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Post Office Ltd
Security Operations Team
Compliance
Guide to the Preparation and Layout of Investigation Red Label
Case Files.
Offender reports & Discipline reports
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The purpose of the Suspect Offender report is to provide a storyboard
of the events and evidence of an investigation to the relevant
Stakeholders and Post Office Ltd Legal & Compliance Team to enable a
decision to be made as to the future conduct of a case.
This guide is produced for all Security Operations Managers,
irrespective of location, so those in Scotland and Northern Ireland
will need to interpret some of the content accordingly, e.g. for
Scottish cases read ‘Exhibits’ as ‘Productions’.
The general principle is that the description of investigation
activities should read in the sequence they occurred so it may be
necessary to re-order the paragraphs or elements within them. The
following is only a guide to the preparation of an offender report
and accordingly relevant additional information should be included as
appropriate.
A single report is required in cases where more than one suspect
offender is identified and interviewed as being involved in the same
offence, however a separate preamble must be included for each
individual.
The text element of the Suspect Offender report should commence
immediately underneath the preamble/s. The Header/Footer on the
report should read ‘POST OFFICE® LTD CONFIDENTIAL - INVESTIGATION,
LEGAL’ .
Where reference is made to evidence or property in the body of the
report, the item reference number (i.e. AA/1) should follow the
description. If documents referred to in the report are paged into
the body of the file, or are associated at an appendix, reference
must be made to their location.
Use:
Font: Chevin Light
Style: Normal
Font size: point 12
Spacing: single
The aim of this document is to give guidance to Security
Operations Managers and Team Leaders on the current compliance
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standards for the preparation of red label case offender reports
and discipline reports.
Contents:
1. Offender report:
Preamble.
1.1 Header and footer.
1.2 Preamble as policy template
1.3 Correct heading.
Investigation Background.
RRR
4
5
6
Investigation Background reported.
Inquiries conducted reported.
Planning & Operation
Offender Interview Details.
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1.
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Offender approach reported.
Reference to note book entry made.
Details of suspect interview and searches as applicable.
Preliminaries.
Admissions/denials identified and reported.
Details to identify and recover loss and assets.
Interview concluded and tape details.
Interview.
Period of offences identified.
Assessment of evidence available to support charges.
Details of domestic and financial details of offender/s.
Reliability of witnesses.
Outstanding inquires confirmed.
Loss to Post Office LTD. Reported.
Accounting aspects status reported.
Subsequent enquiries and actions to identify and recover loss
and assets.
NPA forms and antecedents.
Copy reports and tape summaries etc.
Details of failures in security, supervision, procedures and
product integrity.
1.25 Concluding paragraph.
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2. Discipline report:
Preamble.
2.1 Header and footer
2.2 Preamble as policy template
2.3 Correct heading.
Investigation Background.
2.4 Investigation Background reported.
2.5 Inquiries conducted reported.
Offender Interview Details.
Details of suspect interview
NNN
aI
supported.
2.9 Details to identify and recover loss and assets.
2.10 No reference to files or documentation that
associated
Post Interview.
2.11 Period of offences identified.
2.12 Outstanding inquires confirmed.
Admissions/denials identified and reported.
All allegations in report substantiated and facts only
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2.13 Loss to Post Office LTD. Reported and accounting aspects
status reported.
2.14 Details of failures in security, supervision, procedures and
product integrity.
2.15 Concluding paragraph.
1. Offender report:
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Preamble
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1.1 Headers and Footer- “POST OFFICE LTD. CONFIDENTIAL
INVESTIGATION, LEGAL”
1.2 Preamble as policy template (See below)
(Indicate here type
Name:
Rank:
Office:
Age:
Service:
Personnel Printout:
Nat Ins No:
Home Address:
Suspended/Contract
for Services
Suspended:
Handed into custody:
At:
Charged:
To be prosecuted by:
Designated
Prosecution
Authority:
Discipline Manager:
1.3 Correct heading
POLTD/0405/
OFFENCE
of offence - i.e.
Money Laundering...)
