The Police (Complaints and Misconduct) Regulations 2012

EXPLANATORY NOTE

(This note is not part of the Regulations)

These Regulations consolidate the Police (Complaints and Misconduct) Regulations 2004 (“the 2004 Regulations”) and the various Regulations that have amended the 2004 Regulations. They also make modifications to the provisions of the 2004 Regulations in order to reflect amendments made to the Police Reform Act 2002 (“the 2002 Act”) by the Police Reform and Social Responsibility Act 2011 (“the 2011 Act”). They further modify the provisions of the 2004 Regulations in order to make improvements to the efficiency and effectiveness of the police complaints system.

The provisions of the 2004 Regulations are re-enacted in these Regulations as follows:

2004 Regulations	These Regulations
Regulation 1	Regulation 1
Regulation 2	Regulation 4
Regulation 3	Regulation 5
Regulation 4	Regulation 6
Regulation 5	Regulation 7
Regulation 5A(1)	Regulation 8
Regulation 6	Regulation 9
Regulation 7	Regulation 10
Regulation 8	Regulation 11
Regulation 10(2)	Regulation 11
Regulation 11	Regulation 12
Regulation 12	Regulation 13
Regulation 13	Regulation 14
Regulation 14	Regulation 15
Regulation 14A(3)	Regulation 16
Regulation 14B	Regulation 17
Regulation 14C	Regulation 18
Regulation 14D	Regulation 19
Regulation 14E	Regulation 20
Regulation 15	Regulation 21
Regulation 16	Regulation 22
Regulation 17	Regulation 23
Regulation 18	Regulation 24
Regulation 19	Regulation 25
Regulation 20	Regulation 26
Regulation 21	Regulation 27
Regulation 22	Regulation 28
Regulation 23	Regulation 29
Regulation 24	Regulation 31
Regulation 25	Regulation 32
Regulation 26	Regulation 33
Regulation 27	Regulation 34
Regulation 28	Regulation 35
Regulation 30(4)	Regulation 36

These Regulations make the following modifications to the provisions in the 2004 Regulations:

In regulation 1(2) of these Regulations (interpretation), the definition of “appropriate authority” and “police staff member” are changed to reflect changes made by the 2011 Act. Definitions of “disciplinary proceedings” and “misconduct proceedings” are inserted. The former term refers to proceedings in relation to unsatisfactory performance as well as misconduct.

Regulation 3 of these Regulations (recording of complaints) specifies descriptions of complaints that do not have to be recorded by an appropriate authority(5). The descriptions are similar to those specified in regulation 3 of the 2004 Regulations for the purposes of dispensation by the Independent Police Complaints Commission (“the Commission”) from the requirements of Schedule 3 to the 2002 Act. There is an additional description of complaint; a complaint which is fanciful, in the sense that no reasonable person could lend any credence to it.

Regulation 4 of these Regulations (reference of complaints to the Commission) re-enacts regulation 2 of the 2004 Regulation with the change that complaints must be referred to the Commission without delay, and in any event not later than specified deadlines which are the same as those imposed by regulation 2 of the 2004 Regulations. Regulations 7 and 8 of these Regulations incorporate the same changes in relation to the referral of conduct matters and death or serious injury matters, respectively.

Regulation 5 of these Regulations (disapplication of requirements of Schedule 3) re-enacts regulation 3 of the 2004 Regulations but reflects the fact that paragraph 7 of Schedule 3 to the 2002 Act now refers to disapplication of the provisions of that Schedule rather than dispensation, and the provisions of the Schedule can now be disapplied by the appropriate authority without making an application to the Commission in some circumstances(6).

Regulation 6 of these Regulations (local resolution of complaints) re-enacts regulation 4 of the 2004 Regulations with the change that a record of the outcome of the local resolution of a complaint is to be sent to the complainant automatically, rather than on application, and at the same time the appropriate authority is to inform the complainant of his right of appeal against the outcome. The fact that the person complained against chose not to comment on the complaint does not have to be recorded.

Regulation 7 of these Regulations (recording and reference of conduct matters) re-enacts regulation 5 of the 2004 Regulations, while also specifying a repetitious conduct matter as a description of matters that do not have to be recorded by the appropriate authority, provided that the matter does not have to be recorded because it is specified as a description of matter that must be referred to the Commission(7).

Regulation 10 of these Regulations (power to discontinue an investigation) re-enacts regulation 7 of the 2004 Regulations with changes to reflect the fact that investigations of complaints and conduct matters can now be discontinued by the appropriate authority without an order from the Commission, in certain circumstances(8).

