Corporate Management Committee

Corporate Management Committee

Thursday 14 December 2017 at 7.30pm

Council Chamber Runnymede Civic Centre, Addlestone

Members of the Committee Councillors N H Prescot (Chairman), Miss M N Heath (Vice-Chairman), A Alderson, Mrs L M Gillham, Mrs J Gracey, Mrs G M Kingerley, D W Parr, Ms C M Simmons, M L Willingale and J J Wilson.

In accordance with Standing Order 29.1, any Member of the Council may attend the meeting of this Committee, but may speak only with the permission of the Chairman of the Committee, if they are not a member of this Committee.

AGENDA

Notes:

1) Any report on the Agenda involving confidential information (as defined by section 100A(3) of the Local Government Act 1972) must be discussed in private. Any report involving exempt information (as defined by section 100I of the Local Government Act 1972), whether it appears in Part 1 or Part 2 below, may be discussed in private but only if the Committee so resolves.

2) The relevant 'background papers' are listed after each report in Part 1. Enquiries about any of the Agenda reports and background papers should be directed in the first instance to Mr J Gurmin, Democratic Services Section, Law and Governance Business Centre, Runnymede Civic Centre, Station Road, Addlestone (Tel: Direct Line: 01932 425624). (Email: [email protected]).

3) Agendas and Minutes are available on a subscription basis. For details, please ring Mr B A Fleckney on 01932 425620. Agendas and Minutes for all the Council's Committees may also be viewed on www.runnymede.gov.uk.

‘see overleaf’

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mailto:[email protected]

http://www.runnymede.gov.uk/

4) In the unlikely event of an alarm sounding, members of the public should leave the building immediately, either using the staircase leading from the public gallery or following other instructions as appropriate.

5) Filming, Audio-Recording, Photography, Tweeting and Blogging of Meetings

Members of the public are permitted to film, audio record, take photographs or make use of social media (tweet/blog) at Council and Committee meetings provided that this does not disturb the business of the meeting. If you wish to film a particular meeting, please liaise with the Council Officer listed on the front of the Agenda prior to the start of the meeting so that the Chairman is aware and those attending the meeting can be made aware of any filming taking place.

Filming should be limited to the formal meeting area and not extend to those in the public seating area.

The Chairman will make the final decision on all matters of dispute in regard to the use of social media, audio-recording, photography and filming in the Committee meeting.

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LIST OF MATTERS FOR CONSIDERATION

PART I

Matters in respect of which reports have been made available for public inspection Page

1. FIRE PRECAUTIONS 4

2. NOTIFICATION OF CHANGES TO COMMITTEE MEMBERSHIP 4

3. APOLOGIES FOR ABSENCE 4

4. DECLARATIONS OF INTEREST 4

5. CORPORATE ACTION PLAN 2017/18 – QUARTER 2 PROGRESS 4

6. REGULATION OF INVESTIGATORY POWERS ACT 2000 – 2017 6 INSPECTION BY INVESTIGATORY COMMISSIONER’S OFFICE

7. EXCLUSION OF PRESS AND PUBLIC 9

PART II

Matters involving Exempt or Confidential Information in respect of which reports have not been made available for public inspection.

a) Exempt Information

8. RUNNYMEDE REGENERATION PROGRAMME – UPDATE 10

9. PRINTING CONTRACT EXTENSION 21

10. PROPOSED LEARNING AND DEVELOPMENT MANAGER 25

11. SERVICE CONTRACT PROCUREMENT – APPOINTMENT OF PREFERRED 28 BIDDER (TO FOLLOW)

b) Confidential Information

(No reports to be considered under this heading)

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1. FIRE PRECAUTIONS

The Chairman will read the Fire Precautions which set out the procedures to be followed in the event of fire or other emergency.

2. NOTIFICATION OF CHANGES TO COMMITTEE MEMBERSHIP

3. APOLOGIES FOR ABSENCE

4. DECLARATIONS OF INTEREST

If Members have an interest in an item, please record the interest on the form circulated with this Agenda and hand it to the Legal Representative or Committee Administrator at the start of the meeting. A supply of the form will also be available from the Committee Administrator at meetings.

Members are advised to contact the Council’s Legal section prior to the meeting if they wish to seek advice on a potential interest.

Members are reminded that a non pecuniary interest includes their appointment by the Council as the Council’s representative to an outside body and that this should be declared as should their membership of an outside body in their private capacity as a director, trustee, committee member or in another position of influence thereon.

Members who have previously declared interests which are recorded in the Minutes to be considered at this meeting need not repeat the declaration when attending the meeting. Members need take no further action unless the item in which they have an interest becomes the subject of debate, in which event the Member must leave the room if the interest is a disclosable pecuniary interest or if the interest could reasonably be regarded as so significant as to prejudice the Member’s judgement of the public interest.

Background papers

None stated

5. CORPORATE ACTION PLAN 2017/18 – QUARTER 2 PROGRESS (CORPORATE SERVICES)

Synopsis of report:

This report provides Members with an update on the Council’s performance against the Corporate Action Plan 2017/18.

For Quarter 2 (August-October for the Corporate Action Plan), of the 60 objectives relevant to this reporting period, 52 objectives have a green status, six objectives have an amber status, and two objectives have a red status. The Corporate Action Plan 2017/18 is therefore progressing well.

Recommendation:

For information

1. Context of report

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1.1 In July 2016, Corporate Management Committee approved the Council’s Corporate Business Plan 2016-2020. The Plan outlined our position in 2016, where we want to be, and how we plan to get there through four new themes: Supporting Local People, Enhancing Our Environment, Improving Our Economy, and Organisational Development. Each theme has a number of Corporate Priorities which the Council will aim to achieve over the period of the Plan. A Corporate Action Plan is then produced each year which has a number of objectives that aid progress towards the achievement of the Corporate Priorities.

1.2 The purpose of this report is to provide Members with an update on the Council’s performance against the Corporate Action Plan 2017/18. This report covers objectives that were either outstanding from a previous quarter, due to be completed by the end of Quarter 2, or are an ongoing objective. Progress against all the other objectives will be reported at the end of the quarter to which the objective’s deadline matches.

2. Report

2.1 Q2 (August-October) 2017/18 progress

2.1.1 Appendix ‘A’ shows the full table showing the status and associated comment for all objectives with an end of Quarter 2 deadline, are outstanding from Quarter 1, or are ongoing. In total, of the 60 objectives relevant to this reporting period, 52 have a green status which means they have either been completed in full or are on track to the level expected (if ongoing).

2.2.2 Objectives with an amber status

2.2.2.1 The following six objectives have made some progress, but less than expected.

Objective Comments/actions

To continue progress MR: The website has achieved the maximum rating with the current Web of 4 stars following the latest SOCITM review, Improvement Plan. putting this Council in the top 9% of local

authorities nationally. Implementation of the responsive website project has started although it is running slightly behind the initial project plan due to the supplier having issues in the implementation phase.

To implement agreed LN+SW: The updated standards have been customer service approved by Corporate Management Committee, standards across the but it is felt the Customer Services Team needs organisation. more time to settle before introducing the changes

across the organisation. Subject to stability being established in Customer Services, the standards will be implemented before the end of Q4.

To complete the first phase of Addlestone One.

JNR: Practical completion is planned for the end of Jan 2018.

To continue delivering a transparent and timely investigation of potential breaches of planning control.

CK: The priority of investigation into major breaches within the Green Belt and associated ongoing legal actions has diverted resources away from other investigations. While these high priority cases have been successfully actioned or resolved other long standing cases have been delayed.

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To introduce a formal inspection of cemetery memorials.

KC: DAC Notification of Advice has now been approved by Guilford Diocese and the faculty for a five year rolling program will be applied for once a starting date can be finalised (expected end of January 2018).

To complete all remaining Service-level Business Continuity Plans.

SW: All plans apart from Customer Service are now complete (this was given an extended deadline due to other priorities). The associated Equality Impact Assessments now need to be finalised following review.

2.2.3 Objectives with a red status

2.2.3.1 The following two objectives are still outstanding.

Objective Comments/actions

To deliver a promotional campaign around Hydration and Nutrition.

CH: Officers will be linking the campaign in with the Nutrition and Hydration Week in March 2018.

To review the Employment Stability Policy.

FS: Officers are awaiting publication of some deferred employment legislation in order to update appropriately.

3. Policy framework implications

3.1 The Corporate Action Plan identifies the objectives for the current year which will help achieve the Corporate Priorities in the Council’s Corporate Business Plan.

4. Resource implications

4.1 No additional resources are required to support progress at this time.

5. Conclusions

5.1 Given that 52 out of 60 objectives have a green status, six objectives have an amber status, and two objectives have a red status, it can be concluded that the Corporate Action Plan 2017/18 is currently progressing well.

(For information)

Background Papers

None stated

6. REGULATION OF INVESTIGATORY POWERS ACT 2000 - 2017 INSPECTION BY INVESTIGATORY POWERS COMMISSIONER’S OFFICE (LAW AND GOVERNANCE)

Synopsis of report:

To advise Members of the outcome of a recent inspection by the Investigatory Powers Commissioner’s Office and to endorse an updated Policy in this respect.

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Recommendation:

To recommend to Full Council that -

1. The outcome of the Inspection be noted. 2. The actions recommended in the Inspection Report be noted; and 3. An updated RIPA policy be adopted as set out in Appendix ‘C’.

1. Context of report

1.1 The Regulation of Investigatory Powers Act 2000 (RIPA) came into effect in September 2000 and seeks to protect a person’s human rights whilst ensuring that enforcement and security agencies can function effectively. RIPA sets out the statutory mechanism for covert surveillance and the use of covert human intelligence sources. The Council has a policy in place to govern its use of these powers.

1.2 Until 1 September 2017 the Office of the Surveillance Commissioner (“OSC”) carried out routine inspections of all public bodies to ensure their compliance with the requirements of RIPA. On 1 September 2017, this passed to the Investigatory Powers Commissioner’s Office (IPCO).

2. Report

2.1 The Council is involved in day to day enforcement functions including those associated with environmental protection, with planning enforcement, anti-social behaviour and fraud investigation. Surveillance evidence in support of these enforcement actions may only be valid if it is obtained by lawful means, if the conduct has been properly authorised and is considered to be necessary, proportionate and in accordance with the law.

2.2 Periodic inspections of public bodies which can exercise such powers were historically carried out by the OSC. As mentioned above from September 2017 this function was passed to the IPCO. The Council was last inspected in 2014 and the outcome of that inspection was reported to this Committee in December 2014.

2.3 On the 25 July 2017 the Council was advised that it had become apparent in recent years that for a variety of reasons, including reduced resources and greater access to data-matching and overt rather than covert law enforcement, authorities like the Council have granted far fewer RIPA authorisations. Some indeed have granted none at all during the last three years. Bearing this in mind, the Chief Surveillance Commissioner, the Rt Hon Lord Judge, had decided that a more flexible approach to the arrangements for IPCO inspections of District and Borough Councils, and free-standing Fire and Rescue Services should be adopted. Where appropriate, such inspections would be based on an examination of the relevant documentation, without a visit by one of the Surveillance Inspectors or Assistant Surveillance Commissioners. The 2017 inspection of the Council was conducted on such a basis. The approach taken was for the Council to provide the nominated inspector with various documents and they undertook a ‘desktop inspection’.

