Legalize / United Kingdom / Statutory-Instrument

The UK Border Agency (Complaints and Misconduct) Regulations 2009

Type Statutory-Instrument

Publication 2009-07-31

State In force

Department Queen's Printer of Acts of Parliament

Source legislation.gov.uk

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(ii) the IPCC gave the relevant appropriate authority a direction under regulation 36(11)(b) (withdrawn and discontinued complaints);

(iii) the complaint gave such notification that he withdrew the complaint as mentioned in regulation 36(1)(a) (complainant withdraws the complaint).

(7) The cases in which the IPCC is authorised to discontinue an investigation that is being carried out in accordance with regulation 42 are any cases where the complaint, conduct matter or DSI matter under investigation falls within paragraph (5).

(8) Any application by a relevant appropriate authority to the IPCC for an order that it discontinue an investigation shall be in writing and shall be accompanied by—

(a) a copy of the complaint, and

(b) a memorandum from the relevant appropriate authority containing a summary of the investigation undertaken so far and explaining the reasons for the application to discontinue the investigation.

(9) The relevant appropriate authority shall—

(a) send the complainant a copy of any such application on the same day as the day on which the application is sent to the IPCC, and

(b) supply any further information requested by the IPCC for the purpose of considering that application.

(10) The IPCC shall not require the discontinuance of an investigation in a case where there has been no application to do so by the relevant appropriate authority unless it has consulted with that authority.

(11) A determination given to a relevant appropriate authority by the IPCC under regulation 31(4)(a) (power of the IPCC to determine the form of an investigation) may—

(a) require the relevant appropriate authority to produce an investigation report on the discontinued investigation;

(b) where the investigation concerned a complaint, require the relevant appropriate authority to dispense with the requirements of these Regulations as respects that complaint;

(c) direct the relevant appropriate authority to handle the matter in whatever manner (if any) that authority thinks fit.

(12) For the purposes of this regulation the steps that may be taken by the IPCC when an investigation is discontinued are—

(a) to produce an investigation report on the discontinued investigation and take any subsequent steps required under these Regulations;

(b) where the investigation concerned a complaint, to dispense with the requirements of these Regulations as respects that complaint;

Withdrawn and discontinued complaints

36

(1) If a relevant appropriate authority receives from a complainant notification in writing signed by the complainant or by a solicitor or other authorised agent on the complainant’s behalf to the effect either—

(a) that the complainant withdraws the complaint, or

(b) that the complainant does not wish any further steps to be taken in consequence of the complaint,

then the relevant appropriate authority shall forthwith record the withdrawal or the fact that the complainant does not wish any further steps to be taken, as the case may be, and subject to paragraphs (2) to (12) shall cease to apply in respect of that complaint.

(2) Where a complainant gives such notification as is mentioned in paragraph (1) to the IPCC but, so far as is apparent to the IPCC, has not sent that notification to the relevant appropriate authority, then—

(a) the IPCC shall send a copy of the notification to the relevant appropriate authority;

(b) that relevant appropriate authority shall record the withdrawal or the fact that the complainant does not wish any further steps to be taken, as the case may be; and

(c) subject to the following provisions of this regulation, these Regulations shall cease to apply in respect of that complaint.

(3) Where a complainant gives such notification as is mentioned in paragraph (1) to an relevant appropriate authority, or where the relevant appropriate authority receives a copy of a notification under paragraph (2), and it relates to a complaint—

(a) which was referred to the IPCC under regulation 21(1) (reference of complaints to the IPCC) and which has not been referred back to the relevant appropriate authority under regulation 22(2) (duties of the IPCC on references under regulation 21);

(b) which the relevant appropriate authority knows is currently the subject of an appeal to the IPCC under regulation 15 (failures to notify or record a complaint), or 70 (appeals to the IPCC with respect to an investigation) or

(c) which was notified to the relevant appropriate authority by the IPCC under regulation 13(1) (initial handling and recording of complaints),

then the relevant appropriate authority shall notify the IPCC that it has recorded the withdrawal of the complaint or the fact that the complainant does not wish any further steps to be taken, as the case may be.

(4) In a case falling within paragraph (3)(b) or (c), the relevant appropriate authority shall also—

(a) determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter; and

(b) notify the IPCC of its determination and the reasons for the determination.

(5) In a case falling within paragraph (3)(a), the IPCC shall determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter, and shall notify the relevant appropriate authority of its decision.

(6) Where a determination is made that a complaint is to be treated as a recordable conduct matter, then the provisions of these Regulations shall apply to that matter.

(7) Where a complainant gives such notification as is mentioned in paragraph (1) to an relevant appropriate authority, or where the relevant appropriate authority receives a copy of a notification under paragraph (2), and that notification relates to a complaint which does not fall within any of sub-paragraphs (a) to (c) of paragraph (3), then—

(a) the relevant appropriate authority shall determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter;

(b) if the complaint is to be treated as a recordable conduct matter, the provisions of these Regulations shall apply to that matter;

(c) if the complaint is not to be treated as a recordable conduct matter, the provisions of these Regulations shall cease to apply in respect of that complaint.

(8) In a case where—

(a) a complaint has been subjected to an investigation by the relevant appropriate authority on its own behalf;

(b) the complaint is currently subject to an appeal to the IPCC under regulation 70; and

(c) the relevant appropriate authority has notified the IPCC under paragraph (4)(b) that it has determined that the complaint is not to be treated as a recordable conduct matter,

the IPCC shall consider whether it is in the public interest for that determination to be reversed, and if so it shall instruct the relevant appropriate authority to reverse the decision.

(9) Where a complainant indicates the wish to withdraw the complaint or the wish that no further steps are to be taken in consequence of the complaint, but the complainant fails to provide a notification to that effect in writing signed by or on behalf of the complainant, then—

(a) in the case of an indication received by the relevant appropriate authority, the authority shall take the steps set out in paragraph (10);

(b) in the case of an indication received by the IPCC, the IPCC shall refer the matter to the relevant appropriate authority which shall take the steps set out in paragraph (10).

(10) Those steps are—

(a) the relevant appropriate authority shall write to the complainant to ascertain whether the complainant wishes to withdraw the complaint or does not wish any further steps to be taken in consequence of the complaint;

(b) if the complainant indicates the wish to withdraw the complaint or does not wish any further steps to be taken in consequence of the complaint, or if the complainant fails to reply within 21 days, the relevant appropriate authority shall treat the indication as though it had been received in writing signed by the complainant;

(c) if the complainant indicates the wish not to withdraw the complaint, or the wish that further steps be taken to be taken in consequence of the complaint, the relevant appropriate authority shall start or resume the investigation as the case may be.

