# The Revenue and Customs (Complaints and Misconduct) Regulations 2010, Regulation 36: Procedure where conduct matter is revealed during investigation of DSI matter

Extent: E+W+S+N.I.

(1) If during the course of an investigation of a DSI matter it appears to a person designated under regulation 47 ... or appointed to undertake an investigation under the management of the Director General under regulation 46, that there is an indication that the person whose conduct is in question may have—
(a) committed a criminal offence, or
(b) behaved in a manner which would justify the bringing of disciplinary proceedings,
the person so appointed shall make a submission to that effect to the Director General.
(2) If, after considering a submission under paragraph (1), the Director General determines that there is such an indication, the Director General shall—
(a) notify the appropriate authority in relation to the DSI matter and (if different) the appropriate authority in relation to the person whose conduct is in question of the Director General’s determination, and
(b) send to it (or each of them) a copy of the submission under paragraph (1).
(2A) If during the course of an investigation of a DSI matter by a person designated under regulation 48 the Director General determines that the person whose conduct is in question may have—
(a) committed a criminal offence; or
(b) behaved in a manner which would justify the bringing of disciplinary proceedings,
the Director General shall proceed under sub-paragraph (2B).
(2B) The Director General shall—
(a) prepare a record of the determination;
(b) notify the appropriate authority in relation to the DSI matter and (if different) the appropriate authority in relation to the person whose conduct is in question of the determination, and
(c) send to it (or each of them) a copy of the record of the determination prepared under paragraph (a).
(3) If during the course of an investigation of a DSI matter it appears to a person appointed under regulation 44 or 45 or appointed to undertake an investigation under the supervision of the Director General under regulation 46, that there is an indication that the person whose conduct is in question may have—
(a) committed a criminal offence, or
(b) behaved in a manner which would justify the bringing of disciplinary proceedings,
the person so appointed shall make a submission to that effect to the appropriate authority in relation to the DSI matter.
(4) If, after considering a submission under paragraph (3), the appropriate authority determines that there is such an indication, it shall—
(a) if it is not the appropriate authority in relation to the person whose conduct is in question, notify that other authority of its determination and send to that authority a copy of the submission under paragraph (3), and
(b) notify the Director General of its determination and send to the Director General a copy of the submission under paragraph (3).
(5) Where the appropriate authority in relation to the person whose conduct is in question—
(a) is notified of a determination by the Director General under paragraph (2) or (2B),
(b) (in a case where it is also the appropriate authority in relation to the DSI matter) makes a determination under paragraph (4), or
(c) (in a case where it is not the appropriate authority in relation to the DSI matter) is notified by that other authority of a determination by it under paragraph (4),
it shall record the matter under regulation 24 (recording etc of conduct matters in other cases) as a conduct matter (and the other provisions of these Regulations shall apply in relation to that matter accordingly).
(6) Where a DSI matter is recorded under regulation 24 as a conduct matter by virtue of paragraph (5)—
(a) the person investigating the DSI matter shall (subject to any determination made by the Director General under regulation 38(6)) continue the investigation as if appointed or designated to investigate the conduct matter, and
(b) the other provisions of these Regulations shall apply in relation to that matter accordingly.

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Source: https://www.legislation.gov.uk/uksi/2010/1813/regulation/36 (the official version)
Page: https://openlegislation.uk/revenue-and-customs-complaints-and-misconduct-regulations-2010/regulation-36
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.