uksi/2015/431 — The Independent Police Complaints Commission (Complaints and Misconduct) (Contractors) Regulations 2015

2015 No. 431 Police, England And Wales The Independent Police Complaints Commission (Complaints and Misconduct) (Contractors) Regulations 2015 Made 26th February 2015 Laid before Parliament 3rd March 2015 Coming into force 8th April 2015 The Secretary of State makes the following Regulations in exercise of the powers conferred by sections 12(8) and (9), 23(2) and 105(4) and (5) of the Police Reform Act 2002 . In accordance with section 24 of the Police Reform Act 2002, the Secretary of State has consulted with the Independent Police Complaints Commission, such persons as appear to the Secretary of State to represent the views of police and crime commissioners, the Mayor’s Office for Policing and Crime, the Common Council, the Association of Chief Police Officers and such other persons as she thinks fit. In accordance with section 63(3)(b) of the Police Act 1996 , the Secretary of State supplied a draft of these Regulations to the Police Advisory Board for England and Wales and has taken into consideration the Board’s representations. PART 1 Introductory Citation, commencement and extent 1 These Regulations may be cited as the Independent Police Complaints Commission (Complaints and Misconduct) (Contractors) Regulations 2015 and come into force on 8th April 2015. Interpretation 2 In these Regulations— “ 1984 Act ” means the Police and Criminal Evidence Act 1984 ; “the 2002 Act ” means the Police Reform Act 2002; “the 2014 Act ” means the Anti-social Behaviour, Crime and Policing Act 2014 ; “the 2012 Regulations ” means the Police (Complaints and Misconduct) Regulations 2012 ; “the 2013 Regulations ” means the Police (Complaints and Conduct) Regulations 2013 ; “appropriate authority” means the chief officer— in relation to a contractor or in relation to any complaint, conduct matter or investigation relating to the conduct of such a person; and in relation to a death or serious injury (DSI) matter if the relevant officer is a contractor; “bank holiday” means a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in England and Wales; “Code B” means the code of practice issued under section 66(1)(c) and (d) of the 1984 Act ; “Code C” means the code of practice issued under section 66(1)(b) of the 1984 Act; “complainant” shall be construed in accordance with regulation 8(2); “complaint” has the same meaning as in regulation 8; “conduct matter” has the same meaning as in regulation 8; “contractor” means a person who is— a contractor in accordance with section 12(10) of the 2002 Act, a sub-contractor of a person falling within (a), or an employee of a person falling within (a) or (b); “contractor friend” means a person chosen by the person concerned in accordance with regulation 58; “contractor manager” means— the person who has responsibility for the management of the provision of the services to a chief officer, or the person— who has direct management responsibility for the person in relation to whom there is a complaint, conduct matter or DSI matter, and who in the opinion of the chief officer has sufficient seniority, skills and experience to carry out this function; “contractor standards” means the behaviours and standards in accordance with which a contractor is required to comply under the contractor’s conduct and performance policies; “death or serious injury matter” or “DSI matter” has the same meaning as in regulation 8; “Director General” means the Director General of the Independent Office for Police Conduct; “disciplinary proceedings” in relation to the contractor means any proceedings or management process in accordance with which the conduct of a person is considered in order to determine whether it is misconduct or gross misconduct and if so whether, as a result, any action is to be taken in relation to it; “ HMIC ” means Her Majesty’s Inspectors of Constabulary; “investigator” means a person appointed or designated to investigate under regulations 42 to 45; “IOPC” means the Independent Office for Police Conduct ; “person concerned” has the meaning in regulation 54; “recordable conduct matter” means a conduct matter that is required to be recorded by the appropriate authority under regulation 29 or 30 or has been so recorded; “relevant appeal body” means a body within the meaning of regulation 91(1); “relevant offence” means— an offence for which the sentence is fixed by law; or an offence for which a person of 18 years or over (not previously convicted) may be sentenced to imprisonment for a term of seven years (or might be so sentenced but for the restrictions imposed by section 33 of the Magistrates’ Courts Act 1980 ); “relevant officer”, in relation to a DSI matter, means the contractor— who arrested the person who has died or suffered serious injury; in whose custody that person was at the time of the death or serious injury; or with whom that person had the contact in question, and where there is more than one such person it means the one who so dealt with the person who died or suffered serious injury last before the death or serious injury occurred (but where it cannot be determined which of the employees of the contractor dealt with a person last before a death or serious injury occurred, the most senior of them); “senior officer” means a member of a police force holding a rank above that of chief superintendent; “trade union” has the same meaning as in sections 1 and 119 of the Trade Union and Labour Relations (Consolidation) Act 1992 ; “unsatisfactory performance proceedings” means any proceedings or management process in accordance with which the performance of the contractor is considered in order to determine whether it is unsatisfactory or whether, as a result, any action is to be taken in relation to it; “working day” means any day other than a Saturday or Sunday or a day which is a bank holiday or public holiday in England and Wales. Saving and transitional provisions 3 1 Subject to paragraphs (2) and (3), regulation 35 of the 2012 Regulations is omitted. 2 Notwithstanding the omission of regulation 35 of the 2012 Regulations— a regulation 35 as in force immediately before the coming into force of these Regulations continues to have effect— i to a matter in respect of which section 39(9) to (11) of the 2002 Act continues to apply; ii to a matter which came to the attention of the preceding appropriate authority before 8th April 2015; and b nothing in these Regulations shall apply to a matter to which sub-paragraph (a) applies. 3 In this regulation, “preceding appropriate authority” is the appropriate authority for the purposes of a matter in relation to which regulation 35 of the 2012 Regulations has effect. Application: general 4 1 For the purposes of Part 2 of the 2002 Act and the Regulations listed in paragraph (2) a contractor is to be treated as a person serving with the police. 2 The Regulations are— a the 2012 Regulations; and b the 2013 Regulations. 