9 August 2002. Thanks to O. Published on the UK Home Office website 2 August 2002:

COVERT SURVEILLANCE
CODE OF PRACTICE

Pursuant to Section 71 of the

Regulation of Investigatory Powers Act 2000

Commencement

This code applies to every authorisation of covert surveillance or of entry on or interference with property or with wireless telegraphy carried out under section 5 of the Intelligence Services Act 1994, Part III of the Police Act 1997 or Part II of the Regulation of Investigatory Powers Act 2000 by public authorities which begins on or after the day on which this code comes into effect.

Chapter 1: BACKGROUND

General extent of powers
Use of material in evidence
Directed surveillance, intrusive surveillance and entry on or interference with property or with wireless telegraphy

Chapter 2: GENERAL RULES ON AUTHORISATIONS

Necessity and proportionality
Collateral intrusion
Combined authorisations
Central record of all authorisations
Retention and destruction of the product
The Intelligence Services, MOD and HM Forces

Chapter 3: SPECIAL RULES ON AUTHORISATIONS

Communications subject to legal privilege
Communications involving confidential personal information and confidential journalistic material

Chapter 4: AUTHORISATION PROCEDURES FOR DIRECTED SURVEILLANCE

Authorisation Procedures
Information to be provided in applications for authorisation
Duration of authorisations
Reviews
Renewals
Cancellations
Ceasing of surveillance activity
ADDITIONAL RULES
Recording of telephone conversations

Chapter 5: AUTHORISATION PROCEDURES FOR INTRUSIVE SURVEILLANCE

Authorisations Procedures for Police, National Criminal Intelligence Service, the National Crime Squad and HM Customs and Excise
Information to be provided in applications for authorisation
Approval of Surveillance Commissioners
Notifications to Surveillance Commissioners
Authorisations Procedures for Secretary of State
All intrusive surveillance authorisations
Duration of Authorisations
Renewals
Reviews
Cancellations
Ceasing of surveillance activity

Chapter 6: AUTHORISATION PROCEDURES FOR ENTRY ON OR INTERFERENCE WITH PROPERTY OR WITH WIRELESS TELEGRAPHY

Authorisations for entry on or interference with property or with wireless telegraphy by the police, National Criminal Intelligence Service, the National Crime Squad and HM Customs and Excise
Authorisation procedures for entry on or interference with property or with wireless telegraphy by the police, National Criminal Intelligence Service the National Crime Squad and HM Customs and Excise
Notifications to Surveillance Commissioners
Duration of authorisations
Renewals
Reviews
Cancellations
Authorisations record
Ceasing of entry on or interference with property or with wireless telegraphy
Retrieval of equipment
Special cases - Cases requiring prior approval of a Surveillance Commissioner
Authorisations for entry on or interference with property or with wireless telegraphy by the intelligence services
Retrieval of equipment

Chapter 7: OVERSIGHT

Chapter 8: COMPLAINTS

Annex A

1 BACKGROUND

1.1 In this code the:

"1989 Act" means the Security Service Act 1989;
"1994 Act" means the Intelligence Services Act 1994;
"1997 Act" means the Police Act 1997;
"2000 Act" means the Regulation of Investigatory Powers Act 2000;
"RIP(S)A" means the Regulation of Investigatory Powers (Scotland) Act 2000.

1.2 This code of practice provides guidance on the use of covert surveillance by public authorities under Part II of the 2000 Act and on entry on, or interference with, property (or with wireless telegraphy) under section 5 of the 1994 Act or Part III of the 1997 Act. This code replaces the code of practice issued in 1999 pursuant to section 101(3) of the 1997 Act.

1.3 General observation forms part of the duties of many law enforcement officers and other public authorities and is not usually regulated by the 2000 Act. For example, police officers will be on patrol to prevent and detect crime, maintain public safety and prevent disorder or trading standards or HM Customs and Excise officers might covertly observe and then visit a shop as part of their enforcement function to verify the supply or level of supply of goods or services that may be liable to a restriction or tax. Such observation may involve the use of equipment to merely reinforce normal sensory perception, such as binoculars, or the use of cameras, where this does not involve systematic surveillance of an individual.

1.4 Although, the provisions of the 2000 Act or of this code of practice do not normally cover the use of overt CCTV surveillance systems, since members of the public are aware that such systems are in use, there may be occasions when public authorities use overt CCTV systems for the purposes of a specific investigation or operation. In such cases, authorisation for intrusive or directed surveillance may be necessary.

1.5 The 2000 Act provides that all codes of practice relating to the 2000 Act are admissible as evidence in criminal and civil proceedings. If any provision of the code appears relevant to any court or tribunal considering any such proceedings, or to the Investigatory Powers Tribunal established under the 2000 Act, or to one of the Commissioners responsible for overseeing the powers conferred by the 2000 Act, it must be taken into account.

General extent of powers

1.6 Authorisations under the 2000 Act can be given for surveillance both inside and outside the United Kingdom. Authorisations for actions outside the United Kingdom can only validate them for the purposes of proceedings in the United Kingdom. An authorisation under Part II of the 2000 Act does not take into account the requirements of the country outside the United Kingdom in which the investigation or operation is taking place.

1.7 Where the conduct authorised is likely to take place in Scotland, authorisations should be granted under RIP(S)A, unless the authorisation is being obtained by those public authorities listed in section 46(3) of the 2000 Act and the Regulation of Investigatory Powers (Authorisations Extending to Scotland) Order 2000; SI No. 2418). Additionally any authorisation granted or renewed for the purposes of national security or the economic well-being of the United Kingdom must be made under the 2000 Act. This code of practice is extended to Scotland in relation to authorisations made under Part II of the 2000 Act which apply to Scotland. A separate code of practice applies in relation to authorisations made under RIP(S)A.

Use of material in evidence

1.8 Material obtained through covert surveillance may be used as evidence in criminal proceedings. The proper authorisation of surveillance should ensure the admissibility of such evidence under the common law, section 78 of the Police and Criminal Evidence Act 1984 and the Human Rights Act 1998. Furthermore, the product of the surveillance described in this code is subject to the ordinary rules for retention and disclosure of material under the Criminal Procedure and Investigations Act 1996, where those rules apply to the law enforcement body in question.

Directed surveillance, intrusive surveillance and entry on or interference with property or with wireless telegraphy.

1.9 Directed surveillance is defined in section 26(2) of the 2000 Act as surveillance which is covert, but not intrusive, and undertaken:

for the purposes of a specific investigation or specific operation;
in such a manner as is likely to result in the obtaining of private information about a person (whether or not one specifically identified for the purposes of the investigation or operation); and
otherwise than by way of an immediate response to events or circumstances the nature of which is such that it would not be reasonably practicable for an authorisation under Part II of the 2000 Act to be sought for the carrying out of the surveillance.

1.10 Directed surveillance investigations or operations can only be carried out by those public authorities who are listed in or added to Part I and Part II of schedule 1 of the 2000 Act.

1.11 intrusive surveillance is defined in section 26(3) of the 2000 Act as covert surveillance that:

is carried out in relation to anything taking place on any residential premises or in any private vehicle; and
involves the presence of an individual on the premises or in the vehicle or is carried out by means of a surveillance device.

1.12 Applications to carry out intrusive surveillance can only be made by the senior authorising officer of those public authorities listed in or added to section 32(6) of the 2000 Act or by a member or official of those public authorities listed in or added to section 41(1).

1.13 Applications to enter on or interfere with property or with wireless telegraphy can only be made by the authorising officers of those public authorities listed in or added to section 93(5) of the 1997 Act. Under section 5 of the 1994 Act only members of the intelligence services are able to make applications to enter on or interfere with property or with wireless telegraphy.

2 GENERAL RULES ON AUTHORISATIONS

2.1 An authorisation under Part II of the 2000 Act will provide lawful authority for a public authority to carry out surveillance. Responsibility for authorising surveillance investigations or operations will vary, depending on whether the authorisation is for intrusive surveillance or directed surveillance, and which public authority is involved. For the purposes of Chapter 2 and 3 of this code the authorising officer, senior authorising officer or the person who makes an application to the Secretary of State will be referred to as an ‘authorising officer’.

2.2 Part II of the 2000 Act does not impose a requirement on public authorities to seek or obtain an authorisation where, under the 2000 Act, one is available (see section 80 of the 2000 Act). Nevertheless, where there is an interference by a public authority with the right to respect for private and family life guaranteed under Article 8 of the European Convention on Human Rights, and where there is no other source of lawful authority, the consequence of not obtaining an authorisation under the 2000 Act may be that the action is unlawful by virtue of section 6 of the Human Rights Act 1998.

2.3 Public authorities are therefore strongly recommended to seek an authorisation where the surveillance is likely to interfere with a person’s Article 8 rights to privacy by obtaining private information about that person, whether or not that person is the subject of the investigation or operation. Obtaining an authorisation will ensure that the action is carried out in accordance with law and subject to stringent safeguards against abuse.

Necessity and Proportionality

2.4 Obtaining an authorisation under the 2000 Act, the 1997 Act and 1994 Act will only ensure that there is a justifiable interference with an individual's Article 8 rights if it is necessary and proportionate for these activities to take place. The 2000 Act first requires that the person granting an authorisation believe that the authorisation is necessary in the circumstances of the particular case for one or more of the statutory grounds in section 28(3) of the 2000 Act for directed surveillance and in section 32(3) of the 2000 Act for intrusive surveillance.

2.5 Then, if the activities are necessary, the person granting the authorisation must believe that they are proportionate to what is sought to be achieved by carrying them out. This involves balancing the intrusiveness of the activity on the target and others who might be affected by it against the need for the activity in operational terms. The activity will not be proportionate if it is excessive in the circumstances of the case or if the information which is sought could reasonably be obtained by other less intrusive means. All such activity should be carefully managed to meet the objective in question and must not be arbitrary or unfair.

Collateral Intrusion

2.6 Before authorising surveillance the authorising officer should also take into account the risk of intrusion into the privacy of persons other than those who are directly the subjects of the investigation or operation (collateral intrusion). Measures should be taken, wherever practicable, to avoid or minimise unnecessary intrusion into the lives of those not directly connected with the investigation or operation.

2.7 An application for an authorisation should include an assessment of the risk of any collateral intrusion. The authorising officer should take this into account, when considering the proportionality of the surveillance.

2.8 Those carrying out the surveillance should inform the authorising officer if the investigation or operation unexpectedly interferes with the privacy of individuals who are not covered by the authorisation. When the original authorisation may not be sufficient, consideration should be given to whether the authorisation needs to be amended and reauthorised or a new authorisation is required.

2.9 Any person granting or applying for an authorisation or warrant will also need to be aware of particular sensitivities in the local community where the surveillance is taking place and of similar activities being undertaken by other public authorities which could impact on the deployment of surveillance. In this regard, it is recommended that where the authorising officers in the National Criminal Intelligence Service (NCIS), the National Crime Squad (NCS) and HM Customs and Excise (HMCE) consider that conflicts might arise they should consult a senior officer within the police force area in which the investigation or operation takes place.

2.10 The matters in paragraphs 2.1 – 2.9 above must also be taken into account when applying for authorisations or warrants for entry on or interference with property or with wireless telegraphy. In particular they must be necessary in the circumstances of the particular case for one of the statutory ground listed in section 93(2)(a) of the 1997 Act and section 5(2)(c) of the 1994 Act, proportionate and when exercised steps should be taken to minimise collateral intrusion.

Combined authorisations

2.11 A single authorisation may combine:

two or more different authorisations under Part II of the 2000 Act;
an authorisation under Part II of the 2000 Act and an authorisation under Part III of the 1997 Act;
a warrant for intrusive surveillance under Part II of the 2000 Act and a warrant under section 5 of the 1994 Act.

2.12 For example, a single authorisation may combine authorisations for directed and intrusive surveillance. The provisions applicable in the case of each of the authorisations must be considered separately. Thus, a police superintendent can authorise the directed surveillance but the intrusive surveillance needs the separate authorisation of a chief constable, and in certain cases the approval of a Surveillance Commissioner will also be necessary. Where an authorisation for directed surveillance or the use or conduct of a covert human intelligence source is combined with a Secretary of State authorisation for intrusive surveillance, the combined authorisation must be issued by the Secretary of State. However, this does not preclude public authorities from obtaining separate authorisations.

2.13 In cases where one agency is acting on behalf of another, it is usually for the tasking agency to obtain or provide the authorisation. For example, where surveillance is carried out by the Armed Forces on behalf of the police, authorisations would be sought by the police and granted by the appropriate authorising officer. In cases where the Security Service is acting in support of the police or other law enforcement agencies in the field of serious crime, the Security Service would normally seek authorisations.

Central Record of all authorisations

2.14 A centrally retrievable record of all authorisations should be held by each public authority and regularly updated whenever an authorisation is granted, renewed or cancelled. The record should be made available to the relevant Commissioner or an Inspector from the Office of Surveillance Commissioners, upon request. These records should be retained for a period of at least three years from the ending of the authorisation and should contain the following information:

the type of authorisation;
the date the authorisation was given;
name and rank/grade of the authorising officer;
the unique reference number (URN) of the investigation or operation;
the title of the investigation or operation, including a brief description and names of subjects, if known;
whether the urgency provisions were used, and if so why.
if the authorisation is renewed, when it was renewed and who authorised the renewal, including the name and rank/grade of the authorising officer;
whether the investigation or operation is likely to result in obtaining confidential information as defined in this code of practice;
the date the authorisation was cancelled.

