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Allerdale Borough Council
Theft, Fraud and Corruption Response Plan
September 2008
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Allerdale Borough Council Internal Audit Section – September 2008
Contents
Theft, Fraud and Corruption Response Plan Page
1. Introduction 1
2. Discovery of Fraud or Corruption 2
3. Responsibilities of the Director of Strategic Resources 3
4. Responsibilities of the Lead Officer 4
5. Responsibilities of Director or Head of Service 5
6. Responsibilities of the Head of Human Resources 5
7. Reporting Fraud 5
8. Managing the Investigation 6
9. Good Practice For Investigation 7
10. Gathering Evidence 8
11. Interview Procedure 8
12. Insurance 9
13. Involving The Police 9
14. The Law And Its Remedies 9
15. Interviews 12
Regulation of Investigatory Powers Act 2000 14 -16
Form Application for Directed Surveillance
Form Renewal of Directed Surveillance
Form Cancellation of Directed Surveillance
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Allerdale Borough Council Internal Audit Section – September 2008
ALLERDALE BOROUGH COUNCIL
THEFT, FRAUD AND CORRUPTION RESPONSE PLAN
1. Introduction
1.1 This procedure note sets out the responsibilities of officers and actions to be
taken in cases where theft, fraud, corruption, irregularity, or damage is suspected
within the Council. Definitions of each act are set out below:
Theft Dishonestly appropriating property belonging to another with the
intention of permanently depriving them.
Fraud The intentional distortion of financial statements, other records, or
false representation by persons internal or external to the
organisation carried out to conceal the misappropriation of assets or
otherwise of gain.
Corruption The offering, giving, soliciting or accepting of an inducement or
reward that may influence the action of any person.
Irregularity The intentional distortion of mis-statement of financial statements or
accounting records and/or the misappropriation of assets.
Damage The act of arson, vandalism, or sabotage to property, including
computer systems and records.
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2. Discovery of Fraud or Corruption
2.1 All financial irregularities as set out in Section One should be reported
immediately either to the Director of Strategic Resources or the Internal Audit
Manager. Where actions are thought to be deliberate then the possibility of fraud
or corruption should be considered.
2.2 Cases of fraud and corruption often come to light in the following ways:
Management follow up areas where evidence of control are not being applied.
Routine systems checks.
Tip offs from third party.
2.3 Initial reports should be treated with discretion and caution as apparently
suspicious circumstances may turn out to have a reasonable explanation or
could be malicious.
2.4 Where suspicions are aroused during audit reviews the details should be
immediately brought to the attention of the Internal Audit Manager or the Senior
Auditor who should in turn report to the Director of Strategic Resources.
Consideration should then be given to consulting with the Police, depending on
the scale of the incident and the discretion of the Director of Strategic Resources.
2.5 Officers should be aware of the procedures for interviewing those believed to be
involved. In particular, the conditions of the Police and Criminal Evidence Act
(PACE) 1984 and Criminal Procedure and Investigation Act 1996 determine
whether the evidence collected will be admissible in Court.
2.6 Summaries of the responsibilities of the key officers follow.
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3. Responsibilities of the Director of Strategic Resources
3.1 Investigations are not to be carried out without the knowledge and
authorisation of the Director of Strategic Resources.
3.2 Initial Responses:
Appointing an officer to lead the investigation (the Lead Officer).
Consider whether an investigation steering group is necessary.
Informing the Internal Audit Manager.
Informing Departmental Manager (unless he/she is under suspicion).
Informing other managers, e.g. Personnel.
3.3 Review the preliminary findings of the Lead Officer and decide whether to:
Discontinue the investigation if suspicions are not substantiated.
Continue with a full internal investigation.
Involve the Police, external audit or other bodies.
3.4 Agree the objectives and terms of the investigation as proposed by the Lead
Officer.
3.5 Agree the resources that are necessary for the investigation as recommended by
the Lead Officer.
3.6 Inform the Chief Executive as necessary that an investigation is underway.
3.7 Discuss with the Chief Executive, where appropriate, as to whether other
persons should be informed of the investigation.