3 But in the application of Part 2 of the 2002 Act and the Regulations listed in paragraph (2) to contractors, Part 2 and those Regulations are to be modified, and therefore the provisions in Part 2 and the regulations listed in paragraph (2) specified in the first column of the table in the Schedule are to be read as having effect as set out in the provisions of these Regulations specified in the second column of the table in the Schedule opposite the respective entries. Delegation of functions to the contractor manager 5 In relation to a contractor, the chief officer may arrange for the contractor manager to carry out the functions of the appropriate authority. PART 2 Complaints and Misconduct General functions of the Director General under these Regulations 6 1 The functions of the Director General shall be— a to secure the maintenance by the Director General ..., and by local policing bodies, chief officers and contractors, of suitable arrangements with respect to the matters mentioned in paragraph (2); b to keep under review all arrangements maintained with respect to those matters; c to secure that arrangements maintained with respect to those matters comply with the requirements of the provisions of these Regulations, are efficient and effective and contain and manifest an appropriate degree of independence; d to secure that public confidence is established and maintained in the existence of suitable arrangements with respect to those matters and with the operation of the arrangements that are in fact maintained with respect to those matters; and e to make such recommendations, and to give such advice, for the modification of the arrangements maintained with respect to those matters, and also of the practice of the police or contractors or in relation to other matters, as appear, from the carrying out by the Director General of the Director General’s other functions, to be necessary or desirable. 2 Those matters are— a the handling of complaints made about the conduct of contractors; b the recording of matters from which it appears that there may have been conduct by such persons which constitutes or involves the commission of a criminal offence or behaviour justifying disciplinary proceedings; c the recording of matters from which it appears that a person has died or suffered serious injury during, or following, contact with a contractor; d the manner in which any such complaints or any such matters as are mentioned in paragraph (b) or (c) are investigated or otherwise handled and dealt with. 3 It shall be the duty of the Director General — a to exercise the powers and perform the duties conferred on the Director General by the following provisions of these Regulations in the manner that the Director General considers best calculated for the purpose of securing the proper carrying out of the Director General’s functions under paragraph (1); and b to secure that arrangements exist which are conducive to, and facilitate, the reporting of misconduct by persons in relation to whose conduct the Director General has functions. 4 It shall also be the duty of the Director General — a to enter into arrangements with the chief inspector of constabulary for the purpose of securing co-operation, in the carrying out of their respective functions, between the Director General and the inspectors of the constabulary; and b to provide those inspectors with all such assistance and co-operation as may be required by those arrangements, or as otherwise appears to the Director General to be appropriate, for facilitating the carrying out by those inspectors of their functions. 4A In carrying out functions under these Regulations the Director General shall have regard to any advice provided to the Director General by the Office (see regulation 6A(1)(a)) . 5 Subject to the other provisions of these Regulations, the Director General may do anything which appears to the Director General to be calculated to facilitate, or is incidental or conducive to, the carrying out of the Director General’s functions under these Regulations. 6 The IOPC may, in connection with the making of any recommendation or the giving of any advice to any person for the purpose of carrying out its functions under paragraph (1)(e) impose any such charge on that person for anything done by the Director General for the purposes of, or in connection with, the carrying out of that function as it thinks fit. General Functions of the IOPC under these Regulations 6A 1 The functions of the IOPC are— a to provide support and advice to the Director General in the carrying out of the Director General’s functions under these Regulations; and b to monitor and review the carrying out of such functions. 2 The IOPC is to perform its functions under these Regulations for the general purpose of improving the way in which the Director General’s functions are carried out under these Regulations (including by encouraging the efficient and effective use of resources in the carrying out of those functions). 3 In carrying out its functions under these Regulations the IOPC must in particular have regard to public confidence in the existence of suitable arrangements with respect to the matters mentioned in regulation 6(2) and with the operation of the arrangements that are in fact maintained with respect to those matters. 4 The IOPC may do anything which appears to it to be calculated to facilitate, or is incidental or conducive to, the carrying out of its functions under these Regulations. Efficiency etc. in exercise of functions 6B The Director General and the IOPC must carry out their functions under these Regulations efficiently and effectively. Reports to the Secretary of State 7 1 As soon as practicable after the end of each of the IOPC’s financial years, the Director General and the IOPC shall also jointly make a report to the Secretary of State on the carrying out of their functions during that year. 2 The Secretary of State may also require reports to be made (at any time) by the Director General about the carrying out of the Director General’s functions. 3 The Director General may, from time to time, make such other reports to the Secretary of State as the Director General considers appropriate for drawing the Secretary of State’s attention to matters which— a have come to the Director General’s notice; and b are matters that the Director General considers should be drawn to the Secretary of State’s attention by reason of their gravity or of other exceptional circumstances. 4 The Director General shall prepare such reports containing advice and recommendations as the Director General thinks appropriate for the purpose of carrying out the Director General’s function under regulation 6(1)(e) (general functions of the Director General ). 5 Where the Secretary of State receives any report under this regulation, the Secretary of State shall— a in the case of every annual report under paragraph (1), and b in the case of any other report, if and to the extent that the Secretary of State considers it appropriate to do so, lay a copy of the report before Parliament and cause the report to be published. 6 The IOPC shall send a copy of every annual report under paragraph (1) to every local policing body. 7 The Director General shall send a copy of every report under paragraph (3)— a to any local policing body that appears to the Director General to be concerned; and b to the chief officer of police of any police force that appears to the Director General to be concerned. 