Publication - Advice and guidance

On Board: A Guide for Members of Statutory Boards

Published: 31 January 2023
Directorate: Public Service Reform Directorate
Topic: Public sector
ISBN: 9781805251996

Guidance for all those appointed under statute to be members of the boards of public bodies in Scotland.

Ethics and Standards of Behaviour

Overview

The Scottish public has high expectations of those who serve on the Boards of public bodies and the way in which they conduct themselves in undertaking their duties. As a Board member, it is your personal responsibility to ensure that you meet these expectations by ensuring that your conduct is above reproach.

This section outlines how the Board exercises leadership in determining the values and standards of the organisation.

It describes the ethical framework introduced by the Ethical Standards in Public Life etc. (Scotland) Act 2000, particularly the nine key principles of the Model Code of Conduct which all Board members are required to observe when discharging public duties.

Through this framework, the Scottish Ministers aim to ensure confidence in Scottish public bodies, the Boards of those bodies and individual Board members.

Key Messages

Board members of bodies listed in Schedule 3 of the Ethical Standards Act are subject to the nine key principles outlined in the Model Code of Conduct.
It is a board member's personal responsibility to be familiar, and to comply, with the provisions of their Code of Conduct.
Board members must treat their colleagues, the public body's employees and members of the public with courtesy and respect at all times. This includes in person, in writing, at meetings and when online. Bullying and harassment will not be tolerated.
Board members must respect the principle of collective decision-making and corporate responsibility.
Board members must register certain interests. Doing so gives members of the public confidence that decisions are being taken in the best interests of the public and not those of a board member or their family, friends or personal associates.
The requirement for board members to declare certain interests is fundamental as a failure to do so removes the opportunity for openness and transparency in a board member's role. It denies the public the opportunity to consider whether a member's interests may or may not influence their discussion and decision-making.
You must ensure that the reputation of your public body is not damaged by the receipt (or provision) of inappropriate gifts and hospitality.
The Commissioner for Ethical Standards in Public Life in Scotland (the Commissioner) considers complaints about members of devolved public bodies who are alleged to have contravened the Code of Conduct. On finding a contravention of the Code, the Commissioner reports to the Standards Commission for adjudication. Where a hearing is held by the Standards Commission and a contravention of the Code is established, the Standards Commission determines the level of sanction to be applied.
Part 4 of The Ethical Standards in Public Life etc. (Scotland) Act 2000 makes provision for Codes of Conduct for bodies not listed in Schedule 3 – such bodies and Board members are not subject to investigation by the Commissioner, or sanction by the Standards Commission.

Key References and Contacts

The Commissioner for Ethical Standards in Public Life in Scotland

The Standards Commission for Scotland

Model Code of Conduct for Board Members

Standards Commission Guidance Note

Introduction to Ethical Standards in Public Life

The key elements of the ethical standards framework introduced by the Ethical Standards in Public Life etc. (Scotland) Act 2000 are:

A Standards Commission for Scotland (Standards Commission) and a Commissioner for Ethical Standards in Public Life in Scotland (Ethical Standards Commissioner) to oversee the ethical standards framework;
A Model Code of Conduct for Members of Devolved Public Bodies for all bodies listed in Schedule 3 of the Act;
Codes of Conduct for certain smaller public authorities; and
A requirement for public bodies to have publicly available registers of their Members' interests.

The Commissioner for Ethical Standards in Public Life in Scotland

The Public Services Reform (Commissioner for Ethical Standards in Public Life in Scotland etc.) Order 2013 came into force on 1 July 2013. The Order transferred the functions of the Public Standards Commissioner for Scotland and the Public Appointments Commissioner for Scotland to a single Commissioner for Ethical Standards in Public Life in Scotland (the Commissioner).

The Commissioner is an independent office holder who works in the following areas:

Public appointments, regulating how people are appointed to the Boards of public bodies in Scotland;
Public standards, where the Commissioner can investigate a complaint about a councillor or a member of a devolved public body who is alleged to have contravened the councillors’ or the appropriate public body’s Code of Conduct;
Investigating complaints about lobbying; and
Investigating complaints on the conduct of MSPs.

