Complaints and Correspondence Handling
|Definition of a complaint
A complaint is defined as:
"Any expression of dissatisfaction about any aspect of service provided by the Crown Prosecution Service"
It may not always be easy to distinguish between a complaint and a query but if the person contacting you thinks it is a complaint, or if you are not sure, then it should be treated as such.
Why have a complaints system?
The Crown Prosecution Service is a public service, publicly funded and accountable to the public. If a member of the public has a complaint about any aspect of our service, they are entitled to be treated with respect and to have their complaint dealt with quickly and efficiently, as close to the source of the problem as possible. If the complaint is handled well, it is more likely that it will be resolved at an early stage rather than escalating into a long and rancorous exchange of correspondence. It is in no-one"s interest that a complaint that could have been resolved without difficulty at an early stage reaches the Director, the Law Officers or a Member of Parliament.
A complaints system should not be a defensive response to the identification of a fault or deficiency, but can be a positive means of promoting public confidence in the Crown Prosecution Service.
Handling complaints properly shows that we listen to the views of those who come into contact with us, learn from our mistakes and identify opportunities to improve our service.
Service first: general principles
The Crown Prosecution Service"s complaints system, on which guidance is given below, embraces the principles and philosophy of the "Service first: How to deal with complaints" booklet. The principles are that complaints systems should:
- Be easily accessible and well publicised;
- Be simple to understand and use;
- Allow speedy handling, with established time limits for action, and keep people informed of progress;
- Ensure a full and fair investigation;
- Be confidential;
- Address all the points at issue and provide an effective response and appropriate redress; and
- Provide information to management so that services can be improved.
The above principles, properly implemented, are no more than members of the public, who are affected by our decisions, have the right to expect. Our complaints handling procedure is publicised in our complaints leaflet so that the public can easily find out how to contact us. This leaflet is distributed through Areas to police, courts, Citizens" Advice Bureaux and libraries and has been reproduced on the Internet on this website in the Complaints Procedure Guidance section
Role of the Correspondence Unit
The Correspondence Unit has five main areas of responsibility:
- To provide a focal point for complaints from members of the public addressed to the Director of Public Prosecutions, replying where possible and redirecting where appropriate;
- To provide advice and guidance to all staff on complaints handling;
- To act as a liaison point for third tier complaints. An explanation of the three stages of the complaints procedure is given later in this chapter;
- To liaise with other Government Departments and with staff to co-ordinate responses to correspondence from Members of Parliament; and
- To liaise with other Government Departments and with staff to co-ordinate responses to parliamentary questions.
Procedure for handling complaints from members of the public
This guidance deals with all complaints, from whatever source, with the exception of correspondence from Members of Parliament, Members of the European Parliament, Members of the Welsh Assembly and Members of the Scottish Parliament, for which separate procedures apply. (Please see the Briefing for Parliament Guide for guidance on dealing with parliamentary correspondence).
Complaints may be made by telephone, in writing, by email or via an advocate. Meetings may also be held with complainants where appropriate. The same degree of attention must be given to every complaint, regardless of its source. All complaints must be treated fairly and without bias. Responses should be clear, concise and in plain English.
Stages in the Crown Prosecution Service"s complaints procedure
- The first tier is the Head of Division at Headquarters, the Head of the Criminal Justice Unit or the Head of the Trials Unit, which dealt with the case in question. Complaints should initially be directed to the relevant Head of Division or Unit Head, who should arrange for a reply to be sent.
- The second tier is the Chief Crown Prosecutor or Headquarters Director. Complaints should be referred to the Chief Crown Prosecutor or Headquarters Director when there is dissatisfaction with the replies from the first tier, or where the complainant alleges impropriety by the Head of Division or Unit Head.
- Complaints, which cannot be resolved satisfactorily at a local level, are referred through the Correspondence Unit to the Director of Public Prosecutions or Chief Executive. They can be referred by the Chief Crown Prosecutor, Headquarters Director, or the complainant. Examples of where it might be appropriate to refer the complaint to the Correspondence Unit for a third tier response are where the complainant alleges persistent impropriety against the Chief Crown Prosecutor/Headquarters Director, or the Chief Crown Prosecutor/Headquarters Director has been closely involved in the original decision making process about which the complaint is being made. In addition, a Chief Crown Prosecutor or Headquarters Director may refer a complaint to the Correspondence Unit in cases where they have an impasse, for example comprehensive responses have been provided to each of the issues raised but the complainant refuses to accept the explanations provided.
