Brown: 23 October 2002 - 30 April 2009

Alice Brown's Curriculam Vitae is best descibed in Wikipedia. She is also a Fellow of the Royal Society of Edinburgh.

On the gathering of metrics: when the data presented alters, comparisons become difficult. The main cause is the merger of different teams and a new IT management system. However the number of pages indicates when the structure of presented data changes. It becomes a key measure, along with the overall total of enquiries and complaints.

The "Title" we have accorded is a one or more words which in Accountability Scotland's view is relevant.

• Number of pages: 30. Click here for the Report.
• Title: " open, accountable and accessible public services complaints system"
• Staff Numbers - no record - Wikipedia states 38 and 3 deputies.
• Costs - No record
• Note 1: It is not within the power of the Ombudsman to over-turn or challenge a decision that a listed authority has made properly and in line with its agreed procedures.
• Note 2: Complaints made more than 12 months after the day on which the person aggrieved first became aware of the matter (unless there are exceptional circumstances) cannot be considered.
• Most effort is in marketing the SPSO's existence and service both to BUJ's and the public.
• Complaints received:
  • Local Authorities: 1,153 of which 885 were rejected; 20 were reported upon; and 248 were carried forward.
  • Health: 306 of which 44 were brought forward. 261 were concluded, with 25 reports issued. 45 carrried forward.
  • Scottish Executive et al: 80 of which 14 were brought forward. 58 concluded, 1 report, and 22 carried forward.
  • Housing Associations: 100 of which 7 were brought forward. 69 rejected at stage 1, and 26 at stage 2; 5 carried forward.
• Complaint decisions - no record

The analysis of complaints differs between the different departments [each a former Commissioner's office], and there are some small arithmetical errors.

Mainly a report about "amalgamation".

• Number of pages: 30. Click here for the Report.
• Title: "Access for all"
• Staff Numbers - no record.
• Costs - No record
• Note 1: Making a complaint [page 5]:
  • Always try to resolve your complaint informally with the body concerned first,
  • If you have not been able to get the matter resolved, ask how you go about submitting a formal complaint.
• Note 2: Handy hints [page 5]:
  • Follow each step of the organisation’s complaints procedure
  • Put your complaint in writing and mark your letter ‘Formal Complaint’
  • If you have difficulty expressing yourself in writing, ask a friend, family member or an outside agency for help
  • Keep a record of events, copies of letters and emails sent and received; make a note of telephone conversations and the name of the person you spoke to
• Note 3: We cannot consider complaints about: Properly made decisions [page 14]:
  • Most personnel and commercial issues
  • UK government departments
  • Generally, matters which could be taken to court or a tribunal
  • Generally, things that happened more than 12 months ago
• Note 4: Process [page 16]:
  • Step One: First Contact
    Is it something we might be able to look at? (If not, advise appropriately)
  • Step Two: Assessment
    Is it definitely something we can look at? Has the complaint been raised with the public body?
    Can we resolve it quickly?
  • Step Three: Examination
    Is there evidence something has gone wrong and caused injustice or hardship?
    Might it be resolved informally?
  • Step Four: Investigation
    Or is a formal investigation needed?
  • Step Five: Special Report to Parliament Option if recommendation not accepted
• Complaints received: Due to the new IT system, no analytical data as for previous years is available. However [page 23 et seq]:
  • 1,791 received of which 61% were about Local Authorities.
  • 1,828 cases concluded of which only 1% [18] were investigated [Step 4]. Rejected 493 at Step 1, 927 at Step 2, 390 at Step 3.
  • Noted that in so many cases that come to our office poor communication is the root of the problem. 
  • The split between Enquiries and Complaints is given on page 8 of the 2007 Report.
• Complaint decisions - no record

Mainly a report about how the SPSO operates. Noted that the web site is quoted as: "scottishombudsman.org.uk", which is now "spso.org.uk".

