uksi/2020/4 — The Police (Conduct) Regulations 2020

2020 No. 4 Police, England And Wales The Police (Conduct) Regulations 2020 Made 6th January 2020 Laid before Parliament 10th January 2020 Coming into force 1st February 2020 The Secretary of State makes the following Regulations, in exercise of the powers conferred by sections 50(1), (2)(e) and (f), (2A), (3), (3A) to (3G), (4) and (7), 51(1), (2)(b), (2)(ba) and (c), (2A) to (2H), (3A) and (4), 84(1) to (6), 88A(2)(b) and 88G(1)(b) of the Police Act 1996 , section 36(1(a) and (b) of, and paragraph 29 of Schedule 3 to, the Police Reform Act 2002 and section 29(7) of the Policing and Crime Act 2017 . In accordance with section 63(3)(a) of the Police Act 1996 , the Secretary of State has supplied a draft of these Regulations to the Police Advisory Board for England and Wales and has taken into consideration the representations made by that Board before making these Regulations. PART 1 Preliminary Citation and commencement 1 These Regulations may be cited as the Police (Conduct) Regulations 2020 and come into force on 1st February 2020. Interpretation and delegation 2 1 In these Regulations— “ the 1996 Act ” means the Police Act 1996; “ the 2002 Act ” means the Police Reform Act 2002; “ the Complaints and Misconduct Regulations ” means the Police (Complaints and Misconduct Regulations) 2020 ; “ the Performance Regulations ” means the Police (Performance) Regulations 2020 ; “ the Police Regulations ” means the Police Regulations 2003 ; “ the Vetting Regulations ” means the Police (Vetting) Regulations 2025; “ accelerated misconduct hearing ” means a hearing to which the officer concerned is referred under regulation 49 after the case has been certified as one where the special conditions are satisfied; “ acting chief officer ” means— a person exercising or performing functions of a chief constable in accordance with section 41 of the Police Reform and Social Responsibility Act 2011 (power of deputy to exercise functions of chief constable); a person exercising powers or duties of the Commissioner of Police of the Metropolis in accordance with section 44 (functions of Deputy Commissioner of Police of the Metropolis) or 45(4) (Assistant Commissioners of Police of the Metropolis) of that Act, or a person exercising duties of the Commissioner of Police for the City of London in accordance with section 25 of the City of London Police Act 1839 ; “ allegation ” means an allegation relating to a complaint, conduct matter or practice requiring improvement; “ appeal meeting ” means a meeting held in accordance with regulation 46; “ appropriate authority ” means, subject to regulation 26(3)— where the officer concerned is the chief officer or acting chief officer of any police force, the local policing body for the force's area; in any other case, the chief officer of police of the police force concerned; “ complainant ” has the meaning given to it by section 29(2) of the 2002 Act (interpretation of Part 2) ; “ complaint ” has the meaning given to it by section 12 of the 2002 Act (complaints, matters and persons to which Part 2 applies) ; “ conduct ” includes acts, omissions, statements and decisions (whether actual, alleged or inferred); “ conduct matter ” has the meaning given to it by section 12 of the 2002 Act (complaints, matters and persons to which Part 2 applies) ; “ criminal proceedings ” means— any prospective criminal proceedings, or all criminal proceedings brought which have not been brought to a conclusion (apart from the bringing and determination of any appeal other than an appeal against conviction to the Crown Court); “ designated police volunteer ” means a person designated as a community support volunteer or a policing support volunteer under section 38(1A) of the Police Reform Act 2002; “ Director General ” means the Director General of the Independent Office for Police Conduct, established under section 9 of the 2002 Act (the Independent Office for Police Conduct) ; “ disciplinary action ” means, in order of seriousness starting with the least serious action— a written warning; a final written warning; reduction in rank, or dismissal without notice; “ disciplinary proceedings ” means— misconduct proceedings under Part 4 of these Regulations; an accelerated misconduct hearing under Part 5 of these Regulations, or an appeal from misconduct proceedings or from an accelerated misconduct hearing under the Police Appeals Tribunals Rules 2020 , but, for the purposes of the following provisions, “disciplinary proceedings” only includes misconduct proceedings mentioned in paragraph (a) and a hearing mentioned in paragraph (b) of this definition— paragraph (a) of the definition of “disciplinary proceedings” in section 87(5) of the 1996 Act (guidance concerning disciplinary proceedings etc.) ; paragraph (a) of the definition of “disciplinary proceedings” in section 29(1) of the 2002 Act (interpretation of Part 2) ; section 36(2) of the 2002 Act (conduct of disciplinary proceedings) ; “ document ” means anything in which information of any description is recorded; “ domestic abuse assessment ” has the meaning given in regulation 11E(4); “ gross misconduct ” means a breach of the Standards of Professional Behaviour that is so serious as to justify dismissal , and for the purposes of these Regulations conduct which has resulted in conviction of an indictable-only offence is to be taken to constitute such a breach ; “ harm test ” has the meaning given to it in regulation 6; “ HMCIC ” means Her Majesty's Chief Inspector of Constabulary appointed under section 54(1) of the 1996 Act (appointment and functions of inspectors of constabulary); “ human resources professional ” means a police officer or police staff member who has specific responsibility for personnel matters relating to members of a police force; “ informant ” means a person who provides information to an investigation on the basis that the person's identity is not disclosed during the course of the disciplinary proceedings; ... “ interested person ” means a person who has an interest in being kept properly informed about the handling of a complaint or conduct matter in accordance with section 21 of the 2002 Act (duty to provide information for other persons) ; “ investigator ” means a person— appointed under regulation 15, or appointed or designated under paragraph 16, 18 or 19 of Schedule 3 to the 2002 Act (investigations) , as the case may be; “ line manager ” means the police officer or the police staff member who has immediate supervisory responsibility for the officer concerned; “misconduct”, other than in regulation 23(2)(a) and the first reference to “misconduct” in regulation 23(2)(b), means a breach of the Standards of Professional Behaviour that is so serious as to justify disciplinary action; “ misconduct hearing ” means a hearing to which the officer concerned has been referred under regulation 23 to determine whether the conduct of the officer amounts to misconduct or gross misconduct or neither and , if it amounts to misconduct or gross misconduct, what disciplinary action should be imposed; “ misconduct meeting ” means a meeting to which the officer concerned has been referred under regulation 23 to determine whether the conduct of the officer amounts to misconduct or not and , if it amounts to misconduct, what disciplinary action should be imposed; “ misconduct proceedings ” means a misconduct meeting or misconduct hearing; “ officer concerned ” means the police officer in relation to whose conduct there has been an allegation; “ originating authority ” has the meaning given to it in regulation 26(3); “ personal record ” means a personal record kept under regulation 15 of the Police Regulations (contents of personal records) ; “ police barred list ” means the list referred to in section 88B(2) of the 1996 Act (duty to maintain police barred list) ; “ police force concerned ” means— the police force of which the officer concerned is a member, or where the officer concerned is a special constable, the police force maintained for the police area for which the officer is appointed; “ police friend ” means a person chosen by the officer concerned in accordance with regulation 7; “ police officer ” means a member of a police force or special constable; “ police staff member ” means— a member of the civilian staff of a police force, within the meaning of section 102(4) and (6) of the Police Reform and Social Responsibility Act 2011 (interpretation of Part 1), or an employee of the Common Council of the City of London who is under the direction and control of a chief officer; “ practice requiring improvement ” has the meaning given in paragraph (7); “ pre-commencement allegation ” means an allegation against a police officer which came to the attention of a local policing body or a chief officer of police before 1st February 2020; “ proposed witness ” means a witness whose attendance at the misconduct proceedings the officer concerned or the appropriate authority, as the case may be, wishes to request of the person conducting or chairing those proceedings; “ reflective practice review process ” means the process set out in Part 6; “ relevant lawyer ” has the meaning given to it by section 84(4) of the 1996 Act (representation etc. at disciplinary and other proceedings) ; “ relevant offence ” has the meaning given in regulation 11C(5); “ senior officer ” means a member of a police force holding a rank above that of chief superintendent; “ severity assessment ” has the meaning given to it in regulation 14; “ special conditions ” has the meaning given to it in regulation 49; “ staff association ” means— in relation to a member of a police force of the rank of chief inspector or below or a special constable , the Police Federation of England and Wales; in relation to a member of a police force of the rank of superintendent or chief superintendent, the Police Superintendents' Association, and in relation to a member of a police force who is a senior officer, the Chief Police Officers' Staff Association; “ Standards of Professional Behaviour ” has the meaning given in regulation 5 and references in these Regulations to the Standards of Professional Behaviour are to be construed accordingly ; “ suspend ” means suspend from the office of constable and, in the case of a member of a police force, from membership of the force; and a reference to a police officer who is, or (as the case may be) is not, already suspended is a reference to a police officer who is, or is not, already suspended under these Regulations or the Vetting Regulations; “ suspension condition ” has the meaning given in regulation 11(1)(a); “ working day ” means any day other than— a Saturday or Sunday; Christmas Day or Good Friday, or a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in England and Wales. 2 In these Regulations— a a reference to an officer other than a senior officer includes a reference to a special constable, regardless of the officer's level of seniority; b a reference to a copy of a statement, where it was not made in writing, is to be construed as a reference to a copy of an account of that statement. 2A For the purposes of these Regulations, an offence is an “indictable-only” offence if— a in the case of an offence under the law of England and Wales or Northern Ireland, it is an offence which, if committed by an adult, is triable only on indictment; b in the case of an offence under the law of Scotland, it is an offence triable only on indictment. 3 Where the appropriate authority is a chief officer of police, the chief officer may, subject to paragraphs (4) and (4A) , delegate any functions under these Regulations to a— a member of a police force of at least the rank of inspector, or b police staff member who, in the opinion of the chief officer, is of at least a similar level of seniority to an inspector. 4 Where the appropriate authority delegates its functions under regulation 11, 11A or 49, the following decisions must, subject to paragraph (4ZA), be authorised by a senior officer— a a decision under regulation 11 or 11A as to whether the suspension condition is met; b a decision under regulation 49 as to whether to certify a case as one where the special conditions are satisfied. 4ZA Where the appropriate authority delegates its functions under regulation 11 or 11A, and the case is one to which regulation 11C applies, a decision under regulation 11 or 11A that the suspension condition is not met must be authorised by— a where the police force concerned is the metropolitan police force, an officer of at least the rank of assistant commissioner; b in any other case, a chief officer of police. 4A Where a chief officer of police is required to— a chair misconduct proceedings under regulation 28(4)(a); or b conduct an accelerated misconduct hearing under regulation 55, the chief officer of police may delegate the responsibility for chairing or conducting the disciplinary proceedings in accordance with paragraphs (4B) and (4C). 4B Where the chief officer of police delegates under paragraph (4A) the responsibility for chairing or conducting disciplinary proceedings, the person to whom that responsibility is delegated must be— a a senior officer; b a former senior officer, who last served as a senior officer no more than five years before the date on which the responsibility for chairing or conducting the disciplinary proceedings is to be delegated to them; or c unless the case to which the disciplinary proceedings relate substantially involves operational policing matters, a police staff member who, in the opinion of the chief officer of police, is of at least a similar level of seniority to a senior officer. 4C But where the chief officer of police delegates, under paragraph (3), their functions under regulation 49, the person to whom the responsibility has been delegated under paragraph (4A) must not be the same senior officer who— a certified the case under regulation 49 as being one where the special conditions are satisfied; or b authorised the decision to certify under paragraph (4)(b). 4D For the purposes of paragraph (4B)— a “ senior officer ” includes a member of a police force who is required to perform the duties normally performed by a member of a police force holding a rank above that of chief superintendent; b “ former senior officer ” includes a person who, at the time they ceased to be a member of a police force, was required to perform the duties normally performed by a member of a police force holding a rank above that of chief superintendent. 5 For the purposes of these Regulations, the making of a protected disclosure by a police officer is not a breach of the Standards of Professional Behaviour. 