3.8 Manage any public relations issues that may arise and liaise with the Lead
Officer throughout the investigation.
3.9 Review the outcome.
3.10 Liaise with Personnel in considering whether any action is required against a
member of staff.
3.11 Liaise with the Monitoring Officer where appropriate.
3.12 Report the outcome as necessary to the Chief Executive and the Audit
Committee.
3.13 Maintain a log, which contains details of all, reported suspicions, including those
dismissed as minor or otherwise not investigated. The log will also contain details
of action taken and conclusion reached. This log will be submitted to the Audit
Committee annually, which will report any significant matters to the Executive.
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4. Responsibilities of the Lead Officer
4.1 The Lead Officer, who may be a member of the Corporate Management Team,
the Head of Service, or the Internal Audit Manager, will organise the investigation
on behalf of the Director of Strategic Resources and keep him or her informed of
significant events.
4.2 The Lead Officer where appropriate will normally ask Internal Audit to carry out
an initial review to produce evidence for an initial consideration of suspicions and
enable the Director of Strategic Resources to assess the scale and implications.
4.3 If suspicions are confirmed the Lead Officer will set up a full investigation by:
Agreeing terms of reference, scope, key issues and target dates etc.
Identifying staffing needs and likely cost.
Set up steering meetings to monitor progress and cost of the investigation.
4.4 The Lead Officer overseeing the investigation should initiate a Diary of Events to
record the progress of investigation.
4.5 The Lead Officer will be the point of contact for liaison with the Police, external
Audit etc.
4.6 The Lead Officer will report progress to the Director of Strategic Resources and
recommend action (internal disciplinary action or prosecution).
4.7 The Lead Officer will arrange any necessary recovery action.
4.8 The Lead Officer will prepare a summary note, identifying system weaknesses
and lessons to be learnt together with an action plan specifying officers
responsible and completion dates.
4.9 It is important that all documentation and articles are collated at an early stage.
Advice can be obtained from the Cumbria Constabulary. Guidelines are set out in
the Chartered Institute of Public Finance and Accountancy (CIPFA) booklet; The
Investigation of Fraud in the Public Sector and key points include:
Prime documents should be removed to a safe place with copies being used
for working purposes (in order to maintain confidentiality, batches of
documents as opposed to individual items should be removed).
Working papers should be dated, initialled and set out in such a way that a lay
person could understand them and they could be presented in court.
Observation of activities should be undertaken by two staff, in accordance with
Regulatory Investigatory Powers Act (RIPA) 2000.
Interviewing should observe PACE requirements.
4.10 When gathering evidence each case must be treated according to the
circumstances taking professional advice if necessary.
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5. Responsibilities of Directors and or Head of Service
5.1 The Director or Head of Service will make any necessary arrangements in the
directorate:
To arrange for the employee(s) under suspicion to be suspended pending the
investigation and provide alternative staff cover.
Secure any documents or premises that could be interfered with.
Arrange to have documents etc available for scrutiny.
To ensure that the Lead Officer has unlimited and unrestricted access to all
members of staff, and to all information, records etc which will be required for the
purpose of the investigation.
6. Responsibilities of the Head of Human Resources
6.1 If staff are involved, advise on personnel and procedural issues in relation to:
Investigations.
Suspension.
Disciplinary proceedings.
Dismissal.
6.2 Liaise with employee’s union representative, if appropriate.
6.3 If it is determined necessary for an employee(s) to be dismissed, carry out
termination of employment procedures. Advise managers about the wording of
future references, if any, for such employee(s).
7. Reporting Fraud
7.1 The Nominated Officers:
All nominated officers will treat enquiries confidentially and anonymously by the
employee contacting him/her. The Director of Strategic Resources and or the
Internal Audit Manager should monitor requests for details of the theft, fraud, and
corruption policy in case a suspect attempts to obtain information on how the
Council deals with fraud.
