1. Public Services Ombudsman for Wales
Welcome
Public Services Ombudsman for Wales

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

3. 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

4. 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

5. 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

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

7. Complaints about Public Bodies by Subject 2007/08

8. Complaints about Local Authorities by Subject 2007/08

9. New Workload Trends Since 2005/06

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

13. 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

14. 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

15. 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

16. 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

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

18. 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

19. 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

20. 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

21. 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

22. 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

23. 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

24. 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

25. 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

26. Code of Conduct Complaints -2007/08

27. 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

28. 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

29. 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

30. 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

31. 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

32. 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

33. 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

34. 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

35. 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

36. 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

37. 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

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

39. 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

40. 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

41. 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

42. 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

43. 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

44. 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

45. ADDRESS DETAILS
Public Service Ombudsman for Wales 1 Ffordd yr Hen Gae Pencoed Bridgend CF 35 5LJ Tel Fax (local call rate) Website:
Investigating Complaints Improving Services

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