Covert Records and Products Management Policy

1. Statement of Policy

The Regulation of Investigatory Powers Act 2000 and the Investigatory Powers Act 2016 allow Law Enforcement Agencies to authorise covert activities which are likely to result in the acquisition of material or data relating to members of the public.

Each area of investigation is governed by statutory Codes of Practice which place safeguarding obligations on the Police, in respect of the retention, review and disposal of material acquired during the use of covert authorities.

The safeguards exist to ensure the rights and privacy of members of the public are protected by law. This includes Human Rights Legislation including:

Article 8 – Right to a private life

Article 6 – Right to a fair trial

Article 5 – Right to liberty and security

Dyfed-Powys Police recognises the responsibility and accountability required to ensure compliance with the legislation. This is an important factor that impacts directly upon the reputation of the force and affects public confidence in the organisation.

The overarching principle is that material acquired by the above means must be handled in accordance with the safeguards throughout its existence.

To ensure compliance with the law, Dyfed-Powys Police is subject to independent judicial oversight from the Investigatory Powers Commissioners Office (IPCO) which carries out annual inspections of the force.

The objective of this Policy therefore is to ensure that all personnel involved in the use of covert authorities are aware of and understand their responsibilities in respect of the retention, review and disposal of material obtained or generated during the use of covert authorities.

The Acts (RIPA and IPA) work in conjunction with the other legislation and guidance listed in this policy and due consideration shall be given to the other documents as required. As such this policy is intended to support, not replace, the Act’s in question.

The only exceptions to complying with this policy must be in furtherance of a legislative requirement including (but not limited to) MOPI or CPIA 1996 or, College of Policing Authorised Professional Practice (APP).

Applies (but not limited) to: All categories of Dyfed-Powys Police officers and staff, whether full-time, part-time, permanent, fixed term, temporary (including agency staff, associates and contractors), seconded staff and volunteers. Police Officers, staff and volunteers accessing and using Force assets and property must have due regard to the contents of this policy.

2. Policy Scope

The use of covert powers is a legitimate policing response to the prevention and detection of crime and supports the Police and Crime Plan and the Force Control Strategy.

The process must be fully transparent and auditable.

The trigger point is the submission of covert applications, as described above, by trained Police Officers and Support Staff with oversight by Detective Supervisors / SIO’s.

The Central Authorities Bureau acts as a central reference point in the Force, through which all covert administration procedures are quality assured to ensure compliance with the law.

Compliance with this policy requires Dyfed-Powys Police personnel who disseminate any covertly acquired material, or part of it, to provide clear instructions to the recipient outlining their responsibilities. The recipient must ensure compliance with this policy for all material passed to them, and subsequently will ensure that any further dissemination includes the responsibility to comply with further recipients.

Failure to comply with this policy and associated legislation will represent a vulnerability to Dyfed-Powys Police. The risks associated with non-compliance include, litigation, loss of evidence in criminal proceedings, adverse publicity, loss of public confidence and special measures imposed on the force by agencies with statutory oversight of the Police.

Compliance therefore provides reassurance to partner agencies, victims of crime and the wider community that police powers for the prevention and detection of crime are being used effectively and in accordance with statutory responsibilities.

 

3.  Powers and Policy/Legal Requirements

Dyfed-Powys Police shall comply with the following legislation and related policy and guidance in execution of the statutory requirements in respect of the retention, review and disposal / deletion of material acquired during the use of covert authorities:

• Dyfed-Powys Records Management Policy
• Investigatory Powers Act 2016
• Regulation of Investigatory Powers Act 2000
• Human Rights Act 1998
• Data Protection Act 2018
• Management of Police Information guidelines (MoPI)
• Freedom of Information Act 2000
• Protection of Freedoms Act 2012
• Code of Practice for the Acquisition and Disclosure of Communications Data
• Criminal Procedures and Investigations Act 1996
• Attorney Generals Guidelines on Disclosure (2020)

 

4.  Options and Contingencies

The following new Code of Ethics principles 2024 are relevant to this policy:

• Public Service
• Respect and Empathy
• Courage

All staff undertaking duties in respect of the administration of covert authorities must read and understand this policy and, act in accordance with the legislation and specific code of practice applicable to the covert powers requested and authorised.

The following are the key roles in respect of this Data Assurance Policy and the review, retention and disposal / deletion processes for material acquired during the use of covert authorities:

Senior Responsible Officer (SRO):

The SRO for Dyfed-Powys Police is the Assistant Chief Constable.

The SRO has the responsibility to oversee compliance with this policy relating to data assurance activity of retention, review and disposal. The SRO will ensure the ‘pathways’ for such material are identified in order for the process to be recorded in an accurate and timely manner for annual IPCO inspections or Investigatory Powers Tribunal (IPT) purposes. The SRO therefore must ensure accountability at all levels of this process.

Force Responsible Officer (RO):

The RO for Dyfed-Powys Police will be a Detective Superintendent and will, at the behest of the SRO, undertake the day-to-day duties of the SRO and provide assurance that this policy and associated legislation is compliant to IPCO standards.

SPOC Manager:

The SPOC Manager is responsible for supervising the Communications Data Investigation Team located in the Central Authorities Bureau, and will typically oversee and undertake activity necessary to ensure the requirements of IPA 2016 and the associated Codes of Practice are complied with.

Senior Investigating Officer (SIO):

The SIO has managerial responsibility for material gathered in relation to criminal investigations conducted within their area of responsibility. Accountability for compliance and adherence to the policy and the requirements of RRD will be held in collaboration between the SIO, Case Officer, Disclosure Officer and the Applicant. This will be overseen and monitored by the SIO.

