Police Reform Act 2002

Part 3 U.K. Investigations and subsequent proceedings

Power of the Commission to determine the form of an investigation E+W

15 (1) This paragraph applies where— E+W

(a) a complaint [F1 , recordable conduct matter or DSI matter] is referred to the Commission; and

(b) the Commission determines that it is necessary for the complaint or matter to be investigated.

(2) It shall be the duty of the Commission to determine the form which the investigation should take.

(3) In making a determination under sub-paragraph (2) the Commission shall have regard to the following factors—

(a) the seriousness of the case; and

(b) the public interest.

(4) The only forms which the investigation may take in accordance with a determination made under this paragraph are—

(a) an investigation by the appropriate authority on its own behalf;

(b) an investigation by that authority under the supervision of the Commission;

(c) an investigation by that authority under the management of the Commission;

(d) an investigation by the Commission.

(5) The Commission may at any time make a further determination under this paragraph to replace an earlier one.

(6) Where a determination under this paragraph replaces an earlier determination under this paragraph, or relates to a complaint or matter in relation to which the appropriate authority has already begun an investigation on its own behalf, the Commission may give—

(a) the appropriate authority, and

(b) any person previously appointed to carry out the investigation,

such directions as it considers appropriate for the purpose of giving effect to the new determination.

(7) It shall be the duty of a person to whom a direction is given under sub-paragraph (6) to comply with it.

(8) The Commission shall notify the appropriate authority of any determination that it makes under this paragraph in relation to a particular complaint [F1 , recordable conduct matter or DSI matter] .

Textual Amendments

F1 Words in Sch. 3 para. 15(1)(a)(8) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 13; S.I. 2005/1521, art. 3(1)(w)

Modifications etc. (not altering text)

C1 Sch. 3 para. 15 applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

Commencement Information

I1 Sch. 3 para. 15 wholly in force at 1.4.2004; Sch. 3 para. 15 not in force at Royal Assent see s. 108(2); Sch. 3 para. 15 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 15 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

Investigations by the appropriate authority on its own behalf E+W

16 (1) This paragraph applies if the appropriate authority is required by virtue of— E+W

(a) any determination made by that authority under [F2 paragraph 6(3)] (whether following the recording of a complaint or on a reference back under paragraph 5(2)) or under paragraph 8(4), or

(b) any determination made by the Commission under paragraph 15,

to make arrangements for a complaint[F3 , recordable conduct matter or DSI matter] to be investigated by the appropriate authority on its own behalf.

(2) This paragraph also applies if—

(a) a determination falls to be made by that authority under paragraph [F4 10(4D)], or [F5 11(3E)] or 14(2) in relation to any recordable conduct matter [F6 or under paragraph 14D(2) in relation to any DSI matter]; and

(b) the appropriate authority determine that it is necessary for the matter to be investigated by the authority on its own behalf.

(3) Subject to sub-paragraph (4) [F7 or (5)], it shall be the duty of the appropriate authority to appoint—

(a) a person serving with the police (whether under the direction and control of the chief officer of police of the relevant force or of the chief officer of another force), or

[F8 (d) a National Crime Agency officer,]

to investigate the complaint or matter.

(4) The person appointed under this paragraph to investigate any complaint or [F9 conduct matter]—

(a) in the case of an investigation relating to any conduct of a chief officer, must not be a person under that chief officer’s direction and control; and

(b) in the case of an investigation relating to any conduct of the Commissioner of Police of the Metropolis or of the Deputy Commissioner of Police of the Metropolis, must be the person nominated by the Secretary of State for appointment under this paragraph.

[F10 (5) The person appointed under this paragraph to investigate any DSI matter—

(a) in relation to which the relevant officer is a chief officer, must not be a person under that chief officer's direction and control;

(b) in relation to which the relevant officer is the Commissioner of Police of the Metropolis or the Deputy Commissioner of Police of the Metropolis, must be the person nominated by the Secretary of State for appointment under this paragraph.]

Textual Amendments

F2 Words in Sch. 3 para. 16(1)(a) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 9(2); S.I. 2012/2892, art. 2(g) (with art. 6)

F3 Words in Sch. 3 para. 16(1) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 14(2); S.I. 2005/1521, art. 3(1)(w)

F4 Words in Sch. 3 para. 16(2)(a) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 11(5); S.I. 2012/2892, art. 2(g) (with art. 6)

F5 Words in Sch. 3 para. 16(2)(a) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 12(5); S.I. 2012/2892, art. 2(g) (with art. 6)

F6 Words in Sch. 3 para. 16(2)(a) inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 14(3); S.I. 2005/1521, art. 3(1)(w)

F7 Words in Sch. 3 para. 16(3) inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 14(4); S.I. 2005/1521, art. 3(1)(w)

F8 Sch. 3 para. 16(3)(d) substituted for Sch. 3 para. 16(3)(b)(c) Sch. 3 (7.10.2013) by Crime and Courts Act 2013 (c. 22), s. 61(2), Sch. 6 para. 17(2); S.I. 2013/1682, art. 3(q)

F9 Words in Sch. 3 para. 16(4) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 14(5); S.I. 2005/1521, art. 3(1)(w)

F10 Sch. 3 para. 16(5) added (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 14(6); S.I. 2005/1521, art. 3(1)(w)

Modifications etc. (not altering text)

C2 Sch. 3 para. 16 applied (with modifications) (E.W.) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

Commencement Information

I2 Sch. 3 para. 16 wholly in force at 1.4.2004; Sch. 3 para. 16 not in force at Royal Assent see s. 108(2); Sch. 3 para. 16 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 16 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

Investigations supervised by the Commission E+W

17 (1) This paragraph applies where the Commission has determined that it should supervise the investigation by the appropriate authority of any complaint [F11 , recordable conduct matter or DSI matter] . E+W

(2) On being given notice of that determination, the appropriate authority shall, if it has not already done so, appoint—

(a) a person serving with the police (whether under the direction and control of the chief officer of police of the relevant force or of the chief officer of another force), or

[F12 (d) a National Crime Agency officer,]

to investigate the complaint or matter.

(3) The Commission may require that no appointment is made under sub-paragraph (2) unless it has given notice to the appropriate authority that it approves the person whom that authority proposes to appoint.

(4) Where a person has already been appointed to investigate the complaint or matter, or is selected under this sub-paragraph for appointment, and the Commission is not satisfied with that person, the Commission may require the appropriate authority, as soon as reasonably practicable after being required to do so—

(a) to select another person falling within sub-paragraph (2)(a) [F13 , (b) or (c)] to investigate the complaint or matter; and

(b) to notify the Commission of the person selected.

(5) Where a selection made in pursuance of a requirement under sub-paragraph (4) has been notified to the Commission, the appropriate authority shall appoint that person to investigate the complaint or matter if, but only if, the Commission notifies the authority that it approves the appointment of that person.

(6) A person appointed under this paragraph to investigate any complaint or [F14 conduct matter]—

(a) in the case of an investigation relating to any conduct of a chief officer, must not be a person under that chief officer’s direction and control; and

(b) in the case of an investigation relating to any conduct of the Commissioner of Police of the Metropolis or of the Deputy Commissioner of Police of the Metropolis, must be the person nominated by the Secretary of State for appointment under this paragraph.

[F15 (6A) The person appointed under this paragraph to investigate any DSI matter—

(a) in relation to which the relevant officer is a chief officer, must not be a person under that chief officer's direction and control;

(b) in relation to which the relevant officer is the Commissioner of Police of the Metropolis or the Deputy Commissioner of Police of the Metropolis, must be the person nominated by the Secretary of State for appointment under this paragraph.]

(7) The person appointed to investigate the complaint or matter shall comply with all such requirements in relation to the carrying out of that investigation as may, in accordance with regulations made for the purposes of this sub-paragraph by the Secretary of State, be imposed by the Commission in relation to that investigation.

Textual Amendments

F11 Words in Sch. 3 para. 17(1) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 15(2); S.I. 2005/1521, art. 3(1)(w)

F12 Sch. 3 para. 17(2)(d) substituted for Sch. 3 para. 17(2)(b)(c) (7.10.2013) by Crime and Courts Act 2013 (c. 22), s. 61(2), Sch. 6 para. 17(3); S.I. 2013/1682, art. 3(q)

F13 Words in Sch. 3 para. 17(4) substituted (1.4.2007) by Police and Justice Act 2006 (c. 48), ss. 1, 53, Sch. 1 para. 89(4); S.I. 2007/709, art. 3(a) (subject to arts. 6, 7)

F14 Words in Sch. 3 para. 17(6) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 15(3); S.I. 2005/1521, art. 3(1)(w)

F15 Sch. 3 para. 17(6A) inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 15(4); S.I. 2005/1521, art. 3(1)(w)

Modifications etc. (not altering text)

C3 Sch. 3 para. 17 applied (with modifications) (E.W.) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

Commencement Information

I3 Sch. 3 para. 17 wholly in force at 1.4.2004; Sch. 3 para. 17 not in force at Royal Assent see s. 108(2); Sch. 3 para. 17 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 17 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

Investigations managed by the Commission E+W

18 (1) This paragraph applies where the Commission has determined that it should manage the investigation by the appropriate authority of any complaint [F16 , recordable conduct matter or DSI matter] . E+W

(2) Sub-paragraphs (2) to [F17 (6A)] of paragraph 17 shall apply as they apply in the case of an investigation which the Commission has determined is one that it should supervise.

(3) The person appointed to investigate the complaint or matter shall, in relation to that investigation, be under the direction and control of the Commission.

Textual Amendments

F16 Words in Sch. 3 para. 18(1) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 16(2); S.I. 2005/1521, art. 3(1)(w)

F17 Word in Sch. 3 para. 18(2) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 16(3); S.I. 2005/1521, art. 3(1)(w)

Modifications etc. (not altering text)

C4 Sch. 3 para. 18 applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

Commencement Information

I4 Sch. 3 para. 18 wholly in force at 1.4.2004; Sch. 3 para. 18 not in force at Royal Assent see s. 108(2); Sch. 3 para. 18 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 18 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

Investigations by the Commission itself E+W

19 (1) This paragraph applies where the Commission has determined that it should itself carry out the investigation of a complaint [F18 , recordable conduct matter or DSI matter]. E+W

(2) The Commission shall designate both—

(a) a member of the Commission’s staff to take charge of the investigation on behalf of the Commission, and

(b) all such other members of the Commission’s staff as are required by the Commission to assist him.

(3) The person designated under sub-paragraph (2) to be the person to take charge of an investigation relating to any conduct of the Commissioner of Police of the Metropolis or of the Deputy Commissioner of Police of the Metropolis must be the person nominated by the Secretary of State to be so designated under that sub-paragraph.

[F19 (3A) The person designated under sub-paragraph (2) to be the person to take charge of an investigation of a DSI matter in relation to which the relevant officer is the Commissioner of Police of the Metropolis or the Deputy Commissioner of Police of the Metropolis must be the person nominated by the Secretary of State to be so designated under that sub-paragraph.]

