The Gangmasters and Labour Abuse Authority (Complaints and Misconduct) Regulations 2017

• (1) On a review under regulation 73(10)(a) (appeals with respect to an investigation) of the findings of an investigation, the powers of the Director General are to do one or more of the following—

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

• (b) to give the Chief Executive such directions as the Director General sees fit—

• (i) as to the carrying out by the Chief Executive of the Chief Executive’s 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;

• (c) to direct that the complaint be re-investigated.

• (2) Where the Director General gives a direction under regulation 73(10) or paragraph (1) that a complaint be re-investigated, the Director General must make a determination of the form that the re-investigation should take.

• (3) Paragraphs (3) to (7) of regulation 38 (power of the Director General to determine the form of an investigation) 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) apply in relation to any re-investigation in pursuance of a direction under regulation 73(10) or paragraph (1) of this regulation as they apply in relation to any investigation in pursuance of a determination under regulation 38.

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

• (a) to the Chief Executive;

• (b) to the complainant;

• (c) to every person entitled to be kept properly informed in relation to the complaint under regulation 14; 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 must also give notification of any directions given to the Chief Executive 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; 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.

75

• (1) This regulation applies where, in the case of any investigation, the Chief Executive—

• (a) has given, or is required to give, a notification under regulation 70(12) of the action the Chief Executive is required to or will, in the Chief Executive’s 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 69 or 73 setting out the action that the Chief Executive is required to or will, in the Chief Executive’s discretion, take in relation to those matters; or

• (c) has submitted, or is required to submit, a memorandum to the Director General under regulation 72.

• (2) Subject to regulation 59 (restrictions on proceedings pending the conclusion of an investigation) and to any recommendations or directions under the following provisions of this regulation, the Chief Executive must—

• (a) 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, 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 Chief Executive in respect of a LAPO that—

• (a) 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) the person’s performance is, or is not, unsatisfactory;

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

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

• (4) Where this regulation applies by virtue of paragraph (1)(c), the Director General may make a recommendation to the Chief Executive in respect of a LAPO—

• (a) that the person’s performance 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) The Chief Executive must notify the Director General whether the Chief Executive accepts a recommendation made under this regulation and, if the Chief Executive does, set out in the notification the steps that the Chief Executive is proposing to take to give effect to it.

• (6) If, after the Director General has made a recommendation under this regulation, the Chief Executive does not take steps to secure that full effect is given to the recommendation—

• (a) the Director General may direct the Chief Executive to take steps for that purpose; and

• (b) the Chief Executive must comply with the direction.

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

• (8) Where the Director General gives the Chief Executive a direction under this regulation, the Director General must supply the Chief Executive with a statement of the Director General’s reasons for doing so.

• (9) Where disciplinary proceedings or unsatisfactory performance proceedings have been brought in accordance with a recommendation or direction under this regulation, the Chief Executive must ensure that they are proceeded with to a proper conclusion.

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

• (11) The Chief Executive must keep the Director General informed—

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

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

Information for the complainant about disciplinary recommendation

76

• (1) Where—

• (a) the Director General makes a recommendation under regulation 75 (duties with respect to disciplinary proceedings etc.) in the case of an investigation of a complaint; and

• (b) the Chief Executive notifies the Director General that the recommendation has been accepted,

the Director General must notify the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 14 of the recommendation and of the steps that have been, or are to be taken, by the Chief Executive to give effect to it.

• (2) Where in the case of an investigation of a complaint the Chief Executive—

• (a) notifies the Director General that the Chief Executive does not (either in whole or in part) accept a recommendation made by the Director General under regulation 75; or

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

the Director General must determine what (if any) further steps to take under that regulation.

• (3) The Director General must 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 75; and

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

Recommendations by the Commission

77

• (1) This regulation applies where the Director General has received a report under—

• (a) regulation 68(3) (report on completion of investigation of a complaint or conduct matter supervised or managed by the Director General);

• (b) regulation 68(4) (report on completion of investigation of a complaint or conduct matter by the Director General ...); or

• (c) regulation 71(2) (report on completion of investigation of a DSI matter).

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

• (a) regulation 27 (appeals relating to complaints dealt with other than by investigation); or

• (b) regulation 73 (appeals with respect to an investigation).

