SCHEDULES
C5C6SCHEDULE 3Handling of Complaints and Conduct matters etc.
Sch. 3 applied (with modifications) by 1984 c. 55, ss. 56A-56C (as inserted (6.4.2023 for specified purposes) by Building Safety Act 2022 (c. 30), ss. 53(1), 170(4)(c); S.I. 2023/362, reg. 3(1)(v))
Part 1Handling of complaints
Duties to preserve evidence relating to complaints
I1C11
1
Where a complaint is made about the conduct of a chief officer, it shall be the duty of the F1local policing body maintaining his force to secure that all such steps as are appropriate for the purposes of Part 2 of this Act are taken, both initially and from time to time after that, for obtaining and preserving evidence relating to the conduct complained of.
2
Where—
a
a complaint is made to a chief officer about the conduct of a person under his direction and control, or
b
the chief officer shall take all such steps as appear to him to be appropriate for the purposes of Part 2 of this Act for obtaining and preserving evidence relating to the conduct complained of.
3
The chief officer’s duty under sub-paragraph (2) must be performed as soon as practicable after the complaint is made or, as the case may be, he becomes aware of it.
4
After that, he shall be under a duty, until he is satisfied that it is no longer necessary to do so, to continue to take the steps from time to time appearing to him to be appropriate for the purposes of Part 2 of this Act for obtaining and preserving evidence relating to the conduct complained of.
5
6
It shall be the duty of a chief officer to take all such specific steps for obtaining or preserving evidence relating to F33... the subject-matter of a complaint as he may be directed to take for the purposes of this paragraph by the F4local policing body maintaining his force or by the F23Director General.
Initial handling and recording of complaints
I2C22
F171
1A
2
Where a complaint is made to a F5local policing body, it shall—
a
determine whether or not it is itself the appropriate authority; and
b
if it determines that it is not, give notification of the complaint to the person who is.
3
Where a complaint is made to a chief officer, he shall—
a
determine whether or not he is himself the appropriate authority; and
b
if he determines that he is not, give notification of the complaint to the person who is.
F184
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5
Where the F23Director General, a F6local policing body or a chief officer gives notification of a complaint under any of sub-paragraphs (1) to (3) F19..., the person who gave the notification F20... shall notify the complainant—
a
that the notification has been given and of what it contained; or
F21b
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6
Where—
a
b
a chief officer determines, in the case of any complaint made to that chief officer, that he is himself the appropriate authority, or
c
a complaint is notified to a F10local policing body or chief officer under this paragraph,
F286A
A local policing body or chief officer that is subject to the duty in sub-paragraph (6) in relation to a complaint must record the complaint if—
a
at any time the complainant indicates a wish for the complaint to be recorded, or
b
the local policing body or chief officer determines that the complaint is to be handled in accordance with this Schedule.
6B
The local policing body or chief officer must determine that a complaint is to be handled in accordance with this Schedule if—
a
the complaint is one alleging that the conduct or other matter complained of has resulted in death or serious injury,
b
the complaint is one alleging that there has been conduct by a person serving with the police which (if proved) might constitute the commission of a criminal offence or justify the bringing of disciplinary proceedings,
c
the conduct or other matter complained of (if proved) might have involved the infringement of a person's rights under Article 2 or 3 of the Convention (within the meaning of the Human Rights Act 1998), or
d
the complaint is of a description specified for the purposes of paragraph 4(1)(b) in regulations made by the Secretary of State.
6C
Where a local policing body or chief officer determines (for the purposes of sub-paragraph (6A)) that a complaint is to be handled otherwise than in accordance with this Schedule, the local policing body or chief officer must handle the complaint in such other manner as the local policing body or chief officer considers appropriate with a view to resolving the complaint to the complainant's satisfaction.
(The duty in this sub-paragraph ceases to apply if the complaint is recorded in accordance with sub-paragraph (6A)(a).)
6D
Where a local policing body or chief officer records a complaint under sub-paragraph (6A), or determines that a complaint is to be handled otherwise than in accordance with this Schedule, the local policing body or chief officer must notify the complainant of the recording of the complaint or (as the case may be) of the determination.
