Case Management Policies and Procedures
Annex 6: Case Management Policies and Procedures
To be developed in the Short to medium-term
1. Policy/guidelines on the NHRI complaint investigation function (a procedure or operations manual)
2. A Complaint Registration Form
3. A system to register and record actions on complaints
4. The identification and cataloguing of human rights grounds that may be cited by complainants (this will then be used for Case Management Reports and Data: See Annex 5)
5. Core policies and procedures include:
a. Interpretation and definition of key human rights grounds indentified in point 3, above.
b. Jurisdiction and intake, including when complaints should be referred to other agencies or bodies.
c. What constitutes a priority complaint.
d. Instructions or how to complete a Complaint Registration Form, what level of assistance is to be provided, minimum requirements, and special procedures for persons with disabilities or persons who are not literate.
e. Maintaining the complaint Register.
f. Production of complaint management reports (how frequently generated: See Annex 5).
g. Preparation and process for investigation plans.
h. Service standards: e.g. within what timeframe is the respondent notified? Within what timeframe is the complainant advised of notification to respondent? Etc.
i. General policy on evidentiary requirements and chain of possession (e.g. burden or proof and nature of evidence accepted).
j. Investigation of sensitive issues relating to witness protection, women's and/or children's rights.
k. Obtaining evidence, including the circumstances and process of compelling documents or testimony, if statute permits.
l. Safeguarding sensitive information.
m. Interviewing witnesses.
n. Taking statements.
o. Preparing and reviewing of investigation reports.
p. A policy on which cases might be referred to mediation/conciliation.
q. Procedures for conducting of mediation/conciliation.
r. General policy on settlement agreements resulting from mediation/conciliation.
s. Implementation of settlement agreements and follow up, including for dealing with instances when settlement agreements are not implemented in full.
t. Periodic review of investigation reports and decision-making processes, including the delegation of decision-making by class or type of case if necessary.
u. General policy on the nature and form of remedy to be recommended.
v. General policy and procedure on the review of responses and determining whether further action is warranted.
w. Policy and procedure for releasing information publicly on the results of investigations, including media guidelines and recommendations made to parties as well as the response received.