Explanation of Terms

Enquiry
An approach (usually by telephone or e-mail) to the SPSO by a member of the public seeking information or advice, for example about whether we can deal with a complaint about a particular issue or how to pursue a complaint about a particular organisation. Enquiries include queries made about organisations and subjects outwith our jurisdiction.  Not all contacts are classified as enquiries, but all significant contacts are recorded.

Complaint
An approach to us by or on behalf of a member of the public making a complaint about something which, subject to more detailed consideration, might be investigated under the terms of the Scottish Public Services Ombudsman Act 2002 (the Ombudsman Act).  The Act says a complaint must be made in writing or electronically unless the SPSO is satisfied that there are special circumstances which make it appropriate to consider a complaint made orally.

A complaint may cover a number of issues and, exceptionally, more than one public body.  An additional approach by an existing complainant may or may not be counted as a separate complaint depending, for example, on how closely it is related to the previous complaint and whether it has been raised with the public body concerned.

Early Resolution
We register the complaint and look at whether it is one that we could take further. We contact the person who's made the complaint,  to check that we understand what the problem is, and to get their agreement of what the complaint is about.   We check at this stage whether a complaint is in within our jurisdiction.  And we need to know that it has completed the complaints process of the organisation they are complaining about. Another thing we look out for is whether the person bringing the complaint is entitled to complain. For example, if they are complaining on behalf of someone else we must normally have the consent of that person.  We normally get the complaint papers from the organisation complained about and see if it is possible to resolve the complaint quickly.  We may complete our investigation of a complaint at this stage. For more information about our Early Resolution process click here.

Premature
A lot of the complaints we receive are premature.  This means that they have come to us before the complaint has been through the complaints process of the organisation concerned.  When we receive premature complaints, we provide advice, for example, signposting complainants to where they should direct their grievance, and, where appropriate, helping them make a formal complaint in writing.  We also work with service providers, providing guidance and examples of good practice to help them handle complaints effectively, which can help stop people bringing a complaint to us too early.  

Out of Jurisdiction
There are some complaints that are about a body or a subject that the law says we cannot investigate. Sometimes there are complex technical or legal issues involved in such complaints.  If so, it can take time to check whether it is one we can investigate.  Where we find the law says we cannot take a complaint, we provide advice, where possible, about who might be able to look at it.

Investigation 
Where a complaint is one that we can and should investigate, we tell the organisation concerned and the complainant exactly what we are investigating.  Investigations may be carried out by a complaints reviewer from either of the complaint-handling teams in our office.  Investigations may be paper-based, or may include getting expert advice and interviewing people involved.  The outcome of an investigation is sent to the parties involved in writing.  We report some investigations in detail to the Scottish Parliament and Scottish Ministers.  The majority of investigations are however, reported by letter to the parties involved, and we will publish summaries of most of these letters. Reports and summaries can be found on our website.  For more information about our investigation service, click here.

Fully upheld, partially upheld and not upheld
Where a number of concerns have been raised but where we agree with only some of them, we class this as a ‘partially upheld’ complaint.  Even in cases where the complaint is not upheld, the Ombudsman may make recommendations if he feels that there are lessons to be drawn from the issues raised in the investigation.

Other Outcomes
These outcomes can occur at any stage in our complaints process:

Withdrawn or failed to provide information
Sometimes people choose not to pursue their complaint.  This may be for personal reasons or because of a change in circumstances.  Sometimes the organisation concerned has resolved the complaint to the person's satisfaction. Complaints are more likely to be withdrawn before investigation has begun, but sometimes they are withdrawn during investigation.  If this happens when a case is close to completion and the Ombudsman feels it is in the public interest to publish his findings, he is entitled to do so. This course of action, however, is rare and before doing so we always consider the complainant's reasons for wishing to withdraw a complaint. Sometimes complainants do not give us the information that we need to take things further, or they may simply stop contacting us.

Discontinued cases
Cases are normally discontinued because something has happened that means it is no longer appropriate to pursue the matter.  This normally happens when we and the complainant agree this is appropriate. Sometimes there is not enough evidence to let us continue, or the complainant may decide to take legal action instead. In some cases we may be contacted by a family member to advise us that the complainant has fallen ill or passed away, and they wish the complaint to be closed.

Suspended
Cases are normally suspended only when we are waiting for something to happen that is out of our control. For example, the subject of the complaint may be linked to a wider policy review and we might not be able to take it further until we know the outcome of the review. Or a complainant may tell us that they are not going to be able to keep in touch with us because they are going away, but they want to pick up their complaint again when they return.

last updated 18 June 2011
updated 28 August 2008