2.15 In all cases, the relevant authority should maintain the following documentation which need not form part of the centrally retrievable record:

a copy of the application and a copy of the authorisation together with any supplementary documentation and notification of the approval given by the authorising officer;

a record of the period over which the surveillance has taken place;
the frequency of reviews prescribed by the authorising officer;
a record of the result of each review of the authorisation;
a copy of any renewal of an authorisation, together with the supporting documentation submitted when the renewal was requested;
the date and time when any instruction was given by the authorising officer.

Retention and destruction of the product

2.16 Where the product of surveillance could be relevant to pending or future criminal or civil proceedings, it should be retained in accordance with established disclosure requirements for a suitable further period, commensurate to any subsequent review.

2.17 In the cases of the law enforcement agencies (not including the Royal Navy Regulating Branch, the Royal Military Police and the Royal Air Force Police), particular attention is drawn to the requirements of the code of practice issued under the Criminal Procedure and Investigations Act 1996. This requires that material which is obtained in the course of a criminal investigation and which may be relevant to the investigation must be recorded and retained.

2.18 There is nothing in the 2000 Act which prevents material obtained from properly authorised surveillance from being used in other investigations. Each public authority must ensure that arrangements are in place for the handling, storage and destruction of material obtained through the use of covert surveillance. Authorising officers must ensure compliance with the appropriate data protection requirements and any relevant codes of practice produced by individual authorities relating to the handling and storage of material.

The Intelligence Services, MOD and HM Forces

2.19 The heads of these agencies are responsible for ensuring that arrangements exist for securing that no information is stored by the authorities, except as necessary for the proper discharge of their functions. They are also responsible for arrangements to control onward disclosure. For the intelligence services, this is a statutory duty under the 1989 Act and the 1994 Act.

3 SPECIAL RULES ON AUTHORISATIONS

3.1 The 2000 Act does not provide any special protection for ‘confidential information’. Nevertheless, particular care should be taken in cases where the subject of the investigation or operation might reasonably expect a high degree of privacy, or where confidential information is involved. Confidential information consists of matters subject to legal privilege, confidential personal information or confidential journalistic material. So, for example, extra care should be given where, through the use of surveillance, it would be possible to acquire knowledge of discussions between a minister of religion and an individual relating to the latter’s spiritual welfare, or where matters of medical or journalistic confidentiality or legal privilege may be involved.

3.2 In cases where through the use of surveillance it is likely that knowledge of confidential information will be acquired, the use of surveillance is subject to a higher level of authorisation. Annex A lists the authorising officer for each public authority permitted to authorise such surveillance.

Communications Subject to Legal Privilege

3.3 Section 98 of the 1997 Act describes those matters that are subject to legal privilege in England and Wales. In Scotland, the relevant description is contained in section 33 of the Criminal Law (Consolidation) (Scotland) Act 1995. With regard to Northern Ireland, Article 12 of the Police and Criminal Evidence (Northern Ireland) Order 1989 should be referred to.

3.4 Legal privilege does not apply to communications made with the intention of furthering a criminal purpose (whether the lawyer is acting unwittingly or culpably). Legally privileged communications will lose their protection if there are grounds to believe, for example, that the professional legal adviser is intending to hold or use them for a criminal purpose. But privilege is not lost if a professional legal adviser is properly advising a person who is suspected of having committed a criminal offence. The concept of legal privilege applies to the provision of professional legal advice by any individual, agency or organisation qualified to do so.

3.5 The 2000 Act does not provide any special protection for legally privileged information. Nevertheless, such information is particularly sensitive and surveillance which acquires such material may engage Article 6 of the ECHR (right to a fair trial) as well as Article 8. Legally privileged information obtained by surveillance is extremely unlikely ever to be admissible as evidence in criminal proceedings. Moreover, the mere fact that such surveillance has taken place may lead to any related criminal proceedings being stayed as an abuse of process. Accordingly, action which may lead to such information being acquired is subject to additional safeguards under this code.

3.6 In general, an application for surveillance which is likely to result in the acquisition of legally privileged information should only be made in exceptional and compelling circumstances. Full regard should be had to the particular proportionality issues such surveillance raises. The application should include, in addition to the reasons why it is considered necessary for the surveillance to take place, an assessment of how likely it is that information subject to legal privilege will be acquired. In addition, the application should clearly state whether the purpose (or one of the purposes) of the surveillance is to obtain legally privileged information.

3.7 This assessment will be taken into account by the authorising officer in deciding whether the proposed surveillance is necessary and proportionate under section 28 of the 2000 Act for directed surveillance and under section 32 for intrusive surveillance. The authorising officer may require regular reporting so as to be able to decide whether the authorisation should continue. In those cases where legally privileged information has been acquired and retained, the matter should be reported to the relevant Commissioner or Inspector during his next inspection and the material be made available to him if requested.

3.8 A substantial proportion of the communications between a lawyer and his client(s) may be subject to legal privilege. Therefore, any case where a lawyer is the subject of an investigation or operation should be notified to the relevant Commissioner during his next inspection and any material which has been retained should be made available to him if requested.

3.9 Where there is any doubt as to the handling and dissemination of information which may be subject to legal privilege, advice should be sought from a legal adviser within the relevant public authority before any further dissemination of the material takes place. Similar advice should also be sought where there is doubt over whether information is not subject to legal privilege due to the "in furtherance of a criminal purpose" exception. The retention of legally privileged information, or its dissemination to an outside body, should be accompanied by a clear warning that it is subject to legal privilege. It should be safeguarded by taking reasonable steps to ensure there is no possibility of it becoming available, or its contents becoming known, to any person whose possession of it might prejudice any criminal or civil proceedings related to the information. Any dissemination of legally privileged material to an outside body should be notified to the relevant Commissioner or Inspector during his next inspection.

Communications involving Confidential Personal Information and Confidential Journalistic Material

3.10 Similar consideration must also be given to authorisations that involve confidential personal information and confidential journalistic material. In those cases where confidential personal information and confidential journalistic material has been acquired and retained, the matter should be reported to the relevant Commissioner or Inspector during his next inspection and the material be made available to him if requested. Confidential personal information is information held in confidence relating to the physical or mental health or spiritual counselling concerning an individual (whether living or dead) who can be identified from it. Such information, which can include both oral and written communications, is held in confidence if it is held subject to an express or implied undertaking to hold it in confidence or it is subject to a restriction on disclosure or an obligation of confidentiality contained in existing legislation. Examples might include consultations between a health professional and a patient, or information from a patient’s medical records.

3.11 Spiritual counselling means conversations between an individual and a Minister of Religion acting in his official capacity, where the individual being counselled is seeking or the Minister is imparting forgiveness, absolution or the resolution of conscience with the authority of the Divine Being(s) of their faith.

3.12 Confidential journalistic material includes material acquired or created for the purposes of journalism and held subject to an undertaking to hold it in confidence, as well as communications resulting in information being acquired for the purposes of journalism and held subject to such an undertaking.

4 AUTHORISATION PROCEDURES FOR DIRECTED SURVEILLANCE

4.1 Directed surveillance is defined in section 26(2) of the 2000 Act as surveillance which is covert, but not intrusive, and undertaken:

a. for the purposes of a specific investigation or specific operation;
b. in such a manner as is likely to result in the obtaining of private information about a person (whether or not one specifically identified for the purposes of the investigation or operation); and
c. otherwise than by way of an immediate response to events or circumstances the nature of which is such that it would not be reasonably practicable for an authorisation under Part II of the 2000 Act to be sought for the carrying out of the surveillance.

4.2 Covert surveillance is defined in section 26(9)(a) of the 2000 Act as any surveillance which is carried out in a manner calculated to ensure that the persons subject to the surveillance are unaware that it is or may be taking place.

4.3 Private information is defined in section 26(10) of the 2000 Act as including any information relating to a person’s private or family life. The concept of private information should be broadly interpreted to include an individual’s private or personal relationship with others. Family life should be treated as extending beyond the formal relationships created by marriage.

4.4 Directed surveillance does not include covert surveillance carried out by way of an immediate response to events or circumstances which, by their very nature, could not have been foreseen. For example, a police officer would not require an authorisation to conceal himself and observe a suspicious person that he came across in the course of a patrol.

4.5 By virtue of section 48(4) of the 2000 Act, surveillance includes the interception of postal and telephone communications where the sender or recipient consents to the reading of or listening to or recording of the communication (as the case may be). For further details see paragraphs 4.30 - 4.32 of this code.

4.6 Surveillance in residential premises or in private vehicles is defined as intrusive surveillance in section 26(3) of the 2000 Act and is dealt with in chapter 5 of this code. However, where surveillance is carried out by a device designed or adapted principally for the purpose of providing information about the location of a vehicle, the activity is directed surveillance and should be authorised accordingly.

4.7 Directed surveillance does not include entry on or interference with property or with wireless telegraphy. These activities are subject to a separate regime of authorisation or warrantry, as set out in chapter 6 of this code.

4.8 Directed surveillance includes covert surveillance within office premises, (as defined in paragraph 6.31 of this code). Authorising officers are reminded that confidential information should be afforded an enhanced level of protection. Chapter 3 of this code provides that in cases where the likely consequence of surveillance is to acquire confidential information, the authorisation should be given at a higher level.

Authorisation Procedures

4.9 Under section 28(3) of the 2000 Act an authorisation for directed surveillance may be granted by an authorising officer where he believes that the authorisation is necessary in the circumstances of the particular case:

in the interests of national security^1,2;
for the purpose of preventing and detecting³ crime or of preventing disorder;
in the interests of the economic well-being of the UK;
in the interests of public safety;
for the purpose of protecting public health⁴;
for the purpose of assessing or collecting any tax, duty, levy or other imposition, contribution or charge payable to a government department; or
for any other purpose prescribed by an order made by the Secretary of State.⁵

4.10 The authorising officer must also believe that the surveillance is proportionate to what it seeks to achieve.

4.11 The public authorities entitled to authorise directed surveillance are listed in Schedule 1 to the 2000 Act. Responsibility for authorising the carrying out of directed surveillance rests with the authorising officer and requires the personal authority of the authorising officer. The Regulation of Investigatory Powers (Prescriptions of Offices, Ranks and Positions) Order 2000; SI No: 2417 designates the authorising officer for each different public authority and the officers entitled to act only in urgent cases. Where an authorisation for directed surveillance is combined with a Secretary of State authorisation for intrusive surveillance, the combined authorisation must be issued by the Secretary of State.

4.12 The authorising officer must give authorisations in writing, except that in urgent cases, they may be given orally by the authorising officer or the officer entitled to act in urgent cases. In such cases, a statement that the authorising officer has expressly authorised the action should be recorded in writing by the applicant as soon as is reasonably practicable.

4.13 A case is not normally to be regarded as urgent unless the time that would elapse before the authorising officer was available to grant the authorisation would, in the judgement of the person giving the authorisation, be likely to endanger life or jeopardise the investigation or operation for which the authorisation was being given. An authorisation is not to be regarded as urgent where the need for an authorisation has been neglected or the urgency is of the authorising officer’s own making.

4.14 Authorising officers should not be responsible for authorising investigations or operations in which they are directly involved, although it is recognised that this may sometimes be unavoidable, especially in the case of small organisations, or where it is necessary to act urgently. Where an authorising officer authorises such an investigation or operation the central record of authorisations (see paragraphs 2.14 -2.15) should highlight this and the attention of a Commissioner or Inspector should be invited to it during his next inspection.

4.15 Authorising officers within the Police, NCIS and NCS may only grant authorisations on application by a member of their own force, Service or Squad. Authorising officers in HMCE may only grant an authorisation on application by a customs officer.⁶

Information to be provided in applications for authorisation

4.16 A written application for authorisation for directed surveillance should describe any conduct to be authorised and the purpose of the investigation or operation. The application should also include:

the reasons why the authorisation is necessary in the particular case and on the grounds (e.g. for the purpose of preventing or detecting crime) listed in Section 28(3) of the 2000 Act;

the reasons why the surveillance is considered proportionate to what it seeks to achieve;
the nature of the surveillance;
the identities, where known, of those to be the subject of the surveillance;
an explanation of the information which it is desired to obtain as a result of the surveillance;
the details of any potential collateral intrusion and why the intrusion is justified;
the details of any confidential information that is likely to be obtained as a consequence of the surveillance.
the level of authority required (or recommended where that is different) for the surveillance; and

a subsequent record of whether authority was given or refused, by whom and the time and date.

4.17 Additionally, in urgent cases, the authorisation should record (as the case may be):

the reasons why the authorising officer or the officer entitled to act in urgent cases considered the case so urgent that an oral instead of a written authorisation was given; and/or
the reasons why it was not reasonably practicable for the application to be considered by the authorising officer.

4.18 Where the authorisation is oral, the detail referred to above should be recorded in writing by the applicant as soon as reasonably practicable.

Duration of authorisations

4.19 A written authorisation granted by an authorising officer will cease to have effect (unless renewed) at the end of a period of three months beginning with the day on which it took effect.

