# Implementation Rules for Article 43 of the Law of the People’s Republic of China on Safeguarding National Security in the Hong Kong Special Administrative Region/Schedule 6

Also refer to Interception of Communications and Surveillance Ordinance (Cap. 589) for non-national security crimes.
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Schedule 6
[r. 2]
Rules on Application for Authorization to Conduct Interception and Covert Surveillance
Part 1 Basic Principles
1. Interpretation
Part 6 of this Schedule contains interpretation provisions of this Schedule.
2. Conditions
(1) The conditions for the issue, confirmation or renewal of a prescribed authorization, or the continuance of a prescribed authorization or a part of a prescribed authorization, to conduct interception or covert surveillance are that in the relevant case—
    (a) the purpose sought to be furthered by conducting the interception or covert surveillance (purpose sought) is that of—
       (i) preventing or detecting offences endangering national security; or
       (ii) protecting national security;
    (b) there is reasonable suspicion that any person has been, is, or is likely to be, involved in— ​
       (i) (in the case of paragraph (a)(i)) the relevant offences endangering national security to be prevented or detected; or
       (ii) (in the case of paragraph (a)(ii)) any activity which constitutes or would constitute the relevant threat to national security; and
    (c) the interception or covert surveillance is necessary for, and proportionate to, the purpose sought, on considering—
       (i) the balance between the relevant factors and the intrusiveness of the interception or covert surveillance on any person who is to be the subject of or may be affected by the interception or covert surveillance;
       (ii) whether the purpose sought can reasonably be furthered by other less intrusive means; and
       (iii) such other matters that are relevant in the circumstances.
(2) In this section—
relevant factors (有關因素) means—
    (a) the following factors—
       (i) in the case of subsection (1)(a)(i)—the immediacy and gravity of the relevant offences endangering national security to be prevented or detected; or
       (ii) in the case of subsection (1)(a)(ii)—the immediacy and gravity of the relevant threat to national security; and ​
    (b) the likely value and relevance, in relation to the purpose sought, of the information likely to be obtained by conducting the interception or covert surveillance.
3. Who can apply for prescribed authorizations
A person who applies for a prescribed authorization under this Schedule must be an officer of the Police Force who is responsible for the enforcement of the Law of the People’s Republic of China on Safeguarding National Security in the Hong Kong Special Administrative Region.
Part 2 Prescribed Authorizations and Safeguards
Division 1—Chief Executive’s Authorization
4. Authorization for interception or covert surveillance
(1) An officer of the Police Force may, with the approval of a directorate officer, make an application to the Chief Executive in writing, supported by a written statement by the applicant (which is to comply with the requirements specified in Division 1 or 2 of Part 4 of this Schedule as may be applicable), for an authorization for interception, Type 1 surveillance or Type 2 surveillance to be conducted.
(2) The Chief Executive may, on considering whether the application has met the conditions under section 2 of this Schedule— ​
    (a) (if satisfied that the conditions have been met) issue in writing the authorization sought under the application, with or without variations; or
    (b) refuse to issue the authorization, giving the reason for the refusal in writing.
(3) When issuing the authorization, the Chief Executive must specify the duration (which in any case is not to begin at a time earlier than the time when the authorization is issued). Subject to any renewal under section 6 of this Schedule, the authorization ceases to have effect on the expiry of the duration (which is not to be longer than the period of 6 months beginning with the time when the authorization takes effect).
5. Authorization for Type 2 surveillance
(1) The Chief Executive may designate a directorate officer to be an authorizing officer for Type 2 surveillance.
(2) An officer of the Police Force may make an application to an authorizing officer in writing, supported by a written statement by the applicant (which is to comply with the requirements specified in Division 2 of Part 4 of this Schedule), for an authorization for Type 2 surveillance to be conducted.
(3) The authorizing officer may, on considering whether the application has met the conditions under section 2 of this Schedule—
    (a) (if satisfied that the conditions have been met) issue in writing the authorization sought under the application, with or without variations; or
    (b) refuse to issue the authorization, giving the reason for the refusal in writing.
​(4) When issuing the authorization, the authorizing officer must specify the duration (which in any case is not to begin at a time earlier than the time when the authorization is issued). Subject to any renewal under section 7 of this Schedule, the authorization ceases to have effect on the expiry of the duration (which is not to be longer than the period of 6 months beginning with the time when the authorization takes effect).
6. Renewal of authorization for interception or covert surveillance
(1) At any time before an authorization for interception, Type 1 surveillance or Type 2 surveillance ceases to have effect, an officer of the Police Force may, with the approval of a directorate officer, make an application to the Chief Executive in writing, supported by a written statement by the applicant (which is to comply with the requirements specified in Division 3 of Part 4 of this Schedule), for a renewal of the authorization.
(2) The Chief Executive may, on considering whether the application has met the conditions under section 2 of this Schedule, and without limiting the foregoing, taking into consideration the duration for which the authorization has had effect since its first issue—
    (a) (if satisfied that the conditions have been met) grant in writing the renewal sought under the application, with or without variations; or
    (b) refuse to grant the renewal, giving the reason for the refusal in writing.
(3) An authorization for interception, Type 1 surveillance or Type 2 surveillance may be renewed more than once under this Schedule.
