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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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(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.

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(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.

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(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

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(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

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(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

(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).

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

(a) the findings of the report;

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

(14) 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 (12) of this regulation as it has effect in relation to the duties imposed on the appropriate authority by regulations 13 and 14.

(15) Subject to 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 (12) notification of the findings of the report by sending that person a copy of the report.

(16) In relation to a DSI matter in respect of which a determination has been made under regulation 71(2) 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.

Final reports on investigations: other DSI matters

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(1) This regulation applies on the completion of an investigation of a DSI matter in respect of which neither the Director General nor the appropriate authority has made a determination under regulation 71(2) , (2A) or (4) (procedure where a conduct matter is revealed during investigation of a DSI matter).

(2) The person investigating shall—

(a) submit a report on the investigation to the Director General; and

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

(2A) Paragraph (2)(a) does not apply where the person investigating is the Director General carrying out an investigation personally under regulation 45, but the Director General shall complete a report on the investigation.

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

(4) On receipt of the report (or on its completion by the Director General), the Director General shall determine whether the report indicates that the contractor may have—

(a) committed a criminal offence; or

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

Action by the Commission in response to an investigation report under regulation 75

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(1) If the Director General determines under regulation 75(4) that the report indicates that the contractor 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 notify the appropriate authority in relation to the person whose conduct is in question of the Director General’s determination and, if it appears that the authority has not already been sent a copy of the report, send a copy of the report to that authority.

(2) Where the appropriate authority in relation to the person whose conduct is in question is notified of a determination by the Director General under paragraph (1), it shall record the matter under regulation 30 (recording etc. of conduct matters in other cases) as a conduct matter.

(3) Where a DSI matter is recorded under regulation 30 as a conduct matter by virtue of paragraph (2)—

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

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

(4) This paragraph applies where the Director General determines under regulation 75(4) that there is no indication in the report that the contractor may have—

(a) committed a criminal offence; or

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

(5) The Director General may notify the appropriate authority that it must determine—

(a) whether or not the performance of a contractor is unsatisfactory, and

(b) what action (if any) the authority will take in respect of any such person’s performance.

(6) On receipt of a notification under paragraph (5) the appropriate authority shall make those determinations and submit a memorandum to the Director General setting out the determinations the authority has made.

(7) On receipt of a memorandum under sub-paragraph (6), the Director General shall—

(a) consider the memorandum and whether the appropriate authority has made the determinations under paragraph (6) that the Director General considers appropriate;

(b) determine whether or not to make recommendations under regulation 79;

Appeals with respect to an investigation

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

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

(b) an investigation under the supervision of the Director General.

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

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

(i) about the findings of the investigation; or

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

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

(c) a right of appeal against any determination by the appropriate authority that a person to whose conduct the investigation related has a case to answer or that such a person’s performance is, or is not, unsatisfactory in respect of that person’s conduct or has no case to answer;

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

(e) a right of appeal against any determination by the appropriate authority under regulation 74(2)(a) as a result of which it is not required to send the Director of Public Prosecutions a copy of the report,

and it shall be the duty of relevant appeal body to notify the appropriate authority, every person entitled to be kept properly informed in relation to the complaint under regulation 14 and the person complained against of any appeal brought under this regulation (except that the duty to notify the appropriate authority does not apply where that authority is the relevant appeal body).

(3) In paragraph (2)—

(a) references to the findings of an investigation do not include a reference to findings on a report submitted under regulation 61 (accelerated procedure in special cases); and

(b) references to the report of an investigation do not include a reference to a report submitted under that regulation.

(4) On the bringing of an appeal under this regulation, the Director General may require the person investigating to submit a memorandum to the Director General which—

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

(b) sets out whether the appropriate authority has determined any such person’s performance is, or is not, unsatisfactory;

(c) sets out what action (if any) the appropriate authority has determined that it is required to or will, in its discretion, take in respect of the matters dealt with in the report;

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

(e) if the appropriate authority made a determination under regulation 74(2)(a) as a result of which it is not required to send the Director of Public Prosecutions a copy of the report, sets out the reasons for that determination,

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

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

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

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

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

(i) has made such a determination as is mentioned in paragraph (4)(a) or (b) that the relevant appeal body considers to be appropriate in respect of matters dealt with in the report; and

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

(d) whether the conditions set out in regulation 74(3) and (4) are satisfied in respect of the report.

(7) If, on an appeal under this regulation, the relevant appeal body determines that the complainant has not been provided with adequate information about any matter—

(a) in a case where the Director General is the relevant appeal body, the Director General shall give the appropriate authority all such directions as the Director General considers appropriate for securing that the complainant is properly informed; and

(b) in a case where the appropriate authority is the relevant appeal body, that authority shall take steps as it considers appropriate for securing that the complainant is properly informed.

