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In force since 2026-11-09, as the publisher states.
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2026 No. 1098 PUBLIC SECTOR FRAUD, ENGLAND AND WALES The Authorised Investigators (Complaints and Misconduct) Regulations 2026 Made 14th October 2026 Laid before Parliament 19th October 2026 Coming into force 9th November 2026 The Minister for the Cabinet Office makes these Regulations in exercise of the powers conferred by sections 26G(1), (2) and (6) and 105(4) and (5) of the Police Reform Act 2002.
Propose a change(1) These Regulations may be cited as the Authorised Investigators (Complaints and Misconduct) Regulations 2026 and come into force on 9th November 2026. (2) These Regulations extend to England and Wales.
Propose a change(1) In these Regulations— “the 2002 Act” means the Police Reform Act 2002; “the 2025 Act” means the Public Authorities (Fraud, Error and Recovery) Act 2025; “authorised functions” means the functions conferred on authorised investigators by section 7 of the 2025 Act (Police and Criminal Evidence Act 1984 powers for authorised investigators); “authorised investigator” has the meaning given in section 7 of the 2025 Act; “chief officer” means, in relation to a police force, the chief officer of police of that police force; “complainant” means— in the case of a complaint falling within regulation 4(1)(d), the person on whose behalf the complaint was made; in the case of a complaint not falling within regulation 4(1)(d), the person by whom the complaint was made; but where any person is acting on another’s behalf for the purposes of any complaint, anything that is to be, or that may be, done under these Regulations by, or in relation to, the complainant may be done by, or in relation to, the person acting on the complainant’s behalf; “complaint” has the meaning given by regulation 4(1) and includes a purported complaint; “conduct” includes acts, omissions, statements and decisions (whether actual, alleged or inferred) by an authorised investigator, while acting in the exercise of authorised functions; “conduct matter” has the meaning given by regulation 4(2)(a); “death or serious injury matter” and “DSI matter” have the meaning given by regulation 4(2)(b); “disciplinary proceedings” means any proceedings or management process during which the conduct of an authorised investigator is considered in order to determine whether a sanction or punitive measure should be imposed against that person in relation to that conduct; “information notice” has the meaning given in regulation 67(1); “Inspectors of Constabulary” means His Majesty’s Inspectors of Constabulary appointed under section 54 of the 1996 Act; “interested person” has the meaning given in regulation 62; “performance proceedings” means any proceedings or management process during which the performance of a person is considered in order to determine whether it is unsatisfactory and whether, as a result, any action is to be taken in relation to it; “person complained against”, in relation to a complaint, means the person whose conduct is the subject matter of the complaint; “person concerned” has the meaning given in regulation 48(11); “person investigating”, in relation to a complaint, recordable conduct matter or DSI matter, means the person appointed to investigate or designated to take charge of an investigation; “PSFA” means the Public Sector Fraud Authority; “ PSFA friend” means a person chosen under regulation 50(2); “Public Sector Fraud Authority” means the non-statutory body known as the Public Sector Fraud Authority; “recordable conduct matter” means a conduct matter that is required to be recorded by the Minister under regulation 21 or 22, or which has been so recorded; “relevant document” means, in relation to a complaint, recordable conduct matter or DSI matter under investigation, a document relating to that complaint or matter (and includes a document containing suggestions as to lines of inquiry to be pursued or witnesses to be interviewed), but this definition does not apply in relation to regulation 71; “relevant offence” means— an offence for which the sentence is fixed by law; or an offence for which a person aged 18 years or over, who has not previously been convicted, may be sentenced to imprisonment for a term of seven years or more (or might be so sentenced but for the restrictions imposed by section 33 of the Magistrates’ Courts Act 1980); “relevant statement” means, in relation to a complaint, recordable conduct matter or DSI matter under investigation, an oral or written statement relating to that complaint or matter; “severity assessment” means, in relation to conduct, an assessment as to— whether the conduct, if proved, would amount to gross misconduct or misconduct that is so serious as to justify the commencement of disciplinary proceedings; and if the conduct were to become the subject of disciplinary proceedings, the form which those proceedings would be likely to take; “working day” means any day other than— Saturday or Sunday, Christmas Day or Good Friday, or a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in England and Wales. (2) References in these Regulations to a “member of the public”, in relation to any conduct or anything purporting to be a complaint about any conduct, do not include references to an authorised investigator. (3) For the purposes of these Regulations, a person is adversely affected if that person— (a) suffers or is unduly put at risk of suffering any form of loss, damage, distress or inconvenience; or (b) is, or is unduly put at risk of being, in danger. (4) References in these Regulations to the investigation of any complaint, recordable conduct matter or DSI matter by the Minister, under the direction of the Director General, or by the Director General are to be construed as references to the Director General’s investigation in accordance with— (a) regulation 39 (investigations by the Minister on the Minister’s own behalf); (b) regulation 40 (investigation by a police force or the National Crime Agency under the direction of the Director General); (c) regulation 41 (investigations by the Minister under the direction of the Director General); or (d) regulation 42 (investigations by the Director General).
Propose a changeThese Regulations apply in relation to the exercise by authorised investigators of their authorised functions and confer functions on the Director General accordingly.