​(4) A renewal of an authorization for interception, Type 1 surveillance or Type 2 surveillance, subject to any further renewal under this section, ceases to have effect on the expiry of the duration specified by the Chief Executive when granting the renewal, which duration is not to be longer than the period of 6 months beginning with the time when the renewal takes effect.
7. Renewal of authorization for Type 2 surveillance
(1) At any time before an authorization for Type 2 surveillance ceases to have effect, an officer of the Police Force may make an application to an authorizing officer in writing, supported by a written statement by the applicant (which is to comply with the requirements specified in Division 3 of Part 4 of this Schedule), for a renewal of the authorization.
(2) The authorizing officer may, on considering whether the application has met the conditions under section 2 of this Schedule, and without limiting the foregoing, taking into consideration the duration for which the authorization has had effect since its first issue—
    (a) (if satisfied that the conditions have been met) grant in writing the renewal sought under the application, with or without variations; or
    (b) refuse to grant the renewal, giving the reason for the refusal in writing.
(3) An authorization for Type 2 surveillance may be renewed more than once under this Schedule.
(4) A renewal of an authorization for Type 2 surveillance, subject to any further renewal under this section, ceases to have effect on the expiry of the duration specified by the authorizing officer when granting the renewal, which ​duration is not to be longer than the period of 6 months beginning with the time when the renewal takes effect.
8. Matters authorized or required by Chief Executive's authorizations
(1) A Chief Executive’s authorization for interception may—
    (a) in the case of a postal interception, contain terms that authorize one or both of the following—
       (i) the interception of communications made to or from any premises or address specified in the authorization;
       (ii) the interception of communications made to or by any person specified in the authorization (whether by name or by description); or
    (b) in the case of a telecommunications interception, contain terms that authorize one or both of the following—
       (i) the interception of communications made to or from telecommunications service specified in the authorization;
       (ii) the interception of communications made to or from telecommunications service that any person specified in the authorization (whether by name or by description) is using, or is reasonably expected to use.
(2) A Chief Executive’s authorization for covert surveillance may contain terms that authorize one or more of the following—
    (a) the use of surveillance devices in or on the premises specified in the authorization; ​
    (b) the use of surveillance devices in or on objects, or classes of objects, specified in the authorization;
    (c) the use of surveillance devices in respect of the conversations, activities or location of any person specified in the authorization (whether by name or by description).
(3) A Chief Executive’s authorization (except for an authorization for Type 2 surveillance) may contain terms that—
    (a) authorize the doing of anything reasonably necessary to conceal a conduct authorized or required to be carried out under the authorization;
    (b) if it is reasonably necessary for the execution of the authorization, authorize the interference with properties (whether or not of any person who is the subject of the interception or covert surveillance concerned); and
    (c) require a person specified in the authorization (whether by name or by description), on being shown a copy of the authorization, to provide to officers of the Police Force such reasonable assistance for the execution of the authorization.
(4) A Chief Executive’s authorization for interception also authorizes—
    (a) the installation, use and maintenance of devices required to be used in order to intercept any of the communications authorized to be intercepted under the authorization;
    (b) the entry, by the use of reasonable force if necessary, into or onto any premises in order to carry out a conduct authorized or required to be carried out under the authorization; ​
    (c) the incidental interception of communication which necessarily arises from the interception of communications authorized to be conducted under the authorization; and
    (d) where subsection (1)(a)(ii) or (b)(ii) is applicable, the provision to any person, for the execution of the authorization, of particulars of the addresses, numbers, apparatus or other factors, or combination of factors, that are to be used for identifying—
       (i) in the case of subsection (1)(a)(ii), the communications made to or by the person specified in the authorization; or
       (ii) in the case of subsection (1)(b)(ii), the communications made to or from telecommunications service that the person specified in the authorization is using, or is reasonably expected to use.
(5) A Chief Executive’s authorization for covert surveillance also authorizes—
    (a) where subsection (2)(a) is applicable—
       (i) the installation, use and maintenance of the surveillance devices authorized to be used under the authorization in or on the premises specified in the authorization; and
       (ii) in the case of Type 1 surveillance, the entry, by the use of reasonable force if necessary, into or onto the premises, and other premises adjoining or providing access to the premises, in order to carry out a conduct authorized or required to be carried out under the authorization; ​
    (b) where subsection (2)(b) is applicable—
       (i) the installation, use and maintenance of the surveillance devices authorized to be used under the authorization in or on the object, or an object of the class, specified in the authorization; and
       (ii) in the case of Type 1 surveillance, the entry, by the use of reasonable force if necessary, into or onto any premises where the object, or an object of the class, is reasonably believed to be or likely to be, and other premises adjoining or providing access to the premises, in order to carry out a conduct authorized or required to be carried out under the authorization; and
    (c) where subsection (2)(c) is applicable—
       (i) the installation, use and maintenance of the surveillance devices authorized to be used under the authorization in or on the premises where the person specified in the authorization is reasonably believed to be or likely to be; and
       (ii) in the case of Type 1 surveillance, the entry, by the use of reasonable force if necessary, into or onto the premises, and other premises adjoining or providing access to the premises, in order to carry out a conduct authorized or required to be carried out under the authorization.
