablypracticable.
4.13 Acaseisnotnormallytoberegardedasurgentunlessthetimethatwouldelapsebeforetheauthorisingofficerwasavailabletogranttheauthorisationwould,inthejudgementofthepersongivingtheauthorisation,belikelytoendangerlifeorjeopardisetheinvestigationoroperationforwhichtheauthorisationwasbeinggiven.Anauthorisationisnottoberegardedasurgentwheretheneedforanauthorisationhasbeenneglectedortheurgencyisoftheauthorisingofficer’sownmaking.
4.14 Authorisingofficersshouldnotberesponsibleforauthorisinginvestigationsoroperationsinwhichtheyaredirectlyinvolved,althoughitisrecognisedthatthismaysometimesbeunavoidable,especiallyinthecaseofsmallorganisations,orwhereitisnecessarytoacturgently.Whereanauthorisingofficerauthorisessuchaninvestigationoroperationthecentralrecordofauthorisations(seeparagraphs2.14–2.15)shouldhighlightthisandtheattentionofaCommissionerorInspectorshouldbeinvitedtoitduringhisnextinspection.
4.15 AuthorisingofficerswithinthePolice,NCISandNCSmayonlygrantauthorisationsonapplicationbyamemberoftheirownforce,ServiceorSquad.AuthorisingofficersinHMCEmayonlygrantanauthorisationonapplicationbyacustomsofficer.6
6 Asdefinedinsection81(l)ofthe2000Act.
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Information to be provided in applications for authorisation
4.16 Awrittenapplicationforauthorisationfordirectedsurveillanceshoulddescribeanyconducttobeauthorisedandthepurposeoftheinvestigationoroperation.Theapplicationshouldalsoinclude:
thereasonswhytheauthorisationisnecessaryintheparticularcaseandonthegrounds(e.g.forthepurposeofpreventingordetectingcrime)listedinSection28(3)ofthe2000Act;thereasonswhythesurveillanceisconsideredproportionatetowhatitseekstoachieve;thenatureofthesurveillance;theidentities,whereknown,ofthosetobethesubjectofthesurveillance;anexplanationoftheinformationwhichitisdesiredtoobtainasaresultofthesurveillance;thedetailsofanypotentialcollateralintrusionandwhytheintrusionisjustified;thedetailsofanyconfidentialinformationthatislikelytobeobtainedasaconsequenceofthesurveillance.thelevelofauthorityrequired(orrecommendedwherethatisdifferent)forthesurveillance;andasubsequentrecordofwhetherauthoritywasgivenorrefused,bywhomandthetimeanddate.
4.17 Additionally,inurgentcases,theauthorisationshouldrecord(asthecasemaybe):
thereasonswhytheauthorisingofficerortheofficerentitledtoactinurgentcasesconsideredthecasesourgentthatanoralinsteadofawrittenauthorisationwasgiven;and/orthereasonswhyitwasnotreasonablypracticablefortheapplicationtobeconsideredbytheauthorisingofficer.
4.18 Wheretheauthorisationisoral,thedetailreferredtoaboveshouldberecordedinwritingbytheapplicantassoonasreasonablypracticable.
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duration of authorisations
4.19 Awrittenauthorisationgrantedbyanauthorisingofficerwillceasetohaveeffect(unlessrenewed)attheendofaperiodofthree monthsbeginningwiththedayonwhichittookeffect.
4.20 Urgentoralauthorisationsorwrittenauthorisationsgrantedbyapersonwhoisentitledtoactonlyinurgentcaseswill,unlessrenewed,ceasetohaveeffectafterseventy-two hours,beginningwiththetimewhentheauthorisationwasgrantedorrenewed.
reviews
4.21 Regularreviewsofauthorisationsshouldbeundertakentoassesstheneedforthesurveillancetocontinue.Theresultsofareviewshouldberecordedonthecentralrecordofauthorisations(seeparagraphs2.14–2.15).Particularattentionisdrawntotheneedtoreviewauthorisationsfrequentlywherethesurveillanceprovidesaccesstoconfidentialinformationorinvolvescollateralintrusion.
4.22 Ineachcasetheauthorisingofficerwithineachpublicauthorityshoulddeterminehowoftenareviewshouldtakeplace.Thisshouldbeasfrequentlyasisconsiderednecessaryandpracticable.
renewals
4.23 Ifatanytimebeforeanauthorisationwouldceasetohaveeffect,theauthorisingofficerconsidersitnecessaryfortheauthorisationtocontinueforthepurposeforwhichitwasgiven,hemayrenewitinwritingforafurtherperiodofthree monthsunlessitisacasetowhichparagraph4.25applies.Renewalsmayalsobegrantedorallyinurgentcasesandlastforaperiodofseventy-two hours.
4.24 Arenewaltakeseffectatthetimeatwhich,ordayonwhichtheauthorisationwouldhaveceasedtohaveeffectbutfortherenewal.Anapplicationforrenewalshouldnotbemadeuntilshortlybeforetheauthorisationperiodisdrawingtoanend.Anypersonwhowouldbeentitledtograntanewauthorisationcanrenewanauthorisation.Authorisationsmayberenewedmorethanonce,providedtheycontinuetomeetthecriteriaforauthorisation.
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4.25 Ifatanytimebeforeanauthorisationfordirectedsurveillance,grantedonthegroundsofitbeingintheinterestsofnationalsecurityorintheinterestsoftheeconomicwell-beingoftheUK,wouldceasetohaveeffect,anauthorisingofficerwhoisamemberoftheintelligenceservicesconsidersitnecessaryforittocontinue,hemayrenewitforafurtherperiodofsix months,beginningwiththedayonwhichitwouldhaveceasedtohaveeffectbutfortherenewal.
4.26 Allapplicationsfortherenewalofanauthorisationfordirectedsurveillanceshouldrecord:
whetherthisisthefirstrenewaloreveryoccasiononwhichtheauthorisationhasbeenrenewedpreviously;anysignificantchangestotheinformationinparagraph4.16;thereasonswhyitisnecessarytocontinuewiththedirectedsurveillance;thecontentandvaluetotheinvestigationoroperationoftheinformationsofarobtainedbythesurveillance;theresultsofregularreviewsoftheinvestigationoroperation.
4.27 Authorisationsmayberenewedmorethanonce,ifnecessary,andtherenewalshouldbekept/recordedaspartofthecentralrecordofauthorisations(seeparagraphs2.14–2.15).
Cancellations
4.28 Theauthorisingofficerwhograntedorlastrenewedtheauthorisationmustcancelitifheissatisfiedthatthedirectedsurveillancenolongermeetsthecriteriauponwhichitwasauthorised.Wheretheauthorisingofficerisnolongeravailable,thisdutywillfallonthepersonwhohastakenovertheroleofauthorisingofficerorthepersonwhoisactingasauthorisingofficer(seetheRegulationofInvestigatoryPowers(CancellationofAuthorisations)Order2000;SINo:2794).
