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SEPA Customer Service Level Complaints Statistics

Draft Annual Report 2023-2024

1. Introduction

1.1. This paper provides the Board with SEPA customer service level complaint handling statistics for the year 2023-24, in line with revised SPSO Key Performance Indicators (KPI) which came into effect in April 2023.

1.2. It also presents a summary of service level complaints investigated at Stage 2 of the CHP during that period, identifies any emerging trends in complaint themes and comments on the numbers of customer service level complaints received.

2. Background

2.1 SPSO has confirmed that SEPA’s customer service level CHP complies with the Model Complaints Handling Procedure (MCHP) developed by the SPSO for use across the public sector.

2.2 One key element of the MCHP is that complaint handling in an organisation is accorded a high profile, and this is achieved by ensuring that the highest levels of an organisation are provided with and are given the opportunity to scrutinise the performance of complaint handling in that organisation. The SEPA Board agreed that quarterly reports would be submitted to the Corporate Leadership Team and to the Audit and Risk Committee for consideration, with an annual report being presented to the Agency Board.

3. SPSO KPI's

3.1 SPSO KPI One: The total number of complaints recieved

Note: for comparative purposes, KPI data from reporting year 2022/23 are included in this report, adjusted to reflect the revised KPIs introduced for the current year.

Escalated complaints are those that have been considered at Stage 1 and then have either moved to Stage 2 at the customer’s request (because the customer was unhappy with the response at Stage 1) or because they have exceeded the maximum of ten working days at Stage 1 therefore have automatically been moved to Stage 2.

That is, not escalated from Stage 1.

3.1.1 This indicator records the total number of complaints received. This is the sum of the number of complaints received at Stage 1 (this includes escalated complaints , as they were first received at Stage 1), and the number of complaints received directly at Stage 2.

3.1.2 A total of 30 service level complaints were received in the reporting period, with 24 being handled at Stage 1 (of which three were subsequently escalated for investigation at Stage 2) and six were handled directly at Stage 2.

3.1.3 There was an overall increase of 15% in the total number of complaints handled in 2023/24, compared to 2022/23.

3.1.4 In 2023/24 the number of Stage 1 complaints increased by 9% (from 22 to 24), and complaints handled directly at Stage 2 increased by 50% (from 4 to 6), compared to 2022/23.

3.1.5 For the Board’s information and interest, the Complaints team engaged with our partner organisations NatureScot and Forestry & Land Scotland (FLS), to compare SEPA’s service complaint numbers for this KPI with theirs.

3.1.6 We understand that NatureScot received 32 complaints overall in the 2023/24 reporting year (with 28 handled at Stage 1 and 4 handled at Stage 2), and their figures for the previous two years are broadly similar. At the time of reporting, statistics from FLS are not available.

3.1.7 The Complaints team will seek to engage further with both organisations going forward, with a view to exploring opportunities for sharing best practice and learning from complaints handling.

3.2 SPSO KPI Two: The number and percentage of complaints at each stage that were closed in full within the set timescales of five and 20 working days.

3.2.1 In the reporting year, 92% (22) of Stage 1 complaints and 100% (nine) of Stage 2 complaints, including three which were escalated from Stage 1, were closed in full within SPSO timescales.

3.2.2 This is a marked improvement from the 2022/23 reporting year when only 40% of Stage 1 complaints and 36% of Stage 2 complaints (including three escalated from Stage 1) were closed in full within timescales.

3.3 SPSO KPI Three: The average time in working days for a full response to complaints at each stage.

3.3.1 Response times improved for all Stage 1, escalated, and direct Stage 2 complaints handled in the reporting year.

3.3.2 The average number of working days for Stage 1 complaints reduced to 3.9 days in 2023/24 from 5.5 days in 2022/23.

3.3.3 The average number of working days for Stage 2 complaints reduced to 19.5 days for complaints handled directly at Stage 2 and to 19.7 days for those escalated from Stage 1, compared to an average of 22 working days for all Stage 2 complaints handled (both escalated and directly) in 2022/23.

3.3.4 The improvements in performance this year can be attributed to enhanced staff awareness and understanding of the complaints handling processes, following roll-out of CHP training modules, and to the continued management focus by the Complaints team.

3.3.5 Completion of complaints within SPSO timescales is an Annual Operating Plan (AOP) measure for 2023/24, with a target of responding to 85% of complaints within those timescales. This reflects the measure set by the Scottish Public Services Ombudsman (SPSO) and recognises the fact that some complaints cannot be completed within the planned timescales, due to their seriousness or complexity.

