Queen Margaret University CONSUMER INSIGHT CENTRE invite you to apply to study for the following qualification: B3124 PROFESSIONAL CERTIFICATE IN OMBUDSMAN AND COMPLAINT HANDLING PRACTICE Approved by the Ombudsman Association The course will be held at City Tower, Red Room 4, 24 th floor, Piccadilly Plaza, Manchester M1 4BT between 24 and 27 September 2013 Contact: Carol Brennan Director Consumer Insight Centre School of Arts, Social Sciences and Management Queen Margaret University, Edinburgh EH21 6UU t 0131 474 0000 f 0131 474 0001 e cbrennan@qmu.ac.uk w www.qmu.ac.uk
Table of Contents INTRODUCTION... 2 AREAS OF STUDY... LEARNING OUTCOMES, COURSE CONTENT & TIMETABLE... 3 Day 1 Ombudsman and complaint handlers: history, policy and challenges...3 Day 2 Appropriate dispute resolution: theory and practice......5 Day 3 The principles of effective remedy...7 Day 4 Human rights and Equality for ombudsmen and complaint handlers...9 COURSE LEARNING EXPERIENCES, PRE & POST COURSE WORK...14 ABOUT QUEEN MARGARET UNIVERSITY...16 INFORMATION ABOUT THE COURSE TEAM...17 BOOKING FORM...19 1
Introduction The Consumer Insight Centre at Queen Margaret University (QMU) is delighted to be running the Professional Certificate in Ombudsman and Complaint Handling Practice, as approved by the Ombudsman Association. This course is aimed primarily at those working in the assessment and investigative functions of ombudsman and other secondtier complaint handling organisations. Its purpose will be to equip assessors and investigators with the practical skills and background knowledge necessary to discharge those functions to a high level of competence. To ensure maximum effectiveness, places will be limited to 20 delegates. The Professional Certificate course is based on four days of training plus some pre-course work and a post-course assessment (which together total 150 learning hours). Areas of study are structured as follows: Day 1 Tuesday Ombudsman and complaint handlers: history, policy, challenges Day 2 Wednesday Appropriate dispute resolution: theory and practice Day 3 Thursday The principles of effective remedy Day 4 Friday Human rights and equality The learning outcomes, course content and timetable for each area of study are set out in this information. On completion of the assessment, a participant will gain the Professional Certificate in Ombudsman and Complaint Handling Practice (15 credit points at Scottish Credit and Qualifications Framework (SCQF) level 9 (or Degree Level). The Certificate course will run as a non-residential course in Manchester between 24 and 27 September 2013 at City Tower, Red Room 4, 24 th floor, Piccadilly Plaza, Manchester M1 4BT. The course hours will be 9.15 to 16.45. The cost per delegate is 1,300 and includes all course material, registration as a student of QMU, access to the Hub learning platform, tutor support, course assessment, quality assurance, refreshments and lunch on the course. As a matriculated student of QMU, you will enjoy the usual benefits of access to an extensive range of electronic library resources, many other University resources and, if you apply for a student card, student discounts. The deadline to register for this course in Manchester is Monday 2 September 2013. The booking form is at the end of this promotional material. It would be helpful if you could indicate your interest prior to this date if possible. 2
Learning Outcomes, Course Content and Timetable Ombudsmen and complaint handlers: history, policy, challenges Learning Outcomes On successful completion of this area of study, the participant will be able to: L1: Understand the historical and comparative development of ombudsman and other complaint handling schemes L2: Understand the relationship of domestic ombudsman and complaint handling schemes with the broader administrative justice landscape L3: Use knowledge to analyse and assess the current challenges facing ombudsmen and other complaint handling schemes Content Origin & Development: Introduction Presenter-led introduction to world-wide history of Ombudsmen and complaint handling organisations - Includes a quiz and small group work Developments in the UK & Ireland Presenter led introduction and individual and small group work Links with Courts & Regulators Consideration of a number of case studies. Individual and small group work + whole group discussion The wider context: dispute resolution and administrative justice Presenter-led introduction and small group work Public and private sector schemes: similarities, differences, links Presenter led introduction and consideration of a number of case studies. Individual and small group work + whole group discussion Current challenges and opportunities Consideration of a number of case studies. Individual and small group work + whole group discussion What next? Possible future developments Presenter-led overview and individual/ small group work Preparation for Group Discussion Small group discussion of scenarios Group Discussion Small groups have 10 minutes to present their views on scenarios followed by group discussion 3