2.4 Mrs Grainne Athorn (“Inspector”) carried out a paper exercise and concluded that a full inspection was not required. She did however make a number of comments and recommendations. A copy of the covering letter from The Rt Hon. Lord Judge dated 5 September 2017 and the Inspector’s report setting out her findings and recommendations are at Appendix ‘B’.

2.3 The inspection report, dated 9 August 2017, acknowledged that the two recommendations made following the previous inspection in August 2014 had been

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discharged, that refresher training had been delivered and the RIPA policy had been amended to include guidance concerning the use of social media.

2.4 The Inspector did however note that there had not been an authorisation for directed surveillance since the last inspection. The Council was consequently not a significant user of the powers vested under RIPA but has sound procedures in place should there be a need to utilise the legislation. The Inspector did make six recommendations:

2.4.1 The Council amend the section in the RIPA Policy on the use of Covert Human Intelligence Sources (CHIS) to require the appointment of a ‘CHIS Handler’.

2.4.2 The Council amends its RIPA Policy to make clear no oral authorisations can be granted.

2.4.3 The Council amends its RIPA Policy to make clear that a risk assessment must be completed prior to the authorization and deployment of a CHIS and be updated during their deployment.

2.4.4 The Council amends its RIPA Policy to make clear that an application for a renewal of a RIPA authorisation must be made in writing.

2.4.5 The Council amends its RIPA Policy to make clear that an RIPA authorisation must not be allowed to expire and must be cancelled.

2.4.6 The Council’s RIPA Policy be further enhanced when dealing with the acessing of private information available on the internet and social media by the introduction of control measures to ensure that should it become necessary to utilise online covert identities/pseudonyms, these will be centrally logged and a record made of what research activity is conducted, details of which should be reported to the relevant Authorising Officer during routine reviews or, where applicable, a cancellation.

2.5 The Council’s existing policy has accordingly been updated and a draft of the proposed new policy is at Appendix ‘C’. Alterations to the existing policy are shown in red in the draft proposed new policy at Appendix ‘C’.

3. Policy framework implications

3.1 If the Council is involved in any proceedings before a Court, the Council must be able to show that it has acted lawfully and that it has gathered evidence properly. The existence of a formal Policy and Procedure that governs the process assists with the verification of that evidence.

4. Resource implications

4.1 RIPA powers would be used by Officers as part of their normal duties and therefore no additional resources would be required.

5. Legal implications

5.1 The Council can only use the powers it has under RIPA to investigate alleged crimes that are punishable by a maximum term of at least six months imprisonment or which relate to the sale of alcohol or tobacco to children. As indicated in the body of the report it has not had cause to use the powers since the last inspection in 2014. If there was cause to use such powers they would need to be authorised in accordance with the requirements set out in the Council’s RIPA Policy.

6. Equality implications

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6.1 An Equality Impact screening exercise has been undertaken in respect of previous versions of the Policy document. It is not anticipated that the new draft Policy, if endorsed and implemented, will have any disproportionate impact on any group or individual with any protected characteristic.

7. Conclusions

7.1 The adoption by the Council of a RIPA Policy which complies with legal requirements and reflects recommendations made by the IPCO will enable it to exercise such surveillance powers in a lawful manner and ensure public confidence in the use of such powers by a public body.

(To recommend)

Background papers

None stated

7. EXCLUSION OF PRESS AND PUBLIC

OFFICERS' RECOMMENDATION that –

the press and public be excluded from the meeting during discussion of the following reports under Section 100A(4) of the Local Government Act 1972 on the grounds that the reports in question would be likely to involve disclosure of exempt information of the description specified in paragraphs 1 and 3 of Part 1 of Schedule 12A of the Act.

(To resolve)

PART II

Matters involving Exempt or Confidential information in respect of which reports have not been made available for public inspection

a) Exempt Information Paras

8. RUNNYMEDE REGENERATION PROGRAMME - UPDATE 3

9. PRINTING CONTRACT EXTENSION 3

10. PROPOSED LEARNING AND DEVELOPMENT MANAGER 1 and 3

11. SERVICE CONTRACT PROCUREMENT – APPOINTMENT OF PREFERRED 3 BIDDER (TO FOLLOW)

Confidential Information

(No reports to be considered under this heading)

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CORPORATE MANAGEMENT COMMITTEE

14 DECEMBER 2017

APPENDICES APPENDIX REPORT PAGE NO

A CORPORATE ACTION PLAN – QUARTER 2 PROGRESS 1

B RIPA INSPECTION – COVERING LETTER AND REPORT 10

C DRAFT PROPOSED NEW RIPA POLICY 19

K:\Agendas\Corporate Management Committee\2017\12\Appendices 141217.docx

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/old

er p

eopl

e, s

o th

e ta

rget

has

bee

n ex

ceed

ed.

DW

: Mee

tings

bet

wee

n D

irect

ors

and

Mem

bers

of

each

aut

horit

y ha

ve ta

ken

plac

e be

twee

n Q

1-Q

3.

To c

ontin

ue to

sup

port

the

impr

ovem

ent o

f loc

al

leis

ure

activ

ities

.

i) To

ach

ieve

300

+ ch

ildre

n/yo

ung

peop

le ta

king

par

t in

the

Surre

y Yo

uth

Gam

es tr

aini

ng p

rogr

amm

e w

ith 1

70+

at th

e ev

ent.

By th

e en

d of

Q

2 SB

: 405

you

ng p

eopl

e to

ok p

art i

n th

e Su

rrey

Yout

h G

ames

trai

ning

, and

200

repr

esen

ted

Run

nym

ede

at th

e ev

ent i

tsel

f

3

To ta

ke o

ppor

tuni

ties

for

expa

ndin

g ou

r co

nsul

tatio

n pr

ogra

mm

e w

ith lo

cal p

eopl

e as

re

sour

ces

allo

w.

i)To

mai

ntai

n a

Citi

zens

Pan

el.

ii) T

o un

derta

ke a

dditi

onal

co

nsul

tatio

n as

reso

urce

s al

low

.

Ong

oing

Ong

oing

SW: T

here

are

cur

rent

ly 6

6 pe

ople

on

our C

itize

ns

Pane

l mai

ling

list w

ho a

re a

ged

betw

een

33-8

3,

cove

ring

all t

he m

ain

tow

ns a

nd v

illage

s in

the

Boro

ugh.

We

cons

ult w

ith y

oung

er p

eopl

e se

para

tely

as

requ

ired.

SW

: In

Q2,

we

have

und

erta

ken

cons

ulta

tion

for a

ne

w A

nti-S

ocia

l Beh

avio

r Pol

icy,

plu

s th

e lo

ss o

f the

m

anag

emen

t fee

con

tribu

tion

from

SC

C fo

r tho

se in

IR

L sc

hem

es o

n H

ousi

ng B

enef

it.

To c

ontin

ue d

evel

opin

g ou

r web

site

for

com

mun

icat

ing

and

trans

actin

g w

ith

resi

dent

s, b

usin

esse

s an

d ot

her s

take

hold

ers.

i)To

cont

inue

pro

gres

s w

ith th

e cu

rrent

Web

Impr

ovem

ent P

lan.

O

ngoi

ng

MR

: The

web

site

has

ach

ieve

d th

e m

axim

um ra

ting

of 4

sta

rs fo

llow

ing

the

late

st S

ocitm

revi

ew, p

uttin

g th

is c

ounc

il in

the

top

9% o

f loc

al a

utho

ritie

s na

tiona

lly.

Impl

emen

tatio

n of

the

resp

onsi

ve

web

site

pro

ject

has

sta

rted

alth

ough

it is

runn

ing

slig

htly

beh

ind

the

initi

al p

roje

ct p

lan

due

to th

e su

pplie

r hav

ing

issu

es in

the

impl

emen

tatio

n ph

ase.

To

con

tinue

dev

elop

ing

our c

usto

mer

ser

vice

ac

ross

the

Cou

ncil.

i)To

impl

emen

t tel

epho

ny

impr

ovem

ents

, inc

ludi

ng re

view

of

IVR

and

cal

l rec

ordi

ng.

ii) T

o ha

ve a

n ap

prov

ed C

usto

mer

Se

rvic

e St

rate

gy a

nd

Impr

ovem

ent P

lan.

iii)

To im

plem

ent a

gree

d cu

stom

er

serv

ice

stan

dard

s ac

ross

the

orga

nisa

tion.

iv) T

o in

vest

igat

e op

tions

for

trans

actio

nal e

nhan

cem

ents

in

clud

ing

on-li

ne b

ooki

ng s

yste

m,

expa

nsio

n of

on-

line

form

s an

d ba

ck o

ffice

inte

grat

ion

By th

e en

d of

Q

1

By th

e en

d of

Q

2

By th

e en

d of

Q

2

By th

e en

d of

Q

2

LN: N

ew s

oftw

are

incl

udin

g vo

icem

ail f

acilit

y an

d ne

w IV

R ro

utin

g in

stal

led

Oct

ober

201

7 an

d st

aff

train

ing

unde

rtake

n N

ovem

ber 1

7.

LN: C

usto

mer

Ser

vice

Stra

tegy

and

ass

ocia

ted

plan

ap

prov

ed b

y M

embe

rs in

Jul

y 17

.

LN+S

W: T

he u

pdat

ed s

tand

ards

hav

e be

en

appr

oved

by

CM

C, b

ut it

is fe

lt th

e C

usto

mer

Se

rvic

es T

eam

nee

ds m

ore

time

to s

ettle

bef

ore

intro

duci

ng th

e ch

ange

s ac

ross

the

orga

nisa

tion.

Su

bjec

t to

stab

ility

bein

g es

tabl

ishe

d in

Cus

tom

er

Serv

ices

, the

sta

ndar

ds w

ill be

impl

emen

ted

befo

re

the

end

of Q

4.

LN: C

RM

and

on-

line

porta

l pro

cure

d Se

ptem

ber

17.

Softw

are

bein

g de

velo

ped

with

pha

se 1

(e-

billin

g) d

ue to

go

live

by e

nd o

f Q4.

To ta

ke o

ppor

tuni

ties

for

impr

ovin

g th

e sa

fety

of

our r

esid

ents

and

vis

itors

.

i)To

iden

tify

oppo

rtuni

ties

to

deve

lop

and

expa

nd th

e ex

istin

g C

CTV

sys

tem

.

ii)To

fulfi

l our

Pre

vent

dut

ies.

Ong

oing

Ong

oing

LB: R

BC h

ave

been

invi

ted

to a

ttend

a S

urre

y-w

ide

CC

TV P

roje

ct B

oard

, spo

nsor

ed b

y Su

rrey

Polic

e,

on 2

9/11

/17.

Rep

rese

ntat

ions

will

be m

ade

to h

ave

Safe

r Run

nym

ede

act a

s a

poss

ible

cou

nty

hub.

SS

ar: T

he a

nnua

l tra

inin

g ha

s be

en d

eliv

ered

to

rele

vant

sta

ff, a

nd th

e M

embe

rs w

ho w

ishe

d to

vo

lunt

arily

rece

ive

train

ing.

