CHAPTER 3Performance report

Output 1—Review of administrative action

1.1—Number and complexity of complaints/issues received and investigated and number of inquiries and approaches received

Approaches and complaints received

In 2006–07, we received a total of 33,322 approaches and complaints. Of these, 18,003 were about agencies within the Ombudsman’s jurisdiction (compared to 17,384 in 2005–06).

The categories of approaches to the office range from simple contacts that can be resolved quickly, through to more complex cases that require 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 18,003 approaches about agencies within our jurisdiction, we also dealt with approaches from members of the public that largely consisted of matters outside our jurisdiction or requests for information. We received 15,319 such approaches (compared to 10,147 in 2005–06 and 12,013 in 2004–05). It is difficult to point to a reason for this variability. It may relate to the general public profile of Ombudsmen at particular times, whether it be the Commonwealth Ombudsman, a state or territory Ombudsman, or an industry Ombudsman.

This year, we received 3,539 approaches and complaints electronically, an increase of 73% over 2005–06. Over the past four years, the percentage of approaches received electronically has increased from 5% to 11% of the total. We are continuing to look at ways to improve our online complaint lodgement processes.

There was a 54% increase in the number of approaches and complaints lodged in person and a 10% increase in the number of written approaches. Table 3.3 details approaches by method received.

Approaches and complaints by agency

Of the 18,003 approaches and complaints received about agencies within the Ombudsman’s jurisdiction, 13,326 (74%) were about Australia Post, the Australian Taxation Office (ATO), Centrelink, the Child Support Agency (CSA), and the Department of Immigration and Citizenship (DIAC).

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

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Approaches and complaints finalised and investigated

We finalised a total of 33,234 approaches and complaints. Of these, 17,934 were about agencies within the Ombudsman’s jurisdiction (compared to 16,507 in 2005–06). We investigated 4,251 separate approaches and complaints, of which 11% required more substantial investigation, sometimes involving a high level of involvement of senior management and the use of formal powers (categories 4 and 5 in our classification system). Comparable data on the number of investigations requiring substantial investigation is not available for previous years.

Approaches and complaints made to the Ombudsman may include several issues. For example, a person may complain about a decision, as well as a service delivery aspect such as behaviour. Where a complaint contains several issues, it may result in different actions by the Ombudsman’s office in relation to the separate issues. We therefore also report on complaint issues finalised by the office.

In 2006–07 we finalised 17,934 approaches and complaints covering 19,116 issues about agencies within the Ombudsman’s jurisdiction. Of the approaches and complaints finalised, we investigated 24% (31% in 2005–06). 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 in all the circumstances.

‘ In 2006–07 we finalised 17,934 approaches and complaints covering 19,116 issues about agencies within the Ombudsman’s jurisdiction.’

The Ombudsman policy on administrative deficiency was reviewed and revised during 2006–07. Staff were provided with detailed guidance and training on what might constitute administrative deficiency, which can only be recorded in an individual case with the approval of a Senior Assistant Ombudsman. The Ombudsman wrote to agency heads advising them of the new policy, emphasising that the purpose of recording administrative deficiency is not to admonish agencies, but to identify deficiencies in agency processes highlighted by complaints to the Ombudsman. This informs the systemic work of the office. More details on the revised policy are in Chapter 5—Challenges in complaint handling.

Of the issues investigated and finalised, some agency error or deficiency was identified in 4% of complaints (compared to 1% last year, under the previous guidelines). The most common type of deficiency noted was unreasonable delay (28% of the cases), followed by human error (20%), flawed administrative process (19%) and procedural deficiency (13%).

Causes of complaint

As in previous years, the majority (64%) of the complaint issues finalised by the Ombudsman’s office under the Ombudsman Act 1976 related to the correctness, propriety or timeliness of a decision or action of an agency. The remainder of the complaint issues finalised related to procedural matters, such as the accuracy or completeness of advice given by agencies (11%), the conduct of officers in agencies (4%), or the application of a policy to the complainant’s circumstances (3%).

Complaints carried forward

The total number of complaints carried forward (past 30 June 2007) was 1,316 compared to 1,298 at 30 June 2006. A backlog will always exist as some complaints are received late in the reporting period. It also arises from the complexity of some complaints and the correspondingly longer period of time required to investigate them.