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Post Office Ltd Internal Information
Criminal Investigation Team
Appendix 2 to P&S 9.1
Proceeds of Crime Act 2002
Enforcement Receivership
Orders
Version 2 Final
January 2019
Review Date: January 2020
Helen Dickinson
Security Operations Team Leader
Post Office Ltd Security
Mobile: I GRO!
Post Office Ltd 2019 Appendix 2 to P&S 9.1 POCA 2002 Enforcement Receivership Orders POL V2 - Page 1 of 10
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Contents
Key Accountabilities 3
1. Introduction 4
2. Obtaining an Enforcement Receivership Order Following 4
Conviction
3. Obtaining an Enforcement Receivership Order in cases 5
where the Defendant has Absconded Before Conviction.
4. Process Maps 5
Change Control 7
Glossary 8
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Key Accountabilities
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Who is What doI have I WhendolI How do I do
accountable? to do? have to do this?
this?
All members of Ensure you Ongoing As detailed
Post Office Ltd comply with these within these
Security procedures procedures
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Proceeds of Crime Act 2002 Enforcement Receivership Orders
1. Introduction
1.1 The Decision to Appoint an Enforcement Receiver. Once a Confiscation Order
has been granted, application may be made by the Prosecutor to the Court for the
appointment of an enforcement receiver. Their role is to realise any property which is
subject to that Confiscation Order. They may be appointed by the Court if the three
conditions below are satisfied;
1.1.1 The Court has made a Confiscation Order;
1.1.2 The Confiscation Order has not been satisfied; and
1.1.3 The Confiscation Order is not subject to appeal.
1.2 It is important to note that there is no requirement for time to pay to have expired
before an application can be made to appoint an enforcement receiver. In appropriate
cases, early applications for the appointment of enforcement receivers should be made
to ensure that payment is made before the time to pay expires.
1.3 Another factor to consider is the cost of appointing an enforcement receiver. Clearly, if
the remuneration and expenses of the receiver are likely to be in excess of the amount
that is likely to be realised, a receiver should not be appointed. This may be a
particularly pertinent issue in cases where there has been no Restraint Order, as some
assets may have been dissipated prior to the appointment of the receiver.
1.4 Although the application to Court is made by the prosecutor, once appointed, the
receiver is an officer of the Court and may be separately represented on future
hearings. Separate representation should only occur where there is a potential conflict
between the receiver and the prosecutor: see Re G, Manning v G (No. 4) [2003] EWHC
Admin 1732.
1.5 Fundamentally the process to be followed will depend on whether or not the defendant
has been convicted of an offence. Accordingly described in Section 2 below is the
process to be followed if the defendant has been convicted; whilst Section 3 details the
process to be followed if the defendant has not been convicted and has absconded.
2. Obtaining an Enforcement Receivership Order Following Conviction
2.1 Once a defendant is convicted of a criminal offence and confiscation proceedings are
appropriate the following process should be followed:
2.1.1 The first issue to address is the defendant present for the confiscation process or
have they absconded. If they have absconded then enquires to locate them
would be appropriate as before a Confiscation Order can be made in the case of
an absconded defendant the defendant has to be absent for over 3 months.
2.1.2 Following this the next issue to address is has a Confiscation Order been made?
If not one should be obtained following normal processes.
2.1.3 Once a Confiscation Order has been obtained it has to be satisfied. If it is
satisfied then the result should be reported on Joint Asset Recovery Database
(JARD). This would then end of the process.
2.1.4 If the Confiscation Order is not satisfied the Regional Asset Recovery Team
(RART) will enforce it as long as a Restraint Order has not been made on the
assets or, if a Restraint Order has been made, the assets are immediately
recoverable. (Immediately recoverable would include such things as financial
products or accounts and pensions).
2.1.5 If a Restraint Order has been made and the assets are not immediately
available, such as house, vehicle or other physical goods, then Post Office Ltd
Security (POLS), as the prosecutor are responsible for arranging the
enforcement of the Confiscation Order.
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2.2 Obtaining an Enforcement Receivership Order. The process for obtaining and
Enforcement Receivership Order is as follows
2.2.1 A date must be arranged with the Court for an enforcement hearing.
2.2.2 The Accredited Financial Investigator (AFI) should prepare and send to the
nominated Enforcement Receiver a ‘Nomination Letter’ written in accordance
with the ‘Capewell’ Guidelines. The Capewell guidelines are suggested guidelines
for the appointment of enforcement receivers. They were issued after a case in
the Court of Appeal. An example nomination letter and the Capewell Guidelines
are embedded below. The AFI should associate with the nomination letter a brief
summary of the case and a schedule of any identified assets.
et 2
Example Nomination Capewell
Letter. docx Guidelines. pa
2.2.3 The Enforcement Receiver will then respond by accepting the nomination and
providing a Schedule of Costs.
2.2.4 The AFI should then prepare a draft Receivership Order and a draft Witness
Statement to support the Receivership Order and serve them on the Court.