Division 2—Emergency Authorization
9. Emergency authorization for interception or Type 1 surveillance in case of emergency
(1) An officer of the Police Force may apply to the Commissioner of Police for the issue of an emergency authorization for interception or Type 1 surveillance to be conducted, if the officer considers that—
    (a) there is immediate need for the interception or Type 1 surveillance to be conducted by reason of an imminent risk of—
       (i) death or serious bodily harm of any person;
       (ii) substantial damage to property;
       (iii) serious threat to national security; or
       (iv) loss of vital evidence; and
    (b) having regard to all the circumstances of the case, it is not reasonably practicable to apply in writing for the issue of a Chief Executive's authorization under section 4 of this Schedule.
(2) The Commissioner of Police may, on considering whether subsection (1)(a) and (b) applies, and whether the application has met the conditions under section 2 of this Schedule—
    (a) (if satisfied that the subsection is applicable and the conditions have been met) issue the emergency authorization sought under the application, with or without variations; or
    (b) refuse to issue the emergency authorization.
(3) When issuing the emergency authorization, the Commissioner of Police must specify the duration (which in any case is not to begin at a time earlier than the time ​when the authorization is issued). The authorization ceases to have effect on the expiry of the duration (which is not to be longer than the period of 48 hours beginning with the time when the authorization is issued).
(4) An emergency authorization may not be renewed under this Schedule.
10. Confirmation of emergency authorization
(1) Where an interception or Type 1 surveillance is conducted pursuant to an emergency authorization, the Commissioner of Police must cause an officer of the Police Force to make an application to the Chief Executive in writing, supported by a written statement by the applicant, for confirmation of the authorization, as soon as reasonably practicable after, and in any event within the period of 48 hours beginning with, the time when the authorization is issued.
(2) In default of any application being made for confirmation of the emergency authorization within the period of 48 hours referred to in subsection (1), the Commissioner of Police must cause the immediate destruction of any information obtained by conducting the interception or Type 1 surveillance concerned.
(3) If there is an application under subsection (1), the Chief Executive may, on considering whether the application has met the conditions under section 2 of this Schedule—
    (a) (if satisfied that the conditions have been met) confirm the emergency authorization in writing, with or without variations or new conditions; or
    (b) refuse to confirm the emergency authorization, giving the reason for the refusal in writing.
​(4) Where the Chief Executive specifies variations or new conditions under subsection (3)(a), the emergency authorization is only to have effect subject to the variations, and any new conditions, specified by the Chief Executive, from the time of the determination.
(5) Where the Chief Executive refuses to confirm the emergency authorization under subsection (3)(b), the emergency authorization is, despite any other provision of this Schedule, to be revoked on the making of the determination. The Chief Executive may order the Commissioner of Police to cause the immediate destruction of any information obtained by conducting the interception or Type 1 surveillance concerned.
11. Matters authorized or required by emergency authorizations
Section 8 of this Schedule applies to an emergency authorization, as if references to a Chief Executive’s authorization for interception or Type 1 surveillance in that section were references to an emergency authorization.
Division 3—Other Provisions Related to Prescribed Authorizations
12. What prescribed authorization also authorizes
A prescribed authorization also authorizes the undertaking of a conduct, including the following conduct, that is necessary for and incidental to the carrying out of what is authorized or required to be carried out under the authorization—
    (a) the retrieval of devices authorized to be used under the authorization;
    (b) the installation, use, maintenance and retrieval of an enhancement equipment for the devices; ​
    (c) the temporary removal of any conveyance or object from any premises for the installation, maintenance or retrieval of the devices or enhancement equipment and the return of the conveyance or object to the premises;
    (d) the breaking open of anything for the installation, maintenance or retrieval of the devices or enhancement equipment;
    (e) the connection of the devices or enhancement equipment to a source of electricity and the use of electricity from that source to operate the devices or enhancement equipment;
    (f) the connection of the devices or enhancement equipment to an object or system that may be used to transmit information in any form and the use of that object or system in connection with the operation of the devices or enhancement equipment; and
    (g) the provision of assistance for the execution of the authorization.
13. What prescribed authorization may not authorize other than in exceptional circumstances
(1) Unless exceptional circumstances exist—
    (a) no prescribed authorization may authorize the interception of communications in a situation that involves—
       (i) (in the case of a postal interception) an office or other relevant premises, or a residence, of a lawyer; or ​
       (ii) (in the case of a telecommunications interception) a telecommunications service used at an office or other relevant premises, or a residence, of a lawyer, or a telecommunications service known or reasonably expected to be known by the applicant for the prescribed authorization to be ordinarily used by a lawyer for the purpose of providing legal advice to clients; and
    (b) no prescribed authorization may authorize covert surveillance to be conducted in respect of oral or written communications taking place at an office or other relevant premises, or a residence, of a lawyer.
(2) For the purposes of subsection (1), exceptional circumstances exist if the relevant authority is satisfied that there are reasonable grounds to believe—
    (a) that—
       (i) the lawyer concerned;
       (ii) other lawyers practising with the lawyer concerned or other persons working in the office of the lawyer concerned; or
       (iii) in the case of a residence of the lawyer, other persons residing in the residence,
    are parties to any activity which constitutes or would constitute an offence endangering national security or a threat to national security; or
    (b) that any of the communications concerned is for the furtherance of a criminal purpose.
​(3) To avoid doubt, information that is subject to legal professional privilege is to remain privileged despite that it has been obtained pursuant to a prescribed authorization.