4

iii) T

o co

ntin

ue im

plem

entin

g th

e N

atio

nal F

ood

Hyg

iene

Rat

ing

Sche

me.

Ong

oing

H

J: S

chem

e co

ntin

ues

to b

e im

plem

ente

d. T

he

focu

s ov

er th

e ne

xt s

ix m

onth

s w

ill be

to c

ontin

ue

redu

cing

and

pre

vent

ing

the

recu

rrenc

e of

leve

l 0, 1

an

d 2

rate

d pr

emis

es.

This

will

be im

prov

ed a

s w

e ar

e no

w c

harg

ing

£150

for F

HR

S re

visi

ts. T

here

fore

as

pay

men

t is

mad

e, it

is e

xpec

ted

that

ow

ners

hip

for m

aint

aini

ng s

tand

ards

follo

win

g ro

utin

e in

spec

tion

will

be s

een

and

long

-term

sta

ndar

ds

impr

oved

. To

dev

elop

our

co

llabo

rativ

e w

ork

with

th

e vo

lunt

ary

sect

or a

nd

prov

ide

mor

e fu

ndin

g as

re

sour

ces

allo

w.

i)To

mai

ntai

n ou

r goo

d re

latio

nshi

ps w

ith th

e vo

lunt

ary

sect

or.

ii)To

sup

port

the

volu

ntar

y se

ctor

as

reso

urce

s al

low

.

Ong

oing

Ong

oing

SStr:

Fol

low

ing

a St

reng

then

ing

the

Volu

ntar

y Se

ctor

Tas

k G

roup

bei

ng s

et u

p w

ith V

olun

tary

Se

rvic

es N

orth

Sur

rey

and

Run

nym

ede

and

Spel

thor

ne B

orou

gh C

ounc

ils, t

he R

unny

med

e C

ompa

ct (a

n ag

reem

ent b

etw

een

Gov

ernm

ent a

nd

the

volu

ntar

y se

ctor

) tha

t im

prov

es o

ur re

latio

nshi

p fo

r mut

ual a

dvan

tage

has

bee

n re

view

ed.

An

actio

n pl

an is

bei

ng s

ubm

itted

for C

omm

unity

Se

rvic

es C

omm

ittee

to a

ppro

ve s

hortl

y.

SStr

and

CH

o: O

ffice

rs a

re c

urre

ntly

revi

ewin

g

othe

r cou

ncils

’ ren

t pol

icie

s fo

r the

third

sec

tor w

ith

a vi

ew to

com

plet

ing

the

rent

revi

ews

by th

e en

d of

th

e ye

ar a

s ag

reed

with

Mem

bers

. To

con

tinue

in o

ur

ende

avou

rs to

sup

port

the

ambi

tions

of r

esid

ents

an

d bu

sine

sses

whe

re it

se

rves

the

grea

ter g

ood

of th

e co

mm

unity

.

i)To

prov

ide

good

qua

lity

timel

y re

spon

ses

to p

re-a

pplic

atio

n en

quiri

es.

ii)To

mee

t or e

xcee

d th

e pl

anni

ng

appl

icat

ion

times

cale

targ

ets.

iii)

To

mee

t or e

xcee

d de

term

inin

g ap

plic

atio

ns fo

r bui

ldin

g re

gula

tion

appr

oval

with

in th

e tim

esca

le

targ

et.

Ong

oing

Ong

oing

Ong

oing

CK:

The

pre

-app

licat

ion

serv

ice

has

been

enh

ance

d of

ferin

g a

broa

der r

ange

of s

ervi

ces

and

the

new

of

ferin

g co

mm

ence

d in

Sep

tem

ber 2

017.

C

K: A

ll as

soci

ated

Q2

plan

ning

per

form

ance

in

dica

tor t

arge

ts h

ave

been

exc

eede

d.

DJ:

100

% o

f Bui

ldin

g R

egul

atio

n ap

plic

atio

ns

dete

rmin

ed w

ithin

sta

tuto

ry ti

me

perio

d, 8

3% o

f ap

plic

atio

ns d

eter

min

ed w

ithin

10

wor

king

day

s –

targ

et 8

0%.

Enha

ncin

g O

ur E

nviro

nmen

t C

orpo

rate

Prio

rity

Key

ass

ocia

ted

obje

ctiv

e(s)

D

eadl

ine

Stat

us

Lead

Offi

cer a

nd c

omm

ent

To ta

ke o

ppor

tuni

ties

to

mak

e th

e lo

cal

envi

ronm

ent m

ore

sust

aina

ble.

i) To

del

iver

the

Yello

w B

us

Sche

me.

O

ngoi

ng

JS: W

e ar

e co

ntin

uing

to d

eliv

er th

e co

ntra

ct v

ia

Firs

t Gro

up s

ervi

ng fo

ur s

econ

dary

sch

ools

in th

e Bo

roug

h.

5

To p

roac

tivel

y se

ek

oppo

rtuni

ties

for

rege

nera

tion

in th

e Bo

roug

h to

ass

ist w

ith

plac

e sh

apin

g an

d th

e en

hanc

emen

t of t

he b

uilt

envi

ronm

ent.

i)To

com

plet

e th

e fir

st p

hase

of

Addl

esto

ne O

ne.

ii) T

o co

nclu

de w

heth

er

Run

nym

ede

Plea

sure

Gro

und

has

a vi

able

bus

ines

s ca

se.

By th

e en

d of

Q

2 By

the

end

of

Q2

JNR

: Pr

actic

al c

ompl

etio

n is

pla

nned

for t

he e

nd o

f Ja

n 20

18.

PW: T

he B

usin

ess

Plan

for R

unny

med

e Pl

easu

re

Gro

unds

refu

rbis

hmen

t was

app

rove

d by

C

omm

unity

Ser

vice

s C

omm

ittee

in S

epte

mbe

r 20

17. F

undi

ng fo

r the

pro

ject

was

sub

sequ

ently

ap

prov

ed b

y C

orpo

rate

Man

agem

ent C

omm

ittee

an

d Fu

ll C

ounc

il in

Oct

ober

. i)T

o in

vest

igat

e ne

w o

ppor

tuni

ties

for s

ervi

ce d

eliv

ery

(by

the

Cou

ncil)

to n

ewly

acq

uire

d co

rpor

ate

prop

erty

in o

rder

to

gene

rate

add

ition

al in

com

e.

Ong

oing

JN

R: T

o da

te c

ontra

cts

for A

ddle

ston

e O

NE

with

in

tern

al s

uppl

iers

of s

ervi

ces

have

bee

n ag

reed

for

CC

TV m

anag

emen

t / m

aint

enan

ce a

nd F

M

Serv

ices

whi

ch a

re w

orth

mor

e th

at £

100K

p.a

. Fo

r Eg

ham

Bus

ines

s Pa

rk a

nd th

e br

oade

r Tho

rpe

Indu

stria

l Est

ate

mar

ket r

esea

rch

is b

eing

un

derta

ken

to id

entif

y su

ppor

t for

a b

us s

ervi

ce

prov

ided

from

Egh

am R

ail S

tatio

n to

the

Park

usi

ng

Com

mun

ity S

ervi

ces

Tran

spor

t. To

mai

ntai

n an

d in

crea

se

our a

sset

por

tfolio

. i)

To a

cqui

re s

ound

new

in

vest

men

ts th

at a

re w

ithin

bud

get

for t

he p

urpo

se o

f ong

oing

inco

me

gene

ratio

n.

Ong

oing

JN

R: T

o da

te th

is h

as c

reat

ed £

11.0

8M o

f new

gr

oss

inco

me.

The

pur

chas

es re

pres

ent a

ble

nded

gr

oss

yiel

d of

5.4

75%

. Bu

t in

addi

tion

with

the

asse

ts u

nder

con

stru

ctio

n an

d ag

reed

pur

chas

es, a

fu

rther

£50

M h

as b

een

allo

cate

d th

at w

ill cr

eate

a

furth

er £

2.5M

of i

ncom

e. S

o, th

e to

tal n

ew g

ross

in

com

e is

£13

.58M

, a b

lend

ed g

ross

yie

ld o

f 5.

445%

, wel

l abo

ve th

e ta

rget

5%

and

with

in th

e £6

00M

allo

cate

d ca

pita

l bud

get.

Prop

erty

ac

quis

ition

s ar

e th

eref

ore

prog

ress

ing

in li

ne w

ith

the

Stra

tegy

and

als

o th

e so

und

due

dilig

ence

m

etho

ds a

gree

d w

ith M

embe

rs.

To c

ontin

ue d

evel

opin

g ou

r com

mun

ity re

silie

nce

to e

ffect

ivel

y as

sist

in a

n em

erge

ncy.

i)To

mai

ntai

n re

latio

nshi

ps w

ith

the

exis

ting

mem

bers

of t

he

Com

mun

ity R

esilie

nce

Net

wor

k.

ii) T

o de

velo

p th

e C

omm

unity

R

esilie

nce

Net

wor

k to

ass

ist a

n em

erge

ncy

resp

onse

.

Ong

oing

Ong

oing

SW: T

wo

even

ts h

ave

been

hel

d re

cent

ly to

sup

port

the

Com

mun

ity R

esilie

nce

Gro

ups;

one

for t

he

exis

ting

Thor

pe &

Egh

am G

roup

to d

emon

stra

te th

e w

ork

they

hav

e be

en d

oing

and

to e

ngag

e ne

w

mem

bers

, and

ano

ther

eve

nt in

whi

ch a

n ou

tsid

e co

mm

unity

gro

up d

eliv

ered

a p

rese

ntat

ion

on g

ood

prac

tice

. Fur

ther

sup

port

was

als

o pr

ovid

ed to

de

velo

p th

eir c

omm

unity

floo

d pl

ans

at th

is e

vent

, in

whi

ch t

en R

unny

med

e gr

oups

atte

nded

. To

revi

ew a

nd s

uppo

rt th

e de

liver

y of

the

coun

ty

and

regi

onal

In

frast

ruct

ure

Stra

tegi

es.

i) To

sup

port

SCC

in re

view

ing

the

coun

ty In

frast

ruct

ure

Stra

tegy

. By

the

end

of

Q2

RR

: Cur

rent

SC

C In

frast

ruct

ure

Stud

y w

as

publ

ishe

d Ja

n 20

17 b

ut b

ased

on

grow

th c

onte

xt

July

201

5. S

CC

reco

gnis

es n

eed

for u

pdat

e to

re

flect

em

ergi

ng L

ocal

Pla

ns.

RBC

inpu

tted

into

6

wor

ksho

p to

dis

cuss

upd

ate

of s

tudy

in A

pril

2017

. SC

C a

wai

ting

final

ised

repo

rt fro

m A

ECO

M.

i)To

supp

ort t

he d

eliv

ery

of th

e co

unty

Infra

stru

ctur

e St

rate

gy.

ii)To

sup

port

the

deliv

ery

of th

e re

gion

al In

frast

ruct

ure

Stra

tegy

.

Ong

oing

Ong

oing

RR

: RBC

has

ong

oing

invo

lvem

ent i

n a

num

ber o

f st

rate

gic

infra

stru

ctur

e pr

ojec

ts c

onta

ined

in S

CC

In

frast

ruct

ure

Plan

. Ong

oing

con

sulta

tion

with

va

rious

tran

spor

t sta

keho

lder

s is

taki

ng p

lace

to

ensu

re d

eliv

ery.

