SEPA Complaints Handling Procedure

SEPA Complaints Handling Procedure

10/03/2025

04/02/2026 – review

Fiona Carlin - Governance and Complaints Lead

Donna Brodie - Governance Manager

Kieron Gallagher - Head of Governance, Risk & Resilience

A Data Protection Impact Assessment was already completed and approved on 25/05/2022

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. SEPA’s 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.

SEPA’s Complaints Handling Procedure will impact on anyone who makes a complaint about SEPA’s service provision. It may also impact SEPA colleagues, 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 complainant customer at this time.

It is anticipated that SEPA’s 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 colleagues to ensure we provide a professional, transparent, logical, and timeous response to their complaint. 

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 SEPA employee 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 customer service 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. The webpage for complaints has been built in and follows accessibility guidance.

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 will provide SEPA colleagues 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.

SEPA’s 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

• using communication methods tailored to customers’ needs such as written correspondence with certain disabilities in mind

• 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 recommended and accepted.

SEPA’s 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 colleagues, either in person, in writing or by telephone, or with customers accessing and using the SEPA website Contact us facilities.

Internal SEPA guidance for Equality and Human Rights Impact Assessment and previous versions of Equalities Impact Assessment applicable to the SEPA Complaints Handling Procedure.

Information from engagement with colleagues who are members of SEPA Lived Experience Groups in 2024.

We also considered the updated Scottish Public Service Ombudsman Statement of Complaints Handling Principles. SEPA’s Complaints Handling Procedure must comply with these principles, which are: person-centred, accessible, simple and timely, thorough, proportionate, consistent and effective, objective, impartial and fair, resolution, and learn and improve.

Amongst your group of stakeholders are there any people who belong to the protected characteristic groups listed below who may be impacted, either positively or negatively, or do you believe there is a neutral impact?

Consider the three needs of the general duty for each Protected Characteristic in turn.

Table 1 - Public Sector Equality Duty Screening tool

SEPA as a public authority is obliged to ensure that our decisions and actions align with the fundamental rights and freedoms enshrined in the European Convention of Human Rights.

Table 2 - Human rights consideration

Human Rights Act

Article 6 Right to a fair trial: 

The SEPA Complaints Handling Procedure may involve Article 6 if the outcome of the complaint is closely linked to a person’s legal rights or responsibilities because people deserve a fair, impartial, timely process when decisions significantly affect them.

The procedure helps meet those fairness expectations as it is designed to be fair and transparent, with clear stages, timescales and responsibilities, and complaints are considered in an objective, impartial and proportionate way. It is not a criminal process as it does not replace any formal legal appeal routes. If a complainant remains unhappy, they can escalate the complaint to the Scottish Public Services Ombudsman.

Article 8 Right to respect for private and family life: 

The SEPA Complaints Handling Procedure may involve Article 8 because people may need to share personal information when making a complaint. SEPA will need to record, use and sometimes share that information to investigate and respond.

The procedure helps protect people’s privacy by only using the information needed to handle the complaint, keeping it appropriately secure, and following data protection requirements. Complainants can also choose from different ways to contact SEPA which can help people use a route that feels suitable for them and their circumstances.

Article 10 Freedom of expression:

The SEPA Complaints Handling Procedure may involve Article 10 because making a complaint is one way that people express their views and concerns about SEPA’s decisions or the service they have received.

The procedure supports this by giving people clear ways to raise concerns and by setting out how SEPA will listen, consider what is said, and respond. Any limits that are applied (for example, how SEPA manages abusive or unacceptable behaviour) should be used only where necessary to protect employees and keep the service running properly, and should not prevent people from making genuine complaints or raising legitimate criticism.

Article 14 Prohibition of discrimination:

The SEPA Complaints Handling Procedure may involve Article 14 because it must be accessible and fair for everyone when other rights are involved. There is a risk that some people could find it harder to make or progress a complaint because of disability, age, language needs, literacy levels, or digital exclusion.

The procedure helps reduce this risk by offering different ways to complain by providing reasonable adjustments and translation support where needed, and by aiming to apply the process consistently and fairly so no one is disadvantaged.

• 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 and or changes to service provision to address the issues raised by the customer. The 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.

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

SEPA’s Complaints Handling Procedure applies equally to all customers engaging with SEPA, which may include persons with one or more protected characteristic.