4.20 Urgent oral authorisations or written authorisations granted by a person who is entitled to act only in urgent cases will, unless renewed, cease to have effect after seventy-two hours, beginning with the time when the authorisation was granted or renewed.

Reviews

4.21 Regular reviews of authorisations should be undertaken to assess the need for the surveillance to continue. The results of a review should be recorded on the central record of authorisations (see paragraphs 2.14 - 2.15). Particular attention is drawn to the need to review authorisations frequently where the surveillance provides access to confidential information or involves collateral intrusion.

4.22 In each case the authorising officer within each public authority should determine how often a review should take place. This should be as frequently as is considered necessary and practicable.

Renewals

4.23 If at any time before an authorisation would cease to have effect, the authorising officer considers it necessary for the authorisation to continue for the purpose for which it was given, he may renew it in writing for a further period of three months unless it is a case to which paragraph 4.25 applies. Renewals may also be granted orally in urgent cases and last for a period of seventy-two hours.

4.24 A renewal takes effect at the time at which, or day on which the authorisation would have ceased to have effect but for the renewal. An application for renewal should not be made until shortly before the authorisation period is drawing to an end. Any person who would be entitled to grant a new authorisation can renew an authorisation. Authorisations may be renewed more than once, provided they continue to meet the criteria for authorisation.

4.25 If at any time before an authorisation for directed surveillance, granted on the grounds of it being in the interests of national security or in the interests of the economic well-being of the UK, would cease to have effect, an authorising officer who is a member of the intelligence services considers it necessary for it to continue, he may renew it for a further period of six months, beginning with the day on which it would have ceased to have effect but for the renewal.

4.26 All applications for the renewal of an authorisation for directed surveillance should record:

whether this is the first renewal or every occasion on which the authorisation has been renewed previously;
any significant changes to the information in paragraph 4.16;
the reasons why it is necessary to continue with the directed surveillance;
the content and value to the investigation or operation of the information so far obtained by the surveillance;
the results of regular reviews of the investigation or operation.

4.27 Authorisations may be renewed more than once, if necessary, and the renewal should be kept/recorded as part of the central record of authorisations (see paragraphs 2.14 - 2.15).

Cancellations

4.28 The authorising officer who granted or last renewed the authorisation must cancel it if he is satisfied that the directed surveillance no longer meets the criteria upon which it was authorised. Where the authorising officer is no longer available, this duty will fall on the person who has taken over the role of authorising officer or the person who is acting as authorising officer (see the Regulation of Investigatory Powers (Cancellation of Authorisations) Order 2000; SI No: 2794).

Ceasing of surveillance activity

4.29 As soon as the decision is taken that directed surveillance should be discontinued, the instruction must be given to those involved to stop all surveillance of the subject(s). The date and time when such an instruction was given should be recorded in the central record of authorisations (see paragraphs 2.14 - 2.15) and the notification of cancellation where relevant.

Footnotes:

1 One of the functions of the Security Service is the protection of national security and in particular the protection against threats from terrorism. These functions extend throughout the United Kingdom, save that, in Northern Ireland, where the lead responsibility for investigating the threat from terrorism related to the affairs of Northern Ireland lies with the Police Service of Northern Ireland. An authorising officer in another public authority should not issue an authorisation under Part II of the 2000 Act or under Part III of the 1997 Act where the operation or investigation falls within the responsibilities of the Security Service, as set out above, except where it is a directed surveillance investigation or operation that is to be carried out by a Special Branch or where the Security Service has agreed that another public authority can carry out a directed surveillance operation or investigation which would fall within the responsibilities of the Security Service.

2 HM Forces may also undertake operations in connection with a military threat to national security and other operations in connection with national security in support of the Security Service, the Police Service of Northern Ireland or other Civil Powers.

3 Detecting crime is defined in section 81(5) of the 2000 Act and is applied to the 1997 Act by section 134 of that Act (as amended).

4 This could include investigations into infectious diseases, contaminated products or the illicit sale of pharmaceuticals.

5 This could only be for a purpose which satisfies the criteria set out in Article 8(2) of the ECHR. As defined in section 81(1) of the 2000 Act.

ADDITIONAL RULES

Recording of telephone conversations

4.30 Subject to paragraph 4.31 below, the interception of communications sent by post or by means of public telecommunications systems or private telecommunications systems attached to the public network may be authorised only by the Secretary of State, in accordance with the terms of Part I of the 2000 Act. Nothing in this code should be taken as granting dispensation from the requirements of that Part of the 2000 Act.

4.31 Part I of the 2000 Act provides certain exceptions to the rule that interception of telephone conversations must be warranted under that Part. This includes, where one party to the communication consents to the interception, it may be authorised in accordance with section 48(4) of the 2000 Act provided that there is no interception warrant authorising the interception. In such cases, the interception is treated as directed surveillance.

4.32 The use of a surveillance device should not be ruled out simply because it may incidentally pick up one or both ends of a telephone conversation, and any such product can be treated as having been lawfully obtained. However, its use would not be appropriate where the sole purpose is to overhear speech which, at the time of monitoring, is being transmitted by a telecommunications system. In such cases an application should be made for an interception of communication warrant under section 5 of the 2000 Act.

5 AUTHORISATION PROCEDURES FOR INTRUSIVE SURVEILLANCE

5.1 Intrusive surveillance is defined in section 26(3) of the 2000 Act as covert surveillance that:

a. is carried out in relation to anything taking place on any residential premises or in any private vehicle; and
b. involves the presence of an individual on the premises or in the vehicle or is carried out by means of a surveillance device.

5.2 Covert surveillance is defined in section 26(9)(a) of the 2000 Act as any surveillance which is carried out in a manner calculated to ensure that the persons subject to the surveillance are unaware that it is or may be taking place.

5.3 Where surveillance is carried out in relation to anything taking place on any residential premises or in any private vehicle by means of a device, without that device being present on the premises, or in the vehicle, it is not intrusive unless the device consistently provides information of the same quality and detail as might be expected to be obtained from a device actually present on the premises or in the vehicle. Thus, an observation post outside premises, which provides a limited view and no sound of what is happening inside the premises would not be considered as intrusive surveillance.

5.4 Residential premises are defined in section 48(1) of the 2000 Act. The definition includes hotel rooms, bedrooms in barracks, and police and prison cells but not any common area to which a person is allowed access in connection with his occupation of such accommodation e.g. a hotel lounge.

5.5 A private vehicle is defined in section 48(1) of the 2000 Act as any vehicle which is used primarily for the private purposes of the person who owns it or of a person otherwise having the right to use it. A person does not have a right to use a motor vehicle if his right to use it derives only from his having paid, or undertaken to pay, for the use of the vehicle and its driver for a particular journey.

5.6 In many cases, a surveillance investigation or operation may involve both intrusive surveillance and entry on or interference with property or with wireless telegraphy. In such cases, both activities need authorisation. This can be done as a combined authorisation (see paragraph 2.11).

5.7 An authorisation for intrusive surveillance may be issued by the Secretary of State (for the intelligence services, the Ministry of Defence, HM Forces and any other public authority designated under section 41(1)) or by a senior authorising officer (for police, NCIS, NCS and HMCE).

5.8 All authorisations require the personal authority of the Secretary of State or the senior authorising officer. Any members or officials of the intelligence services, the Ministry of Defence and HM Forces can apply to the Secretary of State for an intrusive surveillance warrant. Under section 32(2) of the 2000 Act neither the Secretary of State or the senior authorising officer may authorise intrusive surveillance unless he believes -

that the authorisation is necessary in the circumstances of the particular case on the grounds that it is:

in the interests of national security;⁷
for the purpose of preventing or detecting serious crime; or
in the interests of the economic well-being of the UK;

and

b. the authorising officer must also believe that the
surveillance is proportionate to what it seeks to achieve.

5.9 A factor which must be taken into account in deciding whether an authorisation is necessary and proportionate is whether the information which it is thought necessary to obtain by means of the intrusive surveillance could reasonably be obtained by other less intrusive means.

Authorisations Procedures for Police, National Criminal Intelligence Service, the National Crime Squad and HM Customs and Excise

5.10 The senior authorising officer should generally give authorisations in writing. However, in urgent cases, they may be given orally. In an urgent oral case, a statement that the senior authorising officer has expressly authorised the conduct should be recorded in writing by the applicant as soon as is reasonably practicable.

5.11 If the senior authorising officer is absent then as provided for in section 12(4) of the Police Act 1996, section 5(4) of the Police (Scotland) Act 1967, section 25 of the City of London Police Act 1839, or sections 8 or 54 of the 1997 Act, an authorisation can be given in writing or, in urgent cases, orally by the designated deputy.

5.12 In an urgent case, where it is not reasonably practicable having regard to the urgency of the case for the designated deputy to consider the application, a written authorisation may be granted by a person entitled to act under section 34(4) of the 2000 Act.

5.13 A case is not normally to be regarded as urgent unless the time that would elapse before the authorising officer was available to grant the authorisation would, in the judgement of the person giving the authorisation, be likely to endanger life or jeopardise the investigation or operation for which the authorisation was being given. An authorisation is not to be regarded as urgent where the need for an authorisation has been neglected or the urgency is of the authorising officer’s own making.

5.14 The consideration of an authorisation by the senior authorising officer is only to be regarded as not reasonably practicable (within the meaning of section 34(2) of the 2000 Act) if he is on annual leave, is absent from his office and his home, or is for some reason not able within a reasonable time to obtain access to a secure telephone or fax machine. Pressure of work is not normally to be regarded as rendering it impracticable for a senior authorising officer to consider an application. Where a designated deputy gives an authorisation this should be made clear and the reason for the absence of the senior authorising officer given.

5.15 A police, NCIS or NCS authorisation cannot be granted unless the application is made by a member of the same force, service or squad. For HMCE an authorisation cannot be granted unless the application is made by a customs officer. Where the surveillance is carried out in relation to any residential premises, the authorisation cannot be granted unless the residential premises are in the area of operation of the force, service, squad or organisation.

Footnotes:

7 A senior authorising officer of a law enforcement agency should not issue an authorisation for intrusive surveillance or entry on or interference with property or with wireless telegraphy where the operation is within the responsibilities of one of the intelligence services and properly falls to be authorised by warrant issued by the Secretary of State under Part II of the 2000 Act or the 1994 Act. Also see footnotes 1 and 2.

Information to be provided in applications for authorisation

5.16 Applications should be in writing and describe the conduct to be authorised and the purpose of the investigation or operation. The application should specify:

the reasons why the authorisation is necessary in the particular case and on the grounds (e.g. for the purpose of preventing or detecting serious crime) listed in section 32(3) of the 2000 Act;
the reasons why the surveillance is considered proportionate to what it seeks to achieve;
the nature of the surveillance;
the residential premises or private vehicle in relation to which the surveillance will take place;
the identities, where known, of those to be the subject of the surveillance;
an explanation of the information which it is desired to obtain as a result of the surveillance;

details of any potential collateral intrusion and why the intrusion is justified;
details of any confidential information that is likely to be obtained as a consequence of the surveillance.
A subsequent record should be made of whether authority was given or refused, by whom and the time and date.

5.17 Additionally, in urgent cases, the authorisation should record (as the case may be):

the reasons why the authorising officer or designated deputy considered the case so urgent that an oral instead of a written authorisation was given; and/or
the reasons why it was not reasonably practicable for the application to be considered by the senior authorising officer or the designated deputy.

5.18 Where the application is oral, the detail referred to above should be recorded in writing as soon as reasonably practicable.

Approval of Surveillance Commissioners

5.19 Except in urgent cases a police, NCIS, NCS or HMCE authorisation granted for intrusive surveillance will not take effect until it has been approved by a Surveillance Commissioner and written notice of the Commissioner's decision has been given to the person who granted the authorisation. This means that the approval will not take effect until the notice has been received in the office of the person who granted the authorisation within the relevant force, service, squad or HMCE.

5.20 When the authorisation is urgent it will take effect from the time it is granted provided notice is given to the Surveillance Commissioner in accordance with section 35(3)(b) (see section 36(3) of the 2000 Act).

5.21 There may be cases that become urgent after approval has been sought but before a response has been received from a Surveillance Commissioner. In such a case, the authorising officer should notify the Surveillance Commissioner that the case is now urgent (pointing out that it has become urgent since the notification). In these cases, the authorisation will take effect immediately.

Notifications to Surveillance Commissioners

5.22 Where a person grants, renews or cancels an authorisation, he must, as soon as is reasonably practicable, give notice in writing to a Surveillance Commissioner, in accordance with whatever arrangements have been made by the Chief Surveillance Commissioner.

5.23 In urgent cases, the notification must specify the grounds on which the case is believed to be one of urgency. The urgency provisions should not be used routinely. If the Surveillance Commissioner is satisfied that there were no grounds for believing the case to be one of urgency, he has the power to quash the authorisation

5.24 The information to be included in the notification to the Surveillance Commissioner is set out in the Regulation of Investigatory Powers (Notification of Authorisations etc.) Order 2000; SI No: 2563.

Authorisation Procedures for Secretary of State Authorisations

Authorisations

5.25 An intrusive surveillance authorisation for any of the intelligence services, the Ministry of Defence, HM Forces or any other public authority designated for this purpose requires a Secretary of State authorisation/warrant, unless they are acting on behalf of another public authority that has obtained an authorisation. In this context, Secretary of State can mean any Secretary of State, although an authorisation or warrant should be obtained from the Secretary of State of the relevant department.

