Complaint Handling GuidanceJanuary 2016

Complaint resolution standards

Complaint handling

Getting it right first time

Setting out your letter

Unreasonably persistent customers

Complaints about staff members

Complaints about contract staff

Victims & Witnesses

Judicial complaints

Customer Service Award

Complaints standards

Useful linksExample letter for delay

Example letter for judicial decision

Next page

2

Our complaint resolution standards are to:

Standard 1:Have a clear, accessible policy

Standard 2:Provide staff with guidance and training

Standard 3:Handle ex gratia requests fairly and consistently

Standard 4:Ensure we provide customers with a quality service

Standard 5:Learn lessons and share information

Standard 6:Use feedback to improve customer service

1 Complaint handling

What is a complaint?A complaint does not need to contain the word ‘complaint’. It is: any expression of dissatisfaction about our service.

This procedure is for administrative complaints only. For judicial complaints you need to follow a different process as detailed in section 8.

What is maladministration?Examples of this are:

• delay

• incorrect action or failure to take any action

• failure to follow procedures or the law

• failure to provide information

• inadequate record keeping

• failure to investigate

• failure to reply

• misleading or inaccurate statements

• inadequate liaison

• inadequate consultation

• broken promises

Identifying a complaintThere is a distinction between customers ringing or writing and asking for information, an update or a reply to correspondence and where they feel that there has been a breakdown in the service we have provided.

Back a page

Next page

Contents page

3

Examples of correspondence Examples of a complaint

It is 10 weeks since I appealed. Can you tell me what is happening?

Can I please have an answer to my letter of 6 January as soon as possible?

I am still waiting for you to return my birth certificate.

The tribunal clerk at my hearing was rude and unhelpful and made me feel flustered and anxious.

My case has been adjourned for a second time. It is quite unacceptable that I have taken time off work and made a wasted journey to the court. Why did you not inform me of this in advance?

This just needs a quick phone call or written reply to the customer to update them.

This needs a phone call or written reply including an apology if there was a delay.

This needs an apology and prompt return of the certificate. The person I spoke to on the

phone gave me incorrect information about time limits for appealing and a judge has now ruled my appeal out of time.

Back a page

Next page

Contents page

4

2 Getting it right first timeThere are three steps to the complaints process: first contact, review and appeal. Leaflet EX343 Unhappy with our service – what can you do? gives customers information about how to make a complaint.

First contactThe court or tribunal where the problem arose is best placed to resolve the complaint and should do so as soon as possible. It should reply within 10 working days or explain to the customer why it cannot do so. It is good practice to send a holding response if you are not able to meet the target and to do this at the earliest opportunity. This keeps the customer informed but it does not resolve the complaint and does not count as meeting the 10-day target. The reply will give contact details of how the customer can escalate the complaint to the review step if still dissatisfied.

When investigating a complaint that relates to more than one office or business area (operational/policy) you should ask for a contribution from the other location before providing a response to the customer. If the complaint has been transferred to another office then explain this to the customer and keep them informed. If the complaint is not for you, transfer it to the correct department and let the customer know. Agree who will handle the complaint and take ownership.

ReviewA senior manager of at least Band B or Deputy Justices’ Clerk level (and preferably Cluster Manager or Justices’ Clerk level) will review the first contact reply and should aim to reply within 10 working days. They must ensure that all points raised by the customer have been suitably addressed at the first contact step. The senior manager’s aim should be to stop the matter escalating further to appeal. The reply will give contact details of how the customer can escalate the complaint to the appeal step if dissatisfied.

You should include the following address at the end of your letter:Customer Service Team 10th Floor (10.34), 102 Petty France, London SW1H 9AJ

AppealThe Customer Service Team will take a fresh look at the case, including any request for payment, and will aim to reply within 15 working days. The reply will give contact details of how the customer can escalate a complaint to the Parliamentary and Health Service Ombudsman (PHSO).

Back a page

Next page

Contents page

5

Three step complaint process

First contactWe aim to resolve all complaints at first contact.• Log complaint onto the Customer

Analysis and Feedback System (CAFe)• Resolve the complaint immediately in

person, by phone or providing a written reply within 10 working days

• Signpost to the senior manager at Band B or Deputy Justices’ Clerk level – it is the customer’s responsibility to escalate to the next stage

• Update CAFe

Complaint receivedComplaints can be received face to face, by phone, fax, email or letter. You should not ask a customer to ‘put it in writing’! The emphasis is on ‘Getting it right first time’.

Review• Use search function on CAFe to find the

original complaint• Review the previous reply and respond to

any additional points• The reply will either confirm the

previous line taken or give reasons for an alternative resolution

• Reply within 10 working days• Signpost to Customer Service Team in

HQ – it is the customer’s responsibility to escalate to the next stage

• Update CAFe

Complaint escalated by the customerIf the customer is not satisfied with the response from us then they can ask for a review of their complaint. This is dealt with by a senior manager at a minimum of Band B or Deputy Justices’ Clerk level (and preferably Cluster Manager or Justices’ Clerk level)

Appeal• Use search function on CAFe to find the

original complaint• Review the previous first contact and

review replies and respond to any additional points

• The reply will either confirm the previous lines taken in the first contact and review or give reasons for an alternative resolution

• Reply within 15 working days• Signpost to Parliamentary and Health

Service Ombudsman (PHSO)• Update CAFe

Complaint escalated by the customerIf the customer is still not satisfied with the response from the senior manager at the review then they can ask for the Customer Service Team in HQ to look again at the complaint.

Back a page

Next page

Contents page

6

The Role of the OmbudsmanThe Parliamentary and Health Service Ombudsman is independent of government and the Civil Service. The role is currently held by Dame Julie Mellor. Her office provides a service to the public by undertaking independent investigations into complaints to ensure that government departments have acted properly and fairly and have provided a good service.

Where the Ombudsman identifies maladministration, it is her role to ensure that government departments learn from their mistakes and improve existing procedures. In some cases, she can recommend that HM Courts & Tribunals Service (HMCTS) offers compensation for financial loss or inconvenience. All referrals of complaints to the Ombudsman must be made by an MP after the customer has exhausted the complaints procedure.