SEPA’s Complaints Handling Procedure is in accordance with the Model Complaints Handling Procedure 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 SEPA’s Complaints Handling Procedure in 2024, early engagement with colleagues of SEPA Lived Experience Groups helped ensure the inclusiveness and accessibility of the Complaints Handling Procedure and its subsequent development.

Positive equality outcomes will arise when SEPA’s 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 online services

• failure to meet accessibility standards in our written responses and 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, the Governance Team 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 will also endeavour to:

• ensure there is always a suitable non-digital option to lodge a complaint, such as a paper form, a telephone line or through a face-to-face service (if the customer can easily travel to the venue)

• provide training for colleagues about the non-digital options to lodge a complaint and how to signpost the public to them

• ensure all options are well publicised

Include any further evidence gathering and external engagement that is required to demonstrate that you are giving ‘due regard’ to the equality duty of eliminating discrimination, promoting equality of opportunity, and fostering good relations.

Scottish Public Services Ombudsman:

• Equality, Diversity and Inclusion

• Child Friendly Complaints

• Statement of Complaints Handling Principles (updated 2025)

Engagement with colleagues who are members of SEPA Lived Experience Groups in 2024.

Digital exclusion

The Audit Scotland publication Tackling digital exclusion and the Equality Evidence Finder provided the following information on digital exclusion:

• “As more key services move online, all public bodies must deliver on their responsibilities to ensure everyone can access the services they need. This includes the one in six Scottish adults who lack the digital skills needed for everyday life.”

• “Digital exclusion affects people who don’t have or can’t afford a suitable digital device, internet connection or data package, or do not have the skills and confidence to use digital technology.”

Race 

Scotland’s Census 2022 provided the following information on race:

• “Between 2011 and 2022 the number of people living in Scotland who were born in Scotland decreased by 90,400.”

• “The percentage of people in Scotland with a minority ethnic background increased from 8.2% in 2011 to 12.9% in 2022. This is a larger increase than over the previous decade (from 4.5% to 8.2%).”

The census showed the following percentages for main language used:

• 94.47% English

• 0.25% Scots

• 0.07% Gaelic

• 0.05% sign language

• 5.16% other language

Age

• “4.9 million older people in the UK lack the basic skills needed to use the internet successfully”. 
  Offline and Overlooked campaign by Age UK

• “Scotland’s population is ageing. There were more people in the older age groups in 2022 than ever recorded in Scotland's Census. There were over one million people aged 65 and over (1,090,600). This is 60.7% higher than the number aged 20 to 29 (678,900). And 55.1% higher than the number aged 30 to 39 (703,300).” Scotland’s Census 2022

• “There has been an increase in internet use amongst older adults aged 60+ (from 81% to 83%). Despite this increase there are lower rates of internet use among older adults than among younger adults. In 2023, 99% adults aged 16-34 reported using the internet compared to 83% of those aged 60+.” Scottish Household Survey 2024

Disability

• “The percentage of people reporting a mental health condition in the census increased from 4.4% in 2011 to 11.3% in 2022. This was the largest increase across condition types.” Scotland’s Census 2022

• “The percentage of people reporting a long-term illness, disease or condition increased from 18.7% in 2011 to 21.4% in 2022. Scotland’s Census 2022

• “69% of disabled adults aged 60+ reported using the internet, compared with 83% of non-disabled adults aged 60+.” Scottish Household Survey 2024

There are four options, select the one that is appropriate to your findings and provide any supporting information you have for that decision.

Option 3: Continue the policy / practice. 

Supporting information:

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

Whilst SEPA’s Complaints Handling Procedure 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 SEPA’s Complaints Handling Procedure in its own right provide a solution.

Stopping or removing SEPA’s Complaints Handling Procedure would result in non-compliance with the Model Complaints Handling Procedure 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 Complaints Handling Procedure with improvements to its accessibility as outlined in sections 3.4 and 3.5 above, and subject to continuous monitoring and improvement.

Yearly review of SEPA Complaints Handling Procedure EHRIA by Governance and Complaints Lead and Governance Manager – next review scheduled for February 2027

17/03/2025

Yes

Kieron Gallagher - Head of Governance, Risk & Resilience

03/04/2025