(1) This regulation applies where a complaint has been subjected to an investigation by the Minister on the Minister’s own behalf.
(2) Where this regulation applies, the complainant has the right to apply to the Director General for a review of the outcome of the investigation in accordance with regulation 81.
(3) The Director General must notify the following of an application for a review under paragraph (2)—
(a) the Minister;
(b) every interested person in relation to the complaint; and
(c) the person complained against (if any).
(4) Where the Director General so requires on the making of an application for a review under paragraph (2), the Minister must provide the Director General with—
(a) a copy of the report of the investigation; and
(b) such information concerning the Minister’s determinations under regulation 73(2)(a) or (7) as is described in a notification given by the Director General to the Minister.
(5) On a review under paragraph (2), the Director General must determine whether the outcome of the investigation is reasonable and proportionate.
(6) In making a determination under paragraph (5), the Director General may review the findings of the investigation.
(7) Where the Director General finds that the outcome of the investigation is not reasonable and proportionate, the Director General may take one or more of the following steps—
(a) make the Director General’s own findings (in place of, or in addition to, any findings of the investigation);
(b) direct that the complaint be re-investigated;
(c) make a recommendation to the Minister in respect of the authorised investigator who is the subject of the complaint—
(i) that the authorised investigator has a case to answer in respect of their conduct, or has no case to answer;
(ii) that the authorised investigator’s performance is, or is not, unsatisfactory;
(iii) that disciplinary proceedings are brought against the authorised investigator in respect of the conduct to which the investigation related;
(iv) that any disciplinary proceedings brought against that authorised investigator are modified so as to deal with such aspects of that conduct as may be so specified;
(d) make a recommendation under regulation 86.
(8) Where the Director General makes a recommendation under paragraph (7)(c)—
(a) 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 proposes to take to give effect to it; and
(b) paragraphs (5) to (9) and (10)(b) of regulation 77 apply in relation to the recommendation as if it had been made under those provisions.
(9) Paragraph (10) applies where, on a review applied for under paragraph (2), the Director General determines that the report of the investigation indicates that a criminal offence may have been committed by a person to whose conduct the investigation related and 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.
(10) Where this paragraph applies, the Director General must notify the Director of Public Prosecutions of the determination under paragraph (9) and send the Director of Public Prosecutions a copy of the report.
(11) The Director General must give notification of the outcome of a review under this regulation, and of the reasons for the determination under paragraph (5)—
(a) to the Minister;
(b) to the complainant;
(c) to every interested person in relation to the complaint; and
(d) except in a case where it appears to the Director General that to do so might prejudice any re-investigation of the complaint, to the person complained against (if any).
(12) The Minister must comply with any directions given to the Minister under this regulation.
(13) In this regulation, references, in relation to an investigation, to the outcome of the investigation do not include the outcome of any criminal or disciplinary proceedings brought in relation to any matter which was the subject of the investigation.
(1) This regulation applies to reviews under regulation 80.
(2) Subject to paragraph (3), an application for a review must be made within a period of 28 days beginning with the day after the day on which the information mentioned in regulation 61(4)(c) was provided to the complainant.
(3) The Director General may extend the period mentioned in paragraph (2) in any case where the Director General is satisfied that, because of the special circumstances of the case, it is just to do so.
(4) An application for a review must be made in writing and must state—
(a) details of the complaint;
(b) the date on which the complaint was made; and
(c) the date on which the information mentioned in regulation 61(4)(c) was provided to the complainant.
(5) Where the Director General receives an application for a review which fails to comply with one or more of the requirements mentioned in paragraph (4), the Director General may decide to proceed as if those requirements had been complied with.
(6) Where the Director General receives an application for a review, the Director General must request any information from any person which the Director General considers necessary to dispose of the review, except information—
(a) that might incriminate the person;
(b) that is subject to legal privilege within the meaning of the Police and Criminal Evidence Act 1984 (see section 10 of that Act);
(c) that would cause a disclosure to be made that would be prohibited by any of Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016;
(d) 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;
(e) the disclosure of which would require a postal operator or telecommunications operator to provide communications data; and for this purpose “communications data”, “postal operator” and “telecommunications operator” have the same meanings as in the Investigatory Powers Act 2016 (see sections 261 and 262 of that Act).