For England and Wales or for tribunal offices in Scotland which are part of HMCTS, you need to ask an MP to refer your complaint to the Parliamentary and Health Service Ombudsman (PHSO). To find the contact details of your local MP, go to http://findyourmp.parliament.uk or contact the House of Commons Information Office on 020 7219 4272. More detailed information on the role of the PHSO can be found on the PHSO website or via their helpline on 0845 015 4033.

If the complaint is about any court in Scotland, or a tribunal in Scotland which is not part of HMCTS, it is the Scottish Public Services Ombudsman (SPSO) who will investigate a complaint. More detailed information on the role of the SPSO can be found on the SPSO website or by telephoning the helpline on 0800 377 7330.

Our internal targets are to:

• Answer 90% of first contact complaints within 10 working days

• Answer 90% of review complaints within 10 working days

• Answer 90% of appeal complaints within 15 working days

Recording a complaintAll complaints must be recorded on the Customer Analysis and Feedback System (CAFe) as soon as they are received at each step. If information is recorded effectively and acted upon it can be used to improve future service delivery and reduce failure demand. CAFe can also be used as an effective tool for use with the maturity assessment and at local TIB meetings.

TIPAlways remember to record complaints received by telephone or face to face on CAFe.

This data is one of the ways of collecting and analysing customer feedback. Others are:

• local customer surveys

• user groups (e.g. legal representatives, Citizens Advice, local charity organisations)

• examples of correspondence and complaints

• information from front line and contact centres

• feedback from the Ombudsman’s investigations

• continuous improvement work

Back a page

Next page

Contents page

7

ComplimentsComplaints help us improve our customers’ experience with HMCTS but when customers have received a service from us that has exceeded their expectations and give us positive feedback, we should also record this on CAFe. If a customer thanks a member of staff or team for providing an excellent service, we should pass on this feedback and consider whether Recognition and Reward is appropriate. When customers tell us what they like about our service, we should share this and learn from it.

Why do we want to know what customers think?Our aim is to keep improving our service to the customer. Therefore, it is vital to know what they think of our service so we can use this information to make improvements. Customer feedback is valuable and we should thank them for it and show how it has contributed to a better service.

Never underestimate the feelings behind a complaint. Handling a complaint well can diffuse a situation that could easily escalate. If you give good customer service, the customer is happy and it saves valuable staff time and money.

Making customer service a focus in HMCTS can build trust with a customer. Trust is earned over time but can be eroded quickly and is difficult to rebuild.

Back a page

Next page

Contents page

How long do I keep complaint files for?Any files which relate to an ongoing complaint or Ombudsman investigation should be removed from the filing run and kept separately. It should be retained until the matter has been resolved

Complaint files which are closed where no ex gratia or compensation payment has been made can be destroyed 2 years from the date of the last action.

Complaint files which are closed where an ex gratia or compensation payment has been made should be retained for 7 years in line with financial assurance guidelines.

8

Handling complaints – the right approach

Identify• Start with an open mind• Make sure the complaint has come to the

right place• Make sure you have understood the basis

of the complaint• Decide if you need more information and

from where• Consider sending a holding letter• Make an entry on CAFe

Investigate• Go through the complaint step by step• Identify whether we have made a mistake• Fill in the gaps by requesting information

or taking advice• Establish the cause of the complaint• Identify any claim for ex gratia payment

Consider• How to reply, using different approaches

depending on the customer and the complexity, e.g. phone versus letter. If a complaint is straightforward, it is quicker and easier to ring the customer

• Analyse the information and decide what is relevant

• The impact on the customer• Is the complaint upheld?• Should you offer an ex gratia payment?

At the end of this step, you should either have been able to resolve the complaint or have a clear list of questions that you need to ask.

At the end of this step, you should have decided which approach to take and have a logical order for your answer and a reasoning for whether the complaint and request for an ex gratia payment are upheld.

At the end of this step, you should have all the relevant information to answer the complaint.

Identify Investigate Consider Resolve Remedy Feedback

Back a page

Next page

Contents page

9

Handling complaints – the right approach (continued)

Resolve• Apologise if the customer is unhappy with the service• Apologise if a mistake has been made; don’t blame others• Make sure that the reply is factually accurate• Do not try to hide mistakes• Make sure that the letter follows a logical order, is

grammatically correct and free from jargon• Check that you have answered all the points raised• Make sure the tone is appropriate• Give an explanation if you feel the complaint is not upheld• Give a decision on whether or not an ex gratia is being

offered and why• Give an assurance that measures have been taken to

improve future service• Offer your name as a point of contact, if appropriate• Make sure the complaint is signed off at the correct level• Close the complaint on CAFe• Signpost to the next step of the process• Capture complaints information on the TIB using 3Cs and

lost time templates

Remedy

• Keep your promises – carry out any action required by the due date

• Ensure payments are made within 20 working days

• Review within a relevant timescale if appropriate

• Progress issues through problem solves to identify the root cause and solution and stop them happening again

Feedback• Encourage customer feedback• Tell the customer if/how their

feedback has improved a process/policy

• Point to improvements as a result of feedback

• Share lessons learned at the TIB and with other business areas, escalate across the cluster and beyond

At the end of this step you should have completed an appropriate reply, addressing all aspects of the complaint, challenging any allegations which are clearly untrue and giving any relevant positive messages, e.g. pointing to improvements, initiatives etc.

Feedback, learning and sharing lessons is an ongoing process.

In most cases, this will be the end of the complaints process.

Back a page

Next page

Contents page

10

What does success look like?

• Satisfied customers

• Fewer complaints

• Right first time every time

• No upheld Ombudsman investigations

3 Setting out your letter

“People tend to find ‘putting it in writing’ the least satisfying approach”

Jo Causon, CEO Institute of Customer Service 2012

The date5 January 2014 rather than 5th January 2014 or the 5th of January.

