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The Food Crime Officers (Complaints and Misconduct) Regulations 2025

Type Statutory-Instrument

Publication 2025-03-07

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(b) that two or more separate investigations which take different forms (including an investigation being carried out by the chief executive on the chief executive’s own behalf) may be combined into a single investigation.

Withdrawn complaints

40

(1) This regulation applies where the chief executive receives a notification signed by the complainant or the complainant’s solicitor or other authorised agent on the complainant’s behalf that the complainant—

(a) withdraws the complaint; or

(b) does not wish any further steps to be taken.

(2) The chief executive must record the withdrawal or the fact that the complainant does not wish any further steps to be taken and, subject to the following provisions of this regulation, these Regulations cease to apply in respect of that complaint.

(3) Where the notification mentioned in paragraph (1) relates to a complaint which—

(a) was referred to the Director General under regulation 23 or is being treated by the Director General as having been so referred under regulation 24; and

(b) has not been referred back to the chief executive under regulation 25(2);

the chief executive must notify the Director General that the chief executive has recorded the withdrawal or the fact that the complainant does not wish any further steps to be taken.

(4) Where the notification mentioned in paragraph (1) relates to a complaint which the chief executive knows is subject to a review under regulation 81, the chief executive must notify the Director General that the chief executive has recorded the withdrawal or the fact that the complainant does not wish any further steps to be taken.

(5) In a case falling within paragraph (3) or paragraphs (3) and (4), the Director General must—

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

(b) notify the chief executive of the Director General’s determination.

(6) In a case falling within paragraph (4) (but not also paragraph (3)), the chief executive must—

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

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

(7) Where the notification mentioned in paragraph (1) relates to a complaint which does not fall within paragraph (3) or (4), the chief executive must determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter.

(8) Where a determination is made under paragraph (5), (6) or (7) that it is in the public interest for the complaint is to be treated as a recordable conduct matter, regulations 18, 19, 20, 26, 27 and 28 apply to that matter.

(9) Where—

(a) a complaint is subject to a review by the Director General under regulation 81; and

(b) the chief executive notifies the Director General under paragraph (6)(b) that the chief executive has determined that the complaint is not to be treated as a recordable conduct matter,

the Director General must consider whether it is in the public interest for that determination to be reversed and, if so, the Director General must instruct the chief executive to reverse the determination.

(10) Subject to paragraph (11), the chief executive must notify the person complained against if—

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

(b) a determination is made under paragraph (5), (6) or (7) that it is in the public interest for the complaint to be treated as a recordable conduct matter;

(c) the Director General instructs the chief executive to reverse a determination not to treat the complaint as a recordable conduct matter;

(d) the provisions of these Regulations cease to apply to the complaint.

(11) Nothing in paragraph (10) requires the chief executive to make a notification if the chief executive believes that to do so—

(a) might prejudice any criminal investigation or pending proceedings; or

(b) would otherwise be contrary to the public interest.

Withdrawn complaints: no written signed notification

41

(1) This regulation applies where the complainant indicates a wish—

(a) to withdraw the complaint; or

(b) that no further steps be taken,

but does not provide a notification to that effect signed by the complainant or the complainant’s solicitor or other authorised agent on the complainant’s behalf.

(2) The chief executive must write to the complainant to determine how the complainant wishes to proceed.

(3) A letter under paragraph (2) must, subject to guidance issued by the Director General, be sent by recorded delivery.

(4) Where the complainant—

(a) replies confirming the complainant’s wish to withdraw the complaint or that no further steps be taken; or

(b) does not reply within a period of 28 days starting with the day after the day the letter was sent by the chief executive in accordance with paragraph (2),

the chief executive must proceed as if the chief executive had received a notification signed by the complainant that the complainant withdraws the complaint or wishes that no further steps be taken.

Investigations by the chief executive on the chief executive’s own behalf

42

(1) This regulation applies where the chief executive is required by virtue of any determination made by the Director General under regulation 36 to make arrangements for a complaint, recordable conduct matter or DSI matter to be investigated by the chief executive on the chief executive’s own behalf.

(2) The chief executive must appoint an officer to investigate the complaint or matter.

Investigation by a police force or the National Crime Agency under the direction of the Director General

43

(1) This regulation applies where the Director General determines that there should be an investigation under the direction of the Director General by—

(a) a police force; or

(b) the National Crime Agency¹².

(2) The Director General must—

(a) in the case of an investigation by a police force—

(i) identify the police force whose force area includes the geographical area to which the subject matter of the complaint, recordable conduct matter or DSI matter most closely relates; and

(ii) take steps to obtain the agreement of the chief officer of that force, and the chief executive, to the carrying out of the investigation by that force; or

(b) in the case of an investigation by the National Crime Agency, take steps to obtain the agreement of the Director General of the National Crime Agency, and the chief executive, to the carrying out of the investigation by the National Crime Agency.

(3) In the event that no agreement is reached under paragraph (2) the Director General may require the chief officer of any police force that the Director General considers appropriate or, as the case may be, the National Crime Agency, to carry out the investigation.

(4) Whether by agreement or if required to do so under paragraph (3), where—

(a) the investigation is to be carried out by a police force, the chief officer of the police force concerned must, if that person has not already done so, appoint a person serving with the police who is a member of that force to investigate that complaint or matter;

(b) the investigation is to be carried out by the National Crime Agency, the Director General of the National Crime Agency must, if that person has not already done so, appoint a person serving with the National Crime Agency to investigate that complaint or matter.

(5) An appointment of a person under paragraph (4) must be notified to the chief executive by the chief officer concerned or, as the case may be, by the Director General of the National Crime Agency.

