40 Investigation by a police force or the National Crime Agency under the direction of the Director General
(1) This regulation applies where the Director General determines under regulation 37 that there should be an investigation of a complaint, recordable conduct matter or DSI matter under the direction of the Director General by—
(a) a police force; or
(b) the National Crime Agency.
(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 Minister, 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 Minister, 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 must appoint a person serving with the police who is a member of that force to investigate the 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 appoint a National Crime Agency officer to investigate the complaint or matter.
(5) An appointment of a person under paragraph (4) must be notified to the Minister 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) is, in relation to that investigation, 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.
41 Investigations by the Minister under the direction of the Director General
(1) This regulation applies where the Director General has determined under regulation 37 that the Director General should direct the investigation by the Minister of any complaint, recordable conduct matter or DSI matter.
(2) The Minister must—
(a) appoint an authorised investigator to investigate the complaint or matter;
(b) 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, appoint a person who is—
(i) employed by the Crown in service of the Cabinet Office;
(ii) seconded to the Crown in service of the Cabinet Office; or
(iii) engaged under a contract for services to the Crown in service of the Cabinet Office,
to investigate the complaint or matter; or
(c) if the Minister is of the opinion that, having regard to regulation 38, it is not possible to appoint an authorised investigator or a person mentioned in sub-paragraph (b)(i) to (iii) 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 National Crime Agency officer 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 Minister that the Director General approves the person whom the Minister proposes to appoint or proposes to make arrangements to have appointed.
(4) Where at any time the Director General is not satisfied with the person investigating, the Director General may require the Minister, as soon as reasonably practicable after being required to do so, to—
(a) propose a different person for appointment or propose to make arrangements to have a different person appointed in accordance with paragraph (2) to investigate the complaint or matter; and
(b) notify the Director General of the person proposed.
(5) Paragraph (4) applies whether the person investigating was appointed—
(a) before the Minister was given notice of the Director General’s determination that the Director General should direct the investigation by the Minister;
(b) under paragraph (2) (including where the appointment was approved by the Director General in accordance with paragraph (3)); or
(c) under paragraph (6)(a).
(6) Where a proposal made in pursuance of a requirement under paragraph (4) has been notified to the Director General—
(a) the Minister must appoint that person to investigate the complaint or matter if, but only if, the Director General notifies the Minister that the Director General approves the appointment of that person;
(b) if the Director General notifies the Minister that the Director General does not approve the appointment of that person, the Minister must make another proposal in accordance with paragraph (4).
(7) The person appointed under paragraph (2) or (6)(a) to investigate the complaint or matter—
(a) is, in relation to that investigation, under the direction and control of the Director General; and
(b) must keep the Director General informed of the progress of the investigation.
(1) This regulation applies where the Director General has determined under regulation 37 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 Act (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 1996 Act, have all the powers and privileges of a constable throughout England and Wales and the adjacent 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 (4), to be treated as being in police service for the purposes of—
(a) section 280 of the Trade Union and Labour Relations (Consolidation) Act 1992 (person in police service excluded from definitions of “worker” and “employee”); or
(b) section 200 of the Employment Rights Act 1996 (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 waters (whether or not that is the case apart from this paragraph).
(7) In this regulation “adjacent waters” means the sea and other waters within the seaward limits of the territorial sea of England and Wales.
(1) Where an investigation under regulation 39 is not completed within a relevant period, the Minister must, as soon as practicable after the end of that period, provide in writing the information mentioned in paragraph (4) to the Director General.
(2) Where an investigation under regulation 40, 41 or 42 is not completed within a relevant period, the Director General must, as soon as practicable after the end of that period, provide in writing the information mentioned in paragraph (4) to the Minister, unless it appears to the Director General that to do so might prejudice the investigation or any other investigation or proceedings (including a criminal investigation or criminal proceedings).
(3) For the purposes of this regulation, each of the following is a “relevant period”—
(a) the period of 12 months beginning with the date on which—
(i) the complaint to which the investigation relates was made; or
(ii) the recordable conduct matter or DSI matter to which the investigation relates came to the attention of the Minister;
(b) each subsequent period of six months beginning with the day after the end of the immediately preceding relevant period.
(4) The information is—
(a) the date on which—
(i) the complaint to which the investigation relates was made; or
(ii) the recordable conduct matter or DSI matter to which the investigation relates came to the attention of the Minister;
(b) the date on which any notice was given under regulation 49;
(c) the progress of the investigation;
(d) an estimate of when the report on the investigation will be submitted or completed under regulation 71 or 75;
(e) the reason for the length of time being taken to complete the investigation; and
(f) a summary of planned steps to progress the investigation and bring it to a conclusion.
(5) The Minister or the Director General, as the case may be, must send a copy of the information provided in writing under paragraph (1) or (2) to—
(a) except where paragraph (6) applies, any complainant and interested person; and
(b) except in a case where it appears to the Minister or the Director General, as the case may be, that to do so might prejudice the investigation or any other investigation or proceedings (including a criminal investigation or criminal proceedings), the person to whose conduct the investigation relates.
(6) This paragraph applies where the Director General or the Minister, as the case may be, is of the opinion that regulation 64(2)(a) or (b) applies.
(7) Paragraphs (4) and (5) of regulation 64 apply in relation to paragraph (6) of this regulation as they apply in relation to paragraph (2) of regulation 64.
