ombudsman (amendment) act 2012 information seminars website: twitter: @officeombudsman

Ombudsman (Amendment) Act 2012 Information Seminars

Website: www.ombudsman.gov.ieTwitter: @OfficeOmbudsman

Role of the Ombudsman

Bernadette McNally Director-General

The Ombudsman’s Role• Part of democratic society• Part of the checks and balances that hold public bodies

accountable• Other than legal routes, last port of call for citizens • Inquisitorial function, conciliatory versus adversarial approach

Approach to complaints• Examine if there is maladministration and adverse affect• If there is: – determine appropriate redress– ensure learning and prevent recurrence

• First and foremost a complaint handler but secondary role to drive improvement in public administration (sometimes systemically)

• Not an advocate for either party

This Office• 92 staff in total, includes Offices of the Ombudsman and

Information Commissioner (and AIEC), Commission for Public Service Appointments, Secretariat to the Standards in Public Office Commission (and Referendum Commission)

• Ombudsman staff complement of 45 approx. with variety of qualifications and experience

• Assign lead people to liaise with each sector• New Communications and Stakeholder Engagement Unit

Approach to new Bodies in Remit• 180+ new bodies, existing resources only• Significant challenges for us• Focus over next few months on basic research and developing

expertise, populating our knowledge management database• Build on knowledge when complaints arrive.

Our Expectations• Good local complaint handling• Provide reasonable assistance• Clear, upfront signposting to the Ombudsman• Open communication with us, liaison person(s)• Co-operative/non-adversarial approach, “critical friends”• Shared goals re best use of finite resources and good public

administration

Key Message• Keep good communication channels open at line level and

senior management level • Clear and effective escalation pathway• Shared goals

The Ombudsman Acts1980 to 2012

Emer DoyleInvestigator

• The Ombudsman Act 1980 describes the powers of the Ombudsman as regards the examination and investigation of complaints

• Most recent and significant amendment to this Act contained in the Ombudsman (Amendment) Act 2012

• Section 4 outlines the functions of the Ombudsman

• The Ombudsman may investigate any action taken by or on behalf of a reviewable agency in the performance of administrative functions if that action has resulted in an adverse affect

In addition the action must or may have been

• taken without proper authority• taken on irrelevant grounds• the result of negligence or carelessness• based on erroneous or incomplete information• improperly discriminatory• based on an undesirable administrative practice• a failure to comply with section 4A or• otherwise contrary to fair or sound administration

But the Ombudsman may decide not to investigate if ...the action complained of is • trivial and vexatious• the complainant has insufficient interest • the complainant has not taken reasonable steps to seek

redress• satisfactory measures to remedy, mitigate or alter the adverse

affect have been or are proposed to be taken

• Section 4A outlines duty to give reasonable assistance and guidance to persons in any dealings with the reviewable agency

• Reasonable assistance includes dealing with persons in a timely manner and providing information on any rights of appeal or review

• Section 5 outlines exclusions to the Ombudsman’s jurisdiction

• These include if a person has already initiated court proceedings or has a right of appeal to another body, national security, terms and conditions of employment or where a complaint is not made within 12 months of the action occurring

• But in some cases the Ombudsman may still investigate an action if it appears to him or her that there are special circumstances to do so

• For example if a complaint is received outside the 12 month limit.

• Section 6 provides that when the Ombudsman decides to carry out an investigation he or she must inform both the complainant and the reviewable agency of the results

• The reviewable agency must be afforded an opportunity to consider the matter and make representations before any adverse finding or criticism is made

• Section 6(3) provides that the Ombudsman can make recommendations to the reviewable agency concerned to remedy, mitigate and alter the adverse affect

• But also provides that the Ombudsman may make a general recommendation to other reviewable agencies in similar terms

• Where it appears to the Ombudsman that a response to a recommendation is not satisfactory...

• He or she may make a special report on the matter to the Oireachtas

• Section 7 provides that the Ombudsman may require any person to furnish any information, document or thing that is relevant to an examination or investigation

• He or she may also summons a person to attend before her to comply with that requirement

• In the event of non-compliance with this requirement

• Section 7(c) provides that the Ombudsman may apply to the Circuit Court for an order directing compliance

• Section 8 outlines how an investigation may be conducted

• An investigation by the Ombudsman must be conducted in private

• Section 8A provides that the Ombudsman may refer any question of law arising in an investigation to the High Court for determination

• Two Schedules to the Act

• Agencies will no longer be listed as being within remit and reviewable

• Instead there is the First Schedule Part I and the First Schedule Part II

• Part I of the First Schedule lists 9 categories of reviewable agencies

• These include government departments, agencies established under statute, agencies with statutory functions and higher education institutions in receipt of public funding

• Part II of the First Schedule lists agencies partially within remit

• Ombudsman’s remit or exclusion is specified for each agency listed in Part II

• Second Schedule lists exempt agencies not subject to the Ombudsman’s jurisdiction

• Agencies can be added to or deleted from this Schedule by Ministerial order

The Ombudsman and The Disability Act 2005

• “the head of the body shall ensure—” Access to public buildings [Section 25] Access to services, etc. [Section 26] Accessibility of services supplied to a public body [Section 27] Access to information [Section 28] Access to heritage sites [Section 29]

• Where appropriate, comply with the programme of the measures set out in Sectoral Plans [Sections 31 to 37]

Section 26(2) provides that each public body must have at least one Access Officer “to provide or arrange for and co-ordinate the provision of assistance and guidance to persons with disabilities in accessing its services”

Ensure Access Officers understand their rolePublish the name and contact details for Access OfficersCirculate information about the role of, and contact details for

their Access Officers to all staff

Section 38 provides that a person has the right to make a complaint to a public body in relation to the failure of the body to comply with sections 25, 26, 27, 28 or 29

Section 39 (5) provides that Public bodies must publish procedures in relation to the making and investigation of complaints

... furnish a copy of the report of an investigation of a complaint to the head of the public body concerned and to the person who made the complaint

The Ombudsman and Reviewable Agencies:

How we will work with you

Richie Philpott, Investigator,Strategic Lead for VECs and Institutes of Technology

andCiara Burns, Investigator,

Strategic Lead for Universities and other Education Bodies

How the Ombudsman works with Reviewable Agencies

• Not an advocate for either party• Not a mediator• Independent • Inquisitorial rather than adversarial approach• Many complaints resolved informally• Ombudsman may set own procedures – preference for

informal resolution

Office of the Ombudsman: Our Process

Process has 4 stages – corresponding Units at OfficeNot every case progresses through every stageWe aim for the earliest resolution possible

Phone

Personal

Caller

Post

CICs

Email

Website

Cases Closed at Each Stage2012 – Including those which had not been to internal appeal

Enquiry; 1932; 54%Assessment;

893; 25%

Examination; 745; 21%

Investigation; 12; 0%

EnquiryAssessmentExaminationInvestigation

Cases Closed at Each Stage2012 – Excluding those which had not been to internal appeal

Enquiry; 492; 23%

Assessment; 893; 42%

Examination; 745; 35%

Investigation; 12; 1%

EnquiryAssessmentExaminationInvestigation

How the Ombudsman works with Reviewable AgenciesEnquiries Unit: • General queries (remit etc.)• Has complaint been through agency’s internal complaints

procedure?• Establish that the agency and issue complained of are in remit• Complaint is registered• Moves to Assessment Unit

How the Ombudsman works with Reviewable AgenciesAssessment Unit: First Contact for Reviewable Agencies• “Triage” system – detailed screening• Reviewable Agency notified of complaint• Ombudsman requests report and/or files (3 wk deadline)(Through Agency’s Ombudsman Liaison Officer)• Case completed within ASU if issue clear and can be done

quickly (42% closed at this stage in 2012)• If more complex, caseworker transfers the case to

Examinations Unit

Examinations Unit:• Caseworker works with Reviewable Agency to resolve the case• Agency should appoint person familiar with issue, at

appropriate level to make decisions on the case• 35% of cases closed at Examination stage in 2012• If not resolved, or if issue is systemic, or significant,