5.26 Intelligence services authorisations must be made by issue of a warrant. Such warrants will generally be given in writing by the Secretary of State. In urgent cases, a warrant may be signed (but not renewed) by a senior official, provided the Secretary of State has expressly authorised this.

5.27 Applications to the Secretary of State for authorisations should specify those matters listed in paragraph 5.16.

All intrusive surveillance authorisations

5.28 Paragraphs 5.29 to 5.42 deal with the duration, renewal and cancellation of authorisations. Unless otherwise specified the guidance below applies to all authorisations.

Duration of Authorisations

All authorisations except Secretary of State Intelligence Services authorisations

5.29 A written authorisation granted by a Secretary of State, a senior authorising officer or a designated deputy will cease to have effect (unless renewed) at the end of a period of three months, beginning with the day on which it took effect.

5.30 Oral authorisations given in urgent cases by a Secretary of State, a senior authorising officers or their designated deputies, and written authorisations given by those only entitled to act in urgent cases (see paragraph 5.11), will cease to have effect (unless renewed) at the end of the period of seventy-two hours beginning with the time when they took effect.

Secretary of State intelligence services authorisations

5.31 A warrant issued by the Secretary of State will cease to have effect at the end of a period of six months beginning with the day on which it was issued.

5.32 Warrants expressly authorised by a Secretary of State, and signed on his behalf by a senior civil servant, will cease to have effect at the end of the second working day following the day of issue of the warrant unless renewed by the Secretary of State.

Renewals

All authorisations except Secretary of State Intelligence Services authorisations

5.33 If at any time before an authorisation expires the senior authorising officer or, in his absence, the designated deputy considers the authorisation should continue to have effect for the purpose for which it was issued, he may renew it in writing for a further period of three months.

5.34 As with the initial authorisation, the senior authorising officer must (unless it is a case to which the urgency procedure applies) seek the approval of a Surveillance Commissioner. This means that the renewal will not take effect until the notice of it has been received in the office of the person who granted the authorisation within the relevant force, service, squad or HMCE (but not before the day on which the authorisation would have otherwise ceased to have effect). In urgent cases, a renewal can take effect immediately (provided this is not before the day on which the authorisation would have otherwise ceased to have effect). See section 35 and 36 of the 2000 Act and the Regulation of Investigatory Powers (Notification of Authorisations etc.) Order 2000; SI No: 2563.

5.35 Subject to paragraph 5.36, if at any time before the day on which a Secretary of State authorisation expires, the Secretary of State considers it necessary for the warrant to be renewed for the purpose for which it was issued, he may renew it in writing for a further period of three months, beginning with the day on which it would have ceased to have effect, but for the renewal.

Secretary of State intelligence services authorisations

5.36 If at any time before an intelligence service warrant expires, the Secretary of State considers it necessary for the warrant to be renewed for the purpose for which it was issued, he may renew it in writing for a further period of six months, beginning with the day on which it would have ceased to have effect, but for the renewal.

5.37 All applications for a renewal of an authorisation or warrant should record:

whether this is the first renewal or every occasion on which the warrant/authorisation has been renewed previously;
any significant changes to the information listed in paragraph 5.16;
the reasons why it is necessary to continue with the intrusive surveillance;
the content and value to the investigation or operation of the product so far obtained by the surveillance;
the results of regular reviews of the investigation or operation.

5.38 Authorisations may be renewed more than once, if necessary, and the renewal should be kept/recorded as part of the central record of authorisations (see paragraphs 2.14 - 2.15).

Reviews

5.39 Regular reviews of authorisations should be undertaken to assess the need for the surveillance to continue. The results of a review should be recorded on the central record of authorisations (see paragraphs 2.14 - 2.15). Particular attention is drawn to the need to review authorisations frequently where the intrusive surveillance provides access to confidential information or involves collateral intrusion.

5.40 The senior authorising officer or, for those subject to Secretary of State authorisation, the member or official who made the application within each public authority should determine how often a review should take place. This should be as frequently as is considered necessary and practicable.

Cancellations

5.41 The senior authorising officer who granted or last renewed the authorisation must cancel it, or the person who made the application to the Secretary of State must apply for its cancellation, if he is satisfied that the surveillance no longer meets the criteria upon which it was authorised. Where the senior authorising officer or person who made the application to the Secretary of State is no longer available, this duty will fall on the person who has taken over the role of senior authorising officer or taken over from the person who made the application to the Secretary of State or the person who is acting as the senior authorising officer (see the Regulation of Investigatory Powers (Cancellation of Authorisations) Order 2000; SI No: 2794).

5.42 The Surveillance Commissioners must be notified where police, NCIS, NCS or HMCE authorisations are cancelled (see the Regulation of Investigatory Powers (Notification of Authorisations etc.) Order 2000; SI No: 2563).

Ceasing of surveillance activity

5.43 As soon as the decision is taken that the intrusive surveillance should be discontinued, instructions must be given to those involved to stop all surveillance of the subject(s). The date and time when such an instruction was given should be recorded in the central record of authorisations (see paragraphs 2.14 - 2.15) and the notification of cancellation where relevant.

Police, National Criminal Intelligence Service, the National Crime Squad and HM Customs and Excise authorisations

5.44 In cases where an authorisation is quashed or cancelled by a Surveillance Commissioner, the senior authorising officer must immediately instruct those carrying out the surveillance to stop monitoring, observing, listening or recording the activities of the subject of the authorisation. The date and time when such an instruction was given should be recorded on the central record of authorisations (see paragraphs 2.14 - 2.15).

6 AUTHORISATION PROCEDURES FOR ENTRY ON OR INTERFERENCE WITH PROPERTY OR WITH WIRELESS TELEGRAPHY

6.1 The 1994 Act and 1997 Act provide lawful authority for entry on or interference with property or with wireless telegraphy by the intelligence services and the police, NCIS, NCS and HMCE.

6.2 In many cases a covert surveillance operation may involve both intrusive surveillance and entry on or interference with property or with wireless telegraphy. This can be done as a combined authorisation, although the criteria for authorisation of each activity must be considered separately (see paragraph 2.11).

Authorisations for entry on or interference with property or with wireless telegraphy by the police, National Criminal Intelligence Service, the National Crime Squad and HM Customs and Excise

6.3 Responsibility for such authorisations rests with the authorising officer as defined in section 93(5) of the 1997 Act, that is the chief constable or equivalent. Authorisations require the personal authority of the authorising officer (or his designated deputy) except in urgent situations, where it is not reasonably practicable for the application to be considered by such person. The person entitled to act in such cases is set out in section 94 of the 1997 Act.

6.4 Authorisations under the 1997 Act may not be necessary where the public authority is acting with the consent of a person able to give permission in respect of relevant property, although consideration should still be given to the need to obtain an authorisation under Part II of the 2000 Act.

6.5 Authorisations for the police, NCIS and NCS may only be given by an authorising officer on application by a member of his own force, Service or Squad for entry on or interference with property or with wireless telegraphy within the authorising officer's own area of operation. For HMCE an authorisation may only be given by an authorising officer on application by a customs officer. An authorising officer may authorise the taking of action outside the relevant area solely for the purpose of maintaining or retrieving any device, apparatus or equipment.

6.6 Any person giving an authorisation for entry on or interference with property or with wireless telegraphy under section 93(2) of the 1997 Act must believe that:

it is necessary for the action specified to be taken for the purpose of preventing or detecting serious crime (or in the case of the Police Service of Northern Ireland, in the interests of national security)⁸; and
that the taking of the action is proportionate to what the action seeks to achieve.

6.7 The authorising officer must take into account whether what it is thought necessary to achieve by the authorised conduct could reasonably be achieved by other means.

6.8 Any person granting or applying for an authorisation or warrant to enter on or interfere with property or with wireless telegraphy will also need to be aware of particular sensitivities in the local community where the entry or interference is taking place and of similar activities being undertaken by other public authorities which could impact on the deployment. In this regard, it is recommended that the authorising officers in NCIS, NCS and HMCE should consult a senior officer within the police force in which the investigation or operation takes place where the authorising officer considers that conflicts might arise. The Chief Constable of the Police Service of Northern Ireland should be informed of any surveillance operation undertaken by another law enforcement agency which involve its officers in maintaining or retrieving equipment in Northern Ireland.

Authorisation procedures for entry on or interference with property or with wireless telegraphy by the police, National Criminal Intelligence Service, the National Crime Squad and HM Customs and Excise

6.9 Authorisations will generally be given in writing by the authorising officer. However, in urgent cases, they may be given orally by the authorising officer. In such cases, a statement that the authorising officer has expressly authorised the action should be recorded in writing by the applicant as soon as is reasonably practicable. This should be done by the person with whom the authorising officer spoke.

6.10 If the authorising officer is absent then as provided for in section 12(4) of the Police Act 1996, section 5(4) of the Police (Scotland) Act 1967, section 25 of the City of London Police Act 1839, or sections 8 or 54 of the 1997 Act, an authorisation can be given in writing or, in urgent cases, orally by the designated deputy.

6.11 Where, however, in an urgent case, it is not reasonably practicable for the designated deputy to consider an application, then written authorisation may be given by the following:

in the case of the police, by an assistant chief constable (other than a designated deputy);
in the case of the Metropolitan Police and City of London Police, by a commander;
in the case of NCIS and NCS, by a person designated by the relevant Director General⁹;

in the case of HMCE, by a person designated by the Commissioners of Customs and Excise¹⁰.

6.12 Applications to the authorising officer for authorisation must be made in writing by a police or customs officer or a member of NCIS or NCS (within the terms of section 93(3) of the 1997 Act) and should specify:

the identity or identities of those to be targeted (where known);
the property which the entry or interference with will affect;
the identity of individuals and/or categories of people, where known, who are likely to be affected by collateral intrusion;
details of the offence planned or committed;
details of the intrusive surveillance involved;
how the authorisation criteria (as set out in paragraphs 6.6 and 6.7) have been met;
any action which may be necessary to retrieve any equipment used in the surveillance;
in case of a renewal, the results obtained so far, or a full explanation of the failure to obtain any results; and
whether an authorisation was given or refused, by whom and the time and date.

6.13 Additionally, in urgent cases, the authorisation should record (as the case may be):

the reasons why the authorising officer or designated deputy considered the case so urgent that an oral instead of a written authorisation was given; and
the reasons why (if relevant) the person granting the authorisation did not consider it reasonably practicable for the application to be considered by the senior authorising officer or the designated deputy.

6.14 Where the application is oral, the information referred to above should be recorded in writing by the applicant as soon as reasonably practicable.

Notifications to Surveillance Commissioners

6.15 Where a person gives, renews or cancels an authorisation, he must, as soon as is reasonably practicable, give notice of it in writing to a Surveillance Commissioner, in accordance with arrangements made by the Chief Surveillance Commissioner. In urgent cases which would otherwise have required the approval of a Surveillance Commissioner, the notification must specify the grounds on which the case is believed to be one of urgency.

6.16 There may be cases which become urgent after approval has been sought but before a response has been received from a Surveillance Commissioner. In such a case, the authorising officer should notify the Surveillance Commissioner that the case is urgent (pointing out that it has become urgent since the previous notification). In these cases, the authorisation will take effect immediately.

6.17 Notifications to Surveillance Commissioners in relation to the authorisation, renewal and cancellation of authorisations in respect of entry on or interference with property should be in accordance with the requirements of the Police Act 1997 (Notifications of Authorisations etc) Order 1998; SI No. 3241.

Duration of authorisations

6.18 Written authorisations given by authorising officers will cease to have effect at the end of a period of three months beginning with the day on which they took effect. In cases requiring prior approval by a Surveillance Commissioner this means from the time the Surveillance Commissioner has approved the authorisation and the person who gave the authorisation has been notified. This means that the approval will not take effect until the notice has been received in the office of the person who granted the authorisation within the relevant force, service, squad or HMCE. In cases not requiring prior approval, this means from the time the authorisation was given.

6.19 Oral authorisations given in urgent cases by:

6.20 If at any time before the day on which an authorisation expires the authorising officer or, in his absence, the designated deputy considers the authorisation should continue to have effect for the purpose for which it was issued, he may renew it in writing for a period of three months beginning with the day on which the authorisation would otherwise have ceased to have effect. Authorisations may be renewed more than once, if necessary, and the renewal should be recorded on the authorisation record (see paragraph 6.27).

6.21 Commissioners must be notified of renewals of authorisations. The information to be included in the notification is set out in the Police Act 1997 (Notifications of Authorisations etc) Order 1998; SI No: 3241.

6.22 If, at the time of renewal, the criteria in paragraph 6.30 exist, then the approval of a Surveillance Commissioner must be sought before the renewal can take effect. The fact that the initial authorisation required the approval of a Commissioner before taking effect does not mean that its renewal will automatically require such approval. It will only do so if, at the time of the renewal, it falls into one of the categories requiring approval (and is not urgent).

