Operations Manual for IPCC staff Direct complaints and withdrawn complaints IPCC Operations Manual 30.04.14 Page 1 of 22 Contents 1. Introduction to direct complaints 5 1.1 What is a direct complaint? 5 1.2 Definition of a complaint 5 1.3 Those serving with the police 6 1.4 Who can complain? 6 1.4.1 Adversely affected 6 1.4.2 Witnessed the conduct 6 1.5 Complaints by those serving with the police / and/or their partners and relatives 7 1.6 Off-duty conduct 7 1.7 Complaints about people who no longer work for the police 7 1.8 Local policing bodies 7 1.8.1 Exceptions 1.9 Complaints made against Police and Crime Commissioners and the Mayor’s Office for Policing and Crime 2 8 8 1.9.1 Who can make a complaint? 9 1.10 New appropriate authority structure 9 Making a complaint via the IPCC 10 2.1 Online 10 2.2 By post 10 2.3 By email 10 2.4 By fax 10 2.5 Telephone complaints 11 2.5.1 The basic details required to make a complaint 11 2.6 Complainants who need additional assistance 11 2.7 Complaints made by children and young people under 16 12 IPCC Operations Manual 30.04.14 Page 2 of 22 3 Assessing direct complaints 3.1 Triaging 12 12 3.1.1 Priority complaints 13 3.1.2 Standard complaints 13 3.2 Protective marking 13 3.3 Recording decisions 14 3.4 Complainants requesting updates regarding their complaints 15 3.5 Are there exceptional circumstances? 15 3.6 Anonymity 16 4 Passing a complaint onto the appropriate authority 17 4.1 Online direct complaint form (IPCC website) 17 4.2 Email, post or fax 17 4.3 Notifying the complainant 17 4.4 Timescales 17 5. Other actions on a complaint 18 5.1 Withdrawing a direct complaint 18 5.2 Paperless working 18 5.3 Further contact 18 6. Enquiries about the complaints system 18 6.1 The IPCC Customer Contact Centre 18 6.2 IPCC internal policy documents 19 7. Withdrawn complaints 20 7.1 Introduction 20 7.2 Withdrawn complaints that have been referred to the IPCC 20 7.3 Withdrawn complaints on a �live’ appeal 20 IPCC Operations Manual 30.04.14 Page 3 of 22 7.4 All other withdrawn complaints 21 7.5 IPCC reversal of the appropriate authority’s decision not to treat a withdrawn complaint as a recordable conduct matter 21 7.5.1 Public interest 7.6 Withdrawals that are not in writing IPCC Operations Manual 30.04.14 22 22 Page 4 of 22 1. Introduction to direct complaints 1.1 What is a direct complaint? A direct complaint is a complaint about the conduct of a person serving with the police or a relevant office holder (i.e. Police and Crime Commissioner, or Mayor’s Office for Policing and Crime, or the Deputy PCC/Mayor) made to the IPCC instead of to the appropriate authority. The role of the IPCC when handling direct complaints is limited to passing the details of the complaint to the relevant appropriate authority. The IPCC does not have the power to record complaints; this is done by the relevant appropriate authority. If the appropriate authority decides not to record the complaint it must inform the complainant of this decision. The appropriate authority will also provide a right of appeal against this decision to the IPCC. There is no right of appeal against a decision made by a Police and Crime Panel in relation to a Police and Crime Commissioner or the Greater London Authority Police and Crime Committee in relation to the Mayor’s Office for Policing and Crime. See section 1.9 and chapter 3 for further information. Given the limited role the IPCC has in relation to complaints made directly to it, it is recommended that a complaint is made, in the first instance, to the appropriate authority concerned. Complaints can be made at any police station, where they concern someone working for the police service, either in person, by telephone or email. Each police force also has a dedicated website and most of these allow a complaint to be made using an online form. This is often the easiest way to make a complaint and the preferred way for a complaint to be received. The IPCC has, however, a legal duty to increase access to the complaints system and will continue to act as a gateway to the complaints system by accepting complaints and passing them to the relevant appropriate authority. 1.2 Definition of a complaint Under the Police Reform Act 2002 the term �complaint’ refers to any complaint about the conduct of a person serving with the police. ’Conduct’ includes acts, omission, statements and decisions (whether actual, alleged or inferred). For matters that come to the attention of the appropriate authority on or after 22 November 2012, the term complaint also includes any complaint that relates to the direction and control of a police force by its chief officer or a person carrying out the functions of the chief officer. The IPCC Statutory Guidance further explains that this means an expression of dissatisfaction by a member of the public. The term complaint also includes any complaint about the direction and control of a police force by its chief officer or a person carrying out the functions of the chief officer. IPCC Operations Manual 30.04.14 Page 5 of 22 1.3 Those serving with the police The person whose conduct is complained about must be serving with the police. This means complaints can be about:  a member of a police force;  a civilian employee of a police force (police staff member);  an employee of the Common Council of London who is under the direction and control of a chief officer; or  a special constable who is under the direction and control of a chief officer. For the definition of direction and control matters please refer to the appeals section of the IPCC operations manual and appeals against failure to record. 