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

• Citation: S.I. 2017/521
• Sections: 87

Section 1 Citation and commencement

These Regulations may be cited as the Gangmasters and Labour Abuse Authority (Complaints and Misconduct) Regulations 2017 and come into force on 30th April 2017.

Section 2 Interpretation

In these Regulations—

“the 2002 Act” means the Police Reform Act 2002;

“the Authority” means the Gangmasters and Labour Abuse Authority;

“the Authority’s standards” means the standards in accordance with which a LAPO is required to comply under the Authority’s conduct and performance policies;

“bank holiday” means a day which is a bank holiday under the Banking and Financial Dealings Act 1971 in England and Wales;

“the Chief Executive” means the chief executive of the Authority, appointed in accordance with regulations made under section 1(5) of the Gangmasters (Licensing) Act 2004 ;

...

“complainant” is to be construed in accordance with regulation 8(2);

“complaint” has the meaning given by regulation 8(1);

“conduct” includes acts, omissions, statements and decisions (whether actual, alleged or inferred);

“conduct matter” has the meaning given by regulation 8(5);

“death or serious injury matter” (or “DSI matter” for short) has the meaning given by regulation 8(6);

“Director General” means the Director General of the Independent Office for Police Conduct;

“disciplinary proceedings”, in relation to a LAPO, means any proceedings or management process in accordance with which the conduct of the LAPO is considered in order to determine whether it is misconduct or gross misconduct and if so whether, as a result, any action is to be taken in relation to it;

“gross misconduct” means a breach of the Authority’s standards so serious that it warrants dismissal;

“IOPC” means the Independent Office for Police Conduct

“labour abuse prevention officer” (or “LAPO” for short) has the meaning given by section 114B of the Police and Criminal Evidence Act 1984 ;

“LAPO friend” means a person chosen in accordance with regulation 57;

“local resolution”, in relation to a complaint, means the handling of that complaint in accordance with a procedure which—

does not involve a formal investigation; and

is laid down in regulation 26 for complaints which it has been decided, in accordance with regulation 23, to subject to local resolution;

“misconduct” means a breach of the Authority’s standards;

“person complained against”, in relation to a complaint, means the person whose conduct is the subject matter of the complaint;

“recordable conduct matter” means a conduct matter that is required to be recorded by the Chief Executive under regulation 28 or 29 or has been so recorded;

“relevant offence” means—

an offence for which the sentence is fixed by law; or

an offence for which a person of 18 years or over (not previously convicted) may be sentenced to imprisonment for a term of seven years (or might be so sentenced but for the restrictions imposed by section 33 of the Magistrates’ Courts Act 1980 );

“serious injury” means a fracture, a deep cut, a deep laceration or an injury causing damage to an internal organ or the impairment of any bodily function;

“serving with the police”, in relation to a person, is to be construed in accordance with section 12(7) of the 2002 Act ;

“trade union” has the same meaning as in section 1 of the Trade Union and Labour Relations (Consolidation) Act 1992 ;

“unsatisfactory performance proceedings”, in relation to a LAPO, means any proceedings or management process in accordance with which the performance of the LAPO is considered in order to determine whether it is unsatisfactory or whether, as a result, any action is to be taken in relation to it;

“working day” means any day other than a Saturday or Sunday or a day which is a bank holiday or public holiday in England and Wales.

Section 3 Transitional provision

(1) Regulation 48 applies with the following modifications until each of section 57(4), Chapter 1 of Part 2 and Chapter 1 of Part 6 of the Investigatory Powers Act 2016 are in force.

(2) Regulation 48(2)(b) applies as if for “protected information relating to a relevant warrant” there were substituted “intercept information”.

(3) Regulation 48(4) applies as if—

(a) after the definition of “intelligence service” there were inserted—

“intercept information” means information relating to any of the matters mentioned in section 19(3) of the Regulation of Investigatory Powers Act 2000 ;"

(b) the definitions of “protected information” and “relevant warrant” were omitted;

(c) in the definition of “relevant authority”, for paragraph (e) there were substituted—

(e) in the case of intercept information, the person to whom the relevant interception warrant is or was addressed

(d) at the end there were inserted—

“relevant interception warrant” means the interception warrant issued under section 5 of the Regulation of Investigatory Powers Act 2000 that relates to the intercept information.

Section 4 Application: general

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

Section 5 Application of the 2002 Actetc.

(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 Independent Office for Police Conduct );

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

(c) section 22 (power of the Director General to issue guidance);

(d) section 24 (consultation on regulations);

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

(f) any regulations made under Schedule 2 (the Independent Office for Police Conduct ).

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

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

(1) The Director 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 Director General must consult with—

(a) the Chief Executive; and

(b) such other persons as the 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) 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.

Section 6 General functions of the Director General under these Regulations

(1) The Director General must—

(a) secure the maintenance by the Director General ..., 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 Director General of the 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 Director General must—

(a) exercise the powers and perform the duties conferred on the Director General by the following provisions of these Regulations in the manner that the Director General considers best calculated for the purpose of securing the proper carrying out of the 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.

(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 Director General may do anything which appears to the Director General to be calculated to facilitate, or is incidental or conducive to, the carrying out of the Director General’s functions under these Regulations.

(5) The IOPC 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 Director General for the purposes of, or in connection with, the carrying out of the Director General’s function as the Director General thinks fit.

Section 6A General Functions of the IOPC under these Regulations

(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.

Section 6B Efficiency etc. in exercise of functions

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

Section 7 Reports to the Secretary of State

(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 Director General may, from time to time, make such other reports to the Secretary of State as the Director General considers appropriate for drawing the Secretary of State’s attention to matters which—

(a) have come to the Director General’s notice; and

(b) are matters that the 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 Director General must prepare such reports containing advice and recommendations as the Director General thinks appropriate for the purpose of carrying out the 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.

(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 Director General must send a copy of every report under paragraph (4) to the Secretary of State and the Chief Executive.

(8) The Director 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 Director General otherwise to have a particular interest in its contents,

as the Director General thinks fit.

Section 8 Complaints and matters to which, and persons to whom, these Regulations apply

(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 Director 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.

Section 9 General duties of the Chief Executive

(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 Director General and every member of the IOPC’s staff with all such assistance as the Director 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 Director 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.

Section 10 Payment for assistance with investigations

(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 Director General or a member of the IOPC’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 IOPC 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 Director 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.

Section 11 Provision of information to the Director General

(1) The Chief Executive must—

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

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

as appear to the Director General to be required by the Director General for the purposes of the carrying out of any of the 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 Director General to the Chief Executive for the purposes of this paragraph.

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

(a) to provide the Director 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 Director General electronically.

(5) Where the Director General or any person acting on the Director 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.

