Commonwealth Ombudsman Annual Report 2011–2012 | References
References
Glossary
| TERM | DEFINITION |
|---|---|
| AFP complaint categories |
Category 1—minor management or customer service matters Category 2—minor misconduct Category 3— serious misconduct Category 4—conduct giving rise to a corruption issue. |
| Approach |
Contact with our office about a matter. An approach may be about a matter outside our jurisdiction. |
| Assisted transfer of complaints |
An arrangement between the Ombudsman’s office and the Australian Taxation Office (ATO) and the Department of Human Services – Centrelink (Centrelink) whereby the Ombudsman’s office will forward a complaint to the ATO or Centrelink on behalf of the complainant if the complainant has not previously sought to resolve the complaint with the agency. The agency will then address the complaint. Also called a ‘warm transfer’. |
| BasicsCard |
A reusable, PIN-protected EFTPOS card that allows people to spend income-managed money at approved stores and businesses. |
| Category |
Approaches are divided into five categories based on whether the approach is investigated or not, potential sensitivities and the degree of effort required to finalise the approach. |
| Category 1 - Initial approach (approach) |
An approach that was resolved by a single communication (e.g. referral to a more appropriate agency) and the discretion not to investigate was applied. |
|
Category 2—Further assessment (approach) |
An approach that required further communication and/ or assessment (e.g. internal enquiries/research or more information from the complainant) and the discretion not to investigate was applied. |
|
Category 3—Investigation (complaint) |
An approach investigated via contact with the agency that is the subject of the complaint in order to resolve the matter. |
|
Category 4—Further investigation (complaint) |
An approach that required two or more substantive contacts with the agency that is the subject of the complaint in order to resolve the matter. |
|
Category 5—Formal reports (complaint) |
An approach where formal powers have been exercised and/or a s15 report issued. |
| Closed approach | An approach that has been finalised. |
| Closing the Gap |
A commitment by all Australian governments to work towards a better future for Aboriginal and Torres Strait Islander peoples in areas such as health, housing, education and employment. The Department of Families, Housing, Community Services and Indigenous Affairs is the lead Australian Government agency for Closing the Gap policies and programs. |
| Community detention |
Community detention is a form of immigration detention that enables people in detention to reside and move about freely in the community without needing to be accompanied or restrained by an officer. |
|
Compensation for Detriment caused by Defective Administration (CDDA) |
A scheme that allows Australian Government agencies under the Financial Management and Accountability Act 1997 to provide discretionary compensation to people who have experienced detriment as a result of an agency’s defective actions or inaction. |
| Compliance auditing |
The action of inspecting the records of law enforcement agencies to determine the extent of compliance with relevant legislation by the agency and its law enforcement officers. |
| Complaint |
A complaint is an approach that is an expression of dissatisfaction made to the Ombudsman about government administrative action where a response or resolution is expected. A complaint does not include an approach that is a request for information. |
| Controlled operation |
A covert operation carried out by law enforcement officers under the Crimes Act 1914 (Cth) for the purpose of obtaining evidence that may lead to the prosecution of a person for a serious offence. The operation may result in law enforcement officers engaging in conduct that would otherwise constitute an offence. |
| Cross-agency issue |
At times a complaint or investigation may involve more than one agency if, for example, one agency is responsible for a policy for which another agency administers the related program/s, or an issue is common to a number of agencies. |
| Decision to investigate |
The Ombudsman may investigate the administrative actions of most Australian Government departments and agencies and private contractors delivering government services. The Ombudsman can decide to not 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. |
|
Departure Prohibition Order |