1.4 Who can complain? A complaint can be made by any of the following:  a member of the public who claims that the conduct took place in relation to him or her;  a member of the public who claims to have been adversely affected by the conduct, even though it did not take place in relation to him or her;  a member of the public who claims to have witnessed the conduct; or  a person acting on behalf of someone who falls within any of the three categories above. A person acting on behalf of someone can only be authorised to make a complaint, if he or she has received written consent from the person on whose behalf he or she acts and is able to produce this consent. 1.4.1 Adversely affected Adversely affected is defined in section 29(5) of the Police Reform Act. It is defined as a person suffering any form of loss or damage, distress or inconvenience, or if the person is put in danger or if he/she is otherwise unduly put at risk of suffering such adverse affect. A witness to the conduct cannot be adversely affected unless they knew the victim or they could hear or see the conduct or its effects because they were either present or nearby. 1.4.2 Witnessed the conduct A person can only be said to have �witnessed the conduct’ (and therefore be able to make a complaint) if he or she �acquired his knowledge of that conduct in a manner which would make him a competent witness capable of giving admissible evidence of that conduct in criminal proceedings’ or has in his or her possession or control anything that would be admissible evidence in criminal proceedings of the conduct. The person dealing with the appeal should seek advice from a member of the IPCC legal team if they are unsure. IPCC Operations Manual 30.04.14 Page 6 of 22 1.5 Complaints by those serving with the police / and/or their partners or relatives Those serving with the police (including special constables and the College of Policing – section 29(3)) cannot make complaints under the Police Reform Act if:  they were on duty at the time of the conduct they allege took place in relation to him or her or when he or she is supposed to have been adversely affected by it or witnessed it; or  their complaint relates to the conduct of a person who at the time of the alleged conduct, was under the direction and control of the same chief officer as themselves. The same exclusions apply if a partner or relative of someone who has served or is serving with the police wants to make a complaint on their behalf. However, they might legitimately claim they have been adversely affected by the conduct or were a witness and so become a complainant in their own right. Please refer to the IPCC Statutory Guidance for further information 1.6 Off-duty conduct Police officers have some restrictions on their private life. These restrictions are laid down in Schedule 1 of Police Regulations 2003 that is they should not take any active part in politics. These restrictions have to be balanced against the right to a private life. Even when off duty, police officers should not behave in a manner that discredits the police service or undermines public confidence. Depending on the circumstances, off-duty conduct may fall within the Police Reform Act 2002. In determining whether a police officer’s off-duty conduct discredits the police service, the test is not whether the police officer discredits herself or himself but the police service as a whole. When police officers produce their warrant card (other than for identification purposes) or act in a way to suggest that they are acting in their capacity as a police officer (for example, declaring that they are a police officer) they are demonstrating that they are exercising their authority. By doing this they may have put themselves on duty and should act in a way that conforms to these standards. For example, if during a dispute with a neighbour, a police officer decides to produce a warrant card, this would be considered to be �on duty’. 1.7 Complaints about people who no longer work for the police Complaints relating to the conduct of a person serving with the police, who since the time of the conduct is no longer serving with the police, must be handled in the same way as any other complaint. However, the appropriate authority will not be required to determine whether disciplinary proceedings should be brought against that person. 