EXTERNAL AGENCY REQUESTS – Brief Guidance for the Monitoring Team

The following content seeks to explain the broad principles under which the External Agency Requests system operates. The four examples provided are specific to Police requests for data, are not exhaustive and are only intended to show how some of the broad principles may be applied.

Also attached is a table which can be used to determine whether the request needs to be escalated to the MoJ for consideration. In addition a spreadsheet will be provided by the MoJ which must be maintained by the monitoring team to record every request and action taken.

Broad Principals

  1. EARs are used by stakeholders to access retrospective data that they would otherwise notbe able to routinely access. Routine access to data is usually restricted to the orders that the stakeholder manages and is limited to information which is necessary to monitor compliance.
  1. EARs must explain why access to the specific information requested is required and how the data will assist with the aim. If this is, unclear or tenuous, the request must be rejected.
  1. The request for data must be limited to the minimum necessary to fulfil the aim. If the request is too broad in scope it must be rejected.
  1. The request must explain the nature of any urgency and the time for a response.
  1. The request must be dated and signed and the monitoring team must confirm the authenticity of the requestor before any data is released.
  1. All EARs must be recorded by the Monitoring Team on the spreadsheet provided by the MoJ.
  1. The MoJ will carry out a dip test at the end of every month for the first three months and, thereafter, every three months to ensure information is being processed in accordance with the Data Protection Act. Any learning will be shared with the Monitoring Team.

Example 1

Request

  1. The Police are dealing with a serious crime (an indictable or either way offence) and a witness or evidence from another source indicates that a person on a tag may have been involved. The Police are asking the monitoring team to identify whether any subjects were at the scene of the crime within a two hour window on a particular day.

Action

  1. The request provides sufficient justification, identifies an aim and is sufficiently narrow to be considered as a valid request. No timing is indicated and so the request should be treated as routine.
  1. The Monitoring Team should confirm the authenticity of the requestor. This point applies to all the following examples.
  1. The Monitoring Team should interrogate the system to determine how many subjects were in the vicinity at the time.
  1. The Monitoring Team should identify whether the location data that places the subjects at the scene is gathered through valid location data or extraneous location data. This is important as it will determine who should authorise any release of data. Valid location data is that which is required to manage compliance as follows:
  • All location data captured on a standalone GPS;
  • All location data captured during a breach of an order. Where there is a breach of an exclusion zone, 30 minutes either side of the breach is also considered valid data. Where there is a breach of an inclusion zone, 30 minutes prior to the breach is also considered to be valid data;
  1. Extraneous location data is data that is captured by the system that is not necessary to monitor compliance. It will apply to the following:
  • Location data captured during compliance with an exclusion zone (save for 30 mins prior to and after a breach);
  • Location data captured during compliance with an inclusion zone (save for 30 mins prior to a breach);
  1. If the search returns more than one subject, the Monitoring Team should contact the requestor and determine whether there are any other details which will assist in narrowing the results before making a decision. If the requestor is unable to provide any further details this must be noted on the system.
  1. If a positive result is returned using extraneous location data, the monitoring team should send the request and the findings to the MoJ to consider. The MoJ will advise the Monitoring Team accordingly.
  1. If a positive result is returned using valid data, the monitoring team should release only the minimum amount of data necessary to comply with the request.

Example 2

Request

  1. The Police are dealing with a serious crime (indictable or either way offence) and are asking the monitoring team to identify whether any subjects were at the scene within a two hour window on a particular day.

Action

  1. There is no evidence to link any tagged individual to the crime and insufficient justification to warrant any release of data. The request must be refused and an explanation provided.

Example 3

Request

  1. A prolific offender is suspected of burglaries in the local area. Circumstances of the crime meets the profile of the individual. No details given of the times and locations of each crime. Police are requesting location data for the last two weeks.

Action

  1. There is sufficient evidence to link the enquiries to the data, but the request is too broad in scope. The Police should be informed accordingly and advised that, if they can narrow the request to the times of the crimes they may be more successful.

Example 4

Request

  1. The Police are investigating a serious crime (indictable or either way offence) where there is an immediate and significant risk of harm to the public. The request is urgent and contains evidence to link a named individual or to indicate it was perpetrated by a tagged individual. The Police are requesting location data for a two hour window around the time of the crime.

Action

  1. The request provides enough justification and is sufficiently narrow to be actioned.
  1. The monitoring team should follow the steps set out above in points 10 to 15. However, if the request needs to be considered out of hours due to an immediate and significant risk of harm to the public, the monitoring team are permitted to release the minimum amount of data necessary to comply with the request. This is regardless of whether the location information is valid or extraneous data. The MoJ will retrospectively consider whether the release of information was appropriate as part of the dip test process.

Example 5

Request

  1. If the Police request data to assist with the arrest of a wanted subject.

Action

  1. The monitoring team should determine whether the Police require access to extraneous location data or valid data. If the former then the request should be submitted to the MoJ to consider. However, if the request needs to be considered out of normal working hoursdue to an immediate and significant risk of harm to the public, the monitoring team are permitted to release the minimum amount of data necessary to comply with the request. This is regardless of whether the location information is valid or extraneous data. The MoJ will retrospectively consider whether the release of information was appropriate as part of the dip test process.
  1. If the request is for valid location data, then the monitoring team is permitted to release the minimum amount of data necessary to assist with the aim.