7.2 Discussion with Head of Department:
An employee should normally discuss his/her suspicions with their Director or Head
of Service or discuss the matter confidentially with the Internal Audit Manager. The
employee and the Internal Audit Manager will then agree on the next course of
action. If the suspicion seems well founded, either the employee or the Internal Audit
Manager will inform the Director of Strategic Resources directly.
If an employee suspects his or her Director or Head of Service, the employee should
report the suspicions directly to the Director of Strategic Resources or Internal Audit
Manager.
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If the suspicion involves a Chief Officer or Member, the matter should be reported
directly to the Director of Strategic Resources. If the suspicion involves the Director
of Strategic Resources, the matter should be reported to the Chief Executive.
7.3 Recording:
The Director of Strategic Resources will keep a log, which contains details of all
reported suspicions, including those dismissed as minor or otherwise not
investigated. The log will also contain details of actions taken and conclusions
reached.
7.4 Director of Strategic Resources – Informing Third Parties:
The Director of Strategic Resources shall inform and consult with the Chief
Executive at the first opportunity where the loss exceeds £1,000 or where the
incident may lead to adverse publicity.
The Director of Strategic Resources will decide, depending on the circumstances of
the case, when the Police are called in and the external Auditors informed.
If a criminal act is suspected, particularly fraud or corruption, it is essential that there
is the earliest possible consultation with the Police. In any event, the Police should
be contacted before any overt action is taken which may alert suspects and
precipitate the destruction or removal of evidence. This includes taking action to stop
a loss or tighten controls.
Should surveillance be required, the procedure under the Regulation of Investigatory
Powers Act 2000 should be followed, after approval by the Borough Solicitor. See
pages 17 - 18.
8. Managing the Investigation
8.1 Appointment of Lead Officer:
The Director of Strategic Resources to appoint a Lead Officer to investigate who
would normally be the Internal Audit Manager, although in some cases it could be a
Director or Head of Service.
8.2 Diary of Events:
The Lead Officer should initiate a diary of events to record the progress of the
investigation.
8.3 Does it appear a criminal act has taken place?
In some cases, this question may be asked more than once during an investigation.
The answer to the question obviously determines if there is to be a fraud or other
criminal investigation. In practice, it may not be obvious if a criminal act has taken
place. If a criminal event is believed to have occurred then a verbal caution must be
issued, as per PACE, if the interview is to proceed. The Police and external Audit
should be informed if this has not already been done. Please see section 7.4.
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8.4 Investigate Internally:
If it appears a criminal act has not taken place the next step should normally be an
internal investigation to determine the facts to see if any disciplinary action is
needed, or whether anything can be done to recover the loss, and what may need to
be done to improve internal control to minimise the risk of the event happening
again.
Broadly, where no criminal act has taken place the event could have three
outcomes. The most serious would be where it is decided there has been gross
misconduct, this could involve dishonesty but not with criminal intent. The outcome
is likely to be dismissal if a member of staff is involved. Less serious would be if it
was decided that there was negligence or an error of judgement that caused the
event. This is unlikely to lead to dismissal but might involve disciplinary procedures.
Finally, it may be concluded that there was no case for the individual to answer.
In each case, the Lead Officer should consider what can be done to recover any loss
and whether anything should be done to improve control to prevent the event
happening again.
8.5 Recovering a Loss:
Where recovering a loss is likely to require a civil action, it will probably be
necessary to seek legal advice. Where external legal advisers are used, the Lead
Officer must ensure there is co-ordination between the various parties involved.
If the loss may be covered by insurance, the Lead Officer should inform the
Insurance Officer.
8.6 Disciplinary/Dismissal Procedures:
The disciplinary procedures of the Council have to be followed in any disciplinary
action taken by the Authority towards an employee (including dismissal). This may
involve the Lead Officer recommending a disciplinary hearing to consider the facts,
the results of the investigation (a formal report) and take appropriate action against
the employee.
9. Good Practice For Investigation
9.1 Points of good practice for any investigation include:
Having an established line of communication with the local Police or County
Fraud Squad.
Identifying a Lead Officer responsible for the investigation. The Lead Officer
should be independent of the area under investigation.
Define the objectives of the investigation.
