Book review: OMBUDSMEN AND ADR: A Comparative Study of Informal Justice in Europe by Naomi Creutzfeldt
Posted: July 6, 2018 Filed under: complaints, customer satisfaction, ombuds, research, users' views | Tags: ADR, Comparative research, ombudsman Leave a comment
By Carolyn Hirst
I am delighted to have been asked to review this book by Naomi Creutzfeldt, who is an academic and researcher whose work I greatly value and respect. For someone who works as a pracademic, and so benefits from understanding both the practice and theory of ombuds work, this book is a welcome addition to the literature. For me, it is now part of a triumvirate of essential ombuds reading, along with my prevailing ‘go to’ sources of Conducting Administrative, Oversight & Ombudsman Investigations by Gareth Jones and The Ombudsman Enterprise and Administrative Justice by Buck, Kirkham and Thompson.
This book has a Foreword from Carrie Menkel-Meadow – true endorsement indeed – who acknowledges that it is an important book and says that “The findings of this superb research project have enormous implications for how we are currently reimagining how dispute resolution and legal redress may be achieved.”
And it is the case that this book packs a vast amount of information, opinion and comment into its 192 pages. There is an introductory Chapter on Ombudsmen and Informal Justice, with the substance of the book being divided into three sections: Part 1 Setting the Scene, Part II Empirical Discoveries and Part III The Future of Informal Justice Systems. There is also an excellent and very useful Bibliography.
I did struggle a bit with the book’s premise that ombuds and ADR are one and the same. Yes, ombuds are an alternative to the courts. But I think that public-sector ombuds, with their focus on administrative justice and use of inquisitorial investigation to reach decisions which often have a public interest, are a distinct form of dispute resolution. I am more accepting of the ADR premise for ombuds whose aim is to resolve complaints to the satisfaction of the parties – although I acknowledge, as is said a few times in the book, that the public/private ombuds divide is increasingly blurry.
And a minor quibble is that the book has a narrower focus than the title suggests. However, at the outset Naomi Creutzfeldt does explain that her book sets out to answer two main questions: what explains users’ perceptions of fairness and trust in ombudsman institutions; and how cultural frameworks influence citizens’ use of ombudsmen. So, in essence, this book explores how ordinary people experience informal justice.
‘In essence, this book explores how ordinary people experience informal justice’
There is a fascinating research ‘puzzle’ described on page 55 relating to the annual reports of ombuds stating clearly that the outcome a person receives from their case determines their overall experience with the ADR provider. The puzzle here is that this appears to contradict the well-regarded and accepted findings of Tyler and others relating to procedural justice. Creutzfeldt goes on to explore this puzzle by combining an analysis of the rapidly developing literature on procedural justice and legal consciousness with the empirical findings from her study of Ombudsmen in the UK and Germany. This study is engrossing. It looks at national patterns and cross-national comparisons of private ombuds in the UK and Germany, and at the public/private divide in the UK by looking at a sample of ombuds from each sector.
Findings include that German and UK complainants have different complaint motivations – with the former being more focused on getting back their money/what was lawfully theirs, and the latter being more concerned about changing the business process and stopping the same problem from happening to others. And that German respondents to the survey were more likely to accept a decision if the outcome was partially or not in their favour.
‘German and UK complainants have different complaint motivations – with the former being more focused on getting back their money/what was lawfully theirs, and the latter being more concerned about changing the business process and stopping the same problem from happening to others.’
When considering private and public ombuds in the UK, the study finds that those who have used a private-sector ombuds appear to trust it more, are more convinced that the ombuds is acting lawfully, have more confidence in the ombuds and feel a moral obligation to follow the decision. Creutzfeldt relates these findings to the different attitudes to law and ADR in Germany and the UK, with UK ombuds providing a less formal and less legalistic process than their German counterparts. She writes well and convincingly about legal socialisation, but I question to what extent people actually choose their preferred way of dispute resolution. Often, in the UK at least, people have no real choice as complaints processes – at least in the public sector – lead inexorably to an ombuds.
In the final Chapter (9 Conclusion: Paths for Theory and Research) Creutzfeldt describes how throughout the book she has developed an argument that “our consciousness around ‘alternatives’ to formal legality is rooted in our national legal socialisation and lived (and constantly redefined) through our legal consciousness”. She also suggests that our expectations about ADR are guided by our pre-existing attitudes towards the formal system. It would be illuminating to explore these expectations both before and after the use of an ADR process, to see whether they are altered or reinforced. The book ends with reflections on the future development of ADR in Europe around three related areas: Ombudsmen and ADR Design, vulnerable consumers and the challenges of the digital.
I think this book will be of interest to researchers, students and practitioners who work for or have an interest in ombuds. I found Chapter 2, with its concise and informative summary of Europe’s Justice Systems, to be of particular value, although as an adopted Scot I would have liked to have seen a bit more about our own system of justice. I also welcomed the clarity and explanation around what ombuds are and do, and in Chapter 6 there is a useful identification and description of the normative roles that people expect of ombuds (these being the roles of Interpreter, Advocate, Ally and Instrument).
