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The National Crime Agency (Complaints and Misconduct) Regulations 2013

Type Statutory-Instrument

Publication 2013-09-09

Last updated 2018-01-08

State In force

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Made: 9th September 2013

Laid before Parliament: 16th September 2013

Coming into force: 7th October 2013

In accordance with section 63(3)(b) of the Police Act 1996[^f00002], the Secretary of State supplied a draft of these Regulations to the Police Advisory Board of England and Wales and has taken into consideration their representations before making these Regulations.

PART 1 — Introductory

Citation, commencement and extent

1

(1) These Regulations may be cited as the National Crime Agency (Complaints and Misconduct) Regulations 2013 and come into force on 7th October 2013.

(2) These Regulations extend to England and Wales.

Interpretation

2

(1) In these Regulations—

“the 2002 Act” means the Police Reform Act 2002;

“the 2013 Act” means the Crime and Courts Act 2013[^f00003];

“appropriate authority” means—in relation to a person serving with the NCA, or in relation to any complaint, conduct matter or investigation relating to the conduct of such a person—if that person is the Director General, the Permanent Secretary to the Home Office; andif that person is an NCA Officer, the Director General; andin relation to a death or serious injury (DSI) matter—if the relevant officer is the Director General, the Permanent Secretary to the Home Office; andif the relevant officer is an NCA officer, the Director General,but in relation to a person who has been seconded to the NCA to serve as an NCA officer under paragraph 13 of Schedule 1 to the 2013 Act—in a case of a person serving with the police, references to the appropriate authority mean the appropriate authority as defined in section 29(1) of the 2002 Act; andin any other case, references to the appropriate authority are references to the person who but for the secondment would have direction and control of the person who has been seconded;

“bank holiday” means a day which is a bank holiday under the Banking and Financial Dealings Act 1971[^f00004] in England and Wales;

“complainant” shall be construed in accordance with regulation 8(2);

“complaint” has the same meaning as in regulation 8;

“conduct” includes acts, omissions, statements and decisions (whether actual, alleged or inferred);

“conduct matter” has the same meaning as in regulation 8;

“death or serious injury matter” or “DSI matter” has the same meaning as in regulation 8;

“Director General” has the same meaning as in section 16 of the 2013 Act;

“disciplinary proceedings” in relation to the Director General or an NCA officer means any proceedings or management process in accordance with which the conduct of a person is considered in order to determine whether it is misconduct or gross misconduct and if so whether, as a result, any action is to be taken in relation to it;

“HMIC” means Her Majesty’s Inspectors of Constabulary;

“investigator” means a person appointed or designated to investigate under regulations 41 to 44;

“IOPC” means the Independent Office for Police Conduct;

“IOPC DG” means the Director General of the Independent Office for Police Conduct;

“local resolution”, in relation to a complaint, means the handling of that complaint in accordance with a procedure which—does not involve a formal investigation; andis laid down in regulation 26 for complaints which it has been decided, in accordance with regulation 24, to subject to local resolution;

“NCA” means the National Crime Agency;

“NCA friend” means a person chosen by the person concerned in accordance with regulation 53;

“NCA officer” means—an NCA officer appointed under paragraph 9 of Schedule 1 to the 2013 Act;a person who has been seconded to the NCA to serve as an NCA officer under paragraph 13 of Schedule 1 to the 2013 Act; andan NCA special;

“NCA special” has the same meaning as in paragraph 15 of Schedule 1 to the 2013 Act;

“NCA standards” means the behaviours and standards in accordance with which an NCA officer is required to comply under NCA conduct and performance policies;

“person complained against”, in relation to a complaint, means the person whose conduct is the subject-matter of the complaint;

“recordable conduct matter” means a conduct matter that is required to be recorded by the appropriate authority under regulation 28 or 29 or has been so recorded;

“relevant appeal body” means a body within the meaning of regulation 83(1);

“relevant offence” means—an offence for which the sentence is fixed by law, oran offence for which a person of 18 years or over (not previously convicted) may be sentenced to imprisonment for a term of seven years (or might be so sentenced but for the restrictions imposed by section 33 of the Magistrates’ Courts Act 1980[^f00005]);

“relevant officer”, in relation to a DSI matter, means the Director General or an NCA officer—who arrested the person who has died or suffered serious injury;in whose custody that person was at the time of the death or serious injury; orwith whom that person had the contact in question,

and where there is more than one such person it means the one who so dealt with the person who died or suffered serious injury last before the death or serious injury occurred (but where it cannot be determined which of the Director General or any NCA officer who dealt with a person last before a death or serious injury occurred, the most senior of them).

“senior officer” means an NCA officer of at least Grade 1;

“serious injury” means a fracture, a deep cut, a deep laceration or an injury causing damage to an internal organ or the impairment of any bodily function;

“trade union” has the same meaning as in sections 1 and 119 of the Trade Union and Labour Relations (Consolidation) Act 1992[^f00006];

“unsatisfactory performance proceedings”, in relation to the Director General or an NCA officer, means any proceedings or management process in accordance with which the performance of the Director General or an NCA officer is considered in order to determine whether it is unsatisfactory or whether, as a result, any action is to be taken in relation to it;

“working day” means any day other than a Saturday or Sunday or a day which is a bank holiday or public holiday in England and Wales.

(2) In relation to a person who has been seconded to the NCA to serve as an NCA officer under paragraph 13 of Schedule 1 to the 2013 Act, the appropriate authority may arrange for the Permanent Secretary to the Home Office or the Director General to carry out the functions of the appropriate authority as if the person in relation to whom the complaint or other matter relates was an NCA officer otherwise than by virtue of having been seconded to the NCA under paragraph 13 of Schedule 1 to the 2013 Act.

Revocation and transitional provisions

3

(1) Subject to paragraphs (2) and (3), the agreement made under section 26A of the 2002 Act shall cease to have effect.

(2) Paragraph (3) applies to a matter which came to the attention of the preceding appropriate authority before 7th October 2013.

(3) In relation to a matter to which this paragraph applies—

(a) nothing in these Regulations shall apply;

(b) the agreement made under section 26A of the 2002 Act shall continue to have effect in relation to that matter; and

(i) by the Permanent Secretary to the Home Office instead of by the Chairman of the Serious Organised Crime Agency acting with at least one ordinary member, or

(ii) by the Director General instead of by the Director General of the Serious Organised Crime Agency.

(4) In this regulation—

(a) “preceding appropriate authority”, in relation to a member of the staff of the Serious Organised Crime Agency, means—

(i) if the staff member is the Director General of the Serious Organised Crime Agency or another ex-officio member, or a Deputy Director, the Chairman of the Serious Organised Crime Agency acting with at least one ordinary member, or

(ii) in any other case, the Director General of the Serious Organised Crime Agency;

(b) references to the “Serious Organised Crime Agency”, “Director General of the Serious Organised Crime Agency”, “ex-officio member”, “ordinary member”, “Deputy Director” and “Chairman of the Serious Organised Crime Agency” have the same meanings as in section 1 of and Schedule 1 to the Serious Organised Crime and Police Act 2005[^f00007].

PART 2 — Complaints and Misconduct

Application: general

4

These Regulations shall apply for the purposes of conferring functions on the IOPC DG in relation to the exercise of functions by the Director General and any NCA officer.

Application of the 2002 Act

5

(1) Sections 9 (the Independent Office for Police Conduct), 19 (use of investigatory powers by or on behalf of the IOPC DG), 22 (power of the IOPC DG to issue guidance), 24 (consultation on regulations) and any regulations made under section 27 (conduct of the Office’s staff) of, and Schedule 2 to, the 2002 Act shall apply to the Director General and an NCA officer with the following modifications.

