Statutory Rules of Northern Ireland
POLICE
Made
4th June 2008
To be laid before Parliament
Coming into operation
1st July 2008
The Secretary of State makes the following Regulations in exercise of the powers conferred by section 34 of the Police (Northern Ireland) Act 2003(1).
In accordance with subsection (4) of that section, the Secretary of State has consulted the Police Ombudsman for Northern Ireland, the Northern Ireland Policing Board, the Chief Constable of the Police Service of Northern Ireland, and the Police Association for Northern Ireland:
1.—(1) These regulations may be cited as the Police Powers for Designated Staff (Complaints and Misconduct) Regulations (Northern Ireland) 2008.
(2) These regulations shall come into operation on 1st July 2008.
2.—(1) In these regulations, except where the context otherwise requires—
“the 1998 Act” means the Police (Northern Ireland) Act 1998(2);
“the 2000 Act” means the Police (Northern Ireland) Act 2000(3);
“the 2003 Act” means the Police (Northern Ireland) Act 2003;
“allegation” includes a matter referred to the Ombudsman under section 55 of the 1998 Act;
“appointed officer” means an officer—
appointed under regulation 29(1) to prepare a report on a case concerning the relevant conduct of a designated person employed by a contractor, or
appointed under regulation 35(1) to investigate a case concerning the relevant conduct of a designated person who is a member of the police support staff, or
appointed by the Ombudsman to investigate a case concerning the relevant conduct of a designated person under section 56 or 57 of the 1998 Act;
“the appropriate officer” means an Assistant Chief Constable;
“the appropriate standard” means the standard of conduct contained in the code of ethics;
“the Board” means the Northern Ireland Policing Board;
“the code of ethics” means the code of ethics issued by the Board under section 52 of the 2000 Act, and applied to designated persons by virtue of the Police Powers for Designated Staff (Code of Ethics) Order (Northern Ireland) 2008(4);
“contractor” means a person with whom the Chief Constable, on behalf of and in the name of the Board, has entered into a contract under section 5A of the 2000 Act for the provision of services relating to the detention or escort of persons who have been arrested or are otherwise in custody;
“the contractor concerned” means, in relation to a designated person, the contractor responsible for supervising the designated person in the carrying out of the functions to which the relevant conduct related;
“copy of a complaint”, in the case of a complaint made orally, includes a copy of the record of the complaint;
“designated person” means a person designated under section 30, 30A or 31 of the 2003 Act;
“the designated person concerned” means the designated person in relation to whose conduct there has been a report, complaint or allegation;
“designation” means, in relation to a designated person, his designation under section 30, 30A or 31 of the 2003 Act;
“the Director” means the Director of Public Prosecutions for Northern Ireland;
“an interested party”, in relation to a case, means a witness or any person involved in the conduct which is the subject of the case or who otherwise has a direct interest in the case;
“misconduct proceedings” means proceedings under Part VII;
“Ombudsman” means the Police Ombudsman for Northern Ireland established by section 51 of the 1998 Act;
“other matter” means a matter (not being a complaint) which the Ombudsman may investigate under section 55 of the 1998 Act (as it applies by virtue of regulation 14);
“police force in Great Britain” means a police force within the meaning of the Police Act 1996(5) or the Police (Scotland) Act 1967(6);
“presenting officer” means, in relation to a case, a police officer appointed under regulation 50(1) to present the case;
“register” includes the holding of information by electronic means;
“relevant conduct” means, in relation to a designated person, conduct relating to the carrying out of a function for the purpose of which any power or duty is conferred or imposed on him by his designation;
“supervising member” has the meaning given by regulation 28 or (as the case may be) regulation 34.
(2) Other expressions used in these regulations and in the 2000 Act have the same meanings in these regulations as they have in that Act.
(3) Any reference in these regulations to a complaint, except in regulation 5(1) or (2), 8(1), 28 or 34, is a reference to a complaint in relation to which the Ombudsman has made a determination under section 52(8) of the 1998 Act, as it applies by virtue of regulation 8, that it—
(a) is about the relevant conduct of a designated person, and
(b) is made by, or on behalf of, a member of the public.
3.—(1) The Chief Constable may not delegate any function conferred on him under or by virtue of these regulations, except to—
(a) a police officer of at least the rank of chief inspector, or
(b) an employee holding an appropriate position in the police support staff.
(2) A person who has conducted an investigation in a case, or who has acted in relation to it in pursuance of an attempt to resolve it by way of informal resolution shall not, as respects that case, exercise any function in pursuance of a delegation under paragraph (1).
(3) Any reference in the following provisions of these regulations to the Chief Constable shall be construed as including a reference to a person discharging the functions of the Chief Constable.
4.—(1) Part 7 of the 1998 Act shall apply with respect to designated persons, subject to the limitations and modifications set out in these regulations.
(2) In section 60A of that Act (Ombudsman’s power to investigate current practice and policy) as it applies by virtue of paragraph (1), any reference to a practice or policy of the police shall include a reference to a practice or policy concerning the relevant conduct of designated persons.
(3) In section 63(1)(d) of that Act (restriction on disclosure of information) as it applies by virtue of paragraph (1), the proceedings for the purposes of which an exception is made to the restriction on disclosure of information shall include misconduct proceedings under these regulations.
(4) In section 65 of that Act (guidance concerning discipline, complaints etc.) as it applies by virtue of paragraph (1), the power of the Secretary of State to issue guidance includes power to issue guidance concerning the discharge of functions under these regulations.