On receipt of the third tier complaint, a member of the Correspondence Unit will liaise with the Chief Crown Prosecutor/Headquarters Director to request the papers. A member of the Correspondence Unit will then pass this material, together with recommendations on how the complaint should be handled, to either the Director or Chief Executive. The Correspondence Unit will either send a reply with the Director"s or Chief Executive"s approval, or the matter will be referred to a senior member of staff (for example a Chief Crown Prosecutor, Headquarters Director or other member of the Senior Civil Service).
Timescale for dealing with complaints
Where possible, a full response should be sent to the complainant within 3 working days of receipt of the complaint into the Department, starting on the day of receipt. Where a full response cannot be sent within that timescale, an acknowledgement should be sent within 3 working days and a full response should be sent within 10 working days.
Where a complaint is referred to another office for response, or information and papers are needed by another office in order to prepare a response, care must be taken to ensure the transfer of information is carried out as quickly as possible. Although it may not always be possible to meet the usual timescales for response as full consideration of the material may take time, the aim is that the responding office should aim to meet the set timescales. Where this is not possible, they should send their response as soon as possible and avoid undue delay.
Where it is not possible to reply within the agreed time limit, an interim reply should be sent, explaining the reasons for the delay and advising the complainant when they may expect a substantive reply. Interim replies should be used sparingly and not as a way to extend deadlines.
Content of responses
Complaints against the Service must be thoroughly researched to ensure that the final reply is accurate. This may involve checking with other agencies to confirm a sequence of events and should include a consideration of our records, including the case papers. Those responsible for signing the final reply must confirm that the response is accurate and comprehensive.
It is inevitable that on occasions mistakes may happen; if they do, they should be acknowledged. When performance has not reached the desired standard, reasons should be provided and supported, where possible, by plans to introduce improvements. It is important that we are as honest and open as possible and replies should never be defensive.
The reply should be tailored towards the needs of the complainant, in terms of the language and tone used. For example, sensitive responses should be provided to victims of crime, even if there is little information we can give them. The extent of the information contained in the reply may be affected by a number of factors. These may include the stage of the case or the relationship of the complainant to the case. It is not appropriate to include an explanation of the evidence, particularly where the case is live, where the complainant is not directly involved in the case or where the complainant may be planning to take legal action against the Crown Prosecution Service. The use of jargon, legalese and lengthy explanations of complex legal issues should be avoided.
Every issue raised in the complaint must be addressed in the final reply. If we cannot answer a query that has been raised, such as a question about the conduct of another party in the case, the fact that we cannot answer it should be explained.
Wherever a complaint implicitly or explicitly raises potentially sensitive issues (for example, relating to possible racism, homophobia, or other discrimination) the reply should state the Crown Prosecution Service"s policy commitments to such issues, and refer to specific actions taken by the Service to ensure that those policy commitments were applied in the particular case. Where there has been an admitted error, the reply should explain clearly what steps the Crown Prosecution Service proposes to take or has already taken to ensure that the error will not happen again.
Care should be given to ensuring that no information is contained in a reply to a complaint that the Service would not be content to see in the public domain. Complainants often take their grievances to the press and/or other individuals or organisations for assistance in pursuing their complaint. It is therefore possible that sensitive information or information which should not be disclosed is inadvertently made public, such as the names of witnesses or youths.
General guidance on writing letters can be found in the manual Communicating with Victims - a Guide. See also Care and Treatment of Victims and Witnesses, elsewhere in this guidance.
Dealing with complaints
Our aim must be to deal with complaints as quickly as possible and in a professional manner. Any member of staff may receive a complaint or be the subject of a complaint. It is therefore essential that line managers make all staff aware that we have a complaints procedure, and that they ensure that staff are given the best opportunity through training and development to perform effectively in all aspects of their work.
It is in the interests of both the complainant and the Service for complaints to be dealt with quickly and effectively. It will therefore be necessary to decide on the best way in which to respond to a complaint, bearing in mind the need to deal with complaints in an efficient manner.
Handling incoming telephone calls that are complaints
After the caller has introduced him/herself and given some indication of what the call is about, you should ensure that you clarify the:
- Complaint; and
- Outcome sought by the complainant.
If the complaint can be dealt with immediately, safely and without any risk of compromising the Crown Prosecution Service/victim/defendant/witness then a reply can be given. An example would be where the resolution of the complaint would require only the provision of basic information that is already in the public domain, such as the date of the next hearing.