Ceasing of surveillance activity
4.29 Assoonasthedecisionistakenthatdirectedsurveillanceshouldbediscontinued,theinstructionmustbegiventothoseinvolvedtostopallsurveillanceofthesubject(s).Thedateandtimewhensuchan
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instructionwasgivenshouldberecordedinthecentralrecordofauthorisations(seeparagraphs2.14–2.15)andthenotificationofcancellationwhererelevant.
Additional rules
Recording of telephone conversations
4.30 Subjecttoparagraph4.31below,theinterceptionofcommunicationssentbypostorbymeansofpublictelecommunicationssystemsorprivatetelecommunicationssystemsattachedtothepublicnetworkmaybeauthorisedonlybytheSecretaryofState,inaccordancewiththetermsofPartIofthe2000Act.NothinginthiscodeshouldbetakenasgrantingdispensationfromtherequirementsofthatPartofthe2000Act.
4.31 PartIofthe2000ActprovidescertainexceptionstotherulethatinterceptionoftelephoneconversationsmustbewarrantedunderthatPart.Thisincludes,whereonepartytothecommunicationconsentstotheinterception,itmaybeauthorisedinaccordancewithsection48(4)ofthe2000Actprovidedthatthereisnointerceptionwarrantauthorisingtheinterception.Insuchcases,theinterceptionistreatedasdirectedsurveillance.
4.32 Theuseofasurveillancedeviceshouldnotberuledoutsimplybecauseitmayincidentallypickuponeorbothendsofatelephoneconversation,andanysuchproductcanbetreatedashavingbeenlawfullyobtained.However,itsusewouldnotbeappropriatewherethesolepurposeistooverhearspeechwhich,atthetimeofmonitoring,isbeingtransmittedbyatelecommunicationssystem.Insuchcasesanapplicationshouldbemadeforaninterceptionofcommunicationwarrantundersection5ofthe2000Act.
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5.1 Intrusivesurveillanceisdefinedinsection26(3)ofthe2000Actascovertsurveillancethat:
(a) iscarriedoutinrelationtoanythingtakingplaceonanyresidentialpremisesorinanyprivatevehicle;and
(b) involvesthepresenceofanindividualonthepremisesorinthevehicleoriscarriedoutbymeansofasurveillancedevice.
5.2 Covertsurveillanceisdefinedinsection26(9)(a)ofthe2000Actasanysurveillancewhichiscarriedoutinamannercalculatedtoensurethatthepersonssubjecttothesurveillanceareunawarethatitisormaybetakingplace.
5.3 Wheresurveillanceiscarriedoutinrelationtoanythingtakingplaceonanyresidentialpremisesorinanyprivatevehiclebymeansofadevice,withoutthatdevicebeingpresentonthepremises,orinthevehicle,itisnotintrusiveunlessthedeviceconsistentlyprovidesinformationofthesamequalityanddetailasmightbeexpectedtobeobtainedfromadeviceactuallypresentonthepremisesorinthevehicle.Thus,anobservationpostoutsidepremises,whichprovidesalimitedviewandnosoundofwhatishappeninginsidethepremiseswouldnotbeconsideredasintrusivesurveillance.
5.4 Residentialpremisesaredefinedinsection48(l)ofthe2000Act.Thedefinitionincludeshotelrooms,bedroomsinbarracks,andpoliceandprisoncellsbutnotanycommonareatowhichapersonisallowedaccessinconnectionwithhisoccupationofsuchaccommodatione.g.ahotellounge.
5.5 Aprivatevehicleisdefinedinsection48(l)ofthe2000Actasanyvehiclewhichisusedprimarilyfortheprivatepurposesofthepersonwhoownsitorofapersonotherwisehavingtherighttouseit.
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Apersondoesnothavearighttouseamotorvehicleifhisrighttouseitderivesonlyfromhishavingpaid,orundertakentopay,fortheuseofthevehicleanditsdriverforaparticularjourney.
5.6 Inmanycases,asurveillanceinvestigationoroperationmayinvolvebothintrusivesurveillanceandentryonorinterferencewithpropertyorwithwirelesstelegraphy.Insuchcases,bothactivitiesneedauthorisation.Thiscanbedoneasacombinedauthorisation(seeparagraph2.11).
5.7 AnauthorisationforintrusivesurveillancemaybeissuedbytheSecretaryofState(fortheintelligenceservices,theMinistryofDefence,HMForcesandanyotherpublicauthoritydesignatedundersection41(l))orbyaseniorauthorisingofficer(forpolice,NCIS,NCSandHMCE).
5.8 AllauthorisationsrequirethepersonalauthorityoftheSecretaryofStateortheseniorauthorisingofficer.Anymembersorofficialsoftheintelligenceservices,theMinistryofDefenceandHMForcescanapplytotheSecretaryofStateforanintrusivesurveillancewarrant.Undersection32(2)ofthe2000ActneithertheSecretaryofStateortheseniorauthorisingofficermayauthoriseintrusivesurveillanceunlesshebelieves:
(a) thattheauthorisationisnecessaryinthecircumstancesoftheparticularcaseonthegroundsthatitis:
intheinterestsofnationalsecurity;7
forthepurposeofpreventingordetectingseriouscrime;orintheinterestsoftheeconomicwell-beingoftheUK;
and
(b) theauthorisingofficermustalsobelievethatthesurveillanceisproportionatetowhatitseekstoachieve.
7 AseniorauthorisingofficerofalawenforcementagencyshouldnotissueanauthorisationforintrusivesurveillanceorentryonorinterferencewithpropertyorwithwirelesstelegraphywheretheoperationiswithintheresponsibilitiesofoneoftheintelligenceservicesandproperlyfallstobeauthorisedbywarrantissuedbytheSecretaryofStateunderPartIIofthe2000Actorthe1994Act.Alsoseefootnotes1and2.
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5.9 Afactorwhichmustbetakenintoaccountindecidingwhetheranauthorisationisnecessaryandproportionateiswhethertheinformationwhichitisthoughtnecessarytoobtainbymeansoftheintrusivesurveillancecouldreasonablybeobtainedbyotherlessintrusivemeans.
Authorisations Procedures for Police, national Criminal Intelligence Service, the national Crime Squad and HM Customs and Excise
5.10 Theseniorauthorisingofficershouldgenerallygiveauthorisationsinwriting.However,inurgentcases,theymaybegivenorally.Inanurgentoralcase,astatementthattheseniorauthorisingofficerhasexpresslyauthorisedtheconductshouldberecordedinwritingbytheapplicantassoonasisreasonablypracticable.
