Crown Prosecution Service Complaints: Goodwill Payments Guidance
This guidance is based on the Parliamentary and Health Ombudsman (PHSO) Principles of Good Complaints Handling and Principles for Remedy. This policy also incorporates the CPS Values and should be read in conjunction with the CPS Feedback and Complaints Guidance.
1. Introduction
The CPS aims to provide the highest standards of service. Unfortunately, we don’t always get things right.
When things have gone wrong, we will say so and take action to put things right and learn from our mistakes. Such actions may include:
- Acknowledging that a mistake was made and making a meaningful apology;
- Explaining what happened;
- Putting things right (for example, changing procedures or revising a policy, providing feedback or training to staff); and/or
- Making a goodwill payment.
In most cases, the most appropriate response to a complaint about service provision is likely to be by way of apology, explanation and/or acknowledgement that a mistake was made together with action to put things right.
In some cases, as a gesture of goodwill, the CPS may offer a modest financial payment, in recognition of an administrative mistake or the provision of poor service. These are sometimes also known as consolatory payments or ex-gratia payments. This Guidance sets out the factors the CPS will consider when deciding whether to make a goodwill payment as part of the complaints procedure.
This guidance should be read in conjunction with the CPS Feedback and Complaints Guidance.
2. When does this apply?
This guidance applies where the CPS has not acted properly or has provided poor service and a financial payment is being considered. This guidance applies to service complaints made in accordance with the CPS Feedback and Complaints Guidance.
Financial payments will only be considered where there is clear evidence of a failure by the CPS and where no practical action can be identified that would remedy the adverse effect that has been caused by the service failure.
This guidance does not apply to the following situations (these should be referred to the Civil Litigation Team in line with the procedure described in section 3):
- Payment requests relating solely to legal complaints (see CPS Feedback and Complaints Guidance for guidance on mixed service/legal complaints), for example relating to the decision to prosecute, selection of charges or decision to discontinue proceedings; and
- Payments requests, where it is said that CPS actions resulted in identifiable financial loss or where the complainant has indicated an intention to pursue civil legal action.
This guidance does not apply to service failures by other partner organisations such as the police, the courts or the judiciary. These complaints should be redirected to the relevant agency or department to consider.
Goodwill payments will not ordinarily be made where other financial redress is available (i.e. where civil litigation is being pursued or where the complainant is insured for their loss).
3. Civil Claims
Where a complainant indicates an intention to commence civil legal action against the CPS (arising out of our advisory or statutory functions under the Prosecution of Offences Act 1985), the matter should be referred to Civil Litigation Team within the Proceeds of Crime Division in CPS Headquarters.
Where a request for payment is made which relates to identifiable financial loss directly attributable to the acts or omissions of the CPS, advice on handling should be sought from the Civil Litigation Team.
Further guidance on this subject is contained in the legal guidance under ‘Civil Proceedings against the CPS’.
4. Factors to consider when deciding if a goodwill payment is appropriate
Goodwill payments are made where there is no legal obligation to do so and are made on a discretionary basis. Deciding whether to make a payment, and if so, how much, is a matter of judgement. Spending public funds in this way must be carefully considered and the rationale for offering a goodwill payment should be documented as part of the complaints process.
Where financial payment is identified as the right approach to an administrative mistake or service failure it should be fair, reasonable and proportionate to the circumstances of the case, taking into account the distress suffered by those complaining.
A goodwill payment will only be considered where:
- it has been accepted that the CPS made an administrative mistake or provided poor service, and
- where no practical action can be identified that would remedy the adverse effect that has been caused.
The following factors may weigh in favour of making a goodwill payment (this is a non-exhaustive list of considerations), following an assessment of the merits of the complaint and the impact of the administrative mistake or poor service:
- it contributed to ill health, or led to prolonged or aggravated injustice or hardship;
- the length of time taken to resolve a dispute or complaint;
- the trouble the individual was put to in pursuing the dispute or complaint.
