SPSO role and function

The Scottish Public Services Ombudsman has a wide remit covering a variety of functions and services. The Ombudsman's powers and duties come from the Scottish Public Services Ombudsman Act 2002, which gives her four distinct statutory functions:

1. the final stage for complaints about most devolved public services in Scotland including councils, the health service, prisons, water and sewerage providers, Scottish Government, universities and colleges
2. specific powers and responsibilities to publish complaints handling procedures, and monitor and support best practice in complaints handling
3. independent review service for the Scottish Welfare Fund with the power to overturn and substitute decisions made by councils on Community Care and Crisis Grant applications
4. Independent National Whistleblowing Officer for the NHS in Scotland (INWO); the final stage for complaints about how the NHS considers whistleblowing concerns and the treatment of individuals concerned.

Who does what?

Leadership responsibility

• The Ombudsman has overall responsibility for the organisation, case decisions, actions under complaints handling powers, and is the accountable officer
• Our leadership team consists of the Ombudsman, Director and Head of Improvement, Standards and Engagement. They set the strategic direction of the organisation, and are responsible for governance, considering and approving policies and performance against strategic aims and objectives

Operational delivery by function

Corporate services

Corporate Services Manager and Human Resources Manager

• Finance
• Governance and risk management
• ICT support
• Quality Assurance, audit and casework reviews
• Human Resource Management and Learning & Development
• Information governance
• Facilities management
• Health and safety
• Professional Advice service

Public service complaint investigations

Two teams, each led by one of the Heads of Investigation supported by Team Managers

• Assessment and Guidance
• Public service complaints investigations

Scottish Welfare Fund review service

Transitional arrangements led by the Director supported by a Team Manager

• Handling of Scottish Welfare Fund review applications
• Advice on Scottish Welfare Fund applications handling

Independent National Whistleblowing Officer

Transitional arrangements, matrix managed by the Ombudsman and the Director, supported by a Team Manager

• Implementation support
• Independent National Whistleblowing Officer complaints handling
• Stakeholder engagement for implementation

Improvement, Standards and Engagement

Head of ISE supported by a Communications Team Manager

• Monitoring compliance with Model Complaints Handling Procedures
• Advice and guidance on complaint handling standards
• Policy and business development
• Communications and engagement
• Data and trends reporting and monitoring

First contact

Our first contact service

We receive enquiries and complaints through a variety of channels:

• 0800 Freephone telephone number
• email and website forms
• post

During 2021-22 our telephone service was open with reduced hours whilst the majority of staff continued to work from home. We offered flexible times for members of the public to contact us Monday to Friday, and we provided advice on 2,907 calls.

Over the last two years, we have seen a year-on-year rise in the percentage of public service complaints being made online:

• 2020-21 - 67% made online
• 2021-22 - 69% made online

We have welcomed the channel shift in how members of the public access our office online. Working in a 'paper lite' environment helps us to reduce waste and support our biodiversity goals. We have also improved our capacity to process our complaints electronically and have invested in the further development of our online complaint forms.

We appreciate that online communication is not suitable for all of our service users, particularly those making public service complaints from prisons. Frontline staff have continued to process complaints received by post throughout the year. As an organisation we make adjustments to our service to meet individual needs, providing as accessible and responsive service as we can.

Keeping our values at the heart of front line service delivery

During a second pandemic year our values have been a guiding light for all of us, particularly our dedicated frontline team of six staff who have continued to deliver an accessible and responsive service, whilst working largely at home. The team have designed and delivered reactive processes to meet customers’ needs and displayed exceptional resilience in keeping the service running efficiently. They have supported and encouraged each other to continually advance improvements within their area of service delivery.

Our values based culture has driven the delivery of our frontline service. In particular, our independent and people centred values have motivated the team during challenging times.

Independent

Our commitment: We will live this by being open, transparent, acting with integrity and explaining our decisions and actions.

We have:

• regularly reviewed the expected timescale for allocating public service complaints to the public service complaint investigation teams for detailed consideration and transparently communicated allocation delays on our website, during telephone conversations and when issuing postal public service complaint forms
• acknowledged new public service complaints, clearly communicating the expected month that individual public service complaints will be allocated to a Complaints Reviewer for detailed examination
• reviewed the advice that we offer by email to complainants who have approached us with their public service complaint prior to completing the local public service complaints process of the organisation that they are complaining about. We now refer complainants to a short animation film that we produced in 2021-22 that gives a clear explanation on how to complain to a public service and when the SPSO may be able to consider a public service complaint further
• continued to expand our understanding of other organisations available to signpost complainants to when we are unable to assist or where they require extra support
• worked closely with our investigations colleagues to broaden our understanding of complaint subject areas where our jurisdiction is limited, to enable us to manage complainants' expectations realistically, and as early as possible during first contact conversations.

People centred

Our commitment: we will live this by treating people with dignity and respect, making ourselves accessible delivering a compassionate service in line with our service standards and working supportively with each other.

We have:

• recognised that the effects of the pandemic have resulted in increased vulnerability of complainants. We have ensured that complaints from vulnerable service users are identified and prioritised for allocation without undue delay
• kept access points to our office (with the exception of office visits) open throughout the pandemic. This has been challenging at times during 2021-22 due to reduced team capacity and resourcing. Frontline staff have been flexible and gone above and beyond to ensure that service users continued to receive a prompt assessment and acknowledgement of their complaint or enquiry
• whilst working from home we have made good use of technology to continue to meet regularly as a team to support each other, ensuring we have felt resilient, knowledgeable and equipped to deliver a compassionate service to increasingly vulnerable service users
• listened to and acted upon our customers’ feedback to make improvements to our online forms and the communication of our timescales
• met with the Equality Advice and Support Service, Scottish specialist advice staff to inform them of our role and how the public service complaints process can be accessed. In turn, ensuring that they are appropriately advising members of the public how to complain effectively and how to access our office
• carried out a study into the reduction of prison health care complaints submitted to our office during the year and the high volume of these complaints that are made to us early. We plan to share these findings and recommendations for to share learning and drive improvement with NHS Boards in 2022
• produced an information pack for advocacy agencies who submit complaints to our office at the incorrect time or with incomplete information.

"I am very vulnerable just now and was nervous about using your form but I felt so supported throughout it – it was clear and answered all my questions as I went along. The word count was really helpful, what a difference to other experiences I have had using other online forms"

Public service complaints overview

Caseload

We monitor casework numbers closely throughout the year. This is important for our performance management and resource planning. We publish and share this information with the organisations we work with and other stakeholders to help support and improve complaints handling at a local level, and to reduce the numbers which escalate to us. We also use it to inform how we design our own systems and measure effectiveness.

Public service cases received by quarter

Case numbers received in 2021-22 rose in comparison to 2020- 2021 and were more consistent across all four quarters. In spite of early indications at the end of 2020-21, total numbers received were slightly below 2019-20 pre lockdown levels.

Cases received by quarter

Public service cases carried forward

The number of cases carried forward as a proportion of the total caseload for the year was higher than normal. This was because

• of starting the year with a higher than usual caseload which requires additional resource to manage
• the ongoing resourcing challenges faced during the year as a result of lockdown and the wider recruitment market.

Public service complaints closed

Despite these challenges, cases closed overall rose by 10%. The biggest shift in closure type was the increase in cases closed after initial enquiries because of a greater focus on what more we could realistically achieve for complainants, and achieving resolution of more cases.

Cases closed by quarter

As with cases received, cases closed were more consistent over the four quarters this year reflecting the working processes we had put in place the year before.

Premature public service complaints rate

The number of premature public service complaints received rose by 20%. This meant the rate of premature public service complaints as a proportion of cases received rose from 20% last year to 22% this year. This was against a backdrop of previously good progress over a number of years to reduce the number of premature complaints. This increase reflects the fact that some public bodies found it challenging to deliver a complaints service that met the timescales set out in the Model Complaints Handling Procedures during the pandemic. The SPSO has continued to support and advise public bodies during this time as to how they should approach these challenges. While we recognise (and shared) the challenges they faced it was important to ensure public bodies maintained a complaints handling service and continued to communicate well with service users even where they are unable to meet timescales, giving reasons and anticipated timescales.

Public service complaints received by sector

The breakdown of public service complaints by sector is largely unchanged from last year. Once again, health is the highest subject of complaint.

We did not see the high number of COVID-19 related cases we anticipated, but we monitored this closely. In 2021-22 we received 115 cases which related directly or indirectly to COVID-19. Over half of these were regarding health or health and social care including a small number of cases about acquiring COVID-19 in a healthcare setting. The university sector also saw a number of COVID-19 related complaints concerning the impact of the pandemic on the delivery of education.

Key Performance Indicators (KPIs)

Responding to public service complaints in a timely manner is one of SPSO’s key customer service standards. Case age is monitored regularly and closely throughout the year.

KPIs by quarter

There were different challenges throughout the year impacting on our three performance measures.

