| 1. PURPOSE. The
purpose of this document is to conform to the requirements of Chapter 10, Section 53(7)(a)
of the South African Police Service Act, 1995 (Act 68 of 1995), and establish and
articulate policies and procedures by which complaints against members of the South
African Police Service (SAPS) shall be lodged and, thereafter, received and processed by
the Independent Complaints Directorate (ICD).
2. POLICY. It is
the policy of the ICD to:
2.1 Courteously and professionally
assist persons or organizations inquiring about lodging or wishing to lodge a complaint
against a Service member;
2.2 Exercise complete objectivity with
respect to all complaints against Service members and not pre-judge guilt or innocence
before completion of a full investigation into the matter;
2.3 Encourage persons wishing to lodge a
complaint to do so in person using the forms developed for that purpose;
2.4 Accurately receive and record all
complaints lodged; and
2.5 Accept, but not encourage, anonymous
complaints.
3. DEFINITIONS
3.1 "CCN" - stands for
Complaint Control Number, the number which is assigned to a complaint by the Complaint
Registry as a result of an entry into the Complaint Control Register.
3.1 "Class I Complaint"- is one which alleges that a death occurred while
a person was in police custody or as a result of police action.
3.2 "Class II Complaint"- is
one which is referred to the ICD by the Minister or a provincial executive.
3.3 "Class III Complaint"- is
one which alleges that a member committed an offence listed on form ICD 17 Annexure 1 to
this SOP, or that serious bodily injury requiring in-patient hospital treatment which
occurred while a person was in police custody or as a result of alleged police misconduct.
3.4 "Class IV Complaint"- is
one which alleges that a member committed an offence other than those listed on form ICD
17 Annexure 1 to this SOP or amounts to a violation(s) of regulation 18 of the
South African Police Service Discipline Regulations made by the Minister of Safety and
Security on 27 December 1996 of Regulation 2 of the Regulations for the South African
Police Service relating to the Code of Conduct for members of the service (No. R 1237) 19
September 1997. These are listed on form ICD 27.
3.5 "Class V Complaint"- A
complaint outside the scope of mandate or policy of the ICD.
3.6 "Immediately"- means at
once, without delay or hesitation.
3.7 "Service Member"- as set
forth in Section 1 (x) of the South African Police Service Act, 1995 (Act 68 of 1995) (
SAPS Act), includes all persons;
3.7.1 Referred to in Section 5(2) of the
SAPS Act, 1995;
3.7.2 Except for the purposes of any
provision of the Act in respect of which the National Commissioner may otherwise
prescribe, any member of the Reserve while such member is on duty in the Service;
3.7.3 Any temporary member while
employed in the Service;
3.7.4 Any person appointed in terms of
any other law to serve in the Service and in respect of whom the Minister has prescribed
that he or she be deemed to be a member of the Service for purposes of this Act;
3.7.5 Any person designated under
section 29 of the SAPS Act as a member.
3.7.6 "Misconduct"- includes
any act or omission of a Service member which constitutes a violation of Regulation
18 of the Regulations for the South African Police Service (No. R2086), 27 December 1996
or of Regulation 2 of the Regulations for South African Police Service relating to the
Code of Conduct for members of the Service (No. R1237) 19 September 1997.
3.7.7 "Normal business hours"-
means the time period between 08:00 and 16:30 Monday to Friday excluding national
holidays.
3.7.8 "Offence"- includes any
violation of the criminal laws of the Republic of South Africa.
4. COPE OF THIS PROCEDURE.
This Procedure applies to all complaints against members of the SAPS made by any person or
organization to the ICD or by ICD personnel, alleging that a member committed an act or an
omission which if substantiated, would constitute an offence and/or misconduct.
5. DUTIES AND RESPONSIBILITIES.
5.1 The Executive Director (ED).
The ED shall have the following duties and responsibilities with respect to the lodging,
receiving and recording of complaints against members. Specifically, he or she shall:
5.1.1 Subject to the Exchequer Act, 1975
(Act No. 66 of 1975), delegate sufficient powers to ICD personnel to perform assigned
duties and responsibilities;
5.1.2 Ensure that the ICD is organized,
staffed and operated in a professional, efficient, effective and completely unbiased
manner consistent with Chapter 10 of the SAPS Act.