(11) The relevant appropriate authority shall notify the person complained against if—

(a) it records the withdrawal of a complaint or the fact that the complainant does not wish any further steps to be taken;

(b) it determines that a complaint shall be treated as a recordable conduct matter;

(d) the IPCC instructs it to reverse a decision not to treat a complaint as a recordable conduct matter;

(e) the provisions of these Regulations cease to apply in respect of a complaint.

(12) But nothing in paragraph (11) shall require the relevant appropriate authority to make a notification if it has previously decided under regulation 56(3) (notification of complaints etc.) not to notify the person complained against of the complaint because it is of the opinion that that might prejudice any criminal investigation or pending proceedings or would be contrary to the public interest.

Investigations by the relevant appropriate authority on its own behalf

37

(1) This regulation applies if the relevant appropriate authority is required by virtue of any determination made by the IPCC under regulation 31 (power of the IPCC to determine the form of an investigation) to make arrangements for a complaint or recordable conduct matter or DSI matter to be investigated by the relevant appropriate authority on its own behalf.

(2) It shall be the duty of the relevant appropriate authority to appoint a person to investigate the complaint or matter.

Investigation by a police force at the request of the relevant appropriate authority

38

(1) This regulation applies where the relevant appropriate authority determines that there should be an investigation by a police force into an indication that a relevant officer, relevant official of the Secretary of State or an official exercising customs revenue functions may have committed a criminal offence in connection with a complaint, recordable conduct matter or DSI matter.

(2) The relevant appropriate authority shall identify the police force whose force area includes the geographical area to which the subject matter of the complaint, recordable conduct matter or DSI matter most closely relates, and take steps to obtain the agreement of the chief officer of police of that force to the appointment of that force to carry out the investigation.

(3) In the event that no agreement is reached under paragraph (2) the relevant appropriate authority may require the chief officer of police of any police force it considers appropriate to carry out the investigation.

(4) A chief officer of police of a police force who agrees to or is required to carry out an investigation shall, if that person has not already done so, appoint a person serving with the police who is a member of that force to investigate that complaint.

(5) Paragraphs (3) to (5) and (7) of regulation 40 (investigations supervised by the IPCC) shall apply as they apply to an investigation by the relevant appropriate authority which the IPCC has determined is one that it should supervise and the references to the relevant appropriate authority in those paragraphs shall be treated as references to the chief officer of police concerned.

(6) An appointment of a person under paragraph (4) or (5) shall be notified by the chief of police concerned to the relevant appropriate authority. The IPCC may require that no appointment is made under paragraph (4) unless it has given notice to the chief officer that it approves the person serving with the police whom he proposes to appoint.

(7) The person appointed to investigate the complaint or matter shall, in relation to an investigation under the management of the IPCC, be under the direction and control of the IPCC.

(8) The person appointed to investigate the complaint or matter shall comply with all such requirements in relation to the carrying out of that investigation as may be imposed by these Regulations.

Investigations supervised by the IPCC

39

(1) This regulation applies where the IPCC has determined that it should supervise the investigation by the relevant appropriate authority of any complaint or recordable conduct matter or DSI matter.

(2) On being given notice of that determination, the relevant appropriate authority shall, if it has not already done so, appoint a person to investigate the complaint or matter.

(3) The IPCC may require that no appointment is made under paragraph (2) unless it has given notice to the relevant appropriate authority that it approves the person whom that authority proposes to appoint.

(4) Where a person has already been appointed to investigate the complaint or matter, or is selected under this paragraph for appointment, and the IPCC is not satisfied with that person, the IPCC may require the relevant appropriate authority, as soon as reasonably practicable after being required to do so—

(a) to select another person falling within paragraph (2) to investigate the complaint or matter; and

(b) to notify the IPCC of the person selected.

(5) Where a selection made in pursuance of a requirement under paragraph (4) has been notified to the IPCC, the relevant appropriate authority shall appoint that person to investigate the complaint or matter if, but only if, the IPCC notifies the authority that it approves the appointment of that person.

(6) The person appointed to investigate the complaint or matter shall comply with all such requirements in relation to the carrying out of that investigation as may be imposed by the IPCC in relation to that investigation.

Investigation by a police force under the management or under the supervision of the IPCC

40

(1) This regulation applies where the IPCC determines that there should be an investigation by a police force under the management or supervision of the IPCC.

(2) The IPCC shall—

(a) identify the police force whose force area includes the geographical area to which the subject matter of the complaint, recordable conduct matter or DSI matter most closely relates, and

(b) take steps to obtain the agreement of—

(i) the chief officer of police of that force, and

(ii) the relevant appropriate authority,

to the appointment by the IPCC of that force to carry out the investigation.

(3) In the event that no agreement is reached under paragraph (2) the IPCC may require the chief officer of police of any police force it considers appropriate to carry out the investigation.

(4) A chief officer of police of a police force who agrees to or is required to carry out an investigation shall, if that person has not already done so, appoint a person serving with the police who is a member of that force to investigate that complaint.

(5) Paragraphs (3) to (6) of regulation 39 (investigations supervised by the IPCC) shall apply as they apply to an investigation by the relevant appropriate authority which the IPCC has determined is one that it should supervise and the references to the relevant appropriate authority in those paragraphs shall be treated as references to the chief officer of police concerned.

(6) An appointment of a person under paragraph (4) shall be notified by the chief of police concerned to the relevant appropriate authority. The IPCC may require that no appointment is made under paragraph (4) unless it has given notice to the chief officer that it approves the person serving with the police whom he proposes to appoint.

(7) The person appointed to investigate the complaint or matter shall, in relation to an investigation under the management of the IPCC, be under the direction and control of the IPCC.

(8) The person appointed to investigate the complaint or matter shall comply with all such requirements in relation to the carrying out of that investigation as may be imposed by these Regulations.

Investigations managed by the IPCC

41

(1) This regulation applies where the IPCC has determined that it should manage the investigation by the relevant appropriate authority of any complaint or recordable conduct matter or DSI matter.

(2) Paragraphs (2) to (6) of regulation 39 (investigations supervised by the IPCC) shall apply as they apply in the case of an investigation which the IPCC has determined is one that it should supervise.

(3) The person appointed to investigate the complaint or matter shall, in relation to that investigation, be under the direction and control of the IPCC.