F387
Nothing in this paragraph shall require the taking of any action in relation to a complaint if the complaint has been withdrawn.
F398
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F409
If a local policing body or chief officer decides that it or (as the case may be) he is not required to comply with any of sub-paragraphs (2), (3) and (6) to (6C) on the basis of a determination that what purports to be a complaint is not a complaint, the local policing body or chief officer must notify the complainant of the determination and the grounds on which it was made.
10
If a local policing body or chief officer determines that part of what has been received (whether directly or by virtue of a notification under this paragraph) is a complaint and part is not, the local policing body or chief officer must proceed under this paragraph as if those two parts had been separately received.
F41...
Sch. 3 para. 3 and cross-heading 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. 3; S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
F413
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Reference of complaints to the F23Director General
I3C34
1
It shall be the duty of the appropriate authority to refer a complaint to the F23Director General if—
a
the complaint is one alleging that the conduct F34or 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
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 F23Director 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 F11local policing body may refer a complaint to the F23Director General if—
a
it is one in relation to which the chief officer of police of the police force maintained by F12that body is the appropriate authority; and
b
the F11local 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 F23Director 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
b
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 F23Director General.
F535A
The power of an appropriate authority to refer a complaint to the F23Director 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 F14local policing body or chief officer which refers a complaint to the F23Director General under this paragraph shall give a notification of the making of the reference—
a
to the complainant, and
F436A
A local policing body which refers a complaint to the F23Director 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 F24Director General under this paragraph on a previous occasion F31, 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 F23Director General so directs; and
b
shall not be referred in exercise of any power conferred by this paragraph unless the F23Director General consents.
F448
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F459
The appropriate authority must record any complaint that is referred to the F23Director General under this paragraph that has not already been recorded.
F32Power of F23Director General to treat complaint as having been referred
Sch. 3 para. 4A and cross-heading 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(3), 183(1)(5)(e); S.I. 2020/5, reg. 2(e) (with art. 3(1)(2)(4))
4A
1
2
Where the F23Director General treats a complaint as having been referred to F25the Director General—
a
paragraphs 2 and 4 do not apply, or cease to apply, in relation to the complaint except to the extent provided for by paragraph 4(7), and
b
paragraphs 5, 6, 6A, 15 and 25 apply in relation to the complaint as if it had been referred to the F23Director General by the appropriate authority under paragraph 4.
3
The F23Director General must notify the following that F25the Director General is treating a complaint as having been referred to F25the Director General—
a
the appropriate authority;
b
the complainant;
c
except in a case where it appears to the F23Director General that to do so might prejudice an investigation of the complaint (whether an existing investigation or a possible future one), the person complained against (if any).
4
Where an appropriate authority receives a notification under sub-paragraph (3) in respect of a complaint and the complaint has not yet been recorded, the appropriate authority must record the complaint.
Duties of F23Director General on references under paragraph 4
I4C45
1
F301A
1B
Regulations under sub-paragraph (1A) may provide that the duty on the F23Director General applies only in relation to complaints relating to the conduct of a chief officer or the Deputy Commissioner of Police of the Metropolis that are of a description specified in the regulations.
1C
Regulations under sub-paragraph (1A) may also provide that, where the F23Director General is required by the regulations to determine that it is necessary for a complaint to be investigated, paragraph 15 is to apply in relation to the complaint as if sub-paragraphs (4)(a), (4A) and (5A)(b) were omitted.
2
Where the F23Director General determines under this paragraph that it is not necessary for a complaint to be investigated F50—
a
3
Where the F23Director General refers a complaint back under sub-paragraph (2), F25the Director General shall give a notification of the making of the reference back—
a
to the complainant, and
Handling of complaints by the appropriate authority
F226
1
This paragraph applies where a complaint has been recorded by the appropriate authority.
