Appendixes

1. Appendix 1—Freedom of information statement
2. Appendix 2—Presentations By Staff
3. Appendix 3—Statistics
4. Appendix 4—Additional reporting on Postal Industry Ombudsman
5. Appendix 5—Consultancy services, advertising and market research
6. Appendix 6—agency resource statement and resources for outcomes
7. Appendix 7—Financial statements

Appendix 1—Freedom of information statement

Prior to 1 November 2010, section 8 of the Freedom of Information Act 1982 (FOI Act) required each Australian Government agency to publish information about the way it is organised, its powers, the kinds of decisions it makes, the documents it holds, the way members of the public can obtain access to these documents and any arrangements for public involvement in the work of the agency.

However, amendments to the FOI Act that commenced on 1 November 2010 omitted the former s 8 annual reporting requirements and replaced them with a continual information disclosure regime for Australian Government agencies. On 1 May 2011 the Ombudsman set up its information publication scheme, FOI disclosure log and published the agency FOI plan on the Ombudsman’s website (www.ombudsman.gov.au).

The body of this annual report explains the organisation and major functions of the Commonwealth Ombudsman. This statement supplements that general information to meet the requirements of s 8 of the FOI Act. It is correct as at 30 June 2011.

Freedom of information requests

Prior to the 1 November 2010 amendments to the FOI Act the Ombudsman’s office dealt with a small number of FOI requests (20 in 2009–10). These requests generally related to documents relevant to the Ombudsman’s investigations work. From 1 July 2010 to 30 October 2010 there was a steady increase in the number of FOI requests to this office. However, from 1 November 2010 to 30 June 2011 there has been a substantial increase in the number of FOI requests received by this office. In the 2010–11 reporting period, we received 92 FOI requests which is a 360% increase compared to 2009–10. Similar to our previous annual reports the documents requested under the FOI Act relate to the investigations work of the Ombudsman.

Functions and decision-making powers of the Ombudsman

The Commonwealth Ombudsman was established by the Ombudsman Act 1976 (Ombudsman Act). The Act came into effect on 1 July 1977 and is administered by the Prime Minister. The Ombudsman is also the Defence Force Ombudsman, the Immigration Ombudsman, the Law Enforcement Ombudsman, the Postal Industry Ombudsman and the Taxation Ombudsman.

The national office of the Commonwealth Ombudsman and the office of the Australian Capital Territory Ombudsman are co-located in Canberra. Other offices are located in Adelaide, Alice Springs, Brisbane, Darwin, Hobart, Melbourne, Perth and Sydney.

The Ombudsman and Deputy Ombudsmen are statutory officers appointed under the Ombudsman Act. Staff are employed under the Public Service Act 1999 .

Investigation of administrative actions

Following a complaint from a member of the public, or using ‘own motion’ powers under the Ombudsman Act, the Ombudsman may investigate the administrative actions of most Australian Government departments and agencies and private contractors delivering government services.

The Ombudsman cannot investigate:

• the actions of government ministers or judges
• most employment-related matters (although the Defence Force Ombudsman can investigate employment-related complaints from current or former members of the Australian Defence Force)
• the actions of some government business enterprises.

The Ombudsman can decide not to investigate complaints that are ‘stale’ or frivolous, where the complainant has not first sought redress from the agency, where some other form of review or appeal is more appropriate, or where it is considered an investigation would not be warranted in all the circumstances.

The Ombudsman may conduct a complaint investigation as considered appropriate. The powers of the Ombudsman are similar to those of a Royal Commission, and include compelling an agency to produce documents and examining witnesses under oath. Most investigations are conducted with minimal formality.

Ombudsman investigations are private and details are generally not revealed to people who are not legitimately concerned with the investigation. The Ombudsman’s office is subject to the FOI Act and the Privacy Act 1988 .

Following an investigation, the Ombudsman is required to consider whether the actions of the department or agency were unreasonable, unlawful, improperly discriminatory or otherwise wrong.

When the Ombudsman concludes that an agency has erred, the Ombudsman may report that view to the agency and recommend whatever remedial action the Ombudsman thinks is appropriate. If the agency does not implement that action, the Ombudsman can report to the Prime Minister and report to the Parliament. The Ombudsman must inform complainants of the action taken by the office in response to their complaints.

