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National Security Framework Ref: NSF 4.6

INTELLIGENCE REGULATION OF INVESTIGATORY POWERS ACT: COVERT
SURVEILLANCE

This instruction applies to :- Reference :-

NOMS Headquarters PSI 22/2012

Prisons
Issue Date Effective Date Expiry Date
Implementation Date Date
16/07/2012 30/07/2012 16/07/2016

Issued on the NOMS Agency Board

authority of
For action by All staff responsible for the development and publication of policy and
instructions
Governors and Directors of Contracted Prisons
For information All staff in NOMS HQ and prison establishments
Deputy Directors of Custody
Regional Corruption Prevention Managers
Police Intelligence Officers
Contact Tactical advice: Central Authorities Bureau
CAB E-mail : centralauthoritiesbureau@noms.gsi.gov.uk
CAB hotline : 0300 047 6354
Policy E-mail : barney.clifford@noms.gsi.gov.uk
Tel: 0300 047 6171
Associated CHIS Codes of Practice
documents Related Service Specification
Related Operating Models
Related Direct Service Costs and Assumptions paper
Related Cost Spreadsheets
See: http://www.justice.gov.uk/about/directory-services.htm
Audit/monitoring: Compliance with this instruction will be monitored by Audit and Corporate
Assurance and through internal self-audit. All establishments are also subject to inspection by the
Office of Surveillance Commissioners (OSC)

Introduces amendments to the following documents: - This PSI, together with others on
intelligence and powers under the Regulation of Investigatory Powers Act (RIPA) replaced guidance
in the previous NSF Function 4 (Communications and Surveillance).

In this document, the term Governor also applies to Directors of Contracted Prisons.

Contents

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Section Title Applicable to

1. Executive summary
All staff working within
2. Policy and Strategic Context
prisons and HQ.
3. Operational Instructions

EXECUTIVE SUMMARY

Background

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1.1 The Regulation of Investigatory Powers Act (RIPA) came into force in 2000 and provides
prisons with a power to use covert surveillance. The legislation and associated Codes of
Practice provide the framework for the use of covert surveillance and the application within
prisons is set out in this PSI.

1.2 This PSI replaces the previous version of PSO 1000 National Security Framework
Function 4 regarding covert surveillance.

1.3 A restricted PSI is being issued to governors, which contains more detailed instructions.
Governors must only share that PSI with staff engaged or likely to be engaged in the use of
covert surveillance.

1.4 This instruction covers covert surveillance by public authorities (directed surveillance) and
covert surveillance in a dwelling (includes a cell) or private vehicle (intrusive surveillance).

Desired Outcomes

1.5 All prisons will use covert surveillance where it is necessary and proportionate to do so for
the purposes of preventing or detecting crime/serious crime, preventing disorder, or on the
grounds of public safety.

1.6 All prisons will have trained staff in the key roles to ensure that covert surveillance is
undertaken in accordance with the law.

1.7 The use of covert surveillance will be an integral part of the intelligence gathering system
within prisons.

1.8 Covert surveillance will assist with the maintenance of control in prisons and allow
Managers to take informed decisions.

1.9 Compliance with RIPA across the whole prison estate and for this to be confirmed annually
by the Office of Surveillance Commissioners (OSC).

Application

1.10 This PSI is applicable to all establishments although it should be noted that in Contracted
Out prisons, the application and authorisation process is slightly different.

Mandatory Action

1.11 Covert surveillance must only be undertaken in accordance with the law.

1.12 Overt CCTV cameras must not be used for pre planned target use against prisoners or
visitors unless supported by an appropriate RIPA authorisation.

1.13 At all times, there must be at least one trained Authorising Officer available to consider an
application for covert surveillance of a public place (directed surveillance).

1.14 All applications for covert surveillance must be on covert surveillance form 1 unless the
urgent oral application provisions are being used.

1.15 All applications must contain a URN obtained from the Central Authorities Bureau (CAB) in
Security Group before being submitted to the Authorising Officer.

1.16 An application to undertake covert surveillance in a prisoners cell or within a private

vehicle must be submitted to the CAB to quality assure before submission to a Secretary of

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State for authorisation except where such activity is required in immediate response to a
hostage incident in a cell.

1.17 RIPA powers must not be used if the grounds for the covert surveillance are not allowed for
by the legislation. Therefore if covert surveillance is sought to investigate a matter that will
be subject to disciplinary matters only (e.g. secondary employment) RIPA powers must not
be used.

Resource Impact

1.18 There may be a minor cost in updating local instructions but no new policy is being
introduced so in effect this PSI is cost neutral, particularly in establishments with
appropriate systems in place.

(SIGNED)

Digby Griffith
Director of National Operational Services, NOMS

Policy and Strategic Context

2.1 The Human Rights Act (HRA) 1998 incorporated into UK law the rights set out in the
European Convention on Human Rights (ECHR). One such right is the right to respect for
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private and family life (Article 8). Where NOMS seeks to obtain private information by
means of covert information it is likely that this right will be engaged. The authorisation
procedures in RIPA are designed to ensure that any interference with this right is likely to
be justifiable as being in accordance with law, necessary in pursuit of a legitimate aim, and
proportionate.

2.2 NOMS has powers to use directed surveillance for the purposes of the prevention or
detection of crime, preventing disorder, or on the grounds of public safety.

2.3 NOMS has powers to use intrusive surveillance for the purpose of the prevention or
detection of serious crime only.

2.4 Alongside this PSI, which is written in order to be available to all staff, is a restricted PSI
that will be sent to governors only for distribution to staff engaged in covert surveillance
applications, gatekeepers, and Authorising Officers, and other staff as necessary on a need
to know basis.

