Citation and commencement

1. These Regulations may be cited as the NCIS (Discipline) (Senior Police Members) Regulations 1998 and shall come into force on 1st April 1998.

Regulations applicable only to senior police members of NCIS

2. These Regulations shall not apply except in relation to an offence committed, or alleged to have been committed, by the Director General of NCIS and persons appointed under section 9(2)(a) of the Police Act 1997 (hereinafter referred to as a "senior police member").

Interpretation

3.-(1) In these Regulations, unless the context otherwise requires-

"the 1984 Act" means the Police and Criminal Evidence Act 1984(3);

"the 1997 Act" means the Police Act 1997;

"the appropriate authority" means the NCIS Service Authority established under section 1 of the 1997 Act;

"the Authority" means the Police Complaints Authority established under section 83(1) of the Police and Criminal Evidence Act 1984;

"the Director General" means the person appointed under section 6 of the 1997 Act;

"investigating officer" means an officer appointed under regulation 4 of the NCIS (Complaints) Regulations 1998 (hereinafter referred to as "the Complaints Regulations"), or under regulation 5(3), to investigate a complaint or other matter relating to the conduct of a senior police member;

"offence" or "disciplinary offence" means an offence set out in the discipline code;

"police officer" means a police member of NCIS, NCS or a member of a police force;

"police purposes" means the purposes of NCIS, NCS or a police force;

"police property" means the property of NCIS, NCS or a police force;

"representative" means, in relation to disciplinary proceedings against a senior police member, counsel, a solicitor, a police member of NCIS, a police member of the National Crime Squad, or a member of a police force selected by the senior police member for the purpose of those proceedings;

"NCIS" means the National Criminal Intelligence Service established under section 2 of the 1997 Act;

"NCIS appeals tribunal" means a tribunal constituted in accordance with an order made under section 38 of the 1997 Act;

"NCS" means the National Crime Squad established under section 48 of the 1997 Act;

"police force" means a police force maintained under section 2 of the Police Act 1996 and "member of a police force" shall be construed accordingly;

"senior police member" has the meaning given in regulation 2;

"service fund" means the fund maintained by the NCIS Service Authority under section 16 of the 1997 Act; and

"tribunal" means such a tribunal as is mentioned in regulation 12;

(2) In these regulations, unless the context otherwise requires, any reference to a regulation shall be construed as a reference to a regulation in these Regulations and any reference in a regulation to a paragraph shall be construed as a reference to a paragraph of that regulation.

Disciplinary offences

4. A senior police member commits an offence against discipline if he commits an offence set out in the discipline code.

Investigating officers

5.-(1) Where a report, allegation or complaint is received from which it appears that an offence may have been committed by a senior police member, the following provisions of this regulation shall have effect for the purpose of investigating the matter.

(2) The provisions of paragraphs (3) and (4) shall have effect-

(a)in relation to cases arising otherwise from a complaint to which regulation 7 of the Complaints Regulations applies; and

(b)in cases arising from such a complaint when the requirements of the said regulation are dispensed with by or under regulations made thereunder.

(3) Unless the appropriate authority decides that no disciplinary proceedings need to be taken, the matter shall be referred to an investigating officer who shall cause it to be investigated.

(4) The investigating officer shall be a member of a police force and of at least the rank of the senior police member under investigation.

(5) The provisions of this regulation are without prejudice to the powers of the Authority under regulation 7 of the Complaints Regulations (which provide for approval by the Authority of investigating officers) where an investigation is to be supervised by the Authority.

Initial personal explanation

6. The investigating officer shall, as soon as is practicable (without prejudicing his or any other investigation of the matter), in writing inform the senior police member under investigation of the report, allegation or complaint and give him a written notice-

(a)informing him that he is not obliged to say anything concerning the matter, but that he may, if he so desires, make a written or oral statement concerning the matter to the investigating officer or to the appropriate authority, and

(b)warning him that if he makes such a statement it may be used in any subsequent disciplinary proceedings.

Personal explanation following investigation

7.-(1) Where, following the investigation of a report, allegation or complaint, it appears that a senior police member may have committed an offence, the appropriate authority shall consider whether disciplinary proceedings need be taken.