6 In paragraph (5), “ protected disclosure ” has the meaning given by section 43A of the Employment Rights Act 1996 (meaning of protected disclosure) . 7 In these Regulations, “ practice requiring improvement ” means underperformance or conduct not amounting to misconduct or gross misconduct, which falls short of the expectations of the public and the police service. 8 When a person assesses whether an officer’s performance or conduct amounts to “practice requiring improvement”, they must have regard to the Code of Ethics, published by the College of Policing, as amended from time to time. Revocations and transitional provisions 3 1 Subject to paragraph (2), the following are revoked— a the Police (Conduct) Regulations 2012 (“ the 2012 Regulations ”); b the Police (Conduct) (Amendment) Regulations 2014 ; c the Police (Conduct) (Amendment) Regulations 2015 ; d the following provisions of the Police (Conduct, Complaints and Misconduct and Appeal Tribunal) (Amendment) Regulations 2017 — i regulation 1 in so far as it applies to the 2012 Regulations; ii regulation 2(1) and (3) (transitional provision); iii Part 2 (amendment of the 2012 Regulations); iv Schedule 1 (modifications to the 2012 Regulations). 2 Subject to regulation 4(7), the Regulations and provisions mentioned in paragraph (1) and regulations 2(1) and 10(1)(a) of the Police Barred List and Police Advisory List Regulations 2017 as in force immediately before these Regulations come into force continue to have effect in relation to— a a pre-commencement allegation; b an allegation against a police officer which comes to the attention of a local policing body or a chief officer of police on or after 1st February 2020 and which relates to a matter in respect of which a pre-commencement allegation against that person was made, if at the time the allegation is made the pre-commencement allegation is being handled in accordance with— i any of the Regulations and provisions in paragraph (1), or ii Part 2 of the 2002 Act. Application 4 1 Subject to paragraph (6), these Regulations apply where an allegation comes to the attention of an appropriate authority which indicates that the conduct of a police officer may amount to misconduct, gross misconduct or practice requiring improvement. 2 Subject to paragraph (6) and except as set out in paragraph (8), these Regulations also apply, with the modifications set out in Schedule 1, where— a an allegation comes to the attention of a relevant body which indicates that the conduct of a person who at the time of the alleged conduct was a police officer (“P”) may amount to gross misconduct , and b condition A, B or C is satisfied. 3 Condition A is that P ceased to be a police officer after the allegation first came to the attention of a relevant body. 4 Condition B is that— a P ceased to be a police officer before the allegation first came to the attention of a relevant body, and b the period between the date P ceased to be a police officer and the date the allegation first came to the attention of the relevant body did not exceed 12 months. 5 Condition C is that— a P ceased to be a police officer before the allegation first came to the attention of a relevant body; b the period between the date P ceased be a police officer and the date the allegation first came to the attention of the relevant body exceeded 12 months, and c the Director General makes a Condition C special determination under Part 1A of these Regulations (as inserted by way of modification of these Regulations by paragraph (2) and Schedule 1) that taking disciplinary proceedings against P in respect of the alleged gross misconduct would be reasonable and proportionate. 6 Subject to paragraph (7), these Regulations do not apply in relation to— a a pre-commencement allegation, or b an allegation against a police officer which comes to the attention of a local policing body or a chief officer of police on or after 1st February 2020 and which relates to a matter in respect of which a pre-commencement allegation against that person was made, if at the time the allegation is made the pre-commencement allegation is being handled in accordance with— i any of the Regulations and provisions in regulation 3(1), or ii Part 2 of the 2002 Act. 7 Where the Director General— a determines, under section 13B of the 2002 Act (power of the Director General to require re-investigation) that a complaint or matter is to be re-investigated, or b makes a direction under section 28A(1) or (4) of the 2002 Act (application of Part 2 to old cases) in relation to a matter on or after 1st February 2020, these Regulations apply regardless of when the complaint or matter came to the attention of the appropriate authority. 8 Paragraph (2) does not apply if— a it relates to a person who ceased to be a police officer before 15th December 2017 ; or b the disciplinary proceedings would not be the first disciplinary proceedings to be taken against P in respect of the alleged gross misconduct unless they result from a re-investigation of the allegation (whether carried out under these Regulations or under the 2002 Act) that begins not later than 12 months after the date on which P ceased to be a police officer. 9 Where an appropriate authority is considering more than one allegation in relation to the same police officer, or person in relation to whom these Regulations apply by virtue of paragraph (2), the allegations may be taken together and treated as a single allegation for the purposes of any provision of these Regulations which requires a person to make an assessment, finding, determination or decision in connection with conduct which is the subject matter of an allegation. 10 In this regulation, “ relevant body ” means— a a chief officer of police; b a local policing body, or c the Director General. PART 2 General Standards of Professional Behaviour 5 The Standards of Professional Behaviour established are the standards of professional behaviour described in Schedule 2. The harm test 6 Information in documents which are stated to be subject to the harm test under these Regulations must not be supplied to the officer concerned in so far as the appropriate authority considers that preventing disclosure to the officer is— a necessary for the purpose of preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any criminal proceedings; b necessary in the interests of national security; c necessary for the purpose of the prevention or detection of crime, or the apprehension or prosecution of offenders; d necessary for the purpose of the prevention or detection of misconduct by other police officers or police staff members or their apprehension for such matters; e justified on the grounds that providing the information would involve disproportionate effort in comparison to the seriousness of the allegations against the officer; f necessary and proportionate for the protection of the welfare and safety of any informant or witness, or g otherwise in the public interest. Police friend 7 1 The officer concerned may choose— a a police officer; b a police staff member, or c ... a person nominated by the officer's staff association, who is not otherwise involved in the matter, to act as a police friend. 