Reviews

6.23 Authorising officers should regularly review authorisations to assess the need for the entry on or interference with property or with wireless telegraphy to continue. This should be recorded on the authorisation record (see paragraph 6.27). The authorising officer should determine how often a review should take place when giving an authorisation. This should be as frequently as is considered necessary and practicable and at no greater interval than one month. Particular attention is drawn to the need to review authorisations and renewals regularly and frequently where the entry on or interference with property or with wireless telegraphy provides access to confidential information or involves collateral intrusion.

Cancellations

6.24 The senior authorising officer who granted or last renewed the authorisation must cancel it, or the person who made the application to the Secretary of State must apply for its cancellation, if he is satisfied that the authorisation no longer meets the criteria upon which it was authorised. Where the senior authorising officer or person who made the application to the Secretary of State is no longer available, this duty will fall on the person who has taken over the role of senior authorising officer or taken over from the person who made the application to the Secretary of State or the person who is acting as the senior authorising officer (see the Regulation of Investigatory Powers (Cancellation of Authorisations) Order 2000; SI No: 2794).

6.25 The Surveillance Commissioners must be notified of cancellations of authorisations. The information to be included in the notification is set out in the Police Act 1997 (Notifications of Authorisations etc) Order 1998; SI No: 3421.

6.26 The Surveillance Commissioners have the power to cancel an authorisation if they are satisfied that, at any time after an authorisation was given or renewed, there were no reasonable grounds for believing the matters set out in paragraphs 6.6 and 6.7 above. In such circumstances, a Surveillance Commissioner may order the destruction of records, in whole or in part, other than any that are required for pending criminal or civil proceedings.

Authorisation record

6.27 An authorisation record should be created which records:

the time and date when an authorisation is given;

whether an authorisation is in written or oral form;

the time and date when it was notified to a Surveillance Commissioner;

and the time and date when the Surveillance Commissioner notified his approval (where appropriate).

The authorisation record should also record:

every occasion when entry on or interference with property or with wireless telegraphy has occurred;

the result of periodic reviews of the authorisation;

the date of every renewal; and

it should record the time and date when any instruction was given by the authorising officer to cease the interference with property or with wireless telegraphy.

Ceasing of entry on or interference with property or with wireless telegraphy

6.28 Once an authorisation or renewal expires or is cancelled or quashed, the authorising officer must immediately instruct those carrying out the surveillance to cease all the actions authorised for the entry on or interference with property or with wireless telegraphy. The time and date when such an instruction was given should be recorded on the authorisation record (see paragraph 6.27).

Retrieval of equipment

6.29 Where a Surveillance Commissioner quashes or cancels an authorisation or renewal, he will, if there are reasonable grounds for doing so, order that the authorisation remain effective for a specified period, to enable officers to retrieve anything left on the property by virtue of the authorisation. He can only do so if the authorisation or renewal makes provision for this. A decision by the Surveillance Commissioner not to give such an order can be the subject of an appeal to the Chief Surveillance Commissioner.

Footnotes:

8 See footnotes 1 and 2.

9 For police members of NCIS or NCS, this will be an officer who holds the rank of assistant chief constable in that Service or Squad. Additionally, in the case of NCIS, this may be an assistant chief investigation officer of HMCE.

10 This will be an officer of the rank of assistant chief investigation officer.

Special Rules

Cases requiring prior approval of a Surveillance Commissioner

6.30 In certain cases, an authorisation for entry on or interference with property will not take effect until a Surveillance Commissioner has approved it and the notice has been received in the office of the person who granted the authorisation within the relevant force, service, squad or HMCE (unless the urgency procedures are used). These are cases where the person giving the authorisation believes that:

any of the property specified in the authorisation:
is used wholly or mainly as a dwelling or as a bedroom in a hotel; or
constitutes office premises; or
the action authorised is likely to result in any person acquiring knowledge of:
matters subject to legal privilege;
confidential personal information; or
confidential journalistic material.

6.31 Office premises are defined as any building or part of a building whose sole or principal use is as an office or for office purposes (which means purposes of administration, clerical work, handling money and telephone or telegraph operation).

Authorisations for entry on or interference with property or with wireless telegraphy by the intelligence services

6.32 Before granting a warrant, the Secretary of State must:

think it necessary for the action to be taken for the purpose of assisting the relevant agency in carrying out its functions;
be satisfied that the taking of the action is proportionate to what the action seeks to achieve;
take into account in deciding whether an authorisation is necessary and proportionate is whether the information which it is thought necessary to obtain by the conduct authorised by the warrant could reasonably be obtained by other means; and
be satisfied that there are satisfactory arrangements in force under the 1994 Act or the 1989 Act in respect of disclosure of any material
obtained by means of the warrant, and that material obtained will be subject to those arrangements.

6.33 An application for a warrant must be made by a member of the intelligence services for the taking of action in relation to that agency. In addition, the Security Service may make an application for a warrant to act on behalf of the Secret Intelligence Service (SIS) and the Governments Communication Headquarters (GCHQ). SIS and GCHQ may not be granted a warrant for action in support of the prevention or detection of serious crime which relates to property in the British Islands.

6.34 A warrant shall, unless renewed, cease to have effect if the warrant was under the hand of the Secretary of State, at the end of the period of six months beginning with the day on which it was issued. In any other case, at the end of the period ending with the second working day following that day.

6.35 If at any time before the day on which a warrant would cease to have effect the Secretary of State considers it necessary for the warrant to continue to have effect for the purpose for which it was issued, he may by an instrument under his hand renew it for a period of six months beginning with that day. The Secretary of State shall cancel a warrant if he is satisfied that the action authorised by it is no longer necessary.

6.36 The intelligence services should provide the same information as the police, as and where appropriate, when making applications, requests for renewal and requests for cancellation of property warrants.

Retrieval of equipment

6.37 Because of the time it can take to remove equipment from a person’s property it may also be necessary to renew a property warrant in order to complete the retrieval. Applications to the Secretary of State for renewal should state why it is being or has been closed down, why it has not been possible to remove the equipment and any timescales for removal, where known.

7 OVERSIGHT BY COMMISSIONERS

7.1 The 1997 and 2000 Acts require the Chief Surveillance Commissioner to keep under review (with the assistance of the Surveillance Commissioners and Assistant Surveillance Commissioners) the performance of functions under Part III of the 1997 Act and Part II of the 2000 Act by the police (including the Royal Navy Regulating Branch, the Royal Military Police and the Royal Air Force Police and the Ministry of Defence Police and the British Transport Police), NCIS, the NCS, HMCE and of the 2000 Act the other public authorities listed in Schedule 1 and in Northern Ireland officials of the Ministry of Defence and HM Forces.

7.2 The Intelligence Services Commissioner’s remit is to provide independent oversight of the use of the powers contained within Part II of the 2000 Act and the 1994 Act by the Security Service, Secret Intelligence Service, GCHQ and the Ministry of Defence and HM Forces (excluding the Royal Navy Regulating Branch, the Royal Military Police and the Royal Air Force Police, and in Northern Ireland officials of the Ministry of Defence and HM Forces);

7.3 This code does not cover the exercise of any of the Commissioners’ functions. It is the duty of any person who uses these powers to comply with any request made by a Commissioner to disclose or provide any information he requires for the purpose of enabling him to carry out his functions.

7.4 References in this code to the performance of review functions by the Chief Surveillance Commissioner and other Commissioners apply also to Inspectors and other members of staff to whom such functions have been delegated.

8 COMPLAINTS

8.1 The 2000 Act establishes an independent Tribunal. This Tribunal will be made up of senior members of the judiciary and the legal profession and is independent of the Government. The Tribunal has full powers to investigate and decide any case within its jurisdiction.

This code does not cover the exercise of the Tribunal’s functions. Details of the relevant complaints procedure can be obtained from the following address:

Investigatory Powers Tribunal
PO Box 33220
London
SW1H 9ZQ
Tel: 020 7273 4514

Annex A

Authorisation levels when knowledge of confidential information
is likely to be acquired

Relevant Public Authorities	Authorisation level
Police Forces - Any police force maintained under section 2 of the Police Act 1996 (police forces in England and Wales outside London).	Chief Constable
Police Forces - Any police force maintained under or by virtue of section 1 of the Police (Scotland) Act 1967.	Chief Constable
The Metropolitan police force	Assistant Commissioner
The City of London police force	Commissioner
The Police Service of Northern Ireland	Deputy Chief Constable
The Royal Navy Regulating Branch The Royal Military Police The Royal Air Force Police	Provost Marshal Provost Marshal Provost Marshal
National Criminal Intelligence Service (NCIS)	Director General
National Crime Squad (NCS)	Director General or Deputy Director General
Serious Fraud Office	Director or Assistant Director
The Intelligence Services: Government Communications Headquarters Security Service Secret Intelligence Service	A Director of GCHQ Deputy Director General A Director of the Secret Intelligence Service
HM Forces: Royal Navy Army Royal Air Force	Rear Admiral Major General Air-Vice Marshall
HM Customs and Excise	Director Investigation or Regional Heads of Investigation
Inland Revenue	Deputy Chairman of Inland Revenue
Department for Environment, Food and Rural Affairs: DEFRA Investigation Branch Horticultural Marketing Inspectorate Plant Health and Seed Inspectorate Egg Marketing Inspectorate Sea Fisheries Inspectorate (SFI) Centre for Environment, Fisheries & Aquaculture Science (CEFAS)	Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division
Ministry of Defence	Director General or equivalent
Department for Transport, Local Government and Regions: Vehicle Inspectorate Transport Security (Transec)	No Director of Transport Security
Department of Health: Medical Devices Agency Medicine Control Agency Welfare Foods Policy Unit Directorate of Counter Fraud Services (DFCS)	Chief Executive Chief Executive Deputy Chief Medical Officer Director of Counter Fraud Services
Home Office: HM Prison Service Immigration Service	Deputy Director General of the Prison Service Chief Inspector of the Immigration Service
Department of Work and Pensions: Benefits Agency	Chief Executive of the Benefits Agency
Department of Trade and Industry: Radiocommunications Agency British Trade International Coal Health Claims Unit Companies Investigation Branch Legal Services Directorate D	No No Director of Coal Health Claims unit The Inspector of Companies The Director of Legal Service D
Na Division in the National Assembly for Wales Head of Common Agricultural Policy Management Division in the National Assembly for Wales
Local Authorities	The Head of Paid Service or (in his absence) a Chief Officer
Environment Agency	Chief Executive of the Environment Agency
Financial Services Authority	Chairman of the Financial Services Authority
Food Standards Agency	Head of Group, Deputy Chief Executive and Chief Executive of the Foods Standards Agency
The Intervention Board for Agricultural Produce	Chief Executive of the Intervention Board for Agricultural Produce
Personal Investment Authority	Chairman of the Personal Investment Authority
Post Office	Director of Security
Health & Safety Executive	Director of Field Operations, Director of Hazardous Installations Directorate, Her Majesty's Chief Inspector of Nuclear Installations.
NHS bodies in England and Wales: A health authority established under section 8 of the National Health Service Act 1977 A Special Health Authority established under section 11 of the National Health Service 1977 A National Health Service Trust established under section 5 of the National Health Service and Community Care Act 1990	Chief Executive Chief Executive Chief Executive
Royal Pharmaceutical Society of Great Britain	Director of Professional Standards

Source: http://www.homeoffice.gov.uk/ripa/code_of_practice/covert_human_intelligence.htm

COVERT HUMAN INTELLIGENCE SOURCES
CODE OF PRACTICE

Pursuant to Section 71 of the

Regulation of Investigatory Powers Act 2000

Commencement

This code applies to every authorisation of the use or conduct by public authorities of covert human intelligence sources carried out under Part II of the Regulation of Investigatory Powers Act 2000 which begins on or after the day on which this code comes into effect.

Chapter 1: BACKGROUND

General extent of powers
Use of material in evidence

Chapter 2: GENERAL RULES ON AUTHORISATIONS

Necessity and proportionality
Collateral intrusion
Combined authorisations
Directed surveillance against a potential source
Central record of all authorisations
Retention and destruction of the product
The Intelligence Services, MOD and HM Forces

Chapter 3: SPECIAL RULES ON AUTHORISATIONS

Confidential information
Communications subject to privilege
Communications involving confidential personal information and
confidential journalistic material
Vulnerable individuals
Juvenile sources

Chapter 4: AUTHORISATION PROCEDURES FOR COVERT HUMAN INTELLIGENCE SOURCES

Authorisation procedures
Information to be provided in applications for authorisation
Duration of authorisations
Reviews
Renewals
Cancellations
Management of Sources
Tasking
Management responsibility
Security and welfare
Additional rules
Recording of telephone conversations
Use of covert human intelligence source with technical equipment

Chapter 5: OVERSIGHT

Chapter 6: COMPLAINTS

Annex A

Chapter 1: BACKGROUND

1 GENERAL

1.1 In this code the:

"1989 Act" means the Security Service Act 1989;
"1994 Act" means the Intelligence Services Act 1994;
"1997 Act" means the Police Act 1997;
"2000 Act" means the Regulation of Investigatory Powers Act 2000;
"RIP(S)A" means the Regulation of Investigatory Powers (Scotland) Act 2000.

1.2 This code of practice provides guidance on the authorisation of the use or conduct of covert human intelligence sources ("a source") by public authorities under Part II of the 2000 Act.

