41.—(1) On receipt of a statement submitted by the investigator under regulation 18(3), the appropriate authority shall determine whether the special conditions are satisfied.
(2) In a case where special case proceedings have been delayed by virtue of regulation 9(3), as soon as practicable after the appropriate authority considers that such proceedings would no longer prejudice any criminal proceedings, it shall make a further determination as to whether the special conditions are satisfied.
(3) In a case where disciplinary proceedings have been delayed by virtue of regulation 9(3), the appropriate authority may, as soon as practicable after it considers that such proceedings would no longer prejudice any criminal proceedings, determine whether the special conditions are satisfied.
(4) Where the appropriate authority determines that the special conditions are satisfied, unless it considers that the circumstances are such as to make it inappropriate to do so, it shall certify the case as a special case and, subject to regulation 9(3) and paragraph (2), refer it to a special case hearing.
(5) Where the appropriate authority determines—
(a)that the special conditions are not satisfied; or
(b)that, although those conditions are satisfied, the circumstances are such as to make such certification inappropriate,
it shall, if the investigation was incomplete, return the case to the investigator to complete the investigation or, in any other case, proceed in accordance with Part 4.
(6) Where the appropriate authority is to proceed in accordance with Part 4, regulation 19(1) shall be read as if the following are omitted—
(a)the words “regulation 41 and”; and
(b)sub-paragraphs (a) and (b).
42.—(1) Subject to paragraph (4), at any time after the case has been referred to a special case hearing but before the beginning of that hearing the appropriate authority may direct that the case be dealt with under Part 4 if it considers that the special conditions are no longer satisfied.
(2) Where a direction is made under paragraph (1) the officer concerned shall be notified before the end of 3 working days beginning with the first working day after that direction is made and the appropriate authority shall proceed in accordance with Part 4.
(3) Where the appropriate authority is to proceed in accordance with Part 4, regulation 19(1) shall be read as if the following are omitted—
(a)the words “regulation 41 and”; and
(b)sub-paragraphs (a) and (b).
(4) Paragraph (1) shall not apply to a case where the Commission has given a direction under paragraph 20H(7) of Schedule 3 to the 2002 Act (special cases: recommendation or direction of Commission).
43.—(1) Where a case is certified as a special case and referred to a special case hearing, the appropriate authority shall as soon as practicable give the officer concerned written notice of these matters and shall supply him with a copy of—
(a)the certificate issued under regulation 41(4);
(b)any statement he may have made to the investigator during the course of the investigation; and
(c)subject to the harm test—
(i)the investigator’s report or such parts of that report as relate to him (together with any document attached to or referred to in that report as relates to him); and
(ii)any other relevant document gathered during the course of the investigation.
(2) The notice given under paragraph (1) shall describe the conduct that is the subject matter of the case and how that conduct is alleged to amount to gross misconduct.
(3) For the purposes of this regulation “relevant document” means a document which, in the opinion of the appropriate authority, is relevant to the case of the officer concerned.
44.—(1) The appropriate authority shall specify a date for the special case hearing which shall be not less than 10 and not more than 15 working days after the date on which notice is given under regulation 43(1) and shall immediately notify the officer concerned of—
(a)the date, time and place of that hearing; and
(b)the effect of regulation 7(1) to (3) in relation to a special case hearing.
(2) Where the Commission is entitled to attend the special case hearing to make representations under regulation 50(1), or to nominate a person to attend the hearing as an observer under regulation 52(2), the appropriate authority shall notify the Commission of the date, time and place of the hearing.
45.—(1) Before the end of 7 working days beginning with the first working day after the written notice given to the officer concerned under regulation 43(1), the officer concerned shall provide to the appropriate authority—
(a)written notice of whether or not he accepts that his conduct amounts to gross misconduct;
(b)where he accepts that his conduct amounts to gross misconduct, any written submission he wishes to make in mitigation;
(c)where he does not accept that his conduct amounts to gross misconduct, written notice of—
(i)the allegations he disputes and his account of the relevant events; and
(ii)any arguments on points of law he wishes to be considered by the person or persons conducting the special case hearing.
(2) Within the same time period, the officer concerned shall provide the appropriate authority with a copy of any document he intends to rely on at the hearing.
46.—(1) This regulation applies where the officer concerned is an officer other than a senior officer.
(2) The special case hearing shall be conducted by—
(a)where the police force concerned is the metropolitan police force, an assistant commissioner; or
(b)in any other case, subject to paragraph (3), the chief officer of police of the police force concerned.
(3) Where the chief officer of police of the police force concerned is an interested party or is unavailable, the special case hearing shall be conducted by the chief officer of police of another police force or an assistant commissioner of the metropolitan police force.
47.—(1) Where the officer concerned is a senior officer, the special case hearing shall be conducted by a panel of persons specified in paragraph (2), appointed by the appropriate authority.