(4) In this section—
lawyer (律師) means a barrister, solicitor or foreign lawyer as defined by section 2(1) of the Legal Practitioners Ordinance (Cap. 159) who practises as such, or any person holding an appointment under section 3(1) of the Legal Aid Ordinance (Cap. 91);
other relevant premises (其他有關處所), in relation to a lawyer, means any premises, other than an office of the lawyer, that are known or reasonably expected to be known by the applicant for the prescribed authorization to be ordinarily used by the lawyer and by other lawyers for the purpose of providing legal advice to clients (including any premises ordinarily used by lawyers for the purpose of providing legal advice to clients when in court or visiting a prison, police station or other place where any person is detained).
14. Issue of device retrieval warrants after prescribed authorizations having ceased to have effect
(1) Where a prescribed authorization has in any way ceased to have effect under this Schedule, an officer of the Police Force may make an application to the Chief Executive in writing, supported by a written statement by the applicant (which is to comply with the requirements specified in Part 5 of this Schedule), for the issue of a device retrieval warrant authorizing the retrieval of the devices authorized to be used under the authorization if such devices—
    (a) have been installed in or on any premises or object, pursuant to the authorization; and ​
    (b) are still in or on such premises or object, or are in or on any other premises or object.
(2) The Chief Executive may—
    (a) issue in writing the device retrieval warrant sought under the application, with or without variations; or
    (b) refuse to issue the device retrieval warrant, giving the reason for the refusal in writing.
(3) When issuing the device retrieval warrant, the Chief Executive must specify the duration (which in any case is not to begin at a time earlier than the time when the warrant is issued). The warrant ceases to have effect on the expiry of the duration (which is not to be longer than the period of 3 months beginning with the time when the warrant takes effect).
(4) A device retrieval warrant may authorize the retrieval of a device specified in the warrant, and may contain terms that authorize the carrying out of one or both of the following—
    (a) the doing of anything reasonably necessary to conceal a conduct authorized to be carried out under the warrant;
    (b) if it is reasonably necessary for the execution of the warrant, the interference with properties (whether or not of any person who is the subject of the interception or covert surveillance concerned).
(5) A device retrieval warrant also authorizes the undertaking of a conduct, including the following conduct, that is necessary for and incidental to the carrying out of what is authorized to be carried out under the warrant—
    (a) the retrieval of an enhancement equipment for the devices authorized to be retrieved under the warrant; ​
    (b) the entry, by the use of reasonable force if necessary, into or onto the premises where the devices or enhancement equipment is reasonably believed to be or likely to be, and other premises adjoining or providing access to the premises, in order to retrieve the devices or enhancement equipment;
    (c) the temporary removal of any conveyance or object from any premises for the retrieval of the devices or enhancement equipment and the return of the conveyance or object to the premises;
    (d) the breaking open of anything for the retrieval of the devices or enhancement equipment; and
    (e) the provision of assistance for the execution of the warrant.
(6) A device retrieval warrant which authorizes the retrieval of tracking devices also authorizes the use of the devices and enhancement equipment for the devices solely for the purposes of the location and retrieval of the devices or enhancement equipment.
(7) If, while a device retrieval warrant is in force but not yet completely executed, an officer of the Police Force who is for the time being in charge of the execution of the warrant—
    (a) becomes aware that subsection (1)(a) or (b) does not apply to the devices or any of the devices specified in the warrant; or
    (b) is of the opinion that the warrant or a part of the warrant cannot for whatever reason be executed,
the officer must, as soon as reasonably practicable after becoming aware of the matter or forming the opinion, cause a report on the matter or opinion to be provided to the Chief Executive.
​15. Prescribed authorizations and device retrieval warrants not affected by minor defects
(1) A prescribed authorization or device retrieval warrant is not affected by any minor defect relating to it.
(2) Information (including any protected product) obtained pursuant to a prescribed authorization is not by reason only of minor defect relating to the prescribed authorization to be rendered inadmissible in evidence in any proceedings before a court.
Division 4—Further Safeguards
16. Safeguards for protected products
(1) Where any protected product has been obtained pursuant to a prescribed authorization, the Commissioner of Police must make arrangements to ensure—
    (a) that the following are limited to the minimum that is necessary for the relevant purpose of the authorization—
       (i) the extent to which the protected product is disclosed;
       (ii) the number of persons to whom any of the protected product is disclosed;
       (iii) the extent to which the protected product is copied; and
       (iv) the number of copies made of the protected product;
    (b) that all practicable steps are taken to ensure that the protected product is protected against unauthorized or accidental access, processing, erasure or other use; and ​
    (c) that the protected product is destroyed as soon as its retention is not necessary for the relevant purpose of the authorization.
(2) Despite any other provision of this Schedule or other laws, if the Chief Executive believes that the provision or disclosure by a person to another person of information, document or other matter concerning the assistance provided by that person for the execution of a prescribed authorization or a device retrieval warrant would be prejudicial to the prevention or detection of offences endangering national security or protection of national security, the Chief Executive may by writing order that person not to provide or disclose such information, document or other matter.
