The Independent Police Complaints Commission (Complaints and Misconduct) (Contractors) Regulations 2015

PART 4 Handling of conduct matters

Conduct matters arising in civil proceedings

29.—(1) This regulation applies where—

(a) the chief officer, the local policing body or the contractor has received notification (whether or not under this regulation) that civil proceedings relating to any matter have been brought by a member of the public against the chief officer, the local policing body or the contractor, or it otherwise appears to the chief officer, the local policing body or the contractor that such proceedings are likely to be so brought; and

(b) it appears to the chief officer, the local policing body or the contractor (whether at the time of the notification or at any time subsequently) that those proceedings involve or would involve a conduct matter.

(2) In a case where the chief officer has not received notification in accordance with paragraph (1), the local policing body or the contractor shall notify the chief officer about the proceedings, or the proposal to bring them, and about the circumstances that make it appear as mentioned in paragraph (1)(b).

(3) In a case where the chief officer determines that the matter is one which the chief officer is required to refer to the Commission under regulation 33, or is one which it would be appropriate to so refer, the chief officer shall record the matter.

(4) In any other case, the chief officer shall determine whether the matter is repetitious within the meaning of regulation 31.

(5) In a case where the chief officer determines that the matter is not repetitious within the meaning of regulation 31, the chief officer shall record the matter.

(6) In any other case, the chief officer may (but need not) record the matter.

(7) In a case where the chief officer—

(a) records a matter under this regulation; and

(b) is not required to refer the matter to the Commission under regulation 33 and does not do so,

the chief officer may deal with the matter in such other manner (if any) as it may determine.

(8) Nothing in paragraph (3) or (5) shall require the chief officer to record any conduct matter if the chief officer is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates.

(9) For the purposes of this regulation civil proceedings involve a conduct matter if—

(a) they relate to such a matter; or

(b) they are proceedings that relate to a matter in relation to which a conduct matter, or evidence of a conduct matter, is or may be relevant.

Recording etc. of conduct matters in other cases

30.—(1) This regulation applies where—

(a) a conduct matter comes (otherwise than as mentioned in regulation 29) to the attention of the chief officer, the local policing body or the contractor; and

(b) it appears to the chief officer, the local policing body or the contractor that the conduct involved in that matter falls within paragraph (3).

(2) In a case where a conduct matter has not come to the attention of the chief officer in accordance with paragraph (1), the local policing body or the contractor shall notify the chief officer about the matter and the circumstances that make it appear as mentioned in paragraph (1)(b).

(3) Conduct falls within this paragraph if (assuming it to have taken place)—

(a) it appears to have resulted in the death of any person or in serious injury to any person;

(b) a member of public has been adversely affected by it; or

(c) it is of a description specified in paragraph (4).

(4) The following descriptions of conduct are specified for the purposes of paragraph (3)—

(a) a serious assault, as defined in guidance issued by the Commission(1);

(b) a serious sexual offence, as defined in guidance issued by the Commission;

(c) serious corruption, as defined in guidance issued by the Commission;

(d) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which in either case was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status identified in guidance by the Commission;

(e) a relevant offence;

(f) conduct whose gravity or other exceptional circumstances make it appropriate to record the matter in which the conduct is involved; or

(g) conduct which is alleged to have taken place in the same incident as one in which conduct within sub-paragraph (a) to (f) is alleged.

(5) The chief officer must determine whether the matter is one which the chief officer is required to refer to the Commission under regulation 33 or is one which it would be appropriate to so refer.

(6) In a case in which the chief officer determines that the matter is one which the chief officer is required to refer to the Commission under regulation 33, or is one which it would be appropriate to so refer, the chief officer shall record the matter.

(7) In any other case, the chief officer shall determine whether the matter is repetitious within the meaning of regulation 31.

(8) In a case where the chief officer determines that the matter is not repetitious within the meaning of regulation 31, the chief officer shall record the matter.

(9) In any other case, the chief officer may (but need not) record the matter.

(10) In a case where the chief officer—

(a) records a matter under this regulation; and

(b) is not required to refer the matter to the Commission under regulation 33 and does not do so,

the appropriate authority may deal with the matter in such other manner (if any) as it may determine.

(11) Nothing in paragraph (6) or (8) shall require the chief officer to record any conduct matter if the chief officer is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates.

(12) If it appears to the Commission that—

(a) any matter that has come to its attention is a recordable conduct matter; but

(b) the matter has not been recorded by the chief officer,

the Commission may direct the chief officer to record that matter; and it shall be the duty of the chief officer to comply with the direction.

Conduct matters not required to be recorded

31.  For the purposes of regulations 29(4) and 30(7), a conduct matter is repetitious only if—

(a) it concerns substantially the same conduct as a previous complaint or conduct matter;

(b) there is no fresh indication in respect of that matter that a contractor may have committed a criminal offence or behaved in a manner which would justify the bringing of disciplinary proceedings;

(c) there is no fresh evidence in respect of that matter which was not reasonably available at the time the previous complaint was made or the previous conduct matter was recorded; and

(d) as respects the previous complaint or conduct matter, either—

(i) the complaint was locally resolved in accordance with the provisions of regulation 27;

(ii) the complaint was handled otherwise than in accordance with these Regulations or no action was taken in relation to it, in accordance with regulations 25 and 26 (disapplication of requirements of these Regulations);

(iii) the Commission gave the appropriate authority a direction under regulation 70 (power to discontinue an investigation);

(iv) the appropriate authority disapplied the requirements of these Regulations in accordance with regulation 26(4)(b);

(v) the complainant gave such notification as is mentioned in regulation 41(1); or

(vi) the requirements of regulations 73(9) or 74(11) (determination by the appropriate authority of what action to take) were complied with.