1.8 Local policing bodies Local policing body is a collective term for Police and Crime Commissioners; the Mayor’s Office for Policing and Crime (in relation to the Metropolitan Police) and the IPCC Operations Manual 30.04.14 Page 7 of 22 Common Council (in relation to the City of London Police). With some exceptions (see section 1.8.1), Police and Crime Commissioners and the Mayor’s Office for Policing and Crime are now responsible for holding to account the chief officer of their force for how the policing services are delivered in their force area. They are also now responsible as the appropriate authority for any complaints, conduct matters, or death or serious injury matters involving the chief officer (or any acting chief officer) of the force they oversee. Chief officers are responsible for holding to account everyone in their force. This now includes responsibility as the appropriate authority for complaints and other matters concerning senior officers. The Mayor’s Office for Policing and Crime is the appropriate authority in relation to complaints, conduct matters, or death, or serious injury matters that came to its attention on or after 16 January 2012 involving the chief officer or acting chief officer (the commissioner) of the Metropolitan Police Service. Police and Crime Commissioners are the appropriate authority in relation to complaints, conduct matters, or death or serious injury matters that came to their attention on or after 22 November 2012 involving the chief officer (the chief constable) of their force. 1.8.1 Exceptions The following do not have Police and Crime Commissioners:  The City of London Police  Civil Nuclear Constabulary  Ports Police  National Crime Agency  UK Border Agency  HM Revenue and Customs  British Transport Police  Ministry of Defence Police 1.9 Complaints made against Police and Crime Commissioners and the Mayor’s Office for Policing and Crime Police and Crime Panels and, in relation to the Mayor’s Office for Policing and Crime, the Greater London Authority Police and Crime Committee scrutinise the work of Police and Crime Commissioners and the Mayor’s Officer for Policing and Crime and are the appropriate authority for complaints regarding these bodies and individuals. They have responsibility for the following:  reviewing the functions of the Police and Crime Commissioner; IPCC Operations Manual 30.04.14 Page 8 of 22  dealing with complaints about the conduct of Police and Crime Commissioners and their deputies  refer to the IPCC complaints about conduct that appear to constitute or involve a criminal offence or conduct matter, which indicates a criminal offence by a Police and Crime Commissioner or their deputy. The IPCC will be responsible for deciding whether a complaint or any indication that a relevant office holder has committed a criminal offence should be investigated and, if so, how it will be investigated. 1.9.1 Who can make a complaint? Anyone can make a complaint against a Police and Crime Commissioner or Mayor’s Office for Policing and Crime, as there is no legal criterion stipulated. 1.10 New appropriate authority structure Complaint against Appropriate authority IPCC responsible Police and Crime Panel N/A N/A Police and Crime Commissioner Police and Crime Panel Direct complaints, referrals and discontinuances (managed) Police and Crime Chief officer (acting Commissioner/MOPAC/ chief officer) Common Council Direct complaints, referrals, disapplications, discontinuances and appeals Senior officers Chief officer Direct complaints, referrals, disapplications, discontinuances and appeals All others Chief officer Direct complaints, referrals, disapplications, discontinuances and appeals IPCC Operations Manual 30.04.14 Page 9 of 22 2. Making a complaint via the IPCC Complainants should be encouraged to make complaints directly to the appropriate authority as this is the quickest method of making a complaint. While the IPCC does offer alternative methods of making a complaint, the complaint will still need to be sent/directed to the appropriate authority in order to comply with legislative requirements. Where complaints are to be made via the IPCC, it is recommended that complainants use the online form. If, however, a complaint is to be posted to the IPCC then ideally the form entitled �Make a complaint’ should be used to ensure that all necessary details are captured. Under normal circumstances, complaints made to the IPCC will be forwarded to the appropriate authority for recording purposes without any action or intervention by the IPCC. 2.1 Online An online complaint form is available on the IPCC website: www.ipcc.gov.uk/Pages/forms.aspx The complaint form is entitled 'Make a complaint'. As from 22 November 2012, the IPCC redirection function has been running on the IPCC’s corporate website. This enables completed online complaint forms to be sent directly to the appropriate authority specified on the form. IPCC staff therefore have no involvement in these matters and do not see the complaint itself. The completed complaint form can be sent to the IPCC using the contact details outlined in sections 2.2-2.5. 