If the caller is a solicitor or any other person, organisation or business that purports to have an interest in the case, ask them to put the complaint in writing.
If answering the complaint will touch on issues of confidentiality (the most common instance will be explaining casework decisions) you must be satisfied that the complainant is bona fide. Where the complainant purports to be connected to the case, the following procedure should be observed, having ascertained that the complaint relates to confidential matters:
- Inform the complainant that you will call them back immediately;
- Ask the complainant for their telephone number;
- Check the number provided against that provided to us by the police (where possible);
- If the number is available, the same as the one provided by the complainant and you have no reason to doubt their bona fides, call back and deal with the complaint;
- If you have any concerns about the identity or the person"s locus in requesting certain types of information, you can politely decline to provide details over the telephone and encourage the caller to write instead, provided the caller can write in themselves or have someone write for them (please see the section below entitled "Requesting the complaint in writing"). There is no reason why you should not explain that this is for security reasons - we are protecting the caller"s confidentiality as well as the other parties in the case.
Using the telephone to respond to complaints
You should always consider, whether the initial complaint is received in writing, by telephone or in person, whether it is possible to deal with the complaint by telephone.
When telephoning a complainant there are additional sensitivities to those that may be encountered when communicating by letter. It is important that these are recognised and managed if the telephone call is to be effective. Poor preparation risks doing more harm than good.
The main sensitivities are:
- The telephone call may occur at an inconvenient time when the complainant is occupied with other things;
- The telephone call may occur at a time when the complainant is distressed or angry;
- A telephone call may not be a good means of contacting the complainant because of their personal circumstances;
- The telephone number provided might not be one that affords privacy to the complainant. It may be a work number or that of a neighbour or family member.
The disadvantages are:
- The record of the conversation will be limited to a note made after the call has been concluded;
- The unprepared member of staff risks being drawn into saying something that is not appropriate;
- Endeavouring to resolve a third tier complaint by telephone will be difficult as the papers are often by that stage voluminous and such an approach will preclude the Director or Chief Executive"s involvement.
The advantages are:
- Telephone contact ensures that the complainant receives a response quickly;
- Telephone contact allows the complainant to question or seek immediate clarification of any point from the person who is dealing with the complaint.
If it is decided that a telephone call is the best way of communicating with the complainant, the following practice should be followed in all cases:
- Prepare for the call. Ensure that you have the information you need in order to deal with the complaint in language that the complainant will understand. Avoid using jargon, and ensure that you are at ease with any appropriate language, cultural or background issues that may be relevant to the particular conversation. If in doubt, then contact the Equality and Diversity Unit at CPS Headquarters. Think of what you might be asked and consider how you would respond;
- On occasion, it may be a useful precaution to have a colleague present when making the call;
- Try not to make the call in an open plan office. Avoid being disturbed while you make the call;
- Explain exactly who you are and that you are telephoning from the Crown Prosecution Service - do not say CPS, the person may not know what it means;
- Always check with the complainant that it is convenient to talk and, if not, arrange a time when you can call back;
- Ask the complainant if they wish to make a note of what you say and offer to repeat the explanation to enable them to make a note at their own speed;
- If possible, make a note during the call and ensure that you note any points of importance. It will assist both in drafting an accurate note after the call has concluded and ensuring that the follow up letter is accurate;
- Tell the complainant that you are going to confirm the fact and content of the call in writing. Personalise the letter, accurately reflecting the conversation held.
A full note should be made of what was said and should be placed on the complaints register and relevant file. A copy of the follow up letter should also be placed on the relevant file.
If the complainant requests personal data relating to themselves or others over the telephone, ask them to put the request in writing (not e-mail) to the Data Protection Officer, CPS Headquarters, 50 Ludgate Hill, London, EC4M 7EX.
Requesting the complaint in writing
Asking a telephone complainant to put a complaint in writing may be necessary if, for example: you are unable to clarify the nature of the complaint over the telephone; the complaint is of a complex nature; or you are unable to satisfy yourself that the complainant is genuine.
However, this does risk aggravating the situation rather than resolving the complaint. To avoid this, make it clear that you want to provide as full and fair a response as possible and therefore need to fully understand the complaint. Furthermore, you want to ensure that issues of confidentiality are respected.
