SEPA Complaints Handling Procedure

SEPA Complaints Handling Procedure

10 March 2025

Jim Frame, Unit Manager, Complaints

Willie Shannon, Senior Manager, Governance, Risk and Resilience

Kieron Gallagher, Head of Governance, Risk and Resilience

Data Protection Impact Assessment already completed and approved 25 May 2022

SEPA has a Statutory Purpose, which is to protect and improve the environment of Scotland in ways that, as far as possible, also create health and well-being benefits and sustainable economic growth.

To deliver our purpose we aim to ensure that we provide the highest quality of service to the businesses we regulate and to the people of Scotland. The SEPA Complaints Handling Procedure reflects our commitment to that.

Complaints give us valuable information we can use to improve service provision and customer satisfaction. This procedure enables us to address customer complaints and seeks to resolve any dissatisfaction as close as possible to the point of service delivery. It allows us to conduct thorough, impartial, and fair investigations of complaints so that, where appropriate, we can make evidence-based decisions on the facts of the case and may help us prevent the same problem from happening again.

The SEPA Complaints Handling Procedure will impact on anyone who makes a complaint about SEPA’s service provision. It may also impact on SEPA staff, who in certain circumstances may also make a complaint about our service or who may be handling complaints. 

The evidence from historical complaints indicates that complaints are received from all geographic areas of Scotland as well as from a diverse range of customers, which may include persons with one or more protected characteristic. We do not collect equality data from our complainants at this time.

It is anticipated that the SEPA Complaints Handling Procedure will improve the customer experience for anyone who makes a complaint about our service. This procedure creates a framework which will be followed by SEPA staff to ensure we provide a professional, transparent, logical, and timeous response to their complaint. 

At the date of this Equality and Human Rights Impact Assessment, complaints about SEPA can be made in any of the following ways:

• In person (by appointment only) at any of our offices.
• Via the SEPA website, using the online Contact Form.
• By telephone via the customer service general enquiries number 03000 99 66 99.
• By email to the Complaints Administrator mailbox if the email address is known.
• By email to any member of SEPA staff if their email address is known.
• By surface mail to: SEPA, Angus Smith Building, 6 Parklands Avenue, Eurocentral, Holytown, North Lanarkshire ML1 4WQ.

However, as a primarily digital service, SEPA’s Complaints Handling Procedure may be less accessible for some groups than others, including for example persons with lived experience of protected status inequality.

There is a digital divide in Scotland in relation to regular access to the internet and digital services. Regular access to, and use of, the internet is lower for some groups in Scotland. This includes, but is not limited to, those with some learning differences, those from areas of multiple deprivation or low-income households and those over the age of 65.

While access to our Complaints Handling Procedure is currently available through our website or via the 03000-telephone number, customers with protected characteristics such as age, disability and race may struggle to submit their complaint to SEPA.

For example, for customers with visual impairments, accessing our online Contact Form may be difficult if it is not compatible with assistive technology if it is required, such as a screen reader. At the date of this EHRIA, the SEPA website is under re-construction and accessibility compliance will be built in.

Similarly, the ability to make complaints in a written format through SEPA’s website may be difficult for customers who do not speak English as a first language, or who have lower levels of literacy.

A guide for customers to the Complaints Handling Procedure is available on the SEPA website with support available from Complaints Unit staff where required.

We recognise that people may act out of character in times of trouble or distress. Sometimes a health condition or a disability can affect how a person expresses themselves. Our procedure and training provide SEPA staff with professional and appropriate guidelines on how to receive complaints, allowing them to handle complaints and conversations sensitively and appropriately.

SEPA's Equality Outcomes 2022-2026

• Outcome 1: We have increased the number of people from currently underrepresented groups in our applicants, our staff and those who progress within the organisation.
• Outcome 2:  People with lived experience of inequality, related to a protected characteristic or socioeconomic status, access and use SEPA’s services without barriers.
• Outcome 3:  Staff with lived experience of inequality and barriers, and with a wide variety of needs, feel listened to and respected as SEPA meets those needs.
• Outcome 4:  We have decreased our gender pay gap and occupational segregation related to gender, disability, and ethnicity.