• PI1, which measures timescales for providing advice, improved on the previous year and reflects the systems and processes put in place in the second half of 2020-21.
• PI2 and PI3, whilst productivity levels rose compared to 2020-21 (see public service complaints closed), PI2 and PI3 continued to be particularly negatively impacted by the challenges presented by the pandemic (to us and public bodies) which resulted in a higher proportion of older cases being closed in 2021-22. The underlying reasons for this were the older cases carried over from 2020-21; the age of cases at the point of allocation; and the longer time taken to investigate because of processing delays (for example, SPSO capacity and delays in obtaining information from public bodies because of the impact of COVID-19 on their capacity).

We expect this to be a trend that continues into 2022-23 as we continue to close older cases.

2021-22 KPI quarterly breakdown

Public service complaints assessment

Assessment outcomes

Details of the number of cases we assessed this year and the outcome of those cases, is set out in the tables below.

Progressing cases

It remains important to us that we tell people as soon as we can what action we can and will take on a complaint. Complainants may already have spent time waiting for their case to go through a public body’s internal processes. We therefore focus on assessing all new complaints as soon as they arrive.

We recognise that not all cases can be prioritised or determined quickly, and these cases are held until they can be allocated. Due to a rising caseload in 2021-22, the time taken to allocate cases rose from eight months to 11 months. We have been open and honest with complainants about our delays and waiting times, and we encouraged them to tell us if they think their complaints should be given priority or their circumstances change.

Despite our best efforts during the year, we have ended the year with a higher number of cases awaiting allocation (677 against 403 at the start of 2020-21). Reducing our waiting times is priority for 2022-23. This is being addressed in a number of ways including recruiting additional team members, and constantly seeking to identify efficiencies in our processes and procedures.

Prioritising cases

Driven by our values, particularly being people centred, we continue to identify priority cases on receipt, to ensure the most vulnerable complainants and high-risk, time critical public service complaints are progressed with urgency.

Breakdown of cases closed before detailed investigation

Cases closed at assessment per quarter

Focus on resolution and alternative action

When assessing public service complaints, we consider among other things whether the case can be resolved or SPSO considers an alternative action would provide a remedy, if it is something that we can legally look into, or whether an SPSO investigation is likely to be beneficial to the complainant (or the public interest). We built off the work we did in 2020-21 to identify and categorise cases for resolution or alternative remedy. This has enabled us to be more transparent and realistic about the level of investigation required for each case, particularly when we know complainants feel strongly about the matters they bring to us. We have also improved the way we record resolution of complaints.

We have focussed on actively seeking opportunities to resolve complaints early because we know that where this is possible it improves customer experience and journey times by providing redress more quickly. We are mindful that we should still identify opportunities for learning for public bodies, encouraging them to be more agile and flexible in their approach to supporting and rebuilding relationships, as well as using resources effectively and proportionately.

Our teams are encouraged to seek opportunities for resolution. We have supported them in this through training, updated guidance and sharing of best practice and a focus on understanding complainants sought outcomes. We have worked with public bodies to highlight this focus on resolution, sharing our own approach with them and providing support to develop their own approach.

We will continue to develop this important aspect of our work in the coming year.

Public service complaints investigation

Investigations completed

In 2021-22, investigation case closures were lower for the year as a whole. While in part this was due to the continued impact of lockdown, it also reflects our focus on ensuring we take a more considered approach to our investigations; attempting to resolve cases where possible or not progressing complaints beyond initial enquiries. We do not believe it is fair to complainants or public bodies to carry out in depth investigations when it is clear from our initial enquiries that the public body has already carried out a thorough investigation and/ or taken appropriate action in response to the complaint or when it may be possible to resolve the complaint. The impact of this is fewer cases progress to detailed investigation.

Cases closed at investigation

Public reports

In 2021-22, we published seven public reports, which is the same number as last year. These are cases where we have decided to publish the investigation in full because we consider there is evidence of significant personal injustice or hardship, systemic failure, significant complaints handling failures or it is a test/precedent case. In all these cases, we also considered that there may be learning for other public bodies by reading the full investigation report.

Cases that are not published in full as public investigation reports are usually published as decision summaries. Public reports and decision summaries can be found in the 'Our findings' section of our website.

Uphold rate

Withdrawn and resolved complaints are not included in the uphold rate calculation.

Our uphold rate remained similar to the previous year. As noted above, we often make initial enquiries before carrying out a more detailed investigation to ensure we are supporting complainants and using our limited resources effectively. We have also continued to develop a resolutions based approach to our work to ensure that, where possible, we attempt to resolve a public service complaint at an earlier stage where possible. While this has meant we have carried out fewer investigations, our uphold rate remained stable, reflecting our focus on ensuring our investigations are thorough and failings are appropriately identified.

Independent advice

Expert, independent advice SPSO takes to inform decisions.

Number of advice requests completed

• The number of advice requests increased by 20.8% on the previous year.
• We are still below the pre-pandemic levels with a 22.3% decrease in volume compared to the 2019-20 figures.
• There was a 66.7% increase in the number of social work advice requests. In view of this, we have recruited six additional social work advisers.

A number of our clinical advisers have retired, resigned or have been unavailable during the year for a number of reasons. This is not unexpected given the significant pressure that clinical staff have been under during the last two years due to COVID-19. However, we have managed to successfully recruit eight clinical advisers during the year.

We encourage public bodies to send us information electronically rather than as physical files. This means that we can share the evidence with advisers faster and more securely through a secure file-sharing platform. We can also share information with more than one adviser at a time. We first started to use this secure file sharing platform in August 2020. 56.3% of the advice requests we sent to advisers that were completed this year were made through the platform. This is helping to reduce the overall turnaround times for advice requests, as we are able to transfer evidence to advisers more quickly.

Closed cases requiring multiple independent advice

Many of our cases require multiple pieces of advice. In 2021-22, one case required seven separate pieces of advice.

Scottish Welfare Fund

Contacts

We received 2,343 signposting enquiries and handled 2,311. This represented a 78.6% increase in new enquiries from the previous year.

The reasons for the significant increase are difficult to pinpoint but are likely to be in part due to an overall increase in demand for SWF. It also appeared that there was an increase in applicants who had never applied to SWF previously, particularly in relation to Self-Isolation Support Grant (SISG) applications. As such, they were often unsure which organisation to contact to make an application.

We are also aware that SPSO’s contact number regularly appears prominently in internet searches for ‘SWF’ which may lead applicants to contact us instead of their local authority. We introduced Interactive Voice Response telephone options in February 2022 to help signpost applicants more effectively to the right place.

Signposting enquiries

• 76% the majority of applicants contacted us in error instead of their local authority
• 128 applicants told us they were contacting us as they had no credit to call their local council who did not have a Freephone number
• 103 applicants told us about additional accessibility problems including not being able to get through to their council on the phone and issues relating to local authorities’ opening hours or their online forms
• 91 calls from local authorities seeking advice. The remainder of applicants were contacting us too early in the process for us to accept an independent review and were signposted to their local authority

Reviews received and handled

2021-22 quarterly comparison

Closed at review and decision

Applications received increased each quarter although demand for each type of grant varied.

• CCG reviews, volumes received remained relatively steady each quarter, with a small peak in Q3.
• CG reviews were fairly consistent in Q1 and Q3 with lower demand being observed in Q2. The significant increase in review requests in Q4, seems to be linked to the cost of living crisis. Many applicants told us that they can no longer afford their utility and food costs. Some applicants also reported that the removal of the £20 per week COVID-19 uplift to Universal Credit in October 2021 caused financial difficulty.
• SISG reviews increased quarter by quarter with a period of low demand in Q1 starkly contrasted by a period of exceptional demand in Q4. This appears to have been linked to the emergence of the COVID-19 Omicron variant in late 2021 and high infection rates in the months that followed. As a result, greater numbers of people were self-isolating which in turn, led to increased numbers of applicants seeking support.

Review applications received yearly comparison

^* 2021-22 - One applicant, who reached us too early in the process, did not specify the type of grant they wished to apply for. They were referred back to the council to make their application. Therefore, this application was recorded as ‘unclear’ and is only reflected in the total figures for 2021-22

^* 2019-20 - SISGs were introduced in October 2020 so there is no data prior to this

Review applications handled yearly comparison

We encountered a 36.7% increase in new cases received between 2020-21 to 2021-22.

While we received almost identical numbers of CGs and CCGs as the previous year, the number of SISG reviews increased by 283%.

We did not have sufficient resources to manage this increase in demand and raised our concerns regarding this with the Scottish Government.

In spite of these challenges, our dedicated SWF team handled 26.6% more cases than the previous year. They achieved this with some support from management and SPSO staff from other parts of the organisation.

It is also worth noting that while CG numbers are highly comparable to the previous year, demand increased substantially in the final two quarters. Given that the cost of living crisis affects those on a low income most severely and is showing no signs of easing, there is risk that this level of demand will be sustained. We have also highlighted our concerns regarding this to the Scottish Government. We appreciate that there is an SWF review ongoing, which may result in the Scottish Government making changes to the fund in future years. However, it is vital that we have the resources to meet the current demand.