The Commissioner will report on the outcome of their investigations to the Standards Commission for adjudicatory action and application of sanctions, where appropriate.

The Standards Commission for Scotland

The Standards Commission for Scotland is an independent statutory body, responsible for ensuring councillors and those appointed to boards of devolved public bodies meet the high standards of behaviour that the public is entitled to expect. The Standards Commission takes a proactive approach by promoting high ethical standards and raising awareness of the key principles of public life, with the overall aim of preventing breaches of the Codes of Conduct from occurring. It does so by issuing Guidance, Advice Notes and Standards Updates, by facilitating training events, and by answering queries and providing advice to board members, public body employees, and members of the public. It also has an enforcement role through its work on adjudicating on complaints (by holding Hearings) and in imposing sanctions when a breach is found. The Standards Commission has responsibility for various aspects of the ethical framework including:

promoting and enforcing the Codes of Conduct for Members of devolved public bodies;
adjudicating on cases of alleged contravention of the Codes of Conduct reported to it by the Ethical Standards Commissioner following the investigation of a complaint;
providing guidance to public bodies on the promotion and observance of high standards of conduct by members of devolved public bodies and assisting them in that task;
providing guidance on the Registers of Interests for Members of devolved public bodies

If, at a Hearing, the Standards Commission determines that a Code of Conduct has been breached, the Standards Commission is obliged to impose a sanction. The sanctions available range from censure, or suspension from meetings of the public body for up to one year, to disqualification for up to five years. Details of the full range of sanctions available to the Standards Commission are listed in Annex A of the Members' Model Code of Conduct.

The Standards Commission's Guidance, Advice Notes and other training and educational material can be found on its website at https://www.standardscommissionscotland.org.uk/ along with its case decisions and information about forthcoming Hearings.

The Standards Commission can also consider particular circumstances where it would be contrary to the spirit of the Code for it to be applied. In exceptional circumstances, it can issue dispensations to allow Members of public bodies, including councillors, to participate in discussion and vote on certain matters where, due to financial or non-financial interests, they would otherwise be prohibited from such participation.

The Model Code of Conduct for Board Members

You should be provided with a copy of your public body's Code of Conduct for Board Members, when appointed, as it forms part of your terms and conditions. As noted above, your public body's Code is based on a Model Code of Conduct.

The following paragraphs provide a brief outline of the key provisions in the Model Code.

Introduction

The introduction to the Model Code notes that board members are required to comply with the Code in all situations, and at all times, where they:

are acting as a member of the public body;
have referred to themself as a member of the public body; or
could objectively be considered to be acting as a member of the public body.

While the Code does not apply to a board member's private or family life, it can apply when they are engaging in online activity, including when using social media. In determining whether the Code applies, the Standards Commission will apply an objective test and will consider whether a member of the public, with knowledge of the relevant facts, would reasonably consider that the individual was acting as a member of the public body at the time of the events in question.

The introduction section emphasises that it is a board member's personal responsibility to be familiar, and to comply, with the provisions of the Code, the law and their public body's rules, standing orders and regulations. It provides that board members will not, at any time, advocate or encourage any action that is contrary to the Code.

Board members are urged to seek advice from their public body's Standards Officer, Chair or Chief Executive if they are uncertain as to how the Code applies or need help in interpreting any of its provisions. Board members can also seek help from the Standards Commission or their own external legal or financial advisers.

Key Principles

The Code is based on the nine key principles of public life. A breach of one or more of the key principles is not, in itself, evidence of a breach of the Code. However, the key principles can be used by the Ethical Standards Commissioner (in their investigatory role) and the Standards Commission (in its adjudicatory role) to assist with interpretation of alleged breaches of the substantive sections of the Code.

