OFFICE INSPECTION DUMBARTON

28 NOVEMBER - 1 DECEMBER 2006

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 Dumbarton. The Dumbarton office is part of the Argyll and Clyde 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 Legal and Policy Forum [3].

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

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

• 7 Section 50A(1) (a) charges were reported
• 74 Section 50A(1) (b) charges were reported
• 20 charges with Section 96 aggravations recorded against them were reported

And in FY 2006-07 [1]:

• One Section 50A(1) (a) charges was reported
• 21 Section 50A(1) (b) charges were reported
• 7 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 41 Section 50A charges (31 cases) and 13 charges (9 cases) with Section 96 aggravations recorded against them. Resulting from the general sample therefore, a total of 54 charges (33 cases) were requested. There were 7 cases which had both Section 50A and Section 96 charges contained within them.

We discovered upon examination of the papers that one case was not actually a race case hence this was not inspected. In respect of the remaining general sample of 40 Section 50A charges (30 case papers), we found that:

• In all cases marking policy had been complied with
• In all cases policy in court was followed (there were several outstanding trials and a number of non appearance warrants) In one case, however, a plea was accepted to one charge but the narrative agreed with the defence covered all the conduct and was considered by the District Fiscal. A relevant consideration was that the accused was already serving a 4 year sentence. In another serious case a plea was accepted from one accused who then gave evidence against a co-accused. The resulting findings of guilt (and accepted pleas) included all the race charges and resulted in lengthy periods of imprisonment for both accused.
• Relevant case law was highlighted in one case for subsequent use
• In one case the police charge under Section 50 A (1) (a) was changed to Section 50 A (1) (b) to reflect a "course of conduct" by the accused rather than a single incident
• In another the Police charge was augmented by the addition of a breach of the peace charge with a Section 96 aggravation added to reflect accused's conduct
• In another case which proceeded to trial the Procurator Fiscal arranged a "standby arrangement" for witnesses from a shop
• In another COPFS guidance was copied to the court file for the benefit of court staff.
• In several cases bail was opposed by the Procurator Fiscal and in at least 1 case an appeal was lodged
• In another 2 Police reports received at different times but involving the same accused were "rolled up" into one complaint and converted into a harassment charge under Section 50 A (1) (a) to reflect the accused's targeted conduct against a particular victim. A non-harassment order (breach of which is a separate offence) was also sought under Section 234A of the Criminal Procedure (Scotland) Act 1995. In the event it was refused by the court.
• In two cases pleas offered by the defence were refused as they would have excluded the racial element.

In respect of the 13 charges (9 case papers) with section 96 aggravations recorded against them we found that:

• In all cases marking policy had been complied with.
• In all cases policy in court was followed (subject to what we say at point 2 above regarding acceptance of pleas which included some Section 96 aggravations)
• In one case a breach of the peace charge with a Section 96 aggravation was added by the Procurator Fiscal to reflect the accused's conduct.

The Risk-Assessed Sample

A total 22 charges (15 papers) were automatically requested for inspection. These consisted of:

• 11 Section 50 A charges marked for "no proceedings", 2 reported in FY 2006-07 and 9 reported in FY 2005-06

• 2 charges with Section 96 aggravations against them marked for "no proceedings", reported in FY 2005-06

• 7 Section 50A charges in respect of which warning letters had been sent, 2 reported in FY 2006-07, 4 reported in FY 2004-05 and one reported in FY 2003-04

• 2 Section 50A charges which were marked to be 'merged', reported in FY 2006-07

In respect of the 11 section 50 A (1) (b) charges marked for no proceedings we found we found that the decision was correct in all instances. In one case the charge had in fact been "merged" with another charge.

In respect of the 2 charges with a Section 96 aggravation marked for no proceedings we found that the decision was correct in all instances.

In respect of the 7 charges which had resulted in warning letters the decision was in line with policy but there was no indication that the Area Fiscal had approved the decisions (as currently required). The present District Fiscal will ensure such decisions are referred to the Area Fiscal.

In respect of the 1 case which had been "merged" this case had in fact been "rolled up" with another to show the accused's course of conduct.

Monitoring of Race Crime

Monitoring of race crime cases in the Dumbarton office is the responsibility of the District Fiscal. Legal staff complete Form A of the 'Racial Incident Monitoring Form' at the marking stage and pass it along with a copy of the case papers to the District Fiscal's PA. At the conclusion of a case Form B's are completed by the court depute and submitted to the PA in the same way. These papers are reviewed on a quarterly basis by the District Fiscal who completes part 2 of forms.

The forms and copy cases along with the office quarterly return are then forwarded to the Area Business Assistant who compiles a quarterly area return, which is reviewed by the Area Fiscal and forwarded to the Legal and Policy Forum at Crown Office.

In addition to this, Legal staff are required to consult with the District Fiscal (or Principal Depute) at the marking stage with regard to cases where no proceedings or no further proceedings decisions may be taken.

The Area Fiscal discusses the operation of the monitoring process and the handling of race cases along with any issues arising from the review and feedback from the Legal and Policy Forum meetings at the monthly Area Management Meetings. All District Fiscals in the Area have objectives in relation to monitoring race crime cases in their performance agreement.