(1) Where the Minister is carrying out an investigation on the Minister’s own behalf under regulation 39, the Minister may—
(a) combine that investigation with another such investigation; or
(b) split that investigation into two or more such separate investigations,
if the Minister considers that it is more efficient and effective, or is otherwise in the public interest, to do so.
(2) In the case of an investigation under the direction of the Director General under regulation 40 or 41 or by the Director General under regulation 42, the Director General may—
(a) combine that investigation with another investigation; or
(b) split that investigation into two or more separate investigations,
if the Director General considers that it is more efficient and effective, or is otherwise in the public interest, to do so.
(3) The Director General must consult the Minister before taking any action under paragraph (2) in relation to an investigation under the direction of the Director General.
(4) Nothing in this regulation prevents the Director General from determining—
(a) that where an investigation is split into two or more separate investigations, those investigations may take different forms; or
(b) that two or more separate investigations which take different forms (including an investigation being carried out by the Minister on the Minister’s own behalf) may be combined into a single investigation.
45 Change of form of investigation: provision of documentation and evidence
(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 Minister on the Minister’s own behalf or an investigation by the Minister under the direction of the Director General; or
(b) an investigation being carried out by the Minister under the direction of the Director General should instead take the form of an investigation by the Minister on the Minister’s own behalf.
(2) The Director General must send to the Minister any documentation and evidence gathered during the investigation which will assist the Minister to carry out the Minister’s functions under these Regulations.
(1) The Director General and, subject to paragraph (2), the Minister 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 Minister, would, if it were to continue, prejudice any criminal investigation or criminal 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 Minister 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 Minister before making a direction under paragraph (2).
47 Resumption of investigation of complaint after criminal investigation or criminal proceedings
(1) This regulation applies where—
(a) the Director General or the Minister has suspended the whole or part of an investigation of a complaint until the conclusion of a criminal investigation or criminal proceedings under regulation 46; and
(b) the criminal investigation or criminal proceedings mentioned 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 Minister, as the case may be, 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 indicates a wish for the investigation to start or be resumed, the Director General or the Minister, 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 beginning with the day after the day on which the letter is sent by the Director General or the Minister in accordance with paragraph (2),
the Director General or the Minister, 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 Minister determines that it is not in the public interest for the complaint to be treated as a recordable conduct matter, the provisions of these Regulations relating to the investigation of the complaint cease to apply to the complaint.
(7) Where the Director General or the Minister determines that it is in the public interest for the complaint to be treated as a recordable conduct matter, the relevant provisions of regulations 21, 22, 23, 27, 28, 29 and 30 apply to the matter as if it were a recordable conduct matter.
(8) Subject to paragraph (9), the Director General or the Minister, 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 Minister to make a notification if the Director General or the Minister, 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.
(1) Where at least one of Condition A, B or C is satisfied, the person investigating must proceed with the investigation in accordance with paragraphs (5) to (8) and regulations 49 to 54.
(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 under regulation 42, 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 40 or 41; 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 40 or 41, 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 gross misconduct or misconduct that is so serious as to justify the commencement of disciplinary proceedings, 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 42 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 Minister.
(9) Where the case has been referred to the Director General to make a severity assessment, the Director General must notify the person investigating of the result of that assessment.
(10) On the completion of a severity assessment or, in cases where paragraph (9) applies, after notification by the Director General, the person investigating must notify the Minister of the result of the assessment.
(11) In this regulation and in regulations 49 to 54, “person concerned” means—
(a) in relation to an investigation of a complaint—
(i) the person in respect of whom it appears to the person investigating or, in the case of an investigation under regulation 42, the Director General, that there is the indication mentioned in paragraph (2)(b); or
(ii) the person in respect of whom the Director General determines that there is the indication mentioned in paragraph (3)(b);
(b) in relation to an investigation of a recordable conduct matter, the person to whose conduct the investigation relates.
49 Special procedure: notification of severity assessment etc.
(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 investigation and how that conduct is alleged to fall below the standards contained in the Civil Service Code;
(b) that there is an investigation into the matter and the identity of the person investigating;
(c) the result of the severity assessment;
(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 50; and
(f) the effect of regulation 52.
(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 five working days beginning 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 40, 41 or 42, the Director General; or
(b) in the case of an investigation under regulation 39, the person investigating the complaint or recordable conduct 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 or proceedings, including a criminal investigation or criminal proceedings.
(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) A notice under paragraph (1), a notice under paragraph (2)(b) 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 PSFA friend, where the PSFA friend has agreed with the Minister to deliver the notice; or
(d) given to the person concerned in any other manner agreed between the person investigating and the person concerned.
(1) This regulation applies where the person investigating a complaint or recordable conduct matter has given the person concerned a notice under regulation 49.
(2) The person concerned may choose—
(a) an authorised investigator;
(b) a person employed by the Crown in service of the Cabinet Office who performs the functions of the PSFA; or
(c) an official of a trade union within the meaning of sections 1 and 119 of the Trade Union and Labour Relations (Consolidation) Act 1992,
who is not otherwise involved in the case to act as their PSFA friend.
