OFFICE INSPECTION - ALLOA

27 & 28 FEBRUARY 2007

Background

In accordance with our Business Plan, we are committed to regular audits of District and Area Offices to ensure compliance with race relations, policies and strategies.

This is our report of the Procurator Fiscal's Office at Alloa. The Alloa office is part of the Central Area.

Methodology

Our approach to the office inspection involved consideration of the following areas:

• Adherence to policy guidelines in relation to prosecution of racist crime
• Use of interpreters and translation issues
• Employment issues
• Consultation with communities
• Deaths involving racial and/or cultural awareness issues.
• Complaints against the Police which are of a criminal nature.

The following measures are taken to inform the inspection process.

Sampling of Race Charges

The Crown Office and Procurator Fiscal Service (COPFS) has a single corporate database (herein referred to as the National Database) that connects all Procurator Fiscal Offices and Crown Office units, and facilitates the transfer of legal casework. An extract of data from the National Database is obtained from Management Information Division in Crown Office, containing details of all charges with a racial element reported to Fiscal Offices over the course of financial years 2005-06 and 2006-07 [1]. It is worth noting that the database is an operational one, not statistical, and hence is 'live', being constantly updated as cases progress. As such the extract is a 'snapshot' as at date of extraction (current extract relates to 'as at' August 2006). Data relating to earlier years (2003-04 and 2004-05) that has been obtained previously is also used to supplement the risk-assessment part of our inspection process (see section below 'The Risk-Assessed Sample' for more details).

The General Sample

We are concerned with the statutory race charges as created by the Crime and Disorder Act 1988. A sample of Section 50 racial charges and charges with Section 96 racial aggravations recorded against them was drawn from the most recent 12 months' worth of data contained in the extract and the related case papers were requested from the office and examined by the team. Those charges are those that appear, as recorded on the database, to have been dealt with in accordance with the guidelines - this part of the sampling exercise was designed simply to be an independent check on compliance with policy.

The charges were drawn using a stratified random sampling method. For details on the sampling methodology employed, please contact Kirsty MacLean (e-mail Kirsty.maclean@scotland.gsi.gov.uk) or telephone 0141 229 6203).

The Risk-Assessed Sample

Our inspection process is partly based on risk assessment. Therefore, in addition to the general sample referred to above, all case papers containing any charges which appear, as recorded on the database, to have been dealt with in contravention of the guidelines, are specifically requested for examination. Given the potential importance of such cases and since these charges are of particular interest to us, we request the relevant case papers in relation to all such charges over a longer time period than that for the general sample (a minimum of 29 months as compared to 12 months).

The contraventions of policy that can be identified from examination of the data extract are charges in respect of which a fiscal fine or warning letter have been issued or proceedings taken in the District Court. (Note however that revised guidance from Crown Office was issued to staff on 23 June 2004, which thereafter made it possible to issue a warning letter in exceptional circumstances, with the agreement of the Area Fiscal).

Case papers are also requested which contain any charges that are recorded on the database as being unmarked (ie no decision yet taken as to how to proceed) or any charges where no proceedings have been taken (given the policy to always proceed where there is sufficient evidence). Case papers are also requested which contained any charges marked for 'merge' (this is where the marking Depute has decided to amalgamate one or more charges reported by the police, usually for sound legal reasons). Any other charges that appear to have been marked and/or dealt with in an unusual or unexpected manner (eg charges/cases which have been deserted) are also requested for inspection.

Case papers are also requested to be made available for inspection, regarding any deaths which were reported and investigated over the previous 12 month period where:

• special consideration was required, as defined in Annex 3 in Chapter 12 of the Book of Regulations [2] (racial and cultural awareness)
• the ethnicity of the deceased was in some way related to the cause of death (eg the murder of someone from a minority ethnic background).

A questionnaire covering a number of issues related to the areas for consideration (as outlined above) is sent to the office in advance of the inspection and returns are analysed to allow exploration of any issues raised in the returns, at the time of the inspection.

The composition of staff in post (numbers, grades and ethnicity) in the office is considered prior to the inspection visit. Similarly considered is the proportion of staff who have attended the Diversity Awareness Programme.

2001 Census data was obtained from the General Register Office for Scotland (GROS) showing Sheriff Court Districts (which equate to Fiscal Office area) by ethnic group, to allow us to consider the staff ethnicity information in the context of local population ethnic mix.

Race Crime

Crown Office policy on the prosecution of race crime is a robust one and the execution of the policy is closely monitored by the Department. A member of legal staff decides what course of action to take in each case, this is then checked by the District Fiscal for compliance with the Departmental policy and a copy of the case is then sent to the Area Fiscal. Responsibility for the monitoring of compliance in such cases lies with the Area Fiscal. Three-monthly reports from the Areas are considered at the Area Fiscals Group [3].

