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The Revenue and Customs (Complaints and Misconduct) Regulations 2010

Type Statutory-Instrument

Publication 2010-07-14

State In force

Department Queen's Printer of Acts of Parliament

Source legislation.gov.uk

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(2) Paragraphs (2) to (5) of regulation 45 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

48

(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) of the Police Act 1996[^f00011], 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 of the Trade Union and Labour Relations (Consolidation) Act 1992[^f00012] (person in police service excluded from definitions of “worker” and “employee”); or

(b) section 200 of the Employment Rights Act 1996[^f00013] (certain provisions of that Act not to apply to persons in police service).

(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

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(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 appropriate authority on its own behalf, or

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

(2) The IPCC—

(a) shall notify the appropriate authority, the complainant, any interested person within the meaning of regulation 55 (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 appropriate authority any documentation and evidence gathered during its investigations as will assist the appropriate authority to carry out its functions under these Regulations.

(3) But 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

50

(1) Subject to the provisions of this regulation, proceedings under these Regulations shall proceed without delay.

(2) In a case investigated by the IPCC or under the management of the IPCC, the IPCC may suspend any investigation or other procedure under these Regulations which would, if it were to continue, prejudice any criminal proceedings. Before referring a case to misconduct proceedings, the IPCC shall decide whether misconduct proceedings may prejudice any criminal proceedings.

(3) For any period during which the IPCC considers misconduct proceedings would prejudice any criminal proceedings, no such misconduct proceedings shall take place.

(4) Where a witness who is or may be a witness in any criminal proceedings is to be or may be asked to provide evidence in misconduct proceedings, the IPCC shall consult the relevant prosecutor (and when doing so must inform the prosecutor of the names and addresses of all such witnesses) before making a decision under paragraph (2).

(5) For the purposes of this regulation, “relevant prosecutor” means the Director of Public Prosecutions or any other person who has or is likely to have responsibility for criminal proceedings.

(6) In a case under the supervision of the IPCC or undertaken by the appropriate authority on its own behalf, the appropriate authority may, subject to paragraph (7), suspend any investigation or other procedure under these Regulations which would, if it were to continue, prejudice any criminal investigation or proceedings.

(7) The IPCC may direct that any investigation or other procedure under these Regulations which is liable to be suspended under paragraph (6) shall continue if it is of the view that it is in the public interest to make such a direction.

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

Resumption of investigation after criminal proceedings

51

(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 to be resumed, the IPCC or, as the case may be, the appropriate authority, shall take the steps set out in paragraph (2).

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

(4) If the complainant indicates that the complainant does not want the investigation to start or to be resumed, or if the complainant fails to reply within 21 days of the date of the letter to the complainant by the IPCC or the appropriate authority, the IPCC or the 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.

(5) If the IPCC or the 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.

(6) If the IPCC or the appropriate authority determines that it is in the public interest for the complaint to be treated as a recordable conduct matter, it shall be treated as such under these Regulations.

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

(8) But nothing in paragraph (7) shall require the IPCC or the 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

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(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 appropriate authority under regulation 66 (final reports on investigations: complaints, conduct matters and certain DSI matters) or 69 (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 relate 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.

PART 7 — PROVISION OF INFORMATION

Provision of information to the IPCC

53

(1) It shall be the duty of the Commissioners at such times, in such circumstances and in accordance with such other requirements as may be set out in these Regulations, to provide the IPCC with all such information and documents as may be specified or described in these Regulations.

(2) It shall also be the duty of the Commissioners—

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

(3) Anything falling to be provided, produced or delivered up by any person in pursuance of a requirement imposed under paragraph (2) 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.

(4) Nothing in this regulation shall require the Commissioners—

(a) 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 the Commissioners to do so; or

(b) to provide, produce or deliver up anything at all in a case in which it never becomes practicable for the Commissioners to do so.

(5) A requirement imposed under this regulation may authorise or require information or documents to which it relates to be provided to the IPCC electronically.

Duty to keep the complainant informed

54

(1) Subject to regulation 60, 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 of all the matters specified in paragraph (4) while the investigation is being carried out and subsequently.

(2) Subject to regulation 60, in any case in which there is an investigation of a complaint in accordance with the provisions of these Regulations—

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

(b) under the supervision of the IPCC,

it shall be the duty of the appropriate authority 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 specified in paragraph (4).

(3) Where paragraph (2) applies, it shall be the duty of the IPCC to give the 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 appropriate authority to comply with any direction so given.

(4) 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.