Timetable 09.15 9.30 Outline of the Day 09.30 10.00 Origins and development: Introduction 10.00 10.45 Developments in the UK and Ireland 10.45 11.00 Coffee Break 11.00 11.45 Links with Courts and Regulators 11.45 12.15 The wider context: dispute resolution and administrative justice 12.15 13.15 Lunch 13.15 14.00 Public and private sector schemes: similarities, differences, links 14.00 14.45 Current challenges and opportunities 14.45 15.00 Coffee break 15.00 15.30 What next? Possible future developments 15.30 15.45 Preparation for group discussion 15.45 16.30 Group discussion 16.30 16.45 Review and Close 4
Appropriate Dispute Resolution: theory and practice Learning Outcomes On successful completion of this area of study, the participant will be able to: L1: Understand the principles of appropriate dispute resolution L2: Explain the different models, including negotiation, mediation and arbitration L3: In appropriate circumstances, resolve complaints without full investigation Content About Conflict Discussion relating to pre-course work What is Appropriate Dispute Resolution? Presenter led introduction to Appropriate Dispute Resolution Includes small group work Resolving Disputes without Investigation Consideration of a number of case studies to decide whether they are suitable for resolution, without investigation. Individual and small group work + whole group discussion Arbitration and Adjudication exercise Short exercise to illustrate arbitration and adjudication - small group work Consensual Dispute Resolution Skills Presenter led consideration of the communication skills to consensual dispute resolution - some practical exercises to illustrate Negotiation Theory and Practice Presenter led overview of how negotiation works With practical examples of application to second tier complaint schemes Group negotiation exercise Whole group debrief and discuss Mediation Theory and Practice Presenter led overview of how mediation works With practical examples of application to second tier complaint schemes Small group mediation exercise Whole group debrief and discuss 5
Timetable 09.15 9.45 Course Purpose and Overview 09.45 10.15 About Conflict 10.15 11.00 What is Appropriate Dispute Resolution? 11.00 11.15 Coffee Break 11.15 12.00 Resolving Disputes without Investigation 12.00 12.30 Arbitration and Adjudication exercise 12.30 13.30 Lunch 13.30 14.30 Consensual Dispute Resolution Skills 14.30 15.15 Negotiation Theory and Practice Exercise role play 15.15 15.30 Coffee break 15.45 16.30 Mediation Theory and Practice Exercise role play 16.30 16.45 Review and Close 6
The principles of effective remedy Learning Outcomes On successful completion of this area of study, the participant will be able to: L1: Understand the legal principles of individual remedy L2: Understand the options for extra-legal remedy, including options for systemic remedy L3: Apply knowledge in investigations Introduction to Remedy Presenter led overview of legal and extra-legal remedies Introduction to case study What are complainants looking for? Presenter led overview of relevant research Presenter led discussion related to the above Preparation for Group Discussion Small group work preparing for the discussion to take place Group Discussion Small groups have 10 minutes to present their views on the discussion Followed by whole group consideration Apology Presenter led overview Small group exercise producing an apology Systemic Investigations and Remedies Presenter led overview of systemic investigations/remedies with examples Learning from Complaints What second tier complaint handlers can do to promote learning from complaints Consideration of what works and why (not) Exercise the application of Remedy Application of theory related to remedy 7
Timetable 09.15 09.30 Outline of the Day 09.30 10.15 Introduction to Remedy 10.15 10.45 What are Complainants Looking for? 10.45 11.00 Coffee Break 11.00 11.30 Preparation for Group Discussion 11.30 12.00 Group Discussion 12.00 12.30 Certificate Assignment 12.30 13.30 Lunch 13.30 14.15 Apology 14.15 14.45 Exercise the application of Remedy 14.45-15.00 Coffee break 15.00 15.45 Systemic Investigation and Remedies 15.45 16.30 Learning from Complaints 16.30 16.45 Review and Close 8
Human rights and Equality for ombudsmen and complaint handlers Learning Outcomes On successful completion of this area of study, the participants will be able to: L1: Understand the basic elements of human rights, equality and other relevant law L2: Explain the relevance of rights and equality principles to complaint handling L3: Adopt a rights and equality sensitive approach to investigation and remedy Content Ombudsmen, human rights and equality: what s the connection? Presenter-led overview of legal and policy context Review of pre-course work participants will have been asked to consider examples of use (or non-use) of rights and equality in their own schemes The legislative framework Presenter-led discussion and introduction of key rights and equality instruments. Preparation for group discussion Small-group discussion of case studies Case study materials circulated in advance Group discussion Small groups have 10 minutes to present their views on case studies 9
