PART 2 continued
(2) In any case in which there is an investigation of a complaint in accordance with the provisions of Schedule 3—
(a) by the appropriate authority on its own behalf, or
(b) under the supervision of the Commission,
it shall be the duty of the appropriate authority to provide the complainant with all such information as will keep him properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in subsection (4).
(3) Where subsection (2) applies, it shall be the duty of the Commission to give the appropriate authority all such directions as it considers appropriate for securing that that authority complies with its duty under that subsection; and it shall be the duty of the appropriate authority to comply with any direction given to it under this subsection.
(4) The matters of which the complainant must be kept properly informed are—
(a) the progress of the investigation;
(b) any provisional findings of the person carrying out the investigation;
(c) whether any report has been submitted under paragraph 22 of Schedule 3;
(d) the action (if any) that is taken in respect of the matters dealt with in any such report; and
(e) the outcome of any such action.
(5) The duties imposed by this section on the Commission and the appropriate authority in relation to any complaint shall be performed in such manner, and shall have effect subject to such exceptions, as may be provided for by regulations made by the Secretary of State.
(6) The Secretary of State shall not by regulations provide for any exceptions from the duties imposed by this section except so far as he considers it necessary to do so for the purpose of—
(a) preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any actual or prospective criminal proceedings;
(b) preventing the disclosure of information in any circumstances in which it has been determined in accordance with the regulations that its non-disclosure—
(i) is in the interests of national security;
(ii) is for the purposes of the prevention or detection of crime, or the apprehension or prosecution of offenders;
(iii) is required on proportionality grounds; or
(iv) is otherwise necessary in the public interest.
(7) The non-disclosure of information is required on proportionality grounds if its disclosure would cause, directly or indirectly, an adverse effect which would be disproportionate to the benefits arising from its disclosure.
(8) Regulations under this section may include provision framed by reference to the opinion of, or a determination by, the Commission or any police authority or chief officer.
(9) It shall be the duty of a person appointed to carry out an investigation under this Part to provide the Commission or, as the case may be, the appropriate authority with all such information as the Commission or that authority may reasonably require for the purpose of performing its duty under this section.
(1) A person has an interest in being kept properly informed about the handling of a complaint or recordable conduct matter if—
(a) it appears to the Commission or to an appropriate authority that he is a person falling within subsection (2); and
(b) that person has indicated that he consents to the provision of information to him in accordance with this section and that consent has not been withdrawn.
(2) A person falls within this subsection if—
(a) he is a relative of a person whose death is the alleged result from the conduct complained of or to which the recordable conduct matter relates;
(b) he is a relative of a person whose serious injury is the alleged result from that conduct and that person is incapable of making a complaint;
(c) he himself has suffered serious injury as the alleged result of that conduct.
(3) A person who does not fall within subsection (2) has an interest in being kept properly informed about the handling of a complaint or recordable conduct matter if—
(a) the Commission or an appropriate authority considers that he has an interest in the handling of the complaint or recordable conduct matter which is sufficient to make it appropriate for information to be provided to him in accordance with this section; and
(b) he has indicated that he consents to the provision of information to him in accordance with this section.
(4) In relation to a complaint, this section confers no rights on the complainant.
(5) A person who has an interest in being kept properly informed about the handling of a complaint or conduct matter is referred to in this section as an “interested person”.
(6) In any case in which there is an investigation of the complaint or recordable conduct matter in accordance with the provisions of Schedule 3—
(a) by the Commission, or
(b) under its management,
it shall be the duty of the Commission to provide the interested person with all such information as will keep him properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in subsection (9).
(7) In any case in which there is an investigation of the complaint or recordable conduct matter in accordance with the provisions of Schedule 3—
(a) by the appropriate authority on its own behalf, or
(b) under the supervision of the Commission,
it shall be the duty of the appropriate authority to provide the interested person with all such information as will keep him properly informed, while the investigation is being carried out and subsequently, of all the matters mentioned in subsection (9).
(8) Where subsection (7) applies, it shall be the duty of the Commission to give the appropriate authority all such directions as it considers appropriate for securing that that authority complies with its duty under that subsection; and it shall be the duty of the appropriate authority to comply with any direction given to it under this subsection.