82 Information for complainant about disciplinary recommendations
(1) This regulation applies where, on the review of the outcome of an investigation under regulation 80, the Director General makes a recommendation under paragraph (7)(c) of that regulation.
(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 every interested person 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 it.
(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 steps (if any) to take under regulation 77(5) to (7), (9) and (10)(b) as applied by regulation 80(8)(b).
(4) The Director General must notify the complainant, and every interested person in relation to the complaint—
(a) of any determination under paragraph (3) not to take further steps; and
(b) where the Director General determines under paragraph (3) that the Director General will take further steps, of the outcome of the taking of those steps.
(1) Where the Director General directs under regulation 80 that a complaint be re-investigated, the Director General must make a determination of the form that the re-investigation should take.
(2) Paragraphs (2) to (10) of regulation 37 apply in relation to a determination under paragraph (1) as they apply in the case of a determination under that regulation.
(3) The other provisions of these Regulations (including this regulation) apply in relation to any re-investigation in pursuance of a direction under regulation 80(7)(b) as they apply in relation to any investigation in pursuance of a determination under regulation 37.
(4) Where the Director General determines under paragraph (1) that the re-investigation should take the form of an investigation by the Minister on the Minister’s own behalf, the Director General may also give the Minister such directions as to the handling of the matter in future as the Director General thinks fit; and the Minister must comply with any such directions.
(5) 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.
(6) 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) the complainant;
(b) every interested person in relation to the complaint;
(c) the person complained against (if any).
84 Recommendations by the Director General following receipt of reports on completion of an investigation or following a determination on a review
(1) This regulation applies where the Director General has—
(a) received a report, or otherwise completed one in relation to an investigation carried out under regulation 42 by the Director General personally, under—
(i) regulation 71(3)(a);
(ii) regulation 71(4); or
(iii) regulation 75(2)(a) or (3); or
(b) made a determination on a review under regulation 80.
(2) The Director General may make a recommendation to the Minister in relation to a matter dealt with in the report or review.
(3) Where this paragraph applies—
(a) by virtue of paragraph (1)(a)(i) or (ii), and the report is a report of an investigation of a complaint; or
(b) by virtue of paragraph (1)(b),
a recommendation made under paragraph (2) may not be a recommendation of a kind described in regulation 86(3).
(4) A recommendation under this regulation may also be made to any person if it is made—
(a) following the receipt or completion of a report relating to—
(i) a DSI matter;
(ii) a recordable conduct matter; or
(iii) a complaint; or
(b) following a determination on a review relating to a complaint.
(5) Where the Director General makes a recommendation under this regulation, the Director General must also—
(a) publish the recommendation; and
(b) send a copy of it to any person to whom the Director General thinks a copy should be sent.
(1) A person to whom a recommendation under regulation 84 is made must provide to the Director General a response in writing stating—
(a) what action the person has taken or proposes to take in response to the recommendation; or
(b) why the person has not taken, or does not propose to take, any action in response.
(2) The person must provide the response to the Director General before the end of the period of 56 days beginning with the day on which the recommendation was made, unless paragraph (3) applies.
(3) The Director General may extend the period of 56 days following an application for an extension received before the end of the period; and if the Director General grants an extension, the person must provide the response before the end of the extended period.
(4) But if proceedings for judicial review of the Director General’s decision to make a recommendation are started during the period allowed by paragraph (2) or (3), that period is extended by however many days the proceedings are in progress.
(5) On receiving a response, the Director General must, within the period of 21 days beginning with the day on which the Director General received it—
(a) publish the response; and
(b) send a copy of it to any person who was sent a copy of the recommendation under regulation 84(5)(b),
unless the person giving the response has made representations under paragraph (6).
