C16C18C17C11C12C13C14C15Part 2Complaints and Misconduct
Pt. 2 applied (with modifications) (22.11.2012) by The Police (Complaints and Misconduct) Regulations 2012 (S.I. 2012/1204), regs. 1(1), 35(1) (with reg. 35(2))
Pt. 2 applied (with modifications) (22.11.2012) by The Police (Complaints and Misconduct) Regulations 2012 (S.I. 2012/1204), regs. 1(1), 27
Pt. 2 (ss. 9-29) applied (with modifications) (1.4.2004) by The Police (Complaints and Misconduct) Regulations 2004 (S.I. 2004/643), regs. 21, 29, 30
Pt. 2 (ss. 9-29) applied (1.4.2004) by The Police (Complaints and Misconduct) Regulations 2004 (S.I. 2004/643), reg. 28
Pt. 2 (ss. 9-29) excluded (1.4.2004) by The Independent Police Complaints Commission (Transitional Provisions) Order 2004 (S.I. 2004/671), arts. 2(2), 3
Pt. 2 (ss. 9-29) excluded (E.W.) (28.12.2005) by The Revenue and Customs (Complaints and Misconduct) Regulations 2005 (S.I. 2005/3311), regs. 3(7), 8, 9
Pt. 2 (ss. 9-29): power to apply conferred (7.4.2005 at 5.45 p.m.) by Commissioners for Revenue and Customs Act 2005 (c. 11), ss. 28(2)(a), 53; S.I. 2005/1126, art. 2
Co-operation, assistance and information
C115C18C17 General duties of F34local policing bodies, chief officers and inspectors
1
It shall be the duty of—
a
every F38local policing body maintaining a police force,
b
the chief officer of police of every police force, and
c
every inspector of constabulary carrying out any of his functions in relation to a police force,
to ensure that it or he is kept informed, in relation to that force, about all matters falling within subsection (2).
F11A
It shall be the duty of the Serious Organised Crime Agency to ensure that it is kept informed, in relation to the Agency, about all matters falling within subsection (2).
F21B
It shall be the duty of the National Policing Improvement Agency to ensure that it is kept informed, in relation to the Agency, about all matters falling within subsection (2).
2
Those matters are—
a
matters with respect to which any provision of this Part has effect;
b
anything which is done under or for the purposes of any such provision; and
c
any obligations to act or refrain from acting that have arisen by or under this Part but have not yet been complied with, or have been contravened.
F632A
Subsection (2B) applies in a case where it appears to a local policing body that—
a
an obligation to act or refrain from acting has arisen by or under this Part,
b
that obligation is an obligation of the chief officer of police of the police force which is maintained by the local policing body, and
c
the chief officer has not yet complied with that obligation, or has contravened it.
2B
The local policing body may direct the chief officer to take such steps as the local policing body thinks appropriate.
2C
The chief officer must comply with any direction given under subsection (2B).
3
Where—
a
a F39local policing body maintaining any police force requires the chief officer of that force or of any other force to provide a member of his force for appointment under paragraph 16, 17 or 18 of Schedule 3,
b
the chief officer of police of any police force requires the chief officer of police of any other police force to provide a member of that other force for appointment under any of those paragraphs, or
F3c
a F35local policing body or chief officer requires the Director General of the Serious Organised Crime Agency to provide a member of the staff of that Agency for appointment under any of those paragraphs,
it shall be the duty of the chief officer F4to whom the requirement is addressed or of the Director General to comply with it.
4
It shall be the duty of—
a
every F40local policing body maintaining a police force,
b
the chief officer of police of every police force, F5 and
F6c
the Serious Organised Crime Agency,
to provide the Commission and every member of the Commission’s staff with all such assistance as the Commission or that member of staff may reasonably require for the purposes of, or in connection with, the carrying out of any investigation by the Commission under this Part.
5
It shall be the duty of—
a
every F41local policing body maintaining a police force,
b
the chief officer of every police force, F7 and
F8c
the Serious Organised Crime Agency,
to ensure that a person appointed under paragraph 16, 17 or 18 of Schedule 3 to carry out an investigation is given all such assistance and co-operation in the carrying out of that investigation as that person may reasonably require
6
The duties imposed by subsections (4) and (5) on a F36local policing body maintaining a police force and on the chief officer of such a force and on F9the Serious Organised Crime Agency have effect—
a
irrespective of whether the investigation relates to the conduct of a person who is or has been a member of that force or F10a member of the staff of the Agency; and
b
irrespective of who has the person appointed to carry out the investigation under his direction and control;
but a chief officer of a third force may be required to give assistance and co-operation under subsection (5) only with the approval of the chief officer of the force to which the person who requires it belongs F11 . . . .