(4) A member of the Commission’s staff who—

(a) is designated under sub-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 United Kingdom waters,

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

(5) A member of the Commission’s staff who is not a constable shall not, as a result of sub-paragraph (4), be treated as being in police service for the purposes of—

(a) section 280 of the Trade Union and Labour Relations (Consolidation) Act 1992 (c. 52) (person in police service excluded from definitions of “worker” and “employee”); or

(b) section 200 of the Employment Rights Act 1996 (c. 18) (certain provisions of that Act not to apply to persons in police service).

(6) The Secretary of State may by order [F20 provide that—

(a) such provisions of the 1984 Act relating to investigations of offences conducted by police officers as may be specified in the order, and

(b) such provisions of a code of practice under section 60, 60A or 66 of that Act as may be so specified,

shall apply.]

[F21 (6A) An order under sub-paragraph (6) may, in particular, provide that where a provision applied by the order allows a power to be exercised only if an authorisation is given by a police officer of or above a particular rank, the authorisation may be given by a member of the Commission's staff of or above a specified grade.]

(7) References in this paragraph 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 passing of this Act) on a constable; and

[F22 (aa) a body required by section 26BA to enter into an agreement with the Commission, or]

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

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

Textual Amendments

F18 Words in Sch. 3 para. 19(1) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 17(2); S.I. 2005/1521, art. 3(1)(w)

F19 Sch. 3 para. 19(3A) inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 17(3); S.I. 2005/1521, art. 3(1)(w)

F20 Words in Sch. 3 para. 19(6) substituted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), ss. 136(2), 185(1) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(a)

F21 Sch. 3 para. 19(6A) inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), ss. 136(3), 185(1) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(a)

F22 Sch. 3 para. 19(7)(aa) inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), s. 185(1), Sch. 11 para. 95(2) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(c)(iii)

Modifications etc. (not altering text)

C5 Sch. 3 para. 19 applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

C6 Sch. 3 para. 19(4)(5)(7)(8) applied (with modifications) (16.1.2012) by The Elected Local Policing Bodies (Complaints and Misconduct) Regulations 2012 (S.I. 2012/62), regs. 1, 20(3) (with reg. 3(6))

Commencement Information

I5 Sch. 3 para. 19 wholly in force at 1.4.2004; Sch. 3 para. 19 not in force at Royal Assent see s. 108(2); Sch. 3 para. 19 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 19 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

[F23 Special procedure where investigation relates to police officer or special constable E+W

Textual Amendments

F23 Sch. 3 paras. 19A-19E inserted (3.11.2008 for the purpose of making regulations and 1.12.2008 otherwise) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 5 (with s. 14(1)); S.I. 2008/2712, art. 2, Sch. para. 17(b) (subject to arts. 3, 4); S.I. 2008/2993, art. 2(1)(i)(ii) (with art. 3)

19A E+W Paragraphs 19B to 19E apply to investigations of complaints or recordable conduct matters in cases where the person concerned (see paragraph 19B(11)) is a member of a police force or a special constable.

Assessment of seriousness of conduct under investigation E+W

19B (1) If, during the course of an investigation of a complaint, it appears to the person investigating that there is an indication that a person to whose conduct the investigation relates may have— E+W

(a) committed a criminal offence, or

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

the person investigating must certify the investigation as one subject to special requirements.

(2) If the person investigating a complaint certifies the investigation as one subject to special requirements, the person must, as soon as is reasonably practicable after doing so, make a severity assessment in relation to the conduct of the person concerned to which the investigation relates.

(3) The person investigating a recordable conduct matter must make a severity assessment in relation to the conduct to which the investigation relates—

(a) as soon as is reasonably practicable after his appointment or designation, or

(b) in the case of a matter recorded in accordance with paragraph 21A(5) or 24B(2), as soon as is reasonably practicable after it is so recorded.

(4) For the purposes of this paragraph a “severity assessment”, in relation to conduct, means an assessment as to—

(a) whether the conduct, if proved, would amount to misconduct or gross misconduct, and

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

(5) An assessment under this paragraph may only be made after consultation with the appropriate authority.

(6) On completing an assessment under this paragraph, the person investigating the complaint or matter must give a notification to the person concerned that complies with sub-paragraph (7).

(7) The notification must—

(a) give the prescribed information about the results of the assessment;

(b) give the prescribed information about the effect of paragraph 19C and of regulations under paragraph 19D;

(c) set out the prescribed time limits for providing the person investigating the complaint or matter with relevant statements and relevant documents respectively for the purposes of paragraph 19C(2);

(d) give such other information as may be prescribed.

(8) Sub-paragraph (6) does not apply for so long as the person investigating the complaint or matter considers that giving the notification might prejudice—

(a) the investigation, or

(b) any other investigation (including, in particular, a criminal investigation).

(9) Where the person investigating a complaint or matter has made a severity assessment and considers it appropriate to do so, the person may revise the assessment.

(10) On revising a severity assessment, the person investigating the complaint or matter must notify the prescribed information about the revised assessment to the person concerned.

(11) In this paragraph and paragraphs 19C to 19E—

• “the person concerned”—

  (a)

  in relation to an investigation of a complaint, means the person in respect of whom it appears to the person investigating that there is the indication mentioned in paragraph 19B(1);

  (b)

  in relation to an investigation of a recordable conduct matter, means the person to whose conduct the investigation relates;

• “relevant document”—

  (a)

  means a document relating to any complaint or matter under investigation, and

  (b)

  includes such a document containing suggestions as to lines of inquiry to be pursued or witnesses to be interviewed;

• “relevant statement” means an oral or written statement relating to any complaint or matter under investigation.

Duty to consider submissions from person whose conduct is being investigated E+W

19C (1) This paragraph applies to— E+W

(a) an investigation of a complaint that has been certified under paragraph 19B(1) as one subject to special requirements, or

(b) an investigation of a recordable conduct matter.

(2) If before the expiry of the appropriate time limit notified in pursuance of paragraph 19B(7)(c)—

(a) the person concerned provides the person investigating the complaint or matter with a relevant statement or a relevant document, or

(b) any person of a prescribed description provides that person with a relevant document,

that person must consider the statement or document.

Interview of person whose conduct is being investigated E+W

19D (1) The Secretary of State may by regulations make provision as to the procedure to be followed in connection with any interview of the person concerned which is held during the course of an investigation within paragraph 19C(1)(a) or (b) by the person investigating the complaint or matter. E+W

(2) Regulations under this paragraph may, in particular, make provision—

[F24 (za) requiring the person concerned to attend an interview,]

(a) for determining how the time at which an interview is to be held is to be agreed or decided,

(b) about the information that must be provided to the person being interviewed,

(c) for enabling that person to be accompanied at the interview by a person of a prescribed description.

Textual Amendments

F24 Sch. 3 para. 19D(2)(za) inserted (19.12.2012) by Police (Complaints and Conduct) Act 2012 (c. 22), ss. 1(3), 3(3)

Duty to provide certain information to appropriate authority E+W

19E (1) This paragraph applies during the course of an investigation within paragraph 19C(1)(a) or (b). E+W

(2) The person investigating the complaint or matter must supply the appropriate authority with such information in that person's possession as the authority may reasonably request for the purpose mentioned in sub-paragraph (3).

(3) That purpose is determining, in accordance with regulations under section 50 or 51 of the 1996 Act, whether the person concerned should be, or should remain, suspended—

(a) from office as constable, and

(b) where that person is a member of a police force, from membership of that force.]

[F25 Interview of persons serving with the police etc during certain investigations U.K.

Textual Amendments

F25 Sch. 3 para. 19F and cross-heading inserted (19.12.2012) by Police (Complaints and Conduct) Act 2012 (c. 22), ss. 1(2), 3(3)

19F (1) This paragraph applies to an investigation of a complaint, recordable conduct matter or DSI matter which— U.K.

(a) is carried out by the appropriate authority under the management of the Commission, or

(b) is carried out by the Commission itself.

(2) The Secretary of State may by regulations make provision as to the procedure to be followed in connection with an interview which—

(a) is held with a serving officer during the course of the investigation by the person investigating the complaint or matter, and

(b) is not within paragraph 19D(1).

(3) Regulations under sub-paragraph (2) may in particular make provision—

(a) requiring a serving officer to attend an interview,

(b) for determining how the time at which an interview is to be held is to be agreed or decided,

(c) about the information that must be provided to a serving officer being interviewed,

(d) for enabling a serving officer to be accompanied at the interview by a person of a prescribed description.

(4) “Serving officer” means a person who—

(a) is serving with the police, or

(b) is serving with an additional police body.

(5) A person is serving with an additional police body if the person is a member of, or is employed or otherwise engaged for the purposes of, that body (subject to sub-paragraph (6)).

(6) The Secretary of State may by regulations provide, in relation to an additional police body, that a person is serving with that body only if the person—

(a) is a member of, or is employed or otherwise engaged for the purposes of, that body, and

(b) is of a prescribed description.

(7) An “additional police body” means—

(a) a body of constables which is maintained by an authority other than a local policing body and is prescribed in regulations made by the Secretary of State under this sub-paragraph, or

[F26 (b) the National Crime Agency.]

(8) The Secretary of State must obtain the consent of the Northern Ireland Assembly before making provision in regulations under this paragraph which would be within the legislative competence of the Northern Ireland Assembly.

(9) But consent under sub-paragraph (8) is not required in relation to a provision if—

(a) a Bill for an Act of the Northern Ireland Assembly containing the provision would require the consent of the Secretary of State under section 8 of the Northern Ireland Act 1998, and

(b) the provision does not affect, other than incidentally, a transferred matter (within the meaning of that Act).

(10) Nothing in this paragraph prevents or restricts the holding of interviews to which regulations under this paragraph do not apply during the course of any investigation under this Schedule.]

Textual Amendments

F26 Sch. 3 para. 19F(7)(b) substituted (7.10.2013) by Crime and Courts Act 2013 (c. 22), s. 61(2), Sch. 8 para. 153(2); S.I. 2013/1682, art. 3(v)

Restrictions on proceedings pending the conclusion of an investigation E+W

20 (1) No criminal or disciplinary proceedings shall be brought in relation to any matter which is the subject of an investigation in accordance with the provisions of this Schedule [F27 until— E+W

(a) the appropriate authority has certified the case as a special case under paragraph 20B(3) or 20E(3), or]

[F28 (b)] a report on that investigation has been submitted to the Commission or to the appropriate authority under paragraph 22 [F29 or 24A] .

(2) Nothing in this paragraph shall prevent the bringing of criminal or disciplinary proceedings in respect of any conduct at any time after the discontinuance of the investigation in accordance with the provisions of this Schedule which relates to that conduct.