Review application outcomes

5-year comparison

Quarterly comparison

Crisis Grant (CG)s

Our uphold rate for CGs has fallen each year since 2017-18. We believe this is largely linked to the number of applicants approaching the fund for further assistance after already receiving three awards in a 12-month period. For such applications to be successful, the circumstances need to be exceptional. However, in many cases, applicants are applying for similar reasons to previous applications. As a result, we often assess that the eligibility criteria is not met in line with local authorities’ assessments. In the latter part of the year, we saw increases in the number of applicants applying for assistance after spending their income on increased energy and food costs.

Community Care Grant (CCG)s

We continue to change the local authority’s decision in over half of CCG applications we review. It should be noted that we review small numbers of applications in comparison with overall SWF applications. As such, our review outcomes are not representative of SWF applications as a whole but are one indicator of the quality of decision-making.

The most common reason for upholding applicants’ review requests for CCGs was because we determined that local authorities should have made further enquiries to arrive at robust decisions. In most cases, this occurred at the qualifying stage of the decision making process. We also upheld a high proportion of cases because we assessed that local authorities had incorrectly interpreted the information that was available to them. It was also common for us to change the local authority’s decision due to new information that was not available when they considered the application.

Self-Isolation Support Grant (SISG)s

We upheld applicants’ review requests in 41.8% of cases during 2021-22. This is a notable increase from the previous year when we upheld 29%. The increase is largely due to us being able to gather information that was not available to the local authority via Test and Protect as a result of consent and data sharing issues. These problems created frustration for applicants and local authorities. Applicants had legitimately been asked to self-isolate by Test and Protect but local authorities were unable to verify this. We also referred a number of cases back to the local authority to reconsider their decision based on the information we had gathered from Test and Protect. Aside from these cases, it was most common for us to uphold applicants’ review request based on local authorities’ assessment of low income.

There were a number of guidance changes throughout the year as self-isolation policy changed. This created challenges for decision makers in local authorities responding to these changes, which appeared to be compounded by resourcing issues.

Many applicants told us that they felt the low income criteria was too restrictive or the information they received about self-isolation or testing was unclear. Others reported that they felt it was unfair that they met the criteria for an award but were not eligible because they had applied outwith time. In these instances, we often did not uphold applicants’ review requests as we assessed that the local authority had followed the guidance. Where applicants remained dissatisfied, we signposted them to make a public sector complaint to the relevant organisations concerned as we had limited discretion around the eligibility criteria and policy.

KPIs

Quarterly performance

Average case handling time

All calculated in business days including the time taken for local authorities to send us their files and any investigation time

We exceeded our KPIs for CG and SISG in Q1 and Q2. This was during a period when we were resourced to meet the demand we faced. From Q4, we were unable to meet the demand within our existing compliment of Case Reviewers and this is reflected in our KPI results. We took the decision to prioritise CG applications due to the urgency and potential risk to wellbeing and achieved our case handling target for these reviews for the year.

From Q3 onwards, we progressed SISGs as quickly as possible once they were allocated to Case Reviewers. However, as we had insufficient Case Reviewers to meet the demand of new cases, this caused delays in allocating cases. As a result, the overall case handling time increased significantly in Q3 and Q4. We also fell slightly short of our case handling target for CCGs. This is regrettable as we aim to provide as responsive a service as possible. In previous years we have managed to do so by consistently meeting or exceeding our case handling targets. We apologised to applicants for the delays caused and explained the reasons for the delays.

National context

Taken from https://www.gov.scot/publications/scottish-welfare-fund-statistics-annual- update-2021-22/documents/ and https://www.gov.scot/publications/swf-monthly-management-information/.

In comparison to the previous year:

• Crisis Grants - local authorities received 268,265 applications for Crisis Grants (1% fewer than 2020-21)
• Community Care Grants - local authorities received 87,900 applications for Community Care Grants (4% more than 2020-21)

Initial award rates and the numbers of decisions revised at first tier review decreased slightly for both CGs and CCGs although this does not appear to have had an impact on the volume of independent review requests which were almost identical to the previous year.

It is noted that 80% of CG applications were repeats, which is 10 percentage points higher than 2020-21 and the highest proportion since the start of the fund. This reflects the pattern we highlighted in respect of our own casework, where growing numbers of applicants were applying for further assistance after already receiving the maximum normal level of assistance in the previous 12 month period.

115% of the £47 million budget was spent, which included an underspend carried over from the previous year. This is an indicator of the level of demand versus resources available for the fund, which has been apparent to us in our casework and from our discussions with local authorities.

Development

Due to the resourcing issues mentioned above, the extent to which we were able to carry out any outreach or development work was limited as we needed to prioritise casework. We continued to offer advice to local authorities throughout the year on applications and held our Local Authority Sounding Board in January 2022.

In the coming year, the initial months are likely to remain challenging as the SISG winds down. We will therefore be focusing on progressing the remaining SISG reviews in our caseload, which can take several weeks after initial application before they reach independent review stage.

Our team are keen to support local authorities with learning in the latter part of the year and to carry out internal development activities within our own service.

As a key stakeholder in the ongoing review of SWF, we look forward to contributing to this piece of work. This will help ensure that the fund is effective in supporting some of the most vulnerable people across Scotland.

Independent National Whistleblowing Officer

Our service

The Independent National Whistleblowing Officer (INWO) service started operating under the new powers set out in legislation on 1 April 2021. We started to receive enquiries and provide advice on the implementation of the National Whistleblowing Standards (the Standards), and to take complaints from whistleblowers.

Our powers allow us to investigate cases that have been through the two-stage local process within the health service. We can investigate:

• the risk or issue of concern
• how the concern has been handled by the authority
• the treatment of anyone involved in the local process
• the culture for raising concerns within the health service

Cases closed in 2021-22

• 92 advice and information provided about whistleblowing and other options
• 9 assessed for readiness for the INWO
• 6 given assistance to access local process due to challenges with direct access

Our case numbers over the first year have been lower than anticipated, and it has become clear that it will take time for the new procedure to bed in within NHS boards and other health service providers. It has also taken time for cases to progress through the local process, and then come on to the INWO. Over the year, we received three cases which were appropriate for us to investigate, but none of these were ready to report on within the year. Our investigation process has, however, been effective, and at the end of the year we were close to closing our first case.

While the procedures are in place in NHS boards, and systems have been set up to record and report on cases coming forward, there are clear indications that staff are not fully aware of the new process and the protections they provide. There is significant lack of trust from some staff in raising concerns, and a need to build up awareness and trust in the process. We also do not know what the impact of COVID-19 has been as there is no comparative data.

We believe this is what is driving the patterns in casework which we are experiencing. This includes:

• a high rate of premature cases, with 60% of advice and initial assessment cases closed as premature (64 out of a total of 107)
• many of these cases we signpost back to the local process, because people are not aware of, or had difficulty accessing, the process (31%)
• cases where the person was unwilling to share their identity or the identity of the health service (29%)
• feedback we have had from contacts to our service and through our engagement work which indicates significant lack of awareness among staff.

The calls to our advice line show the wide range of issues which are raised by staff, some of which are complex and raise significant risks. We work with callers to establish the levels of risks involved, and to ensure information is shared so action can be taken, where appropriate. At times this means sharing details of a concern with other regulators. To facilitate this, we have established good working relations with other regulators, including Healthcare Improvement Scotland, the Mental Welfare Commission for Scotland and the Care Inspectorate. This ensures we can signpost effectively and share information to support whistleblowers and public safety.

Many of the enquiries we get include workplace relations, with workplace stress reportedly impacting significantly on how staff work together and treat each other. Sometimes these are specific to the individual involved, and are best addressed through Human Resource (HR) processes; 21% of our advice cases have related specifically to HR issues alone. However, a high proportion of other enquiries include significant concerns about staff treatment, either as a result of raising concerns informally or which are leading to unsafe working practices.

It is clear to us that, while whistleblowing processes are effectively in place, it will take significant work and commitment from health service providers to establish trust in these processes. Without this trust, the process will not be fully effective.

As a result, we are committing resources over the coming year to raising awareness of the new responsibilities on health services and the protections created by the Standards. We are keen to work with all NHS boards to promote their speak up culture and to support the staff that are implementing the Standards. We will build on existing engagement work we have done over the past year, including

• providing online training programmes for all health service workers
• meeting with seven NHS boards to support their work
• delivering four webinars aimed at different groups, to improve understanding of individual roles
• regular engagement with Whistleblowing Champions to support their assurance role.

Over the coming year, the INWO team’s ongoing investigations will seek to provide feedback on how whistleblowing processes can be improved, as well as delivering a final decision to those who are not satisfied with the outcome of the local process. Our independent decisions will further support our overall ambition of improving trust in the whole process.

We will also work closely with the SPSO’s Improvement, Standards and Engagement (ISE), to support the sector in developing local expertise in handling concerns under the Standards.

We anticipate that the promotion of the Standards across the NHS in Scotland will lead to an increase in whistleblowing both at the local level, and to the INWO team. Building trust in the process is likely to be ongoing for some time to come, alongside increased confidence in using the whistleblowing process to speak up when risks require it.

Complaints standards

Our complaints standards role monitors public body practice, supports and promotes good practice in complaints handling, and encourages co-operation and the sharing of good practice among organisations. It also provides internal expert advice to SPSO’s complaint handling colleagues

While there is a high degree of constancy in complaints procedures, there are some differences between sectors, because of other legislation.

