S T A T U T O R Y I N S T R U M E N T S 2015 No. 25 POLICE The Ministry of Defence Police (Conduct etc.) Regulations 2015 Made - - - - 11th January 2015 Laid before Parliament 19th January 2015 Coming into force - - 23rd February 2015 CONTENTS PART 1 Preliminary 1. Citation and commencement 3 2. Revocation and transitional provisions 3 3. Interpretation 4 4. The harm test 6 5. Conduct matters 7 6. Disciplinary action 7 7. Written warnings 7 8. Delegation 7 PART 2 General 9. Application 8 10. Police friend and legal representation 8 11. Legal and other representation for the relevant authority 8 12. Provision of notices or documents 9 13. Outstanding or possible criminal proceedings 9 14. Suspension 9 PART 3 Investigations 15. Application of this Part 11 16. Assessment of conduct 11 17. Appointment of investigator 11 18. Investigation 12 19. Written notice of investigation 12
20. Representations to the investigator 13 21. Interviews during investigation 13 22. Report of investigation 13 PART 4 Misconduct Proceedings 23. Referral of case to misconduct proceedings 14 24. Withdrawal of case 15 25. Notice of referral to misconduct proceedings and panel membership 15 26. Procedure on receipt of notice 16 27. Witnesses 17 28. Timing and notice of misconduct proceedings 17 29. Persons conducting misconduct proceedings: officers other than senior officers 18 30. Persons conducting misconduct proceedings: senior officers 18 31. Documents to be supplied 19 32. Attendance of officer concerned at misconduct proceedings 19 33. Participation of Commission or Ombudsman and investigator at misconduct proceedings 19 34. Attendance of complainant or interested person at misconduct proceedings 20 35. Attendance of others at misconduct proceedings 21 36. Exclusion from misconduct proceedings 21 37. Procedure at misconduct proceedings 22 38. Senior officers: meeting of MOD Police Committee to consider disciplinary action 23 39. Outcome of misconduct proceedings 24 40. Notification of outcome 25 41. Record of misconduct proceedings 26 42. Appeal from misconduct meeting: officers other than senior officers 26 43. Appeal meeting 27 44. Procedure and finding of the appeal 28 PART 5 Fast Track Procedure for Special Cases 45. Referral of case to special case hearing 29 46. Notice of referral to special case hearing 29 47. Remission of case 30 48. Notice of special case hearing 30 49. Procedure on receipt of notice of special case hearing 30 50. Person conducting special case hearing: officers other than senior officers 31 51. Persons conducting special case hearing: senior officers 31 52. Documents to be supplied 31 53. Attendance of officer concerned at special case hearing 32 54. Participation of Commission or the Ombudsman and investigator at special case hearing 32 55. Attendance of complainant and interested persons at special case hearing 33 56. Attendance of others at special case hearing 33 57. Procedure at special case hearing 33 58. Senior officers: meeting of MOD Police Committee to consider disciplinary action 34 59. Outcome of special case hearing 35 2
60. Notification of outcome 36 61. Record of special case hearing 37 PART 6 Record Keeping 62. Record of disciplinary proceedings 37 PART 7 Amendments 63. Amendment of the Appeal Regulations 37 64. Amendment of the Performance Regulations 37 SCHEDULE 1 Standards of Professional Behaviour 38 SCHEDULE 2 Amendments of the Appeal Regulations 39 SCHEDULE 3 Amendments of the Performance Regulations 42 The Secretary of State, in exercise of the powers conferred by sections 3A, 4(1) to (4) and (6) and 4A of the Ministry of Defence Police Act 1987(a), makes the following Regulations: Citation and commencement PART 1 Preliminary 1. These Regulations may be cited as the Ministry of Defence Police (Conduct etc.) Regulations 2015 and shall come into force on 23rd February 2015. Revocation and transitional provisions 2. (1) Subject to paragraph (2), the 2009 Regulations are revoked. (2) Where any steps have been taken under the 2009 Regulations before 23rd February 2015 in relation to an allegation in respect of conduct of an MDP officer, nothing in Parts 1 to 7 of these Regulations applies in relation to that allegation and the 2009 Regulations continue to have effect. (3) The amendments in Schedule 2 to these Regulations (amendments of the Appeal Regulations) do not apply to an appeal against a decision made under the 2009 Regulations. (4) The amendments in Schedule 3 to these Regulations (amendments of the Performance Regulations) do not apply in any case where any steps have been taken in relation to unsatisfactory performance or attendance by a police officer before 23rd February 2015. (a) 1987 c. 4. Section 3A was inserted by section 79(1) of the Police Reform Act 2002 (c. 30) and amended by section 126(2) and paragraphs 12 and 14 of Schedule 22 to the Criminal Justice and Immigration Act 2008 (c. 4) and section 6 of the Armed Forces Act 2011 (c. 18); section 4 was substituted by paragraphs 12 and 15 of Schedule 22 to the Criminal Justice and Immigration Act 2008; section 4A was substituted by paragraphs 12 and 15 of Schedule 22 to the Criminal Justice and Immigration Act 2008 and amended by paragraphs 20(1) and (6) of Part 1 of Schedule 2 to the Police and Fire Reform (Scotland) Act 2012 (Consequential Provisions and Modifications) Order 2013 (S.I. 2013/602). 3
Interpretation 3. (1) In these Regulations the 1998 Act means the Police (Northern Ireland) Act 1998(a); the 2002 Act means the Police Reform Act 2002(b); the 2009 Regulations means the Ministry of Defence Police (Conduct) Regulations 2009(c); the 2013 Order means the Independent Police Complaints Commission (Forces Maintained Otherwise than by Local Policing Bodies) Order 2013(d); allegation means an allegation relating to a complaint or conduct matter; alternative police force means (a) any force maintained under section 2 of the Police Act 1996(e); (b) the metropolitan police force; (c) the City of London police force; (d) the British Transport Police Force; (e) the Civil Nuclear Constabulary; (f) the Police Service of Scotland; or (g) the Police Service for Northern Ireland; appeal hearing means an appeal to the police appeals tribunal in accordance with the Ministry of Defence Police Appeals Tribunals Regulations 2009(f); appeal meeting means a meeting held in accordance with regulation 43 following a misconduct meeting; the