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

• (2) Where the Director General makes an order under regulation 65(1) or discontinues an investigation being carried out in accordance with regulation 44, the Director General must give notification of the discontinuance—

• (a) to the Chief Executive;

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

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

• (3) Where the Chief Executive discontinues an investigation under regulation 65(2), the Chief Executive must give notification of the discontinuance—

• (a) to every person entitled to be kept properly informed in relation to the subject matter of 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 65(1)—

• (a) the Director General may give the Chief Executive directions in accordance with paragraph (5); and

• (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,

but otherwise neither the Chief Executive nor the Director General may take any further action in accordance with the provisions of these Regulations in relation to that complaint or matter.

• (5) A direction given to the Chief Executive by the Director General under paragraph (4)(a) may—

• (a) require the Chief Executive to produce an investigation report on the discontinued investigation under regulation 68 and to take any subsequent steps under these Regulations;

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

• (c) in a case within regulation 65(9)(b), require the Chief Executive to subject the complaint to local resolution;

• (d) direct the Chief Executive to handle the matter in whatever manner (if any) the Chief Executive thinks fit.

• (6) The Chief Executive must comply with any directions given under paragraph (5).

• (7) Where an investigation of a complaint, recordable conduct matter or DSI matter is discontinued in accordance with regulation 65(2)—

• (a) the Chief Executive may take any such steps of a description specified in paragraph (8) as the Chief Executive considers appropriate for purposes connected with the discontinuance of the investigation; but

• (b) otherwise neither the Chief Executive nor the Director General may 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;

• (c) to subject the complaint to local resolution;

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

• (9) The complainant may appeal to the Director General against any decision by the Chief Executive under regulation 65(2) to discontinue the investigation of the complaint.

• (10) On an appeal under this regulation, the Director General must—

• (a) determine whether any decision taken by the Chief Executive under regulation 65 or this regulation should have been taken in the case in question; and

• (b) if the Director General finds in the complainant’s favour, give such directions as the Director General thinks appropriate to the Chief Executive as to the action to be taken for investigating the complaint;

and the Chief Executive must comply with any such directions.

Procedure where a conduct matter is revealed during investigation of a 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 43 (investigations managed by the Director General) ... that there is an indication that a LAPO 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 must 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 must—

• (a) notify the Chief Executive of that determination; and

• (b) send to the Chief Executive a copy of the submission under paragraph (1).

• (2A) If during the course of an investigation of a DSI matter by a person designated under regulation 44 the Director General determines that 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 must proceed under sub-paragraph (2B).

• (2B) The Director General must—

• (a) prepare a record of the determination;

• (b) notify the Chief Executive of the determination; and

• (c) send to the Chief Executive a copy of the record of the determination prepared under paragraph (a).

• (3) If during the course of an investigation of a DSI matter it appears to a person appointed under regulation 39 (investigations by the Chief Executive on the Chief Executive’s own behalf) or 40 (investigations supervised by the Director General) that there is an indication that a LAPO may have—

• (a) committed a criminal offence; or

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

the appointed person must make a submission to that effect to the Chief Executive.

• (4) If, after considering a submission under paragraph (3), the Chief Executive determines that there is such an indication, the Chief Executive must—

• (a) notify the Director General of that determination; and

• (b) send to the Director General a copy of the submission under paragraph (3).

• (5) Where the Chief Executive—

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

• (b) makes a determination under paragraph (4),

the Chief Executive must record the matter under regulation 29 as a conduct matter.

• (6) Where a DSI matter is recorded under regulation 29 as a conduct matter by virtue of paragraph (5)—

• (a) the person investigating the DSI matter must (subject to any determination made by the Director General under regulation 38(5)) continue the investigation as if appointed or designated to investigate the conduct matter; and

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

PART 7 — REPORTS AND RECOMMENDATIONS

Final reports on investigations: complaints and conduct matters

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• (1) This regulation applies on the completion of an investigation of—

• (a) a complaint; or

• (b) a conduct matter (including a matter that was formerly a DSI matter but has been recorded as a conduct matter in pursuance of regulation 67(5)).