5.11 Iftheseniorauthorisingofficerisabsentthenasprovidedforinsection12(4)ofthePoliceAct1996,section5(4)ofthePolice(Scotland)Act1967,section25oftheCityofLondonPoliceAct1839,orsections8or54ofthe1997Act,anauthorisationcanbegiveninwritingor,inurgentcases,orallybythedesignateddeputy.
5.12 Inanurgentcase,whereitisnotreasonablypracticablehavingregardtotheurgencyofthecaseforthedesignateddeputytoconsidertheapplication,awrittenauthorisationmaybegrantedbyapersonentitledtoactundersection34(4)ofthe2000Act.
5.13 Acaseisnotnormallytoberegardedasurgentunlessthetimethatwouldelapsebeforetheauthorisingofficerwasavailabletogranttheauthorisationwould,inthejudgementofthepersongivingtheauthorisation,belikelytoendangerlifeorjeopardisetheinvestigationoroperationforwhichtheauthorisationwasbeinggiven.Anauthorisationisnottoberegardedasurgentwheretheneedforanauthorisationhasbeenneglectedortheurgencyisoftheauthorisingofficer’sownmaking.
5.14 Theconsiderationofanauthorisationbytheseniorauthorisingofficerisonlytoberegardedasnotreasonablypracticable(withinthemeaningofsection34(2)ofthe2000Act)ifheisonannualleave,isabsentfromhisofficeandhishome,orisforsomereasonnotablewithinareasonabletimetoobtainaccesstoasecuretelephoneorfax
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machine.Pressureofworkisnotnormallytoberegardedasrenderingitimpracticableforaseniorauthorisingofficertoconsideranapplication.Whereadesignateddeputygivesanauthorisationthisshouldbemadeclearandthereasonfortheabsenceoftheseniorauthorisingofficergiven.
5.15 Apolice,NCISorNCSauthorisationcannotbegrantedunlesstheapplicationismadebyamemberofthesameforce,serviceorsquad.ForHMCEanauthorisationcannotbegrantedunlesstheapplicationismadebyacustomsofficer.Wherethesurveillanceiscarriedoutinrelationtoanyresidentialpremises,theauthorisationcannotbegrantedunlesstheresidentialpremisesareintheareaofoperationoftheforce,service,squadororganisation.
Information to be provided in applications for authorisation
5.16 Applicationsshouldbeinwritinganddescribetheconducttobeauthorisedandthepurposeoftheinvestigationoroperation.Theapplicationshouldspecify:
thereasonswhytheauthorisationisnecessaryintheparticularcaseandonthegrounds(e.g.forthepurposeofpreventingordetectingseriouscrime)listedinsection32(3)ofthe2000Act;thereasonswhythesurveillanceisconsideredproportionatetowhatitseekstoachieve;thenatureofthesurveillance;theresidentialpremisesorprivatevehicleinrelationtowhichthesurveillancewilltakeplace;theidentities,whereknown,ofthosetobethesubjectofthesurveillance;anexplanationoftheinformationwhichitisdesiredtoobtainasaresultofthesurveillance;detailsofanypotentialcollateralintrusionandwhytheintrusionisjustified;detailsofanyconfidentialinformationthatislikelytobeobtainedasaconsequenceofthesurveillance.Asubsequentrecordshouldbemadeofwhetherauthoritywasgivenorrefused,bywhomandthetimeanddate.
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5.17 Additionally,inurgentcases,theauthorisationshouldrecord(asthecasemaybe):
thereasonswhytheauthorisingofficerordesignateddeputyconsideredthecasesourgentthatanoralinsteadofawrittenauthorisationwasgiven;and/orthereasonswhyitwasnotreasonablypracticablefortheapplicationtobeconsideredbytheseniorauthorisingofficerorthedesignateddeputy.
5.18 Wheretheapplicationisoral,thedetailreferredtoaboveshouldberecordedinwritingassoonasreasonablypracticable.
Approval of Surveillance Commissioners
5.19 Exceptinurgentcasesapolice,NCIS,NCSorHMCEauthorisationgrantedforintrusivesurveillancewillnottakeeffectuntilithasbeenapprovedbyaSurveillanceCommissionerandwrittennoticeoftheCommissioner’sdecisionhasbeengiventothepersonwhograntedtheauthorisation.Thismeansthattheapprovalwillnottakeeffectuntilthenoticehasbeenreceivedintheofficeofthepersonwhograntedtheauthorisationwithintherelevantforce,service,squadorHMCE.
5.20 WhentheauthorisationisurgentitwilltakeeffectfromthetimeitisgrantedprovidednoticeisgiventotheSurveillanceCommissionerinaccordancewithsection35(3)(b)(seesection36(3)ofthe2000Act).
5.21 TheremaybecasesthatbecomeurgentafterapprovalhasbeensoughtbutbeforearesponsehasbeenreceivedfromaSurveillanceCommissioner.Insuchacase,theauthorisingofficershouldnotifytheSurveillanceCommissionerthatthecaseisnowurgent(pointingoutthatithasbecomeurgentsincethenotification).Inthesecases,theauthorisationwilltakeeffectimmediately.
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Notifications to Surveillance Commissioners
5.22 Whereapersongrants,renewsorcancelsanauthorisation,hemust,assoonasisreasonablypracticable,givenoticeinwritingtoaSurveillanceCommissioner,inaccordancewithwhateverarrangementshavebeenmadebytheChiefSurveillanceCommissioner.
5.23 Inurgentcases,thenotificationmustspecifythegroundsonwhichthecaseisbelievedtobeoneofurgency.Theurgencyprovisionsshouldnotbeusedroutinely.IftheSurveillanceCommissionerissatisfiedthattherewerenogroundsforbelievingthecasetobeoneofurgency,hehasthepowertoquashtheauthorisation
5.24 TheinformationtobeincludedinthenotificationtotheSurveillanceCommissionerissetoutintheRegulationofInvestigatoryPowers(NotificationofAuthorisationsetc.)Order2000;SlNo:2563.
Authorisation Procedures for Secretary of State Authorisations
Authorisations
5.25 Anintrusivesurveillanceauthorisationforanyoftheintelligenceservices,theMinistryofDefence,HMForcesoranyotherpublicauthoritydesignatedforthispurposerequiresaSecretaryofStateauthorisation/warrant,unlesstheyareactingonbehalfofanotherpublicauthoritythathasobtainedanauthorisation.Inthiscontext,SecretaryofStatecanmeananySecretaryofState,althoughanauthorisationorwarrantshouldbeobtainedfromtheSecretaryofStateoftherelevantdepartment.