Section 12 Inspection of premises on behalf of the Director General

(1) Where—

(a) the Director General requires the Chief Executive to allow a person nominated for the purpose by the Director 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 Director 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 Director General under these Regulations or of any investigation carried out under the 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 Director General ...); or

(ii) any person who otherwise acts on behalf of the Director 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.

Section 13 Duty to keep the complainant informed

(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 Director General ; or

(b) under the Director General’s management,

the Director 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 Director 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 Director General must give the Chief Executive all such directions as the Director General considers appropriate for securing that the Chief Executive complies with the 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 Director General or, as the case may be, the Chief Executive with all such information as the Director General or the Chief Executive may reasonably require for the purpose of performing the Director General’s or the Chief Executive’s duty under this regulation.

Section 14 Duty to provide information for other persons

(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 Director 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 Director 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 Director General ; or

(b) under the Director General’s management,

the Director 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 Director 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 Director General must give the Chief Executive all such directions as the 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 Director 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 Director 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.

Section 15 Manner in which duties to provide information are to be performed

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

(2) The Director 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 Director 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 Director 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 Director 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 Director 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 Director 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 Director 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 Director 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 Director 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).

Section 16 Exceptions to the duty to keep the complainant informed and to provide information for other persons

(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 Director 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 Director 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 the 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 Director 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.

Section 17 Duties to preserve evidence relating to complaints

(1) Where—

(a) a complaint is made to the Chief Executive; or

(b) the Chief Executive becomes aware that a complaint has been made to the Director General ,

the Chief Executive must take all such steps as appear to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of.

(2) The Chief Executive’s duty under paragraph (1) must be performed as soon as practicable after the complaint is made or, as the case may be, the Chief Executive becomes aware of it.

(3) After that, the Chief Executive must, until satisfied that it is no longer necessary to do so, continue to take the steps which from time to time appear to the Chief Executive to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the conduct complained of.

(4) The Chief Executive must take all such specific steps for obtaining or preserving evidence relating to any conduct that is the subject matter of a complaint as the Chief Executive may be directed to take for the purposes of this regulation by the Director General .

Section 18 Initial handling and recording of complaints

(1) Where a complaint is made to the Director General , the Director General must give notification of the complaint to the Chief Executive.

(2) But the Director General need not give that notification if the Director General considers that there are exceptional circumstances that justify it not being given.

(3) Where the Director General gives notification of a complaint under paragraph (1), the Director General must notify the complainant that the notification has been given and of what it contained.

(4) Where—

(a) a complaint is notified to the Chief Executive under paragraph (1); or

(b) a complaint is made to the Chief Executive,

the Chief Executive must record the complaint.

Section 19 Copies of complaints etc.

(1) The Chief Executive must, after recording a complaint under regulation 18(4)—

(a) supply to the complainant a copy of the record made of that complaint; and

(b) subject to paragraphs (2) to (4), supply to the person complained against a copy of the complaint.

(2) A copy of a complaint supplied under this regulation may be in a form which keeps anonymous the identity of the complainant or of any other person.

(3) The Chief Executive may decide not to supply such a copy of a complaint if the Chief Executive is of the opinion that to do so—

(a) might prejudice any criminal investigation or proceedings; or

(b) would otherwise be contrary to the public interest.

(4) Where the Chief Executive decides not to supply such a copy, the Chief Executive must keep that decision under regular review.

Section 20 Failure to record a complaint

(1) This regulation applies where anything which is or purports to be a complaint in relation to which regulation 18 (initial handling and recording of complaints) has effect is received by the Chief Executive (whether in consequence of having been made directly or of a notification under that regulation).

(2) If the Chief Executive decides not to record the whole or any part of what has been received, the Chief Executive must notify the complainant of the following matters—

(a) the decision not to record the whole or part of what was received;

(b) if the decision relates to part of what was received, the part in question;

(c) the grounds on which the decision was made; and

(d) that complainant’s right to appeal against the decision under this regulation.

(3) The complainant may appeal to the Director General against any such decision.

(4) In a case where the Chief Executive decides not to record any of what was received, on an appeal under this regulation, the Director General must—

(a) determine whether the Chief Executive should have recorded all or some of what was received; and

(b) if the Director General finds in the complainant’s favour, direct that the Chief Executive record all or some of what was received.

(5) In a case where the Chief Executive decides not to record part of what was received, on an appeal under this regulation, the Director General must—

(a) determine whether the Chief Executive should have recorded some or all of that part; and

(b) if the Director General finds in the complainant’s favour, direct that the Chief Executive record all or some of that part.

(6) The Chief Executive must comply with any direction given under this regulation.

(7) The Director General must—

(a) give notification to the Chief Executive and the complainant of any determination made by the Director General under this regulation; and

(b) give notification to the complainant of any direction given by the Director General under this regulation to the Chief Executive.

Section 21 Reference of complaints to the Director General

(1) The Chief Executive must refer a complaint to the Director General if—

(a) the complaint is one alleging that the conduct complained of has resulted in death or serious injury;

(b) the complaint does not fall within sub-paragraph (a) but is one alleging conduct which constitutes—

(i) a serious assault, as defined in guidance issued by the Director General ;

(ii) a serious sexual offence, as defined in guidance issued by the Director General ;

(iii) serious corruption, as defined in guidance issued by the Director General ;

(iv) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which, in either case, was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status identified in guidance issued by the Director General ;

(v) a relevant offence;

(c) the complaint arises from the same incident as one in which any conduct falling within sub-paragraph (a) or (b) is alleged;

(d) the Director General notifies the Chief Executive that the Director General requires the complaint to be referred to the Director General for the Director General’s consideration.

(2) In a case where there is no obligation under paragraph (1) to make a reference, the Chief Executive may refer a complaint to the Director General if the Chief Executive considers that it would be appropriate to do so by reason of—

(a) the gravity of the subject matter of the complaint; or

(b) any exceptional circumstances.

(3) Where a complaint is required to be referred to the Director General under paragraph (1)(a), (b) or (c), notification of the complaint must be given to the Director General —

(a) without delay and in any event not later than the end of the day following the day on which it first becomes clear to the Chief Executive that the complaint is one to which that paragraph applies; and

(b) in such manner as the Director General specifies.

(4) Where a complaint is required to be referred to the Director General under paragraph (1)(d), notification of the complaint must be given to the Director General —

(a) without delay and in any event not later than the end of the day following the day on which the Director General notifies the Chief Executive that the complaint is to be referred; and

(b) in such manner as the Director General specifies.

(5) Subject to paragraph (7)—

(a) the power of the Director General by virtue of paragraph (1)(d) to require a complaint to be referred to it; and

(b) the power of the Chief Executive to refer a complaint to the Director General under paragraph (2),

are each exercisable at any time irrespective of whether the complaint is already being investigated by any person or has already been considered by the Director General .