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

• (4) Where the Director General makes a recommendation under this regulation, the Director General must also—

• (a) publish the recommendation, and

• (b) send a copy of it to any person to whom the Director General thinks a copy should be sent.

• (5) Nothing in this regulation affects the power of the Director General to make recommendations or give advice under regulation 6(1)(e) (general functions of the Director General under these Regulations).

• (6) Where the Director General makes a recommendation under this regulation, the Chief Executive must provide to the Director General a response in writing stating—

• (a) what action the Chief Executive has taken or proposes to take in response to the recommendation; or

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

• (7) The Chief Executive must provide the response to the Director General before the end of the period of 28 days beginning with the day on which the recommendation was made.

PART 8 — GENERAL

Complaints or conduct matters concerning a person who has subsequently ceased to be an officer of the Authority

78

• (1) Where a complaint or conduct matter relates to the conduct of a person who has ceased to be an officer of the Authority since the time of the conduct, these Regulations apply in relation to such a person as if they did not include any requirement for the Chief Executive to determine whether disciplinary proceedings should be brought against that person.

Complaints or conduct matters concerning a person whose identity is unknown

79

• (1) Where a complaint or conduct matter relates to the conduct of a person whose identity is unknown at the time at which the complaint is made or the conduct matter is recorded, and whose identity is not known during or subsequent to the investigation of the complaint or recordable conduct matter, these Regulations apply in relation to such a person as if they 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 Chief Executive 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 the Chief Executive 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 the Chief Executive must 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

80

• (1) So far as not covered by regulations 69(11) and (12) and 73(14) and (15) (notifications by the Director General in relation to recommending disciplinary proceedings), where the Director General takes any action or decisions in consequence of it having received a memorandum under regulation 69(9) or regulation 73(5), the Director General must notify such action or decisions, together with an explanation of the Director General’s reasons for having taken them, to—

• (a) the Chief Executive;

• (b) the complainant and any other interested person within the meaning of regulation 14 (duty to provide information for other persons);

• (c) subject to paragraph (2), the person complained against.

• (2) 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 or proceedings or review of the complaint.

Records to be kept by the Chief Executive

81

• (1) The Chief Executive must keep records, in such form as the Director General must determine, of—

• (a) every complaint and purported complaint that is made to the Chief Executive;

• (b) every conduct matter recorded under regulation 28 or 29;

• (c) every DSI matter recorded under regulation 34;

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

Register to be kept by the Commission

82

• (1) The Director General must establish and maintain a register of all information supplied to the Director General by the Chief Executive 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 or investigations;

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

• (c) improving the complaints system.

• (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 Executive

83

• (1) Subject to paragraph (2), the Chief Executive may delegate all or any of the powers or duties conferred or imposed on the Chief Executive by or under these Regulations to another officer of the Authority.

• (2) The Chief Executive may not, in any particular case, delegate any power or duty under paragraph (1) to a person—

• (a) unless that person has an appropriate level of knowledge, skills and experience to exercise the power or perform the duty;

• (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.

Manner and time limits of notifications

84

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

• (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 applies in any case where exceptional circumstances prevent that time limit being complied with.

Appeals

85

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

• (a) regulation 20(3) (appeal against a failure to record a complaint);

• (b) regulation 25(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 27(1) (appeal against the outcome of a complaint subjected to local resolution or handled otherwise than in accordance with these Regulations);

• (d) regulation 66(9) (appeal against a decision to discontinue an investigation); and

• (e) regulation 73(2) (appeal in relation to an investigation).

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

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

• (b) the fact that the appeal is to the Director General; and

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

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

• (4) The Director General may extend the time period mentioned in paragraph (3) in any case where the Director General is satisfied that by reason of the special circumstances of the case it is just to do so.

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

• (a) details of the complaint;

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

• (c) the decision which is the subject of the appeal;

• (d) the grounds for the appeal; and

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

• (6) Where the Director General receives an appeal which fails to comply with one or more of the requirements mentioned in paragraph (5), the Director General may decide to proceed as if that requirement or those requirements had been complied with.