8 The Director General shall send a copy of every report under paragraph (4) to— a the Secretary of State; b every local policing body; and c every chief officer. 9 The Director General shall send a copy of every report under paragraph (3) or (4) to such of the persons (in addition to those specified in the preceding paragraphs) who— a are referred to in the report, or b appear to the Director General otherwise to have a particular interest in its contents, as the Director General thinks fit. Complaints, matters and persons to which these Regulations apply 8 1 In these Regulations references to a complaint are references (subject to the following provisions of this regulation) to any complaint about the conduct of a contractor which is made (whether in writing or otherwise) by— a a member of the public who claims to be the person in relation to whom the conduct took place; b a member of the public not falling within sub-paragraph (a) who claims to have been adversely affected by the conduct; c a member of the public who claims to have witnessed the conduct; d a person acting on behalf of a person falling within any of sub-paragraphs (a) to (c). 2 References in these Regulations, in relation to anything which is or purports to be a complaint, to the complainant are references— a except in the case of anything which is or purports to be a complaint falling within paragraph (1)(d), to the person by whom the complaint or purported complaint was made; and b in that case, to the person on whose behalf the complaint or purported complaint was made, but where any person is acting on another’s behalf for the purposes of any complaint or purported complaint, anything that is to be or may be done under these Regulations or in relation to the complainant may be done instead by or in relation to the person acting on the complainant’s behalf. 3 Subject to paragraph (4), references in these Regulations, in relation to any conduct or anything purporting to be a complaint about any conduct, to a member of the public include references to a contractor (whether at the time of the conduct or at any subsequent time). 4 In these Regulations, in relation to any conduct or to anything purporting to be a complaint about any conduct, to a member of the public do not include references to— a a person who, at the time when the conduct is supposed to have taken place, was under the direction and control of the same chief officer as the person whose conduct it was; or b a person who— i at the time when the conduct is supposed to have taken place, in relation to him, or ii at the time when he is supposed to have been adversely affected by it, or to have witnessed it, was on duty in his capacity as a contractor. 5 For the purposes of these Regulations, a person is adversely affected if that person suffers any form of loss or damage, distress or inconvenience, if the person is put in danger or is otherwise unduly put at risk of being adversely affected. 6 In these Regulations “conduct matter” means (subject to the following provisions of this regulation) any matter which is not and has not been the subject of a complaint but in the case of which there is an indication (whether from the circumstances or otherwise) that a contractor may have— a committed a criminal offence; or b behaved in a manner which would justify the bringing of disciplinary proceedings. 7 In these Regulations “death or serious injury matter” (or “DSI matter” for short) means any circumstances (other than those which are or have been the subject of a complaint or which amount to a conduct matter)— a in or in consequence of which a person has died or has sustained serious injury; and b in relation to which the requirements of either paragraph (8) or (9) are satisfied. 8 The requirements of this paragraph are that at the time of the death or serious injury the person— a had been arrested by a contractor and had not been released from that arrest; or b was otherwise detained in the custody of a contractor. 9 The requirements of this paragraph are that— a at or before the time of the death or serious injury the person had contact (of whatever kind, and whether direct or indirect) with a contractor who was acting in the execution of that person’s duties; and b there is an indication that the contact may have caused (whether directly or indirectly) or contributed to the death or serious injury. 10 In paragraph (7) the reference to a person includes a contractor, but in relation to such a person “contact” in paragraph (9) does not include contact that the person has whilst acting in the execution of that person’s duties. 11 The complaints that are complaints for the purposes of these Regulations by virtue of paragraph (1)(b) do not, except in a case falling within paragraph (12), include any made by or on behalf of a person who claims to have been adversely affected as a consequence only of having seen or heard the conduct, or any of the alleged effects of the conduct. 12 A case falls within this paragraph if— a it was only because the person in question was physically present, or sufficiently nearby, when the conduct took place or the effects occurred that the person was able to see or hear the conduct or its effects; or b the adverse effect is attributable to, or was aggravated by, the fact that the person in relation to whom the conduct took place was already known to the person claiming to have suffered the adverse effect. 13 For the purposes of this regulation a person shall be taken to have witnessed conduct if, and only if— a the person’s knowledge of that conduct was acquired in a manner which would make that person a competent witness capable of giving admissible evidence of that conduct in criminal proceedings; or b the person has possession or control of anything which would in any such proceedings constitute admissible evidence of that conduct. 14 For the purposes of these Regulations a person falling within paragraph 1(a) to (c) shall not be taken to have authorised another person to act on that person’s behalf unless— a the person so acting is for the time being designated for the purposes of this regulation by the Director General as a person through whom complaints may be made, or is of a description of persons so designated; or b the person so acting has been given, and is able to produce, the written consent of the person on whose behalf the person is taking action. General duties of local policing bodies, chief officers, contractors and inspectors 9 1 It shall be the duty of— a every local policing body maintaining a police force; b the chief officer of police of every police force; c every contractor; and d HMIC carrying out its functions in relation to a police force, to ensure that they are each kept informed, in relation to that contractor, about all matters falling within paragraph (2). 2 Those matters are— a matters with respect to which any provision of these Regulations has effect; b anything which is done under or for the purposes of any such provision; and c any obligations to act or refrain from acting that have arisen by or under these Regulations but have not yet been complied with, or have been contravened. 