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

Textual Amendments

F27 Words in Sch. 3 para. 20(1) substituted for word (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 159, 178, Sch. 11 para. 2(a); S.I. 2005/1521, art. 3(1)(v)

F28 Words in Sch. 3 para. 20(1) renumbered (1.7.2005) as Sch. 3 para. 20(1)(b) by virtue of Serious Organised Crime and Police Act 2005 (c. 15), ss. 159, 178, Sch. 11 para. 2(b); S.I. 2005/1521, art. 3(1)(v)

F29 Words in Sch. 3 para. 20(1) inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 18; S.I. 2005/1521, art. 3(1)(w)

Modifications etc. (not altering text)

C7 Sch. 3 para. 20 applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

C8 Sch. 3 para. 20 applied (with modifications) (16.1.2012) by The Elected Local Policing Bodies (Complaints and Misconduct) Regulations 2012 (S.I. 2012/62), regs. 1, 23 (with reg. 3(6))

Commencement Information

I6 Sch. 3 para. 20 wholly in force at 1.4.2004; Sch. 3 para. 20 not in force at Royal Assent see s. 108(2); Sch. 3 para. 20 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 20 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

[F30 Accelerated procedure in special cases E+W

Textual Amendments

F30 Sch. 3 paras. 20A-20I inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 159, 178, Sch. 11 para. 3; S.I. 2005/1521, art. 3(1)(v)

20A (1) If, at any time before the completion of his investigation, [F31 the person investigating] a complaint or recordable conduct matter believes that the appropriate authority would, on consideration of the matter, be likely to consider that the special conditions are satisfied, he shall proceed in accordance with the following provisions of this paragraph. E+W

(2) If the person was appointed under paragraph 16, he shall submit to the appropriate authority—

(a) a statement of his belief and the grounds for it; and

(b) a written report on his investigation to that point;

and if he was appointed following a determination made by the Commission under paragraph 15 he shall send a copy of the statement and the report to the Commission.

(3) If the person was appointed under paragraph 17 or 18 or designated under paragraph 19, he shall submit to the appropriate authority—

(a) a statement of his belief and the grounds for it; and

(b) a written report on his investigation to that point;

and shall send a copy of the statement and the report to the Commission.

(4) A person submitting a report under this paragraph shall not be prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in his report as he thinks fit.

(5) A statement and report may be submitted under this paragraph whether or not a previous statement and report have been submitted; but a second or subsequent statement and report may be submitted only if the person submitting them has grounds to believe that the appropriate authority will reach a different determination under paragraph 20B(2) or 20E(2).

(6) After submitting a report under this paragraph, the person [F32 investigating] the complaint or recordable conduct matter shall continue his investigation to such extent as he considers appropriate.

(7) The special conditions are that—

[F33 (a) there is sufficient evidence, in the form of written statements or other documents, to establish on the balance of probabilities that conduct to which the investigation relates constitutes gross misconduct;]

(c) it is in the public interest for the person whose conduct [F34 it is] to cease to be a member of a police force, or to be a special constable, without delay.

(8) F35 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(9) In paragraphs 20B to 20H “special report” means a report submitted under this paragraph.

Textual Amendments

F31 Words in Sch. 3 para. 20A(1) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 6(2) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F32 Words in Sch. 3 para. 20A(6) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 6(3) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F33 Sch. 3 para. 20A(7)(a) substituted (1.12.2008) for Sch. 3 para. 20A(7)(a)(b) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 6(4)(a) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F34 Words in Sch. 3 para. 20A(7)(c) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 6(4)(b) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F35 Sch. 3 para. 20A(8) repealed (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 149, 153, Sch. 23 para. 6(5), Sch. 28 Pt. 8 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(k)(ii) (subject to art. 3)

Investigations managed or carried out by Commission: action by appropriate authority E+W

20B (1) This paragraph applies where — E+W

(a) a statement and special report on an investigation carried out under the management of the Commission, or

(b) a statement and special report on an investigation carried out by a person designated by the Commission,

are submitted to the appropriate authority under paragraph 20A(3).

(2) The appropriate authority shall determine whether the special conditions are satisfied.

[F36 (3) If the appropriate authority determines that the special conditions are satisfied then, unless it considers that the circumstances are such as to make it inappropriate to do so, it shall—

(a) certify the case as a special case for the purposes of regulations under section 50(3) or 51(2A) of the 1996 Act; and

(b) take such steps as are required by those regulations in relation to a case so certified.]

(5) F37 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) The appropriate authority shall notify the Commission of a certification under sub-paragraph (3).

(7) If the appropriate authority determines—

(a) that the special conditions are not satisfied, or

(b) that, although those conditions are satisfied, the circumstances are such as to make it inappropriate at present to bring disciplinary proceedings,

it shall submit to the Commission a memorandum under this sub-paragraph.

(8) The memorandum required to be submitted under sub-paragraph (7) is one which—

(a) notifies the Commission of its determination that those conditions are not satisfied or (as the case may be) that they are so satisfied but the circumstances are such as to make it inappropriate at present to bring disciplinary proceedings; and

(b) (in either case) sets out its reasons for so determining.

(9) In this paragraph “special conditions” has the meaning given by paragraph 20A(7).

Textual Amendments

F36 Sch. 3 para. 20B(3) substituted (1.12.2008) for Sch. 3 para. 20B(3)(4) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 7(2) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F37 Sch. 3 para. 20B(5) repealed (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 149, 153, Sch. 23 para. 7(3), Sch. 28 Pt. 8 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(k)(ii) (subject to art. 3)

Investigations managed or carried out by Commission: action by Commission E+W

20C (1) On receipt of a notification under paragraph 20B(6), the Commission shall give a notification— E+W

(a) in the case of a complaint, to the complainant and to every person entitled to be kept properly informed in relation to the complaint under section 21; and

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

(2) The notification required by sub-paragraph (1) is one setting out—

(a) the findings of the special report;

(b) the appropriate authority's determination under paragraph 20B(2); and

(c) the action that the appropriate authority is required to take as a consequence of that determination.

(3) Subsections (5) to (7) of section 20 shall have effect in relation to the duties imposed on the Commission by sub-paragraph (1) as they have effect in relation to the duties imposed on the Commission by that section.

(4) Except so far as may be otherwise provided by regulations made by virtue of sub-paragraph (3), the Commission shall be entitled (notwithstanding any obligation of secrecy imposed by any rule of law or otherwise) to discharge the duty to give a person mentioned in sub-paragraph (1) notification of the findings of the special report by sending that person a copy of that report.

Investigations managed or carried out by Commission: action by Commission E+W

20D (1) On receipt of a memorandum under paragraph 20B(7), the Commission shall— E+W

(a) consider the memorandum;

(b) determine, in the light of that consideration, whether or not to make a recommendation under paragraph 20H; and

(c) if it thinks fit to do so, make a recommendation under that paragraph.

(2) If the Commission determines not to make a recommendation under paragraph 20H, it shall notify the appropriate authority and the person [F38 investigating the complaint or matter] of its determination.

Textual Amendments

F38 Words in Sch. 3 para. 20D(2) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 8 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

Other investigations: action by appropriate authority E+W

20E (1) This paragraph applies where— E+W

(a) a statement and a special report on an investigation carried out by an appropriate authority on its own behalf, or

(b) a statement and a special report on an investigation carried out under the supervision of the Commission,

are submitted to the appropriate authority under paragraph 20A(2) or (3).

(2) The appropriate authority shall determine whether the special conditions are satisfied.

[F39 (3) If the appropriate authority determines that the special conditions are satisfied then, unless it considers that the circumstances are such as to make it inappropriate to do so, it shall—

(a) certify the case as a special case for the purposes of regulations under section 50(3) or 51(2A) of the 1996 Act; and

(b) take such steps as are required by those regulations in relation to a case so certified.]

(5) F40 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(6) Where the statement and report were required under paragraph 20A(2) to be copied to the Commission, the appropriate authority shall notify the Commission of a certification under sub-paragraph (3).

(7) If the appropriate authority determines—

(a) that the special conditions are not satisfied, or

(b) that, although those conditions are satisfied, the circumstances are such as to make it inappropriate at present to bring disciplinary proceedings,

it shall notify the person [F41 investigating the complaint or matter] of its determination.

(8) In this paragraph “special conditions” has the meaning given by paragraph 20A(7).

Textual Amendments

F39 Sch. 3 para. 20E(3) substituted (1.12.2008) for Sch. 3 para. 20E(3)(4) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 9(2) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F40 Sch. 3 para. 20E(5) repealed (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 149, 153, Sch. 23 para. 9(3), Sch. 28 Pt. 8 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(k)(ii) (subject to art. 3)

F41 Words in Sch. 3 para. 20E(7) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 9(4) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

Other investigations: action by appropriate authority E+W

20F (1) If the appropriate authority certifies a case under paragraph 20E(3), it shall give a notification— E+W

(a) in the case of a complaint, to the complainant and to every person entitled to be kept properly informed in relation to the complaint under section 21; and

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

(2) The notification required by sub-paragraph (1) is one setting out—

(a) the findings of the report;

(b) the authority's determination under paragraph 20E(2); and

(c) the action that the authority is required to take in consequence of that determination.

(3) Subsections (5) to (7) of section 20 shall have effect in relation to the duties imposed on the appropriate authority by sub-paragraph (1) as they have effect in relation to the duties imposed on the appropriate authority by that section.

(4) Except so far as may be otherwise provided by regulations made by virtue of sub-paragraph (3), the appropriate authority shall be entitled (notwithstanding any obligation of secrecy imposed by any rule of law or otherwise) to discharge the duty to give a person mentioned in sub-paragraph (1) notification of the findings of the special report by sending that person a copy of that report.

. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . E+W

20G E+W F42 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

Textual Amendments

F42 Sch. 3 para. 20G and preceding cross-heading repealed (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 149, 153, Sch. 23 para. 10, Sch. 28 Pt. 8 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(k)(ii) (subject to art. 3)

Special cases: recommendation or direction of Commission E+W

20H (1) Where the appropriate authority has submitted, or is required to submit, a memorandum to the Commission under paragraph 20B(7), the Commission may make a recommendation to the appropriate authority that it should certify the case under paragraph 20B(3). E+W

(2) If the Commission determines to make a recommendation under this paragraph, it shall give a notification—

(a) in the case of a complaint, to the complainant and to every person entitled to be kept properly informed in relation to the complaint under section 21; and

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

(3) The notification required by sub-paragraph (2) is one setting out—

(a) the findings of the special report; and

(b) the Commission's recommendation under this paragraph.

(4) Subsections (5) to (7) of section 20 shall have effect in relation to the duties imposed on the Commission by sub-paragraph (2) as they have effect in relation to the duties imposed on the Commission by that section.

(5) Except so far as may be otherwise provided by regulations made by virtue of sub-paragraph (4), the Commission shall be entitled (notwithstanding any obligation of secrecy imposed by any rule of law or otherwise) to discharge the duty to give a person mentioned in sub-paragraph (2) notification of the findings of the special report by sending that person a copy of the report.

(6) It shall be the duty of the appropriate authority to notify the Commission whether it accepts the recommendation and (if it does) to certify the case and proceed accordingly.

(7) If, after the Commission has made a recommendation under this paragraph, the appropriate authority does not certify the case under paragraph 20B(3)—

(a) the Commission may direct the appropriate authority so to certify it; and

(b) it shall be the duty of the appropriate authority to comply with the direction and proceed accordingly.

(8) Where the Commission gives the appropriate authority a direction under this paragraph, it shall supply the appropriate authority with a statement of its reasons for doing so.

(9) The Commission may at any time withdraw a direction given under this paragraph.

(10) The appropriate authority shall keep the Commission informed of whatever action it takes in response to a recommendation or direction.

Special cases: recommendation or direction of Commission E+W

20I (1) Where— E+W

(a) the Commission makes a recommendation under paragraph 20H in the case of an investigation of a complaint, and

(b) the appropriate authority notifies the Commission that the recommendation has been accepted,

the Commission shall notify the complainant and every person entitled to be kept properly informed in relation to the complaint under section 21 of that fact and of the steps that have been, or are to be, taken by the appropriate authority to give effect to it.