An administrative order issued by the Australian Taxation Office (ATO) or Child Support Agency (CSA) that prevents a person with an overdue tax or child support debt from leaving Australia. |
| Established complaint |
The Australian Federal Police (AFP) considers a complaint is ‘established’ if an AFP investigation concludes in favour of the complainant or against the AFP member. |
| Finalised complaint |
A complaint where a decision has been made to stop investigating it. |
| Formal powers |
The formal powers of the Ombudsman are similar to that of a Royal Commission, and include compelling an agency to produce documents and examining witnesses under oath. |
| Garnishee |
Some government agencies such as the Australian Taxation Office and the Department of Human Services— Child Support have the power to seize money from a third party (such as a bank) to pay a debt. To seize this money is to “garnishee” it. |
| Garnishee notice |
A written advice to a debtor and a third party, such as a financial institution or employer, that a person or business will be garnisheed. |
| Inspection (immigration) | Inspection visits to immigration detention facilities and other places of detention aim to monitor the conditions of, and services provided to, detainees and to assess whether those services comply with the immigration values and obligations of the Department of Immigration and Citizenship and its contracted service providers. |
| Inspection (other) | The Ombudsman has statutory responsibility for inspecting or auditing the records of law enforcement and other enforcement agencies in relation to the use of covert powers. The Office inspects records relating to telecommunications interceptions, stored communications, surveillance devices and controlled operations. |
| Immigration Residential Housing | Immigration residential housing is a less institutional, more domestic and independent environment for low flight and security risk people in detention, particularly families with children. |
| Investigated complaint | An approach that is classified by the Office as Category 3 or above. |
| Investigation | Occurs when the Office contacts an agency about an issue raised as part of a complaint or because the Ombudsman has chosen to use her/his own motion powers. |
| Improvised dwelling | Makeshift accommodation considered to be unsafe and uninhabitable. These can range from tin sheds to car bodies and makeshift shelters. |
| Income management | A scheme that enables the Department of Human Services – Centrelink to retain and manage at least 50% of a person‘s income support payments. The managed funds can only be allocated to priority goods and services, such as housing, clothing, food, utilities, education and health care. Managed funds cannot be used to purchase prohibited goods such as alcohol, gambling products, tobacco or pornography. The remaining portion of a person‘s income support is available for that person to use as they wish. |
| Independent Merits Review | Independent merits reviews are conducted by independent reviewers appointed by the Minister for Immigration. Independent reviewers are experienced decision makers, the majority of whom have a background in merits review decision making in federal and state administrative tribunals, including the Refugee Review Tribunal. |
| Integrity agency | An independent body that oversights the actions of public sector and/or other specified organisations to ensure these organisations are accountable for their decisions and their clients fairly treated, and to improve administration. Integrity agencies may carry out their functions in one or more ways, including handling complaints, conducting investigations, auditing records and reviewing processes to ensure compliance with the relevant legislation. |
| Irregular Maritime Arrival | A person who arrived in Australia by boat without a visa. |
| Jurisdiction |
Under the Ombudsman Act 1976, the Commonwealth Ombudsman can investigate the administrative actions of most Australian Government agencies and officers. The Act confers six other roles on the Commonwealth Ombudsman:
|
| Migration Review Tribunal (MRT) | The MRT is an independent and final merits review body of decisions made in relation to visas to travel to, enter or stay in Australia. It reviews decisions made in respect of general visas (e.g. visitor, student, partner, family, business, skilled visas). |