(3) A PSFA friend may—
(a) advise the person concerned throughout any investigation or proceedings under these Regulations;
(b) provide any relevant statement or relevant document to the person investigating the complaint or recordable conduct matter;
(c) accompany the person concerned to any interview of that person conducted by the person investigating; and
(d) make representations to the Director General concerning any aspect of any investigation or proceedings under these Regulations.
(4) Where a PSFA friend is an authorised investigator or a person employed by the Crown in service of the Cabinet Office who performs the functions of the PSFA, the Minister must permit the PSFA friend to use a reasonable amount of their contractual working time for the purposes mentioned in paragraph (3).
51 Special procedure: revision of severity assessment
(1) Where in the case of an investigation under—
(a) regulation 40 or 41; or
(b) regulation 42, 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 40 or 41; or
(b) regulation 42, 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 revise the assessment, the person investigating may do so.
(4) A severity assessment may only be revised after consultation with the Minister.
(5) Except where paragraph (6) applies, on the revision of a severity assessment the person investigating must give a notice of the result of the revision to the Minister and the person concerned.
(6) This paragraph applies for so long as—
(a) in the case of an investigation under regulation 40, 41 or 42, the Director General; or
(b) in the case of an investigation under regulation 39, the person investigating the complaint or recordable conduct matter,
considers that giving the notice might prejudice the investigation or any other investigation or proceedings (including a criminal investigation or criminal proceedings).
(7) A notice under paragraph (5) 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 PSFA friend, where the PSFA friend has agreed with the Minister to deliver the notice; or
(d) given to the person concerned in any other manner agreed between the person investigating and the person concerned.
52 Special procedure: representations to the person investigating
(1) This regulation applies where the person investigating a complaint or recordable conduct 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 49(2)(b).
(2) Where in the case of an investigation under—
(a) regulation 40 or 41; or
(b) regulation 42, other than by the Director General acting personally,
the person concerned or their PSFA 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 and the Director General must consider the statement or document.
(3) Where, in any other case, the person concerned or their PSFA 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 ten working days beginning 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 49(2)(b), unless this period is extended by—
(a) the person investigating; or
(b) in the case of an investigation under regulation 42, other than by the Director General acting personally, the Director General.
53 Special procedure: duty to provide information to Minister
In a case where the Director General or person investigating has made a severity assessment under regulation 48, the person investigating must provide the Minister with such information in that person’s possession as the Minister may reasonably request for the purpose of determining whether—
(a) the person concerned should have, or should continue to have, their authorisation as an authorised investigator suspended; or
(b) in relation to a person concerned who has been—
(i) seconded to or within the Cabinet Office and authorised to serve as an authorised investigator; or
(ii) engaged and authorised to serve as an authorised investigator under any other temporary arrangement with or within the Cabinet Office,
the secondment or temporary arrangement of the person concerned, and their connected authorisation as an authorised investigator, should cease to have effect, or continue to have no effect.
54 Special procedure: interview of the person concerned
(1) This regulation applies where the person investigating a complaint or recordable conduct 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 49(2)(b).
(2) In the case of an investigation under regulation 42 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 PSFA 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 five working days beginning with the first working day after the day specified under paragraph (2) or (3) 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 42, 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) A PSFA friend may not answer any questions asked of the person concerned during the interview.
55 Interview of an authorised investigator during investigations
(1) This paragraph applies in relation to an interview which—
(a) is held with an authorised investigator during the course of the investigation by the person investigating a complaint, recordable conduct matter or DSI matter; and
(b) does not fall within regulation 54.
(2) The person investigating must—
(a) give written notice to the person who is to be interviewed (“the interviewee”) that the interview will take place in accordance with this regulation; and
(b) if reasonably practicable, agree a date and time for the interview with the interviewee.
(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 interviewee or the accompanying person will not be available at that time; and
(b) the interviewee proposes an alternative time which satisfies paragraph (5),
the interview must be postponed to the time proposed by the interviewee.
(5) An alternative time proposed by the interviewee must—
(a) be reasonable; and
(b) fall before the end of the period of five working days beginning with the first working day after the day specified under paragraph (2)(b) or (3) by the person investigating.
(6) The person investigating must, in advance of the interview, give the interviewee—
(a) a notice stating the date, time and place of the interview; and
(b) such information as the person investigating considers appropriate in the circumstances of the case to enable the interviewee to prepare for the interview.
(7) The interviewee must attend the interview.
(8) An accompanying person may accompany the interviewee to the interview under this regulation, and—
(a) during, and in relation to, the interview may—
(i) advise the interviewee;
(ii) provide any relevant statement or relevant document to the person investigating; but
(b) may not answer any questions asked of the interviewee during the interview.
(9) The Minister must permit an accompanying person to use a reasonable amount of their 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—
(a) an authorised investigator or a person employed by the Crown in service of the Cabinet Office who performs the functions of the PSFA;
(b) nominated by the interviewee; and
(c) not otherwise involved in the case.
56 Restrictions on proceedings pending the conclusion of an investigation
(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 Minister under regulation 71 or 75 or, as the case may be, a report has been completed by the Director General under regulation 71 or 75.
(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.