R

R: T

fSE

curre

ntly

ope

rate

s as

a s

hado

w b

ody.

Th

e in

tent

ion

is th

at, w

ith G

over

nmen

t app

rova

l, it

will

begi

n fu

ll op

erat

ion

in 2

020.

To

revi

ew o

ur

enfo

rcem

ent w

ork,

and

m

anag

e pl

anni

ng

brea

ches

, fly

tipp

ing

and

othe

r env

ironm

enta

l cr

imes

robu

stly

and

pr

oact

ivel

y.

i)To

cont

inue

del

iver

ing

a tra

nspa

rent

and

tim

ely

inve

stig

atio

n of

pot

entia

l bre

ache

s of

pla

nnin

g co

ntro

l.

ii) T

o co

ntin

ue u

nder

taki

ng ti

mel

y in

vest

igat

ion

of u

naut

horis

ed

wor

ks a

nd p

oten

tial b

reac

hes

of

build

ing

regu

latio

ns.

Ong

oing

Ong

oing

CK:

The

prio

rity

of in

vest

igat

ion

into

maj

or b

reac

hes

with

in th

e G

reen

Bel

t and

ass

ocia

ted

ongo

ing

lega

l ac

tions

has

div

erte

d re

sour

ces

away

from

oth

er

inve

stig

atio

ns. W

hile

thes

e hi

gh p

riorit

y ca

ses

have

be

en s

ucce

ssfu

lly a

ctio

ned

or re

solv

ed o

ther

long

st

andi

ng c

ases

hav

e be

en d

elay

ed.

DJ:

All

rele

vant

una

utho

rised

wor

ks w

ith th

e ex

cept

ion

of o

ne w

hich

is s

till u

nder

inve

stig

atio

n,

loca

ted

durin

g th

e pr

evio

us q

uarte

r hav

e su

bmitt

ed

Build

ing

Reg

ulat

ion

appi

catio

ns.

To c

ontin

ue m

aint

aini

ng

the

serv

ices

in o

ur w

ell

rega

rded

ope

n sp

aces

.

i) To

intro

duce

a fo

rmal

insp

ectio

n of

cem

eter

y m

emor

ials

.

ii)To

inst

all a

new

pla

y sp

ace

in

Mar

shal

l Pla

ce.

By th

e en

d of

Q

1

By th

e en

d of

Q

2

KC: D

AC N

otifi

catio

n of

Adv

ice

has

now

bee

n ap

prov

ed b

y G

uilfo

rd D

ioce

se a

nd th

e fa

culty

for a

fiv

e ye

ar ro

lling

prog

ram

will

be a

pplie

d fo

r onc

e a

star

ting

date

can

be

final

ised

(exp

ecte

d en

d of

Jan

20

18).

JH: T

he n

ew p

lay

spac

e ha

s be

en s

ucce

ssfu

lly

inst

alle

d.

iii) T

o co

ntin

ue p

rogr

essi

ng th

e di

gita

l map

ping

of t

he C

ounc

il’s

trees

.

Ong

oing

C

B+PS

: 19

are

as h

ave

now

bee

n su

rvey

ed,

aver

age

of o

ne p

er w

eek;

GIS

team

con

tinue

to

uplo

ad e

ach

set o

f dat

a, a

s ne

w a

reas

are

iden

tifie

d an

d su

rvey

ed.

7

Impr

ovin

g O

ur E

cono

my

Cor

pora

te P

riorit

y K

ey a

ssoc

iate

d ob

ject

ive(

s)

Dea

dlin

e St

atus

Le

ad O

ffice

r and

com

men

t

To c

olla

bora

tivel

y w

ork

with

Loc

al E

nter

pris

e Pa

rtner

ship

s, C

ham

bers

of

Com

mer

ce, R

unny

med

e Bu

sine

ss P

artn

ersh

ip, a

nd

othe

r loc

al a

utho

ritie

s to

m

axim

ise

reso

urce

s.

i)To

cont

inue

liai

sing

with

the

busi

ness

com

mun

ity, i

nclu

ding

R

unny

med

e Bu

sine

ss

Partn

ersh

ip, S

urre

y C

ount

y C

ounc

il’s E

cono

my

Team

, EM

3 Lo

cal E

nter

pris

e Pa

rtner

ship

an

d U

KTI t

o ob

tain

fun

ding

for

Run

nym

ede.

Ong

oing

R

R: J

oint

Run

nym

ede/

Spel

thor

ne/E

lmbr

idge

bu

sine

ss e

vent

spo

nsor

ed b

y D

IT to

ok p

lace

20

Sept

embe

r 201

7.

To fa

cilit

ate

addi

tiona

l bu

sine

ss s

uppo

rt fo

r loc

al

busi

ness

es.

i) To

del

iver

at l

east

one

Bu

sine

ss L

eade

rs D

inne

r to

furth

er d

evel

op o

ur re

latio

nshi

ps

with

loca

l bus

ines

ses.

By th

e en

d of

Q

2 R

R: T

wo

Busi

ness

Lea

ders

Din

ners

hav

e be

en

succ

essf

ully

del

iver

ed.

ii)To

con

tinue

sup

porti

ng a

nd

prom

otin

g th

e re

gion

al G

row

th

Hub

.

Ong

oing

R

R: I

nstig

ated

allia

nce

betw

een

EM3

LEP

Gro

wth

H

ub a

nd R

egus

cen

tres

to p

rovi

de b

usin

ess

clin

ics

at R

egus

cen

tres

in R

unny

med

e. G

row

th H

ub h

ave

visi

ted

Reg

us a

t Rou

rke

Hou

se a

nd a

ttend

ed th

eir

laun

ch a

t the

end

of O

ctob

er.

Offi

cers

will

also

or

gani

se a

net

wor

king

ses

sion

in th

e N

ew Y

ear t

o sh

owca

se th

e G

row

th H

ub to

thei

r clie

nts

with

a

view

to s

tarti

ng b

usin

ess

clin

ics

in 2

018.

Fin

anci

ng

for t

he G

row

th H

ub h

as b

een

exte

nded

by

EM3

LEP

until

Oct

ober

201

8. F

urth

er d

iscu

ssio

ns w

ill be

he

ld w

ith G

row

th H

ub o

ver f

utur

e fin

anci

ng o

f bu

sine

ss s

uppo

rt in

the

Boro

ugh

to c

ompl

emen

t an

d bu

ild o

n su

ppor

t pla

nned

for t

he E

nter

pris

e Zo

ne.

To s

uppo

rt pr

ojec

ts w

hich

im

prov

e th

e in

tegr

atio

n of

ro

ad a

nd ra

il to

redu

ce

cong

estio

n.

i)To

cont

inue

liai

sing

with

the

busi

ness

com

mun

ity, i

nclu

ding

R

unny

med

e Bu

sine

ss

Partn

ersh

ip, S

urre

y C

ount

y C

ounc

il’s E

cono

my

Team

, EM

3 Lo

cal E

nter

pris

e Pa

rtner

ship

, th

e G

row

th H

ub, a

nd U

KTI t

o ap

ply

for r

elev

ant f

undi

ng.

ii) T

o co

mpl

ete

rele

vant

tra

nspo

rt co

nsul

tatio

ns in

ord

er

to lo

bby

for R

unny

med

e’s

inte

rest

s.

Ong

oing

Ong

oing

RR

: Joi

nt H

ousi

ng In

frast

ruct

ure

Fund

(HIF

) bid

for

£100

milli

on s

ubm

itted

for A

320

upgr

ade

in

Sept

embe

r 201

7. T

his

is a

join

t bid

with

Sur

rey

Hea

th B

C, W

okin

g BC

and

Sur

rey

CC

for a

fe

asib

ility

stud

y cu

rrent

ly to

look

at c

ost o

f req

uire

d m

itiga

tion

on A

320.

RR

: Lia

ison

has

take

n pl

ace

with

Cre

st N

icho

lson

, EM

3 LE

P, a

nd S

CC

for t

here

to p

oten

tially

be

a jo

int c

onsu

ltatio

n re

spon

se to

SW

Rai

lway

s pr

opos

ed 2

018

timet

able

. In

addi

tion

ther

e ha

s al

so

been

an

initi

al d

iscu

ssio

n he

ld w

ith a

repr

esen

tativ

e

8

from

SW

R to

rais

e co

ncer

ns, i

t has

bee

n ad

ded

to

the

agen

da fo

r dis

cuss

ion

at th

e ne

xt R

BP S

teer

ing

Gro

up m

eetin

g, a

nd it

is o

n th

e C

ounc

il w

ebsi

te’s

ne

ws

spin

ner t

o m

ake

the

publ

ic a

war

e. F

inal

ly,

ther

e ha

s be

en a

resp

onse

sub

mitt

ed fo

r the

M25

Ac

cess

ibilit

y an

d In

tegr

atio

n St

udy

and

the

Net

wor

k R

ail c

onsu

ltatio

n on

Wes

sex

Rou

te d

eliv

ery.

To

con

tinue

sup

porti

ng th

e Su

rrey

Gro

wth

Nar

rativ

e pr

ojec

t in

prom

otin

g th

e ar

ea to

attr

act n

ew

busi

ness

es a

s w

ell a

s re

tain

exi

stin

g bu

sine

sses

.

i)To

cont

inue

ong

oing

liai

son

with

Sur

rey

Gro

wth

Nar

rativ

e st

aff.

Ong

oing

R

R: T

here

was

a jo

int p

rom

otio

n st

and

at M

IPIM

(p

rope

rty m

arke

t exh

ibiti

on in

Lon

don)

whe

re w

e pr

omot

ed L

ongc

ross

and

Egh

am to

wn

cent

re a

s de

velo

pmen

t site

s.

To re

duce

the

reta

il an

d le

isur

e ex

pend

iture

le

akag

e fro

m R

unny

med

e in

to th

e su

rroun

ding

are

a th

roug

h th

e pr

ovis

ion

of

rege

nera

tion

sche

mes

in

the

Boro

ugh’

s m

ain

cent

res

whi

ch e

nhan

ce th

eir r

etai

l an

d le

isur

e of

fer.

i)To

cont

inue

adm

inis

trativ

e su

ppor

t for

the

Egha

m T

own

Team

. ii)

To s

uppo

rt th

e de

liver

y of

SC

C/L

EP le

ad R

unny

med

e R

ound

abou

t and

Egh

am

Sust

aina

bilit

y Pa

ckag

e pr

ojec

ts.

Ong

oing

Ong

oing

RR

: Stil

l ong

oing

.

RR

: Offi

cers

hav

e he

lped

com

mun

icat

e th

e im

plem

enta

tion

of w

orks

for R

unny

med

e R

ound

abou

t to

larg

e bu

sine

sses

in th

e im

med

iate

ar

ea.