assessment date means (a) if Part 3 applies to the case, the date of the assessment of the conduct of the officer concerned under regulation 16(1); or (b) if the case has been investigated under external procedures, the date that the case was referred for such investigation; the Commission means the Independent Police Complaints Commission established under section 9 of the 2002 Act; chief constable means the chief constable of the MDP; complainant has the meaning given to it at section 12(1)(a) to (c) of the 2002 Act; complaint has the meaning given to it by section 12(1) of the 2002 Act; conduct matter has the meaning given to it by regulation 5; criminal proceedings means (a) any prospective criminal proceedings; (b) all criminal proceedings brought which have not been brought to a conclusion (apart from the bringing and determinations of any appeal other than an appeal against conviction); disciplinary action has the meaning given to it by regulation 6; disciplinary proceedings means any proceedings under these Regulations and any appeal from misconduct proceedings or a special case hearing dealt with under the Ministry of Defence Police Appeals Tribunals Regulations 2009; (a) 1998 c. 32. (b) 2002 c. 30. (c) S.I. 2009/3069 as amended by S.I. 2012/808. (d) S.I. 2013/1779. (e) 1996 c. 16. (f) S.I. 2009/3070. 4
document means anything in which information of any description is recorded and includes any recording of a visual image or images; external procedures means (a) procedures established with the Commission in accordance with article 3 of the 2013 Order; or (b) procedures established with the Ombudsman in accordance with an agreement made under section 60(1) of the 1998 Act; gross misconduct means a breach of the Standards of Professional Behaviour so serious that dismissal would be justified; the harm test has the meaning given to it by regulation 4; the Inspector of Constabulary means; (a) in relation to England and Wales and Northern Ireland, Her Majesty s Chief Inspector of Constabulary appointed under section 54(1) of the Police Act 1996 (appointment and functions of inspectors of constabulary) or an inspector of constabulary nominated by the Chief Inspector of Constabulary; and (b) in relation to Scotland, one of Her Majesty s Inspectors of Constabulary appointed under section 71 of the Police and Fire Reform (Scotland) Act 2012(a) (inspectors of constabulary); informant means a person who provides information to an investigation on the basis that the person s identity is not disclosed during the course of the disciplinary proceedings; interested party means a person whose appointment could reasonably give rise to a concern as to whether that person could act impartially under these Regulations; interested person has the meaning given to it by section 21 of the 2002 Act; investigator means a person (a) appointed under regulation 17; or (b) appointed as an investigator under external procedures; management action means action intended to improve the conduct of the officer concerned; management advice means disciplinary action imposed following misconduct proceedings or an appeal meeting; MDP means Ministry of Defence Police; MDP officer means a member of the MDP; MOD Police Committee means the committee appointed by the Secretary of State under section 1(5) of the Ministry of Defence Police Act 1987; misconduct means a breach of the Standards of Professional Behaviour, but which does not amount to gross misconduct; misconduct hearing means a hearing to which the officer concerned is referred under regulation 23 and at which the officer may be dealt with by disciplinary action up to and including dismissal; misconduct meeting means a meeting to which the officer concerned is referred under regulation 23 and at which the officer may be dealt with by disciplinary action up to and including a final written warning; misconduct proceedings means a misconduct meeting or misconduct hearing; the officer concerned has the meaning given in regulation 9(1); the Ombudsman means the Police Ombudsman for Northern Ireland established under section 51 of the 1998 Act; (a) 2012 asp. 8. 5
the Performance Regulations means the Ministry of Defence Police (Performance) Regulations 2012(a); police friend means a person chosen by the officer concerned in accordance with regulation 10; proposed witness means a witness whose attendance at the misconduct proceedings the officer concerned or the relevant authority wishes to request of the person conducting or chairing those proceedings; special case hearing means a hearing to which the officer concerned is referred under regulation 45 after the case has been certified as a special case; special case proceedings means the referral of a case to a special case hearing and any proceedings at or in connection with such a referral; the special conditions has the meaning given to it by regulation 22(4); staff association means (a) in relation to an MDP officer other than a senior officer, the Defence Police Federation; and (b) in relation to a senior officer, the Chief Police Officers Staff Association; staff member means any person other than an MDP officer who is employed by the Secretary of State for Defence; Standards of Professional Behaviour means the standards of professional behaviour contained in Schedule 1; working day means any day other than (a) a Saturday or Sunday; (b) a day which is a bank holiday in accordance with section 1 of the Banking and Financial Dealings Act 1971(b) in England and Wales, Scotland or Northern Ireland; or (c) a day which is a public holiday in England, Wales, Scotland or in Northern Ireland. (2) In these Regulations a reference to a copy of a statement shall, where the statement was not made in writing, be construed as a reference to a copy of an account of that statement. The harm test 4. (1) Information in documents which are stated to be subject to the harm test may not be supplied to the officer concerned in so far as the relevant authority considers that preventing disclosure is (a) necessary for the purpose of preventing the premature or inappropriate disclosure of information that is relevant to, or may be used in, any criminal proceedings; (b) necessary in the interests of national security; (c) necessary for the purpose of the prevention or detection of misconduct by other MDP officers or staff members or their apprehension for such matters; (d) necessary for the purpose of the prevention or detection of misconduct by police officers from alternative police forces or their apprehension for such matters; (e) justified on the grounds that providing the information would involve disproportionate effort in comparison to the seriousness of the allegations against the officer concerned; (f) necessary and proportionate for the protection of the welfare and safety of any informant or witness; or (g) otherwise in the public interest. (2) Where the harm test is satisfied in relation to any information, the relevant authority (a) S.I. 2012/808. (b) 1971 c. 80. 6
