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

• (1) Subject to the remaining paragraphs of this regulation, the chief officer may delegate all or any of the powers or duties conferred or imposed on the chief officer by or under these Regulations to such an officer as is mentioned in paragraph (2), or to a police staff member who, in the opinion of the chief officer, is of at least a similar level of seniority.

• (2) That officer is—

• (a) a senior officer, in the case of a complaint or conduct matter concerning the conduct of a contractor manager, or

• (b) in any other case, a member of a police force of at the least the rank of chief inspector.

• (3) The chief officer shall not, in any particular case, delegate any power or duty under paragraph (1) to a person whose involvement in the role could reasonably give rise to a concern as to whether that person could act impartially under these Regulations, whether because the person has acted as investigating officer in the case or attempted to resolve it by way of local resolution or otherwise.

• (4) The chief officer may delegate all or any of the chief officer’s powers or duties in relation to the local resolution of complaints under these Regulations to—

• (a) a member of a police force;

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

• (c) a contractor.

Manner and time limits of notifications

89

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

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

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

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

Appeals

90

• (1) This regulation applies to an appeal under any of the following provisions of these Regulations—

• (a) regulation 21(3) (appeal against a failure to notify or record a complaint);

• (b) regulation 26(6) (appeal against a decision to handle a complaint otherwise than in accordance with these Regulations or take no action in relation to it);

• (c) regulation 28(1) (appeal against the outcome of a complaint subjected to local resolution or handled otherwise than in accordance with these Regulations);

• (d) regulation 70(9) (appeal against a decision to discontinue an investigation); and

• (e) regulation 77(2) (appeal in relation to an investigation).

• (2) Where the appropriate authority notifies the complainant of a decision which is or may be capable of appeal under any of the provisions in paragraph (1), the appropriate authority shall at the same time notify the complainant in writing of—

• (a) the existence of the right of appeal;

• (b) the identity of the relevant appeal body or, in a case to which regulation 21(3) applies, the fact that the appeal is to the Director General;

• (c) where the appropriate authority has determined that the Director General is the relevant appeal body, the paragraph of regulation 91(2) relied upon in making that determination;

• (d) where the appropriate authority has determined that the chief officer is the relevant appeal body, the fact that there is no right of appeal to the Director General; and

• (e) the time limit for making an appeal mentioned in paragraph (3).

• (3) Subject to paragraphs (4) and (5), an appeal shall be made within a period of 28 days commencing on the day after the date of the letter giving notification under paragraph (2).

• (4) For the purposes of the time period mentioned in paragraph (3), the following shall be left out of account—

• (a) any time elapsing between the appeal being received by the Director General under regulation 91(3) and being forwarded to the appropriate authority under that paragraph;

• (b) any time elapsing between the appeal being received by the appropriate authority under regulation 91(5) and being forwarded to the Director General under that paragraph.

• (5) The relevant appeal body or, in a case of an appeal under regulation 21(3), the Director General may extend the time period mentioned in paragraph (3) in any case where it is satisfied that by reason of the special circumstances of the case it is just to do so.

• (6) Subject to paragraph (7), an appeal shall be made in writing and shall state—

• (a) details of the complaint;

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

• (c) the appropriate authority whose decision is the subject of the appeal;

• (d) the grounds for the appeal; and

• (e) the date on which notification was given under paragraph (2).

• (7) Where the relevant appeal body or, in the case of an appeal under regulation 21(3), the Director General receives an appeal which fails to comply with one or more of the requirements mentioned in paragraph (6), it may decide to proceed as if those requirements had been complied with.

• (8) Where the Director General receives an appeal the Director General shall—

• (a) in the case of an appeal under regulation 21(3), notify the appropriate authority concerned of the appeal as soon as reasonably practicable; and

• (b) in that or any other case, request any information from any person which the Director General considers necessary to dispose of the appeal.

• (9) Any person receiving a request under paragraph (8)(b) shall supply to the Director General the information requested.