Define scope and timing of investigation and likely outputs.
Seek advice where necessary from such sources as Police, Internal and
External Audit and legal advisers.
Agree resources required for investigation.
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Define responsibilities.
Budget and monitor resources used.
Monitor progress and inform as required.
Consider lessons to be learned e.g. how control can be improved.
Draw up an action plan based on lessons learned.
Keep proper records including diary of events.
When investigation is completed, review the Theft Fraud and Corruption
Response Plan and update as necessary.
10. Gathering Evidence
10.1 Witnesses:
If a witness to the event is prepared to give a written statement, it is best practice for
an experienced member of staff to take a chronological record using the witness’s
own words. The witness must be happy to sign the document as a true record, but
the involvement of an independent person usually helps to keep the statement to
relevant facts.
10.2 Physical Evidence:
Upon taking control of any physical evidence, it is essential that a record is made of
the time and place it is taken. If evidence consists of several items, for example,
many documents, each one should be tagged with a reference number
corresponding to the written record.
10.3 Director of Strategic Resources to consider if suspect should be interviewed:
The Director of Strategic Resources will consider the report of the Lead Officer and
consider if the suspect should be interviewed. In this consideration, he or she may
consult others e.g. the Chief Executive, the Head of Human Resources, and the
Police. If a crime is suspected, it is recommended that the Police are consulted
before any interview with the suspect takes place (see 8.3)
11. Interview Procedure
11.1 Interview:
The requirements of the Police and Criminal Evidence Act (PACE) must be
considered before any interview with a suspect is performed, since compliance with
PACE determines whether evidence is admissible in criminal proceedings. If in
doubt about the requirement of PACE it is important to seek specialist advice.
11.2 Is evidence gathered sufficient for dismissal?
Under UK employment legislation dismissal must be for a ‘fair’ reason. The manner
of dismissal must also be reasonable. It is therefore important that no employee
should be dismissed without close consultation with the Head of Human Resources.
The Head of Human Resources should be consulted about the provision of
references for employees who have been dismissed or who have resigned following
suspicions of theft, fraud, corruption etc.
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11.3 Review events with Police:
Whether or not the evidence gathered is thought to be sufficient for dismissal or
prosecution, if there is evidence of fraud or another criminal offence, the Police
should be consulted at this stage if they are not already involved.
12. Insurance
12.1 The possibility of recovering a loss through insurance should not be overlooked.
There may be time limits for making a claim and in certain cases claims may be
invalidated if legal action has not been taken. The Council’s Insurance Officer should
be consulted where appropriate.
13. Involving The Police (please see section 7.4 also)
13.1 Some Manages may mistakenly be reluctant to involve the Police in the belief that;
They are only interested if the alleged criminal offence is greater than the
specific £ value; or that the Police are not interested because of potentially
complex issues involved that render little chance of a successful prosecution.
The Council prefer to deal with the incident themselves, keeping it quiet while
implementing dismissal and pursuing recovery through civil action.
That the Police want hard evidence before they will pursue investigations, but
when it is provided they advise that the rules of evidence have not been
complied with.
The disciplinary process has to wait behind a Police prosecution.
13.2 Protracted internal investigations often unnecessarily delay involving the Police,
thereby diminishing the value of co-operation with the Police. However, properly
organised investigations, conducted by individuals with inside working knowledge,
will be of great assistance to any subsequent Police enquiry, and therefore
management should not be discouraged from liaising with Police as soon as the
issues involved are identified.
14. The Law and its Remedies
14.1 Introduction
Criminal law may impose sanctions on the defendant for causing loss, while the civil
law may assist the Council to recover its loss.
In civil law the method of concealment (in the case of fraud) is unlikely to be a key
factor in the value of compensation or the drafting of the Statement of Claim.
In criminal law, the nature of the deceit is highly relevant in the framing of charges,
but the law is not primarily concerned with restitution or recovery of the proceeds of
fraud or theft; although there are statutory powers to award compensation and to
order restitution or forfeiture in some circumstances. However, criminal law now
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requires the financial benefits (to the criminal) to be quantified as part of the
investigation process. The proceeds direct, and indirect, can now be seized and
dealt with by the Court of trial.