Investigations by the IPCC itself

42

(1) This regulation applies where the IPCC has determined that it should itself carry out the investigation of a complaint or recordable conduct matter or DSI matter.

(2) The IPCC shall designate both—

(a) a member of the IPCC’s staff to take charge of the investigation on behalf of the IPCC, and

(b) all such other members of the IPCC’s staff as are required by the IPCC to assist that member.

(3) A member of the IPCC’s staff who—

(a) is designated under paragraph (2) in relation to any investigation, but

(b) does not already, by virtue of section 97(8) (police officers engaged on service outside their force) of the Police Act 1996[^f00014] have all the powers and privileges of a constable throughout England and Wales and the adjacent United Kingdom waters,

shall for the purposes of the carrying out of the investigation and all purposes connected with it, have all those powers and privileges throughout England and Wales and those waters.

(4) A member of the IPCC’s staff who is not a constable shall not, as a result of paragraph (3), be treated as being in police service for the purposes of—

(a) section 280 (police service) of the Trade Union and Labour Relations (Consolidation) Act 1992[^f00015]; or

(b) section 200 (police officers) of the Employment Rights Act 1996[^f00016].

(5) References in this regulation to the powers and privileges of a constable—

(a) are references to any power or privilege conferred by or under any enactment (including one passed after the making of these Regulations) on a constable; and

(b) shall have effect as if every such power were exercisable, and every such privilege existed, throughout England and Wales and the adjacent United Kingdom waters (whether or not that is the case apart from this paragraph).

(6) In this regulation “United Kingdom waters” means the sea and other waters within the seaward limits of the United Kingdom’s territorial sea.

Relinquishing the IPCC’s supervision or management of an investigation

43

(1) This regulation applies where the IPCC—

(a) relinquishes the management of an investigation in favour of a supervised investigation or an investigation by the relevant appropriate authority on its own behalf, or

(b) relinquishes the supervision of an investigation in favour of an investigation by the relevant appropriate authority on its own behalf.

(2) Where this regulation applies, the IPCC—

(a) shall notify the relevant appropriate authority, the complainant, any interested person within the meaning of regulation 50 (duty to provide information for other persons) and the person complained against of its decision, and the reasons for that decision; and

(b) shall send to the relevant appropriate authority any documentation and evidence gathered during its investigations as will assist the relevant appropriate authority to carry out its functions under these Regulations.

(3) Nothing in paragraph (2)(a) shall require the IPCC to make a notification to the person complained against if it is of the opinion that that might prejudice any criminal investigation or pending proceedings or would be contrary to the public interest.

Circumstances in which an investigation or other procedure may be suspended

44

(1) The IPCC may suspend any investigation or other procedure under these Regulations which would, if it were to continue, prejudice any criminal proceedings.

(2) A relevant appropriate authority may, subject to paragraph (3), suspend any investigation or other procedure under these Regulations which would, if it were to continue, prejudice any criminal investigation or proceedings.

(3) The IPCC may direct that any investigation or other procedure under these Regulations which is liable to be suspended under paragraph (2) shall continue if it is of the view that it is in the public interest to make such a direction.

(4) The IPCC shall consult the relevant appropriate authority before making such a direction.

Resumption of investigation after criminal proceedings

45

(1) Where the whole or part of the investigation of a complaint has been suspended until the conclusion of criminal proceedings, and after the conclusion of those proceedings the complainant has failed to express the wish for the investigation to start or be resumed, the IPCC or, as the case may be, the relevant appropriate authority shall take the steps set out in paragraph (2).

(2) The IPCC or relevant appropriate authority shall take all reasonable steps to contact the complainant to ascertain whether the complainant wants the investigation to start or be resumed as the case may be.

(3) If the complainant expresses the wish for the investigation to start or be resumed, the IPCC or the relevant appropriate authority shall start or resume the investigation as the case may be.

(4) The IPCC shall consult the relevant appropriate authority before starting or resuming the investigation.

(5) If the complainant indicates that the complainant does not want the investigation to start or be resumed, or if the complainant fails to reply within 21 days to a letter sent to the complainant by the IPCC or relevant appropriate authority, the IPCC or relevant appropriate authority as the case may be shall determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter.

(6) If the IPCC or relevant appropriate authority determines that it is not in the public interest for the complaint to be treated as a recordable conduct matter, the provisions of these Regulations shall cease to apply to the complaint.

(7) If the IPCC or relevant appropriate authority determines that it is in the public interest for the complaint to be treated as a recordable conduct matter, regulations 17 (conduct matters arising in civil proceedings), 18 (recording etc. of conduct matters in other cases), 19 (duties to preserve evidence relating to conduct matters), 23 (reference of conduct matters to IPCC), 24 (duties of the IPCC on references under regulation 23) and the provisions of Part 4 (handling DSI matters) of these Regulations shall apply to the matter.

(8) The IPCC or relevant appropriate authority shall notify the person complained against if paragraph (5) or (6) applies.

(9) Nothing in paragraph (8) shall require the IPCC or relevant appropriate authority to make a notification if it is of the opinion that that might prejudice any criminal investigation or pending proceedings or would be contrary to the public interest.

Restrictions on proceedings pending the conclusion of an investigation

46

(1) No criminal or disciplinary proceedings shall be brought in relation to any matter which falls to be determined under these Regulations until a report on that investigation has been submitted to the IPCC or to the relevant appropriate authority under regulation 62 (final reports on investigations: complaints, conduct matters and certain DSI matters) or 65 (final reports on investigations: other DSI matters).

(2) Nothing in this regulation shall prevent the bringing of criminal or disciplinary proceedings in respect of any conduct at any time after the discontinuance of the investigation in accordance with the provisions of these Regulations which relates to that conduct.

(3) The restrictions imposed by this regulation in relation to the bringing of criminal proceedings shall not apply to the bringing of criminal proceedings by the Director of Public Prosecutions or, as the case may be, the Director of Revenue and Customs Prosecutions in any case in which it appears to that person that there are exceptional circumstances which make it undesirable to delay the bringing of such proceedings.

(4) Where disciplinary proceedings are brought in relation to any matter which is the subject of an investigation under these Regulations, the relevant appropriate authority shall notify the IPCC of that fact before such proceedings are brought.

PART 6 — PROVISION OF INFORMATION

Provision and use of information by the IPCC

47

(1) Where the IPCC, or any person acting on its behalf, obtains information in the course of performing a function conferred on it by regulation 6(1) they must not disclose it except as permitted by Part 6 (provision of information) of these Regulations.