2.2 By post The Independent Police Complaints Commission Customer Contact Centre P.O. Box 473 Sale M33 0BW 2.3 By email enquiries@ipcc.gsi.gov.uk 2.4 By fax Fax number: 0207 166 3306 IPCC Operations Manual 30.04.14 Page 10 of 22 2.5 Telephone complaints If a complainant is unable/unwilling to make a complaint in writing, he or she can contact the appropriate authority directly by telephone. The appropriate authority will then register the details of their complaint accordingly. If the complainant cannot make contact with the appropriate authority or is experiencing difficulties with them, then he or she can contact the IPCC by telephone. A customer contact advisor will register the basic details of the complaint. It will not speed up the process of making a complaint nor increase the likelihood of a positive outcome. Alternatively, it may be that the complainant needs additional assistance and that their preferred method of contact is by telephone. See complainants section 2.6 for further details. 2.5.1 The basic details required to make a complaint The basic details required to make a complaint include: 1. The contact details of the complainant or the person acting on behalf of the complainant. 2. A note containing the following key information will be recorded so that a summary of the complaint can be passed on to the appropriate authority:  if applicable, the name of the police force/appropriate authority to whom the complaint has previously been made;  the details of the person(s) the complaint is about (name, rank, badge number, where they work or any other identifying feature);  the location, date and time of the incident that led to the complaint being made; and  a summary of the complaint including whether there were any witnesses and whether any damage or injury was caused. A formal statement will be required at a later point. This will not be taken over the phone. 2.6 Complainants who need additional assistance It is vital that the complaints system is available to all members of the public, including those with special access requirements – especially as these are often people whose confidence in the police complaints system is lower. Provision should also be made for people who wish to make a complaint or need information about the complaints system in another language, including sign language, and who need information such IPCC Operations Manual 30.04.14 Page 11 of 22 as leaflets, letters and documents provided in other languages or formats such as Braille, audio or easy read. Some people may require adjustments to be made to usual procedures in order to enable them to use the complaints system. It might be, for example, that:  the complainant has learning difficulties  the complainant has mental health difficulties  the complainant is a child or young person under 16  English is not the complainant’s first language  effective communication is through the spoken and not the written word  the complainant’s effective means of communication is sign language  the complainant is vulnerable or disadvantaged in some other way The assistance of a relative, carer or other representative may be necessary to enable the complainant’s wishes to be expressed sufficiently for the complaint and intentions to be clear. While the IPCC does not under normal circumstances provide provision for complaints to be made in person at the IPCC, in some cases additional support may be required. The IPCC will consider on a case-by-case basis what adjustments may be appropriate. In such circumstances, the person dealing with the enquiry should complete the IPCC reasonable adjustments request form to ensure that requests are being considered consistently. The appropriate manager will then make a decision as to whether or not the request can be granted. For requests for face-to-face meetings, the head of function will make the decision as to whether or not to grant the request. 2.7 Complaints made by children and young people under 16 A child under 16 should not normally need to provide written permission from a parent, guardian or advocate to make a complaint on his or her behalf. In many cases, a child or young person who makes a complaint against a person serving with the police will be supported by a parent, guardian, or other appropriate adult. If this is not the case, this should not prevent him or her from making a complaint. 3. Assessing direct complaints 3.1 Triaging When a complaint is received in writing, the IPCC reads the complaint and assigns it a level of priority. This is call triaging. This process can help to identify whether further contact with the complainant is necessary. Direct complaints are categorised as:  Priority (P1)  Standard (P2) IPCC Operations Manual 30.04.14 Page 12 of 22 3.1.1 Priority complaints The IPCC will pass priority (P1) complaints to the appropriate authority as soon as possible, because of the nature of the complaint itself or the need to preserve or obtain evidence quickly. An example of a priority complaint would be one containing an allegation of serious injury or assault – for instance a broken or fractured bone. Each complaint is assessed on its own merits but other priority complaints could include:  fears for the safety of the complainant  complaints that appear to meet the criteria for mandatory referral  report line complaints  high profile incidents  a reference to the existence of CCTV footage  use of the Terrorism Act  discharge of a taser  a vulnerable complainant  a traffic or other offence where there is a time limit for prosecution  involvement of a parliamentarian, especially letters from members of parliament on behalf of their constituent. 