(5) Any provision of Part 7 of the 1998 Act applying with respect to designated persons by virtue of these regulations shall be construed in accordance with—
(a) section 50 of that Act, and
(b) regulation 2.
5.—(1) Where there has been a report, complaint or allegation which indicates that the relevant conduct of a designated person did not meet the appropriate standard—
(a) the Chief Constable may suspend his designation, whether or not the matter has been investigated, and
(b) during any period of suspension of that person’s designation, he shall be suspended from duty as an officer described in section 30(1), 30A(1) or 31(2) of the 2003 Act.
(2) The Chief Constable may exercise his powers under paragraph (1) at any time from the time of the receipt of the report, complaint or allegation until the conclusion of the case.
(3) Any period of suspension under paragraph (1) shall continue until the conclusion of the case or until the Chief Constable decides that the suspension shall cease, whichever first occurs.
(4) Where a designated person who is suspended from duty is, at the conclusion of the case, given notice of dismissal or required to resign, he shall remain suspended from duty during the period of his notice.
(5) Any reference in this regulation to the conclusion of a case is, in relation to the case of a designated person, to the time when the first of these events occurs—
(a) the supervising member decides not to refer the case to a hearing, or
(b) the notification of a finding that the conduct of the designated person concerned did meet the appropriate standard, or
(c) (in the case of a member of the police support staff) the time limit for giving notice of intention to seek a review under regulation 62 has expired, or
(d) (in the case of a member of the police support staff) any review under regulation 63 has been completed.
6.—(1) Where the Ombudsman determines during the course of an investigation under any provision of the 1998 Act that the investigation indicates that the conduct of a designated person did not meet the appropriate standard, the Ombudsman shall immediately notify the Chief Constable, and provide all relevant material, to enable the Chief Constable to consider suspending that person’s designation.
(2) Where the Chief Constable suspends a person’s designation during the course of an investigation under any provision of the 1998 Act, he shall notify the Ombudsman.
(3) Where the Ombudsman is investigating under section 56 of the 1998 Act a complaint against a designated person, or any other matter concerning that person, and that person’s designation has been suspended, the Ombudsman shall—
(a) keep the Chief Constable informed of the progress of that investigation to allow him to consider whether suspension remains appropriate, and
(b) immediately inform the Chief Constable of any matter which indicates that the Chief Constable should reconsider the suspension.
7.—(1) Where the Chief Constable receives a recommendation under regulation 32(1) or 60(3) that he modify or withdraw the designation of a designated person, and the Chief Constable decides—
(a) not to modify or withdraw the designation, or
(b) to modify or withdraw the designation otherwise than in accordance with the recommendation,
he shall notify the designated person concerned and (in the case of a designated person employed by a contractor) the contractor concerned.
(2) Where the Ombudsman sends a memorandum to the Chief Constable under regulation 27(5) or under section 59(2) of the 1998 Act concerning the relevant conduct of a designated person, and the Chief Constable decides to withdraw or modify the designation of that person—
(a) he shall notify the designated person concerned in accordance with section 33(4) of the 2003 Act,
(b) he shall (in the case of a designated person employed by a contractor) notify the contractor concerned in accordance with section 33(5) of that Act,
(c) he shall notify the Ombudsman, and
(d) the Ombudsman shall notify the complainant.
(3) Where the Ombudsman sends a memorandum to the Chief Constable under regulation 27(5) or under section 59(2) of the 1998 Act recommending that the designation of a person be modified or withdrawn, and the Chief Constable decides—
(a) not to modify or withdraw the designation, or
(b) to modify or withdraw the designation otherwise than in accordance with the recommendation,
he shall notify the Ombudsman in writing of his decision and the reasons for his decision.
(4) Where the Chief Constable notifies the Ombudsman of a decision in accordance with paragraph (3), the Ombudsman—
(a) shall notify the complainant, and
(b) may furnish the complainant with such relevant information in explanation thereof, if any, as appears to the Ombudsman to be appropriate.
(5) The Ombudsman shall be relieved of the duty of notifying the complainant as mentioned in paragraph (4) if compliance therewith appears to him to be not reasonably practicable.
8.—(1) Subsections (1) to (3) of section 52 of the 1998 Act (receipt of complaints) shall apply in relation to complaints about designated persons as they apply in relation to complaints about the police, with the following modifications—
(a) the persons required to refer complaints to the Ombudsman under subsection (1)(b) shall include any contractor or member of the police support staff to whom a complaint is made about the relevant conduct of a designated person; and
(b) the persons required to take steps to preserve evidence under subsection (2) shall include any contractor or member of the police support staff to whom a complaint is made about the relevant conduct of a designated person.
(2) Subsections (4) to (10) of that section (initial classification of complaints) shall apply in relation to the relevant conduct of a designated person as they apply in relation to the conduct of a police officer who is not a senior officer, with the following modifications—
(a) in subsection (5) (exclusion of certain complaints) after “Chief Constable” insert “, the direction and control of designated persons by the Chief Constable or the terms or operation of a contract entered into under section 5A of the Police (Northern Ireland) Act 2000”;
(b) in subsection (9) for the reference to disciplinary proceedings substitute a reference to misconduct proceedings; and
(c) subsection (10) shall apply in any case where a complaint is made otherwise than to the Chief Constable.
