Home Affairs Committee: Written evidence

The work of the

This volume contains the written evidence accepted by the Home Affairs Committee for the work of the National Crime Agency inquiry.

Date Author Page 130918 Keith Bristow QPM, Head, National Crime Agency 1 130920 Stephen Rimmer, Chair, Serious Organised Crime Agency 6 131015 Keith Bristow QPM, Head, National Crime Agency 9 140331 Keith Bristow QPM, Head, National Crime Agency 16

As at 1 April 2014

1 2 3 4 5 6 7 8 Director General’s Office National Crime Agency 1 Old Queen Street LONDON SW1P 5HP

D 0870 496 5790 E [email protected]

Rt Hon Keith Vaz Chair Home Affairs Select Committee Room 158a 7 Millbank London SW1P 3JA

15 October 2013

Dear Mr Vaz

National Crime Agency

1. Further to your letter of 20 August, my reply of 18 September, and your subsequent letters of 8 October and 10 October, I am writing with further information about the establishment of National Crime Agency (NCA).

2. As per our discussion in session this afternoon, the NCA is unable to provide information about elements of the policing landscape which have not transferred to it. For this reason my letter of 18 September endeavoured to set out a clear position for the Committee only in respect of NCA and its precursors. On receipt of your letter of 8 October, I was of course anxious that the Committee should receive, in full, the information it required, and therefore to obtain your approval for the missing aspects to be dealt with by the , as policy lead. I had understood that this had been granted but clearly we misunderstood your position and requirements in this respect. I would like to apologise to the Committee for any inconvenience this has caused.

3. The three grids in question are contained as appendices to this letter, with appropriate information included. Your grid B did not set out a requirement for information related to UK Borders Agency or the Service. However, for completeness this is included in the amendments we have made to your grid A. Questions in Grid B relating to the wider policing landscape have

9 been referred to Home Office Officials, who will be providing a separate response.

4. In addition, in your letter dated 10 October, sent by email on 14 October, you set out a number of further questions relating to the handling of information, and asked me to come equipped with answers to the session today. I trust that my response today was sufficient, but for clarity set out answers in writing below, using the numbers you have provided:

11) Who now controls the files of previous investigations performed by SOCA?

All the intelligence and information held by SOCA, including in respect of previous investigations led by SOCA, has transferred to the NCA.

12) Where are these files kept?

This information is stored on NCA systems in line with those contained in the Guidance on The Management of Police Information (2010) and the Authorised Professional Practice (APP) applied to police forces in England, Wales and Northern Ireland.

13) How many files have been transferred over from SOCA?

Significant amounts of information and intelligence was transferred across from SOCA to the NCA. To give a give a sense of scale this relates to seven years of SOCA case work and intelligence, in addition to that which transferred into SOCA from its precursors. There are currently 37,000 individuals mapped under organised crime group mapping, and SOCA held information on each of these.

14) Will there be a review of those files conducted by the NCA?

All information and intelligence held by the NCA is reviewed regularly in accordance with the NCA's intelligence handling procedures.

15) If so, when will this review take place?

The information will be reviewed on a rolling ongoing basis. For example where the information relates to an individual or organised crime group (OCG) that is included in organised crime group mapping (OCGM), and is still involved in organised crime, the information will be reviewed as part of the current operational activity against that individual or OCG.

10 16) If so, who will conduct this review?

Information in respect of a mapped organised crime group or individual will be reviewed by the Senior Investigating Officer responsible for that OCG or individual.

5. Finally, I would like to thank you for your encouraging words about the NCA. I look forward to updating the Committee about our progress in the coming months and years.

Yours sincerely

Keith Bristow QPM Director General National Crime Agency

11 The National Crime Agency

• Director General: Keith Bristow • Deputy Director General: Phil Gormley • Director Operations: Trevor Pearce (Gary Chatfield, temp) • Director, Border Policing Command: David Armond • Director, Child Exploitation and Online Protection Command: Peter Davies • Director, Organised Crime Command (OCC): Gordon Meldrum • Director, Economic Crime Command: Trevor Pearce (interim) • Director, Corporate Services: Stephen Webb (interim) • Director, Intelligence: Tim Symington • The Agency will have approximately 4,890 post1s, plus volunteer “NCA Specials”. • 2013-2014 budget: £494m2

AGENCY FUNCTION LOCATION

SOCA Preventing and detecting serious organised crime; and Transferred to NCA (all 4,090 officers contributing to the reduction of such crime in other ways and to Director areas) 2013/14 the mitigation of its consequences. budget: £401m3 The Child Exploitation and Online Protection (CEOP) centre was £16.6m4 affiliated to SOCA and accountable through the SOCA Board.

Including staff and resource from CEOP and NPIA functions. Proceeds of Crime Centre Transferred to NCA (Economic Crime National Command) Police Improvement Agency

188 officers Central Witness Bureau Transferred to NCA transferred (Operations) into SOCA and are in the Crime Operational Support Unit Transferred to NCA figure above. (Operations)

£10m, 2013- Serious Crime Analysis section Transferred to NCA 14 (net; (Operations) included in Specialist Operations Centre Transferred to NCA SOCA budget (Operations)

1 The total posts do not match the officer numbers joining the NCA from precursors due to plans to expand the agency by recruiting additional officers.

2 This comprises £422m resource; £14.3m budgeted income (which has increased since Keith Bristow’s letter to the Chairman of the Committee of 18 September to reflect additional Asset Recovery Incentivisation Scheme income ); £26.2m supplementary funding from other government departments (since the letter of 18 September additional funding has been secured from FCO and DFID); and £16.6m capital from SOCA and £15m additional capital allocation from the Home Office. 3 Resource 4 Capital 12 above) National Missing Persons Bureau Transferred to NCA (Operations)

CEOP Child protection Transfer to NCA CEOP 109 officers Command (included in the SOCA figures above).

£7m, 2013-14 (included in SOCA budget above) UKBA Criminal and Financial Investigation (CFI) teams Transferred to NCA (Border Policing Command) 269 officers

2012/13 budget: £21m 5

Metropolitan Police Central e-Crime Unit Transfer to NCA Police Service (Operations – National Cyber Crime Unit) 78 officers Counter-terrorism No decision has been made 2012/13 on the future of counter- budget: £7m6 terrorism policing structures in England and Wales.

The Home Secretary has been clear that any review will happen only after the NCA is established.

5 Resource 6 National Cyber Security Programme included in Supplementary funding, as referred to in foot note 2. 13 The old landscape of policing

Serious Organised Crime Agency CEOP The new landscape of policing 4,090 officers. £401m resource 109 officers; budget, £16.6m capital (2013/14). £7m budget National Crime Agency (including CEOP and NPIA detailed (2013/14) 4,890 posts; £494m budget (2013/14) elsewhere on this chart)

National Policing Improvement Agency elements transferring to NCA

188 officers. £10m budget (2013/14)

14 GRID C

Number of officers appointed from organisations which have not been subsumed within the NCA and of those a) Post Head Salary Previous role Number of Posts from which organisation they come and b) how many come from each of those organisations

Chief Constable, Warwickshire Director General Keith Bristow £214,722 As below Police Chief Constable, Norfolk Deputy Director General Philip Gormley £181,455 252 Constabulary Deputy Director International, Director, Border Policing David Armond £139,119 621 SOCA Director, Child Exploitation Chief Executive, CEOP and Online Protection Peter Davies £129, 744 (seconded from Lincolnshire 991 Command Police) Director General, Scottish Director, Organised Crime Gordon Meldrum £132, 256 Crime and Drugs Enforcement 120 Command Agency Head of Transport Security Director of Intelligence Tim Symington £105,456 844 Strategy, DfT Trevor Pearce Director of Operations £133,782 Director General, SOCA 2,274 (Gary Chatfield Temp) Interim Programme Director and SRO, Emergency Stephen Webb 2 Director, Corporate Services £86,710 Services Mobile 480 (Interim) Communications Programme, Home Office Trevor Pearce 200 Economic Crime (Interim) 3 Total 4,890 75

1 Some of the functions formerly undertaken by CEOP are now being undertaken by other parts of the NCA. 2 This figure includes 97 staff who are undergoing full time training programmes for future deployment such as on the High Potential Development Scheme and appointment to International Liaison Officer posts. 3 This figure represents the number of inwards secondees.

15 16 17 18 19 20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 NCA Annual Plan 2014/15

35 The NCA’s Mission and Values

Mission ‘Leading the UK’s fight to cut serious and organised crime’

Values & Behaviours Functions

The values and behaviours for the NCA and its officers are: As set out in the Crime and Courts Act 2013, the NCA’s principal functions are: • Flexibility – seeking continuous improvements to the way that we work, adapting to find solutions to difficult problems. • “Crime-reduction”: securing that efficient and effective activities to combat organised crime and serious crime are carried out (whether by the NCA, • Integrity – acting with the highest standards of integrity and professionalism. other law enforcement agencies or other persons).

• Respect – treating everyone with dignity and respect, valuing diversity, • “Criminal intelligence”: gathering, storing, processing, analysing, and working in partnership, and sharing knowledge and best practice. disseminating information that is relevant to any of the following:

• Serving the public – being proud to put public interest at the centre of a. activitieso t combat organised crime or serious crime; everything we do. b. activitieso t combat any other kind of crime; and c. exploitation proceeds investigations (within the meaning of section • Transparency – being truthful, open and accountable for our actions. 341(5) of the Proceeds of Crime Act 2002), exploitation proceeds orders (within the meaning of Part 7 of the Coroners and Justice Act 2009), and applications for such orders.

36 2 NCA Annual Plan 2014/15 The Annual Plan

This s plan i published at the start of 2014/15 and sets out the NCA’s priorities, and how it plans to exercise its functions and build capabilities, for 2014/15 in leading the fight to cut serious and organised crime. It also describes the transformational plans it is developing in order to ensure that the Agency is able to keep pace with technology and develop a workforce that meets the challenges of the future. Specifically, the plan outlines:

The Home Secretary’s Strategic Priorities for the Agency in 2014/15 (pages 4-5)

The Director General’s Operational Priorities for 2014/15 (pages 6-7)

The priority threats from serious and organised crime (page 8)

The operating model through which these priorities will be delivered (page 9)

How the NCA is responding to the Government’s Serious and Organised Crime Strategy, and strategies in devolved administrations (pages 10-11)

How the NCA will measure its delivery and performance (pages 12-14)

How the NCA is meeting the challenges of the future (pages 15-16)

How the NCA is spending its budget to achieve its priorities (page 16)

37 3 NCA Annual Plan 2014/15 Foreword by the Home Secretary

The National Crime Agency was launched on October from serious and organised crime, will help to inform the work of the NCA and 7th 2013, the same day as the Government’s Serious its partners. And the NCA will continue to focus throughout 2014/15 on the and Organised Crime Strategy was published, both strategic priorities I set for the agency last year. events signalling a significant change in this country’s fight against organised crime. In order for the NCA to continue developing into an effective, fully fledged, crime-fighting body, further change is required. The NCA’s Transformation From its inception, the NCA has been designed to be Programme will help to do this. Over the next three to five years, this stronger and more effective than the organisations programme will help to change the way the NCA operates, how it collects and that have gone before. It has a robust mandate, uses intelligence, its scientific and technological capabilities, its people and enhanced intelligence capabilities and – for the first time – the remit its estate. It is an ambitious programme, but one I am confident the NCA and andy authorit to coordinate and task operational activity across all law its officers can ensure succeeds. enforcement agencies. Since its launch, the NCA has made an impressive start. Serious and organised crime impacts on our security, our economy and our Operation Assert – a series of targeted operations around the country – communities. It means drugs are trafficked into this country and sold on our has demonstrated the NCA’s ability to bring its powers to bear on a range streets, illegal guns and other weapons end up in the hands of criminals, of different serious and organised crime. Recoveries from these operations and counterfeit goods such as fake medicines are sold. It threatens the include: significant seizures of illegal drugs, weapons, fraudulently- private sector, our online economy, engages in cyber crime, costs the UK – an obtained identity documents, suspected stolen property as well as cash amount thought to be at least £24 billion – and impacts on the security of our and other proceeds of crime. Operation Assert also demonstrated the borders and the stability of countries strategically important to the UK. NCA’s capability and appetite to work with a range of police forces to achieve operational success. The NCA is at the forefront of the fight against crimes like these in the UK. Through its work I want to see serious and organised crime cut, the people of the UK less Other notable operations since the NCA’s launch include: Operation vulnerable, and more criminals deemed to be “untouchable” brought to justice. Endeavour, which broke up an organised crime group involved in sickening internet based child sexual abuse in The Philippines; Operation Captura’s Io want t send a very simple message to all those involved in organised crime, capture of the 56th out of 76 wanted individuals thought to be on the run whoever, and wherever you are: no one should consider themselves beyond in Spain; and Operation Autumnglow’s rescue of four Romanian men and the reach of the NCA and the law. the referral of a number of vulnerable children into care in a case involving modern slavery. Indeed, tackling modern day slavery is something I have made a priority for the NCA. Over the coming year, I want to see the NCA go from strength to strength. The National Strategic Assessment, a new tool which will provide a single, comprehensive picture of the threat to the UK The Rt. Hon. Theresa May MP

38 4 NCA Annual Plan 2014/15 The Home Secretary’s Strategic Priorities for the NCA

1. The first priority of the Serious and Organised Crime Strategy is the highest priority for the NCA: to identify and disrupt serious and organised crime including by investigating and enabling the prosecution of those responsible (‘Pursue’). The NCA will coordinate this work, leading and supporting operations across five main areas: organised crime; cyber; economic crime; child sexual exploitation and serious and organised crime at, and crossing, our borders.

2. The NCA will support and, where appropriate, lead cross-Government work, locally and nationally, to deliver the three other priorities in the Serious and Organised Crime Strategy: to strengthen protection against and reduce the impact of serious and organised crime (‘Prepare’ and ‘Protect’); and to prevent people becoming involved in serious and organised criminal activity (‘Prevent’).

3. The NCA will continue to develop the technical and human capabilities to deliver these strategic priorities, enabling a step change in our impact on serious and organised criminality.

4. The NCA must maintain close, collaborative and productive relationships with the police and other law enforcement agencies, Police and Crime Commissioners, the intelligence and security agencies, Government departments (in particular with the Home Office), local Government and the private and voluntary sectors, and Devolved Administrations. Subject to protective security and legal requirements, all these relationships must be facilitated by intelligence sharing and transparency regarding NCA priorities and how these are being delivered.

5. Most organised crime has an international dimension. The NCA will maintain representation in and close relationships with priority countries as an integral part of the wider UK government approach in those countries, in order to enable the disruption of all types of serious and organised crime and the delivery of all the strategic priorities stated here.

These strategic priorities will inform NCA planning. Specific operational issues for the NCA may emerge which fall outwith these priorities but within the NCA’s functions as conferred by section 1 of the Crime and Courts Act (‘the Act’). The DG NCA will be responsible for determining whether or not the NCA should pursue such operations (as set out in section 4(1) of the Act). Where the DG NCA considers it necessary, he or she may consult the Home Office.

39 5 NCA Annual Plan 2014/15 Statement by the NCA Director General

The NCA successfully launched in October 2013 as a The NCA is building a close and effective ‘two way’ partnership with law UK wide crime-fighting agency, with a highly visible, enforcement and other partners, to change the way in which the UK tackles national profile. The NCA, which has national and serious and organised crime. Further details can be found in the NCA international reach, is committed to leading the UK’s Commitments to working with partners2. fighto t cut serious and organised crime. This s plan i published at the start of the NCA’s first full operational year. It The Agency has the capabilities to tackle serious will form the basis for how the NCA will lead, support and coordinate the and organised crime in areas that have previously operational response to the threat from serious and organised crime. The had a fragmented response and is improving our NCA will act in accordance with the Government’s Serious and Organised response to those threats where we need to increase Crime Strategy, the aim of which is to substantially reduce the level of serious our impact, for example modern slavery. It holds and organised crime affecting the UK and its interests and will respect the the authoritative intelligence picture of serious and organised crime strategies of the devolved administrations3. organised crime impacting on the UK, and has a clear mandate and the power to task and coordinate the national response1.

The Agency’s focus centres on the relentless disruption of high priority and priority serious and organised criminals and their groups, those presenting the highest risk to the UK and its communities. Our Transformation Programme for 2014/15 and beyond will give the Agency the capabilities, shape, culture, operating model and approach that, despite a challenging Keith Bristow QPM budget settlement, will improve its delivery and make the UK safer. 31 March 2014

1. Annex A describes the NCA’s governance arrangements in detail. 2. The NCA Commitment to Working in Partnership with UK Operational Partners and the NCA Commitment to Working in Partnership with Police and Crime Commissioners. 3. In Scotland, ‘Letting Our Communities Flourish’, and in Northern Ireland, the ‘Northern Ireland Organised Crime Strategy’. 40 6 NCA Annual Plan 2014/15 The DG’s Operational Priorities

The NCA’s National Strategic Assessment sets out law enforcement’s shared understanding of the serious and organised crime threats to the UK; from this, the NCA and its operational partners have agreed a National Control Strategy. This describes the threats, vulnerabilities, cross cutting issues, and organised crime groups operating in the UK and overseas that pose the greatest threats to the UK. It provides a framework that informs the deployment of the UK’s resources against the highest risks. My operational priorities will ensure that the NCA’s resources are deployed to greatest effect against these threats, vulnerabilities, criminals and their groups. The NCA’s overall operational priorities are:

1. Through the NCA’s Intelligence Hub, establish access to a wide range of intelligence and information, analyse it to produce a single comprehensive assessment of the threat and identify opportunities to cut serious and organised crime in the UK.

2. To identify and relentlessly disrupt high priority and priority serious and organised criminals and their groups that cannot reasonably be tackled by partners; for example, those with significant national and international impact, operating across several jurisdictions with a high level of criminal sophistication.

3. To tackle enablers of crime that impact across several threat areas. For example, cyber-enabled criminality where access to the hidden internet facilitates criminal acts such as illicit drugs supply, distribution of images of child abuse and the trade in stolen credit card data.

4. To develop, deploy and maintain specialist national capabilities that are not normally affordable or easily available to partners. This includes covert intelligence, technical equipment and specialist services (such as the Anti Kidnap and Extortion Unit) that will assist both the NCA and its operational partners to deliver their mission.

5. To maintain a flexible and effective overseas liaison network that provides the conduit to work upstream with international partners – to lead, support or coordinate complex international investigations and strengthen the UK’s borders.

6. To become an established national leader that uses its mandate to task and coordinate and ensure that UK law enforcement is deploying its assets against serious and organised crime as effectively and efficiently as possible. The NCA will bring partners together in joint activities to ensure that the highest threats, vulnerabilities, criminals and organised crime groups are the subject of an appropriate operational response.

7. To continue to build its reputation at a local, regional, national and international level as the leader in the UK’s fight to cut serious and organised crime. Through targeted communications and increased transparency, the NCA will raise awareness of the agency, its mission to cut crime and activities to deliver it.

41 7 NCA Annual Plan 2014/15 The Threat from Serious and Organised Crime The National Strategic Tasking and Coordination Group (NSTCG), chaired by the Director General of the NCA, has agreed a National Strategic Assessment (NSA). This assessment provides a single comprehensive picture of the threat to the UK from serious and organised crime. Based on this shared understanding, the NSTCG has also agreed a National Control Strategy for 2014/15, which prioritises, as high priority, priority or significant, the threats and cross cutting issues identified in the NSA along with the organised crime groups operating in the UK and overseas that have an impact on the UK. Together these provide a framework that informs the deployment of the UK’s resources against the highest risks. The Control Strategy outlines mitigating actions to be taken by the NCA and its operational partners in line with the Government’s Serious and Organised Crime Strategy. This has informed the DG’s Operational Priorities and, in turn, the prioritisation of NCA resources to target the highest priority serious and organised criminals and their groups. The Control Strategy includes a wide range of existing and emerging threats against which the NCA will take operational action; a high-level summary of those threats posing the greatest risk is shown below. Child Sexual Organised Organised Prison & Exploitation Cyber Drugs Economic Firearms Acquisitive Immigration Lifetime and Abuse Crime Crime Management Fraud Against the Individual, Human Trafficking Contact Child Sexual OC in prison or Cocaine the Private and Domestic Supply & Modern Slavery Abuse (UK) on remand3 Third Sectors Commercial Malware Robbery Fraud Against Clandestine People The Public Sector Smuggling IIOC1 Viewing International OC in prison Heroin Bribery & & Sharing Corruption/ Supply post conviction3 Sanctions Evasion Facilitation of Threats Illegal Immigration Network Counterfeit Metal Currency OC whilst subject Intrusions New & Synthetic Exploitation of Theft IIOC1 Production to an ancillary order Drugs inc NPS2 legitimate supply Production & Abuse Market Abuse/ of Documents or on licence3 Insider Dealing

Enablers of Cyber Dependent Crime Exploitation of Border Vulnerabilities Money Laundering and Criminal Finance Cross Issues Cutting Cyber Crime as a Service

1. IIOC – Indecent Images of Children. 2. NPS – New Psychoactive Substances. High Priority Priority 3. Continued involvement in Organised Crime. 42 8 NCA Annual Plan 2014/15 Operating Model

Drawing from the National Strategic Assessment, the National Control

Strategy sets out law enforcement’s priorities in response to the threat from National Strategic Assessment Serious and Organised serious and organised crime. Crime Strategy Using the National Control Strategy, the National Strategic Tasking and Coordination Group (NSTCG) allocates threats and cross cutting issues to multi-agency Strategic Governance Groups (SGGs). The SGGs, chaired National Control Strategy by NCA Directors and supported by specialist threat groups where necessary, will produce a Strategic Action Plan to describe the activity to be undertaken by the NCA and its partners to mitigate the threats and risks. Each Strategic Action Plan will align with the Government’s Serious and Organised Crime Strategy, outlining the activity against each of the 4Ps (Pursue, Prevent, Protect, Prepare).

The tasking and coordination cycle coordinates the national law Tactical Strategic enforcement response to threats and risks, and ensures that operational Tasking & Governance Pursue, Prevent, resourcese ar used to maximum impact. National Tactical Tasking is Coordination Groups Protect, Prepare overseen by the NCA’s Deputy Director General (DDG). Decisions for tasking activity will be informed by both the National Control Strategy and the SGGs’ Strategic Action Plans. Threat Threat Threat Threat Groups Groups Groups Groups Thee SGGs ar responsible for ensuring that their 4P response to the threats and s risks i delivered. For all activity led by the NCA, its progress and impact will be captured in the NCA’s performance framework.

More detail on the operating model of the Agency can be found in the NCA Operational Multi-agency Commitment to Working in Partnership with UK Operational Partners. Activity responses

43 9 NCA Annual Plan 2014/15 The NCA’s Response to the Serious and Organised Crime Strategy

PURSUE • Leading, supporting and coordinating its partners to develop a single authoritative intelligence picture of serious and organised crime within the UK. • Focusing on the use of intelligence to better detect and assess those individuals and groups committing and enabling serious and organised crimes, disrupt Prosecute and disrupt their activity and bring them to justice. • Providing the leadership and coordination of the continuous disruption of serious and organised criminals and their groups through effective collaboration people engaged in with Regional Organised Crime Units, police forces and other law enforcement partners and agencies. serious and organised • Developing new capabilities to deal with developments in organised crime. criminality • Attacking criminal finances by recovering illicit profits from serious and organised criminals and their groups, or denying them access to their money and property. • Working internationally in priority countries to combat the full range of threats for which the NCA is responsible.