Theft, False Accounting,
Identification (Numbe
8 to
Code: 7 only)
Branch Code
Date of Birth:
Date Service
Commenced:
At Appendix: C
(date) on the authority of (managers name)
2 tract for
(Name of police station)
(Delete rows if not ap: sable)
To appear at (time) on (date) at (Court)
(Delete rows if not apr sable)
Post Office Ltd / Crown Prosecutor
Dave Pardoe, Senior Security Manager
(Managers name)
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To addressee, this is currently “Post Office Ltd Legal &
Compliance Team”
Investigation Background
1.4 Investigation background reported.
This should cover details of the office, or location, of the
offence/s with details or information current or historical
relating to the office or persons employed or residing there.
Give a brief description of the office involved, e.g.
urban/rural/small/large.
State details of sub postmaster and number of assistants
employed.
Give particulars of the suspected offence/s and how it/they
came to notice including items such as whom they concern or
identify. State the loss to Post Office LTD. or other agency
at the time of inaugural report. A copy of any
reports/documents should be referred to and associated at the
relative appendix.
An explanation of correct procedures should be given in cases
where it is felt that information about the POLTD process may
be of use to the Legal & Compliance Team.
1.5 Inquiries conducted reported.
Details of the inquiry undertaken by the Security Manager, to
include items such as evidence gathering, analysis
observations, tests and witness evidence gained pre “offender
interview”. The outcome of enquiries should be explained,
together with the conclusions reached by the Security
Manager.
1.6 Planning & Operation
Reference must be made regarding applications for
testing/surveillance operations, with signed copies of
testing/RIPA applications, Planned operation Risk Assessments
(PORA) forms, associated at appendix ‘B’. Forms and outputs
for other criminal checks should also be associated at
appendix ‘C’.
NB: The exception to this is where a positive result has been
obtained in relation to a PNC check. In these circumstances
the conviction details must be placed within a_ sealed
envelope, marked ‘In Confidence’ and be associated at
appendix '‘'C’.
NB: PORA must be completed in all cases that do not involve
same day apprehension/searches/interviews. Where immediate
enquiries are made, verbal risk assessment activities must be
undertaken (by Security Manager or a colleague) as a minimum
and results/details recorded in note book.
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Offender Interview Details.
1.7 Offender approach reported.
This should contain detail of the Security Manager’s first
approach to any suspect/s and cover the date, time, location,
introduction, explanation, caution, request to attend
voluntary tape-recorded interview and completion of the
POLOO1 side A and POLOOS5 if done at this stage. There are of
course many variations and additions to this for example if
the police are involved or if the suspect/s make any
admissions or significant statements. All need to be reported
at this stage in the offender report
1.8 Reference to note book entry made.
PACE advises that note-book entries must be made for each
suspect offender interview. Any such entry must detail date,
time, place, subject and duration of interview along with
master tape number. In addition, note-book entries must be
made to account for conversations, observations and factual
details not captured by audio tape (or prior to commencing
interview) and in particular to cover prolonged periods
between engaging suspect offender and eventual interview.
1.9 Details of suspect interview and searches as applicable
This should contain details of the date, start time,
location, attendance (investigation managers, suspect, legal
representation Post Office friend and any other) POLO001 (not
Scotland) and the POL003. Reference should be made to any
tape transcription or summary if produced and the page
numbers attributed to either. For example:
At 0900 hours on 23 January 2005, I interviewed (name) at
Leeds Branch Office. Present throughout the interview were
Mr Alan Smith, Security Manager and Mr James Lawyer,
Solicitor. The interview was tape-recorded and a_ tape
summary has since been prepared, a copy of which is now at
PAGeS wenn CO snes
Copies of the working tapes are enclosed at appendix “B”. I
have retained the Master tapes.
A copy of the form POLO01 (item no. AA/1) is associated at
appendix '‘B’.
Reference should also be made in this section to the outcome
of searches conducted during the interview process. Copies
of search forms are to be associated at appendix ‘B.
NB: Searches are mandatory for all losses. There are two
main reasons for this; 1) to identify, record and recover
assets, 2) to secure any further evidence that may assist the
criminal investigation. Any decisions not to _ conduct
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searches must be authorised by Team Leaders and = such
decisions recorded (in report and/or notebook). Where a risk
materialises that warrants safety concerns (e.g. number of
individuals on the premises) police involvement should be
sought.