Propose a change(1) Subject to the following provisions of this regulation, in these Regulations “complaint” means any complaint about the conduct of an authorised investigator acting in the exercise of authorised functions which is made, whether in writing or otherwise, by— (a) a member of the public who claims to be the person in relation to whom the conduct took place; (b) a member of the public not falling within sub-paragraph (a) who claims to have been adversely affected by the conduct; (c) a member of the public who claims to have witnessed the conduct; (d) a person who is acting on behalf of a person falling within any of sub-paragraphs (a) to (c) and who is authorised to act on that person’s behalf, and references to a complaint are references to any expression of dissatisfaction with an authorised investigator acting in the exercise of authorised functions which is expressed, whether in writing or otherwise, by or on behalf of a member of the public. (2) In these Regulations— (a) “conduct matter” means, subject to the following provisions of this regulation, any matter which is not and has not been the subject of a complaint but in the case of which there is an indication, whether from the circumstances or otherwise, that, while acting in the exercise of authorised functions, an authorised investigator may have— (i) committed a criminal offence; or (ii) behaved in a manner which would justify the bringing of disciplinary proceedings; (b) “death or serious injury matter” (“DSI matter”) means any circumstance, other than those which are or have been the subject of a complaint or which amount to a conduct matter— (i) in or in consequence of which a person has died or has sustained serious injury; and (ii) in relation to which the custody requirement or the contact requirement are satisfied (as to which, see paragraphs (3) and (4)). (3) The custody requirement is that— (a) at the time of the death or serious injury, the person mentioned in paragraph (2)(b)(i) was in the custody of a person serving with the police within the meaning of section 12(7) of the 2002 Act or a person with the powers and privileges of a constable, and (b) in connection with that custody, an authorised investigator was acting in the exercise of their authorised functions. (4) The contact requirement is that— (a) at or before the time of the death or serious injury the person mentioned in paragraph (2)(b)(i) had contact (of whatever kind, and whether direct or indirect), with an authorised investigator, who was acting in the exercise of authorised functions at the time of the contact; and (b) there is an indication that the contact described in sub-paragraph (a) may have caused (whether directly or indirectly) or contributed to the death or serious injury. (5) In paragraph (2)(b)(i) the reference to a person includes an authorised investigator, but in relation to such a person “contact” in paragraph (4) does not include contact that that authorised investigator had whilst acting in the exercise of authorised functions. (6) The complaints that are complaints for the purposes of these Regulations by virtue of paragraph (1)(b) do not, except in a case falling within paragraph (7), include any made by or on behalf of a person who claims to have been adversely affected as a consequence only of having seen or heard the conduct, or any of the alleged effects of the conduct. (7) A case falls within this paragraph if— (a) it was only because the person in question was physically present, or sufficiently nearby, when the conduct took place or the effects occurred that the person was able to see or hear the conduct or its effects; or (b) the adverse effect is attributable to, or was aggravated by, the fact that the person in relation to whom the conduct took place was already known to the person claiming to have suffered the adverse effect, and for the purposes of sub-paragraph (a), “person in question” means the person who claims to have been adversely affected as a consequence of having seen or heard the conduct or any of the alleged effects of the conduct, or the person on whose behalf such a claim is made. (8) For the purposes of this regulation a person is to be taken to have witnessed conduct only if— (a) that person acquired knowledge of that conduct in a manner which would make that person a competent witness capable of giving admissible evidence of that conduct in criminal proceedings; or (b) that person possesses or controls anything which would in any such proceedings constitute admissible evidence of that conduct. (9) For the purposes of these Regulations a person falling within paragraph (1)(a) to (c) is not to be taken to have authorised another person to act on their behalf unless that other person— (a) is for the time being designated for the purposes of this regulation by the Director General as a person through whom complaints may be made, or is of a description of persons so designated; or (b) has been given, and is able to produce, the written consent to such action of the person on whose behalf that action is taken. (10) References in this regulation to the powers and privileges of a constable 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.
Propose a changeWhere a complaint or conduct matter relates to the conduct of a person who has ceased to be employed by the Crown in service of the Cabinet Office since the time of the conduct concerned, these Regulations apply in relation to such a person as if they did not include any requirement to determine whether disciplinary proceedings or performance proceedings should be brought against a person whose conduct is the subject matter of a report.
Propose a change(1) The following sections of the 2002 Act apply to the exercise by authorised investigators of their authorised functions with the modifications set out in paragraph (2)— (a) section 9 (the Independent Office for Police Conduct); (b) section 19 (use of investigatory powers by or on behalf of the Director General); and (c) section 22 (power of the Director General to issue guidance). (2) Section 22 of the 2002 Act applies as if— (a) for subsection (1) there were substituted— (1) The Director General may issue guidance to the Public Sector Fraud Authority, public sector fraud investigators or any person the Director General sees fit concerning the exercise or performance, by the persons to whom the guidance is issued, of any powers or duties specified in subsection (2). ; (b) in subsection (2)(b)(iii) for “persons serving with the police” there were substituted “public sector fraud investigators”; (c) for subsection (3) there were substituted— (3) Before issuing any guidance under this section, the Director General must consult the Public Sector Fraud Authority and any person the Director General sees fit. ; (d) in subsection (5)(b) for “appropriate authority” there were substituted “Minister for the Cabinet Office”. (3) Where a provision listed in paragraph (1) (as modified by paragraph (2)) contains a term that is defined in these Regulations, the definition given in these Regulations, rather than any definition contained in a provision of, or another provision made under, the 2002 Act, applies for the purposes of the application of the relevant provision in relation to the exercise by authorised investigators of their authorised functions.
Propose a changeThe Director General may make arrangements with the Minister under which authorised investigators are engaged on temporary service with the Office.