(6) The person appointed to investigate the complaint or matter under paragraph (4)—

(a) shall be under the direction and control of the Director General; and

(b) must comply with all such requirements in relation to the carrying out of that investigation as may be imposed under these Regulations.

Investigations directed by the Director General

44

(1) This regulation applies where the Director General has determined that the Director General should direct the investigation by the chief executive of any complaint, recordable conduct matter or DSI matter.

(2) On being given notice of that determination, the chief executive must, if the chief executive has not already done so—

(a) appoint an officer to investigate the complaint or matter; or

(b) if the chief executive is of the opinion that, having regard to regulation 37, it is not possible to appoint an officer to investigate the complaint or matter, make arrangements with a chief officer or the Director General of the National Crime Agency to have a person serving with the police or a person serving with the National Crime Agency appointed to investigate the complaint or matter.

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

(4) Where at any time the Director General is not satisfied with the person investigating, the Director General may require the chief executive, as soon as reasonably practicable after being required to do so, to—

(a) appoint a different officer, or make arrangements for another person to be appointed in accordance with paragraph (2)(b), to investigate the complaint or matter; and

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

(5) Paragraph (4) applies whether the person investigating was appointed—

(a) before the chief executive was given notice of the Director General’s determination that the Director General should direct the investigation by the chief executive;

(b) under paragraph (2) (including where the appointment was approved by the Director General in accordance with paragraph (3)); or

(6) Where a selection made in pursuance of a requirement under paragraph (4) has been notified to the Director General—

(a) the chief executive must appoint that person to investigate the complaint or matter if, but only if, the Director General notifies the chief executive that the Director General approves the appointment of that person;

(b) if the Director General notifies the chief executive that the Director General does not approve the appointment of that person, the chief executive must make another selection in accordance with paragraph (4).

(7) The person appointed to investigate the complaint or matter shall—

(a) in relation to that investigation, be under the direction and control of the Director General; and

(b) keep the Director General informed of the progress of the investigation.

Investigations by the Director General

45

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

(2) The Director General must designate both—

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

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

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

(a) the Director General acting personally; or

(b) a person who is authorised to exercise the function of taking charge of the investigation on behalf of the Director General by virtue of paragraph 6A of Schedule 2 to the 2002 Act¹³ (delegation of Director General’s functions).

(4) A person who—

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

(b) does not already, by virtue of section 97(8) of the Police Act 1996¹⁴, have all the powers and privileges of a constable throughout England and Wales and the adjacent United Kingdom waters,

has, for the purposes of the carrying out of the investigation and all purposes connected with it, all those powers and privileges throughout England and Wales and those waters.

(5) A person designated under paragraph (2) who is not a constable is not, as a result of paragraph (3), to be treated as being in police service for the purposes of—

(a) section 280 of the Trade Union and Labour Relations (Consolidation) Act 1992¹⁵ (person in police service excluded from definitions of “worker” and “employee”); or

(b) section 200 of the Employment Rights Act 1996¹⁶ (certain provisions of that Act not to apply to persons in police service).

(6) References in this regulation to the powers and privileges of a constable—

(a) are references to any power or privilege conferred by or under any enactment (including one passed after the making of these Regulations) on a constable; and

(b) have effect as if every such power were exercisable, and every such privilege existed, throughout England and Wales and the adjacent United Kingdom waters (whether or not that is the case apart from this paragraph).

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

Change of form of investigation: provision of documentation and evidence

46

(1) This regulation applies where the Director General determines that—

(a) an investigation being carried out by the Director General should instead take the form of an investigation by the chief executive on the chief executive’s own behalf or an investigation by the chief executive under the direction of the Director General; or

(b) an investigation being carried out by the chief executive under the direction of the Director General should instead take the form of an investigation by the chief executive on the chief executive’s own behalf.

(2) The Director General must send to the chief executive any documentation and evidence gathered during the investigation which will assist the chief executive to carry out the chief executive’s functions under these Regulations.

Suspension of investigation or other procedure

47

(1) The Director General and, subject to paragraph (2), the chief executive may suspend any investigation or other procedure under these Regulations which, in the opinion of the Director General or, as the case may be, the chief executive, would, if it were to continue, prejudice any criminal investigation or proceedings.

(2) The Director General may direct that any investigation or other procedure under these Regulations which is liable to be, or has been, suspended by the chief executive under paragraph (1) is to continue, or be resumed, if the Director General is of the view that it is in the public interest to make such a direction.

(3) The Director General must consult the chief executive before making a direction under paragraph (2).

Resumption of investigation of complaint after criminal proceedings

48

(1) This regulation applies where—

(a) the Director General or the chief executive has suspended the whole or part of the investigation of a complaint until the conclusion of criminal proceedings under regulation 47; and

(b) the criminal proceedings described in sub-paragraph (a) have concluded.

(2) Where the complainant has not indicated—

(a) a wish for the investigation to start or be resumed; or

(b) a wish that the investigation is not started or resumed,

the Director General or the chief executive, as the case may be, must write to the complainant to determine how the complainant wishes to proceed.

(3) A letter under paragraph (2) must, subject to guidance issued by the Director General, be sent by recorded delivery.

(4) Where the complainant indicates a wish for the investigation to start or be resumed, the Director General or the chief executive, as the case may be, must start or resume the investigation.

(5) Where the complainant—

(a) indicates a wish that the investigation is not started or resumed; or

(b) does not reply to a letter under paragraph (2) within a period of 28 days starting with the day after the letter was sent by the Director General or the chief executive in accordance with paragraph (2),

the Director General or the chief executive, as the case may be, must determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter.

(6) Where the Director General or the chief executive determines that it is not in the public interest for the complaint to be treated as a recordable conduct matter, these Regulations cease to apply to the complaint.