PunctuationYou do not need to use commas after:

• each line of the address

• the greeting – Dear Mr Smith

• the ending – Yours sincerely

Reference numbersAlways use the number on the letter you are answering (Your ref) and your own CAFe reference number (Our ref). For example:

Your ref: L/234000Our ref: 00001/0034/1314

Name and address

Ensure you copy this correctly.

TIPCheck that you are using an up-to-date HMCTS letterhead before you start.

Back a page

Next page

Contents page

11

The greetingIf you know the name of the person who has written, use: Dear Mr Smith, Mrs or Miss Smith or Ms Smith (this is best if you don’t know what the person prefers).

If you don’t know the name, use: Dear Sir, Dear Madam and end with Yours faithfully.

The headingGenerally in bold and not underlined. This should identify the main reason for writing. Avoid using internal numbers or references which will not be meaningful to the customer.

Beginning: the opening

The first sentence should thank the writer and confirm the subject of the letter.

Keep it simple and in line with the Plain English Campaign guidelines

Thank you for your letter of 5 January about…

When referring to a date in a previous year, also use the year, so 5 December 2013.

Examples

• Thank you for your letter of 5 January about your recent Employment and Support Allowance hearing in Coventry.

• Thank you for your complaint of 5 January following your visit to Leicester County Court.

• Thank you for your undated letter received on 5 January.

Then go on to apologise that the person has had to complain.

TIPA letter should have a beginning, middle and end.

TIPDon’t be confrontational or defensive or try to transfer blame.

Back a page

Next page

Contents page

12

It costs nothing to say sorryOften simply saying sorry and acknowledging an error is enough to defuse a customer’s anger or frustration.

However, it is important to understand the impact on the customer when things go wrong, whether or not the mistakes are our fault.

• I am sorry that your appeal was heard before you arrived at the tribunal venue due to your travel delay. I realise that you were already anxious about the hearing and that this situation added to your concern (and then go on and explain how we can help, e.g. suggesting the customer applies for a set-aside so the appeal can be heard again).

• I am sorry that you are unable to recover the full amount of your County Court Judgment because the debtor has limited financial means and acknowledge that this is causing you inconvenience and frustration.

The point here is that we did not do anything wrong but the customer’s experience is not a positive one and we should appreciate this and give any help we can.

Where we are at fault, we should own up to it:

• We filed your letter of complaint with the forms you sent in and it was, therefore, overlooked. I am sorry for this oversight and hope that my reply is helpful and covers all the questions you raised.

In addition, apologise if there has been a delay in answering a letter or if something has gone wrong:

• I am sorry for the delay in replying.

Middle: the body of the letter

You should then structure your letter to answer all the points in a logical order.

The next paragraph should follow on from the previous one so that the meaning is clear.

It is sometimes helpful to answer the points in the same order as the letter you are answering. However, if the customer’s letter is rather muddled or unclear, it is often better to group information together.

If you are replying to a very lengthy and complex letter, it may be helpful to use numbering or headings. If you include hyperlinks, keep them short and ensure they work.

End: the closing

Examples

• I hope my reply is helpful

• I hope my reply has reassured you that HMCTS is taking all possible steps to address the issue of…

• I understand that Mr Smith will find my reply disappointing but I hope that I have explained why…

• I am sorry I cannot be of any further help.

TIPKeep sentences short; don’t use long words when short ones will do. Use paragraphs – avoid single sentence paragraphs or very long ones. Avoid splitting paragraphs between pages where possible.

Back a page

Next page

Contents page

13

There will be occasions when it is acceptable to close down correspondence after a number of replies have been sent:

There is nothing further that I can usefully add on the subjects you continue to raise. I must ensure that taxpayers’ money is used effectively. For this reason and in line with HMCTS procedures, I will not be replying again unless you raise new issues.

SignpostingIt is extremely important that we give the customer the ability to escalate a complaint if not satisfied with our reply. From the first contact reply you give the contact details for the review step, from review to the appeal step and appeal to the Parliamentary & Health Service Ombudsman (PHSO).

First contactIf you are not satisfied with my reply, you can write to:

• Name and title

• Address

ReviewIf you are not satisfied with my reply, you can write to:

• Name and title

• Address

AppealIf you are still dissatisfied with my reply, you can ask a Member of Parliament to write on your behalf to the Parliamentary and Health Service Ombudsman (the Ombudsman). Cases are investigated at the Ombudsman’s discretion.

Ask the customer to explain why they are not satisfiedIf a customer continues to write in after the complaints process has been exhausted, and provides no new information, or continues to go over the same ground we have already considered, you should send a reminder of how they can take this further via their MP to the PHSO. It is not necessary to answer the points again or engage in any further correspondence, unless it raises new issues.

The endingDear Mr Shah – Yours sincerelyDear Sir or Dear Madam – Yours faithfully

The words sincerely and faithfully should always have lower case ‘s’ and ‘f’.

Example letters can be found at annexes A and B.

TIPIn a long or complex letter, a short summing up paragraph may be helpful. If you are answering a complaint and are offering an ex gratia payment make it clear what the offer is.

Back a page

Next page

Contents page

14

4 Who is an unreasonably persistent customer?A person who calls, emails or writes persistently about the same issue or someone who visits a court or tribunal building repeatedly.

This may be someone who:

• Disagrees with a judicial decision

• Is unhappy with a complaint reply or series of replies

• Has been refused compensation

• Wants a change in procedure or policy

While it is important to be polite and helpful to all customers, it is also crucial that we take control of these calls, reply to emails/letters effectively and deal with disruptive behaviour at an HMCTS building.

Customer waiting for a responseWhere a customer has made a complaint and is waiting for a response but continues to contact you.

