MEMORANDUM OF UNDERSTANDING BETWEEN SCOTTISH PUBLIC SERVICES OMBUDSMAN (SPSO) AND HM INSPECTORATE OF EDUCATION (HMIE)

1. Introduction

The purpose of this Memorandum is to set out the functions of SPSO and HMIE and to describe the arrangements for co-operation and communication between the two bodies in relation to handling complaints and the promotion of good administrative practice.

2. Functions of the parties to this Memorandum

2.1 SPSO

The SPSO has the functions set out in the Scottish Public Services Ombudsman Act 2002 (The 2002 Act). The SPSO can consider complaints from members of the public who claim to have sustained injustice or hardship as a result of maladministration or service failure on the part of an authority within SPSO’s jurisdiction, providing that the subject of the complaint is one which SPSO is entitled to investigate. Schedule 2 of the 2002 Act lists the authorities that come within the jurisdiction of the SPSO (listed authorities). This list includes publicly funded educational establishments and services, including, local authorities, colleges, schools and pre-school centres and HMIE.

The functions of the SPSO also include raising awareness of its service and promoting good administrative practice by Scottish public services. The SPSO aims to work in partnership with public services across Scotland to help prevent complaints arising and to help public services improve their complaint handling processes.

2.2 HMIE

HMIE is an Executive Agency of the Scottish Ministers under the terms of the Scotland Act 1998 operating independently and impartially from, while remaining directly accountable to, Scottish Ministers for the standards of its work. As an Executive Agency, HMIE is sponsored by the Scottish Executive Education Department. HMIE’s core objective is to promote and contribute to sustainable improvements in standards, quality and achievements for all learners in a Scottish education system which is inclusive. HMIE carries out inspections and reviews at all stages of education from pre-school to adult learning and also manages the inspection of multi-agency provision of children’s services, including child protection.

HMIE’s annual programme of inspections and reviews leads to a series of published reports to inform:

• stakeholders (including parents and carers, pupils, students and other learners) and Scottish Ministers about the quality of education provided in pre-school settings, individual schools and other educational establishments, and services for children more widely;

• teachers, lecturers, other educational practitioners and those providing services to children about the effectiveness of their work and the work of others;

• headteachers, school boards, governors, college principals, boards of management, heads of services, chief executives of public bodies, other responsible bodies about the quality of services they provide; and

• Scottish Ministers, stakeholders and national bodies about the overall performance of education in Scotland.

HMIE also undertakes investigations, sometimes on behalf of the Scottish Ministers and others, into key sectors and aspects of education and children’s services. HMIE publishes national reports which identify strengths and indicate where improvement is needed. This work assists those responsible for the funding, management, quality and delivery of education to draw on approaches to improving the quality of education and raising attainment which have been shown to be effective. HMIE uses evidence from evaluations, and its wide knowledge of the education system to provide professional advice to the Scottish Ministers and others on current and emerging issues in education and children’s service.

3. Requirements relating to complaints

3.1 Listed authorities

Section 22 of the 2002 Act (information about the right to make a complaint) requires a listed authority (including HMIE) to take reasonable steps to publicise the application and effect of the 2002 Act, including in particular, the right conferred by the 2002 Act to make a complaint, the time limit for doing so and how to contact the SPSO. This information must be included in, or provided with, any document published by the listed authority that contains information about how it deals with complaints. This information must also be included in any response to a complainant who may be entitled to complain to SPSO.

3.2 HMIE

All listed authorities subject to an evaluation by HMIE should have a well-publicised and accessible complaints procedure. This should state clearly the responsibilities of that authority in dealing with complaints and make it clear when a complainant may have recourse to SPSO. When inspecting or reviewing an establishment or service, HMIE will check that the authority has complaints policies and procedures in place, that they are fit for purpose and that they are in use.

4. Complaints about listed authorities

In general, the SPSO considers individual complaints that cannot be resolved through the complaints procedure of a listed authority. HMIE will not normally intervene in complaints between an individual and any other body, including listed authorities. However, if HMIE is made aware of a serious allegation of wrongdoing or any other specific concerns, such as child protection issues, HMIE will share the information with the appropriate agencies who can conduct the necessary investigations.

5. Complaints about HMIE

The HMIE Complaints Procedure outlines how the Inspectorate investigates and responds to complaints about its work. It contains a flow-chart explaining the processes that will be followed to try and resolve concerns and complaints. These processes can be found in annex A of this document.

HMIE is a listed authority under the 2002 Act and is under the jurisdiction of SPSO. Consequently, the SPSO may investigate a complaint by a member of the public that they have sustained injustice or hardship as a result of maladministration or service failure on the part of HMIE. The SPSO will not usually consider a complaint until HMIE’s complaints process has been invoked and exhausted. In exceptional circumstances, HMIE may themselves request the SPSO to investigate a complaint from a member of the public that HMIE have already investigated and concluded through their complaints process. This would only be done where the member of the public has made a public allegation that they have suffered hardship or injustice because of HMIE's alleged maladministration or service failure but has not asked the SPSO to consider the complaint. This relates to the SPSO Act Section 2 (2).

It has been agreed that the HMIE Complaints Manager will act as the liaison with the SPSO. If the SPSO, after considering a complaint about HMIE, decides not to conduct an investigation, it must send a statement of reasons to HMIE and other relevant parties. After conducting an investigation of a complaint, the SPSO must send a report of the investigation to HMIE and other relevant parties. The report must also be laid before the Scottish Parliament.

6. Consultation, co-operation and exchange of information

The SPSO and HMIE agree that where functions and actions of one body affect the functions and actions of the other, they will consult and co-operate together to fulfil their respective functions as fully, effectively and efficiently as possible. The co-operation will include sharing of appropriate information and maintaining effective communication where this will inform and improve the work of each party. Both parties will ensure that all personal information obtained will be processed fairly and lawfully.

Within available resources, the SPSO and HMIE will invite representation from the other party to project teams and work groups where both parties believe that there will be an advantage in joint working. Both parties will encourage formal and informal contacts between their staff to raise awareness of their respective roles, responsibilities and methods of working.

Both SPSO investigation reports and HMIE inspection or review reports are public documents. Where a report is of mutual interest, it will be shared and discussed with the other party.

7. Public information and information to other organisations

Before issuing any guidance, publicity and information to the public or other organisations about any aspect of their current or proposed functions relating to complaints, each party will consider the extent of which it would be able assist the other in the effective and efficient discharge of its functions if mention were made of that

organisation and its functions. Where relevant and possible, each party will invite the other to participate in any conferences, seminars or workshops it organises.

8. Liaison meetings and monitoring and review of this Memorandum

SPSO and HMIE representatives will meet annually to discuss issues of mutual interest arising from their respective functions and to review the operation of this Memorandum of Understanding. Where problems in its operation are identified by either party they will seek to resolve them If this is not possible, the Ombudsman and HM Senior Chief Inspector will take responsibility for achieving a mutually acceptable solution. Their decision will be final.

Signed

Professor Alice Brown – Scottish Public Services Ombudsman

Graham Donaldson – HM Senior Chief Inspector

http://www.spso.org.uk/files/webfm/Complaints/Memorandums/MoU-SPSO-HMIE%20March%202007.pdf (Original web location – no longer on SPSO website)