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IPCC Casework Manual

Casework Manuals

In this section you will find the IPCC Casework Manual published in line with our commitment to openness. The Casework Manuals provides guidance to our Casework Managers who are responsible for handling important aspects of the complaints procedures. Casework Managers are expected to apply the guidelines in the Manuals. The guidance cannot cover every eventuality and there may be cases when the circumstances of a case justify decisions or actions outside of the guidelines.

Changes to our practices and procedures will be updated in the Manuals on a regular basis.

The Casework Manual comes in seven sections:

Direct complaint (pdf 330kb)
As well making a complaint to the relevant force, a member of the public can also make a complaint about the conduct (behaviour) of a person serving with the police directly to the IPCC. A complaint can include inappropriate behaviour, language or actions (and in some cases, allegations of criminal behaviour) by a member of the police force to a member of the public. The direct complaint will be logged and processed at the IPCC’s Telephone Complaints Centre.

Applications for local resolution (pdf 46.6kb)
Unless a complaint has to be referred to the IPCC, an appropriate authority must decide whether the matter is suitable to be locally resolved. Any matter may be suitable for local resolution as long as the appropriate authority is satisfied the conduct being complained about, even if proven, would not justify bringing criminal or disciplinary proceedings. In any case, local resolution can take place if it is first authorised by the IPCC. A matter can only be locally resolved with the complainant’s informed consent.

Dispensations (pdf 344kb)
By law the police have to investigate or locally resolve every complaint they record. However, if it is not practical or possible to do so, the police force may apply to the IPCC to dispense with a complaint. This manual sets out the IPCC casework process for considering an application for a dispensation and deciding whether to grant it. if the IPCC grants an application, the force may handle the complaint as they see fit, and do not have to take any further action on it.

Discontinuance (pdf 173kb)
An application for a discontinuance is a request from an appropriate authority to the IPCC to stop an ongoing investigation to a complaint or conduct matter which is being conducted by that authority on its own behalf or which is being supervised or managed by the IPCC. The IPCC may decide in the absence of an application from an appropriate authority that such an investigation should be discontinued. The IPCC may also discontinue an independent investigation under similar provision.

Withdrawal of complaints (pdf 113kb)
A complaint is withdrawn if notice is given in writing from the complainant, their solicitor or any other authorised agent to say they are withdrawing their complaint or do not want further steps to be taken. If an indication is given other that in writing, it may also lead to that complaint being recorded as withdrawn, subject to necessary steps being taken by the appropriate authority.

Referrals (pdf 856kb)
Forces must refer certain cases to the IPCC. If a case is referred, the IPCC must consider how serious the case is and the public interest engaged. After judging a case on this basis, the IPCC must firstly decide if it is necessary for the matter to be investigated. Secondly, if an investigation is necessary, the IPCC must decide how to carry out the investigation (mode of investigation). The options are to supervise, manage or independently investigate the case, or ask the force to investigate it (local investigation). This manual sets out the IPCC casework processes for handling referrals and subsequent investigations.

Note: Regional Directors have recently replaced Commissioners in deciding on the mode of an investigation. In addition, Regional Heads of Casework will be overseeing supervised investigations on new cases, instead of Commissioners. These new processes are in the transitional period, and the old system will continue apply until supervised cases existing before July 2008 have all been completed.

Appeals (pf 381kb)
There are three activities carries out by persons serving with the police which a complainant can appeal against. These are:

• Appealing against failure to record or notify
• Appealing against local resolution procedure
• Appealing in connection with an investigation