5.26 Intelligenceservicesauthorisationsmustbemadebyissueofawarrant.SuchwarrantswillgenerallybegiveninwritingbytheSecretaryofState.Inurgentcases,awarrantmaybesigned(butnotrenewed)byaseniorofficial,providedtheSecretaryofStatehasexpresslyauthorisedthis.
5.27 ApplicationstotheSecretaryofStateforauthorisationsshouldspecifythosematterslistedinparagraph5.16.
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All intrusive surveillance authorisations
5.28 Paragraphs5.29to5.42dealwiththeduration,renewalandcancellationofauthorisations.Unlessotherwisespecifiedtheguidancebelowappliestoallauthorisations.
duration of Authorisations
All authorisations except Secretary of State Intelligence Services authorisations
5.29 AwrittenauthorisationgrantedbyaSecretaryofState,aseniorauthorisingofficeroradesignateddeputywillceasetohaveeffect(unlessrenewed)attheendofaperiodofthree months,beginningwiththedayonwhichittookeffect.
5.30 OralauthorisationsgiveninurgentcasesbyaSecretaryofState,aseniorauthorisingofficersortheirdesignateddeputies,andwrittenauthorisationsgivenbythoseonlyentitledtoactinurgentcases(seeparagraph5.11),willceasetohaveeffect(unlessrenewed)attheendoftheperiodofseventy-two hoursbeginningwiththetimewhentheytookeffect.
Secretary of State intelligence services authorisations
5.31 AwarrantissuedbytheSecretaryofStatewillceasetohaveeffectattheendofaperiodofsix monthsbeginningwiththedayonwhichitwasissued.
5.32 WarrantsexpresslyauthorisedbyaSecretaryofState,andsignedonhisbehalfbyaseniorcivilservant,willceasetohaveeffectattheendofthesecond working dayfollowingthedayofissueofthewarrantunlessrenewedbytheSecretaryofState.
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renewals
All authorisations except Secretary of State Intelligence Services authorisations
5.33 Ifatanytimebeforeanauthorisationexpirestheseniorauthorisingofficeror,inhisabsence,thedesignateddeputyconsiderstheauthorisationshouldcontinuetohaveeffectforthepurposeforwhichitwasissued,hemayrenewitinwritingforafurtherperiodofthree months.
5.34 Aswiththeinitialauthorisation,theseniorauthorisingofficermust(unlessitisacasetowhichtheurgencyprocedureapplies)seektheapprovalofaSurveillanceCommissioner.Thismeansthattherenewalwillnottakeeffectuntilthenoticeofithasbeenreceivedintheofficeofthepersonwhograntedtheauthorisationwithintherelevantforce,service,squadorHMCE(butnotbeforethedayonwhichtheauthorisationwouldhaveotherwiseceasedtohaveeffect).Inurgentcases,arenewalcantakeeffectimmediately(providedthisisnotbeforethedayonwhichtheauthorisationwouldhaveotherwiseceasedtohaveeffect).Seesection35and36ofthe2000ActandtheRegulationofInvestigatoryPowers(NotificationofAuthorisationsetc.)Order2000;SINo:2563.
5.35 Subjecttoparagraph5.36,ifatanytimebeforethedayonwhichaSecretaryofStateauthorisationexpires,theSecretaryofStateconsidersitnecessaryforthewarranttoberenewedforthepurposeforwhichitwasissued,hemayrenewitinwritingforafurtherperiodofthree months,beginningwiththedayonwhichitwouldhaveceasedtohaveeffect,butfortherenewal.
Secretary of State intelligence services authorisations
5.36 Ifatanytimebeforeanintelligenceservicewarrantexpires,theSecretaryofStateconsidersitnecessaryforthewarranttoberenewedforthepurposeforwhichitwasissued,hemayrenewitinwritingforafurtherperiodofsix months,beginningwiththedayonwhichitwouldhaveceasedtohaveeffect,butfortherenewal.
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5.37 Allapplicationsforarenewalofanauthorisationorwarrantshouldrecord:
whetherthisisthefirstrenewaloreveryoccasiononwhichthewarrant/authorisationhasbeenrenewedpreviously;anysignificantchangestotheinformationlistedinparagraph5.16;thereasonswhyitisnecessarytocontinuewiththeintrusivesurveillance;thecontentandvaluetotheinvestigationoroperationoftheproductsofarobtainedbythesurveillance;theresultsofregularreviewsoftheinvestigationoroperation.
5.38 Authorisationsmayberenewedmorethanonce,ifnecessary,andtherenewalshouldbekept/recordedaspartofthecentralrecordofauthorisations(seeparagraphs2.14–2.15).
reviews
5.39 Regularreviewsofauthorisationsshouldbeundertakentoassesstheneedforthesurveillancetocontinue.Theresultsofareviewshouldberecordedonthecentralrecordofauthorisations(seeparagraphs2.14–2.15).Particularattentionisdrawntotheneedtoreviewauthorisationsfrequentlywheretheintrusivesurveillanceprovidesaccesstoconfidentialinformationorinvolvescollateralintrusion.
5.40 Theseniorauthorisingofficeror,forthosesubjecttoSecretaryofStateauthorisation,thememberorofficialwhomadetheapplicationwithineachpublicauthorityshoulddeterminehowoftenareviewshouldtakeplace.Thisshouldbeasfrequentlyasisconsiderednecessaryandpracticable.
Cancellations
5.41 Theseniorauthorisingofficerwhograntedorlastrenewedtheauthorisationmustcancelit,orthepersonwhomadetheapplicationtotheSecretaryofStatemustapplyforitscancellation,ifheissatisfiedthatthesurveillancenolongermeetsthecriteriauponwhichitwasauthorised.WheretheseniorauthorisingofficerorpersonwhomadetheapplicationtotheSecretaryofStateisnolongeravailable,this
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dutywillfallonthepersonwhohastakenovertheroleofseniorauthorisingofficerortakenoverfromthepersonwhomadetheapplicationtotheSecretaryofStateorthepersonwhoisactingastheseniorauthorisingofficer(seetheRegulationofInvestigatoryPowers(CancellationofAuthorisations)Order2000;SINo:2794).
5.42 TheSurveillanceCommissionersmustbenotifiedwherepolice,NCIS,NCSorHMCEauthorisationsarecancelled(seetheRegulationofInvestigatoryPowers(NotificationofAuthorisationsetc.)Order2000;SINo:2563).
Ceasing of surveillance activity
5.43 Assoonasthedecisionistakenthattheintrusivesurveillanceshouldbediscontinued,instructionsmustbegiventothoseinvolvedtostopallsurveillanceofthesubject(s).Thedateandtimewhensuchaninstructionwasgivenshouldberecordedinthecentralrecordofauthorisations(seeparagraphs2.14–2.15)andthenotificationofcancellationwhererelevant.
