Covert Surveillance

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

4910_CovertSurv v0_4.indd 1 16/10/07 11:48:55

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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

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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Chapter 1BACkground

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.

Chapter 1BACkground

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

Chapter 1BACkground

(b) involvesthepresenceofanindividualonthepremisesorinthevehicleoriscarriedoutbymeansofasurveillancedevice.

1.12 Applicationstocarryoutintrusivesurveillancecanonlybemadebytheseniorauthorisingofficerofthosepublicauthoritieslistedinoraddedtosection32(6)ofthe2000Actorbyamemberorofficialofthosepublicauthoritieslistedinoraddedtosection41(l).

1.13 Applicationstoenteronorinterferewithpropertyorwithwirelesstelegraphycanonlybemadebytheauthorisingofficersofthosepublicauthoritieslistedinoraddedtosection93(5)ofthe1997Act.Undersection5ofthe1994Actonlymembersoftheintelligenceservicesareabletomakeapplicationstoenteronorinterferewithpropertyorwithwirelesstelegraphy.

Chapter 1BACkground

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.

Chapter 2gEnErAL ruLES on AuTHorISATIonS

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

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.

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

Chapter 3SPECIAL ruLES on AuTHorISATIonS

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,

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

canbeidentifiedfromit.Suchinformation,whichcanincludebothoralandwrittencommunications,isheldinconfidenceifitisheldsubjecttoanexpressorimpliedundertakingtoholditinconfidenceoritissubjecttoarestrictionondisclosureoranobligationofconfidentialitycontainedinexistinglegislation.Examplesmightincludeconsultationsbetweenahealthprofessionalandapatient,orinformationfromapatient’smedicalrecords.

3.11 SpiritualcounsellingmeansconversationsbetweenanindividualandaMinisterofReligionactinginhisofficialcapacity,wheretheindividualbeingcounselledisseekingortheMinisterisimpartingforgiveness,absolutionortheresolutionofconsciencewiththeauthorityoftheDivineBeing(s)oftheirfaith.

3.12 Confidentialjournalisticmaterialincludesmaterialacquiredorcreatedforthepurposesofjournalismandheldsubjecttoanundertakingtoholditinconfidence,aswellascommunicationsresultingininformationbeingacquiredforthepurposesofjournalismandheldsubjecttosuchanundertaking.

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.

Chapter 4AuTHorISATIon ProCEdurES For dIrECTEd SurVEILLAnCE

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:

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.

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.

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.

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.

Chapter 5AuTHorISATIon ProCEdurES For InTruSIVE SurVEILLAnCE

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;

(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

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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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.

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.

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.

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.

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

••

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).

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.

Chapter 6AuTHorISATIon ProCEdurES For EnTrY on or InTErFErEnCE WITH ProPErTY or WITH WIrELESS TELEgrAPHY

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.

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.

Chapter 6AuTHorISATIon ProCEdurES For EnTrY on or InTErFErEnCE WITH ProPErTY

or WITH WIrELESS TELEgrAPHY

theidentityoridentitiesofthosetobetargeted(whereknown);thepropertywhichtheentryorinterferencewithwillaffect;theidentityofindividualsand/orcategoriesofpeople,whereknown,whoarelikelytobeaffectedbycollateralintrusion;detailsoftheoffenceplannedorcommitted;detailsoftheintrusivesurveillanceinvolved;howtheauthorisationcriteria(assetoutinparagraphs6.6and6.7)havebeenmet;anyactionwhichmaybenecessarytoretrieveanyequipmentusedinthesurveillance;incaseofarenewal,theresultsobtainedsofar,orafullexplanationofthefailuretoobtainanyresults;andwhetheranauthorisationwasgivenorrefused,bywhomandthetimeanddate.

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;

••

•••

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

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;

•••

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.

•••

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.

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.

Chapter 7oVErSIgHT BY CoMMISSIonErS

8.1 The2000ActestablishesanindependentTribunal.ThisTribunalwillbemadeupofseniormembersofthejudiciaryandthelegalprofessionandisindependentoftheGovernment.TheTribunalhasfullpowerstoinvestigateanddecideanycasewithinitsjurisdiction.

ThiscodedoesnotcovertheexerciseoftheTribunal’sfunctions.Detailsoftherelevantcomplaintsprocedurecanbeobtainedfromthefollowingaddress:

InvestigatoryPowersTribunalPOBox33220LondonSWLH9ZQ(02072734514

Chapter 8CoMPLAInTS

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

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

Annex A

EggMarketingInspectorate ImmediateSeniorOfficerofHeadofDEFRAProsecutionDivision

SeaFisheriesInspectorate(SFI) ImmediateSeniorOfficerofHeadofDEFRAProsecutionDivision

CentreforEnvironment,Fisheries&AquacultureScience(CEFAS)

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

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

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

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.

Covert Surveillance

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