POL00122560
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Security
Operations
Casework Review
Paragraph
Contents
Page
Case Raised
Enquiry Type
Interview Timescales
Background Checks
PORA
Interview
Searches
Post Interview (Report)
Report
Statements
Business Failings / Lessons Learned
File Construction
File Submission
Summons
Interview Committal
Court
POCA
Funding
Debarment
Case Closure
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Current Process
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Gaps / improvements
Case Raised
Cases are raised from various sources, in
each instance (apart from Post Office Card
Account (POCA) cases) the information is
passed to the relevant operational Team
Leader and they access the information and
make the decision whether to raise a case or
not.
Raised due to audit shortage — A shortage at
audit will result in the completion of an ECF
report by the lead auditor, this ECF report is
emailed thorough to the Post Office Security
Casework Team. On receipt of the ECF
(where a suspension has_ taken place)
casework pass this onto the relevant Team
Leader who will make the decision whether to
raise a case or not
— No record kept in casework
whether case raised or not if TL
does not raise.
- No process for multiple or crown
losses due to no suspension.
Post Office Card Account (POCA) cases
POCA cases are raised direct from the
Grapevine Team.
Other sources
Cases can be
sources.
+ Direct From Investigator via their Team
Leader.
e From the commercial Team
e From Grapevine Team
e From Contract Managers
e From Police
These types of enquiries are sent to the
relevant Team Leader who will make the
decision whether to raise a case or not.
raised from various other
The Team Leader informs the Casework Team
via email that a case is to be raised and which
Security Manager will be dealing with the case.
The Casework team then complete the new
case raised document and email this to the
This Document Should include all
background data such as P32
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security manager along with any ECF or audit
reports which they have received.
document and Extra Audit Report,
this should also include any
Credence Data produced by the
Grapevine Team in Chesterfield.
During case raised process can
Casework get HR reports and
assistant list before being raised??
Possibly POL208 as well??
Stakeholder Notification
This should be emailed to all stakeholders,
Casework Team and Team leader and a copy
of the email printed off and associated in
Appendix C
-Stakeholder Changes, John
Breedan will assign to different CM
depending on their workload.
TIMESCALES?
Formula linking to case raised doc
has been removed???
Communication
e Auditors — Communication with the
auditor on the day of the loss is
essential to gain an understanding of
the loss and to ensure they will send
you everything that you need.
e Contract Manager
e Other Stakeholders
Statement taking and exhibits plan
ENQUIRY TYPE
Immediate Open Enquiry
Where immediate response is appropriate and
few pre-interview enquiries are needed or
practicable
Last immediate open enquiry case
was raised February 2012 — What
is the definition of this case type
and when is it used??
Major Enquiry
>£15,000 (or major customer / client /
reputation impact) where immediate response
is not possible due to the requirement to
perform pre-interview enquiries / analysis
Raise trigger level for cash loss??
Always consider a preliminary
holding interview, more in depth
later
Open Enquiry
Where interviews within 2 month are
appropriate and few pre-interview enquiries are
needed
What is the definition of this case
type and when is it used??
Should this be for client cases
such as POCA DVLA Postage
Labels???
Standard Enquiry
All other enquiries not included in the above -
where immediate response is not possible due
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to the requirement to perform pre-interview
enquiries
Liaison
Any case where liaison with another
investigative body leading enquiries into
criminal activity at POL branches
Interview Framework / Timescales
Interview Date
Offender should be contacted and Interview
should be arranged without delay timescales
will depend on investigation that needs to take
place prior to this.
Include Interview Timescales.
Immediate Open Enquiry
Interview on day of notification (where
possible) minimum within 48 hours and case
submitted to normal report timescales (12
days)
Major Enquiry
Case to be at “suspect offender” interviewed
within 1 month of raise
Is 1 month timescale enough - file
submission is 15 working days so I
1 week to get to interview feasible?