• (7) Where the Director General receives an appeal the Director General must—

• (a) notify the Chief Executive of the appeal as soon as reasonably practicable; and

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

• (8) Any person receiving a request under paragraph (7)(b) must supply to the Director General the information requested.

• (9) The Director General must determine the outcome of the appeal as soon as practicable.

• (10) The Director General must notify the complainant and the Chief Executive of the reasons for the Director General’s determination.

• (11) In the case of an appeal other than one under regulation 20(3)—

• (a) the Director General must notify the complainant of any direction the Director General gives to the Chief Executive as to the future handling of the complaint; and

• (b) subject to paragraph (12), the Chief Executive must notify the person complained against of any such direction.

• (12) The Chief Executive may decide not to make a notification under paragraph (11)(b) if the Chief Executive is of the opinion that to do so might prejudice any criminal investigation or proceedings or would otherwise be contrary to the public interest.

Signed

Amber Rudd — Secretary of State — Home Office — 3rd April 2017

Explanatory note

(This note is not part of the 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 officers of the Gangmasters and Labour Abuse Authority (“the Authority”) in their capacity as labour abuse prevention officers (“LAPOs”). Section 114B of the Police and Criminal Evidence Act 1984 (inserted by section 12 of the Immigration Act 2016) defines a LAPO as an officer of the Authority who is authorised by the Secretary of State for the purposes of the section and who is acting for the purposes of one of four specified Acts (or any other purpose prescribed in regulations made by the Secretary of State).

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”). These Regulations 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 the Authority and the police.

Part 1 contains introductory provision, including an interpretation provision (regulation 2).

Part 2 contains provision which sets out the broad basis on which the Commission has oversight of complaints and misconduct relating to LAPOs. It makes provision to apply specific sections of Part 2 of the 2002 Act with modifications (regulation 5), and sets out 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 set out the general duties of the Chief Executive of the Authority (“the Chief Executive”), payment for assistance (e.g. in a case where the police assists with an investigation), the provision of information by the Chief Executive to the Commission and requirements in relation to onward disclosure of such information and the inspection of Authority 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) and duties regarding the initial handling and recording of complaints (regulation 18). It makes provision regarding the referral of complaints to the Commission (regulations 21 and 22) and the handling of complaints by the Chief Executive (regulations 23 to 26). There are prescribed appeal rights in certain cases (regulations 20, 25 and 27).

Part 4 contains provision about the handling of conduct matters. It imposes duties in relation to the identification and recording of conduct matters (regulations 28 to 30) and the preservation of evidence (regulation 31) and makes provision regarding the referral of conduct matters to the Commission (regulations 32 and 33).

Part 5 contains provision about the handling of DSI matters. It imposes duties to record DSI matters and preserve evidence (regulations 34 and 35) and makes provision regarding the referral of DSI matters to the Commission (regulations 36 and 37).

Part 6 contains provision governing the basis on which the Commission determines the form of an investigation in a matter referred to it (regulation 38), ranging from investigations carried out by the Chief Executive on the Chief Executive’s own behalf (regulation 41) or supervised or managed by the Commission (regulations 42 or 43) to investigations carried out by the Commission itself (regulation 44). There is also provision governing the appointment of persons to carry out investigations (regulation 39) 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 40 and 49 to 52).

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 53 to 56), powers to interview witnesses (regulation 58), restrictions on certain proceedings during an investigation (regulation 59) and an accelerated procedure in cases where gross misconduct is identified during an investigation into a complaint or conduct matter (regulations 60 to 54). The provisions on interviews require the officer of the Authority called to interview to attend. If the officer fails to attend, the officer may be dealt with in accordance with the Authority’s disciplinary processes. This Part also contains provision governing the discontinuance of an investigation (regulations 65 and 66) and the procedure in cases where a conduct matter is revealed during an investigation into a DSI matter (regulation 67).

Part 7 sets out the basis governing the submission of investigation reports, the actions which the Commission or the Chief Executive 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 68 to 74). Regulation 75 sets out the duties on the Chief Executive 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 76).

Part 8 contains provision about a number of general matters.

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

Footnotes

[^f00001]: 2002 c. 30. Section 26D was inserted by paragraph 12 of Schedule 3 to the Immigration Act 2016 (c. 19).

