Search Legislation

Advanced Search

The Gangmasters and Labour Abuse Authority (Complaints and Misconduct) Regulations 2017

Help about what version

What Version

Help about advanced features

Advanced Features

Help about opening options

Opening Options

Changes over time for: PART 2

Help about opening options

Changes to legislation:

There are currently no known outstanding effects for The Gangmasters and Labour Abuse Authority (Complaints and Misconduct) Regulations 2017, PART 2. Help about Changes to Legislation

Close

Changes to Legislation

Revised legislation carried on this site may not be fully up to date. At the current time any known changes or effects made by subsequent legislation have been applied to the text of the legislation you are viewing by the editorial team. Please see ‘Frequently Asked Questions’ for details regarding the timescales for which new effects are identified and recorded on this site.

PART 2E+WCOMPLAINTS AND MISCONDUCT

Application: generalE+W

4.  These Regulations confer functions on the [F1Director General] in relation to the exercise of functions by officers of the Authority in their capacity as LAPOs.

Textual Amendments

Commencement Information

I1Reg. 4 in force at 30.4.2017, see reg. 1

Application of the 2002 Actetc.E+W

5.—(1) The following provisions of, or made under, the 2002 Act apply in relation to the exercise of functions by officers of the Authority in their capacity as LAPOs with the modifications set out in paragraphs (2) to (4) below:

(a)section 9 (the [F2Independent Office for Police Conduct]);

(b)section 19 (use of investigatory powers by or on behalf of the [F1Director General]);

(c)section 22(1) (power of the [F1Director General] to issue guidance);

(d)section 24 (consultation on regulations);

(e)any regulations made under section 27 (conduct of the [F3Director General’s] staff); and

(f)any regulations made under Schedule 2 (the [F2Independent Office for Police Conduct]).

(2) Section 22 of the 2002 Act applies as if—

(a)for subsection (1) there were substituted—

“(1) The [F1Director General] may issue guidance—

(a)to the Chief Executive; and

(b)to officers of the Authority who have been authorised by the Secretary of the State for the purposes of section 114B of the Police and Criminal Evidence Act 1984,

concerning the exercise or performance, by the persons to whom the guidance is issued, of any of the powers or duties specified in subsection (2).”;

(b)in subsection (2)(b)(iii) for “persons serving with the police” there were substituted “labour abuse prevention officers”;

(c)for subsection (3) there were substituted—

“(3) Before issuing any guidance under this section, the [F1Director General] must consult with—

(a)the Chief Executive; and

(b)such other persons as [F4the Director General] thinks fit.”;

(d)in subsection (5)(b) for “the appropriate authority” there were substituted “the Chief Executive”; and

(e)in subsection (5)(f) for “paragraph 23 or 25 of Schedule 3” there were substituted “regulations 69 and 73 of the Gangmasters and Labour Abuse Authority (Complaints and Misconduct) Regulations 2017”.

(3) Section 24 of the 2002 Act applies as if for paragraphs (b) to (d)(2) there were substituted—

“(b)the Authority; and

(c)such other persons as the Secretary of State thinks fit.”.

(4) Where a provision listed in paragraph (1) (as modified by paragraphs (2) and (3)) contains a term that is defined in regulation 2 of these Regulations, the definition given in regulation 2 (rather than any definition contained in a provision of, or another provision made under, the 2002 Act) applies for the purposes of the application of the relevant provision in relation to the exercise of functions by officers of the Authority in their capacity as LAPOs.

Textual Amendments

Commencement Information

I2Reg. 5 in force at 30.4.2017, see reg. 1

General functions of the [F1Director General] under these RegulationsE+W

6.—(1) The [F1Director General] must—

(a)secure the maintenance by the [F1Director General] F5..., and by the Chief Executive, of suitable arrangements with respect to the matters mentioned in paragraph (2);

(b)keep under review all arrangements maintained with respect to those matters;

(c)secure that arrangements maintained with respect to those matters—

(i)comply with the requirements of the provisions of these Regulations;

(ii)are efficient and effective; and

(iii)contain and manifest an appropriate degree of independence;

(d)secure that public confidence is established and maintained in the existence of suitable arrangements with respect to those matters and with the operation of the arrangements that are in fact maintained with respect to those matters; and

(e)make such recommendations, and give such advice, for the modification of the arrangements maintained with respect to those matters as appear, from the carrying out by the [F1Director General] of [F6the Director General’s] other functions, to be necessary or desirable.

