The Food Crime Officers (Complaints and Misconduct) Regulations 2025

• Citation: S.I. 2025/301
• Sections: 88

Section 1 Citation, commencement and extent

(1) These Regulations may be cited as the Food Crime Officers (Complaints and Misconduct) Regulations 2025 and come into force on 1st May 2025.

(2) These Regulations extend to England and Wales.

Section 2 Interpretation

(1) In these Regulations—

“ 2002 Act ” means the Police Reform Act 2002;

“ chief executive ” means the chief executive of the FSA;

“ chief officer ” means the chief officer of police of any police force;

“ complainant ” means—

in the case of a complaint falling within regulation 10(1)(d), the person on whose behalf the complaint was made;

in the case of a complaint not falling within regulation 10(1)(d), the person by whom the complaint was made;

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

“ complaint ” has the meaning given by regulation 10(1) and includes a purported complaint;

“ conduct ” includes acts, omissions, statements and decisions (whether actual, alleged or inferred) by an officer, whilst on duty, and acting or operating under powers in the Police and Criminal Evidence Act 1984 or the Criminal Justice and Public Order Act 1994 in their capacity as an officer;

“ conduct matter ” has the meaning given by regulation 10(2)(a);

“death or serious injury matter” and “DSI matter” have the meaning given by regulation 10(2)(b);

“ Director General ” means the Director General of the Office;

“ disciplinary proceedings ” means any proceedings or management process during which the conduct of an officer is considered in order to determine whether a sanction or punitive measure should be imposed against that person in relation to that conduct;

“ document ” means anything in which information of any description is recorded;

“ FSA ” means the Food Standards Agency ;

“ FSA friend ” means a person chosen under regulation 51(2);

“ information ” includes estimates and projections, and statistical analyses;

“ information notice ” has the meaning given in regulation 68(1);

“ interested person ” means a person who has an interest in being kept properly informed about the handling of a complaint, conduct matter or DSI matter in accordance with regulation 60;

“ Office ” means the Independent Office for Police Conduct;

“ officer ” means, unless the context otherwise requires, a food crime officer, and for this purpose “ food crime officer ” has the meaning given in section 114C of the Police and Criminal Evidence Act 1984;

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

“ person concerned ” has the meaning given in regulation 49(9);

“ person investigating ”, in relation to a complaint, recordable conduct matter or DSI matter, means the person appointed or designated to investigate that complaint or matter;

“ recordable conduct matter ” means a conduct matter that is required to be recorded by the chief executive under regulation 18 or 19, or which has been so recorded;

“ relevant document ” means a document relating to any complaint or matter under investigation (and includes a document containing suggestions as to lines of inquiry to be pursued or witnesses to be interviewed), but this definition does not apply in relation to regulation 72;

“ relevant offence ” means—

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

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

“ relevant statement ” means an oral or written statement relating to any complaint or matter under investigation;

“ 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;

“ severity assessment ” means, in relation to conduct, an assessment as to—

whether the conduct, if proved, would amount to misconduct that is so serious as to justify disciplinary action or gross misconduct; and

if the conduct were to become the subject of disciplinary proceedings, the form which those proceedings would be likely to take.

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

(3) 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 being adversely affected.

(4) References in these Regulations to the investigation of any complaint or matter by the chief executive, under the direction of the Director General, or by the Director General are to be construed as references to the Director General’s investigation in accordance with—

(a) regulation 42 (investigations by the chief executive on the chief executive’s own behalf);

(b) regulation 43 (investigation by a police force or the National Crime Agency under the direction of the Director General);

(c) regulation 44 (investigations directed by the Director General); or

(d) regulation 45 (investigations by the Director General).

Section 3 Application: general

These Regulations apply in relation to the exercise by officers of their functions whilst on duty, and acting or operating under powers in the Police and Criminal Evidence Act 1984 or the Criminal Justice and Public Order Act 1994 in their capacity as officers, and confer functions on the Director General accordingly.

Section 4 Application of the 2002 Act

(1) The following sections of the 2002 Act apply to the exercise by officers of their functions with the modifications set out in paragraphs (2) and (3)—

(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) ; and

(d) section 24 (consultation on regulations).

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

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

(1) The Director General may issue guidance to the Food Standards Agency, food crime officers or any person the Director General sees fit concerning the exercise or performance, by the persons to whom the guidance is issued, of any powers or duties specified in subsection (2).

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

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

(3) Before issuing any guidance under this section, the Director General must consult the Food Standards Agency and any person the Director General sees fit.

(d) in subsection (5)(b) for “appropriate authority” there were substituted “chief executive of the Food Standards Agency” .

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

(b) the Food Standards Agency; and

(4) Where a provision listed in paragraph (1) (as modified by paragraphs (2) and (3)) contains a term that is defined in these Regulations, the definition given in these Regulations, 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 by officers of their functions.

Section 5 Temporary service

The Director General may make arrangements with the chief executive under which officers are engaged on temporary service with the Office.

Section 6 General functions of the Director General in relation to officers

(1) The functions of the Director General in relation to officers are to—

(a) secure the maintenance by the Director General, and by the FSA, 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 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) The matters are—

(a) the handling of complaints made about conduct;

(b) the recording of matters from which it appears that there may have been conduct which constitutes or involves the commission of a criminal offence or behaviour justifying disciplinary proceedings which must be referred to the Office or which will be voluntarily referred to the Office;

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

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

(3) The Director General—

(a) must exercise the powers and perform the duties conferred on the Director General by 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);

(b) must secure that arrangements exist which are conducive to, and facilitate, the reporting of misconduct by officers;

(c) may enter into arrangements with the chief inspector of constabulary for the purpose of securing cooperation, in the carrying out of their respective functions in relation to officers, between the Director General and the inspectors of constabulary; and

(d) may provide the inspectors referred to in sub-paragraph (c) with all such assistance and co-operation as may be required by the arrangements mentioned in that sub-paragraph, or as otherwise appears to the Director General to be appropriate, for facilitating the carrying out by those inspectors of their functions.

