SCHEDULES
SCHEDULE 3Handling of Complaints and Conduct matters etc.
Part 3Investigations and subsequent proceedings
Power of the F240Director General to determine the form of an investigation
I1C115
1
This paragraph applies where—
a
F861A
This paragraph also applies where the F240Director General determines under paragraph 6A(5)(a) that it is necessary for a complaint to be investigated.
2
It shall be the duty of the F240Director General to determine the form which the investigation should take.
F873
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
4
The only forms which the investigation may take in accordance with a determination made under this paragraph are—
a
an investigation by the appropriate authority on its own behalf;
F88b
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
d
an investigation by the F240Director General.
F904A
In making a determination under sub-paragraph (2) the F240Director General must first determine whether, having regard to the seriousness of the case and the public interest, it is appropriate for the investigation to take the form of an investigation by the appropriate authority on its own behalf and if it is the F240Director General must determine that the investigation is to take that form.
4B
Where, in accordance with sub-paragraph (4A), the F240Director General determines that it is not appropriate for the investigation to take the form of an investigation by the appropriate authority on its own behalf, the F240Director General must determine that the investigation is to take the form of an investigation by the F240Director General unless sub-paragraph (4C) applies.
4C
This sub-paragraph applies where the F240Director General determines that it would be more appropriate for the investigation to take the form of an investigation by the appropriate authority under the direction of the F240Director General, in which case the F240Director General must determine that the investigation is to take that form.
F915
Where the F240Director General determines under sub-paragraph (4C) or (5B) that an investigation is to take the form of an investigation by the appropriate authority under the direction of the F240Director General, the F240Director General must keep under review whether that form of investigation continues to be the most appropriate form of investigation.
5A
If, on such a review, the F240Director General determines that—
a
b
having regard to the seriousness of the case and the public interest, it would be more appropriate for the investigation to take the form of an investigation by the appropriate authority on its own behalf, the F240Director General may make a further determination under this paragraph (to replace the earlier one) that the investigation is instead to take that form.
5B
Subject to sub-paragraph (5A), if at any time the F240Director General determines that, were F242the Director General to apply sub-paragraphs (4A) to (4C) again, the form of the investigation would be different, the F240Director General may make a further determination under this paragraph (to replace the earlier one) such that the investigation takes that different form.
6
Where a determination under this paragraph replaces an earlier determination under this paragraph, or relates to a complaint or matter in relation to which the appropriate authority has already begun an investigation on its own behalf, the F240Director General may give—
a
the appropriate authority, and
b
any person previously appointed to carry out the investigation,
such directions as F242the Director General considers appropriate for the purpose of giving effect to the new determination.
7
It shall be the duty of a person to whom a direction is given under sub-paragraph (6) to comply with it.
8
F939
The F240Director General shall also notify the following of any determination that F242the Director General makes under this paragraph in relation to a particular complaint, recordable conduct matter or DSI matter and of F243the Director General's reasons for making the determination—
a
every person entitled to be kept properly informed in relation to the complaint or matter under section 21;
b
where the determination is made in relation to a complaint, the complainant;
c
the person to whose conduct the investigation will relate.
10
The duty imposed by sub-paragraph (9) on the F240Director General in relation to a complaint, recordable conduct matter or DSI matter shall have effect subject to such exceptions as may be provided for by regulations made by the Secretary of State.
11
Subsections (6) to (8) of section 20 apply for the purposes of sub-paragraph (10) as they apply for the purposes of that section.
Investigations by the appropriate authority on its own behalf
I2C216
F94A1
This paragraph applies if the appropriate authority, acting in accordance with paragraph 6(2A) or in response to a recommendation under paragraph 6A(6)(b), is to make arrangements for a complaint to be investigated by the appropriate authority on its own behalf.
1
This paragraph F95also applies if the appropriate authority is required by virtue of—
F96a
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b
any determination made by the F240Director General under paragraph 15,
to make arrangements for a complaintF2, recordable conduct matter or DSI matter to be investigated by the appropriate authority on its own behalf.
2
This paragraph also applies if—
a
b
the appropriate authority determine that it is necessary for the matter to be investigated by the authority on its own behalf.
3
Subject to sub-paragraph (4) F4or (5), it shall be the duty of the appropriate authority to appoint—
a
a person serving with the police (whether under the direction and control of the chief officer of police of the relevant force or of the chief officer of another force), or
F55d
a National Crime Agency officer,
to investigate the complaint or matter.
4
The person appointed under this paragraph to investigate any complaint or F5conduct matter—
a
in the case of an investigation relating to any conduct of a chief officer, must not be a person under that chief officer’s direction and control; and
b
in the case of an investigation relating to any conduct of the Commissioner of Police of the Metropolis or of the Deputy Commissioner of Police of the Metropolis, must be the person nominated by the Secretary of State for appointment under this paragraph.
F65
The person appointed under this paragraph to investigate any DSI matter—
a
in relation to which the relevant officer is a chief officer, must not be a person under that chief officer's direction and control;
b
in relation to which the relevant officer is the Commissioner of Police of the Metropolis or the Deputy Commissioner of Police of the Metropolis, must be the person nominated by the Secretary of State for appointment under this paragraph.
F83...
Sch. 3 para. 17 and cross-heading omitted (31.1.2017 for specified purposes) by virtue of Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 17
F8317
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Investigations F80directed by the F240Director General
Word in Sch. 3 para. 18 cross-heading substituted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 18
I3C318
1
F982
On being given notice of that determination, the appropriate authority shall, if it has not already done so, appoint—
a
a person serving with the police (whether under the direction and control of the chief officer of police of the relevant force or of the chief officer of another force), or
b
a National Crime Agency officer,
to investigate the complaint or matter.
2A
2B
Where at any time the F240Director General is not satisfied with the person investigating, the F240Director General may require the appropriate authority, as soon as reasonably practicable after being required to do so—
a
to select another person falling within sub-paragraph (2)(a) or (b) to investigate the complaint or matter, and
b
to notify the F240Director General of the person selected.
2C
Sub-paragraph (2B) applies whether the person investigating was appointed—
a
b
under sub-paragraph (2) (including where the appointment was approved by the F240Director General in accordance with sub-paragraph (2A)), or
c
under sub-paragraph (2D)(a).
2D
Where a selection made in pursuance of a requirement under sub-paragraph (2B) has been notified to the F240Director General—
a
2E
A person appointed under this paragraph to investigate any complaint or conduct matter—
a
in the case of an investigation relating to any conduct of a chief officer, must not be a person under that chief officer's direction and control, and
b
in the case of an investigation relating to any conduct of the Commissioner of Police of the Metropolis or of the Deputy Commissioner of Police of the Metropolis, must be a person nominated by the Secretary of State for appointment under this paragraph (and approved for appointment in accordance with sub-paragraph (2A) (if required) or (2D)(a)).
2F
A person appointed under this paragraph to investigate any DSI matter—
a
in relation to which the relevant officer is a chief officer, must not be a person under that chief officer's direction and control, and
b
in relation to which the relevant officer is the Commissioner of Police of the Metropolis or the Deputy Commissioner of Police of the Metropolis, must be a person nominated by the Secretary of State for appointment under this paragraph (and approved for appointment in accordance with sub-paragraph (2A) (if required) or (2D)(a)).