There is no reason why a criminal prosecution and civil process cannot be taken at
the same time if the evidence supports such action. However, there are dangers in
unilateral uncoordinated action.
14.2 Civil Law Remedies
The following is a brief description of some of the commoner civil law remedies. It is
not comprehensive and legal advice should be sought before action is taken.
Moneys had and received
The claim will refer to funds of the Plaintiff, which have been ‘had and received’ by
the Defendant and the Plaintiff’s – and will seek their recovery.
Interest
The Plaintiff may be entitled to interest on the amount lost, and there are claims for
interest under Court rules and statute.
Tracing
Tracing is an equitable remedy for the recovery of assets. Its meaning is that the trail
by which assets have been removed must be followed through the hands that they
pass through after leaving the control of the Plaintiff.
Mareva Injunction or Restraint Order
In some cases a Court Order can be used to freeze the assets of a person
suspected of fraud or a person who has been convicted of a criminal offence in
respect of their fraudulent activity. A Mareva Injunction may be used in conjunction
with criminal or civil proceedings. A Restraint Order can only be related to criminal
proceedings, when it may be a simpler alternative to a Mareva Injunction where
proceedings have been or about to be instituted.
Damage for Deceit
A Defendant may become liable in tort to the Plaintiff for damages arising out of the
Act, and if the Plaintiff can establish this liability, there is entitlement to be put back
into the position that would have been if the tortuous Act had not been committed. If
successful, this claim may result in the award of damages beyond the mere recovery
of assets stolen.
14.3 Criminal Law
The following are brief descriptions of some of the criminal offences most relevant in
this context. It is not comprehensive and legal advice should be sought before
action is taken.
Theft
The misappropriation of Council assets for gain or otherwise:
“A person who dishonestly appropriate property
belonging to another with the intention of permanently
depriving the other of it.” (Section 1 of the Theft Act 1968)
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Fraud - Fraud Act 2006
Anyone committing fraud against the Council could be convicted under the Fraud
Act 2006. Offences carry a maximum sentence of 10 years imprisonment.
False Representation e.g. using a false identity to open a bank account
Failure to disclose information e.g. a person who intentionally fails to disclose
information when applying for benefits/grants
Abuse of position e.g. an employee who abuses his position in order to grant
contracts or offers discounts to friends, relatives or associates.
Obtaining Services Dishonestly
It is an offence for any person, by any dishonest act, to obtain services for which
payment is required, with intent to avoid payment. The person must know that the
services are made available on the basis that they are chargeable, or that they might
be.
Corruption
The strict definition (in the context of the Prevention of Corruption Acts) is:
“The offering, giving, soliciting, or acceptance of an inducement or reward which
may influence the action of any person.”
In practice corruption means more generally taking decisions for inappropriate
reasons – e.g. awarding a contract to a friend, or appointing employees because of
political views.
Damage
Relates to arson, vandalism, or sabotage of property, including computer systems
and records.
Section 1(1) Criminal Damage Act 1971
Any person who without lawful excuse destroys or
damages any property belonging to another intending to
destroy or damage such property, or being reckless as to
whether any such property will be destroyed or damaged.
There are many other offences dealing with criminal activity.
Evidence
For the purpose of criminal evidence proceedings, the admissibility of evidence is
governed by the Police and Criminal Evidence Act (PACE). For non-criminal (for
example, civil or disciplinary) proceedings, PACE does not apply, but should
nevertheless be regarded as best practice. Interview procedure is covered on pages
15 and 16.
The collection of evidence must be co-ordinated if several parties are involved in an
investigation e.g. Internal Audit and Police. Evidence gathering requires skill and
experience and professional guidance should be sought where necessary. There is
a considerable amount of case law concerning the admissibility of evidence.
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Documentary evidence should be properly recorded, it will need to be numbered and
include accurate descriptions of when and where it was obtained and by and from
whom. In criminal actions evidence on or obtained from electronic media needs a
document confirming its accuracy.