| Natural justice | In administrative decision making, natural justice means procedural fairness. The principles of procedural fairness include: the right to a fair hearing; decisions made without bias; providing an opportunity for a person to present a case to address any adverse matters; and providing reasons for decisions. |
| Non-refoulement | The principle that a person seeking asylum cannot be returned to a place where they fear harm, including persecution. |
| Objective | The name of the electronic information management system used by the Ombudsman’s office. |
| Outcomes | The results, consequences or impacts of government actions. |
| Outcome statements |
Outcome statements articulate government objectives and serve three main purposes within the financial framework:
|
| Out of jurisdiction (OOJ) | An approach about a matter about which the Office has no legal power under the Ombudsman Act 1976 to investigate. |
| Own motion investigation | An investigation conducted on the Ombudsman’s own initiative. |
| Prescribed community |
Prescribed areas are defined in the Northern Territory National Emergency Response Act 2007 and include:
|
| Program | Commonwealth programs deliver benefits, services or transfer payments to individuals, industry/business or the community as a whole and are the primary vehicles for government agencies to achieve the intended results of their outcome statements. |
| Project Wickenby | A cross-agency taskforce established in 2006 as part of the Australian Government's campaign against tax evasion, avoidance and crime. |
| Protection Obligations Determination (POD) | The Protection Obligations Determination is a non-statutory process that is outside the Migration Act 1958 for determining whether a person is a refugee. It consists of two parts: a Protection Obligations Evaluation conducted by an officer of the Department of Immigration and Citizenship; and an Independent Protection Assessment conducted by an independent assessor. The POD process replaced the Refugee Status Determination process previously used for irregular maritime arrivals. |
| Public interest disclosure | When a person reveals information that demonstrates improper conduct by a public body in the exercise of its functions. Also known as “whistle-blowing”. |
| Redress of Grievance (ROG) | Members of the Australian Defence Force are encouraged to seek resolution of any complaint at the lowest possible level through the chain of command. A member who is not satisfied with the outcome of the normal administrative processes may seek review through a formal Redress of Grievance submission to their commanding officer. |
| Refugee Review Tribunal (RRT) | The RRT is an independent and final merits review body of decisions made in relation to visas to travel to, enter or stay in Australia. It deals with decisions made in respect of protection (refugee) visas. |
| Refugee Status Assessment (RSA) | The RSA process is a non-statutory process that is outside the Migration Act 1958 for determining whether a person is a refugee. However, it does closely mirror the onshore protection visa process in that asylum seekers are assessed against the criteria set out in the Refugees Convention. The RSA process also builds in common law requirements of procedural fairness throughout the process. |
| Remedy | A solution or correction to a problem that is the subject of a complaint. |
| Resolve | The name of the electronic case management system used by the Ombudsman’s office. |
| Review rights | A person who disagrees with a decision made about them or believes they have been treated unfairly by a government agency may appeal the decision or ask for it to be reviewed by the agency. If the person is not able to resolve their issue with the agency, they may complain to the Ombudsman. |
| Review (Ombudsman) | A complainant who disagrees with an Ombudsman decision can request the matter be reconsidered by a more senior officer within the Office who was not involved in the original investigation. |
| Root cause | The reason or source of a problem that, if adequately addressed, may prevent the problem recurring. |
| Root cause Analysis | A structured approach to identifying the reason or source of a problem in order to address it and prevent the same or similar problems recurring. Involves identifying lessons learned. |
| SmartForm | A web-based form that can be designed to guide a complainant through the process of completing the form. |