=) =)
Example Example Witness
Receivership Order .c Statement.docx
2.2.5 The next step in the process is to attend the Receivership Hearing and obtain a
Receivership Order
2.2.6 The AFI will then forward the order to the Receiver.
2.2.7 The Receiver will then enforce the Confiscation Order and allocate the realisable
assets in accordance with the Court Orders.
2.2.8 Once the assets have been allocated the AFI should report the results on JARD.
3. Obtaining an Enforcement Receivership Order in cases where the
Defendant has Absconded Before Conviction.
3.1 Where the defendant has absconded a period of three months must pass before the
Prosecution can proceed with the Confiscation case. After three months the issue to
address is whether or not Confiscation proceedings are appropriate. Whether or not
they are appropriate will depend on the full circumstances of the case. The quality of
the evidence and the availability of available assets will all have to be borne in mind. If
it is appropriate to proceed with Confiscation the following process should be followed.
3.1.1 Reasonable enquires must be undertaken to try to locate the defendant. Of
course it is expected that these reasonable enquiries will be undertaken whilst
the period of 3 months is elapsing. If the defendant is located then the financial
investigation should continue in accordance with normal processes.
3.1.2 If it is not possible to locate the defendant then consideration should be given as
to what Confiscation regime is appropriate. The two options are through the Civil
Courts following the Civil Law Regime or through the Criminal Courts following
the Criminal Court Regime. If the Civil Court Regime is thought to be appropriate
then the case should be referred by the Criminal law Team to Civil Litigation
Team to deal. If it is thought that the case should be continued through the
Criminal Court then the prosecutor should apply for a Confiscation Order. If a
Confiscation Order is obtained then the remainder of the process is the same as
the process described in Section 2 above from paragraph 2.1.3 above.
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3.1.3 It is worthy of note that if we apply for a Confiscation Order in the absence of
the offender as they have absconded then the Court will not grant Post Office Ltd
compensation as the defendant has not been convicted. Accordingly we would
only qualify for incentivesation money on the sum confiscated after ant receiver's
fees have been deducted.
4. Process Maps
4.1 Below is a Process Map which may be of use as an aide memoir. (Word copy associated
for ease of reproduction).
wl)
POCA 2002
Obtaining Enforceme:
POCA 2002 Obtaining Enforcement Receivership Orders
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Has the defendant
absconded?-
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No 3 months
before further action
can take place
Continue with the
Financial Investigation
as appropriate
Yes
éasonable enquirie>
been undertaken
tolocate the
defendant’
IConduct reasonable
enquiries to locate
the defendant
vil Law Regime
Case to be referredto
the Civil Litigation Team
by the CLT to ceal
then NFA
Qriminal Law Regi
No
+
RART Team to
enforce the
Confiscation Order
Yes
recoverable ? (Funds in
is immediately
Bank accounts!
NZ
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From Page 1
No
¥
Post Office Ltd as prosecutor to arrange to
enforce the Confiscation Order
i
Obtain hearing date for an
Enforcement Hearing
Send the “Nomination Letter” to Nominated Enforcement
Receiver, in accordance with the “Capewell” Guidelines.
Enforcement Receiver responds by accepting the
n and providing a Schedule of Costs
AFI to produce a Draft Witness Statement and
Receivership Order and serve them on the Court
Attend Enforcement Hearing and
obtain a Receivership Order
e realisable assets in
Receiver allocates th:
the Court orders
accordance with
Report the outcome on
JARD
Post Office Ltd 2019 Appendix 2 to P&S 9.1 POCA 2002 Enforcement Receivership Orders POL V2 ~ Page 8 of 10
Change Control
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Status Final
Version 2.0
Owner Helen Dickinson
Author Ged Harbinson / Michael F Matthews
Release Date February 2016
Document Privacy Internal
Authorisation
Title Name Signature Date
Head of Security Mark Raymond January 2019
Operations
Distribution List
Name Version Date
All Royal Mail Security via Security vi February 2016
Sharepoint
All POL Security via Security Sharepoint v2 January 2019
Documentation History
Issue Vi V2
Status Final Final
Release Date Feb 2016 I Jan 2019
Effective From Feb 2016 I Jan 2019
Document Change History
Issue / Summary of Change
Version
Vi Document Produced in RM Format.
v2 Document produced in POL format. No significant changes
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Glossary
Abbreviation or Term Meaning
POCA 2002 Proceeds of Crime Act 2002
JARD Joint Asset Recovery Database
RMGS Royal Mail Group Security
AFI Accredited Financial Investigator
CLT Criminal Law Team
POL Post Office Ltd
POLS Post Office Ltd Security
Document Summary
If you have any queries please contact:
Helen Dickinson
Accredited Financial Investigator
Post Office Ltd Security
Future Walk
CHESTERFIELD
S49 1PF
Mobile: L
E mail helen.dickinsoné GRO
Post Office Ltd 2019 Appendix 2 to P&S 9.1 POCA 2002 Enforcement Receivership Orders POL V2 ~ Page 10 of 10