(5) 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 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

55

(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 an appropriate authority that that person is a person falling within paragraph (2) or (3); and

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

(5) In relation to a complaint, this section 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 of all the matters specified in paragraph (10) while the investigation is being carried out and subsequently.

(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 appropriate authority on its own behalf, or

(b) under the supervision of the IPCC,

it shall be the duty of the appropriate authority to provide the interested person with all such information as will keep the interested person properly informed of all the matters specified in paragraph (10) while the investigation is being carried out and subsequently.

(9) Where paragraph (8) applies, it shall be the duty of the IPCC to give the 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 appropriate authority to comply with any direction given to it under this paragraph.

(10) 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 appropriate authority has made a determination under regulation 36 (procedure where conduct matter is revealed during investigation of a DSI matter);

(d) whether any report has been submitted under regulation 66 or 69;

(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.

(11) The duties imposed by this regulation on the IPCC and the appropriate authority in relation to any complaint, recordable conduct matter or DSI matter shall be performed in such manner, and shall have effect subject to such exceptions, as may be provided for by regulation 60.

(12) Paragraph (5) of regulation 54 (duty to keep the complainant informed) applies for the purposes of this regulation as it applies for the purposes of that regulation.

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

Written notices

56

(1) If during the course of an investigation of a complaint or matter which falls to be determined under these Regulations it appears to the person investigating that there is an indication 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,

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

(2) The notification must—

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

(b) give the information about the effect of regulation 57 (duty to consider submissions from the person whose conduct is in question);

(c) set out the time limits for providing the person investigating the complaint or matter with relevant statements and relevant documents for the purposes of regulation 57(2);

(d) give such information that may be set out in guidance.

(3) Paragraphs (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 57 and 58, 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 conduct the investigation relates.

(5) In this regulation—

(a) “relevant document” means—

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

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

(b) “relevant statement” means an oral or written statement relating to any complaint or matter under investigation.

Duty to consider submissions from the person whose conduct is in question

57

(1) This regulation applies where a notification under regulation 56 (written notices) has been issued to the person whose conduct is in question.

(2) If before the expiry of the appropriate time limit notified in pursuance of regulation 56(2)—

(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 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 appropriate authority

58

(1) This regulation applies during the course of an investigation under these Regulations.

(2) The person investigating the complaint or matter must supply the appropriate authority with such information in that person’s possession as the appropriate authority may reasonably request for the purpose mentioned in paragraph (3).

(3) That purpose is determining whether the person whose conduct is in question should be, or should remain, suspended from duty.

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

59

(1) For the purposes of regulations 54(4) (duty to keep the complainant informed) and 55(10) (duty to provide information for other persons), the manner in which the IPCC or, as the case may be, an appropriate authority, shall perform the duties imposed by those regulations is as follows.

(2) The IPCC, in a case falling within regulation 54(1) or 55(7) (investigation of a complaint, conduct matter or DSI matter by or under the management of the IPCC), shall inform the complainant or, as the case may be, the interested person—

(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; and

(b) of any provisional findings 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) An appropriate authority, in a case falling within regulation 54(2) (duty to keep the complainant informed or 55(8) (duty to provide information for other persons), shall inform the complainant or the interested person (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; and

(b) of any provisional findings of the person carrying out the investigation as frequently as the appropriate authority determines 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 66 (final reports on investigations: complaints, conduct matters and certain DSI matters) is likely to be submitted; and

(b) of the date on which the notification under regulation 67(11) (action by the IPCC in response to an investigation report under regulation 66) or 68(12) (action by the appropriate authority in response to an investigation report under regulation 66) is likely to be given.

(5) In performing the duties imposed by regulations 54(1) and (2), 55(7) and (8), 67(11) and 68(12), the IPCC or, as the case may be, the appropriate authority, shall determine whether it is appropriate to offer, or to accede to a request for, a meeting with a complainant or, as the case may be, an interested person.

(6) As soon as practicable after any such meeting, the IPCC or, as the case may be, the appropriate authority, shall send to the complainant or interested person a written record of the meeting and an account of how any concerns of that person will be addressed.

(7) As soon as practicable after any misconduct hearing or other action that is taken in respect of the matters dealt with in any report submitted under regulation 66, the IPCC or, as the case may be, the 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.

(type=end slip=2012-09-01 time=13472698818188type=start slip=2012-09-01 time=1347269891428) If the IPCC or, as the case may be, the 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 appropriate authority, is suitable.