(2) Where the IPCC, or any person acting on its behalf, obtains information in the course of performing a function conferred on it by regulation 6(1) they may not use it for any purpose other than the performance of a function under these Regulations.

Provision of information to the IPCC

48

(1) It shall also be the duty of the relevant appropriate authority—

(a) to provide the IPCC with all such other information and documents specified or described in a notification given by the IPCC to the relevant appropriate authority, and

(b) to produce or deliver up to the IPCC all such evidence and other things so specified or described,

as appear to the IPCC to be required by it for the purposes of the carrying out of any of its functions.

(2) Anything falling to be provided, produced or delivered up by any person in pursuance of a requirement imposed under paragraph (1) must be provided, produced or delivered up in such form, in such manner and within such period as may be specified in—

(a) the notification imposing the requirement; or

(b) in any subsequent notification given by the IPCC to that person for the purposes of this paragraph.

(3) Nothing in this regulation shall require the relevant appropriate authority to provide the IPCC with any information or document, or to produce or deliver up any other thing, before the earliest time at which it is practicable for it do so.

Duty to keep the complainant informed

49

(1) In any case in which there is an investigation of a complaint in accordance with the provisions of these Regulations—

(a) by the IPCC, or

(b) under its management,

it shall be the duty of the IPCC to provide the complainant with all such information as will keep the complainant properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (5).

(2) In any case in which there is an investigation of a complaint in accordance with the provisions of these Regulations—

(a) by the relevant appropriate authority on its own behalf, or

(b) under the supervision of the IPCC,

it shall be the duty of the person investigating to provide the complainant with all such information as will keep the complainant properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (5).

(3) Where paragraph (2) applies, it shall be the duty of the IPCC to give the relevant appropriate authority all such directions as it considers appropriate for securing that that authority complies with its duty under that subsection; and it shall be the duty of the relevant appropriate authority to comply with any direction given to it under this paragraph.

(4) The IPCC shall consult the relevant appropriate authority before deciding whether or not to disclose information to the complainant in accordance with paragraph (1) or to give directions under paragraph (3), and shall have regard to any representations made to it by the relevant appropriate authority in taking that decision.

(5) For the purposes of paragraphs (1) and (2) the matters of which the complainant must be kept properly informed are—

(a) the progress of the investigation;

(b) any provisional findings of the person carrying out the investigation;

(d) the action (if any) that is taken in respect of the matters dealt with in any such report; and

(e) the outcome of any such action.

(6) It shall be the duty of a person appointed to carry out an investigation under these Regulations to provide the IPCC or, as the case may be, the relevant appropriate authority with all such information as the IPCC or that authority may reasonably require for the purpose of performing its duty under this regulation.

Duty to provide information for other persons

50

(1) A person has an interest in being kept properly informed about the handling of a complaint or recordable conduct matter or DSI matter which is the subject of an investigation in accordance with the provisions of these Regulations if—

(a) it appears to the IPCC or to a relevant appropriate authority that that person is a person falling within paragraph (2) or (3); and that person consented to the provision of information in accordance with this regulation and that consent has not been withdrawn.

(2) A person falls within this paragraph if (in the case of a complaint or recordable conduct matter) that person—

(a) is a relative of a person whose death is the alleged result from the conduct complained of or to which the recordable conduct matter relates;

(b) is a relative of a person whose serious injury is the alleged result from that conduct and that person is incapable of making a complaint;

(3) A person falls within this paragraph if (in the case of a DSI matter) that person—

(a) is a relative of the person who has died;

(b) is a relative of the person who has suffered serious injury and that person is incapable of making a complaint;

(4) A person who does not fall within paragraph (2) or (3) has an interest in being kept properly informed about the handling of a complaint, recordable conduct matter or DSI matter if—

(a) the IPCC or a relevant appropriate authority considers that that person has an interest in the handling of the complaint, conduct matter or DSI matter which is sufficient to make it appropriate for information to be provided to that person in accordance with this regulation; and

(b) that person has consented to the provision of information in accordance with this regulation.

(5) In relation to a complaint, this regulation confers no rights on the complainant.

(6) A person who has an interest in being kept properly informed about the handling of a complaint conduct matter or DSI matter is referred to in this regulation as an “interested person”.

(7) In any case in which there is an investigation of the complaint, recordable conduct matter or DSI matter in accordance with the provisions of these Regulations—

(a) by the IPCC, or

(b) under its management,

it shall be the duty of the IPCC to provide the interested person with all such information as will keep the interested person properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (11).

(8) In any case in which there is an investigation of the complaint, recordable conduct matter or DSI matter in accordance with the provisions of these Regulations—

(a) by the relevant appropriate authority on its own behalf, or

(b) under the supervision of the IPCC,

it shall be the duty of the relevant appropriate authority to provide the interested person with all such information as will keep him properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (11).

(9) Where paragraph (8) applies, it shall be the duty of the IPCC to give the relevant appropriate authority all such directions as it considers appropriate for securing that that authority complies with its duty under that paragraph; and it shall be the duty of the relevant appropriate authority to comply with any direction given to it under this paragraph.

(10) The IPCC shall consult the relevant appropriate authority before deciding whether or not to disclose information to the interested person in accordance with paragraph (7) or to give directions under paragraph (9), and shall have regard to any representations made to it by the relevant appropriate authority in taking that decision.

(11) The matters of which the interested person must be kept properly informed are—

(a) the progress of the investigation;

(b) any provisional findings of the person carrying out the investigation;

(c) whether the IPCC or the relevant appropriate authority has made a determination under regulation 29 (procedure where conduct matter is revealed during investigation of a DSI matter);

(d) whether any report has been submitted under regulation 61 (action by a police force on completion of an investigation report), 63 (action by the IPCC in response to an investigation report under regulation 62) or 64 (action by the relevant appropriate authority in response to an investigation report under regulation 62);

(e) the action (if any) that is taken in respect of the matters dealt with in any such report; and

(f) the outcome of any such action.

(12) Paragraphs (5) and (6) of regulation 49 (duty to keep the complainant informed) apply for the purposes of this regulation as they apply for the purposes of that regulation.

(13) In this regulation “relative” means any spouse, partner, parent or adult child.

Duty to keep the relevant officer, relevant official of the Secretary of State or official exercising customs revenue functions informed

51

(1) If during the course of an investigation of a complaint which falls to be determined under these Regulations it appears to the person investigating that there is an indication that the relevant officer, relevant official of the Secretary of State or official exercising customs revenue functions (“the person whose conduct is in question”) may have—

(a) committed a criminal offence, or

(b) behaved in a manner which would justify the bringing of disciplinary proceedings,

the person investigating the complaint or matter must give a notification to the person whose conduct is in question concerned that complies with paragraph (2).