Holding interview in more complex
enquiries
Open Enquiry
Able to progress almost immediately
Case to be at “suspect offender” interviewed
stage within 2 months of raise
Standard Enquiry
Case to be at “suspect offender” interviewed
and submitted / closure stage within 2 months
of raise
Should enquiries indicate increased loss or
impact, status must be amended to Major
Enquiry
immediately
Liaison
Case to be updated monthly via the monthly
spreadsheet process
Better Explanation of liaison.
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BACKGROUND CHECKS
Local Management
Communication with the Contracts Manager at
the earliest opportunity is essential.
Access to contract
database
POL Human Resources Printout
The Sub Postmaster Printout or employee
printout should be obtained for all cases by
emailing Human Recourses using the HR
Assistant Checks email address.
This document can provide the following
information -
+ The subject’s personal details, such as
NI number, home address, bank
account(s), next of kin,
+ Date the SPMR was appointed.
+ Claims data (i.e. holiday pay) & dates
the SPMR was on holiday.
The full SPMR file can be requested by
emailing ‘Contract Admin Team’
Previous members
employed
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advisors
of staff
P356 Assistant List
The P356 Assistant list should be requested at
the same time as the HR Printout from the HR
Assistants Check email address.
This report can provide the following
information
+ Name, date of birth and NI number
+ Persons registered to access Horizon,
(users) at that Post Office
* The Horizon users identities for each
assistant.
+ Whether the assistant is a permanent
assistant or temporary/holiday relief
+ Date the person was activated to use
Horizon and the date users were
removed from the Horizon system.
Training details? History
SPMR Remuneration
The remuneration from a particular branch can
be obtained via an e-mail to HR Agent
Remuneration.
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Police National Computer (PNC)
Post Office Limited PNC checks can be made
for intelligence gathering purposes in respect
of individuals and vehicles suspected or known
to be involved in crime against the Post Office
Ltd.
Examples of authorised use are as follows:
1. To assist authorised personnel with
intelligence gathering around individuals
suspected/ known to be involved in
committing criminal offences.
2. For operational Health & Safety
considerations and evaluations prior to
suspect offender engagement as part of
the operational risk assessment.
3. To obtain previous conviction details of
defendants and witnesses for cases
being prosecuted by Post Office Ltd.
4. To establish intelligence in regards to
vehicles and occupants suspected to be
involved in criminal activity against the
Post Office.
5. To identify the registered keeper of
vehicles connected to the address of a
suspect/known offender involved in
criminal offences against the Post
Office Ltd.
Do not conduct checks for the following
reasons:
1. Unsubstantiated allegations about an
individual.
2. “Fishing trips”, for example blanket
checking vehicles or persons such as
all vehicle in a staff car park in an effort
to identify a suspects vehicle.
3. To identify ownership of a vehicle in
accordance with Proceeds of Crime
Act.
Equifax
NBSC Call Logs
NBSC call logs can be obtained by emailing
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the Branch and IT System Team at Dearne
House.
These logs will detail all calls made by a
branch into the Network Business Support
Centre (NBSC).
These logs can be very useful where a SPMR
or employee claim that they have reported the
loss or incident.
Credence
Credence is a tool used to analyse detailed
transactional data from a particular branch,
this is
useful to prove
transactions or events.
Only data, up to 90 days, can be extracted and
analysed by POL Security
details of particular
An Application to Fujitsu will turn the MI data
into data/documentary evidence for use in the
criminal courts. Older/historic data can be
obtained too.
Fujitsu will provide a witness statement relating
to the authenticity of the data only, not the
specific transactions relating to your enquiry
ONCH
The Cash Management team can provide
Over Night Cash Holdings (ONCH) data for a
specific branch. This data gives in depth cash
analysis for a branch including what
denomination of notes a branch has declared
on a given date along with cash remittances in
and out.
A request for this data can be emailed to
Andrew Keighley (Retail Cash Manager)
Andrew and his team will also highlight any
concerns they might have with the branch.
The same information can be requested for
Foreign Currency holdings.
Enquire whether the cash
management team have a generic
email for such requests?