Police, National Criminal Intelligence Service, the National Crime Squad and HM Customs and Excise authorisations
5.44 IncaseswhereanauthorisationisquashedorcancelledbyaSurveillanceCommissioner,theseniorauthorisingofficermustimmediatelyinstructthosecarryingoutthesurveillancetostopmonitoring,observing,listeningorrecordingtheactivitiesofthesubjectoftheauthorisation.Thedateandtimewhensuchaninstructionwasgivenshouldberecordedonthecentralrecordofauthorisations(seeparagraphs2.14–2.15).
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6.1 The1994Actand1997Actprovidelawfulauthorityforentryonorinterferencewithpropertyorwithwirelesstelegraphybytheintelligenceservicesandthepolice,NCIS,NCSandHMCE.
6.2 Inmanycasesacovertsurveillanceoperationmayinvolvebothintrusivesurveillanceandentryonorinterferencewithpropertyorwithwirelesstelegraphy.Thiscanbedoneasacombinedauthorisation,althoughthecriteriaforauthorisationofeachactivitymustbeconsideredseparately(seeparagraph2.11).
Authorisations for entry on or interference with property or with wireless telegraphy by the police, national Criminal Intelligence Service, the national Crime Squad and HM Customs and Excise
6.3 Responsibilityforsuchauthorisationsrestswiththeauthorisingofficerasdefinedinsection93(5)ofthe1997Act,thatisthechiefconstableorequivalent.Authorisationsrequirethepersonalauthorityoftheauthorisingofficer(orhisdesignateddeputy)exceptinurgentsituations,whereitisnotreasonablypracticablefortheapplicationtobeconsideredbysuchperson.Thepersonentitledtoactinsuchcasesissetoutinsection94ofthe1997Act.
6.4 Authorisationsunderthe1997Actmaynotbenecessarywherethepublicauthorityisactingwiththeconsentofapersonabletogivepermissioninrespectofrelevantproperty,althoughconsiderationshouldstillbegiventotheneedtoobtainanauthorisationunderPartIIofthe2000Act.
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6.5 Authorisationsforthepolice,NCISandNCSmayonlybegivenbyanauthorisingofficeronapplicationbyamemberofhisownforce,ServiceorSquadforentryonorinterferencewithpropertyorwithwirelesstelegraphywithintheauthorisingofficer’sownareaofoperation.ForHMCEanauthorisationmayonlybegivenbyanauthorisingofficeronapplicationbyacustomsofficer.Anauthorisingofficermayauthorisethetakingofactionoutsidetherelevantareasolelyforthepurposeofmaintainingorretrievinganydevice,apparatusorequipment.
6.6 Anypersongivinganauthorisationforentryonorinterferencewithpropertyorwithwirelesstelegraphyundersection93(2)ofthe1997Actmustbelievethat:
itisnecessaryfortheactionspecifiedtobetakenforthepurposeofpreventingordetectingseriouscrime(orinthecaseofthePoliceServiceofNorthernIreland,intheinterestsofnationalsecurity);8andthatthetakingoftheactionisproportionatetowhattheactionseekstoachieve.
6.7 Theauthorisingofficermusttakeintoaccountwhetherwhatitisthoughtnecessarytoachievebytheauthorisedconductcouldreasonablybeachievedbyothermeans.
6.8 Anypersongrantingorapplyingforanauthorisationorwarranttoenteronorinterferewithpropertyorwithwirelesstelegraphywillalsoneedtobeawareofparticularsensitivitiesinthelocalcommunitywheretheentryorinterferenceistakingplaceandofsimilaractivitiesbeingundertakenbyotherpublicauthoritieswhichcouldimpactonthedeployment.Inthisregard,itisrecommendedthattheauthorisingofficersinNCIS,NCSandHMCEshouldconsultaseniorofficerwithinthepoliceforceinwhichtheinvestigationoroperationtakesplacewheretheauthorisingofficerconsidersthatconflictsmightarise.TheChiefConstableofthePoliceServiceofNorthernIrelandshouldbeinformedofanysurveillanceoperationundertakenbyanotherlawenforcementagencywhichinvolveitsofficersinmaintainingorretrievingequipmentinNorthernIreland.
8 Seefootnotes1and2.
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Authorisation procedures for entry on or interference with property or with wireless telegraphy by the police, national Criminal Intelligence Service, the national Crime Squad and HM Customs and Excise
6.9 Authorisationswillgenerallybegiveninwritingbytheauthorisingofficer.However,inurgentcases,theymaybegivenorallybytheauthorisingofficer.Insuchcases,astatementthattheauthorisingofficerhasexpresslyauthorisedtheactionshouldberecordedinwritingbytheapplicantassoonasisreasonablypracticable.Thisshouldbedonebythepersonwithwhomtheauthorisingofficerspoke.
6.10 Iftheauthorisingofficerisabsentthenasprovidedforinsection12(4)ofthePoliceAct1996,section5(4)ofthePolice(Scotland)Act1967,section25oftheCityofLondonPoliceAct1839,orsections8or54ofthe1997Act,anauthorisationcanbegiveninwritingor,inurgentcases,orallybythedesignateddeputy.
6.11 Where,however,inanurgentcase,itisnotreasonablypracticableforthedesignateddeputytoconsideranapplication,thenwrittenauthorisationmaybegivenbythefollowing:
inthecaseofthepolice,byanassistantchiefconstable(otherthanadesignateddeputy);inthecaseoftheMetropolitanPoliceandCityofLondonPolice,byacommander;inthecaseofNCISandNCS,byapersondesignatedbytherelevantDirectorGeneral;9
inthecaseofHMCE,byapersondesignatedbytheCommissionersofCustomsandExcise.10
6.12 ApplicationstotheauthorisingofficerforauthorisationmustbemadeinwritingbyapoliceorcustomsofficeroramemberofNCISorNCS(withinthetermsofsection93(3)ofthe1997Act)andshouldspecify:
9 ForpolicemembersofNCISorNCS,thiswillbeanofficerwhoholdstherankofassistantchiefconstableinthatServiceorSquad.Additionally,inthecaseofNCLS,thismaybeanassistantchiefinvestigationofficerofHMCE.
10Thiswillbeanofficeroftherankofassistantchiefinvestigationofficer.
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theidentityoridentitiesofthosetobetargeted(whereknown);thepropertywhichtheentryorinterferencewithwillaffect;theidentityofindividualsand/orcategoriesofpeople,whereknown,whoarelikelytobeaffectedbycollateralintrusion;detailsoftheoffenceplannedorcommitted;detailsoftheintrusivesurveillanceinvolved;howtheauthorisationcriteria(assetoutinparagraphs6.6and6.7)havebeenmet;anyactionwhichmaybenecessarytoretrieveanyequipmentusedinthesurveillance;incaseofarenewal,theresultsobtainedsofar,orafullexplanationofthefailuretoobtainanyresults;andwhetheranauthorisationwasgivenorrefused,bywhomandthetimeanddate.