The SEPA Complaints Handling Procedure links to Outcome 2 above. It can deliver for under-represented groups and people with lived experience of protected status inequality by improving access to this SEPA service in the following ways:

•  Expanding opportunities for engaging with SEPA via non-digital channels (e.g. by telephone or in-person).
• Upgrading functionality for people who use screen-reading and / or screen-magnifying software.
• Using simple, plain English that can be understood by people with low literacy or for whom English is not a first language.
• Providing access to translation services for people when English is not their first language.
• Following Digital Scotland Service Standards during design of the service to give a simpler and consistent user experience.

Yes, the outcomes from customer complaints may have implications for service provision where opportunities or requirements for service improvement have been identified.

The SEPA Complaints Handling Procedure is applicable to any customer who engages with SEPA, which may include persons with one or more protected characteristic, and is dissatisfied with any aspect of our service. Engagement may be via frontline interactions between customers and SEPA staff, either in person, in writing or by telephone, or with customers accessing and using the SEPA website Contact facilities.

EHRIA guidance and previous draft iterations of Equalities Impact Assessment applicable to the SEPA Complaints Handling Procedure. Engagement with colleagues who are members of SEPA Lived Experience Groups.

• Eliminate unlawful conduct.
• Advance equality of opportunity.
• Foster good relations.

Where a complaint is Upheld following investigation at Stage 2 of the SEPA Complaints Handling Procedure, recommendations may be made relating to improvements / changes to service provision to address the issues raised by the Complainant. The resultant actions taken in response to such recommendations may impact positively on one or more of the above elements, dependent on the nature of the complaint being handled.

The SEPA Complaints Handling Procedure applies equally to all customers engaging with SEPA, which may include persons with lived experience of protected status inequality.

The SEPA Complaints Handling Procedure (CHP) applies equally to all customers engaging with SEPA, which may include persons with one or more protected characteristic.

The CHP is in accordance with the Model CHP set out by the Scottish Public Services Ombudsman (SPSO) and is endorsed by the SEPA Board and Corporate Leadership Team. We are committed to ensuring that all people have an equal opportunity to access our Complaints Handling services and we will make reasonable adjustments to meet specific needs of customers wherever possible.

When reviewing the CHP, early engagement with colleague members of SEPA Lived Experience Groups will help ensure the inclusiveness and accessibility of the CHP and its subsequent development.

Yes, positive equality outcomes will arise when the SEPA Complaints Handling Procedure is fully accessible in both digital and non-digital formats to persons with lived experience of protected status inequality.

Yes, the following will impact on persons with lived experience of protected status inequality:

• Failure to expand the non-digital options available for persons contacting SEPA with a complaint.
• Failure to meet accessibility standards in our on-line services.
• Failure to offer and provide access to translation services for persons where English is not their first language.
• Failure to offer reasonable adjustments.

Where any risk of negative impacts on persons with lived experience of protected status inequality are identified or brought to our attention, Complaints unit staff will liaise with the Head of Governance and Equality and Human Rights Officer, to consider and implement any necessary actions to eliminate or limit such risk.

We shall also endeavour to:

• Ensure there is always a suitable offline option to lodge a complaint, such as a paper form, a telephone line or through a face-to-face service (as long as the complainant can easily travel to the venue).
• Provide training for staff about the offline options to lodge a complaint and how to signpost the public to them.
• Ensure all offline options are well publicised.

EqHRIA guidance and previous draft iterations of Equalities Impact Assessment applicable to the SEPA Complaints Handling Procedure.

Scottish Public Services Ombudsman:

·       Equality, Diversity and Inclusion | SPSO

·       Child Friendly Complaints

Engagement with colleagues who are members of SEPA Lived Experience Groups.

Reference to Age UK website: Offline and Overlooked | Campaigns | Age UK

Reference to Audit Scotland publication: Tackling digital exclusion | Audit Scotland

In addition, when considering the potential for language barriers in questions 2.2 and 3.5, a review of Scotland’s Census found that:

“… Polish was the most commonly spoken language in Scotland after English, Scots and Gaelic.

54,000 people - about 1.1% of Scotland's population - said they spoke Polish at home.

Languages other than English, Scots and Gaelic were most common in the big cities. About 12% of people in Aberdeen, Edinburgh and Glasgow said they spoke other languages around the home.

The most commonly spoken languages at home other than English and Scots were:

1. Polish (54,186 people)
2. Chinese languages (27,903 people)
3. Urdu (23,394 people)
4. Punjabi languages (23,238 people)
5. French (14,623 people) …”

With respect to Digital Exclusion, the Equality Evidence Finder provided the following information on digital exclusion:

“… One in six Scottish adults lack the digital skills needed for everyday life.