3 Paragraph (4) applies in a case where it appears to a local policing body that— a an obligation to act or refrain from acting has arisen by or under these Regulations; b that obligation is an obligation of the chief officer of police; and c the chief officer has not yet complied with that obligation, or has contravened it. 4 The local policing body may direct the chief officer to take such steps as the local policing body thinks appropriate. 5 The chief officer must comply with any direction given under paragraph (4). 6 Where— a the local policing body requires a chief officer of a police force to provide a member of a police force for appointment under regulation 42, 43 or 44; or b the chief officer requires the chief officer of another police force to provide a member of that force for appointment under any of those regulations, it shall be the duty of the chief officer to whom the requirement is addressed to comply with it. 7 It shall be the duty of— a every local policing body maintaining a police force; b the chief officer of every police force; and c the contractor to provide the Director General and every member of the IOPC’s staff with all such assistance as the Director General or that member of staff may reasonably require for the purposes of, or in connection with, the carrying out of any investigation by the Director General under this Part. 8 It shall be the duty of— a every local policing body maintaining a police force; b the chief officer of every police force; and c the contractor, to ensure that a person appointed under regulation 42, 43 of 44 to carry out an investigation is given all such assistance and co-operation in the carrying out of that investigation as that person may reasonably require. 9 The duties imposed by paragraphs (7) and (8) on a local policing body maintaining a police force and on the chief officer of such a force have effect— a irrespective of whether the investigation relates to the conduct of a person who is or has been a member of that force; and b irrespective of who has the person appointed to carry out the investigation under his direction and control, but a chief officer of a third force may be required to give assistance and co-operation under paragraph (8) only with the approval of the chief officer of the force to which the person who requires it belongs. 10 In paragraph (9) “third force”, in relation to an investigation, means a police force other than the force to which the person carrying out the investigation belongs. 11 These Regulations shall only have effect with respect to so much of any complaint as relates to the direction and control of a contractor to the extent that it relates to the direction and control of the contractor by a chief officer of police. Payment for assistance with investigations 10 1 This regulation applies where— a a police force is required to provide assistance in connection with an investigation under these Regulations; or b a police force is required to provide the Director General with assistance in connection with an investigation. 2 For the purposes of this regulation assistance is required to be provided by a police force in connection with an investigation under these Regulations if the chief officer of that force complies with a requirement under regulation 9(6) that is made in connection with— a an investigation relating to the conduct of a person who, at the time of the conduct, was a contractor; or b an investigation of a DSI matter in relation to which the relevant officer was, at the time of the death or serious injury, a contractor. 3 Where the assistance is required to be provided by a police force to the appropriate authority, the local policing body maintaining the force in respect of which the appropriate authority is the chief officer shall pay to the local policing body maintaining the assisting force such contribution (if any) towards the costs of the assistance— a as may be agreed between them; or b in the absence of an agreement, as may be determined in accordance with any arrangements which— i have been agreed to by local policing bodies generally and the appropriate authority; and ii are for the time being in force with respect to the making of contributions towards the costs of assistance provided, in connection with investigations under these Regulations; or c in the absence of any such arrangements, as may be determined by the Secretary of State. 4 Where the assistance is required to be provided by a police force to the Director General , the IOPC shall pay to the local policing body maintaining that force such contribution (if any) towards the costs of the assistance— a as may be agreed between the Director General and that body; or b in the absence of an agreement, as may be determined in accordance with any arrangements which— i have been agreed to by the local policing bodies generally and the Director General ; and ii are for the time being in force with respect to the making of contributions towards the costs of assistance provided, in connection with investigations under these Regulations, to the Director General ; or c in the absence of any such arrangements, as may be determined by the Secretary of State. Provision of information to the Director General 11 1 It shall be the duty of every local policing body, chief officer and contractor— a to provide the Director General with all such information and documents specified or described in a notification given by the Director General to that body, chief officer or contractor; and b to produce or deliver up to the Director General all such evidence and other things so specified or described, as appear to the Director General to be required by the Director General for the purposes of the carrying out of any of the Director General’s functions. 2 Anything falling to be provided, produced or delivered up by any person in pursuance of a requirement imposed under paragraph (1) must be provided, produced or delivered up in such form, in such manner and within such period as may be specified in— a the notification imposing the requirement; or b any subsequent notification given by the Director General to that person for the purposes of this paragraph. 3 Nothing in this regulation shall require the local policing body, chief officer or contractor— a to provide the Director General with any information or document, or to produce or deliver up any other thing, before the earliest time at which it is practicable for that body, chief officer or contractor to do so; or b to provide, produce or deliver up anything at all in a case in which it never becomes practicable for that body, chief officer or contractor to do so. 4 A requirement imposed by any notification under this regulation may authorise or require information or documents to which it relates to be provided to the Director General electronically. Inspection of premises on behalf of the Director General 12 1 Where— a the Director General requires— i a local policing body maintaining any police force, ii a chief officer of any such force, or iii a contractor, to allow a person nominated for the purpose by the Director General to have access to any premises occupied for the purpose of that force or a contractor and to documents or other things on those premises; and b the requirement is imposed for any of the purposes mentioned in paragraph (2), it shall be the duty of the body, the chief officer or, as the case may be, the contractor to secure that the required access is allowed to the nominated person. 