[^f00002]: Section 24 was amended by paragraph 12 of Schedule 4 to the Police and Justice Act 2006 (c. 48), paragraph 289 of Schedule 16 to the Police Reform and Social Responsibility Act 2011 (c. 13) and paragraphs 6 and 7 of Schedule 14 to the Policing and Crime Act 2017 (c. 3).

[^f00003]: 1996 c. 16. Section 63(3)(b) was substituted by paragraphs 68 and 78 of Schedule 4 to the Serious Organised Crime Act 2005 (c. 15); there have been further amendments to section 63 that are not relevant for these purposes.

[^f00004]: 1971 c. 80.

[^f00005]: 2004 c. 11.

[^f00006]: 1984 c. 60. Section 114B was inserted by section 12(1) of the Immigration Act 2016.

[^f00007]: 1980 c. 43. Section 33 has been amended by section 17 of, and Part II of Schedule 4 to, the Criminal Justice Act 1991 (c. 53), section 2 of the Aggravated Vehicle-Taking Act 1992 (c. 11), paragraph 65 of Schedule 9 to the Powers of Criminal Courts (Sentencing) Act 2000 (c. 6) and paragraphs 25 and 27 of Schedule 32 to the Criminal Justice Act 2003 (c. 44).

[^f00008]: Section 12(7) has been amended by paragraphs 277 and 280 of Schedule 16 to the Police Reform and Social Responsibility Act 2011. Section 12(8)-(10) was inserted by section 135 of the Anti-social Behaviour, Crime and Policing Act 2014 (c. 12).

[^f00009]: 1992 c. 52.

[^f00010]: 2016 c. 25.

[^f00011]: 2000 c. 23.

[^f00012]: There are amendments to section 22 not relevant to these Regulations.

[^f00013]: Paragraphs (b) to (c) were first substituted by paragraph 12 of Schedule 4 to the Police and Justice Act 2006 (c. 48). Paragraph (b), as substituted, was then substituted by paragraphs 277 and 289 of Schedule 16 to the Police Reform and Social Responsibility Act 2011 (c. 13).

[^f00014]: 1998 c. 42.

[^f00015]: 1992 c. 52.

[^f00016]: 1996 c. 18.

[^f00017]: 2006 c. 52.

Editorial notes

[^key-b5914a0d2cdbd708876bc0b964c58322]: Reg. 1 in force at 30.4.2017, see reg. 1

[^key-2cdba306c207375f4522086725d688d9]: Reg. 2 in force at 30.4.2017, see reg. 1

[^key-44d6214e2ee77ab2257207ca73b24369]: Reg. 3 in force at 30.4.2017, see reg. 1

[^key-519a00b222bf293f77ef4b52085eb0c9]: Reg. 4 in force at 30.4.2017, see reg. 1

[^key-ff7591201f36e9f5239e23a90211eb8f]: Reg. 5 in force at 30.4.2017, see reg. 1

[^key-701f652ef92b63bea8362fa6fc4c1997]: Reg. 6 in force at 30.4.2017, see reg. 1

[^key-e1863d591c30673365b2e871c9c6a58b]: Reg. 7 in force at 30.4.2017, see reg. 1

[^key-3095e791a45046b222056c27e5f9f25d]: Reg. 8 in force at 30.4.2017, see reg. 1

[^key-45f93c95eae93c73a1d00a9e03e959ac]: Reg. 9 in force at 30.4.2017, see reg. 1

[^key-4c0fd5e5476a7bfc5a47b35c64a4a913]: Reg. 10 in force at 30.4.2017, see reg. 1

[^key-9ac6d81f29021cec6e6637ab706ed6b2]: Reg. 11 in force at 30.4.2017, see reg. 1

[^key-a50022c73c5c4d4c44aa451c459a7830]: Reg. 12 in force at 30.4.2017, see reg. 1

[^key-59e08aafb007d59e0b8a0612d43ff351]: Reg. 13 in force at 30.4.2017, see reg. 1

[^key-f3678da94cdbbd687016c24fc0e0ce26]: Reg. 14 in force at 30.4.2017, see reg. 1

