1. Informal Resolution by Ombudsmen: A mapping study
Varda Bondy, Margaret Doyle and Carolyn Hirst

2. Beryl Markham, West with the Night
“It was as if the mapmakers had said, 'We are aware that between this spot and that one, there are several hundred thousands of acres, but until you make a forced landing there, we won't know whether it is mud, desert, or jungle -- and the chances are we won't know then!”
Beryl Markham, West with the Night

3. Informal Resolution by Ombudsmen
Background
Increased competition in redress
Increased emphasis on informal resolution:
changes and pressures on individual schemes
‘landscape’ developments
Increased concerns about lack of scrutiny
Informal Resolution by Ombudsmen

4. Informal Resolution by Ombudsmen
Benefits
Complainants value a personal approach such as telephone contact with ombudsman staff
Direct involvement of parties in resolution can help restore trust and confidence in on-going relationship
A lower ‘evidential hurdle’, reducing the burden of proof on the complainant, who may lack access to evidence
Bodies in jurisdiction may need to invest less time in cooperating with informal resolution
Innovative approaches can lead to increased staff satisfaction and career development
Informal Resolution by Ombudsmen

5. Informal Resolution by Ombudsmen
Risks
Achieving targets and reducing backlog might take precedence over adopting the most appropriate approach.
Where the informal process is not well defined, it can lead to confusion and result in complaints being unnecessarily prolonged.
How do ombudsmen ensure consistency when adopting a variety of approaches to complaint-handling?
Who decides a complaint is to be resolved informally, and what could this mean for complaints in the public interest to investigate?
Possibility of losing out on significant information that can form part of the ‘learning loop’
Informal Resolution by Ombudsmen

6. Informal Resolution by Ombudsmen
The project’s journey
First step – mapping current practice
Nuffield funded project –
six month grant
Interest in understanding development in ombuds practice
Proposal for in-depth empirical study
Informal Resolution by Ombudsmen

7. Informal Resolution by Ombudsmen
Aims of the study
to produce a descriptive mapping study of the use of informal resolution by ombudsmen and complaint-handling organisations in the UK and Ireland
to identify sources of data available and published by various schemes
to explore what criteria, if any, are applied in adopting an informal approach, and what procedures are applied.
to propose areas for more in-depth exploration and set the ground for future research
Informal Resolution by Ombudsmen

8. Informal Resolution by Ombudsmen
Methods
Survey sample – 52 organisations
Mapping
Recording
Piloting
Sending out
Exploring
Database – 48 completed templates (92%)
Informal Resolution by Ombudsmen

9. Findings Who is not using informal resolution, and why?
Professional service and conduct complaints (3)
Judicial appointments and conduct / Public appointments / Conduct of public officials (5)
Local government (1)
Police (1)
Consumer complaints (1)
Armed services (1)
12 Schemes not using informal resolution
Informal Resolution by Ombudsmen

10. Findings Informal resolution: What’s in a name?
Term for primary informal process
No. of schemes
conciliation 1
early resolution 4
informal resolution 9
local resolution 2
mediation 7
resolution
not answered/no specific term 3
Multiple terms used (8)
early resolution/settlement
early settlement/informal resolution/quick fix/voluntary
settlement/intervention
informal resolution/mediation
persuasion/negotiated settlement
early resolution/mutually agreed settlement
resolution/conciliation
settled/mediation
Informal Resolution by Ombudsmen

11. Findings Frequency of use of informal resolution
What percentage of accepted complaints are closed by informal resolution?
Numerous difficulties in ascertaining what these figures mean
Often difficult to identify the basis of the calculation for the figures
Scheme
% of informal resolution
< 1% 3
1 – 5% 4
6 – 10% 2
11 – 20% 6
21 – 40% 5
41 – 60%
61 – 80%
>80%
Not available
Informal Resolution by Ombudsmen

12. Findings Process of informal resolution
Most using a form of shuttle negotiation or brokering
5 schemes offer face-to-face meetings
Focus on speed and expedition
Desire to reach an outcome that is acceptable to the parties, to the ombudsman, or to all involved
For most this happens early - soon after the complaint has been assessed for eligibility
Informal Resolution by Ombudsmen

13. Findings Informal Resolution - Decisions and Criteria
Who decides to use IR?
Always use (7)
Depends on situation (23)
Cases where never use (6)
Criteria for using IR?
Written criteria (11 )
No written criteria (25)
IR criteria in the public domain?
Yes (3)
No (33)
Who decides IR concluded?
Organisation (12)
Complaint parties (12)
Complainant (5)
Not clear (5)
What if IR outcome not complied with?
Organisation proactive (3)
Organisation reactive (11)
Organisation no role (3)
Informal Resolution by Ombudsmen

14. Publish information on IR Informal Resolution by Ombudsmen
Findings
Publish information on IR
Training in IR
Do not publish (13)
Publish (23)
Statistics only (4)
List all IR complaints (1)
Summaries of some IR complaints (17)
Summaries of all IR complaints (1)
No training (5)
Training (31)
Not clear if IR specific (8)
‘On the job’ (4)
Induction then internal (10)
Internal + External providers (5)
Use trained mediators (4)
Informal Resolution by Ombudsmen

15. Research Conclusions Main Themes
IR Terminology
IR Criteria
IR Process
Publishing IR outcomes
Informal Resolution by Ombudsmen

16. Concerns and Questions
Does your informal resolution process result in informed consent?
Are you providing a ‘just solution’ or ‘just a solution’?
Are your complainants ‘settling’ for less?
What about good practice/learning from complaints?
Informal Resolution by Ombudsmen

17. Conclusion Future Research
How IR Process Works
IR ‘Success’
IR Criteria
Resolve or Decide
Caseworker Skill Set
What Else?
Informal Resolution by Ombudsmen

18. Informal Resolution by Ombudsmen
Developing research
Project website with blog on informal resolution and list of relevant research.
Research institute – UK Administrative Justice Institute (UKAJI)
UKAJI is an independent, broad-based, cross-disciplinary body focusing on research and thinking about administrative justice across the UK.
Its primary task is to kickstart the expansion of empirical research on administrative justice in the UK, in particular concerning:
the operation, efficiency and effectiveness of administrative justice systems
encouraging good early decision-making
access to justice
enforcement and outcomes
Informal Resolution by Ombudsmen