3.1.2 Standard complaints Complaints that raise no unusual issues are classed as �Standard’ (P2) complaints and should be dealt with promptly and in accordance with standard procedure. A standard complaint would be, for example, one that is solely about an instance of incivility and raises neither referral concerns nor contains any content requiring immediate attention. Triaging and prioritisation exists because of the heavy demand for the IPCC service in handling direct complaints. The intention is to process all complaints in a timely manner and, where possible, all complaints will be treated in the same way. 3.2 Protective marking The IPCC uses protective marking (the Government Security Classification) to ensure that documents are handled in accordance with their sensitivity. Whilst assessing complaints, the IPCC will judge how sensitive the materials is and assign the material a suitable level of protective marking:  Official  Secret IPCC Operations Manual 30.04.14 Page 13 of 22  Top Secret Most material handled by the IPCC, in respect of direct complaints, is likely to be classified in the �Official’ category as it will almost certainly contain personal information that must be handled in accordance with the Data Protection Act. It is unlikely that a direct complaint will contain information of a highly sensitive nature, for instance material so privileged that its disclosure would result in a direct threat to life or compromise national security. However, it is important that a protective marking assessment is made at this early stage as the classification assigned will outline how the material is later handled. This can include, for example, whether or not it can be stored and transferred electronically via the Government Secure Intranet (.gsi) to the Police National Network (.pnn). 3.3 Recording decisions The IPCC does not make the decision as to whether a complaint should be recorded, that is a decision for the relevant chief officer or local policing body. The IPCC can, however, provide generic information to a complainant in relation to the criteria for recording a complaint and the timescales for making such a decision. The person dealing with the enquiry should be careful not to provide specific tailored advice as to whether a matter will be recorded. The onus is on the complainant, having been provided with generic information, to decide whether he or she wishes to proceed with the complaint. It will then be for the appropriate authority to make a recording decision. If the complainant requires tailored advice they should be advised to contact the Citizen’s Advice Bureau (CAB) or seek independent legal advice from a solicitor. The IPCC expects the appropriate authority to make a recording decision within ten working days of the receipt of a complaint or notification. Within that period the chief officer/local policing body must decide what action they will take, including whether they are the appropriate authority, and if they are not the appropriate authority, they are required to notify the appropriate authority, and whether or not they will record the complaint. Where the appropriate authority decides not to notify or record the whole or part of a complaint they must notify the complainant in writing, of: i. the decision to take no action and, where applicable, to what part of the complaint this decision relates; ii. the grounds for that decision; iii. the complainant’s right of appeal, where applicable, including: a) that the right of appeal is to the IPCC b) the time limit of 28 days for making an appeal IPCC Operations Manual 30.04.14 Page 14 of 22 3.4 Complainants requesting updates regarding their complaints Complainants who contact the IPCC seeking updates in relation to their complaint/ recording decision should be advised to contact the appropriate authority concerned. While the IPCC expects recording decisions to be made within ten days, if after 15 days from when they made a complaint, the complainant has heard nothing from the appropriate authority as to what has happened to their complaint (that is a recording decision), the complainant is entitled to assume that there has been a failure to make a decision. In such circumstances they can be advised of their right of appeal. For details regarding recording decisions see the appeals section of the IPCC operations manual and relevant appeal body and appeals against failure to notify or record a complaint. 