[^key-08f06f2d69b123ea20c7cf12cf0fde8c]: Reg. 15 in force at 30.4.2017, see reg. 1

[^key-9d7451a8f32acc4a848c3330a24fbd09]: Reg. 16 in force at 30.4.2017, see reg. 1

[^key-34d23c8b045193ef517d1d3a12c008ca]: Reg. 17 in force at 30.4.2017, see reg. 1

[^key-601c0c8532a0bc245179313ff4649a4d]: Reg. 18 in force at 30.4.2017, see reg. 1

[^key-8017c2daa47ae42c214c3f8a4fbb8891]: Reg. 19 in force at 30.4.2017, see reg. 1

[^key-e9923498c632430d9de3eeb6d33e1b92]: Reg. 20 in force at 30.4.2017, see reg. 1

[^key-45e697345e0a9499b1b65c5c6db37051]: Reg. 21 in force at 30.4.2017, see reg. 1

[^key-11df3dfe63678d449d39f2b0517a95b4]: Reg. 22 in force at 30.4.2017, see reg. 1

[^key-3d8515384e7b8e2f2afaa4ebc51033d7]: Reg. 23 in force at 30.4.2017, see reg. 1

[^key-bb16bcb82a16c225ec6d4dd2999560d9]: Reg. 24 in force at 30.4.2017, see reg. 1

[^key-bf095e1f8152e3df9f3a016e97345b93]: Reg. 25 in force at 30.4.2017, see reg. 1

[^key-469c4a29bae3f016d13117a21a0c4436]: Reg. 26 in force at 30.4.2017, see reg. 1

[^key-c36793f6977aff0171ffc4dd142e21ef]: Reg. 27 in force at 30.4.2017, see reg. 1

[^key-da570bd5309603d6bac28ea55f76b6f9]: Reg. 28 in force at 30.4.2017, see reg. 1

[^key-68f7b92a2aee229fe32c52367c9c0e90]: Reg. 29 in force at 30.4.2017, see reg. 1

[^key-afe62d073b3ed2b4df1cf6aa800d7d58]: Reg. 30 in force at 30.4.2017, see reg. 1

[^key-70fdc725660647840682f19d5cefe254]: Reg. 31 in force at 30.4.2017, see reg. 1

[^key-317bcc1a1a83845440c753b3f94deaab]: Reg. 32 in force at 30.4.2017, see reg. 1

[^key-2a3d68ce5fbbeb4fa1bdc8b3a4310ed8]: Reg. 33 in force at 30.4.2017, see reg. 1

[^key-b18f827029299a9a2621c66b25405c37]: Reg. 34 in force at 30.4.2017, see reg. 1

[^key-fe5afd2780bf444a5f8e39b13dace607]: Reg. 35 in force at 30.4.2017, see reg. 1

[^key-51ecc76b95ac915e84447c30d8d73738]: Reg. 36 in force at 30.4.2017, see reg. 1

[^key-5b3fec9c2e0ed5fa1defcbbac802c0b5]: Reg. 37 in force at 30.4.2017, see reg. 1

[^key-19bef2a9e1d0fe5dc78a58bc610f9283]: Reg. 38 in force at 30.4.2017, see reg. 1

[^key-3e639ef118d14fd5c995de654c75ba0f]: Reg. 39 in force at 30.4.2017, see reg. 1

[^key-1a086fd8e3c89b2404d8ff5f7e314fb9]: Reg. 40 in force at 30.4.2017, see reg. 1

[^key-e81c693a1be5b832fe6dd3d66be2f7f8]: Reg. 41 in force at 30.4.2017, see reg. 1

[^key-81a24420809352309062d279a1834074]: Reg. 42 in force at 30.4.2017, see reg. 1

[^key-64b2d1e7235baa853c6668b1cf2cd3ee]: Reg. 43 in force at 30.4.2017, see reg. 1

[^key-a1061ae26eb1177821c90510693f4938]: Reg. 44 in force at 30.4.2017, see reg. 1

[^key-e97bfb660c2a20c5d97852c31db5c44a]: Reg. 45 in force at 30.4.2017, see reg. 1