3.3.6 In Quarter 1, we reported that 80% of complaints were completed within SPSO timescales, resulting in an Amber status for that period. In each of the subsequent Quarters 2 and 3, we completed 92% of complaints within the timescales and in Quarter 4 we completed 100% of complaints within the timescales.

3.3.7 Overall for 2023-2024 we completed 89% of complaints within SPSO timescales, exceeding the AOP target and resulting in Green status for this measure.

3.4 SPSO KPI Four: The outcome of complaints at each stage.

3.4.1 Of the 24 Stage 1 complaints closed in year, five (21%) were Upheld, ten (42%) were found Not Upheld and seven (29%) were Resolved. Of the remaining two (8%) one was withdrawn by the complainant; the other was an anonymous complaint, recorded with “No outcome”, in accordance with CHP protocol. In that complaint, regulatory actions were already being taken by the relevant local EP team to address the issues raised by the anonymous complainant.

3.4.2 Seven Stage 1 complaints were Resolved and in each case actions were taken to address the issues raised by and to the satisfaction of, the respective complainants.

3.4.3 Of the nine Stage 2 complaints closed in the period, none (0%) were Upheld, seven (78%) were Not Upheld and two (22%, both of which were escalated from Stage 1) were Partially Upheld.

3.4.4 One of the Partially Upheld complaints concerned flood map guidance published on the SEPA website, which the customer complained was inaccurate and misleading. On investigation some elements of the guidance were found to be contradictory and required to be updated. An apology was offered to and accepted by the complainant and the published guidance has since been corrected and updated on the new SEPA website.

3.4.5 The second Partially Upheld complaint was about SEPA’s response to a complainant following a report of water pollution. The complainant was dissatisfied with the communication they received from the local team handling the report and had expected to receive more frequent and regular updates on actions being taken. The subsequent investigation found that the local team’s responses and actions were consistent with current regulatory practice, and that they had offered to provide the complainant with an update when their regulatory actions were completed. It was also found that the complainant had not used the online ‘Report an Environmental Event’ tool on the SEPA website and therefore had not received the notification that “We will only make further contact where necessary. In most cases you will not receive any further update from us with respect to this event.” The investigation recommended that SEPA revisits its communications messaging to explain and make clear to members of the public how we assess and respond to environmental event reports, and also that the SEPA website forms be reviewed to make them clearer and easier for customers to use.

3.4.6 At the time of reporting, it is noted that the Contact page on SEPA’s new website has been updated and clearer options are available for customers. It is anticipated that this will guide customers to use the correct event reporting option in future and make them aware that further contact from SEPA may not be received.

3.5 Complaint themes

3.5.1 SEPA separates service complaints into 4 themes. This helps us analyse where complaints come from and where we need to take action to make our systems better. A complaint will fall into one of the following themes:

• when SEPA failed to follow, or carried out an action contrary to, its policy/procedure.
• when SEPA failed to meet expected standard of service.
• when SEPA staff failed to meet the expected standard of behaviour.
• when a customer is dissatisfied with a SEPA policy or decision (except where there is another process for challenging or appealing that decision).

3.5.2 A total number of 30 complaints were received in the reporting year. These are summarised in the following graph against each of the respective complaint themes:

• SEPA failed to follow policy/procedure (1).
• SEPA failed to provide a service or meet expected standards (12).
• SEPA staff failed to meet the expected standards of behaviour (8).
• Dissatisfaction with a SEPA policy or decision.

3.5.2 One complaint (received at Stage 1 at the end of the previous reporting year and subsequently escalated to Stage 2 in the current year) alleged that SEPA had failed to follow policy/procedure (Theme A), relating to an alleged failure to ensure compliance with a PPC permit. The investigation found that SEPA’s actions in this case were consistent with current regulatory and enforcement practice and the complaint was Not Upheld.

3.5.3 12 complaints were received under Theme B (including 2 which were escalated from Stage 1), each alleging that SEPA had failed to provide a service, or meet expected standards of service. Of these, six were resolved by agreement with the respective customer, four were Upheld, one was Partially Upheld and one was Not Upheld.

3.5.4 Eight complaints were received in Theme C, complaining that SEPA staff had failed to meet expected standards of behaviour. Five of these were found to be Not Upheld, with no evidence that staff had breached the staff Code of Conduct or that they had breached the terms of the SEPA Service Charter. One complaint was withdrawn by the customer and another was Resolved by agreement. One complaint under Theme C was Upheld; this related to inappropriate behaviour by a member of staff when driving a SEPA vehicle. An apology was issued and accepted by the customer, and the staff member concerned was reminded of the SEPA Code of Conduct for Staff and tasked with reviewing the Driver Awareness and Dynamic Risk Assessment modules in Discover.