Propose a change(1) The functions of the Director General in relation to authorised investigators are to— (a) secure the maintenance by the Director General, and by the Minister, of suitable arrangements with respect to the matters mentioned in paragraph (2); (b) keep under review all arrangements maintained with respect to those matters; (c) secure that arrangements maintained with respect to those matters— (i) comply with the requirements of these Regulations; (ii) are efficient and effective; and (iii) contain and manifest an appropriate degree of independence; (d) secure that public confidence is established and sustained in the existence of suitable arrangements with respect to those matters and with the operation of the arrangements that are maintained with respect to those matters; and (e) make such recommendations, and give such advice, for the modification of the arrangements maintained with respect to those matters, as appear, from the carrying out by the Director General of the Director General’s other functions, to be necessary or desirable. (2) The matters are— (a) the handling of complaints; (b) the recording of recordable conduct matters which must be referred to the Director General or which will be voluntarily referred to the Director General; (c) the recording of DSI matters; and (d) the manner in which any such complaints or any such matters as are mentioned in sub-paragraph (b) or (c) are investigated or otherwise handled and dealt with. (3) The Director General— (a) must exercise the powers and perform the duties conferred on the Director General by these Regulations in the manner that the Director General considers best calculated for the purpose of securing the proper carrying out of the Director General’s functions under paragraph (1); (b) must secure that arrangements exist which are conducive to, and facilitate, the reporting of misconduct by authorised investigators; (c) may enter into arrangements with the Chief Inspector of Constabulary for the purpose of securing cooperation, in the carrying out of their respective functions in relation to authorised investigators, between the Director General and the Inspectors of Constabulary; and (d) may provide the Inspectors of Constabulary with all such assistance and co-operation as may be required by the arrangements mentioned in that sub-paragraph, or as otherwise appears to the Director General to be appropriate, for facilitating the carrying out by those Inspectors of their functions. (4) In carrying out functions under these Regulations the Director General must have regard to any advice provided to the Director General by the Office (see regulation 9(1)(a)). (5) Subject to the other provisions of these Regulations, the Director General may do anything which appears to the Director General to be calculated to facilitate, or is incidental or conducive to, the carrying out of the Director General’s functions. (6) The Office may, in connection with the making of any recommendation or the giving of any advice to any person for the purpose of carrying out the Director General’s function under paragraph (1)(e), impose any such charge on that person for anything done by the Director General for the purposes of, or in connection with, the carrying out of that function as the Director General thinks fit.
Propose a change(1) The functions of the Office are— (a) to provide support and advice to the Director General in the carrying out of the Director General’s functions; and (b) to monitor and review the carrying out of the Director General’s functions. (2) The Office is to perform its functions under these Regulations for the general purpose of improving the way in which the Director General’s functions under these Regulations are carried out, including by encouraging the efficient and effective use of resources in the carrying out of those functions. (3) In carrying out its functions under these Regulations the Office must, in particular, have regard to public confidence in the existence of suitable arrangements with respect to the matters mentioned in regulation 8(2) and the operation of the arrangements that are maintained with respect to those matters. (4) The Office may do anything which appears to it to be calculated to facilitate, or is incidental to, the carrying out of its functions under these Regulations.
Propose a change(1) As soon as practicable after the end of each of the Office’s financial years, the Director General and the Office must jointly make a report to the Secretary of State on the carrying out of their functions under these Regulations during that year. (2) The Secretary of State may also require reports to be made at any time— (a) by the Director General about the carrying out of the Director General’s functions; (b) by the Office about the carrying out of the Office’s functions; or (c) jointly by the Director General and the Office about the carrying out of their functions. (3) The Director General may, from time to time, make such other reports to the Secretary of State as the Director General considers appropriate for drawing the Secretary of State’s attention to matters which— (a) have come to the Director General’s notice; and (b) are matters which the Director General considers should be drawn to the attention of the Secretary of State by reason of their gravity or of other exceptional circumstances. (4) The Office may, from time to time, make such other reports to the Secretary of State as it considers appropriate for drawing the Secretary of State’s attention to matters which— (a) have come to its notice; and (b) are matters that it considers should be drawn to the Secretary of State’s attention by reason of their gravity or other exceptional circumstances. (5) References in paragraphs (2) to (4) to functions or matters are to functions or matters under these Regulations. (6) The Director General and the Office may jointly make reports under paragraphs (3) and (4). (7) The Director General may prepare such reports containing advice and recommendations as the Director General thinks appropriate for the purpose of carrying out the Director General’s function under regulation 8(1)(e). (8) Where the Secretary of State receives any report under this regulation, the Secretary of State must— (a) in the case of every annual report under paragraph (1); and (b) in the case of any other report, if and to the extent that the Secretary of State considers it appropriate to do so, arrange for a copy of the report to be laid before Parliament and publish the report. (9) The Director General or, as the case may be, the Office must send a copy of every report made or prepared under paragraph (3) or (4) to such of the persons (in addition to the Secretary of State) who— (a) are referred to in the report; or (b) appear to the Director General or the Office otherwise to have a particular interest in its contents, as the Director General or the Office thinks fit. (10) Where a report under paragraph (3) or (4) is prepared jointly under paragraph (6), a duty under this regulation to send a copy of the report to any person is met if either the Director General or the Office sends a copy to that person.
Propose a change(1) The Minister must, in relation to authorised investigators, keep abreast of— (a) matters with respect to which any provision of these Regulations has effect; (b) anything which is done under or for the purposes of any such provision; and (c) any obligations to act or refrain from acting that have arisen by or under these Regulations, but which have not yet been complied with or which have been contravened. (2) The Minister must provide the Director General and every member of the Office’s staff with all such assistance as the Director General or that member of staff may reasonably require for the purposes of, or in connection with, the carrying out of any functions by the Director General under these Regulations. (3) The Minister must ensure that a person appointed under regulation 39, 40 or 41 to carry out an investigation is given all such assistance and co-operation in the carrying out of that investigation as that person may reasonably require.
Propose a changeThe Minister must keep records, in such form as the Director General determines, of— (a) every complaint that is made or notified to the Minister; (b) every conduct matter recorded by the Minister under regulation 21 and 22; (c) every DSI matter recorded by the Minister under regulation 31; (d) every exercise of a function or performance of a duty under these Regulations.