(6) Where the Chief Executive refers a complaint to the Director General under this regulation the Chief Executive must give a notification of the making of the reference—

(a) to the complainant; and

(b) except in a case where it appears to the Chief Executive that to do so might prejudice a possible future investigation of the complaint, to the person complained against.

(7) A complaint that has already been referred to the Director General under this regulation on a previous occasion—

(a) is not required to be referred again under paragraph (1), unless the Director General so directs; and

(b) may only be referred in exercise of the power at paragraph (2) if the Director General consents.

Section 22 Duties of the Director General on references under regulation 21

(1) The Director General must, in the case of every complaint referred to the Director General by the Chief Executive, determine whether or not it is necessary for the complaint to be investigated.

(2) Where the Director General determines under this regulation that it is not necessary for a complaint to be investigated, the Director General may, if the Director General thinks fit, refer the complaint back to the Chief Executive to be dealt with by the Chief Executive in accordance with regulation 23.

(3) Where the Director General refers a complaint back under paragraph (2), the Director General must give a notification of the making of the reference back—

(a) to the complainant; and

(b) except in a case where it appears to the Director General that to do so might prejudice a possible future investigation of the complaint, to the person complained against.

Section 23 Handling of complaints by the Chief Executive

(1) This regulation applies where a complaint has been recorded by the Chief Executive.

(2) But this regulation does not apply to a complaint if it is one that has been, or must be, referred to the Director General under regulation 21, unless the complaint is for the time being—

(a) referred back to the Chief Executive under regulation 22; or

(b) the subject of a determination under regulation 38 (power of the Director General to determine the form of an investigation).

(3) Subject to regulations 24 and 25 (disapplication of the requirements of these Regulations), the Chief Executive must determine whether or not the complaint is suitable for being subjected to local resolution.

(4) If the Chief Executive determines that the complaint is suitable for being subjected to local resolution, the Chief Executive must make arrangements for it to be so subjected

(5) If the Chief Executive determines that the complaint is not so suitable, the Chief Executive must make arrangements for the complaint to be investigated by the Chief Executive.

(6) A determination that a complaint is suitable for being subjected to local resolution may not be made unless the Chief Executive is satisfied that—

(a) the conduct complained of (even if it were proved) would not justify the bringing of any criminal or disciplinary proceedings against the person whose conduct is complained of; and

(b) the conduct complained of (even if it were proved) would not involve the infringement of a person’s rights under Article 2 or 3 of the Convention (within the meaning of the Human Rights Act 1998 ).

(7) In a case where this regulation applies to a complaint by virtue of paragraph (2)(b), a determination that the complaint is suitable for being subjected to local resolution may not be made unless the Director General approves the determination.

(8) No more than one application may be made to the Director General for the purposes of paragraph (7) in respect of the same complaint.

(9) Paragraph (7) (where applicable) is in addition to paragraph (6).

Section 24 Disapplication of the requirements of these Regulations

(1) If, in a case in which regulation 23 applies, the Chief Executive considers—

(a) that the complaint should be handled otherwise than in accordance with these Regulations or that no action should be taken in relation to it; and

(b) that the complaint falls within the description of complaints specified in paragraph (7),

the Chief Executive may handle the complaint in whatever manner (if any) that the Chief Executive thinks fit.

(2) But, in a case where regulation 23 applies by virtue of regulation 23(2)(a) or (b), the Chief Executive may not handle the complaint in whatever manner (if any) the Chief Executive thinks fit unless—

(a) the Chief Executive applies to the Director General , in accordance with these Regulations, for permission to so handle the complaint; and

(b) the Director General gives permission.

(3) An application under paragraph (2) must be in writing and must be accompanied by—

(a) a copy of the complaint;

(b) an explanation of the Chief Executive’s reasons for making the application; and

(c) copies of any other documents or material in the Chief Executive’s possession which are relevant to the complaint.

(4) The Chief Executive must supply any further information requested by the Director General for the purpose of considering an application made under paragraph (2).

(5) Where such an application is made to the Director General , the Director General must—

(a) consider the application and determine whether to grant the permission applied for; and

(b) notify the Director General’s decision to the Chief Executive and the complainant.

(6) Where an application is made under paragraph (2) in respect of any complaint, the Chief Executive must not, while the application is being considered by the Director General , take any action in accordance with the provisions of these Regulations (other than under regulation 17 (duties to preserve evidence relating to complaints)) in relation to that complaint.

(7) For the purposes of paragraph (1)(b), the description of complaints specified are those in relation to which the Chief Executive considers that—

(a) more than 12 months have elapsed between the incident, or the latest incident, giving rise to the complaint and the making of the complaint and either that no good reason for the delay has been shown or that injustice would be likely to be caused by the delay;

(b) the matter is already the subject of a complaint made by or on behalf of the same complainant;

(c) the complaint discloses neither the name and address of the complainant nor that of any other interested person and it is not reasonably practicable to ascertain such a name and address;

(d) the complaint is vexatious, oppressive or otherwise an abuse of the procedures for dealing with complaints;

(e) the complaint is repetitious; or

(f) it is not reasonably practicable to complete the investigation of the complaint or any other procedures under these Regulations.

(8) For the purposes of paragraph (7)(e), a complaint is repetitious if, and only if—

(a) it concerns substantially the same conduct as a previous conduct matter or it is substantially the same as a previous complaint made by or on behalf of the same complainant;

(b) it contains no fresh allegations which significantly affect the account of the conduct complained of;

(c) no fresh evidence, being evidence which was not reasonably available at the time the previous complaint was made, is provided in support of it;

(d) as respects the previous complaint or conduct matter, either—

(i) the complaint was resolved by local resolution in accordance with regulation 26;

(ii) the complaint was handled otherwise than in accordance with these Regulations or no action was taken in relation to it, in accordance with this regulation and regulation 25;

(iii) the Director General gave the Chief Executive a direction under regulation 65 (power to discontinue an investigation);

(iv) the Chief Executive disapplied the requirements of these Regulations in accordance with regulation 66(8)(b);

(v) the complainant gave such notification as is mentioned in regulation 40(1) (withdrawn complaints); or

(vi) the requirements of regulation 69(9) or 70(11) (determination by the Chief Executive of what action to take) were complied with.

(9) For the purposes of paragraph (7)(f), it is not reasonably practicable to complete the investigation of a complaint or any other procedures under these Regulations if, and only if—

(a) it is not reasonably practicable to communicate with the complainant or a person acting on the complainant’s behalf; or

(b) it is not reasonably practicable to complete a satisfactory investigation in consequence of—

(i) a refusal or failure, on the part of the complainant, to make a statement or afford other reasonable assistance for the purposes of the investigation; or

(ii) the lapse of time since the event or events forming the subject matter of the complaint.