6.13 Additionally,inurgentcases,theauthorisationshouldrecord(asthecasemaybe):
thereasonswhytheauthorisingofficerordesignateddeputyconsideredthecasesourgentthatanoralinsteadofawrittenauthorisationwasgiven;andthereasonswhy(ifrelevant)thepersongrantingtheauthorisationdidnotconsideritreasonablypracticablefortheapplicationtobeconsideredbytheseniorauthorisingofficerorthedesignateddeputy.
6.14 Wheretheapplicationisoral,theinformationreferredtoaboveshouldberecordedinwritingbytheapplicantassoonasreasonablypracticable.
Notifications to Surveillance Commissioners
6.15 Whereapersongives,renewsorcancelsanauthorisation,hemust,assoonasisreasonablypracticable,givenoticeofitinwritingtoaSurveillanceCommissioner,inaccordancewitharrangementsmadebytheChiefSurveillanceCommissioner.InurgentcaseswhichwouldotherwisehaverequiredtheapprovalofaSurveillanceCommissioner,thenotificationmustspecifythegroundsonwhichthecaseisbelievedtobeoneofurgency.
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6.16 TheremaybecaseswhichbecomeurgentafterapprovalhasbeensoughtbutbeforearesponsehasbeenreceivedfromaSurveillanceCommissioner.Insuchacase,theauthorisingofficershouldnotifytheSurveillanceCommissionerthatthecaseisurgent(pointingoutthatithasbecomeurgentsincethepreviousnotification).Inthesecases,theauthorisationwilltakeeffectimmediately.
6.17 NotificationstoSurveillanceCommissionersinrelationtotheauthorisation,renewalandcancellationofauthorisationsinrespectofentryonorinterferencewithpropertyshouldbeinaccordancewiththerequirementsofthePoliceAct1997(NotificationsofAuthorisationsetc)Order1998;SINo.3241.
duration of authorisations
6.18 Writtenauthorisationsgivenbyauthorisingofficerswillceasetohaveeffectattheendofaperiodofthree monthsbeginningwiththedayonwhichtheytookeffect.IncasesrequiringpriorapprovalbyaSurveillanceCommissionerthismeansfromthetimetheSurveillanceCommissionerhasapprovedtheauthorisationandthepersonwhogavetheauthorisationhasbeennotified.Thismeansthattheapprovalwillnottakeeffectuntilthenoticehasbeenreceivedintheofficeofthepersonwhograntedtheauthorisationwithintherelevantforce,service,squadorHMCE.Incasesnotrequiringpriorapproval,thismeansfromthetimetheauthorisationwasgiven.
6.19 Oralauthorisationsgiveninurgentcasesby:
authorisingofficers;ordesignateddeputies
andwrittenauthorisationsgivenby:
assistantchiefconstables(otherthanadesignateddeputy);commandersintheMetropolitanPoliceandCityofLondonPolice;thepersondesignatedtoactbytheDirectorGeneralofNCISorofNCS;thepersondesignatedforthepurposebytheCommissionersofCustomsandExcise;
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willceaseattheendoftheperiodofseventy-two hoursbeginningwiththetimewhentheytookeffect.
renewals
6.20 Ifatanytimebeforethedayonwhichanauthorisationexpirestheauthorisingofficeror,inhisabsence,thedesignateddeputyconsiderstheauthorisationshouldcontinuetohaveeffectforthepurposeforwhichitwasissued,hemayrenewitinwritingforaperiodofthree monthsbeginningwiththedayonwhichtheauthorisationwouldotherwisehaveceasedtohaveeffect.Authorisationsmayberenewedmorethanonce,ifnecessary,andtherenewalshouldberecordedontheauthorisationrecord(seeparagraph6.27).
6.21 Commissionersmustbenotifiedofrenewalsofauthorisations.TheinformationtobeincludedinthenotificationissetoutinthePoliceAct1997(NotificationsofAuthorisationsetc)Order1998;SINo:3241.
6.22 If,atthetimeofrenewal,thecriteriainparagraph6.30exist,thentheapprovalofaSurveillanceCommissionermustbesoughtbeforetherenewalcantakeeffect.ThefactthattheinitialauthorisationrequiredtheapprovalofaCommissionerbeforetakingeffectdoesnotmeanthatitsrenewalwillautomaticallyrequiresuchapproval.Itwillonlydosoif,atthetimeoftherenewal,itfallsintooneofthecategoriesrequiringapproval(andisnoturgent).
reviews
6.23 Authorisingofficersshouldregularlyreviewauthorisationstoassesstheneedfortheentryonorinterferencewithpropertyorwithwirelesstelegraphytocontinue.Thisshouldberecordedontheauthorisationrecord(seeparagraph6.27).Theauthorisingofficershoulddeterminehowoftenareviewshouldtakeplacewhengivinganauthorisation.Thisshouldbeasfrequentlyasisconsiderednecessaryandpracticableandatnogreaterintervalthanonemonth.Particularattentionisdrawntotheneedtoreviewauthorisationsand
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renewalsregularlyandfrequentlywheretheentryonorinterferencewithpropertyorwithwirelesstelegraphyprovidesaccesstoconfidentialinformationorinvolvescollateralintrusion.
Cancellations
6.24 Theseniorauthorisingofficerwhograntedorlastrenewedtheauthorisationmustcancelit,orthepersonwhomadetheapplicationtotheSecretaryofStatemustapplyforitscancellation,ifheissatisfiedthattheauthorisationnolongermeetsthecriteriauponwhichitwasauthorised.WheretheseniorauthorisingofficerorpersonwhomadetheapplicationtotheSecretaryofStateisnolongeravailable,thisdutywillfallonthepersonwhohastakenovertheroleofseniorauthorisingofficerortakenoverfromthepersonwhomadetheapplicationtotheSecretaryofStateorthepersonwhoisactingastheseniorauthorisingofficer(seetheRegulationofInvestigatoryPowers(CancellationofAuthorisations)Order2000;SINo:2794).
6.25 TheSurveillanceCommissionersmustbenotifiedofcancellationsofauthorisations.TheinformationtobeincludedinthenotificationissetoutinthePoliceAct1997(NotificationsofAuthorisationsetc)Order1998;SINo:3421.
6.26 TheSurveillanceCommissionershavethepowertocancelanauthorisationiftheyaresatisfiedthat,atanytimeafteranauthorisationwasgivenorrenewed,therewerenoreasonablegroundsforbelievingthematterssetoutinparagraphs6.6and6.7above.Insuchcircumstances,aSurveillanceCommissionermayorderthedestructionofrecords,inwholeorinpart,otherthananythatarerequiredforpendingcriminalorcivilproceedings.