Propose a change(1) Where— (a) the Director General requires the Minister to allow a person nominated by the Director General to have access to any premises occupied for the purposes of the PSFA and to documents and other things on those premises; and (b) the requirement to allow access is imposed for any of the purposes mentioned in paragraph (2), the Minister must secure that the required access is allowed to the nominated person. (2) Those purposes are— (a) any examination by the Director General of the efficiency and effectiveness of the arrangements made by the Minister for handling complaints or dealing with recordable conduct matters or DSI matters; (b) any investigation by the Director General under these Regulations or of any investigation carried out under the Director General’s direction; (c) any review by the Director General under regulation 80. (3) A requirement to allow access imposed under this regulation for the purposes mentioned in paragraph (2)(a) must be notified to the Minister at least 48 hours before the time at which access is required. (4) Where the requirement to allow access under this regulation is imposed for the purpose mentioned in paragraph (2)(a) and the Minister considers there are reasonable grounds for not securing that the required access is allowed to the person, the obligation under paragraph (1) does not apply until the earliest practicable time after which, in the Minister’s opinion, there cease to be any such grounds. (5) The provisions of this regulation are in addition to, and without prejudice to— (a) the rights of entry, search and seizure that are or may be conferred on— (i) a person designated under regulation 42; or (ii) any person who otherwise acts on behalf of the Director General, in that person’s capacity as a constable or as a person with the powers and privileges of a constable; or (b) the duties and obligations of the Minister under regulations 11 and 57.
Propose a change(1) The Minister must pay such amount to the Secretary of State in respect of functions under these Regulations performed by the Office or the Director General, as the case may be, as may be agreed between the Minister and the Office or the Director General, as the case may be. (2) In the absence of an agreement, the Minister must pay such amount in respect of those functions, after consultation with the Secretary of State, as the Secretary of State determines.
Propose a change(1) This regulation applies where— (a) a person serving with the police or a National Crime Agency officer is appointed to investigate a complaint, recordable conduct matter or DSI matter further to arrangements made in pursuance of regulation 40 or 41(2)(c); (b) a person appointed under regulation 39, 40 or 41 to carry out an investigation requests assistance from a police force or the National Crime Agency in connection with the investigation, and the police force or National Crime Agency provides that assistance; or (c) the Director General or a member of the Office’s staff requests assistance from a police force or the National Crime Agency in connection with an investigation under these Regulations, and the police force or National Crime Agency provides that assistance. (2) In a case where this regulation applies by virtue of paragraph (1)(a) or (b), the Minister must pay to the local policing body maintaining the relevant police force or the National Crime Agency, as the case may be, such contribution (if any) towards the costs of the assistance— (a) as may be agreed between them; (b) in the absence of an agreement, as may be determined in accordance with any arrangements which— (i) have been agreed to by local policing bodies generally or the National Crime Agency, as the case may be, and the Minister; and (ii) are for the time being in force with respect to the making of contributions towards the costs of assistance provided in connection with investigations under these Regulations; or (c) in any other case, as may be determined by the Secretary of State. (3) In a case where this regulation applies by virtue of paragraph (1)(c), the Office must pay to the local policing body maintaining the relevant police force or the National Crime Agency, as the case may be, such contribution (if any) towards the costs of the assistance— (a) as may be agreed between them; (b) in the absence of an agreement, as may be determined in accordance with any arrangements which— (i) have been agreed to by local policing bodies generally or the National Crime Agency, as the case may be, and the Director General; and (ii) are for the time being in force with respect to the making of contributions towards the costs of assistance provided in connection with investigations under these Regulations; or (c) in any other case, as may be determined by the Secretary of State.
Propose a change(1) Where a complaint is made to the Director General, the Director General must give notification of the complaint to the Minister. (2) But the Director General need not give that notification if the Director General considers that there are exceptional circumstances that justify the Minister not being given that notification. (3) Where a complaint is— (a) made to the Minister; or (b) notified to the Minister by the Director General under paragraph (1), the Minister must record the complaint. (4) Where the Director General gives notification of a complaint under paragraph (1), the Director General must notify the complainant that the notification has been given and of what it contained.
Propose a change(1) Where— (a) a complaint is made to the Minister; or (b) the Minister becomes aware that a complaint has been made to the Director General, the Minister must take all such steps as appear to the Minister to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of. (2) The Minister’s duty under paragraph (1) must be performed as soon as practicable after the complaint is made or, as the case may be, the Minister becomes aware of it. (3) The Minister must, until satisfied that it is no longer necessary to do so, continue to take the steps which from time to time appear to the Minister to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of. (4) The Director General may direct the Minister to take all such specific steps for obtaining or preserving evidence relating to any conduct that is the subject matter of a complaint as the Director General considers appropriate for the purposes of these Regulations; and the Minister must comply with any such direction.
Propose a change(1) This regulation applies where a complaint has been recorded by the Minister unless the complaint— (a) is one which has been, or must be, referred to the Director General under regulation 24; and (b) is not for the time being either referred to the Minister under regulation 26 or the subject of a determination under regulation 37. (2) The Minister is not to be required by virtue of any provisions of these Regulations to take any action in relation to the complaint but may handle the complaint in whatever manner the Minister thinks fit, or take no action in relation to the complaint.
Propose a change(1) This regulation applies where the Minister 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 Minister 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 24 or is being treated by the Director General as having been so referred under regulation 25; and (b) has not been referred to the Minister under regulation 26(2), the Minister must notify the Director General that the Minister 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 Minister knows is subject to a review under regulation 80, the Minister must notify the Director General that the Minister 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 Minister of the Director General’s determination. (6) In a case falling within paragraph (4) (but not also paragraph (3)), the Minister 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 Minister 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 21, 22, 23, 28, 29 and 30 apply to that matter. (9) Where— (a) a complaint is subject to a review by the Director General under regulation 80; and (b) the Minister notifies the Director General under paragraph (6)(b) that the Minister 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 Minister to reverse the determination. (10) Subject to paragraph (11), the Minister must notify the person complained against if— (a) the Minister 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 Minister 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 Minister to make a notification if the Minister believes that to do so— (a) might prejudice any criminal investigation or pending proceedings; or (b) would otherwise be contrary to the public interest.