(2) Those matters are—

(a)the handling of complaints made about the conduct of a LAPO;

(b)the recording of matters from which it appears that there may have been conduct by a LAPO which constitutes or involves the commission of a criminal offence or behaviour justifying disciplinary proceedings;

(c)the recording of matters from which it appears that a person has died or suffered serious injury during, or following, contact with a LAPO; and

(d)the manner in which any such complaints or any such matters as are mentioned in paragraph (b) or (c) are investigated or otherwise handled and dealt with.

(3) The [F1Director General] must—

(a)exercise the powers and perform the duties conferred on [F4the Director General] by the following provisions of these Regulations in the manner that [F4the Director General] considers best calculated for the purpose of securing the proper carrying out of [F6the Director General’s] functions under paragraph (1); and

(b)secure that arrangements exist which are conducive to, and facilitate, the reporting of misconduct by LAPOs.

[F7(3A) In carrying out functions under these Regulations the Director General must have regard to any advice provided to the Director General by the Office (see regulation 6A(1)(a))]

(4) Subject to the other provisions of these Regulations, the [F1Director General] may do anything which appears to [F4the Director General] to be calculated to facilitate, or is incidental or conducive to, the carrying out of [F6the Director General’s] functions under these Regulations.

(5) The [F8IOPC] may, in connection with the making of any recommendation or the giving of any advice to any person for the purpose of carrying out its functions under paragraph (1)(c), (d) or (e), impose any such charge on that person for anything done by the [F1Director General] for the purposes of, or in connection with, the carrying out of [F6the Director General’s] function as [F4the Director General] thinks fit.

Textual Amendments

Commencement Information

I3Reg. 6 in force at 30.4.2017, see reg. 1

[F9General Functions of the IOPC under these RegulationsE+W

6A.—(1) The functions of the IOPC are—

(a)to provide support and advice to the Director General in the carrying out of the Director General’s functions, and

(b)to monitor and review the carrying out of such functions.

(2) The IOPC is to perform its functions under these Regulations for the general purpose of improving the way in which the Director General’s functions are carried out (including by encouraging the efficient and effective use of resources in the carrying out of those functions).

(3) In carrying out its functions under these Regulations the IOPC must in particular have regard to public confidence in the existence of suitable arrangements with respect to the matters mentioned in regulation 6(2) and with the operation of the arrangements that are in fact maintained with respect to those matters.

(4) The IOPC may do anything which appears to it to be calculated to facilitate, or is incidental or conducive to, the carrying out of its functions under these Regulations.]

Textual Amendments

[F9Efficiency etc. in exercise of functionsE+W

6B.  The Director General and the IOPC must carry out their functions under these Regulations efficiently and effectively.]

Textual Amendments

Reports to the Secretary of StateE+W

7.—[F10(1) As soon as practicable after the end of each of the IOPC’s financial years, the Director General and the IOPC must also jointly make a report to the Secretary of State on the carrying out of their functions during that year.

(2) The Secretary of State may also require reports to be made (at any time) by the Director General about the carrying out of the Director General’s functions.]

(3) The [F1Director General] may, from time to time, make such other reports to the Secretary of State as [F4the Director General] considers appropriate for drawing the Secretary of State’s attention to matters which—

(a)have come to the [F3Director General’s] notice; and

(b)are matters that [F4the Director General] considers should be drawn to the Secretary of State’s attention by reason of their gravity or of other exceptional circumstances.