What you can do:

• Tell the person politely but firmly that you are looking into the issue

• Give a timescale for your reply

• Make a note of any new information or pass it on to the person who is dealing with the complaint if it is not you

• Make it clear that there is no benefit to the person calling/writing in the meantime

• Emphasise that this behaviour is actually slowing down the process

If the person continues to contact you:

• If they call, keep conversations short and point to the action you are taking

• If they write/email give one acknowledgement to cover all correspondence that covers the same issue

• Ensure that when completing your complaint response, you give details of the next stage of the process

Customer dissatisfied with a responseWhere a customer has had a reply but remains dissatisfied:

• Remind the person politely but firmly that you have already replied and they need to raise the complaint with the contact for the next stage of the process

• Explain why you cannot help them further

• Repeat the contact details you have given in the letter

• If the customer has received an appeal step reply, then remind them of the means of escalating further (i.e. via an MP to the Parliamentary and Health Service Ombudsman)

• Emphasise that HMCTS’ part of the complaints process is concluded after appeal step

Customer continues to call or write

• Identify that the issue remains the same

• Remind the customer that you have already answered their complaint

• Do not spend an excessive time on the phone but take control of the call by saying, I can’t add anything to what I have already said and if they persist, I am going to close this call and put the phone down

Back a page

Next page

Contents page

15

• Don’t give out senior managers’ contact details as this only perpetuates the problem but keep signposting to the appropriate step of the complaints process. If you need to pass the call to your line manager, make sure they know the background of the complaint

• If the customer is calling a number of people, consider restricting the caller to a single point of contact (SPOC). You will need to discuss this with your manager

• Notify the customer and give him details of the SPOC

What you can do:

• In the response, explain that the customer has corresponded with the department (on a number of occasions/over a considerable period of time) and that you have provided all the information you can and that you have nothing further to add

• Repeat the main message you have given – e.g. needs to challenge via an appeal against a decision, needs to consider referral to PHSO, etc

• Point to the contact details you have given

• Emphasise that you will reply to any new issues from the customer

A customer may seek personal or operational/policy information via a Subject Access Request or Freedom of Information request.

Freedom of InformationThe Freedom of Information (FOI) Act 2000 gives an individual a right of access to any recorded information, subject to exemptions, held by a public authority. Each business area has Knowledge and Information Liaison Officers (KILOs) who reply to these requests.

What information does the FOI Act cover?

• Information held electronically, e.g. emails

• Information that is recorded on papers, e.g. letters, memos or papers in a file

• Sound and video recordings, e.g. CDs or video tapes

We have a statutory duty to reply to FOI requests within 20 working days.

Customer raises issue via other routes(e.g. writing to his MP, a Minister or the Chief Executive, or making a Subject Access or Freedom of Information Request)

MPs see customers contacting them for support as an important part of their constituency duties. However, a person may make contact outside HMCTS in an effort to raise the profile of their case, get a faster or different response from the one we have provided.

Letters to MPs are handled locally as general correspondence; the Customer Service Team drafts replies for Ministers and the Chief Executive and it will ask courts and tribunal offices to provide case specific or court process information when necessary to make sure it provides a comprehensive reply.

TIPIf a customer specifically asks for a copy of our Complaints Handling guidance, we can send them the guide.

Back a page

Next page

Contents page

16

Subject Access RequestThe Data Protection Act 1998 (DPA) gives an individual the right to know what information HMCTS holds about them.

When a person requests access to their own personal data, this request is known as a Subject Access Request or SAR. They are entitled to any personal data about themselves that is held by the Department. If such data is held, a £10 fee and proof of ID is required.

If you receive a SAR directly from a customer, you must refer these to the Data Access and Compliance Unit (DACU):Data Access & Compliance Unit Information Directorate Post point 10.34 102 Petty France London SW1H 9AJE data.access@justice.gsi.gov.uk

We have a statutory duty to reply to these requests within 40 calendar days.

Closing down calls or correspondenceIt does not follow that every customer who makes frequent calls to a court of tribunal is unreasonably persistent.

However, it is important that we make effective use of our time and it will, therefore, be necessary at times to limit or close communication with a customer. It is important to keep a record of times and dates of phone calls.

What you can do:

• If a customer repeatedly calls members of staff with the same query, consider limiting them to a single point of contact.

• If they harass members of staff, again restrict them to calling a single point of contact (usually a manager) or if they become abusive or unreasonable, they can be restricted to communicate in writing only.

• If a customer continues to email or write repeatedly on the same issues despite having had a full reply or number of replies from us, we can refuse to respond. Managers should take this decision after ensuring that we have replied to all reasonable requests, provided contact details of other government departments, Citizens Advice and Civil Legal Advice as appropriate.The line to use is:

There is nothing further that I can usefully add on the subjects you continue to raise. I must ensure that taxpayers’ money is used effectively. For this reason and in line with HMCTS procedures, I will not be replying again unless you raise new issues.

• If an MP writes on behalf of someone who we have advised that we will no longer reply to, explain the significant amount of correspondence and that we cannot be of any further help. Point to any contact details we have given the customer. Emphasise that we will respond to new issues.

• If a customer who has been advised that we will no longer reply to them applies for information under the SAR or FOI procedures, take the normal action and pass to the appropriate person to answer.

Back a page

Next page

Contents page

17

Customer who repeatedly visits court or tribunal buildingsWhere a customer becomes aggressive or abusive in a court building, the security guards will have the skills to deal with the issue at hand. In the event the customer becomes violent the Court Security Officer can intervene (physically) and ‘exclude remove or restrain’ under the authority of the Courts Act 2003 Section 53.

Where the court has information to suggest the person present is a threat, additional security can be requested to support and ensure that the hearing goes without problem. The judge can request that security are present in the hearing room if they think this would be appropriate. Where this situation arises the court will need to make sure this is raised with their Regional Security Officer.

Where the customer has contacted the court with violent undertones in their correspondence or have been abusive or threatening (email or telephone), the Delivery Manager should speak with their Regional Security Officer.

