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The Independent Police Complaints Commission (Complaints and Misconduct) (Contractors) Regulations 2015

Type Statutory-Instrument

Publication 2015-02-26

Last updated 2018-06-27

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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

(4) It shall be the duty of the contractor to take all such specific steps for obtaining or preserving evidence relating to any DSI matter as the contractor may be directed to take for the purposes of this regulation by the chief officer or by the Director General.

Reference of DSI matters to the Commission

37

(1) It shall be the duty of the chief officer to refer a DSI matter to the Director General.

(2) A DSI matter shall be referred to the Director General in such manner as the Director General specifies and—

(a) in a case where the Director General directs that the matter be referred to the Director General, without delay and in any event not later than the end of the day following the day on which the Director General so directs;

(b) in any other case, without delay and in any event not later than the end of the day following the day on which the matter first comes to the attention of the chief officer.

(3) A matter that has already been referred to the Director General under this regulation on a previous occasion shall not be required to be referred again under this regulation unless the Director General so directs.

Duties of Commission on references under regulation 37

38

(1) It shall be the duty of the Director General, in the case of every DSI matter referred to the Director General by the chief officer, to determine whether or not it is necessary for the matter to be investigated.

(2) Where the Director General determines under this regulation that it is not necessary for a DSI matter to be investigated, the Director General may if the Director General thinks fit refer the matter back to the chief officer to be dealt with by it in such manner (if any) as the chief officer may determine.

PART 6 — Investigations and Subsequent Proceedings

Power of the Commission to determine the form of an investigation

39

(1) This regulation applies where—

(a) a complaint, recordable conduct matter or DSI matter is referred to the Director General; and

(b) the Director General determines that it is necessary for the complaint or matter to be investigated.

(2) It shall be the duty of the Director General to determine the form which the investigation should take.

(3) In making a determination under paragraph (2) the Director General shall have regard to the following factors—

(a) the seriousness of the case; and

(b) the public interest.

(4) The only forms which the investigation may take in accordance with a determination made under this regulation are an investigation by—

(a) the appropriate authority on its own behalf;

(b) the appropriate authority under the supervision of the Director General;

(d) the Director General.

(5) The Director General may at any time make a further determination under this regulation to replace an earlier one.

(6) Where a determination under this regulation replaces an earlier determination under this regulation, or relates to a complaint or matter in relation to which the appropriate authority has already begun an investigation on its own behalf, the Director General may give—

(a) the appropriate authority; and

(b) any person previously appointed to carry out the investigation,

such directions as the Director General considers appropriate for the purpose of giving effect to the new determination.

(7) It shall be the duty of a person to whom a direction is given under paragraph (6) to comply with it.

(8) The Director General shall notify the appropriate authority of any determination that the Director General makes under this regulation in relation to a particular complaint, recordable conduct matter or DSI matter.

Appointment of persons to carry out investigations

40

No person shall be appointed to carry out an investigation under regulation 42, 43 or 44 (investigation by the appropriate authority on its own behalf, supervised and managed investigations)—

(a) unless that person has an appropriate level of knowledge, skills and experience to plan and manage the investigation;

(b) if that person works, directly or indirectly, under the management of the person whose conduct is being investigated;

(c) if that person’s involvement in the role could reasonably give rise to a concern as to whether that person could act impartially under these Regulations.

Withdrawn complaints

41

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

(a) that the complainant withdraws the complaint; or

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

then the appropriate authority shall forthwith record the withdrawal or the fact that the complainant does not wish any further steps to be taken, as the case may be, and subject to the following provisions of this regulation, these Regulations shall cease to apply in respect of that complaint.

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

(a) the Director General shall send a copy of the notification to the appropriate authority;

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

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

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

(a) which was referred to the Director General under regulation 22 (reference of complaints to the Director General) and which has not been referred back to the appropriate authority under regulation 23 (duties of the Director General on references under regulation 22); or

(b) which the appropriate authority knows is currently the subject of an appeal to the Director General under regulation 21(3), 26(6), 28(1), 70(9) or 77(2),

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

(4) In a case falling within paragraph (3)(a), the Director General shall determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter, and shall notify the appropriate authority of the Director General’s decision.

(5) In a case falling within paragraph (3)(b), the appropriate authority shall—

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

(b) notify the Director General of its determination and the reasons for that determination.

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

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

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

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

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

(8) In a case where—

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

(b) the complaint is currently subject to an appeal to the Director General under regulation 77; and

(c) the appropriate authority has notified the Director General under paragraph (5)(b) that it has determined that the complaint is not to be treated as a recordable conduct matter,

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

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

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

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

(10) Those steps are—

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

(b) if the complainant indicates the wish to withdraw the complaint or does not wish any further steps to be taken in consequence of the complaint, or if the complainant fails to reply within a period of 28 days commencing on the day after the date of the written communication under sub-paragraph (a), the appropriate authority shall treat the indication as though it had been received in writing signed by the complainant;

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

(11) Subject to paragraph (12), the appropriate authority shall notify the person complained against if—

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

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

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

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

(12) Nothing in paragraph (11) shall require the appropriate authority to make a notification if it has previously decided under regulation 19 (copies of complaints etc.) not to notify the person complained against of the complaint because it is of the opinion that that might prejudice any criminal investigation or pending proceedings or would be contrary to the public interest.

Investigations by the appropriate authority on its own behalf

42

(1) This regulation applies if the appropriate authority is required by virtue of—

(a) any determination made by that authority under regulation 24(3) (whether following the recording of a complaint or on a reference back under regulation 23(2)) or under regulation 27(10); or

(b) any determination made by the Director General under regulation 39 (power of the Director General to determine the form of an investigation),

to make arrangements for a complaint, recordable conduct matter or DSI matter to be investigated by the appropriate authority on its own behalf.