OPERATIONAL INSTRUCTIONS

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Text within shaded boxes indicate requirements from the Provision of a Secure Operating
Environment bundle of specifications. All instructions below are mandatory.

Directed and intrusive covert surveillance is authorised, managed, and recorded.

3.1 Covert surveillance forms part of the intelligence gathering opportunities for prison
managers.

3.2 Detailed policy and operational procedures are set out in a restricted PSI.

3.3 There must be no covert surveillance unless the proper application process has been
followed and an authorisation given by an appropriate Authorising Officer, listed in the
covert surveillance order or codes of practice as having power to carry out the role.

3.4 Reviews, renewals, and cancellations must be carried out in a timely manner.

3.5 Arrangements must be in place at the time of the application for the management and
storage of material from covert surveillance.

3.6 All who are engaged in the covert surveillance operation must be fully briefed and must
sign a declaration that they have seen a written copy of the authority and that they
understand what is permitted through the authorisation.

3.7 Product from covert surveillance cannot be shared with another Agency or used in evidence
without authority of the Authorising Officer or in certain cases, the Head of Security Group
in HQ.

3.8 Records must be maintained by the Central Authorities Bureau (CAB) in Security Group.
The CAB also provides Unique Reference Numbers (URN) for all applications before the
application is considered by the AO.
3.9 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)
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
Intrusive Surveillance

3.10 Intrusive surveillance is defined in section 26(3) of the 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

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b) involves the presence of an individual on the premises or in the vehicle or is carried
out by means of a surveillance device

3.11 The definition of residential premises includes prison cells.

3.12 Covert surveillance is defined in section 26(9(a) 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. It should be noted that where staff wish to deploy the use of
overt CCTV to constantly monitor a prison cell for example for the prisoners own safety
(and not for the purposes of preventing or detecting serious crime) this may be authorised
within the provisions of Prison Rule 50A.

Information obtained by covert surveillance is shared securely with identified stakeholders.

3.13 Product from covert surveillance cannot be used, disclosed or shared with another agency
without authorisation by the Authorising Officer or another person outlined in the Restricted
PSI. A record of any use of the product must be obtained.

3.14 Authorising Officers must comply with the disclosure requirements of the Criminal
Procedure and Investigations Act (CPIA) and should seek advice from the CAB if uncertain
whether to disclose product or not.

3.15 Staff must neither confirm nor deny (NCND) a covert surveillance operation unless
authorised to do so by an appropriate senior manager or required to do so by law.

3.16 Further information is set out in the restricted PSI.

EQUALITY IMPACT ASSESSMENT

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Stage 1 initial screening

The first stage of conducting an EIA is to screen the policy to determine its relevance to the various
equalities issues. This will indicate whether or not a full impact assessment is required and which
issues should be considered in it. The equalities issues that you should consider in completing this
screening are:
Race
Gender
Gender identity
Disability
Religion or belief
Sexual orientation
Age (including younger and older offenders).

Aims
What are the aims of the policy?
To develop policy and operational practice in the assessment of whether to use covert
surveillance in prisons.

Effects
What effects will the policy have on staff, offenders or other stakeholders?
Policy is already in place. It is being reviewed and republished in the context of POSOE II
specification.

Evidence
Is there any existing evidence of this policy area being relevant to any equalities issue?

Identify existing sources of information about the operation and outcomes of the policy, such as operational
feedback (including local monitoring and impact assessments)/Inspectorate and other relevant
reports/complaints and litigation/relevant research publications etc. Does any of this evidence point towards
relevance to any of the equalities issues?

No.

Stakeholders and feedback

Describe the target group for the policy and list any other interested parties. What contact have
you had with these groups?
This is aimed at staff involved in the application/authorisation of covert surveillance and staff who
undertake the any authorised surveillance and associated product management issues.

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Do you have any feedback from stakeholders, particularly from groups representative of the
various issues, that this policy is relevant to them?
No.

Impact
Could the policy have a differential impact on staff, prisoners, visitors or other stakeholders on
the basis of any of the equalities issues?
No.

Local discretion
Does the policy allow local discretion in the way in which it is implemented? If so, what
safeguards are there to prevent inconsistent outcomes and/or differential treatment of different
groups of people?
Not in terms of implementation but clearly the process requires staff to make decisions. However,
all decisions are reviewed by the National Intelligence Unit Central Authorities Bureau, and staff
from the NIU communicate concerns and issues with relevant establishment staff. Practice is also
overseen annually by the Office of Surveillance Commissioners (OSC). Those who believe they
have been subject to covert surveillance can also apply to the Investigatory Powers Tribunal to
investigate whether surveillance was carried out in accordance with the law.

Summary of relevance to equalities issues

Strand Yes/No Rationale

No
Race
No
Gender (including
gender identity)
No
Disability
No
Religion or belief
No
Sexual orientation
No
Age (younger offenders)
No
Age (older offenders)

If you have answered Yes to any of the equalities issues, a full impact assessment must be completed.
Please proceed to STAGE 2 of the document.

If you have answered No to all of the equalities issues, a full impact assessment will not be required, and
this assessment can be signed off at this stage. You will, however, need to put in place monitoring
arrangements to ensure that any future impact on any of the equalities issues is identified.

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Monitoring and review arrangements
Describe the systems that you are putting in place to manage the policy and to monitor its
operation and outcomes in terms of the various equalities issues.
NIU retain all records centrally. This is a legislative requirement. These can be analysed to see
whether there are any equalities issues regarding the use of covert surveillance.

State when a review will take place and how it will be conducted.
Annual review led by policy lead taking into account legislative and other developments (including
matters arising out of the annual OSC inspection).

Name and signature Date

Barney Clifford 16 May 2012

Policy lead

Head of group

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