(4) 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 7(1)(a)).

(5) 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.

(6) The Office may, in connection with the making of any recommendation or the giving of any advice to any person for the purpose of carrying out the Director General’s function under paragraph (1)(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 that function as the Director General thinks fit.

Section 7 General functions of the Office under these Regulations

(1) The functions of the Office 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 Office is to perform its functions under these Regulations for the general purpose of improving the way in which the Director General’s functions under these Regulations 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 Office 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 the operation of the arrangements that are in fact maintained with respect to those matters.

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

Section 8 Efficiency etc. in exercise of functions

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

Section 9 Reports to the Secretary of State

(1) As soon as practicable after the end of each of the Office’s financial years, the Director General and the Office must jointly make a report to the Secretary of State on the carrying out of their functions under these Regulations during that year.

(2) The Secretary of State may also require reports to be made at any time—

(a) by the Director General about the carrying out of the Director General’s functions;

(b) by the Office about the carrying out of the Office’s functions; or

(c) jointly by the Director General and the Office about the carrying out of their functions,

under these Regulations.

(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 which the Director General considers should be drawn to the attention of the Secretary of State by reason of their gravity or of other exceptional circumstances,

under these Regulations.

(4) The Office may, from time to time, make such other reports to the Secretary of State as it considers appropriate for drawing the Secretary of State’s attention to matters which—

(a) have come to its notice; and

(b) are matters that it considers should be drawn to the Secretary of State’s attention by reason of their gravity or other exceptional circumstances,

under these Regulations.

(5) The Director General and the Office may jointly make reports under paragraphs (3) and (4).

(6) The Director General may 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).

(7) 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,

arrange for a copy of the report to be laid before Parliament and publish the report.

(8) The Office must send a copy of every annual report under paragraph (1) to the Secretary of State.

(9) The Director General or, as the case may be, the Office must send a copy of every report under paragraph (3) or (4) to the Secretary of State.

(10) The Director General or, as the case may be, the Office must send a copy of every report made or prepared under paragraph (3) or (4) to such of the persons (in addition to the Secretary of State) who—

(a) are referred to in the report; or

(b) appear to the Director General or the Office otherwise to have a particular interest in its contents,

as the Director General or the Office thinks fit.

(11) Where a report under paragraph (3) or (4) is prepared jointly under paragraph (5), a duty under this regulation to send a copy of the report to any person is met if either the Director General or the Office sends a copy to that person.

Section 10 Complaints, matters and persons to whom and to which these Regulations apply

(1) Subject to the following provisions of this regulation, in these Regulations “ complaint ” means any complaint about the conduct of an officer 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;

(d) a person who is acting on behalf of a person falling within any of sub-paragraphs (a) to (c) and who is authorised to act on that person’s behalf,

and references to a complaint are references to any expression of dissatisfaction with an officer which is expressed, whether in writing or otherwise, by or on behalf of a member of the public.

(2) In these Regulations—

(a) “ 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, whilst on duty and acting or operating in their capacity as an officer, an officer may have—

(i) committed a criminal offence; or

(ii) behaved in a manner which would justify the bringing of disciplinary proceedings;

(b) “ death or serious injury matter ” (“ DSI matter ”) means any circumstance, other than those which are or have been the subject of a complaint or which amount to a conduct matter—

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

(ii) in relation to which the custody requirement or the contact requirement are satisfied (as to which, see paragraphs (3) and (4)).

(3) The custody requirement is that at the time of the death or serious injury the person was in the custody of an officer, who was on duty, and acting or operating under powers in the Police and Criminal Evidence Act 1984 or the Criminal Justice and Public Order Act 1994, in their capacity as an officer at the time of the custody.

(4) The contact requirement is that—

(a) at or before the time of the death or serious injury the person had contact (of whatever kind, and whether direct or indirect), with an officer, who was on duty, and acting or operating under powers in the Police and Criminal Evidence Act 1984 or the Criminal Justice and Public Order Act 1994, in their capacity as an officer at the time of the contact; and

(b) there is an indication that the contact described in sub-paragraph (a) may have caused (whether directly or indirectly) or contributed to the death or serious injury.

(5) In paragraph (2)(b) the reference to a person includes an officer, but in relation to such a person “contact” in paragraph (4) does not include contact that that officer has whilst acting in the execution of their duties as an officer.

(6) 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 (7), 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 of the alleged effects of the conduct.

(7) 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,

and for the purposes of sub-paragraph (a), “ person in question ” means the person expressing dissatisfaction or the person on whose behalf dissatisfaction is being expressed.

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

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

(b) that person possesses or controls anything which would in any such proceedings constitute admissible evidence of that conduct.

(9) 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 their behalf unless that other person—

(a) 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) has been given, and is able to produce, the written consent to such action of the person on whose behalf that action is taken.

Section 11 General duties of the chief executive

(1) The chief executive must, in relation to officers, 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 which have not yet been complied with or which have been contravened.

(2) The chief executive must provide the Director General and every member of the Office’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 any functions by the Director General under these Regulations.

(3) The chief executive must ensure that a person appointed under regulation 42, 43 or 44 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 12 Payments

(1) The FSA must pay such amount to the Secretary of State in respect of functions under these Regulations performed by the Office or the Director General, as the case may be, as may be agreed between the chief executive and the Office or the Director General, as the case may be.

(2) In the absence of an agreement, the FSA must pay such amount in respect of those functions, after consultation with the Secretary of State, as the Secretary of State determines.

Section 13 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 43 or 44(2)(b);

(b) a person appointed under regulation 42, 43 or 44 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 Office’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 FSA 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 Office 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 14 Duty 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 15 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 the chief executive not being given that notification.