7
In subsection (6) “third force”, in relation to an investigation, means a police force other than—
a
the force to which the person carrying out the investigation belongs; or
b
the force to which the person whose conduct is under investigation belonged at the time of the conduct;
F12 and where the person whose conduct is under investigation was a member of the staff of the Serious Organised Crime Agency at the time of the conduct, “third force” means any police force other than the force to which the person carrying out the investigation belongs.
F138
Where the person who requires assistance and co-operation under subsection (5) is a member of the staff of the Serious Organised Crime Agency, a chief officer of a third force may be required to give that assistance and co-operation only with the approval of the Director General of the Agency.
F148A
Where the person who requires assistance and co-operation under subsection (5) is a member of the staff of the National Policing Improvement Agency—
a
the chief officer of a third force, or
b
the F37local policing body maintaining a third force,
may be required to give that assistance and co-operation only with the approval of the chief executive of the National Policing Improvement Agency.
8B
In subsections (8) and (8A) “third force”, in relation to an investigation, means any police force other than the force to which the person whose conduct is under investigation belonged at the time of the conduct.
9
Where—
a
the person carrying out an investigation is not a member of the staff of the Serious Organised Crime Agency; and
b
the person whose conduct is under investigation was not a member of the staff of the Agency at the time of the conduct,
F15the Agency may be required to give assistance and co-operation under subsection (5) only with the approval of the relevant directing officer.
F1610
In subsection (9) “the relevant directing officer”—
a
in a case where the person who requires assistance and co-operation belongs to a police force, means the chief officer of that force; and
b
in a case where the person who requires assistance and co-operation is a member of the staff of the National Policing Improvement Agency, means the chief executive of that Agency.
C216C18C17 Payment for assistance with investigations
1
This section applies where—
a
one police force is required to provide assistance to another in connection with an investigation under this Part; or
b
a police force is required to provide assistance in such a connection to the Commission.
2
For the purposes of this section—
a
assistance is required to be provided by one police force to another in connection with an investigation under this Part if the chief officer of the first force (“the assisting force”) complies with a requirement under section 15 (3) or (5) that is made in connection with
F17i
an investigation relating to the conduct of a person who, at the time of the conduct, was a member of the other force, or
ii
an investigation of a DSI matter in relation to which the relevant officer was, at the time of the death or serious injury, a member of the other force; and
b
assistance is required to be provided in such a connection by a police force (“the assisting force”) to the Commission if the chief officer of that force complies with a requirement under section 15(4) that is made in connection with
F18i
an investigation relating to the conduct of a person who, at the time of the conduct, was not a member of that force, or
ii
an investigation of a DSI matter in relation to which the relevant officer was, at the time of the death or serious injury, not a member of that force.
3
Where the assistance is required to be provided by one police force to another, the F44local policing body maintaining that other police force shall pay to the F44local policing body maintaining the assisting force such contribution (if any) towards the costs of the assistance—
a
as may be agreed between them; or
b
in the absence of an agreement, as may be determined in accordance with any arrangements which—
i
have been agreed to by F45local policing bodies generally; and
ii
are for the time being in force with respect to the making of contributions towards the costs of assistance provided, in connection with investigations under this Part, by one police force to another; or
c
in the absence of any such arrangements, as may be determined by the Secretary of State.
4
Where the assistance is required to be provided by a police force to the Commission, the Commission shall pay to the F46local policing body maintaining the assisting force such contribution (if any) towards the costs of the assistance—
a
as may be agreed between the Commission and F47that body ; or
b
in the absence of an agreement, as may be determined in accordance with any arrangements which—
i
have been agreed to by F48local policing bodies generally and by the Commission; and
ii
are for the time being in force with respect to the making of contributions towards the costs of assistance provided, in connection with investigations under this Part, to the Commission; or
c
in the absence of any such arrangements, as may be determined by the Secretary of State.
F195
In this section (subject to subsection (6))—
a
references to a police force and to a F42local policing body maintaining a police force include references to the Serious Organised Crime Agency; and
b
in relation to that Agency, references to the chief officer are references to the Director General.
6
This section shall have effect in relation to cases in which assistance is required to be provided by the Serious Organised Crime Agency as if—
a
the reference in subsection (3)(b) to F43local policing bodies generally included a reference to the Agency; and
b
the reference in subsection (4)(b) to F43local policing bodies generally were a reference to the Agency.
