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Delivery – guidance and training
168.During our inspection, we considered the guidance and training available to staff to support them to respond to enquiries effectively.
Guidance
169.All COPFS guidance and policies apply as much to Enquiry Point staff as they do to staff in other areas of the service. Here, we have considered specific examples that are most relevant to supporting staff to respond to enquiries.
170.Many enquiries are from victims and witnesses seeking information about the case in which they are involved. COPFS has a Victim and Witness Manual, Chapter 8 of which addresses the information that can be provided to victims and witnesses. This applies to all staff, although the chapter also includes a section specific to Enquiry Point. Chapter 8 should be a useful, comprehensive source of guidance on what information can and cannot be shared by staff. However, it appears not to have been updated for several years. Its contents do not reflect the latest developments or current practice. Moreover, many Enquiry Point staff we interviewed were not aware of it and never used it to guide their work. Instead, they told us they relied on an internal Enquiry Point Directory.
171.It is essential that victims and witnesses are provided the information to which they are entitled. For example, section 6 of the Victims and Witnesses (Scotland) Act 2014 imposes a duty on COPFS to disclose information about criminal proceedings to specified persons, including victims and witnesses. All staff, including Enquiry Point operators, require to be aware of their obligations. It is also essential that staff do not share information about a case that is not suitable for disclosure.
172.Guidance such as that in Chapter 8 of the Victim and Witness Manual should be a tool to support operators to do their job well. However, to be effective, guidance must be up to date, known about, useable and accessible, and its relevance to the work of Enquiry Point should be clear. It must not only set out COPFS’s statutory duties and the rights of victims and witnesses, but must reflect current working practices and information sharing protocols with partner organisations. There is currently a gap in the guidance available to all staff that requires to be addressed. Chapter 8 should be revised.
Directory
173.To support its staff, Enquiry Point has created an electronic Directory. The Directory is in two parts:
(a) guidance on legal processes and a range of other issues which may be the subject of enquiries
(b) ‘contact sheets’ setting out contact information for all local COPFS offices and specialist teams.
174.The Directory is used daily by operators. They find it an invaluable source of guidance but said it takes time to learn how to navigate the range of information stored.
(a) Directory guidance
175.The Directory guidance has developed piecemeal over the years. It has been added to as legal or policy developments have occurred, or as novel enquiries have emerged and advice has been sought on how to manage them. Various staff within and outwith Enquiry Point have contributed these additions. We heard that while it contains useful information, the lack of structure makes it difficult for operators to find the information they require. Some operators did not find the guidance clear, while others said it was easier to ask a manager for advice. Less experienced operators tended to rely on the guidance more than experienced colleagues.
176.Some operators felt that as well as guidance, they would benefit from a wider list of ‘prompts’ about what to say or not say in response to enquiries about particular issues. Some contact centres provide staff with scripts when dealing with callers. There was a feeling in Enquiry Point that scripts would be too prescriptive and not account for the variety of circumstances dealt with by operators, but that a list of suggested prompts would be helpful.
177.The guidance could also be used to more effectively support training – to ensure operators have a minimum level of knowledge before they begin managing enquiries, and to help familiarise them with the guidance so they know how to navigate it efficiently while dealing with a live enquiry.
178.While the guidance can be a useful tool for operators, we were concerned that its contents had not been reviewed to ensure it is consistent with current COPFS policies and processes, and had not been corporately approved. The manner in which the guidance had developed, and the lack of review and approval, meant some information was out of date or incorrect. Coupled with the out of date Chapter 8, the lack of effective guidance for operators risks those making enquiries being poorly advised.
179.While we thought operators often provided good responses to enquiries, it was clear from our audit, our observation of call handling and our interviews that there were areas where operators were less knowledgeable or less confident of their knowledge. Operators may benefit from additional guidance (and training) in relation to:
- case management systems and fixes to address frequent problems
- what information can be shared about the charges in a case
- how much information should be shared when a witness asks why they have been cited to give evidence. Providing too much information can risk tarnishing the evidence and consideration could instead be given to allowing witnesses the opportunity to view their statement
- warrants, including the information that can be shared with defence agents about outstanding warrants
- how to respond to email enquiries from partner organisations. Explaining to operators why the information is sought, for example, may help operators improve their responses. We understand that some work is already underway within Enquiry Point in this area, which we welcome.
Recommendation 6
In relation to guidance, COPFS should:
(a) review Chapter 8 of its Victim and Witness Manual, ensuring it is up to date and clearly sets out COPFS’s duties and expectations of staff, including those working in Enquiry Point. The review of Chapter 8 should take into account current working practices
(b) review the guidance used internally by Enquiry Point to ensure it is accurate, consistent with COPFS policy and procedures, and corporately approved. Consideration should be given to the process by which future changes will be made.
(b) Contact sheets
180.The contact sheets not only set out the contact information for all local COPFS offices and specialist teams, but also provide instructions on which individuals or teams are responsible for what matters, and how and in what circumstances they can be contacted for assistance. The instructions are voluminous and complex. Some teams specify that they prefer emails to phone calls, or that they only accept phone calls about urgent matters. Some teams specify that only the hunt group should be contacted, while others specify individual staff members. Some request emails be sent to an office mailbox, while others specify an individual’s mailbox, or that all emails should be sent to every individual in a team.[29]
181.Designated Enquiry Point staff are responsible for ensuring the contact sheets are up to date. These staff are advised by operators if they find any out of date information. They also liaise with managers across COPFS to ensure the information held is accurate. This is a continuous process, as staff move teams or change responsibilities, and as local and specialised teams change how they work. While Enquiry Point staff ask team managers across COPFS to check the accuracy of the contact sheets every three months, the onus is also on those managers to proactively update Enquiry Point following any change. This does not always happen, causing difficulties for operators and impacting the quality of service delivered to the public.
182.Local teams may request that an instruction be added to the contact sheet temporarily. We heard of one team that requested no telephone contact at all from operators due to a lack of staff. We found that these temporary instructions were not always revoked when the situation giving rise to them resolved. For example, due to a lack of staff, the VIA team in one area was temporarily unavailable. The contact sheets were updated to instruct operators to contact another VIA team who would assist instead. During our inspection, we noted that the instruction was still in place, despite the first VIA team having been sufficiently staffed and available to take calls for some months.
183.We were concerned that these temporary instructions were not always visible to senior managers and that there was not sufficient oversight of local teams limiting their availability to assist operators in responding to enquiries.
184.The contact sheets highlight the varied ways in which local offices and specialist teams operate. It is understandable that teams across COPFS organise their business in a way that takes account of local needs, resources and case volumes. However, these local variations present challenges when they interact with a national service such as Enquiry Point. Enquiry Point (and other teams) expend considerable resource on maintaining the contact sheets. Identifying the correct team or person to contact, and the correct method of contact, is a challenging and time consuming task for operators. Moreover, it adds to the time the caller waits for a response to their enquiry, and exacerbates the difficulties operators experience when trying to transfer callers to other teams (see paragraph 270). These challenges were previously highlighted in the 2015 external review of Enquiry Point. That review suggested that local procurator fiscal offices simply have two phone numbers for use by operators. It would be for the local office to determine how calls received by those numbers were subsequently handled, rather than the operator. This approach has been piloted recently in Dundee (see paragraph 301).
185.While local procurator fiscal offices will necessarily be organised differently in response to local needs and the volume of work, they should consider how to make themselves more accessible to Enquiry Point and, ultimately, the public.
Recommendation 7
To improve the efficiency of enquiry handling, COPFS should explore the feasibility of standardising how Enquiry Point contacts local offices and specialist teams. Where local offices and specialist teams restrict their availability to Enquiry Point, there should be oversight at a senior level.
Unacceptable actions
186.On joining Enquiry Point, all operators are advised of and trained on COPFS’s Unacceptable Actions Policy. This policy, applicable across COPFS, is particularly relevant to those who routinely engage with members of the public.
187.While all staff are expected to treat members of the public with courtesy, respect and dignity, the Unacceptable Actions Policy recognises that individuals making contact with COPFS may act out of character while distressed and may direct unacceptable behaviour towards staff. The policy outlines types of unacceptable behaviour and how staff should respond. One option available to Enquiry Point operators is to terminate a call. All staff are authorised to deal immediately with aggressive or abusive behaviour in line with the policy. Decisions to restrict an individual’s contact with COPFS – for example, after a pattern of abusive behaviour – are taken by a more senior manager. In Enquiry Point, such decisions are made on a case-by-case basis and the system can flag future calls from the same person. In such cases, the operator can request assistance from a manager.
188.Operators were familiar with the policy and they highlighted the triggers that may prompt the policy being invoked, such as shouting and swearing. Operators were also understanding of the difficulties faced by callers and were reluctant to invoke the policy too readily. Some operators said they had felt authorised to invoke the policy but felt confident in their ability to speak to distressed individuals, calm the situation and provide the support and information needed. In our audit, we observed no examples of the policy being invoked, despite operators dealing with some challenging calls.
Policy and practice changes
189.COPFS frequently requires to advise staff of developments in law or policy that require changes to staff practice. These updates are published on the intranet and may also be circulated to managers. Enquiry Point managers seek to bring these updates to the attention of staff by email and during team meetings. However, all the operators we interviewed said they struggle to keep up to date with changes. Because they are continuously responding to enquiries, they have little or no time to read the latest updates. To ensure operators deliver an effective service, we consider it essential that they have regular allocated and protected time in which to read about developments and consider how their work is affected.
Support
190.Operators we interviewed highlighted the important role played by managers in Enquiry Point. They felt managers were always on hand and were a useful source of guidance and support.
191.At the time of our inspection, all managers were former operators. This meant they had good experience of responding to enquiries, but less experience of how COPFS works in other areas. Managers are also not legally qualified. There are some enquiries that would benefit from legal expertise, yet this is not readily available within Enquiry Point. One option is to designate a prosecutor who is available to support operators with legal queries. This prosecutor could be based in Enquiry Point or remotely, and could be tasked with other work at the same time as supporting operators. They could also assist with drafting and approving internal Enquiry Point guidance. We understand such an arrangement has been trialled successfully in the past, although it was not clear why it had not continued. Some case-specific queries would still require the support of a local or specialist prosecutor familiar with the case, but having dedicated legal support would allow for more enquiries to be resolved by Enquiry Point at first point of contact.
Recommendation 8
COPFS should consider designating a prosecutor who can be readily available to support Enquiry Point with legal support and advice.
Training
192.The vast majority of operators join Enquiry Point from outside COPFS. Most have no experience of working in the criminal justice system. Effective training is therefore critical in ensuring they have the skills and knowledge to deal with the broad range of enquiries managed by operators each day.
193.New entrants to COPFS undergo a range of mandatory training irrespective of their role. This training covers some issues that are particularly relevant to the work of Enquiry Point, such as ‘COPFS commitment to victims and prosecution witnesses’ and ‘Unacceptable Actions Policy’. Almost all of this training is delivered via e-learning.
194.While there is a good range of e-learning modules, much of the content is not specifically designed for an Enquiry Point operator’s role. When completed in their first few weeks of employment, operators can find it hard to contextualise the training and understand how it relates to their role. The lack of tailoring and context, coupled with the modules often being completed in continuous blocks during a new entrant’s first few weeks, mean some staff find it difficult to understand and retain the information. E-learning also limits opportunities to ask questions.
195.Some newly appointed staff we interviewed were unsure if they had completed all the relevant or required e-learning. It appeared they had no individual training records. We heard that COPFS has recently launched a new online training portal which should make it easier for staff to access and record training completed. This is a welcome development. We will consider its implementation in future scrutiny activity.
196.The e-learning completed by all new staff forms part of a wider initial training programme for operators that is designed and delivered in-house by Enquiry Point managers. This work is done collectively and is demanding – the high turnover of operators means the recruitment, induction and training of staff is an almost continuous endeavour. Given the importance of training to delivering the Enquiry Point service, we consider it a missed opportunity that no one manager takes the lead on training. This would help ensure training receives the focus it requires, and would be a useful development opportunity for the manager with lead responsibility.
197.Given the importance of Enquiry Point to the work of COPFS and its strategic objectives, we were surprised there was no corporate input to or oversight of operator training. While COPFS has a Scottish Prosecution College which leads on staff training and development, it currently has no remit in relation to training operators. This means there has been no input from specialist learning and development staff to the initial training programme. Even if the content is provided by Enquiry Point managers, specialist staff should be able to assist with how to improve the design and delivery of the training programme. They could, for example, help managers explore other training approaches such as scenario-based learning, role play and testing knowledge. While Enquiry Point managers have done their best to develop the programme, there is scope for improvement.
Content of operator training
198.We heard that the initial training programme for operators should be five weeks. Those we interviewed had experienced initial training programmes of varying length. We heard the length of the programme was sometimes changed not due to their learning needs, but due to a lack of staff in Enquiry Point. This meant new staff experiencing a curtailed programme and becoming operational earlier than planned.
199.The training programme we saw lacked detail about the content of the training to be delivered. While it specified some areas of learning – such as suicide awareness, documents commonly used by COPFS and case management systems – little other information was available. Shadowing or partnering experienced operators was also a key feature of the training programme, but this did not appear to be balanced by other forms of learning.
The buddy system
200.A key component of the initial training programme is pairing new staff with an experienced operator (a ‘buddy’). The new operator initially shadows the buddy taking calls and, at an appropriate stage, the new operator can take the calls under the supervision of their buddy. There is also an interim step where the two operators can work together to answer the enquiry (for example, one speaking to the caller while the other searches systems for the information needed).
201.Buddying can be an effective means of training operators. Many operators spoke positively about their buddying experience. It can help supportive working relationships develop and new operators can draw on the expertise of colleagues and ask questions. It can also be useful development for the experienced operator and recognises their skills. Buddying is commonly used by other organisations as part of their training programmes for similar contact centre roles.
202.However, we considered there was an over-reliance by Enquiry Point on buddying as part of the training programme for new operators. The risks associated with buddying did not appear to be fully recognised and therefore buddying was not sufficiently supported or balanced by other forms of learning. We were concerned that:
- the lack of experienced staff with whom to partner new operators meant new staff were paired with inexperienced operators
- the lack or incorrect knowledge of the experienced operator can be passed on to the new operator (and perpetuated as the new operator becomes buddy to an even newer operator)
- the quality and depth of learning is dependent on the ability of the buddy to effectively communicate with and train the new operator
- the learning that takes place is entirely dependent on the enquiries received while buddying – there is no guaranteed baseline of knowledge acquired through call taking that can be achieved through other forms of learning.
203.Buddying also affects the productivity of the experienced partner, which affects overall service delivery. It can also affect their morale as they struggle to work at a slower pace or achieve their personal goals.
204.We consistently heard from Enquiry Point staff that it was preferable to ‘learn by doing’. However, this often appeared to be in a live environment, rather than scenario-based learning, role play, using recordings of past calls or practicing on training cases or systems. We also heard that it was not possible to train operators for all possible enquiries as even experienced operators dealt with novel issues. However, there appeared to be no baseline of knowledge that should be acquired by an operator, such as knowing how to deal with the most common enquiries.