Ombudsman may decide to investigate – case moved to Investigations Unit


Investigations Unit:• Two types of investigation – case-based and own initiative

(S. 4(3))• Further information gathered if necessary - documents,

reports, interviews (Deadlines set - S.7 applies)• Formal Process• Draft report issued to Reviewable Agency for formal

response


Investigations Unit:

• Final report drafted, including recommendations for redress/remedy where appropriate

• Recommendations are based on findings• Recommendations not binding, but generally accepted


Investigations Unit:• Ombudsman may:

• Recommend further consideration of the matter• Recommend that remedy be made (may specify)• State that reasons for action must be provided• Request that agency notify her, within a specified

time, of action taken• Make general recommendations

• Once Reviewable Agency’s response received - Report Published• Reviewable Agency is named, Officials referred to


Report sent to:• The complainant• The relevant “parent Department” (where applicable)• Any other person alleged to have taken the action complained of• Any other person the Ombudsman sees fit

If measures for redress taken by Reviewable Agency not satisfactory, Ombudsman may make special report to Oireachtas – PSOP


Joint Oireachtas Committee on Public Service Oversight and Petitions (PSOP)• Established under Programme for Government

Committee would, inter alia, be “a formal channel of consultation and collaboration between the Oireachtas and the Ombudsman, responsible for receiving and debating her annual and special reports and for ensuring that her criticisms and recommendations are acted upon”.

(Minister Brendan Howlin, Minister for Public Expenditure and Reform, speaking in the Oireachtas, 7 October 2012)

• Will not re-examine cases already decided upon by the Ombudsman

• Will refer new complaints relating to matters falling under the jurisdiction of the Ombudsman to her Office

• Ombudsman’s first appearance on 20 July 2011 (general presentation)

• 10 October 2012 appeared to discuss the Ombudsman (Amendment) Bill and her 2011 Annual Report

• 6 December 2012 the Ombudsman discussed two special reports published when Minister for Health rejected recommendations made following investigations into the Mobility Allowance Scheme and the Motorised Transport Grant Scheme

• As a consequence the Minister has been called before the Committee to discuss the matter further (Feb 2013)

Joint Oireachtas Committee on Public Service Oversight and Petitions (PSOP)

• Delay• Failure to respond• Poor communication• Poor treatment (Care and Treatment Cases)• Denial of entitlement (payment) on means or other grounds• Denial of entitlement (service) medical or other grounds• Inconsistent implementation of scheme/policy• Lack of fair procedures

Common Complaints across Reviewable Agencies

• Clear communication is key• Have procedures and follow them• Learn from your own experience– Are there systemic issues?

• Various Ombudsman Reports on Standards of Complaint-handling

• Useful SPSO Website: www.ValuingComplaints.org.uk

Reducing, and Responding to Complaints

Principles of good administrationComplaint handling systems

Redress

Paddy WalshInvestigator

Principles of good administration

There are 6 basic rules:1. Get it right2. Be customer oriented3. Be open and accountable4. Act fairly and proportionately5. Deal with errors effectively6. Seek continuous improvement

Principles of good administration

This can be achieved by:I. Acting in accordance with the law, policy and guidanceII. Taking proper account of established good practiceIII. Providing effective services - trained and competent staffIV. Taking reasonable decisions - relevant considerationsV. Avoiding undue delay

Rule 1 - Get it right

This can be achieved by:I. Ensuring people can access services easily.II. Informing customers what they can expectIII. Keeping to commitmentsIV. Dealing with people helpfully, promptly and sensitivelyV. Responding to customers’ needs flexibly

Rule 2 - Be customer oriented

This can be achieved by:I. Being open and clear about policies and proceduresII. Giving reasons for decisions – state criteriaIII. Keeping proper and appropriate recordsIV. Taking responsibility for your actions