Duty: You have a duty to uphold the law and act in accordance with the law and the public trust placed in you. You have a duty to act in the interests of the public body of which you are a member and in accordance with the core functions and duties of that body.
Selflessness: You have a duty to take decisions solely in terms of public interest. You must not act in order to gain financial or other material benefit for yourself, family or friends.
Integrity: You must not place yourself under any financial, or other, obligation to any individual or organisation that might reasonably be thought to influence you in the performance of your duties.
Objectivity: You must make decisions solely on merit and in a way that is consistent with the functions of the public body when carrying out public business including making appointments, awarding contracts or recommending individuals for rewards and benefits.
Accountability and Stewardship: You are accountable to the public for your decisions and actions. You have a duty to consider issues on their merits, taking account of the views of others and must ensure that the public body uses its resources prudently and in accordance with the law.
Openness: You have a duty to be as open as possible about your decisions and actions, giving reasons for your decisions and restricting information only when the wider public interest clearly demands.
Honesty: You have a duty to act honestly. You must declare any private interests relating to your public duties and take steps to resolve any conflicts arising in a way that protects the public interest.
Leadership: You have a duty to promote and support these principles by leadership and example, and to maintain and strengthen the public's trust and confidence in the integrity of the public body and its members in conducting public business.
Respect: You must respect all other Board members of your public body and employees of the body and the role they play, treating them with courtesy at all times. Similarly, you must respect members of the public when performing duties as a member of your public body.

Respect, Bullying and Harassment

The Code makes it clear that the requirement for members to treat their colleagues, the public body's employees and members of the public with courtesy and respect applies at all times. This includes in person, in writing, at meetings and when online.

The Code states bullying and harassment will not be tolerated. The Code notes that disrespect, bullying and harassment can be:

a one-off incident,
part of a cumulative course of conduct;
a pattern of behaviour; and
physical, verbal and non-verbal conduct.

Use of Social Media

The conduct expected of members online is no different to the conduct that should be employed in other methods of communication, such as face to face meetings and letters. When using social media the distinction between work and private life can become blurred, and hastily made comments can be misconstrued. It is important for board members to take special care when expressing views on social media in order not to compromise their position as a member of the public body or to say anything that potentially could have a negative impact on the public body's reputation.

Before commenting or posting (including 'liking' or re-posting another post), board members should consider very carefully whether they:

understand the immediate and permanent nature of any comment or post they are about to make;
would make that comment or post in- person, face to face;
are disclosing any confidential information; and
are complying with the principle of collective responsibility.

Board members should be careful about whether they are acting, or could be perceived to be acting, as a member of the public body when using social media. Social media offers many benefits in communicating with stakeholders and interested parties.

Board members should always remember, however, that posts on social media can reach large (sometimes unintended) audiences instantly and it can be very difficult to retract content once it is published. Board members should familiarise themselves with their public body's policies on IT and the use of social media in order to protect the public body's reputation and to help ensure it complies with its legal obligations. Board members are expected to approach any use of social media platforms responsibly and with care.

Gifts and Hospitality

The provisions in the Code on gifts and hospitality are designed to avoid any perception that members are using their role to obtain access to benefits that members of the public would otherwise be expected to pay for, and also to prevent them from being influenced (inadvertently or otherwise) into making decisions for reasons other than the public interest. 'Gifts' or 'hospitality' can come in many forms. Beyond the everyday things like bottles of wine or offers of lunch, they can include benefits such as tickets to sporting or other events; provision of services at a price below that generally charged to the public; incurring personal debts or obligations on your behalf, relief from indebtedness, loan concessions, or other financial inducements.

The Code makes it clear that the default position is that board members should refuse all offers of gifts and hospitality, except in very limited circumstances.

In considering whether an offer of gift or hospitality may fall within one of these exceptions, board members are required to consider an objective test. This is whether a member of the public, with knowledge of the relevant facts, would reasonably consider that acceptance of the gift or hospitality might lead the board member to being influenced in their discussion or decision- making.

Bribery

Board members must ensure they are familiar with the provisions of the Bribery Act 2010 and their public body's policy on this subject. The Act makes it a criminal offence for a person to take part in active bribery (making a bribe) or passive bribery (receiving a bribe). All public bodies operate a zero-tolerance approach to bribery, with any allegations investigated in accordance with the relevant procedures and reported to the appropriate authorities.