(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 16 Keeping of records by the chief executive

The chief executive must keep records, in such form as the Director General determines, of—

(a) every complaint that is made to the chief executive;

(b) every conduct matter recorded by the chief executive under regulation 18 and 19;

(c) every DSI matter recorded by the chief executive under regulation 29;

(d) every exercise of a power or performance of a duty under these Regulations.

Section 17 Handling of complaints by the chief executive

(1) This regulation applies where a complaint has been recorded by the chief executive unless the complaint—

(a) is one which has been, or must be, referred to the Director General under regulation 23; and

(b) is not for the time being either referred back to the chief executive under regulation 25 or the subject of a determination under regulation 36.

(2) The chief executive is not to be required by virtue of any provisions of these Regulations to take any action in relation to the complaint but may handle the complaint in whatever manner the chief executive thinks fit, or take no action in relation to the complaint.

Section 18 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 FSA, 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 26 or is one which it would be appropriate to so refer.

(3) If the chief executive determines that the matter is one which the chief executive is required to refer to the Director General under regulation 26, or is one which it would be appropriate to so refer, the chief executive must record the matter.

(4) In any case not falling within paragraph (3), the chief executive must determine whether the matter—

(a) concerns substantially the same conduct as—

(i) a complaint made previously (“previous complaint”); or

(ii) a conduct matter recorded previously (“previous conduct matter”);

(b) is one in respect of which there is no fresh indication that an officer may have—

(i) committed a criminal offence; or

(ii) behaved in a manner which would justify the bringing of disciplinary proceedings;

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

(d) is one where, as respects the previous complaint or previous conduct matter, it has been or is being investigated or (in the case of a complaint) otherwise handled in accordance with these Regulations.

(5) In a case where the chief executive determines that the matter does not fall within paragraph (4), the chief executive must record the matter.

(6) In any case not falling within paragraph (3) or (5), 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 26 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 paragraphs (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 paragraph, 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 19 Recording, etc., of conduct matters in other cases

(1) This regulation applies where—

(a) a conduct matter comes, otherwise than as mentioned in regulation 18, 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 involves—

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

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

(iii) serious corruption, including abuse of position for a sexual purpose or the purpose of pursuing an improper emotional relationship, as determined 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, as determined in guidance issued by the Director General;

(v) a relevant offence;

(vi) conduct whose gravity or other exceptional circumstances make it appropriate to record the matter in which the conduct is involved;

(vii) conduct which is alleged to have taken place in the same incident as one in which conduct within paragraphs (i) to (v) is alleged.

(3) The chief executive must determine whether the matter is one which the chief executive is required to refer to the Director General under regulation 26 or is one which it would be appropriate to so refer.

(4) If the chief executive determines that the matter is one which the chief executive is required to refer to the Director General under regulation 26, or is one which it would be appropriate to so refer, the chief executive must record the matter.

(5) In any case not falling within paragraph (3) or (4), the chief executive must determine whether the matter—

(a) concerns substantially the same conduct as—

(i) a complaint made previously (“previous complaint”); or

(ii) a conduct matter recorded previously (“previous conduct matter”);

(b) is one in respect of which there is no fresh indication that an officer may have—

(i) committed a criminal offence; or

(ii) behaved in a manner which would justify the bringing of disciplinary proceedings;

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

(d) is one where, as respects the previous complaint or previous conduct matter, it has been or is being investigated or (in the case of a complaint) otherwise handled in accordance with these Regulations.

(6) In a case where the chief executive determines that the matter does not fall within paragraph (5), the chief executive must record the matter.

(7) In any case not falling within paragraph (4) or (6), the chief executive may (but need not) record the matter.

(8) In a case where the chief executive—

(a) records a matter under this paragraph; and

(b) is not required to refer the matter to the Director General under regulation 26 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.

(9) Nothing in paragraph (4) or (6) 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.

Section 20 Duty to preserve evidence relating to conduct matters

(1) Where the chief executive becomes aware of any recordable conduct matter relating to the conduct of an individual, the chief executive must take all such steps as appear to the chief executive to be appropriate for the purposes of these Regulations for obtaining and preserving the 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 Director General may direct the chief executive to take all such specific steps for obtaining or preserving evidence relating to any recordable conduct matter as the Director General considers appropriate for the purposes of these Regulations; and the chief executive must comply with any such direction.

Section 21 Complaints against a person who has subsequently ceased to be employed by the FSA

Where a complaint or conduct matter relates to the conduct of a person who has ceased to be employed by the FSA since the time of the conduct concerned, these Regulations apply in relation to such a person as if they did not include any requirement to determine whether disciplinary proceedings or performance proceedings should be brought against a person whose conduct is the subject matter of a report.

Section 22 Recording and reference of conduct and DSI matters

(1) Any conduct matter which is required to be referred to the Director General must be referred in such manner as the Director General specifies and—

(a) if the matter falls within regulation 26(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 falls within regulation 26(1)(a) or (b);

(b) if the matter falls within regulation 26(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.

(2) Any DSI matter which is required to be referred to the Director General must be referred 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;

(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.

Section 23 Reference of complaints to the Director General

(1) The chief executive must refer a complaint to the Director General where the complaint is—

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

(b) any complaint not falling within sub-paragraph (a) but alleging conduct which constitutes—

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

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

(iii) serious corruption, including abuse of position for a sexual purpose or the purpose of pursuing an improper emotional relationship, as determined 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, as determined in guidance issued by the Director General;

(v) a relevant offence;

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

(d) one in respect of which the Director General notifies the chief executive that the Director General requires the complaint in question 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 falls within paragraph (1)(a), (b) or (c); 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 (6), the power of—

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

(b) the chief executive to refer a complaint to the Director General under paragraph (2),

may be exercised 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 shall 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 an investigation of the complaint (whether an existing investigation or a possible future one), to the person complained against.