15. Interviews
15.1 General
Interviews can be carried out internally and if appropriate continue following the
issue of a caution, in accordance with PACE, if this is not possible then the caution
and interview must be carried out by the Police. This depends on who is doing the
interview and what the purpose is.
In the first instance this means it may be a Manager whose purpose is to find out the
facts. This interview should not be under caution, even if crime is suspected. The
Manager has the right to ask an employee to account for his actions in respect of
that employment. If a Manager starts the interview with a caution, he or she is telling
the suspect that he/she does not have to answer legitimate management questions.
This may have an adverse effect on the disciplinary power to dismiss for failing to
give an explanation. For this reason it is important to involve the Head of Human
Resources and/or the Internal Audit Manager before interviewing a suspect if the
Manager is not experienced in such situations.
It should be a gross misconduct/dismissal offence if the employee refuses to answer
questions about his/her actions as an employee. If the employee knowing the
criminal law refuses to answer on the grounds that he/she might incriminate himself,
that is his/her right, and if he/she asks that question he/she should be told so.
He/she is still dismissed.
The same situation applies to Auditors, both internal and external. They should not
normally administer a caution.
If the question of an interview under caution arises then by that stage the Police
should have been informed and given the option to be involved. PACE is essentially
a matter for Police Officers and other designated investigators (Section 67 PACE).
All interviews must be conducted fairly. In particular comments such as ‘if you do not
tell me the truth you will get the sack’ will render any evidence obtained inadmissible
under Section 78 PACE.
Interviews conducted by Managers, internal or external Auditors may be admissible
in a criminal trial at the discretion of the trial Judge (Section 78 PACE). The question
of fairness will always be a crucial point. Having said that, current criminal case law
is moving towards absolute exclusion of such interviews in a criminal process. This
should not deter management from carrying out an internal interview to find out what
happened. It is the right of the Council to do so.
The Head of Human Resources should be advised of interviews taking place and
consulted, particularly for interviews of witnesses, if advice is required on the
procedure to be followed.
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It should be noted that investigations carried out prior to an individual being charged
are open to discovery by that individual's defence.
15.2 Interview Procedure:
Where an interview takes place under caution the following is a summary of the
procedure to be followed. This procedure note should not however be regarded as
authoritative and interviewers should ensure that they understand the requirements
of PACE before initiating an interview.
It is important that the suspected individual is advised of the reason for requesting
the interview, and told that anything he/she says may be used as evidence against
him/her. This verbal statement must be given as follows:
‘You do not have to say anything. But it may harm your defence if you do not
mention when questioned something which you later rely on in Court. Anything you
do say may be given in evidence.’
It is also critical that the suspect(s) be told that he/she is not under arrest, and may
leave the interview at any time.
There should be a second person with the interviewer, who will make a
contemporaneous record of all that is said by the questioner and suspect. The
suspect must be advised he/she has a right to legal representation. In addition, if the
suspected person has a representative present, this person may also wish to make
a written record. A tape recorder may be used to record the interview provided this is
done overtly.
Once the interview is over, the suspected person should be given an opportunity to
read the record and be asked to initial any crossings out or alteration as well as sign
the bottom of each page in acknowledgement of its accuracy.
(If they are unable to read, their representative, or in their absence the writer should
read the record back). Should the suspect decline to sign the record, a note to that
effect should be made at the conclusion of writing (on the last page), signed by the
writer.
All persons present in the interview should be listed at the header to the record, and
all should sign to acknowledge the accuracy of what was said.
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Allerdale Borough Council
Regulation of Investigatory Powers Act 2000
1. Introduction
1.1 One of the underlying principles of the Human Rights Act 1998 is that public
authorities are required to act in a way that does not infringe rights to privacy unless
what they are doing is prescribed by law.
1.2 The Regulation of Investigatory Powers Act 2000 (RIPA) updates the law on the
interception of communications to take account of technological change such as the
growth of the Internet. It also puts other intrusive investigative techniques on a
statutory footing for the very first time; provides new powers to help combat the
threat posed by rising criminal use of strong encryption; and ensures there is
independent judicial oversight of the powers in the Act.