This can include contacting the police and discussing whether the actions of the customer are a crime (normally under the harassment or malicious communication legislation) or discussion on banning the individual (insofar as the correspondence should only relate to the case at hand and should only be in writing). There is also the option to have email communication from the customer blocked by Operational Security; however we have to balance access to justice against the threats/risks that are facing staff and judiciary. If the email address of the customer is blocked this means that they are blocked from contacting the whole of the MoJ. If a block is considered appropriate then you should provide an example of emails that are being received to the Operational Security Team (OST) and approval is required from your manager (Band C and above). If the request is from a member of the judiciary then no approval

is required. You must then write to the customer using the template on the next page, and provide evidence to OST that the letter has been sent. You can then raise an order with ATOS, catalogue ID: BLKEML20 (Block an email address).

Restricting access to court or tribunal buildingsWhen there is no other option but to prohibit a customer visiting a court or tribunal building, the Cluster Manager can issue a letter advising them of this. The letter should set out:

• The courts/tribunals/area that the Cluster Manager has responsibility for

• The reasons why the Cluster Manager is writing to the customer

• Specific dates that the customer made unreasonable contact or demonstrated unreasonable behaviour with the court or tribunal. If the customer has been unreasonably persistent at more than one venue, list the dates under the heading of each venue

A template of this letter can be found on the HMCTS intranet pages for Security, Fire and Health and Safety Policy.

Dealing with confrontational situations (page 10)

Back a page

Next page

Contents page

T F E

ww

w.g

ov.u

k/m

oj

[Add

ress

/em

ail a

ddre

ss o

f rec

ipie

nt]

[Dat

e]

Dea

r Su

bjec

t: N

otifi

catio

n of

em

ail b

lock

ing

by th

e M

inis

try

of J

ustic

e Th

e M

inis

try o

f Jus

tice

has

rece

ived

[an

emai

l/em

ails

] fro

m th

e ab

ove

emai

l add

ress

, the

nat

ure

of w

hich

[h

as/h

ave]

resu

lted

in [i

t/the

m] b

eing

refe

rred

for m

anag

emen

t act

ion.

It

is th

e du

ty o

f sta

ff in

the

Min

istry

of J

ustic

e to

han

dle

all e

mai

ls p

olite

ly, p

rofe

ssio

nally

and

in li

ne w

ith

the

depa

rtmen

t’s p

olic

ies

conc

erni

ng w

orki

ng w

ith th

e pu

blic

and

equ

al o

ppor

tuni

ties.

How

ever

, any

em

ails

whi

ch re

cipi

ents

in th

e M

inis

try o

f Jus

tice

cons

ider

inap

prop

riate

(e.g

. abu

sive

, arg

umen

tativ

e an

d irr

elev

ant,

or fr

ivol

ous

and

time-

was

ting)

will

be

refe

rred

for m

anag

emen

t act

ion.

Thi

s in

clud

es b

lock

ing

the

sour

ce o

f tho

se e

mai

ls.

It ha

s be

en d

ecid

ed th

at th

e na

ture

of t

he [e

mai

l/em

ails

] rec

eive

d fro

m th

e em

ail a

ddre

ss a

bove

is g

ood

reas

on fo

r the

Dep

artm

ent t

o te

rmin

ate

this

cor

resp

onde

nce,

as

[it/th

ey] a

re c

onsi

dere

d to

be

[reas

on fo

r em

ails

bei

ng in

appr

opria

te].

This

lette

r is

ther

efor

e fo

rmal

not

ifica

tion

that

all

furth

er e

mai

ls fr

om [_

___@

____

_] w

ill b

e bl

ocke

d fro

m

reac

hing

the

Min

istry

of J

ustic

e w

ith im

med

iate

effe

ct.

If yo

u di

sagr

ee w

ith th

e de

cisi

on to

blo

ck e

mai

ls fr

om th

is a

ccou

nt, y

ou m

ay w

rite

to th

e M

inis

try o

f Ju

stic

e at

the

abov

e ad

dres

s, s

tatin

g th

e re

ason

s fo

r you

r dis

agre

emen

t, an

d re

ques

ting

a re

view

. W

e w

ill re

ply

with

the

resu

lt of

the

revi

ew w

ithin

twen

ty d

ays

of re

ceip

t of y

our r

eque

st.

[Man

ager

title

/add

ress

] Y

ours

sin

cere

ly

Min

istry

of J

ustic

e

18

Back

a

page

Nex

t pa

geC

onte

nts

page

19

5 Complaints made by customers about members of staffHMCTS Customer Standards set out how we should work with and provide a service to customers.

If a complaint is made against a member of staff, it should be investigated by their line manager or another manager of the same grade.

The manager should clarify:• That the complaint is about the member of staff, not the information

they have provided• Exactly what the member of staff said or did• Whether there were any witnesses to the alleged behaviour• If concerning a phone call, whether any recordings exist

The manager should make it clear to the customer that we cannot investigate vague allegations of rudeness or unhelpfulness. The customer must be specific about exactly what was said or what happened.

The manager should respond to the customer:• Explaining whether they found any evidence to support the allegation• Pointing to any lessons learned, staff training, or changes/

improvements they have made to procedure/policy in light of the feedback

• Making an ex gratia payment offer if they feel it is warranted

The manager should not disclose any disciplinary action which may be taken against a member of staff to the customer.

The manager should then, if appropriate, deal with the complaint made against the member of staff through the relevant poor performance, conduct or grievance procedures. Further information can be found on the MOJ Intranet Pages.

TIPIf you had a difficult experience with a customer in person or on the phone, it is a good idea to note down details of what happened at the time or shortly afterwards.

Back a page

Next page

Contents page

20

6 Complaints about contract staff

Security staffWhere a customer has a complaint against security contractors this will not be dealt with through the HMCTS complaints process. All complaints regarding the behaviour and conduct of security guards will be raised with the Court Security Officer and the Delivery Manager of the building. They will escalate the complaint directly to the security contractor for them to deal with under their own complaints procedure.

This complaint will also be copied to the Regional Asset Manager who will liaise with the venue (Delivery Manager), estates and the security contractor.