(4) The [F1Director General] must prepare such reports containing advice and recommendations as [F4the Director General] thinks appropriate for the purpose of carrying out [F6the Director General’s] function under regulation 6(1)(e).

(5) Where the Secretary of State receives any report under this regulation, the Secretary of State must—

(a)in the case of every annual report under paragraph (1); and

(b)in the case of any other report, if and to the extent that the Secretary of State considers it appropriate to do so,

lay a copy of the report before Parliament and cause the report to be published.

[F11(6) The IOPC must send a copy of every report under paragraph (1) to the Chief Executive.

(6A) The Director General must send a copy of every report under paragraph (3) to the Chief Executive.]

(7) The [F1Director General] must send a copy of every report under paragraph (4) to the Secretary of State and the Chief Executive.

(8) The [F1Director General] must send a copy of every report under paragraph (3) or (4) to such of the persons (in addition to those specified in the preceding paragraphs) who—

(a)are referred to in the report; or

(b)appear to the [F1Director General] otherwise to have a particular interest in its contents,

as the [F1Director General] thinks fit.

Textual Amendments

Commencement Information

I4Reg. 7 in force at 30.4.2017, see reg. 1

Complaints and matters to which, and persons to whom, these Regulations applyE+W

8.—(1) In these Regulations, references to a complaint are references (subject to the following provisions of this regulation) to any complaint about the conduct of a LAPO which is made (whether in writing or otherwise) by—

(a)a member of the public who claims to be the person in relation to whom the conduct took place;

(b)a member of the public not falling within sub-paragraph (a) who claims to have been adversely affected by the conduct;

(c)a member of the public who claims to have witnessed the conduct; or

(d)a person authorised by a person falling within any of sub-paragraphs (a) to (c) to act on that person’s behalf.

(2) References in these Regulations, in relation to anything which is or purports to be a complaint, to the complainant are references—

(a)except in the case of anything which is or purports to be a complaint falling within paragraph (1)(d), to the person by whom the complaint or purported complaint was made; and

(b)in that case, to the person on whose behalf the complaint or purported complaint was made,

but where any person is acting on another’s behalf for the purposes of any complaint or purported complaint, anything that is to be or may be done under these Regulations or in relation to the complainant may be done instead by or in relation to the person acting on the complainant’s behalf.

(3) References in these Regulations, in relation to any conduct or anything purporting to be a complaint about any conduct, to a member of the public do not include references to an officer of the Authority.

(4) For the purposes of these Regulations, a person is adversely affected if that person suffers any form of loss or damage, distress or inconvenience, if that person is put in danger or if that person is otherwise unduly put at risk of so suffering or being put in danger.

(5) In these Regulations, “conduct matter” means (subject to the following provisions of this regulation) any matter which is not and has not been the subject of a complaint but in the case of which there is an indication (whether from the circumstances or otherwise) that a LAPO may have—

(a)committed a criminal offence; or

(b)behaved in a manner which would justify the bringing of disciplinary proceedings.

(6) In these Regulations, “death or serious injury matter” (or “DSI matter” for short) means any circumstances (other than those which are or have been the subject of a complaint or which amount to a conduct matter)—

(a)in or in consequence of which a person has died or has sustained serious injury; and

(b)in relation to which the requirements of either paragraph (7) or (8) are satisfied.

(7) The requirements of this paragraph are that at the time of the death or serious injury the person—

(a)had been arrested by a LAPO;

(b)had not been released from that arrest; and

(c)had not been delivered into the custody of a constable.

(8) The requirements of this paragraph are that—

(a)at or before the time of death or serious injury the person had contact (of whatever kind, and whether direct or indirect) with a LAPO; and

(b)there is an indication that the contact may have caused (whether directly or indirectly) or contributed to the death or serious injury.

(9) In paragraph (6), the reference to a person includes an officer of the Authority, but in relation to such a person “contact” in paragraph (8) does not include contact that the person has whilst acting in the execution of that person’s duties as an officer of the Authority.