(2) Section 22 of the 2002 Act shall apply as if—

(a) for subsection (1) there were substituted—

(1) The IOPC DG may issue guidance— (a) to the Permanent Secretary to the Home Office; (b) to the Director General; and (c) to any other person the IOPC DG sees fit, concerning the exercise or performance, by the persons to whom the guidance is issued, of any of the powers or duties specified in subsection (2)

(b) in subsection (2)(b)(iii) for “persons serving with the police” there were substituted “the Director General or NCA officers”;

(3) Before issuing any guidance under this section, the IOPC DG shall consult with— (a) the Permanent Secretary to the Home Office; (b) the Director General; and (c) any other person the IOPC DG sees fit.

(3) Section 24 of the 2002 Act shall apply as if—

(a) at the end of paragraph (a) there were inserted “and the NCA”; and

(b) paragraphs (b), (ba), (bb) and (c) were omitted.

General functions of the Commission under these Regulations

6

(1) The functions of the IOPC DG shall be—

(a) to secure the maintenance by the IOPC DG itself, and by the permanent Secretary to the Home Office and Director General, of suitable arrangements with respect to the matters mentioned in paragraph (2);

(b) to keep under review all arrangements maintained with respect to those matters;

(c) to secure that arrangements maintained with respect to those matters comply with the requirements of the provisions of these Regulations, are efficient and effective and contain and manifest an appropriate degree of independence;

(d) to secure that public confidence is established and maintained in the existence of suitable arrangements with respect to those matters and with the operation of the arrangements that are in fact maintained with respect to those matters;

(e) to make such recommendations, and to give such advice, for the modification of the arrangements maintained with respect to those matters, and also with respect to the practice of the NCA in relation to other matters, as appear, from the carrying out by the IOPC DG of the IOPC DG’s other functions, to be necessary or desirable.

(2) Those matters are—

(a) the handling of complaints made about the conduct of the Director General or an NCA officer;

(b) the recording of matters from which it appears that there may have been conduct by such persons which constitutes or involves the commission of a criminal offence or behaviour justifying disciplinary proceedings;

(c) the recording of matters from which it appears that a person has died or suffered serious injury during, or following, contact with the Director General or an NCA officer;

(d) the manner in which any such complaints or any such matters as are mentioned in paragraph (b) or (c) are investigated or otherwise handled and dealt with.

(3) It shall be the duty of the IOPC DG—

(a) to exercise the powers and perform the duties conferred on the IOPC DG by the following provisions of these Regulations in the manner that the IOPC DG considers best calculated for the purpose of securing the proper carrying out of the IOPC DG’s functions under paragraph (1); and

(b) to secure that arrangements exist which are conducive to, and facilitate, the reporting of misconduct by persons in relation to whose conduct the IOPC DG has functions.

(4) It shall also be the duty of the IOPC DG—

(a) to enter into arrangements with the chief inspector of constabulary for the purpose of securing co-operation, in the carrying out of their respective functions, between the IOPC DG and the inspectors of the constabulary; and

(b) to provide those inspectors with all such assistance and co-operation as may be required by those arrangements, or as otherwise appears to the IOPC DG to be appropriate, for facilitating the carrying out by those inspectors of their functions.

(4A) In carrying out functions under these Regulations the IOPC DG shall have regard to any advice provided to the IOPC DG by the IOPC (see regulation 6A(1)(a)).

(5) Subject to the other provisions of these Regulations, the IOPC DG may do anything which appears to the IOPC DG to be calculated to facilitate, or is incidental or conducive to, the carrying out of the IOPC DG’s functions under these Regulations.

(6) The IOPC may, in connection with the making of any recommendation or the giving of any advice to any person for the purpose of carrying out the IOPC DG’s functions under paragraph (1)(c), (d) or (e) impose any such charge on that person for anything done by the IOPC DG for the purposes of, or in connection with, the carrying out of that function as the IOPC DG thinks fit.

Reports to the Secretary of State

7

(1) As soon as practicable after the end of each of the IOPC’s financial years, the IOPC DG and the IOPC shall jointly make a report to the Secretary of State on the carrying out of their functions under these Regulations during that year.

(2) The IOPC DG shall also make such reports to the Secretary of State about matters relating generally to the carrying out of the IOPC DG’s functions under these Regulations as the Secretary of State may, from time to time, require.

(3) The IOPC DG may, from time to time, make such other reports to the Secretary of State as the IOPC DG considers appropriate for drawing the Secretary of State’s attention to matters which—

(a) have come to the IOPC DG’s notice; and

(b) are matters that the IOPC DG considers should be drawn to the Secretary of State’s attention by reason of their gravity or of other exceptional circumstances.

(4) The IOPC DG shall prepare such reports containing advice and recommendations as the IOPC DG thinks appropriate for the purpose of carrying out the IOPC DG’s function under regulation 6(1)(e) (general functions of the IOPC DG).

(5) Where the Secretary of State receives any report under this regulation, the Secretary of State shall—

(a) in the case of every annual report under paragraph (1), and

(b) in the case of any other report, if and to the extent that the Secretary of State considers it appropriate to do so,

lay a copy of the report before Parliament and cause the report to be published.

(6) The IOPC shall send a copy of every annual report under paragraph (1), and the IOPC DG shall send a copy of every report under paragraph (3)—

(a) to the Permanent Secretary to the Home Office;

(b) to the Director General; and

(7) The IOPC DG shall send a copy of every report under paragraph (4) to—

(a) the Secretary of State;

(b) the Permanent Secretary to the Home Office;

(d) the NCA.

(8) The IOPC DG shall send a copy of every report under paragraph (3) or (4) to such of the persons (in addition to those specified in the preceding paragraphs) who—

(a) are referred to in the report, or

(b) appear to the IOPC DG otherwise to have a particular interest in its contents,

as the IOPC DG thinks fit.

Complaints, matters and persons to which these Regulations apply

8

(1) In these Regulations references to a complaint are references (subject to the following provisions of this regulation) to any complaint about the conduct of the Director General or an NCA officer (whether in writing or otherwise) by—

(a) a member of the public who claims to be the person in relation to whom the conduct took place;

(b) a member of the public not falling within sub-paragraph (a) who claims to have been adversely affected by the conduct;

(d) a person acting on behalf of a person falling within any of sub-paragraphs (a) to (c).

(2) References in these Regulations, in relation to anything which is or purports to be a complaint, to the complainant are references—

(a) except in the case of anything which is or purports to be a complaint falling within paragraph (1)(d), to the person by whom the complaint or purported complaint was made; and

(b) in that case, to the person on whose behalf the complaint or purported complaint was made,

but where any person is acting on another’s behalf for the purposes of any complaint or purported complaint, anything that is to be or may be done under these Regulations or in relation to the complainant may be done instead by or in relation to the person acting on the complainant’s behalf.

(3) Subject to paragraph (4), references in these Regulations, in relation to any conduct or anything purporting to be a complaint about any conduct, to a member of the public include references to the Director General and an NCA officer (whether at the time of the conduct or at any subsequent time).

(4) In these Regulations references, in relation to any conduct or anything purporting to be a complaint about any conduct, to a member of the public do not include references to the Director General or an NCA officer (“the relevant person”) where—

(a) at the time when the conduct is supposed to have taken place, the person whose conduct would otherwise than under this paragraph have given rise to the complaint was—

(i) in relation to the Director General, an NCA officer, or

(ii) in relation to an NCA officer, the Director General or another NCA officer; and

(b) the relevant person was on duty in that person’s capacity as the Director General or an NCA officer.