Bailiffs, Certified Enforcement Agents and Enforcement AgentsBailiffs are contracted by HMCTS to provide a specific set of services and there are different complaint handling procedures available to customers for different bailiffs and enforcement officers. However, while we should direct customers to the relevant contacts for making a complaint, we should make sure that we address any dissatisfaction about the services HMCTS is responsible for under our own administrative complaints process.

County Court and Family Court bailiffsThe customer should send their complaint to the Delivery Manager of the appropriate County Court or Family Court. The Court will then investigate the complaint and write to the customer about what action they will take.

High Court Enforcement OfficersCustomers can complain to:

• the firm the enforcement officer works for; or

• the High Court Enforcement Officers Association, which is responsible for promoting higher standards within the profession;

The Secretary High Court Enforcement Officers Association 50 Broadway London SW1H 0RGTel: 08448 244575Website: www.hceoa.org.ukEmail: enquiries@hceoa.org.uk

Civilian Enforcement OfficersThe customer should write to the Delivery Manager of the relevant Enforcement Office. They will then investigate the complaint and write to the customer about what action they will take.

Certificated Enforcement AgentsIn the first instance, the customer should consider complaining to the firm the enforcement agent works for. They may also consider:

• contacting the issuing creditor who employed the enforcement agent to act on their behalf. Some of these organisations have complaints procedures in place and information on how to complain can be obtained from them;

• contacting the Civil Enforcement Association (CIVEA), who are responsible for promoting higher standards within the profession, if the enforcement agent or the enforcement agent’s firm is a member.

Back a page

Next page

Contents page

21

Information regarding the CIVEA complaints procedure can be obtained by writing to:

CIVEA 513 Bradford Road Batley West Yorkshire WF17 8LLTelephone: 0844 893 3922Website: www.civea.co.uk/complaints.htm

Complaints about a certificated enforcement agent’s fitness to hold a certificateIf the customer feels that the behaviour of the enforcement agent has been unreasonable, they can make a complaint about their fitness to hold a certificate. They should set out their complaint on form EAC2 Complaint against a certificated enforcement agent.

Interpreter complaintsWhere a customer has a complaint against an interpreter these should be raised with Capita Translation and Interpretation (Capita TI) by logging the complaint directly onto the interpreter booking portal. The complaint handling team at Capita TI review each complaint and reply to the customer.

If the response to the complaint is not dealt with satisfactorily or to the required timescale then it should be escalated to your Relationship Manager within Capita TI and copied to MoJ Procurement.

However, while we should direct customers to Capita TI for making a complaint, we should make sure that we address any dissatisfaction about the services HMCTS is responsible for under our own administrative complaints process; for example, where we have entered an incorrect language or entered an incorrect hearing date when making the booking onto the portal booking system.

Prisoner Escort and Custody Service (PECS)All issues surrounding the PECS service provision at court sites should be dealt with at a local level in the first instance. Close liaison between court staff and the contractors is an essential element to the provision of an effective service.

Courts staff should ensure that sufficient information about any incident or complaint is provided to enable a full investigation to take place if appropriate.

If a situation cannot be resolved locally, further information regarding the process to follow can be found at PECS Complaint Handling Guide.

Back a page

Next page

Contents page

22

7 Victims and WitnessesCourts and tribunals staff should consider whether a complaint received should be dealt with as a breach of the Victims Code or Witness Charter. They should refer to the code of practice for victims of crime which sets out victims’ entitlements and HMCTS obligations as stated in the Victims Code and the Witness Charter standards of care.

As part of the revised Code of Practice for Victims of Crime (which came into force December 2013), those people identified under the Victims Code are able to make a complaint if they do not receive the information and services they are entitled to, and to receive a full response from the relevant department.

The Witness Charter sets out the standards of service that witnesses should expect from criminal justice agencies (including the courts) if they are asked to give evidence for the prosecution or defence in a criminal court. If you identify a breach of the Witness Charter which has resulted in a complaint you should immediately inform your local Witness Liaison Officer.

Complaints that are dealt with under the Victims Code and Witness Charter must be acknowledged (or answered in full) within 10 working days and must include the appropriate signposting so that it is clear who they should escalate their complaint to if they are unhappy with the response.

Staff can refer to the complete code of practice for victims of crime and the witness charter standards of care for witnesses in the criminal justice system.

If you are unsure of whether a complaint should be flagged as relating to a breach of the Victims Code or Witness Charter you should, in the first instance, discuss it with your line manager. You can obtain further advice from your local Witness Liaison Officer. When logging the complaint on CAFe you should select the radio button which asks if the complaint is a breach of the Victims Code or Witness Charter. For further information about Victim and Witness related issues you can visit the Victims and Witness intranet page.

Back a page

Next page

Contents page

23

8 Judicial complaintsJudicial decisions – If the customer is complaining about a decision made by a judge being incorrect, the proper course of action for them to consider is whether to appeal the decision. We cannot help the customer decide this or resolve it through our administrative complaints process so we suggest they seek legal advice.

9 Customer Service AwardThe National Awards provide an opportunity for us all to recognise and celebrate the hard work and success of people working across HMCTS.

The Customer Service Award recognises colleagues who have shown strong, personal commitment and sensitivity to assisting and supporting their customers and stakeholders. They will have used Lean and continuous improvement principles to develop ways of working that have significantly improved the service and value for money provided. The awards judges will be looking for a winning individual or team who have built thriving and effective partnerships and relationships with customers to understand their priorities and needs, increasing confidence.

Could you be next year’s Customer Service Award winner?

Back a page

Next page

Contents page

Judicial conduct – If the customer is complaining about the way a tribunal judge or panel member, a court judge or magistrate has behaved towards them, then you must advise them to lodge their complaint with the relevant office within three months from when this happened.i) for judges sitting in Crown and County Courts, High Court or Court of

Appeal contact the Judicial Conduct Investigations Office, Room 81–82, Queen’s Building, Royal Courts of Justice, Strand, London, WC2A 2LL, or email, inbox@jcio.gsi.gov.uk or make your complaint online.

ii) for magistrates, contact the court and they will give you details of the local Advisory Committee.

iii) for tribunal judges and members, contact the office where the problem arose and they will tell you whether your complaint should be sent to the Regional Judge, Tribunal President or the Judicial Conduct Investigations Office (see previous page).