(10) In this regulation any reference to action not being reasonably practicable includes a reference to action which it does not appear reasonably practicable to take within a period which is reasonable in all the circumstances of the case.

Section 25 Disapplication of the requirements of these Regulations: notifications, appeals etc.

(1) Before deciding to handle a complaint in whatever manner (if any) the Chief Executive thinks fit in accordance with regulation 24(1), the Chief Executive must—

(a) write to the complainant at the complainant’s last known address—

(i) inviting the complainant to make representations in relation to the matter; and

(ii) allowing the complainant a period of 28 days, commencing on the day after the date of the letter, to do so; and

(b) have regard to any representations made by the complainant.

(2) The Chief Executive must notify the complainant—

(a) that the Chief Executive has decided to handle the complaint as permitted by regulation 24(1) (in a case where the Chief Executive is not required to apply for permission under regulation 24(2) to so handle the complaint);

(b) about the making of the application under regulation 24(2) (in a case where the Chief Executive makes such an application).

(3) Where the complaint is to be handled in whatever manner (if any) the Chief Executive thinks fit (whether or not the Director General’s permission is needed), the Chief Executive—

(a) is not required by virtue of any of the provisions of these Regulations (other than regulation 17) to take any action in relation to the complaint; and

(b) may handle the complaint in whatever manner the Chief Executive thinks fit, or take no action in relation to the complaint, and for the purposes of handling the complaint may take any step that the Chief Executive could have taken, or would have been required to take, if the Chief Executive were not proceeding in accordance with regulation 24.

(4) Where the Chief Executive applies to the Director General under regulation 24(2) and the Director General determines that permission should not be granted—

(a) the Director General must refer the matter back to the Chief Executive for the making of a determination under regulation 23(3); and

(b) the Chief Executive must then make that determination.

(5) No more than one application may be made to the Director General under regulation 24(2) in respect of the same complaint.

(6) The complainant may appeal to the Director General against any decision by the Chief Executive under regulation 24 to handle the complaint otherwise than in accordance with these Regulations or to take no action in relation to it.

(7) But the complainant may not appeal in a case in which the appeal relates to a decision for which the Director General has given permission under regulation 24.

(8) On an appeal under this paragraph, the Director General must—

(a) determine whether any decision taken by the Chief Executive under regulation 24 should have been taken in the case in question; and

(b) if the Director General finds in the complainant’s favour, give such directions as the Director General thinks appropriate to the Chief Executive as to the action to be taken for handling the complaint in accordance with these Regulations or handling it otherwise than in accordance with these Regulations,

and the Chief Executive must comply with any directions given under sub-paragraph (b).

Section 26 Local resolution of complaints

(1) The arrangements made by the Chief Executive for subjecting any complaint to local resolution may include the appointment of a person who is an officer of the Authority to secure the local resolution of the complaint.

(2) The procedures that are to be available for dealing with a complaint which is to be subjected to local resolution are, subject to the provisions of this regulation, any procedures which are approved by the Director General .

(3) Where it appears to the appointed person that the complaint had in fact already been satisfactorily dealt with at the time it was brought to the appointed person’s notice, the appointed person may, subject to any representation by the complainant, treat it as having been locally resolved.

(4) The appointed person must as soon as practicable give the complainant and the person complained against an opportunity to comment on the complaint.

(5) The appointed person must not, for the purpose of locally resolving a complaint, tender on behalf of the person complained against an apology for that person’s conduct unless the person complained against has agreed to the apology.

(6) Where a complaint has been dealt with by way of local resolution, a record must be made as soon as practicable of the outcome of the procedure and a copy of the record sent to the complainant and the person complained against.

(7) At the time of sending a copy of the record of outcome to the complainant under paragraph (6), the Chief Executive must notify the complainant in writing of the complainant’s right of appeal against that outcome under regulation 27 (appeals relating to complaints dealt with other than by investigation).

(8) In this regulation, “the appointed person” means a person appointed under paragraph (1) to secure the local resolution of a complaint.

(9) A statement made by any person for the purposes of the local resolution of any complaint is not admissible in any subsequent criminal, civil or disciplinary proceedings except to the extent that it consists of an admission relating to a matter that has not been subjected to local resolution.

(10) If, after attempts have been made to resolve a complaint using local resolution, it appears to the Chief Executive—

(a) that the resolution of the complaint in that manner is impossible; or

(b) that the complaint is, for any other reason, not suitable for such resolution,

the Chief Executive must make arrangements for the complaint to be investigated by the Chief Executive.

(11) The local resolution of any complaint must be discontinued if—

(a) any arrangements are made under paragraph (10);

(b) the Director General notifies the Chief Executive that the Director General requires the complaint to be referred to the Director General under regulation 21;

(c) the complaint is so referred otherwise than in pursuance of such a notification.

(12) A person who has participated in any attempt to resolve a complaint using local resolution is disqualified for appointment under any provision of these Regulations to investigate that complaint, or to assist with the carrying out of the investigation of that complaint.

Section 27 Appeals relating to complaints dealt with other than by investigation

(1) The complainant may appeal to the Director General against the outcome of any complaint that is—

(a) subjected to local resolution; or

(b) handled otherwise than in accordance with these Regulations.

(2) On an appeal under this regulation, the Director General must—

(a) determine whether the outcome of the complaint is a proper outcome; and

(b) if the Director General finds in the complainant’s favour, give such directions as the Director General thinks appropriate to the Chief Executive as to the action to be taken in relation to the complaint,

and the Chief Executive must comply with any directions given under paragraph (b).

Section 28 Conduct matters arising in civil proceedings

(1) This regulation applies where—

(a) the Chief Executive 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 the Authority, or it otherwise appears to the Chief Executive that such proceedings are likely to be so brought; and

(b) it appears to the Chief Executive (whether at the time of the notification or at any time subsequently) that those proceedings involve or would involve a conduct matter.

(2) The Chief Executive must determine whether the matter is one which the Chief Executive is required to refer to the Director General under regulation 32 or is one which the Director General would be appropriate to so refer.

(3) In a case where the Chief Executive determines that the matter is one which the Chief Executive is required to refer to the Director General under regulation 32 or is one which it would be appropriate to so refer, the Chief Executive must record the matter.

(4) In any other case, the Chief Executive must determine whether the matter is repetitious within the meaning of regulation 30.

(5) In a case where the Chief Executive determines that the matter is not repetitious within the meaning of regulation 30, the Chief Executive must record the matter.

(6) In any other case, the Chief Executive may (but need not) record the matter.