(2) This regulation also applies if—

(a) a determination falls to be made by that authority under regulation 29(7), 30(10) or 34(2) in relation to any recordable conduct matter or under regulation 38(2) in relation to any DSI matter; and

(b) the appropriate authority determines that it is necessary for the matter to be investigated by the authority on its own behalf.

(3) Subject to regulation 40, it shall be the duty of the appropriate authority to appoint—

(a) a member of a police force;

(b) a civilian employee of a police force; or

to investigate the complaint or matter.

Investigations supervised by the Commission

43

(1) Subject to regulation 40, this regulation applies where the Director General has determined that the Director General should supervise the investigation by the appropriate authority of any complaint or recordable conduct matter or DSI matter.

(2) On being given notice of that determination, the appropriate authority shall, if it has not already done so, appoint—

(a) a member of a police force;

(b) a civilian employee of a police force; or

to investigate the complaint or matter.

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

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

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

(b) to notify the Director General of the person selected.

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

(6) Subject to paragraphs (7) and (8), the person appointed to investigate the complaint or matter shall comply with any reasonable requirements as to the conduct of the investigation which may be imposed by the Director General as appear to the Director General to be necessary.

(7) Where at any stage of an investigation of a complaint, recordable conduct matter or DSI matter the possibility of criminal proceedings arises, the Director General shall not, under paragraph (6), impose any requirement relating to the obtaining or preservation of evidence of a criminal offence without first obtaining the consent of the Director of Public Prosecutions.

(8) The Director General shall not, under paragraph (6), impose any requirement relating to the resources to be made available by the chief officer for the purposes of an investigation without first consulting the chief officer and having regard to any representations the chief officer may make.

Investigations managed by the Commission

44

(1) Subject to regulation 40, this regulation applies where the Director General has determined that the Director General should manage the investigation by the appropriate authority of any complaint, recordable conduct matter or DSI matter.

(2) Paragraphs (2) to (5) of regulation 43 (investigations supervised by the Director General) shall apply as they apply in the case of an investigation which the Director General has determined is one that the Director General 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 Director General.

Investigations by the Commission itself

45

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

(2) The Director General shall designate both—

(a) a person to take charge of the investigation; and

(b) such members of the IOPC’s staff as are required by the Director General to assist the person designated to take charge of the investigation.

(2A) The person designated under paragraph (2) to take charge of an investigation shall be—

(a) the Director General acting personally; or

(b) a person who is authorised to exercise the function of taking charge of the investigation on behalf of the Director General by virtue of paragraph 6A of Schedule 2 to the 2002 Act (delegation of Director General’s functions).

(3) The person designated under paragraph (2) to be the person to take charge of an investigation relating to any conduct of the Commissioner of Police of the Metropolis or of the Deputy Commissioner of Police of the Metropolis must be the person nominated by the Secretary of State to be so designated under that paragraph.

(4) The person designated under paragraph (2) to be the person to take charge of an investigation of a DSI matter in relation to which the relevant officer is the Commissioner of Police of the Metropolis or the Deputy Commissioner of Police of the Metropolis must be the person nominated by the Secretary of State to be so designated under that paragraph.

(5) A person who—

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

(b) does not already, by virtue of section 97(8) (police officers engaged on service outside their force) of the Police Act 1996[^f00015] 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.

(6) A person designated under paragraph (2) who is not a constable shall not, as a result of paragraph (5), be treated as being in police service for the purposes of—

(a) section 280 (police service) of the Trade Union and Labour Relations (Consolidation) Act 1992[^f00016]; or

(b) section 200 (police officers) of the Employment Rights Act 1996[^f00017].

(7) 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).

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

Investigations by the Commission: power to serve information notice

46

(1) The Director General may serve upon any person an information notice requiring the person to provide the Director General with information that the Director General reasonably requires for the purposes of an investigation in accordance with regulation 45.

(2) But an information notice must not require a person—

(a) to provide information that might incriminate the person;

(b) to provide an item subject to legal privilege within the meaning of the Police and Criminal Evidence Act 1984[^f00018] (see section 10 of that Act);

(c) to make a disclosure that would be prohibited by any of Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016;

(d) to provide information that was provided to the person by, or by an agency of, the government of a country or territory outside the United Kingdom where that government does not consent to the disclosure of the information.

(3) Neither must an information notice require a postal or telecommunications operator (within the meaning of Chapter 2 of Part 1 of the Regulation of Investigatory Powers Act 2000) to provide communications data (within the meaning of that Chapter).

(4) An information notice must—

(a) specify or describe the information that is required by the Director General and the form in which it must be provided;

(b) specify the period within which the information must be provided;

(5) The period specified under paragraph (4)(b) must not end before the end of the period within which an appeal can be brought against the notice and, if such an appeal is brought, the information need not be provided pending the determination or withdrawal of the appeal.

(6) The Director General may cancel an information notice by written notice to the person on whom it was served.

Failure to comply with information notice

47

(1) If a person who has received an information notice—

(a) fails or refuses to provide the information required by the notice; or

(b) knowingly or recklessly provides information in response to the notice that is false in a material respect,

the Director General may certify in writing to the High Court that the person has failed to comply with the information notice.

(2) The High Court may then inquire into the matter and, after hearing any witness who may be produced against or on behalf of the person, and after hearing any statement offered in defence, deal with the person as if the person had committed a contempt of court.

Appeals against information notices

48

(1) A person on whom an information notice is served may appeal against the notice to the First-tier Tribunal on the ground that the notice is not in accordance with the law.

(2) If the Tribunal considers that the notice is not in accordance with the law—

(a) it must quash the notice; and

(b) it may give directions to the Director General in relation to the service of a further information notice.