• (2) A person appointed under regulation 41 (investigations by the Chief Executive on the Chief Executive’s own behalf) must submit a report on that person’s investigation to the Chief Executive.

• (3) A person appointed under regulation 42 (investigations supervised by the Director General) or 43 (investigations managed by the Director General) must—

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

• (b) send a copy of that report to the Chief Executive.

• (4) A person designated under regulation 44 as the person in charge of an investigation (investigations by the Director General) must—

• (a) submit a report on the investigation 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.

• (5) A person submitting or, in the case of an investigation under regulation 44 by the Director General acting personally, completing a report under this regulation is not 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.

• (6) For the purposes of a report on an investigation to which regulation 54 (special procedure cases) applies, on completion of the investigation the report must—

• (a) provide an accurate summary of the evidence;

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

• (c) indicate the opinion of the person investigating as to whether there is a case to answer in respect of misconduct or gross misconduct or whether there is no case to answer.

• (7) A person who has submitted or, in the case of an investigation under regulation 44 by the Director General acting personally, completed a report under this regulation on an investigation to which regulation 54 applies must supply the Chief Executive with such copies of further documents or other items in that person’s possession as the Chief Executive may request.

• (8) The Chief Executive may only make a request in respect of a copy of a document or other item if the Chief Executive—

• (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 (9).

• (9) Those purposes are—

• (a) complying with any obligation which the Chief Executive 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 68

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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 68; or

• (b) a report on an investigation carried out by a person designated by the Director General is submitted to the Director General under paragraph (4) of that regulation.

• (2) On receipt of the report, the Director General must—

• (a) if it appears that the Chief Executive has not already been sent a copy of the report, send a copy of the report to the Chief Executive;

• (b) 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, notify the Director of Public Prosecutions of the determination and send the Director a copy of the report; and

• (d) notify the Chief Executive 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 must 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) The Director General must 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, the Director General must also notify the Chief Executive that the Chief Executive 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 Chief Executive is required to, or will in the Chief Executive’s discretion, take in respect of the matters dealt with in the report; and

• (d) what other action (if any) the Chief Executive will in the Chief Executive’s discretion take in respect of those matters.

• (9) On receipt of a notification under paragraph (8) the Chief Executive must make those determinations and submit a memorandum to the Director General which—

• (a) sets out the determinations the Chief Executive has made; and

• (b) if the Chief Executive 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 the Chief Executive’s reasons for so deciding.

• (10) On receipt of a memorandum under paragraph (9), the Director General must—

• (a) consider the memorandum and whether the Chief Executive has made the determinations under paragraph (8) 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 75 (duties with respect to disciplinary proceedings etc.); and

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

• (11) On the making of a determination under paragraph (10)(b) the Director General must 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.

• (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

• (c) the action which the Chief Executive is to be recommended to take as a consequence of the determination.

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

• (14) Subject to regulation 16, the Director General is 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.

Action by the Chief Executive in response to an investigation report under regulation 68

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• (1) This regulation applies where—

• (a) a report of an investigation is submitted to the Chief Executive in accordance with regulation 68(2); or

• (b) a copy of a report of an investigation carried out under the supervision of the Director General is sent to the Chief Executive in accordance with regulation 68(3).

• (2) On receipt of the report or (as the case may be) the copy, the Chief Executive must—

• (a) determine whether the conditions set out in paragraphs (3) and (4) are satisfied in respect of the report;

• (b) if the Chief Executive determines that those conditions are so satisfied, notify the Director of Public Prosecutions of the determination and send the Director a copy of the report; and

• (c) notify the persons mentioned in paragraph (5) of the Chief Executive’s determination under paragraph (a) and of any action taken by the Chief Executive 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 Chief Executive, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions.

• (5) 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.

• (6) In the case of a report falling within paragraph (1)(b) which relates to a recordable conduct matter, the Chief Executive must also notify the Director General of the Chief Executive’s determination under paragraph (2)(a).