Propose a change(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 Minister must send a letter 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 beginning with the day after the day the letter was sent by the Minister in accordance with paragraph (2), the Minister must proceed as if the Minister had received a notification signed by the complainant that the complainant withdraws the complaint or wishes that no further steps be taken.
Propose a change(1) This regulation applies where— (a) the Minister has received notification (whether or not under this regulation) that civil proceedings relating to any matter have been issued by a member of the public against the Minister, or it otherwise appears to the Minister that such proceedings are likely to be so issued; and (b) it appears to the Minister (whether at the time of the notification or at any time subsequently) that those proceedings involve, or would involve, a conduct matter. (2) The Minister must determine whether the matter is one which the Minister is required to refer to the Director General under regulation 28 or is one which it would be appropriate to so refer. (3) If the Minister determines that the matter is one which the Minister is required to refer to the Director General under regulation 28, or is one which it would be appropriate to so refer, the Minister must record the matter. (4) In any case not falling within paragraph (3), the Minister must determine whether the matter— (a) concerns substantially the same conduct as— (i) a complaint made previously (“previous complaint”); or (ii) a conduct matter recorded previously (“previous conduct matter”); (b) is one in respect of which there is no fresh indication that an authorised investigator may have— (i) committed a criminal offence; or (ii) behaved in a manner which would justify the bringing of disciplinary proceedings; (c) is one in respect of which there is no fresh substantive evidence which was not reasonably available at the time the previous complaint was made or the previous conduct matter was recorded; and (d) is one where, as respects the previous complaint or previous conduct matter, it has been or is being investigated or otherwise handled in accordance with these Regulations. (5) In a case where the Minister determines that the matter does not fall within paragraph (4), the Minister must record the matter. (6) In any case not falling within paragraph (3) or (5), the Minister may (but need not) record the matter. (7) In a case where the Minister— (a) records a matter under this regulation; and (b) is not required to refer the matter to the Director General under regulation 28 and does not do so, the Minister may deal with the matter in such other manner (if any) as the Minister may determine. (8) Nothing in paragraphs (3) or (5) requires the Minister to record any conduct matter if the Minister is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates. (9) For the purposes of this paragraph, civil proceedings involve a conduct matter if— (a) they relate to such a matter; or (b) they are proceedings that relate to a matter in relation to which a conduct matter, or evidence of a conduct matter, is or may be relevant.
Propose a change(1) This regulation applies where— (a) a conduct matter comes to the attention of the Minister otherwise than as set out in regulation 21; and (b) it appears to the Minister that the conduct involved in that matter falls within paragraph (2). (2) Conduct falls within this paragraph if, assuming it to have taken place— (a) it appears to have resulted in the death of any person or in serious injury to any person; (b) a member of the public has been adversely affected by it; or (c) it involves— (i) a serious assault, as determined in guidance issued by the Director General; (ii) a serious sexual offence, as determined in guidance issued by the Director General; (iii) serious corruption, including abuse of position for a sexual purpose or the purpose of pursuing an improper emotional relationship, as determined in guidance issued by the Director General; (iv) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which, in either case, was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion or other status, as determined in guidance issued by the Director General; (v) a relevant offence; (vi) conduct whose gravity or other exceptional circumstances make it appropriate to record the matter in which the conduct is involved; (vii) conduct which is alleged to have taken place in the same incident as one in which conduct within paragraphs (i) to (v) is alleged. (3) The Minister must determine whether the matter is one which the Minister is required to refer to the Director General under regulation 28 or is one which it would be appropriate to so refer. (4) If the Minister determines that the matter is one which the Minister is required to refer to the Director General under regulation 28, or is one which it would be appropriate to so refer, the Minister must record the matter. (5) In any case not falling within paragraph (4), the Minister must determine whether the matter— (a) concerns substantially the same conduct as— (i) a complaint made previously (“previous complaint”); or (ii) a conduct matter recorded previously (“previous conduct matter”); (b) is one in respect of which there is no fresh indication that an authorised investigator may have— (i) committed a criminal offence; or (ii) behaved in a manner which would justify the bringing of disciplinary proceedings; (c) is one in respect of which there is no fresh substantive evidence which was not reasonably available at the time the previous complaint was made or the previous conduct matter was recorded; and (d) is one where, as respects the previous complaint or previous conduct matter, it has been or is being investigated or otherwise handled in accordance with these Regulations. (6) In a case where the Minister determines that the matter does not fall within paragraph (5), the Minister must record the matter. (7) In any case not falling within paragraph (4) or (6), the Minister may (but need not) record the matter. (8) In a case where the Minister— (a) records a matter under this paragraph; and (b) is not required to refer the matter to the Director General under regulation 28 and does not do so, the Minister may deal with the matter in such other manner (if any) as the Minister may determine. (9) Nothing in paragraph (4) or (6) requires the Minister to record any conduct matter if the Minister is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates.
Propose a change(1) Where the Minister becomes aware of any recordable conduct matter relating to the conduct of an individual, the Minister must take all such steps as appear to the Minister to be appropriate for the purposes of these Regulations for obtaining and preserving the evidence relating to that matter. (2) The Minister’s duty under paragraph (1) must be performed as soon as practicable after the Minister becomes aware of the matter in question. (3) The Minister must, until satisfied that it is no longer necessary to do so, continue to take the steps from time to time appearing to the Minister to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the matter. (4) The Director General may direct the Minister to take all such specific steps for obtaining or preserving evidence relating to any recordable conduct matter as the Director General considers appropriate for the purposes of these Regulations; and the Minister must comply with any such direction.
