Practice Advice on the Management of Expert Advisers:Layout 1 · 2018. 12. 6. · Expert Advisers (EA’s) are a necessary part of some criminal investigations and their involvement

Updated 2011Produced on behalf of the Association of Chief Police Officers by the National Policing Improvement Agency Specialist Operations Centre Crime Team

THE MANAGEMENTOF EXPERT ADVISERSVersion 3.4

Practice Advice on

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Practice Advice on The Management of Expert Advisers, Version 3.4, Updated 2011NOT PROTECTIVELY MARKED

Produced on behalf of the Association of Chief Police Officers by the National Policing Improvement Agency Specialist Operations Centre Crime Team

Practice Advice onTHE MANAGEMENTOF EXPERT ADVISERS Version 3.4

Updated 2011

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Contents

Preface 6

Section 1What is an Expert Adviser 7

Section 2The NPIA Specialist Operations Centre 9

2.1 Finding a Suitable Expert 10

Section 3

Your Responsibilities 11

3.1 Contracts and Costs 12

Section 4Disclosure Obligations 13

4.1 Record Keeping 14

4.2 Communications 14

4.3 The Collection and Movement of Material 14

4.4 Reveal 14

Section 5Secure Exchange of Data 15

5.1 Media Types 16

Section 6Role of the Crown Prosecution Service 17

Section 7Feedback 19

7.1 Recruitment to the database 20



Expert Advisers (EA’s) are a necessary part of some criminalinvestigations and their involvement needs to be managed carefully.This document sets out how to manage EA’s. It should be read inconjunction with ACPO (2011) Practice Advice for Expert Advisers(Version 3.4) which sets out their responsibilities and the part theyplay in a criminal investigation. If you have not yet received a copy ofthe ACPO (2011) Practice Advice for Expert Advisers (Version 3.4)contact the NPIA, Specialist Operations Centre (SOC) by telephone on0845 000 5463.

External EA’s will charge for their services. Please ensure that prior toengaging an EA you have obtained authority from the appropriateforce budget holder and have agreed a contract of engagement toinclude costs. NPIA does not assist with the costs of an EA.

The NPIA has no responsibility in relation to the cost or contractagreed with the investigation.

Preface

NOT PROTECTIVELY MARKED Practice Advice on The Management of Expert Advisers, Version 3.4, Updated 2011

NOT PROTECTIVELY MARKED © ACPO NPIA 20116

1What is an ExpertAdviser

7



An EA is any person who is able to assist an investigation because theirspecialist knowledge and/or experience allow them to give an opinionon a particular matter, or provide a specialist service directly related totheir expertise. An EA is independent of the Police Service and usuallyemployed to interpret and present evidence as a forensic expertwitness, although they are not necessarily an expert witness.

An expert, as defined by the Crown Prosecution Service (CPS), is ‘aperson whose evidence is intended to be tendered before a court andwho has relevant skill or knowledge achieved through research,experience or professional application within a specific field sufficient toentitle them to give evidence of their opinion and upon which the courtmay require independent and impartial assistance. The differencebetween an expert and other witnesses is that experts are permitted togive opinion evidence’. It is worth noting that an EA’s status maychange to that of an expert witness as the investigation progresses.

What makes a suitable EA will depend on the context of a particularcase. An EA’s expertise and qualifications are only useful to aninvestigation if they are relevant to the issues in that investigation.Expertise can be demonstrated through formal, recognisedqualifications or through experience. The type of expertise that isappropriate will depend on the nature of the problem.

This advice is not directed at those who are already covered bycontractual arrangements with the Police Service such as core forensicservice providers and pathologists, or those who have an arrangementwith their own force.

8 © ACPO NPIA 2011NOT PROTECTIVELY MARKED




9

The NPIASpecialistOperationsCentre

2



The NPIA Specialist Operations Centre (SOC) provides information,advice and support to those involved in:

• The investigation of murder, no body murder, suspicious missing persons, rape, abduction, series and serious sexual offences;

• Covert issues and techniques;

• Uniform policing;

• Vulnerable victims and witnesses - Witness Intermediary Scheme.

It maintains a database containing the details of Expert Advisers (coreforensic services are covered by contractual arrangements with thePolice Service) and is the recommended route by which InvestigatingOfficers should obtain the services of an EA. This facility is availabletwenty-four hours a day, seven days a week via the SpecialistOperations Centre on telephone 0845 000 5463. The NPIA SOC alsooperates an on call twenty-four-hour service for urgent homicide andmajor crime advice.