For example: The NCA will work closely with overseas partners to pursue criminals abroad, including denying proceeds of crime generated in the UK even after they have been transferred out of the country. PREVENT • Deterring people from becoming involved in serious and organised crime by raising awareness of the reality and consequences of committing such offences. • Using interventions to stop people being drawn into serious and organised crime, and using techniques to deter people from continuing in serious and Prevent people from organised crime. • Coordinating the use of prison and lifetime management disruptions as a framework for both Pursue and Prevent, including regional police units, police engaging in serious forces, the National Offender Management Service and other agencies. and organised crime For example: The NCA will use Serious Crime Prevention Orders (SCPOs) and Travel Restriction Orders (TROs) to deter those already engaging in serious and organised crime. PROTECT • Coordinating the UK’s efforts to protect its borders from serious and organised crime. • Supporting the public and private sector to improve its protective security by sharing intelligence and innovation on how to mitigate serious and organised Increase protection crime threats. against serious and For example: The NCA will protect the public and businesses from economic crime by creating a focus on education and prevention across all potential organised crime corporate, governmental and individual victims. PREPARE • Deploying specialist capabilities and resource to respond to both serious and organised crime incidents and other crime types that remain the responsibility of other law enforcement partners. Reduce the impact • Working with communities, and for victims and witnesses, to support them in responding to serious and organised crime. ofs thi criminality For example: The NCA will educate young people, carers and teachers to equip them with the knowledge to report abuse and access support in order to tackle where it takes place child sexual abuse and exploitation and prevent further harm.

44 10 NCA Annual Plan 2014/15 Exercise of NCA Functions in Scotland and Northern Ireland

‘The crime fighting reach of the NCA will extend UK-wide and The NCA in Scotland continues to collaborate with the overseas, recognising and respecting the primacy of those in Fugitives Team, and provides a gateway to the NCA’s network of International whose territories it operates’. Liaison Officers to aid in its efforts to locate and arrest criminals who have brought harm to the communities of Scotland. In Scotland and Northern Ireland, responsibility for policing and criminal In Northern Ireland, the NCA will contribute to setting the objectives of the justice are devolved matters. As a UK-wide agency, the NCA adapts to the Northern Ireland Organised Crime Strategy, 2012-2014 and will work in different operational, legislative and political environments within these partnership with the Police Service Northern Ireland and other law enforcement jurisdictions to ensure it is correctly placed to contribute to the fight against agencies within Northern Ireland towards achieving these objectives and serious and organised criminal activity across the whole of the UK. continueso t engage with the Organised Crime Task Force Stakeholder Group. In Scotland, the NCA will continue to work in partnership with Police Scotland In Northern Ireland, the absence of a Legislative Consent Motion (LCM)1 from the and other law enforcement agencies to contribute to achieving the objectives Northern Ireland Executive in relation to the Crime and Courts Act 2013 limits the of the strategy for tackling serious organised crime in Scotland: ‘Letting Our NCA’s o remit t tackling serious and organised crime to excepted and reserved matters Communities Flourish’. which includes customs offences, immigration crime and some asset recovery work. The NCA will contribute to the work of the Scottish Serious Organised Whilst the absence of an LCM prevents NCA officers from being designated Crime Taskforce and the production of the Scottish Multi-Agency Strategy with the powers of a constable, they can still be designated with the powers Threat Assessment. of a customs officer and the powers of an immigration officer and it is through the exercise of these powers that the NCA will seek to make a meaningful In Scotland, the performance of the NCA’s functions is governed by contribution in the fight to cut serious and organised crime in Northern Ireland. Memoranda of Understanding (MoUs) with Scottish Ministers and with the Lord Advocate’s Office. The Director General can therefore designate Discussions around the LCM are ongoing in the hope of finding a resolution appropriately-qualified NCA officers with the Powers of Scottish Constable. acceptable to all parties. In February 2014, the NCA in Scotland co-located with Police Scotland and The NCA is engaging with partners in the Devolved Administrations and with other partners at the Scottish Crime Campus in Gartcosh. This co-location has the Home Office to ensure that all jurisdictions within the UK understand the allowed for the creation of a Joint Intelligence Development Unit which will aid scope and nature of the NCA and are able to benefit from the opportunities the sharing of intelligence between the NCA and Police Scotland and facilitate that the Agency offers. more joint operational activity.

1. The Northern Ireland Executive did not agree to take forward a legislative consent motion for the Agency in Northern Ireland and as a result there are restrictions on the Agency’s powers and activities in Northern Ireland. Part 1 of the Crime and Courts Act 2013 is subject to Schedule 24 (The NCA: Northern Ireland) and the Agency’s functions under the Proceeds of Crime Act are subject to the National Crime Agency (Limitation of extension to Northern Ireland) Order 2013. 45 11 NCA Annual Plan 2014/15 Disruption Assessment

The NCA’s operational activities against serious and organised criminals and their The relentless disruption of high priority and priority serious and organised groupse ar tasked with the aim of disrupting their criminality. Covert activities – criminals and their groups is a performance indicator for the NCA which will such as surveillance and intelligence development – will not themselves disrupt; be scrutinised as part of the NCA’s performance framework. The table below however, they will underpin the operational activity that does. setsw out ho the NCA will capture and measure it; this approach has been developed in consultation with the NCA’s law enforcement partners. Any law enforcement activity that is intentionally evident to the groups and individualss i potentially a disruptive event. This provides an indication of whether or not the NCA is ‘relentlessly disrupting’. However, it does not assess the cumulative ‘impact’ of those disruptions over a period of time. To know whether or not the NCA is cutting crime, we must understand that impact.

Who? The NCA is committed to the relentless disruption of high priority and priority serious and organised criminals and their groups impacting on the UK. What? Disruption has been achieved when a criminal or crime group is unable to operate at its usual level of activity for a significant period. A disruption may be achieved by any activity covered by Pursue, Prevent, Protect, or Prepare and will have involved some form of intervention, prompted by the appropriate agency, which has resulted in an assessable output or outcome. Why? Relentless disruption of high priority and priority criminals and their groups is central to cutting serious and organised crime. It is a key performance indicator for the NCA. How? The NCA will capture all its operational activity against serious and organised criminals and their groups and record all events aimed at disrupting them. It will then assess the cumulative impact of these events – taking into account the wider intelligence picture and applying independent professional judgement.

The overall impact will be assessed in one of four categories: Major, Moderate, Minor, None. When? Assessment will take place at regular periods as part of the operational tasking review. The frequency will be dependent on the level of threat posed by the criminal group or individual.

46 12 NCA Annual Plan 2014/15 Performance The Home Secretary holds the Director General to account for performance of the NCA against four key performance questions (KPQs) on a quarterly basis. On a monthly basis, the DDG will report NCA performance to the NCA Board. The four KPQs are supported by a number of sub-questions which are set out below.

KPQ1 How comprehensive is the NCA’s understanding KPQ2 How effective is the NCA’s response to these of the threats? threats? High confidence in a single national intelligence picture to lead the UK’s The NCA relentlessly disrupts high priority and priority serious and organised criminals and prioritised law enforcement response against serious and organised criminals their groups affecting the UK and their groups 2.1 Does the NCA’s internal tasking ensure that resources are deployed effectively to cut serious 1.1 e Is ther a good level of understanding about the scale and nature of the threats and is there and organised crime? transparency about the intelligence gaps? 2.2 Is the NCA effective at relentlessly disrupting high priority and priority serious and organised 1.2 Is the mapping and understanding of serious and organised criminals and their groups criminals and their groups? complete and does it cover all threat areas? 2.3 Is the NCA effective at identifying and pursuing the criminal finances of high priority and priority 1.3 e Is ther a good level of understanding of those serious and organised criminals and their serious and organised criminals and their groups? groups that present the highest threat to the UK? 2.4 Is the NCA using its powers and criminal justice based disruptions to cut serious and organised crime? 1.4 Are the NCA’s strategic intelligence products useful to the Agency and its partners? 2.5 Is the NCA innovative and effective at using non-traditional interventions to cut serious and 1.5 Is the NCA’s tactical intelligence informing the Agency’s and partners’ operational responses? organised crime?

The NCA Vision To be a world-class law-enforcement agency, internationally recognised and respected for leading the fight to cut serious and organised crime

KPQ3 How effective is the NCA at working KPQ4 How effectively does the NCA with partners? manage resources? NCA is effective at leading, supporting, coordinating and its capabilities add value to An agile and flexible Agency with well led and highly motivated officers having access to the partners’ activities to identify and disrupt serious and organised criminals and their groups capabilities required to identify and disrupt serious and organised criminals and their groups 3.1 Is the NCA effectively leading, supporting and coordinating the national response to tackle 4.1 Is the NCA’s Transformation Programme delivering the planned operational benefits on time serious and organised criminals and their groups? and in budget? 3.2 Does the NCA provide a valued and useful service to partners through its range of specialist 4.2 Is the NCA an employer of choice that has effective, highly skilled, capable and motivated capabilities? officerso t deliver its mission? 3.3 Do partners have confidence in the bureau functions that the NCA provides on behalf of the UK? 4.3 Does the NCA’s estate enable officers to work securely, flexibly and efficiently to deliver the Agency’s mission? 3.4 s What i the NCA’s reputation at a local, regional and international level? 4.4 Does the NCA’s technology enable officers to work securely, flexibly and efficiently to deliver the 3.5 Is the NCA an active and effective partner in the multi-agency effort to collect against unpaid Agency’s mission? confiscation orders? 4.5 Does the NCA demonstrate commercial sense and sound financial management? 4.6 Is the NCA well prepared for unexpected events that disrupt its own capabilities and activities? 4.7 Is performance management embedded at all levels of the Agency; does it drive delivery and inform decision making? 47 13 NCA Annual Plan 2014/15 Planning the Delivery

For the first time, the NCA Group: Drives: Meets every: will lead a national structure National Strategic Assessment National Strategic Tasking and National Control Strategy 6 months dedicatedo t the effective Coordination Group coordination of the UK’s fight National Intelligence Requirement Assessment of the threat from against serious and organised National Strategic Intelligence Group crime. The key events to secure serious and organised crime Serious and Organised Crime delivery of the NCA’s Crime- Serious and Organised Crime Strategy Strategy Board Reduction function, ‘to secure that efficient and effective Strategic Governance Groups National Control Strategy Strategic Action Plans Quarter activitieso t combat organised DDG Directorate NCA Directorate Performance and Delivery crime and serious crime are Performance and Delivery carried out (whether by the Home Secretary NCA Performance NCA, other law enforcement NCA Performance Review agencies or other persons)’, National Tactical National operational response to high priority and 8 weeks are set out here. Tasking and Coordination Group priority serious organised criminals and their groups

This diagram depicts the NCA Board NCA direction, performance and delivery Month frequency and ownership of Allocation of high priority and meetings but not the relative National Tactical priority serious organised criminals and hierarchy or interconnections. Intelligence Group their groups to forces/agencies for response NCA Tactical Intelligence 4 weeks and Operations Group Relentless disruption of high priority and Agency Delivery Meeting priority serious organised criminals and their groups tasked to the NCA based on the latest assessment of the threat

Ministerial Serious Organised Understanding of the latest threat to the Fortnight Crime Meeting UK and the operational response

NCA Daily Brieng Meeting Planning of signicant operational plans, urgent operational and Day National Daily Brieng Meeting intelligence requirements

Her Majesty’s Government National Tasking & Coordination NCA/Regional

48 14 NCA Annual Plan 2014/15 NCA Transformation

NCA Transformation, led by the Deputy Director General, commenced The Programme will give the agency the capabilities, shape, culture, in January 2014 to support a three-to-five year programme of change. operating model and approach that, despite a challenging budget settlement, This activity is underpinned by four programmes to be formally launched further improves the NCA’s delivery. Every change that is made will be driven in April 2014: Operational Transformation; Science and Technology; by the operational need and imperative to deliver at greater pace and impact People; and Estates. on the strategic priorities set by the Home Secretary. Over the next three to five years, the strands will scope, design and then deliver:

Operational Transformation: implementing new operating models for investigation and intelligence handling – the end to end process at both a strategic and tactical level – reflecting the need for the agency to exploit fully all sources of information including digital. This work will deliver a sustainable operating model, building on our evidence base of what works in tackling serious and organised crime. The Deputy Director General is already leading the integration of work undertaken over the last few months, to deliver a whole systems approach and connectivity across Commands, reflecting the disruption model, tasking and coordination improvements and rigorous performance management and accountability. The Agency has established an Innovation Centre with the remit to scope, test, and exploit new methods of working, ultimately improving our operational effect. It will work in collaboration with partners to develop strategic, operational and tactical solutions.

Science and Technology: including all ICT enhancements, transformational ICT projects and projects delivering operational equipment to the Agency. The NCA will be working with the Home Office to identify capability requirements and delivery options across the physical and social/behavioural sciences as s well a operational research areas.

People: ensuring that the NCA has a structure and resource to deliver against the strategic priorities and which is aligned in terms of skills, locations, flexibility etc, to the requirements of the agency, while also being able to operate primarily in a technology enabled environment.

Estates: the NCA Estates Transformation Strategy aims at a major consolidation to 17 UK sites from 35 by 2019, focusing on core hubs and co-location with regional law enforcement partners. This strategy will guide property asset management and investment decisions. As set out in the Serious and Organised Crime Strategy, the NCA shall, wherever appropriate, be sharing operational capabilities and property services with ROCUs (Regional Organised Crime Units) and CTUs (Counter Terrorism Units).

49 15 NCA Annual Plan 2014/15 Delivering Transformation NCA Resources in 2014/15 • As a non-ministerial government department the NCA secures its funding directly through its own Supply Estimate, voted by Parliament, expected to Delivery in 2014/15 will include: be published in April 2014.

• The design and initial implementation of an operating model to • For 2014/15, the NCA has provide the NCA with the ability to capture, exploit and generate –– a resource Departmental Expenditure Limit (DEL) of £418m. evidential and non-evidential material from the broadest range of sources. This design will align all current change activity and ensure –– A capital DEL of £46m. future investment keeps pace with rapidly evolving digital technologies, • These budgets cover the costs of the full range of the NCA’s activities over the capabilities and methods to exploit the increasing dependency of coming year, set out elsewhere in the Annual Plan. serious and organised criminals on internet-related information;

• Building on the NCA’s skilled workforce, recruiting up to 400 new NCA trainee officers. The new recruits will undergo a two-year training NCA budgets 2014-15 £m programme, following successful conclusion of which they will become Resource DEL 418 fully-fledged NCA officers and be at the forefront of the UK’s fight to cut of which: Administration 30 serious and organised crime; Programme 388 of which: depreciation 37 • Taking steps towards a more empowered and innovative workforce by introducing more effective and efficient management structures, thereby Capital DEL 46 eliminating overlaps in hierarchy and increasing job satisfaction; Total DEL (excluding depreciation) 427

• Delivery of a new modern desktop solution for NCA officers, together with improved mobile capabilities which will transform the way they work and enabling greater flexibility, efficiency, and collaboration;

• Consolidation of the NCA’s regional estate, including increasingly sharing operational capabilities and property services with ROCUs (Regional Organised Crime Units) and CTUs (Counter Terrorism Units).

50 16 NCA Annual Plan 2014/15 Annex A: NCA Leadership, Governance & Accountability

The NCA is a Non-Ministerial Department. The Director General is appointed The Deputy Director General is responsible for leading the day-to-day by, and directly accountable to, the Home Secretary and, through the Home operations of the Agency and is directly accountable to the Director General. Secretary, to Parliament. The Home Secretary determines the strategic The Deputy Director General drives the performance of the NCA and is priorities for the NCA and will hold the Director General to account for the responsible for the operational delivery of the Agency’s law enforcement effective discharge of the NCA’s functions, with the support of Home Office response to serious and organised crime. officials. The Director General has independent operational command of NCA activities. The role and responsibilities of the Home Secretary and Government The Board of the NCA with effect from April 2014 will be: are set out in greater detail in the Framework Document for the NCA. Keith Bristow QPM Director General (Chair) To ensure that the NCA is an open and transparent agency, the Director Phil Gormley QPM Deputy Director General General has a statutory duty to make arrangements for publishing David Armond QPM Director Border Policing Command information, set out in Annex A of the Framework Document and to publish Johnny Gwynne Director CEOP Command such information about the exercise of the NCA’s functions and other matters Gordon Meldrum QPM Director Organised Crime Command relating to the NCA. Trevor Pearce CBE QPM Director of Investigations Donald Toon Director Economic Crime Command The NCA will be subject to inspection by relevant statutory bodies in England Tim Symington Director of Intelligence and Wales and those in the Devolved Administrations. There will be a zero Stephen Webb Director Corporate Services (Interim) tolerance approach to corruption and a timely and appropriate response to [to be announced] Director of National Cyber Crime Unit complaints from the public. Justin Dowley Non-Executive Director Sir Jonathan Evans KCB Non-Executive Director The NCA Director General is responsible for everything the NCA does Jane Furniss CBE Non-Executive Director operationally and administratively. He is the leader of the NCA and ultimately Dr Stephen Page Non-Executive Director responsible for the appointment, direction of, and designation of powers to, our officers. As Accounting Officer, he is responsible for the NCA’s expenditure Thes Board i additionally attended by advisers and observers as invited by and accounting arrangements. the Chair.

The Director General chairs the NCA Board which includes non-executive Thes Board i supported by a number of sub-Committees, including an Audit members. In line with Government best practice, the responsibility of and Risk Assurance Committee chaired by a Non-Executive Director. the Board includes providing strategic clarity, commercial sense, talent management and performance monitoring of the NCA. Summary records of Board meetings and of Board Members’ Registers of Interests, gifts and hospitality, and expenses are published on the NCA website.

51 17 NCA Annual Plan 2014/15 Publishedy b the National Crime Agency © Crown Copyright 2014 52 18 The NCA Commitment to Working in Partnership with UK Operational Partners

March 2014

53 The NCA Commitment to Working in Partnership with UK Operational Partners

Introduction

1. The NCA’s mission is to lead the UK’s fight to cut serious and organised crime1. The Crime and Courts Act 2013 provides the legislative basis for the NCA which is at the centre of the reformed policing landscape.

2. The NCA Framework Document, presented to Parliament in October 2013,2 sets out the roles and responsibilities of the Director General (DG) of the NCA, which apply to NCA activity both in the UK and overseas. Section 7 includes:

• ‘The NCA will work collaboratively with other government departments, UK police forces and law enforcement agencies, and Island police forces and law enforcement agencies.

• The DG will establish a strong relationship with the Scottish Police Authority and the Northern Ireland Policing Board in respect of the Agency’s activity in Scotland and Northern Ireland. The NCA will be an active member of the Northern Ireland Organised Crime Task Force and the Scotland Serious Organised Crime Task Force’.

3. The NCA will have strong, two-way links with UK and Island police forces, and other law enforcement and Security and Intelligence agencies that are key UK operational partners (referred to hereafter as UK operational partners). The NCA will respect the devolution of powers, recognising the primacy of those in whose territories it operates. The NCA will have open and transparent working relationships with UK operational partners in order to maximise overall impact, working to relentlessly disrupt criminal activity.

4. The DG NCA has been empowered by Parliament with statutory powers to give direction. The DG has powers to direct a chief officer of a police force in England and Wales and the (BTP) to undertake a specific operational task, or to assist another partner or the NCA with a specific task. The NCA’s directed tasking and assistance arrangements in regard to an England and Wales police force will as a matter of policy also extend to Border Force officers or other Home Office officials who carry out border, immigration and customs related functions which are under the direction and control of the Home Secretary. These arrangements will be the subject of a separate protocol between the Home Secretary and the Director General.

5. The NCA will work collaboratively with chief officers to ensure that tasking is voluntary, based on cooperative relations and shared priorities with law enforcement partners having the opportunity to draw on the NCA’s specialist capabilities. The NCA will not charge for services provided, or support afforded to local and regional police capabilities, unless by exception and agreement.

1 This is aligned with the aim of the Serious and Organised Crime Strategy which is to substantially reduce the level of serious and organised crime affecting the UK and its interests. It will contribute to the Government’s objective to cut overall crime and to the National Security objectives of ensuring a secure and resilient UK and shaping a stable world. 2 Pursuant to para 6 (2) (c) of Schedule 2 to the Crime and Courts Act (2013). 54 2 The NCA Commitment to working in partnership with UK operational partners 6. The first priority of the Serious and Organised Crime Strategy is the highest priority for the NCA: to identify and disrupt serious and organised crime including by investigating and enabling the prosecution of those responsible (‘Pursue’)3. The NCA’s operational priorities, determined by the DG, will guide its day-to-day decision making. The NCA commitment to UK operational partners is that it will:

• identify, assess and disrupt serious and organised crime – including priority and high priority organised crime groups (OCGs) and individuals;

• develop and deploy specialist national capabilities which are not normally affordable or easily available to partners;

• act when there is an immediate need for urgent action; and

• act where activity is beyond the capability of partners.

7. This document sets out in more detail how the NCA Commitment will work day-to-day. It is vital that the NCA has effective two-way working relationships with UK operational partners in order to leverage the collective knowledge and skills of all agencies to cut serious and organised crime4. This document details:

• How the NCA will work with UK operational partners to cut serious and organised crime;

• How the NCA will work with UK operational partners to determine who is best placed to lead on operational activity; and

• The range of NCA specialist assets and capabilities available to UK operational partners.

How the NCA will work with UK operational partners to cut serious and organised crime

8. The overall aim of the NCA, as set out in the refreshed Serious and Organised Crime Strategy (2013), is to lead the UK’s fight to cut serious and organised crime. The NCA:

• Has a multi-skilled workforce of more than 4,000 officers with the specialist capabilities to undertake operations to cut serious and organised crime across the UK, and to provide specialist support to UK operational partners;

• Has a wider remit than its precursors to tackle serious and organised crime, strengthen the UK border, fight fraud and cyber crime and protect children and young people from sexual abuse and exploitation. The NCA will provide leadership in these areas through its four Commands:

–– Organised Crime Command (OCC) –– Border Policing Command (BPC) –– Economic Crime Command (ECC) –– CEOP Command (CEOP)

• Will provide leadership to tackling the threat from cyber crime through its National Cyber Crime Unit (NCCU).

3 The first strategic priority for the NCA is set by the Home Secretary. 4 As per the Framework Document, there are specific arrangements to secure this with Scotland and Northern Ireland. 55 3 The NCA Commitment to working in partnership with UK operational partners • Will work with partners to develop an authoritative UK intelligence picture of serious and organised crime to drive joined-up operational activity. This will be undertaken by a multi-agency Intelligence Hub, incorporating the Organised Crime Coordination Centre (OCCC);

• Ensures the response to serious and organised crime is joined up by coordinating and tasking the national response, enabling the NCA to prioritise its effort and effectively deploy its resources locally, regionally, nationally, at the border and overseas. For example, the NCA will post Senior Manager Regional Organised Crime Coordinators (ROCCs), and other NCA officers as appropriate, within all Regional Organised Crime Units (ROCUs);

• Has an enhanced international role working with partners to cut serious and organised crime through a network of international Liaison Officers; and

• Undertakes investigations and delivers operational results with partners through the use of operational capabilities, flexibly deployed across the Command and NCCU threat areas to deliver criminal justice outcomes, asset recovery and denial, prevention and other disruption activity.

How the NCA will work with UK operational partners to determine who is best placed to lead on operational activity

9. The NCA’s crime reduction function is described in the Crime and Courts Act 2013 as ‘securing that efficient and effective activities to combat organised crime and serious crime are carried out (whether by the NCA, other law enforcement agencies, or other persons)’. The NCA therefore has the responsibility to lead the overall effort to tackle serious and organised crime, as well as a set of specific statutory and national responsibilities (inherited from its precursor agencies) to carry out in conjunction with UK law enforcement (set out at Annex A). The NCA is not, however, restricted to responding to particular crime types or offences. It operates in response to a broad range of threats and risks, many of which also remain the responsibility of other UK law enforcement agencies.

10. The NCA is intelligence-led and prioritises those operations or activities which best cut crime, taking into account risks, threats and opportunities, and the capacity and capabilities of the NCA and/or partners. This approach has been developed in consultation with partners.