(2) The notification will—

(a) provide sufficient details of the complaint or matter in question so that the person in whose conduct is in question may make representations to the person investigating the complaint or matter;

(b) give the prescribed information about the effect of regulation 52 (duty to consider submissions from relevant officers, relevant officials of the Secretary of State and officials exercising customs revenue functions); and

(3) Paragraph (1) and (2) do not apply for so long as the person investigating the complaint or the matter considers that giving the notification might prejudice—

(a) the investigation, or

(b) any other investigation (including, in particular, a criminal investigation).

(4) In this regulation and regulations 53 (duty to provide certain information to the relevant appropriate authority) and 54 (manner in which duties to provide information to the complainant are to be performed), the relevant officer, relevant official of the Secretary of State or official exercising customs revenue functions (“the person whose conduct is in question”)—

(a) in relation to an investigation of a complaint, means the person in respect of whom it appears to the person investigating that there is the indication mentioned in paragraph (1)

(b) in relation to an investigation of a recordable conduct matter, means the person to whose the conduct the investigation relates.

(5) In this regulation “relevant document”—

(a) means a document relating to any complaint or matter under investigation, and

(b) includes such a document containing suggestions as to lines of inquiry to be pursued or witness to be interviewed.

(6) In this regulation “relevant statement” means an oral or written statement relating to any complaint or matter under investigation.

Duty to consider submissions from relevant officers, relevant officials of the Secretary of State and officials exercising customs revenue functions

52

(1) This regulation applies where a notification under regulation 51 (duty to keep the relevant officer, relevant official or official exercising customs revenue functions informed) has been issued to a relevant officer, relevant official of the Secretary of State or official exercising customs revenue functions (“the person whose conduct is in question”).

(2) If—

(a) the person whose conduct is in question provides the person investigating the complaint or matter with a relevant statement or a relevant document, or

(b) any person of a prescribed description provides the person investigating the complaint or matter with a relevant document,

the person investigating must consider the statement or document.

Duty to provide certain information to the relevant appropriate authority

53

(1) This regulation applies during the course of an investigation within regulation 51(1) (duty to keep the relevant officer, relevant official of the Secretary of State or official exercising customs revenue functions informed).

(2) The person investigating the complaint or matter must supply the relevant appropriate authority with such information in that person’s possession as the relevant appropriate authority may reasonably request for the purpose of determining whether the person concerned should be, or should remain, suspended from duty.

Manner in which duties to provide information to the complainant are to be performed

54

(1) For the purposes of regulations 49(4) (duty to keep the complainant informed) and 50(9) (duty to provide information for other persons), the manner in which the IPCC or, as the case may be, a relevant appropriate authority shall perform the duties imposed by those regulations is as follows.

(2) The IPCC, in a case falling within section 49(1) or 50(7) (duty to provide information for other persons), shall inform the complainant or, as the case may be, the interested party—

(a) of the progress of the investigation promptly and in any event-

(i) if there has been no previous notification, within four weeks of the start of the investigation; and

(ii) in any other case, within four weeks of the previous notification;

(b) of any provisional finding of the person carrying out the investigation as frequently as the IPCC determines to be appropriate in order for the complainant to be kept properly informed.

(3) The relevant appropriate authority, in a case falling within regulation 49(2) or 50(8) shall inform the complainant or the interested party (as the case may be)—

(a) of the progress of the investigation promptly and in any event-

(i) if there has been no previous notification, within four weeks of the start of the investigation; and

(ii) in any other case, within four weeks of the previous notification;

(b) of any provisional findings of the person carrying out the investigation frequently as the relevant appropriate authority determine to be appropriate in order for the complainant to be kept properly informed.

(4) When an investigation has been completed, each complainant and interested person shall be notified—

(a) of the date on which the final report under regulation 62 (final reports on investigations: complaints, conduct matters and certain DSI matters) is likely to be submitted;

(b) of the date on which the notification under regulation 63(11) (action by the IPCC in response to an investigation report under regulation 62) is likely to be given.

(5) In performing the duties imposed by regulations 49(1) and (2), and 50(7) and (8), the IPCC or, as the case may be, the relevant appropriate authority shall determine whether it is appropriate for it to accept and take into account written representations from the complainant or, as the case may be, an interested person.

(6) As soon as practicable after those written representations have been taken into account, the IPCC or, as the case may be, the relevant appropriate authority shall send to the complainant or interested person a written record of how any concerns of that person will be addressed.

(7) Before notifying a complainant or interested person of how the IPCC has taken those written representations into account, the IPCC shall consult the relevant appropriate authority and shall have regard to any representations made to it in the notification.

(8) As soon as practicable after any disciplinary hearing or other action that is taken in respect of the matters dealt with in any report submitted under regulation 62, the IPCC or, as the case may be, a relevant appropriate authority shall notify any complainant and interested person of the outcome of that hearing or action, including the fact and outcome of any appeal against the findings of or sanctions imposed by such a hearing.

(9) Before notifying a complainant or interested person of how the outcome of the disciplinary hearing and the outcome of any appeal against the findings of or sanctions imposed by such a hearing, the IPCC shall consult the relevant appropriate authority and shall have regard to any representations made to it.

(10) If the IPCC or, as the case may be, the relevant appropriate authority, considers that an investigation has made minimal or no progress since the previous notification, then the next notification may be made by any means that in the opinion of the IPCC or, as the case may be, the relevant appropriate authority is suitable.

Exceptions to the duty to keep the complainant informed and to provide information for other persons

55

(1) Subject to paragraph (2), the duties mentioned in regulation 49(1) and (2) (duty to keep the complainant informed) and regulation 50(7) and (8) (duty to provide information for other persons) shall not apply in circumstances where in the opinion of the IPCC, or, as the case may be, of the relevant appropriate authority, the non-disclosure of information is necessary for the purpose of—

(a) preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any actual or prospective criminal proceedings;

(b) preventing the disclosure of information in any circumstances in which its non-disclosure—

(i) is in the interests of national security;

(ii) is for the purposes of the prevention or detection of crime, or the apprehension or prosecution of offenders;

(iii) is required on proportionality grounds; or

(iv) is otherwise necessary in the public interest.

(2) The IPCC or, as the case may be, the relevant appropriate authority shall not conclude that the non-disclosure of information is necessary under paragraph (1) unless it is satisfied that—

(a) there is a real risk of the disclosure of that information causing an adverse effect; and

(b) that adverse effect would be significant.