The

EDM

is a

lso

wor

king

with

the

Busi

ness

R

ates

Man

ager

to tr

y to

coo

rdin

ate

com

mun

icat

ion

with

the

Valu

atio

n O

ffice

Age

ncy

and

com

pani

es in

th

e ar

ea a

ffect

ed b

y th

e w

orks

. To

enc

oura

ge e

njoy

men

t of

the

hist

oric

env

ironm

ent a

s pa

rt of

the

Cou

ncil’s

leis

ure

and

tour

ism

offe

r.

i)To

wor

k m

ore

clos

ely

with

Vis

it Su

rrey

to p

rom

ote

the

tour

ism

of

fer o

f the

Bor

ough

.

Ong

oing

C

H: V

isit

Surre

y lin

ks a

re g

ood

and

we

are

atte

ndin

g re

gula

r Bor

ough

& D

istri

ct m

eetin

gs.

To s

uppo

rt th

e de

velo

pmen

t of t

he

Boro

ugh’

s En

terp

rise

Zone

at

Lon

gcro

ss P

ark.

i)To

cons

ider

inve

stm

ent o

ptio

ns

for t

he E

nter

pris

e Zo

ne.

Ong

oing

SW

: Offi

cers

are

aw

aitin

g th

e fin

al v

ersi

ons

of tw

o bi

ds to

com

e th

roug

h fro

m C

rest

Nic

hols

on a

nd

Aviv

a fo

r the

Loc

al E

nter

pris

e Pa

rtner

ship

and

the

Cou

ncil

to c

onsi

der f

or fu

ndin

g.

To ta

ke o

ppor

tuni

ties

for

addi

tiona

l app

rent

ices

hips

in

the

Boro

ugh.

i) To

util

ise

the

appr

entic

eshi

p fu

ndin

g vi

a th

e na

tiona

l Ap

pren

tice

Levy

pro

cess

to h

elp

fill i

dent

ified

app

rent

ices

hip

gaps

.

Ong

oing

FS

: Rec

ruitm

ent h

as b

een

com

plet

ed fo

r the

nin

e ap

pren

tices

. Si

x ha

ve s

tarte

d in

the

Q2

time

perio

d.

To c

ontin

ue lo

bbyi

ng fo

r R

unny

med

e’s

econ

omic

in

tere

sts,

par

ticul

arly

in

nego

tiatin

g th

e be

st d

eal

for r

etai

ning

Bus

ines

s R

ates

, New

Hom

es

i)To

cont

inue

wor

king

with

pa

rtner

s as

a c

olle

ctiv

e vo

ice

for

loca

l gov

ernm

ent.

ii) T

o ac

tivel

y ta

ke o

ppor

tuni

ties

to lo

bby

Cen

tral G

over

nmen

t for

Ong

oing

Ong

oing

RR

; The

Cou

ncil

cont

inue

s to

wor

k w

ith o

ther

loca

l au

thor

ity p

artn

ers

on c

ross

-bou

ndar

y im

pact

pr

ojec

ts s

uch

as R

iver

Tha

mes

Sch

eme,

Hea

thro

w

Airp

ort,

Sout

hern

Rai

l Acc

ess,

and

the

Loca

l Pla

n.

SW: T

he H

eath

row

Exp

ansi

on M

embe

r Wor

king

G

roup

has

app

rove

d a

cons

ulta

tion

resp

onse

to th

e

9

Bonu

ses,

infra

stru

ctur

e im

prov

emen

ts, s

kills

su

ppor

t, an

d th

e ou

tcom

e re

gard

ing

a po

ssib

le

addi

tiona

l run

way

at

Hea

thro

w

the

bene

fit o

f Run

nym

ede.

R

evis

ed A

irpor

ts N

atio

nal P

olic

y St

atem

ent.

Org

anis

atio

nal D

evel

opm

ent

Cor

pora

te P

riorit

y K

ey a

ssoc

iate

d ob

ject

ive(

s)

Dea

dlin

e St

atus

Le

ad O

ffice

r and

com

men

t

To p

roac

tivel

y m

anag

e an

d de

velo

p th

e C

ounc

il’s

repu

tatio

n.

i)To

wor

k w

ith s

ervi

ce m

anag

ers

to p

lan

proa

ctiv

e go

od n

ews

stor

ies/

cam

paig

ns.

ii)To

mai

ntai

n go

od w

orki

ng

rela

tions

hips

with

the

med

ia.

Ong

oing

Ong

oing

MR

: Hig

hlig

hts

have

incl

uded

ope

ning

of

Addl

esto

ne W

aitro

se b

y th

e M

ayor

, van

link

ed to

fly

tippi

ng s

eize

d an

d cr

ushe

d, d

efib

rilla

tors

in

Run

nym

ede

park

s, E

gham

Gat

eway

con

sulta

tion

in

partn

ersh

ip w

ith P

lace

s fo

r Peo

ple,

new

Egh

am

Leis

ure

Cen

tre tu

rf br

eaki

ng e

vent

, and

Liv

ing

Wel

l W

eek

prom

otio

n.

MR

: Goo

d w

orki

ng re

latio

nshi

ps c

ontin

ue.

This

has

in

clud

ed d

evel

opin

g a

rela

tions

hip

with

Tha

t’s

Surre

y TV

(fre

evie

w c

hann

el 7

and

onl

ine)

with

co

vera

ge o

f Liv

ing

Wel

l Wee

k an

d bu

lb p

lant

ing

in

Che

rtsey

am

ong

othe

r sto

ries.

To

con

tinue

see

king

ef

ficie

ncy

and

incr

ease

d ef

fect

iven

ess

oppo

rtuni

ties.

i) To

pre

pare

a P

eopl

e M

anag

emen

t Fra

mew

ork

for

agile

wor

king

. ii)

To re

view

the

Empl

oym

ent

Stab

ility

Polic

y.

By th

e en

d of

Q

2

By th

e en

d of

Q

2

FS: A

dra

ft Pr

otoc

ol a

nd P

erfo

rman

ce M

anag

emen

t Fr

amew

ork

for a

gile

wor

king

has

bee

n pr

epar

ed.

FS: O

ffice

rs a

re a

wai

ting

publ

icat

ion

of s

ome

defe

rred

empl

oym

ent l

egis

latio

n in

ord

er to

upd

ate

appr

opria

tely

. To

com

plet

e th

e Bu

sine

ss

Con

tinui

ty p

lann

ing

proc

ess.

i)To

com

plet

e al

l rem

aini

ng

Serv

ice-

leve

l Bus

ines

s C

ontin

uity

Pla

ns.

ii) T

o de

liver

Bus

ines

s C

ontin

uity

trai

ning

for s

taff.

By th

e en

d of

Q

2

By th

e en

d of

Q

2

SW: A

ll pl

ans

but C

usto

mer

Ser

vice

are

now

co

mpl

ete

(this

was

giv

en a

n ex

tend

ed d

eadl

ine

due

to o

ther

prio

ritie

s).

The

asso

ciat

ed E

qual

ity Im

pact

As

sess

men

ts n

ow n

eed

to b

e fin

alis

ed fo

llow

ing

revi

ew.

SW: A

trai

ning

ses

sion

with

ser

vice

lead

s ha

s ta

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APPENDIX 'B'

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APPENDIX 'C'

REGULATION OF INVESTIGATORY POWERS ACT POLICY

Contents Introduction 3 Grounds for Necessity 5 Proportionality . 6 RIPA Compliance and Council Policy . 7 Policy Review 8 Terms and Definitions . 9

Surveillance . 9

Overt Surveillance 9

Covert Surveillance . 9 Different Types of Covert Surveillance . 10

Directed surveillance 10

Intrusive surveillance (not permitted by the Council) 10

Covert Human Intelligence Sources . 10

Definition of CHIS 11 Authorisation Procedures 12

The Standard Forms 12 The Senior Responsible Officer's Role . 13

Management of Records 13 The RIPA Monitoring Officer's Role 14 The Applicant's Role . 15

The Application 15

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Making an Application . 16

Authorisation Duration 17

Conduct of Authorisation 17

Renewals . 19

Cancellations 19

Equipment 20 Authorising Officer Responsibilities under RIPA 21

Authorising Officer Responsibilities . 21

Necessity 21

Proportionality 22

Collateral Intrusion 22

Confidential Material 22

Safety and welfare arrangements of a CHIS 23

Local Community Sensitivities 23

Authorisation 23

Authorisation Refused 23

Authorisation Approved 23

Urgent Verbal Authorisations 24

Authorisation Duration 24

Authorisation Review 25

Renewals 25

A new application for authorisation 26

Refusal 26

Cancellations 26

Review upon Cancellation 27 Working with or through other Agencies 28 Record-Keeping 29 Material obtained from Directed Surveillance and/or use of a CHIS operations 30

Confidential Information 30 Social Networking Sites and Internet Sites 30 Complaints 31 Annex 32

AUTHORISING OFFICERS 32

SENIOR RESPONSIBLE OFFICER 32


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Introduction

The Council has a number of regulatory and enforcement responsibilities. These functions are primarily for the purpose of protecting the greater good of the wider community within the jurisdiction of the Council.

The regulatory and enforcement activity,activity and the responsibility to ensure the safety of the community requiresrequire the Council to pursue and enforce statutory activity where appropriate.

The investigations required to fulfil these duties may require surveillance or information gathering of a covert nature.

Article 8 of the European Convention on Human Rights provides:

Article 8.1 Everyone has the right to respect for his private and family life, his home and his correspondence.

Article 8.2 There shall be no interference by a public authority with the exercise of this right except such as is in accordance with the law and is necessary in a democratic society in the interests of national security, public safety or the economic well-being of the country, for the prevention of disorder or crime, for the protection of health or morals, or for the protection of rights and freedoms of others.

This right is not absolute, it is a qualified right. This means that in certain circumstances the Council may interfere with the right if the interference is:

in accordance with the law necessary, and proportionate

Covert Surveillance and information gathering may constitute an interference with the right to respect for private and family life. To ensure that such activity is in accordance with the law the Council should rely upon the Regulation of Investigatory Powers Act 2000 (RIPA) where appropriate.

The Council is listed as a 'Relevant Public Authority' within Statutory Instrument 2010 No. 521. The Regulation of Investigatory Powers (Directed Surveillance and Covert Human Intelligence Sources) Order 2010.

The Statutory Instrument describes the prescribed office of a person with the authority to authorise directed surveillance or Covert Human Intelligence Source as Director, Head of Service, Service Manager or equivalent.

RIPA sets out a statutory mechanism for authorising covert surveillance and the use of covert human intelligence sources.


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RIPA requires the Council to have in place procedures to ensure that RIPA activity is in accordance with the law, compliant with the relevant Codes of Practice.

RIPA also provides for oversight by the Investigatory Powers Commissioner’s Offfice (IPCO) Office of Surveillance Commissioners (OSC). The IPCO OSC conduct inspections publish annual reports, and procedures and guidance.

The Council endeavours to ensure the guidance provided by these resources, together with case law and Investigatory Powers Tribunal (IPT) judgements, educate and inform policy and procedure within the Council.

The Council provides training on a regular basis to ensure relevant personnel have adequate skills and knowledge and are updated in relation to current developments.


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Grounds for Necessity

Necessary

The statutory grounds for necessity are set out within the legislation. There are several statutory grounds, however, the Council may only use RIPA authorisation for one statutory ground detailed in Sec 28(3) and Sec 29(3) of the Regulation of Investigatory Powers Act -

(b) - The purpose of preventing or detecting crime or of preventing disorder

As to if the proposed conduct is necessary, those involved with the process must make reference to the relevant section within the codes of practice, and also the OSC Procedures and Guidance 2016 2010 for guidance.