2 Those purposes are— a the purposes of any examination by the Director General of the efficiency and effectiveness of the arrangements made by the force in question or the contractor for handling complaints or dealing with recordable conduct matters or DSI matters; b the purposes of any investigation by the Director General under these Regulations or of any investigation carried out under the Director General’s supervision or management. 3 A requirement imposed under this regulation for the purposes mentioned in paragraph (2)(a) must be notified to the body, the chief officer or the contractor at least 48 hours before the time at which access is required. 4 Where— a a requirement imposed under this regulation for the purposes mentioned in paragraph (2)(a) requires access to any premises, document or thing to be allowed to any person; and b there are reasonable grounds for not allowing that person to have the required access at the time at which access is sought, the obligation to secure that the required access is allowed shall have effect as an obligation to secure that the access is allowed to that person at the earliest practicable time as that person may specify after there cease to be any grounds in accordance with sub-paragraph (b). 5 The provisions of this regulation are in addition to, and without prejudice to— a the rights of entry, search and seizure that are or may be conferred on— i a person designated for the purposes of regulation 45 (investigations by the Director General ...); or ii any person who otherwise acts on behalf of the Director General , in that person’s capacity as a constable or as a person with the powers and privileges of a constable; or b the obligations of the local policing body, the chief officer or the contractor under regulations 9 and 11. Duty to keep the complainant informed 13 1 Subject to regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons), in any case in which there is an investigation of a complaint in accordance with the provisions of these Regulations— a by the Director General ; or b under the Director General’s management, it shall be the duty of the Director General to provide the complainant with all such information as will keep the complainant properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (4). 2 Subject to regulation 16, in any case in which there is an investigation of a complaint in accordance with the provisions of these Regulations— a by the appropriate authority on its own behalf; or b under the supervision of the Director General , it shall be the duty of the appropriate authority to provide the complainant with all such information as will keep the complainant properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (4). 3 Where paragraph (2) applies, it shall be the duty of— a the Director General to give the appropriate authority all such directions as the Director General considers appropriate for securing that that authority complies with its duty under that paragraph; and b the appropriate authority to comply with any direction given to it under this paragraph. 4 The matters of which the complainant must be kept properly informed are— a the progress of the investigation; b any provisional findings of the person carrying out the investigation; c whether any report has been submitted under regulation 72 (final reports on investigations: complaints, conduct matters and certain DSI matters); d the action (if any) that is taken in respect of any of the matters dealt with in any such report; and e the outcome of any action. 5 It shall be the duty of a person appointed to carry out an investigation under these Regulations to provide the Director General or, as the case may be, the appropriate authority with all such information as the Director General or that authority may reasonably require for the purpose of performing their duty under this regulation. Duty to provide information for other persons 14 1 A person has an interest in being kept properly informed about the handling of a complaint, recordable conduct matter or DSI matter which is the subject of an investigation in accordance with the provisions of these Regulations if— a it appears to the Director General or to an appropriate authority that that person is a person falling within paragraph (2) or (3); and b that person has indicated consent to the provision of information in accordance with this regulation and that consent has not been withdrawn. 2 A person falls within this paragraph if, in the case of a complaint or recordable conduct matter, that person— a is a relative of a person whose death is the alleged result from the conduct complained of, or to which the recordable conduct matter relates; b is a relative of a person whose serious injury is the alleged result from that conduct and that person is incapable of making a complaint; or c has suffered serious injury as the alleged result of that conduct. 3 A person falls within this paragraph if, in the case of a DSI matter, that person— a is a relative of a person who has died; b is a relative of a person who has suffered serious injury and that person is incapable of making a complaint; or c is the person who has suffered serious injury. 4 A person who does not fall within paragraph (2) or (3) has an interest in being kept properly informed about the handling of a complaint, conduct matter or DSI matter if— a the Director General or the appropriate authority consider that that person has an interest in the handling of the complaint, recordable conduct matter or DSI matter which is sufficient to make it appropriate for information to be provided to that person in accordance with this regulation; and b that person has indicated consent to the provision of information in accordance with this regulation and that consent has not been withdrawn. 5 In relation to a complaint, this regulation confers no rights on the complainant. 6 A person who has an interest in being kept properly informed about the handling of a complaint, conduct matter or DSI matter is referred to in this regulation as an “interested person”. 7 Subject to regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons), in any case in which there is an investigation of a complaint, recordable conduct matter or DSI matter in accordance with the provisions of these Regulations— a by the Director General ; or b under the Director General’s management, it shall be the duty of the Director General to provide the interested person with all such information as will keep the interested person properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (10). 8 Subject to regulation 16, in any case in which there is an investigation of a complaint, recordable conduct matter or DSI matter in accordance with the provisions of these Regulations— a by the appropriate authority on its own behalf, or b under the supervision of the Director General , it shall be the duty of the appropriate authority to provide the interested person with all such information as will keep the interested person properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (10). 