(a) may not supply that information to the officer concerned; and (b) must inform the person conducting or chairing misconduct proceedings that the harm test is satisfied in relation to that information. Conduct matters 5. (1) A conduct matter is any matter which is not and has not been the subject of a complaint but in the case of which there is an indication that an MDP officer may have (a) committed a criminal offence; (b) behaved in a manner which would justify the bringing of disciplinary proceedings; (c) failed to attend an interview when given written notice to do so under regulation 21(5) (or any equivalent notice given under external procedures); or (d) failed to attend misconduct proceedings (regulation 32(1)) or a special case hearing (regulation 53(1)). (2) In this regulation, conduct includes acts, omissions, statements and decisions (whether actual, alleged or inferred). Disciplinary action 6. Disciplinary action means, in order of seriousness starting with the least serious action (a) management advice; (b) a written warning; (c) a final written warning; (d) an extension to a final written warning; (e) dismissal with notice; or (f) dismissal without notice. Written warnings 7. (1) For the purposes of these Regulations (a) a written warning remains in force for a period of 12 months beginning on the day after it was given; and (b) subject to regulations 39(7)(b) and 59(3)(b), a final written warning remains in force for a period of 18 months beginning on the on the day after it was given. (2) The reference to the period of (a) 12 months in paragraph (1)(a), and (b) 18 months in paragraph (1)(b) and regulations 39(8) and 59(4), does not include any time when the officer concerned is taking Extended Special Unpaid Leave under the Ministry of Defence Police Statement of Civilian Personnel Policy Extended Special Unpaid Leave issued on 31st October 2011(a). Delegation 8. (1) The relevant authority may delegate any of its functions under these Regulations (a) subject to paragraph (2), where it is the chief constable, to an MDP officer of at least the rank of chief inspector; or (b) where it is the MOD Police Committee, to a sub-committee of no fewer than three persons appointed by the MOD Police Committee. (a) https://www.gov.uk/government/publications/mdp-civilian-personnel-policy-extended-special-unpaid-leave-exsul. 7
(2) Where a function under regulation 14 or 45 has been delegated under paragraph (1)(a), any decision taken under those regulations shall be authorised by a senior officer. Application PART 2 General 9. (1) These Regulations apply where an allegation comes to the attention of a relevant authority which indicates that the conduct of an MDP officer ( the officer concerned ) may amount to misconduct or gross misconduct. (2) Where a relevant authority is considering more than one allegation in relation to the same MDP officer, the allegations may be taken together and treated as a single allegation for the purpose of any provision of these Regulations which requires a person to make an assessment, finding, determination or decision in connection with conduct which is the subject matter of an allegation. Police friend and legal representation 10. (1) The officer concerned may choose (a) an MDP officer; (b) an officer from an alternative police force; (c) a staff member; or (d) a person nominated by a staff association, who is not otherwise involved in the matter, to act as their police friend. (2) A police friend may (a) advise the officer concerned throughout the proceedings; (b) unless the officer concerned has the right to be legally represented and chooses to be so represented, represent the officer concerned at the misconduct proceedings or special case hearing or appeal meeting; (c) make representations to the relevant authority concerning any aspect of the proceedings; and (d) accompany, and take notes for the officer concerned at any interview, meeting or hearing which forms part of any proceedings. (3) Where a police friend is an MDP officer or a staff member, that person may use a reasonable amount of duty time for the purposes referred to in paragraph (2). (4) The officer concerned has the right to be legally represented, by a relevant lawyer of the officer s choice, at a misconduct hearing or a special case hearing. (5) If the officer concerned chooses not to be legally represented at such a hearing the officer may be dismissed or receive any other outcome under regulation 39 or 59 without being represented. Legal and other representation for the relevant authority 11. (1) The relevant authority may be represented at misconduct proceedings or a special case hearing or an appeal meeting by (a) an MDP officer; or (b) at a misconduct hearing or a special case hearing only, a relevant lawyer (whether or not the officer concerned chooses to be legally represented). 8