Sensitive information: restriction on further disclosure

49

(1) Where the Director General receives information within paragraph (2) under an information notice, the Director General must not disclose (whether under regulation 7, 13 or 14 or otherwise) the information, or the fact that the Director General has received it, unless the relevant authority consents to the disclosure.

(2) The information is—

(a) intelligence service information;

(b) intercept information; or

(c) information obtained (directly or indirectly) from a government department which, at the time it is provided to the Director General, is identified by the department as information the disclosure of which may, in the opinion of the relevant authority, cause damage to—

(i) national security or international relations; or

(ii) the economic interests of the United Kingdom or any part of the United Kingdom.

(3) Where the Director General discloses to another person information within paragraph (2), or the fact that the Director General has received it, that person must not disclose that information or that fact unless the relevant authority consents to the disclosure.

(4) In this regulation—

“government department” means a department of Her Majesty’s Government but does not include—the Security Service,the Secret Intelligence Service, orthe Government Communications Headquarters (“GCHQ”);

“intelligence service information” means information which was obtained (directly or indirectly) from an intelligence service or which relates to an intelligence service;

“intelligence service” means—the Security Service,the Secret Intelligence Service,GCHQ, orany part of Her Majesty’s forces (within the meaning of the Armed Forces Act 2006[^f00020]), or of the Ministry of Defence, which engages in intelligence activities;

“intercept information” means information relating to any of the matters mentioned in section 57(4) of the Investigatory Powers Act 2016;

“Minister of the Crown” includes the Treasury;

“relevant authority” means—in the case of intelligence service information obtained from the Security Service, the Director-General of the Security Service;in the case of intelligence service information obtained from the Secret Intelligence Service, the Chief of the Secret Intelligence Service;in the case of intelligence service information obtained from GCHQ, the Director of GCHQ;in the case of intelligence service information obtained from Her Majesty’s forces or the Ministry of Defence, the Secretary of State;in the case of intercept information, the person to whom the relevant interception warrant is or was addressed;in the case of information within paragraph (2)(c)—the Secretary of State, orthe Minister of the Crown in charge of the government department from which the information was obtained (if that Minister is not a Secretary of State);

“relevant interception warrant” means the interception warrant issued under section 5 of the Regulation of Investigatory Powers Act 2000 or Part 2 or Chapter 1 of Part 6 of the Investigatory Powers Act 2016 that relates to the intercept information.

Combining and splitting investigations

50

(1) An appropriate authority which is carrying out an investigation on its own behalf may—

(a) combine that investigation with another such investigation; or

(b) split that investigation into two or more such separate investigations,

if it considers that it is more efficient and effective, or is otherwise in the public interest, to do so.

(2) Subject to paragraph (3), where the Director General is supervising, managing or , under paragraph 19 of Schedule 3 to the 2002 Act has designated a person to carry out, an investigation, the Director General may—

(a) combine that investigation with another investigation; or

(b) split that investigation into two or more separate investigations,

if the Director General considers that it is more efficient and effective, or is otherwise in the public interest, to do so.

(3) The Director General shall not take any action under paragraph (2) in relation to a supervised or managed investigation except after consultation with the appropriate authority.

(4) Nothing in this regulation shall prevent the Director General from determining that—

(a) where an investigation is split into two or more separate investigations, those investigations may take different forms;

(b) two or more separate investigations which take different forms (including an investigation being carried out by the appropriate authority on its own behalf) may be combined into a single investigation.

Relinquishing the Commission’s supervision or management of an investigation

51

(1) This regulation applies where the Director General relinquishes—

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

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

(2) Where this regulation applies, and subject to paragraph (3), the Director General shall—

(a) notify the appropriate authority, the complainant, any interested person within the meaning of regulation 14 (duty to provide information for other persons) and the person complained against of the Director General’s decision, and the reasons for that decision; and

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

(3) Nothing in paragraph (2)(a) shall require the Director General to make a notification to the person complained against if the Director General 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

52

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

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

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

(4) The Director General shall consult the appropriate authority before making such a direction.

Resumption of investigation after criminal proceedings

53

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

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

(3) If the complainant indicates the wish for the investigation to start or be resumed, the Director General or 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 be resumed, or if the complainant fails to reply within a period of 28 days commencing on the day after the date of a letter sent to the complainant by the Director General or appropriate authority, the Director General or 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 Director General or 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 Director General or appropriate authority determines that it is in the public interest for the complaint to be treated as a recordable conduct matter, the provisions of these Regulations shall apply to the matter.

(7) Subject to paragraph (8), the Director General or appropriate authority shall notify the person complained against if paragraph (5) or (6) applies.

(8) Nothing in paragraph (7) shall require the Director General or appropriate authority to make a notification if the Director General or, as the case may be, the appropriate authority is of the opinion that that might prejudice any criminal investigation or pending proceedings or would be contrary to the public interest.

Special procedure: assessment of seriousness of conduct under investigation

54

(1) If, during the course of an investigation of a complaint, it appears to the person investigating or, in the case of an investigation by a designated person under regulation 45 the Director General, that there is an indication that a person to whose conduct the investigation relates may have—

(a) committed a criminal offence; or

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

the person investigating or, in the case of an investigation by a designated person under regulation 45 the Director General, must certify the investigation as one subject to special requirements.

(2) If the person investigating a complaint certifies the investigation as one subject to special requirements, the person must, as soon as is reasonably practicable after doing so, make a severity assessment in relation to the conduct of the person concerned to which the investigation relates.

(3) The person investigating a recordable conduct matter must make a severity assessment in relation to the conduct to which the investigation relates—

(a) as soon as is reasonably practicable after that person’s appointment or designation; or

(b) in the case of a matter recorded in accordance with regulations 71(5) or 76(2), as soon as is reasonably practicable after it is so recorded.

(4) For the purposes of this regulation a “severity assessment”, in relation to conduct, means an assessment as to whether the conduct, if proved, would amount to misconduct or gross misconduct.