3
The person appointed to investigate the complaint or matter shall, in relation to that investigation, be under the direction and control of the F240Director General.
F994
The person appointed to investigate the complaint or matter shall keep the F240Director General informed of the progress of the investigation.
Investigations by the F240Director GeneralF79...
Word in Sch. 3 para. 19 heading omitted (31.1.2017 for specified purposes, 8.1.2018 in so far as not already in force) by virtue of Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 9 para. 56(7)(a); S.I. 2017/1249, reg. 2 (with reg. 3)
I4C419
1
F1042
The Director General must designate both—
a
a person to take charge of the investigation, and
b
such members of the Office's staff as are required by the Director General to assist the person designated to take charge of the investigation.
2A
The person designated under sub-paragraph (2) to take charge of an investigation must be—
a
the Director General acting personally, or
b
a person who is authorised to exercise the function of taking charge of the investigation on behalf of the Director General by virtue of paragraph 6A of Schedule 2 (delegation of Director General's functions).
3
The person designated under sub-paragraph (2) to be the person to take charge of an investigation relating to any conduct of the Commissioner of Police of the Metropolis or of the Deputy Commissioner of Police of the Metropolis must be the person nominated by the Secretary of State to be so designated under that sub-paragraph.
F93A
The person designated under sub-paragraph (2) to be the person to take charge of an investigation of a DSI matter in relation to which the relevant officer is the Commissioner of Police of the Metropolis or the Deputy Commissioner of Police of the Metropolis must be the person nominated by the Secretary of State to be so designated under that sub-paragraph.
C134
A F105person who—
a
is designated under sub-paragraph (2) in relation to any investigation, but
b
does not already, by virtue of section 97(8) of the 1996 Act, have all the powers and privileges of a constable throughout England and Wales and the adjacent United Kingdom waters,
shall, for the purposes of the carrying out of the investigation and all purposes connected with it, have all those powers and privileges throughout England and Wales and those waters.
5
A F106person designated under sub-paragraph (2) who is not a constable shall not, as a result of sub-paragraph (4), be treated as being in police service for the purposes of—
a
section 280 of the Trade Union and Labour Relations (Consolidation) Act 1992 (c. 52) (person in police service excluded from definitions of “worker” and “employee”); or
b
section 200 of the Employment Rights Act 1996 (c. 18) (certain provisions of that Act not to apply to persons in police service).
6
The Secretary of State may by order F60provide that—
a
such provisions of the 1984 Act relating to investigations of offences conducted by police officers as may be specified in the order, and
b
such provisions of a code of practice under section 60, 60A or 66 of that Act as may be so specified,
shall apply.
F596A
An order under sub-paragraph (6) may, in particular, provide that where a provision applied by the order allows a power to be exercised only if an authorisation is given by a police officer of or above a particular rank, the authorisation may be given by a F107the Director General or a member of the Office's staff of or above a specified grade.
7
References in this paragraph to the powers and privileges of a constable—
a
are references to any power or privilege conferred by or under any enactment (including one passed after the passing of this Act) on a constable; and
F100aa
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
b
shall have effect as if every such power were exercisable, and every such privilege existed, throughout England and Wales and the adjacent United Kingdom waters (whether or not that is the case apart from this sub-paragraph).
8
In this paragraph “United Kingdom waters” means the sea and other waters within the seaward limits of the United Kingdom’s territorial sea.
F69Investigations by the F240Director General: power to serve information notice
19ZA
1
2
But an information notice must not require a person—
a
to provide information that might incriminate the person;
b
to provide an item subject to legal privilege within the meaning of the Police and Criminal Evidence Act 1984 (see section 10 of that Act);
c
to make a disclosure that would be prohibited by Part 1 of the Regulation of Investigatory Powers Act 2000;
d
to provide information that was provided to the person by, or by an agency of, the government of a country or territory outside the United Kingdom where that government does not consent to the disclosure of the information.
3
Neither must an information notice require a postal or telecommunications operator (within the meaning of Chapter 2 of Part 1 of the Regulation of Investigatory Powers Act 2000) to provide communications data (within the meaning of that Chapter).
4
An information notice must—
a
specify or describe the information that is required by the F240Director General and the form in which it must be provided;
b
specify the period within which the information must be provided;
c
give details of the right of appeal against the information notice under paragraph 19ZC.
5
The period specified under sub-paragraph (4)(b) must not end before the end of the period within which an appeal can be brought against the notice and, if such an appeal is brought, the information need not be provided pending the determination or withdrawal of the appeal.
6
The F240Director General may cancel an information notice by written notice to the person on whom it was served.
F69Failure to comply with information notice
19ZB
1
If a person who has received an information notice—
a
fails or refuses to provide the information required by the notice, or
b
knowingly or recklessly provides information in response to the notice that is false in a material respect,
the F240Director General may certify in writing to the High Court that the person has failed to comply with the information notice.
2
The High Court may then inquire into the matter and, after hearing any witness who may be produced against or on behalf of the person, and after hearing any statement offered in defence, deal with the person as if the person had committed a contempt of court.
F69Appeals against information notices
19ZC
1
A person on whom an information notice is served may appeal against the notice to the First-tier Tribunal on the ground that the notice is not in accordance with the law.
2
If the Tribunal considers that the notice is not in accordance with the law—
a
it must quash the notice, and
b
it may give directions to the F240Director General in relation to the service of a further information notice.
F69Sensitive information: restriction on further disclosure
F11419ZD
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F71Investigations by the F240Director General: power of seizure
Sch. 3 paras. 19ZE-19ZH and cross-headings inserted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), ss.20(1), 183(1)(5)(e)
19ZE
1
The powers conferred by this paragraph are exercisable by a person—
a
who is designated under paragraph 19(2) in relation to an investigation (the “designated person”), and
b
who is lawfully on any premises for the purposes of the investigation.
2
The designated person may seize anything which is on the premises if the designated person has reasonable grounds for believing—
a
that it is evidence relating to the conduct or other matter to which the investigation relates, and
b
that it is necessary to seize it in order to prevent the evidence being concealed, lost, altered or destroyed.
3
The designated person may require any information which is stored in any electronic form and is accessible from the premises to be produced in a form in which it can be taken away and in which it is visible and legible, or from which it can readily be produced in a visible and legible form, if the designated person has reasonable grounds for believing—
a
that it is evidence relating to the conduct or other matter to which the investigation relates, and
b
that it is necessary to do so in order to prevent the evidence being concealed, lost, tampered with or destroyed.
4
The powers conferred by this paragraph do not authorise the seizure of an item which the designated person exercising the power has reasonable grounds for believing to be an item subject to legal privilege within the meaning of the 1984 Act (see section 10 of that Act).
5
Where a designated person has the power to seize a thing or require information to be produced under this paragraph and under section 19 of the 1984 Act (by virtue of section 97(8) of the 1996 Act or paragraph 19(4)), the designated person is to be treated for all purposes as acting in exercise of the power conferred by section 19 of the 1984 Act.
6
In this paragraph “premises” has the same meaning as in the 1984 Act (see section 23 of that Act).
Further provision about seizure under paragraph 19ZE
19ZF
1
This paragraph applies where a designated person seizes anything under paragraph 19ZE(2).