Applicant:

At the direction of the SIO, the applicant for covert authorities shall manage the retention, review and disposal of data acquired and documents generated throughout any covert RIPA / IPA investigation process. Responsibilities under the Criminal Procedure and Investigation Act 1996 (CPIA) are not affected by this Policy and therefore remain with the applicant and the operational team.

Applicants should be aware of the additional requirements relating to Communications Data of those engaged in certain professions e.g. a medical doctor, lawyer, journalist, member of a relevant legislature, or minister of religion and must discuss with the SPoC how the application, and any resultant material must be handled.

Authorising Officers (AO’s):

Nominated Detective Superintendents complete a College of Policing approved Authorising Officers course, following which they assume responsibility for authorising Directed Surveillance and CHIS applications. In addition, the AO provides oversight and support for higher level authorities prior to CAB submission to Chief Officers. The AO will play an important role in overseeing the management of Special Procedure Material (such as Legal Privilege) acquired during the use of covert authorities.

Central Authorities Bureau (CAB) / SPOC Personnel:

The department is the central reference point for processing all covert applications in Dyfed-Powys Police and is a conduit for providing advice and guidance for officers and staff across the force, along with specialist departments located at force headquarters.

The role of CAB personnel is to quality assure covert applications, the majority of which are submitted on a bespoke management and workflow system (Charter) for which the staff have administration rights.

Targeted Equipment Interference Warrants however are managed on the encrypted ROSA workflow system with direct communication to IPCO. CAB personnel will play an integral part in ensuring recipients of data are aware of the responsibilities to RRD. The department will also manage the administration of all legacy material acquired prior to the implementation of Charter (2005).

Technical Support Unit (TSU):

The TSU is a specialist department located at HQ and has responsibility for the procurement and deployment of technical covert equipment in support of covert operations conducted in the Dyfed-Powys Police area. TSU officers conduct feasibility studies and provide advice and guidance in relation to the deployment of a range of covert surveillance devices.

 

4.  Take action and review

Covert legislation is a restricted and specialist area of policing.

On a day-to-day basis the Central Authorities Bureau monitor and quality assure covert administration procedures. The Bureau in turn reports to CID Senior Management (Responsible Officer) and the Authorising Officers.

Regular briefings provide the Senior Responsible Officer (SRO) with organisational oversight and, provide reassurance to NPCC the force is complying with its statutory responsibilities in its use of covert powers.

Dyfed-Powys Police is subject to annual inspections by the Investigatory Powers Commissioners Office (IPCO). The whole purpose of the inspection is to assess and establish compliance with the relevant legislation and associated codes of practice.

The Chief Constable subsequently receives inspection reports from the Chief Surveillance Commissioner which reports on the performance of the force since the previous inspection and may include:

1. Recommendations relating to an issue of compliance or,
2. General observations and advice to improve organisational practice and procedures.

The force responds on an annual basis by introducing action plans to set objectives within agreed timescales to monitor and improve performance and to provide training, advice and guidance when required to key stakeholders. The action plan is managed by the DI CAB, with oversight by CID SMT.

The force is also part of the wider policing family whereby nominated representatives collaborate with colleagues and partner agencies on a regional and national level to ensure any emerging issues, changes to legislation or practices and procedures are considered, disseminated, and where required, adopted by the force.

This policy must be understood in the first instance by personnel undertaking the Key Roles as described in Section 4 above (Options and Contingencies). The policy however applies to all officers, staff and volunteers of Dyfed-Powys Police.

The effectiveness of the policy and the associated standards of performance will be reviewed annually and monitored on an ongoing basis by the Central Authorities Bureau, the Responsible Officer and Authorising Officers. Any bespoke training requirements in respect of RRD for operational / support staff will be identified and provided (as required) by suitable subject matter experts.

Dyfed-Powys Police Specialaist Operations Board has oversight of this policy ans will approve all reviews and amendments. 

CODE OF ETHICS CERTIFICATE OF COMPLIANCE

This policy has been drafted in accordance with the Code of Ethics and has been reviewed on the basis of its content and the supporting evidence and it is deemed compliant with that Code and the principles underpinning it.

HUMAN RIGHTS ACT CERTIFICATE OF COMPLIANCE

This policy has been drafted in accordance with the Human Rights Act and has been reviewed on the basis of its content and the supporting evidence and it is deemed compliant with that Act and the principles underpinning it.

EQUALITY IMPACT ASSESSMENT

Section 4 of the Equality Act 2010 sets out the protected characteristics that qualify for protection under the Act as follows: Age; Disability; Gender Reassignment; Marriage and Civil Partnership; Pregnancy and Maternity; Race; Religion or Belief; Sex; Sexual Orientation.

The public sector equality duty places a proactive legal requirement on public bodies to have regard, in the exercise of their functions, to the need to:

• eliminate discrimination, harassment, victimisation, and any other conduct that is unlawful under the Act;
• advance equality of opportunity between persons who share a relevant protected characteristic and persons who do not share it;
• foster good relations between persons who share a relevant protected characteristic and persons who do not share it.

The equality duty applies to all protected characteristics with the exception of Marriage and Civil Partnership, to which only the duty to have regard to the need to eliminate discrimination applies.

Carrying out an equality impact assessment involves systematically assessing the likely or actual effects of policies on people in respect of all the protected characteristics set out above. An equality impact assessment should be carried out on any policy that is relevant to the public sector equality duty. 

EQUALITY IMPACT ASSESSMENT COMPLETED: February 2024