(5) An assessment under this regulation may only be made after consultation with the appropriate authority.

(6) On completing an assessment under this regulation, the person investigating the complaint or matter must give a notification to the person concerned that complies with paragraph (7).

(7) The notification must be in writing and state—

(a) the conduct that is the subject matter of the allegation and how that conduct is alleged to fall below the contractor standards;

(b) that there is to be an investigation into the matter and the identity of the investigator;

(d) that the person concerned has the right to seek advice from the trade union or any other body representing the interests of the person concerned and of the effect of regulation 58 (contractor friend); and

(e) the effect of paragraph (8) and regulation 55 (duty to consider submissions from person whose conduct is being investigated).

(8) The person concerned shall have such a period as determined by the investigator, starting with the day after which the notice is given under paragraph (7) (unless this period is extended by the investigator) to provide any relevant statement or relevant document as the case may be.

(9) Paragraph (6) does not apply for so long as the person investigating the complaint or matter considers that giving the notification might prejudice—

(a) the investigation; or

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

(10) Where the person investigating a complaint or matter has made a severity assessment and considers it appropriate to do so, the person may revise the assessment.

(11) On revising a severity assessment, the person investigating the complaint or matter must, as soon as practicable, give the person concerned further written notice of the assessment of whether the conduct, if proved, would amount to misconduct or gross misconduct as the case may be and the reason for that assessment.

(12) The notice whether given in accordance with paragraph (6) or (11) shall be—

(a) given to the person concerned in person;

(b) left with some person at, or sent by recorded delivery to, the last known address of the person concerned; or

(c) given to the contractor in person by that person’s contractor friend where the contractor friend has agreed with the appropriate authority to deliver the notice.

(13) In this regulation and regulations 55 to 58—

“the person concerned” means—in relation to an investigation of a complaint, the person in respect of whom it appears to the person investigating that there is the indication mentioned in paragraph (1);in relation to an investigation of a recordable conduct matter, the person to whose conduct the investigation relates;

“relevant document” means a document relating to any complaint or matter under investigation and includes such a document containing suggestions as to lines of inquiry to be pursued or witnesses to be interviewed;

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

Duty to consider submissions from person whose conduct is being investigated

55

(1) This regulation applies to—

(a) an investigation of a complaint that has been certified under regulation 54(1) as one subject to special requirements; or

(b) an investigation of a recordable conduct matter.

(2) If before the expiry of the appropriate time limit notified in pursuance of regulation 54(8)—

(a) the person concerned provides the person investigating the complaint or matter or, in the case of an investigation by a designated person under regulation 45 the Director General, with a relevant statement or a relevant document; or

(b) a contractor friend provides that person with a relevant document,

that person must consider the statement or document.

Interview of person whose conduct is being investigated

56

(1) This regulation applies to an investigation to which regulation 55(1)(a) or (b) applies.

(2) Where the person concerned is required for interview as part of—

(a) an investigation under regulation 45, the Director General shall;

(b) an investigation under regulation 42, 43 or 44, the investigator shall;

if reasonably practicable, agree a date and time for the interview with the person concerned.

(3) Where no date and time is agreed under paragraph (2), the investigator or, in the case of an investigation by a designated person under regulation 45 who is not the Director General, the Director General shall specify a date and time for the interview.

(4) Where a date and time is specified under paragraph (3) and—

(a) the person concerned or that person’s contractor friend will not be available at that time; and

(b) the person concerned proposes an alternative time which satisfies paragraph (5),

the interview shall be postponed to the time proposed by the person concerned.

(5) An alternative time must—

(a) be reasonable; and

(b) fall before the end of the period of 5 working days beginning with the first working day after the day specified by the investigator or, in the case of an investigation by a designated person under regulation 45 who is not the Director General, the Director General.

(6) The person concerned shall be given written notice of the date, time and place of the interview.

(7) The investigator or, in the case of an investigation by a designated person under regulation 45 who is not the Director General, the Director General shall, in advance of the interview, provide the person concerned with such information as the investigator or, in the case of an investigation by a designated person under regulation 45 who is not the Director General, the Director General considers appropriate in the circumstances of the case to enable the person concerned to prepare for the interview.

(8) The person concerned shall attend the interview.

(9) A contractor friend may not answer any questions asked of the person concerned during the interview.

Duty to provide certain information to appropriate authority

57

(1) This paragraph applies during the course of an investigation to which regulation 55(1)(a) or (b) applies.

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

(3) That purpose is determining whether—

(a) the person concerned should be, or should remain, suspended from that person’s appointment or employment as a contractor; or

(b) in relation to a person who has been seconded to the contractor to provide services to a chief officer, the secondment of the person concerned should cease to have effect, or continue to cease to have effect.

Contractor friend

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(1) The person concerned may choose—

(a) a contractor; or

(b) an official of a trade union,

who is not otherwise involved in the matter to act as that person’s contractor friend.

(2) A contractor friend may—

(a) provide any relevant document to the investigator in accordance with regulation 55(2)(b);

(b) accompany the person concerned to any interview conducted under regulation 56;

(d) make representations to the Director General concerning any aspect of the proceedings under these Regulations.

Interview of the contractor during certain investigations

59

(1) This regulation applies to an investigation of a complaint, recordable conduct matter or DSI matter which—

(a) is carried out by the appropriate authority under the management of the Director General; or

(b) is carried out by a person designated under regulation 45.

(2) Paragraph (3) prescribes the procedure to be followed in connection with an interview which—

(a) is held with the contractor during the course of the investigation by the person investigating the complaint or matter; and

(b) is not within regulation 56.

(3) Where a contractor is required for interview as part of—

(a) an investigation under regulation 45, the Director General shall;

(b) an investigation under regulation 44, the investigator shall,

give written notice to the contractor that the interview will take place in accordance with this regulation, and if reasonably practicable, agree a date and time for the interview with the contractor.