2
The designated person must provide a notice in relation to the thing seized if requested to do so by a person showing himself—
a
to be the occupier of the premises on which it was seized, or
b
to have had custody or control of it immediately before the seizure.
3
The notice must state what has been seized and the reason for its seizure.
4
The notice must be provided within a reasonable time from the making of the request for it.
5
In this paragraph “designated person” has the same meaning as in paragraph 19ZE.
Investigations by the F240Director General: power of retention
19ZG
1
This paragraph applies to anything which, for the purposes of an investigation in accordance with paragraph 19—
a
has been seized under paragraph 19ZE(2) or taken away following a requirement imposed under paragraph 19ZE(3), or
b
is otherwise lawfully in the possession of the F240Director General.
2
Anything to which this paragraph applies may be retained by the F240Director General for as long as is necessary in all the circumstances, including (amongst other things) so that it may be used as evidence in criminal or disciplinary proceedings or in an inquest held under Part 1 of the Coroners and Justice Act 2009.
3
For the purposes of sub-paragraph (2), the retention of anything to which this paragraph applies is not necessary if having a photograph or copy of the thing would suffice (and the F240Director General may arrange for the thing to be photographed or copied before it ceases to be retained).
Further provision about things retained under paragraph 19ZG
19ZH
1
This paragraph applies to anything which—
a
has been seized (whether under paragraph 19ZE(2) or otherwise), and
b
is being retained by the F240Director General under paragraph 19ZG.
2
If a request for permission to be granted access to a thing to which this paragraph applies is made to the F240Director General by—
a
a person who had custody or control of the thing immediately before it was seized, or
b
someone acting on behalf of such a person,
3
Sub-paragraph (4) applies if a request for a photograph or copy of a thing to which this paragraph applies is made to the F240Director General by—
a
a person who had custody or control of the thing immediately before it was seized, or
b
someone acting on behalf of such a person.
4
The F240Director General must either—
a
allow the person who made the request access to the thing under the supervision of a member of the F116Office's staff for the purpose of photographing or copying it, or
b
arrange for the thing to be photographed or copied.
5
6
The F240Director General is not obliged to do anything in response to a request under sub-paragraph (2) or (3) if the F240Director General has reasonable grounds for believing that to do so would prejudice—
a
any investigation being carried out in accordance with this Schedule, or
b
any criminal or disciplinary proceedings or any inquest held under Part 1 of the Coroners and Justice Act 2009.
F42Special procedure where investigation relates to police officer or special constable
Sch. 3 paras. 19A-19E inserted (3.11.2008 for the purpose of making regulations and 1.12.2008 otherwise) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 5 (with s. 14(1)); S.I. 2008/2712, art. 2, Sch. para. 17(b) (subject to arts. 3, 4); S.I. 2008/2993, art. 2(1)(i)(ii) (with art. 3)
F7019A
1
This paragraph applies to an investigation where condition A, B or C is satisfied.
2
Condition A is that—
a
the investigation is an investigation of a complaint, and
b
during the course of the investigation it appears to the person investigating F101or, in the case of an investigation by a designated person under paragraph 19, the Director General, that there is an indication that a member of a police force, or a special constable, to whose conduct the investigation relates may have committed a criminal offence or behaved in a manner which would justify the bringing of disciplinary proceedings.
3
Condition B is that—
a
the investigation is an investigation of a complaint being carried out by a person appointed under paragraph 18, and
b
during the course of the investigation the F240Director General determines that there is an indication that a member of a police force, or a special constable, to whose conduct the investigation relates may have committed a criminal offence or behaved in a manner which would justify the bringing of disciplinary proceedings.
4
Condition C is that—
a
the investigation is an investigation of a recordable conduct matter, and
b
the investigation relates to the conduct of a member of a police force or a special constable.
5
Where this paragraph applies to an investigation the person investigating must proceed with the investigation in accordance with regulations made by the Secretary of State under this sub-paragraph.
6
Regulations under sub-paragraph (5) may (amongst other things) make provision—
a
as to the procedure to be followed in connection with any interview of the person concerned, including provision requiring the person concerned to attend an interview;
b
requiring the person investigating to supply information to the appropriate authority.
7
In this paragraph “the person concerned”—
a
in relation to an investigation of a complaint, means the person in respect of whom it appears to the person investigating F102or, in the case of an investigation by a designated person under paragraph 19, the Director General, that there is the indication mentioned in sub-paragraph (2)(b) or (as the case may be) the person in respect of whom the F240Director General determines that there is the indication mentioned in sub-paragraph (3)(b);
b
in relation to an investigation of a recordable conduct matter, means the person to whose conduct the investigation relates.
Assessment of seriousness of conduct under investigation
F7019B
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Duty to consider submissions from person whose conduct is being investigated
F7019C
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Interview of person whose conduct is being investigated
F7019D
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Duty to provide certain information to appropriate authority
F7019E
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F54Interview of persons serving with the police etc during certain investigations
Sch. 3 para. 19F and cross-heading inserted (19.12.2012) by Police (Complaints and Conduct) Act 2012 (c. 22), ss. 1(2), 3(3)
19F
1
This paragraph applies to an investigation of a complaint, recordable conduct matter or DSI matter which—
a
b
is carried out by F113a person designated under paragraph 19 (investigations by Director General).
2
The Secretary of State may by regulations make provision as to the procedure to be followed in connection with an interview which—
a
is held with a serving officer during the course of the investigation by the person investigating the complaint or matter F108other than, in the case of an investigation to which paragraph 19A applies, a serving officer who is the person concerned in relation to the investigation (within the meaning of paragraph 19A).
F109b
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3
Regulations under sub-paragraph (2) may in particular make provision—
a
requiring a serving officer to attend an interview,
b
for determining how the time at which an interview is to be held is to be agreed or decided,
c
about the information that must be provided to a serving officer being interviewed,
d
for enabling a serving officer to be accompanied at the interview by a person of a prescribed description.
4
“Serving officer” means a person who—
a
is serving with the police, or
b
is serving with an additional police body.
5
A person is serving with an additional police body if the person is a member of, or is employed or otherwise engaged for the purposes of, that body (subject to sub-paragraph (6)).
6
The Secretary of State may by regulations provide, in relation to an additional police body, that a person is serving with that body only if the person—
a
is a member of, or is employed or otherwise engaged for the purposes of, that body, and
b
is of a prescribed description.
7
An “additional police body” means—
a
a body of constables which is maintained by an authority other than a local policing body and is prescribed in regulations made by the Secretary of State under this sub-paragraph, F110...
F56b
the National Crime Agency.
8
The Secretary of State must obtain the consent of the Northern Ireland Assembly before making provision in regulations under this paragraph which would be within the legislative competence of the Northern Ireland Assembly.
9
But consent under sub-paragraph (8) is not required in relation to a provision if—
a
a Bill for an Act of the Northern Ireland Assembly containing the provision would require the consent of the Secretary of State under section 8 of the Northern Ireland Act 1998, and
b
the provision does not affect, other than incidentally, a transferred matter (within the meaning of that Act).
10
Nothing in this paragraph prevents or restricts the holding of interviews to which regulations under this paragraph do not apply during the course of any investigation under this Schedule.