The Specialist Operations Centre does not accredit Expert Advisers on its database. It is the Investigating Officers responsibility to ensurethat an EA has the necessary and relevant expertise to aid theirinvestigation. Expert Advisers are, therefore, required to complete anaccurate and up-to-date CV in the NPIA format, and submit it to theSpecialist Operations Centre. Failure to reveal all the informationrequired will negate entry to the Expert Advisers Database. For further information regarding the Specialist Operations Centre,email [email protected] or telephone 0845 000 5463.

In the first instance you should contact the Specialist Operations Centreto identify Expert Advisers who appear to have the appropriateexpertise. If you do not want to use any of the EA’s identified by theSpecialist Operations Centre, there are other options to locate one andthese options can be discussed with the SOC Crime Advisers.

2.1 Finding aSuitable Expert

3YourResponsibilities

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• Identify the most appropriate person in terms of relevant qualifications and experience to aid your investigation.

• Security check the EA as per your force policy when it is intended to use them in sensitiveinvestigations, or where appropriate.

• Provide the EA with a clearly defined question or problem that requires their expertise.

• Provide the EA with terms of reference and a contract before the work begins which mayinclude any court attendance.

• Provide the EA with all the material or information required to enable them to perform their role including ACPO (2011) Practice Advice for Expert Advisers (Version 3.4).

• Respect the objectivity and independence of the EA and do not pressurise them to give a particular answer.

• Ensure that the EA gives opinions on facts and hypotheses for which they are properly prepared. They should express opinion only from known sources.

• Ensure that the EA understands the importance of confidentiality.

• Ensure that the EA understands their responsibility to assist the investigation to comply with the Criminal Procedure and Investigations Act 1996 (CPIA) as amended by the CriminalJustice Act 2003 (the Act), and the revised codes of practice (the Code), issued under it.

• Ensure that the EA understands their responsibilities as defined in ACPO (2011) Practice Advice for Expert Advisers (Version 3.4) and in particular that they work within their area of expertise.

• Develop and maintain clear lines of communication with the EA and provide guidance to them throughout their involvement in the investigation.

• Keep the EA informed of any changes to the investigation that impact upon their work.

• Nominate a Single Point of Contact (SPOC) for EA liaison within the investigation.

• Appraise the work carried out by the EA at regular intervals.

• Ensure that all tasks have been achieved by the EA as documented in your contract.

• Debrief the EA at conclusion of the case to ensure good practice is identified and shared.

External EA’s will charge for their services. Please ensure that prior to engaging one youhave obtained authority from the appropriate force budget holder and have agreed acontract of engagement to include costs. NPIA does not assist with the costs of an EA.

The NPIA has no responsibility in relation to the cost or contract agreed with the investigation.

3.1 Contracts and Costs

4DisclosureObligations

13





You should ensure that the EA understands their responsibility to record,retain and reveal all the material that they receive or produce as a result ofthe investigation, including their findings. You should advise the EA not todestroy any material but to keep all material related to the investigationregardless of a positive, negative or neutral outcome. The length of timethat material should be kept is defined in the CPIA Code of Practice.

Material is defined by the Criminal Procedure and Investigations Act1996 (s23 (1)) as ‘material of any kind, including information andobjects, which is obtained in the course of a criminal investigation andwhich may be relevant to the investigation. This includes not onlymaterial coming into the possession of the investigator (such asdocuments seized in the course of searching premises) but alsomaterial generated by them (such as interview records)’.

You should advise the EA to start making records from the time you instructthem and throughout their involvement in the investigation. The mediumthey choose to make their records should be durable and retrievable. Theyshould make contemporaneous notes, wherever practicable, of all the workthey carry out. This also includes work carried out by others working undertheir instruction. The notes must be dated and signed by the person whoperformed the work and should be attributable to them. The notes shouldbe sufficiently detailed and clear so that another expert in the same fieldcan follow the nature of the work and the conclusions drawn.

You should advise the EA to make a record of all telephoneconversations and meetings they attend. Points of discussion and theagreements reached should be recorded. They should keep all emails(or copies) and other electronic transmissions e.g. images (or copies)that they send or receive.