Regulation 11 of these Regulations (appeals) consolidates regulations 8 and 10 of the 2004 Regulations, providing a single provision applicable to the rights of appeal to which those regulations applied, and to the new rights of appeal against a decision to disapply the requirements of Schedule 3 to the 2002 Act, against the outcome of a complaint that is subjected to local resolution or handled otherwise than in accordance with that Schedule and against a decision to discontinue an investigation of a complaint(9).

Regulation 12 of these Regulations (manner in which duties to provide information are to be performed) re-enacts regulation 11 of the 2004 Regulations with the change that, where disciplinary proceedings are taken in respect of matters dealt with in an investigation report, the appropriate authority is now required to notify the Commission, as well as the complainant and any interested person, of the outcome of the proceedings, including the fact and outcome of any appeal.

Regulation 24 of these Regulations (appointment of person to carry out investigations) re-enacts regulation 18 of the 2004 Regulations with the change that the prohibition on the appointment of an investigator who is the chief officer or a member of the same police force as the person being investigated, or who works under the management of that person, does not apply where the investigation is of a complaint in relation to a direction and control matter. Further, where the complaint is in relation to a direction and control matter, the fact that a person falls into one of these categories does not of itself provide reasonable cause for concern as to whether the person could act impartially (which would otherwise bar the person from appointment as investigator). In relation to the first of these changes, where the person being investigated is a chief officer, paragraphs 16(4), 17(6) and 18(2) of Schedule 3 to the 2002 Act prohibit the appointment of an investigator who is under the direction and control of that chief officer in any event.

Regulations 27 (complaints or conduct matters concerning a person who has subsequently ceased to serve with the police) and 28 (complaints or conduct matters concerning a person whose identity is unascertained) of these Regulations re-enact regulations 21 and 22 of the 2004 Regulations respectively, with the change that they apply to conduct matters as well as complaints.

Regulation 30 of these Regulations (relevant appeal body) specifies the descriptions of complaint in respect of which the Commission, rather than the chief officer of police, is the relevant appeal body(10).

Regulation 33 of these Regulations (delegation of powers and duties by chief officer) re-enacts regulation 26 of the 2004 Regulations with the change that it allows powers and duties to be delegated to a member of the police force of at least the rank of chief inspector (or a police staff member of equivalent rank), except in a case where the person whose conduct is in question is a senior officer. In that case, powers and duties can be delegated to another senior officer (or the police staff equivalent).

Regulation 36 of these Regulations (disciplinary proceedings for police staff) changes the way that disciplinary proceedings are defined for the purposes of Part 2 of the 2002 Act. Proceedings for misconduct continue to be classed as disciplinary proceedings, but proceedings for unsatisfactory performance are now also classed as disciplinary proceedings for the purposes of particular provisions of the 2002 Act that concern the giving of advice, recommendations and directions by the Commission. This mirrors the position achieved for police officers by regulations made under sections 50 and 51 of the Police Act 1996.

These Regulations make further minor drafting or consequential changes in re-enacting the provisions of the 2004 Regulations.

(1)

Regulation 5A of the 2004 Regulations was inserted by S.I. 2006/1406.

(2)

Regulation 9 of the 2004 Regulations concerned appeals under paragraph 9 of Schedule 3 to the 2002 Act against the conduct of local resolution of complaints. This right of appeal has been replaced with a right of appeal against the outcome of the local resolution – see paragraph 18 of Schedule 14 to the 2011 Act. Accordingly regulation 9 of the 2004 Regulations has not been re-enacted, but regulation 11 of these Regulations concerns the new right of appeal.

(3)

Regulations 14A to 14E of the 2004 Regulations were inserted by S.I. 2008/2866.

(4)

Regulation 29 of the 2004 Regulations was revoked by S.I. 2006/594.

(5)

See paragraph 2(8) of Schedule 3 to the 2002 Act, inserted by paragraph 8(5) of Schedule 14 to the 2011 Act.

(6)

See the amendments made to paragraph 7 of Schedule 3 to the 2002 Act by paragraph 10 of Schedule 14 to the 2011 Act.

(7)

See paragraphs 10 and 11 of Schedule 3 to the 2002 Act, as amended by paragraphs 11 and 12 of Schedule 14 to the 2011 Act.

(8)

See the amendments made to paragraph 21 of Schedule 3 to the 2002 Act by paragraph 13 of Schedule 14 to the 2011 Act.

(9)

See the amendments made to Schedule 3 to the 2002 Act by paragraphs 15 to 20 of Schedule 14 to the 2011Act.

(10)

See paragraph 30 of Schedule 3 to the 2002 Act, inserted by paragraph 22 of Schedule 14 to the 2011 Act.