(8) Nothing in paragraph (7)(a) shall authorise the Director General to require the disclosure of any information the disclosure of which to the appellant has been or is capable of being withheld by virtue of any provision in regulation 16.

(9) If, on an appeal under this regulation, the Director General determines that the findings of the investigation need to be reconsidered in a case where the Director General is the relevant appeal body the Director General shall either—

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

(b) direct that the complaint be re-investigated; and

in a case where the appropriate authority is the relevant appeal body, that authority shall re-investigate the complaint.

(10) If, on an appeal under this regulation, the relevant appeal body makes one of the determinations set out in paragraph (11)—

(a) paragraph (12) applies if the Director General is the relevant appeal body; or

(b) paragraph (13) applies if the chief officer is the relevant appeal body.

(11) The determinations to which paragraph (10) refers are—

(a) that the appropriate authority has not made a determination as to whether there is a case for a person to whose conduct the investigation related to answer that the relevant appeal body considers appropriate, or

(b) that the appropriate authority has not made a determination as to whether a person’s performance is or is not unsatisfactory, or

(c) that the appropriate authority has not determined that it is required to or will, in its discretion, take the action in respect of the matters dealt with in the report that the relevant appeal body considers appropriate.

(12) The Director General shall—

(a) determine, in the light of that determination, whether or not to make recommendations under regulation 79 (duties with respect to disciplinary proceedings); and

(b) make such recommendations (if any) under that regulation as the Director General thinks fit.

(13) The chief officer shall take such action as the chief officer considers appropriate in relation to the bringing of disciplinary or unsatisfactory performance proceedings in respect of the matters dealt with in the report.

(14) If disciplinary proceedings are brought by virtue of paragraph (11), it shall be the duty of the appropriate authority to ensure that they are proceeded with to a proper conclusion.

(15) If, on an appeal under this regulation, the relevant appeal body determines that the conditions set out in regulation 74(3) and (4) are satisfied in respect of the report, in a case where the Director General is the relevant appeal body the Director General shall direct the appropriate authority to, or in a case where the appropriate authority is the relevant appeal body it shall—

(a) notify the Director of Public Prosecutions of the determination, and

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

(16) The relevant appeal body shall give notification of any determination under this regulation—

(a) to the appropriate authority (unless it is the relevant appeal body);

(b) to the complainant;

(c) to every person entitled to be kept properly informed in relation to the complaint under regulation 14 (duty to provide information for other persons); and

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

(17) In a case where the Director General is the relevant appeal body, the Director General shall also give notification of any directions given to a person under this regulation—

(a) to the complainant;

(b) to every person entitled to be kept properly informed in relation to the complaint under regulation 14 (duty to provide information for other persons); and

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

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

Reviews and re-investigations following an appeal

78

(1) On a review under regulation 77(9)(a) (appeals with respect to an investigation) of the findings of an investigation the powers of the Director General shall be, according to the Director General’s determination on that review, to do one or more of the following—

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

(b) to give the appropriate authority such directions as the Director General sees fit—

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

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

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

(2) Where the Director General directs under regulation 77 or paragraph (1) that a complaint be re-investigated, the Director General shall make a determination of the form that the re-investigation should take.

(3) Paragraphs (3) to (7) of regulation 39 (power of the Director General to determine the form of an investigation) shall apply in relation to a determination under paragraph (2) as they apply in the case of a determination under that regulation.

(4) The other provisions of these Regulations (including this paragraph) shall apply in relation to any re-investigation in pursuance of a direction under regulation 77(9) or paragraph (1) of this regulation as they apply in relation to any investigation in pursuance of a determination under regulation 39.

(5) The Director General shall give notification of any determination made by the Director General under this regulation—

(a) to the appropriate authority,

(b) to the complainant;

(c) to every person entitled to be kept properly informed in relation to the complaint under regulation 14 (duty to provide information for other persons); and

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

(6) The Director General shall also give notification of any directions given to the person investigating under this regulation—

(a) to the complainant;

(b) to every person entitled to be kept properly informed in relation to the complaint under regulation 14 (duty to provide information for other persons); and

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

Duties with respect to disciplinary proceedings etc.