• The updated Model Complaints Handling Procedure (MCHP) for most organisations within SPSO’s jurisdiction was implemented on 1 April 2021.
• National Health Service (NHS) Complaints Handling Procedure is a separate but similar procedure which was implemented on 1 April 2017.
• Complaints from prisoners about the Scottish Prison Service (SPS) are handled under Part 12 of The Prisons and Young Offenders Institutions (Scotland) Rules 2011 and associated Directions, and the SPS Staff Guidance on Prisoner Complaints and Disciplinary Appeals under the 2011 Rules.
• Complaints about water and sewerage providers are handled under their own complaints handling procedures, but may adopt the MCHP.

Monitoring complaints

We monitor in various ways, for example through conducting compliance assessments of organisations’ complaints handling procedures, following up issues identified from the complaints made to SPSO, acting on what we learn from complaints, and working directly with individual organisations to share and support good practice in complaints handling.

Advice to organisations

Advice and guidance provided by SPSO for organisations includes:

• sharing tools and guidance for effective complaints handling
• reviewing and providing feedback about draft complaints handling procedures
• contributing to regular complaints handlers’ network meetings
• providing clarification to individual organisations on how to apply the MCHP to real-life (non-case specific) situations
• delivering presentations and workshops on good complaints handling to individual organisations and wider stakeholder groups.

Requests for advice or support

Types of advice requests

This year saw an increase in requests for advice or support as well as a change in the nature of requests we received. There was:

• an increase in requests for advice, where organisations asked us to provide clarification on how to apply the MCHP to real-life (non-case specific) situations
• an increase in general enquiries. This relates to requests for information around MCHP implementation e.g. reporting requirements and the key performance indicators for complaints handling, as well as enquiries about adopting the procedure in different contexts
• an increase in requests for comment on or input to organisations’ policies relating to complaint handling, and relating to the complaints handling procedures of third-sector organisations as a result of an increased interest in our work
• an increase in requests for tools and guidance, largely tied to targeted engagement with the housing sector on resolution of complaints, and the launch of our Engagement Policy in October 2021
• a decrease in requests relating to MCHP compliance, as much of the work in this area was done with organisations in the lead up to the MCHP implementation date of 1 April 2021.

Advice requests by sector

The main changes from last year in where requests came from were:

• an increase in the volume of contacts received from the health sector when compared to the previous year (although less than 2019-20 and before, likely due to pressures on the NHS)
• a significant increase in contacts from the Scottish Government and devolved administration sector, largely as a result of the permeation of the MCHP through the various parts of central government and relation functions, as well as an increase in complaints directed towards that sector over the pandemic
• an increase in contact from the further and higher education sectors due to the increase in complaints directed towards those sectors over the pandemic
• a significant increase in contacts classed as other, due to the increased interest in our work from third-sector organisations, and an increase in internal queries from SPSO staff.

Supporting the complaint handling community

We participate in complaints handlers’ networks meetings for local authorities, the NHS, housing, further education and higher education. In housing, we were part of a group that developed guidance on resolving complaints, following on from the increased focus on resolution in the updated MCHP (the MCHP now defines a resolved complaint, and it is a reportable outcome alongside upheld, partly upheld and not upheld). We also started work with three health boards on triaging incoming complaints and we hope to work with other NHS service providers on this over the coming year.

In addition to supporting organisations within our jurisdiction, we also engaged with a variety of organisations, in particular from the third sector, looking to find out more about the MCHP and our approach to complaints handling. We are always pleased to share what we have learned over the years and to share the good practice that we see. This year we provided information about the history and the work of our Complaints Standards function to other Ombudsman offices around the UK, and we continue to meet regularly with complaints standards staff across the UK and Ireland.

KPIs

Part 4 of the MCHP covers complaint handling governance matters. In it we emphasise the importance for organisations of recording, reporting on, learning form and publicising complaints. The MCHP states that organisations must report on performance statistics that we set. Following feedback from across the sectors covered by the MCHP, we refreshed and focused the suite of key performance indicators for organisations, and published them on our website. Although the focus is on qualitative data about how many complaints organisations received, the time taken to respond to them and the outcomes reached, we re-emphasised the importance for organisations of capturing qualitative information on learning from complaints and how that informed improvement. For example, the MCHP states that organisations will publish, on a quarterly basis, information on complaints outcomes and actions taken to improve services, such as ‘you said, we did’ bulletins.

Supporting INWO implementation

Within the Complaints Standards function, since 1 April 2021 we now also provide advice and support to whistleblowing practitioners delivering NHS services in Scotland. We do this by giving general advice about the application of the Standards in a specific context. We provide this advice so that INWO staff can avoid any conflicts of interest in relation to decision-making on a complaint that may later be made to the INWO. This year, we handled 26 such enquiries. In addition, we started and are currently facilitating a forum for whistleblowing practitioners in NHS Boards, similar to the complaints handlers networks for organisations that must comply with the MCHP.

Learning from complaints

Premature complaints by sector

SPSO uphold rates by sector

We work continuously with all stakeholders to promote learning, share good practice and drive improvements ensuring that complainants have their rights respected. Integral to this is the making of recommendations to limit repeated dissatisfaction for customers.

The most significant changes were in relation to uphold rates for cases within housing associations as well as further education. Such significant changes can be attributed to the low number of cases that proceed to investigation. For example, in the further education sector the uphold rate in 2020-21 was 100% based on two cases investigated, whilst in 2021-22 no further education cases progressed to investigation.

Overview of SPSO recommendations

We are most likely to ask for a specific action to be taken in relation to individual remedies. With complaint handling, and learning and improvement we take a slightly different approach and focus on the outcomes we require and the evidence that they have been achieved. This, we believe, promotes more sustainable and embedded learning and improvement.

Recommendations made in 2021-22

Although the absolute number of recommendations issued was lower in 2021-22, the relative proportions of types of recommendations remained in line with the profile of the SPSO’s workload in previous years.

Nearly 40% of recommendations relate to changing something for an individual, whilst just over half of recommendations relate to learning and improvement for the organisation.

Recommendations in 2021-22 – by sector

Feedback to organisations – 2021-22 by sector

In many cases, we will give feedback to organisations. This ranges from positive feedback on examples of good practice or good service, to feedback about issues where we have identified potential learning.

In 2021-22, some examples of feedback issued to organisations about how they might learn from the complaints we considered includes:

• suggesting to local authorities that they add explanatory information to policies or extra information in leaflets to ensure their processes can be fully understood
• asking health boards to ensure only relevant medical information is shared with our organisation
• general guidance about adhering to elements of the MCHP, including keeping complainants informed, recording outcomes for learning and improvement, and ensuring responses to complaints address all issues raised.

Compliance with recommendations

We set a deadline for implementation of recommendations and follow them all up until we are satisfied that they have been implemented. We have the powers to report failure to comply with recommendations to the Scottish Parliament, but it is notable that as in previous years, we have not had any need to apply them.

Timescales for compliance with SPSO recommendations (recommendations signed off as completed in 2021-22)

2021-22 performance in this area remained broadly similar in the percentage of cases closed within target in comparison to previous years.

• 46.4% of cases closed within the target set, which is in line with previous years; 51% in 2020-21 and 52% in 2019-20.
• 90.2% of recommendations closed in 2021-22 were closed within three months of the target date, similar to the previous two years, 88% in 2020-21 and 92% in 2019-20.
• 79.9% of recommendations were implemented within the target or within 1 month of target, compared to 78% in 2020-2021.

There were extensions granted to organisations in specific circumstances where they could evidence that they needed a longer timeframe to fulfil recommendations within the particular constraints at the time. Reasons for extending were often related to the capacity of the organisation to take the actions we recommended.

2021-22 recommendation compliance by recommendation type

Support and Intervention Policy

2021-22 was the third year of the Support and Intervention Policy (S&IP) in operation. This policy enables us to offer support to organisations and to intervene directly when required. Driven by our learning and improvement value, it helps us to focus our resources on public bodies who require support in order to help them improve their complaint handling practice or address poor performance.

There was a revision put in place in April 2021 which has added an additional layer of intervention, this has helped us to focus on early resolution. It also promotes system-wide improvement as good local investigations mean SPSO in turn do not always need to investigate a case beyond initial enquiries, leading to faster outcomes and resolution for complainants.

We use the information and intelligence we gather to build full and accurate pictures of organisations, in turn enabling us to target and build support around themes and trends as well as individual concerns.

There are six levels of intervention, level one being the most informal, and level six being the application of legal powers. There is more information about this on our website: Support and Intervention Policy | SPSO

S&IP interactions can range from further contact from one of our Complaints Reviewers enquiring about overdue information, engagement from ISE team members to support learning and improvement or, in situations of continued non-compliance or repeated difficulties, the Ombudsman may ultimately decide to issue a report to Parliament drawing their attention to the problem.