11. The NCA makes daily decisions using the National Decision Model5 regarding the allocation of its resources, including determining who is best placed to lead on operational activity:

• Lead – where appropriate the NCA will lead the operational response itself, taking responsibility for managing the operational risk, in particular by investigating and enabling the prosecution of those responsible (‘Pursue’)6. The NCA will also lead activity to strengthen protection against and reduce the impact of serious and organised crime (‘Prepare’ and ‘Protect’); and to prevent people becoming involved in serious and organised criminal activity (‘Prevent’). On NCA-led operations it will work in collaboration with UK operational partners, who may support the response;

• Support – the NCA will provide support to partners to help them meet their objectives; by working in partnership; and, by providing specialist resources or services; and,

• Coordinate – the NCA will bring together partner agencies to coordinate the best law enforcement response.

5 A values-based tool to provide a simple, logical and evidence-based approach to making policing decisions approved by ACPO. 6 Pursue, Prevent, Protect and Prepare are the objectives of the framework used in the Serious and Organised Crime Strategy to achieve its aim of substantially reducing the level of serious and organised crime affecting the UK and its interests. 56 4 The NCA Commitment to working in partnership with UK operational partners 12. The NCA is transparent with UK operational partners about the circumstances under which it will act. Under its National Tasking and Coordination role, the NCA makes decisions based on an authoritative picture of the threat and applies a series of tests in order to judge whether it leads, supports and/ or coordinates particular pieces of activity. The Commitment and the specific tests were developed in consultation with partners. This is in order to ensure that the NCA’s activity is closely linked to regional multi-agency tasking processes. The commitment and tests are aligned to the NCA’s strategic and operational priorities, and sit within the framework of new National Intelligence Model (NIM) national and regional tasking and coordination structures:

The NCA acts in line with its strategic and operational priorities. Detail on the NCA’s strategic and operational priorities can be found in Annex B.

• The NCA strategic priorities are set by the Home Secretary, in consultation with the NCA DG and the NCA’s strategic partners.

• The NCA operational priorities are set by the DG NCA, who has overall responsibility for which operations the NCA will undertake and how they are conducted. These are based on a shared national understanding of criminality and the threats (the National Strategic Assessment)7, and the response (the National Control Strategy and the National Intelligence Requirement). The high-level group which oversees this is the multi-agency National Strategic Tasking and Coordination Group (NSTCG) which meets every six months and is chaired by DG NCA.

• The National Control Strategy identifies which agencies will lead on, and contribute to, actions to mitigate threats and cut crime. This includes how the NCA will lead, support and/or coordinate activity. The National Control Strategy also informs the NCA’s Control Strategy and, in turn, determines the prioritisation of NCA resources via its NCAT capability.

• The multi-agency National Tactical Tasking and Coordination Group (NTTCG) meets every 8 weeks and is chaired by the NCA’s Deputy Director General (DDG). The role of NTTCG is to ensure that operational activity aligned to the National Control Strategy is on track and, where necessary, to coordinate the national law enforcement response to specific threats or risks. NTTCG is attended by NCA Directors (Commands, Intelligence, and Investigations), Heads of NCCU and NCAT, and senior representatives of all UK operational partners.

• More detail on the national and regional tasking and coordination structures can be found at Annex C.

13. The NCA is mindful of partners’ statutory duties or responsibilities when considering whether to act against a particular form of criminality. The NCA, like any other UK law enforcement agency, will need to make hard choices about which activities to prioritise on any given day, taking into account the risks of de-prioritising other work.

14. The NCA makes decisions based on a comprehensive intelligence picture (from the Intelligence Hub) and works closely with UK operational partners to determine the most appropriate response, which may vary according to the specific operational circumstances. The professional judgement of NCA officers and UK operational partners will be key to arriving at pragmatic responses to particular circumstances.

7 This assessment provides a single comprehensive picture of the threat to the UK from serious and organised crime.

57 5 The NCA Commitment to working in partnership with UK operational partners 15. Over the lifecycle of a single operation or activity the NCA may undertake lead, support and/or coordination of activities. For example:

• An organised crime group is engaged in Cash and Valuables in Transit (CVIT) armed robberies, in a particular region. The activity is led by one of the forces, with NCA providing armed surveillance and technical collection support. The impact of the law enforcement activity results in displacement of the CVIT activity across a number of regions. In this case the lead responsibility for tackling the OCG may move to the NCA, with continuing intelligence and enforcement support from forces/others to deliver operational results.

16. Further operational examples are set out at Annex D.

NCA specialist assets and capabilities available to UK operational partners

17. The national response to serious and organised crime requires capacity and capabilities beyond those of any one part of UK law enforcement, including the NCA. A close and effective partnership with UK operational partners locally, regionally and nationally is required. In line with the Strategic Policing Requirement (SPR), UK operational partners will need to continue to develop their own capabilities to tackle serious and organised crime and to meet their respective statutory obligations.

18. The NCA’s role, leading the overall effort to tackle serious and organised crime, means that it will support UK operational partner activity by sharing its own specialist assets and capabilities. At times, the NCA may need to access specialist assets and capabilities held by UK operational partners. In particular, the NCA will rely on police forces and agencies to proactively share intelligence, to enable it to have the comprehensive picture of the threat from serious and organised crime (the National Strategic Assessment).

19. The threat and risk across the UK is not consistent, nor are the remits of the UK operational partners; and so the way tasking and resourcing decisions are reached may vary from agency to agency. Should the NCA need to access police force capabilities or capacity, it will do this primarily through an effective regional tier, namely the ROCUs. The Regional tasking and intelligence arrangements coordinated by the ROCUs will provide an effective two-way forum through which to coordinate operational activity, pass sensitive intelligence and access specialist capabilities with the police, as well as some national law enforcement agencies.

20. There is equally a requirement for effective two-way engagement directly between the NCA and UK operational partners for these purposes. The threat in some regions is such that the large metropolitan police forces (such as MPS, West Yorkshire, Greater Manchester, West Midlands and Merseyside) as well as the Police Service of Northern Ireland (PSNI) and Police Scotland will sometimes require a different approach to tackle a particular threat.

21. The NCA has many of the specialist capabilities that UK operational partners may need to access to effectively tackle the operational threats they face. The sharing of these capabilities will continue to be important. A summary of the NCA’s operational capabilities is attached at Annex E.

58 6 The NCA Commitment to working in partnership with UK operational partners Annex A: NCA Statutory and National Responsibilities

1. These include:

• UK Financial Intelligence Unit (UKFIU) and Terrorist Finance Team. Receiving, analysing and disseminating financial intelligence submitted through the Suspicious Activity Reports (SARs) Regime. Conduit to FATF (Financial Action Taskforce) and EGMONT – (Egmont Group of Financial Intelligence Units);

• UK National Referral Mechanism (NRM) for trafficked victims; making decisions on the trafficked status of European Economic Area (EEA) nationals and working with the Home Office regarding non- EEA nationals;

• National Child Abuse Images Database;

• UK Protected Persons Service (Central Bureau); and

• Project SINCERITY (UK law enforcement engagement in Afghanistan (FCO-funded)).

2. The NCA acting as:

• the conduit between police forces and the intelligence agencies in England and Wales;

• the single point of contact with the military on organised crime (via MAMIC);

• the UK’s National Central Office for the Suppression of Counterfeit Currency (UKNCO); and

• an enforcement authority for Civil Recovery cases.

3. The NCA:

• safeguarding and promoting the welfare of children in England and Wales;

• producing statistics on drug market dislocation through ENDORSE;

• Leading on national assessments of the threat posed by corruption to UK law enforcement; to support anti-corruption capability building in support of overseas partners (such as new EU Member States); and, to represent UK law enforcement in international fora;

• providing co-ordination and deconfliction services (National Flagging Service, National Compromise and National Source Databases);

• continuing the Serious Crime Analysis, Missing Persons, Witness and Proceeds of Crime Services and Crime Operational Support (including the National Injuries Database) transferred from the former NPIA;

• producing the National Disruptions Manual;

59 7 The NCA Commitment to working in partnership with UK operational partners • providing specialist operational support to partners in respect of the most serious cyber crime cases;

• coordinating UK law enforcement engagement with international law enforcement partners, including Interpol and Europol gateways and, from 2014, the SIRENE functions;

• managing European Arrest Warrants (EAWs);

• carrying out data preservation emanating from an Interpol or G8 request on cybercrime;

• triaging referrals to the CEOP Referral Bureau from members of the public, or private or voluntary sector organisations until another lead is identified;

• providing covert intelligence collection and lawful intercept to UK operational partners;

• supporting investigations of illicit laboratories with the Hazardous Environment Support Team; and

• supporting kidnap/extortion operations (UK-based or involving UK nationals overseas).

60 8 The NCA Commitment to working in partnership with UK operational partners Annex B: NCA Strategic and Operational Priorities

1. The strategic priorities of the NCA, set by the Home Secretary, reflect the priorities set out in the refreshed Serious and Organised Crime Strategy.

2. These strategic priorities inform NCA business planning. Specific operational issues for the NCA may emerge which fall outwith these priorities but within the NCA’s functions as conferred by Section 1 of the Crime and Courts Act 2013. The DG NCA is responsible for determining whether or not the NCA should pursue such operations (as set out in section 4(1) of the Act). Where the DG NCA considers it necessary, he or she may consult the Home Office. The Home Secretary set five strategic priorities for the NCA:

• The first priority of the Serious and Organised Crime Strategy is the highest priority for the NCA; to identify and disrupt serious and organised crime including by investigating and enabling the prosecution of those responsible (‘Pursue’). The NCA will coordinate this work, leading and supporting operations across five main areas: organised crime; cyber; economic crime; child sexual exploitation and serious and organised crime at, and crossing, our borders.

• The NCA will support and, where appropriate, lead cross-Government work, locally and nationally, to deliver the three other priorities in the Serious and Organised Crime Strategy: to strengthen protection against and reduce the impact of serious and organised crime (‘Prepare’ and ‘Protect’); and to prevent people becoming involved in serious and organised criminal activity (‘Prevent’).

• The NCA will continue to develop the technical and human capabilities to deliver these strategic priorities, enabling a step-change in the UK’s impact on serious and organised criminality.

• The NCA must maintain close, collaborative and productive relationships with the police and other law enforcement agencies, Police and Crime Commissioners, the intelligence and security agencies, Government departments (in particular with the Home Office), local government and the private and voluntary sectors. Subject to protective security and legal requirements, all these relationships must be facilitated by intelligence-sharing and transparency regarding NCA priorities and how these are being delivered.

• Most organised crime has an international dimension. The NCA will maintain representation in, and close relationships with, priority countries as an integral part of the wider UK government approach in those countries, in order to enable the disruption of all types of serious and organised crime and the delivery of all the strategic priorities stated here.

3. The NCA’s overall operational priorities, aligned to the strategic priorities, are:

• Through the NCA’s Intelligence Hub, establish access to a wide range of intelligence and information, analyse it to produce a single comprehensive assessment of the threat and identify opportunities to cut serious and organised crime in the UK.

• To identify and relentlessly disrupt high priority and priority serious and organised criminals and their groups that cannot reasonably be tackled by partners; for example, those with significant national and international impact, operating across several jurisdictions with a high level of criminal sophistication.

61 9 The NCA Commitment to working in partnership with UK operational partners • To tackle enablers of crime that impact across several threat areas. For example, cyber-enabled criminality where access to the hidden internet facilitates criminal acts such as illicit drugs supply, distribution of images of child abuse and the trade in stolen credit card data.

• To develop, deploy and maintain specialist national capabilities that are not normally affordable or easily available to partners. This includes covert intelligence, technical equipment and specialist services (such as the Anti Kidnap and Extortion Unit) that will assist both the NCA and its operational partners to deliver their mission.

• To maintain a flexible and effective overseas liaison network that provides the conduit to work upstream with international partners – to lead, support or co-ordinate complex international investigations and strengthen the UK’s borders.

• To become an established national leader that uses its mandate to task and coordinate and ensure that UK law enforcement is deploying its assets against serious and organised crime as effectively and efficiently as possible. The NCA will bring partners together in joint activities to ensure that the highest threats, vulnerabilities, criminals and organised crime groups are subject of an appropriate operational response.

• To continue to build its reputation at a local, regional, national and international level as the leader in the UK’s fight to cut serious and organised crime. Through targeted communications and increased transparency, the NCA will raise awareness of the agency, its mission to cut crime and activities to deliver it.

4. The NCA will deliver activity in support of these operational priorities using the four ‘Ps’ of the Serious and Organised Crime Strategy:

Pursue

• Leading, coordinating and supporting partners to develop a single authoritative intelligence picture of serious and organised crime within the UK.

• Focusing on the use of intelligence to better detect and assess those individuals committing and enabling serious and organised crimes, disrupt their activity and bring them to justice.

• Providing the leadership and coordination of the continuous disruption of organised crime groups through effective collaboration with UK operational partners.

• Recovering illicit profits from organised criminals, or denying them access to their money and property.

• Work internationally in priority countries to combat the full range of threats the NCA is responsible for.

Prevent

• Deterring people from becoming involved in serious and organised crime by raising awareness of the reality and consequences of committing such offences.

• Using interventions to stop people being drawn into serious and organised crime.

• Coordinating the use of lifetime offender management.

62 10 The NCA Commitment to working in partnership with UK operational partners Protect

• Coordinating the UK’s efforts to protect its borders from serious and organised crime.

• Supporting the public and private sector to improve its protective security by sharing intelligence and innovation on how to mitigate serious and organised crime threats.

Prepare

• Deploying specialist capabilities and resource to respond to both serious and organised crime incidents and other crime types that remain the responsibility of other operational partners.

• Working with communities, and for victims and witnesses, to support them in responding to serious and organised crime.

63 11 The NCA Commitment to working in partnership with UK operational partners Annex C: National and Regional Tasking and Coordination

1. Two strategic groups meet every six months:

• The National Strategic Tasking and Coordination Group (NSTCG), chaired by the DG NCA, provides the strategic leadership to the national tasking and coordinating structure for serious and organised crime. It is responsible for setting and reviewing the National Strategic Assessment, the National Control Strategy and National Intelligence Requirement. The drafts of these documents are prepared by the Intelligence Hub and developed through the National Strategic Intelligence Group (NSIG) to ensure that they take account of the Regional Strategic Assessments.

• The Regional Strategic Tasking and Coordination Group (RSTCG), chaired by Regional ACPO Chair. The group sets and reviews: the Regional Control Strategy, informed by the Regional Strategic Assessment; the Regional Capability Assessment; and, the scope and number of Regional Strategic Governance Groups.

2. Three tactical groups meet 4 weekly:

• The National Tactical Intelligence Group (NTIG), chaired by the Deputy Director Intelligence Hub, makes prioritised recommendations for approval at the National Tactical Tasking and Coordination Group (NTTCG) such as by reviewing and tasking intelligence requirements. The group also agrees the National Tactical assessment which feeds the NTTCG.

• The Regional Tactical Intelligence Group (RTIG), chaired by the Head of the ROCU, carries out independent assessment of operational plans and requests for covert assets. It also: makes recommendations for approval at the Regional Tactical Tasking and Coordination Group (RTTCG); reviews and tasks intelligence requirements; reviews regional and national priority and high priority OCGs impacting on the region; and agrees a Harm Reduction Strategy. The Group produces the Regional Tactical Assessment for the RTTCG.

• The RTTCG, chaired by the regional ACPO lead, manages the tactical elements of serious and organised crime. The group monitors the effective delivery of the Regional Control Strategy priorities, making resource allocation decisions. It also considers emerging threats that fall outside of the Regional Control Strategy.

The following tactical group meets 8 weekly:

• The National Tactical Tasking and Coordination Group (NTTCG), chaired by the DDG NCA, ensures the overall national law enforcement tasking and coordination, decision-making and allocation of resources, aligns with the requirements set by the Strategic Governance Groups and is prioritised against the National Control Strategy.

3. Additionally there are NCA and Regional Daily Management Meetings. These in turn feed the national Daily Briefing Meeting (DBM), chaired by a senior NCA officer from NCAT. These daily meetings review significant events from the previous 24 hours and significant operational plans for the forthcoming 72 hours.

4. The daily meetings also highlight any urgent operational or intelligence demands.

64 12 The NCA Commitment to working in partnership with UK operational partners Annex D: Examples of NCA Ways of Working

1. Over the lifecycle of a single operation or piece of activity, the NCA may operate in a leadership, supporting and/or coordinating role depending on the circumstances and capacity and capability of its partners. Set out below are a number of operational examples of this.

Lead

• Threat to life arising from an NCA operation or where UK operational partner does not have the capability or capacity to lead the response.

• A drug trafficking OCG which has been assessed as a Priority OCG impacting across international boundaries, which requires specialist assets to investigate. The NCA requires assistance from individual forces to take forward UK-based investigations.

• A cyber-enabled boiler room fraud, based in Russia, targeting the UK, where the opportunity for activity is overseas.

• An Eastern European malware developer writes a new virus which cannot be detected by current anti- virus capability and it is configured to attack UK banking customers. This malware is sold on online criminal forums and purchased by both UK and international based criminals.

• The upstream interdiction of illegal immigrants before entry to the UK.

Support

• Threat to Life where a UK operational partner has some capability or capacity to deal with the event but where the seriousness of the criminality requires more specialist assets.

• An OCG involved in the supply of drugs, where a police force has the capacity to investigate the crime but requires support through specialist assets such as lawful intercept or armed operations support.

• A kidnap or product contamination that requires specialist advice and potentially support.

• Providing specialist cyber operational support to assist partners in investigating cyber-enabled crime, such as internet-enabled fraud by providing specialist covert internet investigators and/or advice.

• Prevention activity to take down websites selling dangerous counterfeit pharmaceuticals from the Far East to the UK, which may be committing fraud or unlawfully supplying controlled drugs.

• Provision of the Hazardous Environment Support Team to assist a force in entry to a suspected synthetic drug laboratory.

• Kidnap and Extortion.

• Civil Recovery and Tax cases.

65 13 The NCA Commitment to working in partnership with UK operational partners • The provision of dedicated specialist surveillance.

• Specific international enquiries, for example, in support of a force-led enquiry.

Coordinate

• Aligning the work of forces and agencies relating to the investigation of alleged child exploitation offences carried out across forces, and identifying a lead agency to take charge of the national investigation.

• Intelligence-led activity by forces targeting individuals engaged in online child exploitation.

• A coordinated ‘day of action’ against certain crime types, such as money service businesses engaged in money laundering, cyber-enabled criminals engaged in credit card fraud, and businesses employing illegal immigrants, located across UK force areas.

• Intelligence-led, targeted interdiction against General Aviation.

66 14 The NCA Commitment to working in partnership with UK operational partners Annex E: NCA Operational Capabilities

INTELLIGENCE HUB NCAT • Assessments • NCA Control Centre (24/7) • Deconfliction • NCA Tasking and Coordination • Target discovery/development • National Tasking and Coordination • UK Financial Intelligence Unit • UK ICB – Interpol, Europol, Fugitives (incl. European • Organised Crime Coordination Centre Arrest Warrants), CEOP Referral Bureau, SIRENE.

NCCU SPECIALIST CAPABILITIES and ADVICE • Complex cyber crime investigators • Specialist child online exploitation investigators Capabilities Anti kidnap/Extortion, Vulnerable Persons TECHNICAL COLLECTION support, Expert Evidence, Serious Crime Analysis, Lawful Intercept Specialist Operations Centre, Crime Operational Support, Missing Persons Bureau, Forensics, Cyber Support, Technical Operations support, Specialist Surveillance, UK Protected Persons Service, and NETWORKS (ENGLAND/WALES, AND SCOTLAND/ Financial Investigator accreditation. NORTHERN IRELAND) NCA officers have the skills and necessary Advice powers to conduct flexible investigation. Child Protection, Human trafficking Teams have integrated financial investigators (Modern Slavery), Cyber (NCCU), Prisons/ and intelligence support. Lifetime Management INTERNATIONAL CIVIL RECOVERY AND TAX • Liaison officer network Investigation support and legal advice • INTERPOL/Europol liaison

1. The NCA is intelligence-led. It has a multi-agency Intelligence Hub, including the OCCC, which will analyse and develop strategic and tactical assessments, provide a deconfliction process for law enforcement agencies and discover new targets for development.

2. The Intelligence Hub will proactively share a timely and comprehensive view of the threat from serious and organised crime with those who need it, in order to drive and inform operational activity. It has four core capabilities:

• Assessment; • Deconfliction; • Target discovery and development; and, • The UK Financial Intelligence Unit (UKFIU), which has national responsibility for receiving, analysing and disseminating financial intelligence submitted through the SARs Regime.

67 15 The NCA Commitment to working in partnership with UK operational partners Tasking and Coordination (NCAT)

3. NCAT has four main functions:

(i) 24/7 Control Centre for the NCA

(ii) NCA Tasking and Coordination

• Makes decisions about when the NCA will lead, support or coordinate activity. • Uses the comprehensive picture of threats from the Intelligence Hub to ensure that NCA tasked activity is against those threats. • Maintains the NCA Agency Delivery Meeting - to ensure that NCA tasked activity is against the NCA priorities.

(iii) National Tasking and Coordination

• Maintains the National Tactical Tasking and Coordination process. • Supports the NTTCG, national DBM and NCA representatives at external tasking meetings. • Implements the NCA’s directed tasking powers. • Maintains a comprehensive picture of the support provided by partners at the NCA’s request.

(iv) The administrative process for incoming and outgoing EAWs, including certification of warrants and post-arrest processing through the Fugitives Desk within the UK International Crime Bureau (UKICB). UKICB facilitates access to international law enforcement through INTERPOL and Europol and includes the SIRENE functions8 (from 2014). The CEOP Referrals Bureau is also housed in the UKICB.

National Cyber Crime Unit (NCCU)

4. The NCCU collaborates with partners to fight crime and reduce the risk to the UK from: cyber- dependent crime, which can only be undertaken with the use of technology; and, cyber-enabled crime, which is existing crime transformed by the use of technology.

5. The NCCU provides a highly specialised, investigative response at both a national and international level to the most serious incidents of cyber crime. The Unit works proactively to eliminate criminal opportunities and create a hostile environment for cyber criminals; assist law enforcement to tackle high-level, cyber-dependent and cyber-enabled crime; and support partners to enhance their mainstream capabilities.

Networks (England and Wales, and Scotland and Northern Ireland)

6. NCA Investigations provides a flexible, shared operational capability to the NCA. It has an investigative network based across the UK, with integrated financial investigators and intelligence support. This network has the capability to investigate serious and organised crime in support of the NCA Commands, NCCU and partners. Officers have the skills and necessary powers to conduct flexible investigations (including those concerning surveillance, case preparation, witness management and exhibits handling). The network also provides the investigative response to all NCA activity. Such operational capability is augmented when required by suitably skilled officers not currently in operational roles (surge capacity) and by NCA Specials.9

8 The UK SIRENE Bureau will be housed within the NCA and integrated in the UK ICB. It will be the UK’s single point of contact for all exchanges of information relating to SIS II alerts. As the UK’s Central Authority for EAWs it will also be responsible for managing SIS II alerts based on EAWs. 9 NCA Specials have additional skills that add specific value to the NCA. They are deployed only when they add value to operational activity. 68 16 The NCA Commitment to working in partnership with UK operational partners International

7. The NCA has an overseas liaison officer network, within the Border Policing Command, which works with international partners and coordinates UK law enforcement overseas to gather intelligence, conduct operational activity (through agreement with partners) and enhance international delivery through a variety of means, including capacity building, training, joint European or international taskforces. The Liaison Officer network also includes officers based in the multilateral institutions of Europol and INTERPOL.

8. The NCA maintains responsibility for law enforcement liaison with the UK Military; and liaison on maritime intervention, including with multilateral maritime intervention centres.

Technical Collection

9. The NCA has an intelligence collection capability which leads on the collection of intelligence and evidence by technical means. This includes the provision of lawful intercept.

Specialist Capabilities

10. The NCA has a range of specialised capabilities which will be deployed across a range of tasked operational activity, in the NCA and in support to UK law enforcement partner agencies.