Authorisation record
6.27 Anauthorisationrecordshouldbecreatedwhichrecords:
thetimeanddatewhenanauthorisationisgiven;whetheranauthorisationisinwrittenororalform;thetimeanddatewhenitwasnotifiedtoaSurveillanceCommissioner;
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andthetimeanddatewhentheSurveillanceCommissionernotifiedhisapproval(whereappropriate).
Theauthorisationrecordshouldalsorecord:
everyoccasionwhenentryonorinterferencewithpropertyorwithwirelesstelegraphyhasoccurred;theresultofperiodicreviewsoftheauthorisation;thedateofeveryrenewal;anditshouldrecordthetimeanddatewhenanyinstructionwasgivenbytheauthorisingofficertoceasetheinterferencewithpropertyorwithwirelesstelegraphy.
Ceasing of entry on or interference with property or with wireless telegraphy
6.28 Onceanauthorisationorrenewalexpiresoriscancelledorquashed,theauthorisingofficermustimmediatelyinstructthosecarryingoutthesurveillancetoceasealltheactionsauthorisedfortheentryonorinterferencewithpropertyorwithwirelesstelegraphy.Thetimeanddatewhensuchaninstructionwasgivenshouldberecordedontheauthorisationrecord(seeparagraph6.27).
retrieval of equipment
6.29 WhereaSurveillanceCommissionerquashesorcancelsanauthorisationorrenewal,hewill,iftherearereasonablegroundsfordoingso,orderthattheauthorisationremaineffectiveforaspecifiedperiod,toenableofficerstoretrieveanythingleftonthepropertybyvirtueoftheauthorisation.Hecanonlydosoiftheauthorisationorrenewalmakesprovisionforthis.AdecisionbytheSurveillanceCommissionernottogivesuchanordercanbethesubjectofanappealtotheChiefSurveillanceCommissioner.
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Special rules
Cases requiring prior approval of a Surveillance Commissioner
6.30 Incertaincases,anauthorisationforentryonorinterferencewithpropertywillnottakeeffectuntilaSurveillanceCommissionerhasapproveditandthenoticehasbeenreceivedintheofficeofthepersonwhograntedtheauthorisationwithintherelevantforce,service,squadorHMCE(unlesstheurgencyproceduresareused).Thesearecaseswherethepersongivingtheauthorisationbelievesthat:
anyofthepropertyspecifiedintheauthorisation:isusedwhollyormainlyasadwellingorasabedroominahotel;orconstitutesofficepremises;or
theactionauthorisedislikelytoresultinanypersonacquiringknowledgeof:
matterssubjecttolegalprivilege;confidentialpersonalinformation;orconfidentialjournalisticmaterial.
6.31 Officepremisesaredefinedasanybuildingorpartofabuildingwhosesoleorprincipaluseisasanofficeorforofficepurposes(whichmeanspurposesofadministration,clericalwork,handlingmoneyandtelephoneortelegraphoperation).
Authorisations for entry on or interference with property or with wireless telegraphy by the intelligence services
6.32 Beforegrantingawarrant,theSecretaryofStatemust:
thinkitnecessaryfortheactiontobetakenforthepurposeofassistingtherelevantagencyincarryingoutitsfunctions;besatisfiedthatthetakingoftheactionisproportionatetowhattheactionseekstoachieve;takeintoaccountindecidingwhetheranauthorisationisnecessaryandproportionateiswhethertheinformationwhichitisthoughtnecessarytoobtainbytheconductauthorisedbythewarrantcouldreasonablybeobtainedbyothermeans;and
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besatisfiedthattherearesatisfactoryarrangementsinforceunderthe1994Actorthe1989Actinrespectofdisclosureofanymaterialobtainedbymeansofthewarrant,andthatmaterialobtainedwillbesubjecttothosearrangements.
6.33 Anapplicationforawarrantmustbemadebyamemberoftheintelligenceservicesforthetakingofactioninrelationtothatagency.Inaddition,theSecurityServicemaymakeanapplicationforawarranttoactonbehalfoftheSecretIntelligenceService(SIS)andtheGovernmentsCommunicationHeadquarters(GCHQ).SISandGCHQmaynotbegrantedawarrantforactioninsupportofthepreventionordetectionofseriouscrimewhichrelatestopropertyintheBritishIslands.
6.34 Awarrantshall,unlessrenewed,ceasetohaveeffectifthewarrantwasunderthehandoftheSecretaryofState,attheendoftheperiodofsix monthsbeginningwiththedayonwhichitwasissued.Inanyothercase,attheendoftheperiodendingwiththesecond working dayfollowingthatday.
6.35 IfatanytimebeforethedayonwhichawarrantwouldceasetohaveeffecttheSecretaryofStateconsidersitnecessaryforthewarranttocontinuetohaveeffectforthepurposeforwhichitwasissued,hemaybyaninstrumentunderhishandrenewitforaperiodofsix monthsbeginningwiththatday.TheSecretaryofStateshallcancelawarrantifheissatisfiedthattheactionauthorisedbyitisnolongernecessary.
6.36 Theintelligenceservicesshouldprovidethesameinformationasthepolice,asandwhereappropriate,whenmakingapplications,requestsforrenewalandrequestsforcancellationofpropertywarrants.
retrieval of equipment
6.37 Becauseofthetimeitcantaketoremoveequipmentfromaperson’spropertyitmayalsobenecessarytorenewapropertywarrantinordertocompletetheretrieval.ApplicationstotheSecretaryofStateforrenewalshouldstatewhyitisbeingorhasbeencloseddown,whyithasnotbeenpossibletoremovetheequipmentandanytimescalesforremoval,whereknown.
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7.1 The1997and2000ActsrequiretheChiefSurveillanceCommissionertokeepunderreview(withtheassistanceoftheSurveillanceCommissionersandAssistantSurveillanceCommissioners)theperformanceoffunctionsunderPartIIIofthe1997ActandPartIIofthe2000Actbythepolice(includingtheRoyalNavyRegulatingBranch,theRoyalMilitaryPoliceandtheRoyalAirForcePoliceandtheMinistryofDefencePoliceandtheBritishTransportPolice),NCIS,theNCS,HMCEandofthe2000ActtheotherpublicauthoritieslistedinSchedule1andinNorthernIrelandofficialsoftheMinistryofDefenceandHMForces.