You should ensure that the EA records information relating to thecollection and movement of material. The record should state who sentand received the material, the means by which it was moved and thedate the movement occurred.

You must also ensure that the EA retains control of all material in theirpossession in secure facilities and that the integrity of all exhibits ismaintained. At the conclusion of their engagement with yourinvestigation, the EA should return all material submitted to them andgenerated by them.

Prior to a court case you should advise the EA that they are required toreveal to the investigation everything they have recorded, and that theyshould not disclose any of the material provided or produced as part ofthe investigation to any party without your written consent or that ofthe CPS.

4.1 Record Keeping

4.2 Communications

4.3 The Collectionand Movement ofMaterial

4.4 Reveal

5Secure Exchangeof Data

15





Police officers/staff using the services of an external EA may have tosend and receive sensitive and possibly restricted data via secure postand the PNN/Non PNN secure/non secure network(s) electronically.Equally EA’s working with police are likely to receive and send such data.

Police officers should comply with force policy regarding the sending ofsensitive or restricted data.

EA’s should familiarise themselves and comply with the transferguidance protocols below. These protocols are taken from NPIA (2009) Guidance for the Physical and Electronic Transfer of Protectively Marked Information.

1Hannigan (2008) Data Handling Procedures in Government: FinalReport recommends sending and receiving personal and RESTRICTEDdata securely both electronically and physically.

Electronic Transfer - emails:

Non-PNN Users

• Any attachments sent via email to a non-pnn user should be encrypted using the encryption software contained withinWINZIP (VERS 9 or above) AES 128 or 256 (the freelydownloadable version of WinZip will not open encrypted files,therefore the recipient needs to have subscribed to a paidWinZip programme) with a 14 alphanumeric password sentseparately, via a different medium (i.e. telephone/text) once theencrypted document has been received.

Technical Transfer - secure post:

Police, Police Staff, Medical & Forensic Experts/Staff

• To send all data using the encryption methods outlined above on a CD or DVD only and not USB stick. Password for Encrypteddata to be sent separately via an alternative media (i.e. email,text or telephone).

• For secure transport send via Special Delivery (recorded delivery is not secure enough) in double bagged tamper proof envelopes.

• An audit of this process is required so all tracking is recorded on Remedy or a record produced within the case file.

• The person must show proof of identity and have the notification letter for receipt of this data.

• The recipient should call the sender to obtain the password separately; this provides a form of acknowledgement of receiptof the CD/DVD. This can also be sent via email or voicemail.

5.1 Media Types

1The Hannigan Report http://www.cesg.gov.uk/products_services/iatp/documents/data_handling_review.pdf

6The Role of the CrownProsecutionService

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Early liaison with the CPS is essential, and contact with them should bemaintained throughout the case.

The court presentation of your case and expert witness evidencerequires close liaison and management.

A copy of Disclosure: Experts’ Evidence and Unused Material –Guidance Booklet for Experts can be found at

http://www.cps.gov.uk/legal/d_to_g/disclosure_manual/annex_k_disclosure_manual/

http://www.cps.gov.uk/legal/d_to_g/disclosure_manual/annex_k_disclosure_manual/

7Feedback

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After the case, both you and the EA should take the opportunity todebrief each other so that lessons can be learned and good practiceidentified. This is an integral part of the process and is beneficial in allmajor investigations. Where an EA was sourced from the SpecialistOperations Centre, both parties should feed back any relevantcomments. You should also consider giving feedback to your own force(where applicable).

Feedback is advantageous for both parties and for other investigatorswho may wish to engage with the EA, as such the NPIA operates a 360degree feedback process. Contact will be made after six months fromthe date of your enquiry being logged with the SOC. This should not,however, negate contact for relevant more urgent feedback.

Positive and negative feedback is retained by the SOC Crime Team andis revealed upon request when appropriate.

If you have engaged an EA from a source other than the SpecialistOperations Centre, and the EA has provided satisfactory service, pleaseforward their details (with agreement from the EA) to the SpecialistOperations Centre. They can then be considered for inclusion on theExpert Advisers Database.

7.1 Recruitment tothe Database

Documents

Practice Advice on the Management of Expert Advisers:Layout 1 · 2018. 12. 6. · Expert Advisers (EA’s) are a necessary part of some criminal investigations and their involvement