SCHEDULES
SCHEDULE 3Handling of Complaints and Conduct matters etc.
Part 3Investigations and subsequent proceedings
I125C1Appeals to the Commission with respect to an investigation
1
This paragraph applies where a complaint has been subjected to—
a
an investigation by the appropriate authority on its own behalf; or
b
an investigation under the supervision of the Commission.
2
The complainant shall have the following rights of appeal to the Commission—
a
a right to appeal on the grounds that he has not been provided with adequate information—
i
about the findings of the investigation; or
ii
about any proposals of the appropriate authority to take, or not to take, action in consequence of the report;
b
a right to appeal against the findings of the investigation; and
c
a right of appeal against any proposal of the appropriate authority to take, or not to take, action in respect of any of the matters dealt with in the report of the investigation;
and it shall be the duty of the Commission to notify the appropriate authority, every person entitled to be kept properly informed in relation to the complaint under section 21 and the person complained against of any appeal brought under this paragraph.
3
On the bringing of an appeal under this paragraph, the Commission may require the appropriate authority to submit a memorandum to the Commission which—
a
sets out whether the appropriate authority is proposing to take any action in respect of the matters dealt with in the report;
b
if the appropriate authority is proposing to take any action, sets out what action it is proposing to take; and
c
if the appropriate authority has decided in relation to any person whose conduct is the subject-matter of the report that disciplinary proceedings should not be brought against that person, sets out its reasons for so deciding;
and it shall be the duty of the appropriate authority to comply with any requirement under this sub-paragraph.
4
Where the Commission so requires on the bringing of any appeal under this paragraph in the case of an investigation by the appropriate authority on its own behalf, the appropriate authority shall provide the Commission with a copy of the report of the investigation.
5
On an appeal under this paragraph, the Commission shall determine—
a
whether the complainant has been provided with adequate information about the matters mentioned in sub-paragraph (2)(a);
b
whether the findings of the investigation need to be reconsidered; and
c
whether the appropriate authority is proposing to take the action that the Commission considers appropriate in consequence of the report.
6
If, on an appeal under this paragraph, the Commission determines that the complainant has not been provided with adequate information about any matter, the Commission shall give the appropriate authority all such directions as the Commission considers appropriate for securing that the complainant is properly informed.
7
Nothing in sub-paragraph (6) shall authorise the Commission to require the disclosure of any information the disclosure of which to the appellant has been or is capable of being withheld by virtue of regulations made under section 20(5).
8
If, on an appeal under this paragraph, the Commission determines that the findings of the investigation need to be reconsidered, it shall either—
a
review those findings without an immediate further investigation; or
b
direct that the complaint be re-investigated.
9
If, on an appeal under this paragraph, the Commission determines that the appropriate authority is not proposing to take the action in consequence of the report that the Commission considers appropriate, the Commission shall—
a
determine, in the light of that determination, whether or not to make recommendations under paragraph 27; and
b
make such recommendations (if any) under that paragraph as it thinks fit.
10
The Commission shall give notification of any determination under this paragraph—
a
to the appropriate authority,
b
to the complainant;
c
to every person entitled to be kept properly informed in relation to the complaint under section 21; and
d
except in a case where it appears to the Commission that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.
11
The Commission shall also give notification of any directions given to the appropriate authority under this paragraph—
a
to the complainant;
b
to every person entitled to be kept properly informed in relation to the complaint under section 21; and
c
except in a case where it appears to the Commission that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.
12
It shall be the duty of the appropriate authority to comply with any directions given to it under this paragraph.
13
The Secretary of State may by regulations make provision—
a
for the form and manner in which appeals under this paragraph are to be brought;
b
for the period within which any such appeal must be brought; and
c
for the procedure to be followed by the Commission when dealing with or disposing of any such appeal.