1 SPCB(2016)Paper 14 2 March 2016 SCOTTISH PUBLIC SERVICES OMBUDSMAN REQUEST FOR CONTINGENCY FUNDING Executive summary 1. This paper invites the SPCB to consider a contingency fund application from the Scottish Public Services Ombudsman (the Ombudsman ) for additional funding of 107k for the financial year 2016/17 to enable him to establish a Learning and Improvement Unit on a trial 1 year fixed term basis. Background 2. The SPCB will recall that in June 2015 it was invited to consider a staffing determination from the Ombudsman for funding for 6 additional Complaints Reviewers due to the increasing volume and complexity of cases but at that time the SPCB did not approve the request. 3. Having increased efficiency by introducing new processes and procedures, and despite the significant work undertaken by the Complaints Standards Authority to improve complaints handling in the public sector in Scotland, the Ombudsman continues to consider options to keep pace with demand and instead of seeking funding for 6 Complaints Reviewer s the Ombudsman is now seeking contingency funding of 107k for an additional 3 full-time members of staff to establish a Learning and Improvement Unit on a trail 1 year fixed term basis. The Ombudsman s contingency fund application for 2016-17 is attached at Annex A. Consideration 4. The purpose of establishing a Learning and Improvement Unit is to test whether the work of such a unit could influence and manage the volume and complexity of complaints that the Ombudsman receives. 5. The Ombudsman has a number of statutory duties in relation to complaints handling including:- a) investigating complaints about public bodies brought by members of the public. This work utilises the majority of the Ombudsman s staff. Since 2010 there has been a 40% increase in this workload; b) promoting best practice in complaints handling which includes monitoring practice, identifying any trends in practice and encouraging co-operation and the sharing of best practice; and c) publishing a statement of principles of good complaints handling and publishing model complaints handling procedures for the different sectors.
6. In promoting best practice, the CSA team (1.5 FTE members of staff) supports best practice networks, works with sectors to develop and measure against clear indicators, and provides guidance and training. The work undertaken to date by the CSA Team has highlighted that organisations struggle with the concept of learning from their own complaints but the team has been restricted in developing clear guidance and frameworks for organisations due to the small size of the team. 7. In order for the Ombudsman to build capacity in his office to drive improvement within organisations and enable them to learn from the complaints they receive - especially the public authorities that generate the largest volume of complaints - the Ombudsman is proposing to create a separate Learning and Improvement Unit. The unit would be responsible for making sure that public bodies not only demonstrate that they comply with the Ombudsman s recommendations but that they learn from the complaints and put in place appropriate changes to prevent repeat failings. The Ombudsman already follows up his recommendations with authorities being required to provide evidence that action has been taken. This work is currently undertaken by the Complaints Reviewers. 8. The Ombudsman considers that key to bringing about public sector improvements is that action is taken on his recommendations. In 2014-15 the Ombudsman made 1,444 recommendations which represents a considerable contribution to public service improvement but the Ombudsman and other stakeholders want to be assured that the outcomes for the public are as far reaching as possible. 9. The Ombudsman has identified a number of benefits which would arise from the setting up of a unit including:- Improvement supporting and advising the public service organisations on the implementation of recommendations; reducing the burden on Complaints Reviewers (no follow-up work from the recommendations) and thereby increasing their productivity and ability to cope with an increasingly complex caseload; advising, developing and tracking recommendations for consistency and knowledge management purposes. Engagement Working with high volume generators of complaints to develop and support improvement initiatives. 2
Impact Conducting impact assessment studies to assess and improve quality of recommendations to bring about change and assess the impact the recommendations have made on frontline service delivery. 10. The establishment of a unit has been discussed with stakeholders (e.g. the Local Government and Regeneration Committee, SOLACE, the Ombudsman s Customer Sounding Board and his Audit and Advisory Committee) and there has been strong support for the initiative. We would support the request to trial a unit for 1 year and at the end we would invite the Ombudsman to report to the SPCB on the impact the unit has had on the overall productivity and effectiveness of the office based on the benefits identified in paragraph 10 above improvement, engagement and impact. If the unit has been successful and the volume of complaints begins to fall, it will be possible to redeploy some of the Ombudsman s existing staff (e.g. Complaints Reviewers) to the unit. Going forward this would not increase the Ombudsman s baseline budget. If the unit has not had the desired impact the unit will have to be wound up. Resource Implications 11. The Ombudsman is seeking contingency funding of 107k for the financial year 2016/17. Funding would not be released until it was clear that the Ombudsman was unable to meet in full or part the costs from his approved budget. 12. The Contingency Fund for 2016/17 is 273k which includes an element of funding for a potential call from the Ombudsman for additional staff. Please see paragraph 2 above. Governance issues 13. As this is a request for contingency funding, SPCB approval is required. Publication Scheme 14. This paper can be published in line with the SPCB s disclosure policy. Next steps 15. The next steps would be to inform the Ombudsman of the SPCB s decision. 3
Decision 16. The SPCB is invited to consider the contingency fund application from the Ombudsman and to give its approval for contingency funding of 107k for the financial year 2016/17. Officeholder Services February 2016 4