(7) In a case where the Chief Executive—

(a) records a matter under this regulation; and

(b) is not required to refer the matter to the Director General under regulation 32 and does not do so,

the Chief Executive may deal with the matter in such other manner (if any) as the Chief Executive may determine.

(8) Nothing in paragraph (3) or (5) requires the Chief Executive to record any conduct matter if the Chief Executive 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.

(9) 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.

Section 29 Recording etc. of conduct matters in other cases

(1) This regulation applies where—

(a) a conduct matter comes (otherwise than as mentioned in regulation 28) to the attention of the Chief Executive; and

(b) it appears to the Chief Executive that the conduct involved in that matter falls within paragraph (2).

(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 Director General ;

(b) a serious sexual offence, as defined in guidance issued by the Director General ;

(c) serious corruption, as defined in guidance issued by the Director General ;

(d) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which in either case was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status identified in guidance issued by the Director General ;

(e) a relevant offence;

(f) conduct the gravity of which, 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-paragraph (a) to (f) is alleged.

(4) The Chief Executive must determine whether the matter is one which the Chief Executive is required to refer to the Director General under regulation 32 or is one which the Director General would be appropriate to so refer.

(5) In a case in which the Chief Executive determines that the matter is one which the Chief Executive is required to refer to the Director General under regulation 32 or is one which it would be appropriate to so refer, the Chief Executive must record the matter.

(6) In any other case, the Chief Executive must determine whether the matter is repetitious within the meaning of regulation 30.

(7) In a case where the Chief Executive determines that the matter is not repetitious within the meaning of regulation 30, the Chief Executive must record the matter.

(8) In any other case, the Chief Executive may (but need not) record the matter.

(9) In a case where the Chief Executive—

(a) records a matter under this regulation; and

(b) is not required to refer the matter to the Director General under regulation 32 and does not do so,

the Chief Executive may deal with the matter in such other manner (if any) as the Chief Executive may determine.

(10) Nothing in paragraph (5) or (7) requires the Chief Executive to record any conduct matter if the Chief Executive 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.

(11) If it appears to the Director General that—

(a) any matter that has come to the Director General’s attention is a recordable conduct matter; but

(b) the matter has not been recorded by the Chief Executive,

the Director General may direct the Chief Executive to record that matter; and the Chief Executive must comply with the direction.

Section 30 Conduct matters not required to be recorded

For the purposes of regulations 28 and 29, a conduct matter is repetitious only if—

(a) it concerns substantially the same conduct as a previous complaint or conduct matter;

(b) there is no fresh indication in respect of that matter that a LAPO may have committed a criminal offence or behaved in a manner which would justify the bringing of disciplinary proceedings;

(c) there is no fresh evidence in respect of that matter which was not reasonably available at the time the previous complaint was made or the previous conduct matter was recorded;

(d) as respects the previous complaint or conduct matter, either—

(i) the complaint was resolved by local resolution in accordance with regulation 26;

(ii) the complaint was handled otherwise than in accordance with these Regulations or no action was taken in relation to it, in accordance with regulations 24 and 25 (disapplication of requirements of these Regulations);

(iii) the Director General gave the Chief Executive a direction under regulation 66 (power to discontinue an investigation);

(iv) the Chief Executive disapplied the requirements of these Regulations in accordance with regulation 66(18)(b);

(v) the complainant gave such notification as is mentioned in regulation 40(1) (withdrawn complaints); or

(vi) the requirements of regulations 69(9) or 70(11) (determination by the Chief Executive of what action to take) were complied with.

Section 31 Duties to preserve evidence relating to conduct matters

(1) Where the Chief Executive becomes aware of any recordable conduct matter, the Chief Executive must take all such steps as appear to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to that matter.

(2) The Chief Executive’s duty under paragraph (1) must be performed as soon as practicable after the Chief Executive becomes aware of the matter in question.

(3) After that, the Chief Executive must, until satisfied that it is no longer necessary to do so, continue to take the steps from time to time appearing to the Chief Executive to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the matter.

(4) The Chief Executive must take all such specific steps for obtaining or preserving evidence relating to any recordable conduct matter as the Chief Executive may be directed to take for the purposes of this regulation by the Director General .

Section 32 Reference of conduct matters to the Director General

(1) The Chief Executive must refer a recordable conduct matter to the Director General (whether or not the case falls within regulation 28 (conduct matters arising in civil proceedings)) if—

(a) that matter relates to any incident or circumstances in or in consequence of which any person has died or suffered serious injury;

(b) that matter is of a description specified in paragraph (2); or

(c) the Director General notifies the Chief Executive that the Director General requires that matter to be referred to the Director General for the Director General’s consideration.

(2) Any matter which relates to conduct falling within the following descriptions is specified for the purposes of paragraph (1)(b)—

(a) a serious assault, as defined in guidance issued by the Director General ;

(b) a serious sexual offence, as defined in guidance issued by the Director General ;

(c) serious corruption, as defined in guidance issued by the Director General ;

(d) a criminal offence or behaviour which is liable to lead to disciplinary proceedings and which in either case was aggravated by discriminatory behaviour on the grounds of a person’s race, sex, religion, or other status identified in guidance issued by the Director General ;

(e) a relevant offence; or

(f) 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.

(3) In a case where there is no obligation under paragraph (1) to make a reference, the Chief Executive may refer a recordable conduct matter to the Director General if the Chief Executive considers that it would be appropriate to do so by reason of—

(a) the gravity of the matter; or

(b) any exceptional circumstances.

(4) Where there is an obligation under paragraph (1) to refer a matter to the Director General , it must be referred in such manner as the Director General specifies and—

(a) if the matter falls within paragraph (1)(a) or (b), without delay and in any event not later than the end of the day following the day on which it first becomes clear to the Chief Executive that the conduct matter is one to which that paragraph applies;

(b) if the matter falls within paragraph (1)(c), without delay and in any event not later than the end of the day following the day on which the Director General notifies the Chief Executive that the conduct matter is to be referred.

(5) Subject to paragraph (7), the following powers—

(a) the power of the Director General by virtue of paragraph (1)(c) to require a matter to be referred to it; and

(b) the power of the Chief Executive to refer any matter to the Director General under paragraph 3,

are exercisable at any time irrespective of whether the matter is already being investigated by any person or has already been considered by the Director General .

(6) The Chief Executive must give a notification of the making of a reference under this regulation to the person to whose conduct the matter relates, unless the Chief Executive considers that to do so might prejudice a possible future investigation of the matter.

(7) A matter that has already been referred to the Director General under this regulation on a previous occasion—

(a) is not required to be referred again under paragraph (1), unless the Director General so directs; and

(b) may only be referred in exercise of the power at paragraph (3) if the Director General consents.