Relations with Employees

Board members must not undermine any individual employee or identifiable group of employees, or raise concerns about their performance, conduct or capability in public. This does not mean that board members are prevented from scrutinising the performance of a team or service; it just means that they are required to refrain from making any public criticism, which is personalised in nature, about an individual employee or identifiable group of employees. If a board member wishes to raise concerns in public about the performance, conduct or capability of the organisation (or parts of it), they must do so objectively and respectfully and should focus on the issues, rather than on any employees who may have been directly involved in the matter.

Board members should not become involved in operational management of their public body as that is the responsibility of the Chief Executive and Executive Team. In general, if a duty is delegated to an employee, then it is likely to be operational in nature. This is unless:

it is written into a Board member's role (for example, it is stated in their job description, letter or contract of appointment or is included by virtue of a statutory provision);
they have been invited to do so by the public body's Chair or Chief Executive; and / or
they have been directed to do so by their sponsor body, Minister or Cabinet Secretary

The key is whether the involvement is appropriate. Becoming inappropriately involved in operational management and / or operational decision-making can be a breach of the Code. It can also damage a board member's relationship with the public body's employees and can have a detrimental effect on how they perform their duties. If a board member become too focused on operational matters, they risk losing sight of the 'bigger picture' and may have less time to focus your strategic and scrutiny role.

Collective Responsibility

Board members must respect the principle of collective decision-making and corporate responsibility. This means that once the Board has made a decision, board members are to support that decision, even if they, as an individual, did not agree with or vote for it. If a board member fundamentally disagrees with the decision taken by the board, then they have the option of recording their concerns in the minutes of the board meeting. If the board member remains discontented, they should ask the Chair for a meeting to discuss their concerns. Ultimately, however, if a board member's concerns are not resolved and they cannot accept and support the collective decision, they will need to consider whether it is appropriate to remain on the board.

Confidentiality

You will not disclose confidential information or information which should reasonably be regarded as being of a confidential or private nature, without the express consent of a person or body authorised to give consent (or unless required to do so by law) – where you cannot obtain that consent, you should assume it is not given.

You should only use confidential information to undertake your duties as a board member. You must not use it in any way for personal advantage or to discredit the public body (even if you are of the view that the information should be publicly available).

Sometimes it is a matter of timing, in that that confidential information may eventually be released into the public domain. However, you must respect the requirement for confidentiality even if you do not agree with it or consider that the information should be released at an earlier stage.

Registration of Interests

All devolved public bodies subject to the Ethical Standards in Public Life etc. (Scotland) Act 2000 (Register of Interests) Amendment (No. 2) Regulations 2021, have a duty to set up, maintain and make available for public inspection a register of Board member interests. The regulations describe the detail and timescale for registering.

The requirement to register certain interests is intended to give members of the public confidence that decisions are being taken in the best interests of the public and not those of a board member or their family, friends or personal associates.

The Register is intended to be a public record of those interests that might, by their nature, be likely to cause conflicts with a board member's role as a member of their public body.

The Model Code outlines the interests that Board members, must register. These are:

Category One: Remuneration
Category Two: Other Roles
Category Three: Contracts
Category Four: Election Expenses
Category Five: Houses, Land and Buildings
Category Six: Interest in Shares and Securities
Category Seven: Gifts and Hospitality
Category Eight: Non-Financial Interests
Category Nine: Close Family Members

The public body's Code of Conduct will contain definitions of what Board members are required to register under each of these categories, with further information being provided in the Standards Commission's Guidance on the Model Code. If a board member is in any doubt as to what they should or should not be registering, they can seek advice from the public body's Standards Officer, Chair, Chief Executive and/or the Standards Commission.

The Register should also be available for inspection by the public (electronic and paper version). Public bodies should prepare a page for this purpose on their website and ensure that it is operational and updated regularly. Board members are required to keep their entries in the Register of Interests up-to-date and must notify the Standards Officer of any new interest or change to an existing interest within one month of the change.