57 Provision of information to the Director General
(1) The Minister must provide the Director General with—
(a) all such information, documents, evidence and other things as may be specified or described in these Regulations that the Director General may reasonably require for the purposes of the carrying out of any of the Director General’s functions; and
(b) to the extent not falling within sub-paragraph (a), all such other information, documents, evidence and other things specified or described in a notification given by the Director General to the Minister under these Regulations 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 by any person in pursuance of a requirement imposed under paragraph (1) must be provided in such form, in such manner and within such period as may be specified in—
(a) the notification imposing the requirement; or
(b) any other notification given by the Director General to that person for the purposes of this paragraph.
(3) Nothing in this regulation requires the Minister—
(a) to provide the Director General with any information, document, evidence or other thing, before the earliest time at which it is practicable for the Minister to do so; or
(b) to provide any information, document, evidence or other thing in a case in which it is not, or it never becomes, practicable for the Minister to do so.
58 Minister to notify the Director General of outcome of disciplinary proceedings etc.
The Minister 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 71 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 or process, as soon as practicable after the Minister becomes aware of the appeal;
(c) the outcome of any such appeal, as soon as practicable after its conclusion.
(1) The Director General must establish and maintain a register of all information supplied to the Director General by the Minister under these Regulations (“the register”).
(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 such complaints or matters;
(c) raising public awareness of the complaints system; or
(d) improving the complaints system.
(3) Information may not be published or disclosed under paragraph (2) in circumstances where, in the opinion of the Director General, the non-disclosure of the information is necessary for a purpose mentioned in regulation 64(3).
(1) Where a complaint is recorded under regulation 16(3), the Minister 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 paragraph (1)(b) may be in a form which protects the anonymity of the complainant or of any other person.
(3) The Minister may decide not to supply such a copy of a complaint if the Minister 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 Minister decides not to supply such a copy, the Minister must keep that decision under regular review.
(1) Subject to regulation 64, 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 64, in any case in which there is an investigation of a complaint in accordance with these Regulations by the Minister on the Minister’s own behalf, the Minister 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 Minister such directions as the Director General considers appropriate for securing that the Minister complies with the Minister’s duty under that paragraph; and the Minister must comply with any such direction.
(4) The matters of which the complainant must be kept properly informed are—
(a) the progress of the investigation mentioned in paragraph (1) or (2);
(b) the outcome of the investigation mentioned in paragraph (1) or (2);
(c) any right to apply for a review conferred on the complainant by regulation 80, including—
(i) the time limit for applying for the review; and
(ii) the effect of regulation 81(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 any proceedings falling within sub-paragraph (d), the fact and outcome of that 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 Minister, with such information as the Director General or the Minister may reasonably require for the purpose of the performance by the Director General or the Minister of their duties under this regulation.
(7) The Director General or the Minister may comply with their duty under paragraph (1) or (2), as applicable, by sending the complainant a copy of any investigation report submitted (or completed) under regulation 71.
(8) Paragraph (7) applies notwithstanding any obligation of secrecy imposed by any rule of law or otherwise but is subject to—
(a) regulation 63; and
(b) regulation 64.
62 Interested persons and the duty to keep them informed
(1) A person is an interested person in relation to 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 Minister (as the case may be) that the person falls within paragraph (2) or (3); and
(b) the person has consented to be provided with information in accordance with this regulation and that consent has not been withdrawn.
(2) In the case of a complaint or recordable conduct matter, a person falls within this paragraph if 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;
(c) has suffered serious injury as the alleged result of that conduct.
(3) In the case of a DSI matter, a person falls within this paragraph if 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;
(c) is the person who has suffered serious injury.
(4) A person who does not fall within paragraph (2) or (3) is an interested person in relation to a complaint, recordable conduct matter or DSI matter which is the subject of an investigation in accordance with these Regulations if—
(a) the Director General or the Minister (as the case may be) considers that the 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 has consented to be provided with information in accordance with this regulation and that consent has not been withdrawn.
(5) In relation to a complaint, this regulation confers no rights on the complainant.
(6) While an investigation of a complaint, recordable conduct matter or DSI matter is being carried out by the Director General or under the Director General’s direction in accordance with these Regulations, and subsequently, the Director General must keep the interested person properly informed of the matters in paragraph (9).
(7) While an investigation of a complaint, recordable conduct matter or DSI matter is being carried out by the Minister on the Minister’s own behalf in accordance with these Regulations, and subsequently, the Minister must keep the interested person properly informed of the matters in paragraph (9).
(8) Where paragraph (6) applies, the Director General must give the Minister such directions as the Director General considers appropriate for securing that the Minister complies with the Minister’s duty under that paragraph; and the Minister must comply with any such direction.
(9) The matters of which the interested person must be kept properly informed are—
(a) the progress of an investigation into a complaint, recordable conduct matter or DSI matter in accordance with these Regulations;
(b) the outcome of an investigation into a complaint, recordable conduct matter or DSI matter in accordance with these Regulations;
(c) 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, 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.
(10) The generality of paragraph (9)(a) and (b) is not affected by any requirement to notify an interested person that is imposed by any other provision of these Regulations.
(11) The duties imposed by this regulation on the Director General and the Minister 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, regulations 63 and 64.
(12) The Director General or the Minister may comply with their duty under paragraph (6) by sending the interested person a copy of the investigation report submitted (or completed) under regulation 71 or 75.
(13) Paragraph (12) applies notwithstanding any obligation of secrecy imposed by any rule of law or otherwise but is subject to—
(a) regulation 63; and
(b) regulation 64.