(9) The matters of which the interested person must be kept properly informed are—
(a) the progress of the investigation;
(b) any provisional findings of the person carrying out the investigation;
(c) whether any report has been submitted under paragraph 22 of Schedule 3;
(d) the action (if any) that is taken in respect of the matters dealt with in any such report; and
(e) the outcome of any such action.
(10) The duties imposed by this section on the Commission and the appropriate authority in relation to any complaint or recordable conduct matter shall be performed in such manner, and shall have effect subject to such exceptions, as may be provided for by regulations made by the Secretary of State.
(11) Subsections (6) to (9) of section 20 apply for the purposes of this section as they apply for the purposes of that section.
(12) In this section “relative” means a person of a description prescribed in regulations made by the Secretary of State.
(1) The Commission may issue guidance—
(a) to police authorities,
(b) to chief officers, and
(c) to persons who are serving with the police otherwise than as chief officers,
concerning the exercise or performance, by the persons to whom the guidance is issued, of any of the powers or duties specified in subsection (2).
(2) Those powers and duties are—
(a) those that are conferred or imposed by or under this Part; and
(b) those that are otherwise conferred or imposed but relate to—
(i) the handling of complaints;
(ii) the means by which recordable conduct matters are dealt with; or
(iii) the detection or deterrence of misconduct by persons serving with the police.
(3) Before issuing any guidance under this section, the Commission shall consult with—
(a) persons whom it considers to represent the interests of police authorities;
(b) persons whom it considers to represent the interests of chief officers of police; and
(c) such other persons as it thinks fit.
(4) The approval of the Secretary of State shall be required for the issue by the Commission of any guidance under this section.
(5) Without prejudice to the generality of the preceding provisions of this section, the guidance that may be issued under this section includes—
(a) guidance about the handling of complaints which have not yet been recorded and about dealing with recordable conduct matters that have not been recorded;
(b) guidance about the procedure to be followed by the appropriate authority when recording a complaint or any recordable conduct matter;
(c) guidance about—
(i) how to decide whether a complaint is suitable for being subjected to local resolution; and
(ii) about the information to be provided to a person before his consent to such resolution is given;
(d) guidance about how to protect the scene of an incident or alleged incident which—
(i) is or may become the subject-matter of a complaint; or
(ii) is or may involve a recordable conduct matter;
(e) guidance about the circumstances in which it is appropriate (where it is lawful to do so)—
(i) to disclose to any person, or to publish, any information about an investigation of a complaint or conduct matter; or
(ii) to provide any person with, or to publish, any report or other document relating to such an investigation;
(f) guidance about the matters to be included in a memorandum under paragraph 23 or 25 of Schedule 3 and about the manner in which, and the place at which, such a memorandum is to be delivered to the Commission.
(6) Nothing in this section shall authorise the issuing of any guidance about a particular case.
(7) It shall be the duty of every person to whom any guidance under this section is issued to have regard to that guidance in exercising or performing the powers and duties to which the guidance relates.
(8) A failure by a person to whom guidance under this section is issued to have regard to the guidance shall be admissible in evidence in any disciplinary proceedings or on any appeal from a decision taken in any such proceedings.
(1) The Secretary of State may make regulations as to the procedure to be followed under any provision of this Part.