| Stored communications | This typically refers to emails and text (SMS) messages, but may include images or video, which are electronically stored by a telecommunications carrier or internet service provider. For instance, an SMS message is stored by a carrier and sent when the intended recipient is able to take the message. Stored communications access occurs under warrant for the purposes of obtaining information relevant to the investigation of an offence. |
| Suppressions | Indicators or alerts that temporarily suspend automatic processing of income tax returns to allow corrective action or review, for example in the case of duplications or possible fraudulent activity |
| Surveillance devices | These are typically listening devices, cameras and tracking devices that are used to gather information relating to criminal investigations and the location and safe recovery of children. The use of these devices will, in most circumstances, require the issue of a warrant. |
| Systemic issue | A problem that is likely to be repeated. These issues are often identified through the analysis of similar individual complaints. |
| Telecommunications interceptions | The recording of telephone conversations or other transmissions passing over a telecommunications network. Interceptions occur under warrant for the purposes of obtaining information relevant to a criminal investigation. |
| The office | The Office of the Commonwealth Ombudsman. |
| The Ombudsman | The person occupying the statutory position of Commonwealth Ombudsman. |
| Third-sector organisations | Community, voluntary and not-for-profit organisations. |
| Unlawful non-citizen | A national of another country who does not have the right to be in Australia. The majority of unlawful non-citizens in Australia at any given time have either overstayed the visa issued to them or had their visa cancelled. Some unlawful non-citizens will have entered Australia without a visa. |
| Warm transfer | See “Assisted transfer of complaints”. |
| Within jurisdiction | An approach about a matter that the office may investigate under the Ombudsman Act 1976. |
| 486O report | 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. |
Abbreviations and Acronyms
| AAT | Administrative Appeals Tribunal |
| ACC | Australian Crime Commission |
| ACCC | Australian Competition and Consumer Commission |
| ACLEI | Australian Commission for Law Enforcement Integrity |
| ACT | Australian Capital Territory |
| ADF | Australian Defence Force |
| AFP | Australian Federal Police |
| AGD | Attorney-General's Department |
| ANAO | Australian National Audit Office |
| ANU | Australian National University |
| ANZOA | Australian and New Zealand Ombudsman Association |
| AP | Age Pension |
| APRA | Australian Prudential Regulation Authority |
| APVMA | Australian Pesticides and Veterinary Medicines Authority |
| APS | Australian Public Service |
| AQIS | Australian Quarantine and Inspection Service |
| ARC | Australian Review Council |
| ASIC | Australian Securities and Investments Commission |
| ATO | Australian Taxation Office |
| AusAID | Australian Agency for International Development |
| AUSTRAC | Australian Transaction Reports and Analysis Centre |
| AYAD | Australian Youth Ambassadors for Development |
| BAS | Business Activity Statement |
| CCMS | Child Care Management System |
| CDDA | Compensation for Detriment Caused by Defective Administration |
| CDPP | Commonwealth Director of Public Prosecutions |
| CO | Commanding Officer |
| CoA | Change of Assessment |
| COAG | Council of Australian Governments |
| Complaints Act | Complaints (Australian Federal Police) Act 1981 |
| CRS | Commonwealth Rehabilitation Service |
| Crimes Act | Crimes Act 1914 |
| CSA | Child Support Agency |
| CSNEG | Child Support National Stakeholder Engagement Group |
| CtG | Closing the Gap |
| Cth | Commonwealth |
| DAFF | Department of Agriculture, Fisheries and Forestry |
| DCCEE | Department of Climate Change and Energy Efficiency |
| DEEWR | Department of Education, Employment and Workplace Relations |
| DEWHA | Department of Environment, Water, Heritage and the Arts |
| DFAT | Department of Foreign Affairs and Trade |
| DFR | Defence Force Recruiting |
| DHA | Defence Housing Authority |
| DHLGRS | Department of Housing, Local Government and Regional Services (NT) |
| DHS | Department of Human Services |
| DIAC | Department of Immigration and Citizenship |
| DPO | Departure Prohibition Order |
| DSP | Disability Support Pension |
| DVA | Department of Veterans’ Affairs |
| ESOS | Education Services for Overseas Students |
| FaHCSIA | Department of Families, Housing, Community Services and Indigenous Affairs |
| FAO | Family Assistance Office |