(3) In this section—
device retrieval warrant (器材取出手令) means a device retrieval warrant as defined by section 27(1) of this Schedule or by section 2(1) of the Interception of Communications and Surveillance Ordinance (Cap. 589);
prescribed authorization (訂明授權) means a prescribed authorization as defined by section 27(1) of this Schedule or by section 2(1) of the Interception of Communications and Surveillance Ordinance (Cap. 589);
relevant purpose (有關目的), in respect of a prescribed authorization, means the purpose that is a condition for issuing, confirming or renewing that authorization, or continuing that authorization or a part of that authorization, and that is described in section 2(1)(a) of this Schedule.
​17. Non-admissibility of telecommunications interception product
(1) A telecommunications interception product is not admissible in evidence in any proceedings before a court other than to prove that a relevant offence has been committed.
(2) Based on public interest considerations, a telecommunications interception product, and particulars as to a telecommunications interception conducted pursuant to a relevant prescribed authorization, must not be made available to any party to proceedings before a court, including the prosecution (other than any such proceedings instituted for a relevant offence).
(3) In any proceedings before a court (other than such proceedings instituted for a relevant offence), evidence or question which tends to suggest the following matters may not be adduced or asked—
    (a) that an application has been made for the issue or renewal of a relevant prescribed authorization, or the issue of a relevant device retrieval warrant, under this Schedule;
    (b) that a relevant prescribed authorization has been issued or renewed, or a relevant device retrieval warrant has been issued, under this Schedule;
    (c) that a requirement has been imposed on any person to provide assistance for the execution of a relevant prescribed authorization or a relevant device retrieval warrant; or
    (d) that information has been obtained pursuant to a relevant prescribed authorization.
​(4) In this section—
relevant device retrieval warrant (有關器材取出手令) means a device retrieval warrant which authorizes the retrieval of any device authorized to be used under a relevant prescribed authorization;
relevant offence (有關罪行) means an offence constituted by the disclosure of a telecommunications interception product or of information relating to the obtaining of a telecommunications interception product (whether or not there are other constituent elements of the offence);
relevant prescribed authorization (有關訂明授權) means a prescribed authorization in relation to a telecommunications interception;
telecommunications interception product (電訊截取成果), where the interception product is—
    (a) any content of a communication obtained under a relevant prescribed authorization; or
    (b) a copy of such content,
means such interception product.
18. Report to relevant authority: inaccurate information or change in circumstances
(1) This section applies if, while a prescribed authorization is in force, an officer of the Police Force who is for the time being in charge of the interception or covert surveillance concerned—
    (a) becomes aware that there is a material inaccuracy in the information provided for the purposes of—
       (i) the application for the issue of a Chief Executive’s authorization or emergency authorization; ​
       (ii) the application for the renewal of a Chief Executive’s authorization; or
       (iii) the application for the confirmation of an emergency authorization; or
    (b) becomes aware that there has been a material change in the circumstances (including the arrest of the subject of the interception or covert surveillance) on the basis of which the authorization was issued or renewed, or the emergency authorization was confirmed.
(2) The officer must, as soon as reasonably practicable after becoming aware of the matter described in subsection (1)(a) or (b), cause a report on the matter to be provided to the relevant authority by whom the prescribed authorization has been issued or renewed, or the emergency authorization has been confirmed (as may be applicable).
(3) Where the relevant authority receives a report under subsection (2), if the relevant authority considers that the conditions for the continuance of the prescribed authorization concerned or a part of the prescribed authorization concerned under section 2 of this Schedule are not met, the relevant authority must revoke the authorization or that part of the authorization.
(4) If the prescribed authorization or a part of the prescribed authorization is revoked under subsection (3), the authorization or that part of the authorization, despite the relevant duration provision, ceases to have effect from the time of the revocation.
(5) If the prescribed authorization is not revoked or only part of the prescribed authorization is revoked, the relevant authority may do one or both of the following— ​
    (a) vary any terms or conditions in the authorization;
    (b) specify any new conditions in the authorization that apply to the authorization itself or to any further authorization or requirement under it (whether granted or imposed under its terms or any provision of this Schedule).
(6) If, at the time of the provision of a report to the relevant authority under subsection (2), the relevant authority is no longer holding his or her office or performing the relevant functions of that office, without affecting section 54 of the Interpretation and General Clauses Ordinance (Cap. 1), the reference to the relevant authority in that subsection includes the person for the time being lawfully performing the relevant functions of the office of that relevant authority.
(7) In this section—
relevant duration provision (有關時限條文) means section 4(3), 5(4), 6(4), 7(4) or 9(3) of this Schedule (as may be applicable).
Part 3 Other Relevant Arrangements
19. Supervising responsibility
The Chief Executive may appoint an independent person to assist the Committee for Safeguarding National Security of the Hong Kong Special Administrative Region in fulfilling its supervising responsibility stipulated under Article 43 of the Law of the People’s Republic of China on Safeguarding National Security in the Hong Kong Special Administrative Region.
​20. Operating Principles and Guidelines
(1) The Secretary for Security must issue Operating Principles and Guidelines for the purpose of providing operating principles and guidance to officers of the Police Force in respect of matters provided for in this Schedule, and may from time to time revise the whole or any part of the Operating Principles and Guidelines.
(2) Officers of the Police Force must, in performing any function under this Schedule or for the implementation of any provision of this Schedule, comply with the provisions of the Operating Principles and Guidelines.