(7) Where the Director General or the chief executive determines that it is in the public interest for the complaint to be treated as a recordable conduct matter, the relevant provisions of regulations 18, 19, 20, 26, 27 and 28 apply to the matter.

(8) Subject to paragraph (9), the Director General or the chief executive, as the case may be, must notify the person complained against if paragraph (6) or (7) applies.

(9) Nothing in paragraph (8) requires the Director General or the chief executive to make a notification if the Director General or the chief executive, as the case may be, believes that to do so might prejudice any criminal investigation or pending proceedings or would be contrary to the public interest.

Special procedure: severity assessment

49

(1) Where Condition A, B or C is satisfied, the person investigating must proceed with the investigation in accordance with paragraphs (5) to (8) and regulations 50 to 55.

(2) Condition A is that—

(a) the investigation is an investigation of a complaint; and

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

(i) committed a criminal offence; or

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

(3) Condition B is that—

(a) the investigation is an investigation of a complaint being carried out by a person appointed under regulation 43 or 44; and

(b) during the course of the investigation the Director General determines that there is an indication that the person to whose conduct the investigation relates may have—

(i) committed a criminal offence; or

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

(4) Condition C is that the investigation is an investigation of a recordable conduct matter.

(5) In the case of an investigation under regulation 43 or 44, the person investigating must, as soon as is reasonably practicable—

(a) form an opinion as to—

(i) whether the conduct of the person concerned, if proved, would amount to misconduct that is so serious as to justify disciplinary action or gross misconduct, and

(ii) if that conduct were to become the subject of disciplinary proceedings, the form which those proceedings would be likely to take;

(b) notify the Director General of that opinion; and

(c) refer the case to the Director General for the Director General to make a severity assessment in relation to the conduct of the person concerned.

(6) In the case of an investigation under regulation 45 other than by the Director General acting personally, the person investigating must, as soon as is reasonably practicable, refer the case to the Director General for the Director General to make a severity assessment in relation to the conduct of the person concerned.

(7) In any other case, the person investigating must, as soon as is reasonably practicable, make a severity assessment in relation to the conduct of the person concerned.

(8) A severity assessment may only be made after consultation with the chief executive.

(9) In this regulation and in regulations 50 to 55, “person concerned” means—

(a) in relation to an investigation of a complaint, the officer in respect of whom it appears to the person investigating or, in the case of an investigation by a designated person under regulation 45, the Director General, that there is the indication mentioned in paragraph (2)(b) or, as the case may be, paragraph (3)(b);

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

Special procedure: notification of severity assessment etc.

50

(1) Except where paragraph (4) applies, on the completion of a severity assessment, the person investigating must give the person concerned a notice stating—

(a) the conduct that is the subject matter of the allegation and how that conduct is alleged to fall below the standards contained in the Civil Service Code;

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

(d) that the person concerned has the right to seek advice from the person’s staff association or any other body;

(e) the effect of regulation 51; and

(f) the effect of regulation 53.

(2) Where a notice is given under paragraph (1), the person investigating must—

(a) except where paragraph (4) applies, provide a copy of the terms of reference of the investigation to the person concerned; or

(b) where paragraph (4) applies, give the person concerned a notice stating that the terms of reference of the investigation are not being provided and explaining why,

where practicable, at the same time as notice is given under paragraph (1), or otherwise within a period of 5 working days starting with the first working day after the day on which such notice is given.

(3) Except where paragraph (4) applies, where a copy of the terms of reference of the investigation has been provided under paragraph (2) and those terms are revised, the person investigating must provide a copy of the revised terms to the person concerned as soon as practicable.

(4) This paragraph applies for so long as—

(a) in the case of an investigation under regulation 43, 44 or 45, the Director General; or

(b) in the case of an investigation under regulation 42, the person investigating the complaint or matter,

considers that giving the notice, or providing a copy of the terms, or revised terms, of reference of the investigation, might prejudice the investigation or any other investigation, including a criminal investigation.

(5) A copy of the terms, or revised terms, of reference of the investigation provided under paragraph (2) or (3) may be in a form which keeps anonymous the identity of the complainant (if any) or any other person.

(6) On the completion of a severity assessment, the person investigating must notify the chief executive of the result of the assessment.

(7) A notice under paragraph (1) and a copy of the terms, or revised terms, of reference of the investigation under paragraph (2) or (3) must be—

(a) given to the person concerned in person;

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

(c) given to the person concerned in person by their FSA friend, where the FSA friend has agreed with the chief executive to deliver the notice; or

(d) given to the person concerned in any other manner agreed between the person investigating and the person concerned.

Special procedure: FSA friend

51

(1) This regulation applies where the person investigating a complaint or matter has given the person concerned a notice under regulation 50.

(2) The person concerned may choose—

(a) an officer or a member of the FSA’s staff;

(b) an official of a trade union,

who is not otherwise involved in the matter to act as their FSA friend.

(3) An FSA friend may—

(a) advise the person concerned throughout proceedings under these Regulations;

(b) provide any relevant statement or relevant document to the person investigating;

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

(4) Where an FSA friend is an officer or a member of the FSA’s staff, the chief executive must permit the FSA friend to use a reasonable amount of their contractual working time for the purposes mentioned in paragraph (3).

Special procedure: revision of severity assessment

52

(1) Where in the case of an investigation under—

(a) regulation 43 or 44; or

(b) regulation 45, other than by the Director General acting personally,

the Director General has made a severity assessment and indicates that it is appropriate to revise the assessment, the person investigating must refer the case to the Director General for the Director General to revise the assessment.