Some complainants, for example some disabled complainants, may not be able to contact us in writing. In these circumstances, careful consideration should be given to making a reasonable adjustment to our procedures. This might include asking the complainant to make their complaint on audio or video tape, or via an advocate. We may need a covering note with their signature verifying that the information submitted is correct. You may also ask the complainant if they have a trusted friend or relative who can assist them in putting their complaint in writing to us. If a complainant does have a disability that prevents them from writing then we need to make reasonable adjustments to assist them in making their complaint. Guidance on assisting people with disabilities can be obtained from the Equality and Diversity Unit.
You may be in a position to suggest to complainants that there are local non-statutory bodies that may be able to provide them with help and advice in making their complaint, and/or provide advocacy services for them (for example the Race Equality Council, the Lesbian Gay Bi-sexual Transgender community group, the learning disability group, women"s groups, etc). Citizens" Advice Bureaux may also be able to provide complainants with assistance in putting their complaints in writing to us. When advising complainants of such organisations, it is important to make clear that the organisation you are suggesting they may wish to contact is independent and external to the Crown Prosecution Service.
Responding in writing to complaints
In most situations, the most appropriate means of dealing with the complaint will be by way of a letter, so that there is a clear record of the points raised and the answers given. General guidance on writing letters can be found in the manual supporting the direct communication with victims initiative Communicating with Victims - a Guide.
Dealing with complaints in person
Areas/Headquarters should ensure that systems are in place to ensure the security of staff dealing with members of the public on a face-to-face basis, whether in a Crown Prosecution Service building or in court. Efforts should be made to assist complainants at court or those who attend Crown Prosecution Service premises. However, as with telephone calls, care must be taken not to discuss sensitive or confidential issues in a place in which the information could be overheard, or where there is a question as to the locus of the complainant. It may be appropriate to offer to take a note of the complainant"s requests or queries and contact them later with answers by telephone or by letter.
Complaints which are not case related
Although the majority of complaints will relate to a specific case, there will inevitably be those relating to other issues. These should be directed to the most appropriate section for response, not necessarily within the Area. Therefore, if the complaint relates to financial matters, for example the non-payment of witness expenses, or personnel issues, it should be directed to the Service Centre Manager. This should be considered the first tier response, the second tier being the Chief Crown Prosecutor from the originating Area.
Area or Headquarters staff should deal with complaints received about national policy, but must be careful to ensure responses are in line with national policy and should therefore liaise appropriately. In addition, Areas should notify the appropriate HQ Directorate of recurring policy complaints. In London, the larger metropolitan Areas and Headquarters, equality and diversity staff are available to brief colleagues about relevant equality and diversity matters.
Allegations of criminal conduct or misconduct by staff
When an allegation of criminal conduct is made against a Crown Prosecution Service employee, the complainant should be told that the Crown Prosecution Service cannot investigate such allegations, and that they should contact the police.
Allegations of misconduct of a disciplinary nature, which may include allegations of discrimination, must be dealt with in accordance with the Personnel Management Manual.
When criminal misconduct is alleged against the police, the complainant should be advised to contact the Chief Constable for the relevant police force or the Independent Police Complaints Commission.
Complaints concerning other organisations
It is always helpful to outline the role of the Service, distinguishing where necessary between the roles of the various agencies within the criminal justice system. Many complaints arise because the functions of the different agencies are not widely understood by members of the public.
Our response should be careful not to criticise the conduct of other criminal justice agencies. If it appears that the true grievance lies with another agency or its staff, the respondent should acknowledge the complaint and where appropriate forward it to that agency, inviting a direct response to the complainant. However, the issues raised in the complaint may relate to a number of organisations. In those circumstances, it may be appropriate for contact to be made separately with each organisation or for advice to be given to the complainant on who they should contact in relation to each of the issues they raise.
Complaints which relate to the professional conduct of a third party undertaking work for the Crown Prosecution Service, for example counsel and or a solicitor agent, should, where appropriate, be referred to the relevant professional body. Guidance on this point may be obtained from the Correspondence Unit, who will also advise on any inquiries that the Crown Prosecution Service should undertake to validate the complaint.
Complaints from victims or families of victims
It is essential that victims or their families are treated with the utmost sympathy. Losing a spouse, relative or friend, or suffering personal injury or financial loss may often lead to a sense of bewilderment, anger or deep personal distress when expectations about the conduct or outcome of criminal proceedings cannot be fulfilled.
