Saturday 26 May 2012

Commonwealth Ombudsman Statistics 2010-2011

Commonwealth Ombudsman Statistics 2010-2011 

On the 22nd May 2012 Senator Xenophon announced he would back the Greens and call for something similar to ICAC to be set up Federally.
While I applaud Senator Xenophon for his initiative the actual responsibility lies with the Commonwealth Ombudsman.
Clearly the Commonwealth Ombudsman failure to comply with its own Act should be of great concern to the Federal Parliament.
Alison Larkins, Acting Commonwealth Ombudsman failure to act on systemic corrupt conduct shows her willingness to SUCK IT ALL UP HER ENORMOUS 
ARSE.........



4.7 Systemic deficiency
Resolving a person’s grievance is not the last step in effective complaint handling.The person’s complaint might point to a systemic administrative problem in the agency—that is, an administrative defect that either has occurred in other cases or could be repeated.This possibility should always be considered when finalising a complaint.
For example, a complaint could expose a need to improve the agency’s recordkeeping or a need for better training or support for agency staff who have given inaccurate or unhelpful advice� Delay in resolving a person’s complaint might suggest a need for greater efficiency in the agency or better liaison between different units of the agency or with other agencies that are jointly responsible for the subject of the complaint� A review of agency procedures and policies can be another beneficial outcome.
Responsibility for seeing that such improvements are made usually lies elsewhere in the agency, rather than with the complaint handling unit� It is therefore important that complaint issues and trends are reported to and analysed by the executive and senior managers in an agency, as discussed in Element5—‘Analysis’�
Fact Sheet 2
Administrative deficiency
December 2009
Section 15 of the Ombudsman Act 1976 (Ombudsman Act) lists the grounds on which the Ombudsman can formally make a report to an agency, and ultimately to the Prime Minister and Parliament. Only a small number of reports are made each year to agencies, and more rarely to the Prime Minister or Parliament.
Most complaints to the Ombudsman can be resolved informally, and without the need to reach a firm view on whether an agency’s conduct was defective. This reflects the emphasis of our work on achieving remedies for complainants, and improving agency complaint-handling processes and public administration generally.
Instances nevertheless arise in which administrative deficiency should be recorded and notified to an agency. This helps draw attention to problems in agency decision making and processes, and feeds into the systemic work of the Ombudsman’s office.
The purpose of a finding of administrative deficiency is not to reprimand the agency concerned. The individual findings are not separately published in the same way that reports under s 15 are usually published. Rather, the individual findings are aggregated as part of the statistics that are published each year in the Ombudsman’s annual report. This provides agencies and the public with a statistical profile of the complaints received each year by the Ombudsman’s office and the office’s view of how those complaints were resolved. They also provide the Ombudsman’s office with a guide to possible systemic issues that warrant further consideration.
The term ‘administrative deficiency’ is not defined—or even specifically referred to—in the Ombudsman Act. It is a phrase used by the Ombudsman’s office when referring to agency action that is assessed as being ‘deficient’ for a reason specified explicitly or implicitly ins 15 of the Act. Other Ombudsman offices use similar reporting terms, such as ‘agency defect’, ‘adverse finding’, ‘complaint sustained’ or ‘maladministration’.
Categories of administrative deficiency
The Ombudsman’s office applies 15 categories of administrative deficiency that fall into two groups: administrative deficiency in an individual case, and administrative deficiency in the agency or system of government.
There is overlap between those categories, and some agency errors can fall into more than one category. An error is recorded only once in the most appropriate category, unless an investigation exposes multiple weaknesses in an agency’s administration.
Not every minor administrative error is recorded as administrative deficiency. The prime focus of the Ombudsman’s office is upon whether an error was inexcusable, caused disadvantage to a member of the public, or reveals a weakness in agency administration that should be addressed.
Administrative deficiency in an individual case
Unreasonable delay
An agency took too long without good cause to make a decision or take an action
Examples: unreasonable delay in processing a person’s application, responding to an enquiry or implementing a decision; failing to comply with FOI statutory time limits in handling a person’s FOI request; failing to meet time frames published in the agency’s service charter in responding to a person’s request.
