Public Services Ombudsman for Wales

Invitation to Tender for Independent Review Service for Customer Complaints

July 2015

Contents 1.

Overview of Public Services Ombudsman for Wales (PSOW) ................................. 3

2. Independent Review Service for Customer Complaints (IRSCC) – Background and Scope ............................................................................................................................ 3 2.1

Key Responsibilities ............................................................................................ 4

3.

Invitation to Tender Response ................................................................................... 4

4.

Contract Terms ........................................................................................................... 5 4.1 4.2 4.3

Length of contract ............................................................................................... 5 Location .............................................................................................................. 5 Confidentiality ..................................................................................................... 5

5.

Pricing ......................................................................................................................... 5

6.

ITT Process ................................................................................................................. 6 6.1 6.2

Questions ........................................................................................................... 6 Proposal Submission .......................................................................................... 6

7.

Evaluation Process and Criteria ................................................................................ 7

8.

ITT Terms and Conditions .......................................................................................... 7 8.1 8.2 8.3

9

Confidentiality ..................................................................................................... 7 Legal Disclaimer ................................................................................................. 7 Use of Information .............................................................................................. 7

Timeline ....................................................................................................................... 7

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1.

Overview of Public Services Ombudsman for Wales

The office was established under the Public Services Ombudsman (Wales) Act 2005 and has two specific roles. The first is to consider complaints made by members of the public that they have suffered hardship or injustice through maladministration or service failure on the part of a body in jurisdiction. The second role is to consider complaints that members of local authorities have breached the Code of Conduct. Bodies within the jurisdiction of the Public Services Ombudsman for Wales (PSOW) include local councils, the National Health Service, housing associations, social care providers and the Welsh Government. The office can investigate complaints made by members of the public that they have suffered hardship or injustice through maladministration or service failure. The Ombudsman is an independent public official appointed by HM The Queen on the nomination of the National Assembly for Wales. Around 55 staff work with the Ombudsman and are based at offices in Pencoed, near Bridgend. The Ombudsman prepares an Annual Report which is laid before the National Assembly for Wales. This is available on the PSOW website. Further information about the PSOW can be found at: www.ombudsman-wales.org.uk

2. Independent Review Service for Customer Complaints (IRSCC) – Background and Scope The Ombudsman is inviting tenders for the provision of an Independent Review Service for Customer Complaints. The provider of this service will review customer service complaints about the PSOW and report findings and conclusions to the Ombudsman and the complainant. The Ombudsman takes any complaints, about the service he provides, very seriously and he aims to address any areas where the standard of service is lower than it should be. This includes the handling of complaints made about PSOW’s services. Where the Ombudsman receives complaints about the services provided by PSOW, he will firstly seek to resolve matters informally (Stage 1). If this is not possible a formal process will be followed, which involves investigation by the Corporate Services Manager or other manager nominated by the Chief Operating Officer (Stage 2). If a complainant remains unhappy about the response to their formal service complaint at Stage 2, they have the right to seek an independent review through the IRSCC. The IRSCC is a nonstatutory stage that is being established voluntarily by the PSOW to ensure that there are robust arrangements to consider and learn from customer service complaints. The IRSCC will be responsible for investigating and responding to complaints about the service provided by the PSOW in the carrying out of its statutory functions to investigate complaints of maladministration and service failure about public bodies in Wales and to investigate alleged breach(es) of the Code of Conduct by members of local authorities. The IRSCC role is limited to complaints about service failure, including failure to meet PSOW’s service standards. Matters related to the PSOW decision or basis for that decision (including evidence gathered to make that decision) are not issues within the IRSCC remit. Any disagreement with the basis of a PSOW decision is for the Ombudsman to consider through a separate request for review process, subject to the criteria applicable to these requests. The IRSCC will only handle complaints where the PSOW itself has attempted resolution and responded to the complainant through its internal complaints handling arrangements. Where a customer approaches the IRSCC with a complaint which hasn’t been handled through the PSOW’s Page 3 of 7