(2) Subject to paragraph (3), the relevant authority may appoint a person to advise the person or persons conducting the misconduct proceedings or special case hearing or appeal meeting. (3) At a misconduct meeting or an appeal meeting, the person appointed under paragraph (2) shall not be a relevant lawyer. Provision of notices or documents 12. (1) Where any written notice or document is to be given or supplied to the officer concerned, it shall be (a) given to the officer concerned in person; (b) left with any person at, or sent by recorded delivery to, the officer s last known address; or (c) in respect of a written notice under regulation 19(1), given to the officer concerned in person by that officer s police friend where the police friend has agreed with the relevant authority to deliver the notice. (2) Where any written notice or document is given or supplied under paragraph (1), delivery is effective on the date on which (a) it is given to the officer concerned, under paragraph (1)(a) or (c); (b) it is left with any person at the officer s last known address, under paragraph (1)(b); (c) receipt was recorded, if sent by recorded delivery to the officer s last known address under paragraph (1)(b). Outstanding or possible criminal proceedings 13. (1) Subject to this regulation, proceedings under these Regulations must proceed without delay. (2) Before referring a case to misconduct proceedings or a special case hearing, the relevant authority must decide whether misconduct proceedings or special case proceedings would prejudice any criminal proceedings. (3) For any period during which the relevant authority considers any misconduct proceedings or special case proceedings would prejudice any such criminal proceedings (a) no such misconduct or special case proceedings may take place; but (b) the relevant authority must preserve any relevant evidence in its possession. (4) Where a witness who is or may be a witness in any criminal proceedings is to be or may be asked to attend misconduct proceedings, the relevant authority must consult the relevant prosecutor (and when doing so must inform the prosecutor of the names and addresses of all such witnesses) before making its decision under paragraph (2). (5) In this regulation relevant prosecutor means (a) in relation to England and Wales, the Director of Public Prosecutions or any other person who has or is likely to have responsibility for the criminal proceedings; (b) in relation to Scotland, the Lord Advocate or any other person who has or is likely to have responsibility for the criminal proceedings; or (c) in relation to Northern Ireland, the Director of Public Prosecutions or any other person who has or is likely to have responsibility for the criminal proceedings. Suspension 14. (1) The relevant authority may suspend the officer concerned from membership of the MDP if the following conditions ( the suspension conditions ) are satisfied 9
(a) having considered temporary redeployment to alternative duties or to an alternative location as an alternative to suspension, the relevant authority has determined that such deployment is not appropriate in all the circumstances of the case; and (b) it appears to the relevant authority that either (i) the effective investigation of the case may be prejudiced unless the officer concerned is suspended; or (ii) having regard to the nature of the allegation and any other relevant considerations, the public interest requires that the officer should be suspended. (2) An officer who is suspended under this regulation remains an MDP officer for the purposes of these Regulations. (3) The relevant authority may suspend the officer concerned at any time from the date on which these Regulations first apply to the officer concerned (regulation 9) until (a) the relevant authority decides that the conduct of the officer concerned shall not be referred to misconduct proceedings or a special case hearing; or (b) such proceedings have concluded. (4) A suspension takes effect from the date and time of notification to the officer concerned, which must be given either (a) in writing with a summary of the reasons; or (b) orally, in which case the relevant authority must confirm the suspension in writing with a summary of the reasons before the end of 3 working days beginning with the first working day after the suspension. (5) The officer concerned (or the officer s police friend) may make representations against the suspension to the relevant authority (a) before the end of 7 working days beginning with the first working day after the suspension takes effect; (b) at any time during the suspension if the officer reasonably believes that circumstances relevant to the suspension conditions have changed. (6) The relevant authority must review the suspension conditions (a) on receipt of any representations under paragraph (5); (b) on being notified that circumstances relevant to the suspension conditions may have changed (whether by means of representations made under paragraph (5) or otherwise); (c) if there has been no previous review, before the end of 4 weeks beginning with the first working day after the suspension; and (d) if there has been no review in the intervening period, before the end of 4 weeks beginning with the day after the previous review. (7) Following any review under paragraph (6), the relevant authority must (a) decide whether the suspension conditions remain satisfied and whether the suspension should continue; (b) before the end of 3 working days beginning with the day after the review, notify the officer concerned in writing of the decision made and a summary of the reasons. (8) An officer who is suspended remains so suspended until the earlier of the following (a) the suspension conditions are no longer satisfied; (b) the events mentioned in paragraph (3)(a) or (subject to paragraph (10)) (3)(b). (9) Where an officer who is suspended is dismissed with notice under regulation 39(3)(b)(iv) the officer remains suspended until the end of the notice period. (10) In a case which will be investigated under external procedures, the relevant authority must consult with the Commission or the Ombudsman (as the case may be) (a) in deciding whether or not to suspend the officer concerned; and 10
(b) before a suspension under this regulation is brought to an end by virtue of paragraph (7)(a). Application of this Part PART 3 Investigations 15. This Part does not apply to a case which is being or will be investigated under external procedures. Assessment of conduct 16. (1) The relevant authority must assess whether the conduct of the officer concerned which is the subject matter of the allegation, if proved, would amount to misconduct or gross misconduct or neither. (2) Where the relevant authority assesses that the conduct, if proved, would amount to neither misconduct nor gross misconduct, it may (a) take no action; (b) take management action against the officer concerned; or (c) refer the matter to be dealt with under the Performance Regulations. (3) Where the relevant authority assesses that the conduct, if proved, would amount to misconduct, it must determine whether or not it is necessary for the matter to be investigated and (a) if so, the matter must be investigated and the relevant authority shall further assess whether, if the matter were to be referred