Propose a change(1) The Minister must refer a complaint to the Director General where the complaint is— (a) one alleging that the conduct complained of has resulted in death or serious injury; (b) any complaint not falling within sub-paragraph (a) but alleging conduct which constitutes— (i) a serious assault, as determined in guidance issued by the Director General; (ii) a serious sexual offence, as determined in guidance issued by the Director General; (iii) serious corruption, including abuse of position for a sexual purpose or the purpose of pursuing an improper emotional relationship, as determined in guidance issued by the Director General; (iv) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which, in either case, was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status, as determined in guidance issued by the Director General; or (v) a relevant offence; (c) a complaint which arises from the same incident as one in which any conduct falling within sub-paragraph (a) or (b) is alleged; or (d) one in respect of which the Director General notifies the Minister that the Director General requires the complaint in question to be referred to the Director General for the Director General’s consideration. (2) In a case where there is no obligation under paragraph (1) to make a reference, the Minister may refer a complaint to the Director General if the Minister considers that it would be appropriate to do so by reason of— (a) the gravity of the subject matter of the complaint; or (b) any exceptional circumstances. (3) Where a complaint is required to be referred to the Director General under paragraph (1)(a), (b) or (c), notification of the complaint must be given to the Director General— (a) without delay and in any event not later than the end of the day following the day on which it first becomes clear to the Minister that the complaint falls within paragraph (1)(a), (b) or (c); and (b) in such manner as the Director General specifies. (4) Where a complaint is required to be referred to the Director General under paragraph (1)(d), notification of the complaint must be given to the Director General— (a) without delay and in any event not later than the end of the day following the day on which the Director General notifies the Minister that the complaint is to be referred; and (b) in such manner as the Director General specifies. (5) Subject to paragraph (6), the power of— (a) the Director General by virtue of paragraph (1)(d) to require a complaint to be referred to the Director General; and (b) the Minister to refer a complaint to the Director General under paragraph (2), may be exercised at any time irrespective of whether the complaint is already being investigated by any person or has already been considered by the Director General. (6) Where the Minister refers a complaint to the Director General under this regulation the Minister must give a notification of the making of the reference— (a) to the complainant; and (b) except in a case where it appears to the Minister that to do so might prejudice an investigation of the complaint (whether an existing investigation or a possible future one), to the person complained against. (7) A complaint that has already been referred to the Director General under this regulation on a previous occasion or that has been treated as having been so referred by virtue of regulation 25— (a) is not required to be referred again under this regulation unless the Director General so directs; and (b) may only be referred under paragraph (2) if the Director General consents.
Propose a change(1) The Director General may treat a complaint that comes to the Director General’s attention otherwise than by having been referred to the Director General under regulation 24 as having been so referred. (2) Where the Director General treats a complaint as having been referred to the Director General— (a) regulations 16 and 24 do not apply, or cease to apply, in relation to the complaint except to the extent provided for by regulation 24(7); and (b) regulations 18 and 80 apply in relation to the complaint as if it had been referred to the Director General by the Minister under regulation 24. (3) The Director General must notify the following that the Director General is treating a complaint as having been referred to the Director General— (a) the Minister; (b) the complainant; (c) except in a case where it appears to the Director General that to do so might prejudice an investigation of the complaint (whether an existing investigation or a possible future one), the person complained against (if any). (4) Where the Minister receives a notification under paragraph (3) in respect of a complaint and the complaint has not yet been recorded, the Minister must record the complaint.
Propose a change(1) The Director General must, in the case of every complaint referred to the Director General by the Minister under regulation 24, or treated as having been so referred under regulation 25, determine whether or not it is necessary for the complaint to be investigated by the Director General. (2) Where the Director General determines under this regulation that it is not necessary for a complaint to be investigated by the Director General— (a) in a case where the complaint is already being investigated by the Minister on the Minister’s own behalf (and notwithstanding the Director General’s determination), the Director General must refer the complaint to the Minister for the investigation to be completed; (b) in any other case, the Director General may, if the Director General thinks fit, refer the complaint to the Minister to be dealt with by the Minister in accordance with regulation 18. (3) Where the Director General refers a complaint under paragraph (2), the Director General must give a notification of the making of the reference— (a) to the complainant; and (b) except in a case where it appears to the Director General that to do so might prejudice an investigation of the complaint (whether an existing investigation or a possible future one), to the person complained against (if any).
Propose a changeAny recordable conduct matter which is required to be referred to the Director General must be referred in such manner as the Director General specifies and— (a) if the matter falls within regulation 28(1)(a) or (b), without delay and in any event not later than the end of the day following the day on which it first becomes clear to the Minister that the matter falls within regulation 28(1)(a) or (b); (b) if the matter falls within regulation 28(1)(c), without delay and in any event not later than the end of the day following the day on which the Director General notifies the Minister that the matter is to be referred.
Propose a change(1) The Minister must refer a recordable conduct matter to the Director General, whether or not the case falls within regulation 21, if— (a) that matter relates to any incident or circumstances in or in consequence of which any person has died or suffered serious injury; (b) that matter involves the commission, or the alleged commission, of— (i) a serious assault, as determined in guidance issued by the Director General; (ii) a serious sexual offence, as determined in guidance issued by the Director General; (iii) serious corruption, including abuse of position for a sexual purpose or the purpose of pursuing an improper emotional relationship, as determined in guidance issued by the Director General; (iv) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which, in either case, was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status, as determined in guidance issued by the Director General; (v) a relevant offence; or (vi) conduct which is alleged to have taken place in the same incident as one in which conduct within paragraphs (i) to (v) is alleged; or (c) the Director General notifies the Minister that the Director General requires that matter to be referred to the Director General for the Director General’s consideration. (2) In any case where there is no obligation under paragraph (1) to make a reference, the Minister may refer a recordable conduct matter to the Director General if the Minister considers that it would be appropriate to do so by reason of— (a) the gravity of the matter; or (b) any exceptional circumstances. (3) Where there is an obligation under paragraph (1) to refer any matter to the Director General, it must be so referred within such period as is provided for by regulation 27. (4) Subject to paragraph (6), the power of— (a) the Director General by virtue of paragraph (1)(c) to require a matter to be referred to the Director General; (b) the Minister to refer any matter to the Director General under paragraph (2), may be exercised at any time irrespective of whether the matter is already being investigated by any person or has already been considered by the Director General. (5) The Minister must give a notification of the making of a reference under this regulation to the person to whose conduct the matter relates, unless the Minister considers that to do so might prejudice an investigation of the matter (whether an existing investigation or a possible future one). (6) A matter that has already been referred to the Director General under this regulation on a previous occasion or that has been treated as having been so referred by virtue of regulation 29— (a) is not required to be referred again under this regulation unless the Director General so directs; and (b) may only be referred under paragraph (2) if the Director General consents.
