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Investigation Policy Page I
INVESTIGATION PROCEDURES.
PURPOSE
This policy outlines the Investigation Procedures which must be adhered to by all Consignia Security
Managers undertaking investigations.
LINK TO ACCOUNTABILITIES
Security Managers
3.1
3.2
POLICY
ENQUIRY METHODS
These important aspects of investigation work are the subject of detailed training given to new entrants
to the Security Community and comprehensive training notes are issued. Aspects dealt with in this
chapter are, therefore, restricted to procedures which need to be applied.
In normal course precise detective action will be at the discretion of the investigator to whom the case
is assigned and/or at the direction of the appropriate line manager. There are three general types of
investigation :-
1. Enquiry: paper based enquiry initially. The Investigator should endeavour to ascertain the facts in
an effort to solve the case. There is no compulsion to question anyone involved unless it is considered
to be necessary or expedient. The factors that influence as to whether certain actions are required ie,
interviewing of employees with access , obtaining witness statements etc are based upon the following:
e the potential loss to Consignia business in value, reputation and customer retention,
e quality and integrity of the information (intelligence) and the level of incident of ,
probability,
timeliness as to whether the incident reported is recent or not,
© anamed suspect.
The enquiry can end at any level providing that the investigator has been able to satisfy the line
manager that all relevant enquiries have been made taking into account the above.
2. Investigations: Collection of facts in accordance with the Police & Criminal Evidence Act and the
other legislation.
3. Authorised investigations: These are investigations in which a signed authority is required to
conduct an investigation in accordance with the Regulation of Investigatory Powers Act 2000 (RIPA).
A Consignia investigator will require written authority to conduct any surveillance or to use an
informant. Other matters that come under this area are -
e Communication data, such as billing data, metering of telephone calls, e-mail messages on
Consignia equipment, pager messages and photocopying the covers of postal packets or listing
addresses from covers. This does not include the contents of the data itself.
© Testing the honesty of a Consignia employee should only be done after the inquiry stage has
established and strongly indicates the inference of probability that ‘A’ is a thief.
NB Where the suspect in a criminal investigation is a senior Consignia Manager, the Head of Security
of the Business Unit concerned should be notified unless, in the opinion of the investigator, such
disclosure may prejudice ongoing enquiries.
SURVEILLANCE EQUIPMENT
It has been agreed with Consignia unions that watching galleries and CCTV will be used only for the
purpose of detecting crime. If any serious breach of discipline is observed from a watching gallery or
CCTV camera by an investigator, the appropriate manager should be told of it orally and confidentially
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INVESTIGATION PROCEDURES.
3.3
3.4
in order that he/she can take appropriate action. If the in-discipline observed amounts to a breach of
tules relating to security of premises, mails, stock, cash or official property, a report should be made to
the office manager. Care should be taken in communicating this in order that the staff do not become
aware of the surveillance operation.
¢ — The RIPA requires that surveillance equipment is only used where it is proportionate to the crime
being investigated and is not an unjust intrusion of privacy. The guidelines relate to galleries,
CCTV, video/still photography, night vision equipment and binoculars and telescopes.
¢ — Surveillance will only be conducted following appropriate authorisation in accordance with the
laid down ‘authorisation policy’.
© The Codes of Practice cover the use of any other surveillance equipment including audio
equipment and relates to any instance where, in the course of an inquiry, a device is used to record
or transmit a conversation without the knowledge of the other party/parties. Listening devices are
also included. When it is intended to use such equipment, authority must be sought in accordance
with ‘authorisation policy’. It is advisable to consult with Legal Services to ensure the legality of
the situation in the first instance.
© Local records may be required as evidence or unused material. If so, they must be kept in
accordance with the Post Office Code of Practice under the Criminal Procedure and Investigations
Act 1996. Otherwise they must be kept for two years before destruction.
Instructions for the recording of evidence gained on observation is detailed in Appendix 10. This
includes use of notebooks, dictation from another investigator and use of dictating machines.
NOTEBOOKS
Notes relating to an investigation should be made in official notebooks, however, they can be made
in any format providing that they are transferred to an official notebook as soon as is practicable and
the original notes are retained.
© Notebooks are issued by SIS against signature on form CS106 and details are entered on a central
register.
e All notebook entries should be made at the time of the incident or as soon after as practicable: be
individually signed, timed and dated with no alterations made. Unused headings and spaces are to
be struck out.
© Supervisory checks of notebooks, supported by signatures, should be conducted on a regular basis.
© Copies of notebook entries must be produced in evidence in cases submitted with a view to
prosecution.
© Completed notebooks must be returned to SIS where they will be securely retained for a period of 5
years from the date of the last entry.
e Where used in evidence, notebooks must be retained in compliance with the retention periods set
out by the Post Office Code of Practice under the Criminal Procedure and Investigations Act 1996.
TESTING
e Authority to test must always be obtained from an authorising manager before a test takes place.
This should be in writing with full reasons why the test is required. The authorising manager is also
required to give their reasons for allowing the testing operation and should review the authority to
ensure that it remains current and necessary. In exceptional circumstances an oral authority may be
given with documentation completed in line with the authorisation guidelines.
e Entrapment is not recognised as a defence in England and Wales. The issue of entrapment is
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however relevant to the question of fairness. Evidence may be excluded as unfair either under
Section 78 of the Police and Criminal Evidence Act 1984 or under the common law. In 1988 the
Court of Appeal Criminal Division stated in a Consignia case that the test was not entrapment or an
agent provocateur case. The Court of Appeal went on to state that a test of the appellant’s (formally
the defendant’s) honesty was put into effect, as indeed, in the experience of the Court, it must
regularly be in these cases where suspicion falls upon an employee in a position of trust. In effect
the Court of Appeal was distinguishing entrapment from a test to a defendant’s honesty. The Courts
are used to seeing Consignia tests being applied and regard them as a proper part of the
investigation. The court was able to take this view because such care has always been taken over the
applying of tests to the honesty of Consignia employees. A test is not done on the suspicion of an
investigator alone. A prima facie case has to be made to an authorising manager (in accordance with
investigation policy “Authority to Perform Surveillance”) who, not being directly involved in the
investigation-but is conversant with testing operations and can make an objective assessment of the
evidence before giving authority for tests to be applied.