(7) A complaint that has already been referred to the Director General under this regulation on a previous occasion or that has been treated as having been so referred by virtue of regulation 24—

(a) is not required to be referred again under this regulation unless the Director General so directs; and

(b) may only be referred under paragraph (2) if the Director General consents.

Section 24 Power of Director General to treat complaints as having been referred

(1) The Director General may treat a complaint that comes to the Director General’s attention otherwise than by having been referred to the Director General under regulation 23 as having been so referred.

(2) Where the Director General treats a complaint as having been referred to the Director General—

(a) regulations 15 and 23 do not apply, or cease to apply, in relation to the complaint except to the extent provided for by regulation 23(7); and

(b) regulations 17, 25, 36 and 81 apply in relation to the complaint as if it had been referred to the Director General by the chief executive under regulation 23.

(3) The Director General must notify the following that the Director General is treating a complaint as having been referred to the Director General—

(a) the chief executive;

(b) the complainant;

(c) except in a case where it appears to the Director General that to do so might prejudice an investigation of the complaint (whether an existing investigation or a possible future one), the person complained against (if any).

(4) Where the chief executive receives a notification under paragraph (3) in respect of a complaint and the complaint has not yet been recorded, the chief executive must record the complaint.

Section 25 Duties of the Director General on references under regulation 23 or complaints treated as having been referred under regulation 24

(1) The Director General must, in the case of every complaint referred to the Director General by the chief executive, or treated as having been referred under regulation 24, 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—

(a) in a case where the complaint is already being investigated by the chief executive on the chief executive’s own behalf (and notwithstanding the Director General’s determination), the Director General must refer the complaint back to the chief executive for the investigation to be completed;

(b) in any other case, 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 17.

(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 an investigation of the complaint (whether an existing investigation or a possible future one), to the person complained against (if any).

Section 26 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 18, 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 involves the commission, or the alleged commission, by way of the conduct of an officer, of—

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

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

(iii) serious corruption, including abuse of position for a sexual purpose or the purpose of pursuing an improper emotional relationship, as determined 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, as determined in guidance issued by the Director General;

(v) a relevant offence; or

(vi) conduct which is alleged to have taken place in the same incident as one in which conduct within sub-paragraphs (i) to (v) is alleged; 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) In any 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.

(3) Where there is an obligation under paragraph (1) to refer any matter to the Director General, it must be so referred within such period as is provided for by regulation 22.

(4) Subject to paragraph (6), the power of—

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

(b) the chief executive to refer any matter to the Director General under paragraph (2),

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

(5) 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 an investigation of the matter (whether an existing investigation or a possible future one).

(6) A matter that has already been referred to the Director General under this regulation on a previous occasion or that has been treated as having been so referred by virtue of regulation 27—

(a) is not required to be referred again under this regulation unless the Director General so directs; and

(b) may only be referred under paragraph (2) if the Director General consents.

Section 27 Power of Director General to treat conduct matters as having been referred

(1) The Director General may treat a conduct matter that comes to the Director General’s attention otherwise than by having been referred to the Director General under regulation 26 as having been so referred.

(2) Where the Director General treats a conduct matter as having been referred to the Director General—

(a) regulations 18, 19 and 26 do not apply, or cease to apply, in relation to the matter except to the extent provided for by regulation 26(6); and

(b) regulations 28 and 36 apply in relation to the matter as if it had been referred to the Director General by the chief executive under regulation 26.

(3) The Director General must notify the following that the Director General is treating a conduct matter as having been referred to the Director General—

(a) the chief executive;

(b) except in a case where it appears to the Director General that to do so might prejudice an investigation of the matter (whether an existing investigation or a possible future one), the person to whose conduct the matter relates.

(4) Where the chief executive receives a notification under paragraph (3) in respect of a conduct matter and the matter has not yet been recorded, the chief executive must record the matter.

Section 28 Duties of the Director General on references under regulation 26 or conduct matters treated as having been referred under regulation 27

(1) The Director General must, in the case of every recordable conduct matter referred to the Director General by the chief executive under regulation 26 or treated as having been referred under regulation 27, 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 to be investigated—

(a) in a case where the recordable conduct matter is already being investigated by the chief executive on the chief executive’s own behalf, and notwithstanding the Director General’s determination, the Director General must refer the matter back to the chief executive for the investigation to be completed;

(b) in any other case, 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—

(a) the Director General refers a matter back to the chief executive under this regulation; and

(b) the Director General does not consider that to do so might prejudice an investigation of that matter (whether an existing investigation or a possible future one),

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

Section 29 Duty to record DSI matters

Where a DSI matter comes to the attention of the chief executive, the chief executive must record that matter.

Section 30 Duty to preserve evidence relating to DSI matters

(1) Where a DSI matter comes to the attention of the chief executive, 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 Director General may direct the chief executive to take all such specific steps for obtaining or preserving evidence relating to any recordable conduct matter as the Director General considers appropriate for the purposes of these Regulations; and the chief executive must comply with any such direction.

Section 31 Reference of DSI matters to the Director General

(1) The chief executive must refer a DSI matter 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, or that has been treated as having been so referred by virtue of regulation 32, is not required to be referred again, unless the Director General so directs.

Section 32 Power of Director General to treat DSI matters as having been referred

(1) The Director General may treat a DSI matter that comes to the Director General’s attention otherwise than by having been referred to the Director General under regulation 31 as having been so referred.

(2) Where the Director General treats a DSI matter as having been referred to the Director General—

(a) regulations 29 and 31 do not apply, or cease to apply, in relation to the matter except to the extent provided for by regulation 31(3); and

(b) regulations 33 and 36 apply in relation to the matter as if it had been referred to the Director General by the chief executive under regulation 31.

(3) The Director General must notify the chief executive that the Director General is treating a DSI matter as having been referred to the Director General.

(4) Where the chief executive receives a notification under paragraph (3) in respect of a DSI matter and the matter has not yet been recorded, the chief executive must record the matter.