(3) A failure on the part of any person to comply with any provision of the Operating Principles and Guidelines—
    (a) is for all purposes not of itself to be regarded as a failure to comply with any provision of this Schedule; and
    (b) without prejudice to paragraph (a), does not affect the validity of any prescribed authorization or device retrieval warrant.
21. Immunity
(1) Subject to subsection (2), a person does not incur civil or criminal liability by reason only of—
    (a) a conduct carried out pursuant to a prescribed authorization or device retrieval warrant, or an incidental conduct;
    (b) the person’s performance or purported performance in good faith of any function under this Schedule; or
    (c) the person’s compliance with a requirement made or purportedly made under this Schedule.
​(2) Nothing in subsection (1) affects liability that is or may be incurred by any person by reason only of—
    (a) entry into or onto any premises without permission; or
    (b) interference with any property without permission.
22. Protected products obtained after revocation of prescribed authorization
(1) If a prescribed authorization or a part of a prescribed authorization is revoked under section 18(3) of this Schedule, the Commissioner of Police must make arrangements to ensure that the interception or covert surveillance concerned or the relevant part of the interception or covert surveillance concerned is discontinued as soon as reasonably practicable.
(2) Any protected product that is obtained after the prescribed authorization concerned or the relevant part of the prescribed authorization concerned is revoked and before the interception or covert surveillance concerned or the relevant part of the interception or covert surveillance concerned is discontinued in accordance with the arrangements made by the Commissioner of Police under subsection (1) is, for the purposes of this Schedule, to be regarded as having been obtained pursuant to a prescribed authorization.
Part 4 Requirements for Statement for Application for Issue or Renewal of Prescribed Authorization for Interception or Covert Surveillance
Division 1—Application for Issue of Chief Executive’s Authorization for Interception
23. Contents of statement supporting application (interception)
A statement supporting an application for the issue of a Chief Executive’s authorization for interception is to—
    (a) state which of the purposes specified in section 2(1)(a)(i) and (ii) of this Schedule is sought to be furthered by conducting the interception;
    (b) set out—
       (i) the form of the interception and the information sought to be obtained by conducting the interception;
       (ii) if known, the identity of any person who is to be the subject of the interception;
       (iii) if known, particulars of the addresses, numbers, apparatus or other factors that are to be used for identifying any communication that is to be intercepted;
       (iv) the proposed duration of the interception;
       (v) the grounds for the reasonable suspicion specified in section 2(1)(b) of this Schedule;
       (vi) the following information— ​
          (A) for the purpose specified in section 2(1)(a)(i) of this Schedule, the relevant offences endangering national security to be prevented or detected and an assessment of their immediacy and gravity; or
          (B) for the purpose specified in section 2(1)(a)(ii) of this Schedule, the relevant threat to national security and an assessment of its immediacy and gravity;
       (vii) the benefits likely to be obtained by conducting the interception;
       (viii) an assessment of the impact (if any) of the interception on any person other than the subject;
       (ix) whether it is likely that any information which may be subject to legal professional privilege, or may be the contents of any journalistic material, will be obtained by conducting the interception;
       (x) the reason why the purpose sought to be furthered by conducting the interception cannot reasonably be furthered by other less intrusive means; and
       (xi) if known, whether, during the preceding 2 years, there has been any application for the issue or renewal of a prescribed authorization under this Schedule in respect of the subject mentioned in subparagraph (ii) or (if the particulars of any telecommunications service have been set out in the statement under subparagraph (iii)) the telecommunications service, and if so, particulars of such application; and ​
    (c) identify by name, rank and post the applicant and the officer of the Police Force approving the making of the application.
Division 2—Application for Issue of Chief Executive’s Authorization for Covert Surveillance
24. Contents of statement supporting application (Type 1 surveillance or Type 2 surveillance)
A statement supporting an application for the issue of a Chief Executive’s authorization for Type 1 surveillance or Type 2 surveillance is to—
    (a) state which of the purposes specified in section 2(1)(a)(i) and (ii) of this Schedule is sought to be furthered by conducting the surveillance;
    (b) set out—
       (i) the form of the surveillance (including the kind or kinds of any devices to be used) and the information sought to be obtained by conducting the surveillance;
       (ii) if known, the identity of any person who is to be the subject of the surveillance;
       (iii) the identity of any person, other than that referred to in subparagraph (ii), who may be affected by the surveillance or, if the identity of such person is not known, the description of any such person or class of such persons who may be affected by the surveillance;
       (iv) if known, particulars of any premises or any object or class of objects in or on which the surveillance is to be conducted; ​
       (v) the proposed duration of the surveillance;
       (vi) the grounds for the reasonable suspicion specified in section 2(1)(b) of this Schedule;
       (vii) the following information—
          (A) for the purpose specified in section 2(1)(a)(i) of this Schedule, the relevant offences endangering national security to be prevented or detected and an assessment of their immediacy and gravity; or
          (B) for the purpose specified in section 2(1)(a)(ii) of this Schedule, the relevant threat to national security and an assessment of its immediacy and gravity;
       (viii) the benefits likely to be obtained by conducting the surveillance;
       (ix) an assessment of the impact (if any) of the surveillance on any person other than the subject;
       (x) whether it is likely that any information which may be subject to legal professional privilege, or may be the contents of any journalistic material, will be obtained by conducting the surveillance;
       (xi) the reason why the purpose sought to be furthered by conducting the surveillance cannot reasonably be furthered by other less intrusive means; and
       (xii) if known, whether, during the preceding 2 years, there has been any application for the issue or renewal of a prescribed authorization under this Schedule in respect of the subject mentioned in ​subparagraph (ii), and if so, particulars of such application; and
    (c) identify by name, rank and post the applicant and the officer of the Police Force approving the making of the application.
