Legalize / United Kingdom / Statutory-Instrument

The Food Crime Officers (Complaints and Misconduct) Regulations 2025

Type Statutory-Instrument

Publication 2025-03-07

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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Reform history JSON API

(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.

Special procedure: severity assessment

49

(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.

Special procedure: notification of severity assessment etc.

50

(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;

(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.

Special procedure: FSA friend

51

(1) This regulation applies where the person investigating a complaint or matter has given the person concerned a notice under regulation 50.

(2) The person concerned may choose—

(a) an officer or a member of the FSA’s staff;

(b) an official of a trade union,

who is not otherwise involved in the matter to act as their FSA friend.

(3) An FSA friend may—

(a) advise the person concerned throughout proceedings under these Regulations;

(b) provide any relevant statement or relevant document to the person investigating;

(d) make representations to the Director General concerning any aspect of the proceedings under these Regulations.

(4) Where an FSA friend is an officer or a member of the FSA’s staff, the chief executive must permit the FSA friend to use a reasonable amount of their contractual working time for the purposes mentioned in paragraph (3).

Special procedure: revision of severity assessment

52

(1) Where in the case of an investigation under—

(a) regulation 43 or 44; or

(b) regulation 45, other than by the Director General acting personally,

the Director General has made a severity assessment and indicates that it is appropriate to revise the assessment, the person investigating must refer the case to the Director General for the Director General to revise the assessment.

(2) Where in the case of an investigation under—

(a) regulation 43 or 44; or

(b) regulation 45, other than by the Director General acting personally,

the Director General has made a severity assessment and the person investigating forms the opinion that it is appropriate to revise that assessment, the person investigating must notify the Director General of that opinion.

(3) Where in any other case the person investigating has made a severity assessment and considers it appropriate to do so, the person investigating may revise the assessment.

(4) A severity assessment may only be revised after consultation with the chief executive.

(5) On the revision of a severity assessment, the person investigating must give a notice to—

(a) the chief executive; and

(b) except where paragraph (6) applies, the person concerned,

of the result of the revision.

(6) 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 the notice might prejudice the investigation or any other investigation (including a criminal investigation).

(7) A notice under paragraph (5)(b) 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.

Special procedure: representations to the person investigating

53

(1) This regulation applies where the person investigating a complaint or matter has provided the person concerned with a copy of the terms of reference of the investigation, or given the person concerned a notice, under regulation 50.

(2) Where in the case of an investigation under—

(a) regulation 43 or 44; or

(b) regulation 45, other than by the Director General acting personally,

the person concerned or their FSA friend provides the person investigating with a relevant statement or relevant document before the expiry of the time limit mentioned in paragraph (4), the person investigating must send the statement or document to the Director General for consideration.

(3) Where, in any other case, the person concerned or their FSA friend provides the person investigating with a relevant statement or relevant document before the expiry of the time limit mentioned in paragraph (4), the person investigating must consider the statement or document.

(4) The time limit is 10 working days starting with the day after the day on which a copy of the terms of reference of the investigation is provided, or a notice is given, under regulation 50, unless this period is extended by—

(a) the person investigating; or

(b) in the case of an investigation under regulation 45, other than by the Director General acting personally, the Director General.

Special procedure: interview of the person concerned

54

(1) This regulation applies where the person investigating a complaint or matter has provided the person concerned with a copy of the terms of reference of the investigation, or given the person concerned a notice under regulation 50.

(2) In the case of an investigation under regulation 45 other than by the Director General acting personally, if the Director General wishes the person concerned to be interviewed as part of the investigation, the person investigating must refer the case to the Director General for the Director General—

(a) if reasonably practicable, to agree a date and time for the interview with the person concerned;

(b) where no date and time is agreed, to specify a date and time for the interview.

(3) In any other case, if the person investigating wishes to interview the person concerned as part of the investigation, the person investigating must—

(a) if reasonably practicable, agree a date and time for the interview with the person concerned;

(b) where no date and time is agreed, specify a date and time for the interview.

(4) Where a date and time is specified under paragraph (2) or (3) and—

(a) the person concerned or their FSA friend will not be available at that time; and

(b) the person concerned proposes an alternative time which satisfies paragraph (5),

the interview must be postponed to the time proposed by the person concerned.

(5) An alternative time proposed by the person concerned must—

(a) be reasonable; and

(b) fall before the end of the period of 5 working days starting with the first working day after the day specified by the person investigating or the Director General.

(6) The person investigating must, in advance of the interview, give the person concerned—

(a) a notice stating the date, time and place of the interview; and

(b) such information as the person investigating or, in the case of an investigation under regulation 45, other than by the Director General acting personally, the Director General considers appropriate in the circumstances of the case to enable the person concerned to prepare for the interview.

(7) The person concerned must attend the interview.

(8) An FSA friend may not answer any questions asked of the person concerned during the interview.

Special procedure: duty to provide information to chief executive

55

In a case where the Director General or person investigating has made a severity assessment under regulation 49, the person investigating must provide the chief executive with such information in that person’s possession as the chief executive may reasonably request for the purpose of determining whether—

(a) the person concerned should be, or should remain, suspended from their appointment as an officer; or

(b) in relation to a person concerned who has been seconded to the FSA to serve as an officer, the secondment of the person concerned should cease to have effect, or continue to cease to have effect.

Interview of an officer during investigations

56

(1) Paragraph (2) prescribes the procedure to be followed in connection with an interview which—

(a) is held with an officer during the course of the investigation by the person investigating; and

(b) does not fall within regulation 54.

(2) Where the person investigating wishes to interview an officer as part of an investigation, the person investigating must—

(a) give written notice to that officer that the interview will take place in accordance with this regulation; and

(b) if reasonably practicable, agree a date and time for the interview.

(3) Where no date and time is agreed under paragraph (2), the person investigating must specify a date and time for the interview.

(4) Where a date and time is specified under paragraph (3) and—

(a) the relevant officer or the accompanying person will not be available at that time; and

(b) the relevant officer proposes an alternative time which satisfies paragraph (5),

the interview must be postponed to the time proposed by the relevant officer.

(5) An alternative time proposed by the relevant officer must—

(a) be reasonable; and

(b) fall before the end of the period of 5 working days starting with the first working day after the day specified by the person investigating.

(6) The person investigating must, in advance of the interview, give the relevant officer—

(a) a notice stating the date, time and place of the interview;

(b) such information as the person investigating considers appropriate in the circumstances of the case to enable the relevant officer to prepare for the interview.

(7) The relevant officer must attend the interview.