7.2 TheIntelligenceServicesCommissioner’sremitistoprovideindependentoversightoftheuseofthepowerscontainedwithinPartIIofthe2000Actandthe1994ActbytheSecurityService,SecretIntelligenceService,GCHQandtheMinistryofDefenceandHMForces(excludingtheRoyalNavyRegulatingBranch,theRoyalMilitaryPoliceandtheRoyalAirForcePolice,andinNorthernIrelandofficialsoftheMinistryofDefenceandHMForces);
7.3 ThiscodedoesnotcovertheexerciseofanyoftheCommissioners’functions.ItisthedutyofanypersonwhousesthesepowerstocomplywithanyrequestmadebyaCommissionertodiscloseorprovideanyinformationherequiresforthepurposeofenablinghimtocarryouthisfunctions.
7.4 ReferencesinthiscodetotheperformanceofreviewfunctionsbytheChiefSurveillanceCommissionerandotherCommissionersapplyalsotoInspectorsandothermembersofstafftowhomsuchfunctionshavebeendelegated.
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8.1 The2000ActestablishesanindependentTribunal.ThisTribunalwillbemadeupofseniormembersofthejudiciaryandthelegalprofessionandisindependentoftheGovernment.TheTribunalhasfullpowerstoinvestigateanddecideanycasewithinitsjurisdiction.
ThiscodedoesnotcovertheexerciseoftheTribunal’sfunctions.Detailsoftherelevantcomplaintsprocedurecanbeobtainedfromthefollowingaddress:
InvestigatoryPowersTribunalPOBox33220LondonSWLH9ZQ(02072734514
Chapter 8CoMPLAInTS
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relevant Public Authorities Authorisation level
Police Forces–Anypoliceforcemaintainedundersection2ofthePoliceAct1996(policeforcesinEnglandandWalesoutsideLondon).
ChiefConstable
Police Forces–Anypoliceforcemaintainedunderorbyvirtueofsection1ofthePolice(Scotland)Act1967.
ChiefConstable
The Metropolitan police force AssistantCommissioner
The City of London police force Commissioner
The Police Service of Northern Ireland
DeputyChiefConstable
The Royal Navy Regulating Branch
ProvostMarshal
The Royal Military Police ProvostMarshal
The Royal Air Force Police ProvostMarshal
National Criminal Intelligence Service (NCIS)
DirectorGeneral
National Crime Squad (NCS) DirectorGeneralorDeputyDirectorGeneral
Annex AAuthorisation levels when knowledge of confidential information is likely to be acquired
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relevant Public Authorities Authorisation level
Serious Fraud Office DirectororAssistantDirector
The Intelligence Services:
GovernmentCommunicationsHeadquarters
ADirectorofGCHQ
SecurityService DeputyDirectorGeneral
SecretIntelligenceService ADirectoroftheSecretIntelligenceService
HM Forces:
RoyalNavy RearAdmiral
Army MajorGeneral
RoyalAirForce Air-ViceMarshall
HM Customs and Excise DirectorInvestigationorRegionalHeadsofInvestigation
Inland Revenue DeputyChairmanofInlandRevenue
Department for Environment, Food and Rural Affairs:
DEFRAInvestigationBranch ImmediateSeniorOfficerofHeadofDEFRAProsecutionDivision
HorticulturalMarketingInspectorate
ImmediateSeniorOfficerofHeadofDEFRAProsecutionDivision
PlantHealthandSeedInspectorate
ImmediateSeniorOfficerofHeadofDEFRAProsecutionDivision
Annex A
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relevant Public Authorities Authorisation level
EggMarketingInspectorate ImmediateSeniorOfficerofHeadofDEFRAProsecutionDivision
SeaFisheriesInspectorate(SFI) ImmediateSeniorOfficerofHeadofDEFRAProsecutionDivision
CentreforEnvironment,Fisheries&AquacultureScience(CEFAS)
ImmediateSeniorOfficerofHeadofDEFRAProsecutionDivision
MinistryofDefence DirectorGeneralorequivalent
Department for Transport, Local Government and Regions:
VehicleInspectorate No
TransportSecurity(Transec) DirectorofTransportSecurity
Department of Health:
MedicalDevicesAgency ChiefExecutive
MedicineControlAgency ChiefExecutive
WelfareFoodsPolicyUnit DeputyChiefMedicalOfficer
DirectorateofCounterFraudServices(DFCS)
DirectorofCounterFraudServices
Home Office:
HMPrisonService DeputyDirectorGeneralofthePrisonService
ImmigrationService ChiefInspectoroftheImmigrationService
Annex A
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relevant Public Authorities Authorisation level
Department of Work and Pensions:
BenefitsAgency ChiefExecutiveoftheBenefitsAgency
Department of Trade and Industry:
RadiocommunicationsAgency No
BritishTradeInternational No
CoalHealthClaimsUnit DirectorofCoalHealthClaimsunit
CompaniesInvestigationBranch TheInspectorofCompanies
LegalServicesDirectorateD TheDirectorofLegalServiceD
National Assembly for Wales HeadofNHSDirectorateintheNationalAssemblyforWales
HeadofNHSFinanceDivisionintheNationalAssemblyforWales
HeadofCommonAgriculturalPolicyManagementDivisionintheNationalAssemblyforWales
Local Authorities TheHeadofPaidServiceor(inhisabsence)aChiefOfficer
Environment Agency ChiefExecutiveoftheEnvironmentAgency
Financial Services Authority ChairmanoftheFinancialServicesAuthority
Annex A
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relevant Public Authorities Authorisation level
Food Standards Agency HeadofGroup,DeputyChiefExecutiveandChiefExecutiveoftheFoodsStandardsAgency
The Intervention Board for Agricultural Produce
ChiefExecutiveoftheInterventionBoardforAgriculturalProduce
PersonalInvestmentAuthority ChairmanofthePersonalInvestmentAuthority
Post Office DirectorofSecurity
Health&SafetyExecutive DirectorofFieldOperations,DirectorofHazardousInstallationsDirectorate,HerMajesty’sChiefInspectorofNuclearInstallations.
NHS bodies in England and Wales:
Ahealthauthorityestablishedundersection8oftheNationalHealthServiceAct1977
ChiefExecutive
ASpecialHealthAuthorityestablishedundersection11oftheNationalHealthService1977
ChiefExecutive
ANationalHealthServiceTrustestablishedundersection5oftheNationalHealthServiceandCommunityCareAct1990
ChiefExecutive
Royal Pharmaceutical Society of Great Britain
DirectorofProfessionalStandards
Annex A
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www.tso.co.uk
This code of practice provides guidance and rules on authorisations for the carrying out of surveillance (directed surveillance and intrusive surveillance) under Part 2 of the Regulation of Investigatory Powers Act 2000 and for interference with property or with wireless telegraphy under Part 3 of the Police Act 1997. It sets out the various authorisation procedures to be followed for the grant, review, renewal and cancellation of authorisations, as well as special rules for authorisations in respect of confidential information.
The code is aimed primarily at members of public authorities involved in making applications for the grant of authorisations and those persons designated to grant authorisations.
£6