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

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(1) Subject to paragraph (2), the duties mentioned in regulation 54(1) and (2) (duty to keep the complainant informed), regulation 55(7) and (8) (duty to provide information for other persons) and in regulations 67(11) and 68(12) shall not apply in circumstances where in the opinion of the IPCC, or, as the case may be, of the 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; or

(i) is obtained from the Head of the Home Civil Service, the Chief Executive, the Commissioners or an officer, and

(ii) relates to a person whose identity is specified in the disclosure or can be deduced from it.

(2) Paragraph (1)(c) does not apply to any information relating to internal administrative arrangements of HMRC (whether relating to the Commissioners, officers or others).

(3) The IPCC or, as the case may be, the 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.

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

(5) Without prejudice to the generality of paragraph (1), the IPCC, or, as the case may be, the appropriate authority, shall consider whether the non-disclosure of information is justified under that paragraph 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.

Copies of complaints etc.

61

(1) Where a complaint is recorded under regulation 19(6) (initial handling and recording of complaints), the appropriate authority shall—

(a) supply to the complainant a copy of the record made of that complaint; and

(b) subject to paragraphs (2) to (4), supply to the person complained against a copy of the complaint.

(2) A copy of a complaint supplied under this regulation may be in a form which keeps anonymous the identity of the complainant or of any other person.

(3) The appropriate authority may decide not to supply such a copy of a complaint 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 the appropriate authority decides not to supply such a copy, it shall keep that decision under regular review.

Notification of actions and decisions

62

(1) So far as not covered by regulation 67(11) and (12) and regulation 74(11) and (12) (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 67(9) or regulation 74(3), it shall notify such action or decisions, together with an explanation of its reasons for having taken them, to—

(a) the appropriate authority;

(b) the complainant and any other interested person within the meaning of regulation 55(2) and (3); and

(2) 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

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(1) Where—

(a) the IPCC makes recommendations under regulation 71 (duties with respect to disciplinary proceedings) in the case of an investigation of a complaint, and

(b) the 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 55 of that fact and of the steps that have been, or are to be taken, by the appropriate authority to give effect to it.

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

(a) notifies the IPCC that it does not (either in whole or in part) accept recommendations made by the IPCC under regulation 71, 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 further steps (if any) 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 55—

(a) of any determination under paragraph (2) not to take further steps under regulation 71; and

(b) where it determines under that paragraph to take further steps under that regulation, of the outcome of the taking of those steps.

Register to be kept by the IPCC

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(1) The IPCC shall establish and maintain a register of all information supplied to it by the 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, 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 regulation60(1)(a) and (b) (exceptions to the duty to keep the complainant informed and to provide information for other persons).

Manner and time limits of notifications

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(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; and

(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 8 — REPORTS AND RECOMMENDATIONS

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

66

(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 44 (investigation by the appropriate authority on its own behalf) shall submit a report on that person’s investigation to the appropriate authority.

(3) A person appointed under regulation 45 (investigations supervised by the IPCC), 46 (investigations by a police force under the management or under the supervision of the IPCC), or 47 (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 appropriate authority.

(4) In relation to a matter that was formerly a DSI matter but has been recorded as a conduct matter in pursuance of regulation 36(5) (procedure where conduct matter is revealed during investigation of a DSI matter), the references in paragraphs (2) and (3) of this regulation to the appropriate authority are references to—

(a) the appropriate authority in relation to the DSI matter; and

(b) (where different) the appropriate authority in relation to the person whose conduct is in question.

(5) A person designated under regulation 48 (investigations by the IPCC itself) as the person in charge of an investigation by the IPCC itself shall submit a report on the investigation 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 the 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 57(1) (duty to consider submissions from the person whose conduct is in question) must supply the appropriate authority with such copies of further documents or other items in that person’s possession as the authority may request.

(8) The appropriate authority may only make a request under paragraph (7) 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 66

67

(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 66 (final report 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 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 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 the Director of Revenue and Customs Prosecutions of the determination and send the Director a copy of the report; and

(d) shall notify the appropriate authority and the persons mentioned in paragraph (7) of its determination under sub-paragraph (b) and of any action taken by it under sub-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 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 (7) 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 55 (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.

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

(a) determine—

(i) whether any officer (person whose conduct is in question) has a case to answer in respect of their conduct or has no case to answer, and

(ii) 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

(b) determine what other action (if any) the authority will in its discretion take in respect of those matters.

(9) On receipt of a notification under paragraph (8) the 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 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 appropriate authority has made the determinations under paragraph (8)(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 71 (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 55; 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 that regulation.