79

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

(a) has given, or is required to give, a notification under regulation 74(12) (action by the appropriate authority in response to an investigation report under regulation 72) of the action it is required to or will, in its discretion, take in relation to the matters dealt with in any report of the investigation;

(b) has submitted, or is required to submit, a memorandum to the Director General under regulation 73 (action by the Director General in response to an investigation report under regulation 72) or 77 (appeals with respect to an investigation) setting out the action that it is required to or will, in its discretion, take in relation to those matters; or

(2) Subject to regulation 60 (restrictions on proceedings pending the conclusion of an investigation) and to any recommendations or directions under the following provisions of this regulation, it shall be the duty of the appropriate authority—

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

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

(3) Where this regulation applies by virtue of paragraph (1)(b), the Director General may make a recommendation to the appropriate authority in respect of the contractor—

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

(b) that the person’s performance is, or is not, unsatisfactory;

(c) that disciplinary proceedings or unsatisfactory performance proceedings of the form specified in the recommendation are brought against that person in respect of the conduct, efficiency or effectiveness to which the investigation related;

(d) that any disciplinary proceedings or unsatisfactory performance proceedings brought against that person are modified so as to deal with such aspects of that conduct, efficiency or effectiveness as may be so specified,

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

(4) Where this paragraph applies by virtue of paragraph (1)(c), the Director General may make a recommendation to the appropriate authority—

(a) that the performance of a contractor is, or is not, satisfactory;

(b) that action of the form specified in the recommendation is taken in respect of the person’s performance;

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

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

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

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

(7) 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.

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

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

(10) The appropriate authority shall keep the Director General informed—

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

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

Information for complainant about disciplinary recommendations

80

(1) Where—

(a) the Director General makes recommendations under regulation 79 in the case of an investigation of a complaint; and

(b) the appropriate authority notify the Director General that the recommendations have 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 (either in whole or in part) accept recommendations made by the Director General under regulation 79; or

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

it shall be the duty of the Director General to determine what if any further steps to take under that paragraph.

(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 79; 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.

Recommendations by the Commission

81

(1) This regulation applies where the Director General has received a report (or otherwise completed one in relation to an investigation carried out under regulation 45 by the Director General personally) under—

(a) regulation 72(3) (report on completion of investigation of complaint or conduct matter supervised or managed by Director General),

(b) regulation 72(5) (report on completion of investigation of complaint or conduct matter by , or on behalf of, the Director General), or

(2) This regulation also applies where the Director General has made a determination on an appeal under—

(a) regulation 28 (appeals relating to complaint dealt with other than by investigation), or

(b) regulation 77 (appeals with respect to an investigation).

(3) The Director General may make a recommendation in relation to a matter dealt with in the report or appeal.

(4) A recommendation under this regulation may be made to any person if it is made following the receipt , or completion, of a report relating to a matter specified in paragraph (5).

(5) The matters specified for the purposes of paragraph (4) are—

(a) a DSI matter;

(b) a matter falling within regulation 33(1)(a);

(i) a serious assault, as defined in guidance issued by the Director General;

(ii) a serious sexual assault, as defined in guidance issued by the Director General;

(iii) serious corruption, as defined in guidance issued by the Director General;

(iv) a criminal offence or behaviour which is liable to lead to misconduct 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 issued by the Director General;

(v) a relevant offence;

(vi) conduct which took place in the same incident as one in which conduct falling within sub-paragraphs (i) to (v) took place; or

(d) a matter in respect of which the Director General gives a notification to the appropriate authority under regulation 33(1)(c);

(e) a complaint falling within regulation 22(1)(a);

(f) a complaint alleging conduct which constitutes—

(i) a serious assault, as defined in guidance issued by the Director General;

(ii) a serious sexual assault, as defined in guidance issued by the Director General;

(iii) serious corruption, as defined in guidance issued by the Director General;

(iv) a criminal offence or behaviour which is liable to lead to misconduct 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 issued by the Director General;

(v) a relevant offence;

(g) a complaint which arises from the same incident as one in which any conduct falling within sub-paragraphs (e) or (f) took place;

(h) a complaint in respect of which the Director General gives a notification to the appropriate authority under regulation 22(1)(d); or

(i) an appeal relating to a complaint of a type described in sub-paragraphs (e) to (h).

(6) In any other case, a recommendation under this paragraph may be made only to—

(a) a chief officer, or

(b) a local policy body, or

(7) Where the Director General makes a recommendation under this paragraph, the Director General must also—

(a) publish the recommendation, and

(b) send a copy of it—

(i) in a case where the recommendation is made to a local policing body, to the chief officer of the police force maintained by that body;

(ii) in a case where the recommendation is made to a chief officer of a police force, to the local policing body that maintains the police force;

(iii) in a case where the recommendation is made to a contractor, to the chief officer of a police force to whom the contractor is providing services, and the local policing body that maintains the police force;

(iv) in any other case, to any person to whom the Director General thinks a copy should be sent.

(8) Nothing in this paragraph affects the power of the Director General to make recommendations or give advice under regulation 6(1)(e) (whether arising under these Regulations or otherwise).