Section 33 Duties of the Director General on references under regulation 32

(1) The Director General must, in the case of every recordable conduct matter referred to the Director General by the Chief Executive under regulation 32, determine whether or not it is necessary for the matter to be investigated.

(2) Where the Director General determines under this regulation that it is not necessary for a recordable conduct matter referred by the Chief Executive to be investigated, the Director General may if the Director General thinks fit refer the matter back to the Chief Executive to be dealt with by the Chief Executive in such manner (if any) as the Chief Executive may determine.

(3) Where the Director General —

(a) refers a matter back to the Chief Executive under paragraph (2); and

(b) does not consider that to do so might prejudice a possible future investigation of that matter,

the Director General must give a notification of the making of the reference to the person to whose conduct that matter relates.

Section 34 Duty to record DSI matters

(1) Where a DSI matter comes to the attention of the Chief Executive, the Chief Executive must record that matter.

(2) If it appears to the Director General —

(a) that any matter that has come to the Director General’s attention is a DSI matter; but

(b) that that matter has not been recorded by the Chief Executive,

the Director General may direct the Chief Executive to record that matter; and the Chief Executive must comply with the direction.

Section 35 Duty to preserve evidence relating to DSI matters

(1) Where the Chief Executive becomes aware of any DSI matter, the Chief Executive must take all such steps as appear to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to that matter.

(2) The Chief Executive’s duty under paragraph (1) must be performed as soon as practicable after the Chief Executive becomes aware of the matter in question.

(3) After that, the Chief Executive must, until satisfied that it is no longer necessary to do so, continue to take the steps from time to time appearing to the Chief Executive to be appropriate for the purposes of these Regulations for obtaining and preserving evidence relating to the matter.

(4) The Chief Executive must take all such specific steps for obtaining or preserving evidence relating to any DSI matter as the Chief Executive may be directed to take for the purposes of this regulation by the Director General .

Section 36 Reference of DSI matters to the Director General

(1) The Chief Executive must refer all DSI matters which come to the Chief Executive’s attention to the Director General .

(2) A DSI matter must be referred to the Director General in such manner as the Director General specifies and—

(a) in a case where the Director General directs that the matter be referred to the Director General , without delay and in any event not later than the end of the day following the day on which the Director General so directs; and

(b) in any other case, without delay and in any event not later than the end of the day following the day on which the matter first comes to the attention of the Chief Executive.

(3) A matter that has already been referred to the Director General under paragraph (1) on a previous occasion is not required to be referred again, unless the Director General so directs.

Section 37 Duties of the Director General on references under regulation 36

(1) The Director General must, in the case of every DSI matter referred to the Director General by the Chief Executive, determine whether or not it is necessary for the matter to be investigated.

(2) Where the Director General determines under this regulation that it is not necessary for a DSI matter to be investigated, the Director General may if the Director General thinks fit refer the matter back to the Chief Executive to be dealt with by the Chief Executive in such manner (if any) as the Chief Executive may determine.

Section 38 Power of the Director General to determine the form of an investigation

(1) This regulation applies where—

(a) a complaint, recordable conduct matter or DSI matter is referred to the Director General ; and

(b) the Director General determines that it is necessary for the complaint or matter to be investigated.

(2) The Director General must determine the form which the investigation should take.

(3) In making a determination under paragraph (2) the Director General must have regard to the following factors—

(a) the seriousness of the case; and

(b) the public interest.

(4) The only forms which the investigation may take in accordance with a determination made under this regulation are an investigation by—

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

(b) the Chief Executive under the supervision of the Director General ;

(c) the Chief Executive under the management of the Director General ;

(d) the Director General .

(5) The Director General may at any time make a further determination under this regulation to replace an earlier one.

(6) Where a determination under this regulation replaces an earlier determination under this regulation, or relates to a complaint or matter in relation to which the Chief Executive has already begun an investigation on the Chief Executive’s own behalf, the Director General may give—

(a) the Chief Executive; and

(b) any person previously appointed to carry out the investigation,

such directions as the Director General considers appropriate for the purpose of giving effect to the new determination.

(7) A person to whom a direction is given under paragraph (6) must comply with it.

(8) The Director General must notify the Chief Executive of any determination that the Director General makes under this regulation in relation to a particular complaint, recordable conduct matter or DSI matter.

Section 39 Appointment of persons to carry out investigations

(1) No person may be appointed to carry out an investigation under regulation 41, 42 or 43 (investigations by the Chief Executive on the Chief Executive’s own behalf, supervised and managed investigations)—

(a) unless that person has an appropriate level of knowledge, skills and experience to plan and manage the investigation;

(b) if that person works, directly or indirectly, under the management of the person whose conduct is being investigated;

(c) if that person’s involvement in the role could reasonably give rise to a concern as to whether that person could act impartially under these Regulations.

Section 40 Withdrawn complaints

(1) If the Chief Executive receives from a complainant notification in writing signed by the complainant or by a solicitor or other authorised agent on the complainant’s behalf to the effect either—

(a) that the complainant withdraws the complaint; or

(b) that the complainant does not wish any further steps to be taken in consequence of the complaint,

the Chief Executive must as soon as possible record the withdrawal or the fact that the complainant does not wish any further steps to be taken, as the case may be, and, subject to the following provisions of this regulation, these Regulations cease to apply in respect of that complaint.

(2) Where a complainant gives such notification as is mentioned in paragraph (1) to the Director General but, so far as is apparent to the Director General , has not sent that notification to the Chief Executive—

(a) the Director General must send a copy of the notification to the Chief Executive;

(b) the Chief Executive must record the withdrawal or the fact that the complainant does not wish any further steps to be taken, as the case may be; and

(c) subject to the following provisions of this regulation, these Regulations cease to apply in respect of that complaint.

(3) Where a complainant gives such notification as is mentioned in paragraph (1) to the Chief Executive, or where the Chief Executive receives a copy of a notification under paragraph (2), and it relates to a complaint—

(a) which was referred to the Director General under regulation 21 and which has not been referred back to the Chief Executive under regulation 22; or

(b) which the Chief Executive knows is currently the subject of an appeal to the Director General under regulation 20(3), 25(6), 27(1), 66(9) or 73(2),

the Chief Executive must notify the Director General that the Chief Executive has recorded the withdrawal of the complaint or the fact that the complainant does not wish any further steps to be taken, as the case may be.

(4) In a case falling within paragraph (3)(a), the Director General must determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter, and must notify the Chief Executive of the Director General’s decision.

(5) In a case falling within paragraph (3)(b), the Chief Executive must—

(a) determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter; and

(b) notify the Director General of the Chief Executive’s determination and the reasons for that determination.