(3) A complainant may have a complaint about the relevant conduct of a designated person registered on his behalf by a third party providing the complainant gives his consent, either in writing or orally, or is incapable of giving consent.
(4) Where the Ombudsman has recorded a complaint against a designated person, the Ombudsman shall, as soon as practicable—
(a) send a copy of the complaint to the Chief Constable, and the complainant, and
(b) subject to paragraphs (5) and (6), send a copy of the complaint to—
(i) the designated person, and
(ii) in the case of a complaint against a designated person employed by a contractor, the contractor concerned.
(5) Paragraph (4) shall not require the Ombudsman to supply a copy of a complaint if he is of the opinion that compliance with the request—
(a) would impede any investigation of the matter, or
(b) might prejudice any criminal proceedings pending at the time the request is made, or
(c) would be contrary to the public interest and the Secretary of State agrees that no copy should be so supplied.
(6) Where a request is made to the Ombudsman for a copy of a complaint to be sent to a person under paragraph (4)(b) and the Ombudsman refuses to supply a copy of the complaint on the ground that he is of the opinion mentioned in paragraph (5)(a), (b) or (c), he shall give written notice of his refusal to the person who made the request.
(7) Where notice is given to a person under paragraph (6), no further request may be made by that person for a copy of the complaint within the period of six months beginning with the date of the notice, without prejudice, however, to further such requests being made subsequently.
(8) The Chief Constable shall supply the Ombudsman with such material as he may require relating to a complaint about the conduct of a designated person made or referred to the Ombudsman under section 52(1) of the 1998 Act, whether or not such complaint is the subject of an investigation by the Ombudsman or supervised by the Ombudsman, for the purpose of enabling the Ombudsman to fulfil his functions under these regulations or the 1998 Act.
(9) The Ombudsman shall cause a register to be kept of complaints about the relevant conduct of designated persons, in which there shall be recorded the steps taken in dealing with a complaint and their outcome.
9.—(1) Subject to regulation 10, section 52(4) of the 1998 Act shall not apply in relation to a complaint about the relevant conduct of a designated person unless the conditions in paragraph (2) are satisfied in relation to the complaint.
(2) The conditions are that—
(a) the complaint is about conduct which took place not more than 12 months before the date on which the complaint is made or referred to the Ombudsman under section 52(1) of the 1998 Act; and
(b) a memorandum has not been issued in respect of the conduct under regulation 27(5) or under section 59(2) of the 1998 Act; and
(c) the complaint has not been—
(i) informally resolved in accordance with section 53 of the 1998 Act,
(ii) withdrawn under regulation 24,
(iii) dispensed with under regulation 26, or
(iv) otherwise investigated by the police, and
(d) the complaint has not been dealt with under any regulations made under section 34 of the 2003 Act—
(i) under which any provision of Part 7 of the 1998 Act is not to apply, or
(ii) which allow the Ombudsman to dispense with any requirement of that Part.
10.—(1) Regulation 9(2)(a) shall not apply in relation to a complaint where—
(a) the complaint is not the same or substantially the same as a previous complaint or matter, and
(b) the Ombudsman believes that a designated person may have committed a criminal offence or may have behaved in a manner which would—
(i) in the case of a member of the police support staff, justify misconduct proceedings, or
(ii) in the case of an employee of a contractor, justify the modification or withdrawal of his designation, and
(c) the Ombudsman believes that the complaint should be investigated because of the gravity of the matter or the exceptional circumstances.
(2) Regulation 9(2) shall not apply in relation to a complaint where—
(a) new evidence has come to light which is not evidence which was reasonably available at the time of the original complaint, and
(b) the Ombudsman believes that a designated person may have committed a criminal offence or behaved in a manner which would—
(i) in the case of a member of the police support staff, justify misconduct proceedings, or
(ii) in the case of an employee of a contractor, justify the modification or withdrawal of his designation, and
(c) the Ombudsman believes that the complaint should be investigated because of the gravity of the matter or the exceptional circumstances.
(3) Where the Ombudsman decides that a case falls within paragraph (1) or (2), he shall formally investigate it in accordance with section 56 of the 1998 Act.
(4) Where the Ombudsman—
(a) decides that a complaint meets the criteria in paragraph (1) or (2) except that the case is not grave or exceptional, and
(b) believes that the designated person concerned may have committed a criminal offence,
then he may formally investigate it in accordance with section 56 of the 1998 Act.
(5) Where a complaint wholly or partly relates to the conduct of a designated person who is a member of the police support staff, and that conduct is or has been the subject of criminal or misconduct proceedings, the Ombudsman shall have no powers in relation to the complaint in so far as it relates to that conduct (except in a case to which section 56(1A) of the 1998 Act applies).
(6) Where a complaint wholly or partly relates to the conduct of a designated person employed by a contractor, and that conduct is or has been the subject of criminal proceedings or has resulted in the modification or withdrawal of his designation, the Ombudsman shall have no powers in relation to the complaint in so far as it relates to that conduct (except in a case to which section 56(1A) of the 1998 Act applies).
11.—(1) Section 53 of the 1998 Act (complaints — informal resolution) shall apply in relation to the relevant conduct of a designated person as it applies in relation to the conduct of a police officer who is not a senior officer, subject to the modification that the prohibition in subsection (7) on statements made for the purpose of the informal resolution of a complaint being admissible in subsequent proceedings shall include a prohibition on such a statement—
(a) being admissible in misconduct proceedings, or
(b) being taken into account by the supervising member in considering the question of a recommendation to be made under regulation 32(1).
