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Post Office Ltd Internal Information
Investigation Team
Appendix 1 to P&S 9.1
Proceeds of Crime Act 2002
Investigation Orders
Version 4 Final
January 2019
Review Date: January 2020
Helen Dickinson
Security Operations Team Leader
Post Office Ltd
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Contents
Key Accountabilities
1. General
2. Production Orders — Section 345 POCA 2002
3. Search and Seizure Warrant — Section 352 POCA 2002
4. Customer Information Order - Section 363 POCA 2002
5. Account Monitoring Order -— Section 370 POCA
Change Control
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Glossary
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Key Accountabilities
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Who is What doIhave IWhendolI How do I do
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Post Office Ltd comply with these within these
Security procedures procedures
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Proceeds of Crime Act 2002 Investigation Orders
1. General
1.1 Gaining an Investigation Order under the Proceeds of Crime Act 2002 (POCA 2002)
involves preparing information in support of an application, (this is in effect is a
summary of the case written on no more than two sides of A4 paper). It also involves
Preparing the Order itself. These documents require that specific information is
provided. Below is a list of the generic information which must be supplied in the
application documents for all Investigation Orders;
1.1.1. The name of the person subject of the Confiscation or Money Laundering
Investigation.
1.1.2 Whether the Order is for a Confiscation or Money Laundering Investigation and
if;
a) A Confiscation Investigation, the reasonable grounds to suspect that the
subject has benefited from criminal conduct, or:
b) A Money Laundering Investigation, the reasonable grounds to show the
subject has committed a money laundering offence.
1.1.3 That the material is likely to be of substantial value to the investigation for the
purpose of which it is sought.
1.1.4 That the granting of the order is in the Public Interest.
1.1.5 That the application is compatible with Human Rights legislation,
(proportionate, legal accountable and necessary).
2. Production Orders - Section 345 POCA 2002
2.1 Accredited Financial Investigators (AFI) may use Production Orders to access
information which would not ordinarily be supplied to them. This is especially so when
information is required from Financial Institutions. Production Orders obtained in Money
Laundering Investigations can be for the purpose of obtaining evidence of the offence as
well as tracing assets. Prior to making an application authority from a Senior
Authorising Officer (SAO) must be obtained. The application is then made to a Judge in
the Crown Court. The material subject of the order can include any information held by
the institution.
2.2 A Production Order application must also meet the requirements set out in the Code of
Practice issued under Section 377 of POCA 2002 which details that the order should
specify;
2.2.1. The material required to be produced.
2.2.2 Who is believed to be in possession or control of the material.
2.2.3. Whether production or access to the material is required.
2.2.4 That the information requested is not subject to legal privilege or excluded
material. (Conveyancing material is not subject to legal privilege as it is classed as
a business transaction and as such can be obtained by a Production Order).
2.3 FIU Production Order Process. The Financial Investigation Unit (FIU) will undertake
the following processes when obtaining Production Orders;
2.3.1 Assess the crime and identify potential recovery strategies.
2.3.2 Ensure that enquiries, using all available sources of information to determine
what relevant evidence or information could be made available to the
investigation, are made, such as material found at searches, Equifax checks,
Personnel Printouts etc.
2.3.3 Ensure that all the information could not be obtained from another source
including a Data Protection Act 1998 request or a Banker’s Book Evidence Act
1879 Order.
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2.3.4 Undertake ‘Pre’ Production Order enquiries with the relevant organisation, such
as the Bank or Building Society. These will be made by telephone utilising the
banking contact list.
2.3.5 Establish details of accounts held or other relevant information, confirm with
the intended recipient the time required for documents to be made available and
confirm whether the organisation wishes to attend court or be sent a copy of the
information statement in support of the application.
2.3.6 Obtain authority from the SAO. The SAO retains a copy of the authorisation.
2.3.7 Prepare an information statement and copies of the order within a file for Court
purposes.
2.3.8 Arrange with the applicable Crown Court for the application to be heard. Obtain
from them a unique reference number and the name of Judge (where possible).
Update the documentation as appropriate.
2.3.9 Depending on the requirements of the particular Court, ensure that the
documents are lodged accordingly.
2.3.10 Attend Court with good knowledge of the information contained within the
statement and make the application. If granted ensure that Production Order(s) is
signed by the Judge and date stamped.
2.3.11 Leave appropriate copies for the Court as required.
2.3.12 Send a copy of the Order together with a covering letter to the named
organisation(s) either by fax or Special Delivery on the same day that the order is
granted.
2.3.13 Place a copy of the signed documents in the case file.
2.3.14 Update the Financial Investigation Events Log, Policy Log and Document
Schedule as appropriate.
