17.—(1) This regulation applies where condition A or B is met.
(2) Condition A is that—
(a)a complaint is made to an appropriate authority about the conduct of an individual, and
(b)that authority is the appropriate authority in relation to that individual.
(3) Condition B is that—
(a)an appropriate authority becomes aware that a complaint has been made to the IPCC, and
(b)that authority is the appropriate authority in relation to that individual.
(4) The appropriate authority shall take all such steps as appear to that authority to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of.
(5) The duty of the appropriate authority under paragraph (4) must be performed as soon as practicable after the complaint is made or after it becomes aware of the complaint.
(6) After that, the appropriate authority shall be under a duty, until it is satisfied that it is no longer necessary to do so, to continue to take the steps from time to time appearing to that authority to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of.
(7) It shall be the duty of the appropriate authority to take all such specific steps for obtaining or preserving evidence relating to any conduct that is the subject-matter of a complaint as it may be directed by the IPCC to take for the purposes of this regulation.
18.—(1) Subject to paragraph (3), the appropriate authority may delegate all or any of the powers or duties conferred or imposed on it by or under these Regulations to a person mentioned in paragraph (2).
(2) Those powers or duties may be delegated—
(a)in the case of the Head of the Home Civil Service, to a member of the Senior Civil Service;
(b)in the case of the Chief Executive, to a member of the Senior Civil Service employed in the service of the Commissioners;
(c)in the case of a Commissioner (other than the Chief Executive), to an officer.
(3) The appropriate authority shall not, in any particular case, delegate any power or duty under paragraph (1) to a person who has acted as investigating officer in that case.
19.—(1) Where a complaint is made to the IPCC—
(a)it shall ascertain whether the complainant is content for the appropriate authority to be notified of the complaint, and
(b)it shall give notification of the complaint to the appropriate authority if, and only if, the complainant is so content.
(2) Where a complaint is made to an appropriate authority, the authority shall—
(a)determine whether or not it is the appropriate authority in relation to the complaint, and
(b)if it determines that it is not, give notification of the complaint to the appropriate authority for the individual complained against.
(3) Where the IPCC—
(a)is prevented by paragraph (1)(b) from notifying any complaint to the appropriate authority, and
(b)considers that it is in the public interest for the subject-matter of the complaint to be brought to the attention of the appropriate authority and recorded under regulation 24,
the IPCC may bring that matter to the appropriate authority’s attention under that regulation as if it were a recordable conduct matter, and (if it does so) the following provisions of these Regulations shall have effect accordingly as if it were such a matter.
(4) Where the IPCC or the appropriate authority gives notification of a complaint under paragraph (1) or (2) or the IPCC brings any matter to the appropriate authority’s attention under paragraph (3), the person who gave the notification or, as the case may be, the IPCC shall notify the complainant—
(a)that the notification has been given and of what it contained, or
(b)that the matter has been brought to the appropriate authority’s attention to be dealt with otherwise than as a complaint.
(5) Where—
(a)an appropriate authority, in the case of any complaint made to it, decides that it is the appropriate authority, or
(b)a complaint is notified to the appropriate authority under this regulation,
the appropriate authority shall record the complaint.
(6) Nothing in this regulation shall require the notification or recording by any person of any complaint about any conduct if—
(a)that person is satisfied that the subject-matter of the complaint has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person whose conduct it was, or
(b)the complaint has been withdrawn.
20. The appropriate authority shall keep records, in such form as the IPCC shall determine, of—
(a)every complaint and purported complaint that is made to it;
(b)every conduct matter recorded by it under regulation 23(3) (conduct matters arising in civil proceedings);
(c)every DSI matter recorded by it under regulation 32 (duty to record DSI matters);
(d)every exercise of a power or performance of a duty under these Regulations.
21.—(1) This regulation applies where anything which is or purports to be a complaint in relation to which regulation 19 (initial handling and recording of complaints) has effect is received by the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) (whether in consequence of having been made directly or of a notification under that regulation).
(2) Where the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) decides or decide not to take action under regulation 19 for notifying or recording the whole or any part of what has been received, the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) shall notify the complainant of the following matters—
(a)the decision to take no action, and, if that decision relates to only part of what was received, the part in question;
(b)the grounds on which the decision was made; and
(c)whether the complainant has a right to appeal against that decision under this regulation.
(3) The complainant shall have a right of appeal to the IPCC against any failure by the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) to make a determination under regulation 19 or to notify or record anything under that regulation if, but only if, the failure is in respect of conduct which the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) is required to refer to the IPCC under regulation 28(1)(a) or (b) (reference of complaints to the IPCC).
(4) On an appeal under this regulation, the IPCC shall—
(a)determine whether any action under regulation 19 should have been taken in the case in question, and
(b)if the IPCC finds in the complainant’s favour, give to the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) such directions as the IPCC considers appropriate, as to the action to be taken for making a determination, or for notifying or recording what was received,
and it shall be the duty of the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) to comply with any directions given under sub-paragraph (b).
(5) Directions under paragraph (4)(b) may require action taken in pursuance of the directions to be treated as taken in accordance with any such provision of regulation 19 as may be specified in the direction.