TIPExample wording: ‘While I understand your frustration, I am unable to intervene in or change the outcome of your case. This is because a judicial decision has been made and judges are independent of government and the administration of HM Courts & Tribunals Service. If you consider the judge’s decision is wrong, you may wish to consider appealing the decision.’

24

Standard 2 Provide staff with guidance and training

We will:

• Provide support to staff on how to:

• Recognise a complaint

• Understand what maladministration means

• Investigate thoroughly

• Provide a well-written reply in a way that suits the customer

• Signpost to the next stage

• Assess an ex gratia claim fairly and consistently

• Record data on the CAFe complaint database

• Deal with unreasonably persistent customers

• Handle complaints against staff and those employed under contract

• Understand complaints made under the Victims Code and Witness Charter

• Explain the implications of not providing resolution at first contact both in terms of customer service and potential cost to the organisation

• Explain the implications to HMCTS’ reputation of a referral and investigation by the Parliamentary and Health Service Ombudsman (PHSO)

Back a page

Next page

Standard 1 Have a clear, accessible policy

We will:

• Publish information about how to contact us if unhappy with our service

• Provide different ways of contacting us – in person, phone, email, letter

• Explain the difference between a complaint about our service and dissatisfaction with a decision which has statutory review and appeal rights

• Explain the three steps of the complaints process: first contact, review and appeal

• Give the timescale in which we aim to reply (first contact and review 10 working days, appeal 15 working days)

• Give contact details for escalating a complaint to review and appeal stages and to the Parliamentary and Health Service Ombudsman (PHSO)

10 Complaints standardsThese have been agreed by the Customer Service Improvement Group (CSIG) and promoted by members in their business areas.

Contents page

25

Standard 5 Learn lessons and share information

We will:

• Seek feedback from our customers

• Understand what success looks like:

• right first time every time

• customer satisfaction

• fewer complaints

• no referrals to the Parliamentary and Health Service Ombudsman

• Have a mechanism for identifying and resolving failure demand

• Have a mechanism for recording complaints

• Have a mechanism to share this information with other business areas

• Point to improvements as a result of feedback/lessons learned

• Make a Customer Service Award nomination annually at the HMCTS Regional and National Awards

Standard 4 Ensure we provide customers with a quality service

We will:

• Promote HMCTS Customer Standards

• Have a process for quality assuring complaint replies

• Monitor compliance with timescales for replying

• Have a process of ensuring that ex gratia offers are appropriate and consistent

• Have a process of ensuring that appeal step complaints are answered by someone not involved in the previous steps

• Consult on and review guidance regularly

Back a page

Next page

Standard 3 Handle ex gratia requests fairly and consistently

We will:

• Not disadvantage customers as a result of maladministration

• Return the customer to the position they would have been in, had we not made an administrative mistake

• If we cannot do so, then consider making an ex gratia payment

• Consider requests fairly on their merits

• Be consistent in assessing requests

• Make payment promptly

Contents page

26

11 Useful linksEX343 Leaflet

Parliamentary and Health Service Ombudsman (PHSO)

Customer Analysis and Feedback System (CAFe)

Customer surveys

Plain English Campaign

HMCTS Customer Standards

Code of practice for victims of crime – HMCTS obligations

Complete code of practice for victims of crime

Good complaint handling – e-learning

Freedom of Information (FOI) Act 2000

Courts Act 2003 Section 53

Effective Communication (e-learning)

HMCTS Complaint Handling E-learning

Quality Assurance Checklist

Standard 6 Use feedback to improve customer service

We will:

• Use customer feedback to inform change and improvement

• Tell the customer if/how their feedback has changed a process or policy

• Provide data on the percentage of complaints answered in target

• Use the CAFe recording system to record and report:

• performance against target

• data on ex gratia payments

• main complaint issues

• root causes of complaints, lessons learned and corrective action taken to improve our service

Back a page

Next page

Contents page

HM

Cou

rts

& T

ribun

als

Serv

ice

Offi

ce N

ame

Offi

ce A

ddre

ss

Em

ail:

Te

l:

(Cus

tom

er N

ame)

(C

usto

mer

Add

ress

) O

ur re

f: 00

051/

1123

/131

4 12

Aug

ust 2

014

Dea

r (C

usto

mer

Nam

e)

Del

ay in

list

ing

your

app

eal

Than

k yo

u fo

r you

r let

ter o

f 16

July

abo

ut th

e tim

e it

has

take

n to

arr

ange

a h

earin

g da

te fo

r you

r E

mpl

oym

ent a

nd S

uppo

rt A

llow

ance

app

eal.

I am

sor

ry y

ou h

ave

had

reas

on to

com

plai

n ab

out t

he

serv

ice

you

have

rece

ived

from

the

Firs

t-tie

r Trib

unal

– S

ocia

l Sec

urity

and

Chi

ld S

uppo

rt. I

am a

lso

sorr

y fo

r the

del

ay in

repl

ying

. I r

ealis

e th

at y

ou h

ave

foun

d ou

r han

dlin

g of

you

r app

eal f

rust

ratin

g. I

have

look

ed in

to th

e re

ason

s w

hy it

ha

d no

t bee

n lis

ted

for a

hea

ring.

I fo

und

that

, afte

r it w

as re

ferr

ed to

Jud

ge W

atki

ns fo

r dire

ctio

ns o

n th

e ne

w e

vide

nce

you

subm

itted

, it w

as n

ot re

turn

ed, a

s it

shou

ld h

ave

been

, to

the

listin

g se

ctio

n fo

r a

hear

ing

date

to b

e se

t. In

err

or it

was

file

d aw

ay a

nd n

o fu

rther

act

ion

was

take

n.

