Annual Report 2006-07 Putting principles into practice HC 838 The Parliamentary and Health Service Ombudsman (PHSO) exists to: ‘Provide a service to the Our vision is to: • We are an exemplar and provide expert advice in complaints • Make our service available to all public by undertaking handling who need it independent investigations • We share learning to achieve • Operate open, transparent, fair, into complaints that improvement customer-focused processes government departments, • Understand complaints and a range of other public investigate them thoroughly, Integrity quickly and impartially, and secure bodies in the UK, and the We are open, honest and appropriate outcomes NHS in England, have not straightforward in all our dealings and • Share learning to promote use time, money and resources acted properly or fairly improvement in public services effectively: or have provided a • We are consistent and transparent poor service.’ The values which underpin in our actions and decisions everything we do are: • We take responsibility for our actions and hold ourselves accountable for all that we do Excellence • We treat people fairly We pursue excellence in all that we do in order to provide the best possible service: Diversity • We seek feedback to achieve We value people and their diversity learning and continuous and strive to be inclusive: improvement • We respect others, regardless of • We operate thorough and rigorous personal differences processes to reach sound, • We listen to people to understand evidence-based judgments their needs and tailor our service • We are committed to enabling and accordingly developing our staff so that they • We promote equal access to our can provide an excellent service service for all members of the community Leadership These values will shape our behaviour, both as an organisation and as We lead by example and believe our individuals working in the work should have a positive impact: Ombudsman’s office. • We set high standards for ourselves and others Annual Report 2006-07 Session 2006-07 Presented to Parliament pursuant to Section 10(4) of the Parliamentary Commissioner Act 1967 and Section 14(4) of the Health Service Commissioners Act 1993 Ordered by The House of Commons to be printed on 18 July 2007 London: The Stationery Office HC 838 £18.00 1 Contents Foreword: Foreword: putting things 2 right, sharing the putting things right, lessons – Principles of Good Administration sharing the lessons Government 6 departments, agencies and public bodies In March this year, my Office celebrated The National Health 26 the 40th anniversary of the establishment Service of the Parliamentary Ombudsman1. The Developing our 48 service Ombudsman post was created to put things Our workload and 56 right for people who have suffered from performance: facts and figures maladministration or poor service and to Managing our 62 assist Parliament in calling Government to resources account. Since 1967, the public sector has Annex A: Governance 68 changed almost beyond recognition and we Annex B: Strategic Plan 70 objectives 2007-10 have seen the introduction of legislation covering Freedom of Information, Data Protection and Human Rights. The role of Ombudsman itself has evolved with the times, but the principles behind its creation remain just as valid today.2 © Crown Copyright 2007 The text in this document (excluding any Royal Arms and departmental logos) may Everyone has the right to receive a The Principles are broad statements be reproduced free of charge in any good service from public bodies and of what I believe bodies within the format or medium providing that it is reproduced accurately and not used in a to have things put right if they go Ombudsman’s jurisdiction should do misleading context. The material must wrong. To mark the 40th anniversary to deliver good administration and be acknowledged as Crown copyright of my Office, I published the customer service. Based on the and the title of the document specified. Principles of Good Administration. considerable expertise and experience Any queries relating to the copyright in this document should be addressed to The Licensing Division, HMSO, 1 The Parliamentary Commissioner Act 1967 established the post of Parliamentary Commissioner for St Clements House, 2-16 Colegate, Administration. Norwich, NR3 1BQ. 2 A specially commissioned paper, The Parliamentary Ombudsman: Withstanding the test of time Fax: 01603 723000 or (HC 421), published in March 2007 to commemorate the anniversary, charts the development of e-mail: [email protected]. the Ombudsman role. 2 Celebrating 40 years in 2007 of my Office in handling large numbers of complaints over the past 40 years, the Principles show the sorts of behaviour we expect and the tests we apply when determining complaints. I am pleased that the Principles have been welcomed across Government and the NHS and hope that public bodies and policy makers will find them a useful contribution to improving public services. “We think the principles represent common sense and good practice.” (Government response to Principles of Good Administration consultation) “We note that many of the high profile cases which we Ann Abraham Parliamentary and Health Service Ombudsman have dealt with over the last year might have been and a lack of transparency – in short, a part of my Office’s work. However, avoided if [the Principles] lack of customer focus – are themes I public bodies often lack a consistent encounter all too often. The effects approach to providing a fair and had been applied.” on the people at the receiving end appropriate remedy for people who (Public Administration Select can be deeply distressing. have suffered injustice. To coincide Committee response to Principles of When things do go wrong it is best for with the 40th anniversary I issued a Good Administration consultation) complainants to have their complaint consultation paper on draft Principles resolved at a local level, as the for Remedy, setting out how I believe “The Principles are Principles suggest. Public bodies public bodies should approach should handle complaints well at putting things right. comprehensive and set source and put things right promptly. Complainants often express the wish out a useful framework A straightforward explanation of what that others will benefit from their went wrong can often prevent a of features that all users complaint and remedying a single complaint escalating beyond the point complaint can involve making wider of public services would of local resolution. But, as one changes to policies, procedures or complainant remarked about a wish to see.” systems. Public bodies should not department, “No one had the only address individual complaints, (Healthcare Commission) humanity to come out from behind the but also fix underlying problems and shield of bureaucratic doublespeak.” translate the learning into better Many complaints come to my Office Many complaints I receive could, and service for all. I believe the because of a failure to follow the should, have been resolved much Ombudsman has an important role earlier by the body concerned. Principles of Good Administration. as a catalyst in this regard and For example poor communication, Making recommendations for contributing to service improvement misleading or incomplete information remedying injustice is an important is a strategic objective for my Office. 3 Principles of Good Administration Good administration by a public body means: 1 Getting it right 2 Being customer 3 Being open and • Acting in accordance with the focused accountable law and with due regard for the • Ensuring people can access • Being open and clear about rights of those concerned services easily policies and procedures and ensuring that information, and • Acting in accordance with the • Informing customers what any advice provided, is clear, public body’s policy and they can expect and what the accurate and complete guidance (published or public body expects of them internal) • Stating its criteria for decision • Keeping to its commitments, making and giving reasons • Taking proper account of including any published for decisions established good practice service standards • Handling information properly • Providing effective services, • Dealing with people helpfully, and appropriately using appropriately trained promptly and sensitively, and competent staff bearing in mind their individual • Keeping proper and • Taking reasonable decisions, circumstances appropriate records based on all relevant • Responding to customers’ • Taking responsibility for considerations. needs flexibly, including, its actions. where appropriate, co- ordinating a response with other service providers. 4 Acting fairly and 5 Putting things right 6 Seeking continuous proportionately • Acknowledging mistakes and improvement • Treating people impartially, apologising where appropriate • Reviewing policies and with respect and courtesy • Putting mistakes right quickly procedures regularly to ensure they are effective • Treating people without and effectively unlawful discrimination or • Providing clear and timely • Asking for feedback and using prejudice, and ensuring no information on how and when it to improve services and conflict of interests to appeal or complain performance • Dealing with people and issues • Operating an effective • Ensuring that the public body objectively and consistently complaints procedure, which learns lessons from complaints and uses these to improve • Ensuring that