Full Rota Check
A ‘full rota check’ allows for a full data search
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for a specific branch relating to transaction
issues. This can include and transaction
corrections (TC’s), scratch card, remittances,
stock adjustments and other specific office’s
products.
This check can be arranged via POL Security's
Grapevine strand, Analyst & Support team in
Chesterfield.
POST OFFICE RISK ASSESSMENT (PORA)
The PORA process is mandatory in any Post
Office led investigation which may involve a
planned, interview under caution or premises
search. A PORA is required for each suspect
involved in the investigation,
In order to manage the risks effectively
Investigators should conduct any risk related
intelligence checks and/or enquiries that they
feel are necessary as part of the PORA
process. The following checks are available
and thought to be the most relevant to Post
Office Security cases
Local Management check -. may also
identify other information such as health
issues, including suspected drug or alcohol
habits, or outside interests e.g. domestic
circumstances which may impact on H&S.
PNC Individual checks — may identify
“warning” indicators or previous convictions of
both suspects and others at the address. It
may also identify other information which
impacts on H&S such as any history regarding
the certification (or refusal) of firearms or
orders recalling persons to hospital.
Full Equifax check — this check can be used
to identify current occupants at an address to
be searched or visited. A “Full Investigation”
Equifax check should be undertaken
PNC Vehicle check — this can reveal
registered keepers of vehicles at a specific
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address.
Land Registry checks — these will identify the
owner of property.
Local Police Intelligence check — may
identify risks regarding the suspect or other
incidents or persons at the address(es) and
the geographical area(s) to be visited. It may
also identify other law enforcement interest.
Risk Score
Where any risk is assessed as High a Senior
Investigation Manager should be consulted
and the assistance of the Police sought before
any investigation activities which bring
Investigators in to contact with the suspect are
commenced.
Where the Planned Operation is assessed as
Low or Medium risk line manager’s authority
must be obtained before any investigation
activities which bring Investigators into contact
with the suspect are commenced
Interview
Peace model for completion.
Points to prove, earliest
opportunity etc One on one
interviewing where appropriate.
Making notes of — significant
comments, save time listening to
tapes later. Lawyer present, not
present. Interview in a_ police
station following arrest
Searches
Consent, where consent not given
or significant wait until suspect’s
“Friend” attends
POST INTERVIEW.
48 Hour Offender Report
To be emailed to Team Leader, Casework
Team, Financial Investigator (if appointed)
Primary Stakeholder within 48 Hours of the
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interview.
FES Report Trigger Points for FES to be
Financial Evaluation Sheet to be emailed to completed?
Financial Investigator within 72 hours of the
interview.
Tape Transcripts
To be completed by the individual or when
appropriate send to the typist - Cath Philbin
Post the tapes to Cath By special delivery
(address on the form) and email the form to
(See Link Below) cathphilbir : Copy
in Helen Dickinson because she picks up the
tapes to post back.
Guidelines for when to get tape
transcribed eg do we need for No
comment interviews and where
admissions at interview? In the
majority of cases, a tape interview
summary to include significant
admissions or denials will be
sufficient at this stage of the
investigation. Full transcripts
should only be completed following
request from lawyers
Report
Write Offender Report Legal
Offender Report to be written using example
report and guidelines. This has to be submitted
in the complete file within 15 working days to
the casework team.
Following the style and format of
the MG case file process
Write Discipline Report
Discipline report to be written using example
report and guidelines. This has to be submitted
in the complete file within 15 working days to
the casework team.
Statements
Need to include system
statements, consider who
generally we should be seeking
statements from, previous
members of staff
Business Failings
If business failings or procedural weaknesses
identified this should be completed on the
relevant tab of the new case raised form and
emailed to all stakeholders. This should be
printed off and associated in appendix C of the
file.
