26
IPCO Annual Report 2017
The Authorisation Process
Directed surveillance
4.13
Save for local authorities in England and Wales, a written application for directed surveillance
is submitted to an authorising officer within the same public authority, specifying the
details of the proposed surveillance, including why it is suggested to be necessary and
proportionate to undertake the requested activity. In urgent cases, the applicant may seek
oral authorisation, although this must always be followed by a written application.
4.14
As for CHIS, authorising officers act in a quasi-judicial role when considering these requests.
They must be impartial and, where possible, they should be separate from the investigation.19
Although they can seek more details and legal advice, the decision whether or not to grant an
authorisation is entirely theirs. Authorising officers must be of superintendent, senior military
or senior manager level (for law enforcement agencies and government departments).20
Please see Chapter 3 on CHIS for additional detail.
4.15
For local authorities in England & Wales, an application must be approved by a magistrate.21
4.16
Initial authorisations for directed surveillance are valid for three months, as set out in
the code of practice, and must be recorded by the public authority on its central record
and updated when renewed or cancelled. The code of practice stipulates exactly what
information must be recorded and retained for oversight purposes. All authorisations must
be reviewed regularly and cancelled as soon as they are no longer necessary.
Intrusive surveillance authorisations
4.17
Intrusive surveillance applications are authorised at a higher level than for directed
surveillance. For the intelligence agencies, the MOD and HM Forces, the Ministry of Justice
and the Northern Ireland Office, a Secretary of State considers the application. For the police,
the NCA, HMRC, CMA, IOPC and Home Office this role is undertaken by a senior authorising
officer or a designated deputy.
4.18
The authorisation process for intrusive surveillance authorisations is otherwise similar to
directed surveillance except that for the police, the NCA, HMRC, CMA IOPC and Home Office
authorisations must be approved by a JC before they take effect. There is an exception to this
for urgent cases.
Combined authorisations
4.19
During the period relevant to this report, the intelligence agencies have applied separately
for intrusive and directed surveillance authorisations even when they have been carrying out
the surveillance by the same ‘means’, for example, tracking a vehicle using a route logger
19 If an AO is not independent, the 2014 code of practice which governed the period under review in this report required that this was
highlighted in the centrally retrievable record of authorisations and the Commissioner or inspector should be invited to view it at the
next inspection.
20 For the intelligence agencies authorisation is undertaken at a ‘middle management’ or above level.
21 No urgency provisions are available for local authorities.