Both applicant and authorising officer must articulate in their own words why the proposed activity is necessary in all of the particular circumstances relating to the case concerned.

The lawfulness of the activity relies upon (amongst other issues), necessity.

As a consequence of the Regulation of Investigatory Powers (Directed Surveillance and Covert Human Intelligence Sources) (Amendment) Order 2012, the circumstances in which local authorities may authorize directed surveillance is now restricted to the investigation of offences which are punishable by a maximum term of at least six months imprisonment or constitutes an offence under sections 146, 147 or 147a of Licensing Act 2003 (sale of alcohol to children) or section 7 of the Children and Young Persons Act 1993 (sale of tobacco to children under 18 years old).


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Proportionality

As to if the proposed conduct is proportionate, those involved with the process must make reference to the relevant section within the codes of practice, and also the OSC Procedures and Guidance 2016 0 for guidance.

Both applicant and authorising officer must articulate in their own words why the proposed activity is proportionate in all of the particular circumstances relating to the case concerned.

Any consideration of proportionality should contain a consideration of the three elements:

(a) that the proposed covert surveillance is proportional to the mischief under investigation;

(b) that it is proportional to the degree of anticipated intrusion on the target and others; and

(c) it is the only option, other overt means having been considered and discounted

The lawfulness of the activity relies upon (amongst other issues) proportionality.


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RIPA Compliance and Council Policy

Although RIPA does not impose a requirement for the Council to comply with it, it is essential for the Council to do so to ensure that it is less vulnerable to a challenge under the Human Rights Act and that any material gathered in accordance with the law.

Following the requirements of RIPA and acting in accordance with this Policy, will therefore protect the Council against potential challenges to its decisions and procedures.

This document is the Council's policy on RIPA. As such, it should be adhered to unless it is found to conflict with changes in law, or either of the Codes of Practice which have been made under RIPA.

The Codes of Practice are admissible as evidence in court and must be complied with. In the event of a trial or hearing this Policy might also be adduced in the court.


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Policy Review

This policy will be reviewed on an annual basis. Earlier reviews will take place should circumstances such as changes in law, case reviews, or other similar circumstances so require it. Minor adjustment may be made from time to time.

The policy will be presented for review, to Elected Members on an annual basis or earlier if substantial amendment is required.


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Terms and Definitions

Surveillance

Surveillance includes:

monitoring, observing, listening to persons, watching or following their movements, listening to their conversations and other such activities or communications:

recording anything mentioned above in the course of authorised surveillance surveillance, by or with, the assistance of appropriate surveillance device(s) the interception of a communication in the course of its transmission by

means of a postal service or telecommunication system if it is one sent by, or intended for, a person who has consented to the interception of the communication.

Surveillance can be overt to covert.

Overt Surveillance

Most of the surveillance carried out by the Council will be done overtly.

General observations made by officers in the course of their duties constitutes overt surveillance.

Warning the person about the surveillance (preferably in writing) constitutes overt surveillance. (Consideration should be given to how long the warning should last. This must be a reasonable length of time and each case must be assessed as to what is reasonable having regard to the circumstances.)

Overt surveillance does not require authorisation under RIPA.

Covert Surveillance

"Covert Surveillance" means 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.

Covert surveillance does require authorisation under RIPA if other criteria as set out within the codes also apply.


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Different Types of Covert Surveillance

RIPA regulates two types of covert surveillance:

Directed Surveillance, and Intrusive Surveillance; - The Council cannot conduct intrusive

surveillance

RIPA also regulates the use of Covert Human Intelligence Sources.

Directed Surveillance

Directed surveillance is defined as surveillance which is:

covert, not intrusive (see definition below) undertake for the purposes of a specific investigation or specific operation; carried out in such a manner as is likely to result in the obtaining of private

information about a person (whether or not that person is the target of the investigation or operation); and undertaken in a pre-planned manner, and not as an immediate response to

events or circumstances.

If the proposed activity fulfils all of the criteria for directed surveillance, then RIPA authorisation is required.

Intrusive surveillance (not permitted by the Council)

Intrusive surveillance is surveillance in any residential premises or in any private vehicle carried out by a person or by means of a surveillance device on the premises or in the vehicle which provides information of the same quality and details as if it was on the premises or in the vehicle.

Covert Human Intelligence Sources

The term Covert Human Intelligence Sources is used to describe people who are more commonly known as informants or officers working "undercover".

Throughout this document these people are referred to as "CHIS"

This does not include members of the public who volunteer information to the Council as part of their normal civic duties or to contact numbers set up to receive information.


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Definition of a CHIS

A person is a CHIS if he/she:

establishes or maintains a personal or other relationship for the purpose of:

obtaining information; or providing access to information to another person; or discloses information obtained by the use or existence of that relationship

RIPA authorisation is required for CHIS activity

If a CHIS is to be used there should be a controller who will have overall control of the operation involving the use of the CHIS.

If a CHIS is to be used there should be appointed a CHIS Handler who will have day to day responsibility for:

dealing with the CHIS on behalf of the Council; directing the day to day activities of the CHIS; recording the information supplied by the CHIS; and monitoring the CHIS’s security and welfare.

The handler of the CHIS will usually be of a rank or position below that of the Authorising Officer.

Formatted: List Paragraph, Bulleted + Level: 1 + Aligned at: 0.63 cm + Indent at: 1.27 cm

Formatted: Font: 12 pt

There are particular procedures relating to the conduct and use of CHIS authorisation, together with risk assessment and other procedures. There are also issues relating to the management of the personal details of a CHIS and the information obtained as a result of such activity. Whilst the Council will make use of CHIS authorisation if appropriate, it is a tactic that must be discussed with the Legal Department.

There are also special rules for using juveniles or vulnerable persons as CHIS, and only the Chief Executive can authorise such surveillance (or in his absence his nominated deputy.)

If the conduct to be authorised may involve the acquisition of confidential or religious material, or require an authorisation for using juveniles or vulnerable persons as CHIS, the Authorising Officer is, by law, the Chief Executive (or in his absence the Assistant Chief Executive who has been nominated to act in his place).

Further advice should be sought from the Council's Legal Department in such cases.


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Authorisation Procedures

Directed surveillance and the use of a CHIS can only be lawfully carried out if properly authorised and conducted in strict accordance with the terms of the authorisation.

All directed surveillance and use of a CHIS shall be:

Applied for in writing (or verbally in cases of urgency) Authorised by an appointed Authorising Officer and subsequently by a

Justice of the Peace Conducted in accordance with the authorisation Monitored and reviewed when required and in any case in accordance with

reviews set by the Authorising Officer Renewed if applicable Cancelled as soon as the objective has been achieved or the activity is no

longer to be conducted, whichever is sooner.

The Standard Forms

Directed Surveillance

Application for directed surveillance authorization Application to Magistrates’ Court Review of directed surveillance authorisation Application for cancellation of directed surveillance authorisation Application for renewal of directed surveillance authorisation

Use of a CHIS

Application for conduct-use of a CHIS authorisation Review of use of a CHIS authorisation Application for renewal of use of a CHIS authorisation Application for cancellation of conduct-use of a CHIS authorisation

The Standard Forms are available from the Senior Responsible Officer.


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The Senior Responsible Officer's Role The Council's Senior Responsible Officer is (listed in the annex to this document).

Responsible for:

the integrity of the process in place within the Council for the management of Covert Human Intelligence Sources and Directed Surveillance

compliance with Part II of RIPA and the Codes of Practice oversight of the reporting of errors to the relevant oversight Commissioner

and the identification of both the cause(s) of errors and the implementation of processes to minimise repetition of errors

engagement with the IPCO OSC inspectors when they conduct their inspections

oversight of the implementation of any post-inspection action plan approved by IPCO OSC

ensuring that all Authorising Officers are of an appropriate standard in light of any recommendations in the inspection reports by the IPCO Office of the Surveillance Commissioner

Preparing and presenting reports for elected members, and presenting the policy on a regular basis to the elected members for review.

Management of Records

The Senior Responsible Officer is responsible for ensuring a central register of authorisations is maintained.

The register and all associated documents relating to authorisations, reviews, cancellations, or renewals and refused applications should be retained in an auditable format, with each particular authorisation allocated a unique reference number for that particular investigation or activity.

The Senior Responsible Officer is responsible for making regular reports to Elected Members.

The Senior Responsible Officer is responsible for submitting annual statistics to the IPCO OSC in relation to authorisations.

The Senior Responsible Person is also responsible for communicating to the IPCO OSC any unauthorised activity that might come to the attention of the authority. This must be done within 5 working days. The records, documentation, and associated documentation relating to this unauthorised activity must be retained by the Senior Responsible Officer and disclosed to the IPCO OSC upon request, and certainly to an inspector from the IPCO OSC at the commencement of the next scheduled inspection.

Management of the records by the Senior Responsible Officer requires that person to carry out sufficient audit and checking in order to provide for a reasonable level of quality control. Any identified issues should be communicated with the authorising officer and any others concerned in order to ensure review drives improvement in compliance.


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The Elected Members are responsible for checking the consistency of the report with this policy. They will not, however, be involved in making decisions on specific authorisations.

The RIPA Monitoring Officer's Role

The Council's RIPA Monitoring Officer is (listed in annex to this document).

Responsible for:

maintaining the central register of authorisations and collating the original applications/authorisations, reviews, renewals and cancellations

oversight of submitted RIPA documentation organising a RIPA training programme raising RIPA awareness within the Council


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The Applicant's Role

The Application

You will need to consider:

Whether covert surveillance is needed

Consideration must be given as to whether covert surveillance is needed. You are advised to discuss the need to undertake directed surveillance or the use of CHIS with your line manager before seeking authorisation. All other options to obtain the information to be obtained by the authorised activity should be considered and used if appropriate.

Whether directed surveillance or use of a CHIS is needed

You must establish what type of "surveillance" is required having regard to the guidance contained in this document. The type of surveillance you require affects which application forms you need to complete.

Whether directed surveillance or use of CHIS is necessary for statutory reasons (identify the particular offence to be prevented or detected, or what disorder is to be prevented)

Authorisation may only be granted if it is necessary for the reason permitted by RIPA. For local authorities the only statutory reason is for the purposes of preventing and detecting crime or of preventing disorder (and now for certain offences only). You must set out this ground in your application form and provide details of the reasons why it is necessary to use covert surveillance.

Whether directed surveillance or use of a CHIS is proportionate

You must consider why the activity applied for is proportionate.

The methods must do no more than ensure you meet your objective. The proportionality test will also require you to consider whether there are any other appropriate means of obtaining the information and whether there is a risk of collateral intrusion (see consideration below) and how this can be minimised or managed, or if it is acceptable in the circumstances.

The following aspects of proportionality must be considered and evidenced:-

balancing the size and scope of the proposed activity against the gravity and extent of the perceived crime or offence

explaining how and why the methods to be adopted will cause the least possible intrusion on the target and others

considering whether the activity is an appropriate use of the legislation and a reasonable way, having considered all reasonable alternatives, of obtaining the necessary result

evidencing, as far as reasonably practicable, what other methods have been considered fully and why these were not implemented.