Restrictions on proceedings pending the conclusion of an investigation
I5C5C1420
1
No criminal or disciplinary proceedings shall be brought in relation to any matter which is the subject of an investigation in accordance with the provisions of this Schedule F10 until—
F117a
the conduct to which the investigation relates has been certified in accordance with regulations under paragraph 20A, or
F1182
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
3
The restrictions imposed by this paragraph in relation to the bringing of criminal proceedings shall not apply to the bringing of criminal proceedings by the Director of Public Prosecutions in any case in which it appears to him that there are exceptional circumstances which make it undesirable to delay the bringing of such proceedings.
F43Accelerated procedure in special cases
Sch. 3 paras. 20A-20I inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 159, 178, Sch. 11 para. 3; S.I. 2005/1521, art. 3(1)(v)
F8220A
1
This paragraph applies where—
a
at any time before the completion of an investigation of a complaint or recordable conduct matter, the person investigating F120or, in the case of an investigation by a designated person under paragraph 19, the Director General, believes that the appropriate authority would, on consideration of the matter, be likely to consider that the conditions in sub-paragraph (2) are satisfied, or
b
at any time before the completion of an investigation of a complaint or recordable conduct matter being carried out by a person appointed under paragraph 18, the F240Director General determines that the appropriate authority would, on consideration of the matter, be likely to consider that the conditions in sub-paragraph (2) are satisfied.
2
The conditions in this sub-paragraph are that—
a
there is sufficient evidence, in the form of written statements or other documents, to establish on the balance of probabilities that conduct to which the investigation relates constitutes gross misconduct, and
b
it is in the public interest for the person whose conduct it is to cease to be a member of a police force, or to be a special constable, without delay.
3
Where this paragraph applies the person investigating, the appropriate authority and F121(where the person investigating is not also the Director General carrying out an investigation under paragraph 19 personally) the F240Director General must proceed in accordance with regulations made by the Secretary of State.
4
Regulations under sub-paragraph (3) may (amongst other things) make provision—
a
for the person investigating to continue the investigation (whether to its full extent or to such lesser extent as is provided) or to stop investigating;
b
for the person investigating to submit a report on the investigation F122or, where the investigation is carried out under paragraph 19 by the Director General personally, finalise one, to a point before its completion (not being a report under paragraph 22);
c
for the conduct to which the investigation relates to be certified for the purposes of paragraph 20(1)(a).
Investigations managed or carried out by Commission: action by appropriate authority
F8220B
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Investigations managed or carried out by Commission: action by Commission
F8220C
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Investigations managed or carried out by Commission: action by Commission
F8220D
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Other investigations: action by appropriate authority
F8220E
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Other investigations: action by appropriate authority
F8220F
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
20G
F13. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Special cases: recommendation or direction of Commission
F8220H
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Special cases: recommendation or direction of Commission
F8220I
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F84...
Sch. 3 para. 21 and cross-heading omitted (31.1.2017 for specified purposes) by virtue of Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 24
F8421
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F44Procedure where conduct matter is revealed during investigation of DSI matter
Sch. 3 para. 21A inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 20; S.I. 2005/1521, art. 3(1)(w)
C621A
1
If during the course of an investigation of a DSI matter it appears to a person appointed under paragraph 18 F127... that there is an indication that a person serving with the police (“the person whose conduct is in question”) may have—
a
committed a criminal offence, or
b
behaved in a manner which would justify the bringing of disciplinary proceedings,
he shall make a submission to that effect to the F240Director General.
2
If, after considering a submission under sub-paragraph (1), the F240Director General determines that there is such an indication, F242the Director General shall—
a
notify the appropriate authority in relation to the DSI matter and (if different) the appropriate authority in relation to the person whose conduct is in question of F243the Director General's determination; and
b
send to it (or each of them) a copy of the submission under sub-paragraph (1).
F1232A
If during the course of an investigation of a DSI matter being carried out by a person appointed under paragraph 18 the F240Director General determines (without there having been a submission under sub-paragraph (1)) that there is an indication that a person serving with the police (“the person whose conduct is in question”) may have—
a
committed a criminal offence, or
b
behaved in a manner which would justify the bringing of disciplinary proceedings,
F1282B
If during the course of an investigation of a DSI matter being carried out by a person designated under paragraph 19 the Director General determines that there is an indication that a person serving with the police (“the person whose conduct is in question”) may have—
a
committed a criminal offence, or
b
behaved in a manner which would justify the bringing of disciplinary proceedings,
the Director General must proceed under sub-paragraph (2C).
2C
The Director General must—
a
prepare a record of the determination,
b
notify the appropriate authority in relation to the DSI matter and (if different) the appropriate authority in relation to the person whose conduct is in question of the determination, and
c
send to it (or each of them) a copy of the record of the determination prepared under paragraph (a).
3
If during the course of an investigation of a DSI matter it appears to a person appointed under paragraph 16 F125... that there is an indication that a person serving with the police (“the person whose conduct is in question”) may have—
a
committed a criminal offence, or
b
behaved in a manner which would justify the bringing of disciplinary proceedings,
he shall make a submission to that effect to the appropriate authority in relation to the DSI matter.
4
If, after considering a submission under sub-paragraph (3), the appropriate authority determines that there is such an indication, it shall—
a
if it is not the appropriate authority in relation to the person whose conduct is in question, notify that other authority of its determination and send to that authority a copy of the submission under sub-paragraph (3); and
b
notify the F240Director General of its determination and send to it a copy of the submission under sub-paragraph (3).
5
Where the appropriate authority in relation to the person whose conduct is in question—
F129aa
is notified of a determination by the Director General under sub-paragraph (2C),
b
(in a case where it is also the appropriate authority in relation to the DSI matter) makes a determination under sub-paragraph (4), or
c
(in a case where it is not the appropriate authority in relation to the DSI matter) is notified by that other authority of a determination by it under sub-paragraph (4),
it shall record the matter under paragraph 11 as a conduct matter F14. . . .
F156
Where a DSI matter is recorded under paragraph 11 as a conduct matter by virtue of sub-paragraph (5)—
a
b
the other provisions of this Schedule shall apply in relation to that matter accordingly.
Final reports on investigations: complaints, conduct matters and certain DSI matters
I6C7F1622
1
This paragraph applies on the completion of an investigation of—
a
a complaint,F17 or
b
a conduct matter, or
c
F18. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
A person appointed under paragraph 16 shall submit a report on his investigation to the appropriate authority.
3
A person appointed under paragraph F133... 18 shall—
a
submit a report on his investigation to the F240Director General; and
b
send a copy of that report to the appropriate authority.
4
In relation to F19a matter that was formerly a DSI matter but has been recorded as a conduct matter in pursuance of paragraph 21A(5), the references in sub-paragraphs (2) and (3) of this paragraph to the appropriate authority are references to—
a
the appropriate authority in relation to the DSI matter; and
b
(where different) the appropriate authority in relation to the person whose conduct is in question.
F1345
A person designated under paragraph 19 as the person in charge of an investigation must—
a
submit a report on the investigation to the Director General, or
b
where the person in charge of the investigation is the Director General acting personally, complete a report on the investigation.