(6) Where a determination is made that a complaint is to be treated as a recordable conduct matter, the provisions of these Regulations continue to apply to that matter.

(7) Where a complainant gives such notification as is mentioned in paragraph (1) to the Chief Executive, or where the Chief Executive receives a copy of a notification under paragraph (2), and it relates to a complaint which does not fall within paragraph (3), the Chief Executive must determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter and—

(a) if the complaint is to be treated as a recordable conduct matter, the provisions of these Regulations apply to that matter;

(b) if the complaint is not to be treated as a recordable conduct matter, the provisions of these Regulations cease to apply in respect of that complaint.

(8) In a case where—

(a) a complaint has been subjected to an investigation by the Chief Executive on the Chief Executive’s own behalf;

(b) the complaint is currently subject to an appeal to the Director General under regulation 73; and

(c) the Chief Executive has notified the Director General under paragraph (5)(b) that the Chief Executive has determined that the complaint is not to be treated as a recordable conduct matter,

the Director General must consider whether it is in the public interest for that determination to be reversed, and if so the Director General must direct the Chief Executive to reverse the decision.

(9) Where a complainant indicates a wish to withdraw the complaint or the wish that no further steps are to be taken in consequence of the complaint, but the complainant fails to provide a notification to that effect in accordance with paragraph (1)—

(a) in the case of an indication received by the Chief Executive, the Chief Executive must take the steps set out in paragraph (10);

(b) in the case of an indication received by the Director General , the Director General must refer the matter to the Chief Executive who must take the steps set out in paragraph (10).

(10) Those steps are—

(a) the Chief Executive must write to the complainant to ascertain whether the complainant wishes to withdraw the complaint or does not wish any further steps to be taken in consequence of the complaint;

(b) if the complainant indicates the wish to withdraw the complaint or indicates the wish for no further steps be taken in consequence of the complaint, or if the complainant fails to reply within a period of 28 days commencing on the day after the date of the written communication under sub-paragraph (a), the Chief Executive must treat the indication as though it had been received in writing signed by the complainant;

(c) if the complainant indicates the wish not to withdraw the complaint, or the wish for further steps to be taken in consequence of the complaint, the Chief Executive must start or resume the investigation as the case may be.

(11) Subject to paragraph (12), the Chief Executive must notify the person complained against if—

(a) the Chief Executive records the withdrawal of a complaint or the fact that the complainant does not wish any further steps to be taken;

(b) the Chief Executive determines that a complaint is to be treated as a recordable conduct matter;

(c) the Director General determines that a complaint is to be treated as a recordable conduct matter;

(d) the Director General directs the Chief Executive to reverse a decision not to treat a complaint as a recordable conduct matter;

(e) the provisions of these Regulations cease to apply in respect of a complaint.

(12) Nothing in paragraph (11) requires the Chief Executive to make a notification if the Chief Executive has previously decided under regulation 19 (copies of complaints etc.) not to supply to the person complained against a copy of the complaint.

Section 41 Investigations by the Chief Executive on the Chief Executive’s own behalf

(1) This regulation applies if the Chief Executive is required by virtue of—

(a) any determination made by the Chief Executive under regulation 23(3) (whether following the recording of a complaint or on a reference back under regulation 22(2)) or under regulation 26(10); or

(b) any determination made by the Director General under regulation 38 (power of the Director General to determine the form of an investigation),

to make arrangements for a complaint, recordable conduct matter or DSI matter to be investigated by the Chief Executive on the Chief Executive’s own behalf.

(2) This regulation also applies if—

(a) a determination falls to be made by the Chief Executive under regulation 28(7), 29(9) or 33(2) in relation to any recordable conduct matter or under regulation 37(2) in relation to any DSI matter; and

(b) the Chief Executive determines that it is necessary for the matter to be investigated by the Chief Executive on the Chief Executive’s own behalf.

(3) The Chief Executive must—

(a) appoint an officer of the Authority to investigate the complaint or matter; or

(b) if the Chief Executive is of the opinion that having regard to regulation 39 (appointment of persons to carry out investigations) it is not possible to appoint an officer of the Authority to investigate the complaint or matter, make arrangements with a chief officer of police or the Director General of the National Crime Agency to have a person serving with the police or a National Crime Agency officer appointed to investigate the complaint or matter.

Section 42 Investigations supervised by the Director General

(1) This regulation applies where the Director General has determined that the Director General should supervise the investigation by the Chief Executive of any complaint, recordable conduct matter or DSI matter.

(2) On being given notice of that determination, the Chief Executive must, if the Chief Executive has not already done so—

(a) appoint an officer of the Authority to investigate the complaint or matter; or

(b) if the Chief Executive is of the opinion that having regard to regulation 39 (appointment of persons to carry out investigations) it is not possible to appoint an officer of the Authority to investigate the complaint or matter, make arrangements with a chief officer of police or the Director General of the National Crime Agency to have a person serving with the police or a National Crime Agency officer appointed to investigate the complaint or matter.

(3) The Director General may require that no appointment is made under paragraph (2) unless the Director General has given notice to the Chief Executive that the Director General approves the person whom the Chief Executive proposes to appoint.

(4) Where a person has already been appointed to investigate the complaint or matter, or is selected under this paragraph for appointment, and the Director General is not satisfied with that person, the Director General may require the Chief Executive, as soon as reasonably practicable after being required to do so—

(a) to select another person falling within paragraph (2) to investigate the complaint or matter; and

(b) to notify the Director General of the person selected.

(5) Where a selection made in pursuance of a requirement under paragraph (4) has been notified to the Director General , the Chief Executive must appoint that person to investigate the complaint or matter if, but only if, the Director General notifies the Chief Executive that it approves the appointment of that person.

(6) Subject to paragraphs (7) and (8), the person appointed to investigate the complaint or matter must comply with any reasonable requirements as to the conduct of the investigation which may be imposed by the Director General as appear to the Director General to be necessary.

(7) Where at any stage of an investigation of a complaint, recordable conduct matter or DSI matter the possibility of criminal proceedings arises, the Director General must not, under paragraph (6), impose any requirement relating to the obtaining or preservation of evidence of a criminal offence without first obtaining the consent of the Director of Public Prosecutions.

(8) The Director General must not, under paragraph (6), impose any requirement relating to the resources to be made available by the Chief Executive for the purposes of an investigation without first consulting the Chief Executive and having regard to any representations the Chief Executive may make.

Section 43 Investigations managed by the Director General

(1) This regulation applies where the Director General has determined that the Director General should manage the investigation by the Chief Executive of any complaint, recordable conduct matter or DSI matter.

(2) Paragraphs (2) to (5) of regulation 42 (investigations supervised by the Director General ) apply as they apply in the case of an investigation which the Director General has determined is one that the Director General should supervise.

