Public Services Ombudsman for Wales Welcome Public Services Ombudsman for Wales

A Seminar by the Public Services Ombudsman for Wales LESSONS LEARNT: A Seminar by the Public Services Ombudsman for Wales

A Seminar by the Public Services Welcome and Introduction LESSONS LEARNT: A Seminar by the Public Services Ombudsman for Wales Welcome and Introduction Susan Hudson Policy and Communications Manager

A Seminar by the Public Services Ombudsman for Wales LESSONS LEARNT: A Seminar by the Public Services Ombudsman for Wales Experience to date Peter Tyndall Ombudsman

Investigating Complaints Improving Services Engaging Office soundly established Comprehensive brief adds value Committed to investigating complaints for the individual and contributing to improved services Service accessible – but outreach will be key Need to pass on lessons, and understand issues facing bodies in jurisdiction Seminars part of programme of engagement Investigating Complaints Improving Services

Learning from complaints Individual Organisation – from reports Sector - Public reports and digests Regulators Legislators Newsletter, website, conferences, meetings, seminars Investigating Complaints Improving Services

Complaints about Public Bodies by Subject 2007/08

Complaints about Local Authorities by Subject 2007/08

New Workload Trends Since 2005/06

Comparison on complaints about public bodies received between 2007/08 and 2008/09 April to August

Investigating Complaints Improving Services Broad messages Unhappy customers v maladministration or service failure Valuing complaints Getting it right first time Resolving issues early Leadership is fundamental Investigating Complaints Improving Services

Investigating Complaints Improving Services Messages Partnership issues need to be addressed Follow your policy – and if you don’t, give your reasons Think about how the public will view conflicts of interest Don’t be afraid to say sorry Investigating Complaints Improving Services

A Seminar by the Public Services Ombudsman for Wales LESSONS LEARNT: A Seminar by the Public Services Ombudsman for Wales Local Government Complaints in Focus Elizabeth Thomas Director of Investigations

A Seminar by the Public Services Ombudsman for Wales LESSONS LEARNT: A Seminar by the Public Services Ombudsman for Wales Code of Conduct Complaints in Focus Andrew Walsh Director of Investigations

LESSON LEARNT: Code of Conduct Complaints in focus Andrew Walsh Director of Investigations

Code of Conduct Complaints (CCC) Complaint that a member has or may breached the code of conduct Reject or investigate Will not act on confidential or anonymous complaints Before taking any action we will ensure that complainant knows that member will be made aware of complaint and that they are if necessary prepared to give oral evidence Investigating Complaints Improving Services

Code of Conduct We will: Tell the member and MO of the complaint while we assess it – two stage test Tell the complainant and member if we decide not investigate and why If we decide to investigate we will give the member an opportunity to respond to the evidence gathered - written comments and/or interview Can discontinue at any stage Two stage test: Sufficient evidence provided to indicate a breach may have happened – will not act on supposition or second hand accounts If proven a reasonable standards committee would impose a sanction – may give opportunity for complainant to provide further evidence before final decision Investigating Complaints Improving Services

Code of Conduct Outcomes No breach of the code No action need be taken in respect of the matters investigated Breach of the code – referred to standards committee Breach of the code – referred to Adjudication Panel for Wales Will include where there is some evidence that the code has been broken but the evidence is inconclusive or that the breach is minor Not necessarily more serious = Adjudication Panel - example a member of standards committee is subject of finding Investigating Complaints Improving Services

No evidence of breach vs No action Necessary Difference between the two – no action necessary does not mean that the investigation has “exonerated” the member Minor breach – Standards Committee unlikely to impose sanction Evidence inconclusive but some evidence of breach of code Investigating Complaints Improving Services

No evidence of breach vs No action Necessary- From the case book It was alleged that the member had made discriminatory and bullying remarks to the complainant and another person (both representing a tenants association), before a meeting of a Council’s Steering Committee and during the meeting made disparaging remarks concerning the rights of the tenants’ representatives to contribute to the discussions about the Council’s proposals for change Investigating Complaints Improving Services

No evidence of breach vs No action Necessary- From the case book - Contd Witnesses confirmed discussion took place between the three before the meeting BUT none could confirm what was said. The member denied the comments All those attending the meeting said they did not hear the member making the alleged remarks and that the member’s conduct at the meeting had not caused them any concern Investigating Complaints Improving Services

No evidence of breach vs No action Necessary- From the case book - Contd Outcomes No action necessary in respect of the first element of the complaint The absence of independent evidence meant no conclusion could be reached – neither version of events was preferred Investigating Complaints Improving Services

No evidence of breach vs No action Necessary- From the case book - Contd The overwhelming evidence from those who attended the meeting was that there was no substance to the complaint As a result a no evidence of breach finding Investigating Complaints Improving Services

Code of Conduct Complaints -2007/08

Main Areas of complaints Old vs New code Promotion of equality and respect – para 4 old code Must carry out duties and responsibilities with due regard to the need to promote equality of opportunity for all people regardless of …and show respect and consideration for others Must to do anything which compromises or which is likely to compromise the impartiality of the authority’s employees Investigating Complaints Improving Services