Digital exclusion impacts people who do not or cannot fully use digital technology. It affects people in different ways. Those who:

• are unable to afford an appropriate device or internet connection
• do not have the skills and confidence to use digital technology
• have a fear or mistrust of using online services or lack the motivation to do it
• have difficulty in accessing digital services and devices or an internet connection
• are unable to keep up with the pace of change of digital technology.

Age

Older people are less likely to use the internet at home

• There are lower rates of internet use among older adults than among younger adults. In 2019, almost all (99%) adults aged 16-24 reported using the internet compared to 43% of those aged 75+.

Source: Scottish Household Survey 2019 (Last updated: September 2020)

Disability

Disabled adults are less likely to use the internet

• In 2019, 64 percent of older adults (aged 60-74) with a disability reported using the internet. This was lower than reported internet usage amongst older adults who are non-disabled (85 percent).
• This disparity in internet usage decreases in younger age groups, with a 7 percentage point difference in usage between 25-34 year olds who are disabled and those who are nondisabled.

Source: Scottish Household Survey 2019 (Last updated: September 2020)

Information is not currently available on Digital Exclusion relating to ethnicity.

Information is not currently available on Digital Exclusion relating to gender.

Information is not currently available on Digital Exclusion relating to religion.

Information is not currently available on Digital Exclusion relating to sexual orientation.

Information is not currently available on Digital Exclusion relating to transgender status ...”

Option 1: No major change

Your assessment demonstrates that the policy or practice is robust. The evidence shows no potential for:

• Less favourable treatment of particular groups, indirect discrimination, victimisation, harassment, and that you have taken all opportunities to advance equality of opportunity and foster good relations; nor
• Restriction of Convention rights or freedoms.

The policy or practice builds in reasonable adjustments where these may be needed. In reaching this conclusion, you should document the reasons why and the evidence used to support your decision.

Option 2: Adjust the policy / practice

This involves taking steps to:

• Remove barriers, to better advance equality or to foster good relations; and
• To minimise any restriction of Convention rights or freedoms.

It may be possible to remove or change the aspect of the policy that creates any negative or unwanted impact. You should describe additional measures which could be taken to reduce or mitigate any potential negative impact.

Option 3: Continue the policy / practice

This means that you adopt or continue with the policy, despite the potential for adverse impact. You should clearly set out the justifications for doing this, and how you believe that decision is compatible with SEPA's obligations under:

• The Public Sector Equality Duty; and
• The Human Rights Act.

Where you believe indirect discrimination is not unlawful because it is "objectively justified" please record what the objective justification is for continuing the policy / practice, and how you reached this decision.

Option 4: Stop and remove the policy / practice

If there are adverse effects that are not justified and cannot be mitigated, you should consider stopping the policy altogether. If a policy leads to: (a) unlawful discrimination or (b) a significant restriction of Convention rights or freedoms it should be removed or changed.

Option 3: Continue the policy / practice

Supporting information:

This option is selected following the considerations in the Full Assessment (Section 3 above).

Whilst the SEPA Complaints Handling Procedure (CHP) per se does not present any barriers to the advancement of equality or to the fostering of good relations with persons with lived experience of protected status inequality, the current focus on digital services may present barriers.

Persons with lived experience of protected status inequality may experience difficulties when trying to access SEPA’s Complaints Handling services for reasons such as age, race (i.e. where English is not first language), visual impairment or other disability.

“No major change” is not seen as a viable option, nor would “adjustment” of the CHP in its own right provide a solution.

Stopping or removing the CHP would result in non-compliance with the Model CHP set out by the Scottish Public Services Ombudsman and would present a significant and major reputational risk for SEPA.

The most appropriate option therefore is option 3: “Continuing” the CHP with improvements to its accessibility as outlined in sections 3.4 and 3.5 above, and subject to continuous monitoring and improvement.

The Equality and Human Rights Impact Assessment is a living document and should be reviewed and updated to ensure you have captured the changes that have been made because of the implementation of your policy or practice. Set a realistic goal for you to check back in with your assessment, to see if things are going the way you expected.

Six-monthly review of SEPA Complaints Handling Procedure EHRIA by Complaints Unit Manager and relevant Senior Manager – first review to be scheduled for 17 September 2025, six months after date of approval of this EHRIA.

17 March 2025

Kieron Gallagher, Head of Governance, Risk and Resilience

03 April 2025