Authority to test must be reviewed every calendar month and then referred to the authorising
manager for written consent for the testing operations to be extended. However, if properly
constructed testing operations have been carried out on three separate occasions. If there are no
indications of the suspect acting dishonestly, the case papers must be submitted to the authorising
manager for review.
A ‘breakdown’ is regarded as a case where a suspect is questioned about a missing test which
cannot be found and the employee is restored to duty. In some cases the letter subsequently comes
to hand and the doubts regarding the employee’s integrity are not satisfactorily resolved. Line
Managers should examine such cases critically in order that mistakes or poor planning can be
corrected helpfully but effectively.
Any persons used to assist in testing operations outside the Security Community must be volunteers
and it must be made clear at the outset that their co-operation may involve an appearance in a Court
of Law as a witness for the prosecution.
A detailed record of the test letter should be maintained on form CS024. Reproduction of banknotes
constitutes a criminal offence and under no circumstances should photocopying be used as a means
of recording the numbers of banknotes contained in test letters.
When it is necessary to use a genuine address in making up a test postal packet, either as the address
of delivery or as that of the ostensible sender, the consent of the addressee, or other person
concerned, must always be obtained beforehand.
In some outside operations (¢.g., prolonged observation) investigators are liable to be challenged by
Police who, perhaps, see what appears to be suspicious behaviour on the part of the investigator's
concemed or who receive complaints from observant members of the public. Inopportune
challenges by Police in such circumstances may well prejudice the successful outcome of an
operation but this can be avoided if the Police are notified confidentially beforehand.
In PO Limited counter testing cases it is advisable to obtain two successful ‘tests’ where additional
cash is given in counter transactions, to ensure that a counter clerk cannot maintain that a
“compensating accounting error’ had been made if interviewed following one testing operation.
Clearly though, individual circumstances might dictate the need for only one test (for instance, if a
large amount of money is involved or if there would be significant delay in applying a second test).
Tests should not normally be applied to the honesty of any person not directly employed by
Consignia (i.e. Sub Office Assistants) without the knowledge of their employer, i.e. Subpostmaster
ete.
No member of Railway staff may be tested without the knowledge of a British Transport Police
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INVESTIGATION PROCEDURES.
Officer of supervisory rank.
The rules relating to the disclosure of unused material to the Defence are laid down in the Criminal
Procedures and Investigations Act 1996. Details of every test, successful or otherwise, must be
revealed to Consignia Legal Services on forms CS006C or CS006D and if necessary on CSO06E.
This also includes details of any test made to the honesty of other members of staff during the
course of the investigation. All written notes etc. made during testing operations will need to be
listed on the forms CS006C, CS006D and if necessary on form CSO06E.
Investigators should ensure they are fully conversant with the rules on disclosure as set out in
the Criminal Procedure and Investigations Act 1996 and the Post Office Code of Practice
under the 1996 Act.
3.5 MARKING OF COINS AND BANKNOTES
.
Consignia Legal Services have advised that the marking of Banknotes and coins by Security
Manager’s for detective purposes does not constitute a criminal offence.
Each Security Manager must maintain a written record of all marked coin held for testing purposes
including its date, denomination and the exact place marked. Should such a marked coin find its
way into circulation, then a relevant entry must be made in the die record and no coin of similar
date and denomination should then be marked in the same place. In no circumstances must marked
coins be passed from one Security Manager to another for testing purposes.
Ifa die is transferred to another Security Manager, then that Security Manager must ensure that
either the first die record is taken over or that no coin of a date prior to the transfer date is marked
with the die, All transfers of marking dies must be centrally recorded.
Marked coins must not be put into circulation, but must be sent to the Bank of England for
destruction. In the event of a marked coin entering into normal circulation an entry must be made
in the “ official notebook”.
Itis necessary to mark test banknotes with invisible ink in addition to recording the serial numbers.
Bank of England notes - because they bear identifiable serial numbers - may be released into
circulation.
4. Links to other reference material (policies, processes and procedures, etc.)
Title Author Located Version Type Policy No.
41 Criminal Procedure & Library 1996 Act 3.2/3.3/3.4
Investigations (PO Code of Appendix 10 3.2/3.3
Practice)
4.2 Police & Criminal Evidence 1984 Act 3.4
(Section 78)
43 RIPA
5. Document details
Author : Law & Legislation Programme Manager
Head of Corporate Security Programme
Security Communit
Programme Manager, Law & Legislation, Corporate Security,
4" Floor, Impact House, 2 Edridge Road, CROYDON, CR9 1PJ
Effective from : May 2002
Review date : May 2003
Last updated + April 2002
Policy Title
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Investigation Procedures
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Investigation Policy
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6. Assurance Details
61 Name Policy Assurance Team
6.2 Business Unit Various
6.3 Assurance Date April 2002
7 Final Review
7.1 I Approved by PA Booth
72 Documented (Hard Copy) YES/NO Location:
73 “ (Electronic) YES/NO Location:
Policy Title
Version
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2.0
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Investigation Procedures