• (7) On receipt of a notification that the Chief Executive has determined that the conditions in paragraph (3) and (4) are not satisfied in respect of the report, the Director General must—

• (a) 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, direct the Chief Executive to notify the Director of Public Prosecutions of the Director General’s determination and send the Director a copy of the report.

• (8) The Chief Executive must comply with any direction given to the Chief Executive under paragraph (7).

• (9) The Director of Public Prosecutions must notify the Chief Executive 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) or following a direction by the Director General under paragraph (7).

• (10) The Chief Executive must notify the persons mentioned in paragraph (5) 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) or following a direction by the Director General under paragraph (7).

• (11) On receipt of the report or (as the case may be) of the copy, the Chief Executive must note the contents of the report and determine—

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

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

• (c) what action (if any) the Chief Executive is required to, or will in the Chief Executive’s discretion, take in respect of the matters dealt with in the report; and

• (d) what other action (if any) the Chief Executive will in the Chief Executive’s discretion take in respect of those matters.

• (12) On the making of the determinations under paragraph (11) the Chief Executive must 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.

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

• (a) the findings of the report;

• (b) the determinations the Chief Executive has made under paragraph (11); and

• (c) the complainant’s right of appeal under regulation 73 (appeals with respect to an investigation).

• (14) Regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons) has effect in relation to the duties imposed on the Chief Executive by paragraph (12) of this regulation as it has effect in relation to the duties imposed on the Chief Executive by regulations 13 and 14.

• (15) Subject to regulation 16, the Chief Executive is 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.

Final reports on investigations: 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 Chief Executive has made a determination under regulation 67(2) or (4) (procedure where a conduct matter is revealed during investigation of a DSI matter).

• (2) The person investigating must—

• (a) submit a report on the investigation to the Director General or, where the person in charge of the investigation is the Director General acting personally, complete a report on the investigation; and

• (b) send a copy of that report to the Chief Executive.

• (3) A person submitting or, where the person in charge of the investigation is the Director General acting personally, completing a report under this regulation is not prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in the report as that person thinks fit.

• (4) On receipt , or completion, of the report, the Director General must determine whether the report indicates that a LAPO 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 71

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• (1) If the Director General determines under regulation 71(4) that the report indicates that a LAPO may have—

• (a) committed a criminal offence; or

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

the Director General must notify the Chief Executive and, if it appears that the Chief Executive has not already been sent a copy of the report, send a copy of the report to the Chief Executive.

• (2) Where the Chief Executive is notified of a determination by the Director General under paragraph (1), the Chief Executive must record the matter under regulation 29 as a conduct matter.

• (3) Where a DSI matter is recorded under regulation 29 as a conduct matter by virtue of paragraph (2)—

• (a) the person investigating the DSI matter must (subject to any determination made by the Director General under regulation 38(5)) investigate the conduct matter as if appointed or designated to do so; and

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

• (4) This paragraph applies where the Director General determines under regulation 71(4) that there is no indication in the report that a LAPO may have—

• (a) committed a criminal offence; or

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

• (5) Where paragraph (4) applies, the Director General may notify the Chief Executive that the Chief Executive must determine—

• (a) whether or not the performance of a LAPO is unsatisfactory; or

• (b) what action (if any) the Chief Executive will take in respect of any such LAPO’s performance.

• (6) On receipt of a notification under paragraph (5) the Chief Executive must make those determinations and submit a memorandum to the Director General setting out the determinations the Chief Executive has made.

• (7) On receipt of a memorandum under paragraph (6), the Director General must—

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

• (b) determine whether or not to make recommendations under regulation 75 (duties with respect to disciplinary proceedings etc.);

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

Appeals with respect to an investigation

73

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

• (a) an investigation by the Chief Executive on the Chief Executive’s own behalf; or

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

• (2) The complainant may appeal to the Director General—

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

• (i) about the findings of the investigation;

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

• (b) against the findings of the investigation;

• (c) against any determination by the Chief Executive that a person to whose conduct the investigation related has a case to answer, or has no case to answer, in respect of misconduct or gross misconduct or that such a person’s performance is, or is not, unsatisfactory;

• (d) against any determination by the Chief Executive relating to the taking (or not taking) of action in respect of any matters dealt with in the report; and

• (e) against any determination by the Chief Executive that the conditions in regulation 70(3) and (4) (requirement to send copy of the report to the Director of Public Prosecutions) are not satisfied.