(6) The IPCC—
(a)shall give notification both to the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary), as the case may be, and to the complainant, of any determination made by it under this regulation, and
(b)shall give notification to the complainant of any direction given by it to the Head of the Home Civil Service, the Chief Executive or the Commissioners (other than the Chairman, the Chief Executive and the Permanent Secretary) under this regulation.
22.—(1) This regulation applies where a complaint has been recorded by the appropriate authority unless the complaint—
(a)is one which has been, or must be, referred to the IPCC under regulation 28 (reference of complaints to the IPCC), and
(b)is not for the time being either referred back to the authority under regulation 29 (duties of the IPCC on references under regulation 28) or the subject of a determination under regulation 38 (power of the IPCC to determine the form of an investigation).
(2) The appropriate authority shall not be required by virtue of any provisions of these Regulations to take any action in relation to the complaint but may handle the complaint in whatever manner it thinks fit, or take no action in relation to the complaint.
23.—(1) This regulation applies where—
(a)the appropriate authority has received notification (whether or not under this regulation) that civil proceedings relating to any matter have been brought by a member of the public against it, or it otherwise appears to the appropriate authority that such proceedings are likely to be so brought, and
(b)it appears to the appropriate authority (whether at the time of the notification or at any time subsequently) that those proceedings involve or would involve a conduct matter.
(2) The appropriate authority —
(a)shall consider whether it is the appropriate authority in relation to the conduct matter in question, and
(b)if it is not, shall notify the person who is the appropriate authority about the proceedings, or the proposal to bring them, and about the circumstances that make it appear as mentioned in paragraph (1)(b).
(3) Where the appropriate authority determines for the purposes of this regulation that it is the appropriate authority in relation to any conduct matter, it shall record that matter.
(4) Where the appropriate authority records any matter under this regulation it—
(a)shall first determine whether the matter is one which it is required to refer to the IPCC under regulation 30 (reference of conduct matters to the IPCC) or is one which it would be appropriate so to refer, and
(b)if it is not required so to refer the matter and does not do so, may deal with the matter in such other manner (if any) as it may determine.
(5) Nothing in paragraph (3) shall require the appropriate authority to record any conduct matter if it is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates.
(6) For the purposes of this regulation civil proceedings involve a conduct matter if—
(a)they relate to such a matter, or
(b)they are proceedings that relate to a matter in relation to which a conduct matter, or evidence of a conduct matter, is or may be relevant.
24.—(1) Where—
(a)a conduct matter comes (otherwise than as mentioned in regulation 23 (conduct matters arising in civil proceedings)) to the attention of the appropriate authority in relation to that matter, and
(b)it appears to the appropriate authority that the conduct involved in that matter falls within paragraph (2),
it shall be the duty of the appropriate authority to record that matter.
(2) Conduct falls within this paragraph if (assuming it to have taken place)—
(a)it appears to have resulted in the death of any person or in serious injury to any person;
(b)a member of the public has been adversely affected by it; or
(c)it is of a description specified in paragraph (3).
(3) The following descriptions of conduct are specified for the purposes of paragraph (2)—
(a)a serious assault, as defined in guidance issued by the IPCC;
(b)a serious sexual offence, as defined in guidance issued by the IPCC;
(c)serious corruption, as defined in guidance issued by the IPCC;
(d)a criminal offence or behaviour liable to result in disciplinary proceedings which was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status identified in guidance by the IPCC;
(e)a relevant offence;
(f)conduct whose gravity or other exceptional circumstances make it appropriate to record the matter in which the conduct is involved; or
(g)conduct which is alleged to have taken place in the same incident as one in which conduct within sub-paragraphs (a) to (e) is alleged.
(4) Where the appropriate authority records any matter under this regulation it—
(a)shall first determine whether the matter is one which it is required to refer to the IPCC under regulation 30 (reference of conduct matters to the IPCC) or is one which it would be appropriate to so refer, and
(b)if it is not required so to refer the matter and does not do so, may deal with the matter in such other manner (if any) as it may determine.
(5) Nothing in paragraph (1) shall require the appropriate authority to record any conduct matter if it is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates.
(6) If it appears to the IPCC—
(a)that any matter that has come to its attention is a recordable conduct matter, but
(b)that that matter has not been recorded by the appropriate authority,
the IPCC may direct the appropriate authority to record that matter; and it shall be the duty of that authority to comply with the direction.
25.—(1) Where the appropriate authority becomes aware of any recordable matter relating to the conduct of an individual, it shall be the duty of that authority to take all such steps as appear to it to be appropriate for the purposes of these Regulations for obtaining and preserving the evidence relating to that matter.
(2) The duty of the appropriate authority under paragraph (1) must be performed as soon as practicable after it becomes aware of the matter in question.
(3) After that, the appropriate authority shall be under a duty until it is satisfied that it is no longer necessary to do so, to continue to take the steps from time to time appearing to it to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the matter.
(4) It shall be the duty of the appropriate authority to take all such specific steps for obtaining or preserving evidence relating to any recordable conduct matter, as it may be directed by the IPCC to take for the purposes of these Regulations.
26. Where a complaint or conduct matter relates to the conduct of a person who has ceased to be a Commissioner or an officer since the time of the conduct, these Regulations shall apply in relation to such person as if they did not include any requirement for an appropriate authority to determine whether disciplinary proceedings should be brought against a person whose conduct is reported to the appropriate authority.