(10) The complaints that are complaints for the purposes of these Regulations by virtue of paragraph (1)(b) do not, except in a case falling within paragraph (11), include any made by or on behalf of a person who claims to have been adversely affected as a consequence only of having seen or heard the conduct, or any alleged effects of the conduct.

(11) A case falls within this paragraph if—

(a)it was only because the person in question was physically present, or sufficiently nearby, when the conduct took place or the effects occurred that the person was able to see or hear the conduct or its effects; or

(b)the adverse effect is attributable to, or was aggravated by, the fact that the person in relation to whom the conduct took place was already known to the person claiming to have suffered the adverse effect.

(12) For the purposes of this regulation, a person is to be taken to have witnessed conduct if, and only if—

(a)the person’s knowledge of that conduct was acquired in a manner which would make that person a competent witness capable of giving admissible evidence of that conduct in criminal proceedings; or

(b)the person has possession or control of anything which would in any such proceedings constitute admissible evidence of that conduct.

(13) For the purposes of these Regulations, a person falling within paragraph (1)(a) to (c) is not to be taken to have authorised another person to act on that person’s behalf unless—

(a)the person so acting is for the time being designated for the purposes of this regulation by the [F1Director General] as a person through whom complaints may be made, or is of a description of persons so designated; or

(b)the person so acting has been given, and is able to produce, the written consent of the person on whose behalf the person is acting.

Textual Amendments

Commencement Information

I5Reg. 8 in force at 30.4.2017, see reg. 1

General duties of the Chief ExecutiveE+W

9.—(1) The Chief Executive must, in relation to LAPOs, keep abreast of—

(a)matters with respect to which any provision of these Regulations 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 these Regulations but have not yet been complied with, or have been contravened.

(2) The Chief Executive must provide the [F1Director General] and every member of the [F12IOPC’s] staff with all such assistance as the [F1Director General] or that member of staff may reasonably require for the purposes of, or in connection with, the carrying out of an investigation by the [F1Director General] under these Regulations.

(3) The Chief Executive must ensure that a person appointed under regulation 41, 42 or 43 (investigations by the Chief Executive on the Chief Executive’s own behalf, supervised and managed investigations) 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.

Textual Amendments

Commencement Information

I6Reg. 9 in force at 30.4.2017, see reg. 1

Payment for assistance with investigationsE+W

10.—(1) This regulation applies where—

(a)a person serving with the police or a National Crime Agency officer is appointed to investigate a complaint or matter further to arrangements made in pursuance of regulation 41(3)(b) or 42(2)(b) (including in a case where that regulation applies by virtue of regulation 43(2)) (investigations by the Chief Executive on the Chief Executive’s own behalf, supervised and managed investigations);

(b)a person appointed under regulation 41, 42 or 43 to carry out an investigation requests assistance from a police force or the National Crime Agency in connection with the investigation, and the police force or National Crime Agency provides that assistance; or

(c)the [F1Director General] or a member of the [F13IOPC’s] staff requests assistance from a police force or the National Crime Agency in connection with an investigation under these Regulations, and the police force or National Crime Agency provides that assistance.

(2) In a case where this regulation applies by virtue of paragraph (1)(a) or (b), the Chief Executive must pay to the local policing body maintaining the relevant police force or the National Crime Agency (as the case may be) such contribution (if any) towards the costs of the assistance—

(a)as may be agreed between them;

(b)in the absence of an agreement, as may be determined in accordance with any arrangements which—

(i)have been agreed to by local policing bodies generally or the National Crime Agency (as the case may be) and the Chief Executive; 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 these Regulations; or

(c)in any other case, as may be determined by the Secretary of State.

(3) In a case where this regulation applies by virtue of paragraph (1)(c), the [F14IOPC] must pay to the local policing body maintaining the relevant police force or the National Crime Agency (as the case may be) such contribution (if any) towards the costs of the assistance—

(a)as may be agreed between them;

(b)in the absence of an agreement, as may be determined in accordance with any arrangements which—

(i)have been agreed to by local policing bodies generally or the National Crime Agency (as the case may be) and the [F1Director General]; 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 these Regulations; or

(c)in any other case, as may be determined by the Secretary of State.