(2) Where in the case of an investigation of a complaint the appropriate authority—

(a) notifies the Commission that it does not accept the recommendation made by the Commission under paragraph 20H, or

(b) fails to certify the case under paragraph 20B(3) and to proceed accordingly,

it shall be the duty of the Commission to determine what (if any) further steps to take under paragraph 20H.

(3) It shall be the duty of the Commission to notify the complainant and every person entitled to be kept properly informed in relation to the complaint under section 21—

(a) of any determination under sub-paragraph (2) not to take further steps under paragraph 20H; and

(b) where it determines under that sub-paragraph to take further steps under that paragraph, of the outcome of the taking of those steps.]

Power F43 ... to discontinue an investigation E+W

Textual Amendments

F43 Words in Sch. 3 para. 21 omitted (22.11.2012) by virtue of Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 13(2); S.I. 2012/2892, art. 2(g) (with art. 6)

21 [F44 (1) The Commission may by order require the discontinuance of the investigation of a complaint or matter if (whether on the application of the appropriate authority or otherwise) it appears to the Commission that— E+W

(a) the complaint or matter is of a description specified in regulations made by the Secretary of State for the purposes of this paragraph, and

(b) discontinuance of the investigation is within the Commission's power.

(1A) The appropriate authority that is investigating a complaint or matter may discontinue the investigation if it appears to that authority that—

(a) the complaint or matter is of a description specified in regulations made by the Secretary of State for the purposes of this paragraph, and

(b) discontinuance of the investigation is not within the Commission's power.

(1B) For the purposes of this paragraph—

(a) discontinuance of the investigation of a complaint is within the Commission's power if—

(i) the investigation is being undertaken by the appropriate authority on its own behalf and the complaint is one required to be referred to the Commission under paragraph 4; or

(ii) the investigation is under the supervision or management of the Commission;

(b) discontinuance of the investigation of a matter other than a complaint is within the Commission's power if the investigation is under the supervision or management of the Commission.]

(2) The Commission shall not discontinue any investigation that is being carried out in accordance with paragraph 19 except in such cases as may be authorised by regulations made by the Secretary of State.

(3) Where the Commission makes an order under this paragraph or discontinues an investigation being carried out in accordance with paragraph 19, it shall give notification of the discontinuance—

(a) to the appropriate authority;

(b) to every person entitled to be kept properly informed in relation to the subject matter of the investigation under section 21; and

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

[F45 (3A) Where the appropriate authority discontinues an investigation under sub-paragraph (1A), the appropriate authority shall give notification of the discontinuance—

(a) to every person entitled to be kept properly informed in relation to the investigation under section 21; and

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

(4) Where an investigation of a complaint[F46 , recordable conduct matter or DSI matter] is discontinued [F47 in accordance with an order under sub-paragraph (1)]—

(a) the Commission may give the appropriate authority directions to do any such things as it is authorised to direct by regulations made by the Secretary of State;

(b) the Commission may itself take any such steps of a description specified in regulations so made as it considers appropriate for purposes connected with the discontinuance of the investigation; and

(c) subject to the preceding paragraphs, neither the appropriate authority nor the Commission shall take any further action in accordance with the provisions of this Schedule in relation to that complaint or matter.

(5) The appropriate authority shall comply with any directions given to it under sub-paragraph (4).

[F48 (6) Where an investigation of a complaint, recordable conduct matter or DSI matter is discontinued in accordance with sub-paragraph (1A)—

(a) the appropriate authority may take any such steps of a description specified in regulations made by the Secretary of State as he or it considers appropriate for purposes connected with the discontinuance of the investigation; and

(b) subject to the preceding paragraphs, neither the appropriate authority nor the Commission shall take any further action in accordance with the provisions of this Schedule in relation to that complaint or matter.]

[F49 (7) The complainant shall have a right of appeal to the relevant appeal body against any decision by the appropriate authority under sub-paragraph (1A) to discontinue the investigation of the complaint.

(8) But the complainant has no right of appeal if the complaint relates to a direction and control matter.

(9) On an appeal under this paragraph, subject to sub-paragraphs (10) and (11), the relevant appeal body shall—

(a) determine whether any decision taken by the appropriate authority under this paragraph should have been taken in the case in question; and

(b) if the relevant appeal body finds in the complainant's favour, give such directions as the relevant appeal body thinks appropriate to the local policing body or chief officer as to the action to be taken for investigating the complaint;

and it shall be the duty of a local policing body or chief officer to comply with any directions given under paragraph (b).

(10) Sub-paragraph (9) does not apply in a case where a particular chief officer of police is—

(a) the person in respect of whose decision an appeal is made under this paragraph, and

(b) the relevant appeal body in relation to the appeal.

(11) In such a case—

(a) the appeal shall determine whether any decision taken by the appropriate authority under this paragraph should have been taken in the case in question; and

(b) if the appeal finds in the complainant's favour, the chief officer of police must take such action as the chief officer thinks appropriate for investigating the complaint.]

Textual Amendments

F44 Sch. 3 para. 21(1)-(1B) substituted for Sch. 3 para. 21(1) (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 13(4); S.I. 2012/2892, art. 2(g) (with art. 6)

F45 Sch. 3 para. 21(3A) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 13(5); S.I. 2012/2892, art. 2(g) (with art. 6)

F46 Words in Sch. 3 para. 21(4) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 19; S.I. 2005/1521, art. 3(1)(w)

F47 Words in Sch. 3 para. 21(4) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 13(6); S.I. 2012/2892, art. 2(g) (with art. 6)

F48 Sch. 3 para. 21(6) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 13(7); S.I. 2012/2892, art. 2(g) (with art. 6)

F49 Sch. 3 para. 21(7)-(11) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 19(2); S.I. 2012/2892, art. 2(g) (with art. 6)

Modifications etc. (not altering text)

C9 Sch. 3 para. 21 applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

Commencement Information

I7 Sch. 3 para. 21 wholly in force at 1.4.2004; Sch. 3 para. 21 not in force at Royal Assent see s. 108(2); Sch. 3 para. 21 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 21 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

[F50 Procedure where conduct matter is revealed during investigation of DSI matter E+W

Textual Amendments

F50 Sch. 3 para. 21A inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 20; S.I. 2005/1521, art. 3(1)(w)

21A (1) If during the course of an investigation of a DSI matter it appears to a person appointed under paragraph 18 or designated under paragraph 19 that there is an indication that a person serving with the police (“the person whose conduct is in question”) may have— E+W

(a) committed a criminal offence, or

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

he shall make a submission to that effect to the Commission.

(2) If, after considering a submission under sub-paragraph (1), the Commission determines that there is such an indication, it shall—

(a) notify the appropriate authority in relation to the DSI matter and (if different) the appropriate authority in relation to the person whose conduct is in question of its determination; and

(b) send to it (or each of them) a copy of the submission under sub-paragraph (1).

(3) If during the course of an investigation of a DSI matter it appears to a person appointed under paragraph 16 or 17 that there is an indication that a person serving with the police (“the person whose conduct is in question”) may have—

(a) committed a criminal offence, or

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

he shall make a submission to that effect to the appropriate authority in relation to the DSI matter.

(4) If, after considering a submission under sub-paragraph (3), the appropriate authority determines that there is such an indication, it shall—

(a) if it is not the appropriate authority in relation to the person whose conduct is in question, notify that other authority of its determination and send to that authority a copy of the submission under sub-paragraph (3); and

(b) notify the Commission of its determination and send to it a copy of the submission under sub-paragraph (3).

(5) Where the appropriate authority in relation to the person whose conduct is in question—

(a) is notified of a determination by the Commission under sub-paragraph (2),

(b) (in a case where it is also the appropriate authority in relation to the DSI matter) makes a determination under sub-paragraph (4), or

(c) (in a case where it is not the appropriate authority in relation to the DSI matter) is notified by that other authority of a determination by it under sub-paragraph (4),

it shall record the matter under paragraph 11 as a conduct matter F51 . . . .

[F52 (6) Where a DSI matter is recorded under paragraph 11 as a conduct matter by virtue of sub-paragraph (5)—

(a) the person investigating the DSI matter shall (subject to any determination made by the Commission under paragraph 15(5)) continue the investigation as if appointed or designated to investigate the conduct matter, and

(b) the other provisions of this Schedule shall apply in relation to that matter accordingly.]]

Textual Amendments

F51 Words in Sch. 3 para. 21A(5) repealed (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 149, 153, Sch. 23 para. 11(2), Sch. 28 Pt. 8 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(k)(ii) (subject to art. 3)

F52 Sch. 3 para. 21A(6) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 11(3) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

Modifications etc. (not altering text)

C10 Sch. 3 para. 21A applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

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

[F53 22 (1) This paragraph applies on the completion of an investigation of— E+W

(a) a complaint,[F54 or]

(b) a conduct matter, or

(c) F55 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(2) A person appointed under paragraph 16 shall submit a report on his investigation to the appropriate authority.

(3) A person appointed under paragraph 17 or 18 shall—

(a) submit a report on his investigation to the Commission; and

(b) send a copy of that report to the appropriate authority.

(4) In relation to [F56 a matter that was formerly a DSI matter but has been recorded as a conduct matter in pursuance of paragraph 21A(5)], the references in sub-paragraphs (2) and (3) of this paragraph to the appropriate authority are references to—

(a) the appropriate authority in relation to the DSI matter; and

(b) (where different) the appropriate authority in relation to the person whose conduct is in question.

(5) A person designated under paragraph 19 as the person in charge of an investigation by the Commission itself shall submit a report on it to the Commission.

(6) A person submitting a report under this paragraph shall not be prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in his report as he thinks fit.

[F57 (7) The Secretary of State may by regulations make provision requiring a report on an investigation within paragraph 19C(1)(a) or (b)—

(a) to include such matters as are specified in the regulations;

(b) to be accompanied by such documents or other items as are so specified.

(8) A person who has submitted a report under this paragraph on an investigation within paragraph 19C(1)(a) or (b) must supply the appropriate authority with such copies of further documents or other items in that person's possession as the authority may request.

(9) The appropriate authority may only make a request under sub-paragraph (8) in respect of a copy of a document or other item if the authority—

(a) considers that the document or item is of relevance to the investigation, and

(b) requires a copy of the document or the item for either or both of the purposes mentioned in sub-paragraph (10).

