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Annex F - Disclosure Manual

Operational memorandum of understanding

OPERATIONAL

MEMORANDUM

OF

UNDERSTANDING

(OMOU)

BETWEEN

AND

Commencement date --/--/----

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Section 1 - Urgent response & initial contact record

Date/time of Contact:Contact Officer:
Initiating Agency:Operation Name:
1.NCIS/OTHER# Agency
2.NCIS/OTHER# Agency
3.NCIS/OTHER# Agency
4.NCIS/OTHER# Agency

(Continue on separate sheet if necessary)

PURPOSE OF LINKED INVESTIGATION
CRIMINAL ACTIVITY UNDER INVESTIGATION (Brief Facts)
OFFENCES & RELEVANT LEGISLATION (including foreign statutes)
AGREED ACTION
CONTACT DETAILS
1st Designated Point of Contact
2nd Designated Point of Contact
1st Designated Point of Contact #
2nd Designated Point of Contact #
Review Date(s)
NameAgencySignatureDate
  
  
# Any other Agency 
# Any other Agency 
# Any other Agency 

NB: A FULL OPERATIONAL OMOU MUST BE COMPLETED ONCE THE NEED FOR CO-ORDINATED JOINT OPERATIONAL STRATEGY AND ACTIVITY IS APPARENT. CONTINUE BELOW

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Section 2 - Strategic Proposals

Aims & objectives of joint or parallel operation

Proposal:

SHORT TERM:

LONG TERM:

# Agencies should indicate the duration of their commitment to this OMOU and matters affecting that decision.

Grounds:
 
If no agreement, give details of appeal/alternative proposal:

Agency roles incl. Lead status (where appropriate)

Proposal:
Grounds:
 
If no agreement, give details of appeal/alternative proposal:

Criminal activity under investigation

Offences & relevant legislation (including foreign statutes, jurisdiction, prosecution and extradition issues)

NB Prosecutors must be consulted to consider a prosecutors protocol.

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Section 3 - Tactical Proposals

Tasking & co-ordination

Proposal:
# Each agency to attend, or have contribute to the others Tasking & Co-ordination process
Grounds:

# Ensures activity commensurate with agency priorities
# Assists in prioritising operational activities
# Allows for operational objectives to be regularly reviewed

If no agreement, give details of appeal/alternative proposal:

Disclosure

Proposal:

# The agencies will record agreement and procedure in compliance with the CPIA 1996, the Code of Practice, the Attorney General's Guidelines and the Disclosure Manual. (DM)
# The (identify agency) will provide the lead disclosure officer and each other signatory will nominate deputy disclosure officers.
# If there are two lead investigating agencies, because parallel prosecutions are anticipated, each will nominate its own lead disclosure officer and respective deputies. The two leads should coordinate mutual disclosure between each agency and decide, with the SIOs, who will make respective decisions over relevance.
# The lead disclosure officer(s) and team must assess the disclosure implications of any other linked enquiries, should facilitate the free flow of information between enquiries, and should pay partiular attention to areas that may satisfy the disclosure test. Chapter 32 of the DM should be followed.
# The lead disclosure officers should keep all deputy disclosure officers informed, preferably by arranging a disclosure conference followed by regular briefings and meetings to facilitate the free flow of information about the investigation.
# Sensitive Material: In respect of each item of unused material thought to be sensitive, the SIO when guiding the lead or deputy disclosure officers might find it helpful to go through the following staged process and ask:

  1. Why is this particular item sensitive? Check Code 6.12 but reason specifically why it is an important public interest rather than list it as part of a category: Would disclosure of it to the accused, in the opinion of the disclosure officer, give rise to 'a real risk of serious prejudice to that important public interest?' and list reasons why on the sensitive schedules.
  2. If the sensitive item is in the hands of another agency refer to chapters 32, 33 and 34 of the DM.
  3. Is all of it really sensitive? Can part be listed as non-sensitive unused? (The fact that there has been surveillance may not of itself be sensitive but where, who and how could be).
  4. Does any part of the item meet the objective disclosure test: 'Might it reasonably be considered capable of undermining the case against the accused, or of assisting the case for the accused?'
  5. If so, ensure the prosecutor is kept fully aware of the nature and extent of this material, and whether edited or summarised versions could be disclosed, or, if not, of the likely need of a PII application as soon as possible.
  6. Items on the sensitive schedule (and the non-sensitive schedule) that do not satisfy the disclosure test should not be disclosed to the defendant.
Grounds:

# To ensure the correct handling of disclosure material
# To ensure "right and fair" disclosure and trial as guaranteed under Article 6 of the ECHR, whilst serving the public the public interest by seeking immunity from disclosure for appropriate material.
# To prevent defence applications for abuse of trial arguments about disclosure

If no agreement, give details of appeal/alternative proposal:

Dissemination of intelligence

Proposal:

# Parties will disseminate appropriate intelligence according to the 'Code of Practice for the Recording and Dissemination of Intelligence Material' (current version 2002/3) agreed by NCS, NCIS, and HMRC.
# Each agency ensures their subjects and appropriate associates are flagged, and intelligence in support of the flags is submitted correctly.
# Each agency will provide the other with a 24-hour contact point to access intelligence.
# Each agency will share all relevant intelligence and information. The signatories will agree a resume of the intelligence accrued previously to this agreement. (See Appendix A template)
# No dissemination of intelligence to be made outside of the investigation teams without the agreement of the other agency.
# Each agency to develop and maintain analytical work relating to their intelligence, with the analysts in close liaison
# Holding Agencies to maintain all flags

Grounds:

# To ensure the effective and efficient use of intelligence gathering techniques
# To minimise duplication
# To protect the integrity and source of the intelligence
# To avoid inappropriate disclosure of intelligence that may jeopardise operational objectives

If no agreement, give details of appeal/alternative proposal:

Forensic strategy

Proposal:

# Each agency will be responsible for the submission of exhibits recovered as a result of their operational activity to an Approved Forensic Services Provider)
# The cost of submissions will be borne by the requesting agency

Grounds:

# Ensures a co-ordinated approach and avoids duplication
# Ensures effective and efficient use of available resources

If no agreement, give details of appeal/alternative proposal:

Exhibit management

Proposal:

# Each agency to nominate appropriately trained exhibit officers
# Exhibits will be recorded and securely and appropriately stored
# When necessary exhibits will be made available to the other agency for examination and review for operational and intelligence purposes.
# Each agency will be responsible for the appropriate disposal of their exhibits at the conclusion of the investigation

Grounds:

# To maintain the integrity of the exhibits
# To ensure correct procedure is adopted in handling exhibits
# To minimise any potential for contamination or loss of evidence
# To maximise evidential potential from all recovered exhibits
# To maximise forensic intelligence harvest from all recorded exhibits

If no agreement, give details of appeal/alternative proposal:

Firearms support

Proposal:
# Firearms issues will be considered by accredited individuals from each agency to establish the most appropriate firearms response in accordance with Home Office Codes of Practice Police use of Firearms and Less Lethal Weapons (HOCOP). Manual of Guidance Police Use of Firearms (MOG PU of F), and National ACPO policy agreements with the NCS.
Grounds:

# Will provide safeguards to the public police and suspects.
# Will enable the command issues to be agreed in a command protocol (Chapter 4, 5.1 - 5.6 MOG PU of F).
# Will ensure that the planning meets the requirements of the - HOCOP and MOG PU of F (Chapter 4, 7 - 11.2, and Chapter 10)
# Will ensure that the deployment of firearms is considered at the appropriate command level within each agency.

If no agreement, give details of appeal/alternative proposal:

Financial investigation

Proposal:

# Each agency to conduct financial enquiries in support of intelligence, profiling and confiscation action to their agreed subjects, with regular liaison between the respective FIs.
# Investigations directly related to seizures to be conducted by the prosecuting agency, unless with the agreement of both SIOs.
# Proceeds of Crime Act investigations to be decided on a "case by case" basis.

Grounds:

# To maximise effective and efficient use of available resources.
# To avoid duplication of effort.

If no agreement, give details of appeal/alternative proposal:

Authorities

Proposal:

# Each agency undertakes to operate in accordance with the relevant legislation
# Each agency to obtain and maintain relevant authorities in respect of their activities
# Where appropriate each agency to provide the other agency with copies of authorities
# When required the agencies will assist in securing authorities for cross border deployments

NB In England and Wales other agencies authorities may be geographically restrictive It may be operationally more effective for NCS authorities to be sought.

Grounds:

# To ensure the lawful deployment of intelligence and evidence gathering techniques
# To ensure the admissibility of prosecution evidence
# To avoid discrepancies in disclosure material
# To ensure effective and efficient use of resources and operational co-operation

If no agreement, give details of appeal/alternative proposal:

Arrest, interview, prosecution & the exchange of evidence

Proposal:

# Arrest and Interview strategy
# Prosecution (for example, the prosecution of persons arrested will be undertaken in the jurisdiction deemed most suitable by the relevant prosecution agencies).
# Extradition (for example, requests submitted by one agency to another for the extradition of persons arrested will be considered by the relevant jurisdiction)
# Evidence (for example, requests by one agency for evidential material from the other agency will be expedited in a timely fashion and in accordance with the provisions of the mutual legal assistance treaty provisions shared by each jurisdiction.
# Evidence supplied from the National Crime Squad will be provided upon a letter of request via the Crown Prosecution Service)
# Jurisdiction for prosecution (for example, offences identified as having been committed within the UK will be prosecuted in the UK. Extradition of offenders from other countries will be considered on a case by case basis with the Crown Prosecution Service. Cash and other property identified within the UK and elsewhere will be subject to UK legislation, e.g. Drug Trafficking Act 1994)