(8) An accompanying person may accompany the relevant officer to the interview under this regulation, and—

(a) during, and in relation to, the interview may—

(i) advise the relevant officer;

(ii) provide any relevant statement or relevant document to the person investigating; but

(b) may not answer any questions asked of the relevant officer during the interview.

(9) Where an accompanying person is an officer, the chief executive must permit the accompanying person to use a reasonable amount of contractual working time for the purposes of this regulation.

(10) Nothing in this regulation applies to an interview of any person—

(a) in relation to an investigation of a complaint, in respect of which it appears to the person investigating 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; or

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

(11) Nothing in this regulation prevents or restricts the holding of interviews to which this regulation does not apply during the course of any investigation under these Regulations.

(12) In this regulation—

“accompanying person” means a person who is— an officer or a member of the FSA’s staff or an official of a trade union; nominated by the relevant officer; and not otherwise involved in the matter;

“relevant officer” means an officer given notice under paragraph (2)(a).

Restrictions on proceedings pending the conclusion of an investigation

57

(1) No criminal or disciplinary proceedings may be brought in relation to any matter which falls to be determined under these Regulations until a report on that investigation has been submitted to the Director General or to the chief executive under regulation 72 or 75 or, as the case may be, a report has been completed by the Director General under those regulations.

(2) The restrictions imposed by this regulation in relation to the bringing of criminal proceedings do not apply to the bringing of criminal proceedings by the Director of Public Prosecutions in any case in which it appears to the Director of Public Prosecutions that there are exceptional circumstances which make it undesirable to delay the bringing of such proceedings.

PART 7 — Provision of information

Provision of information to the Director General

58

(1) The chief executive must—

(a) provide the Director General with—

(i) all such information and documents as may be specified or described in these Regulations;

(ii) to the extent not falling within paragraph (i), all such other information and documents specified or described in a notification given by the Director General to the chief executive; and

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

as appear to the Director General to be required for the purposes of the carrying out of any of the Director General’s functions.

(2) Anything falling to be provided, produced or delivered up by any person in pursuance of a requirement imposed under paragraph (1) must be provided, produced or delivered up in such form, in such manner and within such period as may be specified in—

(a) the notification imposing the requirement; or

(b) in any subsequent notification given by the Director General to that person for the purposes of this paragraph.

(3) Nothing in this regulation requires the chief executive —

(a) to provide the Director General with any information or document, or to produce or deliver up any other thing, before the earliest time at which it is practicable for the chief executive to do so; or

(b) to provide, produce or deliver up anything at all in a case in which it is not, or it never becomes, practicable for the chief executive to do so.

(4) A requirement imposed under this regulation may authorise or require information or documents to which it relates to be provided to the Director General electronically.

Duty to keep the complainant informed

59

(1) Subject to regulation 62, in any case in which there is an investigation of a complaint in accordance with these Regulations—

(a) by the Director General; or

(b) under the direction of the Director General,

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

(2) Subject to regulation 62, in any case in which there is an investigation of a complaint in accordance with these Regulations by the chief executive on the chief executive’s own behalf, the chief executive must provide the complainant with all such information as will keep the complainant properly informed, while the investigation is being carried out and subsequently, of the matters specified in paragraph (4).

(3) Where paragraph (2) applies, the Director General must give the chief executive such directions as the Director General considers appropriate for securing that the chief executive complies with the chief executive’s duty under that paragraph; and the chief executive must comply with any such direction.

(4) The matters of which the complainant must be kept properly informed are—

(a) the progress of the handling of the complaint;

(b) the outcome of the handling of the complaint;

(i) the time limit for applying for the review; and

(ii) the effect of regulation 82(4);

(d) the progress of any—

(i) criminal proceedings;

(ii) disciplinary proceedings; or

(iii) performance proceedings,

brought in relation to, or arising from, any matter which was the subject of the complaint;

(e) the outcome of any such proceedings or process falling within sub-paragraph (d);

(f) where an appeal is brought against the outcome of proceedings falling within sub-paragraph (d), the fact and outcome of the appeal.

(5) The generality of paragraph (4)(a) and (b) is not affected by any requirement to notify the complainant that is imposed by any other provision of these Regulations.

(6) A person appointed to carry out an investigation under these Regulations must provide the Director General or, as the case may be, the chief executive, with such information as the Director General or the chief executive may reasonably require for the purpose of the performance by the Director General or the chief executive of their duties under this regulation.

(7) In any case in which there is an investigation of a complaint, the Director General or the chief executive may comply with their duty under paragraph (1) or (2), as the case may be, so far as relating to a report of the investigation submitted (or completed) under regulation 72, by sending the complainant a copy of the report.

(8) Paragraph (7) applies notwithstanding any obligation of secrecy imposed by any rule of law or otherwise but is subject to—

(a) regulation 61; and

(b) regulation 62.

Duty to provide information for other persons

60

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

(a) it appears to the Director General or the chief executive that the person falls within paragraph (2) or (3); and

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

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

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

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

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

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

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

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

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

(b) the person described in sub-paragraph (a) has indicated consent to the provision of information in accordance with this regulation.

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

(6) In any case where there is an investigation of the complaint, recordable conduct matter or DSI matter in accordance with these Regulations—

(a) by the Director General or under the Director General’s direction, the Director General must; or

(b) by the chief executive on the chief executive’s own behalf, the chief executive must,

while the investigation is being carried out and subsequently, keep the interested person properly informed of the matters in paragraph (8).

(7) Where paragraph (6) applies, the Director General must give the chief executive such directions as the Director General considers appropriate for securing that the chief executive complies with the chief executive’s duty under that paragraph; and the chief executive must comply with any such direction.

(8) The matters of which the interested person must be kept properly informed are—

(a) the progress of the handling of the complaint, recordable conduct matter or DSI matter;

(b) the outcome of the handling of the complaint, recordable conduct matter or DSI matter;

(i) criminal proceedings;

(ii) disciplinary proceedings; or

(iii) performance proceedings,

brought in relation to, or arising from, any matter which was the subject of the complaint, recordable conduct matter or DSI matter;

(d) the outcome of any such proceedings or process falling within sub-paragraph (c);

(e) where an appeal is brought against the outcome of proceedings falling within sub-paragraph (c), the fact and outcome of the appeal.

(9) The generality of paragraph (8)(a) and (b) is not affected by any requirement to notify an interested person that is imposed by any other provision of these Regulations.

(10) The duties imposed by this regulation on the Director General and the chief executive in relation to any complaint, recordable conduct matter or DSI matter must be performed in accordance with, and subject to any exceptions set out in, regulation 62.