(10) Those purposes are—

(a) complying with any obligation under regulations under section 50(3) or 51(2A) of the 1996 Act which the authority has in relation to any person to whose conduct the investigation related;

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

Textual Amendments

F53 Sch. 3 para. 22 substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 21; S.I. 2005/1521, art. 3(1)(w)

F54 Word in Sch. 3 para. 22(1)(a) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 12(2)(a) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F55 Sch. 3 para. 22(1)(c) repealed (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 149, 153, Sch. 23 para. 12(2)(b), Sch. 28 Pt. 8 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(k)(ii) (subject to art. 3)

F56 Words in Sch. 3 para. 22(4) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 12(3) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(ii) (subject to art. 3)

F57 Sch. 3 para. 22(7)-(10) inserted (3.11.2008 for certain purposes and 1.12.2008 otherwise) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 12(4) (with s. 14(1)); S.I. 2008/2712, art. 2, Sch. para. 17(b) (subject to arts. 3, 4); S.I. 2008/2993, art. 2(1)(i)(ii) (subject to art. 3)

Modifications etc. (not altering text)

C11 Sch. 3 para. 22 applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

Commencement Information

I8 Sch. 3 para. 22 wholly in force at 1.4.2004; Sch. 3 para. 22 not in force at Royal Assent see s. 108(2); Sch. 3 para. 22 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 22 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

Action by the Commission in response to an investigation report [F58 under paragraph 22] E+W

Textual Amendments

F58 Words in Sch. 3 para. 23 heading inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 22(1); S.I. 2005/1521, art. 3(1)(w)

23 (1) This paragraph applies where— E+W

(a) a report on an investigation carried out under the management of the Commission is submitted to it under sub-paragraph [F59 (3)] of paragraph 22; or

(b) a report on an investigation carried out by a person designated by the Commission is submitted to it under sub-paragraph [F60 (5)] of that paragraph.

(2) On receipt of the report, the Commission—

(a) if it appears that the appropriate authority has not already been sent a copy of the report, shall send a copy of the report to that authority;

[F61 (b) shall determine whether the conditions set out in sub-paragraphs (2A) and (2B) are satisfied in respect of the report;]

(c) if it determines that [F62 those conditions are so satisfied], shall notify the Director of Public Prosecutions of the determination and send him a copy of the report; and

(d) shall notify the appropriate authority [F63 and the persons mentioned in sub-paragraph (5)] of its determination under paragraph (b) and of any action taken by it under paragraph (c).

[F64 (2A) 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.

(2B) The second condition is that—

(a) the circumstances are such that, in the opinion of the Commission, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions, or

(b) any matters dealt with in the report fall within any prescribed category of matters.]

(3) The Director of Public Prosecutions shall notify the Commission of any decision of his 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 him under sub-paragraph (2)(c).

(4) It shall be the duty of the Commission to notify the persons mentioned in sub-paragraph (5) if criminal proceedings are brought against any person by the Director of Public Prosecutions in respect of any matters dealt with in a report copied to him under sub-paragraph (2)(c).

(5) [F65 The] persons are—

(a) in the case of a complaint, the complainant and every person entitled to be kept properly informed in relation to the complaint under section 21; and

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

[F66 (6) On receipt of the report, the Commission shall also notify the appropriate authority that it must—

(a) in accordance with regulations under section 50 or 51 of the 1996 Act, determine—

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

[F67 (ia) whether or not any such person's performance is unsatisfactory, and]

(ii) what action (if any) the authority is required to, or will in its discretion, take in respect of the matters dealt with in the report, and

(b) determine what other action (if any) the authority will in its discretion take in respect of those matters.”

(7) On receipt of a notification under sub-paragraph (6) the appropriate authority shall make those determinations and submit a memorandum to the Commission which—

(a) sets out the determinations the authority has made, and

(b) if the appropriate authority has decided in relation to any person to whose conduct the investigation related that disciplinary proceedings should not be brought against that person, sets out its reasons for so deciding.]

(8) On receipt of a memorandum under sub-paragraph (7), the Commission shall—

(a) consider the memorandum and whether the appropriate authority [F68 has made the determinations under sub-paragraph (6)(a)] that the Commission considers appropriate in respect of the matters dealt with in the report;

(b) determine, in the light of its consideration of those matters, whether or not to make recommendations under paragraph 27; and

(c) make such recommendations (if any) under that paragraph as it thinks fit.

(9) On the making of a determination under sub-paragraph (8)(b) the Commission shall give a notification—

(a) in the case of a complaint, to the complainant and to every person entitled to be kept properly informed in relation to the complaint under section 21; and

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

(10) The notification required by sub-paragraph (9) is one setting out—

(a) the findings of the report;

(b) the Commission’s determination under sub-paragraph (8)(b); and

(c) the action which the appropriate authority is to be recommended to take as a consequence of the determination.

(11) Subsections (5) to (7) of section 20 shall have effect in relation to the duties imposed on the Commission by sub-paragraph (9) of this paragraph as they have effect in relation to the duties imposed on the Commission by that section.

(12) Except so far as may be otherwise provided by regulations made by virtue of sub-paragraph (11), the Commission shall be entitled (notwithstanding any obligation of secrecy imposed by any rule of law or otherwise) to discharge the duty to give a person mentioned in sub-paragraph (9) notification of the findings of the report by sending that person a copy of the report.

[F69 (13) In relation to a DSI matter in respect of which a determination has been made under paragraph 21A(2) or (4), the references in this paragraph to the appropriate authority are references to the appropriate authority in relation to the person whose conduct is in question.]

Textual Amendments

F59 Word in Sch. 3 para. 23(1)(a) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 22(2)(a); S.I. 2005/1521, art. 3(1)(w)

F60 Word in Sch. 3 para. 23(1)(b) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 22(2)(b); S.I. 2005/1521, art. 3(1)(w)

F61 Sch. 3 para. 23(2)(b) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 13(2)(a) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F62 Words in Sch. 3 para. 23(2)(c) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 13(2)(b) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F63 Words in Sch. 3 para. 23(2)(d) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 13(2)(c) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F64 Sch. 3 para. 23(2A)(2B) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 13(3) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F65 Word in Sch. 3 para. 23(5) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 13(4) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F66 Sch. 3 para. 23(6)(7) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 13(5) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F67 Sch. 3 para. 23(6)(a)(ia) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 14(2); S.I. 2012/2892, art. 2(g) (with art. 6)

F68 Words in Sch. 3 para. 23(8)(a) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 13(6) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F69 Sch. 3 para. 23(13) inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 22(3); S.I. 2005/1521, art. 3(1)(w)

Modifications etc. (not altering text)

C12 Sch. 3 para. 23 applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

Commencement Information

I9 Sch. 3 para. 23 wholly in force at 1.4.2004; Sch. 3 para. 23 not in force at Royal Assent see s. 108(2); Sch. 3 para. 23 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 23 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

Action by the appropriate authority in response to an investigation report [F70 under paragraph 22] E+W

Textual Amendments

F70 Words in Sch. 3 para. 24 heading inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 23(1); S.I. 2005/1521, art. 3(1)(w)

24 (1) This paragraph applies where— E+W

(a) a report of an investigation is submitted to the appropriate authority in accordance with paragraph [F71 22(2)] ; or

(b) a copy of a report on an investigation carried out under the supervision of the Commission is sent to the appropriate authority in accordance with paragraph [F72 22(3)] .

(2) On receipt of the report or (as the case may be) of the copy, the appropriate authority—

[F73 (a) shall determine whether the conditions set out in sub-paragraphs (2A) and (2B) are satisfied in respect of the report;]

(b) if it determines that [F74 those conditions are so satisfied], shall notify the Director of Public Prosecutions of the determination and send him a copy of the report[F75 and

(c) shall notify the persons mentioned in sub-paragraph (5) of its determination under paragraph (a) and of any action taken by it under paragraph (b).]

[F76 (2A) 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.

(2B) The second condition is that—

(a) the circumstances are such that, in the opinion of the appropriate authority, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions, or

(b) any matters dealt with in the report fall within any prescribed category of matters.]

(3) The Director of Public Prosecutions shall notify the appropriate authority of any decision of his 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 him under sub-paragraph (2).

(4) It shall be the duty of the appropriate authority to notify the persons mentioned in sub-paragraph (5) if criminal proceedings are brought against any person by the Director of Public Prosecutions in respect of any matters dealt with in a report copied to him under sub-paragraph (2)(b).

(5) [F77 The] persons are—

(a) in the case of a complaint, the complainant and every person entitled to be kept properly informed in relation to the complaint under section 21; and

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

[F78 (5A) In the case of a report falling within sub-paragraph (1)(b) which relates to a recordable conduct matter, the appropriate authority shall also notify the Commission of its determination under sub-paragraph (2)(a).

(5B) On receipt of such a notification that the appropriate authority has determined that the conditions in sub-paragraphs (2A) and (2B) are not satisfied in respect of the report, the Commission—

(a) shall make its own determination as to whether those conditions are so satisfied, and

(b) if it determines that they are so satisfied, shall direct the appropriate authority to notify the Director of Public Prosecutions of the Commission's determination and to send the Director a copy of the report.

(5C) It shall be the duty of the appropriate authority to comply with any direction given to it under sub-paragraph (5B).]

[F79 (6) On receipt of the report or (as the case may be) copy, the appropriate authority shall also—

(a) in accordance with regulations under section 50 or 51 of the 1996 Act, determine—

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

[F80 (ia) whether or not any such person's performance is unsatisfactory, and]

(ii) what action (if any) the authority is required to, or will in its discretion, take in respect of the matters dealt with in the report, and

(b) determine what other action (if any) the authority will in its discretion take in respect of those matters.]

(7) On the making of [F81 the determinations] under sub-paragraph (6) the appropriate authority shall give a notification—

(a) in the case of a complaint, to the complainant and to every person entitled to be kept properly informed in relation to the complaint under section 21; and

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

(8) The notification required by sub-paragraph (7) is one setting out—

(a) the findings of the report;

[F82 (b) the determinations the authority has made under sub-paragraph (6);]

(d) the complainant’s right of appeal under paragraph 25.

(9) Subsections (5) to (7) of section 20 shall have effect in relation to the duties imposed on the appropriate authority by sub-paragraph (7) of this paragraph as they have effect in relation to the duties imposed on the appropriate authority by that section.

(10) Except so far as may be otherwise provided by regulations made by virtue of sub-paragraph (9), the appropriate authority shall be entitled (notwithstanding any obligation of secrecy imposed by any rule of law or otherwise) to discharge the duty to give a person mentioned in sub-paragraph (7) notification of the findings of the report by sending that person a copy of the report.

[F83 (11) In relation to a DSI matter in respect of which a determination has been made under paragraph 21A(2) or (4), the references in this paragraph to the appropriate authority are references to the appropriate authority in relation to the person whose conduct is in question.]

Textual Amendments

F71 Words in Sch. 3 para. 24(1)(a) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 23(2)(a); S.I. 2005/1521, art. 3(1)(w)

F72 Words in Sch. 3 para. 24(1)(b) substituted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 23(2)(b); S.I. 2005/1521, art. 3(1)(w)

F73 Sch. 3 para. 24(2)(a) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 14(2)(a) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F74 Words in Sch. 3 para. 24(2)(b) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 14(2)(b) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F75 Sch. 3 para. 24(2)(c) and word inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 14(2)(c) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F76 Sch. 3 para. 24(2A)(2B) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 14(3) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F77 Word in Sch. 3 para. 24(5) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 14(4) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F78 Sch. 3 para. 24(5A)-(5C) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 14(5) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F79 Sch. 3 para. 24(6) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 14(6) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F80 Sch. 3 para. 24(6)(a)(ia) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 14(3); S.I. 2012/2892, art. 2(g) (with art. 6)

F81 Words in Sch. 3 para. 24(7) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 14(7) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F82 Sch. 3 para. 24(8)(b) substituted (1.12.2008) for Sch. 3 para. 24(8)(b)(c) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 14(8) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F83 Sch. 3 para. 24(11) inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 23(3); S.I. 2005/1521, art. 3(1)(w)

Modifications etc. (not altering text)

C13 Sch. 3 para. 24 applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

Commencement Information

I10 Sch. 3 para. 24 wholly in force at 1.4.2004; Sch. 3 para. 24 not in force at Royal Assent see s. 108(2); Sch. 3 para. 24 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 24 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

[F84 Final reports on investigations: other DSI matters E+W

Textual Amendments

F84 Sch. 3 paras. 24A-24C inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 24; S.I. 2005/1521, art. 3(1)(w)

24A (1) This paragraph applies on the completion of an investigation of a DSI matter in respect of which neither the Commission nor the appropriate authority has made a determination under paragraph 21A(2) or (4). E+W

(2) [F85 The person investigating] shall—

(a) submit a report on the investigation to the Commission; and

(b) send a copy of that report to the appropriate authority.