Section 33 Duties of Director General on references under regulation 31 or DSI matters treated as having been referred under regulation 32

(1) The Director General must, in the case of every DSI matter referred to the Director General by the chief executive or treated as having been referred 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 DSI matter to be investigated—

(a) in a case where the DSI matter is already being investigated by the chief executive on the chief executive’s own behalf, and notwithstanding the Director General’s determination, the Director General must refer the matter back to the chief executive for the investigation to be completed;

(b) in any other case, 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 34 Procedure where conduct matter is revealed during investigation of DSI matter

(1) If during the course of an investigation of a DSI matter it appears to a person appointed under regulation 43 or 44, that there is an indication that an officer may have—

(a) committed a criminal offence; or

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

the person so appointed must make a submission to that effect to the Director General.

(2) If, after considering a submission under paragraph (1), the Director General determines that there is such an indication, the Director General must—

(a) notify the chief executive of the Director General’s determination; and

(b) send to the chief executive a copy of the submission under paragraph (1).

(3) If during the course of an investigation of a DSI matter being carried out by a person appointed under regulation 43 or 44 the Director General determines (without there having been a submission under paragraph (1)) that there is an indication that an officer may have—

(a) committed a criminal offence; or

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

the Director General must notify the chief executive of the Director General’s determination.

(4) If during the course of an investigation of a DSI matter by a person designated under regulation 45 the Director General determines that an officer may have—

(a) committed a criminal offence; or

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

the Director General must proceed under paragraph (5).

(5) The Director General must—

(a) prepare a record of the determination;

(b) notify the chief executive of the determination; and

(c) send to the chief executive a copy of the record of the determination prepared under sub-paragraph (a).

(6) If, during the course of an investigation of a DSI matter, it appears to a person appointed by the chief executive under regulation 42 to undertake an investigation that an officer may have—

(a) committed a criminal offence; or

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

the person so appointed must make a submission to that effect to the chief executive in relation to the DSI matter.

(7) If, after considering a submission under paragraph (6), the chief executive determines that there is such an indication, the chief executive must notify the Director General of that determination and send a copy of the submission under paragraph (6) to the Director General.

(8) Where the chief executive—

(a) is notified of a determination by the Director General under paragraph (2), (3) or (5); or

(b) makes a determination under paragraph (7),

the chief executive must record the matter under regulation 19 as a conduct matter.

(9) Where a DSI matter is recorded under regulation 19 as a conduct matter by virtue of paragraph (8)—

(a) the person investigating the DSI matter must, subject to any determination made by the Director General under regulation 36(8) or (9), continue the investigation as if appointed or designated to investigate the conduct matter; and

(b) the other provisions of these Regulations apply in relation to that matter accordingly.

Section 35 Inspections of FSA 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 purposes of the FSA and to documents and 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 this Part or of any investigation carried out under the Director General’s direction;

(c) the purposes of any review by the Director General under regulation 81.

(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 secure 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 45; 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 11 and 58.

Section 36 Power of the Director General to determine the form of an investigation

(1) This regulation applies where—

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

(b) the Director General determines under regulation 25(1), 28(1) or 33(1) that it is necessary for the complaint or matter to be investigated.

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

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

(a) an investigation by the chief executive on the chief executive’s own behalf;

(b) an investigation by the chief executive under the direction of the Director General;

(c) an investigation by the Director General.

(4) In making a determination under paragraph (2) the Director General must first determine whether, having regard to the seriousness of the case and the public interest, it is appropriate for the investigation to take the form of an investigation by the chief executive on the chief executive’s own behalf and, if it is, the Director General must determine that the investigation is to take that form.

(5) Where, in accordance with paragraph (4), the Director General determines that it is not appropriate for the investigation to take the form of an investigation by the chief executive on the chief executive’s own behalf, the Director General must determine that the investigation is to take the form of an investigation by the Director General unless paragraph (6) applies.

(6) This paragraph applies where the Director General determines that it would be more appropriate for the investigation to take the form of an investigation by the chief executive under the direction of the Director General, in which case the Director General must determine that the investigation is to take that form.

(7) Where the Director General determines under paragraph (6) or (9) that an investigation is to take the form of an investigation by the chief executive under the direction of the Director General, the Director General must keep under review whether that form of investigation continues to be the most appropriate form of investigation.

(8) If, on such a review, the Director General determines that—

(a) it would be more appropriate for the investigation to take the form of an investigation by the Director General, the Director General must make a further determination under this regulation (to replace the earlier one) that the investigation is instead to take that form;

(b) having regard to the seriousness of the case and the public interest, it would be more appropriate for the investigation to take the form of an investigation by the chief executive on the chief executive’s own behalf, the Director General may make a further determination under this regulation (to replace the earlier one) that the investigation is instead to take that form.

(9) Subject to paragraph (8), if at any time the Director General determines that, were the Director General to apply paragraphs (4) to (6) again, the form of the investigation would be different, the Director General may make a further determination under this regulation (to replace the earlier one) such that the investigation takes that different form.

(10) 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.

(11) A person to whom a direction is given under this regulation must comply with it.

(12) 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, and of the Director General’s reasons for making the determination.

(13) Subject to regulation 62, the Director General must also notify the following of any determination that the Director General makes under this regulation in relation to a particular complaint, recordable conduct matter or DSI matter, and of the Director General’s reasons for making the determination—

(a) every person entitled to be kept properly informed in relation to the complaint or matter under regulation 60;

(b) where the determination is made in relation to a complaint, the complainant;

(c) the person to whose conduct the investigation will relate.

Section 37 Appointment of persons to carry out investigations

A person may not be appointed to carry out an investigation under regulation 42, 43 or 44—

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

(b) if that person’s involvement could reasonably give rise to a concern as to whether that person could act impartially under these Regulations; or

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

Section 38 Timeliness of investigations

(1) Where an investigation under regulation 42 is not completed within a relevant period, the chief executive must, as soon as practicable after the end of that period, provide in writing the information mentioned in paragraph (4) to the Director General.