(3) The IPCC shall consult the relevant appropriate authority in any case under paragraph (1)(b) before deciding whether or not it is satisfied under paragraph (2).

(4) Notwithstanding paragraph (1), the IPCC, or as the case may be, the relevant appropriate authority shall consider whether the non-disclosure of information is justified under this regulation in circumstances where—

(a) that information is relevant to, or may be used in, any actual or prospective disciplinary proceedings;

(b) the disclosure of that information may lead to the contamination of the evidence of witnesses during such proceedings;

(d) that information constitutes criminal intelligence.

Notification of complaints etc.

56

(1) Where a complaint is recorded under regulation 13(4) (initial handling and recording of complaints), the relevant appropriate authority shall subject to paragraphs (2) to (4), supply the complainant with a written notification setting out a record of that complaint.

(2) A notification supplied under this regulation may keep anonymous the identity of the complainant or of any other person.

(3) A relevant appropriate authority may decide not to supply the complainant with a notification under this regulation if it is of the opinion that to do so—

(a) might prejudice any criminal investigation or pending proceedings, or

(b) would otherwise be contrary to the public interest.

(4) Where a relevant appropriate authority decides not to supply such a notification, it shall keep that decision under regular review.

Notification of actions and decisions

57

(1) So far as not covered by regulation 63(11) and (12) (action by the IPCC in response to an investigation report under regulation 62) and regulation 70(6) and (7) (appeals to the IPCC with respect to an investigation), where the IPCC takes any action or decisions in consequence of it having received a memorandum under regulation 63(9) or regulation 70(3) of these Regulations, it shall notify such action or decisions, together with an explanation of its reasons for having taken them, to—

(a) the relevant appropriate authority;

(b) the complainant and any other interested person within the meaning of regulation 50(2) and (3);

(2) Notwithstanding paragraph (1), the IPCC shall include in any notification under this regulation a statement as to whether it intends to bring and conduct, or otherwise participate or intervene in, any disciplinary proceedings.

(3) The IPCC may decide not to give such a notification and explanation to the person complained against if it is of the opinion that that notification might prejudice any criminal investigation, pending proceedings, or review of the complaint.

Information for complainant about disciplinary recommendations

58

(1) Where—

(a) the IPCC makes recommendations under regulation 67 (duties with respect to disciplinary proceedings) in the case of an investigation of a complaint, and

(b) the relevant appropriate authority notifies the IPCC that the recommendations have been accepted, the IPCC shall notify the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 50 (duty to provide information for other persons) of that fact and of the steps that have been, or are to be taken, by the relevant appropriate authority to give effect to it.

(2) Where in the case of an investigation of a complaint the relevant appropriate authority—

(a) notify the IPCC that it does not (either in whole or in part) accept recommendations made by the IPCC under regulation 67, or

(b) fails to take steps to give full effect to any such recommendations,

it shall be the duty of the IPCC to determine what if any further steps to take under that regulation.

(3) It shall be the duty of the IPCC to notify the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 50—

(a) of any determination under paragraph (2) not to take further steps under regulation 67; and

(b) where they determine under that sub-paragraph to take further steps under that regulation, of the outcome of the taking of those steps.

Register to be kept by the IPCC

59

(1) The IPCC shall establish and maintain a register of all information supplied to it by a relevant appropriate authority under these Regulations.

(2) Subject to paragraph (3), the IPCC may publish or otherwise disclose to any person any information held on the register provided that the publication or disclosure is necessary for or conducive to the purpose of—

(a) learning lessons from the handling of, or demonstrating the thoroughness and effectiveness of local resolutions, of investigations by the IPCC or of managed or supervised investigations;

(b) raising public awareness of the complaints system; or

(3) Information may not be published or disclosed in circumstances where in the opinion of the IPCC the non-disclosure of information is necessary for the purposes mentioned in regulation 55(1)(a) and (b) (exceptions to the duty to keep the complainant informed and to provide information for other persons).

(4) The IPCC shall consult the relevant appropriate authority before disclosing information in accordance with paragraph (2) and shall have regard to any representations made to it by the relevant appropriate authority when deciding what to disclose.

Manner and time limits of notifications

60

(1) Any notification to be given under these Regulations shall—

(a) unless otherwise specified in these Regulations or determined in guidance issued by the IPCC, be given in writing;

(b) unless otherwise specified in these Regulations, be made within such period as the IPCC may determine in guidance.

(2) No time limit mentioned in these Regulations or determined by the IPCC shall apply in any case where exceptional circumstances prevent that time limit being complied with.

PART 7 — REPORTS AND RECOMMENDATIONS

Action by a police force on completion of an investigation report

61

(1) This regulation applies on completion of an investigation by a person appointed in accordance with regulation 38 (investigation by a police force at the request of a relevant appropriate authority).

(2) On completion of that investigation the person appointed in accordance with regulation 38 shall determine whether the conditions set out in sub-paragraphs (4) and (5) are satisfied in respect of the report;

(3) If the person appointed in accordance with regulation 38 determines that those conditions are so satisfied, that person shall notify—

(a) the Director of Public Prosecutions or, as the case may be the Director of Revenue and Customs Prosecutions of the determination and send that person a copy of the report; and

(b) the relevant appropriate authority and the persons mentioned in paragraph (8) of its determination under paragraph (a).

(4) The first condition is that the report indicates that a criminal offence may have been committed by a person to whose conduct the investigation related.

(5) The second condition is that the circumstances are such that, in the opinion of the person appointed in accordance with regulation 38, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions or, as the case may be the Director of Revenue and Customs Prosecutions.

(6) The Director of Public Prosecutions or, as the case may be, the Director of Revenue and Customs Prosecutions shall notify the person appointed in accordance with regulation 38 of any decision of the Director to take, or not to take, action in respect of the matters dealt with in any report a copy of which has been sent to the Director under paragraph (3)(a).

(7) It shall be the duty of the person appointed in accordance with regulation 38 to notify the persons mentioned in paragraph (8) if criminal proceedings are brought against any person by the Director of Public Prosecutions or, as the case may be, the Director of Revenue and Customs Prosecutions in respect of any matters dealt with in a report copied to the Director under paragraph (3)(a).

(8) Those persons are—

(a) in the case of a complaint, the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 50 (duty to provide information for other persons); and

(b) in the case of a recordable conduct matter, every person entitled to be kept properly informed in relation to that matter under that regulation.

