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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 Criminal Law Team (CLT) 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.
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The aim of this document is to give guidance to Security Operations Managers and Team Leaders
on the current compliance standards for the preparation of red label case offender reports and
discipline reports.
Contents:
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1. Offender report:
Preamble.
1.1. Header and footer.
1.2 Preamble as policy template
1.3 Correct heading.
Investigation Background.
1.4
1.5
1.6
Investigation Background reported.
Inquiries conducted reported.
Planning & Operation
Offender Interview Details.
1.7
1.8
1.9
1.10
1.11
1.12
1.13
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.
Post Interview.
1.14
1.15
1.16
1.17
1.18
1.19
1.20
1.21
1.22
1.23
1.24
1.25
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.
Concluding paragraph.
2. Discipline report:
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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.
2.6 Details of suspect interview
2.7. Admissions/denials identified and reported.
2.8 — Allallegations in report substantiated and facts only supported.
2.9 Details to identify and recover loss and assets.
2.10 No reference to files or documentation that are not associated
Post Interview.
2.11 Period of offences identified.
2.12 Outstanding inquires confirmed.
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:
Preamble
1.1 Headers and Footer- “POST OFFICE LTD. CONFIDENTIAL INVESTIGATION, LEGAL”
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1.2 Preamble as policy template (See below)
POLTD/0405/
OFFENCE
(Indicate here type of offence — i.e. Theft, False Accounting, Money Laundering...)
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
Identification Code: (Numbers 1 to 7 only)
FAD Code
Date of Birth:
Date Service Commenced:
At Appendix: C
(date) on the authority of (managers name)
(Delete either Suspended/Contract for Services Suspended)
(Date & name/rank of authorising officer)
(Delete rows if not applicable)
(Name of police station)
(Delete rows if not applicable)
To appear at (time) on (date) at (Court)
(Delete rows if not applicable)
Royal Mail Group (including Post Office Ltd)/Crown Prosecutor
Dave Pardoe, Senior Security Manager
(Managers name)
To addressee, this is currently “Royal Mail Group Ltd Criminal Law Team”
Investigation Background
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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 Criminal Law Team.
1.5 Inquiries conducted reported.
Details of the inquiry undertaken by the investigator, 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 investigator.
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 Investigator or a colleague) as a minimum
and results/details recorded in note book.
Offender Interview Details.
1.7 Offender approach reported.
This should contain detail of the investigator’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 GS001 side A and GS005 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
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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) GS001 (not
Scotland) and the GS003. 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, Investigation 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 ....... to .....
Copies of the working tapes are enclosed at appendbe “B”. I have retained the Master
tapes.
A copy of the form GS001 (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.
NBThere are two main reasons for searching;
1)to secure any further evidence that may assist the criminal investigation.Any decisions
not to conduct 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. 2) to identify,
record and where apllicable, to recover assets,
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 investigator 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
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submitted to the Financial Investigator 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 investigator'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. 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 Investigators 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 investigator’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.
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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 (GS045). 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 ClO. Copy documents are to be associated at appendix ‘C’.
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
investigator 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 above)
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 Criminal Law
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.
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2.5 Inquiries conducted reported.
Details of the inquiry undertaken by the investigator, 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
(Investigation 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
investigator is not submitting a supporting tape transcription or tape summary.
2.8 Allallegations in report substantiated and facts only supported
It is for the investigator 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 investigator 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 investigator would not wish
immediately relayed to the suspect offender; examples would include fresh lines of enquiry
that the investigator may wish to test and challenge by way of re-interview or actions
relating to the use of POCA powers.
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2.13
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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.
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 investigator
concludes that there are no failures a statement to this effect should be made and
highlighted in bold.
Significant failures that may affect the successful likelihood of any criminal action and/or
cause significant damage to he 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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