[^key-adfcc29daf641bbbd39db38c1ce32bb1]: Reg. 46 in force at 30.4.2017, see reg. 1

[^key-2e528e2ecfa36dcb6b2f33d82511624b]: Reg. 47 in force at 30.4.2017, see reg. 1

[^key-433cfaf6f74a862c11f32c5ebf419eed]: Reg. 48 in force at 30.4.2017, see reg. 1

[^key-1d7cac6c395d7f32f72f317884cbabaf]: Reg. 49 in force at 30.4.2017, see reg. 1

[^key-e38f4c7b950caffaae26b41f11eaaf32]: Reg. 50 in force at 30.4.2017, see reg. 1

[^key-1f4d7c7fb8b07a7f064395234c566e18]: Reg. 51 in force at 30.4.2017, see reg. 1

[^key-07853223ff6711591e7727bd9ada46d7]: Reg. 52 in force at 30.4.2017, see reg. 1

[^key-fa15477365c63fca141f3362178d301a]: Reg. 53 in force at 30.4.2017, see reg. 1

[^key-3fb742f5834efb073f589ee857531d95]: Reg. 54 in force at 30.4.2017, see reg. 1

[^key-8e1ca3744e4a82bb350b07a4bc23540d]: Reg. 55 in force at 30.4.2017, see reg. 1

[^key-d6f9bb60a8dff0bc406f875bd61e7ae3]: Reg. 56 in force at 30.4.2017, see reg. 1

[^key-3e9ffeb3bdd629b21d4a72a916aefaeb]: Reg. 57 in force at 30.4.2017, see reg. 1

[^key-0fcac116269e93818c8529189d829413]: Reg. 58 in force at 30.4.2017, see reg. 1

[^key-5dfb93d9045bb2749129569ea58efaa4]: Reg. 59 in force at 30.4.2017, see reg. 1

[^key-b725c3db99f3afb6b37ed749f4abdf5e]: Reg. 60 in force at 30.4.2017, see reg. 1

[^key-3d7bcc654c483a99f91abcf6027f8e1d]: Reg. 61 in force at 30.4.2017, see reg. 1

[^key-d4f0a5a4192f15900988da2d7b2a1493]: Reg. 62 in force at 30.4.2017, see reg. 1

[^key-f8e321aa701753359637e866346b7ba3]: Reg. 63 in force at 30.4.2017, see reg. 1

[^key-3d20153613e626837adb259fe3892595]: Reg. 64 in force at 30.4.2017, see reg. 1

[^key-a12717ef4750e17ca38f4ff1cd2c9084]: Reg. 65 in force at 30.4.2017, see reg. 1

[^key-ecdc63be2c10e0466ea9613629393c85]: Reg. 66 in force at 30.4.2017, see reg. 1

[^key-a1624362ae83c1aaba9192027a9c11cb]: Reg. 67 in force at 30.4.2017, see reg. 1

[^key-047805896cc7af24fa2b252bc32a9e6c]: Reg. 68 in force at 30.4.2017, see reg. 1

[^key-77f71475835140eccc3daa8a0fe49505]: Reg. 69 in force at 30.4.2017, see reg. 1

[^key-d07600a140e3add44e041822e9769d90]: Reg. 70 in force at 30.4.2017, see reg. 1

[^key-0b1ebf60d6ee51878a87abeeae0550d1]: Reg. 71 in force at 30.4.2017, see reg. 1

[^key-158710ad5d64be14082c5fbdb02d76a0]: Reg. 72 in force at 30.4.2017, see reg. 1

[^key-6de591ffaacc2ee5971ca3705c791c7b]: Reg. 73 in force at 30.4.2017, see reg. 1

[^key-7909e1c97ffc96c9448a4d6b4d4f4f58]: Reg. 74 in force at 30.4.2017, see reg. 1

[^key-b6352b8d2591d7ea9fe22cdc1e598189]: Reg. 75 in force at 30.4.2017, see reg. 1

[^key-9517698f2b4d1939601d60668d1e0f76]: Reg. 76 in force at 30.4.2017, see reg. 1

[^key-3f3be0de5f3d9f68ccaaf787759538bc]: Reg. 77 in force at 30.4.2017, see reg. 1