Final reports on investigations: complaints, conduct matters and certain DSI matters

62

(1) This regulation applies on the completion of an investigation of—

(a) a complaint, or

(b) a conduct matter.

(2) A person appointed under regulation 37 (investigations by the relevant appropriate authority on its own behalf) shall submit a report on that person’s investigation to the relevant appropriate authority.

(3) A person appointed in accordance with regulation 38 (investigation by a police force at the request of the relevant appropriate authority) shall—

(a) submit a report on that person’s investigation to the relevant appropriate authority; and

(b) send a copy of that report to the IPCC.

That report shall set out the determination of the person appointed in accordance with regulation 38 as to whether the conditions set out in regulation 61(4) and (5) (action by a police force on completion of an investigation report) and whether the Director of Public Prosecutions or, as the case may be, the Director of Revenue and Customs Prosecutions has been sent a copy of the investigation report in accordance with regulation 61(3)(a).

(4) A person appointed under regulation 39 (investigations supervised by the IPCC), 40 (investigations by a police force under the management or under the supervision of the IPCC), or 41 (investigations managed by the IPCC) shall—

(a) submit a report on that person’s investigation to the IPCC; and

(b) send a copy of that report to the relevant appropriate authority.

(5) A person designated under regulation 42 (investigations by the IPCC itself) as the person in charge of an investigation by the IPCC itself shall submit a report on it to the IPCC.

(6) A person submitting a report under this regulation shall not be prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in that person’s report as that person thinks fit.

(7) A person who has submitted a report on an investigation under this regulation on an investigation within regulation 52(1) (duty to consider submissions from relevant officers, relevant officials of the Secretary of State and officials exercising customs revenue functions) must supply the relevant appropriate authority with such copies of further documents or other items in that person’s possession as the authority may request.

(8) The relevant appropriate authority may only make a request in respect of a copy of a document or other item if the authority—

(a) considers that the document or item is of relevance to the investigation, and

(b) requires a copy of the document or the item for either or both of the purposes mentioned in paragraph (9).

(9) Those purposes are—

(a) complying with any obligation which the authority has under the disciplinary proceedings in relation to any person whose conduct is the subject-matter of the investigation;

(b) ensuring that any such officer (a person whose conduct is in question) receives a fair hearing at any disciplinary proceedings in respect of any such conduct of that officer.

Action by the IPCC in response to an investigation report under regulation 62

63

(1) This regulation applies where—

(a) a report on an investigation carried out under the management of the IPCC is submitted to it under paragraph (3) of regulation 62 (final reports on investigations: complaints, conduct matters and certain DSI matters); or

(b) a report on an investigation carried out by a person designated by the IPCC is submitted to it under paragraph (5) of that regulation.

(2) On receipt of the report, the IPCC—

(a) if it appears that the relevant appropriate authority has not already been sent a copy of the report, shall send a copy of the report to that authority;

(b) shall determine whether the conditions set out in sub-paragraphs (3) and (4) are satisfied in respect of the report;

(c) if it determines that those conditions are so satisfied, shall notify the Director of Public Prosecutions or as the case may be, the Director of Revenue and Customs Prosecutions of the determination and send that person a copy of the report; and

(d) shall notify the relevant appropriate authority and the persons mentioned in paragraph (7) of its determination under paragraph (b) and of any action taken by it under paragraph (c).

(3) The first condition is that the report indicates that a criminal offence may have been committed by a person to whose conduct the investigation related.

(4) The second condition is that—

(a) the circumstances are such that, in the opinion of the IPCC, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions or as the case may be the Director of Revenue and Customs Prosecutions.

(5) The Director of Public Prosecutions or, as the case may be, the Director of Revenue and Customs Prosecutions shall notify the IPCC of any decision of the Director to take, or not to take, action in respect of the matters dealt with in any report a copy of which has been sent to the Director under paragraph (2)(c).

(6) It shall be the duty of the IPCC to notify the persons mentioned in paragraph (5) if criminal proceedings are brought against any person by the Director of Public Prosecutions or, as the case may be the Director of Revenue and Customs Prosecutions in respect of any matters dealt with in a report copied to the Director under paragraph (2)(c).

(7) Those persons are—

(a) in the case of a complaint, the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 50 (duty to provide information for other persons); and

(b) in the case of a recordable conduct matter, every person entitled to be kept properly informed in relation to that matter under that section.

(8) On receipt of the report, the IPCC shall also notify the relevant appropriate authority that it must determine—

(a) whether any relevant officer, relevant official of the Secretary of State or official exercising customs revenue functions (person whose conduct is in question) has a case to answer in respect of their conduct or has no case to answer; and

(b) what action (if any) the authority is required to, or will in its discretion, take in respect of the matters dealt with in the report; and

(9) On receipt of a notification under paragraph (8) the relevant appropriate authority shall make those determinations and submit a memorandum to the IPCC which—

(a) sets out the determinations the authority has made, and

(b) if the relevant appropriate authority has decided in relation to any person whose conduct is the subject-matter of the report that disciplinary proceedings should not be brought against that person, sets out its reasons for so deciding.

(10) On receipt of a memorandum under paragraph (9), the IPCC shall—

(a) consider the memorandum and whether the relevant appropriate authority has made the determinations under paragraph (9)(a) that the IPCC considers appropriate in respect of the matters dealt with in the report;

(b) determine, in the light of its consideration of those matters, whether or not to make recommendations under regulation 67 (duties with respect to disciplinary proceedings); and

(11) On the making of a determination under paragraph (10)(b) the IPCC shall give a notification—

(a) in the case of a complaint, to the complainant and to every person entitled to be kept properly informed in relation to the complaint under regulation 49 (duty to keep the complainant informed); and

(b) in the case of a recordable conduct matter, to every person entitled to be kept properly informed in relation to that matter under regulation 50 (duty to provide information for other persons).

(12) The notification required by paragraph (11) is one setting out—

(a) the findings of the report;

(b) the IPCC’s determination under paragraph (10)(b); and

(c) the action which the relevant appropriate authority is to be recommended to take as a consequence of the determination.

(13) Paragraphs (5) and (6) of regulation 49 (duty to keep the complainant informed) shall have effect in relation to the duties imposed on the IPCC by paragraph (11) of this regulation as they have effect in relation to the duties imposed on the IPCC by that regulation.

(14) Except so far as may be otherwise provided by regulations made by virtue of paragraph (13), the IPCC shall be entitled (notwithstanding any obligation of secrecy imposed by any rule of law or otherwise) to discharge the duty to give a person mentioned in paragraph (11) notification of the findings of the report by sending that person a copy of the report.