7
This section is without prejudice to the application of section 24 of the 1996 Act (assistance given voluntarily by one force to another) in a case in which assistance is provided, otherwise than in pursuance of any duty imposed by section 15 of this Act, in connection with an investigation under this Part.
16AC18C17F33Investigations: National Policing Improvement Agency involvement
1
Where a F49local policing body or chief officer requires the NPIA and its chief executive to provide a member of the NPIA's staff who is a constable for appointment under paragraph 16, 17 or 18 of Schedule 3, it shall be the duty of the NPIA and its chief executive to comply with the requirement.
2
It shall be the duty of the NPIA and its chief executive to ensure that a person appointed under paragraph 16, 17 or 18 of Schedule 3 to carry out an investigation is given all such assistance and co-operation in the carrying-out of that investigation as that person may reasonably require.
3
It shall be the duty of the NPIA and its chief executive to provide the Commission and every member of the Commission's staff with all such assistance as the Commission or that member of staff may reasonably require for the purposes of, or in connection with, the carrying-out of any investigation by the Commission under this Part.
4
Where the person who requires assistance and co-operation under subsection (2) is a person serving with the police, the NPIA and its chief executive may be required to give that assistance and co-operation only with the approval of the chief officer of the force to which that person belongs.
5
Where the person who requires assistance and co-operation under subsection (2) is a member of the staff of the Serious Organised Crime Agency, the NPIA and its chief executive may be required to give that assistance and co-operation only with the approval of the Director General of the Serious Organised Crime Agency.
6
Subsection (7) applies where the NPIA and its chief executive comply with a requirement under subsection (1) or (2) that is made in connection with—
a
an investigation relating to the conduct of a person who, at the time of the conduct, was a member of a police force; or
b
an investigation of a DSI matter in relation to which the relevant officer was, at the time of the death or serious injury, a member of a police force.
7
The F50local policing body maintaining the police force mentioned in subsection (6)(a) or (b) shall pay to the NPIA such contribution (if any) towards the costs of compliance with the requirement—
a
as may be agreed between them; or
b
in the absence of an agreement, as may be determined in accordance with any arrangements which—
i
have been agreed to by F51local policing bodies generally and by the NPIA, and
ii
are for the time being in force with respect to the making of contributions towards the costs of compliance by the NPIA and its chief executive with requirements of the kind mentioned in subsection (6); or
c
in the absence of any such arrangements, as may be determined by the Secretary of State.
8
Where the NPIA and its chief executive comply with a requirement under subsection (3), the Commission shall pay to the NPIA such contribution (if any) towards the costs of compliance with the requirement—
a
as may be agreed between the Commission and the NPIA; or
b
in the absence of an agreement, as may be determined in accordance with any arrangements which—
i
have been agreed to by the Agency and by the Commission, and
ii
are for the time being in force with respect to the making of contributions towards the costs of compliance by the NPIA and its chief executive with requirements under subsection (3); or
c
in the absence of any such arrangements, as may be determined by the Secretary of State.
9
In this section “the NPIA” means the National Policing Improvement Agency.
I1C317C18C17 Provision of information to the Commission
1
It shall be the duty of—
a
every F53local policing body , and
b
every chief officer,
at such times, in such circumstances and in accordance with such other requirements as may be set out in regulations made by the Secretary of State, to provide the Commission with all such information and documents as may be specified or described in regulations so made.
2
It shall also be the duty of every F54local policing body and of every chief officer—
a
to provide the Commission with all such other information and documents specified or described in a notification given by the Commission to F55that body or chief officer, and
b
to produce or deliver up to the Commission all such evidence and other things so specified or described,
as appear to the Commission to be required by it for the purposes of the carrying out of any of its functions.
3
Anything falling to be provided, produced or delivered up by any person in pursuance of a requirement imposed under subsection (2) must be provided, produced or delivered up in such form, in such manner and within such period as may be specified in—
a
the notification imposing the requirement; or
b
in any subsequent notification given by the Commission to that person for the purposes of this subsection.
4
Nothing in this section shall require a F56local policing body or chief officer—
a
to provide the Commission with any information or document, or to produce or deliver up any other thing, before the earliest time at which it is practicable for F57that body or chief officer to do so; or
b
to provide, produce or deliver up anything at all in a case in which it never becomes practicable for F57that body or chief officer to do so.
