Explanation of Terms

Enquiry
An approach (usually by telephone or e-mail) to the SPSO by a member of the public seeking information or advice, for example about whether we can deal with a complaint about a particular issue or how to pursue a complaint about a particular organisation. Enquiries include queries made about organisations and subjects outwith our jurisdiction.  Not all contacts are classified as enquiries, but all significant contacts are recorded.

Complaint
An approach to us by or on behalf of a member of the public making a complaint about something which, subject to more detailed consideration, might be investigated under the terms of the Scottish Public Services Ombudsman Act 2002 (the Ombudsman Act).  The Act says a complaint must be made in writing or electronically unless the SPSO is satisfied that there are special circumstances which make it appropriate to consider a complaint made orally.

A complaint may cover a number of issues and, exceptionally, more than one public body.  An additional approach by an existing complainant may or may not be counted as a separate complaint depending, for example, on how closely it is related to the previous complaint and whether it has been raised with the public body concerned.

Assessment
This is the first stage in our complaints handling process. At this stage we register the complaint and look at whether it is one that this office could pursue. First of all we need to check that we understand what the problem is, and who the complaint is about.  Some complaints are readily resolved with a quick phone call from us, but others require more detailed consideration.  The main things we check at this stage are whether a complaint is within the jurisdiction of the SPSO, and whether the complainant has exhausted the complaints process of the body they are complaining about (ie, that the complaint is not ‘premature’). Another thing we look out for is whether the person bringing the complaint is entitled to complain. For example, if they are complaining on behalf of someone else we must normally have the consent of that person.

Premature
A large proportion of the complaints we receive are premature, i.e. they come to us before the complainant has been through the complaints process of the organisation concerned.  When we receive premature complaints, we provide advice, for example, signposting complainants to where they should direct their grievance, and, where appropriate, helping them make a formal complaint in writing.  The high number of premature complaints that we receive informs our Outreach work, which focuses on providing guidance to service providers about how to prevent complaints arising in the first place, and how to deal effectively with them if they do arise.

Out of Jurisdiction
There are some complaints that are about a body or a matter that our legislation precludes us from investigating. Sometimes there are complex technical or legal issues involved and it can take a long time to establish jurisdiction.  In the event that a complaint is not one that we can investigate, we provide advice about where the complainant could turn for assistance elsewhere.

Examination
At the ‘Assessment’ stage we look at whether the SPSO could investigate a complaint.  At the ‘Examination’ stage we start to look at the best way of dealing with the substance of the complaint.

Determined after detailed consideration
Complaints dealt with in this way are ones that the SPSO has judged do not require a formal investigation.  This may be because, for example, the incident that gave rise to the complaint took place so long ago that we do not think we will be able to establish the facts with sufficient clarity to reach a definitive judgement, or because we consider that the complaint has already been properly investigated and responded to by the organisation concerned and an investigation by us would be unlikely to achieve anything more.

Investigation
A complaint reaches this stage once we have decided that the Ombudsman could and should conduct a formal investigation.

Fully upheld, partially upheld and not upheld
These relate to cases that have progressed to full investigation. Where a number of related concerns have been raised but where we agree with only some of them, we class this as a ‘partially upheld’ complaint.  Even in cases where the complaint is not upheld, the Ombudsman may make recommendations if she feels that there are lessons to be drawn from the issues raised in the investigation.

Other Outcomes
These outcomes can occur at any stage in our complaints process:

Withdrawn or failed to provide info
Not all complainants pursue their initial complaint, for a variety of reasons – sometimes because of personal reasons or a change in circumstance, or it may be that the body has resolved the complaint to the individual's satisfaction. In some cases, complainants do not provide requested information, or they may break off contact with the office.   While we find that cases are more likely to be withdrawn before investigation has begun, sometimes they are withdrawn during investigation.  If the case is close to completion and the Ombudsman feels it is in the public interest to publish her findings, she is entitled to do so. This course of action, however, is rare and consideration is always given to the complainant's reasons for withdrawing the complaint. 

Discontinued
These cases are normally discontinued as a result of external action. Some cases are discontinued before investigation and a very small number of cases are discontinued during investigation. Most of these are discontinued because we and the complainant agree such a course is appropriate. Other reasons include lack of sufficient evidence to continue, or the complainant choosing to take legal action instead. In some cases we may be contacted by a family member to advise us that the complainant has fallen ill or passed away, and they wish for the complaint to be closed.

Suspended
Cases are only normally suspended when we need to wait for something to happen that is out of our control. For example, the subject of the complaint may be linked to a wider policy review and we might not be able to determine a complaint until we know the outcome of the review. Also, in some cases, a complainant may advise us that they are going away and they want to pick up their complaint again when they return.

updated 28 August 2008