The following factors may weigh against the making of a goodwill payment:
- The administrative mistake or poor service in question was predominantly caused by another organisation such as the police, the courts or the judiciary, and the role of the CPS was minimal;
- Where the complainant’s actions have contributed to or prolonged the injustice or hardship;
- Where in our assessment, an apology and explanation should suffice.
Special category requests
Occasionally, a request is made for an individual to be ‘compensated’ for actual costs or losses incurred as a direct result of the poor service they have received. This is distinct from a goodwill payment and should be handled in accordance with section 3 (above). Careful consideration is required to identify the cause of such losses. Individuals who come into contact with the criminal justice process as victims of crime, may have suffered a loss as a result of the crime committed against them rather than as a result of any action by the CPS. It is important to note this distinction when considering payment requests.
Complainants should be reminded, in appropriate cases, of their ability to seek compensation from the Criminal Injuries Compensation Authority.
Compensation for personal injury, loss or damage resulting from an offence may be awarded by the Court at the conclusion of a case. The court is obliged to consider awarding compensation in applicable cases and has a duty to give reasons where an order is not made. The prosecutor’s role is to assist the court by drawing its attention to its obligation to consider compensation, inviting them to make such an order where appropriate. Compensation Orders are not automatic and will take into account whether the defendant has sufficient means, or ability to pay within a reasonable period of time. Generally, the remedy for failing to invite the court to make an order for compensation will be a modest goodwill payment only, since the loss is not directly attributable to the CPS.
Requests for the reimbursement of professional fees (for example, where the complainant has sought legal advice to pursue the complaint) will not ordinarily be met by the CPS. The CPS Feedback and Complaints guidance provides a clear route for making a complaint and it should therefore be unnecessary to engage professional assistance in order to have concerns addressed in a full and timely manner.
5. Determining the level of payment
Goodwill payments will be awarded in line with the guiding principles set out in section 4 and should be fair, reasonable and proportionate to the circumstances of the case, taking into account the distress suffered by those complaining. Such payments may be up to £500. Each case will be considered on its own merits. However, similar case facts should give rise to similar financial remedies, unless the circumstances of the case justify an alternative remedy.
Decision makers must note the limits of their delegated financial responsibility (see section 6).
6. Approval process for offering a goodwill payment
Where a financial payment is being considered, the complaint should be referred to the Deputy Chief Crown Prosecutor (DCCP) to consider.
If the DCCP determines that a financial payment should be made, the details of the complaint, the proposed amount and the justification for that decision should be set out in writing to the Chief Crown Prosecutor (CCP) to approve a decision on payment.
Goodwill payments will be made in accordance with HM Treasury’s guidance on managing public money. As part of the CPS’ delegated financial responsibility, a modest payment can be made under this guidance. In the event that payment exceeding our delegated authority is to be made, authorisation must be sought in advance from the Treasury, via the CPS Chief Finance Officer.
Where a payment is made, that should be recorded using the appropriate cost code.
7. Goodwill payment requests considered by the Independent Assessor of Complaints (IAC)
The IAC can recommend that the CPS consider making a payment or can refer the case for consideration by the Civil Litigation Unit, in accordance with their Terms of Reference, but ultimately the decision is for the CPS alone. The Terms of Reference can be found on the Feedback and Complaints page.
The CPS will have regard to the principles in this guidance when deciding whether or not to accept a recommendation to make a financial payment.
Where a goodwill payment has already been offered, the IAC will not substitute a larger amount at stage 3, unless the amount of that payment is so low as to be unreasonable.
The decision whether or not to accept a recommendation for a financial payment from the IAC will be made by a Director of Legal Services (DLS), unless there is a conflict of interest, in which case the matter should be referred to the Chief Finance Officer.
As set out in the IAC’s Terms of Reference, if the CPS does not accept an IAC recommendation, it must write to both the IAC and to the complainant explaining why the recommendation is not being accepted. The IAC will report annually to the CPS Board, in a document published on the CPS website, on any recommendations not accepted and their reasons.
8. Review Period
This policy will be reviewed annually in conjunction with the IAC.