(2) Where in the case of an investigation under—

(a) regulation 43 or 44; or

(b) regulation 45, other than by the Director General acting personally,

the Director General has made a severity assessment and the person investigating forms the opinion that it is appropriate to revise that assessment, the person investigating must notify the Director General of that opinion.

(3) Where in any other case the person investigating has made a severity assessment and considers it appropriate to do so, the person investigating may revise the assessment.

(4) A severity assessment may only be revised after consultation with the chief executive.

(5) On the revision of a severity assessment, the person investigating must give a notice to—

(a) the chief executive; and

(b) except where paragraph (6) applies, the person concerned,

of the result of the revision.

(6) This paragraph applies for so long as—

(a) in the case of an investigation under regulation 43, 44 or 45, the Director General; or

(b) in the case of an investigation under regulation 42, the person investigating the complaint or matter,

considers the notice might prejudice the investigation or any other investigation (including a criminal investigation).

(7) A notice under paragraph (5)(b) must be—

(a) given to the person concerned in person;

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

(c) given to the person concerned in person by their FSA friend, where the FSA friend has agreed with the chief executive to deliver the notice; or

(d) given to the person concerned in any other manner agreed between the person investigating and the person concerned.

Special procedure: representations to the person investigating

53

(1) This regulation applies where the person investigating a complaint or matter has provided the person concerned with a copy of the terms of reference of the investigation, or given the person concerned a notice, under regulation 50.

(2) Where in the case of an investigation under—

(a) regulation 43 or 44; or

(b) regulation 45, other than by the Director General acting personally,

the person concerned or their FSA friend provides the person investigating with a relevant statement or relevant document before the expiry of the time limit mentioned in paragraph (4), the person investigating must send the statement or document to the Director General for consideration.

(3) Where, in any other case, the person concerned or their FSA friend provides the person investigating with a relevant statement or relevant document before the expiry of the time limit mentioned in paragraph (4), the person investigating must consider the statement or document.

(4) The time limit is 10 working days starting with the day after the day on which a copy of the terms of reference of the investigation is provided, or a notice is given, under regulation 50, unless this period is extended by—

(a) the person investigating; or

(b) in the case of an investigation under regulation 45, other than by the Director General acting personally, the Director General.

Special procedure: interview of the person concerned

54

(1) This regulation applies where the person investigating a complaint or matter has provided the person concerned with a copy of the terms of reference of the investigation, or given the person concerned a notice under regulation 50.

(2) In the case of an investigation under regulation 45 other than by the Director General acting personally, if the Director General wishes the person concerned to be interviewed as part of the investigation, the person investigating must refer the case to the Director General for the Director General—

(a) if reasonably practicable, to agree a date and time for the interview with the person concerned;

(b) where no date and time is agreed, to specify a date and time for the interview.

(3) In any other case, if the person investigating wishes to interview the person concerned as part of the investigation, the person investigating must—

(a) if reasonably practicable, agree a date and time for the interview with the person concerned;

(b) where no date and time is agreed, specify a date and time for the interview.

(4) Where a date and time is specified under paragraph (2) or (3) and—

(a) the person concerned or their FSA friend will not be available at that time; and

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

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

(5) An alternative time proposed by the person concerned must—

(a) be reasonable; and

(b) fall before the end of the period of 5 working days starting with the first working day after the day specified by the person investigating or the Director General.

(6) The person investigating must, in advance of the interview, give the person concerned—

(a) a notice stating the date, time and place of the interview; and

(b) such information as the person investigating or, in the case of an investigation under regulation 45, other than by the Director General acting personally, the Director General considers appropriate in the circumstances of the case to enable the person concerned to prepare for the interview.

(7) The person concerned must attend the interview.

(8) An FSA friend may not answer any questions asked of the person concerned during the interview.

Special procedure: duty to provide information to chief executive

55

In a case where the Director General or person investigating has made a severity assessment under regulation 49, the person investigating must provide the chief executive with such information in that person’s possession as the chief executive may reasonably request for the purpose of determining whether—

(a) the person concerned should be, or should remain, suspended from their appointment as an officer; or

(b) in relation to a person concerned who has been seconded to the FSA to serve as an officer, the secondment of the person concerned should cease to have effect, or continue to cease to have effect.

Interview of an officer during investigations

56

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

(a) is held with an officer during the course of the investigation by the person investigating; and

(b) does not fall within regulation 54.

(2) Where the person investigating wishes to interview an officer as part of an investigation, the person investigating must—

(a) give written notice to that officer that the interview will take place in accordance with this regulation; and

(b) if reasonably practicable, agree a date and time for the interview.

(3) Where no date and time is agreed under paragraph (2), the person investigating must specify a date and time for the interview.

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

(a) the relevant officer or the accompanying person will not be available at that time; and

(b) the relevant officer proposes an alternative time which satisfies paragraph (5),

the interview must be postponed to the time proposed by the relevant officer.

(5) An alternative time proposed by the relevant officer must—

(a) be reasonable; and

(b) fall before the end of the period of 5 working days starting with the first working day after the day specified by the person investigating.

(6) The person investigating must, in advance of the interview, give the relevant officer—

(a) a notice stating the date, time and place of the interview;

(b) such information as the person investigating considers appropriate in the circumstances of the case to enable the relevant officer to prepare for the interview.

(7) The relevant officer must attend the interview.

(8) An accompanying person may accompany the relevant officer to the interview under this regulation, and—

(a) during, and in relation to, the interview may—

(i) advise the relevant officer;

(ii) provide any relevant statement or relevant document to the person investigating; but

(b) may not answer any questions asked of the relevant officer during the interview.

(9) Where an accompanying person is an officer, the chief executive must permit the accompanying person to use a reasonable amount of contractual working time for the purposes of this regulation.