If you would like to read a different review of this book, then my esteemed colleague Nick O’Brien has one published on the UKAJI website. We are thinking about starting an Administrative Justice Book Club.
And a remaining puzzle for me relates to the book cover image – what appears to be an old, battered and apparently empty suitcase. What does this signify? Answers on a postcard.
Naomi Creutzfeldt, Ombudsmen and ADR: A Comparative Study of Informal Justice in Europe (Palgrave Macmillan, 2018).
About the author:
Carolyn Hirst is an Independent Dispute Resolver and Housing Mediation Project Worker, University of Strathclyde.
How do complaints affect those complained about? (And what can we do about it?)
Posted: June 4, 2018 Filed under: complaints, Local authorities, research | Tags: Hirstworks, Local authorities, Queen Margaret University, University of Glasgow 1 Comment
By Carolyn Hirst and Chris Gill
In December 2017 we published a report, ‘Effects of Complaints Report 15 December 2017 Final‘, setting out the findings of a small mixed-methods research study investigating the effects of complaints on those who have been complained about.
Our research team comprised Chris Gill (a Lecturer in Public Law at the University of Glasgow), Carolyn Hirst (an independent Consultant and Researcher), Maria Sapouna (Programme Leader of the University of the West of Scotland’s Master of Public Administration and Lecturer in Criminal Justice) and Jane Williams (Senior Lecturer in Dispute Resolution at Queen Margaret University).
Aims of the study
The aim of our study was to investigate the effects that complaints have on public service employees. Our objectives were to:
- identify the range of effects (relating to health, well-being, and professional practice) arising from employees being subject to a complaint; and
- identify the extent to which employees feel included and supported by their organisation when they are complained against and the support mechanisms (if any) which are available.
We knew that most research on complaints had focused on complainants and how they experience complaint processes. Relatively little attention had been paid to the way in which complaints are experienced by employees. Also, existing research in this area was predominantly confined to the health sector. This literature shows that complaints can have a significant impact on the health, well-being and work practice of medical staff. To date, however, there had been no exploration of how other areas of public administration and service might be affected by complaints.
“The process by which the potential impact of complaints tended to reduce with experience was described as developing a ‘thicker skin’ and becoming ‘battle worn’, ‘immune’, and ‘inured’ to complaints.”
We decided to look in this study at the complaints experienced in local authority planning departments and housing associations. This was because they represented contrasting areas of public service provision across the following dimensions: types of service users, statutory function and context, and both public and independent sector service provision.
These sectors were also chosen because they had relatively high levels of complaints to the Scottish Public Services Ombudsman and, therefore, represented areas where complaints were likely to be an important issue for staff.
“A strong theme in the interviews was that it was important for the complaint process to allow employees to tell their side of the story and to be listened to.”
Our research methodology, including its design and limitations, is detailed in our report Essentially, we carried out an online survey of 132 individuals who had been subject to a complaint and follow-up qualitative interviews with 16 people who had responded to the survey.
Key findings
The key finding of our research was that being complained about affects the health and well-being of these employees, their work practice, and the way they perceive service users.
71% reported their work practice was negatively affected by a complaint, 67.2% reported their health and well-being was affected, and 61.2% reported their attitude to service users being affected.
Our study also looked at organisational context, the nature of the complaint and complainant, the nature of the complaint process and the nature of the support provided – and again these are set out in detail in the report along with anonymised quotes from respondents.
“I think there have been a couple of instances where peoples’ personal Facebook pages have then been found by people who are complaining, and then what is a complaint about their professional life then spills over into their personal life. And sometimes – they’re called keyboard warriors, the people who comment on social media, they can be quite aggressive… for the individual who’s bearing the brunt of that through social media, you can’t be certain, and there’s a certain sense of threat that might exist there.”
In addition to our key finding about the impact of being complained about, other findings from our study were that:
- For most of those who are affected, the effects are moderate, although for a small minority the effects are severe and can be long lasting.
- Important effects of complaints include emotional trauma, loss of confidence, double-checking work, avoiding certain tasks, and being more cautious and distrustful of service users.
- Attitudes to learning from complaints remained surprisingly positive, even where people had had negative individual experiences.
- Organisational context is important in terms of the effects that complaints have, with planning staff more likely to report effects on work practice than housing staff.
- Factors that appear to explain the likelihood that complaints will have a negative effect include the level of experience of the member of staff, whether the complaint is perceived as personal, whether the complaint is perceived as an attack on professionalism and whether the complainant is perceived as vexatious.
- The complaint process was generally seen to operate fairly, although those who had been affected negatively by a complaint had a more negative view of the complaint process than those who were not affected.
- Various aspects of the complaint process were seen as problematic by those who had been negatively affected by a complaint, including perceptions that complaint processes favour customers and are open to abuse by vexatious complainants, that there is a lack of information about, and involvement in, complaint processes, that processes are lengthy and communication is poor, and that complaint processes can lack impartiality and cause conflict between colleagues.