Timetable 09.15 9.30 Outline of the Day 09.30 10.00 Ombudsmen, human rights and equality: what s the connection? 10.00 10.45 The legislative framework 10.45 11.00 Coffee Break 11.00 11.30 Preparation for group discussion 11.30 12.15 Group discussion 12.15 13.15 Lunch 13.15 14.00 Enforcing rights and equality 14.00 14.45 Barriers and challenges: recognising and overcoming them 14.45 15.00 Coffee break 15.00 15.30 Rights and equality in investigation and remedy 15.30 16.30 Exercise rights and equality in practice 16.30 16.45 Review and close 10
PROFESSIONAL CERTIFICATE IN OMBUDSMAN AND COMPLAINT HANDLING PRACTICE Course Learning Experiences Course learning experiences include lectures, case studies, workshops, directed study, DVDs, practical exercises, role play exercises, group exercises, quizzes and structured discussions. The Hub, QMU s Virtual Learning Environment (VLE), will enable course participants to remotely access course materials, useful websites and publications. This provides a very useful set of educational tools to facilitate learning, communication, collaboration and assessment. These tools include an assignment drop box and the ability to display course materials for students. The platform can be used to share student outputs such as information about colleagues roles and experience and these become a useful resource for learning and knowledge exchange. Professional Certificate Pre-Course Work Course participants each prepare a 500 word summary on their scheme/their complaint handling experience to date - to be submitted in advance and shared with other course participants. There is also some pre-course reading. Professional Certificate Post-Course Work The Professional Certificate in Ombudsman and Complaint Handling Practice is assessed by a post-course 3,000 word assignment. Within the framework of the learning outcomes set out for each day of the course, participants will produce an essay or report on a subject relevant to their interests and connected to their own work. The aim of the assignment is to provide participants with an opportunity to demonstrate their competence in the application of learning from the Professional Certificate course. Participants will do this through a combination of the learning experiences from the course, their own experience and guided research support from the course tutors. Participants have an eight-week period during which to complete and submit the assignment. Tutor support is available during this period. Tutors will assist participants with their selection of appropriate topics and help them to frame the learning outcomes for their assignment. They will also help participants to decide on the suitability of their topic for a report or essay and offer further guidance as they progress their assignments to completion. Guidance on the use of our electronic and other library resources is available from the School liaison librarian. There is a section of our library resources dedicated to Ombudsman and Complaint Handling. QMU also has an Effective Learning Service to assist colleagues with various study skills such as active reading, critical thinking, making effective notes, planning and writing essays, writing and structuring assignments. All documents are accessible online. 11
Assessments for the Professional Certificate in Ombudsman and Complaint Handling Practice are subject to moderation by QMU academic staff and by an external examiner. Marks are ratified by a Board of Examiners. Quality is overseen by the School Academic Board which requires periodic reports on the effectiveness of the arrangements for learning, teaching and assessment. 12
ABOUT QUEEN MARGARET UNIVERSITY QMU is a leader in relation to the application of IT to teaching, and was recently nominated for a Times Higher Education Management and Leadership Award for its use of technology to support students, staff and research. Features of the IT provision include remote access which provides web access to email, files and software from anywhere in the world and the Hub Virtual Learning Environment. The University learning resource services are designed to meet the needs of all students whether they study on or at a distance to the campus. By making full use of e-learning, we can design courses that support students who have work and other life commitments. The university library holds 111,000 books, 590 print journals and provides access to over 130 electronic databases and 10,300 electronic journals. QMU has over 70 staff in the School of Arts, Social Sciences and Management and is committed to providing training courses tailored to client needs. QMU has unique expertise in consumer insight developed over 20 years, experience of research, CPD training and consultancy in customer service, complaint investigation, complaint handling, consumer regulation, marketing and consumer policy. Quality Assurance Queen Margaret University has a proud history of achievement and progress extending for over a century. Founded in 1875, the