(10) Nothing in this regulation applies to an interview of any person—

(a) in relation to an investigation of a complaint, in respect of which it appears to the person investigating that there is an indication that the person to whose conduct the investigation relates may have—

(i) committed a criminal offence; or

(ii) behaved in a manner which would justify the bringing of disciplinary proceedings; or

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

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

(12) In this regulation—

“accompanying person” means a person who is— an officer or a member of the FSA’s staff or an official of a trade union; nominated by the relevant officer; and not otherwise involved in the matter;

“relevant officer” means an officer given notice under paragraph (2)(a).

Restrictions on proceedings pending the conclusion of an investigation

57

(1) No criminal or disciplinary proceedings may be brought in relation to any matter which falls to be determined under these Regulations until a report on that investigation has been submitted to the Director General or to the chief executive under regulation 72 or 75 or, as the case may be, a report has been completed by the Director General under those regulations.

(2) The restrictions imposed by this regulation in relation to the bringing of criminal proceedings do not apply to the bringing of criminal proceedings by the Director of Public Prosecutions in any case in which it appears to the Director of Public Prosecutions that there are exceptional circumstances which make it undesirable to delay the bringing of such proceedings.

PART 7 — Provision of information

Provision of information to the Director General

58

(1) The chief executive must—

(a) provide the Director General with—

(i) all such information and documents as may be specified or described in these Regulations;

(ii) to the extent not falling within paragraph (i), all such other information and documents specified or described in a notification given by the Director General to the chief executive; and

(b) produce or deliver up to the Director General all such evidence and other things so specified or described,

as appear to the Director General to be required for the purposes of the carrying out of any of the Director General’s functions.

(2) Anything falling to be provided, produced or delivered up by any person in pursuance of a requirement imposed under paragraph (1) must be provided, produced or delivered up in such form, in such manner and within such period as may be specified in—

(a) the notification imposing the requirement; or

(b) in any subsequent notification given by the Director General to that person for the purposes of this paragraph.

(3) Nothing in this regulation requires the chief executive —

(a) to provide the Director General with any information or document, or to produce or deliver up any other thing, before the earliest time at which it is practicable for the chief executive to do so; or

(b) to provide, produce or deliver up anything at all in a case in which it is not, or it never becomes, practicable for the chief executive to do so.

(4) A requirement imposed under this regulation may authorise or require information or documents to which it relates to be provided to the Director General electronically.

Duty to keep the complainant informed

59

(1) Subject to regulation 62, in any case in which there is an investigation of a complaint in accordance with these Regulations—

(a) by the Director General; or

(b) under the direction of the Director General,

the Director General must provide the complainant with all such information as will keep the complainant properly informed, while the investigation is being carried out and subsequently, of the matters specified in paragraph (4).

(2) Subject to regulation 62, in any case in which there is an investigation of a complaint in accordance with these Regulations by the chief executive on the chief executive’s own behalf, the chief executive must provide the complainant with all such information as will keep the complainant properly informed, while the investigation is being carried out and subsequently, of the matters specified in paragraph (4).

(3) Where paragraph (2) applies, the Director General must give the chief executive such directions as the Director General considers appropriate for securing that the chief executive complies with the chief executive’s duty under that paragraph; and the chief executive must comply with any such direction.

(4) The matters of which the complainant must be kept properly informed are—

(a) the progress of the handling of the complaint;

(b) the outcome of the handling of the complaint;

(i) the time limit for applying for the review; and

(ii) the effect of regulation 82(4);

(d) the progress of any—

(i) criminal proceedings;

(ii) disciplinary proceedings; or

(iii) performance proceedings,

brought in relation to, or arising from, any matter which was the subject of the complaint;

(e) the outcome of any such proceedings or process falling within sub-paragraph (d);

(f) where an appeal is brought against the outcome of proceedings falling within sub-paragraph (d), the fact and outcome of the appeal.

(5) The generality of paragraph (4)(a) and (b) is not affected by any requirement to notify the complainant that is imposed by any other provision of these Regulations.

(6) A person appointed to carry out an investigation under these Regulations must provide the Director General or, as the case may be, the chief executive, with such information as the Director General or the chief executive may reasonably require for the purpose of the performance by the Director General or the chief executive of their duties under this regulation.

(7) In any case in which there is an investigation of a complaint, the Director General or the chief executive may comply with their duty under paragraph (1) or (2), as the case may be, so far as relating to a report of the investigation submitted (or completed) under regulation 72, by sending the complainant a copy of the report.

(8) Paragraph (7) applies notwithstanding any obligation of secrecy imposed by any rule of law or otherwise but is subject to—

(a) regulation 61; and

(b) regulation 62.

Duty to provide information for other persons

60

(1) A person has an interest in being kept properly informed about the handling of a complaint, recordable conduct matter or DSI matter which is the subject of an investigation in accordance with these Regulations if—

(a) it appears to the Director General or the chief executive that the person falls within paragraph (2) or (3); and

(b) the person described in sub-paragraph (a) has indicated consent to the provision of information in accordance with this regulation and that consent has not been withdrawn.

(2) A person falls within this paragraph if, in the case of a complaint or recordable conduct matter, that person—

(a) is a relative of a person whose death is the alleged result of the conduct complained of or to which the recordable conduct matter relates;

(b) is a relative of a person whose serious injury is the alleged result of that conduct and that person is incapable of making a complaint;

(3) A person falls within this paragraph if, in the case of a DSI matter, that person—

(a) is a relative of the person who has died;

(b) is a relative of the person who has suffered serious injury and that person is incapable of making a complaint;

(4) A person who does not fall within paragraph (2) or (3) has an interest in being kept properly informed about the handling of a complaint, recordable conduct matter or DSI matter if—

(a) the Director General or the chief executive considers that that person has an interest in the handling of the complaint, recordable conduct matter or DSI matter which is sufficient to make it appropriate for information to be provided to that person in accordance with this regulation; and

(b) the person described in sub-paragraph (a) has indicated consent to the provision of information in accordance with this regulation.

