EXPLANATORY NOTE
(This note is not part of these Regulations)
These Regulations provide for the basis on which the Independent Police Complaints Commission (“the Commission”) has oversight of complaints and other matters relating to the conduct of a contractor.
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 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 contractors 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 chief officer of police but may also be the contractor manager. Regulation 3 makes saving and transitional provision to the effect that these Regulations do not apply to a matter in respect of which section 39(9) to (11) of the 2002 Act continues to apply or a matter which arose prior to 8th April 2015. Regulation 4 provides that the relevant provisions in or under the 2002 Act listed in the first column of the table in the Schedule to these Regulations are to be read as having effect as set out in the provisions of these Regulations listed in the second column of the table. Regulation 5 provides for chief officers of police to be able to delegate the functions of the appropriate authority to a contractor manager in respect of a contractor.
Part 2 contains provision which sets out the broad basis on which the Commission has oversight of complaints and misconduct relating to contractors. This Part sets 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 makes provision in respect of the general duties of local policing bodies and others, payment for assistance (e.g. in a case where the police assists with an investigation), the provision of information to the Commission and requirements in relation to onward disclosure of such information and the inspection of a contractor’s 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 27). There are prescribed appeal rights in certain cases (regulation 28).
Part 4 contains provision about the handling of conduct matters. It imposes duties in relation to the identification and recording of conduct matters (regulations 29 to 31), preservation of evidence (regulation 32) and the cases in which conduct matters are referred to the Commission (regulations 33 and 34).
Part 5 contains provision about the handling of DSI matters. It imposes duties to record DSI matters and preserve evidence (regulations 35 and 36) and the reference of DSI matters to the Commission and its corresponding duties on a referral to it (regulations 37 and 38).
Part 6 contains provision governing the basis on which the Commission determines the form of an investigation in a matter referred to it (regulation 39), ranging from investigations carried out by the appropriate authority on its own behalf (regulation 42) or supervised or managed by the Commission (regulations 43 or 44) to investigations carried out by the Commission itself (regulation 45). There is also provision governing the appointment of investigators (regulation 40) and 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 41 and 50 to 53)). Provision is also made for the Commission to require information to be provided through service of an information notice (regulations 46 to 49).
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 54 to 58), the Commission’s powers to interview witnesses (regulation 59), restrictions on certain proceedings during an investigation (regulation 60) and an accelerated procedure in cases where gross misconduct is identified during an investigation into a complaint or conduct matter (regulations 61 to 68). This Part also contains provision governing the discontinuance of an investigation (regulations 69 and 70) and the procedure in cases where a conduct matter is revealed during an investigation into a DSI matter (regulation 71).
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 72 to 78). Regulation 79 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 80). Regulations 81 and 82 make provision for the Commission’s power to make recommendation in certain cases and the corresponding duties on person to whom such recommendations are made.
Part 8 contains provision about a number of general matters including appeal processes and which person may hear an appeal (regulations 90 and 91).
An impact assessment has not been prepared for this instrument as no impact on businesses, charities, voluntary bodies or the public sector is foreseen.