(2) Unless the appropriate authority decide that no disciplinary proceedings need be taken, the appropriate authority shall inform the senior police member in writing of the report, allegation or complaint and give him a written notice-

(a)asking him whether or not he admits that he has committed an offence;

(b)informing him that he is not obliged to say anything concerning the matter but that he may, if he so desires, make a written or oral statement concerning the matter to the authority; and

(c)containing such a warning as is mentioned in regulation 6(b).

(3)If the appropriate authority decide that no disciplinary proceedings need be taken, they shall so inform the senior police member in writing forthwith.

Punishment without hearing charges

8.-(1) If the senior police member admits that he has committed an offence, the appropriate authority may impose a punishment in accordance with regulation 20 without the case being dealt with in accordance with regulations 9 to 19.

(2) Notwithstanding that the senior police member admits that he has committed an offence, the appropriate authority may, after considering the report of the investigation, deal with the matter according to the appropriate authority's discretion if they are satisfied that it does not justify the imposition of any punishment under these Regulations.

Formulation of charges

9.-(1) This regulation shall apply where the senior police member-

(a)admits that he has committed an offence but the appropriate authority do not proceed as mentioned in regulation 8(1) or (2); or

(b)does not admit that he has committed an offence by the appropriate authority, after taking into account any statement he may have made under regulation 7, are not satisfied that he has not committed an offence.

(2) Subject to paragraph (5), where this regulation applies the appropriate authority shall-

(a)instruct an independent solicitor to draw up, and enter on a discipline form, the offence with which the senior police member is to be charged together with such particulars as will leave him in no doubt as to the precise offence alleged; and

(b)cause the senior police member to be charged with that offence by being served with a copy of the discipline form.

(3) The reference in paragraph (2) to an independent solicitor is a reference to a solicitor who is not a member, officer or servant of the appropriate authority or of any police authority which appoints any member of the appropriate authority.

(4) A discipline form shall be in the form set out in Schedule 2 hereto or in a form to the like effect.

(5) Notwithstanding that a case is one to which paragraph (1)(b) applies, if, after considering the report of the investigation, the appropriate authority is satisfied that the offence in question, even if proved, would not justify the imposition of any punishment under these Regulations, the steps mentioned in paragraph (2) need not be taken and the matter may be dealt with according to the appropriate authority's discretion.

Withdrawal of charges

10. At any time before the beginning of the hearing of a charge, the appropriate authority may direct that the charge be withdrawn; and, where it so directs, it shall as soon as possible, cause-

(a)its direction to be noted in the discipline form, and

(b)the senior police member to be served with a written notice of its direction.

Documents to be supplied to accused

11.-(1) Where a senior police member is charged with an offence, he shall, at least 21 days before the date of the hearing of the charge, be supplied with copies-

(a)of any statements he may have made under regulations 6 and 7;

(b)of the report, allegation or complaint on which the charge is founded (or so much thereof as relates to the accused) and of any reports thereon (other than the report arising out of the investigation referred to in regulation 7) notwithstanding that they may be confidential;

(c)of any statement relating to the charge made by any witness to be called in support of the charge, together with the witness's name and address; and

(d)of any statement relating to the charge made by any person, other than a witness to be called in support of the charge, in the course of the investigation referred to in regulation 7, to the appropriate authority or to anybody acting on its behalf, together with the person's name and address.

(2) Where the charge is founded on a report, allegation or complaint and a statement arising therefrom made by the same person, the reference in paragraph (1)(b) to the report, allegation or complaint shall, without prejudice to paragraph (1)(c) or (d), be construed as including a reference to that statement.

(3) In this regulation any reference to a copy of a statement, report, allegation or complaint shall, where it was not made in writing, be construed as a reference to a copy of an account thereof.

Hearing by tribunal

12.-(1) A charge against a senior police member shall be heard by a tribunal consisting of a single person selected and appointed by the appropriate authority from a list of persons nominated by the Lord Chancellor.