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The risk and amount of collateral intrusion

Collateral intrusion is the risk of intrusion into the privacy of persons other than the target. You are required to assess the risk of collateral intrusion. Details of any potential collateral intrusion should be specified. Measures must be taken wherever practicable to avoid or minimise collateral intrusion and a plan should be included in your application specifying how the potential for collateral intrusions will be minimised. You should give as much detail as possible, insufficient information may lead to the rejection of the application.

Conduct a risk assessment in relation to health and safety of personnel and public (not a statutory requirement under RIPA, but an operational requirement)

This requirement is not in relation to compliance with RIPA. However, it is a fundamental requirement when conducting any activity at work. The risk assessment helps the line manager and the authorising officer to consider if the health and safety risks to personnel and public are identified, and if possible measured and controlled, and only the level of risk to be taken will be that which reflects the benefit to the authority.

Consideration: Surveillance from private premises

It is preferable for surveillance to be carried out from a public place, such as a public highway. However, there may be circumstances where private premises may be required for the carrying out of surveillance. In which case, it is essential that you obtain the consent of the owner and/or occupier of the premises prior to authorisation being sought.

You should seek further guidance from the Council's Legal Department since there are other considerations in relation to management of CPIA Disclosure, and use of the product of the surveillance as evidence.

Making an Application

All applications must be made in writing on the standard forms provided.

The relevant forms are:

An application for directed surveillance authorization, and/or An application for use of a CHIS An application to a Justice of the Peace

The considerations set out above, form part of the application form.

In urgent cases, verbal authorisation may be sought and authorisation recorded in writing. The same considerations and actions as set out above should be considered and recorded, and the original documents and notes provided with a reference number and submitted to the central register of records.


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Cases should only be regarded as urgent if there is a likelihood of endangering life or jeopardising the investigation or operation if authorisation is not immediate. An urgent verbal authorisation may last for 72 hours. However, if the surveillance continues and there is opportunity before the expiration of 72 hours, authorisation in writing should be applied for and authorised if appropriate.

There is no power for local authorities to grant oral authorisations. All Formatted: Font: Bold, Underline

authorisations, even if urgent, must be made in writing.

Authorisation Duration

An authorisation for Directed Surveillance will last for three months from the date of authorisation unless renewed. It must be cancelled as soon as it is no longer required.

An authorisation for use of an adult CHIS will last for 12 months from the date of authorisation unless renewed. It must be cancelled as soon as it is no longer required.

Urgent authorisation for either Directed Surveillance or use of a CHIS will last 72 hours beginning with the time when the authorisation was granted, unless subsequently endorsed by written authorisation.

Review dates for the authorisation will be set by the Authorising Officer.

During the course of an investigation the type and seriousness of offences may change. The option of authorizing directed surveillance is dependent on the offence under investigation attracting a sentence of a maximum six months imprisonment or more or being related to the underage sale of alcohol and tobacco. Providing the offence under investigation is one which appears on the statute book with at least a maximum six months term of imprisonment or is related to the specific offences listed in the Regulation of Investigatory Powers (Directed Surveillance and Covert Human Intelligence Sources) Order 2010 as amended, concerning the underage sale of alcohol or tobacco, an application can be made. However, if during the investigation, it becomes clear that the activity being investigated does not amount to a criminal offence or that it would be a less serious offence that does not meet the threshold the use of directed surveillance should cease. If a directed surveillance authoriszation is already in force it should be cancelled.

Conduct of Authorisation

It will be the responsibility of the applicant and persons conducting the authorised activity to ensure that any Directed Surveillance or use of a CHIS is only undertaken under an appropriate and valid authorisation.

During the surveillance, you should ensure:

Surveillance is carried out in accordance with the authorisation Collateral intrusion is monitored and minimised as far as possible Intrusive surveillance is not carried out All information obtained is recorded and managed appropriately and in

accordance with the Data Protection Act (subsequently other legislation such as PACE and CPIA are likely to apply to the product of the surveillance).


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During the use of CHIS, you should also ensure that the source is aware that:

Only the tasks authorised are carried out Third party collateral intrusion is minimised as far as possible Intrusive surveillance is not carried out Agent Provocateur (Entrapment) is not committed They must regularly report to you

You should also be mindful of the date when reviews and renewals are required.


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You must inform the Authorising Officer if the authorised activity unexpectedly interferes with the privacy of individuals who are not covered by the authorisation or if there is another change in circumstances usually brought about by unforeseen action.

When the original authorisation may not be sufficient, consideration should be given to whether the authorisation needs to be amended and re-authorised (for minor amendments only) or whether it should be cancelled and a new authorisation obtained.

The relevant forms should be used.

Particular care should be taken when using a CHIS to ensure that authorisation is sufficient. It is difficult to predict what might occur each time a meeting with a CHIS takes place. If unforeseen action takes place, the occurrence should be recorded as soon as possible after the event and the sufficiency of the authorisation must be considered.

You must bring to the attention of the Authorising Officer any concerns about the personal circumstances of the CHIS in relation to: the validity of the risk assessment; the conduct of the CHIS; the safety and welfare of the CHIS.

Renewals

Once the authorisation expires, surveillance must cease unless a renewal has been applied for and approved (by both the Authorising Officer and a JP).

If it appears that the directed surveillance or use of a CHIS is needed beyond the authorisation date, you must seek a renewal of the authorisation.

You must consider whether covert methods are still necessary and proportionate.

An application for renewal for either Directed Surveillance and/or use of a CHIS should be made on the relevant form and passed to the Authorising Officer for consideration.

Authorisation for renewal may be sought verbally, but only in exceptional circumstances.

Cancellations

All authorisations, including renewals, must be cancelled if the reason why Directed Surveillance or use of a CHIS was required no longer exists or is no longer proportionate. This will occur in most instances when the purpose for which surveillance was required has been achieved and officers must be mindful of the need to cancel any authorisation which has been issued.

To cancel an authorisation, you should complete the Cancellation of Authorisation form and submit it to the Authorising Officer for the Authorising Officer to cancel the authorised activity.


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Equipment

Equipment and surveillance logs should be allocated from a central record of equipment, and an audit trail maintained in relation to the equipment and surveillance logs.

Upon cancellation all equipment in use must be removed immediately or else as soon as practicable, since further recordings will amount to unauthorised surveillance.


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Authorising Officer Responsibilities under RIPA

The Council's Authorising Officers are (listed in the annex to this document).

If the conduct to be authorised may involve the acquisition of confidential or religious material, or require an authorisation for using juveniles or vulnerable persons as CHIS, the Authorising Officers is, by law, the Chief Executive (or in his absence one of the Corporate Directors).

Authorising Officers should not be responsible for authorising investigations or operations in which they are directly involved. If this is the case, the application form for authorisation should be noted to this effect together with an explanation as to why this has taken place.

Authorising Officer Responsibilities Responsibility for authorising the carrying out of direct surveillance or using a CHIS rests with the Authorising Officer and requires the personal authority of the Authorising Officer.

You must be satisfied that a defensible case can be made for the conduct authorised.

Authorisation is a safeguard against the abuse of power by public authorities. Full consideration of necessity and proportionality will make the action less vulnerable to challenge.

You should refer to both the relevant Codes of Practice, and the OSC Procedures and Guidance 20160 when fulfilling your role, and if required seek the guidance of the Legal Department and Senior Responsible Officer on issues that you are uncertain about.

You are required to consider the application for authorisation in relation to the following:

Crime Threshold Amendments to the Regulation of Investigatory Powers (Directed Surveillance and Covert Human Intelligence Sources) Order 2010 mean that a local authority can now only grant an authorization under RIPA for the use of directed surveillance where the local authority is investigating particular types of criminal offences. These are offences which attract a maximum custodial sentence of six months or more or are offences relating to the underage sale of alcohol or tobacco.

Necessity Firstly, you must consider whether it is necessary to carry out the covert activity.

This is an important consideration and must be recorded on the form. The Codes of Practice and OSC Procedures and Guidance 20160 both provide guidance in relation to this consideration.

Secondly, as authorisation may only be granted if it is necessary for the reason permitted by RIPA. You should consider, having regard to the outline of the case provided by the applicant, whether authorisation is necessary for the purposes of preventing or detecting certain crimes only crime or of preventing disorder.


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Proportionality This involves balancing the intrusiveness of the activity on the target and others who may be affected by it (see "consideration: risk of collateral intrusion" below) against the need for the activity in operational terms. The Codes of Practice and OSC Procedures and Guidance 201601 both provide guidance in relation to this consideration.

Collateral Intrusion You must take into account the risk of interfering with the privacy of persons other than the target (collateral intrusion). Full details of potential collateral intrusion and the steps to be taken to minimise such intrusion must be included in the form. If there are insufficient details further information should be sought.

Collateral intrusion forms part of the proportionality test and is therefore very important. The application form should detail expected collateral intrusion, what has been done to minimise or control it, why the expected level is unavoidable but acceptable in the circumstances, what other investigative methods have been pursued or considered, and why this activity is the chose option.

If equipment is to be used you should enquire with the operative as to its capability and the extent to which it is to be used in order to be able to recognise what might be recorded.

Confidential Material In cases where through the use of the directed surveillance or the use of a CHIS, it is likely that knowledge of confidential information will be acquired, authorisation may only be granted by the Chief Executive or in his absence his nominated deputy.

Confidential information consists of matters subject to legal privilege, confidential personal information or confidential journalistic material.

Authorisation involving the acquisition of confidential information should only be given in exceptional and compelling circumstances having full regard to the proportionality issues involved.

Further details about the type of information covered under this category are to be found in the relevant Code of Practice. Further advice may be sought from the Council's Legal Department.


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Safety and Welfare arrangements of a CHIS When authorising the conduct or use of CHIS, you must be satisfied:

That the conduct and/or use of the CHIS is proportionate to what is sought to be achieved;

That arrangements exist for the management and oversight of the CHIS, particularly the health and safety of the CHIS including:

Identifying the person who will have day to day responsibility for dealing with the CHIS

Security and welfare arrangements of the CHIS both during and after the investigation/operation

Monitoring and recording the information supplied by the CHIS Ensuring records disclosing the identity of the CHIS will not be made

available to persons except where there is a need for access to them Records relating to the CHIS meet the lawful requirements (CHIS Records).

Local Community Sensitivities You should consider whether there are any particular sensitivities in the local community where surveillance will be taking place.

Authorisation Having taken all these factors into consideration, you may either approve the application or refuse it. You can authorise some of the activity applied for, but cannot add and authorise other activity you feel is appropriate. If there is further activity that should be conducted that is not contained within the application, a further application will be required, and then considered upon its merits.

Authorisation Refused You must complete the form and give your reasons for refusal. Then follow the procedures below ("I have completed the form what do I do with it?").

Authorisation Approved The applicant or operative responsible for the conduct authorised must be informed exactly what activity has been authorised.

Before the Authorisation can take effect, the local authority must obtain an order approving the Authorisation or a renewal from a JP (a District Judge or lay magistrate). If the JP is satisfied that the statutory tests have been met and that the use of the technique is necessary and proportionate he/she will issue an order approving the grant or renewal as set out in the Authorisation.