3. Search and Seizure Warrant - Section 353 POCA 2002
3.1 AFI can apply for a Search and Seizure Warrants, however, a Court will not grant a
Warrant unless it can be shown;
3.1.1 That a Production Order has not been complied with and there are reasonable
grounds for believing that the material sought is on the premises specified in the
application, or,
3.1.2 It would be inappropriate to seek a Production Order because it is impractical to
communicate with any person against whom the Order might be made, or,
3.1.3 Entry to the premises will be refused unless a search warrant is produced, or,
3.1.4 The investigation would be seriously prejudiced unless an appropriate person is
able to secure immediate entry to the premises upon arrival.
3.2 FIU Search and Seizure Warrant Process. The process for obtaining a Search and
Seizure Warrant is the same as the process for a obtaining a Production Order as
described in Section 2.3 above
4. Customer Information Order - Section 363 POCA 2002
4.1 A Customer Information Order (CIO) is an order requiring Banks and other Financial
Institutions to identify any account or accounts held by a person under investigation and
provide customer information. A CIO application is obtained in order to establish if any
unidentified account exists. An AFI can obtain a CIO as long as the application is
authorised by a SAO. Any application for a CIO must meet the requirements set out in
the Code of Practice issued under section 377 of POCA. In particular, the application
must specify the financial institutions from which the AFI wishes to obtain customer
information.
4.2 Information Obtainable from a CIO. Customer Information is any information
relating to whether the person holds, or has held an account or accounts at the
specified institution, whether held solely or jointly and should include.
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+1 The account number or numbers.
+2 The person’s full name.
4.2.3 Date of birth.
4.2.4 Most recent and previous address.
4.2.5 Date or dates of account opening and/or closing.
4.2.6 Evidence of any identity obtained by the Financial Institution required by
money laundering regulations.
4.2.7. Personal details of joint account holders (name, date of birth and addresses).
4.3 Complying with a CIO is resource-intensive. Applicants should always consider if the
information could be obtained in another way. Applications should only be made as a
last resort and when there is good intelligence to suggest a previously unidentified
account exists. The AFI must also liaise with the National Crime Agency to see if one
has been applied for already and to lodge the request to avoid duplication.
4.4 FIU Customer Information Order Process. The process for obtaining a CIO Order is
the same as obtaining a Production Order as detailed in Section 2.3 above, excluding
points 2.3.4 and 2.4.5.
4.5 If a Bank or Financial Institution finds an account then it is required to provide customer
information. This information can then be used by the AFI to obtain Production Orders
under Section 345 of POCA 2002.
5. Account Monitoring Order - Section 370 POCA 2002
5.1 An Account Monitoring Order (AMO) is an order requiring Banks and other Financial
Institutions to provide live intelligence on a suspected bank account(s) for up to 90
days, at any one time, from the date of the order (following which a subsequent
application can be made for a further 90 days). An AMO can be obtained by an AFI with
authority from a SAO. Again, as with the CIO, this order requires a lot of work by the
Financial Institution and as such the AFI must consider if the information can be
obtained from another source.
5.2 Any application for an AMO must meet the requirements set out in the Code of Practice
issued under section 377 of POCA. In particular, the application must specify the
Financial Institutions from which the AFI wishes to obtain Account Monitoring.
5.3 The Order may require a Bank or other Financial Institutions to provide information
relating to;
5.3.1 All accounts held by the person specified;
5.3.2 Accounts of a particular type or description; or
5.3.3 A particular account (or accounts) held.
5.4 FIU Account Monitoring Order Process. The process for obtaining an Account
Monitoring Order is the same as obtaining a Production order as detailed in Section 2.3
excluding points 2.3.4 and 2.4.5.
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Change Control
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Status Final
Version 4.0
Owner Helen Dickinson
Author Michael F Matthews
Release Date January 2019
Document Privacy Internal
Authorisation
Title Name Signature Date
Head of Security Mark Raymond January 2019
Opertions
Distribution List
Name Version Date
All Royal Mail Security via Security vi January 2013
Sharepoint
All Royal Mail Security via Security v2 February 2015
Sharepoint
All POL Security via Security v3 June 2017
Sharepoint
All POL Security via Security V4 January 2019
Sharepoint
Documentation History
Issue V.1 v2 v3 V4
Status Final Final Final Final
Release Date Jan 2013 I Feb 2015 I Jun 2017 I Jan 2019
Effective From Jan 2013 I Feb 2015 I Jun 2017 I Jan 2019
Document Change History
Version Summary of Change Input Received From
vi Document Produced in RM
Format
v2 Biennial review no significant
changes
v3 Biennial review no significant Rob Fitzgerald AFI
changes
V4 Changed to POL Format. No
significant changes
Glossary
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Abbreviation or Term
Meaning
POCA 2002 Proceeds of Crime Act 2002
AFI Accredited Financial Investigator
SAO Senior Authorising Officer
FIU Financial Investigation Unit
cIo Customer Information Officer
AMO Account Monitoring Order
Document Summary
If you have any queries please contact:
Helen Dickinson
Post Office Ltd Security
First Floor
Future Walk
CHESTERFIELD
S49 1PF
Mobile:
Email
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