(5) For the purposes of these Regulations, a person is adversely affected if that person suffers any form of loss or damage, distress or inconvenience, if the person is put in danger or is otherwise unduly put at risk of being adversely affected.

(6) In these Regulations “conduct matter” means (subject to the following provisions of this regulation, section 28A of the 2002 Act and any regulations made under it, and any regulations made by virtue of section 23(2)(d) of the 2002 Act) any matter which is not and has not been the subject of a complaint but in the case of which there is an indication (whether from the circumstances or otherwise) that the Director General or an NCA officer may have—

(a) committed a criminal offence; or

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

(7) In these Regulations “death or serious injury matter” (or “DSI matter” for short) means (subject to section 28A of the 2002 Act and any regulations made under it) any circumstances (other than those which are or have been the subject of a complaint or which amount to a conduct matter)—

(a) in or in consequence of which a person has died or has sustained serious injury; and

(b) in relation to which the requirements of either paragraph (8) or (9) are satisfied.

(8) The requirements of this paragraph are that at the time of the death or serious injury the person—

(a) had been arrested by the Director General or an NCA officer and had not been released from that arrest; or

(b) was otherwise detained in the custody of the Director General or an NCA officer.

(9) The requirements of this paragraph are that—

(a) at or before the time of the death or serious injury the person had contact (of whatever kind, and whether direct or indirect) with the Director General or an NCA officer who was acting in the execution of the Director General’s or NCA officer’s duties; and

(b) there is an indication that the contact may have caused (whether directly or indirectly) or contributed to the death or serious injury.

(10) In paragraph (7) the reference to a person includes the Director General or an NCA officer, but in relation to such a person “contact” in paragraph (9) does not include contact that the person has whilst acting in the execution of that person’s duties.

(11) The complaints that are complaints for the purposes of these Regulations by virtue of paragraph (1)(b) do not, except in a case falling within paragraph (12), include any made by or on behalf of a person who claims to have been adversely affected as a consequence only of having seen or heard the conduct, or any of the alleged effects of the conduct.

(12) A case falls within this paragraph if—

(a) it was only because the person in question was physically present, or sufficiently nearby, when the conduct took place or the effects occurred that the person was able to see or hear the conduct or its effects; or

(b) the adverse effect is attributable to, or was aggravated by, the fact that the person in relation to whom the conduct took place was already known to the person claiming to have suffered the adverse effect.

(13) For the purposes of this regulation a person shall be taken to have witnessed conduct if, and only if—

(a) the person’s knowledge of that conduct was acquired in a manner which would make that person a competent witness capable of giving admissible evidence of that conduct in criminal proceedings; or

(b) the person has possession or control of anything which would in any such proceedings constitute admissible evidence of that conduct.

(14) For the purposes of these Regulations a person falling within paragraph 1(a) to (c) shall not be taken to have authorised another person to act on that person’s behalf unless—

(a) the person so acting is for the time being designated for the purposes of this regulation by the IOPC DG as a person through whom complaints may be made, or is of a description of persons so designated; or

(b) the person so acting has been given, and is able to produce, the written consent of the person on whose behalf the person is taking action.

General duties of the Permanent Secretary, Director General and inspectors

9

(1) It shall be the duty of—

(a) the Permanent Secretary to the Home Office,

(b) the Director General, and

to ensure that they are each kept informed, in relation to the NCA, about all matters falling within paragraph (2).

(2) Those matters are—

(a) matters with respect to which any provision of these Regulations has effect;

(b) anything which is done under or for the purposes of any such provision; and

(c) any obligations to act or refrain from acting that have arisen by or under these Regulations but have not yet been complied with, or have been contravened.

(3) Paragraph (4) applies in a case where it appears to the Permanent Secretary to the Home Office that—

(a) an obligation to act or refrain from acting has arisen by or under these Regulations;

(b) that obligation is an obligation of the Director General; and

(4) The Permanent Secretary to the Home Office may direct the Director General to take such steps as the Permanent Secretary thinks appropriate.

(5) The Director General must comply with any direction given under paragraph (4).

(6) Where—

(a) the Permanent Secretary to the Home Office requires the Director General or the chief officer of a police force to provide an NCA officer or a member of a police force for appointment under regulation 41, 42 or 43; or

(b) the Director General requires the chief officer of a police force to provide a member of that force for appointment under any of those regulations,

it shall be the duty of the Director General or the chief officer to whom the requirement is addressed to comply with it.

(7) It shall be the duty of—

(a) the Permanent Secretary to the Home Office, and

(b) the Director General,

to provide the IOPC DG and every member of the IOPC’s staff with all such assistance as the IOPC DG or that member of staff may reasonably require for the purposes of, or in connection with, the carrying out of any investigation by the IOPC DG under these Regulations.

(8) It shall be the duty of—

(a) the Permanent Secretary to the Home Office; and

(b) the Director General,

to ensure that a person appointed under regulation 41, 42 or 43 to carry out an investigation is given all such assistance and co-operation in the carrying out of that investigation as that person may reasonably require.

(9) The duties imposed by paragraphs (7) and (8) on the Permanent Secretary to the Home Office and Director General have effect—

(a) irrespective of whether the investigation relates to the conduct of a person who is or has been an NCA officer; and

(b) irrespective of who has the person appointed to carry out the investigation under that person’s direction and control,

but a chief officer of a third force may be required to give assistance and co-operation under paragraph (8) only with the approval of the chief officer of the force to which the person who requires it belongs.

(10) In paragraph (9) “third force”, in relation to an investigation, means a police force other than—

(a) the force to which the person carrying out the investigation belongs; or

(b) the force to which the person whose conduct is under investigation belonged at the time of the conduct,

and where the person whose conduct is under investigation was an NCA officer at the time of the conduct, “third force” means any police force other than the force to which the person carrying out the investigation belongs.

(11) Where the person who requires assistance and co-operation under paragraph (8) is an NCA officer, a chief officer of a third force may be required to give that assistance and co-operation only with the approval of the Director General.

(12) Where—

(a) the person carrying out an investigation is not an NCA officer; and

(b) the person whose conduct is under investigation was not an NCA officer at the time of the conduct,

the NCA may be required to give assistance and co-operation under paragraph (8) only with the approval of the relevant directing officer.

(13) In paragraph (12) “the relevant directing officer”, in a case where the person who requires assistance and co-operation belongs to a police force, means the chief officer of that force.

Payment for assistance with investigations

10

(1) This regulation applies where—

(a) a police force is required to provide assistance in connection with an investigation under these Regulations; or

(b) a police force is required to provide the IOPC DG with assistance in connection with an investigation.

(2) For the purposes of this regulation—

(a) assistance is required to be provided by a police force in connection with an investigation under these Regulations if the chief officer of that force complies with a requirement under regulation 9(6) that is made in connection with—

(i) an investigation relating to the conduct of a person who, at the time of the conduct, was the Director General or an NCA officer; or

(ii) an investigation of a DSI matter in relation to which the relevant officer was, at the time of the death or serious injury, the Director General or an NCA officer.