2 Subject to regulation 66(1), the police friend may— a advise the officer concerned throughout the proceedings under these Regulations; b represent the officer at the misconduct proceedings or accelerated misconduct hearing or appeal meeting, unless the officer has the right to be legally represented and chooses to be so represented; c make representations to the appropriate authority concerning any aspect of the proceedings under these Regulations, and d accompany the officer to any interview, meeting or hearing which forms part of any proceedings under these Regulations. 3 Where the police friend is a police officer or a police staff member, the chief officer of police of the force of which the police friend is a member must permit the police friend to use a reasonable amount of duty time for the purposes referred to in paragraph (2). 4 The reference in paragraph (3) to the force of which the police friend is a member includes a reference to the force maintained for the police area for which a special constable is appointed and the force in which a police staff member is serving. Legal and other representation 8 1 Subject to paragraph (2), the officer concerned has the right to be legally represented, by a relevant lawyer of the officer's choice (“preferred lawyer”), at a misconduct hearing or an accelerated misconduct hearing. 2 The unavailability of one or more preferred lawyers is not a valid ground for delaying a misconduct hearing or an accelerated misconduct hearing where an alternative relevant lawyer can be found. 3 If the officer concerned chooses not to be legally represented at such a hearing the officer may be dismissed or receive any other outcome under regulation 42 or 62 without being so represented. 4 Except in a case where the officer concerned has the right to be legally represented and chooses to be so represented, the officer may be represented at misconduct proceedings or an accelerated misconduct hearing or an appeal meeting only by a police friend. 5 The appropriate authority or, where functions have been delegated under regulation 26(1), the originating authority, may be represented at misconduct proceedings or an accelerated misconduct hearing or an appeal meeting by— a a police officer or police staff member of the police force concerned, or b at a misconduct hearing or an accelerated misconduct hearing only, a relevant lawyer (whether or not the officer concerned chooses to be legally represented). 6 Subject to paragraph (7), the appropriate authority may appoint a person to advise the person conducting or chairing a misconduct meeting or an appeal meeting. 7 ... The person appointed under paragraph (6) must not be a relevant lawyer. 8 The circumstances in which the Independent Office for Police Conduct is a relevant authority for the purpose of section 84(5) of the 1996 Act (power to prescribe in regulations, in relation to representation at proceedings, circumstances in which the relevant authority includes the Independent Office for Police Conduct) are prescribed as being where the Director General has made a decision under regulation 24(1) to present the case. 9 Where the circumstances prescribed in paragraph (8) apply, the Director General may be represented by a relevant lawyer. Provision of notices or documents 9 1 Subject to paragraph (2), where any written notice or document is to be given or supplied to the officer concerned under these Regulations, it must be— a given to the officer in person; b sent to the officer by e-mail or other means of electronic communication; c given to the officer in person by the officer's police friend where the police friend has agreed with the appropriate authority to deliver the notice or document, or d given to the officer in any other manner agreed between the person who is required to give the notice or document and the officer. 2 Where it is not reasonably practicable to give or supply a written notice or document to the officer concerned under paragraph (1)(a) or (b) and there is no agreement under paragraph (1)(c) or (d), the written notice or document must be— a left with a person at the officer’s last known address, or b sent to the officer’s last known address by first class post by recorded delivery or other service which provides for delivery on the next working day (“by post”). 3 Where a written notice or document is sent by e-mail or other means of electronic communication, it is to be taken to have been given or supplied to the officer concerned— a if the e-mail or other electronic transmission is sent on a working day before 4.30 p.m., on that day, or b in any other case, on the next working day after the day on which it was sent. 4 Where a written notice or document is sent by post, it is to be taken to have been given or supplied to the officer concerned— a on the second day after it was posted, left with, delivered to or collected by the relevant service provider, provided that day is a working day, or b in any other case, on the next working day after the day referred to in sub-paragraph (a). Outstanding or possible criminal proceedings 10 1 Subject to the provisions of this regulation, proceedings under these Regulations must proceed without delay. 2 Before referring a case to misconduct proceedings or an accelerated misconduct hearing, the appropriate authority must decide whether misconduct proceedings or an accelerated misconduct hearing would prejudice any criminal proceedings. 3 For any period during which the appropriate authority considers any misconduct proceedings or accelerated misconduct hearing would prejudice any criminal proceedings, no such misconduct proceedings or accelerated misconduct hearing may take place. 4 Where a witness who is or may be a witness in any criminal proceedings is to be or may be asked to attend misconduct proceedings, the appropriate authority must consult the relevant prosecutor (and when doing so must inform the prosecutor of the names and addresses of all such witnesses) before making its decision under paragraph (2). 5 For the purposes of this regulation “ relevant prosecutor ” means the Director of Public Prosecutions or any other person who has or is likely to have responsibility for the criminal proceedings. Duty to suspend where suspension condition met 11 1 The appropriate authority must suspend the officer concerned under this regulation if— a the appropriate authority is satisfied that the condition in paragraph (4) (the “suspension condition”) is met, and b the officer is not already suspended. 2 An officer who is suspended under this regulation remains a police officer for the purposes of these Regulations and the Vetting Regulations. 3 Suspension under this regulation must be with pay. 4 The suspension condition is that— a the effective investigation of the case may be prejudiced unless the officer concerned is suspended, or b the public interest otherwise requires that the officer should be suspended. 5 When deciding if the suspension condition is met, the appropriate authority must consider whether temporary redeployment to alternative duties or an alternative location is an appropriate alternative to suspension in all the circumstances of the case. 6 Suspension under this regulation is effective from the date and time of notification, which must be given to the officer concerned either— a in writing with a summary of the reasons, or b orally, in which case the appropriate authority must confirm the suspension in writing with a summary of the reasons before the end of the period of three working days beginning with the first working day after the suspension. 