2. Background Information
2.1 Article 8 of the Human Rights Act 1998 states:
“Everyone has the right to respect for his private and family life, his home and his
correspondence”.
There shall be no interference by a Public Authority with the exercise of this right,
except such as is in accordance with the law and is necessary in a democratic
society in the interests of:
National Security.
Public Safety.
The Economic Well Being of the Country.
The Prevention of Disorder or Crime.
The Protection of Health or Morals.
The Protection of the Rights and Freedoms of Others.
3. Regulation of Investigatory Powers Act 2000
3.1 The Act covers:
Interception of Communications.
Surveillance and Covert Human Intelligence Sources (informers).
Directed Surveillance.
Intrusive Surveillance.
The Conduct and use of covert Human Intelligence Sources.
Investigation of Electronic Data Protected by Encryption.
3.2 The new Act is intended to revise the law to introduce legislation to cover areas of
investigation, which previously had no legal basis.
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3.3 Under Statutory Instrument 2000, No. 2417, “The Regulation of Investigatory
Powers (Prescription of Offices, Ranks and Positions) Order 2000, a Local Authority
must nominate an Assistant Chief Officer or Officer responsible for the management
of the investigation. Police advice is that the authorising officer should not be
someone involved in the actual investigation. It is therefore not appropriate for the
Internal Audit Manager or Senior Auditor to be the authorisation officer, due to the
likelihood of their involvement in the investigation.
3.4 The authorising officer is the Authority’s Monitoring Officer or, in their absence, the
Director of Strategic Resources.
4. Guidance On Use Of RIPA Powers
4.1 When using or giving authorisation to use RIPA powers, the Act requires
compliance with the principles of the convention of human rights. In particular, the
following need to be considered:
Legality – is the public authority acting legally?
Proportionality, relevance and necessity – are proposed actions proportionate to
the threat they are seeking to prevent.
Subsidiary – is the action the least intrusive available?
Equality of arms – did the defendants have the same information as the public
authority and prosecution?
Remedy – if we discover as an organisation that we have made a mistake and
we take action to remedy it we can reduce the amount of damages that might
be awarded.
4.2 The important point is that authority to use directed surveillance must be given by
an officer not below the rank of Chief Officer. When considering an application the
authorising officer must ensure the following information is provided:
The grounds on which the authority is sought.
Consideration of why directed surveillance is proportionate to what it seeks to
achieve.
The identity or identities, where known, of those to be the subject of directed
surveillance.
Any potential collateral intrusion (the impact on third parties).
Details of the action authorised.
Details of the investigation or operation.
The likelihood of acquiring any confidential material.
4.3 Standard forms have been devised to cover the application to use directed
surveillance (“Application for Authority For Directed Surveillance”), renewal of that
application after three months has expired (“Application for Renewal of Directed
Surveillance”), and the cancellation of surveillance (“Cancellation of Directed
Surveillance”.)
4.4 Any officer wishing to carry out any surveillance must apply for and receive
appropriate authorisation.
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4.5 In the first instance an application for authorisation to carry out directed surveillance
must be discussed with the applicants Line Manager or the Internal Audit
Manager/Senior Auditor. If it is determined that such surveillance is in the best
interests of the authority, the form “Application for Authority For Directed
Surveillance” must be completed by the applicant, and submitted to the Authority’s
Monitoring Officer for approval. When determining whether or not to approve the
application, each such application should be considered in line with the issues
covered in 4.1 and 4.2 above.
4.6 Authorisation to use directed surveillance only applies for three months following
the date of authorisation. If the applicant requires to use directed surveillance
beyond that period, a separate application, “Application for Renewal of Directed
Surveillance” must be discussed, completed and passed to the Authority’s
Monitoring Officer for authorisation.
4.7 To retain transparency in the process, authorisation for directed surveillance should
be formally cancelled once surveillance is completed. To this end, the form
“Cancellation of Directed Surveillance” should be completed by the applicant and
signed by the authorising officer.