(2) Where an investigation under regulation 43, 44 or 45 is not completed within a relevant period, the Director General must, as soon as practicable after the end of that period, provide in writing the information mentioned in paragraph (4) to the chief executive, unless it appears to the Director General that to do so might prejudice the investigation or any other investigation (including a criminal investigation).

(3) For the purposes of this regulation, each of the following is a “relevant period”—

(a) the period of 12 months starting with the date on which—

(i) the complaint to which the investigation relates was made; or

(ii) the conduct matter or DSI matter to which the investigation relates came to the attention of the chief executive;

(b) each subsequent period of six months starting with the day after the end of the previous relevant period.

(4) The information is—

(a) the date on which—

(i) the complaint to which the investigation relates was made; or

(ii) the conduct matter or DSI matter to which the investigation relates came to the attention of the chief executive;

(b) the date on which any notice was given under regulation 50;

(c) the progress of the investigation;

(d) an estimate of when the report on the investigation will be submitted or completed under regulation 72 or 75;

(e) the reason for the length of time being taken to complete the investigation; and

(f) a summary of planned steps to progress the investigation and bring it to a conclusion.

(5) The chief executive or the Director General, as the case may be, must send a copy of the information provided in writing under paragraph (1) or (2) to—

(a) except where paragraph (6) applies, the complainant (if any) and any interested person; and

(b) except in a case where it appears to the chief executive or the Director General, as the case may be, that to do so might prejudice the investigation or any other investigation (including a criminal investigation), the person to whose conduct the investigation relates.

(6) This paragraph applies where the Director General or the chief executive, as the case may be, is of the opinion that the non-disclosure of the information is necessary for a purpose mentioned in regulation 62(3).

(7) Paragraphs (4) and (5) of regulation 62 apply in relation to paragraph (6) of this regulation as they apply in relation to paragraph (1) of regulation 61.

Section 39 Combining and splitting investigations

(1) Where the chief executive is carrying out an investigation on the chief executive’s own behalf, the chief executive may—

(a) combine that investigation with another such investigation; or

(b) split that investigation into two or more such separate investigations,

if the chief executive considers that it is more efficient and effective, or is otherwise in the public interest, to do so.

(2) Subject to paragraph (3), where the Director General is directing an investigation or carrying out an investigation, the Director General may—

(a) combine that investigation with another investigation; or

(b) split that investigation into two or more separate investigations,

if the Director General considers that it is more efficient and effective, or is otherwise in the public interest, to do so.

(3) The Director General must consult the chief executive before taking any action under paragraph (2) in relation to an investigation directed by the Director General.

(4) Nothing in this regulation prevents the Director General from determining—

(a) that where an investigation is split into two or more separate investigations, those investigations may take different forms; or

(b) that two or more separate investigations which take different forms (including an investigation being carried out by the chief executive on the chief executive’s own behalf) may be combined into a single investigation.

Section 40 Withdrawn complaints

(1) This regulation applies where the chief executive receives a notification signed by the complainant or the complainant’s solicitor or other authorised agent on the complainant’s behalf that the complainant—

(a) withdraws the complaint; or

(b) does not wish any further steps to be taken.

(2) The chief executive must record the withdrawal or the fact that the complainant does not wish any further steps to be taken and, subject to the following provisions of this regulation, these Regulations cease to apply in respect of that complaint.

(3) Where the notification mentioned in paragraph (1) relates to a complaint which—

(a) was referred to the Director General under regulation 23 or is being treated by the Director General as having been so referred under regulation 24; and

(b) has not been referred back to the chief executive under regulation 25(2);

the chief executive must notify the Director General that the chief executive has recorded the withdrawal or the fact that the complainant does not wish any further steps to be taken.

(4) Where the notification mentioned in paragraph (1) relates to a complaint which the chief executive knows is subject to a review under regulation 81, the chief executive must notify the Director General that the chief executive has recorded the withdrawal or the fact that the complainant does not wish any further steps to be taken.

(5) In a case falling within paragraph (3) or paragraphs (3) and (4), the Director General 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 chief executive of the Director General’s determination.

(6) In a case falling within paragraph (4) (but not also paragraph (3)), 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 that determination and the reasons for it.

(7) Where the notification mentioned in paragraph (1) relates to a complaint which does not fall within paragraph (3) or (4), the chief executive must determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter.

(8) Where a determination is made under paragraph (5), (6) or (7) that it is in the public interest for the complaint is to be treated as a recordable conduct matter, regulations 18, 19, 20, 26, 27 and 28 apply to that matter.

(9) Where—

(a) a complaint is subject to a review by the Director General under regulation 81; and

(b) the chief executive notifies the Director General under paragraph (6)(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 instruct the chief executive to reverse the determination.

(10) Subject to paragraph (11), the chief executive must notify the person complained against if—

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

(b) a determination is made under paragraph (5), (6) or (7) that it is in the public interest for the complaint to be treated as a recordable conduct matter;

(c) the Director General instructs the chief executive to reverse a determination not to treat the complaint as a recordable conduct matter;

(d) the provisions of these Regulations cease to apply to the complaint.

(11) Nothing in paragraph (10) requires the chief executive to make a notification if the chief executive believes that to do so—

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

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

Section 41 Withdrawn complaints: no written signed notification

(1) This regulation applies where the complainant indicates a wish—

(a) to withdraw the complaint; or

(b) that no further steps be taken,

but does not provide a notification to that effect signed by the complainant or the complainant’s solicitor or other authorised agent on the complainant’s behalf.

(2) The chief executive must write to the complainant to determine how the complainant wishes to proceed.

(3) A letter under paragraph (2) must, subject to guidance issued by the Director General, be sent by recorded delivery.