7 Suspension under this regulation must continue until whichever of the following occurs first— a the appropriate authority is no longer satisfied, following a review under regulation 11A, that the suspension condition is met; b it is decided that the officer has no case to answer in respect of misconduct or gross misconduct or it is decided that the officer has a case to answer but that the conduct of the officer should not be referred to misconduct proceedings or an accelerated misconduct hearing; c such proceedings have concluded; d regulation 11F(2)(a) or 11G(2) applies (with the result that suspension continues under regulation 11F or 11G respectively). 8 In a case to which paragraph 18 or 19 of Schedule 3 to the 2002 Act (directed and independent investigations) applies, the appropriate authority must consult with the Director General before deciding for the purposes of this regulation whether the suspension condition is met. Review of suspension under regulation 11 11A 1 The officer concerned, or the officer's police friend, may make representations against suspension under regulation 11 to the appropriate authority— a before the end of the period of seven working days beginning with the first working day after the officer is suspended; b at any time during the suspension if the officer reasonably believes that circumstances relevant to the suspension condition have changed. 2 The appropriate authority must review whether the suspension condition is met— a on receipt of any representations under paragraph (1); b if there has been no previous review, before the end of the period of 12 weeks beginning with the first working day after the suspension; c in any other case— i when it becomes aware that circumstances relevant to the suspension condition may have changed (otherwise than by means of representations made under paragraph (1)); ii before the end of the period of 12 weeks beginning with the first working day after the previous review. 3 Where, following a review, the appropriate authority remains satisfied that the suspension condition is met, it must, before the end of the period of three working days beginning with the first working day after the review, so notify the officer concerned in writing with a summary of the reasons. 4 In a case to which paragraph 18 or 19 of Schedule 3 to the 2002 Act applies, the appropriate authority must consult with the Director General before deciding for the purposes of this regulation whether the suspension condition is met. Regulation 11 supplementary: officer investigated in relation to a criminal offence 11B 1 This regulation applies where— a the officer concerned is the subject of a criminal investigation, and b it has been assessed under regulation 14 of these Regulations or regulation 16 or 19 of the Complaints and Misconduct Regulations that the conduct of the officer, if proved, would amount to gross misconduct. 2 Unless the officer concerned is already suspended, the appropriate authority must decide whether the suspension condition is met within the period of three working days beginning with the first working day after— a where the assessment was carried out under regulation 14 of these Regulations, the conditions in paragraph (1)(a) and (b) are both met; b where the assessment was carried out under regulation 16 or 19 of the Complaints and Misconduct Regulations, it comes to the attention of the appropriate authority that the conditions in paragraph (1)(a) and (b) are both met. 3 In this regulation, “ criminal investigation ” means an investigation which police officers or other persons have a duty to conduct with a view to it being ascertained whether a person should be charged with an offence. Regulations 11 and 11A supplementary: officer arrested or questioned under caution in relation to a relevant offence 11C 1 This regulation applies where the officer concerned is— a arrested in relation to a relevant offence, or b in a case to which section 29 of the Police and Criminal Evidence Act 1984 (voluntary attendance at police station etc.) applies, questioned under caution in relation to a relevant offence. 2 Regulation 11 is supplemented by the following provisions— a unless the officer concerned is already suspended, and subject to paragraph (3), the appropriate authority must decide whether the suspension condition is met within the period of three working days beginning with the first working day after the day on which the event mentioned in paragraph (1)(a) or (b) comes to the attention of the appropriate authority; b the public interest requires suspension unless there are exceptional circumstances; c if the appropriate authority decides that the suspension condition is not met, it must proceed under regulation 11D, unless the appropriate authority is the Common Council. 3 Where a decision that the suspension condition is not met must be authorised by an officer of at least the rank of assistant commissioner or (as the case may be) a chief officer of police in accordance with regulation 2(4ZA), the reference to “three working days” in paragraph (2)(a) is to be read as a reference to “eight working days”. 4 Regulation 11A is supplemented by the provision in paragraph (2)(b). 5 In this regulation, “ relevant offence ” means— a an offence listed in Schedule 3 (“a listed offence”), or b an attempt or conspiracy to commit a listed offence. Decision not to suspend in regulation 11C cases: notification to senior authority 11D 1 If the appropriate authority is required by regulation 11C(2)(c) to proceed under this regulation, it must inform the specified person of its decision that the suspension condition is not met without delay. 2 The specified person is— a where the appropriate authority is the chief constable of a police force for a police area, the police and crime commissioner for that police area; b where the appropriate authority is a police and crime commissioner for a police area, the police and crime panel established for that police area under section 28(1) of the Police Reform and Social Responsibility Act 2011; c where the appropriate authority is the Commissioner of Police of the Metropolis— i if the officer concerned is the Deputy Commissioner of Police of the Metropolis, the Mayor’s Office for Policing and Crime and the Secretary of State; ii in any other case, the Mayor’s Office for Policing and Crime; d where the appropriate authority is the Mayor’s Office for Policing and Crime, the Secretary of State; e where the appropriate authority is the Commissioner of Police for the City of London, the Common Council. Regulations 11 and 11A supplementary: officer arrested or questioned under caution in relation to an offence involving domestic abuse 11E 1 This regulation applies where— a the officer concerned is— i arrested in relation to an offence which is not a relevant offence, or ii in a case to which section 29 of the Police and Criminal Evidence Act 1984 (voluntary attendance at police station etc.) applies, questioned under caution in relation to such an offence, and b the appropriate authority makes a domestic abuse assessment in relation to the alleged conduct of the officer (whether before or after the officer is arrested or questioned under caution). 2 Regulations 11C and 11D apply as if the offence were a relevant offence, subject to paragraph (3). 