(2) The Royal Ulster Constabulary (Complaints) (Informal Resolution) Regulations 2000(7) shall apply in relation to the relevant conduct of a designated person as they apply in relation to the conduct of a police officer who is not a senior officer.
(3) A complaint about the relevant conduct of a designated person is not suitable for informal resolution where the Ombudsman is satisfied that the conduct complained of, if proved, would justify a criminal charge.
(4) Where, under section 53(3) of the 1998 Act, the Ombudsman decides to refer a complaint about the relevant conduct of a designated person to the Chief Constable to resolve informally, he shall—
(a) do so immediately on making that decision, and
(b) forward all relevant material.
(5) Where the Ombudsman is investigating a complaint about the relevant conduct of a designated person under section 56 of the 1998 Act, and he determines that the evidence uncovered shows that the complaint is suitable for informal resolution, he may refer it to the Chief Constable to resolve informally under section 53 of that Act.
(6) Where the Chief Constable is investigating a complaint about the relevant conduct of a designated person under section 57 of the 1998 Act, and he determines that the evidence uncovered shows that the complaint is suitable for informal resolution, he may—
(a) seek permission from the Ombudsman to resolve the complaint informally, and
(b) if he agrees, informally resolve the complaint under section 53 of that Act.
(7) Where the Chief Constable determines—
(a) that it is not possible to resolve informally a complaint about the relevant conduct of a designated person, or
(b) that the evidence uncovered shows that such a complaint is not suitable for informal resolution,
he shall notify the Ombudsman immediately and shall forward all relevant material and the reasons for that decision.
12.—(1) Where the Ombudsman in consultation with the Chief Constable considers a complaint against a designated person to be a matter of unsatisfactory performance rather than misconduct, the Ombudsman shall notify the Chief Constable and forward all relevant material to enable the matter to be dealt with in accordance with such procedures as may be appropriate for dealing with instances of unsatisfactory performance by designated persons.
(2) Where the Ombudsman forwards a complaint to the Chief Constable under paragraph (1) —
(a) the requirements of sections 52 to 59 of the 1998 Act, to the extent that they have not already been satisfied, shall be dispensed with, and
(b) the Ombudsman shall notify—
(i) the designated person concerned,
(ii) the complainant, and
(iii) in the case of a complaint against a designated person employed by a contractor, the contractor concerned,
accordingly.
13.—(1) Section 54 of the 1998 Act (complaints — formal investigation) shall apply in relation to the relevant conduct of a designated person as it applies in relation to the conduct of a police officer who is not a senior officer.
(2) Where, under subsection (3)(b) of that section as it applies by virtue of paragraph (1), the Ombudsman decides to refer a complaint about the relevant conduct of a designated person to the Chief Constable to investigate in accordance with section 57 of that Act, he shall—
(a) do so immediately on making that decision, and
(b) forward all relevant material.
14.—(1) Section 55 of the 1998 Act (consideration of other matters by the Ombudsman) shall apply in relation to the relevant conduct of a designated person as it applies in relation to the conduct of a police officer who is not a senior officer, with the following modifications—
(a) in subsections (1)(a)(ii), (4)(a)(ii), (4A)(a)(ii) and (6)(a)(ii) (which require matters which would justify disciplinary proceedings to be referred to the Ombudsman) for “justify disciplinary proceedings” (in each place where that phrase appears) substitute “, in the case of a member of the police support staff, justify misconduct proceedings, or in the case of an employee of a contractor, justify the modification or withdrawal of his designation”;
(b) in subsection (7) (Ombudsman to notify Board, Secretary of State or Chief Constable of the outcome of criminal or disciplinary proceedings) for “disciplinary” substitute “misconduct”; and
(c) after subsection (7) insert—
“(8) In the case of a matter referred under subsection (1) the Ombudsman shall notify the Board or the Secretary of State of the withdrawal or modification of any designation in connection with the matter so referred.”.
(2) Where the Ombudsman is to investigate a matter concerning a designated person under section 55 of the 1998 Act he shall, as soon as practicable, send written notice of the investigation to the designated person, unless to do so would impede the investigation or any other investigation of the matter.
(3) The Chief Constable shall supply the Ombudsman with such material as he may require relating to the investigation of a matter under section 55 of that Act concerning the relevant conduct of a designated person, whether or not such matter is the subject of an investigation by the Ombudsman or supervised by the Ombudsman, for the purpose of enabling the Ombudsman to fulfil his functions under these regulations or the 1998 Act.
15. Subject to regulation 17, the Ombudsman’s duty to investigate a matter under section 55(3) or (5) of the 1998 Act relating to the relevant conduct of a designated person has effect if—
(a) the relevant conduct to which the matter relates took place not more than 12 months before the date on which the matter is referred to the Ombudsman under section 55(1), (2), (4) or (4A) of that Act; and
(b) a memorandum has not been issued in respect of the relevant conduct under regulation 27(5) or under section 59(2) of the 1998 Act; and
(c) the matter has not been—
(i) informally resolved in accordance with section 53 of that Act,
(ii) withdrawn under regulation 24,
(iii) dispensed with under regulation 26, or
(iv) otherwise investigated by the police, and
(d) the matter has not been dealt with under any regulations made under section 34 of the 2003 Act—
(i) under which any provision of Part 7 of the 1998 Act is not to apply, or
(ii) which allow the Ombudsman to dispense with any requirement of that Part.