(11) In any case in which there is an investigation of a complaint, recordable conduct matter or DSI matter, the Director General or the chief executive may comply with their duty under paragraph (6) so far as relating to a report of the investigation submitted (or completed) under regulation 72 or 75, by sending the interested person a copy of the report.

(12) Paragraph (11) applies notwithstanding any obligation of secrecy imposed by any rule of law or otherwise but is subject to—

(a) regulation 61; and

(b) regulation 62.

(13) Regulation 59(6) applies for the purposes of this regulation as it applies for the purposes of that regulation.

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

Manner in which duties to keep the complainant and interested person informed are to be performed

61

(1) The Director General or the chief executive, as the case may be, must inform the complainant or interested person of—

(a) the progress of the handling of the complaint, recordable conduct matter or DSI matter and any of the matters mentioned in regulation 59(4)(d) and 60(8)(c) promptly and in any event—

(i) if there has been no previous notification, within four weeks of the start of the handling of the complaint, proceedings or process; and

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

(b) the following matters—

(i) the outcome of the handling of the complaint, recordable conduct matter or DSI matter;

(ii) the matter mentioned in regulation 59(4)(e) and 60(8)(d); and

(iii) the matters mentioned in regulation 59(4)(f) and 60(8)(e),

promptly and in any event within 5 working days of the outcome (and, where applicable, the bringing of the appeal).

(2) The information required by paragraph (1) must be given in writing, unless, in the case of a complaint, the complaint—

(a) was made otherwise than in writing; and

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

(3) The chief executive must inform the complainant in writing of—

(a) any right to apply for a review conferred on the complainant by regulation 81; and

(b) the matters mentioned in regulation 59(4)(c)(i) and (ii),

promptly and in any event within 5 working days of the outcome of the handling of the complaint.

(4) In performing the duties imposed by these Regulations, the Director General or the chief executive, as the case may be, must determine whether it is appropriate to offer, or grant a request for, a meeting with a complainant or interested person.

(5) As soon as practicable after any such meeting, the Director General or the chief executive, as the case may be, must send the complainant or interested person a written record of the meeting and an account of how any concerns of that person will be addressed.

Exceptions to duties to keep the complainant and interested person informed

62

(1) Paragraph (2) specifies the circumstances in which the duties imposed on the Director General and the chief executive to keep the complainant informed and to provide information for interested persons do not apply.

(2) The circumstances are where in the opinion of the Director General or the chief executive, as the case may be, the non-disclosure of information is necessary for a purpose mentioned in paragraph (3).

(3) The purposes are—

(a) preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any actual or prospective criminal proceedings;

(b) preventing the disclosure of information in any circumstances in which its non-disclosure—

(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.

(4) The Director General or the chief executive, as the case may be, may only conclude that the non-disclosure of information is necessary under paragraph (2) if satisfied that—

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

(b) that adverse effect would be significant.

(5) The Director General or the chief executive, as the case may be, must consider whether the non-disclosure of information is justified under paragraph (2) in circumstances where—

(a) that information is relevant to, or may be used in, any actual or prospective disciplinary proceedings or performance proceedings or appeal against the outcome of such proceedings;

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

(d) that information constitutes criminal intelligence.

Chief executive to notify the Director General of outcome of disciplinary proceedings etc.

63

The chief executive must notify the Director General of—

(a) the outcome of any disciplinary proceedings or performance proceedings brought in relation to, or arising from, any matter dealt with in a report submitted or completed under regulation 72 or 75, as soon as practicable after the outcome of the proceedings or process;

(b) the bringing of any appeal against the outcome of any such proceedings, as soon as practicable after the chief executive becomes aware of the appeal;

Copies of complaints etc.

64

(1) Where a complaint is recorded under regulation 15(4), the chief executive must—

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

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

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

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

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

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

(4) Where the chief executive decides not to supply such a copy, the chief executive shall keep that decision under regular review.

Information for complainant about disciplinary recommendations

65

(1) This paragraph applies where, on the review of the outcome of a complaint under regulation 81, the Director General makes a recommendation under regulation 81(7)(c).

(2) Where the chief executive notifies the Director General under regulation 81(8)(a) that the recommendation has been accepted, the Director General must notify the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 60 of that fact and of the steps that have been, or are to be taken, by the chief executive to give effect to it.

(3) Where the chief executive —

(a) notifies the Director General under regulation 81(8)(a) that the chief executive does not, either in whole or in part, accept the recommendation; or

(b) fails to take steps to give full effect to the recommendation,

the Director General must determine what further steps (if any) to take under regulation 78, as applied by regulation 81(8)(b).

(4) The Director General must notify the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 60—

(a) of any determination under paragraph (3) not to take further steps; and

(b) where the Director General determines under paragraph (3) that the Director General will take further steps, of the outcome of the taking of those steps.

Register to be kept by the Director General

66

(1) The Director General must establish and maintain a register of all information supplied to the Director General by the chief executive under these Regulations.

(2) Subject to paragraph (3), the Director General may publish or otherwise disclose to any person any information held on the register where, in the opinion of the Director General, that is necessary for, or conducive to, the purpose of—

(a) learning lessons from the handling of complaints, conduct matters or DSI matters;

(b) demonstrating the thoroughness and effectiveness of the handling of complaints or such matters;

(d) improving the complaints system.

(3) Information may not be published or disclosed in circumstances where, in the opinion of the Director General, the non-disclosure of the information is necessary for a purpose mentioned in regulation 62(3).

Manner and time limits of notices and notifications

67

(1) Any notice or notification to be given under these Regulations must—

(a) unless otherwise specified in these Regulations or in guidance issued by the Director General, be given in writing; and

(b) unless otherwise specified in these Regulations, be made within such period as the Director General may determine in guidance.

(2) No time limit mentioned in these Regulations or determined by the Director General applies in any case where exceptional circumstances prevent that time limit being complied with.

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

68

(1) The Director General may serve upon any person a notice (an “information notice”) requiring the person to provide the Director General with information that the Director General reasonably requires for the purposes of an investigation in accordance with regulation 45.

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

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

(b) to provide an item subject to legal privilege within the meaning of the Police and Criminal Evidence Act 1984[^f00017] (see section 10 of that Act);

(c) to make a disclosure that would be prohibited by any of Part 1 of the Regulation of Investigatory Powers Act 2000[^f00018] or Parts 1 to 7 or Chapter 1 of Part 9 of the Investigatory Powers Act 2016[^f00019];

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

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

(4) In paragraph (3) “communications data”, “postal operator” and “telecommunications operator” have the same meanings as in the Investigatory Powers Act 2016 (see sections 261 and 262 of that Act)[^f00020].