(3) A person submitting a report [F86 to the Commission] under this paragraph shall not be prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in his report as he thinks fit.

(4) On receipt of the report, the Commission shall determine whether the report indicates that a person serving with the police may have—

(a) committed a criminal offence, or

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

Textual Amendments

F85 Words in Sch. 3 para. 24A(2) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 15 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F86 Words in Sch. 3 para. 24A(3) inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), s. 185(1), Sch. 11 para. 95(7) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(c)(iii)

Action by the Commission in response to an investigation report under paragraph 24A E+W

24B (1) If the Commission determines under paragraph 24A(4) that the report indicates that a person serving with the police may have— E+W

(a) committed a criminal offence, or

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

it shall notify the appropriate authority in relation to the person whose conduct is in question of its determination and, if it appears that that authority has not already been sent a copy of the report, send a copy of the report to that authority.

(2) Where the appropriate authority in relation to the person whose conduct is in question is notified of a determination by the Commission under sub-paragraph (1), it shall record the matter under paragraph 11 as a conduct matter F87 . . . .

[F88 (3) Where a DSI matter is recorded under paragraph 11 as a conduct matter by virtue of sub-paragraph (2)—

(a) the person investigating the DSI matter shall (subject to any determination made by the Commission under paragraph 15(5)) investigate the conduct matter as if appointed or designated to do so, and

(b) the other provisions of this Schedule shall apply in relation to that matter accordingly.]

Textual Amendments

F87 Words in Sch. 3 para. 24B(2) repealed (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 149, 153, Sch. 23 para. 16(2), Sch. 28 Pt. 8 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(k)(ii) (subject to art. 3)

F88 Sch. 3 para. 24B(3) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 16(3) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

24C (1) [F89 This paragraph applies where] the Commission determines under paragraph 24A(4) that there is no indication in the report that a person serving with the police may have— E+W

(a) committed a criminal offence, or

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

F90 ...

F91 (2) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

[F92 (3) The Commission may notify the appropriate authority that it must, in accordance with regulations under section 50 or 51 of the 1996 Act, determine—

(a) whether or not the performance of a person serving with the police is unsatisfactory, and

(b) what action (if any) the authority will take in respect of any such person's performance.]

[F92 (4) On receipt of a notification under sub-paragraph (3) the appropriate authority shall make those determinations and submit a memorandum to the Commission setting out the determinations the authority has made.]

[F92 (5) On receipt of a memorandum under sub-paragraph (4), the Commission shall—

(a) consider the memorandum and whether the appropriate authority has made the determinations under sub-paragraph (4) that the Commission considers appropriate;

(b) determine whether or not to make recommendations under paragraph 27;

(c) make such recommendations (if any) under that paragraph as it thinks fit.]]

Textual Amendments

F89 Words in Sch. 3 para. 24C(1) substituted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), s. 185(1), Sch. 11 para. 95(8)(a) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(c)(iii)

F90 Words in Sch. 3 para. 24C omitted (1.10.2014) by virtue of Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), s. 185(1), Sch. 11 para. 95(8)(b) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(c)(iii)

F91 Sch. 3 para. 24C(2) repealed (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), s. 185(1), Sch. 11 para. 95(8)(c) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(c)(iii)

F92 Sch. 3 paras. 24C(3)-(5) inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), ss. 138(1), 185(1) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(a)

Appeals F93 ... with respect to an investigation E+W

Textual Amendments

F93 Words in Sch. 3 para. 25 heading omitted (22.11.2012) by virtue of Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(1); S.I. 2012/2892, art. 2(g) (with art. 6)

25 (1) This paragraph applies where a complaint has been subjected to— E+W

(a) an investigation by the appropriate authority on its own behalf; or

(b) an investigation under the supervision of the Commission.

(2) The complainant shall have the following rights of appeal [F94 to the relevant appeal body] —

(a) a right to appeal on the grounds that he has not been provided with adequate information—

(i) about the findings of the investigation; or

[F95 (ii) about any determination of the appropriate authority relating to the taking (or not taking) of action in respect of any matters dealt with in the report on the investigation;]

(b) a right to appeal against the findings of the investigation; F96 . . .

[F97 (ba) a right of appeal against any determination by the appropriate authority that a person to whose conduct the investigation related has a case to answer in respect of misconduct or gross misconduct or has no case to answer [F98 or that such a person's performance is, or is not, unsatisfactory];

(c) a right of appeal against any determination by the appropriate authority relating to the taking (or not taking) of action in respect of any matters dealt with in the report; and

(d) a right of appeal against any determination by the appropriate authority under paragraph 24(2)(a) as a result of which it is not required to send the Director of Public Prosecutions a copy of the report;]

and it shall be the duty of the [F99 relevant appeal body] to notify the appropriate authority, every person entitled to be kept properly informed in relation to the complaint under section 21 and the person complained against of any appeal brought under this paragraph [F100 (except that the duty to notify the appropriate authority does not apply where that authority is the relevant appeal body)].

[F101 (2ZA) But the complainant has no right of appeal if the complaint relates to a direction and control matter.]

[F102 (2A) In sub-paragraph (2)—

(a) references to the findings of an investigation do not include a reference to findings on a report submitted under paragraph 20A; and

(b) references to the report of an investigation do not include a reference to a report submitted under that paragraph.]

(3) On the bringing of an appeal under this paragraph, the Commission may require the appropriate authority to submit a memorandum to the Commission which—

[F103 (za) sets out whether the appropriate authority has determined that a person to whose conduct the investigation related has a case to answer in respect of misconduct or gross misconduct or has no case to answer;]

[F104 (zb) sets out whether the appropriate authority has determined any such person's performance is, or is not, unsatisfactory;]

[F105 (a) sets out what action (if any) the authority has determined that it is required to or will, in its discretion, take in respect of the matters dealt with in the report;]

(c) if the appropriate authority has decided in relation to [F106 a person to whose conduct the investigation related] that disciplinary proceedings should not be brought against that person, sets out its reasons for so deciding;[F107 and

(d) if the appropriate authority made a determination under paragraph 24(2)(a) as a result of which it is not required to send the Director of Public Prosecutions a copy of the report, sets out the reasons for that determination;]

and it shall be the duty of the appropriate authority to comply with any requirement under this sub-paragraph.

(4) Where the Commission so requires on the bringing of any appeal under this paragraph in the case of an investigation by the appropriate authority on its own behalf, the appropriate authority shall provide the Commission with a copy of the report of the investigation.

(5) On an appeal under this paragraph, the [F108 relevant appeal body] shall determine [F109 such of the following as it considers appropriate in the circumstances]—

(a) whether the complainant has been provided with adequate information about the matters mentioned in sub-paragraph (2)(a);

(b) whether the findings of the investigation need to be reconsidered; F96 ...

[F110 (c) whether the appropriate authority—

(i) has made such a determination as is mentioned in sub-paragraph (3)(za) [F111 or (zb)] that the [F108 relevant appeal body] considers to be appropriate in respect of the matters dealt with in the report, and

(ii) has determined that it is required to or will, in its discretion, take the action (if any) that the [F108 relevant appeal body] considers to be so appropriate; and

(d) whether the conditions set out in paragraph 24(2A) and (2B) are satisfied in respect of the report.]

(6) If, on an appeal under this paragraph, the [F112 relevant appeal body] determines that the complainant has not been provided with adequate information about any matter[F113 —

(a) in a case where the Commission is the relevant appeal body,] the Commission shall give the appropriate authority all such directions as the Commission considers appropriate for securing that the complainant is properly informed[F114 ; and

(b) in a case where the appropriate authority is the relevant appeal body, that authority shall take such steps as it considers appropriate for securing that the complainant is properly informed.]

(7) Nothing in [F115 sub-paragraph (6)(a)] shall authorise the Commission to require the disclosure of any information the disclosure of which to the appellant has been or is capable of being withheld by virtue of regulations made under section 20(5).

(8) If, on an appeal under this paragraph, the Commission determines that the findings of the investigation need to be reconsidered [F116 in a case where the Commission is the relevant appeal body], it shall either—

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

(b) direct that the complaint be re-investigated[F117 ; and

in a case where the appropriate authority is the relevant appeal body, that authority shall re-investigate the complaint.]

(9) If, on an appeal under this paragraph, the [F118 relevant appeal body] determines that the appropriate authority [F119 has not made a determination as to whether there is a case for a person to whose conduct the investigation related to answer that the [F118 relevant appeal body] [F120 considers appropriate, or determines that the appropriate authority has not made a determination as to whether a person's performance is or is not unsatisfactory, or determines that the appropriate authority] has not determined that it is required to or will, in its discretion, take the action in respect of the matters dealt with in] the report that the [F118 relevant appeal body] [F121 considers appropriate—

(a) sub-paragraph (9ZA) applies if the Commission is the relevant appeal body; or

(b) sub-paragraph (9ZB) applies if the chief officer of police is the relevant appeal body.

(9ZA) The Commission shall— ]

(a) determine, in the light of that determination, whether or not to make recommendations under paragraph 27; and

(b) make such recommendations (if any) under that paragraph as it thinks fit.

[F122 (9ZB) The chief officer of police shall take such action as the chief officer thinks appropriate in relation to the bringing of disciplinary proceedings in respect of the matters dealt with in the report.

(9ZC) If disciplinary proceedings are brought by virtue of sub-paragraph (9ZB), it shall be the duty of the appropriate authority to ensure that they are proceeded with to a proper conclusion.]

[F123 (9A) If, on an appeal under this paragraph, the [F124 relevant appeal body] determines that the conditions set out paragraph 24(2A) and (2B) are satisfied in respect of the report, [F125 in a case where the Commission is the relevant appeal body it shall direct the appropriate authority to, or in a case where the appropriate authority is the relevant appeal body it shall ] —

(a) F126 ... notify the Director of Public Prosecutions of the F127 ... determination, and

(b) F128 ... send the Director a copy of the report.]

(10) The [F129 relevant appeal body] shall give notification of any determination under this paragraph—

(a) to the appropriate authority [F130 (unless it is the relevant appeal body)],

(b) to the complainant;

(c) to every person entitled to be kept properly informed in relation to the complaint under section 21; and

(d) except in a case where it appears to the [F131 relevant appeal body] that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.

(11) [F132 In a case where the Commission is the relevant appeal body, it] shall also give notification of any directions given to the appropriate authority under this paragraph—

(a) to the complainant;

(b) to every person entitled to be kept properly informed in relation to the complaint under section 21; and

(c) except in a case where it appears to the Commission that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.