Defence Force Ombudsman

Section 19C of the Ombudsman Act provides that the Commonwealth Ombudsman shall be the Defence Force Ombudsman (DFO). The DFO can investigate complaints from current or former members of the Australian Defence Force about Defence Force employment matters. The DFO cannot investigate most actions connected with disciplinary proceedings or the grant or refusal of an honour or award to an individual. The DFO investigates complaints from serving members only after they have exhausted internal grievance mechanisms, unless there are exceptional circumstances. The DFO also investigates complaints from ex-service personnel or their families.

Taxation Ombudsman

Under s 4(3) of the Ombudsman Act, the Commonwealth Ombudsman may be designated as the Taxation Ombudsman when dealing with matters relating to the Australian Taxation Office.

Immigration Ombudsman

Under s 4(4) of the Ombudsman Act, the Commonwealth Ombudsman may be designated as the Immigration Ombudsman when dealing with matters relating to immigration, including immigration detention. The Ombudsman has a specific statutory role under s 486O of the Migration Act 1958 of reporting to the Minister for Immigration concerning the circumstances of any person who has been in immigration detention for two years or more.

Law Enforcement Ombudsman

Under s 4(5) of the Ombudsman Act, the Commonwealth Ombudsman may be designated as the Law Enforcement Ombudsman when investigating complaints about the conduct and practices of the Australian Federal Police (AFP) and its members. There are special procedures applying to complaints about AFP officers contained in the Australian Federal Police Act 1979 (AFP Act). Complaints about the conduct of AFP officers received prior to 2007 are dealt with under the Complaints (Australian Federal Police) Act 1981 (Complaints Act). This Act was repealed after relevant provisions of the Law Enforcement (AFP Professional Standards and Related Measures) Act 2006 commenced on 30 December 2006.

The special procedures that applied under the Complaints Act to complaints about the AFP’s practices and procedures or the conduct of individual AFP members are explained in previous annual reports.

Complaints about the conduct of AFP officers received after 30 December 2006 are dealt with under the Ombudsman Act. In addition, under the AFP Act the Ombudsman is required to review the administration of the AFP’s handling of complaints, through inspection of AFP records, at least annually. The Ombudsman is to comment on the adequacy and comprehensiveness of the AFP’s dealing with conduct and practices issues as well as its handling of inquiries ordered by the minister. The results of these reviews must be provided to Parliament on an annual basis.

Overseas Students Ombudsman

Section 19ZI establishes that the Commonwealth Ombudsman is also the Overseas Students Ombudsman. The Overseas Students Ombudsman’s functions are to investigate complaints about the actions of private registered education providers in connection with intending, accepted and current overseas students. The role includes conducting external reviews of complaints and appeals to private registered providers under standard 8 of the National Code of Practice for Registration Authorities and Providers of Education and Training to Overseas Students 2007. Under the Ombudsman Act 1976 , the Overseas Students Ombudsman is also to give advice and training to private registered providers about handling overseas students’ complaints.

The role of the Overseas Students Ombudsman came into effect on 9 April 2011.

The Ombudsman’s intercept and surveillance devices audit

Under the Telecommunications (Interception and Access) Act 1979 and the Surveillance Devices Act 2004 , the Ombudsman can inspect certain records of the AFP, the Australian Crime Commission (ACC) and the Australian Commission for Law Enforcement Integrity (ACLEI), and certain other agencies under specific circumstances, to ascertain whether the agencies have complied with specified recordkeeping requirements of the Acts.

Audit of controlled operations

In accordance with the Crimes Act 1914 , the Ombudsman is required to inspect and report on records of controlled operations conducted by the AFP, the ACC and ACLEI.

Postal Industry Ombudsman

Section 19L of the Ombudsman Act provides that the Commonwealth Ombudsman shall be the Postal Industry Ombudsman (PIO). The PIO deals with complaints about postal service delivery by Australia Post and those private sector postal operators that elect to be members of the PIO scheme.

Australian Capital Territory (ACT) Ombudsman

Under the ACT Self-Government (Consequential Provisions) Act 1988 (Cth), the Commonwealth Ombudsman discharges the role of ACT Ombudsman. A services agreement between the Commonwealth Ombudsman and the ACT Government covers the discharge of this role. The work of the ACT Ombudsman is set out in a separate annual report made to the ACT Government pursuant to the Ombudsman Act 1989 (ACT).