(6) The person giving the response may, at the time of providing it to the Director General, make representations to the Director General asserting that the requirements of publication and disclosure under paragraph (5) should not apply to the response, or to particular parts of it.
(7) On receiving such representations, the Director General may decide—
(a) that the response should not be published, or that only parts of it should be published;
(b) that the response should not be disclosed, or that only parts of it should be disclosed.
(8) Where, following a decision on such representations, the Director General decides to publish or disclose a response (in whole or in part), the Director General must do so only after the person giving the response has been informed of the Director General’s decision, and—
(a) in a case where the Director General has decided to accept all of the representations, the Director General must do so within the period of 21 days beginning with the day on which the Director General received the response;
(b) in a case where the Director General has decided to reject any of the representations, the Director General must do so within the period which—
(i) begins on the seventh day after the day on which the person was informed of the Director General’s decision on the representations, and
(ii) ends on the 21st day after the day on which the person was informed.
(9) But if proceedings for judicial review of the Director General’s decision to reject a representation are started before the day referred to in paragraph (8)(b)(i)—
(a) the Director General must not publish or disclose the response while the proceedings are in progress;
(b) if the court upholds the Director General’s decision to reject a representation, the Director General must publish and disclose the response (in whole or in part, as appropriate) before the end of the period of 7 days beginning with the day on which the proceedings are no longer in progress.
(10) Where the Minister makes a response under this regulation, the Minister must, at the time the Director General publishes the response, also publish the response (to the same extent as published by the Director General) and the recommendation under regulation 84.
(11) For the purposes of this regulation—
(a) “disclosing” a response means sending a copy of it as mentioned in paragraph (5)(b);
(b) the period during which judicial review proceedings are in progress includes any day on which an appeal is in progress or may be brought.
(12) This regulation does not apply, or ceases to apply, in relation to a recommendation made under regulation 84 if the Director General determines under regulation 79 that the complaint, recordable conduct matter or DSI matter that the Director General received a report on, or otherwise completed one on in relation to an investigation carried out under regulation 42 by the Director General personally, is to be re-investigated.
86 Recommendations by the Director General in relation to remedying dissatisfaction expressed by the complainant
(1) This regulation applies for the purposes of regulation 72(13) or 80(7)(d) where the Director General considers it appropriate to make a recommendation of a kind described in paragraph (3) with a view to remedying the dissatisfaction expressed by the complainant concerned.
(2) A recommendation under this regulation may only be made to the Minister.
(3) The kinds of recommendation are—
(a) a recommendation that an apology be made to the complainant concerned;
(b) a recommendation that any property seized from the complainant concerned be returned;
(c) a recommendation not falling within sub-paragraphs (a) or (b), other than a recommendation that compensation be paid, which the Director General considers appropriate to remedy the dissatisfaction expressed by the complainant concerned.
(4) Following receipt of a recommendation, the Minister must provide to the Director General a written response stating—
(a) whether the Minister accepts the recommendation;
(b) if the Minister accepts the recommendation, the steps that the Minister proposes to take to give effect to the recommendation;
(c) if the Minister does not accept the recommendation, the reasons for not accepting it.
(5) The Minister must provide the response before the end of the period of 28 days beginning with the day after the day on which the recommendation was made.
(6) The Director General may extend the period mentioned in paragraph (5) and, if so, the Minister must provide the response before the end of the extended period.
(7) The Director General must send a copy of the recommendation and the response to it to—
(a) the complainant concerned;
(b) any interested person; and
(c) except in a case where it appears to the Director General that to do so might prejudice any investigation or proceedings (including a criminal investigation or criminal proceedings), the person complained against (if any).
(8) In this regulation, “complainant concerned” means—
(a) in relation to a recommendation under regulation 72(13), the complainant whose complaint, having been investigated, resulted in the submission or completion of the report under regulation 71;
(b) in relation to a recommendation under regulation 80(7)(d), the complainant who applied under regulation 80(2) for the review.