Table 1 - Racial Charges and Racial Aggravations reported to Alloa Fiscal Office, 2005-06 and 2006-07[1]

The data extracted from the National Database revealed that in respect of the Alloa office, in financial year (FY) 2005-06:

• No Section 50A(1) (a) charges were reported
• 53 Section 50A(1) (b) charges were reported
• 9 charges with Section 96 aggravations recorded against them were reported

And in FY 2006-07 [1]:

• No Section 50A(1) (a) charges were reported
• 17 Section 50A(1) (b) charges were reported
• 2 charges with Section 96 aggravations recorded against them were reported

In relation to the following discussion of the sampling that is carried out, please note that the number of case papers requested is not the same as number of charges drawn for sampling because a case can (and frequently does) contain more than one charge. Since the sampling is conducted at charge level, in some instances, more than one charge from a single case is selected into the sample. This meant that the number of case papers requested is lower than the number of individual charges selected.

The General Sample

A sample of 28 Section 50A charges (20 cases) and 4 charges (4 cases) with Section 96 aggravations recorded against them were drawn. Resulting from the general sample, therefore, a total of 23 case papers (32 charges) were subsequently requested for inspection.

In respect of the 28 Section 50A charges, we found that: -

• In all cases case marking policy was followed. We found evidence of good practice in that cases were rolled up where possible and bail conditions were routinely sought to protect complainers and loci. We found in one case very careful consideration being given where the corroborating witness was the 11-year-old daughter of the accused.
• In all relevant cases we found policy followed during court proceedings. We also found evidence in one case of an inappropriate plea being refused

In respect of the 4 charges with Section 96 aggravations recorded against them, we found that: -

• One case was not a race charge.
• In all cases marking policy was complied with.
• In relevant cases policy in court was complied with
• We found evidence of special conditions routinely being added to protect the complainer and locus and the marking depute correctly amending the charge proffered by the Police

The Risk-Assessed Sample

A total of 7 charges (7 case papers) were automatically requested for inspection. These consisted of:

• One Section 50A charge recorded as being marked to receive a warning letter, reported in FY 2006-07

• 4 Section 50A charges recorded as being marked for 'no proceedings', 2 reported in FY 2006-07 and 2 reported in FY 2005-06

• 2 Section 50A charges recorded as being marked for diversion, reported in FY 2005-06

In respect of the Section 50A charge recorded as being marked to receive a warning letter, we found that:

• The case had been reported to Crown Office and Crown Counsel had instructed a warning letter

In respect of the 4 Section 50A charges recorded as being marked for 'no proceedings', we found that:

• In 2 of the cases the charges were amalgamated into another charge. In one case we found good practice in that special conditions were added to bail in respect of not approaching the complainer and not approaching the locus where there was a history of the accused being a problem
• In one case the charge was correctly marked for no proceedings as there was insufficient evidence
• The last case was transferred to another jurisdiction

In respect of the 2 Section 50A charges recorded as being marked for diversion, we found that:

• Both cases were appropriate for diversion, which was successfully completed. In one case, however, it was not clear whether or not it had been referred to the Area Fiscal in accordance with policy. However, the Area Procurator Fiscal reassured the Inspectors that Alloa legal staff were aware of the requirement to obtain authorisation where diversion was under consideration.

Monitoring of Race Crime

The Area Fiscal, based in Stirling, is responsible for monitoring race crime cases in Area. Part A of the 'Racial Incident Monitoring Form' is completed by the Depute in Alloa who forwards it along with a copy of the case to the Area PA who in turn passes them to the Area Fiscal for checking. At the conclusion of a case Part B of the form is completed and forwarded in the same way.

There had been some uncertainty around the current requirements for monitoring as Crown Office had been reviewing the monitoring policy. It was understood that Crown Office Diversity Team would review a sample of cases and that this would supercede the current monitoring system with local management free to monitor as considered necessary. In January 2007 the Area Fiscal checked the position and was advised that Deputes should still complete the monitoring forms. Based on this Deputes were reminded of this need. The previous system of recording and monitoring has now recommenced.

The Area PA is responsible for collating and forwarding race crime figures to the Area Fiscals Group.

The Area Procurator Fiscal has concerns regarding the benefits which accrue from the requirements on legal staff to complete monitoring forms. The forms are not system generated and to complete the forms legal staff require to input data already available from the case papers. Accordingly, completion of the forms is labour intensive. The purpose of the forms is to monitor police and COPFS compliance with the Lord Advocates Guidelines on Race Crime. However, in the Central Area compliance is generally sound and steps have been taken to address and manage the risks of non-compliance.

The Area Fiscal provides feedback to Deputes or District Fiscals where there are any issues/difficulties relating to compliance with Crown Office race crime policy but has advised that it has not been necessary to report back to the Alloa office on failure to comply with this policy.

Interpreters

In 4 of the cases (5 charges) attempts were made to meet interpreting or translation needs. In 2 of those cases the Fiscal had contacted the Reporting Officer for confirmation that such needs existed.

A Fiscal Officer is responsible for ordering interpreters based on instructions written on cases papers by the Depute. Six requests have been made for interpreters over the past twelve months and documents have been translated on three occasions.

No problems have been reported in the use of interpreters and they always complete their section of the 'Interpreters Monitoring Form' which is sent to the office along with their invoice for payment.