5
A requirement imposed by any regulations or notification under this section may authorise or require information or documents to which it relates to be provided to the Commission electronically.
F206
In this section—
“chief officer” includes the chief executive of the National Policing Improvement Agency;
“F52local policing body” includes the National Policing Improvement Agency.
C418C18C17 Inspections of police premises on behalf of the Commission
1
Where—
a
the Commission requires—
i
a F59local policing body maintaining any police force, or
ii
the chief officer of police of any such force,
to allow a person nominated for the purpose by the Commission to have access to any premises occupied for the purposes of that force and to documents and other things on those premises, and
b
the requirement is imposed for any of the purposes mentioned in subsection (2),
it shall be the duty of F58the body or, as the case may be, of the chief officer to secure that the required access is allowed to the nominated person.
2
Those purposes are—
a
the purposes of any examination by the Commission of the efficiency and effectiveness of the arrangements made by the force in question for handling complaints or dealing with recordable conduct matters F21or DSI matters;
b
the purposes of any investigation by the Commission under this Part or of any investigation carried out under its supervision or management.
3
A requirement imposed under this section for the purposes mentioned in subsection (2)(a) must be notified to F60the body or chief officer at least 48 hours before the time at which access is required.
4
Where—
a
a requirement imposed under this section for the purposes mentioned in subsection (2)(a) requires access to any premises, document or thing to be allowed to any person, but
b
there are reasonable grounds for not allowing that person to have the required access at the time at which he seeks to have it,
the obligation to secure that the required access is allowed shall have effect as an obligation to secure that the access is allowed to that person at the earliest practicable time after there cease to be any such grounds as that person may specify.
5
The provisions of this section are in addition to, and without prejudice to—
a
the rights of entry, search and seizure that are or may be conferred on—
i
a person designated for the purposes of paragraph 19 of Schedule 3, or
ii
any person who otherwise acts on behalf of the Commission,
in his capacity as a constable or as a person with the powers and privileges of a constable; or
b
the obligations of F61local policing bodies and chief officers under sections 15 and 17.
C5C6C7C819C18C17 Use of investigatory powers by or on behalf of the Commission
1
The Secretary of State may by order make such provision as he thinks appropriate for the purpose of authorising—
a
the use of directed and intrusive surveillance, and
b
the conduct and use of covert human intelligence sources,
for the purposes of, or for purposes connected with, the carrying out of the Commission’s functions.
2
An order under this section may, for the purposes of or in connection with any such provision as is mentioned in subsection (1), provide for—
a
Parts 2 and 4 the Regulation of Investigatory Powers Act 2000 (c. 23) (surveillance and covert human intelligence sources and scrutiny of investigatory powers), and
b
Part 3 of the 1997 Act (authorisations in respect of property),
to have effect with such modifications as may be specified in the order.
3
The Secretary of State shall not make an order containing (with or without any other provision) any provision authorised by this section unless a draft of that order has been laid before Parliament and approved by a resolution of each House.
4
Expressions used in this section and in Part 2 of the Regulation of Investigatory Powers Act 2000 have the same meanings in this section as in that Part.
I2C920C18C17 Duty to keep the complainant informed
1
In any case in which there is an investigation of a complaint in accordance with the provisions of Schedule 3—
a
by the Commission, or
b
under its management,
it shall be the duty of the Commission to provide the complainant with all such information as will keep him properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in subsection (4).
2
In any case in which there is an investigation of a complaint in accordance with the provisions of Schedule 3—
a
by the appropriate authority on its own behalf, or
b
under the supervision of the Commission,
it shall be the duty of the appropriate authority to provide the complainant with all such information as will keep him properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in subsection (4).
3
Where subsection (2) applies, it shall be the duty of the Commission to give the appropriate authority all such directions as it considers appropriate for securing that that authority complies with its duty under that subsection; and it shall be the duty of the appropriate authority to comply with any direction given to it under this subsection.
4
The matters of which the complainant must be kept properly informed are—
a
the progress of the investigation;
b
any provisional findings of the person carrying out the investigation;
c
whether any report has been submitted under paragraph 22 of Schedule 3;
d
the action (if any) that is taken in respect of the matters dealt with in any such report; and
e
the outcome of any such action.
5
The duties imposed by this section on the Commission and the appropriate authority in relation to any complaint shall be performed in such manner, and shall have effect subject to such exceptions, as may be provided for by regulations made by the Secretary of State.