1.3 The provisions of the 2000 Act are not intended to apply in circumstances where members of the public volunteer information to the police or other authorities, as part of their normal civic duties, or to contact numbers set up to receive information (such as Crimestoppers, Customs Confidential, the Anti Terrorist Hotline, or the Security Service Public Telephone Number). Members of the public acting in this way would not generally be regarded as sources.

1.4 Neither Part II of the 2000 Act or this code of practice is intended to affect the practices and procedures surrounding criminal participation of sources.

General extent of powers

1.6 Authorisations can be given for the use or conduct of a source both inside and outside the United Kingdom. Authorisations for actions outside the United Kingdom can only validate them for the purposes of proceedings in the United Kingdom. An authorisation under Part II of the 2000 Act does not take into account the requirements of the country outside the United Kingdom in which the investigation or operation is taking place.

1.7 Members of foreign law enforcement or other agencies or sources of those agencies may be authorised under the 2000 Act in the UK in support of domestic and international investigations.

1.8 Where the conduct authorised is likely to take place in Scotland, authorisations should be granted under RIP(S)A, unless the authorisation is being obtained by those public authorities listed in section 46(3) of the 2000 Act and the Regulation of Investigatory Powers (Authorisations Extending to Scotland) Order 2000). Additionally, any authorisation granted or renewed for the purposes of national security or the economic well-being of the UK must be made under the 2000 Act. This code of practice is extended to Scotland in relation to authorisations made under Part II of the 2000 Act which apply to Scotland. A separate code of practice applies in relation to authorisations made under RIP(S)A.

Use of material in evidence

1.9 Material obtained from a source may be used as evidence in criminal proceedings. The proper authorisation of a source should ensure the suitability of such evidence under the common law, section 78 of the Police and Criminal Evidence Act 1984 and the Human Rights Act 1998. Furthermore, the product obtained by a source described in this code is subject to the ordinary rules for retention and disclosure of material under the Criminal Procedure and Investigations Act 1996, where those rules apply to the law enforcement body in question. There are also well-established legal procedures that will protect the identity of a source from disclosure in such circumstances.

2 GENERAL RULES ON AUTHORISATIONS

2.1 An authorisation under Part II of the 2000 Act will provide lawful authority for the use of a source. Responsibility for giving the authorisation will depend on which public authority is responsible for the source.

2.2 Part II of the 2000 Act does not impose a requirement on public authorities to seek or obtain an authorisation where, under the 2000 Act, one is available (see section 80 of the 2000 Act). Nevertheless, where there is an interference by a public authority with the right to respect for private and family life guaranteed under Article 8 of the European Convention on Human Rights, and where there is no other lawful authority, the consequences of not obtaining an authorisation under the 2000 Act may be that the action is unlawful by virtue of section 6 of the Human Rights Act 1998.

2.3 Public authorities are therefore strongly recommended to seek an authorisation where the use or conduct of a source is likely to interfere with a person's Article 8 rights to privacy by obtaining information from or about a person, whether or not that person is the subject of the investigation or operation. Obtaining an authorisation will ensure that the action is carried out in accordance with law and subject to stringent safeguards against abuse.

Necessity and Proportionality

2.4 Obtaining an authorisation under the 2000 Act will only ensure that the authorised use or conduct of a source is a justifiable interference with an individual's Article 8 rights if it is necessary and proportionate for the source to be used. The 2000 Act first requires that the person granting an authorisation believe that the authorisation is necessary in the circumstances of the particular case for one or more of the statutory grounds in section 29(3) of the 2000 Act.

2.5 Then, if the use of the source is necessary, the person granting the authorisation must believe that the use of a source is proportionate to what is sought to be achieved by the conduct and use of that source. This involves balancing the intrusiveness of the use of the source on the target and others who might be affected by it against the need for the source to be used in operational terms. The use of a source will not be proportionate if it is excessive in the circumstances of the case or if the information which is sought could reasonably be obtained by other less intrusive means. The use of a source should be carefully managed to meet the objective in question and sources must not be used in an arbitrary or unfair way.

Collateral Intrusion

2.6 Before authorising the use or conduct of a source, the authorising officer should also take into account the risk of intrusion into the privacy of persons other than those who are directly the subjects of the operation or investigation (collateral intrusion). Measures should be taken, wherever practicable, to avoid unnecessary intrusion into the lives of those not directly connected with the operation.

2.8 Those tasking a source should inform the authorising officer if the investigation or operation unexpectedly interferes with the privacy of individuals who are not covered by the authorisation. When the original authorisation may not be sufficient, consideration should be given to whether the authorisation needs to be amended and reauthorised or a new authorisation is required.

2.9 Any person granting or applying for an authorisation will also need to be aware of any particular sensitivities in the local community where the source is being used and of similar activities being undertaken by other public authorities which could impact on the deployment of the source. Consideration should also be given to any adverse impact on community confidence or safety that may result from the use or conduct of a source or of information obtained from that source. In this regard, it is recommended that where the authorising officers in the National Criminal Intelligence Service (NCIS), the National Crime Squad (NCS) and HM Customs and Excise (HMCE) consider that conflicts might arise they should consult a senior officer within the police force area in which the source is deployed. Additionally, the authorising officer should make an assessment of any risk to a source in carrying out the conduct in the proposed authorisation.

2.10 In a very limited range of circumstances an authorisation under Part II may, by virtue of sections 26(7) and 27 of the 2000 Act, render lawful conduct which would otherwise be criminal, if it is incidental to any conduct falling within section 26(8) of the 2000 Act which the source is authorised to undertake. This would depend on the circumstances of each individual case, and consideration should always be given to seeking advice from the legal adviser within the relevant public authority when such activity is contemplated. A source that acts beyond the limits recognised by the law will be at risk from prosecution. The need to protect the source cannot alter this principle.

Combined authorisations

2.11 A single authorisation may combine two or more different authorisations under Part II of the 2000 Act. For example, a single authorisation may combine authorisations for intrusive surveillance and the conduct of a source. In such cases the provisions applicable to each of the authorisations must be considered separately. Thus, a police superintendent can authorise the conduct of a source but an authorisation for intrusive surveillance by the police needs the separate authority of a chief constable, and in certain cases the approval of a Surveillance Commissioner will also be necessary. Where an authorisation for the use or conduct of a covert human intelligence source is combined with a Secretary of State authorisation for intrusive surveillance, the combined authorisation must be issued by the Secretary of State. However, this does not preclude public authorities from obtaining separate authorisations.

Directed surveillance against a potential source

2.12 It may be necessary to deploy directed surveillance against a potential source as part of the process of assessing their suitability for recruitment, or in planning how best to make the approach to them. An authorisation under this code authorising an officer to establish a covert relationship with a potential source could be combined with a directed surveillance authorisation so that both the officer and potential source could be followed. Directed surveillance is defined in section 26(2) of the 2000 Act. See the code of practice on Covert Surveillance.

Central Record of all authorisations

2.13 A centrally retrievable record of all authorisations should be held by each public authority and regularly updated whenever an authorisation is granted, renewed or cancelled. The record should be made available to the relevant Commissioner or an Inspector from the Office of Surveillance Commissioners, upon request. These records should be retained for a period of at least three years from the ending of the authorisation.

2.14 Proper records must be kept of the authorisation and use of a source. Section 29(5) of the 2000 Act provides that an authorising officer must not grant an authorisation for the use or conduct of a source unless he believes that there are arrangements in place for ensuring that there is at all times a person with the responsibility for maintaining a record of the use made of the source. The Regulation of Investigatory Powers (Source Records) Regulations 2000; SI No: 2725 details the particulars that must be included in the records relating to each source.

2.15 In addition, records or copies of the following, as appropriate, should be kept by the relevant authority:

a copy of the authorisation together with any supplementary documentation and notification of the approval given by the authorising officer;
a copy of any renewal of an authorisation, together with the supporting documentation submitted when the renewal was requested;

the reason why the person renewing an authorisation considered it necessary to do so;
any authorisation which was granted or renewed orally (in an urgent case) and the reason why the case was considered urgent;
any risk assessment made in relation to the source;
the circumstances in which tasks were given to the source;
the value of the source to the investigating authority;

a record of the results of any reviews of the authorisation;
the reasons, if any, for not renewing an authorisation;
the reasons for cancelling an authorisation.
the date and time when any instruction was given by the authorising officer to cease using a source.

2.16 The records kept by public authorities should be maintained in such a way as to preserve the confidentiality of the source and the information provided by that source. There should, at all times, be a designated person within the relevant public authority who will have responsibility for maintaining a record of the use made of the source.

Retention and destruction of the product

2.17 Where the product obtained from a source could be relevant to pending or future criminal or civil proceedings, it should be retained in accordance with established disclosure requirements for a suitable further period, commensurate to any subsequent review.

2.18 In the cases of the law enforcement agencies (not including the Royal Navy Regulating Branch, the Royal Military Police and the Royal Air Force Police), particular attention is drawn to the requirements of the code of practice issued under the Criminal Procedure and Investigations Act 1996. This requires that material which is obtained in the course of a criminal investigation and which may be relevant to the investigation must be recorded and retained.

2.19 There is nothing in the 2000 Act which prevents material obtained from properly authorised use of a source being used in other investigations. Each public authority must ensure that arrangements are in place for the handling, storage and destruction of material obtained through the use of a source. Authorising officers must ensure compliance with the appropriate data protection requirements and any relevant codes of practice produced by individual authorities in the handling and storage of material.

The Intelligence services, MOD and HM Forces

2.20 The heads of these agencies are responsible for ensuring that arrangements exist to ensure that no information is stored by the authorities, except as necessary for the proper discharge of their functions. They are also responsible for arrangements to control onward disclosure. For the intelligence services, this is a statutory duty under the 1989 Act and the 1994 Act.

3 SPECIAL RULES ON AUTHORISATIONS

Confidential Information

3.2 In cases where through the use or conduct of a source it is likely that knowledge of confidential information will be acquired, the deployment of the source is subject to a higher level of authorisation. Annex A lists the authorising officer for each public authority permitted to authorise such use or conduct of a source.

Communications Subject to Legal Privilege

3.3 Section 98 of the 1997 Act describes those matters that are subject to legal privilege in England and Wales. In Scotland, the relevant description is contained in section 33 of the Criminal Law (Consolidation) (Scotland) Act 1995. With regard to Northern Ireland, Article 12 of the Police and criminal Evidence (Northern Ireland) Order 1989 should be referred to.

3.5 The 2000 Act does not provide any special protection for legally privileged information. Nevertheless, such information is particularly sensitive and any source which acquires such material may engage Article 6 of the ECHR (right to a fair trial) as well as Article 8. Legally privileged information obtained by a source is extremely unlikely ever to be admissible as evidence in criminal proceedings. Moreover, the mere fact that use has been made of a source to obtain such information may lead to any related criminal proceedings being stayed as an abuse of process. Accordingly, action which may lead to such information being obtained is subject to additional safeguards under this code.

3.6 In general, an application for the use or conduct of a source which is likely to result in the acquisition of legally privileged information should only be made in exceptional and compelling circumstance. Full regard should be had to the particular proportionality issues such a use or conduct of a source raises. The application should include, in addition to the reasons why it is considered necessary for the use or conduct of a source to be used, an assessment of how likely it is that information subject to legal privilege will be acquired. The application should clearly state whether the purpose (or one of the purposes) of the use or conduct of the source is to obtain legally privileged information.

3.7 This assessment will be taken into account by the authorising officer in deciding whether the proposed use or conduct of a source is necessary and proportionate for a purpose under section 29 of the 2000 Act. The authorising officer may require regular reporting so as to be able to decide whether the authorisation should continue. In those cases where legally privileged information has been acquired and retained, the matter should be reported to the relevant Commissioner or Inspector during his next inspection and the material should be made available to him if requested.

3.8 A substantial proportion of the communications between a lawyer and his client(s) may be subject to legal privilege. Therefore, any case where a lawyer is the subject of an investigation or operation should be notified to the relevant Commissioner or Inspector during his next inspection and any material which has been retained should be made available to him if requested.

3.9 Where there is any doubt as to the handling and dissemination of information which may be subject to legal privilege, advice should be sought from a legal adviser within the relevant public authority before any further dissemination of the material takes place. Similar advice should also be sought where there is doubt over whether information is not subject to legal privilege due to the "in furtherance of a criminal purpose" exception. The retention of legally privileged information, or its dissemination to an outside body, should be accompanied by a clear warning that it is subject to legal privilege. It should be safeguarded by taking reasonable steps to ensure there is no possibility of it becoming available, or its contents becoming known to any person whose possession of it might prejudice any criminal or civil proceedings related to the information. Any dissemination of legally privileged material to an outside body should be notified to the relevant Commissioner or Inspector during his next inspection.

Communications involving Confidential Personal Information and Confidential Journalistic Material

3.10 Similar consideration must also be given to authorisations that involve confidential personal information and confidential journalistic material. In those cases where confidential personal information and confidential journalistic material has been acquired and retained, the matter should be reported to the relevant Commissioner or Inspector during his next inspection and the material be made available to him if requested. Confidential personal information is information held in confidence relating to the physical or mental health or spiritual counselling concerning an individual (whether living or dead) who can be identified from it. Such information, which can include both oral and written communications is held in confidence if it is held subject to an express or implied undertaking to hold it in confidence or it is subject to a restriction on disclosure or an obligation of confidentiality contained in existing legislation. Examples might include consultations between a health professional and a patient, or information from a patient’s medical records.