4.8 Surveillance must only be carried out once authorised, and by the officer named as
the applicant on the application form. It is the responsibility of the officer carrying
out the surveillance to ensure that the appropriate application forms are completed,
renewed when appropriate and correctly authorised.
16
___________________________________________________________________________________
Allerdale Borough Council – July 2008
Regulation of Investigatory Powers Act 2000
Application for Authority For Directed Surveillance
Allerdale Borough Council, Allerdale House, Workington, Cumbria.
Public Authority
CA14 3YJ
Name of Applicant
Assignment
Reference
Details o f Application
(1) Grounds on which application is necessary: (tick appropriate box)
• In the interests of national security;
• For the purpose of preventing or detecting crime or of preventing disorder;
• In the interests of the economic well-being of the United Kingdom;
• In the interests of public safety;
• For the purpose of protecting public health;
For the purpose of assessing or collecting any tax, duty, levy or other imposition,
•
contribution or charge payable to a government department.
(2) Explanation as to why the directed surveillance is proportionate to what it seeks to
achieve
(3) Particulars of the identity or identities of those to be subject of the surveillance:
Name:
Address:
DOB:
Other information as appropriate:
(4) Brief description of activity to be undertaken:
Allerdale Borough Council - September 2008
(5) Explanation of the information which it is desired to obtain as a result of the
authorisation:
(6) Collateral intrusion:
Indicate any potential for collateral intrusion on persons other than those targeted. Include a plan
to minimise collateral intrusion.
(7) Confidential or Religious Material:
Indicate the likelihood of acquiring any confidential or religious material.
(8) Start Date
Date: Time:
(9) Cessation Date (three months after start date)
Date: Time:
(10) Applicant Details
Name
Tel no.:
(print):
Grade:
Signature: Date:
(11) Authorising Officer’s Comments:
Allerdale Borough Council - September 2008
(12) Authorising Officer’s Recommendation:
I,__________________________________, 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: Position:
Signatur
Date:
e:
(13) Confidential Material Authorisation
Name: Position:
Signature: Date:
From Date: Time:
Allerdale Borough Council - September 2008
Regulation of Investigatory Powers Act 2000
Application for Renewal of Directed Surveillance
Please attach original authorisation(s)
Allerdale Borough Council, Allerdale House, Workington, Cumbria. CA14
Public Authority
3YJ
Name of Applicant
Assignment
Reference
Renewal Number
Details o f Renewal
(1) Previous Renewals
Renewal Number Date
(2) Detail any significant changes to the information supplied in the previous application.
(3) Why is it necessary to renew this application?
(4) Indicate the value to the investigation so far obtained by the surveillance.
Allerdale Borough Council - September 2008
(5) Give an estimate of the length of time the authorisation will continue to be necessary.
(6) Applicant Details
Name (print): Tel no.:
Grade:
Signature: Date:
(7) Authorising Officer’s Comments:
(8) Authorising Officer’s Recommendation:
I, __________________________________, hereby authorise the renewal of the directed
surveillance operation as detailed above. The renewal of this authorisation will last for 3 months
until ________________whereupon further surveillance will require renewal in writing.
Name: Position:
Signature: Date:
Allerdale Borough Council - September 2008
Regulation of Investigatory Powers Act 2000
Cancellation of Directed Surveillance
Allerdale Borough Council, Allerdale House, Workington, Cumbria. CA14
Public Authority
3YJ
Name of Applicant
Assignment
Reference
Details of Cancellation
(1) Explanation of the reason(s) for the cancellation of the authorisation:
(2) Indicate the value to the investigation obtained by the surveillance.
(3) Time and date of cessation of surveillance
Date: Time:
(4) Applicant Details
Name (print): Tel no.:
Grade:
Signature: Date:
(5) Authorising Officer’s Comments:
(6) Authorising Officer’s Recommendation:
I, ___________________________________, hereby authorise the cancellation of the directed
surveillance operation as detailed above.
Name: Position:
Signature: Date:
Allerdale Borough Council - September 2008