Propose a change(1) The Director General may treat a conduct matter that comes to the Director General’s attention otherwise than by having been referred to the Director General under regulation 28 as having been so referred. (2) Where the Director General treats a conduct matter as having been referred to the Director General, regulations 21, 22 and 28 do not apply, or cease to apply, in relation to the matter except to the extent provided for by regulation 28(6). (3) The Director General must notify the following that the Director General is treating a conduct matter as having been referred to the Director General— (a) the Minister; (b) except in a case where it appears to the Director General that to do so might prejudice an investigation of the matter (whether an existing investigation or a possible future one), the person to whose conduct the matter relates. (4) Where the Minister receives a notification under paragraph (3) in respect of a conduct matter and the matter has not yet been recorded, the Minister must record the matter (and the other provisions of these Regulations apply in relation to that matter accordingly).
Propose a change(1) The Director General must, in the case of every recordable conduct matter referred to the Director General by the Minister under regulation 28 or treated as having been referred under regulation 29, determine whether or not it is necessary for the matter to be investigated by the Director General. (2) Where the Director General determines under this regulation that it is not necessary for a recordable conduct matter to be investigated by the Director General— (a) in a case where the recordable conduct matter is already being investigated by the Minister on the Minister’s own behalf, and notwithstanding the Director General’s determination, the Director General must refer the matter to the Minister for the investigation to be completed; (b) in any other case, the Director General may, if the Director General thinks fit, refer the matter to the Minister to be dealt with by the Minister in such manner (if any) as the Minister may determine. (3) Where the Director General refers a matter under paragraph (2), the Director General must give a notification of the making of the reference to the person to whose conduct the matter relates, except in cases where it appears to the Director General that to do so might prejudice an investigation of the matter (whether an existing investigation or a possible future one).
Propose a changeWhere a DSI matter comes to the attention of the Minister, the Minister must record that matter.
Propose a change(1) Where a DSI matter comes to the attention of the Minister, the Minister must take all such steps as appear to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to that matter. (2) The Minister’s duty under paragraph (1) must be performed as soon as practicable after the Minister becomes aware of the matter in question. (3) The Minister must, until satisfied that it is no longer necessary to do so, continue to take the steps which from time to time appear to the Minister to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the matter. (4) The Director General may direct the Minister to take all such specific steps for obtaining or preserving evidence relating to any DSI matter as the Director General considers appropriate for the purposes of these Regulations; and the Minister must comply with any such direction.
Propose a change(1) The Minister must refer a DSI matter to the Director General. (2) A DSI matter must be referred to the Director General in such manner as the Director General specifies and— (a) in a case where the Director General directs that the matter be referred to the Director General, without delay and in any event not later than the end of the day following the day on which the Director General so directs; and (b) in any other case, without delay and in any event not later than the end of the day following the day on which the matter first comes to the attention of the Minister. (3) A matter that has already been referred to the Director General under paragraph (1) on a previous occasion, or that has been treated as having been so referred by virtue of regulation 34, is not required to be referred again, unless the Director General so directs.
Propose a change(1) The Director General may treat a DSI matter that comes to the Director General’s attention otherwise than by having been referred to the Director General under regulation 33 as having been so referred. (2) Where the Director General treats a DSI matter as having been referred to the Director General, regulations 31 and 33 do not apply, or cease to apply, in relation to the matter except to the extent provided for by regulation 33(3). (3) The Director General must notify the Minister that the Director General is treating a DSI matter as having been referred to the Director General. (4) Where the Minister receives a notification under paragraph (3) in respect of a DSI matter and the matter has not yet been recorded, the Minister must record the matter (and the other provisions of these Regulations apply in relation to that matter accordingly).
Propose a change(1) The Director General must, in the case of every DSI matter referred to the Director General by the Minister under regulation 33, or treated as having been so referred under regulation 34, determine whether or not it is necessary for the matter to be investigated by the Director General. (2) Where the Director General determines under this regulation that it is not necessary for a DSI matter to be investigated by the Director General— (a) in a case where the DSI matter is already being investigated by the Minister on the Minister’s own behalf, and notwithstanding the Director General’s determination, the Director General must refer the matter to the Minister for the investigation to be completed; (b) in any other case, the Director General may, if the Director General thinks fit, refer the matter to the Minister to be dealt with by the Minister in such manner (if any) as the Minister may determine.