Vulnerable individuals

3.13 A ‘vulnerable individual’ is a person who is or may be in need of community care services by reason of mental or other disability, age or illness and who is or may be unable to take care of himself, or unable to protect himself against significant harm or exploitation. Any individual of this description should only be authorised to act as a source in the most exceptional circumstances. In these cases, the attached table in Annex A lists the authorising officer for each public authority permitted to authorise the use of a vulnerable individual as a source.

Juvenile sources

3.14 Special safeguards also apply to the use or conduct of juvenile sources; that is sources under the age of 18 years. On no occasion should the use or conduct of a source under 16 years of age be authorised to give information against his parents or any person who has parental responsibility for him. In other cases, authorisations should not be granted unless the special provisions contained within The Regulation of Investigatory Powers (Juveniles) Order 2000; SI No. 2793 are satisfied. Authorisations for juvenile sources should be granted by those listed in the attached table at Annex A. The duration of such an authorisation is one month instead of twelve months.

4 AUTHORISATION PROCEDURES FOR COVERT HUMAN INTELLIGENCE SOURCES

4.1 Under section 26(8) of the 2000 Act a person is a source if:

he establishes or maintains a personal or other relationship with a person for the covert purpose of facilitating the doing of anything falling within paragraph (b) or (c);
he covertly uses such a relationship to obtain information or to provide access to any information to another person; or
he covertly discloses information obtained by the use of such a relationship or as a consequence of the existence of such a relationship.

4.2 A source may include those referred to as agents, informants and officers working undercover.

4.3 By virtue of section 26(9)(b) of the 2000 Act a purpose is covert, in relation to the establishment or maintenance of a personal or other relationship, if and only if, the relationship is conducted in a manner that is calculated to ensure that one of the parties to the relationship is unaware of the purpose.

4.4 By virtue of section 26(9)(c) of the 2000 Act a relationship is used covertly, and information obtained as mentioned in paragraph 4.1(c) above is disclosed covertly, if and only if it is used or, as the case may be, disclosed in a manner that is calculated to ensure that one of the parties to the relationship is unaware of the use or disclosure in question.

4.5 The use of a source involves inducing, asking or assisting a person to engage in the conduct of a source or to obtain information by means of the conduct of such a source.

4.6 The conduct of a source is any conduct falling within section 29(4) of the 2000 Act, or which is incidental to anything falling within section 29(4) of the 2000 Act.

Authorisation procedures

4.7 Under section 29(3) of the 2000 Act an authorisation for the use or conduct of a source may be granted by the authorising officer where he believes that the authorisation is necessary:

in the interests of national security ¹,²;

for the purpose of preventing and detecting ³ crime or of preventing disorder;
in the interests of the economic well-being of the UK;
In the interests of public safety;
for the purpose of protecting public health⁴;
for the purpose of assessing or collecting any tax, duty, levy or other imposition, contribution or charge payable to a government department; or

for any other purpose prescribed in an order made by the Secretary of State⁵.

4.8 The authorising officer must also believe that the authorised use or conduct of a source is proportionate to what is sought to be achieved by that use or conduct.

4.9 The public authorities entitled to authorise the use or conduct of a source are those listed in Schedule 1 to the 2000 Act. Responsibility for authorising the use or conduct of a source rests with the authorising officer and all authorisations require the personal authority of the authorising officer. An authorising officer is the person designated under section 29 of the 2000 Act to grant an authorisation for the use or conduct of a source. The Regulation of Investigatory Powers (Prescriptions of Offices, Ranks and Positions) Order 2000; SI No: 2417 designates the authorising officer for each different public authority and the officers entitled to act only in urgent cases. In certain circumstances the Secretary of State will be the authorising officer (see section 30(2) of the 2000 Act).

4.10 The authorising officer must give authorisations in writing, except that in urgent cases, they may be given orally by the authorising officer or the officer entitled to act in urgent cases. In such cases, a statement that the authorising officer has expressly authorised the action should be recorded in writing by the applicant as soon as is reasonably practicable.

4.11 A case is not normally to be regarded as urgent unless the time that would elapse before the authorising officer was available to grant the authorisation would, in the judgement of the person giving the authorisation, be likely to endanger life or jeopardise the operation or investigation for which the authorisation was being given. An authorisation is not to be regarded as urgent where the need for an authorisation has been neglected or the urgency is of the authorising officer’s own making.

4.12 Authorising officers should not be responsible for authorising their own activities, e.g. those in which they, themselves, are to act as the source or in tasking the source. However, it is recognised that this is not always possible, especially in the cases of small organisations. Where an authorising officer authorises his own activity the authorisation record (see paragraphs 2.13 - 2.15) should highlight this and the attention of a Commissioner or Inspector should be invited to it during his next inspection.

4.13 The authorising officers within the police, NCIS and NCS may only grant authorisations on application by a member of their own force, Service or Squad. Authorising officers in HMCE may only grant authorisations on application by a customs officer.

Footnotes:

¹ One of the functions of the Security Service is the protection of national security and in particular the protection against threats from terrorism. These functions extend throughout the United Kingdom, save that, in Northern Ireland, where the lead responsibility for investigating the threat from terrorism related to the affairs of Northern Ireland lies with the Police Service of Northern Ireland. An authorising officer in another public authority should not issue an authorisation under Part II of the 2000 Act where the operation or investigation falls within the responsibilities of the Security Service,as set out above, except where it is to be carried out by a Special Branch or where the Security Service has agreed that another public authority can authorise the use or conduct of a source which would normally fall within the responsibilities of the Security Service.

²HM Forces may also undertake operations in connection with a military threat to national security and other operations in connection with national security in support of the Security Service, the Police Service of Northern Ireland or other Civil Powers.

³Detecting crime is defined in section 81(5) of the 2000 Act.

⁴ This could include investigations into infectious diseases, contaminated products or the illicit sale of pharmaceuticals.

⁵ This could only be for a purpose which satisfies the criteria set out in Article 8(2) of the ECHR.

Information to be provided in applications for authorisation

4.14 In application for authorisation for the use or conduct of a source should be in writing and record:

the reasons why the authorisation is necessary in the particular case and on the grounds (e.g. for the purpose of preventing or detecting crime) listed in section 29(3) of the 2000 Act;
the reasons why the authorisation is considered proportionate to what it seeks to achieve;
the purpose for which the source will be tasked or deployed (e.g. In relation to an organised serious crime, espionage, a series of racially motivated crimes etc);
where a specific investigation or operation is involved, nature of that investigation or operation;
the nature of what the source will be tasked to do;
the level of authority required (or recommended, where that is different).
the details of any potential collateral intrusion and why the intrusion is justified;

the details of any confidential information that is likely to be obtained as a consequence of the authorisation; and
a subsequent record of whether authority was given or refused, by whom and the time and date.

4.15 Additionally, in urgent cases, the authorisation should record (as the case may be):

the reasons why the authorising officer or the officer entitled to act in urgent cases considered the case so urgent that an oral instead of a written authorisation was given; and/or
the reasons why it was not reasonably practicable for the application to be considered by the authorising officer.

4.16 Where the authorisation is oral, the detail referred to above should be recorded in writing by the applicant as soon as reasonably practicable.

Duration of authorisations

4.17 A written authorisation will, unless renewed, cease to have effect at the end of a period of twelve months beginning with the day on which it took effect.

4.18 Urgent oral authorisations or authorisations granted or renewed by a person who is entitled to act only in urgent cases will, unless renewed, cease to have effect after seventy-two hours, beginning with the time when the authorisation was granted or renewed.

Reviews

4.19 Regular reviews of authorisations should be undertaken to assess the need for the use of a source to continue. The review should include the use made of the source during the period authorised, the tasks given to the source and the information obtained from the source. The results of a review should be recorded on the authorisation record (see paragraphs 2.13 - 2.15). Particular attention is drawn to the need to review authorisations frequently where the use of a source provides access to confidential information or involves collateral intrusion.

4.20 In each case the authorising officer within each public authority should determine how often a review should take place. This should be as frequently as is considered necessary and practicable.

Renewals

4.21 Before an authorising officer renews an authorisation, he must be satisfied that a review has been carried out of the use of a source as outlined in paragraph 4.19.

4.22 If at any time before an authorisation would cease to have effect, the authorising officer considers it necessary for the authorisation to continue for the purpose for which it was given, he may renew it in writing for a further period of twelve months. Renewals may also be granted orally in urgent cases and last for a period of seventy-two hours.

4.23 A renewal takes effect at the time at which, or day on which the authorisation would have ceased to have effect but for the renewal. An application for renewal should not be made until shortly before the authorisation period is drawing to an end. Any person who would be entitled to grant a new authorisation can renew an authorisation. Authorisations may be renewed more than once, if necessary, provided they continue to meet the criteria for authorisation. The renewal should be kept/recorded as part of the authorisation record (see paragraphs 2.13 - 2.15).

4.24 All applications for the renewal of an authorisation should record:

whether this is the first renewal or every occasion on which the authorisation has been renewed previously;
any significant changes to the information in paragraph 4.14;
the reasons why it is necessary to continue to use the source;
the use made of the source in the period since the grant or, as the case may be, latest renewal of the authorisation;
the tasks given to the source during that period and the information obtained from the conduct or use of the source;
the results of regular reviews of the use of the source;

Cancellations

4.25 The authorising officer who granted or renewed the authorisation must cancel it if he is satisfied that the use or conduct of the source no longer satisfies the criteria for authorisation or that satisfactory arrangements for the source’s case no longer exist. Where the authorising officer is no longer available, this duty will fall on the person who has taken over the role of authorising officer or the person who is acting as authorising officer (see the Regulation of Investigatory Powers (Cancellation of Authorisations) Order 2000; SI No: 2794). Where necessary, the safety and welfare of the source should continue to be taken into account after the authorisation has been cancelled.

MANAGEMENT OF SOURCES

Tasking

4.26 Tasking is the assignment given to the source by the persons defined at sections 29(5)(a) and (b) of the 2000 Act, asking him to obtain information, to provide access to information or to otherwise act, incidentally, for the benefit of the relevant public authority. Authorisation for the use or conduct of a source is required prior to any tasking where such tasking requires the source to establish or maintain a personal or other relationship for a covert purpose.

4.27 The person referred to in section 29(5)(a) of the 2000 Act will have day to day responsibility for:

dealing with the source on behalf of the authority concerned;
directing the day to day activities of the source;
recording the information supplied by the source; and

monitoring the source’s security and welfare;

4.28 The person referred to in section 29(5)(b) of the 2000 Act will be responsible for the general oversight of the use of the source.

4.29 In some instances, the tasking given to a person will not require the source to establish a personal or other relationship for a covert purpose. For example a source may be tasked with finding out purely factual information about the layout of commercial premises. Alternatively, a trading standards officer may be involved in the test purchase of items which have been labelled misleadingly or are unfit for consumption. In such cases, it is for the relevant public authority to determine where, and in what circumstances, such activity may require authorisation.

4.30 It is not the intention that authorisations be drawn so narrowly that a separate authorisation is required each time the source is tasked. Rather, an authorisation might cover, in broad terms, the nature of the source’s task. If this changes, then a new authorisation may need to be sought.

4.31 It is difficult to predict exactly what might occur each time a meeting with a source takes place, or the source meets the subject of an investigation. There may be occasions when unforeseen action or undertakings occur. When this happens, the occurrence must be recorded as soon as practicable after the event and, if the existing authorisation is insufficient it should either be updated and reauthorised (for minor amendments only) or it should cancelled and a new authorisation should be obtained before any further such action is carried out.

4.32 Similarly where it is intended to task a source in a new way or significantly greater way than previously identified, the persons defined at section 29(5)(a) or (b) of the 2000 Act must refer the proposed tasking to the authorising officer, who should consider whether a separate authorisation is required. This should be done in advance of any tasking and the details of such referrals must be recorded.

Management responsibility

4.33 Public authorities should ensure that arrangements are in place for the proper oversight and management of sources, including appointing individual officers as defined in section 29(5)(a) and (b) of the 2000 Act for each source.

4.34 The person responsible for the day-to-day contact between the public authority and the source will usually be of a rank or position below that of the authorising officer.

In cases where the authorisation is for the use or conduct of a source whose activities benefit more than a single public authority, responsibilities for the management and oversight of that source may be taken up by one authority or can be split between the authorities.

Security and welfare

4.36 Any public authority deploying a source should take into account the safety and welfare of that source, when carrying out actions in relation to an authorisation or tasking, and to foreseeable consequences to others of that tasking. Before authorising the use or conduct of a source, the authorising officer should ensure that a risk assessment is carried out to determine the risk to the source of any tasking and the likely consequences should the role of the source become known. The ongoing security and welfare of the source, after the cancellation of the authorisation, should also be considered at the outset.

4.37 The person defined at section 29(5)(a) of the 2000 Act is responsible for bringing to the attention of the person defined at section 29(5)(b) of the 2000 Act any concerns about the personal circumstances of the source, insofar as they might affect:

the validity of the risk assessment

the conduct of the source, and

the safety and welfare of the source.