institution has always been driven by the highest ideals and purposes, focusing on contributing in practical ways to improving the quality of life and serving the community. Colleagues are dedicated to delivering vocational and professional learning and specialising in research which is of value to the community and enhances people s lives. For all aspects of learning, teaching and research, Queen Margaret University operates its own policies and procedures for the management of academic quality and standards, within a framework of published guidelines and periodic external review conducted by the Quality Assurance Agency for Higher Education (QAA). The QAA monitors our adherence to codes of practice for the sector, covering activities such as research and consultancy. 13
INFORMATION ABOUT THE COURSE TEAM CAROL BRENNAN is the Director of the Consumer Insight Centre at Queen Margaret University, Edinburgh and is the Module Co-ordinator for the Professional Certificate in Ombudsman and Complaint Handling Practice. Carol is an experienced academic and has provided leadership for several research and commercial projects, including the Financial Ombudsman Service, the Legal Ombudsman, the Ombudsman Association, the Scottish Public Services Ombudsman (SPSO) and the Police Complaints Commissioner for Scotland, the International Ombudsman Institute, the African Ombudsman Research Centre, Directorate General Health and Consumers, (DG SANCO), National Endowment for Science, Technology and the Arts (Nesta), Care Inspectorate and Audit Scotland. Her research interests are mainly in the field of consumer policy with particular reference to consumer empowerment, complaint handling and customer service. Carol s most recent publication is Grumbles, Gripes and Grievances; the role of complaints in transforming public services published by Nesta in April 2013. CHRIS GILL is a Lecturer in administrative justice at QMU. Chris has extensive experience of working in oversight, investigative and regulatory agencies. Prior to joining the university, he worked for the office of the Scottish Public Services Ombudsman (SPSO) where he delivered training in complaint investigation skills to the NHS and local authorities; conducted quality assurance audits, monitored trends and suggested improvements; and dealt with appeals against caseworkers decisions. Chris has worked in advertising regulation at the Advertising Standards Authority (ASA) and in quality assurance at the Scottish Funding Council (SFC). His academic interests include public sector decision-making, administrative justice and ombudsmen. He is studying for a PhD at Glasgow University. CRAIG CATHCART is a member of the Consumer Insight Centre team at Queen Margaret University, Edinburgh. Craig is an experienced academic lawyer who teaches across a range of business and law subjects. In recent years Craig has used his legal and practical insights into consumer law to develop a wide expertise in the area of dispute resolution. Subject specialisms include mediation, ADR, contract law, business law, marketing, management and leadership. Craig serves as a professional examiner for the Trading Standards Institute, and acts as a consultant, tutor and trainer on a range of legal, regulatory and dispute resolution matters. Recently he has been working with the Financial Ombudsman Service, the Legal Ombudsman, Strathclyde University, and a range of local authorities. ERIC DRAKE is a former Deputy Ombudsman and Director of Investigations with the Scottish Public Services Ombudsman, posts which he held from the formation of this Office in September 2002 until May 2009. At the SPSO he took a particular interest in nurturing good complaint handling and learning from complaints in the NHS. He was a member of the Scottish Executive Working Party responsible for revision of NHS Scotland s complaint process in 2005. He also took the lead on legal issues, including judicial review. He worked extensively with the British and Irish Ombudsman Association, among other things as first Chair of the Training Accreditation Working Group. Eric is a Visiting Fellow at QMU, Edinburgh where he has designed and co-delivered: the Professional Award and Certificate in Ombudsman and Complaint Handling Practice; the 14
Police Complaints Commissioner for Scotland Certificate in Complaint Handling Practice, the Certificate in Dispute Resolution and Complaint Handling Practice at the Financial Ombudsman Service and a substantial package of Accredited Ombudsman skills training for staff of the new Legal Ombudsman for England and Wales. CAROLYN HIRST has expertise in dispute prevention, management and resolution. She is a Visiting Lecturer at QMU where she has provided leadership for the content and delivery of the new Professional Award and Certificate in Ombudsman and Complaint Handling Practice, and had strong involvement in the development and delivery of the Foundation Award in Ombudsman Practice for the new Legal Ombudsman for England and Wales. She also contributed to the development and delivery of the Police Complaints Commissioner for