internal arrangements this should be directed to the PSOW for handling, unless PSOW agrees that there are factors involved which make it unreasonable to do so. In addition to considering complaints about the service provided, the IRSCC will also consider the manner in which the complaint has been handled, including whether PSOW has handled the complaint in line with its complaints handling procedure. Information on the PSOW’s complaints handling can be found on the PSOW website. www.ombudsman-wales.org.uk The IRSCC will be accountable to the Ombudsman, without compromising the independence of the IRSCC role, and will also report to the PSOW’s Audit and Risk Assurance Committee or Advisory Panel on an annual basis. 2.1 Key Responsibilities The IRSCC will be responsible for investigating and responding to complaints about the service provided by the PSOW in the carrying out of its statutory function to investigate complaints of maladministration and service failure about public bodies in Wales, and alleged breaches of the Code of Conduct. The IRSCC will aim to contact complainants within 3 days of contact and reply in full within 30 working days of receipt of the complaint. Where this is not possible the IRSCC will explain this to the complainant and set a clear timescale for further progress with the case. For the purpose of the IRSCC’s work, they will have access to all relevant files. The review of complaints may involve analysing internal and external correspondence and interviewing complainants and relevant staff where this is appropriate. The IRSCC will be required to issue a final report to the complainant and the Ombudsman with recommendations relating to PSOW service provision, including, for example, any recommended improvements to processes and procedures. The IRSCC will be required to produce a 6-month summary of complaints handling for consideration by the Management Team. Each financial year the IRSCC will be required to produce a formal report about their work on complaints in the previous year for inclusion in the PSOW’s Annual Report. The first report will be required on 1 May 2016, reporting on the period from the point of award of contract to the end of March 2016. This should include trends, recurrent failures or weaknesses identified in the PSOW complaints procedure. The IRSCC may be asked by the Ombudsman to undertake further work in relation their findings. The scope of this would be determined by the Ombudsman.

3.

Invitation to Tender Response

Your proposal should include: 

a sample report reviewing the service delivery aspects of a mock case, based on those which you have produced for previous clients or an employer (de-personalised). This is so that we can get an insight in to the likely format of the reports that you will produce for us;



details of what quality assurance procedures you have or would put in place to ensure that you deliver a consistent, high quality service;



details of relevant experience including evidence of a history of effective complaint resolution;

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

your CV highlighting relevant skills, experience and training in relation to handling complaints, and advising on and driving continuous improvement in customer service delivery;



details of three referees who can give references on similar and relevant work you have done elsewhere;



our expectation is that we will be dealing with one dedicated IRSCC throughout the duration of the contract. Resource should not be substituted without prior written consent from the PSOW. Please confirm that you are able to satisfy this requirement;



also please advise if you are aware of any conflict of interest in providing services to the PSOW;



please advise if you are self employed or if the submission is on behalf of a company; and



please also advise what level of Professional Indemnity Insurance and Public Liability Insurance cover you / your company has in place.

4.

Contract Terms

4.1 Length of contract The contract will be for a two year term, commencing 1 October 2015 with the option to extend to a total of three years by mutual agreement. 4.2 Location It is expected that investigation work will generally be undertaken remotely using electronic records and telephone / video interviews. Electronic copies of relevant records, recordings etc will be made available to the IRSCC. Office space can however be made available within the PSOW’s office in Pencoed if and when required for the review of complaints referred to the IRSCC. 4.3 Confidentiality All records, working papers, reports and other information held by the IRSCC in fulfilling this contract will remain the property of the PSOW. At the end of the contract all applicable paperwork must be returned to the PSOW or disposed of in a manner agreed by PSOW. Any records (paper and electronic) must be securely stored with appropriate security measures in place. Disposal of any hard copy documents must be in a manner agreed by PSOW. The IRSCC is responsible for ensuring any records are thoroughly removed from any computers, servers, hard disks before any of these are disposed of. The IRSCC will be required to comply with the Ombudsman’s Information Security Policy, a copy of which will be made available. The IRSCC must undertake not to publish or communicate the results or content of any of their work to anyone other than the PSOW and the complainant. This undertaking continues beyond the life of the contract. Any breach of confidentiality of contract or of restricted information will constitute a material breach of contract and enable the Ombudsman to terminate the contract.