(5) An information notice must—

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

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

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

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

Failure to comply with an information notice

69

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

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

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

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

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

Appeals against information notices

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

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

(a) it must quash the notice; and

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

Sensitive information: restriction on disclosure

71

(1) Where the Director General receives information within paragraph (3), the Director General must not disclose, whether under regulation 9, 59 or 60 or otherwise, the information, or the fact that the Director General has received it, unless the relevant authority consents to the disclosure.

(2) Where a person appointed under regulation 43 or 44 to investigate a complaint or matter (an “investigator in a directed investigation (under regulation 43 or 44)”) receives information within paragraph (3), the investigator in a directed investigation (under regulation 43 or 44) must not disclose the information, or the fact that it has been received, to any person other than the Director General unless the relevant authority consents to the disclosure.

(3) The information is—

(a) intelligence service information;

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

(c) information obtained (directly or indirectly) from a government department which, at the time it is provided to the Director General or the investigator in a directed investigation (under regulation 43 or 44), is identified by the department as information the disclosure of which may, in the opinion of the relevant authority, cause damage to—

(i) national security, international relations or the economic interests of the United Kingdom or any part of the United Kingdom; or

(ii) jeopardise the safety of any person.

(4) Where the Director General or an investigator in a directed investigation (under regulation 43 or 44) discloses to another person information within paragraph (3) or the fact that the Director General or the investigator in a directed investigation (under regulation 43 or 44) has received it, that person must not disclose that information or that fact unless the relevant authority consents to the disclosure.

(5) In this regulation—

“government department” means a department of His Majesty’s Government but does not include— the Security Service; the Secret Intelligence Service; or the Government Communications Headquarters (“GCHQ”);

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

“intelligence service” means— the Security Service; the Secret Intelligence Service; GCHQ; or any part of His Majesty’s forces (within the meaning of the Armed Forces Act 2006[^f00021]), or of the Ministry of Defence, which engages in intelligence activities;

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

“relevant authority” means— in the case of intelligence service information obtained from the Security Service, the Director General of the Security Service; in the case of intelligence service information obtained from the Secret Intelligence Service, the Chief of the Secret Intelligence Service; in the case of intelligence service information obtained from GCHQ, the Director of GCHQ; in the case of intelligence service information obtained from any part of His Majesty’s forces, or of the Ministry of Defence, which engages in intelligence activities, the Secretary of State; in the case of protected information relating to a relevant warrant, the person to whom the warrant is or was addressed; in the case of information within paragraph (3)(c)— the Secretary of State; or the Minister of the Crown in charge of the government department from which the information was obtained (if that Minister is not a Secretary of State), and for this purpose “Minister of the Crown” has the meaning given in the Ministers of the Crown Act 1975[^f00022];

“relevant warrant” means— a warrant under Chapter 1 of Part 2 of the Investigatory Powers Act 2016; or a warrant under Chapter 1 of Part 6 of that Act.

PART 8 — Reports and recommendations

Final reports on investigations: complaints, conduct matters and certain DSI matters

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(1) This regulation applies on the completion of an investigation of—

(a) a complaint; or

(b) a conduct matter.

(2) A person appointed under regulation 42 must submit a report on the investigation to the chief executive.

(3) A person appointed under regulation 43 or 44 must—

(a) submit a report on the investigation to the Director General; and

(b) send a copy of that report to the chief executive.

(4) A person designated under regulation 45 as the person in charge of an investigation must—

(a) submit a report on the investigation to the Director General; or

(b) where the person in charge of the investigation is the Director General acting personally, complete a report on the investigation.

(5) A person submitting or, in the case of an investigation under regulation 45 by the Director General personally, completing a report under this regulation shall not be prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in the report as the person thinks fit.

(6) Where a person would contravene regulation 71 by submitting, or, as the case may be, sending a copy of, a report in its entirety to the chief executive under paragraph (2) or (3)(b), the person must instead submit, or send a copy of, the report after having removed or obscured the information which by virtue of regulation 71 the person must not disclose.

(7) A person who has submitted or, in the case of an investigation under regulation 45 by the Director General acting personally, completed a report on an investigation under this regulation on an investigation to which regulation 49 applies must supply the chief executive with such copies of further documents or other items in that person’s possession as the chief executive may request, except so far as the person is prevented from doing so by regulation 71.

(8) The chief executive may only make a request under paragraph (7) in respect of a copy of a document or other item if the chief executive —

(a) considers that the document or item is of relevance to the investigation; and

(b) requires a copy of the document or the item for a purpose mentioned in paragraph (9).

(9) Those purposes are—

(a) complying with any obligation which the chief executive has under disciplinary proceedings in relation to any person whose conduct is the subject matter of the investigation;

(b) ensuring that any such person whose conduct is in question receives a fair hearing at any disciplinary proceedings in respect of any such conduct of that person.

(10) A report on an investigation to which regulation 49 applies must—

(a) include an accurate summary of the evidence;

(b) be accompanied by, or refer to, any relevant documents; and

(c) where the investigation was carried out under regulation 42, include the opinion of the person investigating as to the matters mentioned in paragraph (12)(a) and (b).

(11) On completion of an investigation—

(a) carried out under regulation 43, 44 or 45; and

(b) to which regulation 49 applies,

where the Director General seeks the views of the chief executive on the matters mentioned in regulation 73(8)(a), the Director General must notify the chief executive of the Director General’s opinion as to the matters mentioned in paragraph (12).

(12) The matters are—

(a) whether any person to whose conduct the investigation related has a case to answer in respect of their conduct, or has no case to answer;

(b) whether or not any such person’s performance is unsatisfactory;

(d) whether or not performance proceedings should be brought against any such person.

(13) For the purposes of paragraphs (10) and (11), the chief executive must provide the Director General with the chief executive’s views (if any) on the matters mentioned in regulation 73(8)(a) before the expiry of the time limit mentioned in paragraph (14).

(14) The time limit is 28 days starting with the day after the day on which the Director General seeks the chief executive’s views in accordance with regulation 73(8)(a), unless this period is extended by the Director General.

Action by the Director General in relation to an investigation report under regulation 72

73

(1) This regulation applies where—

(a) a report on an investigation carried out under the direction of the Director General is sub-mitted to the Director General under regulation 72(3); or

(b) a report on an investigation carried out by a person designated by the Director General is submitted to the Director General, or is otherwise completed, under regulation 72(4).