- Support may be particularly required for more junior staff, and measures seen as potentially helpful include developing a positive culture around learning from complaints, managerial support, peer discussion and support, and ensuring the complaint process operates fairly.
So what next?
We have some funding from the University of Glasgow to translate the findings of this research project into practical resources. Our plan is to produce a short guidance document which will outline our key research findings, highlight the importance of the issue and recommend key measures to public service providers.
We will also produce a Model Policy Document on the approaches and actions which all public sector providers could take to help them support staff who have been complained about. This can be adapted and adopted to suit.
And we need your help to produce this Model Policy. What we are looking for are examples of what has worked in practice to support staff in these situations – and the type of actions which might be helpful.
We would like to hear from both those who have been complained about and those who have a role in supporting them – and ask that you contact cahirstworks@aol.com before 29 June 2018 if you would like to contribute to this work.
You can find our Report at: https://esrcjustenergy.files.wordpress.com/2018/01/how-do-complaints-affect-those-complained-about.pdf
About the authors:
Chris Gill is a Lecturer in Public Law at the University of Glasgow. Carolyn Hirst is an independent Consultant and Researcher at Hirstworks.
Research Report: How do complaints affect those complained about?
Posted: January 2, 2018 Filed under: complaints, research | Tags: Queen Margaret University, Scottish Public Services Ombudsman, University of Glasgow Leave a comment
A recent research report highlights the impact that complaints have on public-sector employees and their well-being. The researchers, from Queen Margaret University and the University of Glasgow, worked with the Scottish Public Services Ombudsman to design the research. Here, one of the report’s co-authors (and co-researcher on the Informal Resolution by Ombuds project) describes the key findings and the discussion held at a related conference on how to support individuals who are subject to complaints.
Note: This article was originally posted by Carolyn Hirst on LinkedIn on 19 December 2017 at: https://www.linkedin.com/pulse/research-report-how-do-complaints-affect-those-complained-hirst
By Carolyn Hirst
I am delighted to have had the opportunity to work with Dr Chris Gill, University of Glasgow, Dr Maria Sapouna, University of West of Scotland and Jane Williams, Queen Margaret University on this empirical investigation into the effects of complaints on public service employees. We also worked closely with the Scottish Public Services Ombudsman who advised us on the research design and helped us to secure access to respondents.
The Executive Summary of our Research Report is set out below:
Executive Summary
This report presents the findings of a mixed methods research project investigating the effects of complaints on local authority planning staff and housing association staff in Scotland. The research included an online survey of 132 individuals who had been subject to a complaint and follow-up qualitative interviews with 16 people who had responded to the survey.
The key finding of the research was that being complained about affects the health and well-being of employees, their work practice, and the way they perceive service users. 71% reported their work practice was negatively affected by a complaint, 67.2% reported their health and well-being was affected, and 61.2% reported their attitude to service users being affected.
For most, the effects were moderate and respondents were most likely to say they had been “somewhat” affected: 56.5% in relation to their work practice, 51.6% in relation to their health and well-being, and 52% in relation to their attitude to service users. In relation to each issue, a significant minority reported being affected “a great deal” by a complaint: 14.5% in relation to their work practice, 15.6% in relation to their health and well-being, and 9.4% in relation to their attitude to service users.
Of those who reported that their attitude to service users had been negatively affected by the complaint, the three most common effects were being more cautious in dealing with certain types of service users (66.7%), being more cautious and distrustful towards service users generally (29.8%), and leaving certain service users to be dealt with by colleagues (12%).
This overall picture was explored further in qualitative interviews. These interviews provided a range of insights about the kinds of effects people experienced when complained about and the factors that seemed important in determining whether they would experience a negative impact.
The types of effects commonly reported by respondents included emotional trauma and loss of selfconfidence. Experience was seen as important in moderating the effect of complaints, with more experienced employees developing a ‘thick skin’ over time. Interestingly, attitudes to learning from complaints remained generally positive even where people had negative personal experiences of having been complained about.
Factors that made it more likely that a complaint would have an effect on staff included: perceiving the complaint as personal (rather than about service or the organisation); perceiving the complaint as an attack on the individual’s professional identity; and perceiving the complainant’s motivation as vexatious or unreasonable. Context was also important, with planning staff more likely to be affected than housing staff.
The operation of the complaint process was particularly important in terms of whether staff were likely to feel a complaint had affected them negatively.
Overall, views of the complaint process were fairly positive, but those who reported being negatively affected by a complaint were more likely to have a negative view of the fairness of the complaint process.
In terms of the support that respondents felt would help mitigate the negative effects of being complained about, some felt that complaints were simply ‘part of the job’ and that support was generally not required except for junior staff. Others highlighted developing an open culture around complaints, managerial support, peer support, and a fair complaint process, as means through which the impact of complaints could be reduced.
Our full Report can be accessed at:
And we presented our research findings at a conference organised by the Scottish Public Services Ombudsman, Queen Margaret University and the University of Glasgow which took place on Tuesday 5 December 2017. This conference explored how best to support public service employees who have been subject to a complaint. A note of the sessions at this conference can be found at:
Ombuds Research 