to misconduct proceedings, those would be likely to be a misconduct meeting or a misconduct hearing; (b) if not, the relevant authority may (i) take no action; or (ii) take management action against the officer concerned. (4) Where the relevant authority assesses that the conduct, if proved, would amount to gross misconduct, the matter must be investigated. (5) At any time before the start of any misconduct proceedings, the relevant authority may revise its assessment of the conduct under paragraph (1) if it considers it appropriate to do so. (6) Where the relevant authority decides to take no action, take management action or to refer the matter to be dealt with under the Performance Regulations, it must notify the officer concerned in writing of that decision as soon as practicable. Appointment of investigator 17. (1) This regulation applies where a matter is to be investigated in accordance with regulation 16. (2) The relevant authority must appoint a person to investigate the matter. (3) If the officer concerned is the chief constable, the relevant authority must notify the Secretary of State. (4) No person shall be appointed to investigate the matter who (a) does not have an appropriate level of knowledge, skills and experience to plan and manage the investigation; (b) is an interested party; 11
(c) works, directly or indirectly, under the management of the officer concerned; (d) in a case where the officer concerned is a senior officer, is Investigation (i) the chief constable; (ii) another MDP officer. 18. The purpose of an investigation under this Part is to (a) gather evidence to establish the facts and circumstances of the alleged misconduct or gross misconduct; and (b) assist the relevant authority to establish whether there is a case to answer in respect of misconduct or gross misconduct or whether there is no case to answer. Written notice of investigation 19. (1) Subject to paragraph (3), the investigator shall as soon as is reasonably practicable after being appointed cause the officer concerned to be given written notice (a) describing the conduct that is the subject matter of the allegation and how that conduct is alleged to fall below the Standards of Professional Behaviour; (b) of the relevant authority s assessment of (i) whether that conduct, if proved, would amount to misconduct or gross misconduct; and (ii) whether, if the matter were to be referred to misconduct proceedings, these would be likely to be a misconduct meeting or a misconduct hearing and the reason for this; (c) that if the likely form of any misconduct proceedings to be held changes, further notice (with reasons) will be given; (d) that there is to be an investigation into the matter and the identity of the investigator; (e) informing the officer of the right to seek advice from the officer s staff association or any other body and of the effect of regulation 10(1) to (3) (police friend); (f) of the effect of regulations 10(4) and (5) (legal representation) and 20 (representations to the investigator); (g) informing the officer that, although the officer does not have to say anything, adverse inferences may be drawn in the circumstances described in regulation 37(10) and (11). (2) If after notice is given under paragraph (1), the relevant authority revises its assessment of the conduct or its determination of the likely form of any misconduct proceedings to be taken, the relevant authority must, as soon as practicable, give the officer concerned further written notice of (a) its revised assessment of whether the conduct, if proved, would amount to misconduct or gross misconduct and the reason for that assessment; (b) its revised determination as to whether, if the case were to be referred to misconduct proceedings, these would be likely to be a misconduct meeting or a misconduct hearing and the reason for this. (3) The requirement to give notice to the officer concerned under paragraph (1) does not apply for so long as the investigator considers that giving such a notice might prejudice the investigation or any other investigation (including, in particular, a criminal investigation). (4) Once notice has been given under paragraph (1), the investigator must notify the officer concerned of the progress of the investigation (a) if there has been no previous notification following the giving of notice under paragraph (1), before the end of 4 weeks beginning with the first working day after the start of the investigation; and 12
(b) in any other case, before the end of 4 weeks beginning with the first working day after the previous notification. Representations to the investigator 20. (1) Before the end of 10 working days starting with the first working day after the notice is given under regulation 19(1) (unless this period is extended by the investigator) (a) the officer concerned may provide a written or oral statement relating to any matter under investigation to the investigator; and (b) the officer concerned or the police friend may provide any relevant documents or other evidence to the investigator. (2) The investigator must (a) as part of the investigation, consider any such statement, document or other evidence; and (b) make a record of having received it. (3) In this regulation relevant document (a) means a document relating to any matter under investigation; and (b) includes such a document containing suggestions as to lines of inquiry to be pursued or witnesses to be interviewed. Interviews during investigation 21. (1) Where an investigator wishes to interview the officer concerned as part of the investigation, the investigator must, if reasonably practicable, agree a date and time for the interview with the officer concerned. (2) Where no date and time can be agreed under paragraph (1), the investigator may specify a date and time for the interview. (3) Where a date and time is specified under paragraph (2) and (a) the officer concerned or the police friend will not be available at that date and time; and (b) the officer concerned proposes an alternative date and time which satisfies paragraph (4), the interview must be postponed to the time proposed by the officer concerned. (4) An alternative time must (a) be reasonable; and (b) fall before the end of the period of 5 working days beginning with the first working day after the day specified by the investigator. (5) The investigator must give the officer concerned written notice of the date, time and place of the interview. (6) The investigator must, in advance of the interview, provide the officer concerned with such information as the investigator considers appropriate in the circumstances of the case to enable the officer concerned to prepare for the interview. (7) A police friend may not answer any questions asked of the officer concerned during the interview. Report of investigation 22. (1) On completion of an investigation the investigator must as soon as practicable submit a written report on the investigation to the relevant authority. (2) The written report must (a) provide a summary of the evidence; (b) attach or refer to any relevant documents; and 13
