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

PART 8 General

Complaints or conduct matters concerning a person who has subsequently ceased to be a contractor

83.  Where a complaint or conduct matter relates to the conduct of a person who has ceased to be a contractor since the time of the conduct, then these Regulations shall apply in relation to such a person as if they did not include any requirement for an appropriate authority to determine whether disciplinary proceedings should be brought against a person whose conduct is the subject-matter of a report.

Complaints or conduct matters concerning a person whose identity is unascertained

84.—(1) Where a complaint or conduct matter relates to the conduct of a person whose identity is unascertained at the time at which the complaint is made or the conduct matter is recorded, or whose identity is not ascertained during or subsequent to, the investigation of the complaint or recordable conduct matter, then these Regulations shall apply in relation to such a person as if it did not include—

(a) any requirement for the person complained against to be given a notification or an opportunity to make representations;

(b) any requirement for the Commission or the appropriate authority to determine whether a criminal offence may have been committed by the person whose conduct has been the subject-matter of an investigation, or to take any action in relation to such a determination;

(c) any requirement for an appropriate authority to determine whether disciplinary proceedings should be brought against a person whose conduct is the subject-matter of a report.

(2) Where the identity of such a person is subsequently ascertained, the Commission and appropriate authority shall take such action in accordance with these Regulations as they see fit, regardless of any previous action taken under these Regulations as modified above.

Notification of actions and decisions

85.—(1) So far as not covered by regulations 73(11) and (12) and 77(15) and (16) (notifications by the Commission in relation to recommending disciplinary proceedings), where the Commission takes any action or decisions in consequence of it having received a memorandum under regulation 73(9) or regulation 77(4), it shall notify such action or decisions, together with an explanation of its reasons for having taken them, to—

(a) the appropriate authority;

(b) the complainant and any other interested person within the meaning of regulation 14(6);

(c) subject to paragraph (3), the person complained against.

(2) Without prejudice to the generality of paragraph (1), the Commission shall include in any notification under that paragraph a statement as to whether it intends to participate in any disciplinary proceedings.

(3) The Commission may decide not to give such a notification and explanation to the person complained against if it is of the opinion that that notification might prejudice any criminal investigation, pending proceedings, or review of the complaint.

Keeping of records

86.  The appropriate authority shall keep records, in such form as the Commission shall determine, of—

(a) every complaint and purported complaint that is made to it;

(b) every conduct matter recorded by it under regulation 29 (conduct matters arising in civil proceedings) or 30 (recording etc. of conduct matters in other cases);

(c) every DSI matter recorded by it under regulation 35 (duty to record DSI matters);

(d) every exercise of a power or performance of a duty under these Regulations.

Register to be kept by the Commission

87.—(1) The Commission shall establish and maintain a register of all information supplied to it by the appropriate authority under these Regulations.

(2) Subject to paragraph (3), the Commission may publish or otherwise disclose to any person any information held on the register provided that the publication or disclosure is necessary for or conducive to the purpose of—

(a) learning lessons from the handling of, or demonstrating the thoroughness and effectiveness of, local resolutions, investigations by the Commission or managed or supervised investigations;

(b) raising public awareness of the complaints system; or

(c) improving the complaints system.

(3) Information may not be published or disclosed in circumstances where in the opinion of the Commission the non-disclosure of information is necessary for a purpose mentioned in regulation 16(1)(a) or (b) (exceptions to the duty to keep the complainant informed and to provide information for other persons).

Delegation of powers and duties by the chief officer

88.—(1) Subject to the remaining paragraphs of this regulation, the chief officer may delegate all or any of the powers or duties conferred or imposed on the chief officer by or under these Regulations to such an officer as is mentioned in paragraph (2), or to a police staff member who, in the opinion of the chief officer, is of at least a similar level of seniority.

(2) That officer is—

(a) a senior officer, in the case of a complaint or conduct matter concerning the conduct of a contractor manager, or

(b) in any other case, a member of a police force of at the least the rank of chief inspector.

(3) The chief officer shall not, in any particular case, delegate any power or duty under paragraph (1) to a person whose involvement in the role could reasonably give rise to a concern as to whether that person could act impartially under these Regulations, whether because the person has acted as investigating officer in the case or attempted to resolve it by way of local resolution or otherwise.

(4) The chief officer may delegate all or any of the chief officer’s powers or duties in relation to the local resolution of complaints under these Regulations to—

(a) a member of a police force;

(b) a civilian employee of a police force; or

(c) a contractor.

Manner and time limits of notifications

89.—(1) Any notification to be given under these Regulations shall—

(a) unless otherwise specified in these Regulations or determined in guidance issued by the Commission, be given in writing;

(b) unless otherwise specified in these Regulations, be made within such period as the Commission may determine in guidance.

(2) No time limit mentioned in these Regulations or determined by the Commission shall apply in any case where exceptional circumstances prevent that time limit being complied with.

Appeals

90.—(1) This regulation applies to an appeal under any of the following provisions of these Regulations—

(a) regulation 21(3) (appeal against a failure to notify or record a complaint);

(b) regulation 26(6) (appeal against a decision to handle a complaint otherwise than in accordance with these Regulations or take no action in relation to it);

(c) regulation 28(1) (appeal against the outcome of a complaint subjected to local resolution or handled otherwise than in accordance with these Regulations);

(d) regulation 70(9) (appeal against a decision to discontinue an investigation); and

(e) regulation 77(2) (appeal in relation to an investigation).