(4) Where the complainant—

(a) replies confirming the complainant’s wish to withdraw the complaint or that no further steps be taken; or

(b) does not reply within a period of 28 days starting with the day after the day the letter was sent by the chief executive in accordance with paragraph (2),

the chief executive must proceed as if the chief executive had received a notification signed by the complainant that the complainant withdraws the complaint or wishes that no further steps be taken.

Section 42 Investigations by the chief executive on the chief executive’s own behalf

(1) This regulation applies where the chief executive is required by virtue of any determination made by the Director General under regulation 36 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) The chief executive must appoint an officer to investigate the complaint or matter.

Section 43 Investigation by a police force or the National Crime Agency under the direction of the Director General

(1) This regulation applies where the Director General determines that there should be an investigation under the direction of the Director General by—

(a) a police force; or

(b) the National Crime Agency .

(2) The Director General must—

(a) in the case of an investigation by a police force—

(i) identify the police force whose force area includes the geographical area to which the subject matter of the complaint, recordable conduct matter or DSI matter most closely relates; and

(ii) take steps to obtain the agreement of the chief officer of that force, and the chief executive, to the carrying out of the investigation by that force; or

(b) in the case of an investigation by the National Crime Agency, take steps to obtain the agreement of the Director General of the National Crime Agency, and the chief executive, to the carrying out of the investigation by the National Crime Agency.

(3) In the event that no agreement is reached under paragraph (2) the Director General may require the chief officer of any police force that the Director General considers appropriate or, as the case may be, the National Crime Agency, to carry out the investigation.

(4) Whether by agreement or if required to do so under paragraph (3), where—

(a) the investigation is to be carried out by a police force, the chief officer of the police force concerned must, if that person has not already done so, appoint a person serving with the police who is a member of that force to investigate that complaint or matter;

(b) the investigation is to be carried out by the National Crime Agency, the Director General of the National Crime Agency must, if that person has not already done so, appoint a person serving with the National Crime Agency to investigate that complaint or matter.

(5) An appointment of a person under paragraph (4) must be notified to the chief executive by the chief officer concerned or, as the case may be, by the Director General of the National Crime Agency.

(6) The person appointed to investigate the complaint or matter under paragraph (4)—

(a) shall be under the direction and control of the Director General; and

(b) must comply with all such requirements in relation to the carrying out of that investigation as may be imposed under these Regulations.

Section 44 Investigations directed by the Director General

(1) This regulation applies where the Director General has determined that the Director General should direct 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 to investigate the complaint or matter; or

(b) if the chief executive is of the opinion that, having regard to regulation 37, it is not possible to appoint an officer to investigate the complaint or matter, make arrangements with a chief officer or the Director General of the National Crime Agency to have a person serving with the police or a person serving with the National Crime Agency 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 at any time the Director General is not satisfied with the person investigating, the Director General may require the chief executive, as soon as reasonably practicable after being required to do so, to—

(a) appoint a different officer, or make arrangements for another person to be appointed in accordance with paragraph (2)(b), to investigate the complaint or matter; and

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

(5) Paragraph (4) applies whether the person investigating was appointed—

(a) before the chief executive was given notice of the Director General’s determination that the Director General should direct the investigation by the chief executive;

(b) under paragraph (2) (including where the appointment was approved by the Director General in accordance with paragraph (3)); or

(c) under paragraph (6)(a).

(6) Where a selection made in pursuance of a requirement under paragraph (4) has been notified to the Director General—

(a) 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 the Director General approves the appointment of that person;

(b) if the Director General notifies the chief executive that the Director General does not approve the appointment of that person, the chief executive must make another selection in accordance with paragraph (4).

(7) The person appointed to investigate the complaint or matter shall—

(a) in relation to that investigation, be under the direction and control of the Director General; and

(b) keep the Director General informed of the progress of the investigation.

Section 45 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 Office’s staff as are required by the Director General to assist the person designated to take charge of the investigation.

(3) 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).

(4) 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) 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.

(5) 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 of the Trade Union and Labour Relations (Consolidation) Act 1992 (person in police service excluded from definitions of “worker” and “employee”); or

(b) section 200 of the Employment Rights Act 1996 (certain provisions of that Act not to apply to persons in police service).

(6) 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 paragraph).

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

Section 46 Change of form of investigation: provision of documentation and evidence

(1) This regulation applies where the Director General determines that—

(a) an investigation being carried out by the Director General should instead take the form of an investigation by the chief executive on the chief executive’s own behalf or an investigation by the chief executive under the direction of the Director General; or

(b) an investigation being carried out by the chief executive under the direction of the Director General should instead take the form of an investigation by the chief executive on the chief executive’s own behalf.

(2) The Director General must send to the chief executive any documentation and evidence gathered during the investigation which will assist the chief executive to carry out the chief executive’s functions under these Regulations.

Section 47 Suspension of investigation or other procedure

(1) The Director General and, subject to paragraph (2), the chief executive may suspend any investigation or other procedure under these Regulations which, in the opinion of the Director General or, as the case may be, the chief executive, would, if it were to continue, prejudice any criminal investigation or proceedings.

(2) The Director General may direct that any investigation or other procedure under these Regulations which is liable to be, or has been, suspended by the chief executive under paragraph (1) is to continue, or be resumed, if the Director General is of the view that it is in the public interest to make such a direction.

(3) The Director General must consult the chief executive before making a direction under paragraph (2).

Section 48 Resumption of investigation of complaint after criminal proceedings

(1) This regulation applies where—

(a) the Director General or the chief executive has suspended the whole or part of the investigation of a complaint until the conclusion of criminal proceedings under regulation 47; and

(b) the criminal proceedings described in sub-paragraph (a) have concluded.

(2) Where the complainant has not indicated—

(a) a wish for the investigation to start or be resumed; or

(b) a wish that the investigation is not started or resumed,

the Director General or the chief executive, as the case may be, must write to the complainant to determine how the complainant wishes to proceed.