(2) Without prejudice to the generality of the power conferred by subsection (1) or of any other power to make regulations conferred by any provision of this Part, the Secretary of State may also by regulations provide—
(a) for the appropriate authority, in the case of a complaint against any person, to be required, in accordance with procedures provided for in the regulations—
(i) to supply the person complained against with a copy of the complaint; and
(ii) to supply the complainant with a copy of the record made of that complaint;
(b) for the matters to be taken into account in making any determination as to which procedure to adopt for handling complaints and dealing with recordable conduct matters;
(c) for any procedure for the purposes of this Part to be discontinued where—
(i) a complaint is withdrawn;
(ii) the complainant indicates that he does not wish any further steps to be taken; or
(iii) the whole or part of the investigation of the complaint has been postponed until the conclusion of criminal proceedings and the complainant fails to indicate after the conclusion of those proceedings that he wishes the investigation to be resumed;
and for the manner in which any such withdrawal or indication is to be effected or given, and for the circumstances in which it is to be taken as effected or given;
(d) for requiring the subject-matter of a complaint that has been withdrawn to be treated for the purposes of this Part, in the cases and to the extent specified in the regulations, as a recordable conduct matter;
(e) for the manner in which any procedure for the purposes of this Part is to be discontinued in a case where it is discontinued in accordance with the regulations, and for the consequences of any such discontinuance;
(f) for the circumstances in which any investigation or other procedure under this Part may be or must be suspended to allow any other investigation or proceedings to continue, and for the consequences of such a suspension;
(g) for the regulation of the appointment of persons to carry out investigations under this Part or to assist with the carrying out of such investigations, for limiting the persons who may be appointed and for the regulation of the carrying out of any such investigation;
(h) for combining into a single investigation—
(i) the investigations of different complaints (whether relating to the same or different conduct),
(ii) the investigations of different conduct matters, and
(iii) the investigation or investigations of any one or more complaints and the investigation or investigations of any one or more conduct matters,
and for splitting a single investigation into two or more separate investigations;
(i) for the procedure to be followed in cases in which the Commission relinquishes the supervision or management of any investigation and for the consequences of its doing so;
(j) for the manner in which any reference of a complaint or conduct matter to the Commission is to be made;
(k) for applying the provisions of this Part with such modifications as the Secretary of State thinks fit in cases where a complaint or recordable conduct matter relates to the conduct of a person who has ceased to be a person serving with the police since the time of the conduct;
(l) for applying the provisions of this Part with such modifications as the Secretary of State thinks fit in cases where a complaint or conduct matter relates to the conduct of a person—
(i) whose identity is unascertained at the time at which a complaint is made or a conduct matter is recorded;
(ii) whose identity is not ascertained during, or subsequent to, the investigation of a complaint or recordable conduct matter;
(m) for the Commission—
(i) to be required to notify actions and decisions it takes in consequence of the receipt of a memorandum under paragraph 23 or 25 of Schedule 3; and
(ii) to be authorised to provide information in relation to the matters notified;
(n) for the records to be kept by police authorities and chief officers—
(i) with respect to complaints and purported complaints;
(ii) with respect to recordable conduct matters; and
(iii) with respect to the exercise and performance of their powers and duties under this Part;
(o) for the Commission to be required to establish and maintain a register of such information provided to it in accordance with this Part as may be of a description specified in the regulations and for regulating the extent to which information stored on that register may be published or otherwise disclosed to any person by the Commission;
(p) for chief officers to have power to delegate the exercise or performance of powers and duties conferred or imposed on them by or under this Part;
(q) for the manner in which any notification for the purposes of any provision of this Part is to be given and the time at which, or period within which, any such notification must be given.
Before making any regulations under this Part, the Secretary of State shall consult with—
(a) the Commission;
(b) persons whom he considers to represent the interests of police authorities;
(c) persons whom he considers to represent the interests of chief officers of police; and
(d) such other persons as he thinks fit.
(1) For subsection (1) of section 39 of the 1997 Act (complaints about members of NCIS) there shall be substituted—
“(1) The Secretary of State may by regulations make provision about—
(a) the handling of complaints about the conduct of members of NCIS;
(b) the recording of matters from which it appears there may have been misconduct by members of NCIS; and
(c) the investigation of such complaints and matters.”
(2) In subsection (2) of that section—
(a) for “shall” there shall be substituted “may”; and
(b) for paragraph (c) there shall be substituted—
“(c) for applying, with such modifications as he may think fit, any provision made by or under Part 2 of the Police Reform Act 2002 (c. 30) (complaints and misconduct).”
(3) After that subsection there shall be inserted—
“(2ZA) Regulations under subsection (1) may provide—
(a) for obligations under the regulations to be framed by reference to the opinions of such persons as may be specified in the regulations; and
(b) for it to be the duty of any person on whom functions are conferred by the regulations to have regard, in the carrying out of those functions, to any guidance given by such persons and in such manner as may be so specified.”
(4) Subsection (3) of that section (guidance by the Secretary of State after consultation with the Scottish Ministers) shall cease to have effect.
(5) For subsections (1) to (3) of section 83 of that Act (complaints about members of NCS and guidance by the Secretary of State) there shall be substituted—
“(1) The Secretary of State may by regulations make provision about—
(a) the handling of complaints about the conduct of members of National Crime Squad;
(b) the recording of matters from which it appears there may have been misconduct by members of the National Crime Squad; and
(c) the investigation of such complaints and matters.