Support and Intervention actions (management level)

• Greater Glasgow & Clyde Acute Services Division (Level 4 - delay in responding to SPSO Learning & Improvement Remedy)
• East Dunbartonshire Council (Level 4 – failure to respond to SPSO enquiry)
• Greater Glasgow & Clyde Acute Services Division (Level 3 - delay in responding to SPSO Learning & Improvement Remedy)
• Greater Glasgow & Clyde Acute Services Division (Level 3 - delay in responding to SPSO Learning & Improvement Remedy)
• Glasgow City Health & Social Care Partnership (Level 3 - delay in responding to SPSO Learning & Improvement Remedy)
• University of St Andrews (Level 3 - poor complaints handling)
• Stirling Council (Level 3 - delay in responding to SPSO Learning & Improvement Remedy)

We are pleased to report that our interventions have been successful resulting in positive outcomes and promoting further and more meaningful engagement with organisations. We have been encouraged by the open and cooperative reaction by public bodies.

Sharing learning from complaint outcomes

In 2021-22, we shared our findings and learning with organisations and the wider public through:

• summaries of all our decisions are published on our website
• engagement at network meetings
• a monthly e-newsletter which signposts to our decision summaries and highlights trends and learning
• working with a variety of stakeholders such as Healthcare Improvement Scotland, sharing anonymised data to inform a wider view of public service delivery across Scotland
• publication of SWF case studies on our website.

Stakeholder engagement

We value active engagement with all external stakeholders. The COVID-19 pandemic has impacted our ability to participate thoroughly with all stakeholders. This will be a key focus of our business plan in 2022-23.

The ISE team, will continue to engage with a range of stakeholders and organisations to provide support and advice, drive improvements in standards of complaints handling and contribute to public sector improvement.

Meetings

Continued COVID-19 pandemic restrictions meant the team did not attend any meetings in person during 2021-22. However, the team’s development and focus remained on engagement virtually. Wider engagement through virtual platforms meant that we continued to support bodies under jurisdiction and developed new networks and links that supported functions that were primarily face-to-face interactions pre COVID-19 restrictions.

Engagements included:

• a wide range of complaints handlers’ network groups including INWO & whistleblowing related groups
• meetings with organisations across all sectors to provide support with the MCHP and refreshed KPIs
• sharing our experience with other Ombudsman offices and regulatory bodies around the UK of standardising and simplifying complaints handling procedures
• general complaints handling support across all sectors e.g. dealing with challenging behaviour, recording and reporting complaints etc.
• direct contact with NHS boards to discuss local complaints handling arrangements.

We engaged with the Scottish Government colleagues about the future implementation of Child Friendly Complaints procedures in line with United Nations Conference on the Rights of the Child (the UNCRC) developments. As a result, we will be taking forward a project to deliver child friendly complaint procedures for bodies under our jurisdiction, which in turn will inform wider implementation in the future.

Training

Throughout 2021-22 we continued to deliver online training. The uptake and demand for these online courses continued to be very strong and we received positive feedback following delivery.

• I’ve completed our own internal feedback & noted this course delivered by SPSO is excellent & a must for all Front Line & Senior Managers. Many thanks for a great learning experience.
• I really enjoyed the training, it was really informative and has really helped me to understand the process not just with our complaints but also understanding what the SPSO is all about.
• I really just wanted to say thank you for the training. As someone who has been involved in complaints for years, it has definitely improved my understanding of how the SPSO would look at complaints and identified some improvements that we can make to ensure that all of our interactions with the SPSO are positive ones.

We delivered the following number of courses:

• 20 Good Complaints Handling (GCH), 20 modules
• 42 Complaints Investigation Skills (CIS), 126 modules

Consultation and engagement

In 2021—22 we continued to share the learning from our investigations and complaint handling monitoring through our responses to inquiries and consultations undertaken by the Scottish Parliament, Scottish Government and others.

We responded to a number of consultations, including:

• Scottish Government: Patient Safety Commissioner role for Scotland
• UK Government: Regulating Healthcare professionals
• Scottish Government: A national care service for Scotland
• Northern Ireland Public Services Ombudsman: Consultation on proposed complaints handling principles and procedures
• Ethical Standards Commissioner: Consultation paper for code of practice for ministerial appointments to public bodies in Scotland
• Scottish Government: Review of the Social Housing Charter
• Ethical Standards Commissioner: Draft Strategic plan
• Scottish Government: Consumer duty for public bodies
• Scottish Government: Education Scotland and the Scottish Qualifications Authority: consultation
• Scottish Government: Legal services regulation reform in Scotland
• Mental Welfare Commission: Investigating deaths during compulsory care and treatment under mental health laws in Scotland

This year we returned to in-person attendance at the accountability hearing before the Local Government and Communities Committee. The Ombudsman, Director and Head of ISE attended and gave evidence. This can be viewed on the Scottish Parliament website.

Customer service

We remain committed to providing high-quality services that meet or exceed our customer service standards. We review feedback we receive continually; this includes information from user satisfaction survey responses, customer service complaints, compliments and unsolicited feedback.

Customer service complaints

We hold ourselves to the same high standards as we hold public bodies. Our customer service complaints (CSC) process is the same as the MCHP, except instead of signposting to the Ombudsman, we have a contract in place with an Independent Customer Service Complaints Reviewer (ICSCR) to whom we signpost complainants.

The ICSCR reviews and investigates complaints similarly to our public service complaints process, about SPSO’s internal complaints handling. The ICSCR process is completely independent and will provide full responses to complaints.

We collect, identify and use data about our customer service to drive improvements. We are committed to continuous learning for better customer service and see this data as a key to driving up standards.

Annual statistics for customer service complaints 2021-22

Total (all stages) yearly comparison

Quarterly breakdown 2021-22

2021-22 breakdown

We encourage our staff to seek early resolution and have ensured all staff are using the same language and processes to help customers to either obtain early satisfaction or to escalate if needed to a customer service complaint. We also empowered our staff to handle and work to resolve these complaints as close to the point of service delivery as possible. We consider this to be a continued positive outcome in response to increasing awareness, demonstrating that we value complaints and holding ourselves to high customer service standards.

As the impact of COVID-19 lessens, we are working hard to reduce waiting times and delays for responding to public service complaints, which remain a common driver for customer service complaints, in addition to effective communication to complainants. These will continue to be a focus of our improvement work.

Customer service complaints outcomes during the year 2020-21

Numbers do not total the closed figures as withdrawn complaints are not included in the uphold rate calculation.

Timescales

We aim to respond to complaints in line with the timescales set out in the MCHP. The timescales to close complaints are:

• 5 working days at stage 1
• 20 working days at stage 2
• 20 working days for ‘escalated’ complaints (complaints that bypass stage 1 because they require a detailed investigation at stage 2)

Performance against the timescales in 2021-22

Independent Customer Complaints Reviewer

Part of the ICSCR’s role is to provide assurance that the SPSO have robust arrangements for handling customer service complaints in line with their policy and procedures, and that complainants have the opportunity for review by someone outside of the organisation.

The SPSO sets out three broad customer service commitments:

• effective communication
• working in an open and fair way, and
• carrying out their duties competently and responsibly

Matters relating to the substance of the SPSO’s decisions on complaints about public bodies are not within the ICSCR’s remit.

Where a customer remains unhappy with either the decision we make on their CSC or the way we handled it, they can ask the ICSCR to review our handling of the complaint and the decision(s) we made.

In January 2022 we appointed a new ICSCR, within the first four months of the year the ICSCR has dealt with four cases.

• the ICSCR has acknowledged all cases within the three-day target
• the average time to reach a provisional decision was 13 days
• the average time to reach a final decision from receipt was 23 days.

Of the four matters referred to ICSCR there was no evidence of a service failure or maladministration by SPSO, or a failure by SPSO to effectively handle a service complaint against its customer service standards.

The ICSCR will undertake a random review of customer service complaint files during this year. The review will sample cases, allow the ICSCR to identify learning opportunities and suggest recommendations to help drive service improvement.

Managing the organisation: openness and transparency

Freedom of information (FOI) and environmental information (EIR) requests

Quarterly breakdown

Requests

We continued to see a significant reduction in Freedom of Information (FOI) request numbers this year.

The Scottish Information Commissioner’s published statistics show that for each quarter of 2021-22 our received FOI figures are within the top fourteen out of around 100 Scottish authorities listed in the same sector as the SPSO.

• Q1 5th highest received figure
• Q2 7th highest received figure
• Q3 7th highest received figure
• Q4 14th highest received figure

Outcomes

• We carried out four FOI reviews this year, where we wholly/partially upheld our original decision.
• We were notified of one request for a decision from the Scottish Information Commissioner, where the applicant believed we held information that had not been disclosed. The Commissioner was satisfied that we had disclosed the information we held which fell within the scope of the request.
• We responded to 100% of FOIs and reviews within the statutory timescale of 20 working days.

Publication scheme

We continue to adopt the Scottish Information Commissioner’s Model Publication Scheme and publish a guide on our website to the information that we make available, which is regularly reviewed.