• (10) The relevant appeal body or, in the case of an appeal under regulation 21(3), the Director General shall determine the outcome of the appeal as soon as practicable.

• (11) The relevant appeal body or, in the case of an appeal under regulation 21(3), the Director General shall notify the complainant of the reasons for its determination, and the Director General—

• (a) in the case of an appeal under the said regulation, shall also notify the chief officer; and

• (b) in a case where the Director General is the relevant appeal body, shall also notify the appropriate authority.

• (12) In the case of an appeal other than one under regulation 21(3)—

• (a) where the Director General is the relevant appeal body—

• (i) the Director General shall notify the complainant of any direction the Director General gives to the appropriate authority as to the future handling of the complaint; and

• (ii) subject to paragraph (13), the appropriate authority shall notify the person complained against of any such direction;

• (b) where the chief officer is the relevant appeal body, the chief officer shall notify the complainant and the person complained against of the action that he proposes to take in relation to the complaint.

• (13) An appropriate authority may decide not to make a notification under paragraph (12)(a)(ii) if it is of the opinion that to do so might prejudice any criminal investigation or pending proceedings or would otherwise be contrary to the public interest.

Relevant appeal body

91

• (1) The relevant appeal body in relation to an appeal is—

• (a) the Director General, in a case where the relevant complaint falls within a description of a complaint specified in paragraph (2);

• (b) the chief officer in any other case.

• (2) Complaints to which this paragraph applies are any complaint—

• (a) about the conduct of a senior officer;

• (b) in the case of which the appropriate authority is unable to satisfy itself, from the complaint alone, that the conduct complained of (if it were proved)—

• (i) would not justify the bringing of criminal or disciplinary proceedings against a contractor; or

• (ii) would not involve the infringement of a person’s rights under Article 2 or 3 of the Convention (within the meaning of the Human Rights Act 1998¹⁷);

• (c) that has been, or must be, referred to the Director General under regulation 22;

• (d) arising from the same incident as a complaint to which sub-paragraph (a), (b) or (c) applies;

• (e) to any part of which sub-paragraph (a), (b), (c) or (d) applies.

• (3) Where an appeal is made to the Director General and the appropriate authority is the relevant appeal body in relation to the appeal, the Director General must—

• (a) forward the appeal to the appropriate authority; and

• (b) notify the person who made the appeal that—

• (i) the appropriate authority is the relevant appeal body; and

• (ii) the appeal has been forwarded.

• (4) In an appeal to which paragraph (3) applies, the appeal is taken to have been—

• (a) made to the appropriate authority; and

• (b) so made at the time when it is forwarded to the appropriate authority.

• (5) Where an appeal is made to the appropriate authority and the Director General is the relevant appeal body in relation to the appeal, the appropriate authority must—

• (a) forward the appeal to the Director General; and

• (b) notify the person who made the appeal that—

• (i) the Director General is the relevant appeal body; and

• (ii) the appeal has been forwarded.

• (6) In an appeal to which paragraph (5) applies, the appeal is taken to have been—

• (a) made to the Director General; and

• (b) so made at the time when it is forwarded to the Director General.

• (7) In this regulation—

• “appeal” mean an appeal under regulation 21(3), 26(6), 28(1), 70(9) or 77(2);

• “relevant complaint”, in relation to an appeal, means the complaint to which the appeal relates.