(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

(13) Regulation 60 shall have effect in relation to the duties imposed on the IPCC by paragraph (11) of this regulation.

(14) Except so far as may be otherwise provided by these Regulations, 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.

(15) In relation to a DSI matter in respect of which a determination has been made under regulation 36(2) or (4) (procedure where conduct matter is revealed during the investigation of a DSI matter), the references in this regulation to the appropriate authority are references to the appropriate authority in relation to the person whose conduct is in question.

Action by the appropriate authority in response to an investigation report under regulation 66

68

(1) This regulation applies where—

(a) a report of an investigation is submitted to the appropriate authority in accordance with regulation 66(2); or

(b) a copy of a report on an investigation carried out under the supervision of the IPCC is sent to the appropriate authority in accordance with regulation 66(3).

(2) On receipt of the report or (as the case may be) of the copy, the appropriate authority—

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

(b) 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 the Director a copy of the report; and

(c) shall notify the persons mentioned in paragraph (7) of its determination under sub-paragraph (a) and of any action taken by it under sub-paragraph (b).

(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 the circumstances are such that, in the opinion of the appropriate authority, 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 appropriate authority 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).

(6) It shall be the duty of the appropriate authority to notify the persons mentioned in paragraph(7) 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)(b).

(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 55 (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.

(8) In the case of a report falling within paragraph (1)(b) which relates to a recordable conduct matter, the appropriate authority shall also notify the IPCC of its determination under paragraph (2)(a).

(9) On receipt of such a notification that the appropriate authority has determined that the conditions in paragraphs (3) and (4) are not satisfied in respect of the report, the IPCC—

(a) shall make its own determination as to whether those conditions are so satisfied; and

(b) if it determines that they are so satisfied, shall direct the appropriate authority to notify the Director of Public Prosecutions or, as the case may be, the Director of Revenue and Customs Prosecutions of the IPCC’s determination and send the Director a copy of the report.

(10) It shall be the duty of the appropriate authority to comply with any direction given to it under paragraph (9)(b).

(11) On receipt of the report or (as the case may be) copy, the appropriate authority shall also—

(a) determine—

(i) 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, and

(ii) 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

(b) determine what other action (if any) the authority will in its discretion take in respect of those matters.

(12) On the making of the determinations under paragraph (11) the 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 55; 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 that regulation.

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

(a) the findings of the report;

(b) the determinations the authority has made under paragraph (11); and

(14) Regulation 60 shall have effect in relation to the duties imposed on the appropriate authority by paragraph (12) of this regulation.

(15) Except so far as may be otherwise provided by these Regulations, the 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 (12) notification of the findings of the report by sending that person a copy of the report.

(16) In relation to a DSI matter in respect of which a determination has been made under regulation 36(2) or (4), the references in this regulation to the appropriate authority are references to the appropriate authority in relation to the person whose conduct is in question.

Final reports on investigations: other DSI matters

69

(1) This regulation applies on the completion of an investigation of a DSI matter in respect of which neither the IPCC nor the appropriate authority has made a determination under regulation 36(2) or (4) (procedure where conduct matter is revealed during investigation of DSI matter).

(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 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 that report as that person thinks fit.

Action by the IPCC in response to an investigation report under regulation 69

70

(1) On receipt of the report referred to in regulation 69, the IPCC shall determine whether the report indicates that an officer may have—

(a) committed a criminal offence; or

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

(2) If the IPCC determines under paragraph (1) 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 (if any) under regulation 7 as it considers necessary or desirable.

(3) Paragraph (2) does not affect any power of the IPCC to make recommendations or give advice under regulation 7 in other cases (whether arising under these Regulations or otherwise).

(4) If the IPCC determines under paragraph (1) that the report indicates 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 notify the appropriate authority in relation to the person whose conduct is in question of its determination, and, if it appears that the appropriate authority has not already been sent a copy of the report, send a copy of the report to that authority.

(5) Where the appropriate authority in relation to the person whose conduct is in question is notified of a determination by the IPCC under paragraph (4), it shall record the matter under regulation 24 (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).

