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POST OFFICE LIMITED
Pi
ENFORCEMENT AND PROSECU OL!
FOR ENGLAND AN LES
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TABLE OF CONTENTS
Section Page
1. Introduction 3
2. Scope 4
3I3. Aims-and-Objectives 5
4. Available Enforcement Options 6
4I Enforcement Action-other than-Criminal Enforcement Action 8
5. General Principles of Criminal Enforcement
10
6. Criminal Enforcement 12
7. Decision Making 14
8. Recovery: Confiscation, Compensation and Costs 15
9. Review 16
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INTRODUCTION
As of the date of this policy, Post Office Limited (POL)t provides a wide
fange of vital—services, including postal and banking services, to
communities across_the United Kingdomn the—public—through its
approximately 11,800 branches.-aer the UK. B L POL's-activiti
POL"'s committed to ducing criminal activity offending against its
business wheth r i iduals or by other legal entities including byin-
two ways:
investigating offences, and by-
ng enforcement action as POL considers appropriate in the
circ ances of the case.
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Page 3 Comments
Al We should change this to Post Office Limited throughout
Author, 05/09/2014 06:45 PM
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SCOPE
POL became a stand alone company Fellowing-4its-separation-from-Royal-
Mail-Group on 1 April 2012. It —POt-has retained its investigative and
prosecution function. In England and Wales, POL conducts both
investigative and prosecuting functions.
However, itn Scotland_and Northern Ireland , POL’s Security Team carries
out_investigations and decides whether to _refer_a case either
eprese i imi Ag to the Crown
* In Northern
lip. Solel to
id. POL does not make
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Page 4 Comments
A2 Should this referral decision be taken in accordance with the criteria set out in
this policy?
Author, 28/08/2014 03:39 PM
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AIMS-AND-OBJECTIVES
This policy has been formulated having regard to the following objectives:
3.1.1 To enable Ersure—that-POL to_takes a fair, consistent and
proportionate approach to criminal enforcement;and
3.1.2 To pProvide POL decision-makers with guidelines enabling
them to reach enforcement decisions;
3.1.2 To pPreserve and maintain the viability and integrity of the services
POL provides to the public, which criminal activity compromises
3.1.3 To dDeter the commission ofycriminal offending against POL’s
business
3.1.4 To pProtect POL’s physical and financial assets, and
3.1.5 To rRecover monetary losses and assets resulting from criminal
conduct.
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4.2.1 the amount of the losses
4.2.2 whether the losses have been repaid;
4.2.3 whether the facts disclose a patt
4.2.4 the degree of sophisticatio
4.2.5 the number of incidents;
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AVAILABLE ENFORCEMENT OPTIONS
Informal action, disciplinary action and civil action are enforcement
options open to POL, and they will be carefully considered before any
criminal enforcement action is taken._POL’s policy relating to other forms
of enforcement action are set out in Policy [xxx].
Any one of more of the following factors may be taken into account by POL, along.
with all other relevant factors, in deciding whether POL considers that
prosecution or another form of enforcement action (as lis ibove) would be the
most appropriate response to an alleged offence”
designed to
materially benefit him/her, or _w je fact pattern discloses
inadvertence/poor book-keeping skills 01 \ddle-headedness”;
gdoing:
POL and the services it provides to the community:
4.2.10 the past history and attitude of the offender;
4.2.11 the likelihood of non-compliance with other enforcement action
4.2.12 the likely effectiveness of other enforcement action; and
4.2.13 the consequences of pursuing other enforcement action.
4.2.14 tFhe nature and extent of any breach of trust by the offender;
4.2.15 the offender's age, physical _or mental condition, and his general
character and reputation;
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Page 6 Comments
A3
A4
Are there any other factors that would be more applicable to an alleged offender
who does not work in a branch? For example, a customer?
Author, 05/09/2014 06:47 PM
4.2.2 to 4.2.8 are from the board paper. The other criteria in 4.2 are taken from
various other parts of the policy which list factors POL will take into account
Author, 08/08/2014 03:19 PM
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4.2.16 any previous convictions or other evidence of previous offending or
default;
4.2.17 any voluntary disclosure or confession made by the offender:
4.2.18 tFhe deterrent effect of a prosecution on the offender and on others:
and
4.2.19 any unreasonable delay by POL in reaching an enforcement decision.
The-choi f_enforcementoption_will_depend_on_the seriousness—of_th:
Li ‘PA
4.3. Provided always, where the nature of the offence is so serious or the
shortage or loss so substantial that enforcement action other than criminal
action is inadequate and might lead to delaying criminal investigation and
enforcement, POL maywill move expeditiously to consideration of criminal
enforcement action.
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ircurmstances-where-The offence is-not deemed serious-enough-to justify
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Page 9 Comments
AS This has been deleted because other policies will deal with other enforcement
action
Author, 08/08/2014 03:19 PM
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5. GENERAL PRINCIPLES OF CRIMINAL ENFORCEMENT
5.1 Where the decision is made to pursue criminal enforcement, POL will apply
the Code for Crown Prosecutors issued by the Director of Public
Prosecutions,? as well as the further considerations set out in this policy
document. The decision whether to prosecute in any individual case will be taken
with due diligence and expedition.