Duties to preserve evidence relating to conduct matters

32.—(1) Where the chief officer becomes aware of any recordable conduct matter relating to the conduct of the contractor, it shall be the chief officer’s duty to take all such steps as appear to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to that matter.

(2) The chief officer’s duty under paragraph (1) must be performed as soon as practicable after the chief officer becomes aware of the matter in question.

(3) After that, the chief officer shall be under a duty, until it is satisfied that it is no longer necessary to do so, to continue to take the steps from time to time appearing to the chief officer to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the matter.

(4) It shall be the duty of the contractor to take all such specific steps for obtaining or preserving evidence relating to any recordable conduct matter as the contractor may be directed to take for the purposes of this regulation by the chief officer or by the Commission.

Reference of conduct matters to the Commission

33.—(1) It shall be the duty of the appropriate authority to refer a recordable conduct matter to the Commission if, in a case (whether or not falling within regulation 29 (conduct matters arising in civil proceedings))—

(a) that matter relates to any incident or circumstances in or in consequence of which any person has died or suffered serious injury;

(b) that matter is of a description specified in paragraph (2); or

(c) the Commission notifies the appropriate authority that it requires that matter to be referred to the Commission for its consideration.

(2) Any matter which relates to conduct falling within the following descriptions is specified for the purposes of paragraph (1)(b)—

(a) a serious assault, as defined in guidance issued by the Commission(2);

(b) a serious sexual offence, as defined in guidance issued by the Commission;

(c) serious corruption, as defined in guidance issued by the Commission;

(d) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which in either case was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status identified in guidance by the Commission;

(e) a relevant offence;

(f) conduct whose gravity or other exceptional circumstances make it appropriate to record the matter in which the conduct is involved; or

(g) conduct which is alleged to have taken place in the same incident as one in which conduct within sub-paragraphs (a) to (e) is alleged.

(3) In any case where there is no obligation under paragraph (1) to make a reference, the appropriate authority may refer a recordable conduct matter to the Commission if that authority considers that it would be appropriate to do so by reason of—

(a) the gravity of the matter; or

(b) any exceptional circumstances.

(4) Where there is an obligation under this regulation to refer any matter to the Commission, it must be referred in such manner as the Commission specifies and—

(a) if the matter falls within paragraph (1)(a) or (b), without delay and in any event not later than the end of the day following the day on which it first becomes clear to the appropriate authority that the conduct matter is one to which that sub-paragraph applies; and

(b) if the matter falls within paragraph (1)(c), without delay and in any event not later than the end of the day following the day on which the Commission notifies the appropriate authority that the conduct matter is to be referred.

(5) Subject to paragraph (7), the following powers—

(a) the power of the Commission by virtue of paragraph (1)(c) to require a matter to be referred to it; and

(b) the power of the appropriate authority to refer any matter to the Commission under paragraph (3),

shall each be exercisable at any time irrespective of whether the matter is already being investigated by any person or has already been considered by the Commission.

(6) Where—

(a) the appropriate authority refers a matter to the Commission under this regulation; and

(b) the appropriate authority does not consider that to do so might prejudice a possible future investigation of that matter,

it shall give a notification of the making of the reference to the person to whose conduct that matter relates.

(7) A matter that has already been referred to the Commission under this regulation on a previous occasion—

(a) shall not be required to be referred again under this regulation unless the Commission so directs; and

(b) shall not be referred in exercise of any power conferred by this regulation unless the Commission consents.

Duties of the Commission on references under regulation 33

34.—(1) It shall be the duty of the Commission, in the case of every recordable conduct matter referred to it by the appropriate authority under regulation 33 (reference of conduct matters to the Commission), to determine whether or not it is necessary for the matter to be investigated.

(2) Where the Commission determines under this regulation that it is not necessary for a recordable conduct matter referred by the appropriate authority to be investigated, it may if it thinks fit refer the matter back to the appropriate authority to be dealt with by that authority in such manner (if any) as that authority may determine.

(3) Where the Commission—

(a) refers a matter back to the appropriate authority under this regulation; and

(b) does not consider that to do so might prejudice a possible future investigation of that matter,

the Commission shall give a notification of the making of the reference to the person to whose conduct that matter relates.

(1)

Guidance issued by the Commission under section 22 of the 2002 Act in January 2013. This applies to paragraph (4)(a) to (d) of this regulation. A copy is available at https://www.ipcc.gov.uk/page/statutory-guidance. A copy may be inspected at 90 High Holborn, London WC1V 6BH.

(2)

Guidance issued by the Commission under section 22 of the 2002 Act in January 2013. This applies to paragraph (2)(a) to (d) of this regulation. A copy is available at https://www.ipcc.gov.uk/page/statutory-guidance. A copy may be inspected at 90 High Holborn, London WC1V 6BH.