3.5 Are there exceptional circumstances? For complaints received on or after 22 November 2012, there is no requirement for the IPCC to seek the consent of the complainant before passing on their complaint to the appropriate authority under the Police Reform and Social Responsibility Act 2011. As a safeguard, however, the Act will not require the IPCC to pass the complaint to the appropriate authority if there are �exceptional circumstances’ which justify the complaint not being passed to the force. The introduction of the exceptional circumstances test means that the IPCC will have the discretion not to notify the force of a complaint if it deems it justified. The IPCC’s approach to exceptional circumstances will differ depending upon the means by which the complaint reaches us. It would be unfeasible to describe a definitive list of exceptional circumstances; however, the test requires a high threshold because if the matter is not forwarded to the appropriate authority nothing further will happen to the complaint. Therefore, the risk associated must outweigh the benefits of passing the complaint on. There are two broad categories for exceptional circumstances:  where notification of the complaint is likely to lead to a real risk that the complainant or any other person may suffer serious physical harm or loss of life  where the notification is likely to lead to a real risk of prejudice to the interests of national security In all cases of exceptional circumstances there is a two stage test: 1. The risk must be real. This means that it would not be sufficient for the complainant to refer to exceptional circumstances without some description of why and how the complainant believes the exceptional circumstance may be genuine. 2. Does the risk of forwarding the complaint outweigh the benefits of passing it on? There will not be many cases, if any, where the risks of exceptional circumstances outweigh the benefits of forwarding the complaint. IPCC Operations Manual 30.04.14 Page 15 of 22 In practice, therefore, IPCC staff will review the complaint document against the criteria listed above. It may be that contact will need to be made with the complainant or others to gather further information or where the complainant believes that exceptional circumstances apply. If the person dealing with the complaint believes that they have such a case they should seek advice from their line manager, complete a written risk assessment and pass the matter on to a commissioner for a decision. 3.6 Anonymity When a complainant wishes to make a complaint anonymously, the IPCC should, after encouraging full interaction with the complaints system and offering reassurances of its probity, explain that a complaint can be made anonymously but that this inevitably may impact on the ability to adequately investigate the complaint made and subsequent appeal rights. The IPCC Statutory Guidance says the following: “Where possible, the appropriate authority should attempt to discover the identity and address of, and contact, the person making the complaint, or any other interested person. There should be more than one attempt and various methods of communication should be used. The appropriate authority should allow time for the complainant to make contact before disapplying or making an application to the IPCC. The time allowed should be determined on a case by case basis, but should be reasonable, taking into account the circumstances and subject matter of complaint. Although it is unlikely that an appeal will be made relating to an anonymous complaint, the complainant or interested person may make his or her identity known only after the disapplication. Where this happens, the complainant should be advised of his or her right of appeal”. In some circumstances it may be appropriate for the IPCC to describe the identity of a complainant as being, �known to IPCC’, when sending the details of the complaint to the appropriate authority. If the appropriate authority requires more information about the complaint, the IPCC may then contact the complainant to obtain further information or to ask again for their consent to pass on their contact details. If the IPCC is unaware of the identity of the complainant and there are no contact details, the complaint will be passed on to the IPCC’s Intelligence Unit. In this situation, the complaint would not be entered on the casework management system. IPCC staff should seek the advice of their line manager in relation to anonymous complaints. IPCC Operations Manual 30.04.14 Page 16 of 22 4. Passing a complaint onto the appropriate authority 4.1 Online direct complaint form (IPCC website) Since 22 November 2012, the IPCC has offered a redirection function online. Under this system, when an online direct complaint form is created, it is sent directly to the appropriate authority specified on the form. IPCC staff have no involvement in the matter and they do not see the complaint itself. Complaints made online via the IPCC’s website will be treated as though they were made directly to the appropriate authority rather than a complaint made to the IPCC for the purposes of Para 2 of Schedule 3 of the Police Reform Act. This means that the IPCC will not assess whether exceptional circumstances apply under Para 2(1A). The IPCC will not notify the complainant that their complaint has been sent to the appropriate authority nor what it contained (Para 2(5) of Schedule 3). A full explanation is available on the IPCC website. 