(5) In relation to a complaint, this regulation confers no rights on the complainant.

(6) In any case where there is an investigation of the complaint, recordable conduct matter or DSI matter in accordance with these Regulations—

(a) by the Director General or under the Director General’s direction, the Director General must; or

(b) by the chief executive on the chief executive’s own behalf, the chief executive must,

while the investigation is being carried out and subsequently, keep the interested person properly informed of the matters in paragraph (8).

(7) Where paragraph (6) applies, the Director General must give the chief executive such directions as the Director General considers appropriate for securing that the chief executive complies with the chief executive’s duty under that paragraph; and the chief executive must comply with any such direction.

(8) The matters of which the interested person must be kept properly informed are—

(a) the progress of the handling of the complaint, recordable conduct matter or DSI matter;

(b) the outcome of the handling of the complaint, recordable conduct matter or DSI matter;

(i) criminal proceedings;

(ii) disciplinary proceedings; or

(iii) performance proceedings,

brought in relation to, or arising from, any matter which was the subject of the complaint, recordable conduct matter or DSI matter;

(d) the outcome of any such proceedings or process falling within sub-paragraph (c);

(e) where an appeal is brought against the outcome of proceedings falling within sub-paragraph (c), the fact and outcome of the appeal.

(9) The generality of paragraph (8)(a) and (b) is not affected by any requirement to notify an interested person that is imposed by any other provision of these Regulations.

(10) The duties imposed by this regulation on the Director General and the chief executive in relation to any complaint, recordable conduct matter or DSI matter must be performed in accordance with, and subject to any exceptions set out in, regulation 62.

(11) In any case in which there is an investigation of a complaint, recordable conduct matter or DSI matter, the Director General or the chief executive may comply with their duty under paragraph (6) so far as relating to a report of the investigation submitted (or completed) under regulation 72 or 75, by sending the interested person a copy of the report.

(12) Paragraph (11) applies notwithstanding any obligation of secrecy imposed by any rule of law or otherwise but is subject to—

(a) regulation 61; and

(b) regulation 62.

(13) Regulation 59(6) applies for the purposes of this regulation as it applies for the purposes of that regulation.

(14) In this regulation “relative” means any spouse, partner, parent or adult child.

Manner in which duties to keep the complainant and interested person informed are to be performed

61

(1) The Director General or the chief executive, as the case may be, must inform the complainant or interested person of—

(a) the progress of the handling of the complaint, recordable conduct matter or DSI matter and any of the matters mentioned in regulation 59(4)(d) and 60(8)(c) promptly and in any event—

(i) if there has been no previous notification, within four weeks of the start of the handling of the complaint, proceedings or process; and

(ii) in any other case, within four weeks of the previous notification;

(b) the following matters—

(i) the outcome of the handling of the complaint, recordable conduct matter or DSI matter;

(ii) the matter mentioned in regulation 59(4)(e) and 60(8)(d); and

(iii) the matters mentioned in regulation 59(4)(f) and 60(8)(e),

promptly and in any event within 5 working days of the outcome (and, where applicable, the bringing of the appeal).

(2) The information required by paragraph (1) must be given in writing, unless, in the case of a complaint, the complaint—

(a) was made otherwise than in writing; and

(b) is being handled otherwise than in accordance with these Regulations.

(3) The chief executive must inform the complainant in writing of—

(a) any right to apply for a review conferred on the complainant by regulation 81; and

(b) the matters mentioned in regulation 59(4)(c)(i) and (ii),

promptly and in any event within 5 working days of the outcome of the handling of the complaint.

(4) In performing the duties imposed by these Regulations, the Director General or the chief executive, as the case may be, must determine whether it is appropriate to offer, or grant a request for, a meeting with a complainant or interested person.

(5) As soon as practicable after any such meeting, the Director General or the chief executive, as the case may be, must send the complainant or interested person a written record of the meeting and an account of how any concerns of that person will be addressed.

Exceptions to duties to keep the complainant and interested person informed

62

(1) Paragraph (2) specifies the circumstances in which the duties imposed on the Director General and the chief executive to keep the complainant informed and to provide information for interested persons do not apply.

(2) The circumstances are where in the opinion of the Director General or the chief executive, as the case may be, the non-disclosure of information is necessary for a purpose mentioned in paragraph (3).

(3) The purposes are—

(a) preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any actual or prospective criminal proceedings;

(b) preventing the disclosure of information in any circumstances in which its non-disclosure—

(i) is in the interests of national security;

(ii) is for the purposes of the prevention or detection of crime, or the apprehension or prosecution of offenders;

(iii) is required on proportionality grounds; or

(iv) is otherwise necessary in the public interest.

(4) The Director General or the chief executive, as the case may be, may only conclude that the non-disclosure of information is necessary under paragraph (2) if satisfied that—

(a) there is a real risk of the disclosure of that information causing an adverse effect; and

(b) that adverse effect would be significant.

(5) The Director General or the chief executive, as the case may be, must consider whether the non-disclosure of information is justified under paragraph (2) in circumstances where—

(a) that information is relevant to, or may be used in, any actual or prospective disciplinary proceedings or performance proceedings or appeal against the outcome of such proceedings;

(b) the disclosure of that information may lead to the contamination of the evidence of witnesses during such proceedings or appeal;

(d) that information constitutes criminal intelligence.

