# The UK Border Agency (Complaints and Misconduct) Regulations 2010, Regulation 70: Appeals to the Director General with respect to an investigation

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

(1) This regulation applies where a complaint has been subjected to—
(a) an investigation by the relevant appropriate authority on its own behalf; or
(b) an investigation under the supervision of the Director General following a determination under regulation 21 (reference of complaints to the Director General), 23 (reference of conduct matters to the Director General) or 27 (reference of DSI matters to the Director General).
(2) The complainant shall have the following rights of appeal to the Director General—
(a) a right to appeal on the grounds that the complainant has not been provided with adequate information—
(i) about the findings of the investigation; or
(ii) about any determination of the relevant appropriate authority relating to the taking (or not taking) of action in respect of any matters dealt with in the report on the investigation;
(b) a right to appeal against the findings of the investigation;
(c) a right of appeal against any determination by the relevant appropriate authority that a person to whose conduct the investigation related has a case to answer in respect of their conduct or has no case to answer;
(d) a right of appeal against any determination by a person appointed in accordance with regulation 38 (investigation by a police force at the request of the relevant appropriate authority) under regulation 63(2)(c) (action by the Director General in response to an investigation report under regulation 62 or regulation 61(3) (action by police force on completion of an investigation report); and
(e) where the complaint concerns the conduct of a relevant officer, relevant official of the Secretary of State or official exercising customs revenue functions, a right of appeal against any determination by the relevant appropriate authority relating to the taking (or not taking) of action in respect of any matters dealt with in the report, as a result of which it is not required to send the Director of Public Prosecutions ... a copy of the report.
(3) On the bringing of an appeal under this regulation, the Director General may require the person investigating to submit a memorandum to the Director General which—
(a) sets out whether the relevant appropriate authority has determined that a person to whose conduct the investigation related has a case to answer in respect of their conduct or has no case to answer;
(b) sets out what action (if any) the relevant appropriate authority has determined that it is required to or will, in its discretion, take in respect of the matters dealt with in the report;
(c) if the relevant appropriate authority is proposing to take any action, sets out what action it is proposing to take;
(d) if the relevant appropriate authority has decided in relation to a person to whose conduct the investigation related; that disciplinary proceedings should not be brought against that person, sets out its reasons for so deciding and it shall be the duty of the relevant appropriate authority to comply with any requirement under this paragraph; and
(e) if a person appointed in accordance with regulation 38 made a determination under regulation 63(2)(c) as a result of which it is not required to send the Director of Public Prosecutions ... a copy of the report relating to the investigation, sets out the reasons for that determination.
(4) Where the Director General so requires on the bringing of any appeal under this regulation in the case of an investigation by the relevant appropriate authority on its own behalf, the relevant appropriate authority shall provide the Director General with a copy of the report of the investigation.
(5) On an appeal under this regulation, the Director General shall determine such of the following as the Director General considers appropriate in the circumstances—
(a) whether the complainant has been provided with adequate information about the matters mentioned in paragraph (2)(a);
(b) whether the findings of the investigation need to be reconsidered; and
(c) whether the relevant appropriate authority—
(i) has made such a determination as is mentioned in paragraph (3)(a) that the Director General considers to be appropriate in respect of matters dealt with in the report, and
(ii) has determined that it is required to or will, in its discretion, take the action (if any) that the Director General considers to be so appropriate; and
(d) whether the conditions set out in regulation 63(3) and (4) are satisfied in respect of the report on the investigation.
(6) If, on an appeal under this regulation, the Director General determines that the complainant has not been provided with adequate information about any matter, the Director General shall give the person investigating all such directions as the Director General considers appropriate for securing that the complainant is properly informed.
(7) If, on an appeal under this regulation, the Director General determines that the findings of the investigation need to be reconsidered, the Director General shall either—
(a) review those findings without an immediate further investigation; or
(b) direct that the complaint be re-investigated.
(8) If, on an appeal under this regulation, the Director General determines that the relevant appropriate authority has not made a determination as to whether there is a case for a person to whose conduct the investigation related to answer that the Director General considers appropriate or has not determined that it is required to or will, in its discretion, take the action in respect of the matters dealt with in the report that the Director General considers appropriate, the Director General shall—
(a) determine, in the light of that determination, whether or not to make recommendations under regulation 67 (duties with respect to disciplinary proceedings); and
(b) make such recommendations (if any) under that regulation as the Director General thinks fit.
(9) If, on an appeal under this regulation, the Director General determines that the conditions set out in regulation 63(3) and (4) are satisfied in respect of the report, the Director General shall direct the person appointed in accordance with regulation 38—
(a) to notify the Director of Public Prosecutions ... of the Director General’s’ determination, and
(b) to send the Director a copy of the report.
(10) The Director General shall give notification of any determination under this regulation—
(a) to the relevant appropriate authority;
(b) to the complainant;
(c) the person appointed in accordance with regulation 38 (if appropriate);
(d) to every person entitled to be kept properly informed in relation to the complaint under regulation 49 (duty to keep the complainant informed); and
(e) except in a case where it appears to the Director General that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.
(11) The Director General shall also give notification of any directions given to a person under this regulation—
(a) to the complainant;
(b) to every person entitled to be kept properly informed in relation to the complaint under regulation 50 (duty to provide information for other persons); and
(c) except in a case where it appears to the Director General that to do so might prejudice any proposed review or re-investigation of the complaint, to the person complained against.
(12) The Director General shall consult the relevant appropriate authority before giving it directions in accordance with paragraph (6), recommendations in accordance with paragraph (8), or a notification in accordance with paragraph (10) or (11) and shall have regard to any representations made to the Director General by the relevant appropriate authority in giving those directions.
(13) It shall be the duty of the person investigating to comply with any directions given to it under this regulation.
(14) Any appeal made by a complainant under this regulation shall be made within 28 days of the date on which the person investigating sends a notification to the complainant of its determination under regulation 63(13) or 61(3) as to what action (if any) it will take in respect of the matters dealt with in the investigation report.
(15) Any such appeal shall be in writing and shall state—
(a) details of the complaint;
(b) the date on which the complaint was made;
(c) the grounds for the appeal; and
(d) the date on which the complainant received notification under regulation 63(12) or 61(3).
(16) Where the Director General receives such an appeal the Director General shall request any information from any person which the Director General consider necessary to dispose of the appeal.
(17) Where the Director General receives an appeal which fails to comply with one or more of the requirements mentioned in paragraph (15), the Director General may decide to proceed as if those requirements had been complied with.
(18) The person investigating shall supply to the Director General any further information requested of it under paragraph (16).
(19) The Director General shall determine the outcome of the appeal as soon as practicable.
(20) The Director General shall notify the complainant and the person investigating of the reasons for the Director General’s determination.
(21) The Director General may extend the time period mentioned in paragraph (14) in any case where the Director General is satisfied that by reason of the special circumstances of the case it is just to do so.

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Source: https://www.legislation.gov.uk/uksi/2010/782/regulation/70 (the official version)
Page: https://openlegislation.uk/uk-border-agency-complaints-and-misconduct-regulations-2010/regulation-70
Contains public sector information licensed under the Open Government Licence v3.0. Source: legislation.gov.uk, The National Archives.