(2) But if, following the submission or completion of such a report, the Director General determines under regulation 80 that the complaint or recordable conduct matter is to be re-investigated, the provisions of this regulation other than paragraph (3)(a), read with paragraph (4), do not apply, or cease to apply, in relation to that report.

(3) On receipt of the report, or on its completion by the Director General, the Director General—

(a) must send a copy of the report to the chief executive if it appears that the chief executive has not already been sent a copy of the report;

(b) must determine whether the conditions in paragraphs (5) and (6) are satisfied in respect of the report;

(c) if the Director General determines that the conditions in paragraphs (5) and (6) are satisfied, must notify the Director of Public Prosecutions of that determination and send the Director of Public Prosecutions a copy of the report; and

(d) must notify the chief executive and—

(i) in the case of a complaint, the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 60; and

(ii) in the case of a recordable conduct matter, every person entitled to be kept properly informed in relation to that matter under that regulation,

of the Director General’s determination under sub-paragraph (b) and of any action taken by the Director General under sub-paragraph (c).

(4) Where the Director General would contravene regulation 71 by sending a copy of a report in its entirety to the chief executive under paragraph (3)(a) or to the Director of Public Prosecutions under paragraph (3)(c), the Director General must instead send a copy of the report after having removed or obscured the information which by virtue of regulation 71 the Director General must not disclose.

(5) The first condition is that the report indicates that a criminal offence may have been committed by a person to whose conduct the investigation related.

(6) The second condition is that the circumstances are such that, in the opinion of the Director General, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions.

(7) The Director of Public Prosecutions must notify the Director General of any decision of the Director of Public Prosecutions to take, or not to take, action in respect of the matters dealt with in any report a copy of which has been sent to the Director of Public Prosecutions under paragraph (3)(c).

(8) On receipt of the report, or on its completion by the Director General, the Director General must also—

(a) seek the views of the chief executive on—

(i) whether any person to whose conduct the investigation related has a case to answer in respect of their conduct, or has no case to answer;

(ii) whether or not any such person’s performance is unsatisfactory; and

(iii) the other matters (if any) dealt with in the report (but not on whether the conditions in paragraphs (5) and (6) are satisfied in respect of the report);

(b) having considered the views (if any) of the chief executive, make a determination as to—

(i) the matters described in sub-paragraph (a)(i) and (ii); and

(ii) whether or not disciplinary proceedings should be brought against any person to whose conduct the investigation related;

(c) having considered the views (if any) of the chief executive and if the Director General considers it appropriate to do so, make a determination as to any matter dealt with in the report, being a determination other than one that the Director General is required to make under paragraph (3)(b) or sub-paragraph (b) of this paragraph;

(d) notify the chief executive of the determination under sub-paragraph (b) and any determination under sub-paragraph (c);

(e) where the Director General determines that disciplinary proceedings should be brought against a person, direct the chief executive to bring those proceedings; and

(f) direct the chief executive to determine what action (if any) the chief executive will, in the chief executive’s discretion, take, other than action involving the bringing of disciplinary proceedings, in respect of the matters dealt with in the report and having regard to the Director General’s determination under sub-paragraph (b) and any determination under sub-paragraph (c).

(9) The chief executive must comply with a direction given under paragraph (8)(e) and must secure that the proceedings, once brought, are proceeded with to a proper conclusion.

(10) The Director General may at any time withdraw a direction given under paragraph (8)(e); and paragraph (9) shall not impose any obligation in relation to any time after the withdrawal of the direction.

(11) The chief executive must keep the Director General informed of the action the chief executive takes in response to a direction given under paragraph (8)(e).

(12) The chief executive must comply with a direction given under paragraph (8)(f) and must notify the Director General of the determination the chief executive makes.

(13) On receipt of the report, or on its completion by the Director General, where it is a report of an investigation of a complaint, the Director General may also make a recommendation under regulation 87.

Action by the chief executive in response to an investigation report under regulation 72

74

(1) This regulation applies where a report of an investigation is submitted to the chief executive in accordance with regulation 72(2).

(2) On receipt of the report, the chief executive must—

(a) determine whether the conditions in paragraphs (3) and (4) are satisfied in respect of the report;

(b) if the chief executive determines that the conditions in paragraphs (3) and (4) are satisfied, notify the Director of Public Prosecutions of the determination and send the Director of Public Prosecutions a copy of the report; and

(c) notify the persons mentioned in paragraph (6) of the chief executive’s determination under sub-paragraph (a) and of any action taken by the chief executive under sub-paragraph (b).

(3) The first condition is that the report indicates that a criminal offence may have been committed by a person to whose conduct the investigation related.

(4) The second condition is that the circumstances are such that, in the opinion of the chief executive, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions.

(5) The Director of Public Prosecutions must notify the chief executive of any decision of the Director of Public Prosecutions to take, or not to take, action in respect of the matters dealt with in any report a copy of which has been sent to the Director of Public Prosecutions under paragraph (2)(b).

(6) The persons are—

(a) in the case of a complaint, the complainant and every person entitled to be kept properly informed in relation to the complaint under regulation 60; and

(b) in the case of a recordable conduct matter, every person entitled to be kept properly informed in relation to that matter under that regulation.

(7) On receipt of the report, the chief executive must—

(a) determine whether any person to whose conduct the investigation related has a case to answer in respect of their conduct, or has no case to answer;

(b) determine whether or not any such person’s performance is unsatisfactory;

(c) determine what action (if any) the chief executive is required to, or will in the chief executive’s discretion, take in respect of the matters dealt with in the report; and

(d) if the chief executive considers it appropriate to do so, make a determination as to any matter dealt with in the report, being a determination other than one that the chief executive is required to make under paragraph (2)(a) or sub-paragraphs (a) to (c) of this paragraph.

(8) It shall be the duty of the chief executive—

(a) to take the action which the chief executive determines under paragraph (7) that the chief executive is required to, or will in the chief executive’s discretion, take; and

(b) in a case where that action consists of, or includes, the bringing of disciplinary proceedings, secure that those proceedings, once brought, are proceeded with to a proper conclusion.

Final reports on investigations: other DSI matters

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(1) This regulation applies on the completion of an investigation of a DSI matter in respect of which neither the Director General nor the chief executive has made a determination under regulation 34(2), (3), (4) or (7).

(2) The person investigating must—

(a) submit a report on the investigation to the Director General; and

(b) send a copy of that report to the chief executive.