UK Human Trafficking Centre (UKHTC)

11. UKHTC, within the Organised Crime Command: leads; supports; and, coordinates the UK response to the trafficking of human beings, (modern slavery). UKHTC works closely with NCA Commands, UK and EU law enforcement agencies, government and civil society organisations. Specialist support is also available from the CEOP Command on child exploitation and missing children.

Civil Recovery and Tax (CRT) (England, Wales and Northern Ireland)

12. CRT, within the Economic Crime Command, comprises teams of financial investigators and lawyers who work together to recover the proceeds of crime using civil legislation.

Prisons and Lifetime Management

13. Many of the organised criminals who are of interest to the NCA are also the most harmful and pose the greatest risk to police, prison and probation staff. The Centurion Prison Team (CPT) provides operational support and guidance.

Cross-Command

14. The NCA will also identify, develop and disseminate alerts to industry and law enforcement partners to build knowledge and target-harden (Protect), thereby denying opportunities and disrupting serious and organised crime.

10 Alerts include UK FIU Bulletins and Centurion Notices. 69 17 The NCA Commitment to working in partnership with UK operational partners Annex F: Acronyms

BPC Border Policing Command BTP British Transport Police CEOP Child Exploitation and Online Protection CHIS Covert Human Intelligence Source CPT Centurion Prison Team CRT Civil Recovery and Tax DBM (National) Daily Briefing Meeting DfID Department for International Development EAW European Arrest Warrant ECC Economic Crime Command EEA European Economic Area EGMONT Egmont Group of Financial Intelligence Units FATF Financial Action Taskforce FCO Foreign and Commonwealth Office HVOM High Volume Operating Model ICIC International Corruption Intelligence MAMIC Maritime and Military Interdiction Cell MPS Metropolitan Police Service MSOC Ministerial Serious and Organised Crime (Meeting) MUSAC Meridian UK Systems Administration Centre NCA National Crime Agency NCAT NCA Tasking and Coordination function NCCU National Cyber Crime Unit NCD National Compromise Database NIM National Intelligence Model NOMS National Offender Management Service NPIA National Policing Improvement Agency NRM National Referral Mechanism NSTCG National Strategic Tasking and Coordination Group NSIG National Strategic Intelligence Group NTIG National Tactical Intelligence Group NTTCG National Tactical Tasking and Coordination Group NSD National Source Database NSA National Strategic Assessment OCC Organised Crime Command OCCC Organised Crime Coordination Centre OCG Organised Crime Group OCGM Organised Crime Group Mapping PAS Police Advisor Section POCC Proceeds of Crime Centre PSNI Police Service of Northern Ireland RIG Regional Intelligence Group RSTCG Regional Strategic Tasking and Coordination Group RTTCG Regional Tactical Tasking and Coordination Group ROCU Regional Organised Crime Unit

70 18 The NCA Commitment to working in partnership with UK operational partners SAR Suspicious Activity Report SIU Sensitive Intelligence Unit SoI Subject of Interest SPR Strategic Policing Requirement UKFIU UK Financial Intelligence Unit UKHTC UK Human Trafficking Centre UKICB UK Interpol Central Bureau UKNCO UK National Central Office (for the suppression of counterfeit currency) ‘4 Ps’ Pursue/Protect/Prevent/Prepare

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73 The NCA Commitment to Working in Partnership with Police and Crime Commissioners

Introduction

1. The NCA’s mission is to lead the UK’s fight to cut serious and organised crime1. The Crime and Courts Act 2013 provides the legislative basis for the NCA. It is vital that the NCA has an effective two-way working relationship with both UK law enforcement and PCCs and this paper sets out the National Crime Agency (NCA) commitment to working in partnership with Police and Crime Commissioners.

Purpose

2. The purpose of this document is to set out how the NCA will work with PCCs to discharge its responsibilities to secure an efficient and effective response to serious and organised crime. For the police, the NCA’s operational relationship is with chief officers2. This document outlines the statutory responsibilities of the Director General NCA; how the NCA will lead the fight to cut serious and organised crime and how the NCA will work in partnership with PCCs and chief police officers to build an effective and informed relationship, specifically outlining the regularity and principles of engagement.

Statutory Responsibilities of the Director General NCA

3. The NCA’s remit is described in the Crime and Courts Act 2013 as securing that efficient and effective activities to combat organised crime and serious crime are carried out (whether by the NCA, other law enforcement agencies, or other persons). The NCA has two key statutory functions which are:

• a “crime-reduction function” of securing that efficient and effective activities to combat organised crime and serious crime are carried out (whether by the NCA, other law enforcement agencies, or other persons); and • a “criminal-intelligence function”.

4. This gives the NCA statutory responsibility to lead the overall fight to cut serious and organised crime, in partnership with UK law enforcement, as well as a set of specific statutory and national responsibilities inherited from its precursor agencies. As set out in the NCA Commitment to Working in Partnership with UK Operational Partners, the NCA is not restricted to responding to particular crime types or offences. It operates in response to a broad range of threats and risks, many of which also remain the responsibility of other law enforcement agencies.

5. Therefore, the NCA, like any other law enforcement agency, will make daily decisions on how it allocates its resources, including determining who is best placed to lead on operational activity against Priority and High Priority criminals and groups to ensure maximum disruption is achieved against them:

1 This is aligned with the aim of the Serious and Organised Crime Strategy, which is to substantially reduce the level of serious and organised crime affecting the UK and its interests. It will contribute to the Government’s objective to cut overall crime and to the National Security objectives of ensuring a secure and resilient UK and shaping a stable world. 2 This is covered in more detail in the NCA Commitment to Working in Partnership with UK Operational Partners. 74 2 The NCA Commitment to Working in Partnership with Police and Crime Commissioners • Lead – where appropriate the NCA will lead the operational response itself, taking responsibility for managing the operational risk, in particular by investigating and enabling the prosecution of those responsible (‘Pursue’3). The NCA will also lead activity to strengthen protection against and reduce the impact of serious and organised crime (‘Prepare’ and ‘Protect’) and to prevent people becoming involved in serious and organised criminal activity (‘Prevent’). On NCA-led operations, the NCA will work in collaboration with the appropriate partners and may request or task partners to support the response; • Support – the NCA will provide support to partners to help them meet their objectives by working in partnership and by providing specialist resources or services; and • Coordinate – the NCA will bring together partner agencies to coordinate the law enforcement response to opportunities.

The NCA Director General has been empowered by Parliament with statutory powers to give direction. The Director General of the NCA has powers to direct a chief officer of a police force in England and Wales and the British Transport Police to undertake a specific operational task, or to assist another partner, or the NCA with a specific task. The NCA will work collaboratively with forces to ensure that tasking is voluntary, based on cooperative relations and shared priorities with law enforcement partners having the opportunity to draw on the NCA’s specialist capabilities. The NCA’s directed tasking and assistance arrangements in regard to an England and Wales police force, will as a matter of policy also extend to Border Force officers or other Home Office officials who carry out border, immigration and customs related functions which are under the direction and control of the Home Secretary4.

How the NCA will lead the fight to cut serious and organised crime

6. The overall aim of the NCA, as set out in the new Serious and Organised Crime Strategy 2013, is to lead the UK’s fight to cut serious and organised crime. The first priority for the NCA is to identify and disrupt serious and organised crime including by investigating and enabling the prosecution of those responsible5. The NCA will deliver against all four pillars of the strategy, with a primary focus on Pursue activity. To achieve this, the NCA:

• Has a multi-skilled workforce of more than 4,000 officers with the specialist capabilities to undertake operations to cut serious and organised crime across the UK, and to provide specialist support to UK operational partners; • Has a wider remit than its precursors to tackle serious and organised crime, strengthen the UK border, fight fraud and cyber crime and protect children and young people from sexual abuse and exploitation. The NCA will provide leadership in these areas through its four Commands: –– Organised Crime Command (OCC); –– Border Policing Command (BPC); –– Economic Crime Command (ECC); and –– CEOP Command (CEOP). • Will provide leadership to tackling the threat from cyber crime through its National Cyber Crime Unit (NCCU); • Will work with partners to develop an authoritative UK intelligence picture of serious and organised crime to drive joined-up operational activity. This will be undertaken by a multi-agency Intelligence Hub, incorporating the Organised Crime Coordination Centre (OCCC);

3 Pursue, Prevent, Protect and Prepare are the objectives of the framework used in the Serious and Organised Crime Strategy to achieve its aim of substantially reducing the level of serious and organised crime affecting the UK and its interests. 4 Paragraphs 10–13, 16-18, Schedule 3 to the Crime and Courts Act 2013. 5 The first strategic priority for the NCA set by the Home Secretary. 75 3 The NCA Commitment to Working in Partnership with Police and Crime Commissioners • Will ensure the response to serious and organised crime is joined up by tasking and coordinating the national response, enabling the NCA to prioritise its effort and effectively deploy its resources locally, regionally, nationally, at the border and overseas. For example, the NCA will post Regional Organised Crime Coordinators (ROCCs), and other NCA officers as appropriate, within all Regional Organised Crime Units (ROCUs);

• Has an enhanced international role working with partners to cut serious, organised and crime through a network of International Liaison Officers; and

• Undertakes investigations and delivers operational results with partners through the use of operational capabilities, flexibly deployed across the Commands and NCCU threat areas to deliver criminal justice outcomes, asset recovery and denial, prevention and other disruption activity.

7. The national response to serious and organised crime requires capacity and capabilities beyond those of any one part of UK law enforcement, including the NCA. A close and effective partnership with UK operational partners locally, regionally and nationally is required. In line with the Strategic Policing Requirement (SPR), UK operational partners will need to continue to develop their own capabilities to tackle serious and organised crime and to meet their respective statutory obligations.

Working in Partnership with Police and Crime Commissioners

8 The NCA recognises that it is important that Police and Crime Commissioners can access the information they require in relation to activity to counter the threats from serious and organised crime, both regionally and nationally. It is the responsibility of both Chief Constables and the NCA to ensure that PCCs can access this information, and the NCA will therefore ensure that the Chief Constable is provided with the appropriate information to enable them to brief the PCC as required.

Engagement with Police and Crime Commissioners

9. The Director General NCA will be the lead relationship owner for the NCA in relation to PCC engagement. He will be supported in this by the Corporate Affairs department of the NCA.

10. The NCA will deliver an annual NCA engagement day, to brief PCCs on the National Strategic Assessment of the serious and organised crime threat to the UK, once it has been endorsed by the National Strategic Tasking and Coordination Group which is chaired by the NCA Director General. The NCA will also invite National Policing and ROCU heads to this event to meet and discuss serious and organised crime issues.

11. The NCA commits to the DG, DDG or a Director, attending a regional meeting with PCCs and their chief officers once a year. In addition, the NCA will also actively support and when possible attend additional meetings as requested. The NCA Regional Organised Crime Coordinators (ROCC) within each police led Regional Organised Crime Unit (ROCU) will act as our conduit to both the ROCU and forces.

12. There will be occasions when the NCA will proactively circulate to PCCs key assessments to enable a collective understanding of the threats which forces are seeking to tackle, and provide greater understanding of the activity both the NCA and forces have underway. The NCA will always welcome requests for information from PCCs on threats related to their local areas and these will be considered on a case by case basis.

76 4 The NCA Commitment to Working in Partnership with Police and Crime Commissioners Directed Tasking and Assistance

13. The NCA will work collaboratively to ensure that, as a general rule, tasking is voluntary, based on cooperation and shared priorities, with police forces having the opportunity to draw on the NCA’s specialist capabilities. The DG NCA will notify the appropriate PCC of any directed tasking or direction to assist, that is issued to a chief officer6.

Charging of services

14. In its commitment to support PCCs, the NCA will not charge for services provided or for support afforded to local and regional police capabilities unless by exception and agreement.

6 Section 7.5 Framework Document for the National Crime Agency

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82 1. Introduction

1.1 The National Crime Agency (NCA) will be accountable to the Home Secretary and through her, to Parliament. The NCA’s core mission, as set out by the Government in National Crime Agency: A Plan for the Creation of a National Crime Fighting Capability (published in June 2011), is to lead the UK’s fight to cut serious and organised crime. An integral part of UK law enforcement, the NCA will have strong, two-way links with local police forces and other law enforcement and intelligence agencies. The NCA will respect the devolution of powers, recognising the primacy of those in whose territories it operates. The NCA will have open and transparent working relationships with its key operational partners and partners in the private sector, in order to maximise overall impact in disrupting criminal activity.

1.2 The NCA will be responsible for publishing an authoritative annual assessment of the threat to the UK from organised crime and an authoritative assessment of threats to border security. It will also publish a range of information about its own performance and contribution to reducing that threat, including how the NCA allocates its resources and manages its risks.

2. The NCA Framework Document

2.1 This framework document sets out the respective roles and responsibilities of the Secretary of State for the Home Department (‘the Home Secretary’) and the Director General of the NCA (‘the Director General’) and the principles which will govern the relationship between the Home Office and NCA. It further sets out the ways in which the NCA is to operate as set out in the Crime and Courts Act 2013 (‘the Act’). The purpose of the document is to set out the NCA’s accountability, management, operational and financial arrangements and to explain how the relationship between the Home Secretary and the National Crime Agency is intended to function as a direct and open working relationship, in which both support and scrutiny can apply in equal measures. These principles will apply to NCA activity both in the UK and overseas.

2.2 The framework document is issued by the Home Secretary pursuant to the Act.1 The Home Secretary and Director General will be under a statutory duty to have regard to this document in exercising their functions in relation to the NCA.2 Nothing in this framework document will supersede or vary the duties and/or functions exercisable by the Secretary of State, the Director General or NCA officers which are set out in the Act and other relevant enactments.

3. Status

3.1 The NCA is formed under Part 1 of the Act; the NCA became operational on 7th October 2013. The Director General and NCA officers will operate within the provisions of the Act and other relevant enactments. The NCA’s functions are exercisable on behalf of the Crown. The NCA is classified as a Non-Ministerial Department (NMD), which means that it operates as a Government department in its own right but does not have its own dedicated minister. Instead it is headed by the Director General, who is accountable to the Home Secretary as sponsoring Minister, and through the Home Secretary to Parliament. This framework document sets out further detail on what NMD status means in practice for the NCA.

1 Paragraph 2, Schedule 2 to the Crime and Courts Act 2013. 2 Section 4(2)(c) and paragraph 3, Schedule 2 to the Crime and Courts Act 2013. 3 Categories of public bodies: a guide for departments (Cabinet Office, December 2012). 83 3 4. Roles and Responsibilities

Home Secretary

4.1 The Home Secretary is charged with safeguarding the public, preventing crime and protecting the UK’s borders and national security. The Home Secretary will have a legal duty to determine the ‘strategic priorities’ for the NCA, in consultation with the Director General and with the NCA’s strategic partners.4 The Home Secretary will hold the Director General to account for the discharge of the ‘NCA functions’ while also respecting the Director General’s operational independence (as explained at 4.2b) and, where appropriate, the Home Secretary will account to Parliament. The Home Secretary will also select and appoint the Director General5 and will designate the Director General with operational powers as required.6

NCA Director General

4.2 The NCA will be under the direction and control of the Director General. As the head of the NCA, the Director General will:

a. determine ‘operational priorities’ for the NCA7, in line with the ‘strategic priorities’ set by the Home Secretary; b. be responsible (including through a senior NCA officer acting on his or her behalf) for all decisions about which operations to conduct and how they should be conducted.8 This would include, for example, decisions about whether to continue or stop a criminal investigation; c. have direction and control over all NCA officers (including NCA specials and secondees);9 d. ensure that NCA officers operate within the legislative framework set out in the Act and other relevant enactments.10 e. account to the Home Secretary for the discharge of the NCA’s functions in accordance with the strategic priorities; f. provide information to the Home Secretary, if requested, about any aspect of the NCA’s undertakings including resources; g. be responsible for issuing an annual plan at the start of the financial year setting out how the NCA will deliver the strategic and operational priorities, and an annual report at the end of the year on progress made;11 h. be responsible for the appointment of all NCA officers other than the Director General,12 and for designating NCA officers with operational powers;13

4 Section 3, Crime and Courts Act 2013. 5 Paragraph 7, Schedule 1 to the Crime and Courts Act 2013. 6 Paragraph 7, Schedule 1 and Section 9(2), Crime and Courts Act 2013. 7 Section 4(5), Crime and Courts Act 2013. 8 Section 4(1) Crime and Courts Act 2013. 9 Any reference to NCA officers (unless otherwise stated) includes NCA specials and secondees under the direction and control of the Director General. NCA specials are part-time, unpaid officers volunteering their time and specialist skills to the NCA. 10 This includes, for example, obtaining the relevant authority from the Home Secretary to use of investigatory powers under Part 1 of the Regulation of Investigatory Powers Act 2000; and in Scotland, cooperating with the Scottish criminal justice system which holds responsibility for matters relating to the investigation and prosecution of crime. 11 The Act requires the Director General to consult the NCA’s 'strategic partners’ and obtain the prior consent of the Secretary of State (and where relevant the Scottish Ministers) before issuing the annual plan and the annual report. Section 4 and Part 2, Schedule 2 to the Crime and Courts Act 2013. 12 Paragraph 9 of schedule 1, Crime and Courts Act 2013. These appointments (with the exception of NCA specials and secondees) will be civil service appointments, and must be made in accordance with the regulations set out by the Civil Service Commission. 13 Section 10, Crime and Courts Act 2013. 84 4 Framework document for the National Crime Agency i. as the NCA Accounting Officer, ensure the proper financial management of the NCA (see further detail in section 8); and its effective corporate governance in accordance with other good practice.

Home Office officials

4.3 Home Office officials will support the relationship between the Home Secretary and the Director General.

Their responsibilities in relation to the NCA will include:

a. advising the Home Secretary (and where necessary, other government departments or ministers) about how the NCA’s functions are being discharged and other NCA matters; b. advising the Home Secretary about his or her powers, duties and responsibilities in relation to the NCA and its officers; c. advising the Director General about the policy, strategic and legislative framework relevant to the NCA; d. advising the Home Secretary and Director General about the arrangements described in this framework document; and e. ensuring that arrangements are in place to keep NCA information secure, in accordance with the Government Protective Marking Scheme.

Other Government Departments

4.4 While the Home Office is the primary department with oversight of the NCA’s work, the NCA will also need to engage with other government departments. The Director General may negotiate partnership agreements or Memoranda of Understanding (MoU) with other government departments where appropriate, and will keep the Home Office informed (see also below section 7.1).

5. Scrutiny by other public bodies

5.1 While the Director General’s principal accountability will be to the Home Secretary, the NCA will also be subject to scrutiny by Parliament, the Scottish Parliament and Northern Ireland Assembly and other public bodies and is expected to cooperate fully. The bodies which have a statutory role to inspect, scrutinise or regulate the functions or activities of the NCA include (but are not limited to) HM Inspectorate of Constabulary,14 the National Audit Office, the Independent Police Complaints Commission and (in Scotland) the Police Investigations and Review Commissioner.15

14 Payment arrangements for HMIC inspections are set out in paragraph 8.17. 15 Section 11, Crime and Courts Act 2013. 85 5 6. Internal Governance

6.1 The Director General may arrange for any function of the Director General to be exercised by a senior NCA officer, with the exception of the Director General’s powers of direction16 (however, the direction powers may be exercised in the Director General’s absence by a senior NCA officer who has been designated for this purpose by the Director General17. For these purposes, a 'senior NCA officer' will hold a post which is not below an NCA Deputy Director).

6.2 The Director General will establish and chair a Management Board (‘the Board’). The Board’s functions will be both advisory – setting overall direction for the Agency within the scope of the Home Secretary's strategic priorities; and supervisory – scrutinising performance and challenging the Agency on delivery. In line with Government best practice as set out in the Cabinet Office’s 'Corporate governance in central government departments; Code of good practice 2011' ('the 2011 code'), the responsibility of the Board includes the following areas:

a. Strategic Clarity: setting the vision and ensuring all activities contribute towards it; b. Commercial Sense: ensuring sound financial management by virtue of a professionally qualified and experienced finance director; scrutinising the allocation of financial and human resources; ensuring organisational design supports strategic objectives; setting the NCA's risk appetite and ensuring controls are in place to manage risk and to ensure value for money; c. Talent Management: ensuring the NCA has the people to deliver current and future needs;18 d. Performance Monitoring: agreeing the NCA business plan; monitoring and steering performance against the plan; scrutinising performance and setting values and standards; ensuring clear, consistent, comparable performance information is used to drive improvements.

As part of its responsibility under sub-paragraph (b) above, the Board will ensure that effective arrangements are in place to provide assurance on risk management, governance and internal control, including establishing an Audit and Risk Committee to provide advice on risk management and audit in line with the 2011 code.

6.3 The Board’s membership will consist of the Director General as chair; up to ten senior operational leaders of the NCA; and no fewer than three senior non-executive members. Non-executive members’ skills and experience will enable them to provide constructive challenge and advice to the executive leadership.19 The members of the Board will be appointed by the Director General. Before appointing a non-executive member to the Board, the Director General will consult the Home Secretary.20

16 Section 5(5) and para 11 of Schedule 3, Crime and Courts Act 2013. 17 Paragraph 10 of schedule 1, Crime and Courts Act 2013. 18 In line with the 2011 code, the Board will establish a Nominations and Governance Committee. 19 NCA non executive board members will be subject to the Cabinet Office Code of Conduct for Board Members of Public Bodies (2011). 20 Appointments of NCA non executive board members (NEBMs) are not public appointments and are not regulated by the Office of the Commissioner for Public Appointments (OCPA). These appointments will be made in line with the arrangements for appointing NEBMs to Enhanced Departmental Boards elsewhere in government, as set out at http://publicappointments.cabinetoffice.gov.uk/applications/501fcc50e4b0746aa1e7e24a. 86 6 Framework document for the National Crime Agency 6.4 Non-executive members will hold office in accordance with the terms of their respective appointment agreed with the NCA. A non-executive appointment will be for a term not exceeding three years. A person who has previously been, or currently is, a non executive member of the Board may be appointed again as a non-executive member of the Board for a further term not exceeding three years, in accordance with the consultation requirements at paragraph 6.3, provided that the person does not hold office as a non-executive member for more than 10 years in total.

6.5 The Chair may further invite others to attend Board meetings as observers or advisers to the Board. A senior Home Office official will normally attend Board meetings; will receive the Board’s papers, including monthly financial reporting; and will receive records of Board meetings.

CEOP

6.6 The Board will also give effect to the six principles for the Child Exploitation and Online Protection (CEOP) Command as set out in the NCA Plan of 2011.21 Namely, the Board will (i) retain its operational independence within the context of the NCA; (ii) have clear, delegated authority for its budget; (iii) continue to include external partners in its governance; retain its well-known CEOP brand; (iv) retain its mixed economy of staff, from a variety of disciplines; and (vi) continue its innovative partnerships with the public, private and third sector and have the ability to raise and hold funds from donors.

7. Working in Partnership

7.1 The NCA will work collaboratively with other government departments, UK police forces and law enforcement agencies (‘UK law enforcement partners’) and Island police forces and law enforcement agencies (‘Island partners’). The NCA may develop agreements with partner organisations to set out the key principles of collaboration, supported by more detailed operational protocols as necessary.

7.2 The Director General will engage with policing accountability structures in Scotland and Northern Ireland and will attend sessions with Committees of the Scottish Parliament and the Northern Ireland Assembly at the request of those Committees, where practicable. The Director General will establish a strong relationship with the Scottish Police Authority and the Northern Ireland Policing Board in respect of the Agency’s activity in Scotland and Northern Ireland. The NCA will be an active member of the Northern Ireland Organised Crime Task Force and the Scotland Serious Organised Crime Task Force.