6
A person submitting F135or, in the case of an investigation under paragraph 19 by the Director General personally, completing a report under this paragraph shall not be prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in his report as he thinks fit.
F1306A
Where a person would contravene section 21A by submitting, or (as the case may be) sending a copy of, a report in its entirety to the appropriate authority under sub-paragraph (2) or (3)(b), the person must instead submit, or send a copy of, the report after having removed or obscured the information which by virtue of section 21A the person must not disclose.
F207
The Secretary of State may by regulations make provision requiring a report on an investigation F132to which paragraph 19A applies—
a
to include such matters as are specified in the regulations;
b
to be accompanied by such documents or other items as are so specified.
8
A person who has submitted F136or, in the case of an investigation under paragraph 19 by the Director General personally, completed a report under this paragraph on an investigation F132to which paragraph 19A applies must supply the appropriate authority with such copies of further documents or other items in that person's possession as the authority may request F131except so far as the person is prevented from doing so by section 21A.
9
The appropriate authority may only make a request under sub-paragraph (8) in respect of a copy of a document or other item if the authority—
a
considers that the document or item is of relevance to the investigation, and
b
requires a copy of the document or the item for either or both of the purposes mentioned in sub-paragraph (10).
10
Those purposes are—
a
complying with any obligation under regulations under section 50(3) or 51(2A) of the 1996 Act which the authority has in relation to any person to whose conduct the investigation related;
b
ensuring that any such person receives a fair hearing at any disciplinary proceedings in respect of any such conduct of his.
Action by the F240Director General in F74relation to an investigation report F21under paragraph 22
Word in Sch. 3 para. 23 cross-heading substituted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 9 para. 56(15)
Words in Sch. 3 para. 23 heading inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 22(1); S.I. 2005/1521, art. 3(1)(w)
I7C823
1
This paragraph applies where—
a
F1391A
But if, following the submission F147or completion of such a report, the F240Director 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) F140(read with sub-paragraph (2ZA)) do not apply, or cease to apply, in relation to that report.
2
On receipt of the report F148(or on its completion by the Director General), the F240Director 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;
F24b
shall determine whether the conditions set out in sub-paragraphs (2A) and (2B) are satisfied in respect of the report;
c
F1412ZA
Where the F240Director 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 F240Director General must instead send a copy of the report after having removed or obscured the information which by virtue of section 21A the F240Director General must not disclose.
F272A
The first condition is that the report indicates that a criminal offence may have been committed by a person F152(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 F240Director 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 F240Director 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).
F1374
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5
F28The 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.
F1425A
On receipt of the report F149(or on its completion by the Director General), the F240Director 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 F240Director 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 F242the Director General is required to make under sub-paragraph (2)(b) or paragraph (b) of this sub-paragraph,
d
notify the appropriate authority of F243the Director General's determination under paragraph (b) and any determination under paragraph (c),
e
where the F240Director 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 F241Director 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 F240Director 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 F240Director 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 F240Director General of the determination it makes.
5F
F1436
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1437
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1438
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1389
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F13810
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F13811
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F13812
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F2913
Action by the appropriate authority in response to an investigation report F30under paragraph 22
Words in Sch. 3 para. 24 heading inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 23(1); S.I. 2005/1521, art. 3(1)(w)
I8C924
1
This paragraph applies where—
a
F161b
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
On receipt of the report F162..., the appropriate authority—
F32a
shall determine whether the conditions set out in sub-paragraphs (2A) and (2B) are satisfied in respect of the report;
b
c
shall notify the persons mentioned in sub-paragraph (5) of its determination under paragraph (a) and of any action taken by it under paragraph (b).
F352A
The first condition is that the report indicates that a criminal offence may have been committed by a person F156(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 appropriate authority, 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 appropriate authority 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).
F1534
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
5
F36The 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.
F1635A
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1635B
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1635C
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F376
On receipt of the report F164..., the appropriate authority shall also—
a
in accordance with regulations under section 50 or 51 of the 1996 Act, determine—
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, and
F49ia
whether or not any such person's performance is unsatisfactory, and
ii
what action (if any) the authority is required to, or will in its discretion, take in respect of the matters dealt with in the report, and
F157aa
if it 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 it is required to make by sub-paragraph (2)(a) or paragraph (a) of this sub-paragraph, and
F158b
determine what action (if any), in addition to the action mentioned in paragraph (a)(ii), the authority will in its discretion take in respect of the matters dealt with in the report.
F1596A
Where the report is a report of an investigation of a complaint and the appropriate authority is a local policing body, the appropriate authority may also, on receipt of the report, make a recommendation under paragraph 28ZA.
F1556B
It shall be the duty of the appropriate authority—
a
to take the action which it determines under sub-paragraph (6) that it is required to, or will in its discretion, take, and
b
in a case where that action consists of or includes the bringing of disciplinary proceedings, to secure that those proceedings, once brought, are proceeded with to a proper conclusion.
F1547
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1548
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1549
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F15410
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F3811
F45Final reports on investigations: other DSI matters
Sch. 3 paras. 24A-24C inserted (1.7.2005) by Serious Organised Crime and Police Act 2005 (c. 15), ss. 160, 178, Sch. 12 para. 24; S.I. 2005/1521, art. 3(1)(w)
24A
1
2
F39The person investigating shall—
a
submit a report on the investigation to the F240Director General; and
b
send a copy of that report to the appropriate authority.
F1722A
Sub-paragraph (2)(a) does not apply where the person investigating is the Director General carrying out an investigation personally under paragraph 19, but the Director General must complete a report on the investigation.
3
F1683A
Where a person would contravene section 21A by sending a copy of a report in its entirety to the appropriate authority under sub-paragraph (2)(b), the person must instead send a copy of the report after having removed or obscured the information which by virtue of section 21A the person must not disclose.
4
On receipt of the report F174(or on its completion by the Director General), the F240Director General shall determine whether the report indicates that a person serving with the police may have—
a
committed a criminal offence, or
b
behaved in a manner which would justify the bringing of disciplinary proceedings.
F1695
On receipt of the report F175(or on its completion by the Director General), the F240Director General shall also, if F242the Director 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 F242the Director General is required to make under sub-paragraph (4) or that the appropriate authority may be required to make by virtue of paragraph 24C(3).
F1676
But sub-paragraphs (4) and (5) and paragraphs 24B and 24C do not apply, or cease to apply, in relation to a report submitted under sub-paragraph (2) F176or completed under sub-paragraph (2A) if, following the submission F177or completion of the report, the F240Director General determines under section 13B that the DSI matter is to be re-investigated.
Action by the F240Director General in F75relation to an investigation report under paragraph 24A
Word in Sch. 3 para. 24B cross-heading substituted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 9 para. 56(19)
24B
1
If the F240Director General determines under paragraph 24A(4) that the report indicates that a person serving with the police may have—
a
committed a criminal offence, or
b
behaved in a manner which would justify the bringing of disciplinary proceedings,
F1781A
Sub-paragraph (3A) of paragraph 24A applies for the purposes of sub-paragraph (1) of this paragraph as it applies for the purposes of sub-paragraph (2)(b) of that paragraph.
2
F413
Where a DSI matter is recorded under paragraph 11 as a conduct matter by virtue of sub-paragraph (2)—
a
b
the other provisions of this Schedule shall apply in relation to that matter accordingly.