16. Subject to regulation 17, the Ombudsman has power to investigate a matter under section 55(6) of the 1998 Act relating to the relevant conduct of a designated person at any time if—
(a) the relevant conduct to which the matter relates took place not more than 12 months before that time, and
(b) a memorandum has not been issued in respect of the relevant conduct under regulation 27(5) or under section 59(2) of the 1998 Act; and
(c) the matter has not been—
(i) informally resolved in accordance with section 53 of that Act,
(ii) withdrawn under regulation 24,
(iii) dispensed with under regulation 26, or
(iv) otherwise investigated by the police, and
(d) the matter has not been dealt with under any regulations made under section 34 of the 2003 Act—
(i) under which any provision of Part 7 of the 1998 Act is not to apply, or
(ii) which allow the Ombudsman to dispense with any requirement of that Part.
17.—(1) The time limits in regulations 15(a) and 16(a) shall not apply in relation to a matter where—
(a) the matter is not the same or substantially the same as a previous complaint or matter, and
(b) the Ombudsman believes that a designated person may have committed a criminal offence or behaved in a manner which would—
(i) in the case of a member of the police support staff, justify misconduct proceedings, or
(ii) in the case of an employee of a contractor, justify the modification or withdrawal of his designation, and
(c) the Ombudsman believes that the matter should be investigated because of the gravity of the matter or the exceptional circumstances.
(2) Regulations 15 and 16 shall not apply where—
(a) new evidence has come to light which is not evidence which was reasonably available at the time the matter originally occurred, and
(b) the Ombudsman believes that a designated person may have committed a criminal offence or behaved in a manner which would—
(i) in the case of a member of the police support staff, justify misconduct proceedings, or
(ii) in the case of an employee of a contractor, justify the modification or withdrawal of his designation, and
(c) the Ombudsman believes that the matter should be investigated because of the gravity of the matter or the exceptional circumstances.
(3) Where the Ombudsman decides that a matter falls within paragraph (1) or (2), he shall formally investigate it in accordance with section 56 of the 1998 Act.
(4) Where the Ombudsman—
(a) decides that a matter meets the criteria in paragraph (1) or (2) except that the case is not grave or exceptional, and
(b) believes that the designated person may have committed a criminal offence,
then he may formally investigate it in accordance with section 56 of the 1998 Act.
(5) Where a matter wholly or partly relates to the conduct of a designated person who is a member of the police support staff, and that conduct is or has been the subject of criminal or misconduct proceedings, the Ombudsman shall have no powers in relation to the matter in so far as it relates to that conduct (except in a case to which section 56(1A) of the 1998 Act applies).
(6) Where a matter wholly or partly relates to the conduct of a designated person employed by a contractor, and that conduct is or has been the subject of criminal proceedings or has resulted in the modification or withdrawal of his designation, the Ombudsman shall have no powers in relation to the matter in so far as it relates to that conduct (except in a case to which section 56(1A) of the 1998 Act applies).
18.—(1) Sections 56 and 57 of the 1998 Act (formal investigation by the Ombudsman or by a police officer) shall apply in relation to the relevant conduct of a designated person as they apply in relation to the conduct of a police officer who is not a senior officer.
(2) Investigations under section 56 or 57 of the 1998 Act concerning the relevant conduct of a designated person shall be conducted without undue delay.
(3) Where the Ombudsman is conducting an investigation into the relevant conduct of a designated person under section 56 of the 1998 Act and he decides to refer the complaint to the Chief Constable to investigate under section 57 of that Act, the Ombudsman shall—
(a) notify the Chief Constable immediately of his decision, and
(b) furnish him immediately with all relevant material.
(4) Where, under section 57(4) of the 1998 Act, the Ombudsman decides to supervise an investigation of a complaint against a designated person, he shall notify the Chief Constable to that effect when he forwards the complaint for investigation.
(5) If during the course of the investigation the Ombudsman decides to relinquish supervision of the investigation, he shall notify the Chief Constable immediately of that decision.
(6) Where the Chief Constable is conducting an investigation of a complaint against a designated person under section 57 of the 1998 Act, he shall notify the Ombudsman of any information revealed during the investigation which may suggest that it is in the public interest for the Ombudsman to continue the investigation in accordance with section 56 of that Act.
(7) Where the Chief Constable is conducting an investigation of a complaint against a designated person under section 57 of the 1998 Act, and the Ombudsman determines to assume the investigation—
(a) the Ombudsman shall notify the Chief Constable of his decision immediately; and
(b) the Chief Constable shall immediately furnish the Ombudsman with all relevant material relating to the investigation.
19.—(1) Any report submitted to the Ombudsman under section 56(6) or 57(8) of the 1998 Act concerning the relevant conduct of a designated person shall be in writing.
(2) Where the Ombudsman considers any such report concerning the relevant conduct of a designated person, he shall—
(a) deal with the report without undue delay, and
(b) as soon as practicable, take such decisions as appear to him appropriate.
(3) At the end of an investigation of a matter investigated under section 55 of the 1998 Act concerning the relevant conduct of a designated person the Ombudsman shall send a copy of the report on the investigation to—
(a) the Board,
(b) the Secretary of State, and
(c) unless he has already received a copy of the report under regulation 20(2), the Chief Constable.