205.We compared the training given to Enquiry Point operators with that in other public sector contact centres, including the Police Scotland service centre which deals with emergency and non-emergency calls. Elsewhere, it appeared there were more structured training programmes, often longer and more consistently adhered to, where testing of knowledge and skills was carried out before staff became operational. These programmes also employed a variety of training methods in addition to e-learning and buddying, such as scenario-based learning, discussion and role play. These programmes also tended to be better supported by written guidance and other training materials.
206.There is risk in new, inadequately trained operators ‘learning by doing’ in a live environment. They may provide incorrect or inappropriate information to those making enquiries. While some operators were content with the ‘learn by doing’ approach, others felt their training had not provided them with sufficient knowledge or confidence to manage enquiries. We thought operators generally dealt with enquiries well, but we also observed gaps in knowledge and errors being made that could have been avoided through better training and guidance. Operators also told us about the issues they found difficult or where they would like more training. Specific areas that require to be addressed include:
(a) contextualising general learning
(b) the criminal justice system
(c) COPFS systems and processes
(d) IT systems
(e) ongoing and refresher training.[30]
(a) Contextualising general learning
207.Some of the mandatory e-learning completed by operators would be more effective if it was properly contextualised and followed by discussion and exercises. For example, all new entrants are required to complete e-learning on data protection. Once complete, it would be helpful if operators were advised how this relates to their specific role in Enquiry Point. Further training on verifying the identity of those making enquiries could follow, with scenarios or recordings of past calls where this was done well and poorly. When we suggested this approach to operators in training, they said it would help make the e-learning more memorable and impactful.
(b) The criminal justice system
208.Most new operators have not previously worked in the criminal justice system. An operator requires to be familiar with the justice system, legal terminology and criminal procedure. We found there to be lack of formal training in these areas.
209.The operator training programme includes time for new operators to attend court and observe proceedings. This is an important element of their training, as they will often be asked by victims and witnesses for advice about attending court. However, some operators said they had never attended court. This had been part of their training that had been curtailed due to the need for them to become operational as soon as possible. Operators who had visited court described it as beneficial but some said their visit had been cut short or that it had not been sufficiently supported. For example, they had observed proceedings but no one had explained what was happening. Operators may benefit from court visits being led by an individual who fully understands and can explain court proceedings to others, such as a legally qualified member of staff.
210.Operators also expressed a desire for more training on particular aspects of the justice system, such as solemn procedure and warrants.
211.A lack of understanding of criminal justice processes contributes to operators failing to record information received during enquiries that may be needed for effective case management.
212.Some experienced operators we interviewed had completed a ‘Certificate in Prosecution Practice’. This correspondence course provides training and assessment on criminal law and procedure. It is largely undertaken in the participant’s own time but with financial support from COPFS. Feedback from those who had completed the course was very positive – they felt more confident providing information about the criminal justice process to callers.
(c) COPFS systems and processes
213.Linked to a lack of training around the criminal justice system, there also appeared to be little opportunity for operators to learn about the wider work of COPFS. Operators require to learn about the organisation, its structures, systems and ways of working. This will assist them in managing enquiries and knowing where to seek assistance if needed. Operators often speak of the benefits of other COPFS teams shadowing them so they gain a better understanding of Enquiry Point. Equally, operators should shadow those working in local offices to improve their own knowledge. Just as Enquiry Point staff have been presenting to other teams within COPFS about their work, there is scope for other teams to provide inputs to operators. This would provide helpful ongoing learning for all operators, not just those who are new.
(d) IT systems
214.Enquiry Point staff use several IT systems when managing enquiries. Some of the systems used by COPFS to manage cases are antiquated, complex and not intuitive to use. On occasion, they work differently for different staff, and staff require to learn workarounds.
215.There is training on using COPFS’s IT systems during the initial training programme. There is also an opportunity to learn more about using the systems during buddying, although some operators found it hard to follow the quick actions taken by experienced buddies during a live call.
216.Given how essential these systems are to retrieving information needed by those making enquiries, operators felt the training could be expanded. They also noted a lack of written guidance on using systems. They said it would be helpful to have access to a training or test versions of case management systems. This would allow them to practice searches, and would also allow them to be assessed on retrieving information and interpreting it correctly. Some operators with previous contact centre experience said how helpful they had found practicing on training systems when first joining other organisations.
217.Operators also frequently access an SCTS system known as the Criminal Online Portal. This is to check the outcome of court proceedings. Staff said they had not received training on this system or been provided with any written guidance.
(e) Ongoing and refresher training
218.During our inspection, we generally focused on the availability and quality of initial training for operators. There also appeared to be scope for more ongoing and refresher training for operators. Its absence may be linked to the high turnover of staff, the need for managers to focus on training new staff and the need for experienced staff to be operational whenever possible. Some more experienced staff highlighted some of the areas listed above as those in which they would welcome refresher training. This was often linked to them having experienced incomplete or curtailed initial training on joining Enquiry Point. Operators also noted that because they were continuously dealing with enquiries, they lacked time to access other COPFS training.
219.Some operators were generally happy with the training they had received, although all could identify areas for improvement. While we considered that Enquiry Point managers were doing their best to deliver sufficient training, there is clearly scope for training to be developed further. Managers would benefit from corporate support in designing and delivering the initial training programme. Some aspects of training may benefit from being delivered by a legally qualified member of staff. Staff turnover should be closely monitored and sufficient staff recruited such that initial training programmes are not curtailed due to a lack of resources and the need for new operators to prematurely ‘go live’.
220.Elsewhere in this report (paragraph 316), we also note that only experienced operators respond to email enquiries. Responding to email enquiries could form part of the training for or early work of new operators given that the responses to more complex enquiries or those that the operator is unsure of can be checked before sending. This may help build operator confidence and help them become operational quickly, but in a way where their work can be easily supervised and corrected.
221.The training of operators should be informed by user and stakeholder feedback, and the quality assurance carried out by Enquiry Point.
Recommendation 9
COPFS should review the training provided to Enquiry Point operators. The review should take account of all the training-related issues highlighted in this report.
Manager training
222.Enquiry Point operators were very positive about the support provided to them by their managers. Managers were a mix of very experienced and newly appointed managers. Those who had been more recently appointed highlighted the lack of corporate training they had received for this change in their role. The lack of management training was also highlighted by staff and managers across COPFS that we interviewed. An issue raised several times among those who worked outside of Enquiry Point was that they did not think managers tackled performance issues well, and that perhaps they needed more support to do so.
223.COPFS has acknowledged a gap in the training and development of managers. This will be addressed through its Designed for Success programme (paragraph 129), with new training courses being established to address the fundamentals of line management. We welcome this much needed initiative.
Training for non-Enquiry Point staff
224.Staff across COPFS also play a role in responding to enquiries from the public and partner organisations, including those transferred or forwarded to them which operators have not been able to resolve at first point of contact. Given the range of roles across COPFS that get involved in responding to enquiries, we have not been able to explore in detail the training provided to non-Enquiry Point staff. However, it is clear that many staff would benefit from customer service training.
225.Such training is currently available to all COPFS staff, with some being designated as mandatory. It is primarily delivered through wider government e-learning courses. These courses address communicating with customers, managing challenging customers and handling complaints. These courses are highlighted to staff during an annual ‘Customer Service Week’ and in a regularly circulated training prospectus.
226.Despite the training available, we heard that some staff working outside Enquiry Point lacked confidence when dealing with members of the public. For some, this contributed towards their reluctance to accept transferred calls from Enquiry Point. There was a real desire for more training on customer service including supporting victims and witnesses specifically and issues such as supporting customers with poor mental health.
227.Given that one of COPFS’s key transformation priorities is to improve how it communicates with customers and partners, we consider that more could be done to support staff to deliver effective customer service. We understand that COPFS is currently exploring this further, which we welcome. We believe improved customer service training across COPFS will support staff to feel more confident responding to enquiries and that this will in turn help reduce the transfer difficulties experienced by operators.