(14) Regulation 61(6) applies for the purposes of this regulation as it applies for the purposes of that regulation.
(15) In this regulation, “relative” means any spouse, partner, parent or adult child.
63 Manner in which duties to keep the complainant and interested person informed are to be performed
(1) The Director General or the Minister, as the case may be, must inform the complainant or any interested person of—
(a) the matters mentioned in regulation 61(4)(a) and (d) and 62(9)(a) and (c) promptly and in any event—
(i) if there has been no previous notification under this regulation, 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 matters mentioned in regulation 61(4)(b), (e) and (f) and regulation 62(9)(b), (d) and (e) promptly and in any event before the end of the period of five working days beginning with the day after the day of the outcome (or, 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 in accordance with regulation 18(2).
(3) The Minister must inform the complainant in writing of the matters mentioned in regulation 61(4)(c)(i) and (ii), promptly and in any event before the end of the period of five working days beginning with the day after the day of the outcome of the handling of the complaint.
(4) In performing the duties imposed by these Regulations, the Director General or the Minister, 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 Minister, 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.
64 Exceptions to duties to keep the complainant and interested person informed
(1) Paragraph (2) specifies the circumstances in which the duties imposed on the Director General and the Minister under regulations 61 and 62 do not apply.
(2) The circumstances are where, in the opinion of the Director General or the Minister, as the case may be—
(a) the disclosure would be disproportionate; or
(b) 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; or
(iii) is otherwise necessary in the public interest.
(4) The Director General or the Minister, 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 Minister, as the case may be, must consider whether the non-disclosure of information is necessary 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;
(c) the disclosure of that information might prejudice the welfare or safety of any third party;
(d) that information constitutes criminal intelligence.
65 Information for complainant and interested persons about disciplinary recommendations
(1) This paragraph applies where, on the review of the outcome of an investigation under regulation 80, the Director General makes a recommendation under regulation 80(7)(c).
(2) Where the Minister notifies the Director General under regulation 80(8)(a) that the recommendation has been accepted, the Director General must notify the complainant and any interested persons in relation to the complaint of that fact and of the steps that have been, or are to be taken, by the Minister to give effect to the recommendation.
(3) Where the Minister—
(a) notifies the Director General under regulation 80(8)(a) that the Minister 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 action (if any) to take under regulation 77, as applied by regulation 80(8)(b).
(4) The Director General must notify the complainant and any interested persons in relation to the complaint—
(a) of any determination by the Director General under paragraph (3) not to take further action; and
(b) where the Director General determines under paragraph (3) that the Director General will take further action, of the outcome of the taking of that action.
66 Manner and time limits of notices and notifications
(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.
67 Investigations by the Director General: power to serve an information notice
(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 42.
(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 given by the Police and Criminal Evidence Act 1984 (see section 10 of that Act);
(c) to make any disclosure that would be prohibited by Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016;
(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) An information notice must not require a postal operator or telecommunications operator to provide communications data.
(4) 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;
(c) give details of the right of appeal against the information notice under regulation 69(1).
(5) The period specified under paragraph (4)(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.
(6) The Director General may cancel an information notice by written notice to the person on whom it was served.
(7) In these Regulations—
“communications data” has the meaning given in section 261 of the Investigatory Powers Act 2016;
“postal operator” has the meaning given in section 262 of the Investigatory Powers Act 2016;
“telecommunications operator” has the meaning given in section 261 of the Investigatory Powers Act 2016.
(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.
(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.
70 Sensitive information: restriction on disclosure
(1) Where the Director General receives information within paragraph (3), the Director General must not disclose, whether under regulation 10, 61 or 62 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 40(4) or 41(2) or (6) to investigate a complaint, recordable conduct matter or DSI matter (a “person conducting a directed investigation”) receives information within paragraph (3), the person conducting a directed investigation 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 person conducting a directed investigation, is identified by the department as information the disclosure of which may, in the opinion of the relevant authority—
(i) cause damage to 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 a person conducting a directed investigation discloses to another person information within paragraph (3) or the fact that the Director General or the person conducting a directed investigation has received it, the other 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”);
“His Majesty’s forces” has the meaning given in the Armed Forces Act 2006;
“intelligence service information” means information which was obtained (directly or indirectly) from or which relates to—
the Security Service;
the Secret Intelligence Service;
GCHQ; or
any part of—
His Majesty’s forces; or
the Ministry of Defence,
which engages in intelligence activities;
“Minister of the Crown” has the meaning given in the Ministers of the Crown Act 1975;
“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
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);
“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.
71 Final reports on investigations: complaints and recordable conduct matters
(1) This regulation applies on the completion of an investigation of—
(a) a complaint; or
(b) a recordable conduct matter.
(2) A person appointed under regulation 39 must submit a report on the investigation to the Minister.
(3) A person appointed under regulation 40 or 41 must—
(a) submit a report on the investigation to the Director General; and
(b) send a copy of that report to the Minister.
(4) A person designated under regulation 42 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 42 by the Director General acting personally, completing a report under this regulation is not prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in the report as the person thinks fit.
(6) Where a person would contravene regulation 70 by submitting, or, as the case may be, sending a copy of, a report in its entirety to the Minister 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 70 the person must not disclose.