(4) Where no date and time is agreed under paragraph (3), the relevant investigator or, in the case of an investigation under regulation 45 by a designated person who is not the Director General, the Director General shall specify a date and time for the interview.

(5) Where a date and time is specified under paragraph (4) and—

(a) the contractor or the contractor’s accompanying person will not be available at that time; and

(b) the contractor proposes an alternative time which satisfies paragraph (6),

the interview shall be postponed to the time proposed by the contractor.

(6) An alternative time must—

(a) be reasonable; and

(b) fall before the end of the period of 5 working days beginning with the first working day after the day specified by the relevant investigator or, in the case of an investigation under regulation 45 by a designated person who is not the Director General, the Director General.

(7) The contractor shall be given written notice of the date, time and place of the interview.

(8) The relevant investigator or, in the case of an investigation under regulation 45 by a designated person who is not the Director General, the Director General shall, in advance of the interview, provide the contractor with such information as the relevant investigator or, as the case may be, the Director General considers appropriate in the circumstances of the case to enable the contractor to prepare for the interview.

(9) The contractor shall attend the interview.

(10) An accompanying person may not answer any questions asked of the contractor during the interview.

(11) Where an accompanying person is a contractor, the contractor manager shall permit the accompanying person to use a reasonable amount of duty time for the purposes of this regulation.

(12) Nothing in this regulation shall apply to an interview of any person—

(a) in relation to an investigation of a complaint, in respect of whom it appears to the investigator or, in the case of an investigation under regulation 45 by a designated person who is not the Director General, the Director General that there is a relevant indication; or

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

(13) Nothing in this regulation prevents or restricts the holding of interviews to which this regulation does not apply during the course of any investigation under these Regulations.

(14) In this regulation—

“accompanying person” means any person nominated by the contractor and who is not otherwise involved in the matter;

“relevant indication” means an indication that a person to whose conduct the investigation relates may have—committed a criminal offence; orbehaved in a manner which would justify the bringing of disciplinary proceedings;

“relevant investigator” means a person appointed or designated to investigate under regulations 44 or 45.

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 is the subject of an investigation in accordance with the provisions of these Regulations until—

(a) the appropriate authority has certified the case as a special case under regulation 62(3) or 65(3); or

(b) a report on that investigation has been submitted to the Director General or to the appropriate authority under regulation 72 or 75 or, in the case of an investigation under regulation 45 by the Director General acting personally, a report has been completed by the Director General.

(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 in any case in which it appears to him that there are exceptional circumstances which make it undesirable to delay the bringing of such proceedings.

Accelerated procedure in special cases

61

(1) If, at any time before the completion of the investigation, the person investigating a complaint or recordable conduct matter or, in the case of an investigation by a designated person under regulation 45 the Director General, believes that the appropriate authority would, on consideration of the matter, be likely to consider that the special conditions are satisfied, the person investigating shall proceed in accordance with the following provisions of this paragraph.

(2) If the person was appointed under regulation 42, the person shall submit to the appropriate authority—

(a) a statement of that person’s belief and the grounds for it; and

(b) a written report on the investigation to that point,

and if the person was appointed following a determination made by the Director General under regulation 39 he shall send a copy of the statement and the report to the Director General.

(3) If the person was appointed under regulation 43 or 44 or designated under regulation 44, the person shall submit to the appropriate authority—

(a) a statement of the belief referred to in paragraph (1) and the grounds for it; and

(b) a written report on the investigation to that point,

and shall send a copy of the statement and the report to the Director General.

(4) 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.

(5) A statement and report may be submitted under this regulation whether or not a previous statement and report have been submitted, but a second or subsequent statement and report may be submitted only if the person submitting them has grounds to believe that the appropriate authority will reach a different determination under regulation 62(2) or 65(2).

(6) After submitting a report under this regulation, the person investigating the complaint or recordable conduct matter shall continue his investigation to such extent as that person considers appropriate.

(7) The special conditions are that—

(a) there is sufficient evidence, in the form of written statements or other documents, to establish on the balance of probabilities that conduct to which the investigation relates constitutes gross misconduct; and

(b) it is in the public interest for the person whose conduct it is to cease to be a contractor without delay.

(8) In regulations 62 to 67 “special report” means a report submitted under this regulation.

Investigations managed or carried out by Director General: action by appropriate authority

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(1) This regulation applies where—

(a) a statement and special report on an investigation carried out under the management of the Director General; or

(b) a statement and special report on an investigation carried out by a person designated by the Director General,

are submitted to the appropriate authority under regulation 61(3).

(2) The appropriate authority shall determine whether the special conditions are satisfied.

(3) If the appropriate authority determines that the special conditions are satisfied then, unless it considers that the circumstances are such as to make it inappropriate to do so, it shall—

(a) certify the case as a special case for the purposes of procedures for the taking of disciplinary proceedings in respect of the conduct of the contractor; and

(b) take such steps as are required by those procedures in relation to a case so certified.

(4) The appropriate authority shall notify the Director General of a certification under paragraph (3).

(5) If the appropriate authority determines—

(a) that the special conditions are not satisfied; or

(b) that, although those conditions are satisfied, the circumstances are such as to make it inappropriate at present to bring disciplinary proceedings,

it shall submit to the Director General a memorandum under this paragraph.

(6) The memorandum required to be submitted under paragraph (5) is one which—

(a) notifies the Director General of its determination that those conditions are not satisfied or (as the case may be) that they are so satisfied but the circumstances are such as to make it inappropriate at present to bring disciplinary proceedings; and

(b) (in either case) sets out its reasons for so determining.

(7) In this regulation “special conditions” has the meaning given by regulation 61(7).