Textual Amendments

Commencement Information

I7Reg. 10 in force at 30.4.2017, see reg. 1

Provision of information to the [F1Director General]E+W

11.—(1) The Chief Executive must—

(a)provide the [F1Director General] with all such information and documents specified or described in a notification given by the [F1Director General] to the Chief Executive; and

(b)produce or deliver up to the [F1Director General] all such evidence and other things so specified or described,

as appear to the [F1Director General] to be required by [F4the Director General] for the purposes of the carrying out of any of [F6the Director General’s] functions.

(2) Anything falling to be provided, produced or delivered up by the Chief Executive in pursuance of a requirement imposed under paragraph (1) 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)any subsequent notification given by the [F1Director General] to the Chief Executive for the purposes of this paragraph.

(3) Nothing in this regulation requires the Chief Executive—

(a)to provide the [F1Director General] with any information or document, or to produce or deliver up any other thing, before the earliest time at which it is practicable for the Chief Executive to do so; or

(b)to provide, produce or deliver up anything at all in a case in which it never becomes practicable for the Chief Executive to do so.

(4) A requirement imposed by any notification under this regulation may authorise or require information or documents to which it relates to be provided to the [F1Director General] electronically.

(5) Where the [F1Director General] or any person acting on the [F3Director General’s] behalf obtains information from the Chief Executive in the course of performing a function under these Regulations, that information—

(a)may not be used for any purpose other than in the performance of a function under these Regulations or as otherwise prescribed by law; and

(b)may not be disclosed except as permitted under these Regulations or as otherwise prescribed by law.

Textual Amendments

Commencement Information

I8Reg. 11 in force at 30.4.2017, see reg. 1

Inspection of premises on behalf of the [F1Director General]E+W

12.—(1) Where—

(a)the [F1Director General] requires the Chief Executive to allow a person nominated for the purpose by the [F1Director General] to have access to any premises occupied for the purpose of the Authority and to documents or other things on those premises; and

(b)the requirement is imposed for any of the purposes mentioned in paragraph (2),

the Chief Executive must secure that the required access is allowed to the nominated person.

(2) Those purposes are—

(a)the purposes of any examination by the [F1Director General] of the efficiency and effectiveness of the arrangements made by the Chief Executive for handling complaints or dealing with recordable conduct matters or DSI matters;

(b)the purposes of any investigation by the [F1Director General] under these Regulations or of any investigation carried out under [F6the Director General’s] supervision or management.

(3) A requirement imposed under this regulation for the purposes mentioned in paragraph (2)(a) must be notified to the Chief Executive at least 48 hours before the time at which access is required.

(4) Where—

(a)a requirement imposed under this regulation for the purposes mentioned in paragraph (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 access is sought,

the obligation to ensure that the required access is allowed has 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 regulation 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 regulation 44 (investigations by the [F1Director General] F5...); or

(ii)any person who otherwise acts on behalf of the [F1Director General],

in that person’s capacity as a constable or as a person with the powers and privileges of a constable; or

(b)the obligations of the Chief Executive under regulations 9 and 11.

Textual Amendments

Commencement Information

I9Reg. 12 in force at 30.4.2017, see reg. 1

Duty to keep the complainant informedE+W

13.—(1) Subject to regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons), in any case in which there is an investigation of a complaint in accordance with the provisions of these Regulations—

(a)by the [F1Director General]; or

(b)under [F6the Director General’s] management,

the [F1Director General] must provide the complainant with all such information as will keep the complainant properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (4).

(2) Subject to regulation 16, in any case in which there is an investigation of a complaint in accordance with the provisions of these Regulations—

(a)by the Chief Executive on the Chief Executive’s own behalf; or

(b)under the supervision of the [F1Director General],

the Chief Executive must provide the complainant with all such information as will keep the complainant properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (4).