Identifying and Handling Conflicts of Interest

The requirement for board members to declare certain interests is a fundamental requirement of the Code. A failure to do so removes the opportunity for openness and transparency in a board member's role and denies the public the opportunity to consider whether a member's interests may or may not influence their discussion and decision- making.

The Code outlines a three-stage test aimed at helping board members identify whether they have a potential conflict of interest and the steps they must take if so. The three stages are:

Connection
Interest
Participation

Stage 1: Connection

A connection is any link between the matter being considered and the Board member or a person or body they are associated with. This could be a family relationship or a social or professional contact. It would also include anything that has been registered as an interest.

The Code outlines certain matters that are not considered a connection for the purpose of the Code. This includes:

simply having previous knowledge or experience of a matter, and
having a view in advance on a matter to be considered at a meeting in (and discussing such a view with colleagues, employees or service users). That is provided the matter to be discuss is not quasi-judicial or regulatory in nature.

Stage 2: Interest

If a board member has a connection to a matter being discussed, then they are then required to apply the Objective Test. This is:

whether a member of the public, with knowledge of the relevant facts, would reasonably regard the board member's connection to the matter as being sufficiently significant as to be likely to influence their discussion or decision-making.
If the objective test is met, then the connection is an interest that requires to be declared. Board members should bear in mind, when applying the objective test, that the test is not what they know about their own motivations and whether the connection would unduly influence them; it is what others would reasonably think, if they were in possession of the relevant facts.
The requirement to disclose or declare interests applies both in formal and informal dealings with public body employees and other board members, not just in formal board or committee meetings. Board members should not assume that employees or their colleagues will know or remember what their interests are.

Stage 3: Participation

If a board member has a declarable interest they cannot participate in the discussion or any voting on the matter. The board member must leave the room or the online meeting. This is to ensure they do not influence other Members and / or to avoid any perception they could be doing so.

In some circumstances, board members may consider it is appropriate, for transparency reasons, to state publicly that while they have a connection to a matter, having applied the objective test, they do not consider it amounts to an interest (and to explain why).

Lobbying and Access

The Code of Conduct sets out clear guidance in respect of dealing with lobbyists and distinguishes lobbying, from helping service users and community engagement. It explains that lobbying is where a member is approached by an individual or organisation who is seeking to influence them, in their capacity as a member of the public body, for financial gain or advantage.

The Code requires board members to have regard to the objective test in deciding whether, and if so, how to respond to such lobbying. This is whether a member of the public, with knowledge of the relevant facts, would reasonably regard their conduct in responding to the lobbying as being likely to influence them or their public body's decisions. If a board member has any concerns about any approach made to them, they should discuss the matter with the public body's Standards Officer and / or Chair.

Whistleblowing

Although not directly covered by the Ethical Standards Framework, Board members have a responsibility to ensure that staff have confidence in the fairness and impartiality of procedures for registering and dealing with their concerns and interests. The Public Interest Disclosure Act 1998 gives legal protection to employees who raise certain matters or concerns, known as 'qualifying disclosures', without fear of reprisal.

Confidentiality requirements do not apply to protected whistleblowing disclosures made to the prescribed persons and bodies as identified in statute.

To be covered by whistleblowing law, a worker who makes a disclosure must reasonably believe two things. The first is that the disclosure is in the public interest. This means in particular that personal grievances and complaints are not usually covered by whistleblowing law. The second thing that a worker must reasonably believe is that the disclosure tends to show past, present or likely future wrongdoing falling into one or more of the following categories:

criminal offences (this may include, for example, types of financial impropriety such as fraud)
failure to comply with an obligation set out in law
miscarriages of justice
endangering of someone's health and safety
damage to the environment
covering up wrongdoing in the above categories

All public bodies should have their own whistleblowing policy and procedures in place which should be consistent with the Public Interest Disclosure Act 1998, and with their own nominated officer and process for investigation. It is expected that any policy will cover both Board Members and the staff of the public body. As a Board member, you should ensure that your public body has a whistleblowing policy and appropriate procedures in place. This will allow staff to raise concerns on a range of issues such as fraud, health and safety etc. without having to go through the normal management structure.