(3) Paragraph (2)(a) does not apply where the person investigating is the Director General carrying out an investigation personally under regulation 45, but the Director General must complete a report on the investigation.

(4) A person submitting a report to the Director General under paragraph (2) or completing one under paragraph (3) shall not be prevented by any obligation of secrecy imposed by any rule of law or otherwise from including all such matters in the report as the person thinks fit.

(5) Where a person would contravene regulation 71 by sending a copy of a report in its entirety to the chief executive under paragraph (2), the person must instead send a copy of the report after having removed or obscured the information which by virtue of regulation 71 the person must not disclose.

(6) On receipt of the report, or on its completion by the Director General, the Director General must determine whether the report indicates that the officer may have—

(a) committed a criminal offence; or

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

(7) On receipt of the report, or on its completion by the Director General, the Director General must also, if the Director General considers it appropriate to do so, make a determination as to any matter dealt with in the report, being a determination other than one that the Director General is required to make under paragraph (6) or that the chief executive may be required to make by virtue of regulation 77(3).

(8) But paragraphs (6) and (7) and regulation 77 do not apply, or cease to apply, in relation to a report submitted under paragraph (2) or completed under paragraph (3) if, following the submission or completion of the report, the Director General determines under regulation 80 that the DSI matter is to be re-investigated.

76

(1) Except where paragraph (2) applies, where—

(a) the Director General determines under regulation 73(8) that neither disciplinary proceedings nor performance proceedings should be brought against a person to whose conduct the investigation related; or

(b) the chief executive determines under regulation 74(7) that the chief executive will bring neither disciplinary proceedings nor performance proceedings against such a person,

the Director General or the chief executive, as the case may be, must provide the officer with a copy of the report on the investigation or such parts of it as relate to the officer.

(2) This paragraph applies for so long as the Director General or the chief executive, as the case may be, believes that providing a copy of the report, or part of it, under paragraph (1) might prejudice any investigation or proceedings (including a criminal investigation or proceedings) or review under regulation 81.

(3) A copy of the report, or part of it, provided under paragraph (1) may be in a form which keeps anonymous the identity of the complainant (if any) or any other person.

(4) Where the Director General or the chief executive would contravene regulation 71 by providing a copy of the report, or part of it, under paragraph (1), the Director General or the chief executive must instead provide the copy having removed or obscured the information which by virtue of regulation 71 must not be disclosed.

Action by the Director General in response to an investigation report under regulation 75

77

(1) This regulation applies to the determination by the Director General under regulation 75(6).

(2) This paragraph applies where the Director General determines under regulation 75(6) that there is no indication in the report that an officer may have—

(a) committed a criminal offence; or

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

(3) Where paragraph (2) applies, the Director General may notify the chief executive that the chief executive must determine—

(a) whether or not the performance of a person whose conduct is under investigation is unsatisfactory; and

(b) what action (if any) the chief executive will take in respect of the performance of the person mentioned in sub-paragraph (a).

(4) On receipt of a notification under paragraph (3) the chief executive must make the determinations and submit a memorandum to the Director General setting out the determinations the chief executive has made.

(5) On receipt of a memorandum under paragraph (4), the Director General must—

(a) consider the memorandum and consider whether the chief executive has made the determinations under paragraph (3) that the Director General considers appropriate;

(b) determine whether or not to make recommendations under regulation 78;

(6) Paragraphs (3) and (5) do not affect any power of the Director General to make recommendations or give advice under regulation 6 in other cases, whether arising under these Regulations or otherwise.

(7) If the Director General determines under regulation 75(6) that the report indicates 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, and, if it appears that the chief executive has not already been sent a copy of the report, send a copy of the report to the chief executive.

(8) Where the chief executive is notified under paragraph (7) of a determination by the Director General, the chief executive must record the matter under regulation 19 as a conduct matter (and the other provisions of these Regulations apply in relation to that matter accordingly).

(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(9), investigate the conduct matter as if appointed or, as the case may be, designated to do so; and

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

Duties with respect to disciplinary proceedings

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(1) This regulation applies where, in the case of any investigation, the chief executive has submitted, or is required to submit, a memorandum to the Director General under regulation 77(4).

(2) But this regulation does not apply, or ceases to apply, in relation to the investigation if the Director General determines under regulation 80 that the DSI matter is to be re-investigated.

(3) Subject to regulation 57, and to any recommendations or directions under this regulation, the chief executive must—

(a) take the action which is, or which is required to be, set out in the memorandum; and

(b) in a case where that action consists of or includes the bringing of disciplinary proceedings, to secure that those proceedings, once brought, are proceeded with to a proper conclusion.

(4) The Director General may make a recommendation to the chief executive—

(a) that the performance of a person whose conduct is under investigation is, or is not, satisfactory;

(b) that action is taken in respect of the performance of the person mentioned in sub-paragraph (a),

and the chief executive must notify the Director General whether the chief executive accepts the recommendation and (if the chief executive does) set out in the notification the steps that the chief executive is proposing to take to give effect to the recommendation.

(5) If, after the Director General has made a recommendation under this regulation, the chief executive does not take steps to secure that full effect is given to the recommendation—

(a) the Director General may direct the chief executive to take steps for that purpose; and

(b) the chief executive must comply with a direction under sub-paragraph (a).

(6) A direction under paragraph (5) may, to such extent as the Director General thinks fit, set out the steps to be taken by the chief executive in order to give effect to the recommendation.

(7) Where the Director General gives the chief executive a direction under this regulation, the Director General must supply the chief executive with a statement of the Director General’s reasons for doing so.

(8) Where disciplinary or other proceedings have been brought in accordance with a recommendation or direction under this regulation, the chief executive must ensure that they are proceeded with to a proper conclusion.

(9) The Director General may at any time withdraw a direction given under this regulation, and paragraph (8) does not impose any obligation in relation to any time after the withdrawal of the direction.

(10) The chief executive must keep the Director General informed—

(a) of whatever action the chief executive takes in pursuance of the chief executive’s duties under paragraph (3); and

(b) in every case of a recommendation or direction under this regulation, of whatever action the chief executive takes in response to that recommendation or direction.

Complaints and conduct matters relating to a person whose identity is unascertained

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(1) Where a complaint or conduct matter relates to the conduct of a person whose identity is unascertained at the time at which the complaint is made or the conduct matter is recorded, or whose identity is not ascertained during or subsequent to, the investigation of the complaint or recordable conduct matter, these Regulations apply in relation to such a person as if they did not include—

(a) any requirement for the person complained against to be given a notification or an opportunity to make representations;

(b) any requirement for the Director General or the chief executive to determine whether a criminal offence may have been committed by the person whose conduct has been the subject matter of an investigation, or to take any action in relation to such a determination;

(c) any requirement for the Director General or the chief executive to determine whether disciplinary proceedings should be brought against a person whose conduct is the subject matter of a report.