Action by the relevant appropriate authority in response to an investigation report under regulation 62

64

(1) This regulation applies where—

(a) a report of an investigation is submitted to the relevant appropriate authority in accordance with regulation 62(2) (final reports on investigations: complaints, conduct matters and certain DSI matters); or

(b) a report, or a copy of a report is sent to the relevant appropriate authority in accordance with regulation 62(3) or (4).

(2) On receipt of the report or (as the case may be) of the copy, the relevant appropriate authority shall note the contents of the report and determine—

(a) whether any person to whose conduct the investigation related has a case to answer in respect of their conduct or has no case to answer;

(b) what action (if any) the authority is required to, or will in its discretion, take in respect of the matters dealt with in the report; and

(3) On the making of the determinations under paragraph (2) the relevant appropriate authority shall give a notification—

(a) in the case of a complaint, to the complainant and to every person entitled to be kept properly informed in relation to the complaint under regulation 49 (duty to keep complainant informed); and

(b) in the case of a recordable conduct matter, to every person entitled to be kept properly informed in relation to that matter under regulation 50 (duty to provide information for other persons).

(4) The notification required by paragraph (3) is one setting out—

(a) the findings of the report;

(b) the determinations the authority has made under paragraph (2);

(d) the complainant’s right of appeal under regulation 70 (appeals to the IPCC with respect to an investigation).

(5) Paragraphs (5) and (6) of regulation 49 shall have effect in relation to the duties imposed on the relevant appropriate authority by paragraph (3) of this regulation as they have effect in relation to the duties imposed on the relevant appropriate authority by that section.

(6) Except so far as may be otherwise provided by paragraph (5), the relevant appropriate authority shall be entitled (notwithstanding any obligation of secrecy imposed by any rule of law or otherwise) to discharge the duty to give a person mentioned in paragraph (4) notification of the findings of the report by sending that person a copy of the report.

Final reports on investigations: DSI matters

65

(1) This regulation applies on the completion of an investigation of a DSI matter in respect of which neither the IPCC, nor the person appointed under regulation 38 (investigation by a police force at the request of the relevant appropriate authority) or 40 (investigation by a police force under the management or under the supervision of the IPCC) has made a determination that the person whose conduct is in question may have—

(a) committed a criminal offence; or

(b) behaved in a manner which would justify the bringing of disciplinary proceedings.

(2) The person investigating shall—

(a) submit a report on the investigation to the IPCC; and

(b) send a copy of that report to the relevant appropriate authority.

(3) A person submitting a report under this regulation shall not be prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in his report as that person thinks fit.

(4) On receipt of the report, the IPCC shall determine whether the report indicates that a relevant officer, a relevant official of the Secretary of State or official exercising customs revenue functions may have—

(a) committed a criminal offence, or

(b) behaved in a manner which would justify the bringing of disciplinary proceedings.

(5) If the IPCC determines under paragraph (4) that there is no indication in the report that an officer may have—

(a) committed a criminal offence, or

(b) behaved in a manner which would justify the bringing of disciplinary proceedings,

it shall make such recommendations or give such advice under regulation 6(1)(e) (general functions of the IPCC) (if any) as it considers necessary or desirable.

(6) Paragraph (5) does not affect any power of the IPCC to make recommendations or give advice under regulation 6(1)(e) in other cases (whether arising under these Regulations or otherwise).

Action by the IPCC in response to an investigation report under regulation 65

66

(1) If the IPCC determines under regulation 65(4) (final reports on investigations: other DSI matters) that the report indicates that a relevant officer, relevant official or official exercising customs revenue functions may have—

(a) committed a criminal offence, or

(b) behaved in a manner which would justify the bringing of disciplinary proceedings,

it shall notify the relevant appropriate authority in relation to the person whose conduct is in question of its determination and, if it appears that that authority has not already been sent a copy of the report, send a copy of the report to that authority.

(2) Where the relevant appropriate authority is notified of a determination by the IPCC under paragraph (1), it shall record the matter under regulation 18 (recording etc. of conduct matters in other cases) as a conduct matter (and the other provisions of these Regulations shall apply in relation to that matter accordingly).

(3) Where a DSI matter is recorded under regulation 18 as a conduct matter by virtue of paragraph (2)—

(a) the person investigating the DSI matter shall (subject to any determination made by the IPCC under regulation 31(6) (power of the IPCC to determine the form of an investigation) investigate the conduct matter as if appointed or designated to do so, and

(b) the other provisions of these Regulations shall apply in relation to that matter accordingly.

Duties with respect to disciplinary proceedings

67

(1) This regulation applies where, in the case of any investigation, the relevant appropriate authority—

(a) has given, or is required to give, a notification under regulation 63(12) (action by the IPCC in response to an investigation report under regulation 62) of the action it is proposing to take in relation to the matters dealt with in any report of the investigation; or

(b) has submitted, or is required to submit, a memorandum to the IPCC under regulation 63 or 70 (appeals to the IPCC with respect to an investigation) setting out the action that it is proposing to take in relation to those matters.

(2) Subject to regulation 46 (restrictions on proceedings pending the conclusion of an investigation) and to any recommendations or directions under the following provisions of this regulation, it shall be the duty of the relevant appropriate authority—

(a) to take the action which has been or is required to be notified or, as the case may be, which is or is required to be set out in the memorandum; and

(b) in a case where that action consists of or includes the bringing of disciplinary proceedings, to secure that those proceedings, once brought, are proceeded with to a proper conclusion.

(3) Where this regulation applies by virtue of paragraph (1)(b), the IPCC may make a recommendation to the relevant appropriate authority in respect of any relevant officer, relevant official of the Secretary of State or official exercising customs revenue functions—

(a) that the person has a case to answer in respect of their conduct or has no case to answer in relation to their conduct to which the investigation related;

(b) that disciplinary proceedings are brought against that person in respect of the conduct to which the investigation related; or

(c) that any disciplinary proceedings brought against that person are modified so as to deal with such aspects of that conduct as may be so specified;

and it shall be the duty of the relevant appropriate authority to notify the IPCC whether it accepts the recommendation and (if it does) to set out in the notification the steps that it is proposing to take to give effect to it.

(4) If, after the IPCC has made a recommendation under this regulation, the relevant appropriate authority does not take steps to secure that full effect is given to the recommendation—

(a) the IPCC may direct the relevant appropriate authority to take steps for that purpose; and

(b) it shall be the duty of the relevant appropriate authority to comply with the direction.

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