Data protection

• We continually review our policies and procedures in all areas of data protection, records management and information security, and provide regular training to our staff to ensure these are put into practice.
• We respect individuals' privacy and are open about what we do with their information. We continue to ensure privacy information is updated and reviewed on a regular basis.
• We know that a personal data breach can have significant effects on individuals, and we have robust procedures in place to manage any incidents. There were no breaches that required notification to the UK Information Commissioner’s Office (ICO) this year.
• DPO annual assurance statement: “I can confirm that during the period covered by this report the SPSO has provided me with sufficient information and opportunity to fully carry out my role as Data Protection Officer.”
• Good records management supports good information governance and data protection. Following a self-assessment of our Records Management Plan (RMP), the Public Records (Scotland) Act Assessment Team's Progress Update Review (PUR) report found that we continue to take our statutory obligations seriously and are working hard to maintain all elements of our RMP in full compliance with the Public Records (Scotland) Act 2011.

Subject Access Requests (SARs)

Quarterly breakdown

Requests

We continued to see a reduction in SAR numbers this year.

The Scottish Information Commissioner’s published statistics show that for each quarter of 2021-22 our received SARs figures are consistently within the top five out of around 100 Scottish authorities listed in the same sector as the SPSO.

• Q1 3rd highest received figure
• Q2 5th highest received figure
• Q3 3rd highest received figure
• Q4 3rd highest received figure

Outcomes

• We carried out four SAR reviews this year, where we wholly/partially upheld our original decision. A further SAR review was withdrawn/invalid.
• We were notified of one appeal to the ICO about a delay responding to a SAR. By the time we were contacted by the ICO we had responded to the SAR. The ICO acknowledged that an increase in staff resources and new processes had been put in place to ensure that similar delays do not occur in future. They also acknowledged that the delay in this case had been compounded by the pandemic.
• We responded to 94% of SARs within the statutory timescale of one month. The five SARs that went over the timescale included completion of all the delayed SARs that had been impacted by availability and resourcing challenges during the pandemic.

Managing the organisation: our team

Our objective is to be acknowledged for having well trained, properly supported people, who have the tools they need to deliver our services. We strive to have the capacity, financial, human and infrastructure, to implement and deliver our statutory functions. In 2021-22 we

• Maintained Living Wage Employer accreditation
• Joined the Employer’s Network for Equalities and Inclusion
• Developed and delivered a programme of learning and development activities to encourage and support our colleagues’ skills and knowledge
• Consulted with colleagues across the organisation to develop a plan and approach to flexible future working arrangements post-pandemic
• Supported the Scottish Biometrics Commissioner to establish a new office and team
• Continued to support colleagues to work flexibly so they can balance their working lives with their other responsibilities
• Continued to deliver a broad range of activities to support staff to achieve a balance of work and life and positive health and wellbeing
• Maintained our Investors in People gold status.

Our people; staff numbers

Our workforce was an average of 76 Full-time Equivalent (FTE) for 2021-22 (71 FTE 2020-21). We have grown with each new jurisdiction added to the Ombudsman’s statutory responsibilities.

A focus in the past year was on recruitment of Complaints Reviewers and SWF Case Reviewers. We continue to monitor our approach to recruitment so that it follows good practice across all diversity and equality strands.

On 31 March 2022, 73% of employees in the organisation were female and 27% were male (not including seconded and temporary staff) (76:24 in 2020-21). Two of the three members of our leadership team and 78% of our management team are female (82% in 2020-21).

COVID-19 management update

This year we continued to prioritise the health, safety and wellbeing of our people and the public. We have worked hard to keep people connected and supported during the pandemic with a focus on health and wellbeing and this included:

• continued temporary relaxed HR policy to allow more flexibility in working arrangements
• delivering a range of sessions on health and wellbeing, and resilience
• continued regular organisation-wide meetings
• ongoing virtual coffee mornings to improve social connections through work
• communities of practice continuing to deliver virtual meetings to enable knowledge-sharing and social connections
• adopting online collaborative tools and resources to enable virtual communication and working

We followed Scottish Government guidance and continued to keep our Bridgeside House offices closed to visitors and all but key worker staff for most of the year. In February as the restrictions on workplaces eased, we opened the offices for staff to return to the workplace on a voluntary basis.

In 2021—22 we reviewed and consulted our colleagues on future working models. We recognise that there are benefits to having more flexibility and self-determination about where and when we work. Equally, we recognise and respect that our colleagues and service users have needs which need to be balanced with individual choice. Our review of future working arrangements concluded that a 12-month trial of hybrid working arrangements will help us to meet everyone’s needs. We have not changed our flexible working policies but we will use this trial period to take an agile approach to developing policy in light of learning from our experiences.

We have developed Hybrid Working Principles which will guide managers and our people through the trial period which will be launched in the summer of 2022.

Training and development

We continued to meet the people development needs of the organisation through a range of activities. Learning and development activities were delivered around key areas including:

• mandatory training (e.g. Health and Safety, GDPR, Cyber security, Equalities)
• specific subject matter learning events (e.g. Intelligent Kindness, SPSO’s Engagement Policy, Resolutions Approach, Initial Advice, Neurodiversity in the Workplace, MS Excel, Project Management)
• COVID-19 related wellbeing support to staff (e.g. Resilience training and a programme of activities during mental health awareness week)
• COVID-19 impacts on the public sector (e.g. Casework Matters featuring talks from a nurse, GP, a dentist practitioner's experiences during the pandemic, capacity and Kinship Care)
• a range of skills development learning opportunities in response to the development needs identified as part of individual personal development plans (e.g. Project Management Training, Excel training)
• a quarterly programme of leadership development activities to our management community (e.g. Performance, Capability, Reasonable Adjustments, Absence Management and Wellbeing, Leading Hybrid Teams, Influence and Negotiation)

Investors in People

SPSO achieved Investors in People (IIP) accreditation recognition in 2011 and has maintained a gold accreditation status since February 2017. Accreditation status is reviewed on a three-year basis, with a formal activity undertaken on an annual basis. SPSO’s formal reaccreditation took place in March 2020 and in November 2021 a mid-cycle review was carried out.

Feedback at the interim stage found that SPSO continues to foster an environment in which people feel supported and valued by line managers and leadership. Our people are proud of the work they do and they have a clear and consistent understanding of the SPSO vision, values, aims and objectives. This is developed through the involvement of all in the business planning activities and the introduction of Communities of Practice (COP) groups providing people with an additional opportunity to make a positive contribution to the SPSO aims, objectives and long-term sustainability.

The interim report also acknowledged the stretch and pressure that our people are facing in roles across the organisation as we have delivered our service to the public through the pandemic and with the challenges of workload that we face as we emerge from the pandemic. Alongside this was a recognition of the approach by managers and leaders to put our people first, ensuring that, as far as possible while working at home, there are boundaries and support for people to achieve a good work-life balance.

Staff survey

The SPSO conducts an annual staff survey and the summary reports are published on our website.

2021-22 highlights:

• 77% response rate
• 82% of questions scored above 70% positive with 16% scoring above 90% positive
• scores improved in 26 out of 88 questions compared to the last survey
• the most improved scores were under the theme of learning and development (improved by 2% on average)
• management was the highest scoring theme (84% on average).

Each year the staff survey results, along with our IIP assessment findings, are combined to create an annual action plan to ensure we maintain our focus on commitment to building a people-centred organisation.

Communities of Practice (COP), working groups, work streams

A number of staff-led, cross-team working groups continued over the last year to promote and support interaction, cooperation and knowledge sharing across the organisation. The groups established include COPs, Health and Wellbeing and Climate Change groups. Last year we developed a new group for Corporate Social Responsibility that incorporated our charity work and other social and community collaborations.

As a result of feedback on wellbeing and lockdown working over the last year, we launched three project work streams to review our learning and to recommend improvements. These working groups have delivered research, consultation and recommendations on future working arrangements, casework intelligence and internal communications.

Community, social and human rights

Many of our staff are involved in community and social rights engagement activities outside of work, including, for instance, volunteering for:

• the Children’s Panel
• the Law Society of Scotland’s Regulatory committee
• Fresh Start, a charity helping previously homeless people who have been offered a tenancy assistance to move into their new home
• Ochil Youth Community Improvement, a local youth led charity
• Membership of the Administrative Justice Council.

In 2021-22 we observed mental health awareness week with daily informative communications and resources, and a range of activities for staff to participate in, including:

• all staff meeting with talks from the wellbeing group and a coffee breakout
• a talk and virtual fitness session with a qualified personal trainer
• a talk from a clinical psychologist on sleep and wellbeing
• lunchtime catch up for colleagues to share craft projects using natural materials
• a nature themed photo competition.

We also observed Scotland's Climate Week from 13 to 19 September 2021. This was introduced by daily email communication with a range of themes, activities, webinars and resources with hints and tips to reduce personal carbon footprint both at home and work. This involved

• greener eating ideas with a picture challenge on meatless and vegan meals
• encouraging active travel with a week-long team race challenge
• personal climate pledges to benefit the environment and reduce carbon
• home energy solutions with resources, hints and tips to encourage renewable energy and home installations, save energy and reduce emissions
• webinars provided by Zero Waste Scotland and Sustainable Scotland Network on topics such as sustainable shopping, reduce food waste, e-bikes and electric cars and how to reduce, reuse and recycle household products
• resources and tips for shopping locally, eco-friendly products, bespoke SPSO calendar of climate events and activities for staff involvement during the year
• tools for calculating a personal carbon footprint and a carbon footprint quiz.