1.10 Preliminaries.
This should contain brief, relevant, preliminary details
asked at the start of the interview and could include, career
histories, employment, training, responsibilities, security
awareness and procedural questioning.
1.11 Admissions/denials identified / reported and points to prove
covered.
This should contain admissions and denials made during
interview and in particular those relating to the offences
listed in the preamble to the report (to include amounts and
offence dates of any admission). The section should be more
detailed if the Security Manager is not submitting a
supporting tape transcription or tape summary.
1.12 Details to identify and recover loss and assets.
This should contain details resulting from any questions and
answers asked during interview, which relate to or have an
impact on identifying and recovering loss and assets. A
Financial Evaluation Sheet (FES) must also be completed as
fully as possible and submitted to the Financial Security
Manager within 72 hours of interview. Evidence of assets and
financial documentation are of paramount importance in
relation to asset recovery.
1.13 Interview concluded and tape details or custody record.
This should contain the time the interview concluded and
where the tapes are now stored. Reference should be made here
to any custody records if applicable.
Post Interview.
1.14 Period of offences identified.
State the start and end date of offence/s detailed in
preamble to report.
1.15 Assessment of evidence available to support charges.
This should contain the Security Manager’s assessment of the
evidence available to support the offences detailed in the
preamble to the report it should identify conflicting
evidence statements or admissions and include comment on
demeanour of offender, an assessment of their response to
questioning, whether full scope of offence has been admitted
to and suggested reason as to why crime committed (i.e.
greed, gambling). It may contain opinion and any other
matters not listed above which are substantial and relevant.
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Recommend prosecution or, alternatively, give an explanation
why prosecution is not advised.
NB: Where appropriate, reference should be made to evidence
of Money laundering offences. Where Money Laundering is
evident, this enables Financial Security Managers to utilise
investigative powers within the Proceeds of Crime Act (POCA)
2002.
1.16 Details of domestic and financial details of offender/s.
This should contain any domestic, health and financial
details including any mitigating circumstances of offender/s
gathered, at or post interview, which are not readily found
in any personal printout associated and which may have an
impact on prosecution and or financial recovery
considerations.
1.17 Reliability of witnesses.
This should contain the Security Manager’s assessment as to
reliability of any relevant witness or witness statement in
the case.
1.18 Outstanding inquires reported.
Reference should be made to any necessary inquires yet to be
made, along with a reasonable assessment as to there progress
and or completion.
1.19 Loss to Post Office LTD. Reported.
State the overall loss to the business (after allowing for
any recovery) caused by the offender’s wrongdoing. Also
state the actual loss to the business if different. Comment
on any restitution received from offender, its disposal or
location and the ‘without prejudice’ receipt.
1.20 Accounting aspects status reported.
State any accounting aspects dealt with or to be dealt with.
1.21 Subsequent enquiries and actions to identify and recover loss
and assets.
This should contain details resulting from any subsequent
investigations, which relate to or have an impact on
identifying and recovering loss and assets (POLO45).
Reference must also be included as to whether the papers have
been referred to a Post Office Ltd Financial Investigation
Manager, who should be engaged throughout the end to end
process of the investigation.
1.22 NPA Forms/Antecedents:
Refer to completion of NPA and antecedent documentation and
where appropriate the submission of them to CIO. Copy
documents are to be associated at appendix ‘C’.
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1.23 Copy Reports/Tape Summaries, etc.:
State what has been submitted electronically to Casework and
say where other relevant documents are to be found, or give
their disposal.
1.24 Details of failures in security, supervision, procedures and
product integrity.
This must be a comprehensive list of all identified failures
in security, supervision, procedures and product integrity it
must be highlighted bold in the report. Where the Security
Manager concludes that there are no failures in security,
supervision, procedures and product integrity a statement to
this effect should be made and highlighted in bold.
The ‘Procedural Failings’ form (within the ‘All In One Case
Raise’ spreadsheet) should also
be completed within 48 hours of interview and circulated to
relevant Stakeholders. One of the Stakeholders is Crime
Risk, who are responsible for capturing emerging crime trends
and/or prevalent failings that contribute to fraud within the
business.