SCHEDULE

Provision in Part 2 etc.	Provision of these Regulations
Section 10 of the 2002 Act	Regulation 6
Section 11 of the 2002 Act	Regulation 7
Sections 12 and 29 of the 2002 Act	Regulation 8
Section 15 of the 2002 Act	Regulation 9
Section 16 of the 2002 Act	Regulation 10
Section 17 of the 2002 Act	Regulation 11
Section 18 of the 2002 Act	Regulation 12
Section 20 of the 2002 Act	Regulation 13
Section 21 and regulation 14 of the 2012 Regulations	Regulation 14
Regulation 12 of the 2012 Regulations	Regulation 15
Regulation 13 of the 2012 Regulations	Regulation 16
Paragraph 1 of Schedule 3 to the 2002 Act	Regulation 17
Paragraph 2 of Schedule 3 to the 2002 Act	Regulation 18
Regulation 15 of the 2012 Regulations	Regulation 19
Regulation 3 of the 2012 Regulations	Regulation 20
Paragraph 3 of Schedule 3 to the 2002 Act	Regulation 21
Paragraph 4 of Schedule 3 to the 2002 Act	Regulation 22
Paragraph 5 of Schedule 3 to the 2002 Act	Regulation 23
Paragraph 6 of Schedule 3 to the 2002 Act	Regulation 24
Paragraph 7 of Schedule 3 to the 2002 Act and regulation 5 of the 2012 Regulations	Regulations 25 and 26
Paragraph 8 of Schedule 3 to the 2002 Act and regulation 6 of the 2012 Regulations	Regulation 27
Paragraph 9 of Schedule 3 to the 2002 Act	Regulation 28
Paragraph 10 of Schedule 3 to the 2002 Act	Regulation 29
Paragraph 11 of Schedule 3 to the 2002 Act and regulation 7 of the 2012 Regulations	Regulation 30
Regulation 7 of the 2012 Regulations	Regulation 31
Paragraph 12 of Schedule 3 to the 2002 Act	Regulation 32
Paragraph 13 of Schedule 3 to the 2002 Act	Regulation 33
Paragraph 14 of Schedule 3 to the 2002 Act	Regulation 34
Paragraph 14A of Schedule 3 to the 2002 Act	Regulation 35
Paragraph 14B of Schedule 3 to the 2002 Act	Regulation 36
Paragraph 14C of Schedule 3 to the 2002 Act and regulation 8 of the 2012 Regulations	Regulation 37
Paragraph 14D of Schedule 3 to the 2002 Act	Regulation 38
Paragraph 15 of Schedule 3 to the 2002 Act	Regulation 39
Regulation 24 of the 2012 Regulations	Regulation 40
Regulation 21 of the 2012 Regulations	Regulation 41
Paragraph 16 of Schedule 3 to the 2002 Act	Regulation 42
Paragraph 17 of Schedule 3 to the 2002 Act and regulation 9 of the 2012 Regulations	Regulation 43
Paragraph 18 of Schedule 3 to the 2002 Act	Regulation 44
Paragraph 19 of Schedule 3 to the 2002 Act	Regulation 45
Paragraph 19ZA of Schedule 3 to the 2002 Act	Regulation 46
Paragraph 19ZB of Schedule 3 to the 2002 Act	Regulation 47
Paragraph 19ZC of Schedule 3 to the 2002 Act	Regulation 48
Paragraph 19ZD of Schedule 3 to the 2002 Act	Regulation 49
Regulation 25 of the 2012 Regulations	Regulation 50
Regulation 26 of the 2012 Regulations	Regulation 51
Regulation 22 of the 2012 Regulations	Regulation 52
Regulation 23 of the 2012 Regulations	Regulation 53
Paragraph 19B of Schedule 3 to the 2002 Act and regulation 16 of the 2012 Regulations	Regulation 54
Paragraph 19C of Schedule 3 to the 2002 Act	Regulation 55
Paragraph 19D of Schedule 3 to the 2002 Act and regulation 19 of the 2012 Regulations	Regulation 56
Paragraph 19E of Schedule 3 to the 2002 Act	Regulation 57
Regulation 17 of the 2012 Regulations	Regulation 58
Paragraph 19F of Schedule 3 to the 2002 Act and regulations 1 and 2 of the 2013 Regulations	Regulation 59
Paragraph 20 of Schedule 3 to the 2002 Act	Regulation 60
Paragraph 20A of Schedule 3 to the 2002 Act	Regulation 61
Paragraph 20B of Schedule 3 to the 2002 Act	Regulation 62
Paragraph 20C of Schedule 3 to the 2002 Act	Regulation 63
Paragraph 20D of Schedule 3 to the 2002 Act	Regulation 64
Paragraph 20E of Schedule 3 to the 2002 Act	Regulation 65
Paragraph 20F of Schedule 3 to the 2002 Act	Regulation 66
Paragraph 20H of Schedule 3 to the 2002 Act	Regulation 67
Paragraph 20I of Schedule 3 to the 2002 Act	Regulation 68
Paragraph 21 of Schedule 3 to the 2002 Act and regulation 10 of the 2012 Regulations	Regulation 69 and 70
Paragraph 21A of Schedule 3 to the 2002 Act	Regulation 71
Paragraph 22 of Schedule 3 to the 2002 Act	Regulation 72
Paragraph 23 of Schedule 3 to the 2002 Act	Regulation 73
Paragraph 24 of Schedule 3 to the 2002 Act	Regulation 74
Paragraph 24A of Schedule 3 to the 2002 Act	Regulation 75
Paragraphs 24B and 24C of Schedule 3 to the 2002 Act	Regulation 76
Paragraphs 25 of Schedule 3 to the 2002 Act	Regulation 77
Paragraph 26 of Schedule 3 to the 2002 Act	Regulation 78
Paragraph 27 of Schedule 3 to the 2002 Act	Regulation 79
Paragraph 28 of Schedule 3 to the 2002 Act	Regulation 80
Paragraph 28A of Schedule 3 to the 2002 Act	Regulation 81
Paragraph 28B of Schedule 3 to the 2002 Act	Regulation 82
Regulation 27 of the 2012 Regulations	Regulation 83
Regulation 28 of the 2012 Regulations	Regulation 84
Regulation 29 of the 2012 Regulations	Regulation 85
Regulation 31 of the 2012 Regulations	Regulation 86
Regulation 32 of the 2012 Regulations	Regulation 87
Regulation 33 of the 2012 Regulations	Regulation 88
Regulation 34 of the 2012 Regulations	Regulation 89
Regulation 11 of the 2012 Regulations	Regulation 90
Paragraphs 30 to 32 of Schedule 3 to the 2002 Act	Regulation 91