(3) Where paragraph (2) applies—

(a)the [F1Director General] must give the Chief Executive all such directions as [F4the Director General] considers appropriate for securing that the Chief Executive complies with [F6the Director General’s] duty under that paragraph; and

(b)the Chief Executive must comply with any direction given under this paragraph.

(4) The matters 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 regulation 68 (final reports on investigations: complaints and conduct matters);

(d)the action (if any) that is taken in respect of any of the matters dealt with in any such report; and

(e)the outcome of any action.

(5) A person appointed or designated to carry out an investigation under these Regulations must provide the [F1Director General] or, as the case may be, the Chief Executive with all such information as the [F1Director General] or the Chief Executive may reasonably require for the purpose of performing the [F3Director General’s] or the Chief Executive’s duty under this regulation.

Textual Amendments

Commencement Information

I10Reg. 13 in force at 30.4.2017, see reg. 1

Duty to provide information for other personsE+W

14.—(1) A person has an interest in being kept properly informed about the handling of a complaint, recordable conduct matter or DSI matter which is the subject of an investigation in accordance with the provisions of these Regulations if—

(a)it appears to the [F1Director General] or to the Chief Executive that the person is a person falling within paragraph (2) or (3); and

(b)that person has indicated consent to the provision of information in accordance with this regulation and that consent has not been withdrawn.

(2) A person falls within this paragraph if, in the case of a complaint or recordable conduct matter, that person—

(a)is a relative of a person whose death is the alleged result of the conduct complained of, or to which the recordable conduct matter relates;

(b)is a relative of a person whose serious injury is the alleged result of that conduct and that person is incapable of making a complaint; or

(c)has suffered serious injury as the alleged result of that conduct.

(3) A person falls within this paragraph if, in the case of a DSI matter, that person—

(a)is a relative of a person who has died;

(b)is a relative of a person who has suffered serious injury and that person is incapable of making a complaint; or

(c)is the person who has suffered serious injury.

(4) A person who does not fall within paragraph (2) or (3) has an interest in being kept properly informed about the handling of a complaint, conduct matter or DSI matter if—

(a)the [F1Director General] or the Chief Executive considers that the person has an interest in the handling of the complaint, recordable conduct matter or DSI matter which is sufficient to make it appropriate for information to be provided to that person in accordance with this regulation; and

(b)that person has indicated consent to the provision of information in accordance with this regulation.

(5) In relation to a complaint, this regulation confers no rights on the complainant.

(6) A person who has an interest in being kept properly informed about the handling of a complaint, conduct matter or DSI matter is referred to in this regulation and regulation 15 as an “interested person”.

(7) Subject to regulation 16 (exceptions to the duty to keep the complainant informed and to provide information for other persons), in any case in which there is an investigation of a complaint, recordable conduct matter or DSI matter in accordance with these Regulations—

(a)by the [F1Director General]; or

(b)under [F6the Director General’s] management,

the [F1Director General] must provide the interested person with all such information as will keep the interested person properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (10).

(8) Subject to regulation 16, in any case in which there is an investigation of a complaint, recordable conduct matter or DSI matter in accordance with these Regulations—

(a)by the Chief Executive on the Chief Executive’s own behalf; or

(b)under the supervision of the [F1Director General],

the Chief Executive must provide the interested person with all such information as will keep the interested person properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in paragraph (10).

(9) Where paragraph (8) applies—

(a)the [F1Director General] must give the Chief Executive all such directions as [F4the Director General] considers appropriate for securing that the Chief Executive complies with the Chief Executive’s duty under that paragraph; and

(b)the Chief Executive must comply with any direction given under this paragraph.

(10) The matters are—

(a)the progress of the investigation;

(b)any provisional findings of the person carrying out the investigation;

(c)whether the [F1Director General] or the Chief Executive has made a determination under regulation 67 (procedure where a conduct matter is revealed during investigation of a DSI matter);

(d)whether any report has been submitted under regulation 68 (final reports on investigations: complaints and conduct matters) or regulation 71 (final reports on investigations: DSI matters);

(e)the action (if any) the [F1Director General] has taken in respect of any of the matters dealt with in any such report; and

(f)the outcome of any action.

