CHAPTER 1 | Ombudsman's review

The past year has been one of achievement and challenge for the Ombudsman’s office. The essential business of the office is to handle complaints and enquiries from members of the public about government administrative action. The objective, captured in the office’s outcome, is that ‘administrative action by Australian Government agencies is fair and accountable’. We meet that objective by helping people to resolve complaints, by fostering improved public administration and by focusing on integrity and legislative compliance in agency administration.

Fair and accountable public administration is a fundamental aspect of a free and democratic society. The right to complain about government to an independent agency is an expression of the individual’s democratic rights in relation to government. The exercise of this right minimises the inequality of power, resourcesand information between individuals andgovernment.

The services of the Ombudsman’s office areprovided free to the public. In 2007–08 we handled approaches and complaints about110 Australian Government departments and agencies within our jurisdiction. In short, the office provides a low-cost option to strengthen public administration and to help maintain and improve social justice in Australia.

‘In 2007–08 we handled approachesand complaints about 110Australian Government departments and agencies …’

Complaints

In 2007–08 we received 39,932 approaches and complaints, including requests for information and complaints about organisations and matters that are out of jurisdiction. This was a 20% increase over that recorded in 2006–07. There was a 9% increase in the number of approaches and complaints received about agencies which are in our jurisdiction, with the number increasing from 18,003 in 2006–07 to 19,621 in 2007–08.

This increase demonstrates the confidence which the public has in the office. It also indicates that, no matter how much agencies work to improve their administration, problems inevitably arise.

During 2007–08 we investigated an increased number of complaints (4,700 compared to 4,251 in 2006–07). Of these, 12% required more intensive investigation (11% the previous year). Of the 5,627 separate issues investigated, some agency error or deficiency was identified in 8% of the cases (compared to 4% last year). We identified remedies for individuals or systemic improvements in 75%of the cases investigated, compared to 67% in 2006–07.

Regrettably there was a further decline in the timeliness in investigating complaints, and an increase in the number of complaintsopen at the end of the financial year. This was largely due to the increase in the number of complaints investigated and their complexity.

As in recent years, an area of great challenge for the office is the investigation of complaints that involve a number of agencies and service delivery organisations. This challenge arose this year in complaints related to the Northern Territory Emergency Response (NTER), which concerned both Australian and Northern Territory Government agencies.

A new function the office discharged this year was to review complaint handling in the Australian Federal Police (AFP). This function arose from legislative changes made in 2006 to the way complaints about the AFP are handled. The Ombudsman is required to inspect AFP complaint records and report to the Australian Parliament, commenting on the adequacy and comprehensiveness of how the AFP has dealt with conduct and practices issues, as well as its handling of inquiries ordered by the relevant minister. The first two such reviews were conducted in 2007–08 and a report will be provided to Parliament in early 2008–09.

Responsiveness to changing demands

An Indigenous Unit was established in the office in 2007, following the announcement by the former Australian Government of the NTER. The Unit deals with all matters related to the NTER and, more generally, assists Ombudsman staff in dealing with complaints from Indigenous people and communities. The unit led a substantial increase in outreach activity and complaint handling in the Northern Territory, and trained agency staff involved in the NTER in complaint handling. We opened an office in Alice Springs early in2008.

The response of the office to the NTER demonstrated (in the same manner as the office’s response to immigration matters in 2005 and 2006) the capacity of the Ombudsman’s office to adapt quickly to changing priorities, and to move resources and experienced staff to areas of emerging need. The Government provided extra funding to support the NTER activities. However, the funding was not adequate to cover the large increase in complaints arising from the NTER and the associated outreach and other activities. Resources had to be diverted from other areas in the office to cover the extra workload, which placed pressure on those other areas.

‘… demonstrates the capacity of the Ombudsman’s office to adapt quickly to changing priorities …’

Compliance auditing

The Ombudsman is responsible for inspecting the records of law enforcement and other agencies concerning their use of statutory powers that enable telecommunications interception, access to stored communications, use of surveillance devices, and controlled operations. The agencies in question are the AFP, the Australian Crime Commission (ACC), the Australian Commission for Law Enforcement Integrity, some state law enforcement agencies and some other enforcement agencies. The purpose of the inspections is to ensure statutory compliance and the adequacy and comprehensiveness of records. This contributes to the integrity of those law enforcement activities.

We inspected the records of the AFP on eight occasions, the ACC on seven occasions, the New South Wales Police twice, and the NSW Crime Commission and the South Australia Police once each. There was an increase in activity across all our compliance auditing work. The first audits of access to stored communications were undertaken during the year. It was pleasing to note that, over the year, the agencies made much progress in developing and ‘bedding-down’ procedures to ensure compliance and good administrative practice in this area.

Promoting good administration

We continued our program of own motion investigations into problem areas in public administration. During 2007–08 we published fourteen reports of own motion and other major investigations. The reports covered areas as diverse as Welfare to Work, the notification of decisions and review rights to unsuccessful visa applicants, administration of detention debt waiver and write-off, delay in dealing with requests under the Freedom of Information Act 1982 (Cth), damage caused to inbound postal items, and allegations concerning the fire on HMAS Westralia.

The reports contained a total of 70recommendations or major issues to be addressed. Of these, 56 were accepted in full or in principle, and three in part. While most recommendations in all reports were accepted, the overall level of acceptance by agencies was lower than usual. The majority of the recommendations that were acceptedachieved a commitment from agencies to make substantial changes to improve public administration.

Reports published by the office are an important means of promoting good administration. An example was a report published in August 2007, Lessons for public administration: Ombudsman investigation of referred immigration cases (Report No 11/2007), that drew together ten lessons fromthe investigation of 247 referred immigration matters. The ten lessons in the report, on matters such as recordkeeping, communication, control of coercive powers, and management of unresolved and complexcases, are relevant to all areas of government. The Ombudsman and other senior staff have been asked to give presentations on the report to a wide range ofAustralian Government agencies and otherorganisations. The presentations alsoform part of the regular orientation seminars for members of the Senior Executive Service, organised by the AustralianPublic Service Commission.

In addition, the office put a greater focus on providing useful information to agencies about the broader lessons that emerge from Ombudsman complaint handling. We launched a series of Ombudsman e-bulletins, available from our website and through an email subscription. The e-bulletins provide a sample of recent complaints and the lessons that can be drawn from them that are relevant across government.

‘The ten lessons in the report … are relevant to all areas of government’

Another innovation is the publication of a series of fact sheets, with the first two released in early July 2008. One outlined Ombudsman investigations, while the other discussed administrative deficiency.

In August 2007, in celebration of our thirtieth anniversary, we held a major seminar Improving administration—the next 30 years: Complaint handling, investigation and good administration. The speakers included private and public sector Ombudsmen, senior staff from Commonwealth and ACT government agencies, and representatives from some advocacy organisations. Their presentations at the seminar covered issues such as complaint handling across the public/private divide, principles of effective complaint handling, complainant perspectives and investigating corruption. Some of the presentations are highlighted in the feature pages of this report.

Another different activity conducted this year in the Immigration Ombudsman role was a program of monitoring of compliance, detention and removal activities of the Department of Immigration and Citizenship. This program includes unannounced visits to places of immigration detention. The program is proving particularly helpful in identifying issues of concern, and gauging the effectiveness of the department’s reform process, as described in Chapter 7.

Engagement with Government

A new Government took office in Australia in November 2007. A strong working relationship was established early on between the Ombudsman’s office and the new Government. This included meetings with a number of ministers, consultation on new government proposals, and a number of submissions to parliamentary committee inquiries. A highlight was the office’s close involvement in a major review initiated by the Minister for Immigration and Citizenship into people who had been held in immigration detention for two years or more.

The Ombudsman’s office, along with some other oversight agencies, is located in the portfolio of Prime Ministerand Cabinet. Other agencies include the Australian National Audit Office, the Australian Public Service Commission, the Inspector-General of Intelligence and Security, the National Archives and the Privacy Commissioner. These agencies have commenced meeting as an integrity group in the framework of government. Related responsibilities that have been shifted to the Department of PrimeMinister and Cabinet are the administration of freedom of information and the development of whistleblower protection proposals. The Ombudsman’s office has actively contributed to discussion on these issues withingovernment

Engagement with agencies

The Ombudsman’s office needs to maintain a sound working relationship with government agencies in order to deal efficiently and effectively with the thousands of complaints and approaches that we receive each year. In late 2006–07 we commissioned an independent market research company to undertake a survey of the views of the Ombudsman’s office held by Australian and ACT Government agencies and staff.

The survey results were positive. For example, the role of the office is accepted and well regarded, with most respondents agreeing on the importance of the office and its impartiality. Helpfully, the survey results indicated some particular areas for improvement. In response, we improved the communication provided to agencies about how we work, and changed the internal allocation of responsibility for dealing with complaints about those agencies that generate a small number of complaints. Thesurvey also pointed to areas where better relationship management with agencies is desirable.

International cooperation

The Ombudsman’s international program continued during the year. Funding from Australian Agency for International Development (AusAID) programs enabled the office to continue working closely with Ombudsmen in the Pacific, Papua New Guinea (PNG) and Indonesia.

A highlight of the Twinning Program with PNG was a workshop on complaint handling for law enforcement and disciplined services held in Port Moresby. The workshop was attended by senior Australian and PNG representatives from the defence forces, andlaw enforcement, corrections and Ombudsman organisations. The Twinning Program has proved to be productive in assisting the Ombudsman Commission of PNG and the Royal Papua New Guinea Constabulary (RPNGC) to develop arrangements for handling complaints againstthe RPNGC.

Another highlight has been the transformation of the Pacific Ombudsman network to develop new forms of regional cooperation to strengthen Pacific Ombudsmen offices. This work also addresses the needs of small island states that are currently without an Ombudsman or ombudsman-like process for complaint handling, to improve transparency, accountability and good governance.

Internal management

In recent years we have introduced numerous changes to our work practices, such as the introduction of a new five-tiered approach to complaint handling, a new case management system, and a Public Contact Team to be the first point of contact for nearly all approaches to the office. During 2007–08 we conducted an independent post-implementation review of the changes and also had an internal working party look atthose changes.

The consultant conducting the post-implementation review concluded that the changes we made were effective and resulted in increased consistency in decision making. Further changes have been implemented following the review and the working party report.

One change was to restructure the office around specialities. The expected benefits from this change are a greater depth of expertise for those agencies about which we receive few complaints, a higher level of consistency in the way we deal with complaints, a greater capacity to identify systemic issues, and a better capacity to manage agency relationships. Other changes during the year included the creation of an Information Management Committee and rationalisation of other committees. This will ensure that the development of information technology, work practices and governance strategies align with a whole-of-office approach to information management. Another initiative was the development of a risk-based quality assurance framework.

In parallel, we have implemented a sophisticated internal training program, thatincorporates ten training modules on thefunctions and work of the office. Theseinclude modules on administrative law, managing difficult complainants, written communication, investigations, and statutory powers and delegations.

In 2007–08, the office’s operating revenue was $19.415 million and operating expenses were $20.072 million, resulting in a deficit of $0.657 million. The deficit is due primarily to delays in implementing new initiatives and the increased activity related to the NTER. The office received an unqualified audit opinion on its 2007–08 financial statements.

Engagement with the public

During 2007–08 we continued with an active outreach program. Staff were involved in 171 outreach activities across all states and territories. This was 47% more than the previous year, due mainly to outreach work associated with the NTER.

Late in 2007–08 we commissioned an independent market research company to conduct a major survey of complainants to the office. The survey focused on access to the office, service delivery perspectives, and the demographics of people who raise complaints with us. The survey results will be assessed in detail in early 2008–09.

Year ahead

During 2008–09 we will continue to put emphasis on publications and programs to improve public administration, as well as managing complaints and undertaking own motion investigations. We anticipate that the level of compliance auditing work will continue to increase. We expect to continue the trend of the last year of active engagement with parliamentary committees on matters under inquiry.

We will continue working to maintain a sound working relationship with agencies. In addition, we will evaluate the results of the major survey of complainants to identify and implement areas for improvement. We will also continue our international program with funding from AusAID.

The coming year poses a number of challenges for the office. Should complaint numbers increase further, it will be particularly difficult to meet the budgetary efficiency dividend without cutting service levels. An example of the cost pressures currently faced by the office is that our Melbourne office is moving out of the central business district with the expiry of a lease and the lack of suitable alternative accommodation at an affordable cost. In addition, the office is negotiating a new collective agreement with staff. Attracting and retaining quality staff is important to the continued effectiveness of the office as an accountability institution in government. This becomes a difficult task for the office if salary levels slip further behind public servicemedians.