(c) indicate the investigator s opinion as to whether there is a case to answer in respect of misconduct or gross misconduct or whether there is no case to answer. (3) If at any time during the investigation the investigator believes that the relevant authority would, on consideration of the matter, be likely to determine that the special conditions are satisfied, the investigator must either (a) if the investigation is not yet complete, submit to the relevant authority (i) a statement of the belief and the grounds for it; and (ii) a written report on the investigation to that point; or (b) if the investigation is complete, include in the written report required by paragraph (2) a statement of the belief and the grounds for it. (4) In this regulation, the special conditions means (a) there is sufficient evidence, in the form of written statements or other documents, without the need for further evidence, whether written or oral, to establish on the balance of probabilities that the conduct of the officer concerned constitutes gross misconduct; and (b) it is in the public interest for the officer concerned to cease to be a police officer without delay. Referral of case to misconduct proceedings PART 4 Misconduct Proceedings 23. (1) Subject to regulation 45 (referral of case to special case hearing) and paragraph (7), on receipt of (a) a written report which is made under regulation 22(2) (report of investigation), or (b) an equivalent report made under external procedures, the relevant authority must, as soon as practicable, determine whether the officer concerned has a case to answer in respect of misconduct or gross misconduct or whether there is no case to answer. (2) All referrals to misconduct proceedings under this regulation are subject to regulation 13(3) (outstanding or possible criminal proceedings). (3) Subject to regulation 45(3) and paragraph (7), in a case where the disciplinary proceedings have been delayed by virtue of regulation 13(3), as soon as practicable after the relevant authority considers that such proceedings would no longer prejudice any criminal proceedings, it must make a further determination as to whether the officer concerned has a case to answer in respect of misconduct or gross misconduct or whether there is no case to answer. (4) Where the relevant authority determines there is no case to answer, it may (a) take no further action against the officer concerned; (b) take management action against the officer concerned; or (c) refer the matter to be dealt with under the Performance Regulations. (5) Where the relevant authority determines that there is a case to answer in respect of gross misconduct, it must refer the case to a misconduct hearing. (6) Where the relevant authority determines that there is a case to answer in respect of misconduct (a) if the officer concerned had a final written warning in force at the assessment date, it must refer the case to a misconduct hearing; (b) in all other cases, it may either (i) refer the case to a misconduct meeting; or (ii) take management action against the officer concerned. 14
(7) Where the relevant authority (a) accepts a recommendation made under external procedures that proceedings should be brought at a misconduct meeting or a misconduct hearing, or (b) is directed under such procedures to give effect to such a recommendation, it must refer the case to such a meeting or hearing. (8) If the relevant authority fails to (a) make the determination referred to in paragraph (1), and (b) where appropriate, decide what action to take under paragraph (6), before the end of 15 working days beginning with the first working day after receipt of the written report, it must notify the officer concerned in writing of the reason for this. (9) Where under paragraph (6) the relevant authority determines to take management action, it must give the officer concerned written notice of this as soon as practicable. Withdrawal of case 24. (1) This regulation applies to cases which have been or are being investigated under Part 3. (2) At any time before the beginning of misconduct proceedings, the relevant authority may direct that the case be withdrawn. (3) Where a direction is given under paragraph (2) (a) the relevant authority may (i) take no further action against the officer concerned; (ii) take management action against the officer concerned; or (iii) refer the matter to be dealt with under the Performance Regulations; and (b) the relevant authority must as soon as reasonably practicable give the officer concerned written notice of the direction, indicating what action will be taken under paragraph (3)(a). (4) Where (a) a direction is given under paragraph (2), (b) the investigation has been completed, (c) the officer concerned so requests, and (d) the harm test is not satisfied, the relevant authority must as soon as reasonably practicable after that request give the officer concerned a copy of the investigator s report or such parts of that report as relate to the officer concerned. Notice of referral to misconduct proceedings and panel membership 25. (1) Where a case is referred to misconduct proceedings, the relevant authority must as soon as practicable give the officer concerned (a) written notice of (i) the referral; (ii) the conduct that is the subject matter of the case and how that conduct is alleged to amount to misconduct or gross misconduct; (iii) the name of the person appointed to (in the case of a misconduct meeting for an officer other than a senior officer) conduct or (in any other case) chair the misconduct proceedings and of the effect of paragraphs (3) to (6) of this regulation; and (iv) the effect of regulation 10 (police friend and legal representation); 15