(6) Where a DSI matter is recorded under regulation 24 as a conduct matter by virtue of paragraph(5)—

(a) the person investigating the DSI matter shall (subject to any determination made by the IPCC under regulation 38(6) (power of the IPCC to determine the form of an investigation – further determination)) 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

71

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

(a) has given, or is required to give, a notification under regulation 68(12) (action by the appropriate authority in response to an investigation report under regulation 66) 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 67 (action by the IPCC in response to an investigation report under regulation 66) or 74 (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 52 (restrictions on proceedings pending the conclusion of an investigation) and to any recommendations or directions under this regulation, it shall be the duty of the 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 appropriate authority in respect of any person whose conduct is in question—

(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 of the form specified in the recommendation 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 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 appropriate authority does not take steps to secure that full effect is given to the recommendation—

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

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

(5) A direction under paragraph (4) may, to such extent as the IPCC thinks fit, set out the steps to be taken by the appropriate authority in order to give effect to the recommendation.

(6) Where the IPCC gives the appropriate authority a direction under this regulation, it shall supply the appropriate authority with a statement of its reasons for doing so.

(7) Where disciplinary proceedings have been brought in accordance with a recommendation or direction under this regulation, it shall be the duty of the authority to ensure that they are proceeded with to a proper conclusion.

(8) The IPCC may at any time withdraw a direction given under this regulation; and paragraph (7) shall not impose any obligation in relation to any time after the withdrawal of the direction.

(9) The appropriate authority shall keep the IPCC informed—

(a) in a case in which this regulation applies by virtue of paragraph (1)(b), of whatever action it takes in pursuance of its duty under paragraph (2); and

(b) in every case of a recommendation or direction under this regulation, of whatever action it takes in response to that recommendation or direction.

Complaints against a person whose identity is unascertained

72

(1) Where a complaint or conduct matter relates to the conduct of a person whose identity is unascertained at the time at which the complaint is made or the conduct matter is recorded, or whose identity is not ascertained during or subsequent to, the investigation of the complaint or recordable conduct matter, these Regulations shall apply in relation to such a person as if it did not include—

(a) any requirement for the person complained against to be given a notification or an opportunity to make representations;

(b) any requirement for the IPCC or the appropriate authority to determine whether a criminal offence may have been committed by the person whose conduct has been the subject-matter of an investigation, or to take any action in relation to such a determination;

(c) any requirement for an appropriate authority to determine whether disciplinary proceedings should be brought against a person whose conduct is the subject-matter of a report.

(2) Where the identity of such a person is subsequently ascertained, the IPCC and the appropriate authority shall take such action in accordance with these Regulations as they see fit, regardless of any previous action taken.

PART 9 — APPEALS

Appeals to the IPCC: failures to notify or record a complaint

73

(1) An appeal under regulation 21 (failures to notify or record a complaint) against any failure referred to in regulation 21(3) shall be made within 28 days of the date on which notification of that failure is made or sent to the complainant under regulation 21(2).

(2) Any such appeal shall be made in writing and shall state—

(a) details of the complaint;

(b) the date on which the complaint was made;

(c) the name of the Head of the Home Civil Service, the Chief Executive or the Commissioner (other than the Chairman, the Chief Executive and the Permanent Secretary) who gave notification of the failure;

(d) the grounds for the appeal; and

(e) the date on which the complainant was notified of the determination or of the failure to record the complaint.

(3) Where the IPCC receives such an appeal it shall—

(a) notify the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) concerned of the appeal, and

(b) request any information from any person which it considers necessary to dispose of the appeal.

(4) Where the IPCC receives an appeal which fails to comply with one or more of the requirements mentioned in paragraph (2), it may decide to proceed as if those requirements had been complied with.

(5) The Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) shall supply to the IPCC any information requested under paragraph (3)(b).

(6) The IPCC shall determine the outcome of the appeal as soon as practicable.

(7) The IPCC shall notify the complainant and the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) concerned of the reasons for its determination.

(8) The IPCC may extend the time period mentioned in paragraph (1) in any case where it is satisfied that by reason of the special circumstances of the case it is just to do so.

Appeals to the IPCC with respect to an investigation

74

(1) This regulation applies where a complaint has been subjected to—

(a) an investigation by the appropriate authority on its own behalf; or

(b) an investigation under the supervision of the IPCC.

(2) The complainant shall have the following rights of appeal to the IPCC—

(a) a right of appeal on the grounds that the complainant has not been provided with adequate information—

(i) about the findings of the investigation; or

(ii) about any determination of the appropriate authority relating to the taking (or not taking) of action in respect of any matters dealt with in the report on the investigation;

(b) a right of appeal against the findings of the investigation;

(c) a right of appeal against any determination by the appropriate authority that a person to whose conduct the investigation related has a case to answer in respect of that person’s conduct or has no case to answer;

(d) a right of appeal against any determination by the appropriate authority relating to the taking (or not taking) of action in respect of any matters dealt with in the report; and

(e) a right of appeal against any determination by the appropriate authority under regulation 68(2)(a) (action by the appropriate authority in response to an investigation report under regulation 66), as a result of which it is not required to send the Director of Public Prosecutions or, as the case may be, the Director of Revenue and Customs Prosecutions a copy of the report.