(11) Regulation 13(5) (duty to keep complainant informed) applies for the purposes of this regulation, as it applies for the purposes of that regulation.

(12) In this regulation, “relative” means any spouse, partner, parent or adult child.

Textual Amendments

Commencement Information

I11Reg. 14 in force at 30.4.2017, see reg. 1

Manner in which duties to provide information are to be performedE+W

15.—(1) For the purposes of regulations 13 and 14 (duties to keep complainant and other persons informed), the manner in which the [F1Director General] or, as the case may be, the Chief Executive must perform the duties imposed by those regulations is as follows.

(2) The [F1Director General], in a case falling within regulation 13(1) or 14(7) (investigation of a complaint, conduct matter or DSI matter by or under the management of the [F1Director General]), must inform the complainant or, as the case may be, each interested person of—

(a)the progress of the investigation promptly and in any event—

(i)if there has been no previous notification, within four weeks of the start of the investigation; and

(ii)in any other case, within four weeks of the previous notification;

(b)any provisional findings of the person carrying out the investigation as frequently as the [F1Director General] determines to be appropriate in order for the complainant or, as the case may be, each interested person to be kept properly informed.

(3) The Chief Executive, in a case falling within regulation 13(2) or 14(8) (investigation of a complaint, conduct matter or DSI matter by the Chief Executive on the Chief Executive’s own behalf or under the supervision of the [F1Director General]), must inform the complainant or, as the case may be, each interested person of—

(a)the progress of the investigation promptly and in any event—

(i)if there has been no previous notification, within four weeks of the start of the investigation; and

(ii)in any other case, within four weeks of the previous notification;

(b)any provisional findings of the person carrying out the investigation as frequently as the Chief Executive determines to be appropriate in order for the complainant or, as the case may be, each interested person to be kept properly informed.

(4) When an investigation has been completed, any complainant and interested person must be notified of the date on which—

(a)the final report under regulation 68 or 71 (final reports on investigations: complaints, conduct matters and DSI matters) is likely to be submitted; and

(b)the notification under regulation 69(11) or 70(12) (action by the [F1Director General] or Chief Executive in response to an investigation report) is likely to be given.

(5) In performing the duties imposed by regulations 13(1) and (2), 14(7) and (8), 69(11) and 70(12), the [F1Director General] or, as the case may be, the Chief Executive must determine whether it is appropriate to offer, or to accede to a request for, a meeting with the complainant or, as the case may be, an interested person.

(6) As soon as practicable after any such meeting, the [F1Director General] or, as the case may be, the Chief Executive must send to the complainant or interested person a written record of the meeting and an account of how any concerns of that person will be addressed.

(7) As soon as practicable after the conclusion of any disciplinary proceedings or unsatisfactory performance proceedings that are taken in respect of the matters dealt with in any report submitted under regulation 68, the Chief Executive must notify any complainant and interested person of the outcome of those proceedings, including the fact and outcome of any appeal against the outcome of the proceedings.

(8) If the [F1Director General] or, as the case may be, the Chief Executive considers that an investigation has made minimal or no progress since the previous notification, the next notification may be made by any means that in the opinion of the [F1Director General] or, as the case may be, the Chief Executive is suitable.

(9) Any notification under this regulation must be given in writing, except in a case where the notification is given at a meeting held in consequence of a determination under paragraph (5) or it is given by means other than writing in accordance with paragraph (8).