(2) Regulations under this section may make such provision as the Secretary of State thinks desirable for applying, with such modifications as he thinks fit, any provision made by or under Part 2 of the Police Reform Act 2002 (c. 30) (complaints and misconduct).
(2A) Regulations under this section may provide—
(a) for obligations under the regulations to be framed by reference to the opinions of such persons as may be specified in the regulations; and
(b) for it to be the duty of any person on whom functions are conferred by the regulations to have regard, in the carrying out of those functions, to any guidance given by such persons and in such manner as may be so specified.”
(1) Notwithstanding any provision made by or under any enactment passed or made before this Act—
(a) the Commission, and
(b) an authority other than a police authority which maintains a body of constables,
shall each have power to enter into an agreement with the other for the establishment and maintenance in relation to that body of constables of procedures corresponding or similar to any of those provided for by or under this Part.
(2) If it appears to the Secretary of State appropriate to do so in relation to any body of constables maintained otherwise than by a police authority to establish any such corresponding or similar procedures, he may by order—
(a) provide for the establishment and maintenance of such procedures in relation to that body of constables; and
(b) in a case in which procedures in relation to that body of constables have effect by virtue of subsection (9) or have previously been established by virtue of this section—
(i) provide for those procedures to be superseded by the provision made by the order; and
(ii) make transitional provision in connection with the replacement of the superseded procedures.
(3) It shall be the duty of the Secretary of State to secure that procedures are established and maintained under subsection (2) in relation to each of the following—
(a) the Ministry of Defence Police; and
(b) the British Transport Police Force.
(4) An agreement under this section shall not be made, varied or terminated except with the approval of the Secretary of State.
(5) An agreement or order under this section in relation to any body of constables may contain provision for enabling the Commission to bring and conduct, or otherwise participate or intervene in, any proceedings which are identified by the agreement or order as disciplinary proceedings in relation to members of that body of constables.
(6) An agreement or order under this section in relation to any body of constables may provide for the application of procedures in relation to persons who are not themselves constables but are employed for the purposes of that body of constables and in relation to the conduct of such persons, as well as in relation to members of that body of constables and their conduct.
(7) Before making an order under this section the Secretary of State shall consult with both—
(a) the Commission; and
(b) the authority maintaining the body of constables to whom the order relates.
(8) Procedures established in accordance with any agreement or order under this section shall have no effect in relation to anything done outside England and Wales by any constable or any person employed for the purposes of a body of constables.
(9) Where, immediately before the coming into force of this section, any procedures have effect in relation to any body of constables by virtue of—
(a) section 78 of the 1996 Act (which made provisions similar to that made by this section), or
(b) paragraph 13 of Schedule 8 to that Act (transitional provisions),
those procedures shall continue to have effect thereafter (notwithstanding the repeal by this Act of Chapter 1 of Part 4 of the 1996 Act and of that paragraph) until superseded by procedures established by virtue of any agreement or order under this section.
(10) Subsection (9) has effect subject to the provisions of any order made under section 28.
(1) The Secretary of State shall by regulations make provision for the manner in which the following cases are to be handled or dealt with—
(a) cases in which allegations of misconduct are made against members of the Commission’s staff; and
(b) cases in which there is otherwise an indication that there may have been misconduct by a member of the Commission’s staff.
(2) Regulations under this section may apply, with such modifications as the Secretary of State thinks fit, any provision made by or under this Part.
(3) Regulations under this section may provide for it to be the duty of any person on whom functions are conferred by the regulations to have regard, in the carrying out of those functions, to any guidance given by such persons and in such manner as may be specified in the regulations.
(4) Before making any regulations under this section the Secretary of State shall consult with the Commission.
(1) The Secretary of State may, in connection with the coming into force of any provision of this Part, by order make such transitional provision and savings (including provision modifying this Part) as he thinks fit.
(2) The Secretary of State may, for the purpose of facilitating the carrying out by the Commission of its functions, or in connection with the coming into force of any provision of this Part, by order make such provision as he thinks fit—
(a) for the transfer and apportionment of property; and
(b) for the transfer, apportionment and creation of rights and liabilities.