6
The Secretary of State shall not by regulations provide for any exceptions from the duties imposed by this section except so far as he considers it necessary to do so for the purpose of—
a
preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any actual or prospective criminal proceedings;
b
preventing the disclosure of information in any circumstances in which it has been determined in accordance with the regulations that its non-disclosure—
i
is in the interests of national security;
ii
is for the purposes of the prevention or detection of crime, or the apprehension or prosecution of offenders;
iii
is required on proportionality grounds; or
iv
is otherwise necessary in the public interest.
7
The non-disclosure of information is required on proportionality grounds if its disclosure would cause, directly or indirectly, an adverse effect which would be disproportionate to the benefits arising from its disclosure.
8
Regulations under this section may include provision framed by reference to the opinion of, or a determination by, the Commission or any F62local policing body or chief officer.
9
It shall be the duty of a person appointed to carry out an investigation under this Part to provide the Commission or, as the case may be, the appropriate authority with all such information as the Commission or that authority may reasonably require for the purpose of performing its duty under this section.
I3C1021C18C17 Duty to provide information for other persons
1
A person has an interest in being kept properly informed about the handling of a complaint F22, recordable conduct matter or DSI matter if—
a
it appears to the Commission or to an appropriate authority that he is a person falling within subsection (2) F23or (2A) ; and
b
that person has indicated that he consents to the provision of information to him in accordance with this section and that consent has not been withdrawn.
2
A person falls within this subsection if F24(in the case of a complaint or recordable conduct matter)—
a
he is a relative of a person whose death is the alleged result from the conduct complained of or to which the recordable conduct matter relates;
b
he is a relative of a person whose serious injury is the alleged result from that conduct and that person is incapable of making a complaint;
c
he himself has suffered serious injury as the alleged result of that conduct.
F252A
A person falls within this subsection if (in the case of a DSI matter)—
a
he is a relative of the person who has died;
b
he is a relative of the person who has suffered serious injury and that person is incapable of making a complaint;
c
he himself is the person who has suffered serious injury.
3
A person who does not fall within subsection (2) F26or (2A) has an interest in being kept properly informed about the handling of a complaint F27, recordable conduct matter or DSI matter if—
a
the Commission or an appropriate authority considers that he has an interest in the handling of the complaint F27, recordable conduct matter or DSI matter which is sufficient to make it appropriate for information to be provided to him in accordance with this section; and
b
he has indicated that he consents to the provision of information to him in accordance with this section.
4
In relation to a complaint, this section confers no rights on the complainant.
5
A person who has an interest in being kept properly informed about the handling of a complaint F28, conduct matter or DSI matter is referred to in this section as an “interested person”.
6
In any case in which there is an investigation of the complaint F29, recordable conduct matter or DSI matter in accordance with the provisions of Schedule 3—
a
by the Commission, or
b
under its management,
it shall be the duty of the Commission to provide the interested person with all such information as will keep him properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in subsection (9).
7
In any case in which there is an investigation of the complaint F29, recordable conduct matter or DSI matter in accordance with the provisions of Schedule 3—
a
by the appropriate authority on its own behalf, or
b
under the supervision of the Commission,
it shall be the duty of the appropriate authority to provide the interested person with all such information as will keep him properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in subsection (9).
8
Where subsection (7) applies, it shall be the duty of the Commission to give the appropriate authority all such directions as it considers appropriate for securing that that authority complies with its duty under that subsection; and it shall be the duty of the appropriate authority to comply with any direction given to it under this subsection.
9
The matters of which the interested person must be kept properly informed are—
a
the progress of the investigation;
b
any provisional findings of the person carrying out the investigation;
F30ba
whether the Commission or the appropriate authority has made a determination under paragraph 21A of Schedule 3;
c
whether any report has been submitted under paragraph 22 F31or 24A of Schedule 3;
d
the action (if any) that is taken in respect of the matters dealt with in any such report; and
e
the outcome of any such action.
10
The duties imposed by this section on the Commission and the appropriate authority in relation to any complaint F32, recordable conduct matter or DSI matter shall be performed in such manner, and shall have effect subject to such exceptions, as may be provided for by regulations made by the Secretary of State.
11
Subsections (6) to (9) of section 20 apply for the purposes of this section as they apply for the purposes of that section.
12
In this section “relative” means a person of a description prescribed in regulations made by the Secretary of State.
Pt. 2 power to apply amend or modify conferred (31.10.2011) by Police Reform and Social Responsibility Act 2011 (c. 13), s. 157(1), Sch. 7 para. 7(1); S.I. 2011/2515, art. 2(d)