3 Regulation 11C is to be read as if for paragraph (2)(a) of that regulation there were substituted— a unless the officer concerned is already suspended, and subject to paragraph (3), the appropriate authority must decide whether the suspension condition is met within the period of three working days beginning with the first working day after the day on which— i the event mentioned in paragraph (1)(a) or (b) comes to the attention of the appropriate authority, or ii if later, the appropriate authority makes the domestic abuse assessment in relation to the officer’s alleged conduct; . 4 In this regulation, “ domestic abuse assessment ” means an assessment that the conduct of the officer concerned would, if proved, amount to domestic abuse within the meaning of the Domestic Abuse Act 2021 (see section 1 of that Act). Automatic or mandatory suspension: officer charged with a relevant offence 11F 1 This regulation applies where the officer concerned is charged with a relevant offence. 2 Where, immediately before being charged, the officer concerned was already suspended under— a regulation 11, the suspension continues under this regulation with effect from the date and time of the charge; b regulation 11G, and the deadline for a review has not passed (see regulation 11H(1)), the suspension continues under this regulation with effect from the date and time of the charge; c the Vetting Regulations, the suspension continues under this regulation with effect from— i the date and time of the charge, or ii if later, the date and time that the allegation concerned comes to the attention of the appropriate authority. 3 In a case to which paragraph (2)(a), (b) or (c) applies, the appropriate authority must notify the officer concerned that their suspension is continuing under this regulation without delay and in any event before the end of the first working day after the suspension first continues under this regulation. 4 Where the officer concerned was not already suspended immediately before being charged— a if the officer was given a written notice in accordance with regulation 17(1) of these Regulations or regulation 17(1) of the Complaints and Misconduct Regulations before the day on which the officer is charged— i the officer is automatically suspended under this regulation with effect from the date and time that they are notified of the charge, and ii the appropriate authority must, without delay and in any event before the end of the first working day after the suspension, notify the officer that they are so suspended; b in any other case, the appropriate authority must, without delay and in any event before the end of the first working day after the officer is charged with the offence, suspend the officer with effect from the date and time of notification, which must be given in accordance with regulation 11(6)(a) or (b). 5 Paragraphs (2) and (3) of regulation 11 apply to suspension under this regulation as they apply to suspension under that regulation. 6 Suspension under this regulation must continue until the officer concerned ceases to be charged with a relevant offence as a result of criminal proceedings being discontinued or the officer being found not guilty. 7 In a case to which paragraph 18 or 19 of Schedule 3 to the 2002 Act applies, the appropriate authority must inform the Director General of any suspension or (as the case may be) continued suspension under this regulation without delay and in any event before the end of the first working day after the officer is suspended or (as the case may be) their suspension first continues under this regulation. Mandatory suspension: officer charged with an offence involving domestic abuse 11G 1 This regulation applies where— a the officer concerned is charged with an offence other than a relevant offence, and b the appropriate authority makes a domestic abuse assessment in relation to the alleged conduct of the officer (whether before or after the officer is charged). 2 Where the officer concerned was already suspended under regulation 11 or the Vetting Regulations immediately before being charged— a if the appropriate authority made the domestic abuse assessment before the officer is charged, the suspension continues under this regulation with effect from the date and time of the charge; b if the appropriate authority made the domestic abuse assessment after the officer is charged, the suspension continues under this regulation with effect from the date and time that the domestic abuse assessment was made. 3 In a case to which paragraph (2)(a) or (b) applies, the appropriate authority must— a notify the officer concerned that their suspension is continuing under this regulation without delay and in any event before the end of the first working day after the suspension first continues under this regulation, and b include within the notification— i a summary of the reasons for the domestic abuse assessment, and ii a statement of the right of review under regulation 11H. 4 Where the officer concerned was not already suspended immediately before being charged, the appropriate authority must suspend the officer with effect from the date and time of notification. 5 Notification under paragraph (4) must— a be given to the officer concerned in accordance with regulation 11(6)(a) or (b), b be given without delay and in any event— i if the appropriate authority made the domestic abuse assessment before the officer is charged, before the end of the first working day after the day on which the officer is charged; ii if the appropriate authority made the domestic abuse assessment after the officer is charged, before the end of the first working day after the day on which it made the domestic abuse assessment, and c include a statement of the right of review under regulation 11H. 6 Paragraphs (2) and (3) of regulation 11 apply to suspension under this regulation as they apply to suspension under that regulation. 7 Suspension under this regulation must continue until whichever of the following occurs first— a following a review under regulation 11H, the appropriate authority withdraws the domestic abuse assessment; b regulation 11F(2)(b) applies (in which case suspension continues under regulation 11F); c the officer concerned ceases to be charged with the offence as a result of criminal proceedings being discontinued or the officer being found not guilty; d one of the events mentioned in regulation 11(7)(b) or (c). 8 In a case to which paragraph 18 or 19 of Schedule 3 to the 2002 Act applies, the appropriate authority must consult with the Director General before making a domestic abuse assessment. Review of suspension under regulation 11G: offences involving domestic abuse 11H 1 The officer concerned, or the officer’s police friend, may make representations against the domestic abuse assessment to the appropriate authority before the end of the period of seven working days beginning with the first working day after whichever of the following events occurs— a the officer’s suspension first continues under regulation 11G in accordance with paragraph (2) of that regulation; b the officer is suspended in accordance with regulation 11G(4). 2 The appropriate authority must review the domestic abuse assessment on receipt of any representations under paragraph (1). 3 Where, following a review under this regulation, the appropriate authority maintains its domestic abuse assessment, it must, before the end of the period of three working days beginning with the first working day after the review, so notify the officer concerned in writing with a summary of the reasons. 