• (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 60 (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) The Director General must notify the Chief Executive, 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.

• (5) On the bringing of an appeal under this regulation, the Director General may require the Chief Executive to submit a memorandum to the Director General which—

• (a) sets out whether the Chief Executive has determined that a person to whose conduct the investigation related has a case to answer, or has no case to answer, in respect of misconduct or gross misconduct;

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

• (c) sets out what action (if any) the Chief Executive has determined that the Chief Executive is required to or will, in the Chief Executive’s discretion, take in respect of the matters dealt with in the report;

• (d) if the Chief Executive 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 the Chief Executive’s reasons for so deciding; and

• (e) if the Chief Executive made a determination that the conditions in regulation 70(3) and (4) are not satisfied, sets out the reasons for that determination,

and the Chief Executive must comply with any requirement under this paragraph.

• (6) Where the Director General so requires on the bringing of any appeal under this regulation in the case of an investigation by the Chief Executive on the Chief Executive’s own behalf, the Chief Executive must provide the Director General with a copy of the report of the investigation.

• (7) On an appeal under this regulation, the Director General must determine such of the following as the Director General 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;

• (c) whether the Chief Executive—

• (i) has made such a determination as is mentioned in paragraph (5)(a) or (b) that the Director General considers to be appropriate in respect of matters dealt with in the report; and

• (ii) has determined that the Chief Executive is required to or will, in the Chief Executive’s discretion, take the action (if any) that the Director General considers to be so appropriate; and

• (d) whether the conditions set out in regulation 70(3) and (4) are satisfied in respect of the report.

• (8) If, on an appeal under this regulation, the Director General determines that the complainant has not been provided with adequate information about any matter, the Director General must give the Chief Executive all such directions as the Director General considers appropriate for securing that the complainant is properly informed.

• (9) Nothing in paragraph (8) authorises 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 regulation 16.

• (10) If, on an appeal under this regulation, the Director General determines that the findings of the investigation need to be reconsidered, the Director General must either—

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

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

• (11) If, on an appeal under this regulation, the Director General determines—

• (a) that the Chief Executive has not made a determination as to whether there is a case for a person to whose conduct the investigation related to answer in respect of misconduct or gross misconduct that the Director General considers appropriate;

• (b) that the Chief Executive has not made a determination as to whether such a person’s performance is unsatisfactory; or

• (c) that the Chief Executive has not determined that the Chief Executive is required to or will, in the Chief Executive’s discretion, take the action in respect of the matters dealt with in the report that the Director General considers appropriate,

the Director General must determine, in the light of that determination, whether or not to make recommendations under regulation 75 (duties with respect to disciplinary proceedings etc.) and make such recommendations (if any) under that regulation as the Director General thinks fit.

• (12) If disciplinary proceedings or unsatisfactory performance proceedings are brought by virtue of paragraph (11), the Chief Executive must ensure that they are proceeded with to a proper conclusion.

• (13) If, on an appeal under this regulation, the Director General determines that the conditions set out in regulation 70(3) and (4) are satisfied in respect of the report, the Director General must direct the Chief Executive to—

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

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

• (14) The Director General must give notification of any determination under this regulation to—

• (a) the Chief Executive;

• (b) the complainant;

• (c) 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 review or re-investigation of the complaint, the person complained against.

• (15) The Director General must give notification of any directions given to a person under this regulation to—

• (a) the complainant;

• (b) 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, the person complained against.

• (16) The Chief Executive must comply with any directions given under this regulation.

Reviews and re-investigations following an appeal

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• (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

Editorial notes