(2) To assist the tribunal on matters pertaining to the police there shall also be appointed by the appropriate authority one or more assessors selected by that authority with the approval of the tribunal one of whom is or has been a chief officer of police, or has been a Director General of NCIS or a Director General of NCS, so, however, that there shall not be so appointed-

(a)a person who is one of Her Majesty's inspectors of constabulary;

(b)the Director General of NCIS;

(c)the Director General of NCS; or

(d)a member, officer or servant of the appropriate authority or of any police authority which appoints any member of the appropriate authority.

Procedure at hearing

13.-(1) The hearing shall be in private.

(2) The case against the accused shall be presented-

(a)by the independent solicitor mentioned in regulation 9(2)(a); or

(b)by some other independent solicitor.

(3) In paragraph (2)(b) "independent solicitor" has the same meaning as in regulation 9.

(4) If the accused does not admit the charge, the hearing shall proceed as though he denied the charge.

(5) Before the case against the accused is presented, the accused may submit that the facts alleged in the charge are not such as to constitute the offence with which he is charged and the tribunal, if it upholds that submission, shall determine that the charge to which the submission relates should be dismissed.

(6) The accused may conduct his case either in person or by a representative:

Provided that if the accused is represented by a police member of NCIS, a police member of NCS or a member of a police force the accused, as well as his representative, may cross-examine the witnesses called in support of the case against him.

(7) Any question as to whether any evidence is admissible, or whether any question should or should not be put to a witness, shall be determined by the tribunal.

(8) A verbatim record of the proceedings before the tribunal shall be taken and a transcription of the record shall be made and sent to the appropriate authority and, if a punishment is imposed by that authority and the accused contemplates an appeal to the NCIS appeal tribunal, at his request made within the period during which notice of appeal may be given, a copy thereof shall be supplied to him.

Statements in lieu of oral evidence

14.-(1) Subject to the provisions of this regulation, the tribunal may admit evidence by way of a written statement made by a person, notwithstanding that he may not be called as a witness, so, however, that evidence shall not be admissible thereunder if it would not have been admissible had it been given orally.

(2) For the purposes hereof, a written statement purporting to be made and signed by a person and witnessed by another person shall be presumed to have been made by that person unless the contrary be shown.

(3) If either the accused or the person presenting the case against him (in this regulation referred to as "the parties") proposes to adduce written evidence in pursuance of this regulation at a hearing, he shall give the other party a copy of the statement at least 21 days before the date of that hearing and invite that party to agree or object, in writing, to the admission of the statement in evidence without the maker thereof being called as a witness and being available for cross-examination and, if that party within 14 days from the receipt by him of the copy of the statement has so objected, the statement shall only be admitted in evidence if the maker thereof is called and is available as aforesaid:

• Provided that if the parties in writing so agree in the case of a particular statement, this paragraph shall have effect in relation to that statement as though-

  (a)

  the reference to a period of 21 days were a reference to such shorter period as they may agree;

  (b)

  the reference to a period of 14 days were a reference to such shorter period, expiring before the date of the hearing, as they may agree.

(4) Where, notwithstanding that the other party has not so objected and a written statement has been admitted in evidence without the maker thereof being called and being available as aforesaid, the tribunal is of the opinion that oral evidence should be given, it may request that the maker be called as a witness and, in such case, unless the maker gives oral evidence, the tribunal shall be entitled to disregard the written evidence.

(5) Nothing in this regulation shall prejudice the admission of written evidence which would be admissible apart from the provisions thereof.

Adjournment of hearing

15. The tribunal may from time to time adjourn the hearing if it considers it necessary or expedient so to do for the due hearing of the case.

Hearing in absence of accused

16.-(1) It shall be within the discretion of the tribunal to proceed with the hearing of the case in the absence of the accused if it appears just and proper so to do.

(2) Where, owing to the absence of the accused, it is impossible to comply with any of the procedure described in regulations 6, 7, 9 and 11 that procedure shall be dispensed with.

Attendance of complainant at hearing

17.-(1) This regulation shall apply in relation to the hearing of a charge against a senior police member where the charge is in respect of a matter or matters complained of in a complaint against him received from a member of the public.