• Number of pages: 39. Click here for the Report.
• Title: "Support and Independence"
• Staff Numbers - no record. Three Deputies namely Eric Drake, Carolyn Hirst and Lewis Shand Smith.
• Costs - No record
• Note 1: Set targets for the delivery of our service:
  • provide clear reasons for the decisions we take on complaints brought to us
  • offer a process for reviewing a decision
  • take ‘Complaints About Us’ and the service we have provided
  • assess the quality and consistency of our work on a regular basis
  • invest in staff training and development
  • change our processes to reflect feedback and good practice
  • support both internal and external audits of our service through our Audit and Risk Committee and our new Advisory Group
  • report the outcome of our decisions to the Scottish Parliament and others.Set Targets etc, 
• Note 2: "poor communication is at the core of most complaints"
• Complaints received: 2,377 of which;
  • Local Authorities 61%, 
  • National Health Service 14% [Eric Drake: page 14 et seq. 45% was about clinical treatment in Hospitals.]
  • Scottish Executive & Devolved Agencies 5%
  • Housing (not Local Authority) 9%
  • No Subject / Organisation Provided 8%
  • Organisation Out of Jurisdiction 3%
  • The split between Enquiries and Complaints is given on page 8 of the 2007 Report.
• Complaint decisions - no record

Enhanced reporting - mini reports for each of the four main departments.

The reorganisation of the SPSO does not seem to be working as well as might be expected.

The SPSO Business Plan for 2005 - 2006 was launched, along with the Strategic Objectives 2005 - 2007, and a model complaints process.

• Number of pages: 54. Click here for the Report.
• Title: "Justice for the individual is a vital element of our work"
• Staff Numbers - no record.
• Costs - No record [reported in 2008]
• Note 1: 'We do not exist for our own sake. We are not working in a vacuum. The objective is to improve the delivery of public services.'
• Note 2: ‘A key message, therefore, is that communicating well and particularly at an early stage when a concern or complaint is raised can be effective. More generally, in delivering services to the public, being proactive and communicating effectively can also avoid problems from arising in the first place.’
• Received: 1,974 enquiries and 1,724 complaints of which 18 complaints [1%] were not within the remit.
  • Local Authorities: 931 complaints [54%] - housing and planning amounted to 473 complaints.
  • Health: 477 complaints [28%] being mostly about clinical treatment [180]
  • Scottish Executive et al: 127 complaints [27%]
  • Housing Associations: 145 complaints [8%].
  • Further and Higher Education from October 2005: 26 complaints [2%] mostly about higher education.
  • The split between Enquiries and Complaints is given on page 8 of the 2007 Report.

• Complaint decisions - no record.

In April 2005 a simplified complaints process was introduced in the NHS, making it easier for members of the public to bring health complaints.

• Number of pages: 54. Click here for the Report.
• Title: "The first five years"
• Staff Numbers - no record.
• Costs - No record [reported in 2008]
• Note 1: 'The role of an ombudsman is pivotal in linking justice for the individual to the wider improvement agenda and the work of others, such as regulators, inspectors and auditors.'
• Note 2: ‘the primary advantage of the Scottish arrangement is that complex, multi-agency issues can be addressed in a much more joined-up way, and the inconvenience to the complainant can be minimized’
• Received: 2,386 enquiries and 1,842 complaints totalling 4,228. Of the complaints 1,826 were closed with only 315 [17%] actually investigated. Some 41% were rejected as not having properly gone though the BUJ's complaints procedure.
  Noted that a table of metrics is included at page 51 of the report for the year ended 31st March 2008.
  • Local Authorities: 2,141 of which 1,124 were enquiries leaving 1,017 complaints. 2% were upheld, 4% partially upheld, 7% rejected, leaving 83% failing at stage one.
  • Health: 833 of which of which 336 were enquiries leaving 497 complaints. 4% were upheld, 11% partially upheld, 16% rejected, leaving 69% failing at stage one.
  • Scottish Executive et al: [there seem to be some mathematical errors]
    • Scottish Executive: 19 enquiries and 31 complaints. 13% were rejected, and none upheld.
    • Devolved Administration: 35 enquiries and 30 complaints. 2% upheld, 5% partially upheld, 6% rejected, 87% failing at stage one.
  • Housing Associations: 979 of which of which 564 were enquiries leaving 415 complaints [23% of SPSO case load]. The figures given in the various analyses simply do not add up. However repairs account for a large proportion [page 27 et seq]. The number of "premature" complaints is excessive and accounts for over half of all complaints. Again the figures do not add up.
  • Further and Higher Education: 97 of which of which 47 were enquiries leaving 50 complaints. none upheld, 3% partially upheld, 10% rejected, leaving 87% failing at stage one.
• Complaint decisions - no record

The analysis presented is more detailed than previous years, citing certain case studies. One comment made about housing illustrates the typical problem faced by complainants, viz:

"This was a particularly complex case involving sensitive issues. I did not uphold the complaint and was grateful to the council for their thorough, detailed responses."