Propose a change(1) If, during the course of an investigation of a DSI matter, it appears to a person appointed by the Minister under regulation 39 to undertake an investigation that an authorised investigator may have— (a) committed a criminal offence; or (b) behaved in a manner which would justify the bringing of disciplinary proceedings, the person so appointed must make a submission to that effect to the Minister in relation to the DSI matter. (2) If, after considering a submission under paragraph (1), the Minister determines that there is such an indication, the Minister must— (a) notify the Director General of the Minister’s determination; and (b) send to the Director General a copy of the submission under paragraph (1). (3) If during the course of an investigation of a DSI matter it appears to a person appointed under regulation 40 or 41, that there is an indication that an authorised investigator may have— (a) committed a criminal offence; or (b) behaved in a manner which would justify the bringing of disciplinary proceedings, the person so appointed must make a submission to that effect to the Director General in relation to the DSI matter. (4) If, after considering a submission under paragraph (3), the Director General determines that there is such an indication, the Director General must— (a) notify the Minister of the Director General’s determination; and (b) send to the Minister a copy of the submission under paragraph (3). (5) If during the course of an investigation of a DSI matter being carried out by a person appointed under regulation 40 or 41 the Director General determines (without there having been a submission under paragraph (3)) that there is an indication that an authorised investigator 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 Minister of the Director General’s determination. (6) If during the course of an investigation of a DSI matter by a person designated under regulation 42 the Director General determines that an authorised investigator 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 paragraph (7). (7) The Director General must— (a) prepare a record of the determination made by the Director General under paragraph (6); (b) notify the Minister of that determination; and (c) send to the Minister a copy of the record of that determination prepared under sub-paragraph (a). (8) Where the Minister— (a) is notified of a determination by the Director General under paragraph (4), (5) or (7); or (b) makes a determination under paragraph (2), the Minister must record the matter under regulation 22 as a recordable conduct matter. (9) Where a DSI matter is recorded under regulation 22 as a recordable conduct matter by virtue of paragraph (8)— (a) the person investigating the DSI matter must, subject to any determination made by the Director General under regulation 37(5), (7) or (8), 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 as if it were a recordable conduct matter.
Propose a change(1) This regulation applies where— (a) a complaint or recordable conduct matter or DSI matter is referred to the Director General or treated as having been so referred; and (b) the Director General determines under regulation 26(1), 30(1) or 35(1) that it is necessary for the complaint or matter to be investigated. (2) The Director General must determine which of the following forms the investigation must take— (a) an investigation by the Minister on the Minister’s own behalf; (b) an investigation by the Minister, a police force or the National Crime Agency under the direction of the Director General; (c) an investigation by the Director General. (3) In making a determination under paragraph (2) the Director General must first determine whether, having regard to the seriousness of the case and the public interest, it is appropriate for the investigation to take the form of an investigation by the Minister on the Minister’s own behalf and, if it is, the Director General must determine that the investigation is to take that form. (4) Where, in accordance with paragraph (3), the Director General determines that it is not appropriate for the investigation to take the form of an investigation by the Minister on the Minister’s own behalf, the Director General must determine that the investigation is to take the form of an investigation by the Director General unless paragraph (5) applies. (5) This paragraph applies where the Director General determines that it would be more appropriate for the investigation to take the form of an investigation by the Minister, a police force or the National Crime Agency under the direction of the Director General, in which case the Director General must determine that the investigation is to take that form. (6) Where the Director General determines under paragraph (5) or (8) that an investigation is to take the form of an investigation by the Minister, a police force or the National Crime Agency under the direction of the Director General, the Director General must keep under review whether that form of investigation continues to be the most appropriate form of investigation. (7) If, on such a review, the Director General determines that— (a) it would be more appropriate for the investigation to take the form of an investigation by the Director General, the Director General must make a further determination under this regulation (to replace the earlier one) that the investigation is instead to take that form; or (b) having regard to the seriousness of the case and the public interest, it would be more appropriate for the investigation to take the form of an investigation by the Minister on the Minister’s own behalf, the Director General may make a further determination under this regulation (to replace the earlier one) that the investigation is instead to take that form. (8) Subject to paragraph (7), if at any time the Director General determines that, were the Director General to apply paragraphs (3) to (5) again, the form of the investigation would be different, the Director General may make a further determination (to replace the earlier one) such that the investigation takes that different form. (9) Where a determination under this regulation replaces an earlier determination under this regulation, or relates to a complaint, recordable conduct matter or DSI matter in relation to which the Minister has already begun an investigation on the Minister’s own behalf, the Director General may give— (a) the Minister; and (b) any person previously appointed to carry out the investigation, such directions as the Director General considers appropriate for the purpose of giving effect to the new determination. (10) A person to whom a direction is given under paragraph (9) must comply with it. (11) The Director General must notify the Minister of any determination that the Director General makes under this regulation in relation to a complaint, recordable conduct matter or DSI matter, and of the Director General’s reasons for making the determination. (12) The Director General must also notify the following of any determination that the Director General makes under this regulation in relation to a complaint, recordable conduct matter or DSI matter, and of the Director General’s reasons for making the determination— (a) interested persons in relation to the complaint, recordable conduct matter or DSI matter; (b) where the determination is made in relation to a complaint, the complainant; (c) the person to whose conduct the investigation will relate. (13) Paragraph (12)(a) and (b) are subject to regulation 64.
Propose a changeA person may not be appointed to carry out an investigation under regulation 39, 40 or 41 if one or more of the following applies— (a) the person does not have an appropriate level of knowledge, skills and experience to plan and manage the investigation; (b) that person’s involvement could reasonably give rise to a concern as to whether that person could act impartially under these Regulations; or (c) that person works, directly or indirectly, under the management of the authorised investigator whose conduct is being investigated.
Propose a change(1) This regulation applies where the Minister is required by virtue of any determination made by the Director General under regulation 37 to make arrangements for a complaint, recordable conduct matter or DSI matter to be investigated by the Minister on the Minister’s own behalf. (2) The Minister must, subject to paragraph (3), appoint an authorised investigator to investigate the complaint or matter. (3) If the Minister is of the opinion that, having regard to regulation 38, it is not possible to appoint an authorised investigator to investigate the complaint or matter, the Minister must appoint a person who is— (a) employed by the Crown in service of the Cabinet Office; (b) seconded to the Crown in service of the Cabinet Office; or (c) engaged under a contract for services to the Crown in service of the Cabinet Office, to investigate the complaint or matter.
Propose a change