(2) Notwithstanding anything in regulation 13(1) but subject to paragraph (4), the tribunal shall allow the complainant to attend the hearing while witnesses are being examined, or cross-examined, on the facts alleged in the charge and, if the tribunal considers it appropriate so to do on account of the age of the complainant, or otherwise, shall allow him to be accompanied by a personal friend or relative who is not to be called as a witness at the hearing:

• Provided that-

  (a)

  where the complainant is to be called as a witness at the hearing, he and any person allowed to accompany him shall not be allowed to attend before he gives his evidence, and

  (b)

  where it appears to the tribunal that a witness may, in giving evidence, disclose information which, in the public interest, ought not to be disclosed to a member of the public, it shall require the complainant and any person allowed to accompany him to withdraw while that evidence is given.

(3) Where the accused gives evidence, then, after the person presenting the case against him has had an opportunity of cross-examining him, the tribunal shall put to him any questions which the complainant requests should be so put and might have been properly so put by way of cross-examination and, at its discretion, may allow the complainant himself to put such questions to the accused.

(4) Subject as aforesaid, the complainant and any person allowed to accompany him shall neither intervene in, nor interrupt, the hearing; and if he or such a person should behave in a disorderly or abusive manner, or otherwise misconduct himself, the tribunal may exclude him from the remainder of the hearing.

(5) In this regulation a reference to the complainant is a reference to the person by or on behalf of whom the complaint was made.

Tribunal's report

18.-(1) The tribunal shall, as soon as possible after the hearing, submit a report to the appropriate authority setting out-

(a)a statement of the facts admitted or found to be proved so far as they are material to the case;

(b)a statement as to the charges found to be proved or not to be proved;

(c)if any charges are found to be proved, a recommendation as to any punishment which, subject to regulation 19, in its opinion should be imposed therefore;

(d)any other matter arising out of the hearing which it desires to bring to the notice of the appropriate authority.

(2) For the purposes of this regulation, a charge shall not be regarded as being proved unless it is-

(a)admitted by the accused; or

(b)proved by the person presenting the case to the tribunal hearing the case beyond reasonable doubt.

(3) The tribunal shall send the accused a copy of the report.

(4) A copy of the report of the tribunal together with the decision of the appropriate authority shall be sent by the appropriate authority to the Secretary of State.

Decision of appropriate authority

19.-(1) On receipt of the report of the tribunal the appropriate authority shall decide either to dismiss the case or-

(a)to record a finding of guilt but to take no further action thereon, or

(b)to record a finding of guilt and impose a punishment.

(2) As soon as possible after the appropriate authority has taken its decision in the case that decision shall be recorded on the discipline form and notified in writing to the accused.

Punishment

20.-(1) For the purposes of regulations 8, 18(1)(c) or 19(1), the punishments which may be recommended or imposed shall be-

(a)dismissal from NCIS;

(b)requirement to resign from NCIS as an alternative to dismissal, either forthwith or on such date as may be specified in the recommendation or decision;

(c)reprimand.

(2) Where the question of the punishment to be imposed is being considered by the appropriate authority under regulation 8 or 19(1)-

(a)it shall have regard to the accused's record of service with NCIS and service as a member of a police force or with the National Crime Squad and may receive evidence from any witness whose evidence would, in its opinion, assist it in determining the question, and

(b)the accused, or his representative, shall be afforded an opportunity to make oral, or if he thinks fit, written representations as respects the question or to adduce evidence relevant thereto.

(3) Regulation 13(7) shall apply to proceedings at which such evidence as is referred to in paragraph 2(a) or (b) or such oral representations as are referred to in paragraph (2)(b) is given or are made as it applies to the proceedings before the tribunal.

Expenses of hearing

21.-(1) All the expenses of a hearing under these Regulations, including the costs of the accused, shall be defrayed out of the service fund.

(2) Any costs payable under this regulation shall be subject to taxation in such manner as the Secretary of State may direct.

Suspension - ordinary procedure

22.-(1) Where it appears to the appropriate authority, on receiving a report, allegation or complaint from which it appears that a senior police member may have committed a disciplinary or criminal offence, that the senior police member concerned ought to be suspended from membership of NCIS and from his office as constable, the appropriate authority may, subject to the following provisions of this regulation, so suspend him.