4.38 Where deemed appropriate, concerns about such matters must be considered by the authorising officer, and a decision taken on whether or not to allow the authorisation to continue.

ADDITIONAL RULES

Recording of telephone conversations

4.39 Subject to paragraph 4.40 below, the interception of communications sent by post or by means of public telecommunications systems or private telecommunications systems attached to the public network may be authorised only by the Secretary of State, in accordance with the terms of Part I of the 2000 Act. Nothing in this code should be taken as granting dispensation from the requirements of that Part of the 2000 Act.

4.40 Part I of the 2000 Act provides certain exceptions to the rule that interception of telephone conversations must be warranted under that Part. This includes, where one party to the communication consents to the interception, it may be authorised in accordance with section 48(4) of the 2000 Act provided that there is no interception warrant authorising the interception. In such cases, the interception is treated as directed surveillance (see chapter 4 of the Covert Surveillance code of practice).

Use of covert human intelligence source with technical equipment

4.41 A source, whether or not wearing or carrying a surveillance device and invited into residential premises or a private vehicle, does not require additional authorisation to record any activity taking place inside those premises or vehicle which take place in his presence. This also applies to the recording of telephone conversations other than by interception which takes place in the source’s presence. Authorisation for the use or conduct of that source may be obtained in the usual way.

4.42 However, if a surveillance device is to be used, other than in the presence of the source, an intrusive surveillance authorisation and if applicable an authorisation for interference with property should be obtained.

5 OVERSIGHT BY COMMISSIONERS

5.1 The 2000 Act requires the Chief Surveillance Commissioner to keep under review (with the assistance of the Surveillance Commissioners and Assistant Surveillance Commissioners) the performance of functions under Part III of the 1997 Act and Part II of the 2000 Act by the police (including the Royal Navy Regulating Branch, the Royal Military Police and the Royal Air Force Police and the Ministry of Defence Police and the British Transport Police), NCIS, NCS, HMCE and of the 2000 Act the other public authorities listed in Schedule 1 and in Northern Ireland officials of the Ministry of Defence and HM Forces

5.2 The Intelligence Services Commissioner’s remit is to provide independent oversight of the use of the powers contained within Part II of the 2000 Act by the Security Service, Secret Intelligence Service (SIS), the Governments Communication Headquarters (GCHQ) and the Ministry of Defence and HM Forces (excluding the Royal Navy Regulating Branch, the Royal Military Police and the Royal Air Force Police, and in Northern Ireland officials of the Ministry of Defence HM Forces).

5.3 This code does not cover the exercise of any of the Commissioners’ functions. It is the duty of any person who uses these powers to comply with any request made by a Commissioner to disclose or provide any information he requires for the purpose of enabling him to carry out his functions.

5.4 References in this code to the performance of review functions by the Chief Surveillance Commissioner and other Commissioners apply also to Inspectors and other members of staff to whom such functions have been delegated.

6 COMPLAINTS

6.1 The 2000 Act establishes an independent Tribunal. This Tribunal will be made up of senior members of the judiciary and the legal profession and is independent of the Government. The Tribunal has full powers to investigate and decide any case within its jurisdiction.

6.2 This code does not cover the exercise of the Tribunal’s functions. Details of the relevant complaints procedure can be obtained from the following address:

Investigatory Powers Tribunal
PO Box 33220
London
SW1H 9ZQ

Tel: 020 7273 4514

Regulation of Investigatory Powers Act 2000

Annex A

Authorisation levels when knowledge of confidential information is likely to be acquired or when a vulnerable individual or juvenile is to be used as a source

Government Department / Public Authority Authorisation level for when knowledge of Confidential Information is likely to be acquired Authorisation level for when a vulnerable individual or a Juvenile is to be used as a source

Police Forces - Any police force maintained under section 2 of the Police Act 1996 (police forces in England and Wales outside London). Chief Constable Assistant Chief Constable

Police Forces - Any police force maintained under or by virtue of section 1 of the Police (Scotland) Act 1967 Chief Constable Assistant Chief Constable

The Metropolitan police force Assistant Commissioner Commander

The City of London police force Commissioner Commander

The Police Service of Northern Ireland Deputy Chief Constable Assistant Chief Constable

The Royal Navy Regulating Branch
Royal Military Police
Royal Air Force Police

Provost Marshal
Provost Marshal
Provost Marshal

Provost Marshal
Provost Marshal
Provost Marshal

National Criminal Intelligence Service (NCIS) Director General Assistant Chief Constable or Assistant Chief Investigation Officer

National Crime Squad (NCS) Director General or Deputy Director General Assistant Chief Constable

Serious Fraud Office Director or Assistant Director Director or Assistant Director

The Intelligence Services:
Government Communications Headquarters
Security Service
Secret Intelligence Service

A Director of GCHQ
Deputy Director General
A Director of the Secret Intelligence Service

A Director of GCHQ
Deputy Director General
A member of the Secret Intelligence Service not below the equivalent rank to that of a Grade 5 in the Home Civil Service)

HM Forces:
Royal Navy
Army
Royal Air Force

Rear Admiral
Major General
Air-Vice Marshall

Rear Admiral
Major General
Air-Vice Marshall

HM Customs and Excise Director Investigation or Regional Heads of Investigation
Band 11 (Intelligence)

Inland Revenue Deputy Chairman of Inland Revenue Head of Special Compliance Office

Department for the Environment, Food and Rural Affairs:
DEFRA Investigation Branch

Horticultural Marketing Inspectorate

Plant Health and Seed Inspectorate

Egg Marketing Inspectorate

Sea Fisheries Inspectorate (SFI)

Centre for Environment, Fisheries & Aquaculture Science (CEFAS)

Immediate Senior Officer of Head of DEFRA Prosecution Division
Immediate Senior Officer of Head of DEFRA Prosecution Division
Immediate Senior Officer of Head of DEFRA Prosecution Division
Immediate Senior Officer of Head of DEFRA Prosecution Division
Immediate Senior Officer of Head of DEFRA Prosecution Division
Immediate Senior Officer of Head of DEFRA Prosecution Division

Head of DEFRA Prosecution Division

No

No

No

No

Head of DEFRA Prosecution Division

Ministry of Defence

Department for Transport, Local Government and the Regions:
Vehicle Inspectorate
Transport Security (Transec)

No
Director of Transport Security

No
Deputy Director of Transport Security

Department of Health:
Medical Devices Agency
Medicine Control Agency

Welfare Foods Policy Unit

Directorate of Counter Fraud Services (DFCS)

Chief Executive
Chief Executive

Deputy Chief Medical Officer
Director of Counter Fraud

No
Head of Division for Inspection and Enforcement

No

Director of Counter Fraud

Home Office:
HM Prison Service
Immigration Service

Deputy Director General
Chief Inspector

Area Managers
Director

Department of Work and Pensions:
Benefits Agency

Chief Executive

Head of Fraud Investigation

Department of Trade and Industry:
Radiocommunications Agency
British Trade International
Coal Health Claims Unit

Companies Investigation Branch

Legal Services Directorate D

No
No
Director of Coal Health Claims unit

The Inspector of Companies
The Director of Legal Service D

No
No
No

The Inspector of Companies

The Director of Legal Service D

National Assembly for Wales
Health - Director, NHS Wales

Agriculture - Head, National Assembly for Wales Agriculture Department

Health - Director, NHS Wales

Agriculture - Head, National Assembly for Wales Agriculture Department

Local Authorities The Head of Paid Service or (in his absence) a Chief Officer The Head of Paid Service or (in his absence) a Chief Officer

Environment Agency Chief Executive Executive Managers

Financial Services Authority Chairman Chairman

Food Standards Agency Head of Group, Deputy Chief Executive and Chief Executive Head of Group, Deputy Chief Executive and Chief Executive

The Intervention Board for Agricultural Produce Chief Executive Legal Director

Personal Investment Authority Chairman Chairman

Post Office Director of Security Head of Corporate Security/Head of Security for the Royal Mail/Head of Security for Counter Business

Government Department / Public Authority	Authorisation level for when knowledge of Confidential Information is likely to be acquired	Authorisation level for when a vulnerable individual or a Juvenile is to be used as a source
Police Forces - Any police force maintained under section 2 of the Police Act 1996 (police forces in England and Wales outside London).	Chief Constable	Assistant Chief Constable
Police Forces - Any police force maintained under or by virtue of section 1 of the Police (Scotland) Act 1967	Chief Constable	Assistant Chief Constable
The Metropolitan police force	Assistant Commissioner	Commander
The City of London police force	Commissioner	Commander
The Police Service of Northern Ireland	Deputy Chief Constable	Assistant Chief Constable
The Royal Navy Regulating Branch Royal Military Police Royal Air Force Police	Provost Marshal Provost Marshal Provost Marshal	Provost Marshal Provost Marshal Provost Marshal
National Criminal Intelligence Service (NCIS)	Director General	Assistant Chief Constable or Assistant Chief Investigation Officer
National Crime Squad (NCS)	Director General or Deputy Director General	Assistant Chief Constable
Serious Fraud Office	Director or Assistant Director	Director or Assistant Director
The Intelligence Services: Government Communications Headquarters Security Service Secret Intelligence Service	A Director of GCHQ Deputy Director General A Director of the Secret Intelligence Service	A Director of GCHQ Deputy Director General A member of the Secret Intelligence Service not below the equivalent rank to that of a Grade 5 in the Home Civil Service)
HM Forces: Royal Navy Army Royal Air Force	Rear Admiral Major General Air-Vice Marshall	Rear Admiral Major General Air-Vice Marshall
HM Customs and Excise	Director Investigation or Regional Heads of Investigation	Band 11 (Intelligence)
Inland Revenue	Deputy Chairman of Inland Revenue	Head of Special Compliance Office
Department for the Environment, Food and Rural Affairs: DEFRA Investigation Branch Horticultural Marketing Inspectorate Plant Health and Seed Inspectorate Egg Marketing Inspectorate Sea Fisheries Inspectorate (SFI) Centre for Environment, Fisheries & Aquaculture Science (CEFAS)	Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division Immediate Senior Officer of Head of DEFRA Prosecution Division	Head of DEFRA Prosecution Division No No No No Head of DEFRA Prosecution Division
Ministry of Defence
Department for Transport, Local Government and the Regions: Vehicle Inspectorate Transport Security (Transec)	No Director of Transport Security	No Deputy Director of Transport Security
Department of Health: Medical Devices Agency Medicine Control Agency Welfare Foods Policy Unit Directorate of Counter Fraud Services (DFCS)	Chief Executive Chief Executive Deputy Chief Medical Officer Director of Counter Fraud	No Head of Division for Inspection and Enforcement No Director of Counter Fraud
Home Office: HM Prison Service Immigration Service	Deputy Director General Chief Inspector	Area Managers Director
Department of Work and Pensions: Benefits Agency	Chief Executive	Head of Fraud Investigation
Department of Trade and Industry: Radiocommunications Agency British Trade International Coal Health Claims Unit Companies Investigation Branch Legal Services Directorate D	No No Director of Coal Health Claims unit The Inspector of Companies The Director of Legal Service D	No No No The Inspector of Companies The Director of Legal Service D
National Assembly for Wales	Health - Director, NHS Wales Agriculture - Head, National Assembly for Wales Agriculture Department	Health - Director, NHS Wales Agriculture - Head, National Assembly for Wales Agriculture Department
Local Authorities	The Head of Paid Service or (in his absence) a Chief Officer	The Head of Paid Service or (in his absence) a Chief Officer
Environment Agency	Chief Executive	Executive Managers
Financial Services Authority	Chairman	Chairman
Food Standards Agency	Head of Group, Deputy Chief Executive and Chief Executive	Head of Group, Deputy Chief Executive and Chief Executive
The Intervention Board for Agricultural Produce	Chief Executive	Legal Director
Personal Investment Authority	Chairman	Chairman
Post Office	Director of Security	Head of Corporate Security/Head of Security for the Royal Mail/Head of Security for Counter Business

COVERT SURVEILLANCE CODE OF PRACTICE

Commencement

CONTENTS

1 BACKGROUND

2 GENERAL RULES ON AUTHORISATIONS

3 SPECIAL RULES ON AUTHORISATIONS

4 AUTHORISATION PROCEDURES FOR DIRECTED SURVEILLANCE

5 AUTHORISATION PROCEDURES FOR INTRUSIVE SURVEILLANCE

6 AUTHORISATION PROCEDURES FOR ENTRY ON OR INTERFERENCE WITH PROPERTY OR WITH WIRELESS TELEGRAPHY

7 OVERSIGHT BY COMMISSIONERS

8 COMPLAINTS

Annex A

COVERT HUMAN INTELLIGENCE SOURCES CODE OF PRACTICE

Commencement

Chapter 1: BACKGROUND

2 GENERAL RULES ON AUTHORISATIONS

3 SPECIAL RULES ON AUTHORISATIONS

4 AUTHORISATION PROCEDURES FOR COVERT HUMAN INTELLIGENCE SOURCES

5 OVERSIGHT BY COMMISSIONERS

6 COMPLAINTS

Regulation of Investigatory Powers Act 2000

Annex A

COVERT SURVEILLANCE
CODE OF PRACTICE

COVERT HUMAN INTELLIGENCE SOURCES
CODE OF PRACTICE