(4) Where the Chief Constable receives a copy of a report under paragraph (3)(c) concerning the conduct of a designated person employed by a contractor, he may send a copy of it to the contractor, if he is of the opinion that to do so—
(a) would not prejudice any criminal investigation or proceedings pending at the time he receives the copy of the report, and
(b) would not be contrary to the public interest.
20.—(1) Section 58 of the 1998 Act (steps to be taken after investigation — criminal proceedings) shall apply in relation to the relevant conduct of a designated person as it applies in relation to the conduct of a police officer who is not a senior officer.
(2) Where the Ombudsman determines that a report submitted to him under section 56(6) or 57(8) of the 1998 Act concerning the relevant conduct of a designated person indicates that a criminal offence may have been committed by a designated person he shall, without undue delay—
(a) forward the report to the Director, and
(b) notify the Chief Constable, and
(c) in the case of a report indicating that a criminal offence may have been committed by a designated person employed by a contractor, notify the contractor concerned, unless to do so would impede any investigation of the matter or any criminal proceedings.
21. Section 58A of the 1998 Act (steps to be taken after investigation — mediation) shall apply in relation to the relevant conduct of a designated person as it applies in relation to the conduct of a police officer who is not a senior officer, subject to the following modifications—
(a) the prohibition in subsection (4) on anything communicated to the Ombudsman as mediator being admissible in subsequent proceedings shall include a prohibition on such communications—
(i) being admissible in misconduct proceedings, or
(ii) being taken into account by the supervising member in considering the question of a recommendation to be made under regulation 32(1); and
(b) in subsection (6) for “no further proceedings under this Act” substitute “no further steps under the Police Powers for Designated Staff (Complaints and Misconduct) Regulations (Northern Ireland) 2008”.
22.—(1) Where the Ombudsman is satisfied that a complaint about the relevant conduct of a designated person has been substantiated, and that, as a result of the conduct complained of, the complainant has suffered physical injury, considerable distress or inconvenience, or measurable financial loss, he may recommend to the Chief Constable that he should pay compensation to the complainant.
(2) The sum recommended for compensation shall not exceed that payable in the small claims court.
(3) It shall not be disclosed in any criminal or misconduct proceedings or under regulation 32 that compensation has been recommended or paid.
23. The Ombudsman may, if he thinks fit, pay to the person by whom a complaint is made—
(a) sums in respect of expenses properly incurred by him, excluding legal expenses, and
(b) allowances by way of compensation for the loss of his time,
in accordance with such scales and subject to such conditions as the Secretary of State may determine.
24.—(1) Part 7 of the 1998 Act, the preceding provisions of this Part, and subsequent Parts of these regulations, shall not apply in respect of a complaint about the relevant conduct of a designated person if the Ombudsman receives from the complainant notification in writing signed by him or by his solicitor or other authorised agent on his behalf to the effect that he—
(a) withdraws the complaint, or
(b) does not wish any further steps to be taken in consequence thereof.
(2) Where such notification is given to the Chief Constable, it shall be forwarded immediately to the Ombudsman.
(3) Where a complainant gives such notification as is mentioned in paragraph (1), the Ombudsman shall notify—
(a) the designated person concerned,
(b) the complainant,
(c) the Chief Constable, and
(d) in the case of a designated person employed by a contractor, the contractor concerned.
(4) Where the complaint is withdrawn the Ombudsman shall record the complaint as withdrawn.
25.—(1) Where, in response to a written request from the Ombudsman sent by recorded delivery, a complainant fails to indicate to the appointed officer within 21 days whether he wishes further steps to be taken in respect of a complaint about the relevant conduct of a designated person, the provisions of Part 7 of the 1998 Act, the preceding provisions of this Part, and subsequent Parts of these regulations, shall not apply in respect of the complaint.
(2) Where a complaint about the relevant conduct of a designated person has been referred to the Chief Constable to investigate, and the complainant fails to assist the investigation, the Chief Constable shall request the Ombudsman to write to the complainant inviting him to indicate whether he wishes any further steps to be taken.
(3) Where the complainant fails to indicate whether he wishes any further steps to be taken, the Ombudsman shall notify—
(a) the designated person concerned,
(b) the complainant,
(c) the Chief Constable, and
(d) in the case of a designated person employed by a contractor, the contractor concerned,
accordingly.
26.—(1) Where the Ombudsman is of the opinion—
(a) that—
(i) a complaint about the relevant conduct of a designated person is an anonymous or a repetitious one within the meaning of paragraph 2 or 3 of Schedule 1, or
(ii) that a complaint about such conduct is vexatious, oppressive or otherwise an abuse of the procedures for dealing with complaints, or
(iii) that it is not reasonably practicable to complete the investigation of a complaint about such conduct, within the meaning of paragraph 4 of Schedule 1, and
(b) that, in all the circumstances, the requirements of the provisions of Part 7 of the 1998 Act, the preceding provisions of this Part, and subsequent Parts of these regulations, to the extent that they have not already been satisfied, should be dispensed with,
the Ombudsman may dispense with the said requirements as respects the complaint.
(2) Where a complaint about the relevant conduct of a designated person has been referred to the Chief Constable under section 54(3)(b) of the 1998 Act, the Chief Constable may, in accordance with paragraph (3), request the Ombudsman to exercise his power under paragraph (1).
