Recommendations and Compliance For Service Providers

This factsheet explains what we expect from service providers in our powers when we make recommendations in our reports, or when we agree actions with them to resolve or settle a complaint. It does not cover every detail of our procedures.

Our role is to consider whether a complainant has suffered an injustice as a result of a service provider  in our powers getting things wrong. If we find that the complainant has suffered an injustice, we can make recommendations aimed at putting things right.

Our recommendations are not legally binding on the service provider. It is generally accepted, however, that service providers  will comply with them unless there are exceptional reasons not to.

We can make two types of recommendations. The first type is aimed at addressing the injustice to the complainant. These may involve actions such as an apology, giving a service that the complainant is allowed to have, fixing something, or financial redress. The second type is aimed at improving the service provider’s processes so that the problem does not happen again. These may involve actions such as introducing or updating a policy or giving staff training.

If it appears from our initial review of a complaint that something has gone wrong and that there is a clear solution, the caseworker will contact the service provider and ask it to carry out one or more actions to resolve the matter. If the service provider agrees, then the case will be closed without an investigation. We expect the service provider to give us evidence that it has done what it has said it would do, and we will follow up the actions agreed.

When we investigate a complaint, we will usually conclude the investigation by issuing a report, or by discontinuing it because of the action agreed by the service provider.

Before we issue a final report or discontinue an investigation, we will share the recommendations with the complainant and the service provider to comment on and, in the case of the service provider, agree to them.

This is the service provider’s opportunity to provide comments on the proposed actions and the timescales for carrying them out. It is important that the service provider:

• considers them thoroughly and with care
• shares them with the staff or teams who will be responsible for carrying them out to decide whether the recommendations have impact and are practical.
• tells us if the proposed recommendations duplicate actions that have already or are in the process of being taken. We will consider whether there is any value in us making a further recommendation if the service provider has already or is in the process of taking effective action to resolve the problem.

We will make sure that our recommendations are effective. If the service provider believes that the proposed recommendations can be improved, it should tell us. The caseworker will be happy to discuss any questions or comments the service provider has about proposed recommendations. Occasionally, if the proposed recommendations are likely to be complex or technical, the caseworker may contact the service provider before issuing the draft to discuss them and the evidence needed.

The service provider should let the caseworker know within the deadline set that it agrees with the recommendations. We will then issue the final decision. Service providers must not carry out the action before the final decision has been issued unless otherwise agreed with the caseworker.

If the service provide does not agree with a recommendation, it should tell us why. We will consider the reason(s) together with any comments we may have had from the complainant. We may need to ask for more information or seek professional advice depending on the comments received.

If the recommendations change substantially after these comments, we may issue a further draft report to both parties to allow another opportunity to comment. If the recommendations stand and the service provider does not agree, then we will consider whether to issue a public report.

Once the recommendations have been agreed upon, we will issue a final report or decision letter to the complainant and to the service provider.

This will set out the agreed recommendations/actions and the timescales for telling us that the service provider has carried out the actions. The agreed timescales will be for telling us that the actions have been completed.

The service provider should give evidence to us within the agreed timescales that it has completed each individual action. It is not enough to simply state that the recommendations have been carried out; we will need evidence to support that the recommendations have been carried out.

Often it will be straightforward to give evidence that a recommendation has been completed (for example, a copy of an apology letter sent to the complainant, or a copy of an amended policy together with evidence of approval from the relevant officer or committee). In more complex cases, the caseworker will set out what evidence is needed and will be happy to discuss if it is not clear at the draft report stage.

Responses to recommendations should be sent to our dedicated email address: caseinfo@ ombudsman.wales

If for good reasons the service provider cannot provide the evidence within the agreed timescales, it should tell the caseworker before the deadline. The caseworker will then decide whether to extend the deadline.

If we receive no response from the service provider within the agreed timescales, we will follow up with it.

Once the service provider has given us evidence relating to each of the recommendations, the caseworker will consider it. Once we are satisfied that the recommendations have been met, we will let the complainant and the service provider know that the action taken meets the recommendations and that the matter is now closed. We will do this after receipt of the last expected evidence for the recommendations.

If the evidence given is unsatisfactory, the caseworker will contact the service provider and ask it to give acceptable evidence. The caseworker will explain what is needed and, if appropriate, agree a new deadline for giving the information.

Rarely, there will be acceptable reasons why a service provider cannot comply with the recommendations made: if circumstances change, for example, or if the complainant decides that they do not want the previously agreed actions to take place. In these cases the service provider should discuss the matter with the caseworker who will decide whether to treat the recommendation as met.

If the service provider does not carry out one or more of the recommendations and there is no good reason for this, we will consider whether to issue a special report, which we will publicise.

If you would like more information, please contact us on 0300 790 0203.

Also available in Welsh.