The year's Initiatives were listed as follows:

• Gateway Project - stop complaints that have not been through a BUJ's procedure first.
• ‘Just Say Sorry’ - fear of litigation acts as a barrier to giving apologies.
• Guidance on Apology: A typical complainant states:
  I had no thoughts whatsoever of taking legal action against anybody. All I wanted was the truth regarding my son’s death. What is the problem that everybody thinks everybody is going to take legal action against them? All we wanted was the truth. “I made a mistake, this is what I did, I’m sorry.”
• Administrative Justice [www.scotland.gov.uk/librar5/government/pfbs-04.asp fails].
  Modernising the criminal law system to protect individual rights
  SPSO sits ex-officio on Scottish Committee of the Council on Tribunal
• Accreditation/training - how to manage complaints

Advice and support provided for plans to set up the office of the Scottish Police Complaints Commissioner and the Legal Services Complaints Commission.

The web sites were renamed as follows: (spso.org.uk and valuingcomplaints.org.uk)

This is a purely technical comment emanating from an individual experienced in devising and implementing "Quality Management Systems". There is quite obviously a major misunderstanding of the meaning of the terms "quality", "improvement" and "assurance".

The question as to why ISO9001 [formerly BS5750] has not been applied is highly relevant: such an application would reassure the general public that the service provided by the SPSO met the Nolan principles.

• Number of pages: 56. Click here for the Report.
• Title: "Resolving disputes, restoring confidence, rebuilding trust" and "Helping the public – securing justice for the individual"
• Staff Numbers - 47 [Taken from 2009 report], and see costs below - indicative of numbers.
• The management is now in four divisions as follows:
  • David Robb, Director of Policy and Development
  • Eric Drake, Director of Investigations
  • Niki MacLean, Head of Corporate Services [Money]
  • Sir Neil McIntosh, Chair of the SPSO Audit Advisory Committee
• Costs - see Table - which includes the two previous years.
• For the first time some meaningful figures are presented - including the two previous years - see Table.
  • Received 4,197 enquiries and complaints – a decrease of around 1% on last year;
  • Resolved a total of 4,661 enquiries and complaints – an increase of 10% on last year;
  • Dealt with 1,780 enquiries – helping people decide whether to pursue a complaint, and directing them to the right place;
  • Reached decisions on 2,881 complaints;
  • 390 cases were investigated and reported to the Scottish Parliament – 24% up on last year;
  • 49% of cases were determined within 2 weeks; 72% within 14 weeks; and 88% within 52 weeks;
  • The open caseload at the end of the year was 444 – down from 922 a year earlier;
• The plan for the next few years 2008-11 is laid out.
• Complaint decisions - no record

No comments

The report for this year was written by Jim Martin.

Professor Brown was given three disparate teams to weld into one. A difficult task made doubly so as they were established civil servants - no more needs to be said.

Over the first five years she made some head way in improving operations: in a normal business environment this would have been achieved in months rather than years. The analysis of enquiries and complaints made in the report for the year ended 31st March 2008 should and could have been implemented much earlier.

The actual number of successful complaints is extremely low at just 2.6% . . . expanding these into advice, followed by enquiries, before considering a complaint when coupled with going through the BUJ's hoops is best described as making life as impossible as possible for a complainant.

For the last part of her service [March / April 2009] Brown was replaced by Deputy Ombudsman Eric Drake pro tem. Jim Martin took over on 1st May 2009. What is wriitten in the report does not mention Drake's involvement, and the rumours abounding seem to indicate a different timing.

Eric Drake in his position as Ombudsman [albeit temporarily] took legal advice regarding the validity of an educational complaint.

The question is whether said advice ought to be binding on the next Ombudsman, Jim Martin - who proceeded to ignore it.