SCHEDULES
C8C9SCHEDULE 3Handling of Complaints and Conduct matters etc.
Sch. 3 applied (with modifications) by 1984 c. 55, ss. 56A-56C (as inserted (6.4.2023 for specified purposes) by Building Safety Act 2022 (c. 30), ss. 53(1), 170(4)(c); S.I. 2023/362, reg. 3(1)(v))
Part 2 Handling of conduct matters
Conduct matters arising in civil proceedings
I1C1C210
1
This paragraph applies where—
a
a F1local policing body or chief officer has received notification (whether or not under this paragraph) that civil proceedings relating to any matter have been brought by a member of the public against F2that body or chief officer, or it otherwise appears to a F1local policing body or chief officer that such proceedings are likely to be so brought; and
b
it appears to F2that body or chief officer (whether at the time of the notification or at any time subsequently) that those proceedings involve or would involve a conduct matter.
2
F4The authority or chief officer—
a
shall consider whether it or, as the case may be, he is the appropriate authority in relation to the conduct matter in question; and
b
if it or he is not, shall notify the person who is the appropriate authority about the proceedings, or the proposal to bring them, and about the circumstances that make it appear as mentioned in sub-paragraph (1)(b).
3
Where a F3local policing body or chief officer determines for the purposes of this paragraph that it or, as the case may be, he is the appropriate authority in relation to any conduct matter, it or he shall F19determine whether the matter is one which it or he is required to refer to the F25Director General under paragraph 13 or is one which it would be appropriate to so refer.
F184
In a case where the appropriate authority determines that the matter is one which it or he is required to refer to the F25Director General under paragraph 13, or is one which it would be appropriate to so refer, it or he shall record the matter.
4A
In any other case, the appropriate authority shall determine whether the matter falls within a description of matters specified in regulations made by the Secretary of State for the purposes of this sub-paragraph.
4B
In a case where the appropriate authority determines that the matter does not fall within such a description, it or he shall record the matter.
4C
In any other case, the appropriate authority may (but need not) record the matter.
4D
In a case where the appropriate authority—
a
records a matter under this paragraph, and
b
is not required to refer the matter to the F25Director General under paragraph 13 and does not do so,
the appropriate authority may deal with the matter in such other manner (if any) as it or he may determine.
5
Nothing in F20sub-paragraph (4) or (4B) shall require the appropriate authority to record any conduct matter if it is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates.
6
For the purposes of this paragraph civil proceedings involve a conduct matter if—
a
they relate to such a matter; or
b
they are proceedings that relate to a matter in relation to which a conduct matter, or evidence of a conduct matter, is or may be relevant.
7
The Secretary of State may by regulations provide for the times at which, or the periods within which, any requirement of this paragraph is to be complied with; and the period from which any such period is to run shall be such time as may be specified in those regulations or as may be determined in a manner set out in the regulations.
Recording etc. of conduct matters in other cases
I2C3C411
1
F22This paragraph applies where—
a
a conduct matter comes (otherwise than as mentioned in paragraph 10) to the attention of the F5local policing body or chief officer who is the appropriate authority in relation to that matter, and
b
it appears to the appropriate authority that the conduct involved in that matter falls within sub-paragraph (2),
F23. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
2
Conduct falls within this sub-paragraph if (assuming it to have taken place)—
a
it appears to have resulted in the death of any person or in serious injury to any person;
b
a member of the public has been adversely affected by it; or
c
it is of a description specified for the purposes of this sub-paragraph in regulations made by the Secretary of State.
F213
The appropriate authority must determine whether the matter is one which it or he is required to refer to the F25Director General under paragraph 13, or is one which it would be appropriate to so refer.
3A
In a case where the appropriate authority determines that the matter is one which it or he is required to refer to the F25Director General under paragraph 13, or is one which it would be appropriate to so refer, it or he shall record the matter.
3B
In any other case, the appropriate authority shall determine whether the matter falls within a description of matters specified in regulations made by the Secretary of State for the purposes of this sub-paragraph.
3C
In a case where the appropriate authority determines that the matter does not fall within such a description, it or he shall record the matter.
3D
In any other case, the appropriate authority may (but need not) record the matter.
3E
In a case where the appropriate authority—
a
records a matter under this paragraph, and
b
is not required to refer the matter to the F25Director General under paragraph 13 and does not do so,
the appropriate authority may deal with the matter in such other manner (if any) as it or he may determine.
4
Nothing in F24sub-paragraph (3A) or (3C) shall require the appropriate authority to record any conduct matter if it is satisfied that the matter has been, or is already being, dealt with by means of criminal or disciplinary proceedings against the person to whose conduct the matter relates.
F305
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Duties to preserve evidence relating to conduct matters
I3C512
1
Where a recordable conduct matter that relates to the conduct of a chief officer comes to the attention of the F6local policing body maintaining his force, it shall be the duty of F7that body to secure that all such steps as are appropriate for the purposes of Part 2 of this Act are taken, both initially and from time to time after that, for obtaining and preserving evidence relating to that matter.
2
Where a chief officer becomes aware of any recordable conduct matter relating to the conduct of a person under his direction and control, it shall be his duty to take all such steps as appear to him to be appropriate for the purposes of Part 2 of this Act for obtaining and preserving evidence relating to that matter.