[^key-5f64fb65de14fcf90d46dd59f8dd066a]: Reg. 78 in force at 30.4.2017, see reg. 1

[^key-fd69fcaef4a414d87a5a6c85459404cf]: Reg. 79 in force at 30.4.2017, see reg. 1

[^key-528b0d60357d9fef288ed8b04ff68604]: Reg. 80 in force at 30.4.2017, see reg. 1

[^key-29bcaa27b2d902617fde249ae562a20b]: Reg. 81 in force at 30.4.2017, see reg. 1

[^key-3488871f07c52fc16c18264c5df580f0]: Reg. 82 in force at 30.4.2017, see reg. 1

[^key-a1a47ed6649c7f0448bcbe8123a1933a]: Reg. 83 in force at 30.4.2017, see reg. 1

[^key-4b7f4b3e1d1b958e4befdca59622ec4c]: Reg. 84 in force at 30.4.2017, see reg. 1

[^key-8dcc623bef1c83b51e23b7206bcc3611]: Reg. 85 in force at 30.4.2017, see reg. 1

[^key-46aa6917a1379fcd3e9203c62fd2e896]: Regs. 6A, 6B inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(8) (with reg. 37)

[^key-1e7f56f3884463085f97fb604a072b13]: Word in Regulations omitted (8.1.2018) by virtue of The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(3) (with regs. 36(4), 37)

[^key-05a1240998a229353193ef1247216f64]: Words in Regulations substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(2)(b) (with regs. 36(4), 37)

[^key-a80ea50a42cdb32f50bf46fcc8a2b4a7]: Words in Regulations substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(2)(a) (with regs. 36(4), 37)

[^key-52d650aaf44175de487e5bfd8e64a79f]: Words in Regulations substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(2)(c) (with reg. 37)

[^key-b7433fcd58cd8862fcadb878cdb81b41]: Words in reg. 2 inserted (8.1.2018) by virtue of The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(5)(b) (with reg. 37)

[^key-ee9e929389a61e14177cea6919247398]: Words in Regulations substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(2)(d) (with regs. 36(4), 37)

[^key-d4a7ba91d87cb9c6a0d821c70ad595ac]: Words in reg. 5(1) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(6) (with reg. 37)

[^key-f279bbd90031bc556147426222a9bdfe]: Reg. 6(3A) inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(7)(a) (with reg. 37)

[^key-ac58b97b68fe4c7968a09dfdc27bf3c5]: Word in reg. 6(5) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(7)(b) (with reg. 37)

[^key-6c9586ab61fd30e68dc54b74c709fabd]: Reg. 7(6)(6A) substituted for reg. 7(6) (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(9)(b) (with reg. 37)

[^key-b283dbe7aa0c3f574c7e2ea2621c6c2b]: Reg. 7(1)(2) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(9)(a) (with reg. 37)

[^key-5772a2cf3d2fc17841f0568c30433245]: Word in reg. 9(2) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(10) (with reg. 37)

[^key-0e2f1169f7d4962e926d48a0739b6cf0]: Word in reg. 10(1)(c) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(11)(a) (with reg. 37)

[^key-b41b664b892a60e8d54fd345f75e5adf]: Word in reg. 10(3) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(11)(b) (with reg. 37)

[^key-dd2e3c8809d7667eaea01b1340ceb1b0]: Reg. 23(3) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(12) (with reg. 37)

[^key-fa4169e6bd678192f5219a4ced244e25]: Word in reg. 29(3)(d) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(13) (with reg. 37)

[^key-531071c12051e9f642c8bcf904d6f955]: Words in reg. 32(2)(d) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(13) (with reg. 37)

[^key-f6197c40ef7fa3b50ede275a65ffbdcb]: Reg. 44(2)(2A) substituted for reg. 44(2) (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(14)(a) (with regs. 37, 38)

[^key-98da1ae096f8e6e736bcdf1b14b59384]: Word in reg. 44(3) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(14)(b) (with regs. 37, 38)

[^key-304a2f4319b8208625fb5dba7a675348]: Words in reg. 44(4) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(14)(c) (with regs. 37, 38)