1.25 Reason for File Submission
Explanation as to reason for submission of case file.
2. Discipline report:
Preamble.
2.1 Header and footer ‘POST OFFICE LTD CONFIDENTIAL:
INVESTIGATION, PERSONNEL”
2.2 Preamble as policy template. (See below)
POLTD/0405/
Name:
Rank:
Office: Branch Code:
Age: Date of
Birth:
Service: Date Service
Commenced:
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Home Address:
Suspended/Contract (date) on the authority of (managers name)
for Services (Delete either Suspended/Contract for
Suspended: Services Suspended)
Discipline Manager: (Managers name)
2.3 Correct heading. “Discipline Manager”
Investigation Background.
2.4 Investigation Background reported.
This should cover details of the office, or location, of the
offence/s with details or information current or historical
relating to the office or persons employed or residing there.
Care must be exercised when detailing information relating to
how the suspected offences came to attention and in
particular advice should be sought, from Legal & Compliance
Team, prior to including any information that has not been
divulged to the suspect offender as part of the enquiry
proper. In particular, advice must be sought when dealing
with the issue of Covert Human Intelligence Sources or Human
Intelligence Source.
2.5 Inquiries conducted reported.
Details of the inquiry undertaken by the Security Manager, to
include items such as evidence gathering, analysis,
observations, tests and witness evidence gained pre “offender
interview”. However, this again must be restricted to those
details which have been disclosed at interview and advice
must be sought prior to including any investigative practices
/ techniques not previously disclosed to the suspect.
Offender Interview Details.
2.6 Details of suspect interview.
This should contain details of the date, start time,
duration, location, attendance (Security Managers, suspect,
legal representation Post Office friend and any other).
Reference should be made to the number of tapes used, and as
to whether interview tape transcription / précis is
associated or, if not, where copies of the tapes can be
obtained.
2.7 Admissions/denials identified and reported.
This should contain any admissions and denial made during
interview. Reference should be made to amounts and dates of
any admission. The section should be more detailed if the
Security Manager is not submitting a supporting tape
transcription or tape summary.
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2.8 All allegations in report substantiated and facts only
supported
It is for the Security Manager to ensure that any allegation
in the report is substantiated by evidence or admissions made
during the interview.
No supposition, inference or personal, unsubstantiated,
comment should be included within the report.
2.9 Details to identify and recover loss and assets.
This should contain details resulting from any questions and
answers asked during interview, which relate to or have an
impact on identifying and recovering loss and assets.
2.10 No reference to files or documentation that are not
associated.
It is for the Security Manager to check the discipline report
to ensure that all “opinion” has been removed along with
references to files or documentation associated to the
offender report, which are not necessarily associated or
attached to the discipline report.
Post Interview.
2.11 Period of offences identified.
State the start and end date of offence/s detailed in
preamble to report.
2.12 Outstanding inquires confirmed.
Reference should be made to any necessary inquires yet to be
made, along with a reasonable assessment as to their progress
and or completion. Again, care must be exercised in revealing
here any information that the Security Manager would not wish
immediately relayed to the suspect offender; examples would
include fresh lines of enquiry that the Security Manager may
wish to test and challenge by way of re-interview or actions
relating to the use of POCA powers.
2.13 Loss to Post Office LTD. Reported and accounting aspects
status reported.
State clearly any loss to Post Office LTD along with the
status of any accounting aspect to be dealt with.
2.15 Details of failures in security, supervision, procedures and
product integrity.
This must be a comprehensive list of all failures in
security, supervision, procedures and product integrity it
must be highlighted bold in the report. Where the Security
Manager concludes that there are no failures a statement to
this effect should be made and highlighted in bold.
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Significant failures that may affect the successful
likelihood of any criminal action and/or cause significant
damage to the business must be confined, solely, to the
confidential offender report. Care must be exercised when
including failures within the Discipline Report as obviously
this is disclosed to the suspect offender and may have
ramifications on both the criminal elements of the enquiry,
as well as being potentially damaging to the reputation or
security of the business. If you are in any doubt as to the
appropriateness of inclusion or exclusion you must discuss
with your Team Leader.
Reason for File Submission
Include here the reason for submitting the discipline report.
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