(12) It shall be the duty of the appropriate authority to comply with any directions given to it under this paragraph.

(13) The Secretary of State may by regulations make provision—

(a) for the form and manner in which appeals under this paragraph are to be brought;

(b) for the period within which any such appeal must be brought; and

(c) for the procedure to be followed by the [F133 relevant appeal body] when dealing with or disposing of any such appeal.

Textual Amendments

F94 Words in Sch. 3 para. 25(2) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(3)(a); S.I. 2012/2892, art. 2(g) (with art. 6)

F95 Sch. 3 para. 25(2)(a)(ii) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(2)(a) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F96 Word in Sch. 3 para. 25(2)(b)(5)(b) repealed (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 149, 153, Sch. 28 Pt. 8 (with s. 14(1)); S.I. 2008/2993, art. 2(1)(k)(ii) (subject to art. 3)

F97 Sch. 3 para. 25(2)(ba)-(d) substituted (1.12.2008) for Sch. 3 para. 25(2)(c) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(2)(b) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F98 Words in Sch. 3 para. 25(2)(ba) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 14(4)(a); S.I. 2012/2892, art. 2(g) (with art. 6)

F99 Words in Sch. 3 para. 25(2) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(3)(b)(i); S.I. 2012/2892, art. 2(g) (with art. 6)

F100 Words in Sch. 3 para. 25(2) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(3)(b)(ii); S.I. 2012/2892, art. 2(g) (with art. 6)

F101 Sch. 3 para. 25(2ZA) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(4); S.I. 2012/2892, art. 2(g) (with art. 6)

F102 Sch. 3 para. 25(2A) inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 159, 178, Sch. 11 para. 4; S.I. 2005/1521, art. 3(1)(v)

F103 Sch. 3 para. 25(3)(za) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(3)(a) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F104 Sch. 3 para. 25(3)(zb) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 14(4)(b); S.I. 2012/2892, art. 2(g) (with art. 6)

F105 Sch. 3 para. 25(3)(a) substituted (1.12.2008) for Sch. 3 para. 25(3)(a)(b) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(3)(b) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F106 Words in Sch. 3 para. 25(3)(c) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(3)(c) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F107 Sch. 3 para. 25(3)(d) and word inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(3)(d) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F108 Words in Sch. 3 para. 25(5) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(5); S.I. 2012/2892, art. 2(g) (with art. 6)

F109 Words in Sch. 3 para. 25(5) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(4)(a) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F110 Sch. 3 para. 25(5)(c)(d) substituted (1.12.2008) for Sch. 3 para. 25(5)(c) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(4)(b) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F111 Words in Sch. 3 para. 25(5)(c)(i) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 14(4)(c); S.I. 2012/2892, art. 2(g) (with art. 6)

F112 Words in Sch. 3 para. 25(6) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(6)(a); S.I. 2012/2892, art. 2(g) (with art. 6)

F113 Sch. 3 para. 25(6)(a) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(6)(b); S.I. 2012/2892, art. 2(g) (with art. 6)

F114 Sch. 3 para. 25(6)(b) and preceding word inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(6)(c); S.I. 2012/2892, art. 2(g) (with art. 6)

F115 Words in Sch. 3 para. 25(7) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(7); S.I. 2012/2892, art. 2(g) (with art. 6)

F116 Words in Sch. 3 para. 25(8) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(8)(a); S.I. 2012/2892, art. 2(g) (with art. 6)

F117 Words in Sch. 3 para. 25(8) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(8)(b); S.I. 2012/2892, art. 2(g) (with art. 6)

F118 Words in Sch. 3 para. 25(9) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(9)(a); S.I. 2012/2892, art. 2(g) (with art. 6)

F119 Words in Sch. 3 para. 25(9) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(5) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F120 Words in Sch. 3 para. 25(9) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 14(4)(d); S.I. 2012/2892, art. 2(g) (with art. 6)

F121 Words in Sch. 3 para. 25(9)(9ZA) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(9)(b); S.I. 2012/2892, art. 2(g) (with art. 6)

F122 Sch. 3 para. 25(9ZB)(9ZC) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(10); S.I. 2012/2892, art. 2(g) (with art. 6)

F123 Sch. 3 para. 25(9A) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 17(6) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F124 Words in Sch. 3 para. 25(9A) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(11)(a); S.I. 2012/2892, art. 2(g) (with art. 6)

F125 Words in Sch. 3 para. 25(9A) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(11)(b); S.I. 2012/2892, art. 2(g) (with art. 6)

F126 Word in Sch. 3 para. 25(9A)(a) omitted (22.11.2012) by virtue of Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(11)(c)(i); S.I. 2012/2892, art. 2(g) (with art. 6)

F127 Word in Sch. 3 para. 25(9A)(a) omitted (22.11.2012) by virtue of Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(11)(c)(ii); S.I. 2012/2892, art. 2(g) (with art. 6)

F128 Word in Sch. 3 para. 25(9A)(b) omitted (22.11.2012) by virtue of Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(11)(d); S.I. 2012/2892, art. 2(g) (with art. 6)

F129 Words in Sch. 3 para. 25(10) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(12)(a); S.I. 2012/2892, art. 2(g) (with art. 6)

F130 Words in Sch. 3 para. 25(10)(a) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(12)(b); S.I. 2012/2892, art. 2(g) (with art. 6)

F131 Words in Sch. 3 para. 25(10)(d) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(12)(c); S.I. 2012/2892, art. 2(g) (with art. 6)

F132 Words in Sch. 3 para. 25(11) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(13); S.I. 2012/2892, art. 2(g) (with art. 6)

F133 Words in Sch. 3 para. 25(13) substituted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(14); S.I. 2012/2892, art. 2(g) (with art. 6)

Modifications etc. (not altering text)

C14 Sch. 3 para. 25 applied (with modifications) (1.4.2006) by The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(5)(6), Sch. 3

Commencement Information

I11 Sch. 3 para. 25 wholly in force at 1.4.2004; Sch. 3 para. 25 not in force at Royal Assent see s. 108(2); Sch. 3 para. 25 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 25 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

Reviews and re-investigations following an appeal E+W

26 (1) On a review under paragraph 25(8)(a) of the findings of an investigation the powers of the Commission shall be, according to its determination on that review, to do one or more of the following— E+W

(a) to uphold the findings in whole or in part;

(b) to give the appropriate authority such directions—

(i) as to the carrying out by the appropriate authority of its own review of the findings,

(ii) as to the information to be provided to the complainant, and

(iii) generally as to the handling of the matter in future,

as the Commission thinks fit;

(c) to direct that the complaint be re-investigated.

(2) Where the Commission directs under paragraph 25 or sub-paragraph (1) that a complaint be re-investigated, it shall make a determination of the form that the re-investigation should take.

(3) Sub-paragraphs (3) to (7) of paragraph 15 shall apply in relation to a determination under sub-paragraph (2) as they apply in the case of a determination under that paragraph.

(4) The other provisions of this Schedule (including this paragraph) shall apply in relation to any re-investigation in pursuance of a direction under paragraph 25(8) or sub-paragraph (1) of this paragraph as they apply in relation to any investigation in pursuance of a determination under paragraph 15.

(5) The Commission shall give notification of any determination made by it under this paragraph—

(a) to the appropriate authority;

(b) to the complainant;

(c) to every person entitled to be kept properly informed in relation to the complaint under section 21; and

(d) except in a case where it appears to the Commission that to do so might prejudice any proposed re-investigation of the complaint, to the person complained against.

(6) The Commission shall also give notification of any directions given to the appropriate authority under this paragraph —

(a) to the complainant;

(b) to every person entitled to be kept properly informed in relation to the complaint under section ; and

(c) except in a case where it appears to the Commission that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.

Modifications etc. (not altering text)

C15 Sch. 3 para. 26 applied (with modifications) (1.4.2006) by The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(5)(6), Sch. 3

Commencement Information

I12 Sch. 3 para. 26 wholly in force at 1.4.2004; Sch. 3 para. 26 not in force at Royal Assent see s. 108(2); Sch. 3 para. 26 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 26 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

Duties with respect to disciplinary proceedings [F134 etc] E+W

Textual Amendments

F134 Word in Sch. 3 para. 27 heading inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), s. 185(1), Sch. 11 para. 95(9)(a) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(c)(iii)

27 (1) This paragraph applies where, in the case of any investigation, the appropriate authority— E+W

(a) has given, or is required to give, a notification under paragraph 24(7) of the action it is [F135 required to or will, in its discretion,] take in relation to the matters dealt with in any report of the investigation; or

(b) has submitted, or is required to submit, a memorandum to the Commission under paragraph 23 or 25 setting out the action that it is [F136 required to or will, in its discretion,] take in relation to those matters [F137 ; or

(c) has submitted, or is required to submit, a memorandum to the Commission under paragraph 24C(4).]

(2) Subject to paragraph 20 and to any recommendations or directions under the following provisions of this paragraph, it shall be the duty of the appropriate authority—

(a) to take the action which has been or is required to be notified or, as the case may be, which is or is required to be set out in the memorandum; and

(b) in a case where that action consists of or includes the bringing of disciplinary proceedings, to secure that those proceedings, once brought, are proceeded with to a proper conclusion.

(3) Where this paragraph applies by virtue of sub-paragraph (1)(b), the Commission may make a recommendation to the appropriate authority in respect of any person serving with the police—

[F138 (za) that the person has a case to answer in respect of misconduct or gross misconduct or has no case to answer in relation to his conduct to which the investigation related;]

[F139 (zb) that the person's performance is, or is not, unsatisfactory;]

[F140 (a) that disciplinary proceedings of the form specified in the recommendation are brought against that person in respect of his conduct[F141 , efficiency or effectiveness ] to which the investigation related;]

(b) that any disciplinary proceedings brought against that person are modified so as to [F142 deal with such aspects of that conduct][F143 , efficiency or effectiveness] as may be so specified;

and it shall be the duty of the appropriate authority to notify the Commission whether it accepts the recommendation and (if it does) to set out in the notification the steps that it is proposing to take to give effect to it.

[F144 (3A) Where this paragraph applies by virtue of sub-paragraph (1)(c), the Commission may make a recommendation to the appropriate authority—

(a) that the performance of a person serving with the police is, or is not, satisfactory;

(b) that action of the form specified in the recommendation is taken in respect of the person's performance;

and it shall be the duty of the appropriate authority to notify the Commission whether it accepts the recommendation and (if it does) to set out in the notification the steps that it is proposing to take to give effect to it.]

(4) If, after the Commission has made a recommendation under this paragraph, the appropriate authority does not take steps to secure that full effect is given to the recommendation—

(a) the Commission may direct the appropriate authority to take steps for that purpose; and

(b) it shall be the duty of the appropriate authority to comply with the direction.

(5) A direction under sub-paragraph (4) may, to such extent as the Commission thinks fit, set out the steps to be taken by the appropriate authority in order to give effect to the recommendation.

(6) Where the Commission gives the appropriate authority a direction under this paragraph, it shall supply the appropriate authority with a statement of its reasons for doing so.