Inadequate advice, explanation or reasons
A reasonable person could not easily understand the advice, explanation or reasons given by an

agency, either directly to the person or in an agency publication
Examples: giving a person incomplete, incorrect, misleading or confusing oral or written advice; refusing to provide a written explanation for a decision; providing a statement of reasons that contains an error or contradiction or does not deal with a critical issue in the decision.
Procedural deficiency
The procedure adopted by an agency in an individual case was flawed
Examples: not recording oral advice given to a person on an important issue; not answering a person’s request for information or advice; inefficient handling of a person’s application or enquiry; not consulting appropriately with a person before making a decision; failing to keep a person advised of progress on a matter; failing to advise a person of an agency requirement; failing to implement a decision, or to implement a decision correctly; failing to deal adequately with a person’s complaint; inadequate internal review of a disputed decision.
Human or factual error
The integrity of an agency process was impaired by an avoidable error or mistake by an officer
Examples: entering incorrect information on a person’s file; misreading or misunderstanding the facts or data in making a decision; basing a decision on faulty information; inadequate assessment of evidence submitted by a person; losing or misfiling a person’s application or documents; giving the wrong application form to a person; sending personal information to the wrong address.
Legal error
An agency made a probable legal error that could lead to its decision or action being set aside as unlawful by a court on a ground listed in s 5 of the Administrative Decisions (Judicial Review) Act 1977, or on some other basis
Examples: misconstruing or misapplying legislation; making a decision without a proper delegation; not giving a person prior notice of adverse action against them (ie, breaching natural justice); basing a decision on an irrelevant consideration, or failing to consider a relevant matter as required by legislation; breaching the terms of a contract; conflict of interest in a tendering process.
Unprofessional behaviour by an officer
The standards of professional behaviour expected of officials in dealing with the public were not observed
Examples; rudeness, discourtesy or unhelpful or disrespectful behaviour in dealing with a member of the public; failing to honour a promise or commitment given to a person; imprudent disclosure of confidential or private information to an unauthorised recipient.
Breach of duty/misconduct by an officer
Evidence of misconduct or unprofessional behaviour by an officer is serious enough to warrant referral by the Ombudsman to an agency head under s 8(10) of the Ombudsman Act
Examples: dishonesty; harassment; serious conflict of interest; improper use of official information or agency property; other activity in breach of the APS Code of Conduct (see Public Service Act 1999 s 13).
Unreasonable, harsh or discriminatory action or decision
The decision or action of an agency seriously flouted the principles of good administration
Examples: the agency decision or action was irrational, capricious, excessive, inequitable, contrary to reason or good sense, or in breach of the sex, race or disability standards in anti-discrimination legislation; a decision maker disregarded the severe impact that a discretionary decision could have on a person; a person was treated inconsistently and less favourably than others, without explanation or justification; a change in agency rules was applied retrospectively to deny a person a benefit.
Administrative deficiency in the agency or system of government
Legislation: unreasonable or harsh impact or unintended consequence
A complaint has highlighted a legislative anomaly that the Ombudsman should draw to the government’s attention
Examples: complex legislation has an unexpected or unexplained operation that disadvantages a person or class of persons; legislation has a disadvantageous impact on one class of persons as against another, without apparent justification; legislation imposes a condition or requirement for accessing a benefit or concession that is harsh or
Administrative deficiency
Fact Sheet 2 — page 2

difficult to meet; an apparent error or oversight in legislation disadvantages a person or class of people.
Government or agency policy: unreasonable or harsh impact
A complaint has highlighted a defect in government or agency policy or an executive scheme
Examples: a grant scheme administered by an agency is poorly drafted and unreasonably disadvantages some people; the rules of entitlement in an executive scheme, or the administrative requirements for lodging an application, are discriminatory, unfair, unnecessarily onerous or difficult to meet; an arbitrary cut-off date is imposed for lodging applications; the agency rules on selecting people for audits can operate unreasonably.