(3) On the bringing of an appeal under this regulation, the IPCC may require the appropriate authority to submit a memorandum to the IPCC which—

(a) sets out whether the appropriate authority has determined that a person to whose conduct the investigation related has a case to answer in respect of that person’s conduct or has no case to answer;

(b) if the appropriate authority is proposing to take any action, sets out what action it is proposing to take;

(c) if the appropriate authority has decided in relation to a person to whose conduct the investigation related, that disciplinary proceedings should not be brought against that person, sets out its reasons for so deciding; and

(d) if the appropriate authority made a determination under regulation 68(2)(a) as a result of which it is not required to send the Director of Public Prosecutions or, as the case may be, the Director of Revenue and Customs Prosecutions, a copy of the report relating to the investigation, sets out the reasons for that determination;

and it shall be the duty of the appropriate authority to comply with any requirement under this paragraph.

(4) Where the IPCC so requires on the bringing of any appeal under this regulation in the case of an investigation by the appropriate authority on its own behalf, the appropriate authority shall provide the IPCC with a copy of the report of the investigation.

(5) On an appeal under this regulation, the IPCC shall determine such of the following as it considers appropriate in the circumstances—

(a) whether the complainant has been provided with adequate information about the matters mentioned in paragraph (2)(a);

(b) whether the findings of the investigation need to be reconsidered; and

(i) has made such a determination as is mentioned in paragraph (3)(a) that the IPCC considers to be appropriate in respect of matters dealt with in the report, and

(ii) has determined that it is required to or will, in its discretion, take the action (if any) that the IPCC considers to be so appropriate; and

(d) whether the conditions set out in regulation 68(3) and (4) are satisfied in respect of the report on the investigation.

(6) Where, on an appeal under this regulation, the IPCC determines that the complainant has not been provided with adequate information about any matter, the IPCC shall give the appropriate authority all such directions as the IPCC considers appropriate for securing that the complainant is properly informed.

(7) Nothing in paragraph (6) shall authorise the IPCC to require the disclosure of any information the disclosure of which to the appellant has been or is capable of being withheld by virtue of regulation 60.

(8) Where, on an appeal under this regulation, the IPCC determines that the findings of the investigation need to be reconsidered, it shall either—

(a) review those findings without an immediate further investigation; or

(b) direct that the complaint be re-investigated.

(9) Where, on an appeal under this regulation, the IPCC determines that the appropriate authority has not made a determination as to whether there is a case for a person to whose conduct the investigation related to answer that the IPCC considers appropriate or has not determined that it is required to or will, in its discretion, take the action in respect of the matters dealt with in the report that the IPCC considers appropriate, the IPCC shall—

(a) determine, in the light of that determination, whether or not to make recommendations under regulation 71 (duties with respect to disciplinary proceedings); and

(b) make such recommendations (if any) under that regulation as it thinks fit.

(10) Where, on an appeal under this regulation, the IPCC determines that the conditions set out in regulation 68(3) and (4) are satisfied in respect of the report, it shall direct the appropriate authority—

(a) to notify the Director of Public Prosecutions or, as the case may be, the Director of Revenue and Customs Prosecutions, of the IPCC’s determination; and

(b) to send the Director a copy of the report.

(11) The IPCC shall give notification of any determination under this regulation—

(a) to the appropriate authority;

(b) to the complainant;

(c) to every person entitled to be kept properly informed in relation to the complaint under regulation 55 (duty to provide information for other persons); and

(d) except in a case where it appears to the IPCC that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.

(12) The IPCC shall also give notification of any directions given to the appropriate authority under this regulation—

(a) to the complainant;

(b) to every person entitled to be kept properly informed in relation to the complaint under regulation 55; and

(c) except in a case where it appears to the IPCC that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.

(13) It shall be the duty of the appropriate authority to comply with any directions given to it under this regulation.

(14) Any appeal made by a complainant under this regulation shall be made within 28 days of the date on which the appropriate authority sends a notification to the complainant of its determination under regulation 68(12) as to what action (if any) it will take in respect of the matters dealt with in the investigation report.

(15) Any such appeal shall be in writing and shall state—

(a) details of the complaint;

(b) the date on which the complaint was made;

(d) the date on which the complainant received notification under regulation 68(12).