5.2 POL will have regard to the Human Rights Act 1998 and the European
Convention on Human Rights.
5.3 POL will comply with:
. Its disclosure obligations under the Criminal Procedure and Investigations
Act 1996 (and the Code of,Practice issued thereunder)
. The Protocol for the Control and Management of Unused Material in the
Crown Court
. The Attorney General's guidelines on Disclosure and on the Disclosure of
Digitally-Stored Material
« The Criminal Procedure Rules and the Criminal Practice Directions
. The Attomey General’s guidelines on the Acceptance of Pleas
5.4 Each case will be approached according to general principles of fairness,
consistency and proportionality.
5.5 Fairness and consistency does not mean a uniformity of approach but
adopting a similar approach in similar circumstances to achieve similar ends,
but taking into account the particular circumstances of each case.
? Currently the 7" Edition, issued January 2013. Go to www.cps.gov.uk
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89 5.6 Proportionality means relating enforcement to the offence alleged so
that POL enforcement action will be proportionate to the seriousness of
the offence, the culpability of the offender, the harm caused by the
offending, the impact of the offending on the community and on the
services POL provides, and the costs of investigation and prosecution as
weighed against the likely outcome.
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6. CRIMINAL ENFORCEMENT ACTION
6.1 Prosecution may will be brought where:
6.1.1 The alternative enforcement options are considered to be
inadequate — see section 4 of this policy — and the circumstances
justify a prosecution — see section 6.3 below.
6.1.2 The evidence passes the two-stage test for prosecution set out
in the Code for Crown Prosecutors, and
a)
6.2 To pass the two-stage test for prosecution set out in the Code for Crown
Prosecutors (“the Full Code test”) there must be:
6.2.1 Evidence sufficient to provide)a realistic prospect of conviction
(“the evidential stage”), and
6.2.2 The prosecution must bein the public interest (“the public
interest stage”).
6.3 Where there is a realistic prospect of conviction and prosecution is in the
public interest, the circumstances that justify a prosecution_as being in the
public. interest may include_any one or more of the following:
. Where the offence is particularly egregious, for instance where the
conduct has resulted in a significant or substantial financial
shortage or loss
. Where the offence has or is likely to have an adverse impact on
POL’s business, brand, image or reputation
. Where the victim of the offence was particularly vulnerable (e.g. by
age, infirmity or physical or mental disability etc.)
. Where the offence involves a serious breach of trust
. Where the offending (or the concealment of the offending) is
sophisticated, involves multiple transactions or was committed over
a lengthy period of time
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Page 12 Comments
AG Is this already covered in 7.1.1?
Author, 08/08/2014 03:19 PM
A7 How is this list of factors intended to interact with those in section 4?
Author, 08/08/2014 03:19 PM
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. Where there is a history of similar past offences or misconduct
. Where an innocent party has been falsely blamed or accused
6.4 Once the decision to prosecute is take will keep the case under
ars to POL the case no longer meets
longer meets the public interest sta
discontinue the case due delay.
des that prosecution no
‘ode test, then it may?{will}
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7. DECISION MAKING
7.1 The decision to authorise prosecution will be taken by the senior criminal
lawyer in the Post Office Legal and Compliance Team (“POLCT”) [acting on
advice from external lawyers{, subject to approval by POL’s Head of Security..
7.2 In the event that POL’s Head of Security Operations disagrees with the
POLCT senior criminal lawyer’s decision, POL’s General Counsel will make
the final decision whether or not to authorise prosecutions
7.4 Criminal investigations will be conducted by POL’s Security Operations
Team in accordance with the Conduct of CriminalInvestigations Policy.®
7.5 The decision to prosecute will be taken openly and transparently. he
decision and the underlying reasons for it will be recorded in writing and
retained by POL until the expiry of a period of 6 years following the conclusion
of the case.
> Effective from 29 August 2013
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Page 14 Comments
A8& Do we need to state that we will always “act on advice from external lawyers”?
This will require us to always get external advice before prosecuting and to act
on that advice.
Author, 28/08/2014 03:32 PM
AQ Do we need to say this? It limits our ability to conduct prosecutions ourselves
(unlikely I know but is a remote possibility)
Author, 28/08/2014 03:36 PM
A10 Is it helpful to say this? — if the decision is taken in accordance with the policy
then isn’t that all that is required?
Author, 28/08/2014 03:37 PM
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121 I 8. RECOVERY: CONFISCATION, COMPENSATION AND COSTS
122 I 8.1 POL will in every case seek to recover any shortage or loss resulting from
the offender’s criminal conduct, as well as the costs of prosecution, subject to
the general principles of fairness, consistency and proportionality.
123 8.2 In appropriate cases, POL will seek to obtain orders for:
. Restraint against assets owned or controlled by suspects,
. Confiscation under the provisions of the;Proceeds of Crime Act
2002,
. Compensation, and
. Costs covering the investigation and prosecution, or
. Any combination of such orders
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124 I 9. REVIEW
125 I 9.1 This policy supersedes any previous POL criminal enforcement action or
prosecution policy.
126 9.2 This policy will be reviewed annually.
Date of policy implementation:
Date for review of this)policy:
Formal approval of policy by:
Signed: Name:
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