(This note is not part of these Regulations)
These Regulations provide for the basis on which the Independent Police Complaints Commission has oversight of complaints and other matters relating to the conduct of a National Crime Agency officer (“NCA officer”), including the Director General of the National Crime Agency.
The statutory framework in accordance with which the Commission has oversight of police conduct is set out in Part 2 of, and Schedule 3 to, the Police Reform Act 2002 (“the 2002 Act”). The Commission was established by the 2002 Act to provide an effective and independent means of overseeing the investigation of complaints and alleged misconduct relating to the actions of the police. These Regulations are made under section 26C of the 2002 Act and make provision which broadly reflects existing arrangements in accordance with which the Commission has oversight of the police, but with modifications in parts where it is necessary to reflect differences between the NCA and the police.
Part 1 contains introductory provision and an interpretation provision (regulation 2); this includes a definition of the appropriate authority, which performs a number of investigative functions under the framework established by these Regulations. The appropriate authority is ordinarily the Permanent Secretary to the Home Office or the Director General of the National Crime Agency; their respective role is determined by the nature of the complaint or other matter which is being investigated.
Part 2 contains provision which sets out the broad basis on which the Commission has oversight of complaints and misconduct relating to the NCA. It makes provision to apply specific sections of Part 2 of the 2002 Act with modifications (regulation 5), and sets out the general functions of the Commission and the reporting requirements which apply to it (regulations 6 and 7). Regulation 8 defines the matters which may be the subject of an investigation under these Regulations (a complaint, conduct matter or death or serious injury (or DSI) matter). Regulations 9 to 12 set out the general duties of the appropriate authority, payment for assistance (e.g. in a case where the police assists with an investigation), the provision of information by the NCA to the Commission and requirements in relation to onward disclosure of such information and the inspection of NCA premises by the Commission.
Regulations 13 to 16 make provision for keeping complainants and other interested persons informed about investigations, and includes provision about the manner in which these requirements are fulfilled and exceptions to them.
Part 3 contains provision about the handling of complaints. It imposes duties to preserve evidence (regulation 17), handling and recording of complaints (regulations 18 to 21), the cases in which complaints are referred to the Commission (regulations 22 and 23) and the handling of complaints by the appropriate authority (regulations 24 to 26). There are prescribed appeal rights in certain cases (Regulation 27).
Part 4 contains provision about the handling of conduct matters. It imposes duties in relation to the identification and recording of conduct matters (regulations 28 to 30), preservation of evidence (regulation 31) and the cases in which conduct matters are referred to the Commission (regulations 32 and 33).
Part 5 contains provision about the handling of DSI matters. It imposes duties to record DSI matters and preserve evidence (regulations 34 and 35) and the reference of DSI matters to the Commission and its corresponding duties on a referral to it (regulations 36 and 37).
Part 6 contains provision governing the basis on which the Commission determines the form of an investigation in a matter referred to it (regulation 38), ranging from investigations carried out by the appropriate authority on its own behalf (regulation 41) or supervised or managed by the Commission (regulations 42 or 43) to investigations carried out by the Commission itself (regulation 44). There is also provision governing the appointment of investigators (regulation 39) the processes which apply in specific cases (e.g. withdrawn complaints or the resumption of an investigation following the conclusion of relevant criminal proceedings (regulations 40 and 45 to 48).
Part 6 also contains provision governing a special procedure which applies in a case in which a conduct matter is revealed during the course of the investigation of a complaint (regulations 49 to 53), the Commission’s powers to interview witnesses (regulation 54), restrictions on certain proceedings during an investigation (regulation 55) and an accelerated procedure in cases where gross misconduct is identified during an investigation into a complaint or conduct matter (regulations 56 to 63). This Part also contains provision governing the discontinuance of an investigation (regulation 64) and the procedure in cases where a conduct matter is revealed during an investigation into a DSI matter (regulation 65).
Part 7 sets out the basis governing the submission of investigation reports, the actions which the Commission or the appropriate authority are required to take, the prescribed appeal rights in relation to an investigation and the availability of a review or reinvestigation following an appeal (regulations 66 to 72). Regulation 73 sets out the duties on the appropriate authority with respect to disciplinary proceedings (e.g. following a recommendations made by the Commission) and the information which is required to be provided to complainants about such proceedings (regulation 74).
Part 8 contains provision about a number of general matters including appeal processes and which person may hear an appeal (regulations 82 and 83).
An impact assessment has not been prepared for this instrument as no impact on businesses, charities, voluntary bodies or the public sector is foreseen.