(3) The request, which shall be made in writing, shall be accompanied by—
(a) a copy of the complaint;
(b) a memorandum from the Chief Constable explaining the reasons why he is of the opinion that the conditions in paragraph (1)(a) and (b) are satisfied in relation to the complaint;
(c) where the complaint is a repetitious complaint and the previous complaint has been informally resolved in accordance with regulation 11, a copy of the record of the outcome of the informal resolution procedure, and
(d) where the Chief Constable is of the opinion that the complaint is a repetitious complaint and the previous complaint has been withdrawn in accordance with regulation 24, a copy of the notification given under that regulation.
(4) If, after considering a request under this regulation, the Ombudsman shares the opinion of the Chief Constable, he may dispense with the requirements mentioned in paragraph (1), but he shall not reject such a request except after consultation with the Chief Constable.
(5) The Ombudsman shall, as soon as possible, notify the Chief Constable in writing of his decision on such a request and, where he dispenses with the requirements mentioned in paragraph (1), shall inform the complainant of his action unless—
(a) the complaint is an anonymous one, or
(b) it otherwise appears to him to be not reasonably practicable so to inform him within a period which is reasonable in all the circumstances of the case.
(6) The Ombudsman—
(a) shall inform the designated person concerned, where known, in writing of his decision to dispense with the requirements mentioned in paragraph (1), and
(b) in the case of a designated person employed by a contractor, shall so inform the contractor concerned.
27.—(1) Section 59 of the 1998 Act (steps to be taken after investigation — disciplinary proceedings) shall not apply in relation to a report under section 56(6) or 57(8) of that Act concerning the relevant conduct of a designated person employed by a contractor.
(2) Where—
(a) a report under section 56(6) or 57(8) of the 1998 Act concerning the relevant conduct of a designated person employed by a contractor is submitted to the Ombudsman, and
(b) paragraph (3) or (4) applies to the relevant conduct,
the Ombudsman shall consider whether he is satisfied that, on the balance of probabilities, the relevant conduct failed to meet the appropriate standard.
(3) This paragraph applies to the relevant conduct of a designated person if the report mentioned in paragraph (2) is sent to the Director under section 58(2) of the 1998 Act, and—
(a) the Director decides not to initiate criminal proceedings against the designated person concerned in relation to the subject matter of the report, or
(b) criminal proceedings initiated by the Director against the designated person concerned in relation to the subject matter of the report have been concluded.
(4) This paragraph applies to the relevant conduct of a designated person if the Ombudsman determines that the report mentioned in paragraph (2) does not indicate that a criminal offence may have been committed by the designated person concerned and—
(a) he determines that the complaint is not suitable for resolution through mediation under section 58A; or
(b) he determines that the complaint is suitable for resolution through mediation under that section but—
(i) the complainant or the designated person concerned does not agree to attempt to resolve it in that way; or
(ii) attempting to resolve the complaint in that way has been unsuccessful.
(5) Where the Ombudsman considers under paragraph (2) whether the relevant conduct of a designated person failed to meet the appropriate standard, he shall send the Chief Constable a memorandum containing—
(a) his determination as to whether the conduct failed to meet the appropriate standard, and
(b) a written statement of his reasons for making that determination, and
(c) if he thinks fit, any recommendation as to the withdrawal or modification of the designation of the designated person concerned.
(6) Where the Ombudsman considers under paragraph (2) whether the relevant conduct of a designated person failed to meet the appropriate standard, he shall deal with the case without undue delay and shall, as soon as practicable, send the Chief Constable all relevant material and a memorandum such as is described in paragraph (5).
(7) In a case such as is mentioned in paragraph (4)(b), the Ombudsman shall, in considering whether to make a recommendation under paragraph (5)(c), take into account the conduct of the designated person concerned in relation to the proposed resolution of the complaint through mediation.
(8) The Chief Constable shall advise the Ombudsman of what action he has taken in response to any recommendation in a memorandum sent to him under paragraph (5).
28. A case which arises from a complaint, report or allegation which indicates that the relevant conduct of a designated person employed by a contractor did not meet the appropriate standard may be referred for examination to a police officer of at least the rank of superintendent, who must not be an interested party (“the supervising member”).
29.—(1) Where a case concerning the relevant conduct of a designated person employed by a contractor is referred to a supervising member under regulation 28, the supervising member may appoint a police officer (“the appointed officer”) of at least the rank of inspector, who must not be serving in the same district or branch as the designated person concerned and must not be an interested party, to prepare a report on the case.
(2) Where an officer is appointed under paragraph (1) to prepare a report on a case concerning the relevant conduct of a designated person employed by a contractor, he shall submit his report in writing to the supervising member.
30.—(1) An appointed officer shall, as soon as is practicable (without prejudicing the preparation of his report under regulation 29(1) or any investigation of the matter) cause the designated person concerned to be given written notice—
(a) that he is preparing a report on the case,
(b) that where he is investigating a case arising as a result of a complaint, the investigation will be carried out under section 56 or 57 of the 1998 Act, as applicable,
(c) of the nature of the report, complaint or allegation,
(d) informing him that he has the right to seek advice from his trade union, and
(e) informing him that he has the right to be accompanied as set out in paragraph (2).
(2) A designated person employed by a contractor may be accompanied to any meeting or interview by a person selected by him, who is not an interested party, and who is—
(a) a police officer,
(b) a member of a police force in Great Britain,
(c) a member of the police support staff,
(d) a representative of a trade union,
(e) the contractor concerned, or
(f) an employee of the contractor concerned.