2
But this paragraph does not apply to a complaint if it is one that has been, or must be, referred to the F23Director General under paragraph 4, unless the complaint is for the time being—
F47b
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F292A
The appropriate authority must handle the complaint in such reasonable and proportionate manner as the authority determines.
2B
An appropriate authority may handle a complaint in accordance with sub-paragraph (2A) by (amongst other things)—
a
making arrangements for the complaint to be investigated by the authority on its own behalf;
b
notifying the complainant that no further action is to be taken in relation to the complaint.
2C
The appropriate authority must comply with its duty under sub-paragraph (2A) by making arrangements for the complaint to be investigated by the authority on its own behalf if at any time it appears to the authority from the complaint, or from the authority's handling of the complaint to that point, that there is an indication that—
a
a person serving with the police may have committed a criminal offence or behaved in a manner that would justify the bringing of disciplinary proceedings, or
b
there may have been the infringement of a person's rights under Article 2 or 3 of the Convention (within the meaning of the Human Rights Act 1998).
2D
The Secretary of State may by regulations provide for the duty in sub-paragraph (2C) to be subject to exceptions.
2E
A statement made by any person for the purposes of the handling of any complaint in accordance with sub-paragraph (2A) otherwise than by the appropriate authority making arrangements for the complaint to be investigated by the authority on its own behalf is not admissible in any subsequent criminal, civil or disciplinary proceedings except to the extent that it consists of an admission relating to a matter that has not been subjected to such handling.
F273
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F274
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F275
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F276
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F277
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F278
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F279
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F2710
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F2711
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F54Reviews relating to complaints dealt with other than by investigation
Sch. 3 para. 6A and cross-heading 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. 31; S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
6A
1
This paragraph applies where a complaint is handled by the appropriate authority in accordance with paragraph 6(2A) otherwise than by the authority making arrangements for the complaint to be investigated by the authority on its own behalf.
2
The complainant has the right to apply to the relevant review body for a review of the outcome of the complaint.
3
The relevant review body must notify the following of an application for a review under sub-paragraph (2)—
a
the appropriate authority,
b
every person entitled to be kept properly informed in relation to the complaint under section 21, and
c
the person complained against (if any).
4
On a review applied for under sub-paragraph (2), the relevant review body must determine whether the outcome is a reasonable and proportionate outcome.
5
Where the F23Director General is the relevant review body and the F23Director General finds that the outcome is not a reasonable and proportionate outcome, the F23Director General may—
a
determine that it is necessary for the complaint to be investigated;
b
make a recommendation under paragraph 28ZA.
6
Where a local policing body is the relevant review body and the local policing body finds that the outcome is not a reasonable and proportionate outcome, the local policing body may—
a
b
make a recommendation to the appropriate authority that it make arrangements for the complaint to be investigated by the authority on its own behalf;
c
make a recommendation under paragraph 28ZA.
7
The Secretary of State may by regulations make further provision about recommendations under sub-paragraph (6)(a) or (b).
8
The regulations may (amongst other things) authorise the local policing body making the recommendation to require a response to the recommendation.
9
The relevant review body must give notification of the outcome of a review under this paragraph and of its reasons for the determination made under sub-paragraph (4)—
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 relevant review body that to do so might prejudice any investigation of the complaint, to the person complained against (if any).
10
In this paragraph references to the outcome of a complaint do not include the outcome of any criminal or disciplinary proceedings brought in relation to any matter which was the subject of the complaint.
F48...
Sch. 3 para. 7 and cross-heading 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. 7; S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
F487
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F49...
Sch. 3 para. 8 and cross-heading 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. 8; S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
F498
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F55...
Sch. 3 para. 8A and cross-heading 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. 32; S.I. 2020/5, reg. 2(n) (with art. 3(1)(2)(4))
F558A
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Sch. 3 modified (15.12.2017) by S.I. 2012/1204, Sch. Pt. 1 (as inserted by The Police (Conduct, Complaints and Misconduct and Appeal Tribunal) (Amendment) Regulations 2017 (S.I. 2017/1134), reg. 1(1), Sch. 2 (with reg. 2))