3
The chief officer’s duty under sub-paragraph (2) must be performed as soon as practicable after he becomes aware of the matter in question.
4
After that, he shall be under a duty, until he is satisfied that it is no longer necessary to do so, to continue to take the steps from time to time appearing to him to be appropriate for the purposes of Part 2 of this Act for obtaining and preserving evidence relating to the matter.
5
6
Reference of conduct matters to the F25Director General
I4C613
1
It shall be the duty of a F10local policing body or a chief officer to refer a recordable conduct matter to the F25Director General if, in a case (whether or not falling within paragraph 10) in which F11the body or chief officer is the appropriate authority—
a
that matter relates to any incident or circumstances in or in consequence of which any person has died or suffered serious injury;
b
that matter is of a description specified for the purposes of this sub-paragraph in regulations made by the Secretary of State; or
2
In any case where there is no obligation under sub-paragraph (1) to make a reference, the appropriate authority may refer a recordable conduct matter to the F25Director General if that authority considers that it would be appropriate to do so by reason of—
a
the gravity of the matter; or
b
any exceptional circumstances.
3
In a case in which a reference under sub-paragraph (1) or (2) is neither made nor required to be made, a F12local policing body maintaining any police force may refer any recordable conduct matter to the F25Director General if—
a
it is one in relation to which the chief officer of police of that force is the appropriate authority; and
b
the F13local policing body considers that it would be appropriate to do so by reason of—
i
the gravity of the matter; or
ii
any exceptional circumstances.
4
Where there is an obligation under this paragraph to refer any matter to the F25Director General, it must be so referred within such period as may be provided for by regulations made by the Secretary of State.
5
Subject to sub-paragraph (7), the following powers—
a
b
shall each be exercisable at any time irrespective of whether the matter is already being investigated by any person or has already been considered by the F25Director General.
6
Where—
a
b
F16that body or chief officer shall give a notification of the making of the reference to the person to whose conduct that matter relates.
7
A matter that has already been referred to the F25Director General under this paragraph on a previous occasion F31, or that has been treated as having been so referred by virtue of paragraph 13A—
a
shall not be required to be referred again under this paragraph unless the F25Director General so directs; and
b
shall not be referred in exercise of any power conferred by this paragraph unless the F25Director General consents.
F32Power of F25Director General to treat conduct matter as having been referred
Sch. 3 para. 13A and cross-heading inserted (31.1.2017 for specified purposes, 1.2.2020 in so far as not already in force) by Policing and Crime Act 2017 (c. 3), ss. 17(6), 183(1)(5)(e); S.I. 2020/5, reg. 2(e) (with art. 3(1)(2)(4))
13A
1
2
Where the F25Director General treats a conduct matter as having been referred to F27the Director General—
a
paragraphs 10, 11 and 13 do not apply, or cease to apply, in relation to the matter except to the extent provided for by paragraph 13(7), and
b
paragraphs 14 and 15 apply in relation to the matter as if it had been referred to the F25Director General by the appropriate authority under paragraph 13.
3
The F25Director General must notify the following that F27the Director General is treating a conduct matter as having been referred to F27the Director General—
a
the appropriate authority;
b
except in a case where it appears to the F25Director General that to do so might prejudice an investigation of the matter (whether an existing investigation or a possible future one), the person to whose conduct the matter relates.
4
Where an appropriate authority receives a notification under sub-paragraph (3) in respect of a conduct matter and the matter has not yet been recorded, the appropriate authority must record the matter.
Duties of F25Director General on references under paragraph 13
I5C714
1
F291A
The Secretary of State may by regulations provide that the F25Director General must determine that it is necessary for recordable conduct matters referred to F27the Director General that relate to the conduct of a chief officer or the Deputy Commissioner of Police of the Metropolis to be investigated.
1B
Regulations under sub-paragraph (1A) may provide that the duty on the F25Director General applies only in relation to recordable conduct matters relating to the conduct of a chief officer or the Deputy Commissioner of Police of the Metropolis that are of a description specified in the regulations.
1C
Regulations under sub-paragraph (1A) may also provide that, where the F25Director General is required by the regulations to determine that it is necessary for a recordable conduct matter to be investigated, paragraph 15 is to apply in relation to the matter as if sub-paragraphs (4)(a), (4A) and (5A)(b) were omitted.
2
Where the F25Director General determines under this paragraph that it is not necessary for a recordable conduct matter to be investigated F34—
a
in a case where the recordable conduct matter is already being investigated by the appropriate authority on its own behalf (and notwithstanding the F26Director General's determination), the F25 Director General must refer the matter back to the appropriate authority for the investigation to be completed, and
3
Where—
a
the F25Director General refers a matter back to the appropriate authority under this paragraph, and
b
the F25Director General shall give a notification of the making of the reference to the person to whose conduct that matter relates.
Sch. 3 modified (15.12.2017) by S.I. 2012/1204, Sch. Pt. 1 (as inserted by The Police (Conduct, Complaints and Misconduct and Appeal Tribunal) (Amendment) Regulations 2017 (S.I. 2017/1134), reg. 1(1), Sch. 2 (with reg. 2))