4.2 Email, post or fax Complaints received via email, by post or by fax will be allocated electronically to a member of IPCC staff who will enter the details of the complaint and the complainant onto the IPCC case management system. All complaints received in this way will be assessed as to whether �exceptional circumstances’ apply. Copies of the original documentation are then sent to the relevant appropriate authority. In the great majority of cases, the complaint will be passed to the appropriate authority via secure email with a copy of the original documentation attached as electronic files. This email requests that the appropriate authority consider formally recording the complaint and reminds them of their duty in respect of mandatory referrals and of its ability to make a voluntary referral (if applicable). 4.3 Notifying the complainant When a direct complaint is passed to an appropriate authority the IPCC will write to the complainant notifying them that they have done so and inform them of the contact details of the relevant appropriate authority. This will not be required in relation to complaints made on-line via the IPCC web site– as explained above. 4.4 Timescales The IPCC aims to pass on 85 per cent of complaints to the appropriate authority within two days of receipt. IPCC Operations Manual 30.04.14 Page 17 of 22 5. Other actions on a complaint 5.1 Withdrawing a direct complaint If the complainant or their representative contacts the IPCC to withdraw their complaint, and it does not appear that the appropriate authority has been notified, the IPCC must send a copy of the notice of withdrawal to the appropriate authority. The appropriate authority shall then record the withdrawal or the fact that the complainant does not wish any further steps to be taken. 5.2 Paperless working From 1 November 2010 the IPCC no longer retain paper documents. Complaints are stored electronically on our case management system The IPCC informs the complainant and offers them a chance to request their original direct complaint documents before they are securely destroyed. 5.3 Further contact Further contact could be received about a direct complaint in a variety of ways for example a phone call or by letter. It may express dissatisfaction with actions taken or request further clarification of the complaints process. If the contact voices criticism about the competence or integrity of the IPCC member of staff who has dealt with the direct complaint, these complaints should be brought to the attention of the IPCC complaints manager for consideration. Further information on complaints about an IPCC member of staff can be found online at www.ipcc.gov.uk/Pages/complaints-about-our-service.aspx Where a comeback raises any threat of legal proceedings such as judicial review, the matter must be referred to Legal Services. All comebacks will be triaged and placed in an appropriate queue to be dealt with. A response should be provided within ten working days. 6. Enquiries about the complaints system 6.1 The IPCC Customer Contact Centre The IPCC Customer Contact Centre is available from Monday to Friday between 9am and 5pm (excluding public holidays). The Customer Contact Centre can be contacted by calling 0300 020 0096 and selecting option one, Customer Contact Centre, or by holding and requesting to be put through to the Customer Contact Centre. The IPCC Customer Contact Centre can assist in answering queries about the complaints system, signposting and the work of the IPCC including:  complaints IPCC Operations Manual 30.04.14 Page 18 of 22  direct complaints  referrals  appeals/relevant appeal body  disapplications and discontinuances  sub judice  local resolution process  local investigations  supervised investigations  managed investigations  independent investigations  oversight and confidence  learning the lessons 6.2 IPCC internal policy documents The following internal policy documents are available on the Casework and Customer Services SharePoint site to assist staff when dealing with telephone calls:  IPCC Telephone Policy  Telephone Procedure Guidance IPCC Operations Manual 30.04.14 Page 19 of 22 7. Withdrawn complaints 7.1 Introduction If an appropriate authority receives notification in writing from a complainant signed by them, their solicitor, or other authorised agent on their behalf to the effect that either:  that they withdraw the complaint; or  that they do not wish any further steps to be taken in consequence of the complaint. The appropriate authority shall immediately record the withdrawal or the fact that the complainant does not wish any further steps to be taken. This guidance uses the term �withdrawn complaints’ to refer to both withdrawn complaints and complaints where the complainant does not want any further steps to be taken in consequence of the complaint. If the complainant or their representative contacts the IPCC to withdraw their complaint, and it does not appear that the appropriate authority has been notified, the IPCC must send a copy of the notice of withdrawal to the appropriate authority. The appropriate authority shall then record the withdrawal or the fact that the complainant does not wish any further steps to be taken. 7.2 Withdrawn complaints that have been referred to the IPCC If the withdrawal relates to a complaint that was referred to the IPCC but was not referred back, the appropriate authority must notify the IPCC that it has recorded the withdrawal of the complaint or the fact that the complainant does not wish any further steps to be taken. The IPCC must then determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter and notify the appropriate authority of the decision. 7.3 Withdrawn complaints on a �live’ appeal If the withdrawal relates to a complaint that is currently the subject of an appeal to the IPCC (be that a non-recording appeal, against an investigation or whatever other type of appeal under Schedule 3 of the Police Reform Act) then the appropriate authority must notify the IPCC that it has recorded the withdrawal. The appropriate authority must then decide whether it is in the public interest for the complaint to be treated as a recordable conduct matter and notify the IPCC of its determination and the reasons for that determination If a determination is made in either instance that the complaint should be treated as a recordable conduct matter, then the provisions of Part 2 and Schedule 3 of the Police Reform Act shall apply to it. If not, then the Police Reform Act ceases to apply i.e. nothing more need be done in relation to the matter. IPCC Operations Manual 30.04.14 Page 20 of 22 7.4 All other withdrawn complaints Where the appropriate authority is notified, or receives a notification from the IPCC that the complainant wants to withdraw their complaint, then the appropriate authority shall determine whether it is in the public interest for the complaint to be treated as a recordable conduct matter. If it is, then the provisions of Part 2 and Schedule 3 of the Police Reform Act shall apply to it. If not, then the Police Reform Act ceases to apply i.e. nothing more need be done in relation to the matter. 7.5 IPCC reversal of the appropriate authority’s decision not to treat a withdrawn complaint as a recordable conduct matter In certain circumstances the IPCC can reverse an appropriate authority’s decision not to treat a withdrawn complaint as a recordable conduct matter. If the complaint is one that has been locally investigated, or is currently the subject of an appeal to the IPCC, and the appropriate authority has determined that the withdrawn complaint should not be treated as recordable conduct matter, the IPCC has to consider whether it is in the public interest for the determination to be reversed and, if so, instruct the appropriate authority to reverse the decision. If it is in the public interest to reverse the appropriate authority’s decision then the person dealing with the withdrawal should write to the appropriate authority and instruct them to reverse their decision and that the investigation should continue as a recordable conduct matter. In such circumstances, the appeal does not need to be processed. Depending on the circumstances of the case, the IPCC may wish to inform the complainant of the IPCC decision and how it is relevant to them. 7.5.1 Public interest In order to determine whether it would be in the public interest to continue with the investigation, the person dealing with the withdrawal should consider the following points:  The gravity of the subject of the complaint.  Is there an indication that a criminal offence has been committed by a police officer or staff member, that if proven, is likely to result in a prosecution or significant sentence? (It is less likely to be in the public interest if the court imposes a nominal penalty).  Is there an indication that Article 2 or 3 of the Human Rights Act is engaged, for example, has a death following police contact occurred whereby there is an indication that the fault may be at the hands of the state, or has someone suffered torture, inhumane or degrading treatment at the hands of the state?  Is there significant community interest or concern (e.g. political protests, corruption, impact on community groups etc.)  Does the matter have a significant impact on public confidence? IPCC Operations Manual 30.04.14 Page 21 of 22 This list is non-exhaustive, each case will have to be considered on its individual merits. Where the person dealing with the withdrawal is unsure they should seek advice from their line manager, and if required, the IPCC legal services. 7.6 Withdrawals that are not in writing If a complainant tells the IPCC that they want their complaint to be withdrawn or for no further steps to be taken but they do not do so in writing, the IPCC has to refer the matter to the appropriate authority so that the appropriate authority can take the necessary steps to confirm that the complaint is withdrawn. Those steps are:  Write to the complainant to ascertain whether he or she wishes to withdraw their complaint or does not wish any further steps to be taken.  The complainant must be provided with 28 days to respond.  If the complainant indicates that he or she does wish to withdraw the complaint, or fails to respond, then the appropriate authority shall treat this as though they had received a withdrawal in writing.  If the complainant indicates that he or she does not wish to withdraw their complainant, or that he or she does wish further steps to be taken, the appropriate authority shall start or resume the investigation. IPCC Operations Manual 30.04.14 Page 22 of 22
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