Any whistleblowing policies or procedures should be clear, simple and easily understood. There is no one-size-fits-all whistleblowing policy as policies will vary depending on the size and nature of the organisation. This list is not exhaustive but suggests the principles which we expect would be included in a whistleblowing procedure:

Communicating the policy and procedure
Procedures to be followed
What is a qualifying disclosure
Making a disclosure
Disclosures to third parties
How the concern will be handled
Confidentiality and anonymity protection

Audit Scotland has published guidance on employers' and employees' responsibilities in relation to whistleblowing.

As a new Board member you should be informed of the public body`s whistleblowing policy as part of your induction, the same applies for staff. To develop a supportive and open culture, public bodies will need to consider providing training at all levels on the effective implementation of their whistleblowing arrangements Actively publicising a policy shows that the public body is genuinely open to hearing concerns from its staff and Board members. Conduct and written policies will help to create an open culture, which will increase the likelihood of individuals speaking up about any wrongdoing they come across.

NHS Scotland Whistleblowing

The Public Services Reform (The Scottish Public Services Ombudsman) (Healthcare Whistleblowing) Order 2020 (the Order) created the role of Independent National Whistleblowing Officer (INWO) for the NHS in Scotland. The role and functions of the INWO are undertaken by the Scottish Public Services Ombudsman (SPSO). The Order builds on the SPSO's existing powers, as set out in the Scottish Public Services Ombudsman Act 2002.

The aim is to ensure everyone delivering NHS services in Scotland is able to speak up to raise concerns when they see risk of harm or wrongdoing; for example putting patient safety or service delivery at risk. People must be able to raise concerns, confident that they can do so in a protected way, that will not cause them personal detriment, or breach their confidentiality. They also need to be confident they have the right to an independent review if dissatisfied with how the concern was investigated.

The INWO is required to set out principles and a procedure for NHS Scotland providers to use in handling whistleblowing concerns and to provide an independent final stage to this procedure. The high level principles and detailed procedure for investigating concerns set out in the National Whistleblowing Standards (the Standards) were approved by Parliament in 2020. They apply to all providers of NHS services in Scotland, including primary care (GPs, dentists and pharmacists) and contracted providers. They enable anyone delivering services on behalf of the NHS to raise a concern including students, trainees, volunteers, temporary and permanent staff and ex-staff.

The Order and the Standards include the definition of whistleblowing, which is used by all NHS services as well as by the INWO, to identify whether an issue can be considered whistleblowing.

As the final stage of the whistleblowing procedure, the INWO can look at:

Actions taken in response to the whistleblowing concern
How the concern was handled through the Standards
Treatment of the whistleblower and others involved (e.g. witnesses, investigators or those the subject of whistleblowing concerns)
The organisation's work to support and develop and encourage a culture of speaking up.

The INWO can make findings and recommendations in all these areas.

The INWO also has a national leadership role providing support and guidance to NHS organisations, focusing on appropriate early resolution, and good practice in whistleblowing handling, recording, reporting, learning and improvement.

The Standards establish defined roles for NHS Board members in relation to leadership, monitoring, services provided by other organisations, and support for the person raising concerns. Each NHS Board has a Non- executive Director who is the Whistleblowing Champion (WBC). Their role has been set out by the Scottish Government to provide assurance that the board is handling whistleblowing concerns appropriately. They will be supported by the board in this work. While the WBC can seek advice about the Standards from the INWO, they do not come under the INWO's jurisdiction.

Public Bodies not covered by the Ethical Standards in Public Life etc. (Scotland) Act 2000

The Ethical Standards in Public Life etc. (Scotland) Act 2000 makes provision for Scottish Ministers to introduce a Code or Codes of Conduct under the Public Authorities Regime for bodies not listed in Schedule 3 to the Act. While such public bodies and their Board members will be expected to act in accordance with this Code of Conduct, they will not be subject to investigation by the Commissioner or to sanctions by the Standards Commission.