5.1.3 Provide for the development and
enforcement of written directives controlling the ICD in order to provide persons and/or
organizations with all information necessary for them to make an informed decision
regarding whether or not to lodge a complaint against a member, and an objective and
informative environment within which to lodge a complaint should they elect to do so;
5.1.4 Develop policy guidelines
regarding the types of complaints which should or should not be investigated by the ICD
and reviewing such policy guidelines from time to time.
5.1.5 Provide for the review, analysis
and evaluation of each complaint to ensure that it is investigated consistent with the law
and ICD policy;
5.2 ICD Personnel designated to receive
complaints shall have the following duties and responsibilities with respect to the
lodging, receiving and recording of complaints against members. Specifically, they shall:
5.2.1 Perform assigned duties and
responsibilities in a manner designed to attain the goals and objectives of the ICD and
consistent with the ICD Values Statement;
5.2.2 Interact and assist persons and
organizations contemplating or wishing to file complaints against members of the Service
in a friendly and courteous manner;
5.2.3 Exercise objectivity and
impartiality with respect to any matter in which they are involved;
5.2.4 In the ordinary course of their
work activities: receive; record and transmit information completely and accurately; and
5.2.5 Familiarize themselves with the
mandate of the ICD and its policy on types of complaints dealt with by it.
5.2.6 Establish from the complainant the
general nature of the complaint before recording it in order to ensure that it falls
within the scope of the mandate and policy of the ICD.
5.2.7 Explain to the complainant how the
complaint will be dealt with and possible outcomes and timeframes.
5.2.8 In cases of class IV complaints,
satisfy themselves that the complainant has taken all reasonable steps to resolve the
matter at the appropriate level of the police services before recording the complaint.
5.2.9 In the spirit of, "How can we
do it better?", identify areas of ICD organization, staffing or operations which
could reasonably benefit from alternatives, and provide suggestions in this regard to a
supervisor.
6. PROCEDURE FOR LODGING
COMPLAINTS.
6.1 Locations for lodging complaints.
6.1.2 Complaints against members may be
lodged at the ICD National Office or at any ICD Regional or other office during normal
business hours.
6.1.3 A complaint may also be received
at any location and at any time with the approval of an ICD personnel member
occupying a position of Assistant Director or higher.
6.2 Complaint forms. Complaints
against members shall be lodged using the Complaint Reporting Form, ICD 1 which is
supplied with an instruction sheet ICD 1A, (Annexure 2) and, if necessary, the Complaint
report Continuation Sheet ICD 2, (Annexure 3).
6.3 Types of Complaints.
6.3.1 In-person complaints. ICD
personnel who receive an in-person complaint against a member shall;
6.3.1.1 If the complaint is not received at an ICD office,
ask the complainant if he or she will go to such an office to lodge a formal
complaint;
6.3.1.1.1 If the complainant refuses or is unable to go to
an ICD office, ICD personnel shall interview the complainant and complete a form ICD 1. If
a form ICD 1 is not available, he or she shall record;
6.3.1.1.1.1 The names address and telephone number of the
complainant.
6.3.1.1.1.2 The facts of the incident including the
location, date and time of occurrence (include any specific details available such as
vehicle descriptions, registration numbers, etc.);
6.3.1.1.1.3 Name and address of the victim if different
from the complainant;
6.3.1.1.1.4 Names and addresses (if known) of all
witnesses;
6.3.1.1.1.5 Name(s) of any member(s) involved (if known) or
full descriptions if names are not available;
6.3.1.1.1.6 The date, time, place and location of the
meeting with the complainant; and
6.3.1.1.1.7 Within 24 hours, or the next ICD working day
complete or cause to be completed a Complaint Reporting Form noting the circumstances
under which the complaint was received.
6.3.1.1.2 If the complainant is willing to go to an ICD
office, ICD personnel shall either accompany the complainant or telephone the office to
alert them of the complainant’s forthcoming appearance.
6.3.1.2 If the complaint is received at an ICD office, ICD
personnel designated to receive complaints shall:
6.3.1.2.1 Confer with the complainant immediately and fully
explain the process for lodging a complaint;
6.3.1.2.2 Where appropriate encourage the complainant to
complete a Complaint Reporting Form and, as many Complaint Continuation Sheets as are
necessary;
6.3.1.2.3 Make all necessary forms readily available to the
complainant;
6.3.1.2.4 If a complainant is willing to complete a
Complaint Reporting Form:
6.3.1.2.4.1 Provide reasonable assistance to the
complainant in completing the Form;
6.3.1.2.4.2 Assist the complainant in a friendly and
courteous manner, but in so doing, remain completely objective and do not in any way
prejudge the guilt or innocence of any member(s) mentioned in the complaint
6.3.1.2.4.3 Ensure that the Complaint Form is completed in
a complete, legible and intelligible manner; and
6.3.1.2.4.4 Ask the complainant if he or she has any
questions or requires any further assistance in connection with the complaint. Assisting
ICD personnel shall either answer any questions posed or obtain the assistance of ICD
personnel who are able to provide such answer(s).