| FISO | Financial Information Services Officer |
| FOI | freedom of information |
| FTB | Family Tax Benefit |
| GFU | Global Feedback Unit |
| GSM | General Skilled Migration |
| GST | Goods and Services Tax |
| Hon. | Honourable |
| IDCs | Immigration Detention Centres |
| IGT | Inspector-General of Taxation |
| IM | Income Management |
| IMAs | irregular maritime arrivals |
| IU | Indigenous Unit |
| IT | information technology |
| JOIN | Joint Outreach Initiative Network |
| JSA | Job Services Australia |
| KPI | Key Performance Indicator |
| Migration Act | Migration Act 1958 |
| MOU | memorandum of understanding |
| MRC | Mail Redistribution Centre |
| MRCA | Military Rehabilitation and Compensation Act 2004 |
| MRT | Migration Review Tribunal |
| NOC | National Ombudsman Commission |
| NSW | New South Wales |
| NT | Northern Territory |
| NTER | Northern Territory Emergency Response |
| OCPNG | Ombudsman Commission of Papua New Guinea |
| OH&S | Occupational Health and Safety |
| Ombudsman Act | Ombudsman Act 1976 |
| ORI | Ombudsmen of the Republic of Indonesia |
| PIO | Postal Industry Ombudsman |
| POA | Pacific Ombudsman Alliance |
| PPOs | Private Postal Operators |
| PRC | People’s Republic of China |
| PSU | Professional Standards Unit |
| Prof. | Professor |
| QLD | Queensland |
| RAAF | Royal Australian Air Force |
| RAMSI | Regional Assistance Mission to the Solomon Islands |
| RBA | Reserve Bank of Australia |
| RMAT | Reasonable Maintenance Action Test |
| ROG | Redress of Grievance |
| RSA | Refugee status assessment |
| RSL | Returned and Services League |
| s | Section |
| ss | Subsection |
| SA | South Australia |
| SD | Surveillance Devices Act 2004 |
| SES | Senior Executive Service |
| SIHIP | Strategic Indigenous Housing and Infrastructure Program |
| SSAT | Social Security Appeals Tribunal |
| STARTTS | Service for Treatment and Rehabilitation of Torture and Trauma Survivors |
| TAS | Tasmania |
| TFN | tax file number |
| TIA Act | Telecommunications (Interception and Access) Act 1979 |
| TRA | Trades Recognition Australia |
| TTMRA | Trans-Tasman Mutual Recognition Agreement |
| UAC | Uniform Assessment Criteria |
| VAC | Visa Application Charge |
| VIC | Victoria |
| WA | Western Australia |
| WISH | Woolloomooloo Integrated Services Hub |
List of Figures and Tables
Figures
| Figure | Page in printed version |
|---|---|
| Figure 1.1: Executive and senior management structure at 30 June 2012 | 4 |
| Figure 2.1: Time taken to finalise all approaches and complaints 2005–06 to 2011–12 | 11 |
| Figure 4.1: Approach and complaint trends, 2005–06 to 2011–12 | 40 |
| Figure 4.2: Approaches and complaints within jurisdiction by agency/area 2011–12 | 43 |
| Figure 4.3: Centrelink—received complaints 2004–05 to 2011–12 | 45 |
| Figure 4.4: Child Support—received complaints 2004–05 to 2011–12 | 56 |
Tables
| Table | Page in printed version |
|---|---|
| Table 2.1: Internal review of decisions 2011–12 | 10 |
| Table 2.2: Time taken to finalise investigated complaints for selected agencies 2011–12 (2010–11) | 11 |
| Table 3.1: Staffing profile by gender, APS classification and salary range at 30 June 2012 | 30 |
| Table 3.2: Staffing profile by location at 30 June 2012 | 31 |
| Table 3.3: Staffing profile showing part-time employees by location at 30 June 2012 | 31 |
| Table 3.4: Staffing profile showing part-time employees by classification at 30 June 2012 | 31 |
| Table 3.5: Staffing profile showing staff separations by classification at 30 June 2012 | 32 |
| Table 3.6: Expenditure on consultancy contracts 2009–10 to 2011–12 | 36 |
| Table 4.1: Approaches and complaints, by method received, 2005–06 to 2011–12 | 41 |
| Table 4.2: Complaints received about the postal industry since 2006–07 | 67 |
Compliance Index
This is a guide to the report’s compliance with the Requirements for Annual Reports as approved by the Joint committee of Public Accounts and Audit under subsections 63(2) and 70(2) of the Public Service Act 1999.
| Title | Page in printed version |
|---|---|
| Letter of transmittal | III |
| Table of contents | VI-VII |
| Index | 220 |
| Glossary | 204-216 |
| Contact officer | V |
| Internet home page address and Internet address for report | V |
| Title | Page in printed version |
|---|---|
| Review by departmental secretary | VIII–IX |
| Summary of significant issues and developments | VIII–IX |
| Overview of performance and financial results | 8–19 |
| Outlook for 2012–13 | VIII–IX |
| Title | Page in printed version |
|---|---|
| