Trusting the middle-man: Impact and Legitimacy of Ombudsmen in Europe

Lead Research Organisation: University of Westminster
Department Name: Faculty of Social Sciences & Humanities

Abstract

The office of ombudsman has become increasingly popular over recent decades to the point where it is now a highly significant and permanent feature of the legal systems in many parts of the world. As a method to solve disputes outside of the courts, ombudsman systems deal with many cases per year in both public and private sectors. Although originally established in the public sector, as a link between citizens and government institutions, the ombudsman model has, in many countries, now been adopted by the private sector too.

The ombudsman landscape throughout EU member states presents a variety of institutional and jurisdictional arrangements, operational styles and decision-making processes. Although this poses some challenges in being able to conceptualise a unified ombudsman institution, it offers distinct advantages for the study of the relationship between decision-making practices on the part of ombudsmen and perceptions of procedural justice and levels of trust on the part of users across different jurisdictions and cultures.

Despite the significance of ombudsmen to our constitutional and civil justice landscapes, very little is known about users' perceptions of the fairness of their procedures and practices and the significance of these perceptions for levels of trust in particular ombudsman offices.
This project will fill this gap, providing important data and knowledge which will be directly relevant to the development of national policies and EU level multiple networks of policy-making.

Planned Impact

Because the research addresses public attitudes to and use of ombudsmen, it will impact on and be pertinent to the public, to consumer groups, to ombudsmen, and to policy makers at national and EU level. Academic debate will be encouraged to engage in collaboration with practitioners and representatives of the public. This is very important for countries such as Germany and Greece where private sector ombudsmen are not noticeably established yet.

Academic impact

This project will contribute to further understanding of and advance the academic debate about the importance of the role of the Ombudsman and users' perceptions of the complaints process. It will create new datasets that the applicant will make available for further research in this area.
This project will progress the applicants' career by providing an opportunity to share and disseminate the findings to a broad audience, enhancing the chance to become a future leader in this field of expertise.


Policy makers

EU level requirements for member states to have alternative dispute resolution mechanisms in place to ensure consumer protection (ADR directive and ODR regulation, proposed 2011, will be passed late 2012) are a high priority. Therefore, this proposed study will feed directly into the needed knowledge base about different ombudsman systems and their users.

Business

This research is of benefit to business as it could help reduce costs associated with litigation, reduce potential reputational damage due to litigation, and provide a possible route through for their disputes with government and EU regulation. The applicant will elaborate on how these stakeholders will learn about this research in the impact plan.

Public

The public dissemination of the research will continue to inform public debate and awareness of how best to use an ombudsman. This will contribute to and improve conceptual impact as well as instrumental impact.
 
Description the research conducted during this grant led to several discoveries:
1. ombudsmen and ADR don't provide access to justice to all (as they are set out to);
2. a certain demographic uses ombudsmen (male, middle-aged, educated, white);
3. the first contact between a consumer and the ombudsman is crucial in determining the perception of the entire complaint process;
4. there are cultural differences in the expectation towards ombudsmen.
These findings led to the ombudsman changing their process with more focus on training frontline staff better. The findings also led to another ESRC grant investigating why vulnerable and energy poor people cannot access justice.
Exploitation Route there is a large dataset that can be used as a tool - it is unique as it has over 3000 responses of users of ombudsmen in 3 different countries. Quantitative tests on procedural justice and qualitative explorations can be done on the dataset, for example. Many reports and publications can assist in understanding cultural differences in disputing behaviour.
Sectors Communities and Social Services/Policy,Energy,Financial Services, and Management Consultancy,Government, Democracy and Justice,Retail,Transport
URL https://www.law.ox.ac.uk/trusting-middle-man-impact-and-legitimacy-ombudsmen-europe
 
Description Conference on Access to Justice and Legal Services, London 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Other academic audiences (collaborators, peers etc.)
Results and Impact my talk stimulated a lively debate and I got very interesting feedback from international scholars - I was given a good slot by the conference organises and was luck enough to address the whole conference, rather than small parallel sessions.

I had a lot of interested colleagues approaching me after my talk for follow up and sharing experiences.
Year(s) Of Engagement Activity Pre-2006,2014
URL http://www.ucl.ac.uk/laws/socio-legal/index.shtml?events
 
Description ESRC Just Energy Project Meets Key Stakeholders in Warrington 
Form Of Engagement Activity Participation in an activity, workshop or similar
Part Of Official Scheme? No
Geographic Reach National
Primary Audience Professional Practitioners
Results and Impact Naomi and Chris met with key stakeholders from the National Energy Ombudsman Network (NEON) in Warrington on 10 and 11 October.
This included a networking dinner on 10 October, at which we met ombuds practitioners from Romania, France, Ireland, Belgium, Malta, and the United Kingdom.

This was an opportunity to provide information about the ESRC Just Energy project and to begin the process of collecting project data.

Following on from this event, Naomi and Chris will begin working with NEON members to complete a mapping exercise, establishing baseline data on access to justice for energy consumers in vulnerable circumstances across European jurisdictions.
While in Warrington, the ESRC Just Energy project also made contact with Harriet Thompson, from the European Energy Poverty Observatory (EPOV). We identified a number of synergies between our projects and the work of EPOV and we look forward to contributing to its very important work as our research develops.
Year(s) Of Engagement Activity 2017
 
Description ESRC Just Energy project attends launch of the European Union Energy Poverty Observatory 
Form Of Engagement Activity A formal working group, expert panel or dialogue
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Policymakers/politicians
Results and Impact Naomi and Marine Cornelis attended the launch of the European Union Energy Poverty Observatory in Brussels yesterday. Marine has recently joined our project as a consultant and is providing us with expert policy research and analysis.The launch event provided stakeholders and the wider public with information on the objectives and instruments of the Observatory and was an opportunity to obtain feedback on their expectations of it. Marine was one of the speakers and addressed the event in her capacity as General Secretary of the National Energy Ombudsman Network (NEON). Marine highlighted the key role of ombuds and ADR schemes in tackling energy poverty. She discussed the role of ombuds, noting that they are not judges, but they act like whistleblowers, they hear, they care and they report the issues and have a crucial mission to steer the sector and influence policymakers and regulators. Marine also highlighted Naomi's previous research on ADR and the lessons that could be drawn from that.
Year(s) Of Engagement Activity 2018
URL https://esrcjustenergy.wordpress.com/blog/
 
Description LSA conference Minneapolis 
Form Of Engagement Activity A formal working group, expert panel or dialogue
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Other academic audiences (collaborators, peers etc.)
Results and Impact this annual international conference on Law and Society was very helpful to get my research known in the international academic world and I had a lot of interest.

The most notable impact was to get my project known to the most distinguished American academics in my field - I had the opportunity to discuss my work with them and have continued interest from them. I have invited them (Tom Tyler, Rebecca Hollander-Blumhoff, Susan Silbey and Sally Merry) to Oxford next year for a conference. This has led to more interest from academics they have referred me to.
Year(s) Of Engagement Activity 2014
URL http://www.lawandsociety.org/minneapolis2014/Minneapolis2014.html
 
Description Naomi speaking at event marking 2 years of obligatory ADR for French consumers 
Form Of Engagement Activity Participation in an activity, workshop or similar
Part Of Official Scheme? No
Geographic Reach National
Primary Audience Professional Practitioners
Results and Impact Naomi will be addressing an exchange workshop taking stock of ADR in France, two years after the implementation of the ADR directive across Europe.

The event is being organised by the French energy ADR body (le médiateur national de l'énergie) in order to exchange views on consumer ADR in France and Europe on this two year anniversary.

Naomi will be discussing her research on how consumers perceive the ADR process and the degree to which it engenders trust and is seen as legitimate. She will also outline the ESRC Just Energy project and describe what the project aims to achieve over the next three years and how it will benefit stakeholders and consumers in the European energy sector.

The event will also be an opportunity to connect with key European stakeholders interested in ADR and access to justice in the energy sector.

For full details of the event and other speakers involved, the full programme can be accessed here: http://www.energie-mediateur.fr/2-ans-de-mediation-de-consommation/
Year(s) Of Engagement Activity 2018
URL http://www.energie-mediateur.fr/2-ans-de-mediation-de-consommation/
 
Description Naomi speaks at event marking 50 years of ombuds in the UK 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach National
Primary Audience Professional Practitioners
Results and Impact On 4 December 2017, Rob Behrens gave the inaugural lecture "Looking back to look forward: celebrating 50 years of the Parliamentary and Health Services Ombudsman (PHSO) and a glimpse into the future" hosted by the Institute of Public Affairs at the London School of Economics.

Rob shared reflections on what can be learned from 50 years of the PHSO being in operation, and on the challenges which the PHSO and the wider ombuds community face now and in the future.

Naomi responded raising issues about the shift in understanding and expectations of the ombudsman - where citizens have stronger opinions about what the state, public services, its agencies, and ombuds ought to deliver.

Naomi questioned the idea of an "ombuds brand" - is there such a thing as a clearly identifiable ombuds ideal-type?

And how can ombuds respond to their users' needs and expectations if those are typically not matched with what an ombuds is meant to deliver?

Naomi shared some insights from her empirical findings of ombuds users (public and private), which considered issues of timeliness, trust, and fairness. Finally, she discussed some findings of the 'ombuds watchers' project that she and Chris conducted, looking at groups campaigning for ombuds reform.

The event was well attended by a mix of ombuds, academics, lawyers, and complainants.
Year(s) Of Engagement Activity 2017
 
Description Ombudsman Association Conference Manchester 
Form Of Engagement Activity A formal working group, expert panel or dialogue
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Professional Practitioners
Results and Impact I am an individual member of the Ombudsman Association and was invited to comment and contribute to the season on consumer ADR directive. It was a great opportunity to engage with the Ombudsman community and to keep on their radar as well as inviting them to our conference.

the main impact was networking, maintaining relationships and meeting other ombudspeople from the UK and internationally.