(2) Those persons are—
(a)a chair selected by the appropriate authority from a list of persons who satisfy the judicial-appointment eligibility criterion on a 7-year basis and have been nominated by the Secretary of State for the purposes of these Regulations;
(b)HMCIC or an inspector of constabulary nominated by him; and
(c)a person selected by the appropriate authority from a list of candidates maintained by a local policing body for the purposes of these Regulations.
48.—(1) Prior to the hearing the appropriate authority shall supply the person or persons conducting the special case hearing with a copy of—
(a)the notice given to the officer concerned under regulation 43(1);
(b)the other documents given to the officer concerned under regulation 43(1);
(c)the documents provided by the officer concerned under—
(i)regulation 45; and
(ii)where paragraph (2) applies, regulation 22(2) and (3);
(d)where the officer concerned does not accept that his conduct amounts to gross misconduct, any other documents that, in the opinion of the appropriate authority, should be considered at the hearing.
(2) This paragraph applies where the case was certified as a special case following a determination made under regulation 41(3).
(3) Prior to the hearing the officer concerned shall be supplied with a list of the documents supplied under paragraph (1) and a copy of any of such document of which he has not already been supplied with a copy.
49.—(1) Subject to paragraph (2), the officer concerned shall attend the special case hearing.
(2) Where the officer concerned informs the person conducting or chairing the special case hearing in advance that he is unable to attend on grounds which the person conducting or chairing the hearing considers reasonable, that person may allow the officer concerned to participate in the hearing by video link or other means.
(3) Where the officer concerned is allowed to and does so participate in the special case hearing, or where the officer concerned does not attend the special case hearing—
(a)he may nonetheless be represented at that hearing by his—
(i)police friend; or
(ii)relevant lawyer (in which case the police friend may also attend); and
(b)the hearing may be proceeded with and concluded in the absence of the officer concerned whether or not he is so represented.
(4) Where the officer concerned is represented in accordance with paragraph (3), the person representing the officer concerned or his police friend (if different), or both, may participate using the video link or other means where such means are also used by the officer concerned.
50.—(1) In any case where—
(a)paragraph 18 or 19 of Schedule 3 to the 2002 Act (managed and independent investigations) applied; or
(b)paragraph 16 or 17 of Schedule 3 to the 2002 Act (investigations by the appropriate authority and supervised investigations) applied and the Commission—
(i)made a recommendation under paragraph 20H(1) of that Schedule (special cases: recommendation or direction of Commission) which the appropriate authority accepted; or
(ii)gave a direction under paragraph 20H(7) of that Schedule (special cases: recommendation or direction of Commission),
the Commission may attend the special case hearing to make representations.
(2) Where the Commission intends to attend the special case hearing—
(a)it may instruct a relevant lawyer to represent it;
(b)it shall notify the complainant or any interested person prior to the hearing; and
(c)the person conducting or chairing the special case hearing shall notify the officer concerned prior to the hearing.
(3) The investigator or a nominated person shall attend the special case hearing on the request of the person conducting or chairing the hearing to answer questions.
(4) For the purposes of this regulation, a “nominated person” is a person who, in the opinion of—
(a)the appropriate authority; or
(b)in a case to which paragraph 18 or 19 of Schedule 3 to the 2002 Act (managed and independent investigations) applied, the Commission,
has sufficient knowledge of the investigation of the case to be able to assist the person or persons conducting the special case hearing.
51.—(1) This regulation shall apply in the case of a special case hearing arising from a—
(a)conduct matter to which paragraph 16, 17, 18 or 19 of Schedule 3 to the 2002 Act (investigations) applied; or
(b)complaint which was certified as subject to special requirements under paragraph 19B(1) of that Schedule (assessment of seriousness of conduct).
(2) The appropriate authority shall notify the complainant or any interested person of the date, time and place of the special case hearing.
(3) Subject to the provisions of this regulation and any conditions imposed under regulation 52(3), the complainant or any interested person may—
(a)attend the special case hearing as an observer; and
(b)be accompanied by one other person, and if the complainant or interested person has a special need, by one further person to accommodate that need.
(4) Where the officer concerned objects to the complainant or interested person, or any person accompanying him, being present while a submission is made in mitigation on the officer’s behalf, the person conducting or chairing the special case hearing may require the complainant or interested person, or any person accompanying him, to withdraw while the submission is made.
(5) For the purposes of this regulation, a person has a special need if, in the opinion of the person conducting or chairing the special case hearing, he has a disability or learning difficulty, or does not have sufficient knowledge of English, to participate in or understand the special case hearing.
52.—(1) Subject to regulations 50 and 51 and this regulation, the special case hearing shall be in private.
(2) A person nominated by the Commission may attend a special case hearing which arises from a case to which—
(a)paragraph 17, 18 or 19 of Schedule 3 to the 2002 Act (supervised, managed and independent investigations) applied; or
(b)paragraph 16 of Schedule 3 to the 2002 Act (investigations by the appropriate authority) applied and in relation to which the Commission—
(i)made a recommendation under paragraph 20H(1) of that Schedule (special cases: recommendation or direction of Commission) which the appropriate authority accepted; or
(ii)gave a direction under paragraph 20H(7) of that Schedule (special cases: recommendation or direction of Commission).
(3) The person conducting or chairing the special case hearing may impose such conditions as he sees fit relating to the attendance of persons under regulation 51 or this regulation at the special case hearing (including circumstances in which they may be excluded) in order to facilitate the proper conduct of the hearing.
53.—(1) Subject to these Regulations, the person conducting or chairing the special case hearing shall determine the procedure.
(2) The special case hearing shall not proceed unless the officer concerned has been notified of the effect of regulation 7(1) to (3) in relation to a special case hearing.
(3) Subject to paragraph (4), the person conducting or chairing the special case hearing may from time to time adjourn the hearing if it appears to him to be necessary or expedient to do so.
(4) The special case hearing shall not, except in exceptional circumstances, be adjourned solely to allow the complainant or any interested person to attend.
(5) No witnesses other than the officer concerned shall give evidence at the special case hearing.
(6) The person representing the officer concerned may—
(a)address the hearing in order to do any or all of the following—
(i)put the case of the officer concerned;
(ii)sum up that case;
(iii)respond on behalf of the officer concerned to any view expressed at the proceedings; and
(iv)make representations concerning any aspect of proceedings under these Regulations; and
(b)if the officer concerned is present at the proceedings or is participating in them by video link or other means in accordance with regulation 49(2), confer with the officer concerned.
(7) Where the person representing the officer concerned is a relevant lawyer, the police friend of the officer concerned may also confer with the officer concerned in the circumstances mentioned at paragraph (6)(b).
(8) The police friend or relevant lawyer of the officer concerned may not answer any questions asked of the officer concerned during the special case hearing.
(9) The person conducting or chairing the special case hearing may allow any document to be considered at the hearing notwithstanding that a copy of it has not been supplied—
(a)by the officer concerned to the appropriate authority in accordance with regulation 45(2); or
(b)to the officer concerned in accordance with regulation 43(1).
(10) Where evidence is given or considered at the special case hearing that the officer concerned—
(a)on being questioned by an investigator, at any time after he was given written notice under regulation 15(1) of these Regulations or paragraph 19B(6) of the 2002 Act; or
(b)in submitting any information or by not submitting any information at all under regulation 45 (or, where paragraph (12) applies, paragraph 19C of Schedule 3 to the 2002 Act or regulation 16(1) or 22(2) or (3)),
failed to mention any fact relied on in his case at the special case hearing, being a fact which in the circumstances existing at the time, the officer concerned could reasonably have been expected to mention when so questioned or when providing such information, paragraph (11) applies.
(11) Where this paragraph applies, the person or persons conducting the special case hearing may draw such inferences from the failure as appear proper.
(12) This paragraph applies where the case was certified as a special case following a determination made under regulation 41(3).
(13) The person or persons conducting the special case hearing shall review the facts of the case and decide whether or not the conduct of the officer concerned amounts to gross misconduct.
(14) The person or persons conducting the special case hearing shall not find that the conduct of the officer concerned amounts to gross misconduct unless—
(a)he is or they are satisfied on the balance of probabilities that this is the case; or
(b)the officer concerned admits it is the case.
(15) At a special case hearing conducted by a panel, any decision shall be based on a majority (with the chair having the casting vote if necessary), but shall not indicate whether it was taken unanimously or by a majority.
(16) Where the officer concerned is a senior officer, the persons conducting the special case hearing shall, as soon as practicable after the hearing, submit a report to the appropriate authority, together with a copy to the senior officer concerned, setting out—
(a)the finding of the persons conducting the hearing under paragraph (13);
(b)the reasons for that finding;
(c)if the finding was that the conduct of the officer concerned amounted to gross misconduct, a recommendation as to any disciplinary action which in their opinion should be imposed; and
(d)any other matter arising out of the hearing which they desire to bring to the notice of the appropriate authority.
(17) In any case in which the Commission was entitled to attend to make representations under regulation 50(1), the persons conducting the special case hearing shall send a copy of any report under paragraph 16 to the Commission.
54.—(1) On receiving a report under regulation 53(16) the appropriate authority shall hold a further hearing for the purpose of considering what disciplinary action (if any) should be imposed.
(2) The provisions of these Regulations specified in paragraph (3) shall apply, with the modifications specified in paragraph (4), to a hearing held under paragraph (1) as if it was a special case hearing.