Grounds:
 
If no agreement, give details of appeal/alternative proposal:

Source handling

Proposal:
# Any CHIS deployment will be managed in accordance with RIPA, National Guidelines and a separate Inter Agency MOU compiled between Authorising Officers or their equivalent.
Grounds:
# To ensure legal compliance and the integrity of the deployment of the CHIS
If no agreement, give details of appeal/alternative proposal:

Undercover operatives

Proposal:
# Any UC deployment will be managed in accordance with RIPA, National Guidelines and a separate Inter Agency MOU compiled between Authorising Officers or their equivalent.
Grounds:
# To ensure legal compliance and the integrity of the deployment of the UC.
If no agreement, give details of appeal/alternative proposal:

Operational security

Proposal:
# Agencies will designate an Operational Security Liaison Officer (OSLO) for their responsibilities under this OMOU. The Lead Agency OpSy will coordinate and advise OSLO activity.
Grounds:
# To reduce the likelihood of compromise to the operation and to respond appropriately in the event.
If no agreement, give details of appeal/alternative proposal:

Technical support

Proposal:

# Each agency will seek technical support from their Technical Support Departments
# Technical Support Units will provide mutual support as appropriate, with the with agreement of both agencies
# Any technical compromise will immediately be notified to the other agency

Grounds:

# To ensure effective and efficient use of available resources within both agencies
# To ensure both agencies have access to a wide range of equipment as required
# To avoid duplication
# To minimise further compromise and / or frustrate operational objectives

If no agreement, give details of appeal/alternative proposal:

Surveillance

Proposal:

# Each agency will seek to provide their own surveillance capability within the area of their primacy
# Each agency will deploy adequately trained staff
# Joint surveillance operations will be conducted with the agreement of both SIO's
# Joint surveillance objectives to be agreed in advance by both agencies, and a suitable operational commander identified to maintain control of the surveillance
# The agency with primacy has responsibility for ensuring that authorities are in place to cover the proposed activity
# Each agency will ensure appropriate risk assessments are in place
# Each agency will give due regard to Health & Safety
# Any relevant intelligence or information from the surveillance activity will be disseminated to the other agency

Grounds:

# Ensures the effective and efficient use of surveillance resources in both agencies
# Ensures full co-operation between both agencies
# Minimises the risk of compromise
# Minimises any potential ethical, operational or personal risks
# Minimises the potential of "blue on blue" scenario

If no agreement, give details of appeal/alternative proposal:

Military aid to the civil power

Proposal:
 
Grounds:
 
If no agreement, give details of appeal/alternative proposal:

Media strategy

Proposal:

# The lead agency SIO will agree a media strategy, in consultation with their Press office and the signatories, and provide a lead Press Officer.
# With the approval of the signatories the lead Press Officer will liaise with their contemporaries in the other agencies.

Grounds:
# To provide a coordinated media strategy which protects sensitive issues for all agencies.
If no agreement, give details of appeal/alternative proposal:

Health & Safety

Proposal:
# If National Crime Squad personnel are working under the direction and control of another agency, the National Crime Squad SIO must obtain a risk assessment from the other agency and be satisfied with the control measures in place. Likewise, the National Crime Squad must include personnel from other agencies in their own risk assessments and provide details of the hazards and control measures in place to the other agency.
Grounds:
 
If no agreement, give details of appeal/alternative proposal:

Fiscal & Administrative

Proposal:
 
Grounds:
 
If no agreement, give details of appeal/alternative proposal:

Other relevant issues

Proposal:
 
Grounds:
 
NB Please notify the NCS Operations Group when issues that fall into this category are identified for consideration of inclusion in future versions
If no agreement, give details of appeal/alternative proposal:

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Agreement

The signatories recognise that not withstanding the need to avoid duplications a multi-faceted and multi-agency approach can offer the best prospect of tackling organised crime successfully. This document is a record of the joint decisions made by the respective agencies in supporting this/these investigation(s) Each agency will honour these decisions subject to changes unforeseeable at this time which will be reviewed by the joint signatories at the earliest opportunity.

Full agreement has been reached.
Only partial agreement has been formulated.
No agreement has been formulated.

Operation name:Operation name:
Signature:Signature:
Name:Name:
Date:Date:

Lead Agency:

Location:

Because of the sensitive nature of this document, each signatory will undertake to retain one copy or the original only. The disclosure officer for the initiating agency will retain the original if agreement has not been reached.

REVIEWS

Review dates should be set when initial/full agreement is signed and subsequently repeated at regular intervals until operational debrief/closure.

Date Agreed for First Review:Result of Review:
Date Agreed for Second Review:Result of Review:

Date Reported for Monitoring:
(Not more than seven days after signing)

Noted:

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