CHAPTER 3Performance report

Output 1—Review of administrative action

1.5—Number and complexity of complaints/issues received and investigated and number of enquiries and approaches received.

Approaches and complaints received

In 2005–06, we received 28,227 approaches and complaints, 17,384 of which were within the Ombudsman's jurisdiction (17,310 in 2004–05).

Approaches to the office ranged from simple contacts that could be resolved quickly, through to more complex cases that required the formal use of the Ombudsman's statutory powers. The decision to investigate a matter more formally can be made for a number of reasons:

• need to gain access to agency records by a formal statutory notice
• complexity or seriousness of the issue under investigation
• nature of the allegations made by a complainant
• time taken by an agency to respond to our requests for information
• likely effect on other people of the issues raised by the complainant.

In addition to the 17,384 approaches about particular agencies within our jurisdiction, we also dealt with approaches about matters outside our jurisdiction or requests for information. We received 10,843 of these approaches (12,013 in 2004–05). While it is difficult to attribute this decrease to a specific reason, two possible factors are greater public awareness of the complaint mechanisms available within agencies, and increased public awareness of the role of the Ombudsman because of outreach activities undertaken by the office.

This year, 2,046 approaches and complaints were lodged electronically, an increase of 43% from 2004–05. We have helped people lodge complaints electronically by improving our online complaint form on our website. The new form provides information at each step of the process to help complainants to complete the form and to determine whether their complaint is within our jurisdiction.

There was a decrease of 15% in the number of approaches and complaints lodged in person and an increase of 3% in the number of written approaches. Table 3.4 details approaches by method received.

In February 2006, we created the Public Contact Team to manage all initial approaches to the office. This team of 12 people provides a national contact point for all telephone approaches and responds to all electronically lodged complaints. The members of the team enter the details of the complaint on the complaints management system and assign the complaint to the most appropriate investigation officer. Where necessary, they explain the limits of the Ombudsman's jurisdiction and refer the person to a more appropriate agency. Between February 2006 and 30 June 2006, the team handled 24,235 telephone calls.

Approaches and complaints by agency

Of the 17,384 approaches and complaints received within the Ombudsman's jurisdiction, 12,990 (75%) were about Australia Post, the Australian Taxation Office, Centrelink, the Child Support Agency, and the Department of Immigration and Multicultural Affairs.

Charts comparing trends over the past five years for these agencies are included in Chapter 7—Looking at the agencies.

Approaches and complaints finalised and investigated

We finalised 16,507 approaches and complaints within our jurisdiction (17,441 in 2004–05).

Approaches and complaints made to the Ombudsman often include several issues. For example, a complainant may allege not only that a decision was substantively wrong, but also that the agency failed to provide accurate advice, was unreasonably slow, or that the staff of the agency displayed an inappropriate attitude. Similarly, different issues within the same complaint may result in different actions by the Ombudsman's office. In this example, the office may suggest that the complainant pursue internal review mechanisms with respect to the agency's substantive decision, but may investigate the issues around delay and service delivery. It is for this reason that we also report on complaint issues finalised by the office.

In 2005–06, 17,508 issues were finalised. Of the issues finalised, we investigated 35% (33% in 2004–05). The remaining complaint issues were usually finalised by referring the complainant to the internal complaint processes of the agency, or deciding that investigation of the issue was not warranted.

Of the issues investigated and finalised, some agency error or deficiency was identified in 1% of complaints (14% last year). No error or deficiency was identified in 11% of instances (43% last year). In the remaining 88% of issues investigated, we resolved complaints without the need to determine whether the cause of the problem related to administrative deficiency, and made no determination about the agency's performance.

This reflects our office's new emphasis on working to resolve a complaint efficiently by identifying a practical solution or remedy that assists the complainant. Often we can do this without determining that an agency acted correctly or that there was an administrative deficiency in its conduct. The new approach also acknowledges that most complaints are resolved through the cooperation and responsiveness of agencies, without the need for any formal expression of critical views.

As a result of this shift, we recorded administrative deficiency as an outcome of an investigation only after a rigorous internal process, involving sign-off at the Senior Assistant Ombudsman level or above, and some contact with the agency. We found administrative deficiency in 228 matters this year.

We will review our policy on administrative deficiency during 2006–07 and consider whether a shift away from recording cases of administrative deficiency would deny agencies and the public some formal feedback on complaint trends and outcomes.

Causes of complaint

Following an established trend, the majority (58%) of the complaint issues finalised by the Ombudsman's office under the Ombudsman Act 1976 this year related to the correctness or propriety of a decision or action of an agency. The remainder of the complaint issues finalised were about procedural matters, such as the accuracy or completeness of advice given by agencies (10%), the timeliness of agency action (8%), the application of a policy to the complainant's circumstances (6%), or the conduct of officers in agencies (5%).

Of the complaint issues finalised about the AFP under the Complaints (Australian Federal Police) Act 1981, 36% related to the alleged conduct of AFP members, including complaints about harassment, attitude, incivility and bias. A further 29% arose from police decisions or actions.

Decisions not to investigate

The Ombudsman has a range of discretionary powers not to investigate matters in particular circumstances. The most common reason we decide not to investigate is because the complainant has not raised their complaint with the agency. Both the complainant and the agency can benefit from this approach.

Many agencies have given attention in recent years to the effectiveness of their internal complaint-handling mechanisms, and have appropriate procedures in place to respond to dissatisfied clients. The Ombudsman is more likely to accept a complaint without the matter first being handled by the agency in the following circumstances: the relationship between the person and the agency is difficult; the person is unable effectively to manage their own complaint, whether because of agency resistance or the person's inability to articulate their problem; or it is doubtful that the complaint will be handled adequately by the agency, whether because of the nature of the complaint or the effectiveness of the agency complaint mechanism.

Complaints carried forward

The total number of complaints carried forward (past 30 June 2006) was 1,298, compared to 1,137 at 30 June 2005, a 14% increase. This backlog occurred because the complaints are complex and take longer to investigate.