(2) The appropriate authority shall not so suspend a senior police member unless it appears to it that either of the following conditions ("the suspension conditions") is satisfied, namely-

(a)that the effective investigation of the matter may be prejudiced unless the senior police member concerned is so suspended;

(b)that the public interest, having regard to the nature of the report, allegation or complaint, and any other relevant considerations, requires that he should be so suspended.

(3) If the appropriate authority determine that a senior police member ought to be suspended under this regulation, it shall forthwith notify the Authority of its decision and of the suspension condition appearing to them to justify its decision.

(4) If, upon being so notified of the decision of the appropriate authority, the Authority are satisfied that the suspension condition in question is fulfilled, they shall as soon as practicable notify their approval of the suspension of the senior police member concerned to the appropriate authority; and the suspension of the officer shall not have effect unless the approval of the Authority is so given.

(5) Where the Authority give their approval to the suspension of a senior police member, his suspension shall take effect from the time he receives notice of the Authority's approval thereof from the appropriate authority, and he shall be suspended until-

(a)the Authority decide otherwise; or

(b)the appropriate authority decide otherwise; or

(c)it is decided that the senior police member shall not be charged with a disciplinary offence; or

(d)he has been so charged and-

(i)all the charges have been dropped; or

(ii)a finding of guilt has been recorded but no further action has been taken thereon; or

(iii)a punishment has been imposed,

whichever first occurs.

Suspension - urgent cases

23.-(1) Subject to paragraph (2), in cases of urgency, the like power of suspension as under regulation 22 may be exercised with immediate effect-

(a)in relation to the Director General or a person for the time being discharging his functions, by the appropriate authority, and

(b)in any other case by the Director General.

(2) Where a senior police member has been suspended under paragraph (1), the appropriate authority or, as the case may be, the Director General shall notify the Authority forthwith.

(3) Without prejudice to regulation 22(5), the suspension of a senior police member under this regulation shall cease to have effect at the expiry of 24 hours from the imposition thereof unless within that period the Authority have notified the appropriate authority or, as the case may be, the Director General of their approval thereof.

Regulation 4

SCHEDULE 1DISCIPLINE CODE

1. Discreditable conduct, which offence is committed where a senior police member of NCIS acts in a disorderly manner or any manner prejudicial to discipline or reasonably likely to bring discredit on the reputation of NCIS or of the police service.

2. Misconduct towards a police officer, which offence is committed where-

(a)the conduct of a senior police member of NCIS towards another police officer is oppressive or abusive, or

(b)a senior police member of NCIS assaults another police officer.

3. Disobedience to orders, which offence is committed where a senior police member of NCIS, without good and sufficient cause-

(a)disobeys or neglects to carry out any lawful order, written or otherwise;

(b)fails to comply with any requirement of a code of practice for the time being in force under section 60 or 66 of the Police and Criminal Evidence Act 1984;

(c)contravenes any provision of the terms and conditions set by the appropriate authority under section 6(1) or 9(5) of the Police Act 1997 relating to restrictions on the private lives of the senior police members of NCIS, or which may require a senior police member to notify the appropriate authority that he, or a relation included in his family, has a business interest within the meaning of those terms and conditions.

4. Neglect of duty, which offence is committed where a senior police member of NCIS, without good and sufficient cause-

(a)neglects or omits to attend to or carry out with due promptitude and diligence anything which it is his duty as a police member of NCIS to attend to or carry out, or

(b)fails to work his beat in accordance with orders, or leaves the place of duty to which he has been ordered, or having left his place of duty for an authorised purpose fails to return thereto without undue delay, or

(c)is absent without leave from, or is late for, any duty, or

(d)fails properly to account for, or to make a prompt and true return of, any money or property received by him in the course of his duty.

5. Falsehood or prevarication, which offence is committed where a senior police member of NCIS-

(a)knowingly or through neglect makes any false, misleading or inaccurate oral or written statement or entry in any record or document made, kept or required for police purposes, or

(b)either wilfully and without proper authority or through lack of due care destroys or mutilates any record or document made, kept or required for police purposes, or

(c)without good and sufficient cause alters or erases or adds to any entry in such a record or document, or

(d)has knowingly or through neglect made any false, misleading or inaccurate statement in connection with his appointment to NCIS.