Signed

Mike Penning — Minister of State — Home Office — 26th February 2015

Explanatory note

(This note is not part of these Regulations)

EXPLANATORY NOTE

These Regulations provide for the basis on which the Independent Police Complaints Commission (“the Commission”) has oversight of complaints and other matters relating to the conduct of a contractor.

The statutory framework in accordance with which the Commission has oversight of police conduct is set out in Part 2 of, and Schedule 3 to, the Police Reform Act 2002 (“the 2002 Act”). The Commission was established by the 2002 Act to provide an effective and independent means of overseeing the investigation of complaints and alleged misconduct relating to the actions of the police. These Regulations are made under the 2002 Act and make provision which broadly reflects existing arrangements in accordance with which the Commission has oversight of the police, but with modifications in parts where it is necessary to reflect differences between contractors and the police.

Part 1 contains introductory provision and an interpretation provision (regulation 2); this includes a definition of the appropriate authority, which performs a number of investigative functions under the framework established by these Regulations. The appropriate authority is ordinarily the chief officer of police but may also be the contractor manager. Regulation 3 makes saving and transitional provision to the effect that these Regulations do not apply to a matter in respect of which section 39(9) to (11) of the 2002 Act continues to apply or a matter which arose prior to 8th April 2015. Regulation 4 provides that the relevant provisions in or under the 2002 Act listed in the first column of the table in the Schedule to these Regulations are to be read as having effect as set out in the provisions of these Regulations listed in the second column of the table. Regulation 5 provides for chief officers of police to be able to delegate the functions of the appropriate authority to a contractor manager in respect of a contractor.

Part 2 contains provision which sets out the broad basis on which the Commission has oversight of complaints and misconduct relating to contractors. This Part sets the general functions of the Commission and the reporting requirements which apply to it (regulations 6 and 7). Regulation 8 defines the matters which may be the subject of an investigation under these Regulations (a complaint, conduct matter or death or serious injury (or DSI) matter). Regulations 9 to 12 makes provision in respect of the general duties of local policing bodies and others, payment for assistance (e.g. in a case where the police assists with an investigation), the provision of information to the Commission and requirements in relation to onward disclosure of such information and the inspection of a contractor’s premises by the Commission.

Regulations 13 to 16 make provision for keeping complainants and other interested persons informed about investigations, and includes provision about the manner in which these requirements are fulfilled and exceptions to them.

Part 3 contains provision about the handling of complaints. It imposes duties to preserve evidence (regulation 17), handling and recording of complaints (regulations 18 to 21), the cases in which complaints are referred to the Commission (regulations 22 and 23) and the handling of complaints by the appropriate authority (regulations 24 to 27). There are prescribed appeal rights in certain cases (regulation 28).

Part 4 contains provision about the handling of conduct matters. It imposes duties in relation to the identification and recording of conduct matters (regulations 29 to 31), preservation of evidence (regulation 32) and the cases in which conduct matters are referred to the Commission (regulations 33 and 34).

Part 5 contains provision about the handling of DSI matters. It imposes duties to record DSI matters and preserve evidence (regulations 35 and 36) and the reference of DSI matters to the Commission and its corresponding duties on a referral to it (regulations 37 and 38).

Part 6 contains provision governing the basis on which the Commission determines the form of an investigation in a matter referred to it (regulation 39), ranging from investigations carried out by the appropriate authority on its own behalf (regulation 42) or supervised or managed by the Commission (regulations 43 or 44) to investigations carried out by the Commission itself (regulation 45). There is also provision governing the appointment of investigators (regulation 40) and the processes which apply in specific cases (e.g. withdrawn complaints or the resumption of an investigation following the conclusion of relevant criminal proceedings (regulations 41 and 50 to 53)). Provision is also made for the Commission to require information to be provided through service of an information notice (regulations 46 to 49).

Part 6 also contains provision governing a special procedure which applies in a case in which a conduct matter is revealed during the course of the investigation of a complaint (regulations 54 to 58), the Commission’s powers to interview witnesses (regulation 59), restrictions on certain proceedings during an investigation (regulation 60) and an accelerated procedure in cases where gross misconduct is identified during an investigation into a complaint or conduct matter (regulations 61 to 68). This Part also contains provision governing the discontinuance of an investigation (regulations 69 and 70) and the procedure in cases where a conduct matter is revealed during an investigation into a DSI matter (regulation 71).

Part 7 sets out the basis governing the submission of investigation reports, the actions which the Commission or the appropriate authority are required to take, the prescribed appeal rights in relation to an investigation and the availability of a review or reinvestigation following an appeal (regulations 72 to 78). Regulation 79 sets out the duties on the appropriate authority with respect to disciplinary proceedings (e.g. following a recommendations made by the Commission) and the information which is required to be provided to complainants about such proceedings (regulation 80). Regulations 81 and 82 make provision for the Commission’s power to make recommendation in certain cases and the corresponding duties on person to whom such recommendations are made.

Part 8 contains provision about a number of general matters including appeal processes and which person may hear an appeal (regulations 90 and 91).

An impact assessment has not been prepared for this instrument as no impact on businesses, charities, voluntary bodies or the public sector is foreseen.

Footnotes

Local resolution of complaints

Appeals relating to complaints dealt with other than by investigation

Other investigations: action by appropriate authority

Special cases: recommendation or direction of Director General

Power to discontinue an investigation

Procedure where conduct matter is revealed during investigation of DSI matter

Editorial notes