Chief executive to notify the Director General of outcome of disciplinary proceedings etc.

63

The chief executive must notify the Director General of—

(a) the outcome of any disciplinary proceedings or performance proceedings brought in relation to, or arising from, any matter dealt with in a report submitted or completed under regulation 72 or 75, as soon as practicable after the outcome of the proceedings or process;

(b) the bringing of any appeal against the outcome of any such proceedings, as soon as practicable after the chief executive becomes aware of the appeal;

Copies of complaints etc.

64

(1) Where a complaint is recorded under regulation 15(4), the chief executive must—

(a) supply to the complainant a copy of the record made of that complaint; and

(b) subject to paragraphs (2) to (4), supply to the person complained against a copy of the complaint.

(2) A copy of a complaint supplied under this regulation may be in a form which keeps anonymous the identity of the complainant or of any other person.

(3) The chief executive may decide not to supply such a copy of a complaint if the chief executive is of the opinion that to do so—

(a) might prejudice any criminal investigation or pending proceedings; or

(b) would otherwise be contrary to the public interest.

(4) Where the chief executive decides not to supply such a copy, the chief executive shall keep that decision under regular review.

Information for complainant about disciplinary recommendations

65

(1) This paragraph applies where, on the review of the outcome of a complaint under regulation 81, the Director General makes a recommendation under regulation 81(7)(c).

(2) Where the chief executive notifies the Director General under regulation 81(8)(a) 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 60 of that fact and of the steps that have been, or are to be taken, by the chief executive to give effect to it.

(3) Where the chief executive —

(a) notifies the Director General under regulation 81(8)(a) that the chief executive does not, either in whole or in part, accept the recommendation; or

(b) fails to take steps to give full effect to the recommendation,

the Director General must determine what further steps (if any) to take under regulation 78, as applied by regulation 81(8)(b).

(4) The Director General must notify the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 60—

(a) of any determination under paragraph (3) not to take further steps; and

(b) where the Director General determines under paragraph (3) that the Director General will take further steps, of the outcome of the taking of those steps.

Register to be kept by the Director General

66

(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 where, in the opinion of the Director General, that is necessary for, or conducive to, the purpose of—

(a) learning lessons from the handling of complaints, conduct matters or DSI matters;

(b) demonstrating the thoroughness and effectiveness of the handling of complaints or such matters;

(d) 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 the information is necessary for a purpose mentioned in regulation 62(3).

Manner and time limits of notices and notifications

67

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

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

(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.

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

68

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

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

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

(b) to provide an item subject to legal privilege within the meaning of the Police and Criminal Evidence Act 1984¹⁷ (see section 10 of that Act);

(c) to make a disclosure that would be prohibited by any of Part 1 of the Regulation of Investigatory Powers Act 2000¹⁸ or Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016¹⁹;

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

(3) Neither must an information notice require a postal operator or telecommunications operator to provide communications data.

(4) In paragraph (3) “communications data”, “postal operator” and “telecommunications operator” have the same meanings as in the Investigatory Powers Act 2016 (see sections 261 and 262 of that Act)²⁰.

(5) An information notice must—

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

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

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

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

Failure to comply with an information notice

69

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

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

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

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

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

Appeals against information notices

70

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

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

(a) it must quash the notice; and

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

Sensitive information: restriction on disclosure

71

(1) Where the Director General receives information within paragraph (3), the Director General must not disclose, whether under regulation 9, 59 or 60 or otherwise, the information, or the fact that the Director General has received it, unless the relevant authority consents to the disclosure.

(2) Where a person appointed under regulation 43 or 44 to investigate a complaint or matter (an “investigator in a directed investigation (under regulation 43 or 44)”) receives information within paragraph (3), the investigator in a directed investigation (under regulation 43 or 44) must not disclose the information, or the fact that it has been received, to any person other than the Director General unless the relevant authority consents to the disclosure.

(3) The information is—

(a) intelligence service information;

(b) protected information relating to a relevant warrant; or

(c) information obtained (directly or indirectly) from a government department which, at the time it is provided to the Director General or the investigator in a directed investigation (under regulation 43 or 44), is identified by the department as information the disclosure of which may, in the opinion of the relevant authority, cause damage to—

(i) national security, international relations or the economic interests of the United Kingdom or any part of the United Kingdom; or

(ii) jeopardise the safety of any person.

(4) Where the Director General or an investigator in a directed investigation (under regulation 43 or 44) discloses to another person information within paragraph (3) or the fact that the Director General or the investigator in a directed investigation (under regulation 43 or 44) has received it, that person must not disclose that information or that fact unless the relevant authority consents to the disclosure.

(5) In this regulation—

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

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

“intelligence service” means— the Security Service; the Secret Intelligence Service; GCHQ; or any part of His Majesty’s forces (within the meaning of the Armed Forces Act 2006²¹), or of the Ministry of Defence, which engages in intelligence activities;

“protected information”, in relation to a relevant warrant, means information relating to any of the matters mentioned in section 57(4) of the Investigatory Powers Act 2016 in relation to the warrant;

“relevant authority” means— in the case of intelligence service information obtained from the Security Service, the Director General of the Security Service; in the case of intelligence service information obtained from the Secret Intelligence Service, the Chief of the Secret Intelligence Service; in the case of intelligence service information obtained from GCHQ, the Director of GCHQ; in the case of intelligence service information obtained from any part of His Majesty’s forces, or of the Ministry of Defence, which engages in intelligence activities, the Secretary of State; in the case of protected information relating to a relevant warrant, the person to whom the warrant is or was addressed; in the case of information within paragraph (3)(c)— the Secretary of State; or the Minister of the Crown in charge of the government department from which the information was obtained (if that Minister is not a Secretary of State), and for this purpose “Minister of the Crown” has the meaning given in the Ministers of the Crown Act 1975²²;

“relevant warrant” means— a warrant under Chapter 1 of Part 2 of the Investigatory Powers Act 2016; or a warrant under Chapter 1 of Part 6 of that Act.