As

soon

as

I dis

cove

red

this

, I c

onta

cted

the

List

ing

Man

ager

and

ask

ed th

at y

our c

ase

be g

iven

a

hear

ing

date

as

a m

atte

r of p

riorit

y. T

he d

ate

is 2

2 S

epte

mbe

r and

you

will

rece

ive

a no

tice

of h

earin

g in

th

e ne

xt fe

w d

ays.

I a

m s

orry

for a

ny in

conv

enie

nce

this

ove

rsig

ht h

as c

ause

d yo

u. If

you

are

not

sat

isfie

d w

ith m

y re

ply,

you

ca

n w

rite

to:

Nam

e an

d tit

le

Add

ress

P

leas

e ex

plai

n w

hy y

ou re

mai

n di

ssat

isfie

d.

You

rs s

ince

rely

(S

taff

Nam

e)

(Sta

ff Jo

b Ti

tle a

nd lo

catio

n)

27

Back

a

page

Nex

t pa

ge

Anne

x A

– Ex

ampl

e le

tter

for d

elay

H

M C

ourt

s &

Trib

unal

s Se

rvic

e O

ffice

Nam

e O

ffice

Add

ress

Em

ail:

Te

l:

(Cus

tom

er N

ame)

(C

usto

mer

Add

ress

) O

ur re

f: 00

051/

1123

/131

4 12

Aug

ust 2

014

Dea

r (C

usto

mer

Nam

e)

Than

k yo

u fo

r you

r let

ter o

f 3 A

ugus

t abo

ut y

our c

ase

hear

d at

Any

whe

re C

ount

y C

ourt

on 2

4 Ju

ly.

I am

sor

ry th

at y

our e

xper

ienc

e at

the

cour

t was

not

a p

ositi

ve o

ne. I

und

erst

and

that

you

are

di

sapp

oint

ed th

at th

e co

urt d

id n

ot fi

nd in

you

r fav

our b

ut H

M C

ourts

& T

ribun

als

Ser

vice

’s (H

MC

TS)

com

plai

nts

proc

edur

e on

ly d

eals

with

com

plai

nts

abou

t the

adm

inis

trativ

e se

rvic

e w

e ha

ve p

rovi

ded.

Th

e de

cisi

on to

dis

mis

s yo

ur c

laim

was

mad

e by

a ju

dge.

Jud

ges

are

inde

pend

ent o

f the

adm

inis

tratio

n of

HM

CTS

. Sim

ilarly

, how

a h

earin

g is

con

duct

ed, i

nclu

ding

the

eval

uatio

n of

evi

denc

e an

d lin

e of

qu

estio

ning

to e

ither

par

ty, i

s al

so a

mat

ter f

or th

e ju

dge.

For

thes

e re

ason

s, I

am u

nabl

e to

com

men

t on

his

deci

sion

. If

you

feel

that

dec

isio

n w

as in

corr

ect,

the

prop

er c

ours

e of

act

ion

is to

con

side

r whe

ther

to a

ppea

l the

de

cisi

on. W

e ca

nnot

hel

p yo

u to

dec

ide

this

or r

esol

ve it

thro

ugh

the

adm

inis

trativ

e co

mpl

aint

s pr

oces

s so

we

sugg

est y

ou s

eek

lega

l adv

ice.

If y

ou h

ave

not a

lread

y do

ne s

o, y

ou m

ay w

ish

to c

onsi

der s

eeki

ng

inde

pend

ent a

dvic

e on

you

r situ

atio

n. A

ny C

itize

ns A

dvic

e pr

ovid

es fr

ee, c

onfid

entia

l and

impa

rtial

adv

ice

on a

rang

e of

mat

ters

. The

ir co

ntac

t det

ails

can

be

foun

d in

the

tele

phon

e di

rect

ory

or o

n th

eir w

ebsi

te a

t w

ww

.citi

zens

advi

ce.o

rg.u

k. Y

ou c

ould

als

o co

ntac

t Civ

il Le

gal A

dvic

e on

thei

r tel

epho

ne h

elpl

ine

on

0845

345

434

5 or

find

mor

e ab

out t

he s

ervi

ce th

ey p

rovi

de a

t ww

w.g

ov.u

k/ci

vil-l

egal

-adv

ice.

If

your

com

plai

nt is

abo

ut h

ow th

e ju

dge

cond

ucte

d yo

ur c

ase

you

can

cont

act t

he J

udic

ial C

ondu

ct

Inve

stig

atio

ns O

ffice

, Roo

m 8

1-82

, Que

en’s

Bui

ldin

g, R

oyal

Cou

rts o

f Jus

tice,

Stra

nd, L

ondo

n,

WC

2A 2

LL, o

r em

ail,

inbo

x@jc

io.g

si.g

ov.u

k or

mak

e yo

ur c

ompl

aint

onl

ine

at

http

s://w

ebap

ps.ju

dici

ary.

gov.

uk/J

CIO

/com

plai

ntlin

k.do

. You

nee

d to

do

this

with

in th

ree

mon

ths.

I m

ust e

mph

asis

e th

at th

is m

ust r

elat

e to

the

beha

viou

r of t

he ju

dge

and

is n

ot a

n op

portu

nity

to

have

the

deci

sion

revi

ewed

. I a

m s

orry

I ca

nnot

be

of a

ny fu

rther

hel

p.

[No

sign

post

ing

in th

is c

ase]

Y

ours

sin

cere

ly

(Sta

ff N

ame)

(S

taff

Job

Title

and

loca

tion)

28

Back

a

page

Nex

t pa

ge

Anne

x B

– Ex

ampl

e le

tter

for j

udic

ial d

ecisi

on

© Crown copyright 2014

You may re-use this information (excluding logos) free of charge in any format or medium, under the terms of the Open Government Licence v.3. To view this licence visit http://www.nationalarchives.gov.uk/doc/open-government-licence/version/3/ or email PSI@nationalarchives.gsi.gov.uk

Where we have identified any third party copyright material you will need to obtain permission from the copyright holders concerned.

Alternative format versions of this report are available on request from csdivfeedback@justice.gsi.gov.uk

Back a page

Contents page