Division 3—Application for Renewal of Chief Executive’s Authorization for Interception or Covert Surveillance
25. Contents of statement supporting application (renewal)
A statement supporting an application for the renewal of a Chief Executive’s authorization is to—
    (a) set out—
       (i) whether the renewal sought is the first renewal and, if not, each occasion on which the Chief Executive’s authorization has been renewed previously and the duration of each renewal;
       (ii) any significant change to any information previously provided in any statement under this Schedule for the purposes of any application for the issue or renewal of the Chief Executive’s authorization;
       (iii) an assessment of the value of the information so far obtained pursuant to the Chief Executive’s authorization;
       (iv) the reason why it is necessary to apply for the renewal; and
       (v) the proposed duration of the interception, Type 1 surveillance or Type 2 surveillance (as the case may be); and ​
    (b) identify by name, rank and post the applicant and the officer of the Police Force approving the making of the application.
Part 5 Requirements for Statement for Application for Issue of Device Retrieval Warrant
26. Contents of statement supporting application (device retrieval warrant)
A statement supporting an application for the issue of a device retrieval warrant for the retrieval of any of the devices authorized to be used under a prescribed authorization is to—
    set out—
       (i) the kind or kinds of the devices sought to be retrieved;
       (ii) particulars of the premises or object from which the devices are to be retrieved, and the reason why the applicant considers that the devices are in or on such premises or object;
       (iii) the estimated time required to complete the retrieval;
       (iv) an assessment of the impact (if any) of the retrieval on any person; and
       (v) the need for the retrieval; and
    (b) identify by name, rank and post the applicant.
Part 6 Interpretation
27. Interpretation
(1) In this Schedule—
address (地址), in relation to a communication transmitted by a postal service, includes a postal box address;
authorizing officer (授權人員) means an officer of the Police Force designated under section 5(1) of this Schedule by the Chief Executive to be an authorizing officer;
Chief Executive’s authorization (行政長官授權) means an authorization for interception, Type 1 surveillance or Type 2 surveillance issued or renewed under Division 1 of Part 2 of this Schedule;
communication (通訊) means—
    (a) communication transmitted by a postal service; or
    (b) communication transmitted by a telecommunications system;
conduct (行為) includes any act or omission, and any series of acts or omissions or of acts and omissions;
conveyance (運輸工具) means any vehicle, vessel, aircraft, hovercraft or other conveyance;
copy (文本)—
    (a) in relation to any contents of a communication that have been obtained pursuant to a prescribed authorization for interception, means any of the following (whether or not in documentary form)—
       (i) any copy, extract or summary of such contents; ​
       (ii) any record referring to the interception which is a record showing, directly or indirectly, the identity of any person who is the sender or intended recipient of the communication; or
    (b) in relation to any material that has been obtained pursuant to a prescribed authorization for covert surveillance, means any of the following (whether or not in documentary form)—
       (i) any copy, extract or summary of the material;
       (ii) any transcript or record made of the material;
court (法院)—
    (a) means a court as defined by section 3 of the Interpretation and General Clauses Ordinance (Cap. 1); and
    (b) includes a magistrate and a tribunal;
covert surveillance (秘密監察)—
    (a) means surveillance conducted with the use of surveillance device for the purposes of a specific investigation or operation, if the surveillance—
       (i) is conducted in circumstances where any person who is the subject of the surveillance is entitled to a reasonable expectation of privacy;
       (ii) is conducted in a manner calculated to ensure that the person is unaware that the surveillance is or may be taking place; and
       (iii) is likely to result in the obtaining of private information about the person; but
    (b) does not include—
       (i) any spontaneous reaction to unforeseen events or circumstances; or ​
       (ii) any such surveillance that constitutes interception under this Schedule;
data surveillance device (數據監察器材)—
    (a) means any device or program used to monitor or record the input of information into, or the output of information from, any information system by electronic means; but
    (b) does not include an optical surveillance device;
device (器材) includes and instrument, apparatus and equipment;
device retrieval warrant (器材取出手令) means a device retrieval warrant issued or to be issued (as may be applicable) under section 14 of this Schedule;
directorate officer (首長級人員) means an officer of the Police Force not below the rank of chief superintendent of police;
emergency authorization (緊急授權) means an emergency authorization issued or to be issued (as may be applicable) under Division 2 of Part 2 of this Schedule;
enhancement equipment (增強設備), in relation to a device, means equipment used to enhance a signal, image or other information obtained by the use of the device;
function (職能) includes power and duty;
information system (資訊系統) has the meaning given by section 2(1) of the Electronic Transactions Ordinance (Cap. 553);
inspect (查察) includes listen to, monitor and record;
install (裝設) includes attach;
intercepting act (截取作為), in relation to any communication, means the inspection of some or all of the contents of the communication, in the course of its transmission by a ​postal service or by a telecommunications system, by a person other than its sender or intended recipient;
interception (截取) means the carrying out of intercepting act in respect of a communication;
interception product (截取成果) means contents of a communication that have been obtained pursuant to a prescribed authorization for interception, and includes a copy of such contents;
journalistic material (新聞材料) has the meaning given by section 82 of the Interpretation and General Clauses Ordinance (Cap. 1);