Irrespective of the extent to which a public body is covered by the Ethical Standards Act, Board members are required to adhere to the principles that underpin the ethical standards framework and have regard to the provisions set out in the Model Code of Conduct in carrying out their public duties.

Complaints About the Public Body

The Scottish Public Services Ombudsman (SPSO) is the final stage for complaints about most devolved public services in Scotland including: councils, the National Health Service, housing associations, colleges, universities, prisons, most water and sewerage providers, and the Scottish Government, its agencies and departments and most Scottish public authorities.

The SPSO also provides the independent review service for the Scottish Welfare Fund with the power to overturn and substitute decisions made by councils on Community Care and Crisis Grant applications; and, has the role of the Independent National Whistleblowing Officer (INWO) for the NHS in Scotland, which is the final stage of the process for those delivering NHS services in Scotland to raise concerns.

As a Board member, you have a responsibility to ensure that complaints are considered as part of your organisation's overall governance and assurance arrangements.

You should be aware of the importance of having an effective complaints policy in place. In keeping with the nine key principles in the Model Code of Conduct for Members of devolved Public Bodies, complaints should be valued as a source of feedback (and learning) about an organisation's performance and as an aid in driving service improvement.

Understanding complaints and learning from them is a key pillar of effective governance in a public body. You can help to promote a culture which values complaints and has a proactive approach to the effective resolution of and learning from complaints.

The Board has a collective responsibility, and Board members, the Chair and the Chief Executive are also individually responsible for ensuring the public body has an effective, efficient, customer-focused approach to complaints handling in place.

You should also be aware of the issues and concerns people are raising in their complaints. Your scrutiny of these issues will help to ensure that service users receive a high quality service and that best value is achieved.

The SPSO has specific powers and responsibilities to set complaints handling standards, publish complaints handling procedures, and monitor and support best practice in complaints handling. The SPSO Statement of Complaints Handling Principles as approved by the Scottish Parliament in 2011, affirms that an effective complaints handling procedure is:

User-focused
Accessible
Simple and timely
Thorough, proportionate and consistent
Objective, impartial and fair and should
Seek early resolution and
Deliver improvement.

The SPSO has a duty to publish Model Complaints Handling Procedures (MCHPs) which public bodies have a statutory requirement to adopt.

The MCHPs include a requirement for public bodies to report quarterly to senior management on:

performance statistics, in line with the key complaints performance indicators published by SPSO; and
analysis of the trends and outcomes of complaints (this should include highlighting where there are areas where few or no complaints are received, which may indicate either good practice or that there are barriers to complaining in that area).

The MCHPs also include a requirement for public bodies to publish:

quarterly, information on complaints outcomes and actions taken to improve services. This demonstrates the improvements resulting from complaints and shows that complaints can help to improve services. It also helps ensure transparency in complaints handling and helps to show our stakeholders that their complaints are valued; and
annually, a complaints performance report on the body's website in line with SPSO requirements, and provide this to the SPSO on request.

These published reports must be easily accessible to members of the public and available in alternative formats as requested.

The SPSO has produced a short briefing note for Board members which will help you to consider complaints as part of your organisation's governance arrangements.

Complaints Handling

Ensure the public body and executive team are learning from service failures and customer insight provided by complaints, with systems in place to record, analyse and report on complaints outcomes, trends and actions taken;
Ensure that processes are in place for the public body and executive team to identify and respond immediately to critical or systemic service failures identified from complaints handling;
Take an active role in monitoring and reviewing learning from complaints and reviewing individual complaints to obtain an understanding of how any failures occurred and have been addressed;
Provide the necessary challenge and hold the senior officer(s) to account for the public body’s performance in complaints handling, with Board / Board members themselves regularly monitoring and reviewing the complaints handling performance of the public body; and
Ensure that service improvements are agreed, actioned and reviewed, possibly on a quarterly basis.