Deaths

There were no deaths reported in Alloa within the last twelve months where racial and cultural considerations were a feature.

Complaints Against The Police

The Area Procurator Fiscal deals with complaints against Police Officers of a criminal nature and we seek to monitor those with a minority ethnic dimension.

In the relevant period there was one such complaint reported which on examination appeared to have been dealt with in accordance with policy but which is still ongoing.

Employment

Latest data [4] shows that 99.2 per cent of the population in the Alloa Sheriff Court District area is from a white background. Other ethnic groups, of which Pakistani is the largest at 0.3 per cent, account for the remaining 0.8 per cent.

As at 27 February 2007, Alloa had a staff of 6, consisting of:

Legal staff[5]

• 1 Development Depute

Administrative staff

• 1 Band C staff
• 4 Band B staff

There are no members of staff who are from a minority ethnic background (as self-reported to Human Resources Division in COPFS via survey) in the Alloa office.

Given the low representation of minority ethnic persons living in the area we concluded that it is not untoward that no members of staff are from a minority ethnic background.

Band B vacancies are advertised in the local press and Job Centre Plus. Copies of the adverts are sent to the Central Scotland Racial Equality Council in order that they can circulate information in the wider minority ethnic communities.

Diversity Awareness

As at 27 February 2007, all staff in the Alloa office had attended the Departmental Diversity Awareness Programme.

The Area Business Manager has attended the University of Paisley course on Professional Practice on Race Equality.

Disability and Gender

The Disability Discrimination Act 2005, which came into force in December 2006, requires the public sector to promote equality for disabled people.

We were informed that the Area will implement the COPFS Disability Equality Action Plan 2006/09.

Disabled persons can access the office via the back door where there is a ramp and a buzzer to alert staff that help is required. There is also an induction loop at the reception area of the office, which helps persons with hearing difficulties to hear more clearly.

There are plans for staff within the Area to be trained on the use of Typetalk [6] and volunteers will be sought to attend training sessions organised by SASLI (Scottish Association of Sign Language Interpreters).

The Area also ensures that where a member of staff requires specialist equipment to carry out their work then an 'Access to Work' assessment will be carried out and all necessary equipment purchased.

The Gender Equality Act 2006 comes into force in April 2007 and will require public authorities to demonstrate that they treat men and women fairly.

The Area has informed that they will implement the gender Equality Action Plan when this is introduced by the COPFS.

The Area monitors recruitment to ensure that there is no discrimination against any particular gender in the selection process.

There is an Area Training Day arranged for 23 March 2007, which will promote disability and gender themes and the relevant departmental Action Plan.

Consultation

The Area had established a Multi Agency Race Group which was chaired by the Area Fiscal. This has now been replaced by an Area Diversity Group which is currently organising the Area Training Day which has a diversity theme with a number of external organisations attending. The intention thereafter is for each member of the team to have a particular diversity portfolio to take forward.

The Area Fiscal is also a member of the Central Scotland Police Lay Advisors' Group which is a forum for obtaining views from representatives of local minority groups.

The Area Fiscal also attends the Central Scotland Racial Equality Council AGM.

The Area Business Manager is the area representative of the Forth Valley RAHMAS (Racist Attacks Harassment Multi Agency Strategy) Group, which includes various representatives from Clackmannanshire. In addition to his membership of the main Group he is also a member of a number of sub-groups.

In addition to this the District Fiscal, based in Stirling, has attended meetings with the Central Scotland Chinese Association and has attended the mosque in Stirling.

It is felt that involvement with these groups is a useful link to the leaders of the multicultural community. As a result of such groups the Central Scotland Safer Business Initiative has been set up and invitations to attend training events and launches/openings etc have been received. Any issues arising from such meetings that need addressed are fed back to staff within the Area.

Conclusions

The Alloa office has a very high level of compliance with departmental policy on the prosecution of race crime both at the initial decision making stage and in court. Several examples of good practice were found.

All staff had attended the departmental diversity programme and outreach initiatives for the Area were good.

[1] At time of extraction data was only available for the first five months of FY 2006/07 ie April to August 2006

[2] The Book of Regulations provides guidance and instruction to members of the Crown Office and Procurator Fiscal Service on the way Procurators Fiscal should be carry out their duties

[3] The remit of the Area Fiscals Group is:

• To meet regularly with the Management Board in order to discuss operational policy and business issues in the COPFS;
• To provide Area Fiscals and Crown Office Heads with opportunities to consider and advice on wider Departmental management matters, where possible, before Management Board takes the decision;
• To ensure that members accept a shared and collegiate achievement of its business goals and strategic priorities; and
• To maintain ownership of and to keep the risk register under review.

[4] General Register Office for Scotland 2001 Census of Population

[5] The District Fiscal, based in Stirling, has responsibility for the Alloa office. She attends there on an occasional basis and keeps up to date with the work of the office.

[6] Typetalk is a national telephone relay service for deaf, deafened, hard of hearing, deafblind and speech-impaired people