The office could not be sure that all form A's and B's are completed as there is no management information available to show all race crime cases reported to the office. Dumbarton is not alone with this problem, as we have highlighted in other reports.

As with other studies our inspection revealed the high incidence of racist abuse taking place in shops.

Interpreters

In two cases interpreters were used by the Procurator Fiscal and clarification sought in a third case from the police where the position was not clear in the police report.

The Area Business Assistant based in Paisley is responsible for ordering interpreters for all the Area offices. In Dumbarton, legal members of staff note interpretation requirements on case papers and admin staff e-mail these requirements to the Area Business Assistant who makes arrangements through Global Language Services. An e-mail confirmation is then issued to the office, which confirms attendance of an interpreter.

The Dumbarton office has made 17 bookings for interpreting services during 2006. Requests were also made for a summary complaint and three warning letters to be translated and there is currently a letter pending to be translated into Urdu.

There is no known dissatisfaction with the use of interpreters and they always fill in their part of the interpreters monitoring form.

Deaths

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

Complaints Against The Police

The 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 closer examination by the Procurator Fiscal was adjudged non-criminal and referred back to the police.

Employment

Latest data [4] shows that just over 98 per cent of the population in the Dumbarton Sheriff Court District area is from a white background. Other ethnic groups, of which Indian is the largest at 0.6 per cent, account for just less than 2 per cent.

As at 1st October 2006, Dumbarton had a staff of 28, consisting of:

Legal staff

• 1 Senior Civil Servant
• 1 Principal Deputes
• 7 Procurator Fiscal Deputes
• 1 Trainee Solicitor

Administrative staff

• 2 Precognition Officers
• 1 Band D staff
• 1 Band C staff
• 1 Personal Assistant
• 13 Band B staff

Small numbers (less than 5) prevent disclosure of the exact number of staff who are from a minority ethnic background (as self-reported to Human Resources Division in COPFS via survey) in the Dumbarton office. However, we concluded that minority ethnic representation in the office was in line with minority ethnic representation in the local population.

Efforts are made locally when recruiting Band B staff to advertise vacancies within the minority ethnic communities by sending adverts to West of Scotland Racial Equality Council (WSREC) to circulate to relevant contacts.

Diversity Awareness

As at 28 November 2006, 25 of the 28 staff in the Dumbarton office had attended the Departmental Diversity Awareness Programme. Arrangements will be made for the remaining three to attend on the next available course.

One member of staff has completed the University of Paisley course on Professional Practice in Race Equality and was awarded a pass with distinction.

Consultation

The District Fiscal is a member of the Area Diversity Team and the office is represented on the West Dunbartonshire Multi-Agency Racial Incident Monitoring (MARIM), the East Dunbartonshire Ethnic Minorities' Liaison Group and the Argyll and Bute Community Safety Forum, which is the group within Argyll and Bute local authority area that takes responsibility for race and diversity matters.

The District Fiscal has, since his appointment in September 2005, established links between the Dumbarton office and local minority ethnic communities and has provided a talk on the work of the COPFS to the West Dunbartonshire Ethnic Minorities Association. Another similar talk is planned to be delivered in December to the West Dunbartonshire Asian Woman's' Group and a similar talk again in conjunction with colleagues from Glasgow C Division is planned for the AGM of the East Dunbartonshire Ethnic Minorities Forum.

It is felt there is a benefit in being involved in the above groups as it allows the office to remain aware of events, issues and actions on part of other agencies, which might inform their own practice in dealing with minority communities and allow them to better respond to particular issues and concerns. It is also felt that it is important to establish direct links with community groups in order to raise awareness of the work of the COPFS and the workings of the criminal justice system, establish mutual understanding and learn about relevant issues and perceptions.

The District Fiscal has advised that he has received valuable assistance from the secondee from WSREC.

The Dumbarton office has also signed up for a Departmental pilot of a new diversity initiative called 'Happy to Translate' in which the office will display the Happy to Translate Logo on some stationery and at reception points. This will allow members of the public who speak limited English to point to the logo and this will in turn allow staff to follow a procedure to identify the language the person is using.

Conclusions

The Dumbarton office had a very high rate of compliance with policy on the prosecution of race crime, the only issue we raise being the referral of warning letters to the Area Fiscal for approval which has now been addressed.

There were many examples of good practice including the use of "roll ups", opposition to bail, the need for interpreters being explored and not simply reliance made on police reports, stand by arrangements for shopkeepers etc.

The present District Fiscal has taken the initiative in establishing outreach initiatives with the local community and arrangements are in hand for the few staff who have not attended the diversity awareness programme to so do.

Finally we would like to record our thanks to the District Fiscal and his staff for the comprehensive way in which our pre visit questionnaire had been completed and the way the cases we asked to inspect were presented to us, this greatly facilitated the inspection process.

[1] At time of extraction data was only available for the first five months of FY 2006/07 i.e. 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 Legal and Policy Forum is: To take the lead in the development of prosecution policy and consider legal and operational issues within the Crown Office and Procurator Fiscal Service. The Forum also acts as sounding board for wider management issues and a means for all Area Fiscals to have an input into the overall management of the COPFS

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