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Regular reviews should be set and undertaken to assess the continued need for surveillance or use of a CHIS and whether it is still proportionate.

Where the surveillance or use of a CHIS provides access to confidential information or involves collateral intrusion, reviews should be more frequent. You will therefore need to consider a relevant appropriate Review Date(s)

Both types of authorisation require you to specify a date when the authorisation should be reviewed (the Review Date) and the frequency of the review thereafter.

This must be stated on the form.

Urgent Verbal Authorisation Urgent authorisations should not be necessary. In exceptional circumstances, however, urgent authorisations may be given orally if the time that would elapse before a written authority can be granted would be likely to endanger life or jeopardise the investigation or operation for which the authorisation was being given.

It will not be deemed urgent where the need for authorisation has been neglected or is of the officers own making.

The same matters as set out above for a written application must be considered before a verbal authorisation is granted and before it may be implemented.

It is good practice for both applicant and you to make notes of what the applicant says, and what you authorise.

Urgent authorisations last for no more than 72 hours. The original notes must be placed with the central record of authorisations. If there is a subsequent written authorisation, the notes should be appended to this authorisation, and the relevant boxes within the form relating to urgent authorisation should be completed.

Upon authorisation or refusal the applicant must be made aware of exactly what conduct has been authorised, and in the event of a refusal, or reduction in activity authorised, the reasons should be recorded on the form and communicated to the applicant.

There will still be a need to obtain a JP order before the authorisation can be implemented.

Authorisation Duration An authorisation for Directed Surveillance will last for three months from the date of authorisation unless renewed.

An authorisation of use of a CHIS will last for 12 months from the date of authorisation unless renewed.


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Urgent authorisation for either Directed Surveillance or use of a CHIS will last 72 hours beginning with the time when the authorisation was confirmed by a JP, unless subsequently endorsed by written authorisation.

Authorisation Review It is important to set a review date which gives the opportunity to review the level of collateral intrusion and the effectiveness of the methods used. Reviews should be more frequent to reflect any particular concerns you might have.

If surveillance is to be continued, set another review date. If the authorisation is to be cancelled, submit the relevant signed cancellation form.

Renewals Once the authorisation expires, surveillance must cease unless a renewal has been applied for and approved.

You may apply for a renewal of an authorisation before it expires if it is necessary for the authorisation to continue for the purpose for which it was given (but a further JP confirmation will still be required).

You must consider the application for renewal in relation to the original purpose for which authorisation was granted, taking into account any change in circumstances. You should be satisfied that:

There is a need to renew the authorisation (applying the test of necessity) That such a renewal is likely to contribute to the investigation or operation (it

is proportionate to the aim) That the information could not be reasonably obtained by other less intrusive

means The risk of collateral intrusion has not altered - you should consider what

collateral intrusion has occurred The risks associated with the use of a CHIS have not increased beyond an

acceptable level.

The outcome of a consideration for renewal may lead to:

Approval A new application Refusal

If you decide to approve a renewal you will need to provide details of why in your opinion you believe the renewal is justified, and state the date and time when the renewed authorisation will commence and expire on the application form, prior to applying to a JP for confirmation.

The maximum time that renewal of authorisation can be approved for, is three months at a time for directed surveillance and 12 months for the use of a CHIS. You should also set appropriate Review Dates.


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A new application for authorisation If the application circumstances resulting in the original authorisation have changed then the outstanding authorisation should be cancelled and new authorisation sought by way of a new application. You will need to note the refusal to renew the application on the renewal form setting out the reasons for your decision. You will also need to follow the procedures for cancellation and advise the applicant to seek new authorisation.

Refusal If in your opinion surveillance is no longer required, or justified, or proportionate, the renewal should be refused and the authorisation cancelled. You will need to note on the renewal form your reasons for refusal.

Cancellation All authorisations, including renewals, must be cancelled if the reason why directed surveillance or use of a CHIS was required no longer exists or is no longer proportionate.

This will occur in most instances when the purpose for which surveillance was required has been achieved and officers must be mindful of the need to cancel any authorisation which has been issued. A cancellation should be issued at the expiry date if not before.

The responsibility to ensure that authorisations are cancelled rests with the Authorising Officer. If you think cancellation should have been applied for, then you should make enquiries as part of your monitoring of the authorisation. On receipt of the cancellation form you must consider the reasons for cancellation and if acceptable endorse the form.

As soon as the decision is taken that directed surveillance or use of a CHIS should be discontinued, the instruction must be given to those involved to stop all surveillance of the subject. The date and time when such an instruction was given should be recorded on the cancellation form.

Where necessary the safety and welfare of the CHIS should continue to be taken into account after the authorisation has been cancelled.

All equipment should be retrieved and recording ceased.

The product of the authorised activity is your responsibility, not in so much as you personally take possession of it, but you ensure directions and processes are in place to ensure its appropriate management in accordance with Data Protection and other relevant legislation.


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Review upon Cancellation There should be a full review of the usefulness of the authorised activity. This should include what has been achieved and what was not. The review should identify why any objectives were not achieved. This information should be recorded and presented upon inspection by the IPCO OSC Inspector. The information should also be used by all involved in the procedures in order to educate future applications and authorisations.


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Working with or through other Agencies

When some other agency has been instructed on behalf of the Council to undertake some action under RIPA, this Policy and the forms referred to in it, must be used in the normal way and the agency advised as necessary of the various requirements. They must be made aware explicitly what they are authorised to do.

They are acting as agents of the Council, and must follow the same procedures as Council personnel.

It is possible for two public authorities to carry out a joint directed surveillance investigation or use of a CHIS. It must be decided which of the authorities is to take the lead role. The Authorising Officer from the lead organisation must make the decisions on the necessary and proportionality of the surveillance or use of a CHIS . This Authorising Officer authorises the activity he or she feels appropriate.

If resources such as personnel or equipment belonging to the other agency within the investigation are to be used, the authorisation must be seen and then the use of the resources authorised by the relevant line manager.


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Record Keeping

The Council must keep a detailed record of all authorisations, renewals, cancellations and rejections in Departments and a Central Register of all these forms will be maintained and monitored by the Senior Responsible Officer.

In all cases, the following documentation must be retained:

the application and authorisation together with (i) any supplementary documentation and notification of the approval given by the Authorising Officer and (ii) the JP Order

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 (i) the supporting

documentation submitted when the renewal was requested and (ii) the requisite JP Order

the date and time when any instruction was given by the Authorising Officer a record of the use made of any CHIS.

The Council will retain records in accordance with the Data Protection Policy.

However, records should be retained at least until the next IPCO OSC inspection, and consideration should be given to use as evidence or unused material in pending trials or appeals.


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Material obtained from Directed Surveillance and/or use of CHIS operations

Material, or product, such as: written records (including notebook records); video and audio recordings; photographs and negatives; and electronic files, obtained under authorisation of Directed Surveillance or use of a CHIS investigations or operations should be handled, stored and disseminated according to the following guidance and with regard to the Council's Data Protection Policy.

Where material obtained during the course of an investigation may be relevant to pending or future criminal or civil proceedings, it should be retained in accordance with the established disclosure requirements having regard to the Criminal Procedure and Investigations Act 1996 and Civil Procedure Rules.

Where material is obtained which is not related to a criminal or other investigation, or to any person who is the subject of the investigation, and there is no reason to suspect that it will be relevant to any future civil or criminal proceedings, it should be assessed for retention or destruction under the Council's Data Protection Policy.

Material may be used in investigations other than the one for which authorisation was issued.

Confidential Information This is privileged information from, for example, lawyers, doctors, priests etc. Where such persons are involved, and there is a possibility that you may be obtaining confidential material, then further additional precautions must be taken. If this is the case, seek appropriate advice from the Council’s Legal Department.

Social Networking Sites and Internet Sites

Occasionally officers may be alerted to information on social media which may be pertinent to an investigation. When using social media sites for gathering evidence to assist in enforcement activities, officers should note that the fact that digital investigation is routine or easy to conduct does not reduce the need for authorisation. Care must be taken to understand how the specific social networking site being used works, particularly in relation to privacy settings.

Whilst it is the responsibility of an individual to set privacy settings to protect against unsolicited access to their private information on a social networking site, and even though the data may be deemed published and no longer under the control of the author, it is unwise to regard it as ‘open source’ or publicly available; the author has a reasonable expectation of privacy if access controls are applied. Where privacy settings are available but not applied,applied the data may be considered open source and an authorisation is not usually required. Repeat viewing of ‘open source’ sites may constitute Directed Surveillance and this should be borne in mind. To ensure compliance with regulations:


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Formatted: Indent: Left: 1.27 cm


Officers must not create a false identity in order to ‘befriend’ individuals on social media networks without authorisation under RIPA. If it is necessary and proportionate for the Council to covertly breach access controls, an authorisation for Directed Surveillance will be required. An authorisation for the use and

conduct of a CHIS is necessary if a relationship is established or maintained by the officer.

Officers viewing an individual’s public profile on a social network should do so only to the minimum degree necessary and proportionate.

• Legal advice should be taken in advance as to whether repeated viewing of open profiles on social networks to gather evidence or to monitor an ‘individual’s’ status for a specific investigation will require RIPA authorisation.

• Officers should also be aware that it is not possible to verify the accuracy of information on social networking sites, and if such information is to be used as evidence, take reasonable steps to ensure its validity.

In the event that it is necessary to utilise online covert identities/pseudonyms, pursuant to a RIPA authorisation, these must be centrally logged by the Senior Responsible Officer and a record made of what research activity is conducted, details of which should be reported to the relevant Authorising Officer during routine reviews or, where applicable, a cancellation.












If it necessary and proportionate for the Council to covertly breach access controls, the minimum requirement is an authorisation for directed surveillance. An authorisation for the use and conduct of a CHIS is necessary if a relationship is established or maintained by the officer (i.e. the activity is more than mere reading of the site’s content). This could occur if an officer covertly asks to become a ‘friend’ of someone on a social networking site.


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Complaints

The Regulation of Investigatory Powers Act has established an Independent Tribunal. This Tribunal is 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 cases within its jurisdiction. It also has the power to award compensation.

Details of the relevant complaints procedure can be obtained from the following address:

Investigatory Powers Tribunal P O Box 33220 London SW1H 9ZQ

Other actions that could be taken against the Council for failing to meet the requirements of RIPA are civil proceedings under the Human Rights Act 1998 or a complaint to the Ombudsman.


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Annex

AUTHORISING OFFICERS

The following Officers, regardless of their current job titles, shall be designated Authorising Officers on behalf of the Council under the Regulation of Investigatory Powers Act 2000. It is feasible that some job titles may change with effect from 1 April 2011.

Paul Turrell Chief Executive

Mario Leo Corporate Head of Law and Governance

Jane Margetts Corporate Director Head of Housing and Community Development

Peter McKenzie Corporate Director Head of Resources

Nigel Boyd Head of Revenues and Benefits

SENIOR RESPONSIBLE OFFICER

Mario Leo - Corporate Head of Law and Governance

RIPA MONITORING OFFICER

Mario Leo - Corporate Head of Law and Governance


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Corporate Management Committee

Documents

Transcript of Corporate Management Committee