Investigations managed or carried out by Director General: action by Director General

63

(1) On receipt of a notification under regulation 62(4), the Director General 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 14; 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.

(2) The notification required by paragraph (1) is one setting out—

(a) the findings of the special report;

(b) the appropriate authority’s determination under regulation 62(2); and

(3) Regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons) shall have effect in relation to the duties imposed on the Director General by paragraph (1) as they have effect in relation to the duties imposed on the Director General by that regulation.

(4) The Director General 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 (1) notification of the findings of the special report by sending that person a copy of that report, except so far as—

(a) regulation 16 provides otherwise, or

(b) the Director General is prevented from doing so by regulation 49.

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(1) On receipt of a memorandum under regulation 62(5), the Director General shall—

(a) consider the memorandum;

(b) determine, in the light of that consideration, whether or not to make a recommendation under regulation 67; and

(2) If the Director General determines not to make a recommendation under regulation 67, the Director General shall notify the appropriate authority and the person investigating the complaint or matter of the Director General’s determination.

Other investigations: action by appropriate authority

65

(1) This regulation applies where—

(a) a statement and a special report on an investigation carried out by an appropriate authority on its own behalf; or

(b) a statement and a special report on an investigation carried out under the supervision of the Director General,

are submitted to the appropriate authority under regulation 61(2) or (3).

(2) The appropriate authority shall determine whether the special conditions are satisfied.

(3) If the appropriate authority determines that the special conditions are satisfied then, unless it considers that the circumstances are such as to make it inappropriate to do so, it shall—

(a) certify the case as a special case for the purposes of procedures for the taking of disciplinary proceedings in respect of the conduct of the contractor; and

(b) take such steps as are required by those procedures in relation to a case so certified.

(4) Where the statement and report were required under regulation 61(2) to be copied to the Director General, the appropriate authority shall notify the Director General of a certification under paragraph (3).

(5) If the appropriate authority determines—

(a) that the special conditions are not satisfied; or

(b) that, although those conditions are satisfied, the circumstances are such as to make it inappropriate at present to bring disciplinary proceedings,

it shall notify the person investigating the complaint or matter of its determination.

(6) In this regulation “special conditions” has the meaning given by regulation 61(7).

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(1) If the appropriate authority certifies a case under regulation 65(3), it 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 14; 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.

(2) The notification required by paragraph (1) is one setting out—

(a) the findings of the report;

(b) the authority’s determination under regulation 65(2); and

(3) Regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons) shall have effect in relation to the duties imposed on the appropriate authority by paragraph (1) as they have effect in relation to the duties imposed on the appropriate authority by that regulation.

(4) Except so far as may be otherwise prohibited by regulation 16, 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 (1) notification of the findings of the special report by sending that person a copy of that report.

Special cases: recommendation or direction of Commission

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(1) Where the appropriate authority has submitted, or is required to submit, a memorandum to the Director General under regulation 62(5), the Director General may make a recommendation to the appropriate authority that it should certify the case under regulation 62(3).

(2) If the Director General determines to make a recommendation under this regulation, the Director General 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 14; 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.

(3) The notification required by paragraph (2) is one setting out—

(a) the findings of the special report; and

(b) the Director General’s recommendation under this regulation.

(4) Regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons) shall have effect in relation to the duties imposed on the Director General by paragraph (2) as they have effect in relation to the duties imposed on the Director General by that regulation.

(5) The Director General 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 (2) notification of the findings of the special report by sending that person a copy of the report, except so far as regulation 16 provides otherwise.

(6) It shall be the duty of the appropriate authority to notify the Director General whether it accepts the recommendation and (if it does) to certify the case and proceed accordingly.

(7) If, after the Director General has made a recommendation under this regulation, the appropriate authority does not certify the case under regulation 62(3)—

(a) the Director General may direct the appropriate authority so to certify it; and

(b) it shall be the duty of the appropriate authority to comply with any such direction and proceed accordingly.

(8) Where the Director General gives the appropriate authority a direction under this regulation, the Director General shall supply the appropriate authority with a statement of the Director General’s reasons for doing so.

(9) The Director General may at any time withdraw a direction given under this regulation.

(10) The appropriate authority shall keep the Director General informed of whatever action it takes in response to a recommendation or direction.

68

(1) Where—

(a) the Director General makes a recommendation under regulation 67 in the case of an investigation of a complaint; and

(b) the appropriate authority notifies the Director General that the recommendation has been accepted,

the Director General shall notify the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 14 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 Director General that it does not accept the recommendation made by the Director General under regulation 67; or

(b) fails to certify the case under 62(3) and to proceed accordingly,

it shall be the duty of the Director General to determine what (if any) further steps to take under regulation 67.

(3) It shall be the duty of the Director General to notify the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 14—

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

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

Power to discontinue an investigation

69

(1) The Director General may by order require the discontinuance of the investigation of a complaint or matter if (whether on the application of the appropriate authority or otherwise) it appears to the Director General that—

(a) the complaint or matter is of a description specified in paragraph (9); and

(b) discontinuance of the investigation is within the Director General’s power.

(2) The appropriate authority that is investigating a complaint or matter may discontinue the investigation if it appears to that authority that—

(a) the complaint or matter is of a description specified in paragraph (9); and

(b) discontinuance of the investigation is not within the Director General’s power.

(3) Before discontinuing an investigation or applying to the Director General for an order requiring the discontinuance of an investigation, an appropriate authority shall—

(a) write to the complainant at his 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.

(4) Any application by an appropriate authority to the Director General for an order that the Director General discontinue an investigation shall be in writing and shall be accompanied by—

(a) a copy of the complaint; and

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

(5) The appropriate authority shall—

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

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

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

(7) Before requiring the discontinuance of an investigation under paragraph (1) in a case where there has been no application to do so by the appropriate authority, or discontinuing an investigation ... under paragraph (6), the Director General 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.