(3) Where the assistance is required to be provided by a police force to the appropriate authority, the appropriate authority shall pay to the local policing body maintaining that force such contribution (if any) towards the costs of the assistance—

(a) as may be agreed between them; or

(b) in the absence of an agreement, as may be determined in accordance with any arrangements which—

(i) have been agreed to by local policing bodies generally and the appropriate authority; and

(ii) are for the time being in force with respect to the making of contributions towards the costs of assistance provided, in connection with investigations under these Regulations; or

(4) Where the assistance is required to be provided by a police force to the IOPC DG, the IOPC shall pay to the local policing body maintaining that force such contribution (if any) towards the costs of the assistance—

(a) as may be agreed between the IOPC DG and that body; or

(b) in the absence of an agreement, as may be determined in accordance with any arrangements which—

(i) have been agreed to by the local policing bodies generally and the IOPC DG; and

(ii) are for the time being in force with respect to the making of contributions towards the costs of assistance provided, in connection with investigations under these Regulations, to the IOPC DG; or

(5) This regulation shall have effect in relation to cases in which assistance is to be provided by the Permanent Secretary to the Home Office or the Director General as if—

(a) the reference in paragraph (3)(b) to local policing bodies generally included a reference to the NCA; and

(b) the reference in paragraph (4)(b) to local policing bodies generally were a reference to the NCA.

Provision of information to the Commission

11

(1) It shall be the duty of the Director General or an NCA officer—

(a) to provide the IOPC DG with all such information and documents specified or described in a notification given by the IOPC DG to the Director General or an NCA officer; and

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

as appear to the IOPC DG to be required by the IOPC DG for the purposes of the carrying out of any of the IOPC DG’s 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 IOPC DG to that person for the purposes of this paragraph.

(3) Nothing in this regulation shall require the Director General or an NCA officer—

(a) to provide the IOPC DG 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 Director General or an NCA officer 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 Director General or an NCA officer to do so.

(4) A requirement imposed by any notification under this regulation may authorise or require information or documents to which it relates to be provided to the IOPC DG electronically.

(5) Where the IOPC DG or any person acting on the IOPC DG’s behalf obtains information from the Director General or an NCA officer in the course of performing a function under these Regulations, that information—

(a) may not be used for any purpose other than in the performance of a function under these Regulations or as otherwise prescribed by law; and

(b) may not be disclosed except as permitted under these Regulations or as otherwise prescribed by law.

Inspection of premises on behalf of the Commission

12

(1) Where—

(a) the IOPC DG requires—

(i) the Permanent Secretary to the Home Office, or

(ii) the Director General,

to allow a person nominated for the purpose by the IOPC DG to have access to any premises occupied for the purpose of the NCA and to documents or other things on those premises; and

(b) the requirement is imposed for any of the purposes mentioned in paragraph (2),

it shall be the duty of the Permanent Secretary or the Director General to secure that the required access is allowed to the nominated person.

(2) Those purposes are—

(a) the purposes of any examination by the IOPC DG of the efficiency and effectiveness of the arrangements made by the NCA for handling complaints or dealing with recordable conduct matters or DSI matters;

(b) the purposes of any investigation by the IOPC DG under these Regulations or of any investigation carried out under the IOPC DG’s supervision or management.

(3) A requirement imposed under this regulation for the purposes mentioned in paragraph (2)(a) must be notified to the Permanent Secretary or Director General at least 48 hours before the time at which access is required.

(4) Where—

(a) a requirement imposed under this regulation for the purposes mentioned in paragraph (2)(a) requires access to any premises, document or thing to be allowed to any person; and

(b) there are reasonable grounds for not allowing that person to have the required access at the time at which access is sought,

the obligation to secure that the required access is allowed shall have effect as an obligation to secure that the access is allowed to that person at the earliest practicable time after there cease to be any such grounds as that person may specify.

(5) The provisions of this regulation are in addition to, and without prejudice to—

(a) the rights of entry, search and seizure that are or may be conferred on—

(i) a person designated for the purposes of regulation 44 (investigations by the IOPC DG ...); or

(ii) any person who otherwise acts on behalf of the IOPC DG,

in that person’s capacity as a constable or as a person with the powers and privileges of a constable; or

(b) the obligations of the Permanent Secretary to the Home Office and Director General under regulations 9 and 11.

Duty to keep the complainant informed

13

(1) Subject to regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons), in any case in which there is an investigation of a complaint in accordance with the provisions of these Regulations—

(a) by the IOPC DG; or

(b) under the IOPC DG’s management,

it shall be the duty of the IOPC DG 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 (4).

(2) Subject to regulation 16, 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 IOPC DG,

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 mentioned in paragraph (4).

(3) Where paragraph (2) applies, it shall be the duty of—

(a) the IOPC DG to give the appropriate authority all such directions as the IOPC DG considers appropriate for securing that that authority complies with its duty under that paragraph; and

(b) the appropriate authority to comply with any direction given to it under this paragraph.

(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;

(c) whether any report has been submitted under regulation 57 (final reports on investigations: complaints, conduct matters and certain DSI matters);

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

(e) the outcome of any action.

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

Duty to provide information for other persons

14

(1) A person has an interest in being kept properly informed about the handling of a complaint, 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 IOPC DG 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; or

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

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

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

(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, conduct matter or DSI matter if—

(a) the IOPC DG or the appropriate authority consider that that person has an interest in the handling of the complaint, recordable 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 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) Subject to regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons), in any case in which there is an investigation of a complaint, recordable conduct matter or DSI matter in accordance with the provisions of these Regulations—

(a) by the IOPC DG; or

(b) under the IOPC DG’s management,

it shall be the duty of the IOPC DG 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 (10).

(8) Subject to regulation 16, in any case in which there is an investigation of a 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 IOPC DG,

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, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (10).

(9) Where paragraph (8) applies, it shall be the duty of—

(a) the IOPC DG to give the appropriate authority all such directions as the IOPC DG considers appropriate for securing that that authority complies with its duty under that paragraph; and

(b) 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 IOPC DG or the appropriate authority has made a determination under regulation 34 (procedure where conduct matter is revealed during investigation of a DSI matter);

(d) whether any report has been submitted under regulation 66 (final reports on investigations: complaints, conduct matters and certain DSI matters) and regulation 69 (final reports on investigations: other DSI matters);

(e) the action (if any) the IOPC DG has taken in respect of any of the matters dealt with in any such report; and

(f) the outcome of any action.

(11) Regulation 13(5) (duty to keep the complainant informed) applies for the purposes of this regulation as it applies for the purposes of that regulation.

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

Manner in which duties to provide information are to be performed

15

(1) For the purposes of regulations 13 and 14 (duties to keep complainant and other persons informed), the manner in which the IOPC DG or, as the case may be, an appropriate authority shall perform the duties imposed by those regulations is as follows.

(2) The IOPC DG, in a case falling within regulation 13(1) or 14(7) (investigation of a complaint, conduct matter or DSI matter by or under the management of the IOPC DG), 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;

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

(3) An appropriate authority, in a case falling within regulation 13(2) or 14(8) (investigation of a complaint, conduct matter or DSI matter by an appropriate authority on its own behalf or under the supervision of the IOPC DG), 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.

(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) or 68(12) (action by the IOPC DG or appropriate authority in response to an investigation report) is likely to be given.

(5) In performing the duties imposed by regulations 13(1) and (2), 14(7) and (8), 67(11) or 68(12), the IOPC DG 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 IOPC DG 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 the conclusion of any disciplinary proceedings or unsatisfactory performance proceedings that are taken in respect of the matters dealt with in any report submitted under regulation 57, the appropriate authority shall notify any complainant and any interested person of the outcome of those proceedings, including the fact and outcome of any appeal against the outcome of the proceedings.

(8) If the IOPC DG 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 IOPC DG or, as the case may be, the appropriate authority is suitable.