Textual Amendments

Commencement Information

I12Reg. 15 in force at 30.4.2017, see reg. 1

Exceptions to the duty to keep the complainant informed and to provide information for other personsE+W

16.—(1) Subject to paragraph (3), the duties mentioned in regulation 13(1) and (2) (duty to keep complainant informed), regulation 14(7) and (8) (duty to provide information for other persons), regulation 69(11) and regulation 70(12) do not apply in circumstances where, in the opinion of the [F1Director General], or, as the case may be, of the Chief Executive, the non-disclosure of information is necessary 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 its non-disclosure is—

(i)in the interests of national security;

(ii)for the purposes of the prevention or detection of crime, or the apprehension or prosecution of offenders;

(iii)required on proportionality grounds; or

(iv)otherwise necessary in the public interest.

(2) 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.

(3) The [F1Director General] or, as the case may be, the Chief Executive must not conclude that the non-disclosure of information is necessary under paragraph (1) unless [F4the Director General] or, as the case may be, the Chief Executive is satisfied that—

(a)there is a real risk of the disclosure of that information causing an adverse effect; and

(b)that adverse effect would be significant.

(4) Without prejudice to the generality of paragraph (1), the [F1Director General] or, as the case may be, the Chief Executive must consider whether the non-disclosure of information is justified under that paragraph in circumstances where—

(a)that information is relevant to, or may be used in, any actual or prospective disciplinary proceedings or unsatisfactory performance proceedings;

(b)the disclosure of that information may lead to the contamination of the evidence of witnesses during such proceedings;

(c)the disclosure of that information may prejudice the welfare or safety of any third party;

(d)that information constitutes criminal intelligence.

Textual Amendments

Commencement Information

I13Reg. 16 in force at 30.4.2017, see reg. 1

(1)

There are amendments to section 22 not relevant to these Regulations.

(2)

Paragraphs (b) to (c) were first substituted by paragraph 12 of Schedule 4 to the Police and Justice Act 2006 (c. 48). Paragraph (b), as substituted, was then substituted by paragraphs 277 and 289 of Schedule 16 to the Police Reform and Social Responsibility Act 2011 (c. 13).

Back to top

Options/Help

Print Options

Close

Legislation is available in different versions:

Latest Available (revised):The latest available updated version of the legislation incorporating changes made by subsequent legislation and applied by our editorial team. Changes we have not yet applied to the text, can be found in the ‘Changes to Legislation’ area.

Original (As Enacted or Made): The original version of the legislation as it stood when it was enacted or made. No changes have been applied to the text.

Close

See additional information alongside the content

Geographical Extent: Indicates the geographical area that this provision applies to. For further information see ‘Frequently Asked Questions’.

Show Timeline of Changes: See how this legislation has or could change over time. Turning this feature on will show extra navigation options to go to these specific points in time. Return to the latest available version by using the controls above in the What Version box.

Close

Opening Options

Different options to open legislation in order to view more content on screen at once

Close

Explanatory Memorandum

Explanatory Memorandum sets out a brief statement of the purpose of a Statutory Instrument and provides information about its policy objective and policy implications. They aim to make the Statutory Instrument accessible to readers who are not legally qualified and accompany any Statutory Instrument or Draft Statutory Instrument laid before Parliament from June 2004 onwards.

Close

More Resources

Access essential accompanying documents and information for this legislation item from this tab. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as enacted version that was used for the print copy
  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • correction slips
  • links to related legislation and further information resources
Close

Timeline of Changes

This timeline shows the different points in time where a change occurred. The dates will coincide with the earliest date on which the change (e.g an insertion, a repeal or a substitution) that was applied came into force. The first date in the timeline will usually be the earliest date when the provision came into force. In some cases the first date is 01/02/1991 (or for Northern Ireland legislation 01/01/2006). This date is our basedate. No versions before this date are available. For further information see the Editorial Practice Guide and Glossary under Help.

Close

More Resources

Use this menu to access essential accompanying documents and information for this legislation item. Dependent on the legislation item being viewed this may include:

  • the original print PDF of the as made version that was used for the print copy
  • correction slips

Click 'View More' or select 'More Resources' tab for additional information including:

  • lists of changes made by and/or affecting this legislation item
  • confers power and blanket amendment details
  • all formats of all associated documents
  • links to related legislation and further information resources

The data on this page is available in the alternative data formats listed: