Complaints Handling Procedure

September 2017

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Foreword by David Harvie, Crown Agent

The Crown Office and Procurator Fiscal Service (COPFS) is Scotland's prosecution
service.

We act independently and impartially in the public interest. We are responsible for the
investigation and prosecution of crime in Scotland, the investigation of sudden or
suspicious deaths and the investigation of criminal allegations against the police.

We are committed to playing our part in making Scotland a safer place to live and
engaging with communities to understand their needs and priorities.

We recognise that a key element of achieving those aims is listening to those who are, or
have been, affected by the work that we do.

We want to hear about your experiences of dealing directly with COPFS, good or bad, or
how you have otherwise been affected by our service. We can learn from your experience.

Tell us what has gone well. We want to identify good practice within COPFS and ensure
best practice is spread across the whole of the organisation.

We also want to put things right, if possible, when something goes wrong.

The Complaints Handling procedure will help us listen, respond and improve.

Crown Agent

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Contents

How to use this Complaints Handling Procedure ……………………………………………………4

What is a complaint? ............................................................................................................ 5
Handling anonymous complaints ....................................................................................... 6
What if the person does not want to complain? ................................................................ 6
Who can make a complaint? ............................................................................................... 6
Complaints involving more than one service or organisation.......................................... 7
The complaints handling process......................................................................................... 8
Stage one: frontline resolution .......................................................................................... 9
What to do when you receive a complaint ................................................................... 10
Timelines .................................................................................................................... 11
Extension to the timeline ............................................................................................. 11
Closing the complaint at the frontline resolution stage ................................................ 12
When to escalate to the investigation stage ................................................................ 12
Stage two: investigation ................................................................................................... 13
What to do when you receive a complaint for investigation ......................................... 13
Timelines ............................................................................................................................ 14
Extension to the timeline ................................................................................................. 14
Closing the complaint at the investigation stage.......................................................... 15
Independent external review ....................................................................................... 15
Governance of the Complaints Handling Procedure ........................................................... 16
Roles and responsibilities................................................................................................. 16
Complaints about senior staff........................................................................................... 18
Recording, reporting, learning and publicising ............................................................... 18
Recording complaints ................................................................................................. 18
Reporting of complaints .............................................................................................. 19
Learning from complaints ............................................................................................ 19
Publicising complaints performance information ......................................................... 20
Maintaining confidentiality ................................................................................................ 20
Managing unacceptable behaviour .................................................................................. 20
Supporting the person ...................................................................................................... 21
Time limit for making complaints ..................................................................................... 21
Appendix 1 - Complaints .................................................................................................... 23
Appendix 2 - What is not a complaint ................................................................................. 25
Appendix 3 - Timelines ....................................................................................................... 26
Appendix 4 - The complaints handling procedure............................................................... 31
Appendix 5 - Useful Contact Details…………………………………………………………………..32
Appendix 6 – Unacceptable Actions Policy……………………………………...…………………..34

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How to use this Complaints Handling Procedure

This document explains to staff how to handle complaints. Another document provides
information for customers on the complaints procedure. Together, these form our complaints
handling procedure (CHP).

It is designed to be adopted as an internal document. It contains references and links to more

details on parts of the procedure, such as how to record complaints, and the criteria for
signing off and agreeing time extensions. These explain how to process, manage and reach
decisions on different types of complaints.

When using this document, please also refer to the ‘SPSO Statement of Complaints Handling
Principles’ and best practice guidance on complaints handling from the Complaints Standards
Authority at the SPSO (http://www.valuingcomplaints.org.uk).

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What is a complaint?

COPFS definition of a complaint is:

'An expression of dissatisfaction by one or more members of the public about

COPFS action or lack of action, or about the standard of service provided by or
on behalf of COPFS.

A complaint may relate to:

 failure to provide a service
 inadequate standard of service
 dissatisfaction with COPFS policy
 treatment by or attitude of a member of staff
 disagreement with a decision where the person cannot use another procedure (for
example an appeal) to resolve the matter
 COPFS failure to follow the appropriate administrative process.

This list does not cover everything.

Appendix 1 provides a range of examples of complaints we may receive, and how these may
be handled.

A complaint is not:
 a routine first-time request for a service, i.e. information about a case the person is
involved in
 a request for information about the progress of a case the person is involved in
 a request for compensation only
 an attempt to reopen a previously concluded complaint or to have a complaint
reconsidered where we have already given our final decision
 an issue with a criminal case against a person when they have a right of appeal
 a victim right to review
 an issue with a criminal case in which the person has no involvement.

We will not treat these issues as complaints, and will instead direct persons to use the
appropriate procedures.

Appendix 2 gives more examples of 'what is not a complaint' and how to direct persons
appropriately.

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Handling anonymous complaints
We value all complaints. This means we treat all complaints, including anonymous
complaints, seriously and will take action to consider them further, wherever this is
appropriate. Generally, we will only consider anonymous complaints if there is enough
information in the complaint to enable us to make further enquiries. If, however, an
anonymous complaint does not provide enough information to enable us to take further
action, we may decide not to pursue it further. Any decision not to pursue an anonymous
complaint must be authorised by a senior manager.

If an anonymous complaint makes serious allegations, staff should refer it to a senior

manager immediately.

If we pursue an anonymous complaint further, we will record the issues as an anonymous

complaint on the complaints system. This will help to ensure the completeness of the
complaints data we record and allow us to take corrective action where appropriate.

What if the person does not want to complain?

If a person has expressed dissatisfaction in line with our definition of a complaint but does not
want to complain, staff should tell them that we do consider all expressions of dissatisfaction,
and that complaints offer us the opportunity to improve services where things have gone
wrong. Staff should encourage the person to submit their complaint and allow us to deal with
it through the complaints handling procedure. This will ensure that the person is updated on
the action taken and gets a response to their complaint.

If, however, the person insists they do not wish to complain, staff should, where appropriate
record the issue as an anonymous complaint. This will ensure that the person's details are
not recorded on the complaints database and that they receive no further contact about the
matter. It will also help to ensure the completeness of the complaints data recorded and will
still allow us to fully consider the matter and take corrective action where appropriate.

Please refer to the example in Appendix 1 for further guidance.

Who can make a complaint?

Anyone who receives, requests or is affected by our services can make a complaint.
Sometimes a person may be unable or reluctant to make a complaint on their own. We will
accept complaints brought by third parties as long as the person has given their personal
consent.

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Complaints involving more than one service or organisation
If a complaint relates to the actions of two or more of COPFS services, we will deal with all
parts of the complaint and give the person one response covering all issues raised.

If a person complains to COPFS about the service of another agency or public service
provider, but COPFS has no involvement in the issue, the person should be advised to
contact the appropriate organisation directly.

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The complaints handling process
The CHP aims to provide a quick, simple and streamlined process for resolving complaints
early and locally by capable, well-trained staff.

Our complaints process provides two opportunities to resolve complaints internally:

 frontline resolution
 investigation

For clarity, the term 'frontline resolution' refers to the first stage of the complaints process. It
does not reflect any job description within COPFS but means seeking to resolve complaints at
the initial point of contact where possible.

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Stage one: frontline resolution
Quick resolution aims to quickly resolve straightforward complaints that require little or no
investigation. Any member of staff can deal with complaints at this stage.

The main principle is to seek early resolution, resolving complaints at the earliest opportunity
and as close to the point of service delivery as possible. This may mean a face-to-face or
telephone discussion with the person, or asking an appropriate member of staff to deal
directly with the complaint.

Appendix 1 gives examples of the types of complaint we may consider at this stage, with
suggestions on how to resolve them.

In practice, quick resolution means resolving the complaint at the first point of contact with the
person, either by the member of staff receiving the complaint or other identified staff.

In either case, we may settle the complaint by providing an on-the-spot apology where
appropriate, or explaining why the issue occurred and, where possible, what will be done to
stop this happening again. We may also explain that, as an organisation that values
complaints, we may use the information given when we review service standards in the
future.

A person can make a complaint in writing, in person, by telephone, by email or online, or by

having someone complain on their behalf. We always consider frontline resolution,
regardless of how we have received the person's complaint.

The Response and Information Unit (RIU) was formed in 2013. RIU is a centralised team,
based in Crown Office which responds to complaints, freedom of information requests and
subject access requests under the Data Protection Act 1998 addressed to COPFS.

RIU will deal with any complaints which are not suitable for frontline resolution by the local
office or the Enquiry Point. Any communications which are received which are requests for
information or queries about a case can be dealt with by the local office. Should any of these
queries lead to a complaint which is not suitable for frontline resolution; those complaints can
then be passed to RIU to deal with.

Complaints may be received in person, by telephone call, letter or e-mail. Where the
complaint is not suitable for frontline resolution, staff should log these on Respond and pass
the information to RIU by e-mail to RIU@copfs.gsi.gov.uk. The Respond number should be
passed on, along with any other relevant information, copy correspondence. RIU will
investigate the complaint and request any further information from the local office as

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necessary, RIU will then respond to the complaint and, where the complaint relates to a
specific case, when considered appropriate, the complaint and response will be uploaded to
the case directory in SOS-r

What to do when you receive a complaint

1. On receiving a complaint, staff must first decide whether the issue can indeed be defined
as a complaint. The person may express dissatisfaction about more than one issue. This
may mean we treat one element as a complaint, while directing the person to pursue
another element through an alternative route (see Appendix 2).
2. If we have received and identified a complaint, staff should record the details on our
Respond system.
3. Next, decide whether or not the complaint is suitable for frontline resolution. Some
complaints will need to be fully investigated before we can give the person a suitable
response. Staff must escalate these complaints immediately to the investigation stage.
4. Where we think frontline resolution is appropriate, staff must consider four key questions:
 What exactly is the person's complaint (or complaints)?
 What does the person want to achieve by complaining?
 Can I achieve this, or explain why not?
 If I cannot resolve this, who can help with frontline resolution?

What exactly is the person's complaint (or complaints)?

It is important to be clear about exactly what the person is complaining. Staff may
need to ask the person supplementary questions to get a full picture.

What does the person want to achieve by complaining?

At the outset, clarify the outcome the person wants. Of course, the person may not
be clear about this, so staff may need to probe further to find out what they expect
and whether they can be satisfied.

Can I achieve this, or explain why not?

If we can achieve the expected outcome by providing an on-the-spot apology or
explain why we cannot achieve it, staff should do so. If we consider an apology is
suitable, we may wish to follow the SPSO's guidance on the subject:

SPSO guidance on apology

The person may expect more than we can provide. If the person’s expectations
appear to exceed what COPFS can reasonably provide, we must tell them as soon
as possible in order to manage expectations about possible outcomes.

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 We are likely to have to convey the decision face to face or on the telephone. If we
do so face to face, by telephone or by email, we are not required to write to the
person as well, although we may choose to do so. It is important, however, to keep a
full and accurate record of the decision reached and passed to the person.

If a member of staff can’t resolve this, who can help with frontline resolution?
If a member of staff cannot deal with the complaint because, for example, they are
unfamiliar with the issues or area of service involved, they will pass details of the
complaint to someone who can try to resolve it.

Timelines
Frontline resolution must be completed within five working days, although in practice we
would often expect to resolve the complaint much sooner.

We may need to get more information from colleagues to resolve the complaint at this stage.
However, it is important to respond to the person within five working days, either resolving the
matter or explaining that COPFS will investigate their complaint.

Extension to the timeline

In exceptional circumstances, where there are clear and justifiable reasons for doing so, staff
may advise the person of an extension of no more than five working days. This must only
happen when an extension will make it more likely that the complaint will be resolved at the
frontline resolution stage.

When considering an extension, staff must get authorisation from the appropriate senior
manager, who will decide whether we need an extension to effectively resolve the complaint.
Examples of when this may be appropriate include staff being temporarily unavailable. If,
however, the issues are so complex that they cannot be resolved in five days, it may be more
appropriate to escalate the complaint straight to the investigation stage. Staff must tell the
person about the reasons for the delay, and when they can expect our response.

It is important that such extensions do not become the norm. Rather, the timeline at the
frontline resolution stage should be extended only rarely. All attempts to resolve the
complaint at this stage must take no longer than ten working days from the date we receive
the complaint.

The proportion of complaints that exceed the five-day limit will be evident from reported
statistics. These statistics must go to our senior management team on a quarterly basis.

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Appendix 3 provides further information on timelines.

Closing the complaint at the frontline resolution stage

When we have informed the person of the outcome, we are not obliged to write to the person,
although we may choose to do so. We must ensure that our response to the complaint
addresses all areas that we are responsible for and explains the reasons for our decision. It
is also important to keep a full and accurate record of the decision reached and given to the
person. The complaint should then be closed and the Respond system updated accordingly.

When to escalate to the investigation stage

We must escalate a complaint to the investigation stage when:

 we tried frontline resolution but the person remains dissatisfied and requests an
investigation. This may happen immediately when we communicate the decision
at the frontline resolution stage, or some time later
 the person refuses to take part in frontline resolution
 the issues raised are complex and require detailed investigation
 the complaint relates to serious, high-risk or high-profile issues.

When a previously closed complaint is escalated from the frontline resolution stage, the
complaint should be reopened on the complaints system.

Take particular care to identify complaints that might be considered serious, high risk or high
profile, as these may require particular action or raise critical issues that need senior
management's direct input. The SPSO defines potential high-risk or high-profile complaints as
those that may:

 involve a death or terminal illness

 involve serious service failure, for example major delays in providing, or
repeated failures to provide, a service
 generate significant and ongoing press interest
 pose a serious risk to an organisation’s operations
 present issues of a highly sensitive nature, for example concerning:
o a particularly vulnerable person
o child protection.

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Stage two: investigation

Not all complaints are suitable for frontline resolution and not all complaints will be
satisfactorily resolved at that stage. Complaints handled at the investigation stage of the
complaints handling procedure are typically complex or require a detailed examination before
we can state our position. These complaints may already have been considered at the
frontline resolution stage, or they may have been identified from the start as needing
immediate investigation.

An investigation aims to establish all the facts relevant to the points made in the complaint
and to give the person a full, objective and proportionate response that represents our final
position.

What to do when we receive a complaint for investigation

Complaints should be logged on Respond and forwarded to the Response and Information
Unit to deal with. This should be done by e-mailing the RIU Inbox (RIU@copfs.gsi.gov.uk)
with the respond number and details and attaching any hard copy correspondence. RIU will
then consider the complaint and request any additional information which is necessary. RIU
will issue a response to the complaint.

It is important to be clear from the start of the investigation stage exactly what you are
investigating, and to ensure that both the person and the service understand the
investigation’s scope.

In certain circumstances, it may be helpful for staff to discuss and confirm these points with
the person at the outset, to establish why they are dissatisfied and whether the outcome they
are looking for sounds realistic. In discussing the complaint with the person, consider three
key questions:

1. What specifically is the person's complaint or complaints?

2. What does the person want to achieve by complaining?
3. Are the person's expectations realistic and achievable?

It may be that the person expects more than we can provide. If so, we must make this clear to
them as soon as possible.

Where possible we should also clarify what additional information we will need to investigate
the complaint. The person may need to provide more evidence to help us reach a decision.

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Details of the complaint must be recorded on the Respond system. Where appropriate, this
will be done as a continuation of frontline resolution. The details must be updated when the
investigation ends.

If the investigation stage follows attempted frontline resolution, staff must hand over all case
notes and associated information to the officer responsible for the investigation, and record on
Respond that this has been done.

Timelines
The following deadlines are appropriate to cases at the investigation stage:
 complaints must be acknowledged within three working days
 we should provide a full response to the complaint as soon as possible but not
later than 20 working days from the time we received the complaint for
investigation.

Extension to the timeline

Not all investigations will be able to meet this deadline. For example, some complaints are so
complex that they require careful consideration and detailed investigation beyond the 20-day
limit. However, these would be the exception and we must always try to deliver a final
response to a complaint within 20 working days.

If there are clear and justifiable reasons for extending the timescale, management will set
time limits on any extended investigation. We must keep the person updated on the reason
for the delay and give them a revised timescale for completion. The reasons for an extension
might include the following:

 Essential accounts or statements, crucial to establishing the circumstances of

the case, are needed from staff, or others but they cannot help because of long-
term sickness or leave.
 We cannot obtain further essential information within normal timescales.
 Operations are disrupted by unforeseen or unavoidable operational
circumstances, for example industrial action or severe weather conditions.

These are only a few examples, and staff must judge the matter in relation to each complaint.
However, an extension would be the exception and we must always try to deliver a final
response to the complaint within 20 working days.

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As with complaints considered at the frontline resolution stage, the proportion of complaints
that exceed the 20-day limit will be evident from reported statistics. These statistics must go
to our senior executive team on a quarterly basis.

Appendix 3 provides further information on timelines.

Closing the complaint at the investigation stage

We must let the person know the outcome of the investigation, in writing or by their preferred
method of contact. Our response to the complaint must address all areas that we are
responsible for and explain the reasons for our decision. We must record the decision, and
details of how it was communicated to the person, on Respond. We must also make clear to
the person:
 their right to ask SPSO to consider the complaint
 the time limit for doing so, and
 how to contact the SPSO.

Independent external review

Once the investigation stage has been completed, the person has the right to approach the
SPSO if they remain dissatisfied.

The SPSO considers complaints from people who remain dissatisfied at the conclusion of the
COPFS complaints procedure. The SPSO looks at issues such as service failures and
maladministration (administrative fault), as well as the way we have handled the complaint.

The SPSO recommends that we use the wording below to inform persons of their right to ask
SPSO to consider the complaint. The SPSO also provides a leaflet, What to do if you have a
complaint about the Crown Office and Procurator Fiscal Service, which staff may find helpful
in deciding how and when to refer someone to the SPSO.

Information about the SPSO

The Scottish Public Services Ombudsman (SPSO) is the final stage for complaints
about public services in Scotland. This includes complaints about the Scottish
Government, NDPBs, agencies and other government sponsored organisations. If
the person remains dissatisfied with an organisation after its complaints process,
they can ask the SPSO to look at their complaint. The SPSO cannot normally look at
complaints:
 where they have not gone all the way through the organisation's
complaints handling procedure
 more than 12 months after the person became aware of the matter

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 they want to complain about, or
 that have been or are being considered in court.

It should be noted that the SPSO is the final stage for concerns about how we have
handled a complaint and is not an appeal body for the decisions we have taken.

The SPSO's contact details are:

SPSO
4 Melville Street
Edinburgh
EH3 7NS

SPSO
Freepost (you don’t need to use a stamp)
EH641
Edinburgh
EH3 0BR

Freephone: 0800 377 7330

Online contact www.spso.org.uk/contact-us
Website: www.spso.org.uk
Mobile site: http://m.spso.org.uk

Governance of the Complaints Handling Procedure

Roles and responsibilities

Overall responsibility and accountability for the management of complaints lies with the
Crown Agent.

Our final position on the complaint must be signed off by an appropriate senior manager and
we will confirm that this is our final response. This ensures that our senior management own
and are accountable for the decision. It also reassures the person that their concerns have
been taken seriously.

The Crown Agent

The Crown Agent provides leadership and direction in ways that guide and enable us to
perform effectively across all services. This includes ensuring that there is an effective CHP
with a robust investigation process that demonstrates how we learn from the complaints we
receive. The Crown Agent takes a personal interest some complaints, but generally delegates

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responsibility for the CHP to all staff and in particular to staff within the Response and
Information Unit (RIU). Regular management reports from RIU assure the Crown Agent of
the quality of complaints performance.

Procurator Fiscal Policy and Engagement

On the Crown Agent’s behalf, The Procurator Fiscal Policy and Engagement is responsible
for:
 managing complaints and the way we learn from them
 overseeing the implementation of actions required as a result of a complaint
 investigating complaints

Response and Information Unit (RIU) Managers and Staff

The Senior Managers in RIU are involved in the operational investigation and management of
complaints handling. They may be responsible for the preparation of and the signing of
decision letters to persons from RIU. They will be satisfied that the investigation is complete
and the response addresses all aspects of the complaint. They are also available to assist
with advice and guidance to any member of staff who is dealing with a frontline resolution.

There are legal and administration staff within RIU who are responsible and accountable for
the management of the investigation. They work in a team as part of a centralised person
service team, and are involved in the investigation and in co-ordinating all aspects of the
response to the person. This includes, where appropriate, preparing a comprehensive written
report, including details of any procedural changes in service delivery that could result in
wider opportunities for learning across the organisation.

All staff
A complaint may be made to any member of staff in COPFS. So all staff must be aware of
the CHP and how to handle and record complaints at the frontline resolution stage. They
should refer a complaint to RIU in cases where they are not able to personally handle the
matter. We encourage all staff to try to resolve complaints early, as close to the point of
service delivery as possible, and quickly to prevent escalation.

COPFS SPSO liaison officer

The RIU Business Manager will liaise with the SPS. The role may include providing
complaints information in an orderly, structured way within requested timescales, providing
comments on factual accuracy on our behalf in response to SPSO reports, and confirming
and verifying that recommendations have been implemented.

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Complaints about senior staff
Complaints about senior staff can be difficult to handle, as there may be a conflict of interest
for the staff investigating the complaint. When serious complaints are raised against senior
staff the investigation will be conducted by an individual who is independent of the situation.

Any complaint about the Law Officers (the Lord Advocate and Solicitor General) will not be
dealt with by COPFS. Although the Lord Advocate is the ministerial head of COPFS, he and
the Solicitor General are Ministers of the Scottish Government and any complaints about
them should be directed through the Ministerial Complaint process.

Recording, reporting, learning and publicising

Complaints provide valuable feedback. One of the aims of the complaints handling procedure
is to identify opportunities to improve services across COPFS. We must record all complaints
in a systematic way so that we can use the complaints data for analysis and management
reporting. By recording and using complaints information in this way, we can identify and
address the causes of complaints and, where appropriate, identify training opportunities and
introduce service improvements.

Recording complaints
To collect suitable data it is essential to record all complaints in line with SPSO minimum
requirements, as follows:
 the person's name and address
 the date the complaint was received
 the nature of the complaint
 how the complaint was received
 the service the complaint refers to
 the date the complaint was closed at the frontline resolution stage (where
appropriate)
 the date the complaint was escalated to the investigation stage (where
appropriate)
 action taken at the investigation stage (where appropriate)
 the date the complaint was closed at the investigation stage (where appropriate)
 the outcome of the complaint at each stage
 the underlying cause of the complaint and any remedial action taken.

We have structured systems for recording complaints, their outcomes and any resulting
action. These provide a detailed record of services that have failed to satisfy persons.

Complaints should be recorded on the Respond system – full instructions on how to record
information on Respond are available to staff on the Knowledge Bank

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Reporting of complaints
Complaints details are analysed for trend information to ensure we identify service failures
and take appropriate action. Regularly reporting the analysis of complaints information helps
to inform management of where services need to improve.

We provide information on a regular basis relating to the outcome of complaints and the
actions we have taken in response. This demonstrates the improvements resulting from
complaints and shows that complaints can influence our services. It also helps ensure
transparency in our complaints handling service and will help to assure individuals that we
value their complaints.

We must:
 provide information on a regular basis relating to complaints outcomes,
trends and actions taken
 use case studies and examples to demonstrate how complaints have helped
improve services.

This information is reported regularly (and at least quarterly) to our senior management team.

Learning from complaints

At the earliest opportunity after the closure of the complaint, RIU should always make sure
that the person and staff of the department involved understand the findings of the
investigation and any recommendations made.

Senior management review the information gathered from complaints regularly and consider
whether our services could be improved or internal policies and procedures updated.

As a minimum, we must:
 use complaints data to identify the root cause of complaints
 take action to reduce the risk of recurrence
 record the details of corrective action in the complaints file, and
 systematically review complaints performance reports to improve service
delivery.

Where we have identified the need for service improvement:

 the action needed to improve services must be authorised
 an officer (or team) should be designated the 'owner' of the issue, with
responsibility for ensuring the action is taken
 a target date must be set for the action to be taken

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  the designated individual must follow up to ensure that the action is taken
within the agreed timescale
 where appropriate, performance in the service area should be monitored to
ensure that the issue has been resolved
 we must ensure that staff learn from complaints.

Publicising complaints performance information

We publish annually on our performance in handling complaints in line with SPSO
requirements. This includes performance statistics showing the volumes and types of
complaints and key performance details, for example on the time taken and the stage at
which complaints were resolved.

Maintaining confidentiality
Confidentiality is important in complaints handling. It includes maintaining the person's
confidentiality and explaining to them the importance of confidentiality generally. We must
always bear in mind legal requirements, for example, data protection legislation, as well as
internal policies on confidentiality and the use of an individual’s information.

Managing unacceptable behaviour

People may act out of character in times of trouble or distress. The circumstances leading to
a complaint may result in the person acting in an unacceptable way. Persons who have a
history of challenging or inappropriate behaviour, or have difficulty expressing themselves,
may still have a legitimate grievance.

A person's reasons for complaining may contribute to the way in which they present their
complaint. Regardless of this, we must treat all complaints seriously and properly assess
them. However, we also recognise that the actions of persons who are angry, demanding or
persistent may result in unreasonable demands on time and resources or unacceptable
behaviour towards our staff. We will, therefore, apply our policies and procedures to protect
staff from unacceptable behaviour such as unreasonable persistence, threats or offensive
behaviour from persons.

Where we decide to restrict access to a person under the terms of an unacceptable actions
policy, we have a procedure in place to communicate that decision, notify the customer of a
right of appeal, and review any decision to restrict contact with us. This will allow the
customer to demonstrate a more reasonable approach later’.

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We do not view behaviour as unacceptable just because an individual is forceful or
determined. However, we do consider that the actions of those who are angry, demanding or
unduly persistent may result in unreasonable demands on us or unreasonable behaviour
towards our staff. A copy of our Unacceptable Actions Policy and how to manage them are
noted at Appendix 6.

Supporting the person

All members of the community have the right to equal access to our complaints handling
procedure. Persons who do not have English as a first language may need help with
interpretation and translation services, and other persons may have specific needs that we
will seek to address to ensure easy access to the complaints handling procedure.

We must always take into account our commitment and responsibilities to equality. This
includes making reasonable adjustments to our service to help the person where appropriate.

Several support and advocacy groups are available to support persons in pursuing complaints
and persons should be signposted to these as appropriate.

Citizen’s Advice Bureau

Web: www.cas.org.uk

Scottish Independent Advocacy Alliance

Tel: 0131 260 5380 Fax: 0131 260 5381 Website: www.siaa.org.uk

Language Line

 Ring the Languageline operator on 0845 310 9900 (24 hours) and give your office ID
number, your name and the language you require. Stay on the line while an interpreter
is contacted.
 Introduce yourself to the interpreter and brief him or her about the situation
 Go ahead and start your conversation, using the telephone receiver as a go-between

Time limit for making complaints

This complaints handling procedure sets a time limit of six months from when the person first
knew of the problem, within which time they may ask us to consider the complaint, unless
there are special circumstances for considering complaints beyond this time.

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We will apply this time limit with discretion. In decision making we will take account of the
Scottish Public Services Ombudsman Act 2002 (Section 10(1)), which sets out the time limit
within which a member of the public can normally ask the SPSO to consider complaints. The
limit is one year from when the person first knew of the problem they are complaining about,
unless there are special circumstances for considering complaints beyond this time.

If it is clear that a decision not to investigate a person's complaint will lead to a request for
external review of the matter, we may decide that this satisfies the special circumstances
criteria. This will enable us to consider the complaint and try to resolve it.

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Appendix 1 - Examples of complaints that may be considered at the frontline resolution
stage

The following table provides specific examples of complaints that may be considered at the
frontline resolution stage, and suggest possible actions to achieve resolution.

Complaint Possible actions to achieve resolution

Requests for information about the Provide information

progress/stage proceedings have
reached

Why a victim has not been told about a Explain VIA only proactive in specific
case proceeding not proceeding categories of case but ask victim if they
wish the services of VIA – if the person
wishes this refer to VIA

Victim complains about no action or no Explain the reasons for the no action
further action being taken in the case in decision and advise them of the Victims
which they are a victim Right to Review

Victim or witness has not had Ensure that proper procedure has been
productions retuned to them carried out re the productions and advise
where and when the production can be
retrieved

The person expresses dissatisfaction in Tell the person that we value complaints
line because they help to improve services.
with the definition of a complaint, but Encourage them to submit the complaint.
says she does not want to complain –
just wants to tell us about the matter. In terms of improving service delivery and
learning from mistakes, it is important that
person feedback, such as this, is recorded,
evaluated and acted upon. Therefore, if the
person still insists that they do not want to
complain, record the matter as an
anonymous complaint. This will avoid
breaching the complaints handling
procedure. Reassure the person that they
will not be contacted again about the matter.

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Complaint Possible actions to achieve resolution

Lack of response to communication Apologise and provide information

requested

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Appendix 2 - What is not a complaint?

A concern may not necessarily be a complaint. For example, a person might make a routine
first-time request for a service. This is not a complaint, but the issue may escalate into a
complaint if it is not handled effectively and the person has to keep on asking for service.

A person may also be concerned about a decision made by the organisation. These decisions
may have their own specific review or appeal procedures, and, where appropriate, persons
must be directed to the relevant procedure.

Example 1: a routine first-time request for a service or information

Example 2: disagreement with a decision where a statutory right of appeal exists

Example 3: an attempt to reopen a previously concluded complaint or to have a

complaint reconsidered where we have already given our final decision.

Example 4: Victim Right to Review

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Appendix 3 - Timelines

General
References to timelines throughout the complaints handling procedure relate to working days.
When measuring performance against the required timelines, we do not count non-working
days, for example weekends, public holidays and days of industrial action where our service
has been interrupted.

Timelines at frontline resolution

We must aim to achieve frontline resolution within five working days. The day we receive the
complaint is day 1. Where we receive it on a non-working day, for example at the weekend or
on a public holiday, day 1 will be the next working day.

Day 1 Day 2 Day 3 Day 4 Day 5

Day 1: Day 5:
Day we receive the Frontline resolution
complaint, or next working achieved or
date if date of receipt is a complaint escalated
non-working day. to the investigation
stage.

Extension to the five-day timeline

If we have extended the timeline at the frontline resolution stage in line with the procedure,
the revised timetable for the response must take no longer than 10 working days from the
date of receiving the complaint.

Day 1 Day 2 Day 3 Day 4 Day 5 Day 6 Day 7 Day 8 Day 9 Day 10

Day 1: In a few cases where it is clearly Day 10:

Day we receive the essential to achieve early Frontline
complaint, or next resolution, we may authorise an resolution
working date if date of extension within five working days achieved or
receipt is a non- from when the complaint was complaint
working day. received. We must conclude the escalated to the
frontline resolution stage within 10 investigation
working days from the date of stage.
receipt, either by resolving the
complaint or by escalating it to the
investigation stage.

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Transferring cases from frontline resolution to investigation
If it is clear that frontline resolution has not resolved the matter, and the complaint is being
escalated to the investigation stage, the case must be passed for investigation without delay.
In practice this will mean on the same day that the person is told this will happen.

Timelines at investigation
We may consider a complaint at the investigation stage either:
 after attempted frontline resolution, or
 immediately on receipt if we believe the matter to be sufficiently complex,
serious or appropriate to merit a full investigation from the outset.

Acknowledgement
All complaints considered at the investigation stage must be acknowledged within three
working days of receipt. The date of receipt is:
 the day the case is transferred from the frontline resolution stage to the
investigation stage, where it is clear that the case requires investigation, or
 the day the person asks for an investigation after a decision at the frontline
resolution stage. Staff should note that a person may ask for an investigation
immediately after attempts at frontline resolution, or
 the date we receive the complaint, if we think it sufficiently complex, serious or
appropriate to merit a full investigation from the outset.

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Investigation
We should respond in full to the complaint within 20 working days of receiving it at the
investigation stage.

The 20-working day limit allows time for a thorough, proportionate and consistent
investigation to arrive at a decision that is objective, evidence-based and fair. This means we
have 20 working days to investigate the complaint, regardless of any time taken to consider it
at the frontline resolution stage.

Day 1 Day 5 Day 10 Day 15 Day 20

Day 1: Day 20:

Day after complaint The decision is issued
received at to person or the
investigation stage, or deadline is extended
next working day if and the person is
date of receipt is a advised
non-working day.
Acknowledgement
issued within three
working days.

Exceptionally you may need longer than the 20-day limit for a full response. If so, staff must
explain the reasons to the person, and advise them of the revised timescale.

Day 1 Day 5 Day 10 Day 15 Day 20+

Day 1: By Day 20: By agreed

Day after a revised date:
complaint timescale for Issue our
received at bringing the final
investigation investigation decision
stage, or next to a on the
working day if conclusion is complaint
date of receipt is a set.
non-working day.
Acknowledgement
issued within
three working
days.

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Timeline examples
The following illustration provides examples of the point at which we conclude our
consideration of a complaint. It is intended to show the different stages and times at which a
complaint may be resolved.

Day 1 Day 15 Day 20 Day 20+

Complaint Complaint Complaint Complaint Complaint Complaint

1 2 3 4 5 6

The circumstances of each complaint are explained below:

Complaint 1
Complaint 1 is a straightforward issue that may be resolved by an on-the-spot explanation
and, where appropriate, an apology. Such a complaint can be resolved on day 1.

Complaint 2
Complaint 2 is also a straightforward matter requiring little or no investigation. In this
example, resolution is reached at day three of the frontline resolution stage.

Complaint 3
Complaint 3 refers to a complaint that we considered appropriate for frontline resolution. We
did not resolve it in the required timeline of five working days. However, we authorised an
extension on a clear and demonstrable expectation that the complaint would be satisfactorily
resolved within a further five days. We resolved the complaint at the frontline resolution stage
in a total of eight days.

Complaint 4
Complaint 4 was suitably complex or serious enough to pass to the investigation stage from
the outset. We did not try frontline resolution; rather we investigated the case immediately.
We issued a final decision to the person within the 20-day limit.

Complaint 5
We considered complaint 5 at the frontline resolution stage, where an extension of five days
was authorised. At the end of the frontline resolution stage the person was still dissatisfied.
At their request, we conducted an investigation and issued our final response within 20

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working days. Although the end-to-end timeline was 30 working days we still met the
combined time targets for frontline resolution and investigation.

Complaint 6
Complaint 6 was considered at both the frontline resolution stage and the investigation stage.
We did not complete the investigation within the 20-day limit, so we set a revised for
concluding the investigation beyond the 20-day limit.

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Appendix 4 - The complaints handling procedure

A person may complain in person, by phone,

by email or in writing.
STAGE 1
Our first consideration is whether the STAGE 2
QUICK complaint should be dealt with at stage 1
(quick resolution) or stage 2 (investigation)
of the complaints handling procedure.

Stage 1 – frontline resolution Stage 2 – investigation

Always try to resolve the complaint quickly and 1. Investigate where the person is still dissatisfied
to the person's satisfaction wherever we can. after we have communicated our decision at
stage 1.

2. Investigate where it is clear that the complaint

Provide a decision on the complaint within five

working days unless there are exceptional
circumstances. Send acknowledgement within three working days
and provide the decision as soon as possible but
within 20 working days, unless there is a clear
reason for extending this timescale.

Is the person satisfied

with the decision? No Is the person satisfied
with our decision and
with the way we have
handled the complaint?

Monthly or quarterly

•ensure ALL complaints are

Yes recorded No Yes
•report performance, analyse
outcomes
•make changes to service
delivery where appropriate
•publicise complaints
Complaint closed performance externally Refer person to Complaint closed
and outcome •tell persons about service the Scottish and outcome
recorded. improvements. Public Services recorded.
Ombudsman.

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Appendix 5 - Useful Contact Details

COPFS

Address: Response & Information Unit

Crown Office and Procurator Fiscal Service
25 Chambers Street
Edinburgh
EH1 1LA

Telephone: 0300 020 3000 from a landline or

We also welcome calls through RNID Typetalk. Please prefix our
telephone number with 18001.

Calls will be answered in the first instance by our National Enquiry Unit.
Our office hours are 0830–1800 Monday–Thursday; and 0830–1700 on
Friday.

Web: www.copfs.gov.uk
E-mail: RIU@copfs.gsi.gov.uk

Citizen’s Advice Bureau

Web: www.cas.org.uk

Scottish Court Service

Address: Scottish Courts and Tribunals Service

Secretariat
1A Parliament Square
Edinburgh
EH1 1RF

Telephone: 0131 444 3300

Email: enquiries@scotcourts.gov.uk
Web: www.scotcourts.gov.uk

Police Service of Scotland

Web: http://www.scotland.police.uk/

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Scottish Police Authority

Address: Scottish Police Authority

Elphinstone House
65 West Regent Street
Glasgow
G2 2AF

Telephone: 0141 585 8300

Web: www.spa.police.uk

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Appendix 6 – Unacceptable Actions Policy

Unacceptable actions

COPFS may refuse to deal with complaints received from the relatively few
correspondents whose actions or behaviour is considered unacceptable. We aim to
provide a service that is accessible to all those affected by our work who wish to make a
complaint. However, we retain the right, where we consider actions to be unacceptable, to
restrict or change access to our service.

We do not view behaviour as unacceptable just because a complainer might be forceful or

determined. However, we do consider that the actions of those who are angry, demanding
or unduly persistent may result in unreasonable demands on us or unreasonable
behaviour towards our staff.

We will not tolerate aggressive or abusive behaviour towards our staff including:
 threats
 physical violence
 verbal abuse
 swearing
 derogatory remarks
 rudeness.

We also consider that inflammatory statements, unsubstantiated allegations and

inappropriate use of social media can be abusive behaviour. We may say that we consider
a person to be making unreasonable demands or as being unreasonably persistent
because of the amount of information sought, the nature and scale of service expected or
the number of approaches made for
example:
 demanding responses within an unreasonable timescale
 insisting on seeing or speaking to a particular member of staff
 continual phone calls or letters
 repeatedly changing the substance of the complaint or raising unrelated
concerns.

We will not consider these unacceptable and unreasonable demands because they impact
substantially on our work and diminish service to all. We will not consider persistent
complaints to be acceptable when they take up a disproportionate amount of time and
resources for example:
 persistent refusal to accept a decision made in relation to a complaint

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  persistent refusal to accept explanations relating to what this office can or
cannot do
 continue to contact us without presenting any new information.

Vexatious correspondence or contact

We consider vexatious correspondence or contact to be contact which would impose a
significant burden on COPFS and which:
 does not have a serious purpose or value
 is designed to cause disruption or annoyance
 has the effect of harassment
 would otherwise, in the opinion of a reasonable person, be considered to be
manifestly unreasonable or disproportionate.

Managing unacceptable actions

There are very few individuals whose actions we consider unacceptable. However, where
we consider actions unacceptable we may:
 terminate a telephone call should the person act in a threatening, abusive, or
unreasonable manner
 ask the person to leave our office should they act in a threatening, abusive
or unreasonable manner
 inform that no further action will be taken in response to a complaint which
has exhausted our complaints procedure
 advise that only new or substantive issues will receive a further response
 restrict the format of the contact that we have
 advise that a complaint we consider to be persistent or vexatious will not
receive a substantive reply.

Procedures for managing unacceptable actions

In the limited number of cases where contact is being restricted we will write to the
individual concerned advising the reasons why the contact is being limited and advising
that if they disagree with the decision they can appeal this within 7 days by writing to our
Response and Information Unit. All such appeals will be dealt with by the Head of Policy
and Engagement within 20 working days.

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