(9) Any notification under this regulation shall be given in writing, except in a case where the notification is given at a meeting held in consequence of a determination under paragraph (5) or it is given by means other than writing in accordance with paragraph (8).

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

16

(1) Subject to paragraph (2), the duties mentioned in regulation 13(1) and (2) (duty to keep the complainant informed), regulation 14(7) and (8) (duty to provide information for other persons), regulation 67(11) and regulation 68(12) (action by the IOPC DG or appropriate authority in response to an investigation report) shall not apply in circumstances where in the opinion of the IOPC DG, 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.

(2) The IOPC DG or, as the case may be, the appropriate authority shall not conclude that the non-disclosure of information is necessary under paragraph (1) unless the IOPC DG or, as the case may be, the appropriate authority 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) Without prejudice to the generality of paragraph (1), the IOPC DG 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 or unsatisfactory performance 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.

PART 3 — Handling of complaints

Duties to preserve evidence relating to complaints

17

(1) Where a complaint is made about the conduct of the Director General, it shall be the duty of the Permanent Secretary to the Home Office to secure that all such steps as are appropriate for the purposes of these Regulations are taken, both initially and from time to time, for obtaining and preserving evidence relating to the conduct complained of.

(2) Where—

(a) a complaint is made to the Director General about the conduct of an NCA officer; or

(b) the Director General becomes aware that a complaint about the conduct of an NCA officer has been made to the IOPC DG or the Permanent Secretary to the Home Office,

the Director General shall take all such steps as appear to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of.

(3) The Director General’s duty under paragraph (2) must be performed as soon as practicable after the complaint is made or, as the case may be, the Director General becomes aware of it.

(4) After that, the Director General shall be under a duty, until satisfied that it is no longer necessary to do so, to continue to take the steps which from time to time appear to the Director General to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of.

(5) It shall be the duty of the Permanent Secretary to the Home Office to comply with all such directions as may be given by the IOPC DG in relation to the performance of the Permanent Secretary’s duty under paragraph (1).

(6) It shall be the duty of the Director General to take all such specific steps for obtaining or preserving evidence relating to any conduct that is the subject-matter of a complaint as the Director General may be directed to take for the purposes of this regulation by the Permanent Secretary to the Home Office.

Initial handling and recording of complaints

18

(1) Where a complaint is made to the IOPC DG, the IOPC DG shall give notification of the complaint to the appropriate authority.

(2) But the IOPC DG need not give that notification if the IOPC DG considers that there are exceptional circumstances that justify it not being given.

(3) Where a complaint is made to the Permanent Secretary to the Home Office, the Permanent Secretary shall—

(a) determine whether or not the Permanent Secretary is the appropriate authority; and

(b) if the Permanent Secretary determines that the appropriate authority is another person, give notification of the complaint to that person.

(4) Where a complaint is made to the Director General, the Director General shall—

(a) determine whether or not the Director General is the appropriate authority; and

(b) if the Director General determines that the appropriate authority is another person, give notification of the complaint to that person.

(5) Where the IOPC DG, the Permanent Secretary to the Home Office or the Director General gives notification of a complaint under any of paragraphs (1) to (4), the person who gave the notification shall notify the complainant that the notification has been given and of what it contained.

(6) Where—

(a) the Permanent Secretary to the Home Office determines, in the case of any complaint made to the Permanent Secretary, that the Permanent Secretary is the appropriate authority;

(b) the Director General determines, in the case of any complaint made to the Director General, that the Director General is the appropriate authority; or

the Permanent Secretary or the Director General shall record the complaint.

(7) Nothing in this regulation shall require the notification or recording by any person of any complaint about any conduct if—

(a) that person is satisfied that the subject-matter of the complaint has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person whose conduct it was; or

(b) the complaint has been withdrawn.

(8) Nothing in this regulation shall require the recording by any person of any complaint about any conduct if that person considers that the complaint falls within a description of complaints specified in regulation 20(recording of complaints).

Copies of complaints etc

19

(1) Where a complaint is recorded under regulation 18(6), 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) An 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 an appropriate authority decides not to supply such a copy, it shall keep that decision under regular review.

Recording of complaints

20

(1) For the purposes of regulation 18(8) (descriptions of complaint not required to be recorded) the complaints set out in paragraph (2) are hereby specified.

(2) Those complaints are complaints in the case of which the appropriate authority considers that—

(a) the matter is already the subject of a complaint made by or on behalf of the same complainant;

(b) the complaint discloses neither the name and address of the complainant nor that of any other interested person and it is not reasonably practicable to ascertain such a name or address;

(d) the complaint is repetitious; or

(e) the complaint is fanciful.

(3) For the purposes of paragraph (2)(d) a complaint is repetitious if, and only if—

(a) it concerns substantially the same conduct as a previous conduct matter or it is substantially the same as a previous complaint made by or on behalf of the same complainant;

(b) it contains no fresh allegations which significantly affect the account of the conduct complained of;

(c) no fresh evidence, being evidence which was not reasonably available at the time the previous complaint was made, is tendered in support of it; and

(d) as respects the previous complaint or conduct matter, either—

(i) the complaint was locally resolved in accordance the provisions in regulation 26;

(ii) the complaint was handled otherwise than in accordance with these Regulations or no action was taken in relation to it, in accordance with regulation 23(2) or (3) (disapplication of requirements of these Regulations);

(iii) the IOPC DG gave the appropriate authority a direction under regulation 38 (power to discontinue an investigation);

(iv) the appropriate authority disapplied the requirements of these Regulations in accordance with regulation 38(13)(b);

(v) the complainant gave such notification as is mentioned in regulation 39(1); or

(vi) the requirements of regulation 58(9) or 59(11) (determination by the appropriate authority of what action to take) were complied with.

(4) For the purposes of paragraph (2)(e) a complaint is fanciful if, and only if, no reasonable person could lend any credence to it.

Failures to notify or record a complaint

21

(1) This regulation applies where anything which is or purports to be a complaint in relation to which regulation 18 has effect is received by the Permanent Secretary to the Home Office or the Director General (whether in consequence of having been made directly or of a notification under that regulation).

(2) If the Permanent Secretary to the Home Office or the Director General decides not to take action under regulation 18 for notifying or recording the whole or any part of what has been received, the Permanent Secretary to the Home Office or the Director General shall notify the complainant of the following matters—

(a) the decision to take no action and, if that decision relates to only part of what was received, the part in question;

(b) the grounds on which the decision was made; and

(3) Subject to paragraph 4,the complainant shall have a right of appeal to the IOPC DG against any failure by the Permanent Secretary to the Home Office or the Director General to make a determination under regulation 18 or to notify or record anything under that regulation.

(4) The complainant has no right of appeal under paragraph (3) if—

(a) by virtue of regulation 18(7), there is no requirement to record the complaint; or

(b) the appeal relates to a failure by the Permanent Secretary to the Home Office.

(5) On an appeal under this regulation, the IOPC DG shall—

(a) determine whether any action under regulation 18 should have been taken in the case in question; and

(b) if the IOPC DG finds in the complainant’s favour, give such directions as the IOPC DG considers appropriate to the Permanent Secretary to the Home Office or the Director General as to the action to be taken for making a determination, or for notifying or recording what was received,

and it shall be the duty of the Permanent Secretary to the Home Office or the Director General to comply with any directions given under sub-paragraph (b).

(6) Directions under paragraph (5)(b) may require action taken in pursuance of the directions to be treated as taken in accordance with any such provision of regulation 18 as may be specified in the direction.

