TheSPSO–complaints, learningandimprovementThis leaflet explains what happens when a complaint is made to the SPSO.It also has information about our work in sharing the learning fromcomplaints to bring about service improvements and about what we doto promote good complaints handling in public services.

1 Ourprocess

2 Reportingourfindings

3 ComplaintsStandardsAuthority

4 Trainingcourses

If you need this information in another format, such as largefont or a different language, please call our advice teamon 0800 377 7330. You can also look on our website:www.spso.org.uk.

ScottishPublicServicesOmbudsman

1OurprocessAdviceandAssessment

When we receive a complaint, we assess it tomake sure it is one that we can, by law, look at.We will check that it:

> is about a subject and organisation that wecan look at under the SPSO Act 2002

> has completed the organisation’s owncomplaints procedure

> has arrived within 12 months of thecomplainant being aware of the problem

> has arrived with the required paperwork.

We will also check that the body has met itsobligation to signpost the complainant to theSPSO.

Early ResolutionIt is in everyone’s interests for things to besorted out quickly and as close to theproblem as possible. Where appropriate,our Early Resolution team will explore theopportunities for a complaint to be resolvedearly by discussing possible solutions withthe organisation and the complainant.

If early resolution is not possible and if thecomplaint is one that we can look at it will beexamined further by one of our complaintsreviewers.

Whathappensnext?

Our complaints reviewer will discuss with thecomplainant what the complaint is about,make enquiries with the organisation anddiscuss what we may be able to achieve,if anything, for the complainant.

Our complaints staff are impartial and takeinto account both sides of the story. They willcollect and consider evidence from both thecomplainant and the organisation.This may involve:

> examining the complaints correspondence

> speaking to the complainant and theorganisation concerned

> seeking written answers to questions

> getting copies of documents (such asmedical records)

> taking expert advice where necessary

> interviewing.

AboutusWe are the final stage for complaints about most public services in Scotland. Our service isfree, independent and impartial. We have two main functions. The first is to look at unresolvedcomplaints. We try to put things right when there has been a failing in a public service. Animportant part of our work involves sharing lessons from complaints to improve the deliveryof public services. We do this by publishing our findings and regular updates about our work.

Our second function is to improve complaints handling in public services. This work isled by our Complaints Standards Authority.

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SPSOinformationrequests

At any stage of our process we may ask your organisation for information by phone, email orin writing. Wemay ask for:

> a full copy of the complaints file and related documents including the original letterof complaint from the complainant and your initial and final replies

> a copy of your complaints handling procedure

> in health cases, some or all of the medical records

> a copy of any relevant policies and procedures in place at the time the complaint wasdealt with, as well as current versions (assuming changes have been made as a resultof the complaint)

> relevant external policies or procedures such as Scottish Government guidance.

Any information that we ask for should be provided by the deadline given by the complaintsreviewer. This is normally within 10 working days of writing to you. This information should becollated chronologically and clearly indexed where possible. If you think there may be difficultiesin providing the information within the timescale, you must let the reviewer know as soon aspossible and, in any event, before the deadline.

Information provided to the SPSOmay be shared with the complainant while we are consideringtheir complaint. It may also be released following a subject access request under the DataProtection Act 1998.

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Organisations have the right to comment on the allegationsmade in a complaint.Each complaint has a dedicated complaints reviewer and wewill give you their nameand contact details at the beginning of the process. If at any stage you would like tocheck something or require an update, please phone, write or email the reviewerfor information.

www.spso.org.uk

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Decisionletters

To apply our resources proportionately andmaximise our impact, the majority of complaintswe investigate end in a decision letter rather thanin an investigation report.

The decision letter sets out the backgroundto the complaint, the evidence that thereviewer has gathered and their analysis andconclusions. It is a letter from the reviewerto the complainant, though we also let theorganisation know about the complaint andthe conclusion we have reached. Wemay makerecommendations to the organisation in thedecision letter. We usually copy the letterto the organisation.We will usually issue a decision letter if:> the organisation accept there were failings,apologise and take action to prevent theproblem from happening again

> from the evidence, it appears that theorganisation did not do anything wrong(to use formal language, there is noevidence of maladministration or servicefailure by the organisation)

> the Ombudsman has decided thatthe substance of the complaint and ourdecision on it do not raise public interestconsiderations.

We publish a report on most of these decisionseach month, after laying a report before theScottish Parliament.

Investigationreports

We prepare an investigation report when we thinkit is in the public interest to do. An investigationreport sets out the background to the complaint,the evidence that the reviewer has gathered andtheir analysis and conclusions. It will usuallycontain recommendations for redress andimprovement. We send investigation reports tothe Scottish Parliament and the law says thatwe must also send them to Ministers in theScottish Government.

Criteria for laying investigation reports

We only lay a small number of investigation reportsbefore the Parliament. The Ombudsman decideswhether an investigation should be reported to theParliament. The criteria for doing so include:> significant personal injustice> systemic failure cases> precedent and test cases> significant failure in the local complaintsprocedure.

Before the final report is published, we send a draftversion to the complainant and your organisationto give you a chance to highlight any factualinaccuracies. Any information received will beconsidered carefully but it is for us to interpret thefacts and the available evidence and come to ajudgement.

Outcomes– redressandrecommendationsWhen we finish looking at a complaint, we maymake recommendations to an organisation.These can include:> an apology and/or an explanation> reviewing procedures or policies> carrying out staff training> where possible, reimbursement of any actualloss/costs necessarily incurred

> other suitable redress, either under aredress scheme run by the organisationitself or as a ‘one-off’ based on the specificcircumstances of the case. In most casesthis is likely to be non-financial.

We will ask the organisation to provide evidencethat our recommendations have been carried out.