Flawed agency processes or systems
A complaint has highlighted an inherent or systemic weakness in agency processes or systems
Examples: there is a programming error in the agency’s automated system; the agency website is dysfunctional; a public access counter is not open during business hours; the agency contact number is incorrect or not answered; misleading or inconsistent guidance is given in agency publications or on the agency website; agency template letters are incorrect; there is no agency system for complaint handling.
Resource deficiency in agency
A complaint has highlighted a resource deficiency in an agency that impairs the agency’s ability to discharge its statutory functions or meet its policy commitments to the public
Examples: an agency cannot process applications, respond to enquiries or finalise internal reviews within a reasonable timeframe; there is an unacceptable backlog in the agency in investigating and resolving complaints to the agency.
Inadequate knowledge/training of agency staff
An administrative deficiency in a particular case occurred more through a systemic weakness in staff skills than through the lack of competence of the individual decision maker or contact officer
Examples: staff are not properly trained to understand or apply legislation administered by the agency; repeated data entry or retrieval errors by staff indicate skill weaknesses; the manuals or guidelines provided to staff are inadequate or poorly drafted.
Australian Government programs: deficiency arising from their interaction
The programs administered either within an agency or by two or more Australian Government agencies are not as integrated or coordinated as they could be
Examples: unreasonable delay occurs in making decisions that require input from multiple agencies; the complaint handling procedures of multiple agencies that jointly administer a program are poorly integrated; blockages occur between agencies in exchanging information that is required for decisions to be made; different information is required by two or more agencies to substantiate a similar issue; an agency provides incorrect advice about the rules or requirements of another agency.
Commonwealth/State responsibilities: cross-jurisdictional difficulties
The programs administered by Australian Government and State agencies are not as integrated or coordinated as they could be, and an Australian Government agency is partly at fault
Examples; an Australian Government agency relied uncritically on a questionable medical or other assessment by a State officer; an Australian Government agency delegated responsibility for undertaking an activity to a State agency, without adequate care and oversight; there was inadequate preparation for undertaking a joint Commonwealth-State regulatory task; Australian Government and State agencies have not concluded a memorandum of understanding for discharging a joint function.
Recording administrative deficiency
The practice followed in the Commonwealth Ombudsman’s office is that a finding of administrative deficiency can only be recorded after investigation and with the approval of a Senior Assistant Ombudsman, Deputy Ombudsman or the Ombudsman.
The intention to record administrative deficiency is always notified to an agency, sometimes by letter, but also by email when there is a less formal style of investigation. An explanation is given 

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/AgencyReceivedFinalisedFinalised
Total Received ApproachesNo InvestigationInvestigatedTotal Finalised ApproachesRemedies
Category 1Category 2Category 3Category 4Category 5Action expeditedApologyDecision changed or reconsideredDisciplinary actionExplanationFinancial remedyLaw, policy or practice changedOther non-financial remedyRemedy provided by agency without Ombudsman interventionTotal Remedies Finalised
ACT Government74236923912737277418152721259699220
ACT Arts Bureau11   1  
ACT Corrective Services16981493012 172531021223
ACT Department of Justice and Community Safety523  5  
ACT Dept of Business, Arts, Sport & Tourism11   1  
ACT Emergency Services Agency422 1 5 11
ACT Gambling and Racing Commission2 11 2 11
ACT Health18124  16  
ACT Land Development Agency1 1  1  
ACT Legislative Assembly1 1  1  
ACT Magistrates Court and Tribunals541  5  
ACT Office of Regulatory Services19874 19 1321119
ACT Planning and Land Authority35131841 36 111126
ACT Policing1429339123114841741181
ActewAGL12662 14 112
ACTION8412 7 112
Canberra Institute of Technology91641 12 11
Chief Minister’s Department3 11 2 11
Civil and Administrative Tribunal84 12 7  
Department of Disability Housing and Community Services14723 12 213
Department of Education and Training124821 15 112
Department of Land and Property Services11   1  
Department of the Territory and Municipal Services361613134 462231331318
Department of Treasury157621 16 325
Director of Public Prosecutions11   1  
Environment ACT431  4  
Housing ACT14666453311115678823213456
Human Rights Commission431  4  
Legal Aid Commission of the ACT73 4 7 11
Office for Children, Youth and Family Support1697  16  
Office of the Public Advocate of the ACT2111 3  
Public Trustee for the ACT11514 10 22
Roads ACT221092 21 111115
Supreme Court of the ACT2 21 3  
University of Canberra6131 5 11
Agriculture, Fisheries and Forestry693018156 69132 18131 29
Australian Fisheries Management Authority421  3  
Australian Pesticides and Veterinary Medicines Authority53 1 4 11
Australian Quarantine and Inspection Service41199113 42132111220
Department of Agriculture, Fisheries and Forestry176731 17 3115
Grape and Wine Research and Development Corporation2 1 1 2 22
National Rural Advisory Council    1 1 11
Attorney-General’s453188169125251508425 32163154
Administrative Appeals Tribunal188101 19  
Attorney-General’s Department30121531 3111215
Australian Commission for Law Enforcement Integrity3 13 4 11
Australian Crime Commission321  3  
Australian Customs and Border Protection Service107563713511121111213120
Australian Federal Police20778799011 258  
Australian Human Rights Commission514  5  
Australian Transaction Reports and Analysis Centre321  3  
Insolvency and Trustee Service Australia702717158 67213172328
Office of the Commonwealth Director of Public Prosecutions724  6  
Broadband, Communications and the Digital Economy3,2121,1711,43849922 3,13010217556717871459101441,490
Australia Post3,1231,1301,40248621 3,0391011755571777145999441,476
Australian Broadcasting Corporation1687 1 16 22
Australian Communications and Media Authority3310214 35 33
Department of Broadband, Communications and the Digital Economy402389 4011529
Climate Change and Energy Efficiency30811210910127 3499513 5438747137
Department of Climate Change and Energy Efficiency30511210810027 34795135238747135
Office of the Renewable Energy Regulator3 11 2 22
Commonwealth Parliamentary Services211   2          
Department of Parliamentary Services11   1  
Joint House Department1 1  1  
Courts85424352 922      1 3
Fair Work Australia25101411 26112
Family Court of Australia3218152 35  
Federal Court of Australia8232 711
Federal Magistrates Court of Australia19119 1 21  
High Court of Australia112  3  
Defence6322172399754260991112 777156128
Australian Army10346281712 103323161328
Australian Army Cadets321  3  
Australian Navy Cadets1       
Australian War Memorial11   1  
Defence Force Retirement and Death Benefits Authority5 411 6 11
Defence Housing Australia3216742 29 162110
Department of Defence22975953423222943428311145
Department of Veterans’ Affairs1725768268 159135171128
Royal Australian Air Force2961832 29 314
Royal Australian Navy501415106 45126211
Toll Transitions5 12 3 11
Veterans’ Review Board2 2  2  
Education, Employment and Workplace Relations64225124612641 66427516 11915182193
Australian Curriculum Assessment and Reporting Authority   1 1 22
Australian Institute for Teaching and School Leadership1   1 1 11
Australian National University17563 14 134
Comcare642230106 685119117
Department of Education, Employment and Workplace Relations48120317110029 503204119214181151
Fair Work Ombudsman792139125 772312118
Families, Housing, Community Services and Indigenous Affairs288691261305113772015 13615473218
Aboriginal Hostels Limited9162 9 213
Anindilyakwa Land Council  22 4  
Central Land Council3 21 3  
Department of Families, Housing, Community Services and Indigenous Affairs131233811341121618412015452195
Indigenous Business Australia422 1 5 213
Indigenous Land Corporation3 2  2  
Northern Land Council242945 2018110
Outback Stores3 1  1  
Registrar of Indigenous Corporations1237 1 11 11
Social Security Appeals Tribunal97375683 10411136
Torres Strait Regional Authority211  2  
Finance and Deregulation9535321614 973 2 201   26