(7) The IOPC DG —

(a) shall give notification to the Permanent Secretary to the Home Office or the Director General and the complainant of any determination made by it under this regulation; and

(b) shall give notification to the complainant of any direction given by it under this regulation to the Permanent Secretary to the Home Office or the Director General.

Reference of complaints to the Commission

22

(1) It shall be the duty of the appropriate authority to refer a complaint to the IOPC DG if—

(a) the complaint is one alleging that the conduct complained of has resulted in death or serious injury;

(b) the complaint does not fall within sub-paragraph (a) but is one alleging conduct which constitutes—

(i) a serious assault, as defined in guidance issued by the IOPC DG[^f00008];

(ii) a serious sexual offence, as defined in guidance issued by the IOPC DG;

(iii) serious corruption, as defined in guidance issued by the IOPC DG;

(iv) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which in either case was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status identified in guidance by the IOPC DG;

(v) a relevant offence;

(c) the complaint arises from the same incident as one in which any conduct falling within sub-paragraph (a) or (b) is alleged; or

(d) the complaint is one in respect of which the IOPC DG notifies the appropriate authority that the IOPC DG requires the complaint in question to be referred to the IOPC DG for the IOPC DG’s consideration.

(2) In a case where there is no obligation under paragraph (1) to make a reference, the appropriate authority may refer a complaint to the IOPC DG if that authority considers that it would be appropriate to do so by reason of—

(a) the gravity of the subject-matter of the complaint; or

(b) any exceptional circumstances.

(3) In a case in which a reference under paragraph (1) or (2) is neither made nor required to be made, the Permanent Secretary to the Home Office may refer a complaint to the IOPC DG if—

(a) it is one in relation to which the Director General is the appropriate authority; and

(b) the Permanent Secretary considers that it would be appropriate to do so by reason of—

(i) the gravity of the subject-matter of the complaint; or

(ii) any exceptional circumstances.

(4) Where a complaint is required to be referred to the IOPC DG under paragraph (1)(a), (b) or (c), notification of the complaint shall be given to the IOPC DG—

(a) without delay and in any event not later than the end of the day following the day on which it first becomes clear to the appropriate authority that the complaint is one to which that sub-paragraph applies; and

(b) in such manner as the IOPC DG specifies.

(5) Where a complaint is required to be referred to the IOPC DG under paragraph (1)(d), notification of the complaint shall be given to the IOPC DG—

(a) without delay and in any event not later than the end of the day following the day on which the IOPC DG notifies the appropriate authority that the complaint is to be referred; and

(b) in such manner as the IOPC DG specifies.

(6) Subject to paragraph (8), the following powers—

(a) the power of the IOPC DG by virtue of paragraph (1)(d) to require a complaint to be referred to the IOPC DG; and

(b) the power of the Permanent Secretary to the Home Office or the Director General to refer a complaint to the IOPC DG under paragraph (2) or (3),

shall each be exercisable at any time irrespective of whether the complaint is already being investigated by any person or has already been considered by the IOPC DG.

(7) The Permanent Secretary to the Home Office or the Director General who refers a complaint to the IOPC DG under this regulation shall give a notification of the making of the reference—

(a) to the complainant; and

(b) except in a case where it appears to the Permanent Secretary to the Home Office or the Director General that to do so might prejudice a possible future investigation of the complaint, to the person complained against.

(8) A complaint that has already been referred to the IOPC DG under this regulation on a previous occasion—

(a) shall not be required to be referred again under this regulation unless the IOPC DG so directs; and

(b) shall not be referred in exercise of any power conferred by this regulation unless the IOPC DG consents.

Duties of the Commission on references under regulation 22

23

(1) It shall be the duty of the IOPC DG in the case of every complaint referred to the IOPC DG by the Permanent Secretary to the Home Office or the Director General, to determine whether or not it is necessary for the complaint to be investigated.

(2) Where the IOPC DG determines under this regulation that it is not necessary for a complaint to be investigated, the IOPC DG may, if the IOPC DG thinks fit, refer the complaint back to the appropriate authority to be dealt with by that authority in accordance with regulation 24.

(3) Where the IOPC DG refers a complaint back under paragraph (2), the IOPC DG shall give a notification of the making of the reference back—

(a) to the complainant; and

(b) except in a case where it appears to the IOPC DG that to do so might prejudice a possible future investigation of the complaint, to the person complained against.

Handling of complaints by the appropriate authority

24

(1) This regulation applies where a complaint has been recorded by the appropriate authority.

(2) But this regulation does not apply to a complaint if it is one that has been, or must be, referred to the IOPC DG under regulation 22, unless the complaint is for the time being—

(a) referred back to the authority under regulation 23; or

(b) the subject of a determination under regulation 38.

(3) Subject to regulation 25, the appropriate authority shall determine whether or not the complaint is suitable for being subjected to local resolution.

(4) If the appropriate authority determines that the complaint is suitable for being subjected to local resolution, it shall make arrangements for it to be so subjected.

(5) If the appropriate authority determines that the complaint is not so suitable, it shall make arrangements for the complaint to be investigated by the authority on its own behalf.

(6) A determination that a complaint is suitable for being subjected to local resolution may not be made unless—

(a) the appropriate authority is satisfied that the conduct complained of (even if it were proved) would not justify the bringing of any criminal or disciplinary proceedings against the person whose conduct is complained of; and

(b) the appropriate authority is satisfied that the conduct complained of (even if it were proved) would not involve the infringement of a person’s rights under Article 2 or 3 of the Convention (within the meaning of the Human Rights Act 1998[^f00009]).

(7) In a case where this regulation applies to a complaint by virtue of paragraph (2)(b), a determination that the complaint is suitable for being subjected to local resolution may not be made unless the IOPC DG approves the determination.

(8) No more than one application may be made to the IOPC DG for the purposes of paragraph (9) in respect of the same complaint.

(9) Paragraph (9) (where applicable) is in addition to paragraphs (6) to (8).

Disapplication of requirements of these Regulations

25

(1) If, in a case in which regulation 24 applies, the appropriate authority considers—

(a) that it should handle the complaint otherwise than in accordance with these Regulations or should take no action in relation to it; and

(b) that the complaint falls within a description of complaints specified in paragraph (7),

the appropriate authority may handle the complaint in whatever manner (if any) that authority thinks fit.

(2) But, in a case where regulation 24 applies by virtue of regulation 24(2)(a) or (b), the appropriate authority may not handle the complaint in whatever manner (if any) the authority thinks fit unless—

(a) the authority applies to the IOPC DG, in accordance with these Regulations, for permission to so handle the complaint; and

(b) the IOPC DG gives permission.

(3) An application under paragraph (2) for permission to handle a complaint in whatever manner (if any) an appropriate authority thinks fit shall be in writing and shall be accompanied by—

(a) a copy of the complaint;

(b) an explanation of the appropriate authority’s reasons for making the application; and

(c) copies of any other documents or material in the possession of the appropriate authority which are relevant to the complaint.

(4) The appropriate authority shall supply any further information requested by the IOPC DG for the purpose of considering an application by that authority made under paragraph (1).

(5) Where such an application is made to the IOPC DG, the IOPC DG shall—

(a) consider the application and determine whether to grant the permission applied for; and

(b) notify the IOPC DG’s decision to the appropriate authority and the complainant.

(6) Where an application is made under this paragraph in respect of any complaint, the appropriate authority shall not, while the application is being considered by the IOPC DG, take any action in accordance with the provisions of these Regulations (other than under regulation 17) in relation to that complaint.