Tasking and assistance

7.3 The Act provides for two-way voluntary tasking and assistance arrangements between the NCA, UK law enforcement partners and Island partners, in addition to any other form of cooperation arrangement that the NCA may formulate with UK law enforcement partners, HM Armed Forces and HM Coastguard.22

21 https://www.gov.uk/government/uploads/system/uploads/attachment_data/file/97826/nca-creation-plan.pdf 22 Section 5 and paragraphs 2 (co-operation), 8 and 9 (voluntary assistance), Schedule 3 to the Crime and Courts Act 2013. 87 7 7.4 In the event satisfactory voluntary arrangements cannot be made, or cannot be made in time, the Act provides that the Director General may issue a direction to a chief officer of an England and Wales police force or the chief constable of the British Transport Police (with the latter case subject to the consent of the Secretary of State for Transport).23 There are similar reciprocal directed assistance arrangements which apply between the NCA and a number of partners (subject to consent requirements).24

7.5 The Director General will inform the Home Secretary in writing each time he or she issues a direction under the Act. The Director General will further inform the appropriate Police and Crime Commissioner in writing and as soon as feasible, if the direction concerns a police force in England and Wales. The Director General will explain why he or she considered it expedient for the partner to perform the task, how the direction assisted the NCA to exercise its functions, and why it was not possible to make satisfactory voluntary arrangements.

7.6 In the case where the Director General issues a direction for assistance to a chief officer of an England and Wales police force , the Director General will obtain the consent of the Home Secretary, which will be sought in writing – unless the operation is time critical, in which case verbal consent will be sought. The Director General will further inform the relevant Police and Crime Commissioner that a direction has been issued to the chief officer of their police force, that the appropriate consent25 has been obtained, the reasons as to why the NCA has a ‘special need’ for assistance from their chief officer and why it was not possible to make satisfactory voluntary arrangements.26 In the case where the Director General issues a direction for assistance to other law enforcement partners, the Director General will inform the Home Secretary that the appropriate consent has been obtained.

7.7 The Director General will ensure the NCA’s annual report27 includes details of any use by the NCA or UK law enforcement partners of the directed tasking and assistance powers in Part 1 of the Act.

7.8 The NCA’s directed tasking and assistance arrangements in regard to an England and Wales police force will as a matter of policy also extend to Border Force officers or other Home Office officials who carry out border, immigration and customs related functions which are under the direction and control of the Home Secretary. These arrangements will be the subject of a separate protocol between the Home Secretary and the Director General.

8. Financial management

8.1 As the NCA is a Non-Ministerial Department, the Home Office, the Treasury and Cabinet Office have agreed that:

a. in general, the NCA will have the ability to determine its own approach on corporate and financial matters without recourse to the Home Office or other Departments, subject to the points below; b. the NCA will have its own estimate, but in order to support the financial resilience of the organisation, this will be funded by a reduction in the overall Home Office Departmental Expenditure Limit (DEL);

23 Section 5(5) and (9), Crime and Courts Act 2013. 24 Paragraphs 10–13, 16-18, Schedule 3 to the Crime and Courts Act 2013. 25 Paragraph 11(3), Schedule 3 to the Crime and Courts Act 2013. 26 Paragraph 16, Schedule 3 to the Crime and Courts Act 2013. 27 See the definition of this term in Part 2, Schedule 2 to the Crime and Courts Act 2013. 88 8 Framework document for the National Crime Agency c. the Home Office will negotiate the NCA’s budget with HM Treasury, in consultation with the NCA Director General, as part of the annual Main and Supplementary Estimates processes, and at Spending Reviews; d. there will be joint NCA – Home Office Mid-Year Reviews of in-year NCA spend; e. the Director General will be responsible for ensuring that NCA capital investments represent value for money and are affordable, in discussion with the Home Office. The Director General will seek approval from the Home Secretary for Capital investment above an agreed threshold; and f. unless specific exemptions are provided, all cross-government guidance will apply to the NCA.

The NCA will consult the Home Office on all significant discussions with the Treasury and/ or Cabinet Office, including (but not limited to) those which could have wider financial repercussions for the Home Office. If the Director General is seeking HM Treasury approval for expenditure which “sets precedents, is novel, contentious or could cause repercussions elsewhere in the public sector”,28 he or she will immediately inform Home Office Ministers.

8.2 The Director General will be appointed as the Accounting Officer (‘AO’) for the NCA. As the AO, the Director General will be personally responsible for safeguarding the public funds for which he or she has charge; for ensuring propriety, regularity, value for money and feasibility in the handling of those public funds; and for the day-to-day operations and management of the NCA. In addition, the Director General will ensure that the NCA is managed on the basis of the standards, in terms of governance, decision-making and financial management that are set out in Managing Public Money. The Director General may delegate the day-to- day administration of his or her Accounting Officer responsibilities to a senior NCA officer (as defined in paragraph 6.1 above), but will not assign those Accounting Officer responsibilities absolutely to any other person.

The AO’s accountabilities include:

• Signing the accounts and ensuring that proper records are kept relating to the accounts and that the accounts are properly prepared and presented in accordance with any directions issued by the Secretary of State or by HM Treasury; • Preparing and signing a Governance Statement covering corporate governance, risk management and oversight of any local responsibilities, for inclusion in the annual report and accounts; • Ensuring that effective procedures for handling complaints are established and made widely known within the Agency; • Acting in accordance with the terms of this document, Managing Public Money and other instructions and guidance issued from time to time by the Home Office, the Treasury and the Cabinet Office; and • Giving evidence when summoned before the Public Accounts Committee on the Agency’s stewardship of public funds.

28 Managing Public Money (July 2013), section 2.3.4. 89 9 External Audit

8.3 The Comptroller & Auditor General (C&AG) will audit the Agency’s annual accounts and lays them before Parliament, together with their report. The C&AG will:

• consult the Agency on whom – the National Audit Office (NAO) or a commercial auditor – shall undertake the audit(s) on his behalf, though the final decision rests with the C&AG; • has a right to obtain relevant documents and information including by virtue of section 25(8) of the Government Resources and Accounts Act 2000, that held by another person in receipt of payments or grants from the Agency; • if asked, provide government departments and other relevant bodies with Regulatory Compliance Reports relating to the NCA and other similar reports which departments may request at the commencement of the audit and which will be compatible with the independent auditor’s role.

8.4 The C&AG may carry out examinations into the economy, efficiency and effectiveness with which the NCA has used its resources in discharging its functions. For the purpose of these examinations, the C&AG has a right to obtain documents and information as provided for under Section 8 of the National Audit Act (1983). In addition, the NCA will provide, in conditions to grants and contracts, for the C&AG to exercise such access to documents held by grant recipients and contractors and sub-contractors as may be required for these examinations; and will use its best endeavours to secure access for the C&AG to any other documents or information required by the C&AG which are held by other bodies.

Internal Audit

8.5 The NCA will establish and maintain arrangements for internal audit and will consider the use of shared services in accordance with the Treasury’s Public Sector Internal Audit Standards (PSIAS).29 In particular, the NCA will:

• share its audit strategy, periodic audit plans and annual audit report, including the opinion of the NCA’s Head of Internal Audit on risk management, control and governance, with the Home Office; and • keep a written record of any fraud and theft suffered by the NCA; produce an annual report on fraud and theft to be shared with the Home Office; and notify the Treasury of any unusual or major incidents as soon as possible.

8.6 The internal audit service will have a right of access to all documents, including in any cases where services are contracted out.

Government funding

8.7 The NCA will seek agreement from Parliament to spend or commit resources through the Estimates process. The NCA’s resource funding request will be put to Parliament, for the prospective financial year. The Supply and Appropriation Act will provide the legal authority for public expenditure within the ambit of each request. Any adjustments between the Home Office and NCA baseline will be settled through the standard Supplementary Estimates process (once annually). During the year, HM Treasury will expect the NCA to operate within the control totals framework for Resource, Capital, Annual Managed Expenditure (AME)

29 https://www.gov.uk/government/publications/public-sector-internal-audit-standards. 90 10 Framework document for the National Crime Agency (including movement in the provision for police pensions) and for its Net Cash Requirement. HM Treasury will monitor the NCA’s in-year budget spend through its monthly Online System for Central Accounting and Reporting (OSCAR) returns. The AME pension budget will sit with the NCA, but the AME control total can be revised through the standard Supplementary Estimates process with the Home Office, in the form of a budget cover transfer.

8.8 Requests for budget exchange into the following financial year will be coordinated by the Home Office in the discussions with HM Treasury.

8.9 Any income received from the devolved administrations will be shown as income and within the Estimate.

8.10 The NCA will participate in the Asset Recovery Incentivisation Scheme, under which a proportion of the assets recovered under the Proceeds of Crime Act (2002) are paid to law enforcement bodies.30 The Home Office coordinates the process, assessing and distributing the amounts on a quarterly basis in arrears.

Pay and Pensions

8.11 Pay for NCA officers below the grade of NCA Deputy Director will be covered by a single pay remit approved by the Home Secretary.

8.12 For grades below NCA Deputy Director, the NCA Remuneration Review Body will provide independent recommendations to the Home Secretary on the pay and allowances of NCA officers designated with operational powers. For NCA officers who are not designated with operational powers, pay setting arrangements will take account of the annual Civil Service Pay Guidance issued by HM Treasury. The NCA will be responsible for funding the NCA related costs of the Remuneration Review Body via the Office of Manpower Economics.

8.13 The terms and conditions of NCA officers at or above the grade of NCA Deputy Director grade will be set by Cabinet Office, alongside those of other Senior Civil Servants, in light of the recommendations of the Senior Salaries Review Body.

8.14 The DG will be able to designate certain NCA posts as eligible for the Police Pension Scheme. The process for designating such posts will be agreed with HM Treasury and Cabinet Office.

Fees and Charges

8.15 The Act provides for the NCA raising fees and charging for services. Annual income projections will be reflected in the NCA estimate and the NCA will ensure that each fee is in line with full cost recovery principles in accordance with Managing Public Money. The Director General must ensure that any funds received as a result of such charges or fees are paid into the Consolidated Fund, unless the Director General has obtained the prior approval of HM Treasury to retain such funds.31

30 Paragraph 25, Part 8, Schedule 5 to the Crime and Courts Act 2013 provides the Director General must pay to the Commissioners any money received by way of proceeds of forfeitures by the Director General in the exercise of any power of the Commissioners or by the Director General or any other NCA officer in the exercise of a customs power. 31 HM Treasury has approved the NCA to charge for the Witness Intermediary Scheme; for Crime Operations Support; and training courses relating to the Proceeds of Crime and relating to CEOP. For each service, and category of service, income will be retained on the basis that the NCA will only charge on a full cost recovery basis, and there is no planned cross- subsidisation between services or categories. 91 11 Sponsorship and Donations

8.16 Any other income, assets or other benefits-in-kind which the NCA may receive through gifts, bequests or donations from third parties will be treated in accordance with HM Treasury’s Financial Reporting Manual and Cabinet Office guidance.

Payment for HMIC inspections

8.17 The NCA will pay HMIC for any relevant inspection as set out in HMIC’s annual inspection programme, on a cost recovery basis, in line with HM Treasury32 principles. The cost of any additional inspections of the NCA by HMIC which are requested by the Home Secretary in-year33 will be defrayed by the Home Office.

Transition arrangements

8.18 In the event of any change to the NCA’s functions, the NCA will work with the Home Office to put in place arrangements to ensure an orderly transition, in accordance with the principles set out in Managing Public Money (annex 7).34 In particular, the Home Office will need to ensure that relevant assets and liabilities are transferred to any successor bodies, or in the event that Part 1 of the Act is repealed and no successor body is created, that they are reverted to the Secretary of State.

9. Transparency and information

9.1 In accordance with section 6 of the Act, the Director General is under a duty to publish information about the exercise of NCA functions and other matters relating to the NCA in accordance with the requirements set out in Annex A.

9.2 The Director General will appoint one of the ex officio members of the Board to act as the NCA’s Senior Information Risk Owner.

Public Information handling and complaints

9.3 The NCA will receive and handle information, comments, suggestions and complaints from members of the public in accordance with clear procedures which will be published on the NCA’s website.

10. Arrangements for changing the Framework Document

10.1 The framework document and its operation will be reviewed by the Home Office in consultation with the Director General and the devolved administrations at intervals of not more than three years. There is an expectation that a review will take place at the end of the NCA’s first year of operation. The Document will also be reviewed following the appointment of a new Director General or Home Secretary.

32 Managing Public Money (July 2013). 33 Section 11(2), Crime and Courts Act 2013. 34 In accordance with Managing Public Money (Annex 7) 92 12 Framework document for the National Crime Agency 10.2 The Director General may propose changes to this framework document at any time, and these will be subject to agreement by the Home Secretary in accordance with the consultation requirements set out in the Act.

11. Interpretation

11.1 The terms used in this framework document have the same meaning as set out in section 16 of the Act.

Signed by:

Home Secretary Director General

15 October 2013 15 October 2013

93 13 NCA Framework Document Annex: NCA Publication Requirements

A. Introduction

To ensure the National Crime Agency (‘NCA’) is an open and transparent agency, the Director General (‘DG’) has a statutory duty35 to make arrangements for publishing information and to publish such information about the exercise of the NCA’s functions and other matters relating to the NCA. This Annex imposes on the DG requirements in relation to the performance of the duty to publish, with which the DG must comply.36

B. Publication requirements

The DG will publish NCA information about the exercise of the NCA functions and other matters relating to the NCA where the material falls within one or more of the following categories:

• The threat from serious, organised and complex crime • General information about the NCA: who leads it, what it does and how it does it • NCA priorities and performance • NCA spending • Summary records of NCA Board meetings

C. Exemptions

The Director General may edit, redact or decline to publish any information the publication of which he or she reasonably considers would prejudice or jeopardise, or would be likely to prejudice or jeopardise:

• the discharge of the NCA’s functions;37 • national security; • the health and safety of any person; • the commercial interests of the NCA or any person; or • may jeopardise diplomatic/international relations with foreign governments.

The DG may also decline to publish information under these arrangements if he or she considers that publication of the information is contrary to any enactment or court order, is intended for future publication, is legally professional privileged information, where disclosure would be a breach of confidence or where the information is held only in court documents.

35 Section 6 Crime and Courts Act 2013. 36 Section 6 (2) & (3) Crime and Courts Act 2013. 37 Section 1 Crime and Courts Act 2013. 94 14 Framework document for the National Crime Agency 95 96 97 Published by TSO (The Stationery Office) and available from:

Online www.tsoshop.co.uk

Mail, telephone, fax and email TSO PO Box 29, Norwich NR3 1GN Telephone orders/general enquiries: 0870 600 5522 Order through the Parliamentary Hotline Lo-Call 0845 7 023474 Fax orders: 0870 600 5533 Email: [email protected] Textphone: 0870 240 3701

The Houses of Parliament Shop When you have finished with this publication please recycle it 12 Bridge Street, Parliament Square, London SW1A 2JX Telephone orders/general enquiries: 020 7219 3890 Fax orders: 020 7219 3866 Email: [email protected] Internet: http://www.shop.parliament.uk

TSO@Blackwell and other accredited agents 98 Keith Bristow Director General Caroline Murdoch Deputy Director Corporate Affairs (Secondee)

Senior management Carl Holmes (T/P) Sheeren Billings (T/P) Legal Adviser Deputy Director structure Legal As at 28 February 2014 Nigel Kirby (T/P) Phil Gormley Martin Molloy (T/P) Deputy Director Deputy Director Deputy Director Planning, General Security and Performance, Risk Standards

Gary Chatfield(T/P) VACANT Gordon Meldrum Trevor Pearce Tim Symington David Armond Johnny Gwynne Stephen Webb Director Director (Secondee) Director (Secondee) Director (Secondee) (Secondee) Operations National Cyber Crime Director Economic Crime Director Border Policing Director Director Unit Organised Crime Command Intelligence Command Child Exploitation Corporate Services Matt Horne (T/P) Command and Online Protection Deputy Director Andy Archibald (T/P) Stephanie Jeavons Steve Frodsham (T/P) Sharon Lemon Command Iain Macleod England and Wales Deputy Director Caroline Young (T/P) Deputy Director Deputy Director Deputy Director Deputy Director Andy Baker National Cyber Crime Deputy Director Economic Crime Intelligence Hub International Operational Logistics Andy Sellers Unit Organised Crime Command Deputy Director Deputy Director Command Ian Cruxton Tom Dowdall CEOP Command David Butler (Secondee) Specialist Services Deputy Director Deputy Director Deputy Director NCAT Estates (Projects) Steve Coates Operations Helen Skelton Deputy Director Jeremy Fox Deputy Director Intelligence Deputy Director Collection Intelligence Projects Finance and Commerical Bob Lauder Deputy Director John Tanner Scotland and NI Deputy Director Organisational Development

Sue Steen Deputy Director HR

Chris Reynolds Deputy Director HR Projects 99 Annex F: NCA officers’ self-declared ethnicity as at 7 October 2013

and Asian Mixed – white and black African Mixed – white and black Caribbean Pakistani Prefer not to say White White – British White – Irish White – other Not stated Other Blank Total Any other Asian background Any other black background Bangladeshi Black – African Black – British Black – Caribbean Chinese Indian Mixed – any other mixed background Mixed – white NCA Director General 1 1 NCA Deputy Director General 1 1 NCA Director 3 6 9 NCA Deputy Director 11 11 22 NCA Grade 1 1 46 1 21 69 NCA Grade 2 1 1 1 3 3 1 2 1 1 123 1 4 1 52 195 NCA Grade 3 4 1 1 1 1 10 1 2 1 2 1 1 430 7 7 2 113 586 NCA Grade 4 4 1 1 3 11 7 1 16 8 4 1 6 4 4 851 8 22 5 5 291 1254 NCA Grade 5 7 1 1 9 8 15 6 44 10 11 4 5 12 16 5 1128 13 28 10 3 587 1926 NCA Grade 6 1 2 2 9 9 6 3 22 4 2 1 4 225 1 2 2 78 372 NCA Special 1 9 10 NPIA National Grade 1B 1 1 NPIA National Grade 2B 1 1 Administrative Officer 3 3 6 Administrative Officer - I 1 1 2 Executive Officer 2 1 3 Executive Officer - I 1 6 7 Firearms & Explosives Officer - Admin 1 1 Firearms & Explosives Officer - Higher 1 6 7 Higher Executive Officer 1 1 Total 17 4 8 22 30 30 11 95 27 20 7 7 25 21 13 2826 30 64 17 11 1189 4474

100 Annex G: NCA officers’ self-declared ethnicity as at 28 February 2014

Any other Asian background Any other black background Bangladeshi Black – African Black – British Black – Caribbean Chinese Indian Mixed – any other mixed background Mixed – white and Asian Mixed – white and black African Mixed – white and black Caribbean Pakistani Prefer not to say White White – British White – Irish White – other Not stated Other Blank Total NCA Director General 1 1 NCA Deputy Director General 1 1 NCA Director 3 6 9 Non-Executive Board Member 4 4 NCA Deputy Director 13 10 23 NCA Grade 1 1 47 1 25 74 NCA Grade 2 1 1 1 3 3 1 2 1 1 131 1 5 1 60 212 NCA Grade 3 4 1 1 1 1 10 1 2 1 2 1 1 442 8 7 2 114 599 NCA Grade 4 4 1 2 3 10 7 1 16 8 4 2 6 7 5 847 7 20 5 5 314 1274 NCA Grade 5 8 1 4 10 8 14 6 47 10 11 4 4 12 14 4 1166 14 30 10 3 558 1938 NCA Grade 6 1 2 1 8 9 6 2 21 4 2 1 4 226 1 2 2 76 368 NCA Special 1 10 11 NPIA National Grade 1B 1 1 NPIA National Grade 2B 1 1 NFA Grade 6 Lon 2 2 NFA Grade 7 Lon1 1 6 7 NFA HEO Lon 1 1 NFA SEO Lon 3 3 Total 18 4 7 22 29 29 10 97 27 20 7 7 25 22 13 2877 31 65 17 11 1191 4529

101 102 103 104 105 106 107 Annex I: Police officers seconded to the NCA by grade and force as at 28 February 2014

Force DDG Director Grade 1 Grade 2 Grade 3 Grade 4 Grade 5 Total Bedfordshire 1 1 2 British Transport Police 1 1 Cambridgeshire 1 1 1 3 Cheshire 1 1 5 7 City of London 1 1 Cleveland 1 1 Greater Manchester 1 6 7 Gwent 1 1 Hertfordshire 1 1 Kent 1 1 2 Lancashire 1 2 3 6 Leicestershire 1 1 Merseyside 1 2 3 Metropolitan 1 2 3 6 12 Norfolk 1 1 2 North Wales 1 1 2 Northamptonshire 1 1 2 Police Service of Northern Ireland 1 1 Police Scotland 2 3 5 South Wales 1 1 2 South Yorkshire 1 1 2 Staffordshire 3 3 Surrey 2 2 Sussex 1 1 2 Warwickshire 1 1 West Mercia 1 1 West Midlands 1 3 4 West Yorkshire 1 2 3 Wiltshire 2 3 5 Total 1 2 2 11 12 20 37 85

108 109 110 111 112 113 114 115 116 117 118 119 120 121 122 123 124 125 126 127 128 129 130 131 132 133 134 135 136 137 138 139 140 141 142 143 144 145 146 147 148 149 150 151 152 153 154 155 156 157 158 159 160 161 162 163 164 165 166 167 168 169 170 171 172 173 174 175 176 177 178 179 180 181 182 183 184 185 186 187 188 189 190 191 192 193 194 195 196 197 198 199 200 201 202 203 204 205 206 207 208 209 210 211 212 213 214 215 216 217 218 219 220

NCA Evidence into the NCA Remuneration Review Body

31.01.14

Version 1.2

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221 Contents:

1. Executive Summary Page 3

2. The NCA Organisation Page 7

3. Employee Engagement Page 16

4. Resourcing Page 19

5. NCA Transformation Page 22

6. Pay, Earnings & Total Reward Page 24

7. Financial Position Page 29

8. Summary of Pay Proposals Page 31

Appendices

A. Staff Survey Page 33

B. NCA Interim Remuneration Policy (HR 04 (v1)) Page 44

C. FTE of Establishment of SOCA & NCA April 13 to November 131

D. NCA Evidence Data1

1Appendix A (a PDF) and Appendixes C and D, (Excel spreadsheets) are attached separately.

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222

1. Executive Summary

1.1 The National Crime Agency (NCA) came into existence 7 October 2013 bringing together a number of agencies – Serious Organised Crime Agency; MPS Police Central E-Crime Unit; the Crime and Financial Investigation capability from the UK Borders Agency and a small group from the National Fraud Authority (who joined 1 December 2013).

1.2 The NCA’s core mission is to lead the UK’s fight to cut serious and organised crime. We will do this by:  Identifying and relentlessly disrupting high-priority and priority serious and organised criminals and their groups.  Providing valuable specialist capabilities to support our partners.

1.3. Our vision is to be a world–class law-enforcement agency, internationally recognised and respected for leading the fight to cut serious and organised crime. The NCA is intelligence-led and, through its multi-agency Intelligence Hub, works to build a single, comprehensive UK intelligence picture of serious and organised crime to drive the operational activity of the NCA and its partners.

1.4 The NCA has a flexible, professional and capable workforce, rightly proud to work for it and committed to the relentless pursuit of serious and organised criminals. NCA officers at all levels lead by example and are empowered to use their professional judgement to take operational decisions. Its workforce is currently some 4194.2 Full Time Equivalent (FTE). 85% of its officers are engaged in a front line operational capacity. The culture of the organisation and its treatment of its officers is underpinned by the concept of ‘one workforce’.

1.5 The National Crime Agency Remuneration Review Body (NCARRB) has been established as a compensatory measure following the removal of the right of officers holding operational powers to take strike action, introduced through the Crime and Courts Act 2013 that established the NCA.

1.6 The review of pay and pay related allowances for NCA officers who do not hold operational powers is undertaken through the NCA’s negotiation and consultation machinery with its three recognised trade unions, the PCS; the NCOA; and the FDA. However, it is the desired intention of the NCA that any outcome reached by the NCARRB should be capable of similarly being applied to this group of officers and remain within the affordability envelope for the NCA.