If anger or hostility is expressed, try to see it in the context of the suffering the victim is experiencing. However hurtful or unfair the comments may appear, it is all the more important - within reasonable limits - that a sympathetic and considered response is given.
Although the eventual outcome of a particular case may be seen as unsatisfactory to the victim or their family, a full explanation may generate an understanding of the significant factors on which our decisions are based. It also conveys the sense of careful and individual consideration of the complaint, which the victim or their family may feel has been lacking. In some cases, it may be a good idea to suggest that the complainant contacts a support agency, or they can be referred to leaflets or other information which may assist.
If a victim expresses disappointment with a decision when responding to a letter sent out under the Direct Communications with Victims Initiative, the complaints procedure will not be engaged. The complaints procedure will only be engaged if the victim is dissatisfied (rather than disappointed) after appropriate explanations for the decision have been provided, either in writing or during the course of a meeting.
The Direct Communications with Victims manual offers guidance on communicating with victims and their families in cases where charges have been dropped or substantially altered.
Complaints about the decision not to prosecute
Where the complaint relates to the decision not to prosecute and a time limit applies to any of the offences under consideration, the complaint should be fast-tracked through the complaints procedure so that the deadline for bringing a prosecution is not missed. If the complainant remains unhappy with the reply sent in accordance with the first tier, the relevant Chief Crown Prosecutor/Headquarters Director should review all the available evidence. If they are content that the correct decision was made, they should submit a report, along with the case papers and all the correspondence, to the Correspondence Unit, who will arrange for the matter to be referred to a senior member of staff (for example a Chief Crown Prosecutor/Sector Director in London/Headquarters Director/Senior Civil Servant) immediately.
Complaints from defendants
A defendant claiming that his or her conviction is unsafe should be advised to seek independent legal advice on any right of appeal they may have or on whether their case should referred to the Criminal Cases Review Commission. The reply should be provided quickly, so that the bringing of an appeal is not jeopardised where tight time limits may apply.
Defendants in pending cases or a convicted defendant taking steps to appeal against their conviction and/or sentence should be informed that the Crown Prosecution Service cannot comment on the case and that they should consult with their legal representatives on what, if any, action can be taken.
Vexatious litigants
A "vexatious litigant", according to section 42 Order of the Supreme Courts Act 1981, is someone who "habitually, persistently and without reasonable ground" institutes civil or criminal or all types of proceedings. Vexatious litigants are declared as such by the Divisional Court, following an application by the Treasury Solicitors on behalf of the Attorney General or the Solicitor General.
Vexatious litigants are entitled to have full access to our complaints procedure. However, their complaints can be fast-tracked through the complaints procedure, when the complaint relates to the decision not to prosecute and the vexatious litigant is the victim/witness. In these circumstances, if the vexatious litigant remains unhappy with the reply sent in accordance with the first tier, the relevant Chief Crown Prosecutor/Headquarters Director should review all the available evidence. If they are content that the correct decision was made, they should submit a report, along with the case papers and all the correspondence, to the Correspondence Unit, who will arrange for the matter to be referred to a senior member of staff (for example a Chief Crown Prosecutor/Headquarters Director/Senior Civil Servant) immediately.
You can access a list of vexatious litigants on the Court Service"s website: www.courtservice.gov.uk.
Correspondence from jurors
If you receive correspondence from a juror, then you should immediately pass it to the crown court which dealt with the case. You should not acknowledge/respond to the correspondence as it is not appropriate for the Crown Prosecution Service to enter into any dialogue with jurors, even after the conclusion of a case. The Area that dealt with the case should then provide the court with any information they require (ie a background note) to assist them in answering the correspondence.
Dissatisfied complainants
Despite every attempt to ensure care and consideration of complaints, there may unfortunately be occasions when a complainant remains dissatisfied with explanations given and action taken. Before referring a complaint to the second or third tier, care must be taken to ensure that all the issues have been dealt with and that continued dissatisfaction does not stem from any inadequate response to the original complaint. All responses to a complainant, from whatever level, must be fully researched to ensure accuracy.
Situations may arise where it is felt that no useful purpose would be served by continuing with the correspondence. However, the decision to terminate correspondence may only come from the Director or Chief Executive and complainants should therefore be directed to the Correspondence Unit. The third tier response to the complaint should aim to bring the correspondence to a close.