Response to recommendation

82

(1) A person to whom a recommendation under regulation 81 is made must provide to the Director General a response in writing stating—

(a) what action the person has taken or proposes to take in response to the recommendation, or

(b) why the person has not taken, or does not propose to take, any action in response.

(2) The person must provide the response to the Director General before the end of the period of 56 days beginning with the day on which the recommendation was made, unless paragraph (3) applies.

(3) The Director General may extend the period of 56 days following an application received before the end of the period; and if the Director General grants an extension, the person must provide the response before the end of the extended period.

(4) But if proceedings for judicial review of the Director General’s decision to make a recommendation are started during the period allowed by paragraph (2) or (3), that period is extended by however many days the proceedings are in progress.

(5) On receiving a response, the Director General must, within the period of 21 days beginning with the day on which the Director General received it—

(a) publish the response, and

(b) send a copy of it to any person who was sent a copy of the recommendation under regulation 81(7)(b),

unless the person giving the response has made representations under paragraph (6).

(6) The person giving the response may, at the time of providing it to the Director General, make representations to the Director General asserting that the requirements of publication and disclosure under paragraph (5) should not apply to the response, or to particular parts of it.

(7) On receiving such representations, the Director General may decide—

(a) that the response should not be published, or that only parts of it should be published;

(b) that the response should not be disclosed, or that only parts of the response should be disclosed.

(8) Where, following a decision on representations, the Director General decides to publish or disclose a response (in whole or in part), the Director General must do so only after the person giving the response has been informed of the Director General’s decision, and—

(a) in a case where the Director General has decided to accept all of the representations, the Director General must do so within the period of 21 days beginning with the day on which the Director General received the response;

(b) in a case where the Director General has decided to reject any of the representations, the Director General must do so—

(i) within the period of 21 days beginning with the day on which the person was informed of the Director General’s decision on the representations, but

(ii) not before the end of the period of 7 days beginning with that day.

(9) But if proceedings for judicial review of the Director General’s decision to reject a representation are started during the period of 7 days referred to in paragraph (8)(b)(ii)—

(a) the Director General must not publish or disclose the response while the proceedings are in progress;

(b) if the court upholds the Director General’s decision to reject a representation, the Director General must publish and disclose the response (in whole or in part, as appropriate) before the end of the period of 7 days beginning with the day on which the proceedings are no longer in progress.

(10) Where a local policing body or a chief officer makes a response under this paragraph, the body or officer must, at the time the Director General publishes the response, also publish the response (to the same extent as published by the Director General) and the recommendation under regulation 81.

(11) For the purposes of this paragraph—

(a) “disclosing” a response means sending a copy of it as mentioned in paragraph (5)(b);

(b) the period during which judicial review proceedings are in progress includes any day on which an appeal is in progress or may be brought.

PART 8 — General

Complaints or conduct matters concerning a person who has subsequently ceased to be a contractor

83

Where a complaint or conduct matter relates to the conduct of a person who has ceased to be a contractor since the time of the conduct, then these Regulations shall apply in relation to such a person as if they did not include any requirement for an appropriate authority to determine whether disciplinary proceedings should be brought against a person whose conduct is the subject-matter of a report.

Complaints or conduct matters concerning a person whose identity is unascertained

84

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

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

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

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

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

Notification of actions and decisions

85

(1) So far as not covered by regulations 73(11) and (12) and 77(15) and (16) (notifications by the Director General in relation to recommending disciplinary proceedings), where the Director General takes any action or decisions in consequence of the Director General having received a memorandum under regulation 73(9) or regulation 77(4), the Director General shall notify such action or decisions, together with an explanation of the Director General’s reasons for having taken them, to—

(a) the appropriate authority;

(b) the complainant and any other interested person within the meaning of regulation 14(6);

(2) Without prejudice to the generality of paragraph (1), the Director General shall include in any notification under that paragraph a statement as to whether the Director General intends to participate in any disciplinary proceedings.

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

Keeping of records

86

The appropriate authority shall keep records, in such form as the Director General shall determine, of—

(a) every complaint and purported complaint that is made to it;

(b) every conduct matter recorded by it under regulation 29 (conduct matters arising in civil proceedings) or 30 (recording etc. of conduct matters in other cases);

(d) every exercise of a power or performance of a duty under these Regulations.

Register to be kept by the Commission

87

(1) The Director General shall establish and maintain a register of all information supplied to the Director General by the appropriate authority under these Regulations.

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

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

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

(3) Information may not be published or disclosed in circumstances where in the opinion of the Director General the non-disclosure of information is necessary for a purpose mentioned in regulation 16(1)(a) or (b) (exceptions to the duty to keep the complainant informed and to provide information for other persons).

Delegation of powers and duties by the chief officer

88

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