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File Construction
Green Jacket
e Green Jacket should be put together as
per the compliance guidelines (See Link
below) with report, tape transcripts and
all evidence etc in the correct appendix.
e General Rule Appendix A = Witness
Statement B = Evidence C = Other
Body Of The Report
e Case Raised Sheet
e Interim Report
e Report
e Tape Transcript
Disclosure documents are
currently not inserted into the
green jacket, a separate committal
bundle is put together and sent to
Cartwright king. These will be in
the body of the file?
Appendix A
e Witness Statements
e Summons Documents
Appendix B
POLO01
Evidence
Notebook Entry
Search Documents
Working Tapes
Appendix C
Stakeholder Notification
HR Printout
Assistant List
Interview Letter
POL003
Business Failings
Discipline Report
Antecedents
NPAO1
Currently Appendix C is submitted
with the file to Cartwright King —
Can this be omitted?
FILE SUBMISSION
Once the case file is constructed and ready to
submit for consideration the investigator will
send this to their team leader to review,
Each case file should the follow the stated
process
Should the file go to Team Leader
and them to send to casework?
What is the role of the TL in
reviewing the file?
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Investigator > Casework > Criminal Law Team
> Cartwright King > Casework > Head Of
Security > Casework > Investigator
Investigator > Casework Team
Once the file has been reviewed by the
investigators Team Leader the file will then be
forwarded to the casework team. The
investigator will email electronic copies of the
offender report, tape transcripts and discipline
report to Post Office Security email address.
Casework > Criminal Law Team
The Casework team will then forward the file to
the Criminal Law Team (CLT). The file will be
reviewed by the CLT and a decision made
whether further progression be made with the
case. If the decision is No Further Action the
file is returned to casework at that point (next
step 5.6).
Criminal Law Team > Cartwright King
If the decision is to proceed with the
prosecution case the file is the forwarded to
Cartwright Kings for advice on charges. (In
some instances CLT will put charges
together).
Cartwright King > Casework (Or Jarnail)
Cartwright King will prepare advice and
charges for the case (or advise no further
action). If further enquiries are required they
will contact the investigator direct and send
advice detailing the further enquiries.
The advice along with charges and case file is
then sent back to casework. place and sometimes further
enquiries can drag on due no
visibility.
If Cartwright King decide there are
further enquiries to be made the
advice is emailed to _ the
investigator. The file is kept by
Cartwright King while the enquiries
are carried out — casework have
no record of these enquiries taking
Casework > Head Of Security
The file is then forwarded to the Designated
prosecution authority (DPA) for authority to
proceed. The DPA will review the case file and
decide whether to proceed with the advice
from the CLT and Cartwright King or whether
to take a different course of action. The
authority to proceed (or other instruction) will
be inserted into the case file.
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Head Of Security > Casework
The file is the forwarded back to the casework
team.
Casework > Investigator.
The file is returned to the investigating officer
with advice and charges submitted in the case
file for the investigator to proceed.
Every other Month Cartwright King
send a list of Post Office Cases
and indicate what stage they are at
to casework and CLT — Can this
be passed to TL’s to enable where
they are up to?
SUMMONS
If advice is prosecution — need to obtain
summons.
Upon notification of a prosecution taking place,
the investigating officer will make contact with
the relevant Magistrates’ Court to set a date
for the suspect’s first appearance at court.
Summonses are also applied for. Upon receipt
of the summonses the investigating officer will
serve the summonses by way of posting them
to the suspect offender using the Royal Mail
Special Delivery service.
Hand deliver the summons where
possible???
Set a Court Date
Contact the Magistrates court where the
offence took place and confirm that court deals
with the matter and the address where the
summons are to be sent for signature...
Speak with listings and inform them you are a
private prosecution — (certain courts have set
days for non police prosecutions).
Obtain a date normally six weeks from date of
request but no more than 8 weeks.
Acquiring AS Number
e Update the front of the NPA0O1 with the
date of the court hearing and the details
of the court,
e Complete the offence and the method
used in offence section on the front of
the NPA0O1. If more than one offence,
then complete the NPAO2 for the
relevant number of offences.
