SCHEDULES

C2C3SCHEDULE 3Handling of Complaints and Conduct matters etc.

Annotations:
Modifications etc. (not altering text)
C3

Sch. 3 applied (with modifications) by 1984 c. 55, ss. 56A-56C (as inserted (6.4.2023 for specified purposes) by Building Safety Act 2022 (c. 30), ss. 53(1), 170(4)(c); S.I. 2023/362, reg. 3(1)(v))

Part 3Investigations and subsequent proceedings

Action by the F10Director General in F14relation to an investigation report F1under paragraph 22

Annotations:
Amendments (Textual)
F10

Words in Sch. 3 substituted (31.1.2017 for specified purposes, 8.1.2018 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 9 para. 56(2) (with Sch. 9 para. 56(6)); S.I. 2017/1249, reg. 2 (with reg. 3)

F14

Word in Sch. 3 para. 23 cross-heading substituted (31.1.2017 for specified purposes, 8.1.2018 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 9 para. 56(15); S.I. 2017/1249, reg. 2 (with reg. 3)

I1C123

1

This paragraph applies where—

a

a report on an investigation carried out under the F30direction of the F10Director General is submitted to F12the Director Genera under sub-paragraph F2(3) of paragraph 22; or

b

a report on an investigation carried out by a person designated by the F10Director General is submitted to F12the Director GeneralF15, or is otherwise completed, under sub-paragraph F3(5) of that paragraph.

F251A

But if, following the submission F16or completion of such a report, the F10Director General determines under section 13B that the complaint or recordable conduct matter is to be re-investigated the provisions of this paragraph other than sub-paragraph (2)(a) F26(read with sub-paragraph (2ZA)) do not apply, or cease to apply, in relation to that report.

2

On receipt of the report F17(or on its completion by the Director General), the F10Director General—

a

if it appears that the appropriate authority has not already been sent a copy of the report, shall send a copy of the report to that authority;

F4b

shall determine whether the conditions set out in sub-paragraphs (2A) and (2B) are satisfied in respect of the report;

c

if F12the Director General determines that F5those conditions are so satisfied, shall notify the Director of Public Prosecutions of the determination and send him a copy of the report; and

d

shall notify the appropriate authority F6and the persons mentioned in sub-paragraph (5) of F13the Director General's determination under paragraph (b) and of any action taken by F12the Director General under paragraph (c).

F272ZA

Where the F10Director General would contravene section 21A by sending a copy of a report in its entirety to the appropriate authority under sub-paragraph (2)(a) or to the Director of Public Prosecutions under sub-paragraph (2)(c), the F10Director General must instead send a copy of the report after having removed or obscured the information which by virtue of section 21A the F10Director General must not disclose.

F72A

The first condition is that the report indicates that a criminal offence may have been committed by a person F28(if any) to whose conduct the investigation related.

2B

The second condition is that—

a

the circumstances are such that, in the opinion of the F10Director General, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions, or

b

any matters dealt with in the report fall within any prescribed category of matters.

3

The Director of Public Prosecutions shall notify the F10Director General of any decision of his to take, or not to take, action in respect of the matters dealt with in any report a copy of which has been sent to him under sub-paragraph (2)(c).

F244

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5

F8The persons are—

a

in the case of a complaint, the complainant and every person entitled to be kept properly informed in relation to the complaint under section 21; and

b

in the case of a recordable conduct matter, every person entitled to be kept properly informed in relation to that matter under that section.

F235A

On receipt of the report F18(or on its completion by the Director General), the F10Director General shall also—

a

seek the views of the appropriate authority on—

i

whether any person to whose conduct the investigation related has a case to answer in respect of misconduct or gross misconduct or has no case to answer,

ii

whether or not any such person's performance is unsatisfactory, and

iii

the other matters (if any) dealt with in the report (but not on whether the conditions in sub-paragraphs (2A) and (2B) are satisfied in respect of the report),

b

having considered the views (if any) of the appropriate authority, make a determination as to—

i

the matters described in paragraph (a)(i) and (ii), and

ii

whether or not disciplinary proceedings should be brought against any person to whose conduct the investigation related and, if so, what form the disciplinary proceedings should take,

c

having considered the views (if any) of the appropriate authority and if the F10Director General considers it appropriate to do so, make a determination as to any matter dealt with in the report, being a determination other than one that F12the Director General is required to make under sub-paragraph (2)(b) or paragraph (b) of this sub-paragraph,

d

notify the appropriate authority of F13the Director General's determination under paragraph (b) and any determination under paragraph (c),

e

where the F10Director General determines that disciplinary proceedings of a form specified in the determination should be brought against a person, direct the appropriate authority to bring those proceedings, and

f

direct the appropriate authority to determine what action (if any) the appropriate authority will in its discretion take, not being action involving the bringing of disciplinary proceedings, in respect of the matters dealt with in the report and having regard to the F11Director General's determination under paragraph (b) and any determination under paragraph (c).

5B

The appropriate authority must comply with a direction given under sub-paragraph (5A)(e) and must secure that the proceedings, once brought, are proceeded with to a proper conclusion.

5C

The F10Director General may at any time withdraw a direction given under sub-paragraph (5A)(e); and sub-paragraph (5B) shall not impose any obligation in relation to any time after the withdrawal of the direction.

5D

The appropriate authority must keep the F10Director General informed of the action it takes in response to a direction given under sub-paragraph (5A)(e).

5E

The appropriate authority must comply with the direction given under sub-paragraph (5A)(f) and must notify the F10Director General of the determination it makes.

5F

On receipt of the report F19(or on its completion by the Director General), where it is a report of an investigation of a complaint, the F10Director General may also make a recommendation under paragraph 28ZA.

F226

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F227

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F228

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F219

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F2110

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F2111

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F2112

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F913

In relation to a DSI matter in respect of which a determination has been made under paragraph 21A(2) F29, (2A)F20, (2B) or (4), the references in this paragraph to the appropriate authority are references to the appropriate authority in relation to the person whose conduct is in question.