6.3.1.2.5 In the event the complainant is unable to write
or unwilling to complete the form, ICD personnel shall:
6.3.1.2.5.1 Complete the form by asking the complainant
questions corresponding to the information blanks on the form;
6.3.1.2.5.2 Read the complaint certification to the
complainant and obtain confirmation that the complainant agrees with it;
6.3.1.2.5.3 Ask the complainant if he or she has any
questions or requires any further assistance in connection with the complaint. Assisting
ICD personnel shall either answer any questions posed or obtain the assistance of
ICD personnel who are able to provide such answer(s).
6.3.2 Telephonic complaints.
6.3.2.1 Upon receipt of a telephonic complaint against a
member, ICD personnel shall first encourage the complainant to go to an ICD office to
further explore whether or not to lodge a complaint;
6.3.2.2 If the complainant refuses or is unable to go to an
ICD office, ICD personnel shall record the complaint on a form ICD 1 if possible or, if a
form ICD 1 is not available he or she shall record;
6.3.2.2.1 The name, address and telephone number of the
complainant;
6.3.2.2.2 The facts of the incident including the location,
date and time of occurrence (include any specific details available such as vehicle
descriptions, registration numbers, etc.);
6.3.2.2.3 Name and address of the victim if different from
the complainant;
6.3.2.2.4 Names and addresses (if known)of all witnesses;
6.3.2.2.5 Name(s) of any member(s) involved (if known) or
full descriptions if names are not available;
6.3.2.2.6 The date, time, place and location of the meeting
with the complainant; and
6.3.2.2.7 Within 24 hours, or the next ICD working day,
complete or cause to be completed a Complaint Reporting Form noting the circumstances
under which the complaint was received.
6.3.2.3 If the complainant is willing to go to an ICD
office, ICD personnel shall notify the office to alert them of the complainant’s
forthcoming appearance.
6.3.3 Written Complaints. Upon receipt of a written
complaint against a member of the Service, ICD personnel shall extract as much information
as possible and complete a form ICD 1.
6.3.4 Generation of a complaint by the ICD of its own
motion (Mero motu).
6.3.4.1 Any ICD personnel, upon receipt of credible
information, in any form, which would amount to an offence or misconduct, may, with the
approval of ICD personnel occupying a position of Assistant Director or higher, initiate a
complaint against such member(s);
6.3.4.2 A complaint shall be initiated through completion
of a Complaint Reporting Form;
6.3.4.3 The ICD shall be listed as the complainant in such
cases.
6.4 Anonymity.
6.4.1 All ICD personnel who have personal contact with a
complainant or third party shall;
6.4.1.1 In the event the complainant requests to remain
anonymous;
6.4.1.1.1 Insert the word "Anonymous" in block 5
and / or 6 of the form ICD 1;
6.4.1.1.2 Mark with an "x" the box in
Block 55 on the rear of the form ICD 1 designated "CWTRA" (Complainant Wishes To
Remain Anonymous);
6.4.1.2 If no such request is made by a complainant, the
box next to the initials "CENPRA" which stand for Complainant Expressed No
Preference Regarding Anonymity will be marked with an "x".
6.4.2 Use of these two boxes for every report will ensure
that those persons wishing to remain anonymous will be accorded that privilege.
6.5 Administrative Processing.
6.5.1 Complaint Control Number. ICD personnel receiving
the complaint shall:
6.5.1.1 Contact the complaints registry responsible for the
province in which the alleged incident occurred and indicate that he or she wants to
register a complaint;
6.5.1.2 Furnish the information required in order for
registry personnel to make a proper entry in the Complaint Control Register; and
6.5.1.3 Obtain a CCN which he or she shall print in both
block 2 and on the receipt portion of the form ICD 1 and on any Complaint Continuation
Forms used to lodge the complaint.