(16) Where the IPCC receives such an appeal, it shall request any information from any person which it considers necessary to dispose of the appeal.

(17) Where the IPCC receives an appeal which fails to comply with one or more of the requirements mentioned in paragraph (15), it may decide to proceed as if those requirements had been complied with.

(18) The appropriate authority shall supply to the IPCC any further information requested of it under paragraph (16).

(19) The IPCC shall determine the outcome of the appeal as soon as practicable.

(20) The IPCC shall notify the complainant and the appropriate authority of the reasons for its determination.

(21) The IPCC may extend the time period mentioned in paragraph (14) in any case where it is satisfied that by reason of the special circumstances of the case it is just to do so.

Reviews and re-investigations following an appeal

75

(1) On a review under regulation 74(8)(a) (appeals to the IPCC with respect to an investigation) of the findings of an investigation, the powers of the IPCC shall be, according to its determination on that review, to do one or more of the following—

(a) to uphold the findings in whole or in part;

(b) to give the appropriate authority such directions as the IPCC thinks fit—

(i) as to the carrying out by the appropriate authority of its own review of the findings,

(ii) as to the information to be provided to the complainant, and

(iii) generally as to the handling of the matter in future;

(2) Where the IPCC directs under regulation 74 or paragraph (1) that a complaint be re-investigated, it shall make a determination of the form that the re-investigation should take.

(3) Paragraphs (3) to (8) of regulation 38 (power of the IPCC to determine the form of an investigation) shall apply in relation to a determination under paragraph (2) as they apply in the case of a determination under that regulation.

(4) The provisions of these Regulations shall apply in relation to any re-investigation in pursuance of a direction under regulation 74(9) or paragraph (1) as they apply in relation to any investigation in pursuance of a determination under regulation 38.

(5) The IPCC shall give notification of any determination made by it under this regulation—

(a) to the appropriate authority;

(b) to the complainant;

(c) to every person entitled to be kept properly informed in relation to the complaint under regulation 55 (duty to provide information for other persons); and

(d) except in a case where it appears to the IPCC that to do so might prejudice any proposed re-investigation of the complaint, to the person complained against.

(6) The IPCC shall also give notification of any directions given to the appropriate authority under this regulation—

(a) to the complainant;

(b) to every person entitled to be kept properly informed in relation to the complaint under regulation 55; and

(c) except in a case where it appears to the IPCC that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.

Signed

Michael Fabricant — James Duddridge — Two of the Lords Commissioners of Her Majesty’s Treasury — 14th July 2010

Explanatory note

(This note is not part of the Regulations)

EXPLANATORY NOTE

These Regulations restate, with certain amendments, the effect of the Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311) as amended by the Revenue and Customs (Complaints and Misconduct) (Amendment) Regulations 2006 (S.I. 2006/1748).

The effect of these Regulations is to restate the legislation relating to the handling of complaints and misconduct insofar as that legislation is modified to confer functions on the Independent Police Complaints Commission (“IPCC”) in relation to Her Majesty’s Revenue and Customs (“HMRC”).

The relevant legislation is-

The Police Reform Act 2002 (2002 c. 30) (as amended).

The Police (Complaints and Misconduct) Regulations 2004 (S.I. 2004/643) (as amended).

The Independent Police Complaints Commission (Investigatory Powers) Order 2004 (S.I. 2004/815) (as amended).

The Independent Police Complaints Commission (Staff Conduct) Regulations 2004 (S.I. 2004/660) (as amended).

These Regulations consolidate and arrange the substance of the previous legislation as follows-

Part 1 General.

Part 2 Complaints & Misconduct.

Part 3 Handling of Complaints & Conduct matters etc.

Part 4 Referral of matters to the IPCC.

Part 5 Handling Death and Serious Injury (DSI).

Part 6 Investigations.

Part 7 Provision of Information.

Part 8 Reports & Recommendations.

Part 9 Appeals.

These Regulations have been updated to include the amendments made to Schedule 3 to the Police Reform Act 2002 by Schedule 23 to the Criminal Justice and Immigration Act 2008 (c. 4) and the Serious Organised Crime and Police Act 2005 (c. 15). In addition to minor amendments made for greater clarity and for consistency, the Regulations make the following changes of substance.