5.

Pricing

All pricing should be submitted in GBP. Rates will be fixed for the duration of the contract.

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A day rate and a half day rate should be provided (based on a seven hour working day). VAT (if applicable) should be identified separately. It is anticipated that the work will be conducted at the IRSCC’s own premises or, where necessary, at our offices in Pencoed. The day rate is to include any overheads and office expenses. No additional office expenses will be paid for this work. Where PSOW agrees in advance that in a particular case attendance at PSOW offices, or a visit to a complainant, is required reasonable travel expenses may be agreed. There is no guaranteed level of work under this arrangement, which is by definition responsive to demand.

6.

Invitation to Tender (ITT) Process

6.1 Questions Any questions relating to this ITT should be sent via e-mail to [email protected] and [email protected] 6.2 Proposal Submission Your response should include: 

Table of Contents (with corresponding page numbers relating to the proposal)



Executive Summary A brief summary demonstrating your understanding of the PSOW’s requirements and the day rate and half day rates in GBP for the duration of the contract term.



Main Response To aid the evaluation process you should ensure that your response is in the format outlined below: Schedule 1:

Approach (as per section 3) Sample Report (De-personalised) Details of Quality assurance procedures Relevant Experience Curriculum Vitae highlighting relevant skills, experience and training details of three referees who can give references on similar and relevant work you have done elsewhere; Confirmation of dedicated resource Statement re: Conflict of Interest Confirmation of status – self-employed or employee of a company Details of Professional Indemnity and Public Liability Insurance cover

Schedule 2:

Pricing (as per section 5)

Please clearly state any assumptions you have made in formulating your proposal. Your proposal must be sent via e-mail to [email protected] by close of business (1700 hours) on the Friday 4 September 2015. The subject header should be: TENDER DOCUMENT: Independent Review Service for Customer Complaints

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7.

Evaluation Process and Criteria

Upon receipt the PSOW will review and evaluate the proposal. clarification if there are questions concerning the proposal.

The PSOW may request

Proposals will be evaluated on:  understanding of the PSOW’s requirements;  quality of draft sample report;  evidence of quality management procedures;  skills and relevant experience in relation to complaint resolution, complaint handling and continuous improvement in customer service standards;  references;  meetings with reviewers (those that are short-listed, if appropriate); and  value for money.

8.

ITT Terms and Conditions

8.1 Confidentiality The IRSCC will not issue any public statements or otherwise disclose any information concerning this ITT, the process and its participation in the process without the prior written approval of the PSOW. 8.2 Legal Disclaimer This ITT is an invitation to propose and does not in any manner create an offer or other obligation on the part of the PSOW to enter into any contract. All expenses and costs incurred by the IRSCC in completing, submitting and delivering the bids, together with any costs incurred during the post tender stage, will be to the adjudicator’s account. The PSOW are not bound to accept the lowest or any bid. 8.3 Use of Information This ITT and any other information furnished hereunder shall be used solely for the purpose of responding to this ITT. Reproduction of any part of this ITT is authorised only to the extent necessary for the preparation of your response. The IRSCC shall ensure that all such copies are destroyed when no longer required in connection with this ITT. The above shall supersede any confidentiality agreements between the PSOW and the IRSCC.

9

Timeline

An indicative timetable is outlined below. The PSOW reserves the right to amend the dates if required:

Response Due Date

1700 hours on 4 Sept 2015 7 – 11 Sept 2015

Tender Analysis Interview with short-listed Service Delivery Reviewers

Dates to be agreed

Award contract subject to agreeing terms and conditions

By 1 October 2015

Contract start date

1 October 2015

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