6. Improper disclosure of information, which offence is committed where a senior police member of NCIS-

(a)without proper authority communicates to any person, any information which he has in his possession as a police member of NCIS, or

(b)makes any anonymous communication to the NCIS Service Authority, the NCS Service Authority, or to any police authority, or any police member of NCIS, police member of NCS, or to any member of a police force, or

(c)without proper authority, makes representations to the NCIS Service Authority with regard to any matter concerning NCIS, or

(d)canvass any member of that Authority with regard to any such matter.

7. Corrupt or improper practice, which offence is committed where a senior police member of NCIS-

(a)in his capacity as a police member of NCIS and without the consent of the Director General or the appropriate authority, directly or indirectly solicits or accepts any gratuity, present or subscription, or

(b)places himself under a pecuniary obligation to any person in such a manner as might affect his properly carrying out his duties as a police member of NCIS, or

(c)improperly uses, or attempts so to use, his position as a senior police member of NCIS for his private advantage, or

(d)in his capacity as a senior police member of NCIS and without the consent of the Director General, writes, signs or gives a testimonial of character or other recommendation with the object of obtaining employment for any person or of supporting an application for the grant of a licence of any kind.

8. Abuse of authority, which office is committed where a senior police member of NCIS treats any person with whom he may be brought into contact in the execution of his duty in an oppressive manner and, without prejudice to the foregoing, in particular where he-

(a)without good and sufficient cause conducts a search, or requires a person to submit to any test or procedure, or makes an arrest; or

(b)uses any unnecessary violence towards any prisoner or any other person with whom he may be brought into contact in the execution of his duty, or improperly threatens any such person with violence; or

(c)is abusive or uncivil to any member of the public.

9. Racially discriminatory behaviour, which offence is committed (without prejudice to the commission of any other offence) where a senior police member of NCIS-

(a)while on duty, on the grounds of another person's colour, race, nationality or ethnic or national origins, acts towards that other person in any such way as is mentioned in paragraph 8 (abuse of authority); or

(b)in any other way, on any of those grounds, treats improperly a person with whom he may be brought into contact while on duty.

10. Neglect of health, which offence is committed where a senior police member of NCIS, without good and sufficient cause, neglects to carry out any instructions of a medical officer appointed by the NCIS Service Authority or, while absent from duty on account of sickness, commits any act or adopts any conduct calculated to retard his return to duty.

11. Improper dress or untidiness, which offence is committed where without good and sufficient cause a senior police member of NCIS while on duty, or while off duty but wearing uniform in a public place, is improperly dressed or is untidy in his appearance.

12. Damage to police property, which offence is committed where a senior police member of NCIS-

(a)wilfully or through lack of due care causes any waste, loss or damage to any police property, or

(b)fails to report as soon as is reasonably practicable any loss of or damage to any such property issued to, or used by him, or entrusted to his care.

13. Drunkenness, which offence is committed where a senior police member of NCIS renders himself unfit through drink for duties which he is or will be required to perform or which he may reasonably foresee having to perform.

14. Drinking on duty or soliciting drink, which offence is committed where a senior police member of NCIS, while on duty-

(a)without proper authority, drinks, or receives from any other person, any intoxicating liquor, or

(b)demands, or endeavours to persuade any person to give him, or to purchase or obtain for him, any intoxicating liquor.

15. Entering licensed premises, which offence is committed where a senior police member of NCIS-

(a)while on duty, or

(b)while off duty but wearing uniform,

without good and sufficient cause, enters any premises in respect of which a licence or permit has been granted in pursuance of the law relating to liquor licensing or betting and gaming or regulating places of entertainment.

16. Criminal conduct, which offence is committed where a senior police member of NCIS has been found guilty by a court of law of a criminal offence.

17. Being an accessory to a disciplinary offence, which offence is committed where a senior police member of NCIS incites, connives at or is knowingly an accessory to any offence against discipline.

Regulation 9

SCHEDULE 2

Discipline Form

Explanatory Note

(This note is not part of the Regulations)

These Regulations make provision for disciplinary proceedings in respect of senior police members of the National Criminal Intelligence Service. The Regulations generally mirror the Police (Discipline) (Senior Officers) Regulations 1985 which apply to senior members of police forces.