6.5.2 Complaint Receipts.
6.5.2.1 In the case of an in-person complaint, before the
complainant departs from the ICD office, ICD personnel shall prepare and carefully remove
the receipt portion of the last page of the form and give it to the complainant; and
6.5.2.2 In the case of both telephone and written
complaints, the staff member shall detach the receipt and post it to the complainant
within twenty four hours (24) after the last contact with the complainant.
6.5.3 Classification of Complaint.
6.5.3.1 In block 56 of the form ICD 1, mark with an
"x" the appropriate box corresponding to the classification of the complaint. In
the event of the complaint lacking in essential details, making it difficult to classify,
the word "preliminary" should be underlined.
6.5.3.2 In the block to the right of block 57 of the ICD 1,
insert the code number from the Incident Description Code Sheet (ICD 8, Annexure 4), which
most accurately describes the complaint.
6.5.4 Registration of complaints after office hours.
The complaints registry shall provide the ICD personnel on
24 hour standby with the last CCN on the complaint control register at the close of
business every day preceding a weekend and/or public holiday in order to allocate a CCN
after office hours. ICD personnel involved shall, on the next working day, furnish to the
registry office, the information required in order for registry personnel to make a proper
entry in the complaints control register.
6.5.5 Further processing of complaint
6.5.5.1 In the event of a complaint being lodged by a
complainant who has first hand knowledge of the event giving rise to the complaint which
is classified as a Class 1 to III complaint, or he/she is accompanied by a witness(es) who
do(es), the ICD personnel receiving the complaint shall:
6.5.5.1.1 immediately advise the most senior person
available at the time in the Investigation or Monitoring Directorate of the ICD Head
Office or relevant Regional Office (depending where the complaint is received), with a
request that statements be taken of all witnesses to the event; and
6.5.5.1.2 simultaneously deliver or transmit to him/her,
the completed Complaint Reporting Form;
6.5.5.1.3 In the event Clause 6.5.5.1 not being applicable
the completed Complaint Reporting Form shall be immediately delivered or transmitted to
his/her immediate supervisor;
6.5.5.2 The matter shall thereafter be dealt with in the
manner provided for SOP 6
6.5.5.3 The completed Complaint Reporting Form shall be
delivered immediately or transmitted to the immediate supervisor of the ICD employee
receiving the complaint. .
6.6 CLASS V COMPLAINTS
In the event the complaint is one which falls within the
Class V category, an ICD personnel receiving the complaint shall inform the complainant
that complaint is outside the jurisdiction of the ICD and, in appropriate cases, refer the
complainant to another institution which is empowered to deal with the matter.
6.6.1 Class V complaints should be recorded on form ICD 31.
6.6.2 As far as possible, such complaints should be
disposed of on the date of receipt. Upon finalisation, the completed form ICD 31 should be
filed in a lever arch file set aside for that purpose.
6.6.3 As far as possible, staff members should provide
complainants with the contact details of the institution best suited to deal with their
complaints, or assist the complainants in making contact with the appropriate institution.
The complainant should be handed a copy of form ICD 31.
6.6.4 In the case of written class V complaints, the staff
member should refer the matter to the appropriate institution under cover of a note
requesting their assistance and asking them to contact the complainant directly.
6.6.4.1 A copy of the letter of referral should be
transmitted to the complainant, undercover of a letter informing them that it is regretted
that the matter falls outside of the scope of the ICD’s operations and that the
matter has been referred to the relevant agency, which they should contact directly.
6.6.4.2 The completed ICD form and copy of correspondence
should then be filed as closed. No further steps should be taken unless further
representations are made.
6 ANNEXURES. The following annexures
are supplied with this SOP:
1. Annexure 1- List of offences designated for assignment
to Class III Complaint Category (ICD 17)
2. Annexure 2- Complaint reporting form (with instruction
sheet (ICD 1 and 1A))
3. Annexure 3- Complaint report continuation sheet (ICD 2)
4. Annexure 4- Incident description code sheet (ICD 8)
5. Annexure 5- Complaint report form : Class V complaints
6. Annexure 6- Mandate and policy in respect of types of
complaints dealt with by the Independent Complaints Directorate
7. Annexure 7- Code of conduct
7 EFFECTIVE DATE. The effective date of
Revision 2 of SOP Number 3 is 1 April 1999.
Approved for Publication and Distribution
Neville Melville
Date
Executive Director,
Independent Complaints Directorate
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