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223

1.7 Pay and pay related allowance reviews for the NCA are guided by the annual HM Treasury Guidance issued in support of the Government’s policy on public sector pay. In determining how the limitations presented by this policy can be used in the most effective and efficient approach to address NCA’s priorities, the NCA considers its position in the general pay market (including that of the civil service); any particular pressures in recruiting and retaining officers; exit rates and any particular issues driving wastage.

1.8 However, as the NCA as an organisation has only been established since 7 October 2013, it has no history to draw upon that would reflect the particular nature of the organisation. Whilst there is some comparator to be used from precursors they are of limited value as the NCA has new capability as a consequence of the functionalities it has absorbed and is itself looking to develop further new capabilities. It also is about to embark on the transformation programme that will be critical to shaping the organisation ensuring it is fit for the requirements of the NCA as opposed to that of the precursors.

1.9 The turnover rate since the NCA came into its existence has remained relatively steady at some 6% (a similar level to that of the major precursor – the Serious Organised Crime Agency, SOCA) with little indication that pay and pay related allowances are a major factor.

1.10 Similarly the officer engagement survey recently undertaken as part of the wider civil service exercise has not shown that pay is a major negative feature. There is little market pressure to change the values of the pay grade ranges. However, officers have an expectation to receive an improvement in salary where there is capability to do so. In previous years SOCA adopted an approach that has demonstrably shown to officers that the focus of its pay strategy was on enabling officers to progress towards a target range for their particular grade in an open and transparent manner. It also has shown that officers at target range and above should still be able to gain some benefit, albeit at a reduced rate. This approach has been a contributory factor to the retention of officers, even through significant periods of change.

1.11 There has been no pressure to change the very limited number of allowances that have been carried forward into the NCA. There is though no significant history of external recruitment into the NCA as yet and there are new capabilities to which it will be looking to recruit and in connection with which it is likely to find itself competing in an external market for skills that carry significant premia. The NCA is currently at the initial stages of recruiting trainees and received a very positive response which indicates that the pay ranges are sufficient for a generic approach to recruitment. It has not yet though had much experience of recruiting highly specialised skills such as experts in the arena of cyber crime and other roles requiring high levels of

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224 technical skills. These may present a problem as they can often be in areas that are recruited by the private sector. However, it is too early to identify whether the NCA needs to address recruitment and retention pressures, though this may become evident within the year covered by this pay round. For this reason, the proposal is to acknowledge the principle that there may need to be a subsequent consideration of recruitment and retention issues where this impacts on operational capability in business critical areas.

1.12 Finally, the NCA has absorbed a number of officers from precursor agencies who have retained their precursor terms in accordance with the COSOP guidelines that governed the transfer. Some of these terms include contractual pay progression As the focus on effort to the NCA go-live date of 7 October 2013 was the transition of officers into the NCA to ensure it was an operating entity, addressing how these officers may be offered terms to assimilate to NCA pay and allowances was held in abeyance to be undertaken post transition. The proposal is to address this for the 2015/2016 pay year.

1.13 The proposals that the NCA would wish the NCARRB to consider are therefore as follows:

Proposals

 No change in NCA grade range values.

 Progression pay based on a consolidated fixed value irrespective of grade for staff assessed as at least ‘Good’. In 2013/2014 these were as follows.  Below Target Range = £540  Target Range = £270  Above Target Range = £135 (non-consolidated where above grade max.) These were containable with the 1% limit and therefore it is proposed that in principle and subject to affordability for 2014/2015.

 No change in the rates of any allowances.

 Redefine locations that qualify for London Weighting Allowance (LWA) to those within the M25 boundary for new recruits and for officers not in receipt of LWA but subsequently posted to a location that previously attracted LWA.

 Excellent Performance Awards to be retained.

 Identify in principle that a recruitment and retention allowance may be required but would be subject of a separate business case if, as and

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225 when required. Costs would be from within the non-consolidated pay pot.

 Officers who have been offered assimilation terms but elected to remain on precursor terms to remain on their 2013/2014 pay rates. Border Investigators will be remaining on their precursor terms for the time being and to have an increase in pay applied in line with their terms limited to a maximum of 1%.

 Police Central e-Crime Unit (PCeU) officers (approx. 70) will be offered assimilation terms during the early part of the New Year in accordance with commitments given to them at the time of transfer. A number may not assimilate and remain on their precursor terms. In the case of former police officers this will include a protection on progression due to the COSOP principles underpinning their transfer. This will be addressed within a costed business case for the 2015/2016 pay year.

This is affordable for the NCA within the limits set by the Government’s policy on public sector pay for 2014/2015.

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226

2. The NCA Organisation

2.1 The NCA’s core mission is to lead the UK’s fight to cut serious and organised crime. We will do this by:  Identifying and relentlessly disrupting high-priority and priority serious and organised criminals and their groups.  Providing valuable specialist capabilities to support our partners. Our vision is to be a world-class law-enforcement agency, internationally recognised and respected for leading the fight to cut serious and organised crime. The NCA is intelligence-led and, through its multi-agency Intelligence Hub, will build a single, comprehensive UK intelligence picture of serious and organised crime to drive the operational activity of the NCA and its partners.

2.2 The NCA will lead the national response to tackling serious and organised crime through fours pillars of the Serious and Organised Crime Strategy:

 Pursue: prosecuting and disrupting people engaged in serious and organised criminality

 Prevent: preventing people from engaging in serious and organised crime

 Protect: increasing protection against serious and organised crime

 Prepare: reducing the impact of this criminality.

2.3 The NCA operates UK-wide, leading a comprehensive and coordinated national response to the fight against serious and organised crime whilst respecting the devolution of policing in Scotland and Northern Ireland. The functions of the Agency extend UK-wide but in Northern Ireland the activities of the Agency will be restricted to reserved and excepted matters1.

2.4 The NCA will ensure that the welfare of children is considered in every aspect of the NCA’s work, in adherence with the key provisions of Section 11 and Section 28 of the Children Act 2004 (as amended by Section 8 of the Crime and Courts Act, 2013).

2.5 NCA Core Functions

The NCA went live on 7 October 2013. It has been established from a number of precursor agencies, namely the Serious Organised Crime Agency

1 The Northern Ireland Executive did not take forward legislative consent for the NCA in Northern Ireland. As a result, Part 1 of the Crime and Courts Act 2013, which creates the NCA, is subject to Schedule 24 – the NCA: Northern Ireland – which sets out those sections that do not apply to Northern Ireland Page 7 of 54 NOT PROTECTIVELY MARKED

227 (SOCA) (including the Child Exploitation and Online Protection Centre - (CEOP)) and the Police Central e-Crime Unit (PCeU). Some elements of the National Policing Improvement Agency (NPIA) and Forensic Science Services (FSS) had already transferred prior to the NCA - the FSS was brought into SOCA as part of the work to transfer these functions into the NCA. The Criminal and Financial Investigation (CFI) (Borders) teams, formerly part of UK Visas and Immigration, Home Office2, have also transferred into the NCA, together with a small number of officers from the National Fraud Authority. Of the officers transferred into the NCA on go-live, some 90% came from within SOCA.

The NCA has inherited its precursor estate. As a result NCA officers have initially been located at those sites that were previously used by SOCA (including CEOP’s Pimlico location), and CFI (Borders) officers across the UK and overseas. Over time, NCA officers will be increasingly co-located with partner agencies, particularly with the police and at the border, to facilitate closer working. There will also be a strategy to reduce the current size of the estate to one which represents best value and better aligned to operational requirements.

The NCA:

 Has a multi-skilled workforce with the specialist capabilities to undertake operations to cut serious and organised crime across the UK, as well as with partners overseas, and to provide specialist support to partners;  Works with partners to develop an authoritative UK intelligence picture of serious and organised crime to drive joined up operational activity and has a multi-agency Intelligence Hub.  Delivers a joined up response to serious and organised crime, by tasking and coordinating the national response through NCA Tasking and Coordination (NCAT), working in collaboration with the police and law enforcement partners, the wider public sector and where appropriate the private and voluntary sectors;  Delivers two-way tasking and coordination through: duties of cooperation between NCA and UK police forces or other law enforcement agencies; and specific provisions for assistance and tasking between NCA and its partners. These will normally be exercised on a voluntary basis, but the Director General (DG) may use the powers provided by the Crime and Courts Act to direct a police force in England & Wales, or the British Transport Police, to undertake activity, subject to tests in the Act. (In addition, the Home Secretary has agreed that Border Force and Home Office Immigration

2 UKBA was abolished in 2013. Page 8 of 54 NOT PROTECTIVELY MARKED

228 Enforcement can be instructed by the Director General and this is outlined in the NCA Framework Document).  Has a wider remit than its precursors to tackle serious and organised crime, strengthen our borders, fight fraud and cyber crime, and protect children and young people from sexual abuse and exploitation.

In addition, the Crime and Courts Act provides for Directed Assistance provisions: the Director General may direct assistance from police forces in England & Wales and law enforcement agencies, subject to the relevant Secretary of State consent; and the Home Secretary may direct the DG NCA to provide assistance to Police Forces in England and Wales and law enforcement agencies. Separate provisions exist for Directed Assistance and Police Scotland.

2.6 NCA Structure

The NCA provides clear leadership in the areas referred to above through four Operational Commands:

 Organised Crime Command (OCC), ensures, with partners, that all organised crime groups are subject to a prioritised level of operational response;  Border Policing Command (BPC), tackles threats arising from cross-border criminal activity and conducts activity overseas on behalf of UK law enforcement;  Economic Crime Command (ECC), focuses on the collective response to economic crime threats including fraud, bribery and corruption; alongside leading NCA work to tackle money laundering; and  Child Exploitation and Online Protection (CEOP) Command, focuses on the protection of children from sexual abuse and sexual exploitation, both on and offline, and the pursuit of offenders.

NCA Operations provides a flexible, shared operational capability of over 2,000 officers to the NCA and the Commands within it. It has an investigative network situated across the UK. This operational capability includes financial investigators and intelligence support and, when required, is augmented by suitably-skilled NCA officers not currently in operational roles and NCA Specials.

In addition, the NCA:

 has created a centre of expertise for cyber crime through the establishment of a National Cyber Crime Unit (NCCU);

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229  delivers operational results with partners through the use of NCA capabilities to deliver criminal justice outcomes, asset recovery, prevention and disruption activity to relentlessly pursue organised criminals and cut crime; and  has an effective international role working with partners to cut serious and organised crime which impacts the UK, through a network of international liaison officers.

2.7 NCA Governance and Performance

The NCA is a Non-Ministerial Department3. This is the same status as, for example, HM Revenue and Customs or the Crown Prosecution Service. In other words, a fully fledged department, but without its own Secretary of State with the Director General (DG) directly accountable to the Home Secretary and through the Home Secretary to Parliament. The Home Secretary determines the strategic priorities for the NCA – after consultation with the DG and strategic partners (including the devolved administrations) – but the DG has full operational command of NCA activities.

The NCA Framework Document articulates the relationship between the Home Secretary and NCA DG, ensuring the Home Secretary has the information and assurance needed to discharge the accountability to Parliament and setting out the governance, financial management, tasking and transparency arrangements for the NCA. This includes the arrangements for the NCA Board, which is chaired by the DG and which comprises both executive and non executive members. An NCA Oversight Unit, within the Home Office, guides the Home Secretary’s scrutiny of the NCA, advising on the NCA's ability to meet its strategic priorities.

The Deputy Director General (DDG) is responsible for leading the day-to-day operations of the Agency and is directly accountable to the DG. The DDG drives the performance of the NCA and is responsible for the operational delivery of the Agency's law enforcement response to serious and organised crime.

The NCA publishes an Annual Plan4, developed in consultation with partners and informed by the latest threat assessment. The Plan sets a high level expectation for how the Agency’s resources will be deployed to respond to the strategic and operational priorities.

The NCA has a strong focus on performance management; enabling the DG to be accountable for the NCA's performance and assisting the Home

3 A Non-Ministerial Department carries out its functions on behalf of the Crown (Schedule 1, paragraph 1 Crime and Courts Act 2013. 4 NCA has published a Plan for 2013-14. This outlines the Agency’s strategic and operational priorities. Page 10 of 54 NOT PROTECTIVELY MARKED

230 Secretary in holding the Agency to account. NCA performance reports are designed to indicate how the NCA's activities, and those with and through partners, are impacting on the threats. The Agency is compliant with statutory reporting requirements.

The NCA's performance framework provides the means of appraising the NCA's performance, which is:

i. Comprehensive – covers the full scope of the NCA's remit, including where it has worked independently as well as with and through partners; ii. Straightforward and accessible – is readily understood by the NCA's workforce, the public, Parliament and partners; iii. Informed by the experience of others – avoids chasing numbers or causing unintended consequences – and learns from what works for agencies with similar challenges; iv. Insightful – represents a genuine test of what is important and relevant as opposed to just something that can be measured; and v. Proportionate – the NCA is an operational crime fighting agency and its resources will be focused on delivering for the public, not compiling complex performance measures.

Building on elements of the performance framework adopted by the Government’s counter terrorism strategy, CONTEST, the NCA’s performance framework is based on a set of Key Performance Questions (KPQs)5.

The KPQs are evidenced by qualitative narrative assessments and quantitative measures and link directly to the Government’s Serious and Organised Crime Strategy and the Home Secretary’s strategic priorities for the Agency. The framework allows for a whole Agency view of performance against these strategic priorities as well as a more detailed assessment.

The KPQs for 2013-14 which are outlined in the NCA Annual Plan, broadly cover the following areas:

i. To what extent does the NCA understand the threats from serious and organised crime? ii. What effect is the NCA having fighting crime and responding to these threats? iii. How effective is the NCA at partnership working? iv. How effectively does the NCA manage resources to meet its priorities?

5 KPQs are outcome focused questions that capture the information required to review strategic objectives and focus attention when performance is reviewed. Page 11 of 54 NOT PROTECTIVELY MARKED

231 Due to the nature of the Agency and its work, the NCA is subject to inspection and scrutiny by a number of statutory bodies in England and Wales alongside those in the devolved administrations6.

The NCA expects the highest standards of professionalism from all its officers and has a zero tolerance approach to corruption.

2.8 NCA Culture

The NCA has a flexible, professional and capable workforce, rightly proud to work for it and committed to the relentless pursuit of serious and organised criminals. NCA officers at all levels lead by example and are empowered to use their professional judgement to take operational decisions. The culture of the organisation and its treatment of its officers is underpinned by the concept of ‘one workforce’.

The Agency builds on the talent and skills of its officers. The broader remit of the NCA provides opportunities for officers to acquire new skills and develop their careers. NCA officers may be designated with one or more of the powers and privileges of a constable; powers of an officer of Revenue and Customs; and powers of an immigration officer.7

The NCA is visible, transparent and accountable for the decisions it makes and the action it takes. It values partnership working and works with law enforcement and other organisations in the UK and overseas to deliver the most effective response to serious and organised crime. The NCA operates a “need to share” approach to intelligence and has established a culture of information sharing, within the Agency and with partners.

The Agency finds solutions to difficult problems and takes an innovative approach to deliver new capabilities to tackle emerging threats. Working with the Home Office, the NCA works to remove barriers and bureaucracy to enable officers to cut crime through the most effective response to threats.

Work has taken place to define the NCA’s culture, identity and values and this has involved consultation with NCA officers across the organisation to shape a set of values and behaviours. These core values and behaviours are as follows:

Flexibility – seeking continuous improvements to the way that we work, adapting to find solutions

6 For example, HMIC; National Audit Office; IPCC. 7 Crime and Courts Act 2013 – see Section 10. Page 12 of 54 NOT PROTECTIVELY MARKED

232 Integrity – acting with the highest standards of integrity and professionalism Respect – treating everyone with dignity and respect, valuing diversity, working in partnership Serving the public – being proud to put the public interest at the centre of everything we do Transparency – being truthful, open and accountable for our actions.

The process of embedding the NCA’s culture, identity and values in the everyday work of the Agency is underway. The conduct and behaviours of NCA officers are governed by the NCA Code which supplements the Civil Service Management Code which, as civil servants, NCA officers are required to abide by.

2.9 NCA Partnership Working

The NCA will only be successful if it works with others to change the way in which the entire community tackles serious and organised crime. A close and effective partnership with law enforcement agencies, as well as wider public, private and voluntary sector partners locally, regionally, nationally and internationally, is an integral element of its operational strategy. At this strategic level, the NCA will form relationships with partners where there is a common interest. All areas of the NCA will need to work with these partners either at a strategic level or as part of the delivery of NCA operational objectives.

The NCA takes a consistent approach to working with partners. Key strategic partnerships have been allocated a relationship owner at a senior leadership level. Relationship owners are responsible for:

i. Having an overall view of the relationships that exist with that partner across the NCA; ii. Undertaking regular reviews of the relationships in conjunction with the partner; and iii. Facilitating or escalating issues on behalf of the wider NCA.

The NCA will shortly publish: ‘The NCA Commitment to working in partnership with UK operational partners’

and

‘The NCA Commitment to working in partnership with Police and Crime Commissioners’

These will be available on the NCA’s website.

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2.10 Designation of Operational Powers

It is for the DG to designate that an officer is suitable to hold one or more of the powers referred to below. In order to do so, the DG must be satisfied that the officer is capable of effectively exercising powers, have received adequate training in respect of the exercise of those powers and are otherwise a suitable person to exercise those powers.

Section 10 of the Crime & Courts Act 2013 provides:

Operational powers of other NCA officers (other than the DG)

(1) The Director General may designate any other NCA officer as a person having one or more of the following— (a) the powers and privileges of a constable; (b) the powers of an officer of Revenue and Customs; (c) the powers of an immigration officer.

(2) The Director General may not designate an NCA officer under this section as having particular operational powers unless the Director General is satisfied that the officer: (a) is capable of effectively exercising those powers; (b) has received adequate training in respect of the exercise of those powers; and (c) is otherwise a suitable person to exercise those powers.

(3) The Director General may modify or withdraw a designation of an NCA officer by giving notice of the modification or withdrawal to the officer.

The vast majority of NCA officers designated with powers will hold ‘tripartite powers’ (namely, the powers of a Constable (England and Wales); the powers of an Immigration Officer; and the powers of a Customs Officer) which are collectively known as NCA Standard Powers (NCASP). A number of these officers will also be designated with the powers of a Constable (Scotland). There will be some officers, who have previously held those single powers and (i) who are undertaking training post-transfer to be designated with NCASP within a defined period of time or, (ii) who are short- term secondees to the agency, who will be temporarily designated with the single powers previously held. Additionally, there will be other officers designated with limited aspects of those single powers (partial powers) to meet specific requirements.

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234 In order to comply with section 10(2) of the Crime and Courts Act 2013, (which requires that an officer designated with powers (a) is capable of effectively exercising those powers; (b) has received adequate training in respect of the exercise of those powers; and (c) is otherwise a suitable person to exercise those powers) only those officers who have completed recognised investigator training and tripartite powers training are eligible for designation with NCASP. Equally, only officers who have completed the appropriate recognised training and examination are eligible for designation with single powers or with partial powers. No officer will be designated with any powers until both the line manager and the Security and Standards Department have confirmed their suitability and capability.

The use of coercive powers may on occasion result in conflict, the use of reasonable force, a requirement to pursue an offender and detain them, or all of these. It is therefore incumbent on officers to have due regard to their personal health, safety and fitness levels in order to discharge their duties effectively. All officers who are designated with powers in the NCA will be trained in operational first aid and officer safety, regardless of their role profile. Designated officers in an operational role are issued with full Personal Protective Equipment (PPE). All designated officers are currently required to undergo a two yearly Occupational Health Screening.

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3. Employee Engagement

3.1 The NCA recognises three trade unions: the PCS – (Public and Commercial Services union); the NCOA – (National Crime Officers’ Association); and the FDA (First Division Association).

 The PCS currently has an approximate membership of 1300 officers; it is one of the UK’s largest trade unions with nearly 280,000 members within government departments, agencies, and a number of private companies.

 The NCOA exists as a bespoke trade union for the NCA whose membership is drawn solely form NCA officers. It currently has some 1400 members. Established and certificated in 2013 its current Executives are trained trade union representatives and seasoned officers within the law enforcement environment. Currently it has yet to be certified as ‘independent’ though that remains its intention. (Both of the above trade unions can recruit members from all levels of the organisation from G6 up to and including Director level – see Section 6.3 for further information on NCA grades.)

 The FDA is the union and professional association for the UK’s senior public service managers. Membership is open to NCA officers at Grade 2 and above. Approximate membership is currently 30.

3.2 In the lead up to establishing the NCA, the Home Secretary required that officers holding operational powers would not have the opportunity to take strike action, either as a result of local or national issues. Home Office-led negotiations took place to seek a position that the trade unions would find acceptable. However, this was not achieved and the fall back position of removing the right to strike from officers holding powers through the Crime and Courts Act 2013 was applied.

3.3 Certification of the NCOA as a trade union was granted in August 2013 and recognition rights given by SOCA. These recognition rights and those that SOCA had granted to the PCS and FDA carried forward into the NCA. At the time of preparing this evidence the NCOA is at the early stages of seeking ‘independent’ status. The NCA’s approach though is to insist on a ‘one-table bargaining’ arrangement. This reflects very much the strategic direction the NCA has sought to establish and message of a unified workforce that does not distinguish between officers who hold operational powers and those that do not.

3.4 However, the ‘no-strike’ requirement established through legislation has had the consequence of creating a two-level negotiation process. The remit of

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236 the NCARRB (established as a compensatory measure for the statutory introduction of the no-strike provision) does not extend to those NCA officers not designated with powers. The negotiation and consultation on their pay and terms will take place through a local negotiation machinery. It is essential to the operational effectiveness of the NCA that these different negotiation processes do not lead to divergence of pay and/or other remuneration elements which will depend on whether an officer holds or does not hold powers.

3.5 The remit of the NCA RRB will cover the pay and allowances of officers holding powers. Non-pay elements (for example working patterns; mobility requirements etc) will remain as a matter of local negotiations.

3.6 Morale and motivation

3.7 The NCA has recently participated in the 2013 civil service staff survey. Prior to this, SOCA ran its own bespoke survey and therefore it would not be a like for like comparator to draw conclusions for variances between the results of the two.

3.8 The results of the NCA staff survey revealed a positive trend in employee engagement with an overall engagement score of 58%. This is consistent with the result for that of the wider Civil Service reported in 2013. The findings that related to pay and benefits showed on average of 34% satisfaction rating, with main concerns attributed to performance links with pay and the total benefits package. The wider civil service finding was considerably lower at 23%. Positive responses to the pay and benefit questions were lower in the NCA’s England and Wales business areas. In terms of location the South East of England has a consistently low response to these questions with officers based in the East of England being the most positive. Males aged between 45–49 are the least positive about pay and benefits and as are those employed in NCA Grades 2, 5 and 6.

3. 9 There was only a slight difference in engagement between male and female officers, issues of engagement did not significantly vary by ethnicity.

3.10 Scotland scored the highest in terms of employee engagement (78%) whilst again officers in London, the South East and South West (56%) are least engaged compared to those based in other parts of England and Wales and scored the lowest.

3.11 Grade 1s showed the highest intention to stay within the NCA for the next three years (70%); Grade 2s and Grade 6s showed the least intention to stay (18% & 17% respectively). These findings will be explored further as part of the ongoing work resulting from the outcomes of the Staff Survey.

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237 3.12 Officers felt that career development opportunities are limited and learning and development activities undertaken do not help.

3.13 Overall 49% of officers felt they had the tools to do their job effectively.

3.14 The summary of the results is contained in Appendix A. As this survey was part of the wider civil service staff survey, it was required to be run on 7 October, the go-live date of the NCA. Therefore the responses need to be viewed as being prepared at the same time officers were focusing on the new organisation and establishing operational readiness. This may have accounted for the 43% response rate and the fact that in a number of areas, (as the question related to the experience of the NCA), a significant proportion of responses inevitably reflected that officers had no experience of the NCA. To draw upon precursors’ surveys would have been a distortion as they would each have had their own cultures and potential issues.

3.15 Despite this caveat, the Board has received the results of the survey and will be developing action plans to address the key issues as referred to above and in the attached Appendix.