(b) a copy of any written statement, or transcript or note of any oral statement, the officer may have made to the investigator during the course of the investigation; and (c) subject to the harm test, a copy of (i) the investigator s report or such parts of that report which relate to the officer (together with any document attached to or referred to in that report which relates to the officer); and (ii) any other relevant document gathered during the course of the investigation. (2) As soon as practicable after (a) any person has been appointed under regulation 11(2) to advise the person or persons conducting the misconduct proceedings; and (b) where the matter has been referred to misconduct proceedings conducted by a panel, the persons comprising the panel (other than the chair) have been determined, the relevant authority must give the officer concerned written notice of the names of such persons and of the effect of paragraphs (3) to (6) of this regulation. (3) The officer concerned may object to any person described in paragraph (1)(a)(iii) or (2). (4) Any such objection must be made in writing to the relevant authority before the end of 3 working days beginning with the first working day after the officer concerned is given notice of the person s name and must set out the grounds of objection of the officer concerned. (5) The relevant authority must notify the officer concerned in writing as soon as reasonably practicable whether it upholds or rejects an objection made under paragraph (3). (6) If the relevant authority upholds the objection, the person to whom the officer concerned objects must be replaced (in accordance with regulations 11(2), 29 or 30 as appropriate). (7) As soon as reasonably practicable after any such new appointment, the relevant authority must notify in writing the officer concerned of the name of the person appointed. (8) The officer concerned may object to a new appointment under paragraph (6). (9) Any such objection must be made in accordance with paragraph (4), provided that it must be made before the end of 3 working days beginning with the first working day after receipt of the notification referred to in paragraph (7); and the relevant authority must comply with paragraphs (5) to (7) in relation to that objection, but paragraph (8) shall not apply. Procedure on receipt of notice 26. (1) Subject to paragraph (2), the officer concerned must comply with paragraphs (3) and (4) before the end of 14 working days beginning with the first working day after the documents have been supplied to the officer concerned under regulation 25(1). (2) The person conducting or chairing the misconduct proceedings may extend the period described in paragraph (1) where to do so is in the interests of justice. (3) The officer concerned must provide to the relevant authority (a) written notice of whether or not the officer accepts that the conduct amounts to misconduct or gross misconduct; (b) where the officer accepts that the conduct amounts to misconduct or gross misconduct, any written submission the officer wishes to make in mitigation; and (c) where the officer does not accept that the conduct amounts to misconduct or gross misconduct, or the officer disputes part of the case, written notice of (i) the allegations the officer disputes and the officer s account of the relevant events; and (ii) any arguments on points of law the officer wishes to be considered by the person or persons conducting the misconduct proceedings. (4) The officer concerned must give the relevant authority a copy of any document that the officer intends to rely on at the misconduct proceedings. 16
(5) Before the end of 3 working days beginning with the first working day after the date on which the officer concerned has complied with paragraph (3), the relevant authority and the officer concerned must each give to the other either (a) a list of proposed witnesses, including brief details of the evidence that each witness is able to adduce; or (b) give notice that they do not have any proposed witnesses. (6) Where there are proposed witnesses, the officer concerned and the relevant authority must, if reasonably practicable, agree a list of proposed witnesses, including brief details of the evidence that each witness is able to adduce. Witnesses 27. (1) As soon as practicable after any list of proposed witnesses has been (a) agreed under regulation 26(6); or (b) where there is no agreement under regulation 26(6), given under regulation 26(5)(a), the relevant authority must give a copy of that list or lists to the person conducting or chairing the misconduct proceedings. (2) The person conducting or chairing the misconduct proceedings must (a) consider the list or lists of proposed witnesses; and (b) subject to paragraph (3), determine which, if any, witnesses should attend the misconduct proceedings. (3) No witness may give evidence at misconduct proceedings unless the person conducting or chairing those proceedings reasonably believes that it is necessary for the witness to do so in the interests of justice, in which case the person conducting or chairing those proceedings must (a) where the witness is an MDP officer, cause that person to be ordered to attend the misconduct proceedings; and (b) in any other case, cause the witness to be given notice that their attendance is requested and of the date, time and place of the proceedings. Timing and notice of misconduct proceedings 28. (1) Subject to paragraphs (2) and (6), the misconduct proceedings must commence (a) in the case of a misconduct meeting, before the end of 20 working days; or (b) in the case of a misconduct hearing, before the end of 30 working days, beginning with the first working day after the documents have been given to the officer concerned under regulation 25(1). (2) The person conducting or chairing the misconduct proceedings may extend the period specified in paragraph (1) where they consider that it would be in the interests of justice to do so. (3) Where the person conducting or chairing the misconduct proceedings decides to extend the period under paragraph (2), or decides not to do so following representations from the officer concerned or the relevant authority, that person must provide in writing the reasons for that decision to the relevant authority and the officer concerned. (4) The person conducting or chairing the misconduct proceedings must, if reasonably practicable, agree a date and time for the misconduct proceedings with the officer concerned. (5) Where no date and time is agreed under paragraph (4), the person conducting or chairing the misconduct proceedings must specify a date and time for those proceedings. (6) Where a date and time is specified under paragraph (5) and (a) the officer concerned or the police friend will not be available at that date and time; and (b) the officer concerned proposes an alternative date and time which satisfies paragraph (7), 17
the misconduct proceedings must be postponed to the date and time proposed by the officer concerned. (7) An alternative date and time must (a) be reasonable; and (b) fall before the end of 5 working days beginning with the first working day after the day specified by the person conducting or chairing the misconduct proceedings. (8) The person conducting or chairing the misconduct proceedings must give the officer concerned written notice of the date, time and place of the misconduct proceedings. (9) Where the Commission or the Ombudsman is entitled to attend the misconduct proceedings to make representations (regulation 33) or to nominate a person to attend the proceedings as an observer (regulation 35), the person conducting or chairing the misconduct proceedings must give the Commission or the Ombudsman written notice of the date, time and place of the proceedings. Persons conducting misconduct proceedings: officers other than senior officers 29. (1) This regulation applies where the officer concerned is an officer other than a senior officer. (2) Where the case is referred to a misconduct meeting, that meeting must be conducted by a person appointed by the relevant authority who is not an interested party and who satisfies paragraph (3). (3) The person must be (a) an MDP officer of at least one rank higher than the officer concerned; or (b) unless the case substantially involves operational policing matters, a staff member who, in the opinion of the relevant authority, is more senior than the officer concerned. (4) Where the case is referred to a misconduct hearing, that hearing must be conducted by a panel of three persons appointed by the relevant authority, comprising (a) a senior officer, who shall be the chair; (b) an MDP officer of the rank of superintendent or above, who is of at least one rank above the officer concerned; and (c) a person selected by the relevant authority from a list of candidates maintained by the MOD Police Committee. Persons conducting misconduct proceedings: senior officers 30. (1) This regulation applies where the officer concerned is a senior officer. (2) Whether the case is referred to a misconduct meeting or a misconduct hearing, that meeting or hearing must be conducted by a panel of persons specified in paragraph (3), appointed by the relevant authority. (3) Those persons are (a) a chair selected by the relevant authority from a list of persons who satisfy the judicialappointment eligibility criterion(a) on a 5 year basis and have been nominated by the Secretary of State for the Home Department for the purposes of these Regulations; (b) the Inspector of Constabulary; and (c) a person selected from a list maintained by the MOD Police Committee. (a) See section 50 of the Tribunals, Courts and Enforcement Act 2007 (c. 15). 18
Documents to be supplied 31. (1) Prior to the misconduct proceedings the relevant authority must give the person or persons conducting the misconduct proceedings a copy of (a) the documents given to the officer concerned under regulation 25(1); (b) the documents given by the officer concerned under (i) regulation 26(3) and (4); and (ii) where paragraph (2) applies, regulation 49; and (c) where the officer concerned does not accept that their conduct amounts to misconduct or gross misconduct, or disputes any part of the case, any other documents that, in the opinion of the relevant authority, should be considered at the misconduct proceedings. (2) This paragraph applies where the relevant authority has directed, in accordance with regulation 47(1), that the case be dealt with under this Part. (3) Prior to the misconduct proceedings the relevant authority must give the officer concerned a list of the documents given under paragraph (1) and a copy of any such document if the officer has not already been supplied with a copy. Attendance of officer concerned at misconduct proceedings 32. (1) Subject to paragraph (2), the officer concerned must attend the misconduct proceedings. (2) Where the officer concerned informs the person conducting or chairing the misconduct proceedings in advance that the officer is unable to attend, on grounds which the person conducting or chairing those proceedings considers reasonable, that person may allow the officer concerned to participate in the proceedings by video link or other means. (3) Where the officer concerned participates in the misconduct proceedings by video link or other means, or fails to attend the misconduct proceedings (a) the officer may nonetheless be represented at those proceedings by the (i) police friend; or (ii) in the case of a misconduct hearing, the relevant lawyer (in which case the police friend may also attend); and (b) the proceedings may proceed and be concluded in the absence of the officer concerned whether or not the officer is so represented. (4) Where the officer concerned (a) attends the proceedings by video link or other means, and (b) is represented in accordance with paragraph (3)(a), the relevant lawyer or the police friend, or both, may participate using the video link or other means as are used by the officer concerned. Participation of Commission or Ombudsman and investigator at misconduct proceedings 33. (1) The Commission may attend the misconduct proceedings to make representations in any case where under external procedures (a) the Commission has managed the investigation or itself carried out the investigation; or (b) the Commission has instructed the relevant authority to carry out the investigation on its own behalf or under the supervision of the Commission, and the Commission (i) recommended that misconduct proceedings should be brought; or (ii) directed that the relevant authority must give effect to such a recommendation. (2) The Ombudsman may attend the misconduct proceedings to make representations in any case where under external procedures 19