Rule 3 - Be open and accountable

This can be achieved by: I. Treating people impartially, with respect and courtesyII. Avoiding unfair discrimination or prejudice, and ensuring no

conflict of interestsIII. Dealing with people and issues objectively and consistentlyIV. Ensuring that decisions and actions are proportionate,

appropriate and fairV. Ensuring that rules are applied equitably

Rule 4 - Act fairly and proportionately

This can be achieved by:I. Acknowledging mistakes and apologising where appropriateII. Putting mistakes right quickly and effectivelyIII. Providing clear and timely information on how and when to

appeal or complainIV. Operating an effective complaints procedure, which includes

offering a fair and appropriate remedy when a complaint is upheld

Rule 5 - Deal with errors effectively

This can be achieved by:I. Reviewing policies and procedures regularly to ensure they

are effectiveII. Asking for feedback and using it to improve services and

performanceIII. Ensuring that the public body learns lessons from

complaints and uses these to improve services and performance

IV. Identifying systemic problems and correcting them

Rule 6 - Seek continuous improvement

Complaint Handling Systems

I will deal with this under 6 headingsI. Benefits to the bodyII. Key featuresIII. Building an effective systemIV. How to examine a complaint V. Alternative avenues for dealing with a complaintVI. How to deal with challenging behaviour

Complaint handling systems

I. Provides essential feedback from customersII. It’s a quick, cost effective and efficient means of resolving

complaints III. Opportunity to improve customer serviceIV. An assurance to customers that their complaints are taken

seriously V. Customers are being treated properly, fairly and impartially

1. Benefits of an efficient complaint handling system

I. CommitmentII. FairnessIII. ResponsivenessIV. Privacy and confidentialityV. Refer to Ombudsman

2. Key features of an effective complaint handling system

I. Evaluate current policy, resources, procedures and practicesII. Identify any potential areas for improvementIII. Develop a plan of action to improve the current system,

where required

3. Building an effective complaint handling system

I. Assessment and planningII. Information gathering III. Making a decision IV. Remedies

4. How to examine a complaint

I. Complainants should try to resolve the complaint with the public body in the first instance.

II. If you are unable to help, is there another organisation that may be able to help.

III. Any statutory rights of appeal.

5. Alternative avenues for dealing with a complaint

Guidelines provided in our booklet

Our own internal policy on this issue is on our website titled:“Unreasonable Complainant Conduct policy” Under - About Us – Policies and Strategies

6. How to deal with challenging behaviour

Redress

Getting it wrong and putting it right

The general rule of thumb should be to put the person back intothe position he/she would have been in if the public body hadacted properly.

Redress

Apologise (grudging apology; fulsome apology)

Explain how things went wrong

Apologise

I. Financial Loss II. Loss of purchasing power III. Loss of a non-monetary benefit or service IV. Loss of opportunity V. Costs incurred VI. Time and trouble

When should compensation be paid?

An effective complaints system:I. will save the public body time and money in the long runII. will enhance the quality of service to its clientsIII. will have a positive effect on staff morale IV. will improve the body’s relations with the public V. will provide useful feedback to the body VI. will enable it to review procedures and systems which may

be giving rise to complaints

Keeping it Right

• Have internal complaints system in place• Communicate the complaints system to your staff, including

Ombudsman Role • Nominate an Ombudsman Liaison Officer• Inform your client group of right of complaint to the

Ombudsman (website, correspondence etc.)• Review records management/ information systems to ensure

ease of access to relevant material

To do before 1 May 2013

Universities & Education bodies other than VECs & ITs -Ciara Burns – 01 6395662; [email protected] & ITs – Richie Philpott – 01 6395648; [email protected] bodies – Emer Doyle – 01 6395608;[email protected] judicial & other bodies – Paddy Walsh – 01 6395711;[email protected]

Contact Details


mailto:[email protected]




www.ombudsman.ie

Twitter: @officeombudsman


http://www.ombudsman.ie/

ombudsman (amendment) act 2012 information seminars website: twitter: @officeombudsman

Documents

officeombudsman slide

party slide

ombudsman amendment

ombudsman acts

adversarial approach

adverse affect slide

sound administration

ombudsman open communication