The definitions of two new posts, “the Chief Executive” and “the Permanent Secretary for Tax” are inserted in regulation 3 (interpretation). This is to take account of the revised structuring of the organisation of HMRC which in turn has led to a revision in the structure of the appropriate authority in relation to HMRC complaints and misconduct matters. This re-structuring is reflected in the body of the Regulations. Where a reference to “the Commissioners” is not a reference to them acting in their capacity as the appropriate authority, that expression is defined to include the posts of the Chairman, the Chief Executive and the Permanent Secretary for Tax.

For the purposes of these Regulations, “relevant offence” has been defined in regulation 3.

In regulation 24 (recording etc of conduct matters in other cases) the definition of a conduct matter has been amended for clarity and now refers to a “relevant offence”. The regulation provides a clearer outline of what amounts to discriminatory behaviour.

In regulation 27 (recording and reference of conduct matters) the timescales for referral to the IPCC have been included.

Paragraph (4) of regulation 54 (duty to keep the complainant informed) sets out the duty of the IPCC to inform the complainant of the outcome of disciplinary proceedings.

Regulation 55 (duty to provide information for other persons) is limited to matters which are subject to investigation under the scrutiny of the IPCC.

Regulation 56 (written notices), 57 (duty to consider submissions from the person whose conduct is in question) and 58 (duty to provide certain information to appropriate authority) have been inserted following amendments made by Schedule 23 to the Criminal Justice and Immigration Act 2008, but restricted to matters referable to the IPCC.

Regulation 68 (action by appropriate authority in response to an investigation report under regulation 66 (final reports on investigations: complaints, conduct matters and certain DSI matters)) gives effect to Schedule 23 to the Criminal Justice and Immigration Act 2008 which amends Schedule 3 to the Police Reform Act 2002. The amendments set out the action the appropriate authority must or may take following the outcome of an investigation and its determination on whether there is a case to answer.

Regulation 74(2)(e) gives a complainant a right of appeal to the IPCC against a determination made by the appropriate authority under regulation 68(2)(a).

A full Impact Assessment has not been produced for this instrument as no impact on the private or voluntary sectors is foreseen.

Footnotes

[^f00001]: 2005 c. 11.

[^f00002]: S.I. 2005/3311.

[^f00004]: 2002 c. 30. The 2002 Act has been amended by a number of amendments.

[^f00005]: 1980 c. 43. Section 33 has been amended by sections 17(3)(b) and 101(1) of, and Schedule 4 Part II and paragraph 6 of Schedule 12 to, the Criminal Justice Act 1991 (c. 53); sections 2(3)(a) and (b) of the Aggravated Vehicle-Taking Act 1992 (c. 11) ; sections 165 and 168(1) of, and paragraph 65 of Schedule 9 to, the Powers of the Criminal Courts (Sentencing) Act 2000 (c. 6).

[^f00006]: Section 22 has been amended by section 160 of, and paragraphs 1 and 8 of Schedule 12 to, the Serious Organised Crime and Police Act 2005 (c. 15); and section 6(1) of, and paragraph 11 of Schedule 4 to, the Police and Justice Act 2006 (c. 48).

[^f00007]: Section 22(3) has been amended by section 160 of, and paragraph 11 of Schedule 4 to, the Police and Justice Act 2006.

[^f00008]: Section 23 has been amended by section 160 of and paragraphs 1 and 9 of Schedule 12 to the Serious Organised Crime and Police Act 2005; and section 127 of, and paragraphs 1 and 2 of Schedule 23 to, the Criminal Justice and Immigration Act 2008 (c. 4).

[^f00009]: Section 23(2) has been amended by section 160 of, and paragraphs 1 and 9 of Schedule 12 to, the Serious Organised Crime and Police Act 2005; and section 127 of, and paragraphs 1 and 2 of Schedule 23 to, the Criminal Justice and Immigration Act 2008.

[^f00010]: Section 24 has been amended by section 6(1) of, and paragraph 12 of Schedule 4 to, the Police and Justice Act 2006.

[^f00011]: 1996 c. 16. Section 97(8) has been amended by section 134(1) of, and paragraph 86(4) of Schedule 9 to the Police Act 1997 (c. 50); and sections 102 and 138(2) of, and paragraph 7(3)(b) of Schedule 4 to, the Criminal Justice and Police Act 2001 (c. 16).

[^f00012]: 1992 c. 52.

[^f00013]: 1996 c. 18. Section 200 has been amended by section 37(2) of, and Schedule 8 to, the 2002 Act.

[^f00014]: Section 22(2) has been amended by section 160 of, and paragraphs 1 and 8 of Schedule 12 to, the Serious Organised Crime and Police Act 2005.

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