Thematic report on the Victims' Right to Review and complaints handling and feedback follow-up report

1

In its revised complaints and feedback policy, COPFS should also include the following:

• a reference to COPFS core values – being professional and showing respect;
• a reference to COPFS Standards of Service for victims and witnesses;
• a diagrammatic representation of the complaints and feedback process, eg a flow chart;
• a standard complaint form; and
• a list of potential remedies/outcomes and a request to the complainant to specify which remedy/outcome they seek, eg an explanation or corrective action.

Action taken

Following consultation with the Scottish Public Services Ombudsman (SPSO), COPFS published a revised Complaints Handling Procedure (CHP) ^[77] in September 2017.
It was circulated to all COPFS staff via the COPFS intranet (PF Eye).

The revised policy includes:

• A reference to COPFS core values – being professional and showing respect – and COPFS Standards of Service for Victims and Witnesses. ^[78]

• A diagrammatic flowchart explaining the complaints and feedback process.

• Guidance on how to make a complaint, including what information is required from the complainant and an example of how a complaint may look.

• Guidance on potential remedies/outcomes and a request to the complainant to specify which remedy/outcome they seek, for example, an explanation or corrective action.

A standard complaint form has been finalised and will be accessible via the COPFS internet imminently. An online function for the transmission of complaints is under development.

Achieved

2

COPFS should include guidance on the inappropriate use of social media in the unacceptable actions section of the complaints and feedback policy.

Action taken

Reference to conduct that may constitute abusive behaviour has been incorporated into the Unacceptable Actions section of the CHP.

Achieved

3

The Response and Information Unit (RIU) should undertake an options appraisal/value for money analysis of their complaints handling system and introduce a single system to record, monitor, analyse and manage complaints handling.

Action taken

A revised system to record, monitor, analyse and manage complaints handling has been approved by the COPFS Business Improvement Committee (BIC). It is, however, one of a number of IT priorities that is awaiting approval for development.

Meantime, COPFS is exploring other options including the possibility of utilising the functionality of a system currently being developed by the Scottish Government to record and manage correspondence, including complaints.

In progress

4

COPFS should review the role of the Area Co‑ordinators and issue revised guidance on the use of the complaints management system.

Action taken

Within the new Local Court Function, which attracts the bulk of complaints, Area Co-ordinators have been replaced by local management teams. To streamline procedures, a protocol has been agreed, setting out the responsibilities of RIU and the local court management support teams in allocating, co-ordinating and managing complaints.

In the specialist teams, where there is greater ownership of cases, RIU can easily identify the appropriate person to contact.

Achieved

5

Complaints and feedback should be a standard item discussed at team briefings.

Action taken

All upheld and partially upheld complaints are shared with the senior legal managers and management teams in each function. The legal managers are responsible for raising any systematic issues at local management team meetings.

Engaging staff in identifying measures to improve service is a priority for COPFS. The absence of a systematic mechanism to capture feedback on customer service issues, including complaints, from team briefings and local management meetings is an action that requires to be progressed by the SIB.

In progress

6

RIU should provide feedback to the Operational Boards on the compliance of the offices and Federations to provide information to RIU within internal timescales.

Action taken

RIU provides a monthly performance report to the head of each function and the Operational Performance Committee ^[79] on workload, outcomes and trends, chaired by the Deputy Crown Agent of Serious Casework.

It provides a breakdown of:

• The number and nature of complaints;
• Complaints upheld or partially upheld;
• Compliance with internal timescales; and
• Any action or outcome.

Achieved

7

COPFS should strengthen procedures to ensure that complainants are provided with progress updates in line with COPFS complaints and feedback policy.

Action taken

Between April 2017 and March 2018, RIU responded to 78% of formal complaints within 20 working days. ^[80]

We reviewed all new complaints received in November 2017. In 66%, responses were issued within 20 working days. Of those that were issued more than 6 days after 20 days, ^[81] a holding reply was issued to the complainant in 90%.

Achieved

8

RIU should provide responses in plain English and, in particular, should avoid using legal and procedural jargon without adequate explanation.

Action taken

We conducted a dip sample of 32% of new complaints received in November 2017. ^[82]

All responses provided a detailed explanation addressing all issues raised and in general avoided legal terms or jargon. Where appropriate, the replies were empathetic and the complaint was upheld.

Achieved

9

The COPFS Customer Service 'Champion' should embed complaints handling as a key indicator of customer satisfaction and promote organisational learning from complaints.

Action taken

The COPFS Customer Service 'Champion' is the Chair of the newly established SIB.

It is envisaged that the SIB will promote and drive the Service Improvement Strategy that aims to engage employees to deliver excellent customer service to anyone who comes into contact with COPFS;

The remit of the SIB includes:

• Reviewing complaints data and identifying thematic issues.
• Commissioning Functional or Departmental action to deliver service improvement.
• Agreeing and monitoring progress of any Service Improvement KPIs.
• Approving the publication of the annual COPFS Comments and Complaints Report.
• Reporting quarterly to the Executive Board, including a detailed analysis of complaints, performance to date and lessons learned.
• Reporting quarterly to the Risk Management Committee on any corporate risks identified through complaint analysis and actions to mitigate such risks.

In progress

10

COPFS should issue guidance on complaints handling to all staff.

Action taken

A step by step guide for staff on dealing with complaints was issued in June 2016.

Achieved

11

COPFS should ensure that all staff who have direct contact with members of the public complete the Delivering Customer Service courses. The e-learning Delivering Customer Service module should be included as part of the COPFS induction process.

Action taken

The Delivering Customer Service module is included as part of the induction process.

A bespoke customer service training course – First Impressions – is also being rolled out. Participants who complete the course receive an industry recognised qualification in customer service. It aims to provide confidence to deal with frontline resolution of complaints and to harness ideas from the participants on how to improve service for those who come into contact with COPFS.

COPFS has trained a member of their People and Learning team to deliver the training to other staff.

Achieved

12

COPFS should include the complaints handling process as a specific control in the COPFS Risk Register.

Action taken

The complaints handling process is included as a specific control in the COPFS Risk Register.

Achieved

13

The remits of COPFS Operational Boards should include a specific reference to monitoring and learning from complaints.

Action taken

The role of the Operational Boards has been superseded by the SIB. The remit of the SIB is set out at Recommendation 10 and includes specific reference to analysing complaints to identify thematic issues, corporate risks and lessons learned.

Achieved

14

COPFS should introduce a system to record, analyse and report on complaint outcomes, trends and improvement actions.

Action taken

As discussed at Recommendation 6, RIU collates and circulates monthly management information on complaints to functional heads and the Operational Performance Committee. The information has not been systematically analysed to inform actions and to provide evidence of lessons learnt.

The new SIB has been tasked with utilising the data to provide an analysis of complaints, identify trends and most importantly identify risks and improvement actions.

Strategic use of such information will in turn inform lessons learnt.

Not progressed

15

COPFS should establish a set of key performance indicators to measure complaints handling performance and drive improvements.

Action taken

The remit of the recently established SIB provides that it will:

• Where appropriate, agree Service Improvement Key Performance Indicators (KPIs).
• Monitor progress of any agreed KPIs.

Any KPIs have still to be agreed.

Not progressed