9 Where paragraph (8) applies, it shall be the duty of— a the Director General to give the appropriate authority all such directions as the Director General considers appropriate for securing that that authority complies with its duty under that paragraph; and b the appropriate authority to comply with any direction given to it under this paragraph. 10 The matters of which the interested person must be kept properly informed are— a the progress of the investigation; b any provisional findings of the person carrying out the investigation; c whether the Director General or the appropriate authority has made a determination under regulation 71 (procedure where conduct matter is revealed during investigation of a DSI matter); d whether any report has been submitted under regulation 72 (final reports on investigations: complaints, conduct matters and certain DSI matters) and regulation 75 (final reports on investigations: other DSI matters); e the action (if any) the Director General has taken in respect of any of the matters dealt with in any such report; and f the outcome of any action. 11 Regulation 13(5) (duty to keep the complainant informed) applies for the purposes of this regulation as it applies for the purposes of that regulation. 12 In this regulation “relative” means any spouse, partner, parent or adult child. Manner in which duties to provide information are to be performed 15 1 For the purposes of regulations 13 and 14 (duties to keep complainant and other persons informed), the manner in which the Director General or, as the case may be, an appropriate authority shall perform the duties imposed by those regulations is as follows. 2 The Director General , in a case falling within regulation 13(1) or 14(7) (investigation of a complaint, conduct matter or DSI matter by or under the management of the Director General ), shall inform the complainant or, as the case may be, the interested person— a of the progress of the investigation promptly and in any event— i if there has been no previous notification, within four weeks of the start of the investigation; and ii in any other case, within four weeks of the previous notification; b of any provisional findings of the person carrying out the investigation as frequently as the Director General determines to be appropriate in order for the complainant to be kept properly informed. 3 An appropriate authority, in a case falling within regulation 13(2) or 14(8) (investigation of a complaint, conduct matter or DSI matter by an appropriate authority on its own behalf or under the supervision of the Director General ), shall inform the complainant or the interested person (as the case may be)— a of the progress of the investigation promptly and in any event— i if there has been no previous notification, within four weeks of the start of the investigation; and ii in any other case, within four weeks of the previous notification; b of any provisional findings of the person carrying out the investigation as frequently as the appropriate authority determines to be appropriate in order for the complainant to be kept properly informed. 4 When an investigation has been completed, each complainant and interested person shall be notified— a of the date on which the final report under regulation 72 (final reports on investigations: complaints, conduct matters and certain DSI matters) is likely to be submitted; and b of the date on which the notification under regulation 73(11) or 74(12) (action by the Director General or appropriate authority in response to an investigation report) is likely to be given. 5 In performing the duties imposed by regulations 13(1) and (2), 14(7) and (8), 73(11) or 74(12), the Director General or, as the case may be, the appropriate authority shall determine whether it is appropriate to offer, or to accede to a request for, a meeting with a complainant or, as the case may be, an interested person. 6 As soon as practicable after any such meeting the Director General or, as the case may be, the appropriate authority shall send to the complainant or interested person a written record of the meeting and an account of how any concerns of that person will be addressed. 7 As soon as practicable after the conclusion of any disciplinary proceedings or unsatisfactory performance proceedings that are taken in respect of the matters dealt with in any report submitted under regulation 74, the appropriate authority shall notify the Director General , any complainant and any interested person of the outcome of those proceedings, including the fact and outcome of any appeal against the outcome of the proceedings. 8 If the Director General or, as the case may be, the appropriate authority, considers that an investigation has made minimal or no progress since the previous notification, then the next notification may be made by any means that in the opinion of the Director General or, as the case may be, the appropriate authority is suitable. 9 Any notification under this regulation shall be given in writing, except in a case where the notification is given at a meeting held in consequence of a determination under paragraph (5) or it is given by means other than writing in accordance with paragraph (8). Exceptions to the duty to keep the complainant informed and to provide information for other persons 16 1 Subject to paragraph (2), the duties mentioned in regulation 13(1) and (2) (duty to keep the complainant informed), regulation 14(7) and (8) (duty to provide information for other persons), regulation 73(11) and regulation 74(12) (action by the Director General or appropriate authority in response to an investigation report) shall not apply in circumstances where in the opinion of the Director General , or, as the case may be, of the appropriate authority, the non-disclosure of information is necessary for the purpose of— a preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any actual or prospective criminal proceedings; b preventing the disclosure of information in any circumstances in which its non-disclosure— i is in the interests of national security; ii is for the purposes of the prevention or detection of crime, or the apprehension or prosecution of offenders; iii is required on proportionality grounds; or iv is otherwise necessary in the public interest. 2 The non-disclosure of information is required on proportionality grounds if its disclosure would cause, directly or indirectly, an adverse effect which would be disproportionate to the benefits arising from its disclosure. 3 The Director General or, as the case may be, the appropriate authority shall not conclude that the non-disclosure of information is necessary under paragraph (1) unless the Director General or, as the case may be, the appropriate authority is satisfied that— a there is a real risk of the disclosure of that information causing an adverse effect; and b that adverse effect would be significant. 