Email the updated NPAO1 (and NPA0O2 if
required) to the casework team. The
casework team will apply to the relevant police
force for an Arrest Summons (AS) Number
which is required for the court to sign the
With the New NPA form is the
NPA 2 still required or can all
charges go on NPAO1?
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summons, the AS number will be emailed back
to the investigator within a few days of the
submission of the NPA01 (Different police
forces work to different timescales to times will
vary).
Prepare three copies of the summons
Prepare one information sheet.
Send to the court for signature with covering
letter — all three copies of the summons should
be returned and signed.
Court will retain the information sheet.
Inform the agents Solicitors appointed by CLT)
of the time and date of the court appearance.
Query for CLT — Courts tend not to
sign the summons now, is this
acceptable?
On receipt of the summons
Take a photocopy of the defendant’s copy of
the summons.
Send the original copy of the defendants
summons together with a POL044 (Charge or
summons notice) and a copy of the means
form.
Summons can be either served personally or
via Royal Mail Special Delivery to the offender.
a. If served personally see part c.
b. Check to see when the Special delivery was
accepted and obtain a print out of the track
and trace record.
c. Inform CLT that the summons has been
delivered. (Confirmation of serving of
summons).
By endorsing on the back of the defendants
photocopied summons the following:
1. I certify that today, (date), I personally
served a copy of the summons upon
(Name), the defendant named overleaf.
or
2. I certify that a copy of the
summons overleaf has been
served upon (Name), the
defendant named overleaf. The
summons was sent via Royal Mail
Special Delivery (number) and
was delivered (date and time).
Prepare and send to CLT covering letter (see
appendix a) confirming the summons has been
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served, together with a copy of the POL033
and any TIC’s by post.
Update the front of the NPA form with the date
you applied for the summons and the date the
summons was served.
Complete the offence and the method used in
offence on the front of the NPA01.
If more than one offence, then complete the
NPAO2 for the relevant number of offences.
Again query NPA02
Email Casework team and Criminal Law Team
the confirmation of service letter together with
the NPAO1 and NPAO2 forms.
Does Jarnail want a hard copy of
the summons?
Copies of the summons go in Appendix A of
the file.
COMMITTAL
Committal Checklist
POLOO6B Self Disclosure
POLO06c Schedule of non sensitive unused
material
Sensitive Material
Cont Disclosure Report
Witness List
Witness Address
Witness Non Availability
List Of Exhibits
Memo to CLT
COURT
POCA
FUNDING / RECOVERIES
DEBARMANT
CASE CLOSURE
Case Closed notification
To include Commercial — email
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I from Helen Dickinson
Body Of File Appendix A Appendix B Appendix C
Case Raised Sheet __I Witness Statement GSso01 HR Printout
Interim Report Evidence GS003
Offender Report Notebook Entry Stakeholder
Notification
Tape Transcript
Search Documents
Business Failings
Working Tapes
Discipline Report
Antecedents
NPA1
Start construction of the File
Type up NPA 01 and put in file
Type up Antecedents and put in file
Type up any search documents and put in file
Type up notebook entry and put in file
Make copies of invite to interview letters
Make copies of GS001 and put in file
Make copies of GS003 and put in file
Make copies of all evidence (no originals allowed) and put in relevant
appendix
Other things to put in file - Equifax — HR Printout — assistant List - Stakeholder
notification — case raised form — FES form
Collect all relevant statements —
Write all first officer statement
get second officer statement
Audit Statement —
If any evidence is from another person eg Chesterfield get statement off
them.
Possible Statements from other members of staff depending on what is
said at interview
When tape transcripts returned proof read transcripts and listen to tapes to
ensure that all relevant admissions denials etc are recorded on transcripts.
Ensure times are correct and transcripts follow compliance rules.
Submit to Steve for him to check all reports and construction of File.
If any amendments are needed reprint report and page number etc and put in
file.
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Email Offender report, Tape Transcripts and discipline report to post office
security and hand the constructed green file in to Maureen
Andrew Wise
Security Manager Date: 04/02/13