Scotland Certificate in Complaint Handling Practice. Carolyn is a former Deputy Scottish Public Services Ombudsman, a post held from the formation of this Office in September 2002 until 2007. During this period she developed well regarded guidance on Apology and Dealing with Unacceptable Actions. Before that she worked in Social Rented Housing for nearly 20 years, latterly as a Deputy Director of a Housing and Care Organisation. Carolyn is an accredited and practising Mediator and an Associate Trainer for the National Housing Federation. She is also a member of the Scottish Legal Complaints Commission Mediation Panel and a member of the Edinburgh Sheriff Court Mediation Panel. DR NICK O BRIEN qualified as a solicitor in 1987. After a period in private practice he was appointed Legal Adviser to the Legal Services Ombudsman for England and Wales where he became Deputy Ombudsman in 1999. In 2000, Nick took up the post of Legal Director at the Disability Rights Commission where he had responsibility for the litigation, strategic enforcement, casework, conciliation, best practice and telephone advice services. He was a member of the senior management team and convenor of the Legal Committee. He also represented the DRC on the DTI Task Force to set up the Equality and Human Rights Commission, the Attorney General s Equality Advisory Panel, and the Public Legal Education Task Force. Since 2007, Nick has worked as part-time Legal Policy Adviser to the Parliamentary and Health Service Ombudsman. He is also a part-time Judge in the Mental Health Review Tribunal and an Honorary Research Fellow in the Law School at Liverpool University. Nick has published several articles in academic journals on ombudsmen, human rights and disability rights. He has been a member of the editorial board of The Ombudsman since 2000 and has regularly contributed articles. Nick has delivered training on human rights and disability rights for the Parliamentary Ombudsman, the Local Government Ombudsman and the Northern Ireland Ombudsman. He has also regularly represented the Parliamentary Ombudsman on the Administrative Justice and Tribunals Council and at Council of Europe and European Ombudsman events. 15
BOOKING INFORMATION FOR B3124 THE PROFESSIONAL CERTIFICATE IN OMBUDSMAN AND COMPLAINT HANDLING PRACTICE, 24-27 SEPTEMBER 2013, MANCHESTER To reserve a place please provide the following information by email to: OmbudAdmin@qmu.ac.uk *Name of organisation: *Surname of delegate: *Forename of delegate: *Gender of delegate: *Date of birth of delegate: *Dietary requirements: (e.g.. vegan, vegetarian, gluten free etc.) *Please advise of any special requirements you need in order to fully participate in the course: Work telephone number: *Email address of delegate: All fields marked * are mandatory for course enrolment purposes. Payment The cost for the Professional Certificate in Ombudsman and Complaint Handling Practice is 1,300. If the organisation would like to pay by invoice, please provide the following information: Name, Position and address for invoice: Purchase Order Number (If applicable): 16
2. If you or your organisation would like to pay by credit/debit card When you apply for the course, you will be given instructions to follow the matriculation process; you will be provided with a user name and password that will allow you to enter the QMU Portal where there is a link to pay online by credit/debit card. Payment can be made over the telephone by contacting QMU s Finance Department on 0131 474 0000 and asking for Finance via the automated service. If your organisation is paying for the course, please provide the relevant information on the screen headed Summary of fee due and sponsorship which will appear during the matriculation process. 3. If you or your organisation would like to pay by cheque Please make it payable to QMU and include the name of the course participant and matriculation number of the back of the cheque. 4. Other alternatives for payment Please also contact our Finance Department if you wish to make a payment into the QMU account. Email cashier@qmu.ac.uk or phone 0131 474 0000 and ask for Finance. Our Administrator for the ombudsman courses, Norma Diack, can also help with enquiries about payment. She can be contacted on OmbudAdmin@qmu.ac.uk or by telephone on 0131 474 0000. Please note that payment must be made prior to the start of the course. Substitutions Named substitutions will be accepted. Requests should be made in writing to OmbudAdmin@qmu.ac.uk Cancellation/Postponement by Queen Margaret University (QMU) QMU reserves the right to postpone or cancel any programme due to an insufficient number of delegates. QMU also reserves the right to cancel any programme due to any reason beyond its control. In the event of postponement or cancellation by QMU, delegates will be offered the choice of a full refund or a place on the next available course. If you have any questions about the course, please do not hesitate to contact Carol Brennan at cbrennan@qmu.ac.uk or phone 0131 474 0000 and, as this is voice activated, ask clearly for Carol Brennan. 17