The Role of the Scottish Public Services Ombudsman SPSO

1. The Role of the Scottish Public Services Ombudsman (SPSO) Tenants Regulation Advisory Group 27 February 2006 Carolyn Hirst, Deputy Scottish Public Services Ombudsman

2. What is an Ombudsman? An official appointed to investigate complaints Chambers Concise Dictionary

3. The Scottish Public ServicesOmbudsman Act 2002 �One-stop-shop� bringing together Health Service Commissioner for Scotland Scottish Parliamentary Commissioner for Administration Commissioner for Local Administration in Scotland Housing Association Ombudsman for Scotland + new areas (mental health, Enterprise bodies) Started operating 23 October 2002

4. What does the SPSO do? Handles unresolved complaints when a member of the public claims to have suffered injustice or hardship as a result of maladministration or service failure on the part of a listed authority that comes within the remit of the SPSO Increases public awareness Promotes good administrative practice

5. Listed Authorities Registered Social Landlords Local Government Health Service Scottish Parliamentary Corporate Body Scottish Executive Departments and Agencies Scottish Public Authorities Cross Border Authorities Further and Higher Education Institutions and�.. acting on behalf/delegated functions

6. SPSO Characteristics Independent Impartial Free Accessible Last resort Confidential Accountable Power to require evidence

7. Overall Statistics Total Complaints and Enquiries received 2003-04 = 1,377 Total Complaints and Enquiries received 2004-05 =1,791 Local Authorities � 69% NHS � 15% Housing Associations � 10% Scottish Exec/Agencies � 6%

8. Complaint Subject as % of total cases received in 2004 - 2005 Council � Planning applications (9.7%) Council + HA - Housing Repairs and Improvements (8.5%) NHS - Clinical Treatment (7.3%) Council + HA - Housing Allocations (5%) Council - Council Tax (4.9%) Council + HA - Neighbour Disputes (4.3%)

9. Complaints Investigation What does the SPSO Act 2002 say? It is for the Ombudsman to decide whether to initiate, continue or discontinue an investigation The Ombudsman may take such action in connection with the complaint or request as the Ombudsman thinks may be of assistance in reaching any such decision Such action may, in particular, include action with a view to resolving the complaint

10. SPSO Complaints Process Consideration Can we look at the complaint? Body within jurisdiction? Aggrieved member of the public? Subject within jurisdiction? Excluded matters Discretionary issue? Time limits Alternative right of appeal Premature? What does the complainant want?

11. What is Maladministration? No statutory definition Some examples bias, unfair treatment, delay, muddle, rudeness, perversity, failure to follow procedures and policies, inconsistency, discrimination, knowingly giving misleading or inadequate information or advice.

12. What is Service Failure? Statutory definition: Any failure in a service provided by the authority Any failure of the authority to provide a service which it was a function of the authority to provide

13. Benchmarks Housing Law and other relevant legislation Policies and procedures, tenancy agreement, tenant�s handbooks Guidance issued by Scottish Executive, Communities Scotland, CIoH and SFHA Good practice

14. SPSO Complaints ProcessInvestigation What happened and what should have happened? Has there been maladministration or service failure? Has there been injustice or hardship as a result? Has the injustice/hardship been remedied?

15. SPSO Complaints ProcessEnd of Investigation Draft report shared with both parties If maladministration/service failure found, report will include recommendations Final report sent to parties, copy to Scottish Ministers, laid before Scottish Parliament, made public If recommendations made, follow-up to make sure these are implemented

16. RemedyPutting Things Right Action to put the Complainant � as far as possible � back in the position they would have been in if things had not gone wrong: apology/explanation action to mitigate any injustice reimbursement of actual loss/costs possibly, other suitable redress possibly, modest payment for time/trouble exceptionally, asking authority to propose action

17. RemedyStopping It Happening Again Action to ensure � as far as possible � that the same thing does not happen to anyone else: changes to procedures changes to policy staff guidance/training feedback about changes

18. Publicising the SPSO As well as the requirement to publicise an Investigation Report, as part of their complaints procedure, and in any response issued to a complainant, the listed authority is required to: give information about the right to make a complaint to the Ombudsman the time limit for doing so our contact details

19. Reasons for Housing Complaints Poor communication Failure to follow policy/procedure Lack of clear policy/procedure Delay Poor record keeping Verbal assurances Flawed decision making Bias/Discrimination

20. Learning from Housing Complaints Pressure points: Change i.e. new staff/new systems Start/end tenancy (esp. RTB) Third parties Insurance/compensation claims Importance of concise, relevant information

21. What does the SPSO do? Handles unresolved disputes Provides an independent, free and impartial way of obtaining administrative justice.

22. What is Administrative Justice? Administrative justice - the methods by which the citizen can obtain access to justice to resolve his/her dispute with a public authority. Complaints Procedures Alternative Dispute Resolution Tribunals Courts Ombudsmen Different dispute resolution options offer different processes and potential outcomes

23. What Outcomes Do People Want? To make something happen Receive an apology Reversal of a decision Make sure that the same thing does not happen to others Receive compensation Obtain justice � may be a matter of principle Secure retribution � such as a staff member disciplined

24. What do customers want? know who is dealing with the complaint be listened to and believed be treated fairly and efficiently be kept informed of progress And believe that professionals are committed to the people they are serving and will take responsibility and ownership for the services they deliver (Policy Commission on Public Services 2004)