4 Without prejudice to the generality of paragraph (1), the Director General or, as the case may be, the appropriate authority shall consider whether the non-disclosure of information is justified under that paragraph in circumstances where— a that information is relevant to, or may be used in, any actual or prospective disciplinary proceedings; b the disclosure of that information may lead to the contamination of the evidence of witnesses during such proceedings; c the disclosure of that information may prejudice the welfare or safety of any third party; d that information constitutes criminal intelligence. PART 3 Handling of complaints Duties to preserve evidence relating to complaints 17 1 Where— a a complaint is made to the chief officer about the conduct of the contractor; or b the chief officer becomes aware that a complaint about the conduct of the contractor has been made to the Director General or local policing body, the chief officer shall take all such steps as appear to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of. 2 The chief officer’s duty under paragraph (1) must be performed as soon as practicable after the complaint is made or, as the case may be, the chief officer becomes aware of it. 3 After that, the chief officer shall be under a duty, until satisfied that it is no longer necessary to do so, to continue to take the steps which from time to time appear to the chief officer to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of. 4 It shall be the duty of the chief officer to comply with all such directions as may be given by the Director General in relation to the chief officer’s duty under paragraph (1). 5 It shall be the duty of the contractor to take all such specific steps for obtaining or preserving evidence relating to any conduct that is the subject-matter of a complaint as the contractor may be directed to take for the purposes of this regulation by the chief officer or by the Director General . Initial handling and recording of complaints 18 1 Where a complaint is made to the Director General , the Director General shall give notification of the complaint to the chief officer. 2 But the Director General need not give that notification if the Director General considers that there are exceptional circumstances that justify it not being given. 3 Where a complaint is made to the local policing body, the local policing body shall give notification of the complaint to the chief officer. 4 Where a complaint is made to the contractor, the contractor shall give notification of the complaint to the chief officer. 5 Where the Director General , the local policing body or the contractor gives notification of a complaint under any of paragraphs (1), (3) and (4), the person who gave the notification shall notify the complainant that the notification has been given and of what it contained. 6 Where— a a complaint is made to the chief officer; or b a complaint is notified to the chief officer under this paragraph, the chief officer shall record the complaint. 7 Nothing in this regulation shall require the notification or recording by any person of any complaint about any conduct if— a that person is satisfied that the subject-matter of the complaint has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person whose conduct it was; or b the complaint has been withdrawn. 8 Nothing in this regulation shall require the recording by any person of any complaint about any conduct if that person considers that the complaint falls within a description of complaints specified in regulation 20 ( recording of complaints). Copies of complaints etc 19 1 Where a complaint is recorded under regulation 18(6), the appropriate authority shall— a supply to the complainant a copy of the record made of that complaint; and b subject to paragraphs (2) to (4), supply to the person complained against a copy of the complaint. 2 A copy of a complaint supplied under this regulation may be in a form which keeps anonymous the identity of the complainant or of any other person. 3 An appropriate authority may decide not to supply such a copy of a complaint if it is of the opinion that to do so— a might prejudice any criminal investigation or pending proceedings; or b would otherwise be contrary to the public interest. 4 Where an appropriate authority decides not to supply such a copy, it shall keep that decision under regular review. Recording of complaints 20 1 For the purposes of regulation 18(8) (descriptions of complaint not required to be recorded) the complaints set out in paragraph (2) are specified. 2 Those complaints are complaints in the case of which the appropriate authority considers that— a the matter is already the subject of a complaint made by or on behalf of the same complainant; b the complaint discloses neither the name and address of the complainant nor that of any other interested person and it is not reasonably practicable to ascertain such a name or address; c the complaint is vexatious, oppressive or otherwise an abuse of the procedures for dealing with complaints; d the complaint is repetitious; or e the complaint is fanciful. 3 For the purposes of paragraph (2)(d) a complaint is repetitious if, and only if— a it concerns substantially the same conduct as a previous conduct matter or it is substantially the same as a previous complaint made by or on behalf of the same complainant; b it contains no fresh allegations which significantly affect the account of the conduct complained of; c no fresh evidence, being evidence which was not reasonably available at the time the previous complaint was made, is tendered in support of it; and d as respects the previous complaint or conduct matter, either— i the complaint was locally resolved in accordance the provisions in 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 Director General 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 regulation 73(9) or 74(11) (determination by the appropriate authority of what action to take) were complied with. 4 For the purposes of paragraph (2)(e) a complaint is fanciful if, and only if, no reasonable person could lend any credence to it. Failures to notify or record a complaint 21 1 This regulation applies where anything which is or purports to be a complaint in relation to which regulation 18 has effect is received by the chief officer, local policing body or the contractor (whether in consequence of having been made directly or of a notification under that regulation). 2 If the chief officer, local policing body or contractor decides not to take action under regulation 18 for notifying or recording the whole or any part of what has been received, the chief officer, local policing body or contractor shall notify the complainant of the following matters— a the decision to take no action and, if that decision relates to only part of what was received, the part in question; b the grounds on which the decision was made; and c that complainant’s right to appeal against that decision under this regulation. 3 Subject to paragraph 4, the complainant shall have a right of appeal to the Director General against any failure by the chief officer, local policing body or contractor to make a determination under regulation 18 or to notify or record anything under that regulation. 4 The complainant has no right of appeal under paragraph (3) if, by virtue of regulation 18(7), there is no requirement to record the complaint. 