Managing the organisation: governance

Governance and risk

As Accountable Officer, the Ombudsman has responsibility for maintaining a sound system of governance and internal control that supports the achievement of organisational policies, aims, and objectives, whilst safeguarding public funds and the organisation’s assets for which she is responsible. The Scheme of Control outlines the arrangements in place to assure good governance practices are followed. This is published in our finance handbook.

The Ombudsman is supported by the Advisory Audit Board (AAB), which provides advice about risk, assurance, audit quality and governance. The committee receives internal and external audit reports and the annual accounts. Our external auditors are appointed by Audit Scotland.

Risk is managed actively through a risk management policy that sets out the approach to risk management for the delivery of strategic aims. The most significant strategic risk to the organisation in 2021-22 remained the adequacy of resources to provide a quality service that delivers our statutory functions, in particular our public service complaint handling and SWF review services, within an acceptable timescale. The majority of the SPSO’s workload is demand-led. Consequently, the number and complexity of complaints, enquiries, and SWF review applications received is outside our control and fluctuates. In addition, the impact of the COVID-19 pandemic from 2020-2022 on staff resources has been considerable. The leadership team monitor this closely and focus carefully on financial and workforce planning.

Further details on the SPSO governance arrangements can be read in our full accountability report.

Quality Assurance

The SPSO operates a Quality Assurance (QA) programme designed to meet our commitment to improve quality and consistency, and to ensure that all SPSO casework is handled in accordance with our procedures as written in the SPSO guidance.

The QA programme is set out on an annual basis using standardised and risk-based assessments carried out independently of the decision makers.

This year due to resourcing in the second year of the pandemic, our QA programme focussed on the following key areas

• a general assessment of public service complaint decisions
• a general assessment of Scottish Welfare Fund decisions
• an assessment of social work decisions on public service complaints.

The public service complaint general QA was conducted early in the year. COVID-19 had an impact on the management of complaints during this time. Despite this there were a significant number of cases where we managed to provide a virtually uninterrupted service. Only one case was re-opened. This was on the basis it had been closed because we could not achieve the outcome the complainant was seeking, before checking to see if there were any other outcomes the complainant was looking for.

It was clear from the Scottish Welfare Fund QA that there was a high standard of investigation, decision-making and communication; no cases were amended as a result of the QA.

In relation to the social work decisions on public service complaints, no cases were amended as a result of the QA. In relation to cases that were investigated there was clear decision making and communication. We found that in relation to our proportionality closures there were some inconsistencies in communication. The Leadership team and wider management have taken steps to review the template on how we communicate these decisions.

The findings of the QAs were discussed in a reflective way with the individuals involved and shared with managers. The findings, including any recommendations for improvement (such as guidance changes or training requirements), were reported to the SPSO Leadership Team to inform wider learning.

Public service complaint reviews

We have a non-statutory review process where the complainant or public body can ask the Ombudsman for a review of a complaint decision (a different process applies to public reports). Reviews are considered and responded to personally by the Ombudsman, with support from Executive Casework Officers.

In 2021-22, we received 222 requests for review. This represents 6% of all decisions made this year. The Ombudsman responded to 214 of these requests in 2021-22.

Comparatively we received more requests for reviews on cases that were investigated beyond initial enquiries, than those that were determined in the earlier stages.

2021-22 quarterly breakdown

Review outcomes

Reasons for revised decisions

New Information

Six cases were re-opened for further investigation this year. All of these cases had originally been closed in the early stages. In four of these cases we received new information at the review stage which led to the cases being re-opened.

We also changed the outcome at review stage on six cases. Four of these outcomes were changed due to new information being provided.

This demonstrates confidence in our early-stage decision making. It also reflects our willingness to invite complainants to provide us with new information which they consider may impact on the decision making process.

Mistake or factual inaccuracy

Overall, there were only four cases in which the outcome was changed or further investigation was required due to a mistake being made or factual inaccuracy relied upon in the original decision. This represents 1.87% of all complaint reviews determined and just represents 0.1% of all complaints determined by the office.

Performance against KPIs

We implemented updated timescales in which we aim to respond to review requests. We were conscious that because of the understanding that we were unlikely to have the capacity to meet them, but felt it important to report against them so we could assess recovery from the impact of COVID-19. We focussed on reviewing older cases. As a result, we met the 90-day target in 98% of cases.

Bridgeside House accommodation

Our move to Bridgeside House accommodation in December 2018 enabled a co-location arrangement with the Scottish Human Rights Commission (SHRC) and the Children and Young People Commissioner Scotland (CYPCS). This colocation provided the opportunity to share common services such as facilities, health, safety and security management, postal services, and shared areas such as the boardroom and training facilities.

In 2021-22 we welcomed the new Scottish Biometrics Commissioner (SBC) into Bridgeside House to share these services.

Remote working

Bridgeside House was closed on 23 March 2020 to everyone except a very small team of nominated key workers following Scottish Government guidance. From this date, the Building Coordinator continued as the Display Screen Equipment (DSE) Assessor, supporting staff with home-working advice and guidance, self-assessments, sourcing equipment, completing virtual online Home Working Assessments. We look forward to a return to the office in 2022.

Environmental and sustainable development

The Climate Change (Duties of Public Bodies: Reporting Requirements) (Scotland) Amendment Order 2020 places a statutory duty on all public sector bodies in Scotland to report their carbon emissions. We strive to continue to reduce our level of carbon emissions year-on-year.

Under the Bridgeside House shared accommodation arrangement, SPSO have responsibility for reporting on the waste and energy carbon emissions for all four organisations. We also report the emissions from business travel for SPSO.

Our carbon emissions figures were not available at the time of publication of this report due to a delay in receiving our Bridgeside House utilities figures for 2021-22. These will be provided in our Environment, Sustainability and Biodiversity report and Climate Change Duties Reports, due to be published on our website in December 2022.

In 2021-22, the SPSO continued to implement the actions generated from the completion of Resource Efficient Scotland’s Climate Change Assessment Tool to further reduce emissions and embed awareness of climate change within the organisation with the aim to be NET ZERO by 2030. Further details of carbon emission reductions are in our Climate Change Duties Reports on our website.

Biodiversity

The Nature Conservation (Scotland) Act 2004 places a statutory duty on all public sector bodies in Scotland to further the conservation of biodiversity and the Wildlife and Natural Environment (Scotland) Act 2011) by introducing a requirement for all public bodies to make a report publicly available on their compliance with biodiversity duty. Biodiversity duty reports are required every three years. We report on biodiversity annually. SPSO does not own or manage land and therefore has limited opportunity to carry out activities for biodiversity. We support biodiversity through:

• reducing our carbon footprint
• minimising waste and reducing waste to landfill through recycling
• reducing the total kilometres we travel on business and choosing more sustainable travel options
• raising awareness of biodiversity and sustainability issues, and
• using local suppliers where possible.

Further details are in our Environment, Sustainability and Biodiversity report on our website.

ICT and Cyber Security

Digital technologies are an important tool underpinning our service, and we manage these closely to protect the sensitive personal data and confidential data we hold and use, and ensure our systems are robust and resilient. Continued cyber-attacks on organisations have highlighted the importance of, and reliance on, digital systems. Digital technology offers transformational opportunities, but also increases dependence on digital services for the delivery of our work.

The importance of cyber resilience has never been greater, and in 2021-22, we continued implementing the Cyber Resilience Public Sector Action Plan, renewing Cyber Essentials accreditation in December 2021. SPSO utilise SCOTS Connect to host our network services to provide a safe and secure digital environment. SCOTS is the name for the Scottish Government’s range of managed IT services and products that hold Cyber Essentials Plus accreditation. Our emails are sent over the secure Public Services Network (PSN) and all traffic is scanned for inappropriate or harmful content, which protects our systems, people and data.

In 2021-22, SPSO began to implement a hybrid working environment, with staff working from the office and from home. This encouraged the adoption of further projects to support electronic working to ensure we continued to provide our service in an efficient and secure IT environment. These included:

• developing our secure file sharing platform to integrate with our casework management system (CMS) to improve efficiency and data security
• implementing a PDF editing software to support electronic working
• making developments to video conferencing and collaboration platforms such as Microsoft Teams to support hybrid working
• installing video conferencing software in Bridgeside House meeting rooms to enable hybrid meetings.

Equalities

When people make complaints, ask us to review a welfare fund decision, or raise a whistleblowing concern we ask them to provide information that helps us understand if there are groups of people who are under-represented among our users.

Not everyone chooses to respond and, of those who to do respond, they do not all answer every question. This means we can’t say with complete confidence that the data truly reflects users but we track over time and against publicly available national demographic data and this helps give us a reasonable picture of who is and who is not using our service. This data is anonymised and held separately from our casework data. It helps inform any equality impact assessments we undertake and the work we do on ensuring our service is accessible.

This year, we undertook a review of the questions we ask people and there will be some significant changes in the forms for 2022-23. We undertook this work to align with Scotland's Census 2022 which means that, next year, we will be able to align our analysis with the most up-to-date data. To date we have not undertaken intersectional analysis of the data we hold but we are keen to develop our expertise in that area and are interested in improving our understanding of best practice in the analysis of the data we hold about our users.