(7) For the purposes of paragraph (1)(b), the description of complaints are any one in relation to which the appropriate authority considers that—

(a) more than 12 months have elapsed between the incident, or the latest incident, giving rise to the complaint and the making of the complaint and either that no good reason for the delay has been shown or that injustice would be likely to be caused by the delay;

(b) the matter is already the subject of a complaint made by or on behalf of the same complainant;

(c) the complaint discloses neither the name and address of the complainant nor that of any other interested person and it is not reasonably practicable to ascertain such a name or address;

(d) the complaint is vexatious, oppressive or otherwise an abuse of the procedures for dealing with complaints;

(e) the complaint is repetitious, as defined in regulation 20(3); or

(f) it is not reasonably practicable to complete the investigation of the complaint or any other procedures under these Regulations.

(8) For the purposes of paragraph (7)(f) it is not reasonably practicable to complete the investigation of a complaint or any other procedures under these Regulations if, and only if—

(a) it is not reasonably practicable to communicate with the complainant or a person acting on his behalf; or

(b) it is not reasonably practicable to complete a satisfactory investigation in consequence of—

(i) a refusal or failure, on the part of the complainant, to make a statement or afford other reasonable assistance for the purposes of the investigation; or

(ii) the lapse of time since the event or events forming the subject-matter of the complaint.

(9) In this regulation any reference to action not being reasonably practicable shall include a reference to action which it does not appear reasonably practicable to take within a period which is reasonable in all the circumstances of the case.

(10) Before deciding to handle a complaint in whatever manner (if any) it thinks fit in accordance with paragraph (1), the appropriate authority shall—

(a) write to the complainant at the complainant’s last known address—

(i) inviting the complainant to make representations in relation to the matter; and

(ii) allowing the complainant a period of 28 days, commencing on the day after the date of the letter, to do so; and

(b) have regard to any representations made by the complainant.

(11) The appropriate authority shall notify the complainant—

(a) that the appropriate authority has decided to handle the complaint as permitted by paragraph (1) (in a case where the appropriate authority is not required to apply for permission under paragraph (2) to so handle the complaint); or

(b) about the making of the application under paragraph (2) (in a case where the appropriate authority makes such an application).

(12) Where the complaint is to be handled in whatever manner (if any) the appropriate authority thinks fit (whether or not the IOPC DG’s permission is needed), the authority—

(a) shall not be required by virtue of any of the provisions of these Regulations (other than regulation 17) to take any action in relation to the complaint; and

(b) may handle the complaint in whatever manner it thinks fit, or take no action in relation to the complaint, and for the purposes of handling the complaint may take any step that it could have taken, or would have been required to take, if it were not proceeding in accordance with this regulation.

(13) Where the appropriate authority applies to the IOPC DG under paragraph (2) and the IOPC DG determines that no permission should be granted—

(a) the IOPC DG shall refer the matter back to the appropriate authority for the making of a determination under regulation 24(3); and

(b) the authority shall then make that determination.

(14) No more than one application may be made to the IOPC DG under this regulation in respect of the same complaint.

(15) The complainant shall have a right of appeal to the relevant appeal body against any decision by the appropriate authority under this regulation to handle the complaint otherwise than in accordance with these Regulations or to take no action in relation to it.

(16) But the complainant has no right of appeal in a case in which the appeal relates to a decision for which the IOPC DG has given permission under this regulation.

(17) On an appeal under this paragraph, subject to paragraphs (18) and (19), the relevant appeal body shall—

(a) determine whether any decision taken by the appropriate authority under this regulation should have been taken in the case in question; and

(b) if the relevant appeal body finds in the complainant’s favour, give such directions as the relevant appeal body thinks appropriate to the Permanent Secretary to the Home Office or the Director General as to the action to be taken for handling the complaint in accordance with these Regulations or handling it otherwise than in accordance with these Regulations;

and it shall be the duty of the Permanent Secretary to the Home Office or the Director General to comply with any directions given under sub-paragraph (b).

(18) Paragraph (17) does not apply in a case where the Director General is—

(a) the person in respect of whose decision the appeal is made under this regulation, and

(b) the relevant appeal body in relation to the appeal.

(19) In such a case—

(a) the appeal shall determine whether any decision taken by the appropriate authority under this paragraph should have been taken in the case in question; and

(b) if the appeal finds in the complainant’s favour, the Director General must take such action as the Director General thinks appropriate for handling the complaint in accordance with these Regulations or handling it otherwise than in accordance with these Regulations.

Local resolution of complaints

26

(1) The arrangements made by the appropriate authority for subjecting any complaint to local resolution may include the appointment of a person who is an NCA officer to secure the local resolution of the complaint.

(2) The procedures that are to be available for dealing with a complaint which is to be subjected to local resolution are, subject to the provisions of this regulation, any procedures which are approved by the IOPC DG.

(3) Where it appears to the appointed person that the complaint had in fact already been satisfactorily dealt with at the time it was brought to his notice, the appointed person may, subject to any representation by the complainant, treat it as having been locally resolved.

(4) The appointed person shall as soon as practicable give the complainant and the person complained against an opportunity to comment on the complaint.

(5) The appointed person shall not, for the purpose of locally resolving a complaint, tender on behalf of the person complained against an apology for that person’s conduct unless the person complained against has agreed to the apology.

(6) Where a complaint has been dealt with by way of local resolution, a record shall be made as soon as practicable of the outcome of the procedure and a copy of the record sent to the complainant and the person complained against.

(7) At the time of sending a copy of the record of outcome to the complainant under paragraph (6), the appropriate authority shall notify the complainant in writing of the complainant’s right of appeal against that outcome under regulation 27 (appeals relating to complaints dealt with other than by investigation), unless paragraph (2) of that regulation applies.

(8) In this regulation, “the appointed person” means a person appointed under paragraph (1) to secure the local resolution of a complaint.

(9) A statement made by any person for the purposes of the local resolution of any complaint shall not be admissible in any subsequent criminal, civil or disciplinary proceedings except to the extent that it consists of an admission relating to a matter that has not been subjected to local resolution.

(10) If, after attempts have been made to resolve a complaint using local resolution, it appears to the appropriate authority—

(a) that the resolution of the complaint in that manner is impossible; or

(b) that the complaint is, for any other reason, not suitable for such resolution,

it shall make arrangements for the complaint to be investigated by that authority on its own behalf.

(11) The local resolution of any complaint shall be discontinued if—

(a) any arrangements are made under paragraph (9);

(b) the IOPC DG notifies the appropriate authority that the IOPC DG requires the complaint to be referred to the IOPC DG under regulation 22; or

(12) A person who has participated in any attempt to resolve a complaint using local resolution shall be disqualified for appointment under any provision of these Regulations to investigate that complaint, or to assist with the carrying out of the investigation of that complaint.

Appeals relating to complaints dealt with other than by investigation

27

(1) The complainant shall have a right of appeal to the relevant appeal body against the outcome of any complaint that is—

(a) subjected to local resolution; or

(b) handled otherwise than in accordance with these Regulations.

(2) On an appeal under this regulation, subject to paragraphs (3) and (4), the relevant appeal body shall—

(a) determine whether the outcome of the complaint is a proper outcome; and

(b) if the relevant appeal body finds in the complainant’s favour, give such directions as the relevant appeal body thinks appropriate to the appropriate authority as to the action to be taken in relation to the complaint’

and it shall be the duty of the appropriate authority to comply with any directions given under paragraph (b).

(3) Paragraph (2) does not apply in a case where the Director General is the relevant appeal body in relation to the appeal.