Abusive complainants
It is essential to maintain a professional manner when dealing with complaints, whether by telephone, in writing or during the course of a meeting. It often happens that people under stress or who are feeling angry or upset react in an abusive or aggressive way to a member of staff with whom they are dealing. It is important that that member of staff does not also become aggressive or angry, as this will inevitably exacerbate the situation.
Having said this, however, a balance must be drawn between the ability and desire to assist a complainant and what can reasonably be achieved in the circumstances. The personal safety of staff must also be taken into account. Under no circumstances should the safety of staff be compromised, so careful planning should be undertaken prior to arranging any meeting. Steps should also be taken to ensure protection in court buildings or other places where it is likely or possible that staff and potential complainants can meet unexpectedly. General guidance on holding meetings can be found at chapter 7 of the manual Communicating with Victims - a Guide.
Where a complainant demonstrates an unacceptable level of abuse or aggression during a telephone conversation, consideration can be given to terminating the call, although this must be done politely and with a warning that this course of action is intended unless the behaviour demonstrated by the complainant changes.
In meetings or telephone conversations where aggression or a high level of distress is demonstrated by the complainant, it may be appropriate to advise them that you do not intend to continue at that time, although you will continue the conversation at another time when they are less distressed. The decision to end a conversation or meeting should always be clearly and fully explained, so that the complainant can in no way feel that they are being dismissed or their complaints ignored, or that they are to blame for the fact that the contact with them is being ended at that time.
Where letters are concerned, it is acceptable not to reply at all to letters whose content is predominantly abusive or threatening, but to leave them on file with a note explaining that no reply has been sent and the reasons why. Alternatively, it may be appropriate to respond to the complainant explaining that their tone was unacceptable and that further correspondence will not be entered into unless the complainant amends their tone.
It should be borne in mind that there are some medical conditions (for example Alzheimer"s" disease, some forms of Asperger"s syndrome, and diabetes) which can make it difficult or impossible for people to communicate effectively, without giving the appearance of being verbally abusive or aggressive. Some mental illnesses, and some prescription or other pharmaceuticals can cause similar effects. Some people with learning difficulties, and others who feel severely marginalised may also find positive formal social communication a challenge.
It is therefore important to study any such communication carefully, and to ensure that if it raises a genuine issue, that the issue is addressed in a careful and considered manner.
If an individual is threatening or abusive, if it is felt that a risk to the safety of staff may be present, or if a physical assault occurs, the matter should be reported to the police. Abuse or physical assault against a member of staff should also be reported to the Departmental Health and Safety Officer. Advice on Health and Safety Matters can be obtained from the Departmental Health and Safety Officer, and advice on security matters may be sought from the Departmental Security Officer at Headquarters.
Campaigns
Some cases may generate excessive volumes of campaign correspondence. It may be appropriate to devise a standard response to be sent to all correspondents or to write to the organisation or individual managing the campaign to explain the position. There may come a point where the benefit of replying is outweighed by the cost to the Service and to the public at large and responses should no longer be sent. Advice on campaign correspondence can be sought from the Correspondence Unit.
Dealing with correspondence from Members of Parliament
Guidance on the procedures for handling correspondence from Members of Parliament, Members of the European Parliament, Members of the Welsh Assembly and Members of the Scottish Parliament can be obtained in the first instance from the Briefing for Parliament Guide or if the issue raised is not covered in the guide, from a member of the Correspondence Unit.
However, there may be occasions when correspondence is received from a Member of Parliament on behalf of a complainant and from the complainant personally at the same time. In these circumstances, it is important to reply fully to the complainant and to send a shorter reply, together with a copy of the letter to the complainant, to the Member of Parliament. You should familiarise yourself with the Briefing for Parliament Guide.
Meetings
There are circumstances in which it would be appropriate to offer a meeting with a complainant, in order to ensure that they feel they have had the opportunity to fully explain the reason for their complaint. This also gives the Service an opportunity to explain its actions, role and responsibilities and to take steps to improve service if necessary. A meeting can often take the place of voluminous correspondence and resolve a complaint more quickly than correspondence would. However, a degree of caution should be exercised when determining when a meeting should be offered, and all necessary steps should be taken to ensure the safety and security of staff during any such meeting.
General guidance on holding meetings can be found at chapter 7 of the manual Communicating with Victims - a Guide.