Main Areas of complaints Old vs New code contd Para 4 new code You must (a) carry out your duties and responsibilities with due regard to the principle that there should be equality of opportunity for all people regardless of … (b) show respect and consideration for others (c) not use bullying behaviour or harass any person (d) do anything which is compromises or is likely to compromise the impartiality of those who work for or on behalf of your authority Investigating Complaints Improving Services

Main Areas of complaints Old vs New code contd Main differences Bullying and harassment now specifically mentioned “Authority’s employees” extended to specifically include individuals working on behalf of the authority –removes any ambiguity about status e.g. management consultants, contractors Investigating Complaints Improving Services

Main Areas of complaints Old vs New code contd Objectivity and Propriety Para 8 Old code A member when reaching decisions: (a) must reach decisions on the basis of the merits of the circumstances involved and in the public interest; (b) must reaching decisions having regard to any advice provided by the authority’s officers in particular… (c) must give reasons for decisions in accordance with authority’s requirements … Investigating Complaints Improving Services

Main Areas of complaints Old vs New code contd Para 8 new code You must (a) when participating in meetings or reaching decisions regarding the business of your authority, do so on the basis of the merits of the circumstances involved and in the public interest having regard to any relevant advice provided by your authority’s officers, in particular by,… (b) give reasons for all decisions in accordance with any statutory requirements and any reasonable additional requirements imposed by your authority Investigating Complaints Improving Services

Main Areas of complaints Old vs New code contd Main differences Fundamentally same provisions – just worded differently Must take account of officer recommendation – does not mean to have to accept it BUT good reasons not to accept advice AND reasons MUST be recorded e.g in minutes of meeting Investigating Complaints Improving Services

From the case book Para 4(a) – Old Code A senior officer complained that the member criticised his professionalism as a planning officer at a planning committee. The member inferred that an application would have been recommend for refusal in another part of the borough After the meeting the officer told the member he found the remarks offensive but the member failed to withdraw them Investigating Complaints Improving Services

From the case book – Cont’d Witnesses confirmed remarks were uncalled for or offensive. Some commented that the member often speaks that way as he “speaks before he thinks” Not convinced he meant to offend officer BUT Member had previously appeared before Standards Committee for a similar incident – censured and instructed to undertake training on the code – and remarks were offensive Investigating Complaints Improving Services

From the case book – Cont’d Failure to learn from previous incident Referred to Standards Committee Although a “repeat” offence exceptionally decided better resolved at local level Member suspended for three months Decision upheld on appeal Investigating Complaints Improving Services

From the case book – Cont’d Breach para 4(a) old code - fail to show respect and consideration for others New code para 4(b) – fail to show respect and consideration for others No change Same facts = same outcome of investigation Investigating Complaints Improving Services

From the case book – Cont’d A member of the public complained that members of a planning committee at three of its meetings voted to approve the same development against officer advice The application was granted The Council’s Planning Code of Conduct required that reasons for rejecting officer advice MUST be recorded in the minutes Investigating Complaints Improving Services

From the case book – Cont’d Minutes recorded extensive debate on application No reason recorded to vote against officer advice Investigating Complaints Improving Services

From the case book – Cont’d Paragraph 8(a) and 8(b) considerations Vote was against officer advice Minutes indicated that members “had regard” to that advice before voting and public interest was considered “Having Regard to” does not mean slavishly following advice BUT MUST be good reasons for disregarding advice especially from proper officers Investigating Complaints Improving Services

From the case book – Cont’d The minutes showed that those who voted for the application had good reasons for their decision No breach of paragraph 8(a) or 8(b) Investigating Complaints Improving Services

From the case book – Cont’d Paragraph 8(c) considerations Authority’s requirement to record decision in minutes Record of debate comprehensive but reasons for decision not recorded Whose responsibility to ensure reasons are recorded? Did all members act in breach of code? Investigating Complaints Improving Services

From the case book – Cont’d Concluded that: Those voting against officer advice were responsible to ensure reason recorded Failure to by those members to ensure record reasons prime facia was a breach of code Because of wider activity within the Council concluded public interest not served by further investigation No further action needed to be taken Investigating Complaints Improving Services

From the case book – Cont’d Again provisions of old and new code same = same outcome But for local action by council investigation would have progressed to referral to committee or panel Investigating Complaints Improving Services

Other Changes to the Code Too early to identify changes to outcomes which may arise Insufficient complaints arising from new codes Biggest area of change – personal interests and declarations Always a problematical area New code greater clarity? Watch this space If in doubt consult the MO Investigating Complaints Improving Services

ADDRESS DETAILS Public Service Ombudsman for Wales 1 Ffordd yr Hen Gae Pencoed Bridgend CF 35 5LJ Tel 01656 641150 Fax 01656 641199 0845 601 0987 (local call rate) E-mail: ask@ombudsman-wales.org Website: www.ombudsman-wales.org Investigating Complaints Improving Services

A Seminar by the Public Services Ombudsman for Wales LESSONS LEARNT: A Seminar by the Public Services Ombudsman for Wales Question and Answer