(2) Where the identity of such a person is subsequently ascertained, the Director General and the chief executive must take such action in accordance with these Regulations as they see fit, regardless of any previous action taken.

PART 9 — Re-investigations, reviews and recommendations

Power of the Director General to require re-investigation

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(1) This regulation applies where—

(a) a report on an investigation of a complaint, recordable conduct matter or DSI matter carried out under the direction of the Director General has been submitted to the Director General under regulation 72(3) or regulation 75; or

(b) a report on an investigation of a complaint, recordable conduct matter or DSI matter carried out by a person designated by the Director General has been submitted to the Director General (or, in the case of an investigation carried out under regulation 45 by the Director General personally, is otherwise completed by the Director General) under regulation 72(4) or 75.

(2) The Director General may at any time determine that the complaint, recordable conduct matter or DSI matter is to be re-investigated if the Director General is satisfied that there are compelling reasons for doing so.

(3) Where the Director General makes a determination under paragraph (2), the Director General must determine that the re-investigation is to take the form of an investigation by the Director General unless paragraph (4) applies, in which case the Director General must determine that the re-investigation is to take the form described in that paragraph.

(4) This paragraph applies where the Director General determines that it would be more appropriate for the re-investigation to take the form of an investigation by the chief executive under the direction of the Director General.

(5) Where—

(a) the Director General determines under paragraph (3) or (7) that a re-investigation is to take the form of an investigation by the Director General; and

(b) at any time after the determination described in sub-paragraph (a), the Director General determines that paragraph (4) applies in relation to the re-investigation,

the Director General may make a further determination under this regulation (to replace the earlier one) that the re-investigation is instead to take the form of an investigation by the chief executive under the direction of the Director General.

(6) Where the Director General determines under paragraph (3) or (5) that a re-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 paragraph (4) continues to apply in relation to the re-investigation.

(7) If, on such a review, the Director General determines that paragraph (4) no longer applies in relation to a re-investigation, the Director General must make a further determination under this regulation (to replace the earlier one) that the re-investigation is instead to take the form of an investigation by the Director General.

(8) Paragraphs (10) and (11) of regulation 36 apply in relation to a further determination under paragraph (5) or (7) as they apply in the case of a further determination under regulation 36(8) or (9).

(9) The other provisions of these Regulations apply in relation to any re-investigation in pursuance of a determination under this regulation as they apply in relation to any investigation in pursuance of a determination under regulation 36.

(10) The Director General must notify the chief executive of any determination that the Director General makes under this regulation and of the Director General’s reasons for making the determination.

(11) Subject to regulation 62, the Director General must also notify the following of any determination that the Director General makes under this regulation 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, recordable conduct matter or DSI matter, as the case may be, under regulation 60;

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

(12) The reference to a report in paragraph (1) includes a report on a re-investigation by virtue of this regulation or regulation 81.

Reviews with respect to an investigation

81

(1) This regulation applies where a complaint has been subjected to an investigation by the chief executive on the chief executive’s own behalf.

(2) Where this regulation applies, the complainant has the right to apply to the Director General for a review of the outcome of the complaint.

(3) The Director General must notify the following of an application for a review under paragraph (2)—

(a) the chief executive;

(b) every person entitled to be kept properly informed in relation to the complaint under regulation 60; and

(4) Where the Director General so requires on the making of an application for a review under paragraph (2), the chief executive must provide the Director General with—

(a) a copy of the report of the investigation; and

(b) such information concerning the chief executive’s determinations under regulation 74 as is described in a notification given by the Director General to the chief executive.

(5) On a review under paragraph (2), the Director General must determine whether the outcome of the complaint is reasonable and proportionate.

(6) In making a determination under paragraph (5), the Director General may review the findings of the investigation.

(7) Where the Director General finds that the outcome of the complaint is not reasonable and proportionate, the Director General may—

(a) make the Director General’s own findings (in place of, or in addition to, any findings of the investigation);

(b) direct that the complaint be re-investigated;

(i) that the officer has a case to answer in respect of their conduct, or has no case to answer;

(ii) that the officer’s performance is, or is not, unsatisfactory;

(iii) that disciplinary proceedings are brought against the officer in respect of the conduct to which the investigation related;

(iv) that any disciplinary proceedings brought against that officer are modified so as to deal with such aspects of that conduct as may be so specified;

(d) make a recommendation under regulation 87.

(8) Where the Director General makes a recommendation under paragraph (7)(c)—

(a) the chief executive must notify the Director General whether the chief executive accepts the recommendation and (if the chief executive does) set out in the notification the steps that the chief executive proposes to take to give effect to it; and

(b) paragraphs (5) to (9) and (10)(b) of regulation 78 apply in relation to the recommendation as if it had been made under those provisions.

(9) Paragraph (10) applies where, on a review applied for under paragraph (2), the Director General determines that the report of the investigation indicates that a criminal offence may have been committed by a person to whose conduct the investigation related and that the circumstances are such that, in the opinion of the Director General, it is appropriate for the matters dealt with in the report to be considered by the Director of Public Prosecutions.

(10) Where this paragraph applies, the Director General must notify the Director of Public Prosecutions of the determination under paragraph (9) and send the Director of Public Prosecutions a copy of the report.

(11) The Director General must give notification of the outcome of a review under this regulation, and of the reasons for the determination under paragraph (5)—

(a) to the chief executive;

(b) to the complainant;

(d) except in a case where it appears to the Director General that to do so might prejudice any re-investigation of the complaint, to the person complained against (if any).

(12) The chief executive must comply with any directions given to the chief executive under this regulation.

(13) In this regulation, references, in relation to an investigation, to the outcome of the complaint do not include the outcome of any criminal or disciplinary proceedings brought in relation to any matter which was the subject of the investigation.

Reviews: general

82

(1) This regulation applies to reviews under regulation 81.

(2) Subject to paragraph (3), an application for a review must be made within a period of 28 days starting with the day after the day on which the information mentioned in regulation 59(4)(c) was provided to the complainant.

(3) The Director General may extend the period mentioned in paragraph (2) in any case where the Director General is satisfied that, because of the special circumstances of the case, it is just to do so.