listening device (監聽器材)—
    (a) means any device used to overhear, listen to, monitor or record any conversation or words spoken to or by any person in conversation; but
    (b) does not include a hearing aid or similar device used by a person with impaired hearing to overcome the impairment;
maintain (維修), in relation to a device, includes—
    (a) adjust, reposition, repair or service the device; and
    (b) replace the device when it is faulty;
optical surveillance device (視光監察器材)—
    (a) means any device used to record visually or observe any activity; but
    (b) does not include spectacles, contact lenses or a similar device used by a person with impaired sight to overcome the impairment;
postal article (郵遞品) has the meaning given by section 2(1) of the Post Office Ordinance (Cap. 98);
​postal interception (郵件截取) means interception of a communication transmitted by a postal service, including postal articles;
postal service (郵政服務) means a postal service to which the Post Office Ordinance (Cap. 98) applies;
premises (處所) includes any place and, in particular, includes—
    (a) any land or building;
    (b) any conveyance;
    (c) any structure (whether or not movable or offshore);and
    (d) any part of any of the premises described in paragraph (a), (b) or (c);
prescribed authorization (訂明授權) means a Chief Executive’s authorization or an emergency authorization;
protected product (受保護成果) means any interception product or surveillance product;
public place (公眾地方)—
    (a) means any premises to which the public or a section of the public may or are permitted to have access from time to time, whether by payment or otherwise; but
    (b) does not include any such premises that are intended for use by members of the public as a lavatory or as a place for taking a bath or changing clothes;
relevant authority (有關當局)—
    (a) in relation to an application for the issue or renewal of a Chief Executive’s authorization for interception or Type 1 surveillance, means the Chief Executive;
    (b) in relation to an application for the issue or renewal of a Chief Executive’s authorization for Type 2 ​surveillance, means the Chief Executive or an authorizing officer (as may be applicable);
    (c) in relation to an application for the issue of an emergency authorization, means the Commissioner of Police; or
    (d) in relation to an application for the confirmation of an emergency authorization, means the Chief Executive;
surveillance device (監察器材) means—
    (a) a data surveillance device, a listening device, an optical surveillance device or a tracking device; or
    (b) a device that is a combination of any 2 or more of the devices referred to in paragraph (a);
surveillance product (監察成果) means material that has been obtained pursuant to a prescribed authorization for covert surveillance, and includes a copy of the material;
telecommunications interception (電訊截取) means interception of a communication transmitted by a telecommunications system;
telecommunications service (電訊服務) has the meaning given by section 2(1) of the Telecommunications Ordinance (Cap. 106);
telecommunications system (電訊系統) has the meaning given by section 2(1) of the Telecommunications Ordinance (Cap. 106);
tracking device (追蹤器材) means any electronic device used to determine or monitor the location of any person or any object or the status of any object;
Type 1 surveillance (第1類監察) means covert surveillance other than Type 2 surveillance;
​Type 2 surveillance (第2類監察), subject to subsections (3) and (4), means covert surveillance that—
    (a) is conducted with the use of a listening device or an optical surveillance device by any person for the purpose of listening to, monitoring or recording words spoken or activity carried out by another person, if the person using the device—
       (i) is a person by whom the other person intends, or should reasonably expect, the words or activity to be heard or seen; or
       (ii) listens to, monitors or records the words or activity with the consent, express or implied, of a person described in subparagraph (i); or
    (b) is conducted with the use of an optical surveillance device or a tracking device, if the use of the device does not involve—
       (i) entry into or onto any premises without permission; or
       (ii) interference with the interior of any conveyance or object, or electronic interference with the device, without permission.
(2) For the purposes of this Schedule, a person is not regarded as being entitled to a reasonable expectation of privacy within the meaning of paragraph (a)(i) of the definition of covert surveillance in subsection (1) in relation to any activity carried out by the person in a public place, but nothing in this subsection affects any such entitlement of the person in relation to words spoken, written or read by the person in a public place.
​(3) For the purposes of this Schedule, any covert surveillance which is Type 2 surveillance is regarded as Type 1 surveillance if it is likely that any information which may be subject to legal professional privilege will be obtained by conducting it.
(4) An officer of the Police Force may apply for the issue or renewal of a prescribed authorization for Type 2 surveillance as if the Type 2 surveillance were Type 1 surveillance, and the provisions of this Schedule relating to the application and the prescribed authorization apply to the Type 2 surveillance as if it were Type 1 surveillance.
(5) For the purposes of this Schedule—
    (a) a communication transmitted by a postal service is regarded as being in the course of the transmission if it is regarded as being in course of transmission by post under section 2(2) of the Post Office Ordinance (Cap. 98); and
    (b) a communication transmitted by a telecommunications system is not regarded as being in the course of the transmission if it has been received by the intended recipient of the communication or by an information system or facility under the intended recipient’s control or to which the intended recipient may have access, whether or not the intended recipient has actually read or listened to the contents of the communication.
(6) For the purposes of this Schedule, the contents of any communication transmitted by a telecommunications system include data produced in association with the communication.