(2) Where the appropriate authority notifies the complainant of a decision which is or may be capable of appeal under any of the provisions in paragraph (1), the appropriate authority shall at the same time notify the complainant in writing of—

(a) the existence of the right of appeal;

(b) the identity of the relevant appeal body or, in a case to which regulation 21(3) applies, the fact that the appeal is to the Commission;

(c) where the appropriate authority has determined that the Commission is the relevant appeal body, the paragraph of regulation 91(2) relied upon in making that determination;

(d) where the appropriate authority has determined that the chief officer is the relevant appeal body, the fact that there is no right of appeal to the Commission; and

(e) the time limit for making an appeal mentioned in paragraph (3).

(3) Subject to paragraphs (4) and (5), an appeal shall be made within a period of 28 days commencing on the day after the date of the letter giving notification under paragraph (2).

(4) For the purposes of the time period mentioned in paragraph (3), the following shall be left out of account—

(a) any time elapsing between the appeal being received by the Commission under regulation 91(3) and being forwarded to the appropriate authority under that paragraph;

(b) any time elapsing between the appeal being received by the appropriate authority under regulation 91(5) and being forwarded to the Commission under that paragraph.

(5) The relevant appeal body or, in a case of an appeal under regulation 21(3), the Commission may extend the time period mentioned in paragraph (3) in any case where it is satisfied that by reason of the special circumstances of the case it is just to do so.

(6) Subject to paragraph (7), an appeal shall be made in writing and shall state—

(a) details of the complaint;

(b) the date on which the complaint was made;

(c) the appropriate authority whose decision is the subject of the appeal;

(d) the grounds for the appeal; and

(e) the date on which notification was given under paragraph (2).

(7) Where the relevant appeal body or, in the case of an appeal under regulation 21(3), the Commission receives an appeal which fails to comply with one or more of the requirements mentioned in paragraph (6), it may decide to proceed as if those requirements had been complied with.

(8) Where the Commission receives an appeal it shall—

(a) in the case of an appeal under regulation 21(3), notify the appropriate authority concerned of the appeal as soon as reasonably practicable; and

(b) in that or any other case, request any information from any person which it considers necessary to dispose of the appeal.

(9) Any person receiving a request under paragraph (8)(b) shall supply to the Commission the information requested.

(10) The relevant appeal body or, in the case of an appeal under regulation 21(3), the Commission shall determine the outcome of the appeal as soon as practicable.

(11) The relevant appeal body or, in the case of an appeal under regulation 21(3), the Commission shall notify the complainant of the reasons for its determination, and the Commission—

(a) in the case of an appeal under the said regulation, shall also notify the chief officer; and

(b) in a case where it is the relevant appeal body, shall also notify the appropriate authority.

(12) In the case of an appeal other than one under regulation 21(3)—

(a) where the Commission is the relevant appeal body—

(i) it shall notify the complainant of any direction it gives to the appropriate authority as to the future handling of the complaint; and

(ii) subject to paragraph (13), the appropriate authority shall notify the person complained against of any such direction;

(b) where the chief officer is the relevant appeal body, the chief officer shall notify the complainant and the person complained against of the action that he proposes to take in relation to the complaint.

(13) An appropriate authority may decide not to make a notification under paragraph (12)(a)(ii) if it is of the opinion that to do so might prejudice any criminal investigation or pending proceedings or would otherwise be contrary to the public interest.

Relevant appeal body

91.—(1) The relevant appeal body in relation to an appeal is—

(a) the Commission, in a case where the relevant complaint falls within a description of a complaint specified in paragraph (2);

(b) the chief officer in any other case.

(2) Complaints to which this paragraph applies are any complaint—

(a) about the conduct of a senior officer;

(b) in the case of which the appropriate authority is unable to satisfy itself, from the complaint alone, that the conduct complained of (if it were proved)—

(i) would not justify the bringing of criminal or disciplinary proceedings against a contractor; or

(ii) would not involve the infringement of a person’s rights under Article 2 or 3 of the Convention (within the meaning of the Human Rights Act 1998(1));

(c) that has been, or must be, referred to the Commission under regulation 22;

(d) arising from the same incident as a complaint to which sub-paragraph (a), (b) or (c) applies;

(e) to any part of which sub-paragraph (a), (b), (c) or (d) applies.

(3) Where an appeal is made to the Commission and the appropriate authority is the relevant appeal body in relation to the appeal, the Commission must—

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

(b) notify the person who made the appeal that—

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

(ii) the appeal has been forwarded.

(4) In an appeal to which paragraph (3) applies, the appeal is 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.

(5) Where an appeal is made to the appropriate authority and the Commission is the relevant appeal body in relation to the appeal, the appropriate authority must—

(a) forward the appeal to the Commission; and

(b) notify the person who made the appeal that—

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

(ii) the appeal has been forwarded.

(6) In an appeal to which paragraph (5) applies, the appeal is taken to have been—

(a) made to the Commission; and

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

(7) In this regulation—

“appeal” mean an appeal under regulation 21(3), 26(6), 28(1), 70(9) or 77(2);

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

(1)

1998 c. 42.