(3) The provisions are—
(a)regulation 6;
(b)regulation 7;
(c)regulation 8;
(d)regulation 9;
(e)regulation 44;
(f)regulation 49;
(g)regulation 50;
(h)regulation 51;
(i)regulation 52;
(j)regulation 53(1) to (12); and
(k)regulation 57.
(4) The modifications are that—
(a)each reference to the person conducting or chairing the special case hearing has effect as a reference to the appropriate authority; and
(b)in regulation 44 the reference to the date on which notice is given under regulation 43(1) has effect as a reference to the date on which the report is submitted under regulation 53(16).
55.—(1) Where the person or persons conducting the special case hearing in the case of an officer other than a senior officer find that the conduct of the officer concerned amounts to gross misconduct, he or they shall impose disciplinary action, which may be—
(a)subject to paragraphs (3) and (4), a final written warning;
(b)extension of a final written warning in accordance with paragraph (3); or
(c)dismissal without notice.
(2) On receiving a report under regulation 53(16) containing a finding that the conduct of the officer concerned amounts to gross misconduct, the appropriate authority shall impose disciplinary action, which may be—
(a)subject to paragraphs (3) and (4), a final written warning; .
(b)extension of a final written warning in accordance with paragraph (3); or
(c)dismissal without notice.
(3) Where, on the date of the assessment of the conduct under regulation 12(1) of these Regulations or under paragraph 19B(2) or (3) of Schedule 3 to the 2002 Act, the officer concerned had a final written warning in force—
(a)a final written warning shall not be given; but
(b)subject to paragraph (5), in exceptional circumstances, the final written warning may be extended.
(4) Where a final written warning is extended under paragraph (3), that warning shall remain in force for a period of 18 months from the date on which it would otherwise expire.
(5) A final written warning may be extended on one occasion only.
(6) Where the person or persons conducting the special case hearing in the case of an officer other than a senior officer find that the conduct of the officer concerned does not amount to gross misconduct, he or they may—
(a)dismiss the case; or
(b)return the case to the appropriate authority to deal with in accordance with Part 4 at a misconduct meeting or, if the officer concerned had a final written warning in force at the date of the assessment of conduct under regulation 12(1) or paragraph 19B(2) or (3) of the 2002 Act, at a misconduct hearing.
(7) On receiving a report under regulation 53(16) containing a finding that the conduct of the officer concerned does not amount to gross misconduct, the appropriate authority may—
(a)dismiss the case; or
(b)deal with the case in accordance with Part 4 at a misconduct meeting or, if the officer concerned had a final written warning in force at the date of the assessment of conduct under regulation 12(1) or paragraph 19B(2) or (3) of Schedule 3 to the 2002 Act, at a misconduct hearing.
(8) Where the case is returned to the appropriate authority under paragraph (6)(b) or dealt with by the appropriate authority under paragraph (7)(b), the appropriate authority shall proceed in accordance with Part 4, subject to regulation 19(1) being read as if the following are omitted—
(a)the words “regulation 41 and”; and
(b)sub-paragraphs (a) and (b).
(9) Except in the case of extending a final written warning, the disciplinary action shall have effect from the date on which it is notified to the officer concerned.
(10) Where the question of disciplinary action is being considered, the person or persons considering it—
(a)shall have regard to the record of police service of the officer concerned as shown on his personal record;
(b)may consider such documentary evidence as would, in his or their opinion, assist him or them in determining the question; and
(c)shall give—
(i)the officer concerned; and
(ii)his police friend or his relevant lawyer,
an opportunity to make oral or written representations.
56.—(1) The officer concerned shall be informed of—
(a)the finding of the person or persons conducting the special case hearing; and
(b)in a case other than one to which regulation 54 (senior officers: further hearing) applies, any disciplinary action imposed under regulation 55(1) or any action taken under regulation 55(6) as the case may be,
as soon as practicable and in any event shall be provided with written notice of the relevant matters and the reasons before the end of 5 working days beginning with the first working day after the conclusion of the special case hearing.
(2) In a case to which regulation 54 applies, the officer concerned shall be informed of any disciplinary action imposed under regulation 55(2) or any action taken under regulation 55(7), as the case may be, as soon as practicable, and in any event shall be provided with written notice of the action (if any) and the appropriate authority’s reasons before the end of 5 working days beginning with the first working day after the conclusion of the hearing held under regulation 54.
(3) A written notice under this regulation shall include notice of the right of the officer concerned to an appeal hearing.
(4) The appropriate authority shall send a copy of any written notice under this regulation to—
(a)the Commission, in any case in which the Commission was entitled to attend the special case hearing to make representations under regulation 50(1); and
(b)to the complainant and any interested person, in any case to which regulation 51 applies.
57.—(1) A verbatim record of the proceedings at the special case hearing shall be taken.
(2) The officer concerned shall, on request, be supplied with a copy of the record of the proceedings at the special case hearing.