3.16 Exit Analysis

3.17 Turnover is currently at 6% per cent which has been a consistent level of staff attrition during recent years. The number of officers who left SOCA/NCA during the period of 12th December 2012 – 13th November 2013 was 268. The majority left either due to resignation or normal retirement (102/86 respectively).

3.18 The prime source for exit analysis are the exit questionnaires that all officers are requested to complete on leaving the organisation – irrespective of reason, including retirement. Participation is entirely voluntary and as a result the take-up rate is modest.

3.19 For the reasons previously stated there is very little data as the NCA. Qualitative exit data from SOCA (the largest precursor) showed pay and terms and conditions did not appear to play any significant feature in the decision to leave.

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4. Resourcing

4.1 The NCA’s workforce is flexible, professional and capable; it is building on the skilled workforce it inherited from its precursor agencies whilst creating opportunities to attract and train ‘raw’ aptitude and talent. It will also be developing new skills and capabilities to meet the strategic operational requirements that have been outlined above.

4.2 The NCA has a target number for officers of 4890. At the time of preparing this evidence, our current FTE is 4194.2, based on a contracted full-time working week of 37 hours. This number is composed of former SOCA officers (who make up the significant majority c.4090 of the NCA complement which includes 109 engaged in CEOP; 188 former NPIA and FSS staff; former UKBA officers (Criminal and Financial Investigation - CFI teams) of 269 officers; and NFA - 12. In the order of 85% of NCA officers are engaged in a front line operational capacity.

4.3 The workforce is composed of a variety of skilled officers to support operational delivery. These range from officers skilled in surveillance techniques (mobile and static); intelligence analysts; financial analysts; cyber and economic crime experts; officers deployed overseas to work with partner agencies; technical skills for supporting surveillance activity; corporate skills in legal, IT; Human Resources, Finance etc.

4.4 The NCA has an ageing workforce. While this does not impact on the organisation’s current operational capability, it is a factor that needs to be considered at this early stage to ensure it does not pose risks for the agency in the medium term. Moreover, there are currently high numbers of officers at supervisory level; this was a consequence of the need to ensure operational capability at the NCA’s inception. Now the NCA is established, it presents an opportunity to review the staffing structures to ensure the most efficient and effective operational delivery moving forward. As part of this strategy to reshape the organisation, in May 2013, the shadow NCA Board approved, (and the Home Secretary endorsed), recruitment of up to 250 new officers. The recruitment of these officers is focused on increasing the NCA’s operational capability and therefore is being targeted at the entry level grade and into areas such as operations, cyber crime, intelligence, border policing and CEOP. In parallel, the NCA is driving the restructuring to create a more effective and efficient supervisory structure. One of the strategies the NCA has adopted to ensure this is achieved in an affordable and timely way is the introduction of an early exit scheme, approved by the Cabinet Office.

4.5 Of the 4194.2 NCA officers currently employed, 1791 are currently designated with standard NCA powers (i.e. the powers of a constable England & Wales, the powers of a customs officer and the powers of an immigration

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239 officer). It is the ambition of the Director General to increase this number over time, not only through the recruitment of officers into roles that require powers but also for NCA officers not in roles that require powers to acquire them to increase the capabilities of the NCA to meet any operational surge.

4.6 Restrictions on external recruitment into SOCA between 2010 and 2013, have resulted in NCA inheriting vacancies. As a consequence, recruitment activity since go-live has focused on addressing this vacancy gap. We are currently exploring provisions to address future wastage.

4.7 Apprenticeships and officer trainee programme

4.8 As part of an evolving strategy to ‘grow our own’ the NCA Board decided to bring in 400 ‘trainee officers’ during 2014-15 across a range of roles based in two main operational hubs of London and Warrington. The trainee scheme is aimed particularly at school and university leavers. Successful candidates will enter a two-year programme to train and qualify them in the core skills the Agency will need. The NCA Board recognises that whilst there is an extensive talent pool of skills and experience amongst officers there are capability gaps in newer threat areas, such as cyber crime – and hence the NCA’s capability to tackle the groups we operate against.

4.9 The NCA workforce profile needs to be more reflective of the communities we protect – and the groups we operate against. Our current workforce data shows that approximately 10% of officers are from a visible ethnic minority background. Whilst this data compares favourably with the wider civil service (9.5%) and police service (5% police officers/7% police staff) our aim is to improve this position. Trainees will be recruited at the G6 grade and be able to access progression against milestones through the 2 year programme. On successful completion, it is intended they will be offered a permanent contract and placed within the NCA according to requirements at the time.

4.10 NCA is currently undertaking a ‘scoping’ exercise to identify suitable opportunities with the view to introducing an apprenticeship scheme.

4.11 Both these schemes are complementary to a High Potential Development Scheme that targets graduates and graduate calibre applicants. Through this programme, officers follow a 2-year programme but this time undertake a series of attachments (up to 6 months duration) in a number of business areas throughout the programme. It is open to internal as well as external applicants.

4.12 Career Pathways

4.13 The NCA career pathway is an online tool containing useful information to help all officers, supported by line management. It is designed to enable

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240 staff to work with their line manager to discuss particular aspirations and prioritise the steps required to maximise the opportunities available beyond the parameters of training courses. Work-based development opportunities are encouraged and supported to create movement between business areas. Work is underway on delivering the most appropriate competency framework to underpin the people management processes.

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5. NCA Transformation

5.1 The NCA has now settled on an overarching structure for the NCA Transformation Programme which reflects its remit across four strands: (1) Operational transformation; (2) Science and Technology; (3) People; and (4) Estates. The programme covers all aspects of the NCA and is led by the Deputy Director General.

5.2 The Programme will give the agency the shape, culture, operating model and approach that, despite a challenging budget settlement, further improves the NCA’s delivery. Every change that is made will be driven by the operational need and imperative to deliver at greater pace and impact on the strategic priorities set by the Home Secretary.

5.3 Over the next three to five years the strands will scope, design and then deliver:

 Operational Transformation: implementing new operating models for investigation and intelligence handling – the end to end process at both a strategic and tactical level – reflecting the need for the agency to exploit fully all sources of information including digital. This work will deliver a sustainable operating model, building on our evidence base of what works in tackling the agency’s’ remit. The Deputy Director General is already leading the integration of work undertaken over the last few months, to deliver a whole systems approach and connectivity across Commands, reflecting the disruption model, tasking and co-ordination improvements and rigorous performance management and accountability. The agency is also establishing an Innovation Centre with the remit to scope, test, and exploit new methods of working ultimately improving our operational outcomes. It will work in collaboration with partners to develop tactical, operational and strategic solutions.

 Science and Technology: including all ICT enhancements, transformational ICT projects and projects delivering operational equipment to the organisation. The NCA will be working with the Home Office to identify capability requirements and delivery options across the physical and social/behavioural sciences as well as operational research area.

 People: ensuring that the NCA has a structure and resource to deliver against the strategic priorities and which is aligned in terms of skills, locations, flexibility etc, to the requirements of the agency, while also being able to operate primarily in a technology enabled environment.

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242  Estates: the NCA Board has agreed an NCA Estates Transformation Strategy that aims at a major consolidation to 17 UK sites from 35 by 2019, focusing on core hubs and co-location with regional law enforcement partners. This strategy will guide key property asset management and investment decisions. As set out in the Serious and Organised Crime Strategy, the NCA shall, wherever possible, be sharing operational capabilities and property services with ROCUs (Regional Organised Crime Units) and CTU’s (Counter Terrorism Units).

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243

6. Pay, Earnings & Total Reward

6.1 Reward and Remuneration in the NCA

6.2 At the outset of the NCA, given that the significant majority of its officers came from SOCA, it was decided to adopt SOCA’s terms and conditions of employment, including its grading structure to minimise disturbance during and after the transition phase of the NCA. The Interim NCA Remuneration Policy is attached at Appendix 1. This document sets out the pay systems which operated within SOCA. It continues to provide interim guidance in the NCA however; it is being revised to reflect the introduction and remit of the NCARRB.

6.3 As a result of this decision, the NCA has 6 grades in addition to Deputy Directors and Directors. The pay and terms of Deputy Directors and Directors are set through the Civil Service Senior Salaries Review Board (SSRB) and are therefore outside the remit of the NCARRB. Roles below Deputy Director and Director level are placed within one of 6 grades (G1 being the highest) through a bespoke NCA Job evaluation scheme that was brought over from SOCA under the transition programme. In broad terms NCA Grade 6 is a support/trainee officer level; Grade 5s are fully qualified officers; NCA Grades 4 and 3 are middle management; and NCA Grades 2 and 1 are senior management levels.

6.4 It may be useful for the NCARRB to understand the background to NCA’s pay grade structure

6.5 The grades were created at the outset of SOCA to be able to absorb pay grades and bands from a number of precursor agencies that went into the formation of SOCA (e.g. HMRC; National Crime Squad; National Criminal Intelligence Service). Inevitably, these pay grades and bands varied significantly. Some were based on civil service pay structures whilst others were inherited from local authorities. Also, due to the composition of the National Crime Squad which had just completed an exercise that recruited police officers permanently into its structure, the SOCA grades had to be of sufficient length to absorb police officer pay structures. Due to the skills and experience that the NCS required these former police officers tended to be older and with longer service than would otherwise be the general norm for an organisation.

6.6 Staff transferring into SOCA did so under a statutory transfer scheme through which the transfer arrangements were required to be in accordance with COSOP (Cabinet Office Statement of Practice) which applies where the transfer would otherwise have been governed by the requirements of the Transfer of Undertakings - Protection of Employment regulations (TUPE).

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244

6.7 At the outset SOCA took a stance that as far as possible it would limit the number of allowances. So requirements for mobility and flexibility were initially considered to be recognised within base pay. However, there are additional terms that reimburse for additional costs arising from travel to meet business requirements, including subsistence terms.

6.8 SOCA Grade 5 (G5 in the NCA structure) was the ‘generic intake’ grade for operational officers. In the NCA generic intake is now likely to be through the trainee programme which will have a starting pay within G6. On successful completion of the NCA trainee programme an officer will move to G5. The role requirements of a Grade 5 in terms of skills and accountabilities equated to the rank of Constable in the police service. Accordingly it was benchmarked against police pay for the rank of Constable to retain the ability to compete for recruits who could otherwise be attracted to the police service. As the benchmark grade it set the pay position of the other grades. The consequence of matching police pay structures, was that the minimum and maximum points of the SOCA grades have always compared favourably with comparator grades within the civil service.

6.9 The pay grades are divided into 3 ranges, with progression through each determined by good or better performance. There were no guaranteed progression arrangements under SOCA terms and therefore there are none under NCA terms. The middle range is referred to as the ‘target range’. The upper range is a very narrow range above the target to allow extremely limited progression for those at this level. When this structure was created, it was underpinned by an intention that progression from the grade minimum to the target range minimum would normally be achieved in 7 years. At the time this was in accordance with Cabinet Office guidelines for progression. However, it was not a contractual entitlement dependant as it was on the agency’s budget position.

6.10 A number of precursor officers remain on their precursor terms and conditions (protected at the time of transfer) either as a result of rejecting the offer to assimilate over to NCA terms or due to exercises to offer assimilation terms not yet having been completed. Some of these have protected incremental progression that will need to be addressed in 2015/2016 pay year.

6.11 SOCA’s pay strategy following the 2 year restraint on public sector pay introduced as part of the Government’s approach to address public sector finance, focused on progression and particularly for those officers in the lower grades and the lower portions of their respective grades.

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245 SOCA/NCA Grade Values w.e.f. 1 August 2013

TARGET RANGE Grade Grade GRADE MINIMUM(£) MIN(£) MID(£) MAX(£) MAXIMUM(£)

SG 1 63,078 72,550 76,368 80,186 80,883 SG 2 51,493 59,224 62,341 65,458 66,025 SG 3 41,195 47,379 49,873 52,367 54,050 SG 4 32,956 37,904 39,899 41,894 43,240 SG 5 24,717 30,323 31,919 33,515 36,321 SG 6 17,689 22,407 23,586 24,765 25,945

6.12 In addition to the pay structure, the NCA has inherited other allowances that are now paid under NCA terms. These are limited to:

1. a pensionable London Weighting Allowance (£3162); 2. a 12.5% shift supplement for officers working a 24/7 working pattern on a rota basis; 3. £25.28 compensation for being available for out hours call-out; 4. For working additional hours to the normal full-time working week of 37 hours, officers on Grades 3–6 working on a rest day are compensated at double time. Where the additional hours are worked in the normal working week is compensated at x1.5. Officers on G2 and above do not receive any compensation for working additional hours whether that is during the normal working week or on rest days. (The normal working week is 5 consecutive working days, with 2 consecutive rest days, spread over a 7 day period).

6.13 The London Weighting Allowance has been held at the above level since 2009. It remains particularly competitive.

6.14 However, the NCA considers the qualifying locations exceed the need to meet competitive pressures. These should be reviewed and restricted to those within the M25.

6.15 The terms of reference for the NCARRB requires it to consider the legal obligations on the NCA in England, Scotland, Wales and Northern Ireland, including the Equality Act 2010. In developing its pay proposals for the NCARRB to consider the NCA has been mindful to ensure they are free from discrimination. Further, by proposing the approach to pay progression that are contained within this evidence the NCA has sought to ensure there are no discriminatory pressures within the pay structure that need addressing.

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246 6.16 Pay Review 2014/2015

6.17 HM Treasury have issued civil service pay guidance for 2013-14. It is expected the 2014/2015 Guidance will follow the same pattern. The underlying principle is that all departments and their sponsored bodies are expected to implement a policy under which the average uplift in paybills would not exceed 1% as announced in 2011. Under this guidance, Departments’ pay remits were required to take account of the following factors:

One per cent average annual award There is a limit of 1% on the percentage increase in remuneration cost for staff covered by each department remit. All elements which increase pay bill cost must be included, except employer National Insurance contributions and employer pension contributions. For example the following must be included:

 Revalorisation;  Progression increments;  Introduction of new allowances;  Cost of increases in the non-consolidated performance pot above its existing proportion of total pay bill;  Non-consolidated payments (except for payments related to performance from the non-consolidated performance pot);  Buy-out of allowances or non-pay entitlements;  Incentive payments relating to the implementation of pay reforms;  Cost associated with changes in non-pay benefits (e.g. leave entitlements);  Increases arising from pay restructuring (e.g. associated with machinery of government changes);  Non-pay rewards;  Salary sacrifice schemes;  Progression pay – Increases arising from contractual progression pay increments will continue to be paid where such increments are a legal entitlement. Departments are encouraged to include contractual progression increments to which there is a legal entitlement as part of the one per cent award. Departments were also encouraged to develop fully costed business case to replace protected progression arrangements.  Non-consolidated performance pay – Non-consolidated performance pay will continue to be managed, as in previous years, with each Department’s non-consolidated performance pay “pot” calculated as a fixed percentage of pay bill.

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247

7. Financial Position and Pay Pressures

7.1 The NCA 2013/14 budget is divided between SOCA and NCA. A breakdown is as follows:

 £422m resource  £14.3 budgeted income  £26.2m supplementary income

7.2 At the time of preparing this evidence, the NCA has yet to conduct detailed modelling for the 2014-15 Remit however the rationale used within the 2013- 14 Remit remains valid.

7.3 NCA Pay Pressures for 2014/2015

7.4 Whilst the 2014/15 budget is yet to be determined, the NCA believes that an approach on pay that is applied to officers covered by the NCARRB should be capable of being applied to those whose pay and allowances are set by local negotiations. This is critical to maintaining the ‘one workforce’ culture referred to previously and from which the NCA draws a unity of purpose and, as demonstrated through the Staff Survey, a very strong ‘buy in’ to the organisational objectives.

7.5 Public sector pay restraint is set to continue. Overall, growth in wages in the economy continues to remain flat or at best see very small rises so the view of the NCA is that there is little pressure to change grade maxima. Similarly the NCA views its grade minima as still competitive in a number of locations and where they are not it can use flexibility within the grade pay range. However, it supports the ideal that its officers should still be able to progress through the grade.

7.6 For the reasons applied by SOCA, the NCA is of a similar view that it should the same strategy should apply to support progression particularly for those officers in the lower grades.

7.7. The NCA will be engaging in recruiting officers with highly marketable and specialised skills e.g in the cyber and economic crime areas. To attract the high calibre it will need, the NCA may need to introduce a Recruitment and Retention allowance. We are not in a position to articulate what the required level of such an allowance would be however, neither may it prove operationally sustainable to wait for another year before submitting a fully costed business case in support of introducing such an allowance., The NCA wishes to seek agreement in principle to a Recruitment Retention Allowance if

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248 required to attract recruits to these highly specialised roles. This would be the subject of a fully costed business case at the time.

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249

8. Summary of Pay Proposals

8.1 Proposals  No change in NCA grade range values.  Progression pay based on a consolidated fixed value irrespective of grade for staff assessed as at least ‘Good’. In 2013/2014 these were as follows. These were containable with the 1% limit and therefore it is proposed that in principle and subject to affordability for 2014/2015 to be: Below Target Range = £540 Target Range = £270 Above Target Range = £135 (non-consolidated where above grade max.)

 No change in the rates of any allowances.  Redefine locations that qualify for London Weighting Allowance to those within the M25 boundary for new recruits and those not currently in receipt of LWA but subsequently posted to a location that previously attracted LWA.  Excellent Performance Awards to be retained.  Identify in principle that a recruitment and retention allowance may be required but would be subject of a separate costed business case if and when required. Costs would be met from within the non- consolidated pay pot.  Officers who have been offered assimilation terms but elected to remain on precursor terms to remain on their 2013/2014 pay rates. Border Investigators will be remaining on their precursor terms for the time being and to have an increase in pay applied in line with their terms limited to a maximum of 1%.  Police Central e-Crime Unit (PCeU) officers (approx. 70) will be offered assimilation terms during the early part of the New Year in accordance with commitments given to them at the time of transfer. A number may not assimilate and remain on their precursor terms. In the case of former police officers this will include a protection on progression due to the COSOP principles underpinning their transfer. This will be addressed within a costed business case for the 2015/2016 pay year.

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250 Appendix A

Provided as a separate document.

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251 Appendix B

NCA Interim Remuneration Policy - HR04 (v1)

Introduction The NCA is required to demonstrate value for money, proper financial control and high levels of integrity. This policy establishes a pay system that is attractive, affordable and rewards Officers fairly for the work they perform. It provides an overview of all aspects of pay and Officers benefits, including progression and rewards for excellent performance, for Officers within G1 to G6 inclusive.

Aim of the policy NCA recognises and values the importance of the role played by all Officers in the ability to develop and deliver strategies to reduce the harm caused by serious and organised crime. This policy aims to demonstrate this recognition in a fair and transparent manner and promote a culture of continuous improvement.

Contents 1. Operating procedures 2. Policy compliance 3. General principles 4. Pay levels 5. Pay on recruitment 6. Pay on promotion 7. Revalorisation and progression 8. Recognition of performance 9. Downgrading 10. Red circling 11. Allowances 12. Salary advances 13. Secondments and attachments 14. Suspensions 15. Minimum earnings guarantee 16. Transfer arrangements for Officers on precursor terms and conditions 17. Recovery of over-payments 18. Officers benefits

Policy statement(s)

1. Operating procedures

This Policy document is supported by procedures which provide members of staff with detailed guidance on various pay elements. These Procedures have the force of Policy and apply to all Officers at G1 to G6 inclusive.

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252 2. Policy compliance

The Policy owner is responsible for ensuring processes are in place to support compliance with this Policy.

3. General principles

The NCA is committed to the principle of equal pay. The NCA will regularly undertake an equal pay audit in line with Cabinet Office guidance, and take measures to address any issues arising from this. As well as a fair and equitable payment and progression structure, the organisation has a broad range of employment benefits, both financial and non-financial, which are available to Officers.

This Policy applies to all members of staff in G1 to G6 inclusive, including those on temporary or fixed-term contracts, except where stated. Changes to pay and terms and conditions are negotiated with the recognised trade unions. This Policy does not apply to Officers at Deputy Director level and above who have different pay arrangements under the Senior Civil Service (SCS) rules.

4. Pay levels

There are six pay grades for Officers on NCA terms and conditions. Each pay grade is structured across a pay range as follows:

 a grade minimum;  a target range, which includes a target range minimum, a target range mid- point and a target range maximum;  a grade maximum.

Pay ranges are set in reference to the following:

 HM Treasury guidance for annual pay reviews;  evidence of affordability within the approved pay remit submission;  exceptionally, reference to the external market (where appropriate, necessary and having regard to equal pay).

Roles are placed at each range by internal role comparisons through the NCA’s job evaluation scheme.

Extra, or variable, elements of pay for Officers on NCA terms and conditions include:

 progression;  performance recognition awards;

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253  allowances (including London Weighting, on call, 24/7 shift pay).

Extra or variable pay elements are not guaranteed and depend on management discretion and the NCA’s approved pay remit for the year.

The NCA undertakes a review of pay in August each year. Upon approval of the pay remit all the resulting aspects of the pay elements are negotiated with the recognised trade unions.

Officers retaining their precursor terms and conditions of service will benefit from contractual progression payments. Precursor terms and allowances are not revalorised. Any allowances linked to operational demands (e.g. regular overtime working) will be paid in accordance with the precursor terms and conditions.

5. Pay on recruitment

The NCA needs to attract high calibre talent to ensure that the loss of experience and skills arising from turnover does not affect operational capability.

It is an underlying principle that new starters will be paid at the minimum of the appropriate grade.

Exceptionally, where approved in line with Procedure HR01 OP05 Recruitment and Selection, external candidates may be offered a salary that exceeds the grade minimum.

No-one will be appointed to a salary that exceeds the grade maximum for that grade.

New starters who have previously worked for the NCA

Starting pay for Officers who have previously worked for the NCA will take into account previous experience if they are reappointed at the same grade within two years of leaving. Starting pay will be set on one of two levels according to time elapsed since leaving the NCA and relevance of their previous work to their new post. Refer to the accompanying Appendix i for the criteria and levels of pay.

Members of staff in the Police Pension Scheme (PPS) who retire and apply to return to work for NCA under Procedure HR01 OP10 Retention of Specialist Skills (ROSS) should see that procedure for details of salary implications. This also clarifies the position for Officers applying for externally advertised non-ROSS posts.

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254 6. Pay on promotion

Upon promotion into other grades, either temporarily or permanently, members of staff will receive an additional 5% on their current base salary (10% if they are promoted to G2), or the minimum of the grade to which they have been promoted, whichever is greater.

Where members of staff on precursor terms and conditions are temporarily promoted, they will retain their precursor allowances but be paid the NCA salary rate for the grade in which they are temporarily promoted to. In order to take up a permanent promotion, they will be required to transfer permanently to NCA terms and conditions.

7. Revalorisation and progression

The approved extent of any revalorisation and the rate of progression will depend on the approved pay remit and take account of any Treasury guidance and restrictions. All revalorisation and progression increases are consolidated for base pay and pension purposes up to the grade maximum.

Where a member of staff has reached the grade maximum, progression payments will not be made, and the balance of any revalorisation taking the salary above the grade maximum will be paid as a non-consolidated lump sum. Lump sum payments do not count towards overtime compensation or pension.

No member of staff on NCA terms and conditions will receive a base salary that is below their grade minimum. Revalorisation and progression will be applied to current base salary before comparison with any revalorised grade minimum. Where the base salary remains below the revalorised grade minimum, it will be revised to match the grade minimum.

Officers who have retained precursor terms and conditions are not eligible to receive revalorisation. The NCA will not pay progression awards to these Officers except where there is a contractual entitlement.

Revalorisation

Where revalorisation occurs, it will apply to all Officers except those who started on or after 1st May of the year in which the review is taking place.

The NCA will publish the revalorisation arrangements and the revised pay ranges for the year when the annual pay review and associated negotiations with the trade unions have concluded.