24C
1
F63This paragraph applies where the F240Director General determines under paragraph 24A(4) that there is no indication in the report that a person serving with the police may have—
a
committed a criminal offence, or
b
behaved in a manner which would justify the bringing of disciplinary proceedings,
F64...
F652
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F623
The F240Director General may notify the appropriate authority that it must, in accordance with regulations under section 50 or 51 of the 1996 Act, determine—
a
whether or not the performance of a person serving with the police is unsatisfactory, and
b
what action (if any) the authority will take in respect of any such person's performance.
F624
On receipt of a notification under sub-paragraph (3) the appropriate authority shall make those determinations and submit a memorandum to the F240Director General setting out the determinations the authority has made.
F625
On receipt of a memorandum under sub-paragraph (4), the F240Director General shall—
a
consider the memorandum and whether the appropriate authority has made the determinations under sub-paragraph (4) that the F240Director General considers appropriate;
b
determine whether or not to make recommendations under paragraph 27;
c
make such recommendations (if any) under that paragraph as F242the Director General thinks fit.
F78ReviewsF50... with respect to an investigation
Word in Sch. 3 para. 25 cross-heading substituted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 33
Words in Sch. 3 para. 25 heading omitted (22.11.2012) by virtue of Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 14 para. 20(1); S.I. 2012/2892, art. 2(g) (with art. 6)
I9C1025
1
This paragraph applies where a complaint has been subjected to—
a
an investigation by the appropriate authority on its own behalf; F197...
F198b
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1811A
But this paragraph does not apply where the person investigating submitted a report on the investigation under provision made by virtue of paragraph 20A(4)(b) and did not (as a result of provision made by virtue of paragraph 20A(4)(a)) submit a further report under paragraph 22(2).
1B
Where this paragraph applies, the complainant has the right to apply to the relevant review body for a review of the outcome of the complaint.
1C
The relevant review body must notify the following of an application for a review under sub-paragraph (1B)—
a
the appropriate authority,
b
every person entitled to be kept properly informed in relation to the complaint under section 21, and
c
the person complained against (if any).
F1822
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1822ZA
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1822A
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1823
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1834
Where the relevant review body so requires on the making of an application for a review under sub-paragraph (1B), the appropriate authority must provide the relevant review body with—
a
a copy of the report of the investigation, and
b
such information concerning the authority's determinations under paragraph 24 as is described in a notification given by the relevant review body to the authority.
F1844A
On a review applied for under sub-paragraph (1B), the relevant review body must determine whether the outcome of the complaint is a reasonable and proportionate outcome.
4B
In making a determination under sub-paragraph (4A), the relevant review body may review the findings of the investigation.
4C
Where the F240Director General is the relevant review body and the F240Director General finds that the outcome is not a reasonable and proportionate outcome, the F240Director General may—
a
make F243the Director General's own findings (in place of, or in addition to, findings of the investigation);
b
direct that the complaint be re-investigated;
c
make a recommendation to the appropriate authority in respect of any person serving with the police—
i
that the person has a case to answer in respect of misconduct or gross misconduct or has no case to answer in relation to the person's conduct to which the investigation related;
ii
that the person's performance is, or is not, unsatisfactory;
iii
that disciplinary proceedings of the form specified in the recommendation are brought against the person in respect of the person's conduct, efficiency or effectiveness to which the investigation related;
iv
that any disciplinary proceedings brought against that person are modified so as to deal with such aspects of that conduct, efficiency or effectiveness as may be so specified;
d
make a recommendation under paragraph 28ZA.
4D
Where the F240Director General makes a recommendation under sub-paragraph (4C)(c)—
a
the appropriate authority must notify the F240Director General whether it accepts the recommendation and (if it does) set out in the notification the steps that it is proposing to take to give effect to it, and
b
sub-paragraphs (4) to (8) and (9)(b) of paragraph 27 apply in relation to the recommendation as if it had been made under that paragraph.
4E
Where a local policing body is the relevant review body and the local policing body finds that the outcome is not a reasonable and proportionate outcome, the local policing body may—
a
make a recommendation to the appropriate authority that the complaint be re-investigated by the authority on its own behalf;
b
c
make a recommendation to the appropriate authority in respect of any person serving with the police—
i
that the person has a case to answer in respect of misconduct or gross misconduct or has no case to answer in relation to the person's conduct to which the investigation related;
ii
that the person's performance is, or is not, unsatisfactory;
iii
that disciplinary proceedings of the form specified in the recommendation are brought against the person in respect of the person's conduct, efficiency or effectiveness to which the investigation related;
iv
that any disciplinary proceedings brought against that person are modified so as to deal with such aspects of that conduct, efficiency or effectiveness as may be so specified;
d
make a recommendation under paragraph 28ZA.
4F
Sub-paragraph (4G) applies where, on a review applied for under sub-paragraph (1B), the relevant review body determines that the report of the investigation indicates that a criminal offence may have been committed by a person (if any) to whose conduct the investigation related and that—
a
the circumstances are such that, in the opinion of the relevant review body, 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 category of matters prescribed for the purposes of paragraph 24(2B)(b).
4G
Where this sub-paragraph applies—
a
b
if a local policing body is the relevant review body, the local policing body must make a recommendation to the appropriate authority that the appropriate authority—
i
notify the Director of Public Prosecutions of the determination under sub-paragraph (4F), and
ii
send the Director a copy of the report.
4H
The Secretary of State may by regulations make further provision about recommendations under sub-paragraph (4E)(a), (b) or (c) or (4G)(b).
4I
The regulations may (amongst other things) authorise the local policing body making the recommendation to require a response to the recommendation.
4J
Where this paragraph applies because the person investigating submitted a report on the investigation under provision made by virtue of paragraph 20A(4)(b) (“the first report”) and a further report under paragraph 22(2), the references in sub-paragraphs (4B) and (4C)(a) to the findings of the investigation do not include a reference to findings on the first report.
F1855
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1856
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1857
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1858
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1859
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1859ZA
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1859ZB
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1859ZC
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F1859A
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
10
The F51relevant F186review body shall give notification of F187the outcome of a review under this paragraph F188and of its reasons for the determination made under sub-paragraph (4A)—
a
to the appropriate authority F189...,
b
to the complainant;
c
to every person entitled to be kept properly informed in relation to the complaint under section 21; and
F19211
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
12
It shall be the duty of the appropriate authority to comply with any directions given to it under this paragraph.
13
The Secretary of State may by regulations make provision—
a
for the form and manner in which F193applications under sub-paragraph (1B) are to be made;
b
for the period within which any such F195application must be made; and
F194c
for the procedure to be followed by the relevant review body when carrying out a review applied for under sub-paragraph (1B).
F19614
In this paragraph references in relation to an investigation to the outcome of the complaint do not include the outcome of any criminal or disciplinary proceedings brought in relation to any matter which was the subject of the investigation.
F72Information for complainant about disciplinary recommendations
Sch. 3 para. 25A and cross-heading inserted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 35
25A
1
This paragraph applies where, on the review of the outcome of a complaint under paragraph 25, the F240Director General makes a recommendation under sub-paragraph (4C)(c) of that paragraph.