(8) For the purposes of this paragraph—

(a) discontinuance of the investigation of a complaint is within the Director General’s power if—

(i) the investigation is being undertaken by the appropriate authority on its own behalf and the complaint is one required to be referred to the Director General under regulation 22; or

(ii) the investigation is under the supervision or management of the Director General;

(b) discontinuance of the investigation of a matter other than a complaint is within the Director General’s power if the investigation is under the supervision or management of the Director General.

(9) For the purposes of paragraphs (1) and (2), a specified complaint or matter is one—

(a) in which the complainant refuses to co-operate to the extent that the relevant body considers that it is not reasonably practicable to continue the investigation;

(b) which the appropriate authority has determined is suitable for local resolution;

(c) which the relevant body considers is vexatious, oppressive or otherwise an abuse of the procedures for dealing with complaints, conduct matters or DSI matters;

(d) which is repetitious, as defined in regulation 20(3) or 31; or

(e) which the relevant body otherwise considers is such as to make it not reasonably practicable to proceed with the investigation.

(10) For the purposes of paragraph (9) “relevant body” means—

(a) the Director General, in a case where discontinuance is within the Director General’s power in accordance with paragraph (8); and

(b) the appropriate authority, in any other case.

70

(1) The Director General shall not discontinue any investigation that is being carried out in accordance with regulation 45 except in any cases where the complaint, conduct matter or DSI matter under investigation falls within regulation 69(9).

(2) Where the Director General makes an order under this regulation or discontinues an investigation being carried out in accordance with regulation 45, the Director General shall give notification of the discontinuance—

(a) to the appropriate authority;

(b) to every person entitled to be kept properly informed in relation to the subject matter of the investigation under regulation 14; and

(3) Where the appropriate authority discontinues an investigation under regulation 69(2), the appropriate authority shall give notification of the discontinuance—

(a) to every person entitled to be kept properly informed in relation to the investigation under regulation 14; and

(b) in a case where the investigation that is discontinued is an investigation of a complaint, to the complainant.

(4) Where an investigation of a complaint, recordable conduct matter or DSI matter is discontinued in accordance with an order under regulation 69(1)—

(a) the Director General may give the appropriate authority directions in accordance with paragraph (5);

(b) the Director General may ... take any such steps of a description specified in paragraph (8) (with the exception of the step in paragraph (8)(c)) as the Director General considers appropriate for purposes connected with the discontinuance of the investigation; and

(c) subject to the preceding paragraphs, neither the appropriate authority nor the Director General shall take any further action in accordance with the provisions of these Regulations in relation to that complaint or matter.

(5) A direction given to an appropriate authority by the Director General under paragraph (4)(a) may—

(a) require the appropriate authority to produce an investigation report on the discontinued investigation under regulation 72 and to take any subsequent steps under these Regulations;

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

(c) in a case within regulation 69(9)(b), require the appropriate authority to subject the complaint to local resolution;

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

(6) The appropriate authority shall comply with any directions given to it under paragraph (5).

(7) Where an investigation of a complaint, recordable conduct matter or DSI matter is discontinued in accordance with regulation 69(2)—

(a) the appropriate authority may take any such steps of a description specified in paragraph (8) it considers appropriate for purposes connected with the discontinuance of the investigation; and

(b) subject to regulation 69 and the preceding paragraphs, neither the appropriate authority nor the Director General shall take any further action in accordance with the provisions of these Regulations in relation to that complaint or matter.

(8) For the purposes of paragraphs (4)(b) and (7)(a), the steps are—

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

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

(d) to handle the matter in whatever manner the appropriate authority or (as the case may be) the Director General thinks fit.

(9) The complainant shall have a right of appeal to the relevant appeal body against any decision by the appropriate authority under regulation 69(2) to discontinue the investigation of the complaint.

(10) On an appeal under this regulation, subject to paragraphs (11) and (12), 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 appropriate authority as to the action to be taken for investigating the complaint;

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

(11) Paragraph (10) does not apply in a case where the chief officer is—

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

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

(12) 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 chief officer must take such action as the chief officer thinks appropriate for investigating the complaint.

Procedure where conduct matter is revealed during investigation of DSI matter

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(1) If during the course of an investigation of a DSI matter it appears to a person appointed under regulation 44 ... that there is an indication that a person (“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 appointed or designated person shall make a submission to that effect to the Director General.

(2) If, after considering a submission under paragraph (1), the Director General determines that there is such an indication, the Director General shall—

(a) notify the appropriate authority in relation to the DSI matter and (if different) the appropriate authority in relation to the person whose conduct is in question of the Director General’s determination; and

(b) send to it (or each of them) a copy of the submission under paragraph (1).

(2A) If during the course of an investigation of a DSI matter being carried out by a person designated under regulation 45 the Director General determines that there is an indication that a person (“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 Director General shall proceed under paragraph (2B).

(2B) The Director General shall—

(a) prepare a record of the determination;

(b) notify the appropriate authority in relation to the DSI matter and (if different) the appropriate authority in relation to the person whose conduct is in question of the determination; and

(3) If during the course of an investigation of a DSI matter it appears to a person appointed under regulation 42 or 43 that there is an indication that a person (“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 appointed person shall make a submission to that effect to the appropriate authority in relation to the DSI matter.

(4) If, after considering a submission under paragraph (3), the appropriate authority determines that there is such an indication, it shall—

(a) if it is not the appropriate authority in relation to the person whose conduct is in question, notify that other authority of its determination and send to that authority a copy of the submission under paragraph (3); and

(b) notify the Director General of its determination and send to the Director General a copy of the submission under paragraph (3).