AnonymityThe SPSO Act 2002 sets out how we canpublicise our work. Investigation reports anddecision letter reports will name the organisationthat is complained about but will not name thecomplainant or, as far as possible, containinformation that might allow any individual to beidentified. Wemay exclude a decision from ourdecision report if we are concerned that theinformation could identify an individual.

2 Reportingourfindings

Requests for review can be made byorganisations as well as complainants. Thereare more details about this below and on ourwebsite. We always carefully consider whatthe parties involved in a complaint tell usabout it. It is, however, for us to decide onthe final outcome.

Decision letterYou can request a review of our decision on acase where a decision letter has been issued.The grounds for doing so are limited. We willnot accept a request for a review on the basisthat someone simply disagrees with theoutcome of a case.

A decision review request can be made onthe following grounds:

> You feel that we made our decision basedon important evidence which contains factsthat were not accurate, and you can showthis using readily available information

> You feel you have new and relevantinformation that was not previously availableand which affects the decision we made.

There is a gap of at least six weeks between usissuing a decision letter to a complainant andlaying the decision report before Parliament andposting it on our website. This is to allow timefor the review process if requested.

There is more information about requestinga review on our website. See:www.spso.org.uk/how-complain/complaining-about-spso/challenges-casework-decisions

Investigation reportBoth parties will have had the opportunityto comment on the facts of an investigationreport when they received it in draft. Once aninvestigation report has been laid before theParliament, it cannot be altered. The onlyway to challenge the decision that appearsin an investigation report is by using judicialreview proceedings.

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www.spso.org.uk

AskingforareviewofanSPSOdecisionletterorinvestigationreport

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SharingthelearningWe have laid investigation reports beforethe Parliament since 2002 when the SPSOwas set up. We began to lay a report ofdecision letters (technically, these are‘discontinued investigations’) in June 2011,when new legislation allowed us to do so.We lay these in a report each month.

This report consists of a short ‘digest’ ofeach complaint, with our decision andrecommendations. To make these decisions asaccessible as we can, we post the digests onour website. They are searchable, for exampleby body, subject and outcome.

You can read our findings at our website:www.spso.org.uk/our-findings

Ombudsman’sNewsletterWe also publish a regular, usually monthly,e-newsletter that summarises the mainfindings from complaints. The newsletterdraws attention to particular issues andhighlights recurring themes and trends so thatlessons can be learned and improvementsmade. It is emailed to over 1,700 subscribersincluding public service providers, MSPs,government ministers and the press.You can subscribe to the newsletter online at:www.spso.org.uk/subscribe.

MediapolicyAny report that is sent to the Parliamentbecomes a public document which meansthat the media has access to it and maypublicise it. Our media policy lays out how wewill respond to press enquiries. If a complainantor organisation wishes to speak to the presswe will facilitate that communication byproviding the journalist’s details, but we willnever give complainant details to the press.

Ours is a ‘no surprises’ policy and we workwith organisations to ensure that they areprepared for possible media coverage.For more information about how we dealwith the press, contact our communicationsteam on 0131 240 8849.

3TheComplaintsStandardsAuthority

The Public Services Reform (Scotland) Act2010 gave the SPSO a new statutory functionin improving complaints handling in bodiesunder our jurisdiction. The Act givesus the authority to lead the development ofsimplified and standardised complaintsprocedures across the public sector. We havedeveloped, in consultation with stakeholdersand members of the public, a Statement ofComplaints Handling Principles. Theseprinciples were approved by the Parliamentand published in January 2011. All bodiesunder our jurisdiction must have complaintshandling procedures that comply with theseprinciples.

The Act also gives the SPSO the power topublish model complaints handling procedures(CHPs). Our internal unit, the Complaints

Standards Authority (CSA), is developingstandardised model CHPs for different sectors.These procedures are being developed in linewith the principles and our Guidance on aModel Complaints Handling Procedure whichwas published in February 2011. Underpinningthe principles and guidance is the ethos of‘getting it right first time’ and using the lessonslearned from complaints to improve servicedelivery. The emphasis is firmly on simpler,streamlined and more timely complaintshandling with local, early resolution byempowered and well-trained staff.

The CSA also provides support in providingguidance and sharing good practice acrossand within sectors. See our complaintsstandards website for more information:www.valuingcomplaints.org.uk

4TrainingcoursesWe have developed two bespoke,direct-delivery one-day training courses.The first is for frontline staff dealing directlywith enquiries and complaints fromthe public (Good Complaint Handling)and the second is for staff responsible forinvestigating and responding to escalatedcomplaints (Complaint Investigation Skills).Both courses are run by experienced SPSOstaff who use case studies and a variety ofdifferent activities to enhance and develop theparticipants’ knowledge and skills. The coursesare interactive and encourage learning bydiscussion and practical application. Thetrainer will be familiar with the organisation’scomplaints procedure.

We have delivered training to dozens oforganisations in a wide variety of sectorsincluding local authorities, the NHS in Scotland,the Scottish Prison Service and housingassociations. As well as sector-specific courses,we also develop bespoke courses for allsectors. We have also developed sectorale-learning training courses. E-learning coursescan be accessed atwww.spsotraining.org.uk.

Wewelcome contact from organisationswho are thinking about undertaking SPSOtraining. For training information, email:training@spso.org.uk or go towww.valuingcomplaints.org.uk/training-centre.

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ScottishPublicServicesOmbudsman

ISSUENUMBER:IL4_0313

ContactingusAdvice line freephone: 0800 377 7330

Address: 4 Melville Street, Edinburgh, EH3 7NS

SPSO information: www.spso.org.uk

SPSO complaints standards: www.valuingcomplaints.org.uk

SPSO training: www.valuingcomplaints.org.uk/training-centre