2
Where the appropriate authority notifies the F240Director General under paragraph 25(4D)(a) that the recommendation has been accepted, the F240Director General must notify the complainant and every person entitled to be kept properly informed in relation to the complaint under section 21 of that fact and of the steps that have been, or are to be taken, by the appropriate authority to give effect to it.
3
Where the appropriate authority—
a
notifies the F240Director General under paragraph 25(4D)(a) that it does not (either in whole or in part) accept the recommendation, or
b
fails to take steps to give full effect to the recommendation,
the F240Director General must determine what, if any, further steps to take under paragraph 27 as applied by paragraph 25(4D)(b).
4
The F240Director General must notify the complainant and every person entitled to be kept properly informed in relation to the complaint under section 21—
a
of any determination under sub-paragraph (3) not to take further steps, and
F81Re-investigations following a review
Sch. 3 para. 26 cross-heading substituted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 36
I10C1126
F1991
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
3
Sub-paragraphs F201(4) to (7) of paragraph 15 shall apply in relation to a determination under sub-paragraph (2) as they apply in the case of a determination under that paragraph.
F2023A
Where, following a recommendation under paragraph 25(4E)(a) in relation to a complaint, the appropriate authority determines that it is appropriate for it to re-investigate the complaint on its own behalf, sub-paragraphs (3) to (5) of paragraph 16 shall apply in relation to the re-investigation as they apply in relation to an investigation to which paragraph 16 applies.
4
The other provisions of this Schedule (including this paragraph) shall apply in relation to any re-investigation in pursuance of a direction under paragraph F20325(4C)(b)F204... F205and any re-investigation of the type described in sub-paragraph (3A) of this paragraph as they apply in relation to any investigation in pursuance of a determination under paragraph 15.
F2064A
Where the F240Director General determines under sub-paragraph (2) that the re-investigation should take the form of an investigation by the appropriate authority on its own behalf, the F240Director General may also give the appropriate authority such directions as to the handling of the matter in future as the F240Director General thinks fit.
F2075
5A
The F240Director General shall also notify the following of any determination that F242the Director General makes under this paragraph and of F243the Director General's reasons for making the determination—
a
the complainant;
b
every person entitled to be kept properly informed in relation to the complaint under section 21;
c
the person complained against (if any).
5B
The duty imposed by sub-paragraph (5A) on the F240Director General shall have effect subject to such exceptions as may be provided for by regulations made by the Secretary of State.
5C
Subsections (6) to (8) of section 20 apply for the purposes of sub-paragraph (5B) as they apply for the purposes of that section.
F2086
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Duties with respect to disciplinary proceedings F58etc
Word in Sch. 3 para. 27 heading inserted (1.10.2014) by Anti-social Behaviour, Crime and Policing Act 2014 (c. 12), s. 185(1), Sch. 11 para. 95(9)(a) (with ss. 21, 33, 42, 58, 75, 93); S.I. 2014/2454, art. 3(c)(iii)
I11C1227
1
This paragraph applies where, in the case of any investigation, the appropriate authority—
F209a
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F212b
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F2111A
But where this paragraph would otherwise apply by virtue of sub-paragraph (1)(c), it does not apply, or ceases to apply, in relation to the investigation if the F240Director General determines under section 13B that the DSI matter is to be re-investigated.
2
Subject to paragraph 20 and to any recommendations or directions under the following provisions of this paragraph, it shall be the duty of the appropriate authority—
a
to take the action F210... which is or is required to be set out in the memorandum; and
b
in a case where that action consists of or includes the bringing of disciplinary proceedings, to secure that those proceedings, once brought, are proceeded with to a proper conclusion.
F2133
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F663A
Where this paragraph applies by virtue of sub-paragraph (1)(c), the F240Director General may make a recommendation to the appropriate authority—
a
that the performance of a person serving with the police is, or is not, satisfactory;
b
that action of the form specified in the recommendation is taken in respect of the person's performance;
and it shall be the duty of the appropriate authority to notify the F240Director General whether it accepts the recommendation and (if it does) to set out in the notification the steps that it is proposing to take to give effect to it.
4
If, after the F240Director General has made a recommendation under this paragraph, the appropriate authority does not take steps to secure that full effect is given to the recommendation—
a
the F240Director General may direct the appropriate authority to take steps for that purpose; and
b
it shall be the duty of the appropriate authority to comply with the direction.
5
A direction under sub-paragraph (4) may, to such extent as the F240Director General thinks fit, set out the steps to be taken by the appropriate authority in order to give effect to the recommendation.
6
7
Where disciplinary F68or other proceedings have been brought in accordance with a recommendation or direction under this paragraph, it shall be the duty of the authority to ensure that they are proceeded with to a proper conclusion.
8
The F240Director General may at any time withdraw a direction given under this paragraph; and sub-paragraph (7) shall not impose any obligation in relation to any time after the withdrawal of the direction.
9
The appropriate authority shall keep the F240Director General informed—
a
in a case in which this paragraph applies by virtue of sub-paragraph F214(1)(c), of whatever action it takes in pursuance of its duty under sub-paragraph (2); and
b
in every case of a recommendation or direction under this paragraph, of whatever action it takes in response to that recommendation or direction.
Information for complainant about disciplinary recommendations
F21528
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
F73Recommendations by the F240Director General or a local policing body
Sch. 3 para. 28ZA and cross-heading inserted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 45
28ZA
1
A recommendation under this paragraph (for the purposes of paragraphs 6A, 23, 24 and 25) is a recommendation of a kind described in regulations made by the Secretary of State which is made with a view to remedying the dissatisfaction expressed by the complainant concerned.
2
A recommendation of a kind described in regulations under subsection (1) may (amongst other things) be a recommendation that compensation be paid.
3
The reference in subsection (1) to the complainant concerned—
a
in relation to a recommendation made by virtue of paragraph 6A(5)(b) or (6)(c), is a reference to the complainant who applied under paragraph 6A(2) for the review;
b
in relation to a recommendation made by virtue of paragraph 23(5F) or 24(6A), is a reference to the complainant whose complaint, having been investigated, resulted in the submission F231or completion of the report under paragraph 22;
c
in relation to a recommendation made by virtue of paragraph 25(4C)(d) or (4E)(d), is a reference to the complainant who applied under paragraph 25(1B) for the review.
4
The Secretary of State may by regulations make further provision about recommendations under this paragraph.
5
The regulations may (amongst other things)—
a
specify the persons to whom recommendations under this paragraph may be made;
b
authorise the person making a recommendation under this paragraph (whether the F240Director General or a local policing body) to require a response to the recommendation;
c
require the person making a recommendation under this paragraph to send a copy of the recommendation, and any response to it, to any prescribed person or person of a prescribed description.
F57Recommendations by the F240Director General
28A
1
This paragraph applies where the F240Director General has received a report F225(or otherwise completed one in relation to an investigation carried out under paragraph 19 by the Director General personally) under—
a
b
paragraph 22(5) (report on completion of investigation of complaint or conduct matter by F226or on behalf of the Director General), or
c
paragraph 24A(2) F227or (2A) (report on completion of investigation of DSI matter that is not also conduct matter).
2
This paragraph also applies where the F240Director General has made a determination on F218a review under—
b
paragraph 25 (F221review with respect to an investigation).