(4) Subject to paragraph (5), an application for a review must be made in writing and must state—

(a) details of the complaint;

(b) the date on which the complaint was made; and

(5) Where the Director General receives an application for a review which fails to comply with one or more of the requirements mentioned in paragraph (4), the Director General may decide to proceed as if those requirements had been complied with.

(6) Where the Director General receives an application for a review, the Director General must request any information from any person which the Director General considers necessary to dispose of the review, except information—

(a) that might incriminate the person;

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

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

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

(e) the disclosure of which would require a postal operator or telecommunications operator to provide communications data; and for this purpose “communications data”, “postal operator” and “telecommunications operator” have the same meanings as in the Investigatory Powers Act 2016 (see sections 261 and 262 of that Act).

Information for complainant about disciplinary recommendations

83

(1) This regulation applies where, on the review of the outcome of a complaint under regulation 81, the Director General makes a recommendation under paragraph (7)(c) of that regulation.

(2) Where the chief executive notifies the Director General under regulation 81(8)(a) that the recommendation has been accepted, the Director General must notify the complainant, and every person entitled to be kept properly informed in relation to the complaint under regulation 60, of that fact, and of the steps that have been, or are to be taken, by the chief executive to give effect to it.

(3) Where the chief executive—

(a) notifies the Director General under regulation 81(8)(a) that the chief executive does not, either in whole or in part, accept the recommendation; or

(b) fails to take steps to give full effect to the recommendation,

the Director General must determine what further steps (if any) to take under regulation 78 as applied by regulation 81(8)(b).

(4) The Director General must notify the complainant, and every person entitled to be kept properly informed in relation to the complaint under regulation 60—

(a) of any determination under paragraph (3) not to take further steps; and

(b) where the Director General determines under paragraph (3) that the Director General will take further steps, of the outcome of the taking of those steps.

Re-investigations following a review

84

(1) Where the Director General directs under regulation 81 that a complaint be re-investigated, the Director General must make a determination of the form that the re-investigation should take.

(2) Paragraphs (3) to (11) of regulation 36 apply in relation to a determination under paragraph (1) as they apply in the case of a determination under that regulation.

(3) The other provisions of these Regulations (including this regulation) apply in relation to any re-investigation in pursuance of a direction under regulation 81(7)(b) as they apply in relation to any investigation in pursuance of a determination under regulation 36.

(4) Where the Director General determines under paragraph (1) that the re-investigation should take the form of an investigation by the chief executive on the chief executive’s own behalf, the Director General may also give the chief executive such directions as to the handling of the matter in future as the Director General thinks fit; and the chief executive must comply with any such directions.

(5) The Director General must notify the chief executive of any determination that the Director General makes under this regulation and of the Director General’s reasons for making the determination.

(6) Subject to regulation 62, the Director General must also notify the following of any determination that the Director General makes under this regulation and of the Director General’s reasons for making the determination—

(a) the complainant;

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

Recommendations by the Director General following receipt of reports on completion of an investigation or following a determination on a review

85

(1) This regulation applies where the Director General has—

(a) received a report, or otherwise completed one in relation to an investigation carried out under regulation 45 by the Director General personally, under—

(i) regulation 72(3);

(ii) regulation 72(4); or

(iii) regulation 75(2) or (3);

(b) made a determination on a review under regulation 81.

(2) The Director General may make a recommendation to the chief executive in relation to a matter dealt with in the report or review.

(3) Where this paragraph applies—

(a) by virtue of paragraph (1)(a)(i) or (ii), and the report is a report of an investigation of a complaint; or

(b) by virtue of paragraph (1)(b),

a recommendation made under paragraph (2) may not be a recommendation of a kind described in regulation 87(3).

(4) A recommendation under this regulation may also be made to any person if it is made—

(a) following the receipt or completion of a report relating to—

(i) a DSI matter;

(ii) a conduct matter of a type specified in paragraph (6);

(iii) a complaint of a type specified in paragraph (7); or

(b) following a determination on a review relating to a complaint of a type specified in paragraph (7).

(5) Where the Director General makes a recommendation under this regulation, the Director General must also—

(a) publish the recommendation; and

(b) send a copy of it to any person to whom the Director General thinks a copy should be sent.

(6) The types of conduct matter specified for the purposes of paragraph (4)(a)(ii) are any matter—

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

(b) relating to—

(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 for 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 which took place in the same incident as one in which conduct falling within paragraphs (i) to (v) took place;

(c) in respect of which the Director General gives a notification to the chief executive that the Director General requires a recordable conduct matter to be referred to the Director General for consideration; or

(d) that the Director General is treating as having been referred to the Director General under regulation 27(1).

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The Food Crime Officers (Complaints and Misconduct) Regulations 2025

Special procedure: severity assessment

49

Special procedure: notification of severity assessment etc.

50

Special procedure: FSA friend

51

Special procedure: revision of severity assessment

52

Special procedure: representations to the person investigating

53

Special procedure: interview of the person concerned

54

Special procedure: duty to provide information to chief executive

55

Interview of an officer during investigations

56

Restrictions on proceedings pending the conclusion of an investigation

57

PART 7 — Provision of information

Provision of information to the Director General

58

Duty to keep the complainant informed

59

Duty to provide information for other persons

60

Manner in which duties to keep the complainant and interested person informed are to be performed

61

Exceptions to duties to keep the complainant and interested person informed

62

Chief executive to notify the Director General of outcome of disciplinary proceedings etc.

63

Copies of complaints etc.

64

Information for complainant about disciplinary recommendations

65

Register to be kept by the Director General

66

Manner and time limits of notices and notifications

67

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

68

Failure to comply with an information notice

69

Appeals against information notices

70

Sensitive information: restriction on disclosure

71

PART 8 — Reports and recommendations

Final reports on investigations: complaints, conduct matters and certain DSI matters

72

Action by the Director General in relation to an investigation report under regulation 72

73

Action by the chief executive in response to an investigation report under regulation 72

74

Final reports on investigations: other DSI matters

75

Provision of copy of report on investigation etc to person to whose conduct the investigation related

76

Action by the Director General in response to an investigation report under regulation 75

77

Duties with respect to disciplinary proceedings

78

Complaints and conduct matters relating to a person whose identity is unascertained

79

PART 9 — Re-investigations, reviews and recommendations

Power of the Director General to require re-investigation

80

Reviews with respect to an investigation

81

Reviews: general

82

Information for complainant about disciplinary recommendations

83

Re-investigations following a review

84

Recommendations by the Director General following receipt of reports on completion of an investigation or following a determination on a review

85