Turning to the detail of the 2021-22 data, we report here where we differ significantly from the comparative population data or where there have been changes in our own data compared to previous years.

We have reported for some time that our age profile is older because children and young people do not tend to access our service direct. As will be seen elsewhere in this report, we will be looking more closely at improving access to complaints processes for younger people and children. There are significant differences between the ages of people who complain and people who request reviews of SWF decisions. Those who complain tend to be older with around a quarter in the 50-60 age group. By contrast, SWF applicants are more likely to be young and there is a concentration in the under 40s.

Last year saw the first decline in percentage points for people declaring they had a disability to 37% and we undertook additional analysis. This year, the figure has returned to 41% which is consistent with pre-COVID-19 data and does suggest last year’s figure was an outlier. Analysis does show that the reduction in disabled applicants has continued for SWF users which is down from 56% pre-COVID-19 to 48%. This is likely related to the use of the welfare fund for SISG and also the reduction in CCG. We will look at these figures alongside the full-year reporting for the welfare fund applications at local authority figures when these become available to see if we can identify differences between those applying and those seeking review of decisions.

While we cannot determine whether or not an individual’s rights under equalities legislation have been formally breached, we can comment on the appropriate consideration of such rights if we find failures while investigating public service complaints. Two examples of this work, which we publicly reported on in 2021, again demonstrate the need for public organisations to proactively offer adjustments and ensure that they implement adjustments properly when they agree these are needed. These are themes we have highlighted in previous annual reports.

• Decision Report 201808623
• Decision Report 201904485

Accessible service

Accessibility is at the heart of SPSO’s values and this is evident in the organisation, vision, strategic themes and customer service standards.

Our vision states that we put people and learning at the heart of all that we do.

We have a specific accessibility strategic theme: everybody who uses Scottish public services can access them without barriers, when they need them, in the way they need to. People are always treated with dignity, respect and kindness.

We also have customer service standards specifically relating to accessibility:

• Our service will be easily available and accessible to you.
• We will work with you to meet your individual needs, including working with representatives to support you through our service.

Inclusion Diversity Equality Accessibility collaborative

SPSO have an Inclusion Diversity Equality and Accessibility staff interest group (IDEA collaborative) comprising staff membership from across the organisation. The IDEA group are interested in a wide spectrum of issues where questions of inclusion might arise, ensuring SPSO’s service is accessible to a diverse range of service users. The group consider how communications can be made easy to read and/or understand and look at diversity within SPSO itself and how this might be encouraged/improved.

The group was established in 2019 and have been key in leading and developing guidance and support for staff to ensure our service has remained accessible and adaptable during the challenges of the pandemic. The group developed vulnerability guidance which was successfully embedded into all areas of our service delivery during 2020 and during 2021 conducted a review of staff’s awareness and understanding of this guidance. The group have also improved how adjustments to our service are recorded on our customer record management system, ensuring that adjustments are consistently applied when agreed with individuals.

Adapting our service during our customers' journey

When customers first contact our office we ask how we can best communicate with them and if they require any reasonable adjustments to be made. We recognise that individuals needs and circumstances may change throughout the time that they are engaging with us. Our complaint handling staff maintain an awareness of our vulnerabilities guidance and throughout our handling of a complaint we are mindful of any reasonable adjustments required and will check-in with complainants to ensure our approach is meeting their needs.

In some situations we will adapt our approach to adjust to a complainant’s personal circumstance. This could be a change in the way we interact, or an adjustment to the level and frequency of our communication. We take into account the practical impact of how we communicate and the decisions we make, as well as, the emotional impact. A substantial number of complaints we consider are about events that have gone wrong, sometimes with a serious outcome. We recognise that these complaints are difficult and can have a significant effect on those involved. We strive to deliver fair decision-making and handle complaints with sensitivity and kindness in line with our vision to put people and learning at the heart of all we do.

Developing our knowledge and understanding

We held meetings and staff training and awareness sessions to assist us in continually improving our understanding and knowledge around equality and accessibility. These were with:

• The Equality Advice and Support Service
• The Donaldson Trust
• Burness Paul

As organisations return to office working during 2022-23, we hope to plan a series of learning sessions for our staff to continue to develop our expertise in meeting the broad range of needs of our customers.

Prisoners access to our service

Prisoners’ access to our office is more limited due a variety of factors - the nature of their environment, limited ability to contact us by phone and only being able to write to us via post. Literacy levels within the prison population is also low.

We have been particularly concerned by the drop in prison health care complaints that we have received during 2021-22. Of the low number of complaints that we have received a high volume have been premature. This suggest a lack of understanding of the NHS complaints process by prisoners and/ or accessibility issues.

We have conducted a study of these premature complaints and have suggestions for improvement that we plan to share with NHS Boards across Scotland who have HMP establishments within their geographical area. We will host a meeting of these NHS Boards in 2022.

We also plan to broaden our knowledge of support services available across prison estates to effectively signpost prisoners who we recognise would benefit from support in progressing their complaint through internal complaint procedures and/or to the SPSO.

Financial position

We are required to produce annual accounts detailing the resources acquired, held or disposed of during the financial year and the way in which they were used. The SPSO has been appointed as Accountable Officer and is responsible for the preparation of these accounts. For information about how we managed our finances, please see our full financial statements on our website here: https://www.spso.org.uk/finance

Our finance processes and procedures are published on our website here: SPSO Policies

Sources of funding

Total funding received was £6,095K. This included:

Expenditure

Total expenditure was £6,004K. This included:

Payment performance

We operate a prompt payment policy in line with our values of being fair and acting with integrity. We track our payment performance against the 10 and 30 calendar-day targets. Only two payments were over 30 days in the financial year, due to being new payees which are only added to the bank account from within the office to maintain good financial controls.

Payments slowed at the beginning of 2020-21 due to the impact of the COVID-19 pandemic lockdown, but have continued to improve during 2021-22. Good financial governance and processing, including appropriate controls and separation of duties were maintained.

Resources required for 2021-22

The 2022-23 budget was approved by the Scottish Parliament with revenue resources totalling £6,301K.

Looking forward

We go into 2022-23 with an ambitious business plan recognising that like last year, our priorities may change because of the uncertainty of COVID-19 and recovery from it.

We recognise the continued need to balance:

Ongoing commitments

• supporting staff wellbeing
• improving accessibility of our services
• delivering statutory functions as usual
• business development drawing on what we learn from business as usual across all functions
• implementing and delivering new functions
• implementing new ways of working

with

COVID-19 recovery

• recovering from the enduring impact of COVID-19
• business development based on learning from COVID-19

Ongoing commitments

We will:

• focus on renewing and refreshing stakeholder engagement as we all emerge from lockdown, particularly in relation to supporting good complaint handling
• review our approach to risk management, particularly risk appetite given our wide range of functions
• maintain our excellent performance in delivery of the SWF review service
• deliver our public service complaints service, endeavouring to meet our customer service standards and performance targets, while achieving good outcomes for complainants and driving public service improvement. This will focus on reducing the number unallocated complaints and reducing the time taken to decide complaints
• maintain and develop how we manage, motivate and support the team, building on the wellbeing and training resources we developed during lockdown
• drive more efficient ways of working, learning from quality assurance, internal audit, customer service complaints and feedback
• continue to provide support and advice to members of the public and public bodies alike though advice lines and training
• continue to look for opportunities to develop shared services
• support the NHS in raising awareness of Whistleblowing and responding to concerns about patient safety
• review our approach to work force planning
• support the implementation of child friendly complaints procedures in line with United Nations Conference on the Rights of the Child (the UNCRC) developments. At the start of 2022-23 we appointed a Child Friendly Reviewing Officer to lead a project to develop Child Friendly Complaints processes for organisations within our jurisdiction, which in turn will support wider implementation in the future. This project is required in order to:
  • ensure the principles and rights of the UNCRC are at the heart of complaints handling across the Scottish public sector
  • meet our strategic themes of accessibility and access to justice by giving a greater voice to children and young people, enabling them to exercise their rights under the UNCRC
  • ensure complaints involving children are handled in a way that meets our values of being people centred and fair.

COVID-19

• we continue to work collaboratively across the office to drive improvement and efficiency, based on learning from COVID-19. A significant element of this is the move to hybrid working, where we are partly office and partly home based. Building on our experience during lockdown, particularly working electronically, we will trial hybrid working from 1 July 2022 for twelve months to inform policy and practice in future years.
• the most significant issue for us, and the area of greatest risk, is the enduring impact of COVID-19, in particular the combined impact of reduced capacity – ours and public bodies.

Shared services

• From 1 April 2022, we are delighted to be providing corporate services to the Scottish Biometrics Commissioner (SBC). This will include, for example, Human Resources support, finance processing and health and safety advice. We are pleased to be working collaboratively with a fellow Parliamentary Office Holder and recognise the value this contributes to the public purse and best value. The arrangements we have in place are focused on providing administrative support, which ensures that the SBC maintains independence and responsibility for his statutory duties.

Rosemary Agnew Scottish Public Services Ombudsman
October 2022