(4) In such a case—

(a) the appeal shall determine whether the outcome of the complaint is a proper outcome; and

(b) if the appeal finds in the complainant’s favour, the Director General must take such action as the Director General thinks appropriate in relation to the complaint.

PART 4 — Handling of conduct matters

Conduct matters arising in civil proceedings

28

(1) This regulation applies where—

(a) the Permanent Secretary to the Home Office and the Director General has received notification (whether or not under this regulation) that civil proceedings relating to any matter have been brought by a member of the public against the Secretary of State, NCA or Director General, or it otherwise appears to the appropriate authority that such proceedings are likely to be so brought; and

(b) it appears to the Permanent Secretary to the Home Office and the Director General (whether at the time of the notification or at any time subsequently) that those proceedings involve or would involve a conduct matter.

(2) The Permanent Secretary to the Home Office or Director General—

(a) shall consider whether it is the appropriate authority in relation to the conduct matter in question; and

(b) if it is not, shall notify the person who is the appropriate authority about the proceedings, or the proposal to bring them, and about the circumstances that make it appear as mentioned in paragraph (1)(b).

(3) Where the Permanent Secretary to the Home Office or Director General determines for the purposes of this paragraph that one of them is the appropriate authority in relation to any conduct matter, the appropriate authority shall determine whether the matter is one which that authority is required to refer to the IOPC DG under regulation 32 or is one which it would be appropriate to so refer.

(4) In a case where the appropriate authority determines that the matter is one which it is required to refer to the IOPC DG under regulation 32, or is one which it would be appropriate to so refer, it shall record the matter.

(5) In any other case, the appropriate authority shall determine whether the matter is repetitious within the meaning of regulation 30.

(6) In a case where the appropriate authority determines that the matter is not repetitious within the meaning of regulation 30, it shall record the matter.

(7) In any other case, the appropriate authority may (but need not) record the matter.

(8) In a case where the appropriate authority—

(a) records a matter under this regulation; and

(b) is not required to refer the matter to the IOPC DG under regulation 32 and does not do so,

the appropriate authority may deal with the matter in such other manner (if any) as it may determine.

(9) Nothing in paragraph (4) or (6) shall require the appropriate authority to record any conduct matter if it is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates.

(10) For the purposes of this regulation civil proceedings involve a conduct matter if—

(a) they relate to such a matter; or

(b) they are proceedings that relate to a matter in relation to which a conduct matter, or evidence of a conduct matter, is or may be relevant.

Recording etc. of conduct matters in other cases

29

(1) This paragraph applies where—

(a) a conduct matter comes (otherwise than as mentioned in regulation 28) to the attention of the Permanent Secretary to the Home Office and the Director General; and

(b) it appears to the appropriate authority that the conduct involved in that matter falls within paragraph (2).

(2) Conduct falls within this paragraph if (assuming it to have taken place)—

(a) it appears to have resulted in the death of any person or in serious injury to any person;

(b) a member of public has been adversely affected by it; or

(3) The following descriptions of conduct are specified for the purposes of paragraph (2)—

(a) a serious assault, as defined in guidance issued by the IOPC DG;

(b) a serious sexual offence, as defined in guidance issued by the IOPC DG;

(d) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which in either case was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status identified in guidance by the IOPC DG;

(e) a relevant offence;

(f) conduct whose gravity or other exceptional circumstances make it appropriate to record the matter in which the conduct is involved; or

(g) conduct which is alleged to have taken place in the same incident as one in which conduct within sub-paragraph (a) to (f) is alleged.

(4) The appropriate authority must determine whether the matter is one which it is required to refer to the IOPC DG under regulation 32 or is one which it would be appropriate to so refer.

(5) In a case in which the appropriate authority determines that the matter is one which it is required to refer to the IOPC DG under regulation 32, or is one which it would be appropriate to so refer, it shall record the matter.

(6) In any other case, the appropriate authority shall determine whether the matter is repetitious within the meaning of regulation 30.

(7) In a case where the appropriate authority determines that the matter is not repetitious within the meaning of regulation 30, it shall record the matter.

(8) In any other case, the appropriate authority may (but need not) record the matter.

(9) In a case where the appropriate authority—

(a) records a matter under this regulation; and

(b) is not required to refer the matter to the IOPC DG under regulation 32 and does not do so,

the appropriate authority may deal with the matter in such other manner (if any) as it may determine.

(10) Nothing in paragraph (5) or (7) shall require the appropriate authority to record any conduct matter if it is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates.

(11) If it appears to the IOPC DG that—

(a) any matter that has come to the IOPC DG’s attention is a recordable conduct matter; but

(b) the matter has not been recorded by the appropriate authority,

the IOPC DG may direct the appropriate authority to record that matter; and it shall be the duty of that authority to comply with the direction.

Conduct matters not required to be recorded

30

For the purposes of regulations 28(5) and 29(6), a conduct matter is repetitious only if—

(a) it concerns substantially the same conduct as a previous complaint or conduct matter;

(b) there is no fresh indication in respect of that matter that the Director General or an NCA officer may have committed a criminal offence or behaved in a manner which would justify the bringing of disciplinary proceedings;

(c) there is no fresh evidence in respect of that matter which was not reasonably available at the time the previous complaint was made or the previous conduct matter was recorded; and

(d) as respects the previous complaint or conduct matter, either—

(i) the complaint was locally resolved in accordance with the provisions of regulation 26;

(ii) the complaint was handled otherwise than in accordance with these Regulations or no action was taken in relation to it, in accordance with regulation 25 (disapplication of requirements of these Regulations);

(iii) the IOPC DG gave the appropriate authority a direction under regulation 64 (power to discontinue an investigation);

(iv) the appropriate authority disapplied the requirements of these Regulations in accordance with regulation 64(15)(b);

(v) the complainant gave such notification as is mentioned in regulation 40(1); or

(vi) the requirements of regulations 67(9) or 68(11) (determination by the appropriate authority of what action to take) were complied with.

Duties to preserve evidence relating to conduct matters

31

(1) Where a recordable conduct matter that relates to the conduct of the Director General comes to the attention of the Permanent Secretary of the Home Office, it shall be the duty of the Permanent Secretary to secure that all such steps as are appropriate for the purposes of these Regulations are taken, both initially and from time to time after that, for obtaining and preserving evidence relating to that matter.

(2) Where the Director General becomes aware of any recordable conduct matter relating to the conduct of an NCA officer, it shall be the Director General’s duty to take all such steps as appear to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to that matter.

(3) The Director General’s duty under paragraph (2) must be performed as soon as practicable after the Director General becomes aware of the matter in question.

(4) After that, the Director General shall be under a duty, until it is satisfied that it is no longer necessary to do so, to continue to take the steps from time to time appearing to the Director General to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the matter.

(5) It shall be the duty of the Permanent Secretary to the Home Office to comply with all such directions as may be given by the IOPC DG in relation to the performance of any duty imposed by virtue of paragraph (1).

(6) It shall be the duty of the Director General to take all such specific steps for obtaining or preserving evidence relating to any recordable conduct matter as the Director General may be directed to take for the purposes of this regulation by the Permanent Secretary to the Home Office or by the IOPC DG.

Reference of conduct matters to the Commission

32

(1) It shall be the duty of the Permanent Secretary to the Home Office or Director General to refer a recordable conduct matter to the IOPC DG if, in a case (whether or not falling within regulation 28 (conduct matters arising in civil proceedings)) in which the Permanent Secretary or Director General is the appropriate authority—

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