4 In a case to which paragraph 18 or 19 of Schedule 3 to the 2002 Act applies, the appropriate authority must consult with the Director General before maintaining or withdrawing its domestic abuse assessment. Record of disciplinary proceedings 12 The appropriate authority must cause a record to be kept of disciplinary proceedings brought against every officer concerned, together with the finding and decision on disciplinary action and the decision in any appeal by the officer. Conflicts of interest: disciplinary proceedings 12A 1 A responsible authority that is aware that relevant circumstances exist in relation to a person must not— a appoint that person to a regulated position; or b delegate the responsibility for chairing or conducting disciplinary proceedings to that person under regulation 2(4A). 2 A responsible authority that has— a appointed a person to a regulated position; or b delegated the responsibility for chairing or conducting disciplinary proceedings to a person under regulation 2(4A), must, without delay after becoming aware that relevant circumstances exist in relation to the person, replace that person (in accordance with regulation 8, 28, 45 or 55), or, as the case may be, delegate responsibility for chairing or conducting the disciplinary proceedings to another person in accordance with regulation 2(4B) or, as the case may be, 2(4B) and (4C). 3 A chief officer of police required to chair or conduct disciplinary proceedings under regulation 28(4)(a) or 55(1), who is, or becomes, aware that any relevant circumstances exist in relation to themselves must, without delay, delegate the responsibility for chairing or conducting disciplinary proceedings in accordance with regulation 2(4B) or, as the case may be, 2(4B) and (4C). 4 The delegations required by paragraph (2) and (3) are to be treated as having been done under regulation 2(4A). 5 A person who is aware of any relevant circumstances that exist in relation to themselves must not take up or act in a regulated position. 6 A person other than a chief officer of police required to chair or conduct disciplinary proceedings under regulation 28(4)(a) or 55(1) who becomes aware of any relevant circumstances that exist in relation to themselves after having taken up a regulated position must inform the responsible authority of those relevant circumstances without delay. 7 A person who becomes aware of any relevant circumstances that exist in relation to themselves must inform the responsible authority of those relevant circumstances without delay if the person is aware of the possibility of— a the responsibility for chairing or conducting misconduct proceedings being delegated to them under regulation 2(4A); or b being appointed to a regulated position. 8 In this regulation a “ regulated position ” is— a chairing or conducting disciplinary proceedings; b chairing or conducting a misconduct meeting or an appeal meeting; c acting as an adviser appointed under regulation 8(6); or d acting as an adviser appointed under regulation 28(5B) or 55(4A). 9 In this regulation— “ responsible authority ” means— in relation to the delegation of responsibility for chairing or conducting disciplinary proceedings under regulation 2(4A), a chief officer of police; in relation to the appointment of a person to a regulated position, the person or body who is to make the appointment; “relevant circumstances” mean circumstances, in relation to a person, that give rise, or may reasonably be considered to give rise, to a conflict of interest in relation to the person’s functions in respect of the disciplinary proceedings. PART 3 Investigations Application of this Part 13 This Part does not apply to a case to which paragraph 16, 18 or 19 of Schedule 3 to the 2002 Act (investigations) applies . Severity assessment 14 1 The appropriate authority must assess whether the conduct which is the subject matter of the allegation, if proved, would amount to misconduct or gross misconduct or neither (“the severity assessment”). 2 Where the appropriate authority assesses that the conduct, if proved, would amount to neither misconduct nor gross misconduct, it must assess whether— a the conduct, if proved, would amount to practice requiring improvement; aa the matter should be referred to be dealt with under the Vetting Regulations; b the matter should be referred to be dealt with under the Performance Regulations, or c it should take no further action. 3 The appropriate authority must consult the line manager of the officer concerned before making an assessment in terms of paragraph (2)(a) , (aa) or (b). 4 Where the appropriate authority assesses that the conduct, if proved, would amount to practice requiring improvement, it must refer the matter to be dealt with under the reflective practice review process set out in Part 6. 5 Where the appropriate authority assesses that the conduct, if proved, would amount to misconduct or gross misconduct— a the matter must be investigated, and b the appropriate authority must assess whether, if the matter were to be referred to misconduct proceedings under regulation 23, those would be likely to be a misconduct meeting or a misconduct hearing. 6 At any time before the start of misconduct proceedings, the appropriate authority may revise its severity assessment under this regulation if it considers it appropriate to do so. 7 Where the appropriate authority decides under this regulation to take no further action or to refer the matter to be dealt with under the reflective practice review process , the Vetting Regulations or the Performance Regulations, it must so notify the officer concerned in writing as soon as practicable. Appointment of investigator 15 1 This regulation applies where the matter is to be investigated in accordance with regulation 14. 2 The appropriate authority must appoint a person to investigate the matter. 3 No person may be appointed to investigate a matter under this regulation— a unless they have an appropriate level of knowledge, skills and experience to plan and manage the investigation; b if they are an interested party; c if they work, directly or indirectly, under the management of the officer concerned, ... d in a case where the officer concerned is a senior officer, if they are— i the chief officer of police of the police force concerned; ii a member of the same police force as the officer, or where the officer is a member of the metropolitan police force, serving in the same command as the officer, or iii a designated police volunteer serving in that force. 4 The reference in paragraph (3)(d)(ii) to a member of the police force includes a reference to a special constable appointed for the area of that force and a police staff member serving in that force. 5 In this regulation, “ interested party ” means a person whose appointment could reasonably give rise to a concern as to whether a person could act impartially under these Regulations. Investigation 16 1 The purpose of the investigation is to— a gather evidence to establish the facts and circumstances of the alleged misconduct or gross misconduct, and b assist the appropriate authority to establish whether there is a case to answer in respect of misconduct or gross misconduct or whether there is no case to answer. 