(7) Where—
(a) a person has submitted, or, as the case may be, sent a copy of, a report in its entirety to the Minister under paragraph (2) or (3)(b); and
(b) the investigation to which the report relates is an investigation in respect of which at least one of Condition A, B or C in regulation 48 is satisfied;
that person must supply the Minister with such copies of further documents or other items in that person’s possession as the Minister may request, except so far as the person is prevented from doing so by regulation 70.
(8) The Minister may only make a request under paragraph (7) in respect of a copy of a document or other item if the Minister—
(a) considers that the document or item is of relevance to the investigation; and
(b) requires a copy of the document or the item for either or both purposes mentioned in paragraph (9).
(9) Those purposes are—
(a) complying with any obligation which the Minister has under disciplinary proceedings in relation to any person whose conduct is the subject matter of the investigation;
(b) ensuring that any such person receives a fair hearing at any disciplinary proceedings in respect of any such conduct of that person.
(10) A report on an investigation in respect of which at least one of Condition A, B or C in regulation 48 is satisfied 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 39, 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 40, 41 or 42; and
(b) in respect of which at least one of Condition A, B or C in regulation 48 is satisfied,
where the Director General seeks the views of the Minister on the matters mentioned in regulation 72(8)(a), the Director General must notify the Minister 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;
(c) whether or not disciplinary proceedings should be brought against any such person;
(d) whether or not performance proceedings should be brought against any such person.
(13) For the purposes of paragraph (11), the Minister must provide the Director General with the Minister’s views (if any) on the matters mentioned in regulation 72(8)(a) before the expiry of the time limit mentioned in paragraph (14).
(14) The time limit is 28 days beginning with the day after the day on which the Director General seeks the Minister’s views in accordance with regulation 72(8)(a), unless this period is extended by the Director General.
72 Action by the Director General in response to an investigation report under regulation 71
(1) This regulation applies where—
(a) a report on an investigation is submitted to the Director General under regulation 71(3)(a); or
(b) a report on an investigation is submitted to the Director General, or is otherwise completed, under regulation 71(4).
(2) But if, following the submission or completion of such a report, the Director General determines under regulation 79 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 Minister if it appears that the Minister 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 Minister and—
(i) in the case of a complaint, the complainant and every interested person in relation to that complaint; and
(ii) in the case of a recordable conduct matter, every interested person in relation to that matter,
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 70 by sending a copy of a report in its entirety to the Minister 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 70 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 and the Minister 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 Minister 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 Minister, make a determination as to—
(i) the matters described in sub-paragraph (a)(i) and (ii); and
(ii) whether or not performance proceedings or disciplinary proceedings should be brought against any person to whose conduct the investigation related;
(c) having considered the views (if any) of the Minister 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 Minister of the determination under sub-paragraph (b) and any determination under sub-paragraph (c);
(e) where the Director General determines that performance proceedings or disciplinary proceedings should be brought against a person, direct the Minister to bring those proceedings; and
(f) direct the Minister to determine what action (if any) the Minister will, in the Minister’s discretion, take, other than action involving the bringing of performance proceedings or 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 Minister must comply with a direction given under paragraph (8)(e) and must secure that the performance proceedings or disciplinary proceedings, once brought, are proceeded with to a proper conclusion.
(10) The Director General may at any time withdraw a direction given under paragraph (8)(e), after which any obligation imposed by paragraph (9) ceases.
(11) The Minister must keep the Director General informed of the action the Minister takes in response to a direction given under paragraph (8)(e).
(12) The Minister must comply with a direction given under paragraph (8)(f) and must notify the Director General of the determination the Minister makes.
(13) On receipt of the report, or on its completion by the Director General, where it is a report of an investigation of a complaint, the Director General may also make a recommendation under regulation 86.
73 Action by the Minister in response to an investigation report under regulation 71
(1) This regulation applies where a report of an investigation is submitted to the Minister in accordance with regulation 71(2).
(2) On receipt of the report, the Minister must—
(a) determine whether the conditions in paragraphs (3) and (4) are satisfied in respect of the report;
(b) if the Minister determines that the conditions in paragraphs (3) and (4) are satisfied, notify the Director of Public Prosecutions of that determination and send the Director of Public Prosecutions a copy of the report; and
(c) notify the persons mentioned in paragraph (6) of the Minister’s determination under sub-paragraph (a) and of any action taken by the Minister under sub-paragraph (b).
(3) The first condition is that the report indicates that a criminal offence may have been committed by a person to whose conduct the investigation related.
(4) The second condition is that the circumstances are such that, in the opinion of the Minister, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions.
(5) The Director of Public Prosecutions must notify the Director General and the Minister 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 (2)(b).
(6) The persons are—
(a) in the case of a complaint, the complainant and every interested person in relation to the complaint; and
(b) in the case of a recordable conduct matter, every interested person in relation to that matter.
(7) On receipt of the report, the Minister must also—
(a) determine 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) determine whether or not any such person’s performance is unsatisfactory;
(c) determine what action (if any) the Minister is required to, or will in the Minister’s discretion, take in respect of the matters dealt with in the report; and
(d) if the Minister 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 Minister is required to make under paragraph (2)(a) or sub-paragraphs (a) to (c) of this paragraph.
