4(1)It shall be the duty of the appropriate authority to refer a complaint to the [F1Director General] if—E+W
(a)the complaint is one alleging that the conduct [F2or other matter] complained of has resulted in death or serious injury;
(b)the complaint is of a description specified for the purposes of this sub-paragraph in regulations made by the Secretary of State; or
(c)the [F1Director General] notifies the appropriate authority that [F3the Director General] requires the complaint in question to be referred to the [F1Director General] for [F4the Director General's] consideration.
(2)In a case where there is no obligation under sub-paragraph (1) to make a reference, the appropriate authority may refer a complaint to the [F1Director General] if that authority considers that it would be appropriate to do so so by reason of—
(a)the gravity of the subject-matter of the complaint; or
(b)any exceptional circumstances.
(3)In a case in which a reference under sub-paragraph (1) or (2) is neither made nor required to be made, a [F5local policing body] may refer a complaint to the [F1Director General] if—
(a)it is one in relation to which the chief officer of police of the police force maintained by [F6that body] is the appropriate authority; and
(b)the [F5local policing body] considers that it would be appropriate to do so reason of—
(i)the gravity of the subject-matter of the complaint; or
(ii)any exceptional circumstances.
(4)Where there is an obligation under this paragraph to refer a complaint to the [F1Director General], it must be so referred within such period as may be provided for by regulations made by the Secretary of State.
(5)Subject to sub-paragraph (7), the following powers—
(a)the power of the [F1Director General] by virtue of sub-paragraph (1)(c) to require a complaint to be referred to [F3the Director General], and
(b)the power of a [F7local policing body] or chief officer to refer a complaint to the [F1Director General] under sub-paragraph (2) or (3),
shall each be exercisable at any time irrespective of whether the complaint is already being investigated by any person or has already been considered by the [F1Director General].
[F8(5A)The power of an appropriate authority to refer a complaint to the [F1Director General] under sub-paragraph (2) is also exercisable after a complaint has been handled in accordance with this Schedule if a recommendation is made under paragraph 6A(6)(a) or 25(4E)(b) (recommendation on a review).]
(6)A [F9local policing body] or chief officer which refers a complaint to the [F1Director General] under this paragraph shall give a notification of the making of the reference—
(a)to the complainant, and
(b)except in a case where it appears to [F10that body] or chief officer that to do so might prejudice [F11an investigation of the complaint (whether an existing investigation or a possible future one)], to the person complained against [F12(if any)].
[F13(6A)A local policing body which refers a complaint to the [F1Director General] under sub-paragraph (3) shall also give a notification of the making of the reference to the appropriate authority.]
(7)A complaint that has already been referred to the [F14Director General] under this paragraph on a previous occasion [F15, or that has been treated as having been so referred by virtue of paragraph 4A]—
(a)shall not be required to be referred again under this paragraph unless the [F1Director General] so directs; and
(b)shall not be referred in exercise of any power conferred by this paragraph unless the [F1Director General] consents.
F16(8). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
[F17(9)The appropriate authority must record any complaint that is referred to the [F1Director General] under this paragraph that has not already been recorded.]
Textual Amendments
F1Words in Sch. 3 substituted (31.1.2017 for specified purposes, 8.1.2018 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 9 para. 56(2) (with Sch. 9 para. 56(6)); S.I. 2017/1249, reg. 2 (with reg. 3)
F2Words in Sch. 3 para. 4(1)(a) inserted (31.1.2017 for specified purposes, 1.2.2020 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 4 para. 7(3); S.I. 2020/5, reg. 2(m) (with art. 3(1)(2)(4))
F3Words in Sch. 3 substituted (31.1.2017 for specified purposes, 8.1.2018 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 9 para. 56(4) (with Sch. 9 para. 56(6)); S.I. 2017/1249, reg. 2 (with reg. 3)
F4Words in Sch. 3 substituted (31.1.2017 for specified purposes, 8.1.2018 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 9 para. 56(5) (with Sch. 9 para. 56(6)); S.I. 2017/1249, reg. 2 (with reg. 3)
F5Words in Sch. 3 para. 4(3) substituted (16.1.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 16 para. 300(5)(a)(i); S.I. 2011/3019, art. 3, Sch. 1
F6Words in Sch. 3 para. 4(3)(a) substituted (16.1.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 16 para. 300(5)(a)(ii); S.I. 2011/3019, art. 3, Sch. 1
F7Words in Sch. 3 para. 4(5)(b) substituted (16.1.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 16 para. 300(5)(b); S.I. 2011/3019, art. 3, Sch. 1
F8Sch. 3 para. 4(5A) inserted (31.1.2017 for specified purposes, 1.2.2020 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 30; S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
F9Words in Sch. 3 para. 4(6) substituted (16.1.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 16 para. 300(5)(c)(i); S.I. 2011/3019, art. 3, Sch. 1
F10Words in Sch. 3 para. 4(6)(b) substituted (16.1.2012) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 16 para. 300(5)(c)(ii); S.I. 2011/3019, art. 3, Sch. 1
F11Words in Sch. 3 para. 4(6)(b) substituted (31.1.2017 for specified purposes, 1.2.2020 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 4(2); S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
F12Words in Sch. 3 para. 4(6)(b) inserted (31.1.2017 for specified purposes, 1.2.2020 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 4 para. 7(4); S.I. 2020/5, reg. 2(m) (with art. 3(1)(2)(4))
F13Sch. 3 para. 4(6A) inserted (31.1.2017 for specified purposes, 1.2.2020 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 4(3); S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
F14Words in Sch. 3 substituted (31.1.2017 for specified purposes, 8.1.2018 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 9 para. 56(3) (with Sch. 9 para. 56(6)); S.I. 2017/1249, reg. 2 (with reg. 3)
F15Words in Sch. 3 para. 4(7) inserted (31.1.2017 for specified purposes, 1.2.2020 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), ss. 17(2), 183(1)(5)(e); S.I. 2020/5, reg. 2(e) (with art. 3(1)(2)(4))
F16Sch. 3 para. 4(8) omitted (31.1.2017 for specified purposes, 1.2.2020 in so far as not already in force) by virtue of Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 4(4); S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
F17Sch. 3 para. 4(9) inserted (31.1.2017 for specified purposes, 1.2.2020 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 4(5); S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
Modifications etc. (not altering text)
C1Sch. 3 para. 4 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
I1Sch. 3 para. 4 wholly in force at 1.4.2004; Sch. 3 para. 4 not in force at Royal Assent see s. 108(2); Sch. 3 para. 4 in force for specified purposes at 1.10.2002 by S.I. 2002/2306, art. 4(e); Sch. 3 para. 4 in force in so far as not already in force at 1.4.2004 by S.I. 2004/913, art. 2(d)