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Post Office Ltd
Investigation Team
Compliance
Guide to the Preparation and Layout of
Investigation Red Label Case Files
File construction and Appendices A, B &
Cc
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POL00121570
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Prepared by Ged Harbinson, Compliance Manager
Introduction
The aim of this document is to give guidance to Investigation Managers and
Investigation Team Managers on the current compliance standards for the
preparation of red label case files and appendices A, B and C.
Contents:
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File Construction:
Urgent Today Label used.
File cover set out correctly.
CS230 paged at page one.
Pages numbered correctly.
Correct font for all reports.
Offender report paged.
Interview paged.
Appendices A, B and C associated.
Discipline report associated.
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2. Appendices A, B & C:
Construction:
2.1. Appendices clearly marked.
2.2 Paper numbers completed.
2.3. Contents in correct appendix — Contents of A, B and C.
2.4 Contents numbered.
Contents:
2.5 Copy of working tapes associated.
2.6 No original exhibits.
2.7 CS001 correctly dealt with. (Not Scottish or if offender arrested)
2.8 CS003 correctly dealt with. (Not if offender arrested)
2.9 CS005/CS045 correctly dealt with. (If applicable or Police search
record copy enclosed)
2.10 Other CS forms and NPA forms Correctly dealt with. (if applicable)
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2.11. BAT04 and accounting documentation correctly. (if applicable)
2.12 Personal Printout properly obtained.
3. Notebook:
3.1. Copy of notebook entry enclosed. (Photo copy or Typed)
3.2 Notebook details. (conversations, Observations and Factual details)
4. Other
4.1 IIMARC completed and copy enclosed where appropriate.
4.2 TOR completed and copy enclosed where appropriate.
1. File Construction:
1.1. Urgent Today Label used:
The red label CS104 should be attached to the front of the file and remain
there until the case is settled.
1.2 File cover set out correctly:
The green case file should set out as shown below. The “Assigned to:”
columns should be completed clearly and kept up to date.
CONFIDENTIAL
SECURITY
Assignment Details:
POLTD/0506/000
Post Office LTD.
DMB Cash Loss £3,500
Nosuch DMB
UB8 4TG
FAD: 078 345
Assigned to: Business Date Assigned Business Date
Unit to: Unit
A. Smith POLTD. 03/09/05
Casework POLTD. 13/09/05
Management
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1.3 CS230 paged at page one:
The CS230 (Investigation capture details form) should always be paginated at
page one to the report.
1.4 Pages numbered correctly:
The file pages should be numerically indicated, by pencil, in the top right hand
corner of each subsequent page.
1.5 Correct font for all reports:
All reports paginated by the investigator should be in the correct business font.
(This is currently Post Office Sans, font size 14)
1.6 Offender report paged:
The offender/s report should be paginated directly following the CS230, the
first page should be the “Preamble”. There should be a separate “Preamble”
for each offender prior to commencing the report actual with the addressee
(Currently) “Corporate Security Criminal Law Team”
1.7 Interview paged: (where produced)
The interviews of any offender/s should be paginated in chronological order
following the “Offender Report”. Any subsequent reports and interviews should
be paginated in chronological order thereafter.
1.8 Appendices A, B and C associated:
The three, buff colour, appendices (Evn.2007) should be associated and
enclosed at the rear of the file in alphabetical order. Appendices must be
attached to the file cover using either an orange or yellow, treasury tag.
1.9 Discipline report associated:
A copy of the Discipline report should be forwarded to POLD. Casework
Management, by E-mail, this will then be associated in the casework
management offender file.
2. Appendices A, B & C:
Construction:
2.1 Appendices clearly marked
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The three appendices should be clearly marked A, B or C and associated in
the file in alphabetical order. All three appendices should be marked clearly
“In Confidence”
2.2 Paper numbers completed
The line “Paper No’s” should be completed with POLTD/ followed by the case
file number.
2.3. Contents in correct appendix.
All documentation should be enclosed in the correct appendix:
Appendix A
e Statements (copies)
Appendix B
e Copies of evidence.
e Tape summaries and tapes (Summaries dealt with by CWM Team)
e Copies of legal Rights and search forms (CS001 (Scottish CS003), CS005
and any police search record)
Appendix C
¢ Copy Friends at Interview Forms (CS003)
e Antecedents (CS033)
e NPA forms (NPA1 — 3)
e Disclosure forms (for committal) (CSOO6B, CSOO6C, CSO06D and CSO06E)
e Miscellaneous (relevant) e.g. Bank Disclosure Authority, Without Prejudice
Receipt if applicable, Personnel/Staff Printouts, Accounting records,
Records of error Notices issued, anything that forms part of the case that is
not in Appendix ‘B’ but is relevant to Criminal Law Team.
2.4 Contents numbered.
Each item listed in the contents column should be clearly numbered.
Contents:
2.5 Copy of working tapes associated.
A copy of the working tape of the interview/s should be associated in appendix
B.
2.6 No original exhibits.
There should be no original exhibits or statements in any appendix.
2.7. CS001 correctly dealt with. (Not Scottish or if offender arrested)
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This should be completed correctly with all relevant fields completed; the copy
enclosed should be clear and readable.
2.8 CS003 correctly dealt with. (Not if offender arrested)
This should be completed correctly with all relevant fields completed; the copy
enclosed should be clear and readable.
2.9 CS005 / CS045 correctly dealt with. (If applicable or Police search
record copy enclosed)
These should be completed correctly with all relevant fields completed; the
copies enclosed should be clear and readable.
2.10 Other CS forms and NPA forms Correctly dealt with. (If applicable)
These should be completed correctly with all relevant fields completed; the
copies enclosed should be clear and readable.
2.11. BAT04 and accounting documentation correctly. (If applicable)
These should be completed correctly with all relevant fields completed; the
copies enclosed should be clear and readable.
2.12 Personnel Printout properly obtained.
The copy enclosed should be clear and readable.
3. Notebook:
3.1. Copy of notebook entry enclosed.
A copy of any notebook entry made should be enclosed in appendix B.
3.2. Notebook details. (Conversations, Observations and Factual
details)
Notebook entries should contain details of, date, time, location, attendance,
conversations, observations and factual details.
4. Other:
4.1 IIMARC completed and copy enclosed where appropriate.
This should be completed correctly with all relevant fields completed.
4.2 TOR completed and copy enclosed where appropriate.
This should be completed correctly with all relevant fields completed.
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