3.5.5 Nine complaints handled in the reporting year fell within Theme D, expressing dissatisfaction with a SEPA policy or decision (excluding alternative processes for challenging or appealing such decisions). Of these, 8 were Not Upheld and one was Partially Upheld, relating to online flood map guidance as reported in section 3.4.4 above.

3.6 Complaint trends

3.6.1 From the 30 complaints handled in-year, there is no clear or specific trend identifiable.

3.6.2 A range of SEPA services were subject to complaints this reporting year, across a variety of functions/portfolios including Registry, Ecology, Environmental Performance, Hydrology, Permitting, Procurement, Waste and Industry, and Planning.

3.6.3 As in the previous year (2022/23), several complaints were received this year from the Environmental Rights Centre for Scotland (ERCS) which submitted four complaints, all at Stage 1, of which one was escalated to Stage 2.

3.6.4 Two of the ERCS complaints were found Not Upheld and two were Upheld (both at Stage 1). The Upheld complaints related in one case to a failure to maintain the PPC Public Register and in the other, to a failure to respond to a customer request within a reasonable time. Apologies were issued in each case and actions taken to address the issues raised.

3.6.5 At the time of reporting there is no indication that ERCS has referred any of their complaints to Environmental Standards Scotland.

3.6.6 The Complaints team will continue to monitor and report on this aspect of the CHP.

3.7 Lessons learned/actions taken

3.7.1 A key part of the CHP is to learn from the complaints and implement changes to improve service.

3.7.2 Of the 30 complaints handled in-year, 5 were Upheld and 2 were Partially Upheld.

3.7.3 The Upheld complaints were all handled at Stage 1, one by Permitting, two by EP teams, one by Ecology and one by Hydrology.

3.7.4 In each case, an apology was issued by the line manager responsible for the service; this was accepted by the customer and corrective actions were taken to address the issues raised and improve service provision.

3.7.5 Examples of corrective action taken include enhanced staff training, corrections/updates to the SEPA website, and improving communications with customers.

3.7.6 The Complaints team monitors progress with these actions and will continue to report on this aspect of the CHP.

3.8 Improving services and performance from complaints

3.8.1 As part of SEPA’s commitment to learning from complaints, the outcomes and lessons learned are reported. The Corporate Leadership Team and the Audit and Risk Committee receive quarterly reports and the Board is presented with an Annual Report. This allows SEPA to demonstrate to the public and to the SPSO the significance it places on learning from complaints. Where any necessary outcome actions are identified, these are shared with appropriate management and monitored to ensure they are implemented, and that service improvements are delivered.

3.8.2 At the time of reporting, work is in hand to improve how we track and implement lessons learned at a corporate level, particularly where recommended actions arising from complaint investigations might have implications across the business.

3.8.3 To ensure that the CHP is embedded across the business, a programme of training in handling Stage 1 complaints was developed and has been refreshed in 2024 for all SEPA staff; this will enable them to handle Stage 1 complaints in accordance with the CHP.

Similarly, a training playlist for managers provides guidance on supporting staff through the complaints process.

3.8.4 These CHP training resources are maintained as an open-access reference ‘library’, allowing staff to refresh their knowledge and skills on an ongoing basis, and with additional support and guidance available from members of the Complaints team.

3.8.5 To continue building on the Stage 1 and Managers’ CHP training modules, a further series of “drop-in” sessions will be held to refresh teams’ awareness of the CHP processes and to provide further support in complaints handling.

3.8.6 Although outwith the reporting year the Board is asked to note that in May/June 2024, SEPA’s internal auditors reviewed the procedures and processes in place to manage and handle customer service complaints in SEPA. The audit findings confirm a high level of assurance in the design of the complaints handling procedures and systems currently in place, with recommendations that improvements to some of the existing control mechanisms would provide a greater degree of assurance in the effectiveness of the overall procedures. At the time of reporting, steps are being taken to address and implement the auditors’ recommendations.

4. Complaints reviewed by SPSO

4.1 Where a Complainant is dissatisfied with SEPA’s decision on a complaint outcome, they may refer the complaint to SPSO for its consideration and review.

4.2 No new cases were referred by SPSO to SEPA for further action in the reporting year.

5. Recommendations

5.1 The Board is asked to approve this report.