(3) Where an appointed officer causes notice to be given under paragraph (1) to a designated person employed by a contractor, he shall at the same time cause the contractor concerned to be given written notice of the matters set out in paragraphs (1)(a) to (e) and (2) (without prejudicing the preparation of his report or any investigation of the matter).
31.—(1) The supervising member shall review any report submitted to him under regulation 29(2) and shall consider whether or not the conduct of the designated person concerned met the appropriate standard.
(2) The supervising member shall not find that the relevant conduct of the designated person concerned failed to meet the appropriate standard unless—
(a) the conduct is admitted by the designated person concerned, or
(b) the supervising member is satisfied on the balance of probabilities that it failed to meet that standard.
(3) Where a case concerning the relevant conduct of a designated person employed by a contractor is referred to a supervising member under regulation 28 and falls to be investigated under section 56 or 57 of the 1998 Act, no finding may be made under this regulation about the relevant conduct until the Chief Constable receives a memorandum from the Ombudsman in respect of the relevant conduct under regulation 27(5).
(4) The supervising member shall give notice in writing of his finding under this regulation to the designated person concerned and to the contractor concerned within three working days of the finding.
32.—(1) Where the supervising member finds under regulation 31 that the conduct of the designated person concerned did not meet the appropriate standard, he may recommend to the Chief Constable that he modify or withdraw the designation of that person under section 33(4) of the 2003 Act.
(2) Where the supervising member is considering the question of the recommendation to be made under paragraph (1)—
(a) the designated person concerned shall be afforded an opportunity to make oral or, if appropriate, written representations as respects the question or to adduce evidence relevant thereto, and
(b) the supervising member may receive evidence from any witness whose evidence would, in the opinion of the supervising member or designated person concerned, assist in determining the question.
33.—(1) Section 59 of the 1998 Act (steps to be taken after investigation — disciplinary proceedings) shall apply in relation to the relevant conduct of a designated person who is a member of the police support staff as it applies in relation to the conduct of a police officer who is not a senior officer, but for every reference in that section to disciplinary proceedings substitute a reference to misconduct proceedings.
(2) Where under section 59 of the 1998 Act the Ombudsman considers misconduct proceedings against a designated person, he shall—
(a) deal with the case without undue delay, and
(b) as soon as practicable, send to the Chief Constable—
(i) all relevant material, and
(ii) a memorandum with such particulars as may be specified in subsection (2) of that section concerning such misconduct proceedings as appear to him appropriate.
(3) Where the Chief Constable agrees to bring misconduct proceedings against a designated person, he shall notify the Ombudsman and the designated person concerned.
(4) Where the Chief Constable agrees to bring misconduct proceedings against a designated person, the Ombudsman shall notify the complainant.
(5) Where a memorandum sent to the Chief Constable under section 59(2) of the 1998 Act recommends misconduct proceedings against a designated person, but the Chief Constable is unwilling to bring such proceedings, he shall inform the Ombudsman in writing of the reason for his decision.
(6) Where the Chief Constable has not brought misconduct proceedings against a designated person or does not propose to do so and the Ombudsman accepts his decision he shall—
(a) so inform the Chief Constable forthwith, and
(b) notify the complainant of the decision and of his acceptance thereof,
and may furnish the complainant with such relevant information in explanation thereof, if any, as appears to the Ombudsman to be appropriate.
(7) Where the Chief Constable discontinues misconduct proceedings against a designated person with the leave of the Ombudsman given in pursuance of section 59 of the 1998 Act, the Ombudsman shall—
(a) notify the complainant that the charge has been withdrawn with his leave, and
(b) furnish the complainant with such relevant information in explanation of the withdrawal as appears to the Ombudsman appropriate and copy it to the designated person concerned.
(8) The Ombudsman shall be relieved of the duty of notifying the complainant as mentioned in paragraph (4), (6)(b) or (7) if compliance therewith appears to him to be not reasonably practicable.
34. A case which arises from a complaint, report or allegation which indicates that the relevant conduct of a designated person who is a member of the police support staff did not meet the appropriate standard may be referred for examination to a police officer of at least the rank of superintendent, who must not be an interested party (“the supervising member”).
35.—(1) Where a case concerning the relevant conduct of a designated person who is a member of the police support staff is referred to a supervising member under regulation 34, the supervising member may appoint a police officer (“the appointed officer”) of at least the rank of inspector, who must not be serving in the same district or branch as the designated person concerned and must not be an interested party, to investigate the case.
(2) Where an officer is appointed under paragraph (1) to investigate a case concerning the relevant conduct of a designated person who is a member of the police support staff, he shall, at the end of his investigation, submit a written report on the case to the supervising member.
36.—(1) An appointed officer shall, as soon as is practicable (without prejudicing his or any other investigation of the matter or the preparation of any report under regulation 29(1)) cause the designated person concerned to be given written notice—
(a) that he is investigating the case,
(b) that where he is investigating a case arising as a result of a complaint, the investigation will be carried out under section 56 or 57 of the 1998 Act, as applicable,
(c) of the nature of the report, complaint or allegation,
(d) informing him that he has the right to seek advice from his trade union, and
(e) informing him that he has the right to be accompanied as set out in paragraph (2).
(2) A designated person may be accompanied to any meeting, interview or hearing by a person selected by him, who is not an interested party, and who is—
(a) a police officer,