(3) The person appointed to investigate the complaint or matter is, in relation to that investigation, under the direction and control of the Director General .

Section 44 Investigations by the Director General ...

(1) This regulation applies where the Director General has determined that the Director General should ... carry out the investigation of a complaint, recordable conduct matter or DSI matter.

(2) The Director General must designate both—

(a) a person to take charge of the investigation; and

(b) such members of the IOPC’s staff as are required by the Director General to assist the person designated to take charge of the investigation.

(2A) The person designated under paragraph (2) to take charge of an investigation must be—

(a) the Director General acting personally; or

(b) a person who is authorised to exercise the function of taking charge of the investigation on behalf of the Director General by virtue of paragraph 6A of Schedule 2 to the 2002 Act (delegation of Director General’s functions).

(3) A person who—

(a) is designated under paragraph (2) in relation to any investigation; but

(b) does not already, by virtue of section 97(8) (police officers engaged on service outside their force) of the Police Act 1996 have all the powers and privileges of a constable throughout England and Wales and the adjacent United Kingdom waters,

has, for the purposes of the carrying out of the investigation and all purposes connected with it, all those powers and privileges throughout England and Wales and those waters.

(4) A person designated under paragraph (2) who is not a constable is not, as a result of paragraph (3), to be treated as being in police service for the purposes of—

(a) section 280 (police service) of the Trade Union and Labour Relations (Consolidation) Act 1992 ; or

(b) section 200 (police officers) of the Employment Rights Act 1996 .

(5) References in this regulation to the powers and privileges of a constable—

(a) are references to any power or privilege conferred by or under any enactment (including one passed after the making of these Regulations) on a constable; and

(b) have effect as if every such power were exercisable, and every such privilege existed, throughout England and Wales and the adjacent United Kingdom waters (whether or not that is the case apart from this regulation).

(6) In this regulation “United Kingdom waters” means the sea and other waters within the seaward limits of the United Kingdom’s territorial sea.

Section 45 Investigations by the Director General : power to serve an information notice

(1) The Director General may serve upon any person an information notice requiring the person to provide the Director General with information that the Director General reasonably requires for the purposes of an investigation in accordance with regulation 44.

(2) But an information notice must not require a person—

(a) to provide information that might incriminate the person;

(b) to provide an item subject to legal privilege within the meaning of the Police and Criminal Evidence Act 1984 (see section 10 of that Act);

(c) to make a disclosure that would be prohibited by any of Part 1 of the Regulation of Investigatory Powers Act 2000 or Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016;

(d) to provide information that was provided to the person by, or by an agency of, the government of a country or territory outside the United Kingdom where that government does not consent to the disclosure of the information.

(3) Neither must an information notice require a postal or telecommunications operator to provide communications data.

(4) In paragraph (3) “communications data”, “postal operator” and “telecommunications operator” have the same meanings as in the Investigatory Powers Act 2016 (see sections 261 and 262 of that Act).

(5) An information notice must—

(a) specify or describe the information that is required by the Director General and the form in which it must be provided;

(b) specify the period within which the information must be provided;

(c) give details of the right of appeal against the information notice under regulation 47.

(6) The period specified under paragraph (5)(b) must not end before the end of the period within which an appeal can be brought against the notice and, if such an appeal is brought, the information need not be provided pending the determination or withdrawal of the appeal.

(7) The Director General may cancel an information notice by written notice to the person on whom it was served.

Section 46 Failure to comply with an information notice

(1) If a person who has received an information notice—

(a) fails or refuses to provide information required by the notice; or

(b) knowingly or recklessly provides information in response to the notice that is false in a material respect,

the Director General may certify in writing to the High Court that the person has failed to comply with the information notice.

(2) The High Court may then inquire into the matter and, after hearing any witness who may be produced against or on behalf of the person, and after hearing any statement offered in defence, deal with the person as if the person had committed a contempt of court.

Section 47 Appeals against information notices

(1) A person on whom an information notice is served may appeal against the notice to the First-tier Tribunal on the ground that the notice is not in accordance with the law.

(2) If the Tribunal considers that the notice is not in accordance with the law—

(a) it must quash the notice; and

(b) it may give directions to the Director General in relation to the service of a further information notice.

Section 48 Sensitive information: restriction on further disclosure

(1) Where the Director General receives information within paragraph (2) under an information notice, the Director General must not disclose (whether under regulation 7, 13 or 14 or otherwise) the information, or the fact that the Director General has received it, unless the relevant authority consents to the disclosure.

(2) The information is—

(a) intelligence service information;

(b) protected information relating to a relevant warrant; or

(c) information obtained (directly or indirectly) from a government department which, at the time it is provided to the Director General , is identified by the department as information the disclosure of which may, in the opinion of the relevant authority, cause damage to—

(i) national security or international relations; or

(ii) the economic interests of the United Kingdom or any part of the United Kingdom.

(3) Where the Director General discloses to another person information within paragraph (2), or the fact that the Director General has received it, that person must not disclose that information or that fact unless the relevant authority consents to the disclosure.

(4) In this regulation—

“government department” means a department of Her Majesty’s Government but does not include—

the Security Service;

the Secret Intelligence Service; or

the Government Communications Headquarters (“GCHQ”);

“intelligence service information” means information which was obtained (directly or indirectly) from an intelligence service or which related to an intelligence service;

“intelligence service” means—

the Security Service;

the Secret Intelligence Service;

GCHQ; or

any part of Her Majesty’s forces (within the meaning of the Armed Forces Act 2006 ), or of the Ministry of Defence, which engages in intelligence activities;

“Minister of the Crown” includes the Treasury;

“protected information”, in relation to a relevant warrant, means information relating to any of the matters mentioned in section 57(4) of the Investigatory Powers Act 2016 in relation to the warrant;

“relevant authority” means—

in the case of intelligence service information obtained from the Security Service, the Director-General of the Security Service;

in the case of intelligence service information obtained from the Secret Intelligence Service, the Chief of the Secret Intelligence Service;

in the case of intelligence service information obtained from GCHQ, the Director of GCHQ;

in the case of intelligence service information obtained from any part of Her Majesty’s forces, or of the Ministry of Defence, which engages in intelligence activities, the Secretary of State;

in the case of protected information relating to a relevant warrant, the person to whom the warrant is or was addressed;

in the case of information within paragraph (2)(c)—

the Secretary of State; or

the Minister of the Crown in charge of the government department from which the information was obtained (if that Minister is not a Secretary of State);

“relevant warrant” means—

a warrant under Chapter 1 of Part 2 of the Investigatory Powers Act 2016; or

a warrant under Chapter 1 of Part 6 of that Act.