[^key-9a894ce94fc1db0631d4573e2914f9ba]: Words in reg. 53(1) inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(15) (with reg. 37)

[^key-aa348de8f92fedf698538a991a00d0bb]: Words in reg. 58(1)(b) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(16) (with reg. 37)

[^key-5386d281851efe9ae2cd5afac18bd807]: Words in reg. 60(1) inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(17)(a) (with reg. 37)

[^key-f7df6a49145f4e0e1dc34ae636aa28b7]: Words in reg. 60(3)(a) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(17)(b) (with reg. 37)

[^key-6b68d569643cf57c7ef1b33e3ea7470b]: Reg. 67(2A)(2B) inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(18)(b) (with reg. 37)

[^key-ddd8d1fb5e1e9eebc545fc4f4fb7745d]: Words in reg. 67(1) omitted (8.1.2018) by virtue of The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(18)(a) (with reg. 37)

[^key-4c6540e55491d8e41d77b55cd1edf4d1]: Words in reg. 67(5)(a) inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(18)(c) (with reg. 37)

[^key-16c1d3fc38d7ff51b169900d0a76c8e9]: Reg. 68(4) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(19)(a) (with reg. 37)

[^key-7820a06370c54128d26938fe61a94723]: Words in reg. 68(5) inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(19)(b) (with reg. 37)

[^key-ef35629784fb4f6346f86b28bd9b7173]: Words in reg. 68(7) inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(19)(c) (with reg. 37)

[^key-28a05a00cadb5a0893cca126f6cae974]: Reg. 71(2)(a) substituted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(20)(a) (with reg. 37)

[^key-3aab336ee1f9c17cfdce7f8a55c332cc]: Words in reg. 71(3) inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(20)(b) (with reg. 37)

[^key-3d5056fc9a3c25e9a156aafa85d96a28]: Words in reg. 71(4) inserted (8.1.2018) by The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(20)(c) (with reg. 37)

[^key-7daa83dbd11aa400e0cac8cf60a2a4cc]: Words in reg. 2 omitted (8.1.2018) by virtue of The Independent Office for Police Conduct (Transitional and Consequential) Regulations 2017 (S.I. 2017/1250), regs. 1, 36(5)(a) (with reg. 37)

Application of the 2002 Actetc.

General functions of the Director General under these Regulations

General Functions of the IOPC under these Regulations

6A

• (1) The functions of the IOPC are—

• (a) to provide support and advice to the Director General in the carrying out of the Director General’s functions, and

• (b) to monitor and review the carrying out of such functions.

• (2) The IOPC is to perform its functions under these Regulations for the general purpose of improving the way in which the Director General’s functions are carried out (including by encouraging the efficient and effective use of resources in the carrying out of those functions).

• (3) In carrying out its functions under these Regulations the IOPC must in particular have regard to public confidence in the existence of suitable arrangements with respect to the matters mentioned in regulation 6(2) and with the operation of the arrangements that are in fact maintained with respect to those matters.

• (4) The IOPC may do anything which appears to it to be calculated to facilitate, or is incidental or conducive to, the carrying out of its functions under these Regulations.

Efficiency etc. in exercise of functions

6B

The Director General and the IOPC must carry out their functions under these Regulations efficiently and effectively.

Reports to the Secretary of State

Complaints and matters to which, and persons to whom, these Regulations apply

General duties of the Chief Executive

Payment for assistance with investigations

Provision of information to the Director General

Inspection of premises on behalf of the Director General

Duty to keep the complainant informed

Duty to provide information for other persons

Manner in which duties to provide information are to be performed

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

Reference of complaints to the Director General

Duties of the Director General on references under regulation 21

Reference of conduct matters to the Director General

Duties of the Director General on references under regulation 32

Reference of DSI matters to the Director General

Duties of the Director General on references under regulation 36

Power of the Director General to determine the form of an investigation

Investigations supervised by the Director General

Investigations managed by the Director General

Investigations by the Director General ...

Investigations by the Director General: power to serve an information notice

Relinquishing the Director General’s supervision or management of an investigation

Action by the Director General in response to an investigation report under regulation 68

Action by the Director General in response to an investigation report under regulation 71

Recommendations by the Director General

Register to be kept by the Director General