2 The investigator must as soon as practicable after being appointed draw up the terms of reference of the investigation. Written notices 17 1 Subject to the harm test and except where paragraph (6) applies by virtue of sub-paragraph (a) of that paragraph, the investigator must, as soon as reasonably practicable after being appointed, give the officer concerned a written notice stating— a the conduct that is the subject matter of the allegation and how that conduct is alleged to fall below the Standards of Professional Behaviour; b that there is to be an investigation into the matter and the identity of the investigator; c the result of the severity assessment conducted under regulation 14; ca where relevant, that if, after the day on which the officer is given the written notice, the officer is charged with an offence listed in Schedule 3 in connection with the conduct that is the subject matter of the allegation, or with attempt or conspiracy to commit such an offence, the officer will be automatically suspended upon notification of the charge; d the result of any assessment under regulation 14(5)(b) as to whether any misconduct proceedings would likely be a misconduct meeting or a misconduct hearing; e that if the officer is dismissed at misconduct proceedings, information including the officer's full name and a description of the conduct which led to dismissal will be added to the police barred list and may be subject to publication for a period of up to 5 years; f that the officer has the right to seek advice from the officer's staff association or any other body and of the effect of regulation 7(1) and (2); g the effect of regulations 8(1) to (3) and 18, and h that whilst the officer does not have to say anything it may harm the officer's case if the officer does not mention when interviewed or when providing any information under regulation 18(1) or 31(2) or (3) something later relied on in any disciplinary proceedings. 2 Where a notice is given under paragraph (1), the investigator must— a subject to the harm test and except where paragraph (6) applies by virtue of sub-paragraph (b) of that paragraph, give the officer concerned the written terms of reference of the investigation, or b where written terms of reference are not provided under sub-paragraph (a), give the officer concerned written notice stating that the terms of reference are not being provided and explaining why. 3 Where practicable, the investigator must give the officer concerned the written terms of reference, or, as the case may be, the written notice, under paragraph (2), at the same time as notice is given under paragraph (1), or otherwise within a period of 5 working days, beginning with the first working day after the day on which such notice is given. 4 Subject to the harm test and except where paragraph (6) applies by virtue of sub-paragraph (c) of that paragraph, where notice is given under paragraph (1) and the appropriate authority revises its severity assessment in accordance with regulation 14(6), the appropriate authority must as soon as practicable give the officer concerned a written notice of the result of the revised severity assessment. 5 Subject to the harm test and except where paragraph (6) applies by virtue of sub-paragraph (d) of that paragraph, where the written terms of reference are given under paragraph (2) and those terms are revised by the investigator, the investigator must as soon as practicable give the officer concerned the revised terms of reference. 6 This paragraph applies for so long as the investigator considers that giving— a a written notice under paragraph (1); b terms of reference under paragraph (2); c a written notice under paragraph (4), or d revised terms of reference under paragraph (5), might prejudice the investigation or any other investigation (including, in particular, a criminal investigation). 7 Once a written notice has been given in accordance with paragraph (1), the investigator must notify the officer concerned of the progress of the investigation— a if there has been no previous notification following the supply of the written notice under paragraph (1), before the end of 4 weeks beginning with the first working day after that written notice was given, and b in any other case, before the end of 4 weeks beginning with the first working day after the previous notification. Representations to the investigator 18 1 Before the end of 10 working days beginning with the first working day after the terms of reference, or, as the case may be, written notice has been given under regulation 17(2)— a the officer concerned may provide a written or oral statement relating to any matter under investigation to the investigator, including any mitigating circumstances relevant to any such matter, and b the officer concerned or the officer's police friend may provide any relevant documents to the investigator. 2 The investigator must, as part of the investigation, consider any such statement or document and must make a record of having received it. 3 The period of 10 working days referred to in paragraph (1) may be extended by the investigator. 4 In this regulation “relevant document”— a means a document relating to any matter under investigation, and b includes such a document containing suggestions as to lines of inquiry to be pursued or witnesses to be interviewed. Timeliness of investigation 19 1 Where an investigation is not completed within a relevant period, the appropriate authority must, subject to paragraph (3), provide as soon as practicable the following information in writing to the local policing body— a the date on which the allegation came to the attention of the appropriate authority; b the date on which notice was given under regulation 17(1); c the progress of the investigation; d an estimate of when— i the investigation will be concluded, and ii a report will be submitted under regulation 21; e the reason for the length of time taken by the investigation, and f a summary of planned steps to progress the investigation and bring it to a conclusion. 2 For the purposes of this regulation, each of the following is a “relevant period”— a the first relevant period is the period of 12 months beginning with the day on which the allegation first came to the attention of the appropriate authority; b each subsequent relevant period is the period of 6 months beginning with the day after the end of the previous relevant period. 3 The requirement to provide information under paragraph (1) does not apply in a case where it appears to the appropriate authority that to do so might prejudice the investigation or any other investigation (including a criminal investigation). 4 Subject to the harm test, a copy of the information provided under paragraph (1) or (2) must be sent to the officer concerned. Interviews during investigation 20 1 Where an investigator wishes to interview the officer concerned as part of the investigation, the investigator must, if reasonably practicable, agree a date and time for the interview with the officer. 2 No interview may take place until the officer concerned has been provided with the terms of reference or, as the case may be, a written notice under regulation 17(2). 3 Where no date and time is agreed under paragraph (1), the investigator must specify a date and time for the interview. 4 Where a date and time is specified under paragraph (3) and— a the officer concerned or the officer's police friend will