(3) The provision that may be made by an order under this section shall include provision that—
(a) pending the coming into force of any repeal by this Act of an enactment contained in Chapter 1 of Part 4 of the 1996 Act (complaints), or
(b) for transitional purposes connected with the coming into force of any such repeal,
the functions of the Police Complaints Authority under an enactment so contained are to be carried out by the Commission.
(4) The provision that may be made by an order under this section shall also include transitional provision in connection with the repeal by this Act of the reference to the Police Complaints Authority in Schedule 1 to the Superannuation Act 1972 (c. 11).
(5) An order under this section may—
(a) provide for the Secretary of State, or any other person nominated by or in accordance with the order, to determine any matter requiring determination under or in consequence of the order; and
(b) make provision as to the payment of fees charged, or expenses incurred, by any person nominated to determine any matter by virtue of paragraph (a).
(6) Where a person—
(a) ceases to be a member of the Police Complaints Authority by reason of its abolition, and
(b) does not become a member of the Commission,
the Secretary of State may make a payment to that person of such amount as the Secretary of State may, with the consent of the Treasury, determine.
(1) In this Part—
“the appropriate authority”, in relation to a person serving with the police or in relation to any complaint, matter or investigation relating to the conduct of such a person, means—
if that person is a senior officer, the police authority for the area of the police force of which he is a member; and
if he is not a senior officer, the chief officer under whose direction and control he is;
“chief officer” means the chief officer of police of any police force;
“the Commission” has the meaning given by section 9(1);
“complainant” shall be construed in accordance with subsection (2);
“complaint” has the meaning given by section 12;
“conduct” includes acts, omissions and statements (whether actual, alleged or inferred);
“conduct matter” has the meaning given by section 12;
“disciplinary proceedings” means—
in relation to a member of a police force or a special constable, proceedings under any regulations made by virtue of section 50 or 51 of the 1996 Act and identified as disciplinary proceedings by those regulations; and
in relation to a person serving with the police who is not a member of a police force or a special constable, proceedings identified as such by regulations made by the Secretary of State for the purposes of this Part;
“document” means anything in which information of any description is recorded;
“information” includes estimates and projections, and statistical analyses;
“local resolution”, in relation to a complaint, means the handling of that complaint in accordance with a procedure which—
does not involve a formal investigation; and
is laid down by regulations under paragraph 8 of Schedule 3 for complaints which it has been decided, in accordance with paragraph 6 of that Schedule, to subject to local resolution;
“person complained against”, in relation to a complaint, means the person whose conduct is the subject-matter of the complaint;
“recordable conduct matter” means (subject to any regulations under section 23(2)(d))—
a conduct matter that is required to be recorded by the appropriate authority under paragraph 10 or 11 of Schedule 3 or has been so recorded; or
except in sub-paragraph (4) of paragraph 2 of Schedule 3, any matter brought to the attention of the appropriate authority under that sub-paragraph;
“relevant force”, in relation to the appropriate authority, means—
if that authority is a police authority, the police force maintained by it; and
if that authority is the chief officer of police of a police force, his force;
“senior officer” means a member of a police force holding a rank above that of chief superintendent;
“serious injury” means a fracture, a deep cut, a deep laceration or an injury causing damage to an internal organ or the impairment of any bodily function;
“serving with the police”, in relation to any person, shall be construed in accordance with section 12(7).
(2) References in this Part, in relation to anything which is or purports to be a complaint, to the complainant are references—
(a) except in the case of anything which is or purports to be a complaint falling within section 12(1)(d), to the person by whom the complaint or purported complaint was made; and
(b) in that case, to the person on whose behalf the complaint or purported complaint was made;
but where any person is acting on another’s behalf for the purposes of any complaint or purported complaint, anything that is to be or may be done under this Part by or in relation to the complainant may be done, instead, by or in relation to the person acting on the complainant’s behalf.
(3) Subject to subsection (4), references in this Part, in relation to any conduct or anything purporting to be a complaint about any conduct, to a member of the public include references to any person falling within any of the following paragraphs (whether at the time of the conduct or at any subsequent time)—
(a) a person serving with the police;
(b) a member of the National Criminal Intelligence Service or the National Crime Squad;
(c) a member of the staff of the Central Police Training and Development Authority; or
(d) a person engaged on relevant service, within the meaning of section 97(1)(a), (cc) or (d) of the 1996 Act (temporary service otherwise than with NCIS or NCS).