(3) A letter under paragraph (2) must, subject to guidance issued by the Director General, be sent by recorded delivery.

(4) Where the complainant indicates a wish for the investigation to start or be resumed, the Director General or the chief executive, as the case may be, must start or resume the investigation.

(5) Where the complainant—

(a) indicates a wish that the investigation is not started or resumed; or

(b) does not reply to a letter under paragraph (2) within a period of 28 days starting with the day after the letter was sent by the Director General or the chief executive in accordance with paragraph (2),

the Director General or the chief executive, as the case may be, must determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter.

(6) Where the Director General or the chief executive determines that it is not in the public interest for the complaint to be treated as a recordable conduct matter, these Regulations cease to apply to the complaint.

(7) Where the Director General or the chief executive determines that it is in the public interest for the complaint to be treated as a recordable conduct matter, the relevant provisions of regulations 18, 19, 20, 26, 27 and 28 apply to the matter.

(8) Subject to paragraph (9), the Director General or the chief executive, as the case may be, must notify the person complained against if paragraph (6) or (7) applies.

(9) Nothing in paragraph (8) requires the Director General or the chief executive to make a notification if the Director General or the chief executive, as the case may be, believes that to do so might prejudice any criminal investigation or pending proceedings or would be contrary to the public interest.

Section 49 Special procedure: severity assessment

(1) Where Condition A, B or C is satisfied, the person investigating must proceed with the investigation in accordance with paragraphs (5) to (8) and regulations 50 to 55.

(2) Condition A is that—

(a) the investigation is an investigation of a complaint; and

(b) during the course of the investigation it appears to the person investigating or, in the case of an investigation by a designated person under regulation 45, the Director General, that there is an indication that the person to whose conduct the investigation relates may have—

(i) committed a criminal offence; or

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

(3) Condition B is that—

(a) the investigation is an investigation of a complaint being carried out by a person appointed under regulation 43 or 44; and

(b) during the course of the investigation the Director General determines that there is an indication that the person to whose conduct the investigation relates may have—

(i) committed a criminal offence; or

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

(4) Condition C is that the investigation is an investigation of a recordable conduct matter.

(5) In the case of an investigation under regulation 43 or 44, the person investigating must, as soon as is reasonably practicable—

(a) form an opinion as to—

(i) whether the conduct of the person concerned, if proved, would amount to misconduct that is so serious as to justify disciplinary action or gross misconduct, and

(ii) if that conduct were to become the subject of disciplinary proceedings, the form which those proceedings would be likely to take;

(b) notify the Director General of that opinion; and

(c) refer the case to the Director General for the Director General to make a severity assessment in relation to the conduct of the person concerned.

(6) In the case of an investigation under regulation 45 other than by the Director General acting personally, the person investigating must, as soon as is reasonably practicable, refer the case to the Director General for the Director General to make a severity assessment in relation to the conduct of the person concerned.

(7) In any other case, the person investigating must, as soon as is reasonably practicable, make a severity assessment in relation to the conduct of the person concerned.

(8) A severity assessment may only be made after consultation with the chief executive.

(9) In this regulation and in regulations 50 to 55, “ person concerned ” means—

(a) in relation to an investigation of a complaint, the officer in respect of whom it appears to the person investigating or, in the case of an investigation by a designated person under regulation 45, the Director General, that there is the indication mentioned in paragraph (2)(b) or, as the case may be, paragraph (3)(b);

(b) in relation to an investigation of a recordable conduct matter, the officer to whose con-duct the investigation relates.

Section 50 Special procedure: notification of severity assessment etc.

(1) Except where paragraph (4) applies, on the completion of a severity assessment, the person investigating must give the person concerned a notice stating—

(a) the conduct that is the subject matter of the allegation and how that conduct is alleged to fall below the standards contained in the Civil Service Code;

(b) that there is to be an investigation into the matter and the identity of the person investigating;

(c) the result of the severity assessment;

(d) that the person concerned has the right to seek advice from the person’s staff association or any other body;

(e) the effect of regulation 51; and

(f) the effect of regulation 53.

(2) Where a notice is given under paragraph (1), the person investigating must—

(a) except where paragraph (4) applies, provide a copy of the terms of reference of the investigation to the person concerned; or

(b) where paragraph (4) applies, give the person concerned a notice stating that the terms of reference of the investigation are not being provided and explaining why,

where practicable, at the same time as notice is given under paragraph (1), or otherwise within a period of 5 working days starting with the first working day after the day on which such notice is given.

(3) Except where paragraph (4) applies, where a copy of the terms of reference of the investigation has been provided under paragraph (2) and those terms are revised, the person investigating must provide a copy of the revised terms to the person concerned as soon as practicable.

(4) This paragraph applies for so long as—

(a) in the case of an investigation under regulation 43, 44 or 45, the Director General; or

(b) in the case of an investigation under regulation 42, the person investigating the complaint or matter,

considers that giving the notice, or providing a copy of the terms, or revised terms, of reference of the investigation, might prejudice the investigation or any other investigation, including a criminal investigation.

(5) A copy of the terms, or revised terms, of reference of the investigation provided under paragraph (2) or (3) may be in a form which keeps anonymous the identity of the complainant (if any) or any other person.

(6) On the completion of a severity assessment, the person investigating must notify the chief executive of the result of the assessment.

(7) A notice under paragraph (1) and a copy of the terms, or revised terms, of reference of the investigation under paragraph (2) or (3) must be—

(a) given to the person concerned in person;

(b) left with a person at, or sent by recorded delivery to, the last known address of the person concerned;

(c) given to the person concerned in person by their FSA friend, where the FSA friend has agreed with the chief executive to deliver the notice; or

(d) given to the person concerned in any other manner agreed between the person investigating and the person concerned.