Under the Public Interest Disclosure Act 1994 (ACT), the Ombudsman is a proper authority to receive and investigate public interest disclosures in relation to the actions of ACT Government agencies.

Categories of documents held by the Ombudsman

The Ombudsman holds information related to:

• investigations, including complaints, correspondence and consultations with complainants, agencies and other information sources, background material, records of conversation, analysis and advice, and reports
• oversight functions
• the Ombudsman’s role as the chief executive of an Australian Government agency with a particular set of responsibilities, in terms of the development or implementation of administrative processes, policy or legislation
• the Ombudsman’s management of the office, including personnel, contracting and financial records and information about asset management.

General enquiries and requests for access to documents or other matters relating to FOI may be made in person, by telephone or in writing at any Commonwealth Ombudsman’s office. Each office is open between 9 am and 5 pm on weekdays. People can contact the Commonwealth Ombudsman’s office by calling 1300 362 072. (See contacts in ‘References’ section of this report.)

Under s 23 of the FOI Act, the Ombudsman has authorised the Deputy Ombudsmen, all Senior Assistant Ombudsmen, and some Executive Level officers to grant or refuse requests for access. Under an arrangement made outside the Act, the Ombudsman has agreed to officers at and above Executive Level 1 providing limited complaint information if requested by, or on behalf of, a complainant as detailed below.

Appendix 2—Presentations By Staff

Asher, A. 2010, presentation to 17th Annual Public Sector Fraud and Corruption Conference, Canberra

• 2010, presentation to Financial and Consumer Rights Council Annual Conference, Phillip Island, Victoria
• 2010, presentation to Legal Aid Civil Law Conference, Sydney
• 2010, presentation to National Archives Leadership Development Program, Canberra
• 2010, Plans and objectives for the next five years , presentation to Government Oversight – Baring the New Watchdogs seminar, Canberra
• 2010, presentation to Westminster Tax Discussion Group, Sydney
• 2011, A fair deal for asylum-seekers? , presentation to the University of Melbourne Law School, Melbourne
• 2011, Boat people, the Australian Government and the Commonwealth Ombudsman , presentation to Australasian and Pacific Ombudsman Region Conference, Taipei
• 2011, Connecting Records and Information Management in the New Age , presentation to Records and Information Management Professionals Association of Australasia, Canberra
• 2011, Integrity agencies: the fourth arm of government , presentation to L21 Public Sector Leadership conference 2011, Sydney
• 2011, Overview of the Commonwealth Ombudsman’s role and jurisdiction across Commonwealth/State responsibilities , presentation to Senior Management Group, Department of Families, Housing, Community Services and Indigenous Affairs, Canberra
• 2011, presentation to Connections Series 11 Seminar on the Australian Public Service and the Citizen, Canberra
• 2011, presentation to Consumer Unity & Trust Society Conference for Reviewing the Global Experiences with Economic Regulation, New Delhi
• 2011, presentation to DLA Phillips Fox Breakfast Seminar for Defence Legal Day, Canberra

Bowring-Greer, F. 2011, Commonwealth Ombudsman: Overview of role & approach , Department of Families, Housing, Community Services and Indigenous Affairs complaint handling staff workshop, Canberra

• 2010, Parliament and Administrative Law , presentation to APSC Senior Executive Service Orientation Program, Canberra

Masri, G. 2010, Commonwealth Ombudsman: Role and Approach to Social Support Oversight , presentation to Welfare Rights Conference, Melbourne

• 2010–11, Administrative Law and the control of Government action , multiple presentations to APSC Senior Executive Service Orientation Program, Canberra
• 2011, Accountability and good governance , presentation to ACT Public Service Executive Leadership Development Program, Canberra
• 2011, Improving Public Administration – Observations from Complaints Investigations , CPD Compliance for Government Lawyers, Melbourne
• 2011, Managing Public Integrity in the Investigation and Prosecution of Fraud , presentation to Managing Fraud and Corruption in Government Conference, Canberra
• 2011, Using complaints as a vital tool in assuring good governance , presentation to Evolving Models of Governance and Accountability Conference, Canberra

Neish, R. 2010, ‘Introduction to Ethics, Financial Investigations and Forensic Accounting’ training course to PNG Ombudsman Commission

Roberts, C. 2011, Role of the Commonwealth Ombudsman , presentation to International Deployment Group, Australian Federal Police, Solomon Islands

Stankevicius, A. 2011, Role of the Commonwealth Ombudsman and our Experience of Customs Complaints , presentation to Enforcement and Investigations Divisional Conference, Canberra

• 2011, Role of the Commonwealth Ombudsman on Christmas Island , presentation to the Christmas Island Community Consultative Committee, Christmas Island
• 2011, Role of the Ombudsman and our Experience of Taxation Complaints , presentation to Australian Taxation Office Debt Executives, Canberra
• 2011, Role of the Ombudsman and our Experience of Taxation Complaints , presentation to Australian Taxation Office Superannuation Executives, Canberra

Appendix 3—Statistics

Explanations of terms used in Appendix 3

Approaches/complaints finalised—approaches/complaints finalised in 2010–11, including some complaints carried over from previous years

Approaches/complaints received—approaches/complaints received in 2010–11

Category 1—resolved without investigation, outcomes include decisions not to investigate and referrals to appropriate agency or authority

Category 2—cannot be resolved at category 1 and require further internal enquiries/research or more information from the complainant, resolved without contacting the agency

Category 3—investigation conducted and agency contacted

Category 4—further investigation conducted, as the complaint/approach was not able to be resolved in category 3

Category 5—further investigation conducted, as the complaint/approach was not able to be resolved in category 4; involves formal reporting processes

Issues—approaches/complaints can contain a number of issues, each requiring a separate decision as to whether to investigate; each issue may result in a separate outcome

Remedies—complaints can contain a number of issues, each requiring separate investigation and possibly resulting in a number of different remedies

Table A1: Approaches and complaints about Australian Government agencies, received and finalised, and remedies 2010–11

Portfolio/Agency	Received	Finalised						Finalised
	Total Received Approaches	No Investigation		Investigated			Total Finalised Approaches	Remedies
		Category 1	Category 2	Category 3	Category 4	Category 5		Action expedited	Apology	Decision changed or reconsidered	Disciplinary action	Explanation	Financial remedy	Law, policy or practice changed	Other non-financial remedy	Remedy provided by agency without Ombudsman intervention	Total Remedies Finalised
ACT Government	742	369	239	127	37	2	774	18	15	27	2	125	9	6	9	9	220
ACT Arts Bureau	1	1					1
ACT Corrective Services	169	81	49	30	12		172	5		3		10	2	1		2	23
ACT Department of Justice and Community Safety	5	2	3				5
ACT Dept of Business, Arts, Sport & Tourism	1	1					1
ACT Emergency Services Agency	4	2	2		1		5			1							1
ACT Gambling and Racing Commission	2		1	1			2					1					1
ACT Health	18	12	4				16
ACT Land Development Agency	1		1				1
ACT Legislative Assembly	1		1				1
ACT Magistrates Court and Tribunals	5	4	1				5
ACT Office of Regulatory Services	19	8	7	4			19		1	3		2	1	1	1		9
ACT Planning and Land Authority	35	13	18	4	1		36			1	1	1		1		2	6
ACT Policing	142	93	39	12	3	1	148	4	1			74			1	1	81
ActewAGL	12	6	6	2			14			1		1					2
ACTION	8	4	1	2			7		1			1					2
Canberra Institute of Technology	9	1	6	4	1		12						1				1
Chief Minister’s Department	3		1	1			2					1					1
Civil and Administrative Tribunal	8	4		1	2		7
Department of Disability Housing and Community Services	14	7	2	3			12			2		1					3
Department of Education and Training	12	4	8	2	1		15		1			1					2
Department of Land and Property Services	1	1					1
Department of the Territory and Municipal Services	36	16	13	13	4		46	2	2	3	1	3	3	1	3		18
Department of Treasury	15	7	6	2	1		16			3		2					5
Director of Public Prosecutions	1	1					1
Environment ACT	4	3	1				4
Housing ACT	146	66	45	33	11	1	156	7	8	8		23	2	1	3	4	56
Human Rights Commission	4	3	1				4
Legal Aid Commission of the ACT	7	3		4			7					1					1
Office for Children, Youth and Family Support	16	9	7				16
Office of the Public Advocate of the ACT	2	1	1	1			3
Public Trustee for the ACT	11	5	1	4			10					2					2
Roads ACT	22	10	9	2			21		1	1		1		1	1		5
Supreme Court of the ACT	2		2	1			3
University of Canberra	6	1	3	1			5			1							1
Agriculture, Fisheries and Forestry	69	30	18	15	6		69	1	3	2		18	1	3	1		29
Australian Fisheries Management Authority	4	2	1				3
Australian Pesticides and Veterinary Medicines Authority	5	3		1			4					1					1
Australian Quarantine and Inspection Service	41	19	9	11	3		42	1	3	2		11	1	2			20
Department of Agriculture, Fisheries and Forestry	17	6	7	3	1		17					3		1	1		5
Grape and Wine Research and Development Corporation	2		1		1		2					2					2
National Rural Advisory Council					1		1					1					1
Attorney-General’s	453	188	169	125	25	1	508	4	2	5		32	1	6	3	1	54
Administrative Appeals Tribunal	18	8	10	1			19
Attorney-General’s Department	30	12	15	3	1		31	1		1		2		1			5
Australian Commission for Law Enforcement Integrity	3		1	3			4					1					1
Australian Crime Commission	3	2	1				3
Australian Customs and Border Protection Service	107	56	37	13	5	1	112	1	1	1		12	1	3		1	20
Australian Federal Police	207	78	79	90	11		258
Australian Human Rights Commission	5	1	4				5
Australian Transaction Reports and Analysis Centre	3	2	1				3
Insolvency and Trustee Service Australia	70	27	17	15	8		67	2	1	3		17		2	3		28
Office of the Commonwealth Director of Public Prosecutions	7	2	4				6
Broadband, Communications and the Digital Economy	3,212	1,171	1,438	499	22		3,130	102	175	56	71	787	145	9	101	44	1,490
Australia Post	3,123	1,130	1,402	486	21		3,039	101	175	55	71	777	145	9	99	44	1,476
Australian Broadcasting Corporation	16	8	7		1		16					2					2
Australian Communications and Media Authority	33	10	21	4			35					3					3
Department of Broadband, Communications and the Digital Economy	40	23	8	9			40	1		1		5			2		9
Climate Change and Energy Efficiency	308	112	109	101	27		349	9	5	13		54	38	7	4	7	137
Department of Climate Change and Energy Efficiency	305	112	108	100	27		347	9	5	13		52	38	7	4	7	135
Office of the Renewable Energy Regulator	3		1	1			2					2					2
Commonwealth Parliamentary Services	2	1	1				2
Department of Parliamentary Services	1	1					1
Joint House Department	1		1				1
Courts	85	42	43	5	2		92	2							1		3
Fair Work Australia	25	10	14	1	1		26	1							1		2
Family Court of Australia	32	18	15	2			35
Federal Court of Australia	8	2	3	2			7	1									1
Federal Magistrates Court of Australia	19	11	9		1		21
High Court of Australia	1	1	2				3
Defence	632	217	239	97	54	2	609	9	11	12		77	7	1	5	6	128
Australian Army	103	46	28	17	12		103	3	2	3		16			1	3	28
Australian Army Cadets	3	2	1				3
Australian Navy Cadets	1
Australian War Memorial	1	1					1
Defence Force Retirement and Death Benefits Authority	5		4	1	1		6					1					1
Defence Housing Australia	32	16	7	4	2		29		1			6	2			1	10
Department of Defence	229	75	95	34	23	2	229	4	3	4		28	3	1	1	1	45
Department of Veterans’ Affairs	172	57	68	26	8		159	1	3	5		17	1			1	28
Royal Australian Air Force	29	6	18	3	2		29					3			1		4
Royal Australian Navy	50	14	15	10	6		45	1	2			6			2		11
Toll Transitions	5		1	2			3						1				1
Veterans’ Review Board	2		2				2
Education, Employment and Workplace Relations	642	251	246	126	41		664	27	5	16		119	15	1	8	2	193
Australian Curriculum Assessment and Reporting Authority				1			1					2					2
Australian Institute for Teaching and School Leadership	1				1		1					1					1
Australian National University	17	5	6	3			14			1		3					4
Comcare	64	22	30	10	6		68	5	1	1		9	1				17
Department of Education, Employment and Workplace Relations	481	203	171	100	29		503	20	4	11		92	14	1	8	1	151
Fair Work Ombudsman	79	21	39	12	5		77	2		3		12				1	18
Families, Housing, Community Services and Indigenous Affairs	288	69	126	130	51	1	377	20	1	5		136	1	5	47	3	218
Aboriginal Hostels Limited	9	1	6	2			9					2				1	3
Anindilyakwa Land Council			2	2			4
Central Land Council	3		2	1			3
Department of Families, Housing, Community Services and Indigenous Affairs	131	23	38	113	41	1	216	18		4		120	1	5	45	2	195
Indigenous Business Australia	4	2	2		1		5					2			1		3
Indigenous Land Corporation	3		2				2
Northern Land Council	24	2	9	4	5		20	1				8			1		10
Outback Stores	3		1				1
Registrar of Indigenous Corporations	12	3	7		1		11					1					1
Social Security Appeals Tribunal	97	37	56	8	3		104	1	1	1		3					6
Torres Strait Regional Authority	2	1	1				2
Finance and Deregulation	95	35	32	16	14		97	3		2		20	1				26
Australian Electoral Commission	30	13	10	5	1		29	2				3					5
Commissioner for Superannuation (ComSuper)	16	10	3	1			14
Department of Finance and Deregulation	49	12	19	10	13		54	1		2		17	1				21
Foreign Affairs and Trade	149	75	61	13	6		155	5				16	2	2			25
Australian Agency for International Development (AusAID)	11	9	4				13
Australian Centre for International Agricultural Research	1				1		1					1		1			2
Australian Trade Commission	4	2	3				5
Department of Foreign Affairs and Trade	133	64	54	13	5		136	5				15	2	1			23
Health and Ageing	148	68	43	23	6		140	1	1	3		11	1	1	5	2	25
Australian Institute of Health and Welfare	1	1					1
Australian Institute of Sport	1		1				1
Australian Radiation Protection and Nuclear Safety Agency	1			1			1									1	1
Australian Sports Drug Agency	1			1			1									1	1
Department of Health and Ageing	120	59	35	14	5		113	1	1	1		8	1	1	3		16
Food Standards Australia New Zealand	1		1				1
National Health and Medical Research Council	3	1	1				2
Office of Hearing Services	1		1				1
Office of the Aged Care Commissioner	19	7	4	7	1		19			2		3			2		7
Human Services	7,270	3,758	1,748	1,449	282	4	7,241	226	155	208	11	1,086	211	19	81	95	2,092
Australian Hearing	1	1					1
Centrelink	4,954	2,723	1,089	967	129	2	4,910	137	75	129	5	663	173	7	58	61	1,308
Child Support Agency	2,121	937	586	463	139	2	2,127	86	79	79	6	398	36	10	22	34	750
Commonwealth Rehabilitation Service	9	3	6	2			11					1					1
Department of Human Services	6	3	3				6
Medicare Australia	177	91	63	17	13		184	3	1			23	2	2	1		32
Professional Services Review	2		1		1		2					1					1
Immigration and Citizenship	2,178	1,040	807	290	49	2	2,188	33	14	17		132	6	9	15	16	242
Department of Immigration and Citizenship	2,137	1,028	786	286	48	2	2,150	33	13	17		127	6	9	15	16	236
Migration Review Tribunal and Refugee Review Tribunal	26	8	14	2			24					1					1
Office of the Migration Agents Registration Authority	15	4	7	2	1		14		1			4					5
Infrastructure, Transport, Regional Development and Local Government	71	23	33	13	9		78	3	6	2		18	2	2	1	1	35
Airservices Australia	8	3	4		4		11	1				2			1		4
Australian Maritime Safety Authority	1	1					1
Australian Rail Track Corporation	1		1	1			2					1					1
Australian Transport Safety Bureau	3	1	2				3
Civil Aviation Safety Authority	27	7	12	5	1		25			1		8				1	10
Department of Infrastructure and Transport	31	11	14	7	4		36	2	6	1		7	2	2			20
Innovation, Industry, Science and Research	90	27	55	6	2		90		1	1		7		4			13
AusIndustry	26	8	15	3			26					2					2
Australian Nuclear Science and Technology Organisation	3		3				3
Australian Research Council	1	1			1		2		1	1		1		3			6
Commonwealth Scientific and Industrial Research Organisation	12	3	8				11
Department of Innovation, Industry, Science and Research	36	9	24	3			36					3		1			4
IP Australia	12	6	5		1		12					1					1
Out of Jurisdiction	19,098	18,325	698	22	9		19,054
Commonwealth Ombudsman	579	324	223				547
Ombudsman FOI Requests	114	3	79	22	9		113
Out of Jurisdiction	18,405	17,998	396				18,394
Overseas Student Ombudsman	95	4	22	10			36			5		3	5	2	1		16
Prime Minister and Cabinet	142	53	62	20	1		136	1				12					13
Australia Council for the Arts	3	1					1
Australian Public Service Commission	16	14	2				16
Australian Sports Commission	5	3	2	1			6
Department of Regional Australia, Regional Development and Local Government	5		2				2
Department of the Prime Minister and Cabinet	8	2	2	3			7					2					2
Governor-General and Commander-in-Chief	4	1	2	1			4					1					1
National Archives of Australia	4	2	1	1			4
National Capital Authority				1			1					1					1
National Film and Sound Archives	1			1			1					2					2
National Library of Australia	2		1	1			2					1					1
Office of the Australian Information Commissioner	51	17	22	3			42					1					1
Office of the Privacy Commissioner	37	11	26	6			43	1				1					2
Screen Australia	6	2	2	2	1		7					3					3
Private Postal Operators	20	2	11	5	1		19	1				4	1	1			7
Resources, Energy and Tourism	6	4	1				5
Department of Resources, Energy and Tourism	6	4	1				5
Sustainability, Environment, Water, Population and Communities	32	16	8	8	3	1	36					12	2	2	1		17
Australian Antarctic Division	1		1		2		3					3		1			4
Bureau of Meteorology	3	3					3
Department of Sustainability, Environment, Water, Population and Communities	25	13	7	6	1	1	28					8	2	1	1		12
Great Barrier Reef Marine Park Authority	3			2			2					1					1
Treasury	3,092	1,191	1,209	437	266	5	3,108	93	81	37		336	230	8	84	38	907
Australian Bureau of Statistics	44	26	13	4			43	1	3			1					5
Australian Competition and Consumer Commission	47	26	14	7	4		51	1				10					11
Australian Prudential Regulation Authority	162	72	46	32	6		156	6		1		27			3		37
Australian Securities and Investments Commission	169	49	83	31	11		174	1	4	10		25	9			1	50
Australian Taxation Office	2,589	996	1,020	342	241	5	2,604	83	71	24		264	220	8	80	37	787
Australian Valuation Office	1			1			1
Department of the Treasury	5	2	2		1		5								1		1
Productivity Commission	2	1					1
Reserve Bank of Australia	1		1				1
Superannuation Complaints Tribunal	39	7	19	15			41	1				6					7
Tax Agents Board					1		1
Tax Practitioner’s Board	33	12	11	5	2		30		3	2		3	1				9
Grand Total	38,919	27,071	7,418	3,537	913	18	38,957	558	475	411	84	3,005	678	88	367	224	5,890

Appendix 4—Additional reporting on Postal Industry Ombudsman

This appendix provides additional reporting on the Postal Industry Ombudsman (PIO) function as required under s19X of the Ombudsman Act 1976 (the Act).

Details of the circumstances and number of occasions where the PIO has made a requirement of a person under s 9.

The PIO made no requirements under s 9 during 2010–11.

Details of the circumstances and number of occasions where the holder of the office of the PIO has decided under subsection 19N(3) to deal with, or to continue to deal with, a complaint or part of a complaint in his or her capacity as the holder of the office of Commonwealth Ombudsman.

There were no occasions where a complaint or part of a complaint was transferred from the PIO to the Commonwealth Ombudsman under s19N93).

Details of recommendations made in reports during the year under s19V; and statistical information about actions taken during that year as a result of such information.

The PIO made no reports during the year under s19V.

Appendix 5—Consultancy services, advertising and market research

Consultancy services

The office engages consultants when the expertise required is not available within the organisation or when the specialist skills required are not available without diverting resources from other higher priority tasks. In accordance with procurement guidelines, consultants are selected by open tender, panel arrangements, select tendering or direct sourcing.

Table A1 provides details of consultancy services let by the office during 2010–11 with a contract value (GST inclusive) of $10,000 or more.

Table A2: Consultancy services, 2010–11

Consultant name	Description	Contract price	Selection process (1)	Justification (2)
Syfa Solutions Pty Ltd	Plans on site IT security development	$15,000	Direct	B
Ipsos Public Affairs Pty Ltd	Survey on Australian & ACT government agencies	$44,946	Direct	C
Winangali Pty Ltd	Research on Aboriginal & Torres Strait Islander use of complaint services	$47,515	Select	B
Australian National University	Consultancy Services by Dr Mathew from the ANU	$15,000	Direct	B
Ipsos Public Affairs Pty Ltd	Survey on public awareness	$74,910	Direct	C
Centre for Public Management Pty Ltd	Advice on a staff management matter	$14,000	Direct	B
Mallesons Stephen Jaques	Legal services on renewal of Sydney premises lease	$30,682	Select	B
Total		$242,053

Definitions

(1) Explanation of selection process terms drawn from the Commonwealth Procurement Guidelines (December 2008):

• Open tender—a procurement procedure in which a request for tender is published inviting all businesses that satisfy the conditions for participation to submit tenders. Public tenders are generally sought from the Australian Government AusTender internet site.
• Select tender—a procurement procedure in which the procuring agency selects which potential suppliers are invited to submit tenders. This procurement process may only be used under certain defined circumstances.
• Direct sourcing—a form of restricted tendering, available only under certain defined circumstances, with a single potential supplier or suppliers being invited to bid because of their unique expertise and/or their special ability to supply the goods and/or services sought.
• Panel—an arrangement under which a number of suppliers, initially selected through an open tender process, may each supply property or services to an agency as specified in the panel arrangements. Quotes are sought from suppliers that have pre-qualified on the agency panels to supply to the government. This category includes standing offers and supplier panels where the supply of goods and services may be provided for a pre-determined length of time, usually at a pre-arranged price.

(2) Justification for decision to use consultancy:

A—skills currently unavailable within agency

B—need for specialised or professional skills

C—need for independent research or assessment.

Advertising and market research

Advertising is used to publicise the office’s services. No advertising campaigns were undertaken in
2010–11. Payment of $16,092 including GST was made to Adcorp. The expenditure was for recruitment notices.

Ipsos Public Affairs Pty Ltd conducted a public awareness survey and an Australian & ACT government agencies survey for the office in 2010–11. The purpose of the first survey was to identify and profile factors mitigating, limiting or eroding public awareness of the Office of the Commonwealth Ombudsman. The latter was to conduct a census of Australian and ACT government agencies about which the Ombudsman received more than five complaints in 2009–10.

In addition, Winangali Pty Ltd conducted research into Aboriginal & Torres Strait Islander use of complaint services research. The purpose of the research was to improve the services of the Commonwealth Ombudsman to Australia’s Indigenous people. The total cost of market research was $141,375 including GST.

Appendix 6—agency resource statement and resources for outcomes

Table A3: Ombudsman’s office resource statement 2010–11

	Actual available appropriations 2010–11 $’000	Payments made 2010–11 $’000	Balance remaining $’000
	(a)	(b)	(a-b)
Ordinary Annual Services1 Departmental appropriation
Prior year departmental appropriation	4,699	4,699	-
Departmental appropriation	20,313	13,784	6,529
S.31 Relevant agency receipts3	2,032	2,032	-
Total	27,044	20,515	6,529
Total ordinary annual services	27,044	20,515	6,529
Departmental non-operating
Equity injections2	170	145	25
Total	170	145	25
Total other services	170	145	25
Total resourcing and payments	27,214	20,660	6,554

Table A4: Resources for Outcome 1

Outcome 1: Fair and accountable administrative action by Australian Government agencies by investigating complaints, reviewing administrative action and inspecting statutory compliance by law enforcement agencies.

	Budget 2010–11 $’000	Actual 2010–11 $’000	Variation 2010–11 $’000
Program 1: Office of the Commonwealth Ombudsman Departmental expenses
Ordinary annual services (Appropriation Bill No. 1 & 3)	19,516	19,516	-
Revenue from independent sources (s31)	1,750	1,763	(13)
Expenses not requiring appropriation in the Budget year	965	121	844
Total for Program 1.1	22,231	21,400	831
Outcome 1 Totals by appropriation type Departmental expenses
Ordinary annual services (Appropriation Bill No. 1)	19,516	19,516	-
Revenue from independent sources (s31)	1,750	1,763	(13)
Expenses not requiring appropriation in the Budget year	965	121	844
Total expenses for Outcome 1	22,231	21,400	831
Average Staffing Level (number)	147	146	2

Appendix 7—Financial statements