Progression Page 35 of 54 NOT PROTECTIVELY MARKED

255 The NCA recognises that members of staff who meet the competence levels of the role should progress through their pay range. It is the NCA’s intention that progress from the grade minimum to the target range minimum should take no more than 7 years. This is subject to the receipt of an approved ‘Good’ or ‘Excellent’ rating in performance appraisal and to affordability within the pay remit and Treasury pay guidelines each year.

In line with Procedure HR03 OP02 Performance Development System Officers who have been at work for less than a total of 4 months during the performance year will receive a ‘not applicable’ performance rating. This includes new recruits who have been working for the NCA for less than 4 months, and Officers who have been absent from work for any reason for a period, or a series of periods, exceeding 8 months in the performance year.

Officers in receipt of an approved ‘not applicable’ performance rating in the performance appraisal process will not be eligible for progression. The exception to this are those Officers absent for over 8 months of the performance year due to being on maternity or adoption leave, or suffering an injury on duty. In these cases staff members remain eligible for progression.

Officers in receipt of an approved ‘improvement needed’ rating will not be eligible for progression.

Where individuals are promoted within the 4 months before the end of the performance year, their performance will be assessed in relation to their previous grade. Therefore the size of their progression award will be in accordance with the previous grade.

Wherever affordable in the context of the annual pay settlement the NCA will normally seek to ensure that the cash value of the progression available to Officers in each range in a grade is not less than the amount received by Officers in the same range in the grade below.

Where Officers are temporarily promoted (TP) at the time of implementing a progression award, the award is based on substantive grade salary. Following application of the pay award TP pay is recalculated accordingly.

There may be occasions where an individual is promoted on or after 1st October. Where the application of revalorisation and a progression award to base pay would exceed the allowable promotional increase (see paragraph 6.1) the balance will be paid as a lump sum. Lump sum payments are non-consolidated, non-pensionable and have no bearing on overtime compensation.

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256 8. Recognition of performance

There are two ways in which the performance of Officers can be financially recognised:

 an award for an approved ‘excellent’ rating in performance appraisal;  honorarium payment. Honorarium payments are separate to awards made for ‘excellent’ ratings and should not be linked or one paid in lieu of the other.

Award for an ‘excellent’ rating

The NCA intends to provide an additional award to all Officers in receipt of an approved ‘excellent’ rating in the performance appraisal process. The amount of the award depends on the pay remit provision for such awards in any year and the number of Officers qualifying within each grade or group of grades.

Any such award will only be paid upon the conclusion of the annual pay review and associated negotiations with the Trade Union. It is paid as a non-consolidated, non- pensionable lump sum. Information on ‘excellent’ award payments will be available to all Officers as part of the announcement of the pay settlement for the year.

Where a member of Officers in receipt of an approved ‘excellent’ rating is promoted on or after 1 October, the amount appropriate to their pre-promotion grade will be paid.

Honorarium payments

Line managers may nominate Officers at any time for an honorarium payment in recognition of a normally “one-off” task that has been particularly well done. Honorarium payments are paid as a non-consolidated, non-pensionable lump sum and must be affordable within the pay remit for that year. More detail is contained within Procedure HR04 OP02 Officer Recognition.

9. Downgrading

There are several reasons why a member of Officers may downgrade. Downgrades may be:

 voluntary;  for capability reasons;  for business reasons. To ensure pay is fair and proportionate the NCA applies pay upon downgrading to reflect the circumstances. No-one will gain unfair financial benefit or be unfairly

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257 penalised for downgrading. See the accompanying Appendix ii for more detail on pay calculations.

Where Officers have downgraded they remain eligible for revalorisation, progression or recognition of performance awards paid in accordance with the revised grade.

10 Red circling

In some circumstances (see Appendix ii) the NCA will place members of staff who have been downgraded on ‘red-circling’ arrangements. Red-circled members of staff are expected to apply for roles at their previous grade while under such arrangements.

After three years, if the individual has not been successful in applying for a role at their previous grade, the red-circling arrangements end. A new contract will be offered with a revised base salary at the maximum of the revised grade if lower than their current base salary.

Red-circled members of staff remain eligible for progression, recognition of performance awards and revalorisation on a non-consolidated, non-pensionable basis. These are paid in accordance with the revised grade.

11 Allowances

There are specific arrangements for compensating overtime, on-call responsibilities and shift working. The rules are set out in Policy HR02 Working Arrangements and Attendance Management and its associated procedures.

Overtime and shift allowances are linked to base pay and therefore reflect any changes arising from consolidated increases to base pay. Any review of the level of London Weighting and on-call allowance will be in line with the approved pay remit and subject to negotiation with the trade unions.

London Weighting

The level of the London Weighting allowance is set by reference to the market level and affordability. It is reviewed each year. The allowance is flat rate and fully pensionable. Only members of staff on NCA terms and conditions posted to designated offices qualify for the NCA London Weighting allowance.

London Weighting is paid in accordance with the following principles:

 to reflect the overall cost of working in London, to which the cost of commuting is a contributing factor;

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258  in order to recruit and retain Officers at key locations;  to support and encourage flexibility and mobility between offices around London.

Members of staff in receipt of accommodation provided by the NCA are not eligible for London Weighting. Individuals eligible for excess travel and who are in receipt of London Weighting are only entitled to claim for the proportion of the costs that exceed the value of the London Weighting allowance. See Procedure HR02 OP14 Relocation and Excess Travel for more detail.

Home-workers do not qualify for London Weighting, whether or not they live in the London area, as they are not posted to a designated NCA office. Where home- workers travel occasionally to a NCA office, they can claim travel costs in line with Procedure HR11 OP01 Travel and Subsistence. More detail on home-workers is contained in Procedure HR02 OP03 Remote and Home-based Working.

Officers on reduced hours will receive London Weighting allowance on a pro-rata basis.

Voluntary internal moves from a qualifying location to a non-qualifying location

 Permanent moves: payment of London Weighting will cease upon appointment.  Temporary moves for personal development reasons supported by the business: payment of London Weighting will continue for three months from the date of appointment. After this time, if the individual has not returned to the qualifying location, payment will cease and will only recommence upon appointment to a qualifying NCA location.  Temporary moves for any other reason: payment of London Weighting will continue for one month from the date of appointment. After this time, if the individual has not returned to the qualifying location, payment will cease and will only recommence upon appointment to a qualifying NCA location. Voluntary internal moves from a non-qualifying location to a qualifying location

Payment of London Weighting will commence upon appointment to a qualifying location, whether temporary or permanent.

Compulsory internal moves from a qualifying location to a non qualifying location

Where an individual is compulsorily posted from a qualifying NCA location to a non-qualifying NCA location, or compulsorily placed as a home-worker, London Weighting will continue to be paid but reduced on a sliding scale based on 75%; 50%; and 25% over three years from the date of the appointment. These arrangements also apply where a move takes place solely to address issues arising from a disability. After three years payment of the allowance will cease, as will any excess travel. More detail is contained within Procedure HR02 OP14 Relocation and Excess Travel. Compulsory internal moves from a non-qualifying location to a qualifying location Page 39 of 54 NOT PROTECTIVELY MARKED

259 Payment of London Weighting will commence upon appointment. It is provided under the principles outlined in paragraph 11.3.4.

Overseas postings

In certain circumstances Officers posted overseas, such as NCA Liaison Officers (SLOs), may be entitled to allowances in line with the relevant policies on overseas postings. Further information on these can be obtained from the NCA International Coordination Unit.

Special Duties Bonus Payment scheme

Special Duties Bonus Payments (SDBP) are paid in recognition that some roles attract a greater degree of demand or risk which has not been compensated for within the NCA pay structure. The bonus scheme could also be used to reward Officers in posts where there are significant skills shortages. Access to the scheme is reviewed annually. Where a decision is made by the Executive Committee to withdraw bonus payments those affected will be informed in writing in advance to allow an appropriate period for financial adjustment.

12 Salary advances

In very exceptional circumstances the Deputy Director HR may approve a salary advance for permanent Officers who, due to an emergency welfare need, are undergoing financial hardship. This will not exceed the individual’s net monthly contractual pay. The salary advance will be repaid through salary deductions as soon as possible but in any case within 6 months of the advance. The recovery amount will be clearly shown on monthly payslips.

There is no entitlement to a salary advance. The NCA can only give assistance in the most exceptional of circumstances and whether assistance is given is a matter wholly at the discretion of the Deputy Director HR. There is no avenue of appeal.

The NCA reserves the right in exceptional circumstances to demand repayment at any time within the 6 months of the advance.

Before any advance is made, the member of staff will be asked to sign an authorisation form which sets out the measures taken should they cease to be a member of the NCA. In such cases:

 the NCA will retrieve any un-recovered balance from their final pay;  where final pay is insufficient or termination is notified too late to effect recovery from final pay or allowances, other pension benefits, or other payments due to or in respect of them, the member of staff will repay any balance outstanding.

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260 The NCA will pursue any amount un-recovered through the courts and seek the recovery of the expenses of doing so if repayment is not voluntarily settled on request.

13 Secondments and attachments

Where a member of staff successfully applies for a secondment with an external organisation see Procedure HR01 OP07 Secondments and Attachments for details on pay and allowances. Progression continues in line with the NCA contract of employment.

14 Suspensions

Members of staff who have been suspended will continue to be paid their base salary, the London Weighting Allowance if applicable, and any payments relating to formalised working hours arrangements during the period of suspension. If suspension takes place over the pay award period revalorisation will be paid where applicable. However, any progression or performance recognition payment will be suspended until the suspension is lifted. Casual overtime and on-call allowance will not be included for calculating pay whilst suspended. See Procedure HR02 OP07 Suspension for more detail.

15 Transfer arrangements for Officers on precursor terms and conditions

Members of staff on precursor terms and conditions transferring to NCA terms in circumstances other than permanent promotion do so on the arrangements applying at the time. This will normally be on their precursor base pay, subject to the minimum of their NCA grade. Previously held allowances will not be included into NCA entry base pay.

Members of staff on precursor terms and conditions transferring to NCA terms in circumstances other than permanent promotion do so on the arrangements applying at the time. This will normally be on their precursor base pay, subject to the minimum of their NCA grade. Previously held allowances will not be included into NCA entry base pay.

Mark time arrangements

Officers on precursor terms who transferred to SOCA terms may be on mark time arrangements. These applied where they were in receipt of base salary above the SOCA salary they would have been on had they transferred to SOCA terms and conditions in 2006. This is now known as the NCA ‘shadow’ salary. In these cases the individual will retain their base salary. The difference between this and their NCA shadow salary is the ‘mark time’ element. Page 41 of 54 NOT PROTECTIVELY MARKED

261 The mark time element is reduced by consolidated revalorisation and progression awards to the NCA shadow salary, until such time as the difference between the individual’s salary and the NCA shadow salary is completely eroded.

Officers on mark time are:

 eligible for revalorisation, however, this is calculated and applied to the base NCA salary, excluding the mark time element; and  eligible for progression. These are paid as a non-consolidated and non-pensionable lump sum until such time as the NCA shadow salary matches or exceeds the individual’s base salary.

Members of staff on mark time arrangements remain eligible for awards for an ‘excellent’ rating in the performance appraisal process and honorarium payments.

16 Recovery of overpayments

It is expected that members of staff act with integrity and declare any overpayment of funds to which they are not entitled. It is the NCA’s policy to recover any overpayment in full as soon as possible whether or not it was made in error and regardless of how the fault arose. The sum will normally be recovered within a period not exceeding 12 months. Where this occurs the NCA recognise that this may cause financial difficulties for a member of staff. Full consideration will be given to the personal circumstances of individuals.

It is the responsibility of each member of staff to check their contract documentation when issued and prior to acceptance. They should also regularly check HR Self Service and their payslip to ensure accuracy. Any inaccuracies must be reported immediately to the Payroll department. The Payroll department will calculate the precise sum of any monies due and liaise with the individual to make necessary arrangements.

This policy of recovery applies to all current and former NCA members of staff, including those on secondment (inward and outward). the NCA reserves the right where necessary to:

 take legal action to recover any overpayments and associated costs;  recover the maximum amount of any overpayment from any remaining payments following notice that the individual is leaving employment; and  offset any pay arrears against any outstanding overpayment.

17 Officers benefits

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262 As well as fair and equitable payment structures there are many discretionary Officers benefits, financial and non-financial, available to Officers. See Appendix iv for a complete list of benefits and related documents made available by the NCA at the time this policy was published.

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263 Appendix i

New starters who have previously worked for the NCA

Where individuals are re-employed by the NCA within two years of leaving, they will normally receive a higher starting salary than new recruits where the following conditions are met:

1. The individual is re-employed at the same or lower grade to that substantively held at the time of leaving; 2. The individual is not re-employed on a salary that is higher than the substantive base salary he/she was in receipt of immediately prior to leaving; 3. The technical skills and experience of the individual are directly relevant to the effective performance of the role to which he/she is re-employed; 4. The individual was not under any capability or performance review at the time of leaving, nor under any disciplinary investigation or procedure; 5. The individual had completed at least 12 months satisfactory continuous service at their time of leaving (excluding any notice period); and 6. The individual’s sickness record at the time of leaving had not been the subject of management action.

Where returning individuals meet all the above criteria, the extent of the increase is dependent on the length of time elapsed before re-employment:

 Individuals whose re-employment date is no more than 52 calendar weeks from their date of leaving the NCA will be re-employed at the grade minimum plus a sum equal to 35% of the difference between the grade minimum and the target range minimum.  Individuals whose re-employment date is more than 52 calendar weeks but no more than 104 calendar weeks from their date of leaving the NCA, will be re- employed at the grade minimum plus a sum equal to 17.5% of the difference between the grade minimum and the target range minimum.

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264 Appendix ii

Pay calculations for downgrading

There are several downgrading scenarios and different pay calculations apply. Examples of calculations are provided using grade minima, target range and maxima values relevant at the time of publication. Where pay is reduced pension will also be affected. The Payroll department can advise on specific figures in relation to individual pay.

Type of downgrading Pay calculation Examples

An individual at G6 in receipt of a salary of £22,000 is promoted to G5, receiving a salary of £24,717. The individual is placed on the pay While promoted they received a general uplift of range of the new grade at the same 1.5% and a variable progression award of £300, Officers voluntarily point they were on before they were equalling £670.75, which increased their salary to downgrading into a promoted. Any progression or £25,387.75. previously-held or similar revalorisation that would have been role within 52 calendar received had the individual Upon downgrading the salary initially reverts to weeks of leaving the remained in the grade will also be £22,000. The general uplift of 1.5% and the role: applied. They are effectively treated appropriate variable progression award of £200 that as if they had remained in the would have applied had they been in their G6 post at grade. the time is then applied, equalling £530. Therefore, their salary upon downgrading is £22,530. An individual at G4 with a salary of £35,430 (at 50% Officers voluntarily The individual is placed on the of the range between grade minimum and target downgrading for career better of the following options: range minimum) downgrades to G5. development or other A. The grade minimum of the

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265 voluntary reasons: new grade plus a sum equal to 35% of the difference between the grade minimum and the A. The G5 grade minimum of £24,717 plus 35% target range minimum; or of the difference between the grade minimum and the target range minimum. The target B. At the same relative position range minimum is £30,323. The difference is in the lower grade as he/she therefore £5,606. 35% of this is £1,962. The was on in the higher grade as salary in this instance would be £26,679 a proportion of the relevant (£24,717 + £1,962). pay range. B. The member of staff is placed on the G5 pay range at 50% of the range between the grade minimum and the target range minimum, in this instance £27,520 (£24,717 + £2,803).

Option A results in a salary of £26,679. Option B results in £27,520. Therefore Option B is the better of the two and would be applied.

Officers downgrading The individual is placed on the pay An individual at G4 with a salary of £33,450.80 (at where it has been offered at the same relative position in the 10% of the range between grade minimum and and accepted as a lower grade as he/she was on in the target range minimum) upon downgrading to G5 resolution to capability higher grade as a proportion of the receives £25,277.60 - 10% of the range between proceedings: relevant pay range. grade minimum and target range minimum.

Officers downgrading as The individual will be red-circled and An individual at G3 with a salary of £46,000 is job a result of job evaluation: retain their base salary for a evaluated into a G4 role. Their existing salary is paid maximum of three years. See for a period of three years. They were not successful Note: this will also apply Procedure HR04 OP01 Remuneration in applying for a role at their previous grade and at where an individual is a for more details. the end of the three years a new contract is offered. ‘priority candidate’ in line The new salary will be the grade maximum of G4, Page 46 of 54 NOT PROTECTIVELY MARKED

266 with Procedure HR01 £43,240. OP04 Priority Posting and the posting panel is unable to find a suitable role at the substantive grade.

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267 Appendix iii

Brief summary Type of Officers (Note: the provision of all benefits described below will be subject to conditions Further details available benefit outlined in the originating policy/procedure and/or other material)

Advances /  FC03 Advances A facility for regular advances or a temporary advance for business expenses and corporate credit  corporate credit cards FC02 Corporate Credit cards Card A season ticket loan to cover the costs of travel between your home and your normal  Season ticket loans FC05 Season Ticket place of work Loans  Salary advance Provision to apply for a salary advance for emergencies HR01 OP01 Remuneration

Professional  HR10 OP13 development A facility to provide financial assistance to fund your course of education or training Professional Development for NCA assistance Officers Reimbursement of Reimbursement of a professional fee or subscription where there is a direct NCA  HR10 OP14 Payment professional fees requirement for you to be a member of a professional institute or association. of Professional Fees A facility to provide financial or other support where you relocate your permanent  Relocation support HR02 OP14 Relocation home or find alternative temporary accommodation as a result of NCA need and Excess Travel  Expenses Compensation for additional expense incurred as a result of NCA activity HR02 OP13 Travel and Subsistence

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 HR02 OP09 Parenting and Caring for Dependants  HR02 Working Paid and unpaid Facility of paid and unpaid leave including annual leave, sick leave, dependants leave, Arrangements and Attendance leave special leave, maternity, paternity, adoption, parental leave and study leave. Management  HR10 OP13 Professional Development for NCA Officers  HR02 OP09 Parenting Paid leave in relation to maternity, paternity, adoption, parental, and dependants and Caring for (where criteria are met). Childcare vouchers, interest-free loans for childcare and Dependants Family friendly reimbursement of additional childcare costs incurred through changes in working schemes  HR02 Working hours due to business requirements. Paid time off to attend appointments for ante- Arrangements and natal care. Alternative working and flexible working arrangements. Attendance Management  HR02 Working Alternative working Facility to apply to change working hours or patterns Arrangements and Attendance Management  HR02 Working Sick pay Facility for sick pay Arrangements and Attendance Management Facility to apply for a career break, a period of continuous unpaid leave from one  Career breaks HR02 OP10 Career month up to 5 years Breaks

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269  HR07 Leaving the NCA  Civil Service Pension Schemes and Partnership schemes - www.civilservice.gov.u There are several pension schemes operating for members of staff with varying k Pension benefits and different levels of employer contributions  Police Pension Scheme - www.police.homeoffice .gov.uk  Local Government PS - www.lgps.org.uk

Reimbursement of Facility to reimburse the costs of two-yearly eye tests for display screen equipment  OL01 OP09 Display eye examinations (DSE) users Screen Equipment Provision of unique and wide-ranging opportunities for those of you who wish to grow your skills and develop. HR Learning and Development offer a number of courses which are delivered in a variety of ways, while opportunities for promotion,  HR01 Resourcing secondments and/or lateral transfers are regularly advertised via our intranet. Training and  HR10 Learning and Business areas may also initiate or take part in marketing and recruitment exercises, Development development which can offer further opportunities to find out what different parts of SOCA do.  HR03 Performance Performance appraisal process which provides for continuous feedback to you from Management your line manager, which identifies specific objectives and development needs and ways of meeting them. Good performance is acknowledged and recognised through the performance  Officers recognition HR04 OP02 Officer appraisal process and positive feedback from managers. Where appropriate you can Recognition and awards also be nominated for a commendation or an honorarium payment. We will actively  HR04 OP01

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270 seek to nominate appropriate members of our Officers for UK national honours. Remuneration Facility to provide an award where requested upon 25 years’ continuous service.  HR03 Performance Management If you retire from SOCA and have at least four years’ service you will receive a  HR07 Leaving the NCA Valedictory letters valedictory letter signed by the Director General which recognises and acknowledges

your service.

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All former police officers leaving us through resignation or retirement will be issued Certificates of with a certificate of service which will reflect the periods of service in all the police  HR07 Leaving the NCA service forces in which you have served. We are affiliated with the Civil Service Sports Council (CSSC); by joining the CSSC Sports and you automatically become a member of the NCA Sports and Social Club (SSSC).  The NCA intranet networking facilities Members can take advantage of discounts as well as have access to a wide range of sporting and leisure activities. Under the Health and Safety Act (1974) our Executive Committee has a responsibility for your overall health and safety. Our Occupational Health and Welfare Department has been developed to provide advice and guidance on issues affecting your well being. You have access to a variety of counselling and advice services through this department. Welfare, counselling & We have five Officers groups which promote equality and good working relations,  The NCA intranet diversity support providing you with the opportunity to engage, share ideas and raise any concerns on issues that may affect you. We have an Inclusion, Diversity & Equality team, and a network of diversity representatives and anti bullying & harassment advisors spread geographically throughout SOCA. Care & The CARS allows contributing NCA members of staff to benefit from a comprehensive Rehabilitation  The NCA intranet rehabilitation package. Psychological services are also available. Scheme (CARS) The CSBF is available to all existing or ex-NCA members of staff and can provide The Civil Service  www.csbf.org.uk advice and guidance on short and long term care options, voluntary and statutory Benevolent Fund organisations, local community support details and financial assistance, depending on Page 52 of 54 NOT PROTECTIVELY MARKED

272 personal circumstances

Trades Unions Members of Trade Unions can access independent, confidential and impartial advice  The NCA intranet

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Annex L: NCA UK drug seizures by force area and street price up to 28 February 2014

cocaine heroin opium cannabis cannabis herbal cannabis resin cannabis skunk Total Force area kg street price kg street price kg street kg street price kg street kg street price kg street price kg street price price price Essex 0.82 £131,200 3.00 £300,000 10.00 £100,000 22.70 £65,376 340.00 £979,200 200.00 £1,140,000 576.52 £3,015,776 Hampshire 852.00 £136,320,000 852.00 £136,320,000 Hertfordshire 2.41 £241,000 2.41 Kent 12.00 £34,560 4.50 £12,960 500.00 £1,440,000 516.50 £1,487,520 Leicestershire 10.33 £29,664 10.33 £29,664 Merseyside 0.50 £1,440 0.50 £1,440 Metropolitan 12.01 £1,920,000 208.65 £20,865,000 436.80 £1,255,680 2.00 £5,760 659.46 £24,046,440 Northamptonshire 25.00 £72,000 25.00 £72,000 Northumbria 76.00 £12,160,000 12.00 £1,200,000 0.53 £1,440 108.00 £777,600 196.53 £14,139,040 Nottinghamshire 2.00 £200,000 2.00 £200,000 South Yorkshire 0.99 £160,000 3.95 £395,000 4.94 £555,000 Suffolk 54.00 £155,520 54.00 £155,520 Sussex 44.19 £7,070,400 0.22 £630 44.41 £7,071,030 Thames Valley 6.13 £908,800 0.27 £750 6.40 £909,550 West Midlands 17.28 £2,764,800 4.69 £469,000 73.10 £210,240 2.10 £5,760 97.17 £3,449,800 PSNI 0.58 £89,600 0.58 £89,600 Not known / not 7.39 £1,182,400 0.78 £2,245 159.56 £459,500 167.73 £1,644,145 specified Border 2.00 £320,000 1.00 £100,000 33.00 £95,040 10.00 £28,800 46.00 £543,840 1 investigation Total 1,019.39 £163,027,200 237.70 £23,770,000 10.00 £100,000 589.70 £1695,625 222.16 £639,500 875.53 £2,521,440 308.00 £2,217,600 3262.48 £193,671,365

1 Additional seizures post-referral Leading the UK’s fight to cut serious and organised crime

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