Public Services Ombudsman for Wales

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Welcome

• Public Services Ombudsman for Wales

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LESSONS LEARNT A Seminar by the Public Services
Ombudsman for Wales
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LESSONS LEARNT A Seminar by the Public
Services Ombudsman for Wales Welcome and
Introduction Susan Hudson Policy and
Communications Manager
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LESSONS LEARNT A Seminar by the Public Services
Ombudsman for Wales Experience to date Peter
Tyndall Ombudsman
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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

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Learning from complaints

• Individual
• Organisation from reports
• Sector - Public reports and digests
• Regulators
• Legislators
• Newsletter, website, conferences, meetings,
  seminars

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Complaints about Public Bodies by Subject 2007/08
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Complaints about Local Authorities by Subject
2007/08
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New Workload Trends Since 2005/06

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

• Unhappy customers v maladministration or service
  failure
• Valuing complaints
• Getting it right first time
• Resolving issues early
• Leadership is fundamental

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Messages

• Partnership issues need to be addressed
• Follow your policy and if you dont, give your
  reasons
• Think about how the public will view conflicts of
  interest
• Dont be afraid to say sorry

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LESSONS LEARNT A Seminar by the Public Services
Ombudsman for Wales Local Government Complaints
in Focus Elizabeth Thomas Director of
Investigations
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LESSONS LEARNT A Seminar by the Public Services
Ombudsman for Wales Code of Conduct Complaints
in Focus Andrew Walsh Director of
Investigations
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LESSON LEARNTCode of Conduct Complaints in
focus
Andrew Walsh Director of Investigations
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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

Investigating Complaints
Improving Services
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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

Investigating Complaints
Improving Services
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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

Investigating Complaints
Improving Services
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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
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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
  Councils
• Steering Committee and during the meeting made
• disparaging remarks concerning the rights of the
• tenants representatives to contribute to the
• discussions about the Councils proposals for
  change

Investigating Complaints
Improving Services
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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 members conduct at the meeting had not
  caused them any concern

Investigating Complaints
Improving Services
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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
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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
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Code of Conduct Complaints -2007/08
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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
  authoritys employees

Investigating Complaints
Improving Services
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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
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Main Areas of complaints Old vs New code contd

• Main differences
• Bullying and harassment now specifically
  mentioned
• Authoritys 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
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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 authoritys officers in
  particular
• (c) must give reasons for decisions in accordance
  with authoritys requirements

Investigating Complaints
Improving Services
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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 authoritys 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
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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
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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
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From the case book Contd

• 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
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From the case book Contd

• 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
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From the case book Contd

• 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
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From the case book Contd

• 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 Councils Planning Code of Conduct required
  that reasons for rejecting officer advice MUST be
  recorded in the minutes

Investigating Complaints
Improving Services
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From the case book Contd

• Minutes recorded extensive debate on application
• No reason recorded to vote against officer advice

Investigating Complaints
Improving Services
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From the case book Contd

• 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
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From the case book Contd

• 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
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From the case book Contd

• Paragraph 8(c) considerations
• Authoritys 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
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From the case book Contd

• 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
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From the case book Contd

• 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
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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
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ADDRESS DETAILS

• Public Service Ombudsman for Wales
• 1 Ffordd yr Hen Gae
• Pencoed
• Bridgend
• CF 35 5LJ
• Tel [phone] Fax [phone]
• 0845 601 0987 (local call rate)
• E-mail ask_at_ombudsman-wales.org
• Website www.ombudsman-wales.org

Investigating Complaints
Improving Services
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LESSONS LEARNT A Seminar by the Public Services
Ombudsman for Wales Question and Answer