(7) Where disciplinary [F145 or other] proceedings have been brought in accordance with a recommendation or direction under this paragraph, it shall be the duty of the authority to ensure that they are proceeded with to a proper conclusion.

(8) The Commission may at any time withdraw a direction given under this paragraph; and sub-paragraph (7) shall not impose any obligation in relation to any time after the withdrawal of the direction.

(9) The appropriate authority shall keep the Commission informed—

(a) in a case in which this paragraph applies by virtue of sub-paragraph (1)(b) [F146 or (c)], of whatever action it takes in pursuance of its duty under sub-paragraph (2); and

(b) in every case of a recommendation or direction under this paragraph, of whatever action it takes in response to that recommendation or direction.

Textual Amendments

F135 Words in Sch. 3 para. 27(1)(a) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 18(2) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F136 Words in Sch. 3 para. 27(1)(b) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 18(2) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F137 Sch. 3 para. 27(1)(c) and word inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), ss. 138(3), 185(1) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(a)

F138 Sch. 3 para. 27(3)(za) inserted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 18(3)(a) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F139 Sch. 3 para. 27(3)(zb) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 14(5)(a); S.I. 2012/2892, art. 2(g) (with art. 6)

F140 Sch. 3 para. 27(3)(a) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 18(3)(b) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F141 Words in Sch. 3 para. 27(3)(a) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 14(5)(b); S.I. 2012/2892, art. 2(g) (with art. 6)

F142 Words in Sch. 3 para. 27(3)(b) substituted (1.12.2008) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 18(3)(c) (with s. 14(1)); S.I. 2008/2993, art. 2(1)(i)(i) (subject to art. 3)

F143 Words in Sch. 3 para. 27(3)(b) inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 14(5)(c); S.I. 2012/2892, art. 2(g) (with art. 6)

F144 Sch. 3 para. 27(3A) inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), ss. 138(4), 185(1) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(a)

F145 Words in Sch. 3 para. 27(7) inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), s. 185(1), Sch. 11 para. 95(9)(b) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(c)(iii)

F146 Words in Sch. 3 para. 27(9)(a) inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), s. 185(1), Sch. 11 para. 95(9)(c) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(c)(iii)

Modifications etc. (not altering text)

C16 Sch. 3 para. 27 applied (with modifications) (28.12.2005) by virtue of The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(4)(6), Sch. 3

Commencement Information

I13 Sch. 3 para. 27 wholly in force at 1.4.2004; Sch. 3 para. 27 not in force at Royal Assent see s. 108(2); Sch. 3 para. 27 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 27 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

Information for complainant about disciplinary recommendations E+W

28 (1) Where— E+W

(a) the Commission makes recommendations under paragraph 27 in the case of an investigation of a complaint, and

(b) the appropriate authority notify the Commission that the recommendations have been accepted,

the Commission shall notify the complainant and every person entitled to be kept properly informed in relation to the complaint under section 21 of that fact and of the steps that have been, or are to be taken, by the appropriate authority to give effect to it.

(2) Where in the case of an investigation of a complaint the appropriate authority—

(a) notify the Commission that it does not (either in whole or in part) accept recommendations made by the Commission under paragraph 27, or

(b) fails to take steps to give full effect to any such recommendations,

it shall be the duty of the Commission to determine what if any further steps to take under that paragraph.

(3) It shall be the duty of the Commission to notify the complainant and every person entitled to be kept properly informed in relation to the complaint under section 21—

(a) of any determination under sub-paragraph (2) not to take further steps under paragraph 27; and

(b) where they determine under that sub-paragraph to take further steps under that paragraph, of the outcome of the taking of those steps.

Modifications etc. (not altering text)

C17 Sch. 3 para. 28 applied (with modifications) (1.4.2006) by The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), reg. 3(5)(6), Sch. 3

Commencement Information

I14 Sch. 3 para. 28 wholly in force at 1.4.2004; Sch. 3 para. 28 not in force at Royal Assent see s. 108(2); Sch. 3 para. 28 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 28 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)

[F147 Recommendations by the Commission E+W

Textual Amendments

F147 Sch. 3 paras. 28A, 28B and cross-headings inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), ss. 139, 185(1) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(a)

28A (1) This paragraph applies where the Commission has received a report under— E+W

(a) paragraph 22(3) (report on completion of investigation of complaint or conduct matter supervised or managed by Commission),

(b) paragraph 22(5) (report on completion of investigation of complaint or conduct matter by Commission itself ), or

(c) paragraph 24A(2) (report on completion of investigation of DSI matter that is not also conduct matter).

(2) This paragraph also applies where the Commission has made a determination on an appeal under—

(a) paragraph 8A (appeal relating to complaint dealt with other than by investigation), or

(b) paragraph 25 (appeal with respect to an investigation).

(3) The Commission may make a recommendation in relation to a matter dealt with in the report or appeal.

(4) A recommendation under this paragraph may be made to any person if it is made—

(a) following the receipt of a report relating to—

(i) a DSI matter,

(ii) a conduct matter of a type specified in regulations, or

(iii) a complaint of a type specified in regulations; or

(b) following a determination on an appeal relating to a complaint of a type specified in regulations.

(5) In any other case, a recommendation under this paragraph may be made only to—

(a) a person serving with the police, or

(b) a local policing body.

(6) Where the Commission makes a recommendation under this paragraph, it must also—

(a) publish the recommendation, and

(b) send a copy of it—

(i) in a case where the recommendation is made to a local policing body, to the chief officer of the police force maintained by that body;

(ii) in a case where the recommendation is made to a chief officer of a police force, to the local policing body that maintains the police force;

(iii) in a case where the recommendation is made to a contractor (within the meaning of section 12(10)), to the chief officer of a police force to whom the contractor is providing services, and the local policing body that maintains the police force;

(iv) in a case where the recommendation is made to a sub-contractor or an employee of a contractor, to the contractor and the persons to whom a copy must be sent under paragraph (iii);

(v) in a case where the recommendation is made to an employee of a sub-contractor, to the sub-contractor, the contractor and the persons to whom a copy must be sent under sub-paragraph (iii);

(vi) in any other case, to any person to whom the Commission thinks a copy should be sent.

(7) Nothing in this paragraph affects the power of the Commission to make recommendations or give advice under section 10(1)(e) (whether arising under this Schedule or otherwise).]

[F147 Response to recommendation E+W

28B (1) A person to whom a recommendation under paragraph 28A is made must provide to the Commission a response in writing stating— E+W

(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 Commission before the end of the period of 56 days beginning with the day on which the recommendation was made, unless sub-paragraph (3) applies.

(3) The Commission may extend the period of 56 days following an application received before the end of the period; and if the Commission 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 Commission's decision to make a recommendation are started during the period allowed by sub-paragraph (2) or (3), that period is extended by however many days the proceedings are in progress.

(5) On receiving a response, the Commission must, within the period of 21 days beginning with the day on which the Commission 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 paragraph 28A(6)(b),

unless the person giving the response has made representations under sub-paragraph (6).

(6) The person giving the response may, at the time of providing it to the Commission, make representations to the Commission asserting that the requirements of publication and disclosure under sub-paragraph (5) should not apply to the response, or to particular parts of it.

(7) On receiving such representations, the Commission 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 the response should be disclosed.

(8) Where, following a decision on representations, the Commission decides to publish or disclose a response (in whole or in part), it must do so only after the person giving the response has been informed of the Commission's decision, and—

(a) in a case where the Commission has decided to accept all of the representations, it must do so within the period of 21 days beginning with the day on which it received the response;

(b) in a case where the Commission has decided to reject any of the representations, it must do so—

(i) within the period of 21 days beginning with the day on which the person was informed of the Commission's decision on the representations, but

(ii) not before the end of the period of 7 days beginning with that day.

(9) But if proceedings for judicial review of the Commission's decision to reject a representation are started during the period of 7 days referred to in sub-paragraph (8)(b)(ii)—

(a) the Commission must not publish or disclose the response while the proceedings are in progress;

(b) if the court upholds the Commission's decision to reject a representation, the Commission 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 a local policing body or a chief officer makes a response under this paragraph, the body or officer must, at the time the Commission publishes the response, also publish the response (to the same extent as published by the Commission) and the recommendation under paragraph 28A.

(11) For the purposes of this paragraph—

(a) “disclosing” a response means sending a copy of it as mentioned in sub-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.]

[F148 Minor definitions E+W

Textual Amendments

F148 Sch. 3 para. 29 inserted (3.11.2008 for certain purposes and 1.12.2008 otherwise) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 19 (with s. 14(1)); S.I. 2008/2712, art. 2, Sch. para. 17(b) (subject to arts. 3, 4); S.I. 2008/2993, art. 2(1)(i)(ii) (subject to art. 3)

29 E+W In this Part of this Schedule—

• [F149 “direction and control matter” means a matter that relates to the direction and control of a police force by—

  (a)

  the chief officer of police of that force, or

  (b)

  a person for the time being carrying out the functions of the chief officer of police of that force;]

• “gross misconduct” means a breach of the Standards of Professional Behaviour that is so serious as to justify dismissal;

• “misconduct” means a breach of the Standards of Professional Behaviour;

• “the person investigating”, in relation to a complaint, recordable conduct matter or DSI matter, means the person appointed or designated to investigate that complaint or matter;

• “prescribed” means prescribed by regulations made by the Secretary of State;

• “the Standards of Professional Behaviour” means the standards so described in, and established by, regulations made by the Secretary of State.]

Textual Amendments

F149 Words in Sch. 3 para. 29 inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 21; S.I. 2012/2892, art. 2(g) (with art. 6)

[F150 Appeals: the relevant appeal body E+W

Textual Amendments

F150 Sch. 3 paras. 30-32 and cross-heading inserted (22.11.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 22; S.I. 2012/2892, art. 2(g) (with art. 6)

30 (1) The relevant appeal body in relation to an appeal is— E+W

(a) the Commission, in a case where the relevant complaint falls within a description of complaints specified in regulations made by the Secretary of State for the purposes of this paragraph; or

(b) the chief officer of police who is the appropriate authority in relation to the relevant complaint, in any other case.

(2) In this paragraph and paragraphs 31 and 32—

• “appeal” means an appeal under paragraph 7(8), 8A, 21(7) or 25(2);

• “relevant complaint”, in relation to an appeal, means the complaint to which the appeal relates.

31 (1) This paragraph applies in a case where— E+W

(a) an appeal is made to the Commission, and

(b) the appropriate authority is the relevant appeal body in relation to the appeal.

(2) The Commission must—

(a) forward the appeal to the appropriate authority; and

(b) notify the person who made the appeal—

(i) that the appropriate authority is the relevant appeal body; and

(ii) the appeal has been forwarded.

(3) The appeal is to be taken to have been—

(a) made to the appropriate authority, and

(b) so made at the time when it is forwarded to the appropriate authority.

32 (1) This paragraph applies in a case where— E+W

(a) an appeal is made to the appropriate authority; and

(b) the Commission is the relevant appeal body in relation to the appeal.

(2) The appropriate authority must—

(a) forward the appeal to the Commission; and

(b) notify the person who made the appeal—

(i) that the Commission is the relevant appeal body; and

(ii) the appeal has been forwarded.

(3) The appeal is to be taken to have been—

(a) made to the Commission; and

(b) so made at the time when it is forwarded to the Commission.]