(8) It is the duty of the Minister—
(a) to take the action which the Minister determines under paragraph (7) that the Minister is required to, or will in the Minister’s discretion, take; and
(b) in a case where that action consists of, or includes, the bringing of disciplinary proceedings, to secure that those proceedings, once brought, are proceeded with to a proper conclusion.
74 Provision of copy of report on investigation etc. to person to whose conduct the investigation related
(1) Except where paragraph (2) applies, where—
(a) the Director General determines under regulation 72(8) that neither disciplinary proceedings nor performance proceedings should be brought against an authorised investigator; or
(b) the Minister determines under regulation 73(7) that the Minister will bring neither disciplinary proceedings nor performance proceedings against the authorised investigator,
the Director General or the Minister, as the case may be, must provide the authorised investigator with a copy of the report on the investigation or such parts of it as relate to the authorised investigator.
(2) This paragraph applies for so long as the Director General or the Minister, as the case may be, considers that providing a copy of the report, or part of it, under paragraph (1) might prejudice any investigation or proceedings (including a criminal investigation or criminal proceedings) or review under regulation 80.
(3) A copy of the report, or part of it, provided under paragraph (1) may be in a form which keeps anonymous the identity of the complainant (if any) or any other person.
(4) Where the Director General or the Minister would contravene regulation 70 by providing a copy of the report, or part of it, under paragraph (1), the Director General or the Minister must instead provide the copy having removed or obscured the information which by virtue of regulation 70 must not be disclosed.
(1) This regulation applies on the completion of an investigation of a DSI matter in respect of which neither the Director General nor the Minister has made a determination under regulation 36(2), (4), (5) or (6).
(2) The person investigating must—
(a) submit a report on the investigation to the Director General; and
(b) send a copy of that report to the Minister.
(3) Paragraph (2)(a) does not apply where the person investigating is the Director General carrying out an investigation personally under regulation 42, but the Director General must complete a report on the investigation.
(4) A person submitting a report to the Director General under paragraph (2) or completing one under paragraph (3) is not prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in the report as the person thinks fit.
(5) Where a person would contravene regulation 70 by sending a copy of a report in its entirety to the Minister under paragraph (2), the person must instead send a copy of the report after having removed or obscured the information which by virtue of regulation 70 the person must not disclose.
(6) On receipt of the report, or on its completion by the Director General, the Director General must determine whether the report indicates that the authorised investigator may have—
(a) committed a criminal offence; or
(b) behaved in a manner which would justify the bringing of disciplinary proceedings.
(7) On receipt of the report, or on its completion by the Director General, the Director General must also, 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—
(a) that the Director General is required to make under paragraph (6); or
(b) as to a matter mentioned in regulation 76(1)(a) or (b).
(8) But paragraphs (6) and (7) and regulation 76 do not apply, or cease to apply, in relation to a report submitted under paragraph (2) or completed under paragraph (3) if, following the submission or completion of the report, the Director General determines under regulation 79 that the DSI matter is to be re-investigated.
76 Action by the Director General in response to an investigation report under regulation 75
(1) Where paragraph (2) applies, the Director General may notify the Minister that the Minister must determine—
(a) whether or not the performance of a person whose conduct is under investigation is unsatisfactory; and
(b) what action (if any) the Minister will take in respect of the performance of the person mentioned in sub-paragraph (a).
(2) This paragraph applies where the Director General determines under regulation 75(6) that there is no indication in the report produced under regulation 74(1) 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.
(3) On receipt of a notification under paragraph (1) the Minister must make the determinations and submit a memorandum to the Director General setting out the determinations the Minister has made.
(4) On receipt of a memorandum under paragraph (3), the Director General must—
(a) consider the memorandum and consider whether the Minister has made determinations under paragraph (1) that the Director General considers appropriate;
(b) determine whether or not to make recommendations under regulation 77;
(c) make such recommendations (if any) under regulation 77 as the Director General thinks fit.
(5) Paragraph (4) does not affect any power of the Director General to make recommendations or give advice under regulation 8(1)(e) in other cases, whether arising under these Regulations or otherwise.
(6) If the Director General determines under regulation 75(6) that the report indicates 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, and, if it appears that the Minister has not already been sent a copy of the report, send a copy of the report to the Minister.
(7) Where the Minister is notified under paragraph (6) of a determination by the Director General, the Minister must record the DSI matter as conduct matter.
(8) Where a DSI matter is recorded as a conduct matter by virtue of paragraph (7)—
(a) the person investigating the DSI matter must, subject to any determination made by the Director General under regulation 37(7) or (8), investigate the recordable conduct matter as if appointed or, as the case may be, designated to do so; and
(b) the other provisions of these Regulations apply in relation to that matter as if it were a recordable conduct matter.
77 Duties with respect to disciplinary proceedings
(1) This regulation applies where, in relation to an investigation, the Minister has submitted, or is required to submit, a memorandum to the Director General under regulation 76(3).
(2) But this regulation does not apply, or ceases to apply, in relation to the investigation if the Director General determines under regulation 79 that the DSI matter is to be re-investigated.
(3) Subject to any recommendations or directions under this regulation, the Minister must—
(a) take the action referred to in regulation 76(1) which is, or which is required to be, set out in the memorandum; and
(b) in a case where that action consists of or includes the bringing of disciplinary proceedings, secure that those proceedings, once brought, are proceeded with to a proper conclusion.