5 On an appeal under this regulation, the Director General shall— a determine whether any action under regulation 18 should have been taken in the case in question; and b if the Director General finds in the complainant’s favour, give such directions as the Director General considers appropriate to the chief officer, local policing body or contractor as to the action to be taken for making a determination, or for notifying or recording what was received, and it shall be the duty of the chief officer, local policing body or contractor to comply with any directions given under sub-paragraph (b). 6 Directions under paragraph (5)(b) may require action taken in pursuance of the directions to be treated as taken in accordance with any such provision of regulation 18 as may be specified in the direction. 7 The Director General — a shall give notification to the chief officer, local policing body or contractor and the complainant of any determination made by the Director General under this regulation; and b shall give notification to the complainant of any direction given by the Director General under this regulation to the chief officer, local policing body or contractor. Reference of complaints to the Director General 22 1 It shall be the duty of the appropriate authority to refer a complaint to the Director General if— a the complaint is one alleging that the conduct complained of has resulted in death or serious injury; b the complaint does not fall within sub-paragraph (a) but is one alleging conduct which constitutes— i a serious assault, as defined in guidance issued by the Director General ; ii a serious sexual offence, as defined in guidance issued by the Director General ; iii serious corruption, as defined in guidance issued by the Director General ; iv 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 issued by the Director General ; v a relevant offence; c the complaint arises from the same incident as one in which any conduct falling within sub-paragraph (a) or (b) is alleged; or d the complaint is one in respect of which the Director General notifies the appropriate authority that the Director General requires the complaint in question to be referred to the Director General for the Director General’s consideration. 2 In a case where there is no obligation under paragraph (1) to make a reference, the appropriate authority may refer a complaint to the Director General if that authority considers that it would be appropriate to do so by reason of— a the gravity of the subject-matter of the complaint; or b any exceptional circumstances. 3 Where a complaint is required to be referred to the Director General under paragraph (1)(a), (b) or (c), notification of the complaint shall be given to the Director General — a 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 complaint is one to which that sub-paragraph applies; and b in such manner as the Director General specifies. 4 Where a complaint is required to be referred to the Director General under paragraph (1)(d), notification of the complaint shall be given to the Director General — a without delay and in any event not later than the end of the day following the day on which the Director General notifies the appropriate authority that the complaint is to be referred; and b in such manner as the Director General specifies. 5 Subject to paragraph (7), the following powers— a the power of the Director General by virtue of paragraph (1)(d) to require a complaint to be referred to the Director General ; and b the power of the appropriate authority to refer a complaint to the Director General under paragraph (2), shall be exercisable at any time irrespective of whether the complaint is already being investigated by any person or has already been considered by the Director General . 6 The appropriate authority who refers a complaint to the Director General under this regulation shall give a notification of the making of the reference— a to the complainant; and b except in a case where it appears to the appropriate authority that to do so might prejudice a possible future investigation of the complaint, to the person complained against. 7 A complaint that has already been referred to the Director General under this regulation on a previous occasion— a shall not be required to be referred again under this regulation unless the Director General so directs; and b shall not be referred in exercise of any power conferred by this regulation unless the Director General consents. Duties of the Director General on references under regulation 22 23 1 It shall be the duty of the Director General in the case of every complaint referred to the Director General by the appropriate authority, to determine whether or not it is necessary for the complaint to be investigated. 2 Where the Director General determines under this regulation that it is not necessary for a complaint to be investigated, the Director General may, if the Director General thinks fit, refer the complaint back to the appropriate authority to be dealt with by that authority in accordance with regulation 24. 3 Where the Director General refers a complaint back under paragraph (2), the Director General shall give a notification of the making of the reference back— a to the complainant; and b except in a case where it appears to the Director General that to do so might prejudice a possible future investigation of the complaint, to the person complained against. Handling of complaints by the appropriate authority 24 1 This regulation applies where a complaint has been recorded by the chief officer. 2 But this regulation does not apply to a complaint if it is one that has been, or must be, referred to the Director General under regulation 22, unless the complaint is for the time being— a referred back to the authority under regulation 23; or b the subject of a determination under regulation 39. 3 Subject to regulations 25 and 26, the appropriate authority shall determine whether or not the complaint is suitable for being subjected to local resolution. 4 If the appropriate authority determines that the complaint is suitable for being subjected to local resolution, it shall make arrangements for it to be so subjected. 5 If the appropriate authority determines that the complaint is not so suitable, it shall make arrangements for the complaint to be investigated by the authority on its own behalf. 6 A determination that a complaint is suitable for being subjected to local resolution may not be made unless— a the appropriate authority is satisfied that the conduct complained of (even if it were proved) would not justify the bringing of any criminal or disciplinary proceedings against the person whose conduct is complained of; and b the appropriate authority is satisfied that the conduct complained of (even if it were proved) 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 ). 7 In a case where this regulation applies to a complaint by virtue of paragraph (2)(b), a determination that the complaint is suitable for being subjected to local resolution may not be made unless the Director General approves the determination. 8 No more than one application may be made to the Director General for the purposes of paragraph (7) in respect of the same complaint