I was asked to contribute at the next conference and tell the ombudsman community about my research.
Year(s) Of Engagement Activity 2014
 
Description SLSA conference Aberdeen 
Form Of Engagement Activity A formal working group, expert panel or dialogue
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Other academic audiences (collaborators, peers etc.)
Results and Impact my paper produced an interesting discussion as to where the place of ADR is in the administrative justice landscape.

The main impact was to make people aware of my project.

I also got voted onto the executive committee of the SLSA.
Year(s) Of Engagement Activity 2014
URL http://www.slsa.ac.uk/images/slsadownloads/events/SLSA2014RGU.pdf
 
Description Understanding the user perspective of justice systems 
Form Of Engagement Activity A formal working group, expert panel or dialogue
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Professional Practitioners
Results and Impact Naomi spoke today at the European Law Institute (ELI) annual conference in Vienna. Her panel discussed the preliminary findings of the joint ELI-ENCJ Project on the Principled Relationship of Formal and Informal Justice through the Courts and Alternative Dispute Resolution.The Project has already consulted on the risks arising from different methods of ADR, and the relationship between court-based and non-court-based dispute resolution processes. It also consulted on a code of good practice as to what courts and judges need to assess when considering or requiring the parties to participate in an ADR process. The feedback received will be analysed and further discussed during the panel. The Project Team will present its final report at the end of 2017.

Naomi, drawing upon empirical data, outlined the importance of taking the user perspective into account when designing ADR - especially thinking about access to justice and how vulnerable users can be integrated into the process. Further, the complex relationship between the courts and ADR needs to be understood though the lens of the national context as well as the type of dispute being talked about.

Not all ADR is the same!

A copy of the conference programme is available to download here: Conference Brochure.
Year(s) Of Engagement Activity 2017
URL https://esrcjustenergy.files.wordpress.com/2017/09/conference_brochure_2017_web.pdf
 
Description annual ADR conference in Oxford 
Form Of Engagement Activity Scientific meeting (conference/symposium etc.)
Part Of Official Scheme? No
Type Of Presentation paper presentation
Geographic Reach International
Primary Audience Policymakers/politicians
Results and Impact together with Prof Chris Hodges I have been organising an annual consumer ADR conference in Oxford. The audience is mainly practitioners, policy makers, government officials and academics from many European Union member states.

Our conference has become a very popular event and the ADR community in Europe comes to exchange information, update on their count ire's status quo on consumer ADR. it is a lively event where all learn a lot from each other.
Year(s) Of Engagement Activity 2013,2014
URL http://www.csls.ox.ac.uk/past_confs.php
 
Description conference Maastricht 
Form Of Engagement Activity A talk or presentation
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Other academic audiences (collaborators, peers etc.)
Results and Impact my presentation made people aware of my project and the topic area which they had not head much about before that.

I was asked to provide a chapter to contribute to a conference publication. I have had some follow-up questions and invitations to other academic conferences.
Year(s) Of Engagement Activity 2013
URL http://www.csls.ox.ac.uk/documents/ERPL_22-3_DamlaCavusogluLotteMeurkens.pdf
 
Description conferenence image(s) of the consumer Oxford 
Form Of Engagement Activity Participation in an activity, workshop or similar
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Other academic audiences (collaborators, peers etc.)
Results and Impact I attended an academic conference that colleagues invited me to attend - I made some excellent contacts relating to my research on ombudsmen.

The main impact was that I met a colleague of the retired Polish Ombudsperson and a few months later had her on the phone, discussion my project and opening the doors for interviews in Poland.
Year(s) Of Engagement Activity 2014
URL http://www.law.ox.ac.uk/event=12668
 
Description ombudsman workshop 
Form Of Engagement Activity A formal working group, expert panel or dialogue
Part Of Official Scheme? No
Geographic Reach National
Primary Audience Professional Practitioners
Results and Impact I held a workshop / conference in April 2014 at which ombudsmen, representatives of business and consumer groups, and academics met to consider how the legislation will affect ombudsman and alternative dispute resolution (ADR) schemes, how to evaluate the effectiveness of such schemes, and how best to adapt to the evolving policy environment and more demanding consumer expectations.
It created a platform for exchange that was highly welcomed by the participants - it allowed engagement between academics and practitioners.

The policy brief we provided after the event was widely distributed and acknowledged as helpful, we created a network for people to connect and engage with each other.
A lot of feedback from practitioners especially, on how informative and important this exchange was for future work.
Year(s) Of Engagement Activity 2014
URL http://www.fljs.org/events/ombudsmen-workshop
 
Description workshop Madrid 'International Symposium The Role of Consumer ADR in the Administration of Justice' 
Form Of Engagement Activity A formal working group, expert panel or dialogue
Part Of Official Scheme? No
Geographic Reach International
Primary Audience Other academic audiences (collaborators, peers etc.)
Results and Impact this funded expert workshop was intended to get a better understanding of the state of consumer ADR in the administration of justice - an expert panel of various EU member states was present and exchanged views on access to justice.

the main impact was information exchange and making people aware of my work - there were subsequent invitations to speak at other events.
Year(s) Of Engagement Activity 2013