EXTERNAL AGENCY REQUEST – ESCALATION GUIDANCE

  1. Confirm authenticity of requestor (if authenticity cannot be confirmed, the request must be rejected).
  2. Assess whether the EAR provides sufficient justification. EARs must explain why access to the information is required and failure to provide sufficient and appropriate justification will lead to them being rejected. By way of example, should access be required for the prevention or detection of crime, the request needs to set out the reasons why they believe that the specific suspect is likely to be, or was likely to have been, involved in the criminal behaviour that is under investigation. If the request does not explain why access to the information is required or how it will assist, the application must be rejected.
  3. Assess whether the request is proportionate to the need. It must be limited to the minimum period of retrospective information possible to fulfil the aim. If the request for information is too broad in scope it should be refused.
  4. If the EAR fails to meet any of the criteria above it should be rejected. If it meets the criteria above, then follow the table below.

Request / MoJ Approval Required / Guidance
1. / Information is limited to compliance related data (e.g. was the subject at home during his curfew hours or compliant with his exclusion zone). / No. / Information can be released. This will be the minimum amount of data necessary to comply with a valid EAR and where possible, it will be binary data (e.g. yes/no).
2. / If the subject is on a standalone GPS order and the whereabouts of the subject is required to determine whether they were in a particular location on a particular day. / No. / Information can be released. This will be the minimum amount of data necessary to comply with a valid EAR i.e. limited only to the data that may place him at the location. Where possible it will be binary data (Yes/No).
3 / If the subject has breached his order and information is required to facilitate an arrest in connection with the breach. / No. / Information can be released. This will be the minimum amount of data necessary to comply with a valid EAR and where possible, it will be binary data (e.g. yes/no).
4. / If the request is for other data (including that described in points 5 and 6 below), arrives out of hours and is so urgent that it cannot wait for MoJ input. / No, but only if there is strong justification for the urgency, such as an immediate and serious threat to public safety. / Information can be released. This will be the minimum amount of data necessary to comply with a valid EAR and where possible, it will be binary data (e.g. yes/no).
5. / If the subject is on a standalone GPS order and the whereabouts of the subject is required but not for a specific location on a particular day as in point 2. / Yes (but see point 4 above) / The monitoring team should send the request to the MoJ to consider, indicating who it is from and the urgency. The MoJ will make a decision and inform the monitoring team accordingly.
6. / Request is for data that is captured that is irrelevant for monitoring compliance e.g. off curfew data, or extraneous location data such as that gathered at times of compliance with an exclusion zone. / Yes (but see point 4 above) / The monitoring team should send the request to the MoJ to consider, indicating who it is from and the urgency. The MoJ will make a decision and inform the monitoring team accordingly.
7. / The Police request data to facilitate an arrest of a wanted person. / No, unless it applies to extraneous location data (but see point 4 above). / The monitoring team should send the request to the MoJ to consider if extraneous location data is required.

Copy of the External Agency Request Form

External Agency Information Request Form

This form must be emailed to the Pilot Monitoring Team as below:

Email:

Telephone:

Please complete this form in as much detail as possible. The more information which is provided the less likely it is that the request will be delayed while clarification is sought about the request.

Police requests must include details of any suspected offences and the time and date these were committed. Where possible requests should be limited to the time surrounding the suspected offence.

The requestors direct contact number must be given in case clarification is required.

Depending on the requesting agency this form must be counter-signed by aPolice Duty Inspector / Probation Officer / Youth Justice Officer/ Supervising Officer / Hospital Medical Officer / Establishment HDC Clerk.

Please note: Without the correct countersignature, the monitoring team will not gain authority to release the information. This will delay the response to any request for the release of information, as the request will have to be sent back to the originating agency.

Where the requestor is the subject’s solicitor, a separate letter of consent, signed by the client is required. This must come either on the solicitor’s headed note paper or, if this is not possible, accompanied by a letter on the solicitor’s headed note paper. Just receiving the subject’s signature in the countersignature box on page 2 will NOT be accepted.

If you have any further queries please do not hesitate to contact us using the details above.

Subject Details

Subject Name:………………………………………………………………………………..

Date of Birth:………………………………………………………………………………….

Address:………………………………………………………………………………………

…………………………………………………………………………………………………

Priority Offender: Y/N

MAPPA Case:Y/NSubject in Custody:Y/N

*Delete as appropriate.

Information Requested

Information for the above named subject is required:

From [Insert Date]to [Insert Date]

Time from [Insert Time]to [Insert Time]

I am requesting:

[Insert what data is required – this should be proportionate to the purpose]

Timing

[Please indicate whether the matter is urgent and, if so, the reasons why]

‘Data Protection Act 1998 Section 29(3)

I am making enquiries which are concerned with:

a.)The prevention or detection of crime

b.)The apprehension or prosecution of offenders

c.)The Administration of Justice

d.)Other (please complete nature of enquiry)

* Delete as appropriate

Nature of enquiry:

The information sought is required for [please explain why the data is required. If it is in connection with a suspected crime, please indicate the nature of that crime and whether it is an indictable offence]:
(Please note that information is much more likely to be released if the request is specific and all sections of this form are completed in full. The broader the request, the more difficult it is to justify under the the DPA)
Requesting Agency Details
Name:………………………………………………………..
Position:……………………………………………………..
Signature:……………………………………………………
Organisation:……………………………………………….
Tel:...... Fax no:……………………………….
Secure email address:…………………………………………………………………………………
(For receipt of report)*
Date of Request:…………………………………………..
Countersigned by :……………………………………….
Signature:…………………………………………………
Position:…………………………………………………..