(4) The Director General may make a recommendation to the Minister—
(a) that the performance of a person whose conduct is under investigation is, or is not, satisfactory;
(b) that action is taken in respect of the performance of the person mentioned in sub-paragraph (a),
and the Minister must notify the Director General whether the Minister accepts the recommendation and, if the Minister does, set out in the notification the steps that the Minister is proposing to take to give effect to the recommendation.
(5) If, after the Director General has made a recommendation under this regulation, the Minister does not take steps to secure that full effect is given to the recommendation—
(a) the Director General may direct the Minister to take steps for that purpose; and
(b) the Minister must comply with a direction under sub-paragraph (a).
(6) A direction under paragraph (5) may, to such extent as the Director General thinks fit, set out the steps to be taken by the Minister in order to give effect to the recommendation.
(7) Where the Director General gives the Minister a direction under this regulation, the Director General must supply the Minister with a statement of the Director General’s reasons for doing so.
(8) Where disciplinary or other proceedings have been brought in accordance with a recommendation or direction under this regulation, the Minister must ensure that they are proceeded with to a proper conclusion.
(9) The Director General may at any time withdraw a direction given under this regulation, after which any obligation imposed by paragraph (8) ceases.
(10) The Minister must keep the Director General informed—
(a) of whatever action the Minister takes in pursuance of the Minister’s duties under paragraph (3); and
(b) in every case of a recommendation or direction under this regulation, of whatever action the Minister takes in response to that recommendation or direction.
78 Complaints and conduct matters relating to a person whose identity is unascertained
(1) Where a complaint or conduct matter relates to the conduct of a person whose identity is unascertained at the time at which the complaint is made or the conduct matter is recorded, or whose identity is not ascertained during or subsequent to the investigation of the complaint or recordable conduct matter, these Regulations apply in relation to such a person as if they did not include—
(a) any requirement for the person complained against or the person to whose conduct the matter relates to be given a notification or an opportunity to make representations;
(b) any requirement for the Director General or the Minister to determine whether a criminal offence may have been committed by a person whose conduct has been the subject matter of an investigation, or to take any action in relation to such a determination;
(c) any requirement for the Director General or the Minister to determine whether disciplinary proceedings should be brought against a person whose conduct is the subject matter of a report.
(2) Where the identity of such a person is subsequently ascertained, the Director General and the Minister must take such action in accordance with these Regulations as they see fit, regardless of any previous action taken.
79 Power of the Director General to require re-investigation
(1) This regulation applies where—
(a) a report on an investigation of a complaint, recordable conduct matter or DSI matter carried out under the direction of the Director General has been submitted to the Director General under regulation 71(3)(a) or regulation 75(2)(a); or
(b) a report on an investigation of a complaint, recordable conduct matter or DSI matter carried out by a person designated by the Director General has been submitted to the Director General (or, in the case of an investigation carried out under regulation 42 by the Director General personally, is otherwise completed by the Director General) under regulation 71(4) or 75(2)(a) or (3).
(2) The Director General may at any time determine that the complaint, recordable conduct matter or DSI matter is to be re-investigated if the Director General is satisfied that there are compelling reasons for doing so.
(3) Where the Director General makes a determination under paragraph (2), the Director General must determine that the re-investigation is to take the form of an investigation by the Director General unless paragraph (4) applies, in which case the Director General must determine that the re-investigation is to take the form described in that paragraph.
(4) This paragraph applies where the Director General determines that it would be more appropriate for the re-investigation to take the form of an investigation by the Minister under the direction of the Director General.
(5) Where—
(a) the Director General determines under paragraph (3) or (7) that a re-investigation is to take the form of an investigation by the Director General; and
(b) at any time after the determination described in sub-paragraph (a), the Director General determines that paragraph (4) applies in relation to the re-investigation,
the Director General may make a further determination under this regulation (to replace the earlier one) that the re-investigation is instead to take the form of an investigation by the Minister under the direction of the Director General.
(6) Where the Director General determines under paragraph (3) or (5) (read with paragraph (4)) that a re-investigation is to take the form of an investigation by the Minister under the direction of the Director General, the Director General must keep under review whether paragraph (4) continues to apply in relation to the re-investigation.
(7) If, on such a review, the Director General determines that paragraph (4) no longer applies in relation to a re-investigation, the Director General must make a further determination under this regulation (to replace the earlier one) that the re-investigation is instead to take the form of an investigation by the Director General.
(8) Paragraphs (9) and (10) of regulation 37 apply in relation to a further determination under paragraph (5) or (7) as they apply in the case of a further determination under regulation 37(7) or (8).
(9) The other provisions of these Regulations apply in relation to any re-investigation in pursuance of a determination under this regulation as they apply in relation to any investigation in pursuance of a determination under regulation 37.
(10) The Director General must notify the Minister of any determination that the Director General makes under this regulation and of the Director General’s reasons for making the determination.
(11) Subject to regulation 64, the Director General must also notify the following of any determination that the Director General makes under this regulation and of the Director General’s reasons for making the determination—
(a) every interested person 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 re-investigation will relate.
(12) The reference to a report in paragraph (1) includes a report on a re-investigation by virtue of this regulation or regulation 80.