Civil claims/compensation claims
Where notification has been received from a complainant that they intend or wish to take civil legal action against the Crown Prosecution Service, or that they wish to be paid compensation, the matter should be referred to the Casework Directorate Secretariat at Headquarters so that legal advice can be obtained and instructions given as appropriate. Further guidance on this subject is contained in the Prosecution Manual chapter, Civil Proceedings against the Crown Prosecution Service, elsewhere in this guidance.
It should be noted that, where notification has been received that a complainant intends to institute civil action against the Crown Prosecution Service, consideration of any outstanding complaints should cease. Complainants should be advised that any outstanding matters will be considered at the appropriate level of the complaints procedure once any civil action has finished.
Race Relations Act
Under the Race Relations (Amendment) Act 2000, the Crown Prosecution Service has a statutory duty to promote race equality and to eliminate unlawful racial discrimination. Discrimination in service delivery takes place when people from some racial groups are treated less favourably than others.
The Race Relations (Amendment) Act 2000 extends the scope of the Race Relations Act 1976 and outlaws race discrimination by public authorities in any of their functions. The remedy for a breach of the law lies in the civil courts.
A potential claimant can submit a form to a prospective respondent under section 65 of the Race Relations Act 1976. By virtue of the Race Relations (Amendment) Act 2000, the respondent could be a member of Crown Prosecution Service staff. A failure to respond, an evasive or equivocal response or a late response could allow the civil court to draw an adverse inference. The Race Relations (Amendment) Act 2000 does allow public prosecutors or investigators to decline to answer the questionnaire in certain circumstances relating to criminal proceedings.
Strict time limits apply to responding to the questionnaire. If such a questionnaire is received, it should be referred immediately to the appropriate Unit Head, who should make the relevant Chief Crown Prosecutor or Headquarters Director aware. Casework Directorate deal with civil claims and should be notified immediately, as should the Equality and Diversity Unit. Full guidance can be found in Casework Bulletin No. 14 of 2001.
Deciding whether or not the receipt of such a questionnaire amounts to a complaint (rather than a request for information) will depend on the circumstances in which it is received. It may be advisable to enter the case in the complaints register in order that it can be easily identified.
Requests for information under Data Protection Act (DPA) or Freedom of Information (FOI) legislation
Information Management (DPA/FOI officer) at CPS Headquarters handle requests for information under the Data Protection Act and can give assistance on the handling of a request for information which falls within the Freedom of Information Act. Such requests take precedence over complaints, given the strict timescales involved and the need to examine the relevant papers. Any such requests should therefore be actioned immediately. Please note the time limit for Data Protection Act subject access responses is 40 days. Subject access forms are available on the Crown Prosecution Service internet site. The time limit for requests under the Freedom of Information Act is 20 working days (guidance is available in Essential Guidance on the Freedom of Information Act 2000, elsewhere in this guidance> and Freedom of Information chapter, elsewhere in this guidance.
However, it is quite likely that such a request will form part of a wider complaint, and it is important that both issues are dealt with as soon as possible. In these circumstances, where a request under the Data Protection Act is made, it would be appropriate to forward a copy of the correspondence to Information Management to allow them to deal with it, while the complaint is dealt with by the Area. However, there may be occasions where, due to the volume of the papers, it is not practicable to copy the papers and so the Data Protection Act request must be dealt with first. In these circumstances, the complainant should be advised that their complaint will be considered at the appropriate level of the complaints procedure, once their requests for information have been resolved.
Monitoring
Monitoring complaints is essential if we are to gather information on the quality of the service we provide. It is important for us to know how our service is perceived, what we can do to improve and how we can help those who come into contact with us. As well as acting as a useful management tool, information showing national and Area trends can help us focus on developing solutions to particular needs.
Monitoring the number of complaints received by the Crown Prosecution Service and the timeliness of our responses is currently carried out by Business Development Directorate at Headquarters. Information is also collected in relation to our performance target objectives, particularly about the treatment of victims and witnesses.
However, each Area must also review its complaints handling to monitor the timeliness and quality of their replies and to discern any pattern or other issues, which require remedial action.
Useful References
Complaints leaflet
Communicating with Victims - a Guide
Care and Treatment of Victims and Witnesses, elsewhere in this guidance
www.courtservice.gov.uk
Briefing for Parliament Guide
Civil Proceedings against the Crown Prosecution Service, elsewhere in this guidance
Essential Guidance on the Freedom of Information Act 2000, elsewhere in this guidance
Freedom of Information chapter, elsewhere in this guidance
Disclosure to third parties