Australian Electoral Commission30131051 29235
Commissioner for Superannuation (ComSuper)161031 14  
Department of Finance and Deregulation4912191013 541217121
Foreign Affairs and Trade1497561136 1555   1622  25
Australian Agency for International Development (AusAID)1194  13  
Australian Centre for International Agricultural Research1   1 1 112
Australian Trade Commission423  5  
Department of Foreign Affairs and Trade1336454135 1365152123
Health and Ageing1486843236 140113 11115225
Australian Institute of Health and Welfare11   1  
Australian Institute of Sport1 1  1  
Australian Radiation Protection and Nuclear Safety Agency1  1 1 11
Australian Sports Drug Agency1  1 1 11
Department of Health and Ageing1205935145 113111811316
Food Standards Australia New Zealand1 1  1  
National Health and Medical Research Council311  2  
Office of Hearing Services1 1  1  
Office of the Aged Care Commissioner197471 19 2327
Human Services7,2703,7581,7481,44928247,241226155208111,0862111981952,092
Australian Hearing11   1  
Centrelink4,9542,7231,08996712924,910137751295663173758611,308
Child Support Agency2,12193758646313922,127867979639836102234750
Commonwealth Rehabilitation Service9362 11 11
Department of Human Services633  6  
Medicare Australia17791631713 184312322132
Professional Services Review2 1 1 2 11
Immigration and Citizenship2,1781,0408072904922,188331417 132691516242
Department of Immigration and Citizenship2,1371,0287862864822,150331317127691516236
Migration Review Tribunal and Refugee Review Tribunal268142 24 11
Office of the Migration Agents Registration Authority154721 14 145
Infrastructure, Transport, Regional Development and Local Government712333139 78362 18221135
Airservices Australia834 4 111214
Australian Maritime Safety Authority11   1  
Australian Rail Track Corporation1 11 2 11
Australian Transport Safety Bureau312  3  
Civil Aviation Safety Authority2771251 25 18110
Department of Infrastructure and Transport31111474 3626172220
Innovation, Industry, Science and Research90275562 90 11 7 4  13
AusIndustry268153 26 22
Australian Nuclear Science and Technology Organisation3 3  3  
Australian Research Council11  1 2 11136
Commonwealth Scientific and Industrial Research Organisation1238  11  
Department of Innovation, Industry, Science and Research369243 36 314
IP Australia1265 1 12 11
Out of Jurisdiction19,09818,325698229 19,054          
Commonwealth Ombudsman579324223  547  
Ombudsman FOI Requests114379229 113  
Out of Jurisdiction18,40517,998396  18,394  
Overseas Student Ombudsman9542210  36  5 3521 16
Prime Minister and Cabinet1425362201 1361   12    13
Australia Council for the Arts31   1  
Australian Public Service Commission16142  16  
Australian Sports Commission5321 6  
Department of Regional Australia, Regional Development and Local Government5 2  2  
Department of the Prime Minister and Cabinet8223 7 22
Governor-General and Commander-in-Chief4121 4 11
National Archives of Australia4211 4  
National Capital Authority   1 1 11
National Film and Sound Archives1  1 1 22
National Library of Australia2 11 2 11
Office of the Australian Information Commissioner5117223 42 11
Office of the Privacy Commissioner3711266 43112
Screen Australia62221 7 33
Private Postal Operators2021151 191   411  7
Resources, Energy and Tourism641   5          
Department of Resources, Energy and Tourism641  5  
Sustainability, Environment, Water, Population and Communities3216883136    12221 17
Australian Antarctic Division1 1 2 3 314
Bureau of Meteorology33   3  
Department of Sustainability, Environment, Water, Population and Communities2513761128 821112
Great Barrier Reef Marine Park Authority3  2 2 11
Treasury3,0921,1911,20943726653,108938137 33623088438907
Australian Bureau of Statistics4426134 431315
Australian Competition and Consumer Commission47261474 5111011
Australian Prudential Regulation Authority1627246326 1566127337
Australian Securities and Investments Commission16949833111 1741410259150
Australian Taxation Office2,5899961,02034224152,60483712426422088037787
Australian Valuation Office1  1 1  
Department of the Treasury522 1 5 11
Productivity Commission21   1  
Reserve Bank of Australia1 1  1  
Superannuation Complaints Tribunal3971915 41167
Tax Agents Board    1 1  
Tax Practitioner’s Board33121152 30 32319
Grand Total38,91927,0717,4183,5379131838,95755847541184

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