3
F2243A
Where this paragraph applies—
a
by virtue of sub-paragraph (1)(a) or (b) and the report is a report of an investigation of a complaint, or
b
by virtue of sub-paragraph (2),
a recommendation made under sub-paragraph (3) may not be a recommendation of a kind described in regulations made under paragraph 28ZA(1).
4
A recommendation under this paragraph may be made to any person if it is made—
a
following the receipt F228or completion of a report relating to—
i
a DSI matter,
ii
a conduct matter of a type specified in regulations, or
iii
a complaint of a type specified in regulations; or
b
following a determination on F223a review relating to a complaint of a type specified in regulations.
5
In any other case, a recommendation under this paragraph may be made only to—
a
a person serving with the police, or
b
a local policing body.
6
Where the F240Director General makes a recommendation under this paragraph, F242the Director General must also—
a
publish the recommendation, and
b
send a copy of it—
i
in a case where the recommendation is made to a local policing body, to the chief officer of the police force maintained by that body;
ii
in a case where the recommendation is made to a chief officer of a police force, to the local policing body that maintains the police force;
iii
in a case where the recommendation is made to a contractor (within the meaning of section 12(10)), to the chief officer of a police force to whom the contractor is providing services, and the local policing body that maintains the police force;
iv
in a case where the recommendation is made to a sub-contractor or an employee of a contractor, to the contractor and the persons to whom a copy must be sent under paragraph (iii);
v
in a case where the recommendation is made to an employee of a sub-contractor, to the sub-contractor, the contractor and the persons to whom a copy must be sent under sub-paragraph (iii);
vi
in any other case, to any person to whom the F240Director General thinks a copy should be sent.
7
Nothing in this paragraph affects the power of the F240Director General to make recommendations or give advice under section 10(1)(e) (whether arising under this Schedule or otherwise).
F57Response to recommendation
28B
1
A person to whom a recommendation under paragraph 28A is made must provide to the F240Director General a response in writing stating—
a
what action the person has taken or proposes to take in response to the recommendation, or
b
why the person has not taken, or does not propose to take, any action in response.
2
The person must provide the response to the F240Director General before the end of the period of 56 days beginning with the day on which the recommendation was made, unless sub-paragraph (3) applies.
3
4
But if proceedings for judicial review of the F241Director General's decision to make a recommendation are started during the period allowed by sub-paragraph (2) or (3), that period is extended by however many days the proceedings are in progress.
5
On receiving a response, the F240Director General must, within the period of 21 days beginning with the day on which the F240Director General received it—
a
publish the response, and
b
send a copy of it to any person who was sent a copy of the recommendation under paragraph 28A(6)(b),
unless the person giving the response has made representations under sub-paragraph (6).
6
7
On receiving such representations, the F240Director General may decide—
a
that the response should not be published, or that only parts of it should be published;
b
that the response should not be disclosed, or that only parts of the response should be disclosed.
8
Where, following a decision on representations, the F240Director General decides to publish or disclose a response (in whole or in part), F242the Director General must do so only after the person giving the response has been informed of the F241Director General's decision, and—
a
b
in a case where the F240Director General has decided to reject any of the representations, F242the Director General must do so—
i
within the period of 21 days beginning with the day on which the person was informed of the F241Director General's decision on the representations, but
ii
not before the end of the period of 7 days beginning with that day.
9
But if proceedings for judicial review of the F241Director General's decision to reject a representation are started during the period of 7 days referred to in sub-paragraph (8)(b)(ii)—
a
the F240Director General must not publish or disclose the response while the proceedings are in progress;
b
if the court upholds the F241Director General's decision to reject a representation, the F240Director General must publish and disclose the response (in whole or in part, as appropriate) before the end of the period of 7 days beginning with the day on which the proceedings are no longer in progress.
10
Where a local policing body or a chief officer makes a response under this paragraph, the body or officer must, at the time the F240Director General publishes the response, also publish the response (to the same extent as published by the F240Director General) and the recommendation under paragraph 28A.
11
For the purposes of this paragraph—
a
“disclosing” a response means sending a copy of it as mentioned in sub-paragraph (5)(b);
b
the period during which judicial review proceedings are in progress includes any day on which an appeal is in progress or may be brought.
F22912
This paragraph does not apply, or ceases to apply, in relation to a recommendation made by virtue of paragraph 28A(1) if the F240Director General determines under section 13B that the complaint, recordable conduct matter or DSI matter that the F240Director General received a report on F230(or otherwise completed one on in relation to an investigation carried out under paragraph 19 by the Director General personally) is to be re-investigated.
F46Minor definitions
Sch. 3 para. 29 inserted (3.11.2008 for certain purposes and 1.12.2008 otherwise) by Criminal Justice and Immigration Act 2008 (c. 4), ss. 127, 153, Sch. 23 para. 19 (with s. 14(1)); S.I. 2008/2712, art. 2, Sch. para. 17(b) (subject to arts. 3, 4); S.I. 2008/2993, art. 2(1)(i)(ii) (subject to art. 3)
29
In this Part of this Schedule—
F232...
F53“gross misconduct” means a breach of the Standards of Professional Behaviour that is so serious as to justify dismissal;
“misconduct” means a breach of the Standards of Professional Behaviour;
“the person investigating”, in relation to a complaint, recordable conduct matter or DSI matter, means the person appointed or designated to investigate that complaint or matter;
“prescribed” means prescribed by regulations made by the Secretary of State;
“the Standards of Professional Behaviour” means the standards so described in, and established by, regulations made by the Secretary of State.
F76Reviews: the relevant F77review body
Word in Sch. 3 para. 30 cross-heading substituted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 38(a)
Word in Sch. 3 para. 30 cross-heading substituted (31.1.2017 for specified purposes) by Policing and Crime Act 2017 (c. 3), s. 183(1)(5)(e), Sch. 5 para. 38(b)
30
1
a
F236b
the local policing body which is the relevant local policing body in relation to the relevant complaint, in any other case.
F2372
In this paragraph and paragraphs 31 and 32—
“relevant complaint”, in relation to a review, means the complaint to which the review relates;
“relevant local policing body”, in relation to a relevant complaint where a chief officer is the appropriate authority in relation to the complaint, means the local policing body for the area of the police force of which the chief officer is a member;
“review” means a review applied for under paragraph 6A(2) or 25(1B).
F23831
1
This paragraph applies in a case where—
a
an application for a review is made to the F240Director General, and
b
a local policing body is the relevant review body in relation to the review.
2
The F240Director General must—
a
forward the application to the local policing body, and
b
notify the person who applied for the review—
i
that the local policing body is the relevant review body, and
ii
the application has been forwarded.
3
The application is to be taken to have been—
a
made to the local policing body, and
b
so made at the time when it is forwarded to the local policing body.
F23932
1
This paragraph applies in a case where—
a
an application for a review is made to a local policing body, and
b
the F240Director General is the relevant review body in relation to the review.
2
The local policing body must—
a
forward the application to the F240Director General, and
b
notify the person who applied for the review—
i
that the F240Director General is the relevant review body, and
ii
the application has been forwarded.
3
The application is to be taken to have been—
a
made to the F240Director General, and
b
so made at the time when it is forwarded to the F240Director General.
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)