PART 8 — Reports and recommendations

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

72

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

(a) a complaint; or

(b) a conduct matter.

(2) A person appointed under regulation 42 must submit a report on the investigation to the chief executive.

(3) A person appointed under regulation 43 or 44 must—

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

(b) send a copy of that report to the chief executive.

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

(6) Where a person would contravene regulation 71 by submitting, or, as the case may be, sending a copy of, a report in its entirety to the chief executive under paragraph (2) or (3)(b), the person must instead submit, or send a copy of, the report after having removed or obscured the information which by virtue of regulation 71 the person must not disclose.

(7) A person who has submitted or, in the case of an investigation under regulation 45 by the Director General acting personally, completed a report on an investigation under this regulation on an investigation to which regulation 49 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, except so far as the person is prevented from doing so by regulation 71.

(8) The chief executive may only make a request under paragraph (7) 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 a purpose mentioned in paragraph (9).

(9) Those purposes are—

(a) complying with any obligation which the chief executive has under disciplinary proceedings in relation to any person whose conduct is the subject matter of the investigation;

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

(10) A report on an investigation to which regulation 49 applies must—

(a) include an accurate summary of the evidence;

(b) be accompanied by, or refer to, any relevant documents; and

(c) where the investigation was carried out under regulation 42, include the opinion of the person investigating as to the matters mentioned in paragraph (12)(a) and (b).

(11) On completion of an investigation—

(a) carried out under regulation 43, 44 or 45; and

(b) to which regulation 49 applies,

where the Director General seeks the views of the chief executive on the matters mentioned in regulation 73(8)(a), the Director General must notify the chief executive of the Director General’s opinion as to the matters mentioned in paragraph (12).

(12) The matters are—

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

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

(d) whether or not performance proceedings should be brought against any such person.

(13) For the purposes of paragraphs (10) and (11), the chief executive must provide the Director General with the chief executive’s views (if any) on the matters mentioned in regulation 73(8)(a) before the expiry of the time limit mentioned in paragraph (14).

(14) The time limit is 28 days starting with the day after the day on which the Director General seeks the chief executive’s views in accordance with regulation 73(8)(a), unless this period is extended by the Director General.

Action by the Director General in relation to an investigation report under regulation 72

73

(1) This regulation applies where—

(a) a report on an investigation carried out under the direction of the Director General is sub-mitted to the Director General under regulation 72(3); or

(b) a report on an investigation carried out by a person designated by the Director General is submitted to the Director General, or is otherwise completed, under regulation 72(4).

(2) But if, following the submission or completion of such a report, the Director General determines under regulation 80 that the complaint or recordable conduct matter is to be re-investigated, the provisions of this regulation other than paragraph (3)(a), read with paragraph (4), do not apply, or cease to apply, in relation to that report.

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

(a) must send a copy of the report to the chief executive if it appears that the chief executive has not already been sent a copy of the report;

(b) must determine whether the conditions in paragraphs (5) and (6) are satisfied in respect of the report;

(c) if the Director General determines that the conditions in paragraphs (5) and (6) are satisfied, must notify the Director of Public Prosecutions of that determination and send the Director of Public Prosecutions a copy of the report; and

(d) must notify the chief executive and—

(i) in the case of a complaint, the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 60; and

(ii) in the case of a recordable conduct matter, every person entitled to be kept properly informed in relation to that matter under that regulation,

of the Director General’s determination under sub-paragraph (b) and of any action taken by the Director General under sub-paragraph (c).

(4) Where the Director General would contravene regulation 71 by sending a copy of a report in its entirety to the chief executive under paragraph (3)(a) or to the Director of Public Prosecutions under paragraph (3)(c), the Director General must instead send a copy of the report after having removed or obscured the information which by virtue of regulation 71 the Director General must not disclose.

(5) 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.

(6) 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.

(7) The Director of Public Prosecutions must notify the Director General of any decision of the Director of Public Prosecutions 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 of Public Prosecutions under paragraph (3)(c).

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

(a) seek the views of the chief executive on—

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

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

(iii) the other matters (if any) dealt with in the report (but not on whether the conditions in paragraphs (5) and (6) are satisfied in respect of the report);

(b) having considered the views (if any) of the chief executive, make a determination as to—

(i) the matters described in sub-paragraph (a)(i) and (ii); and

(ii) whether or not disciplinary proceedings should be brought against any person to whose conduct the investigation related;

(c) having considered the views (if any) of the chief executive and if the Director General considers it appropriate to do so, make a determination as to any matter dealt with in the report, being a determination other than one that the Director General is required to make under paragraph (3)(b) or sub-paragraph (b) of this paragraph;

(d) notify the chief executive of the determination under sub-paragraph (b) and any determination under sub-paragraph (c);

(e) where the Director General determines that disciplinary proceedings should be brought against a person, direct the chief executive to bring those proceedings; and

(f) direct the chief executive to determine what action (if any) the chief executive will, in the chief executive’s discretion, take, other than action involving the bringing of disciplinary proceedings, in respect of the matters dealt with in the report and having regard to the Director General’s determination under sub-paragraph (b) and any determination under sub-paragraph (c).

(9) The chief executive must comply with a direction given under paragraph (8)(e) and must secure that the proceedings, once brought, are proceeded with to a proper conclusion.

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