(5) Where the appropriate authority in relation to the person whose conduct is in question—

(a) is notified of a determination by the Director General under paragraph (2) or (2B);

(b) (in a case where it is also the appropriate authority in relation to the DSI matter) makes a determination under paragraph (4); or

(c) (in a case where it is not the appropriate authority in relation to the DSI matter) is notified by that other authority of a determination by it under paragraph (4),

it shall record the matter under regulation 30 as a conduct matter.

(6) Where a DSI matter is recorded under regulation 30 as a conduct matter by virtue of paragraph (5)—

(a) the person investigating the DSI matter shall (subject to any determination made by the Director General under regulation 39(5)) continue the investigation as if appointed or designated to investigate the conduct matter; and

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

PART 7 — Reports and Recommendations

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

72

(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 42 (investigations 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 43 (investigations supervised by the Director General) or 44 (investigations managed by the Director General) shall—

(a) submit a report on that investigation to the Director General; 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 71(5), 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 45 (investigations by the Director General ...) as the person in charge of an investigation shall—

(a) submit a report to the Director General, or

(b) where the person in charge of the investigation is the Director General acting personally, complete a report on the investigation.

(6) A person submitting or, in the case of an investigation under regulation 45 by the Director General personally, completing a report under this regulation shall not be prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in that person’s report as that person thinks fit.

(7) For the purposes of a report on an investigation under regulation 55(1)(a) or (b) (special procedure cases), on completion of the investigation the report shall—

(a) provide an accurate summary of the evidence;

(b) attach or refer to any relevant documents; and

(c) where the investigation was carried out under regulation 42 or 43, indicate the investigator’s opinion as to whether there is a case to answer in respect of misconduct or gross misconduct or whether there is no case to answer.

(7A) On completion of an investigation—

(a) carried out under regulation 44 or 45; and

(b) to which regulation 55(1) applies,

where the Director General notifies the appropriate authority under regulation 73(8), the Director General shall indicate in writing to the appropriate authority the Director General’s opinion as to whether there is a case to answer in respect of misconduct or gross misconduct or whether there is no case to answer.

(8) A person who has submitted or, in the case of an investigation under regulation 45 by the Director General personally, completed a report under this regulation on an investigation within regulation 55(1)(a) or (b) must supply the appropriate authority with such copies of further documents or other items in that person’s possession as the authority may request.

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

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

(b) requires a copy of the document or the item for either or both of the purposes mentioned in paragraph (10).

(10) Those purposes are—

(a) complying with any obligation which the authority has in respect of any disciplinary proceedings in relation to any person to whose conduct the investigation related;

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

Action by the Commission in response to an investigation report under regulation 72

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(1) This regulation applies where—

(a) a report on an investigation carried out under the management of the Director General is submitted to the Director General under paragraph (3) of regulation 72 (final reports on investigations: complaints, conduct matters and certain DSI matters); or

(b) a report on an investigation carried out by a person designated by the Director General is submitted to the Director General , or is otherwise completed, under paragraph (5) of that regulation.

(2) On receipt of the report , or on its completion by the Director General, the Director General—

(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 the Director General determines that those conditions are so satisfied, shall notify the Director of Public Prosecutions of the determination and send that person a copy of the report; and

(d) shall notify the appropriate authority and the persons mentioned in paragraph (7) of the Director General’s determination under paragraph (b) and of any action taken by the Director General under paragraph (c).

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

(4) The second condition is that the circumstances are such that, in the opinion of the Director General, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions.

(5) The Director of Public Prosecutions shall notify the Director General 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 Director General to notify the persons mentioned in paragraph (7) if criminal proceedings are brought against any person by the Director of Public Prosecutions in respect of any matters dealt with in a report copied to the Director under paragraph (2)(c).

(7) The 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 14 (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 , or on its completion by the Director General, the Director General shall also notify the appropriate authority that it must determine—

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

(b) whether or not any such person’s performance is unsatisfactory;

(c) 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

(d) 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 Director General 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 or unsatisfactory performance 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 Director General shall—

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

(b) determine, in the light of the Director General’s consideration of those matters, whether or not to make recommendations under regulation 79 (duties with respect to disciplinary proceedings); and

(11) On the making of a determination under paragraph (10)(b) the Director General 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 13 (duty to keep the complainant informed); and

(b) in the case of a recordable conduct matter, to every person entitled to be kept properly informed in relation to that matter under regulation 14 (duty to provide information for other persons).

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

(a) the findings of the report;

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

(13) Regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons) shall have effect in relation to the duties imposed on the Director General by paragraph (11) of this regulation as they have effect in relation to the duties imposed on the Director General by regulations 13 and 14.

(14) The Director General 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, except so far as regulation 16 provides otherwise.

(15) In relation to a DSI matter in respect of which a determination has been made under regulation 71(2) , (2A) or (4) (procedure where conduct matter is revealed during investigation of 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 72

74

(1) This regulation applies where—

(a) a report of an investigation is submitted to the appropriate authority in accordance with regulation 72(2) (final reports on investigations: complaints, conduct matters and certain DSI matters); or

(b) a copy of a report of an investigation carried out under the supervision of the Director General is sent to the appropriate authority in accordance with regulation 72(3).

(2) On receipt of the report or (as the case may be) 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 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 paragraph (a) and of any action taken by it under 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.

(5) The Director of Public 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)(b).

(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 in respect of any matters dealt with in a report copied to the Director under paragraph (2)(b).

(7) The 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 14 (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 Director General of its determination under paragraph (2)(a).

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

(a) shall make the Director General’s own determination as to whether those conditions are so satisfied; and

(b) if the Director General determines that they are so satisfied, shall direct the appropriate authority to notify the Director of Public Prosecutions of the Director General’s determination and to 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).

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

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

(b) whether or not any such person’s performance is unsatisfactory;

(c) 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

(d) 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 13 (duty to keep complainant informed); and

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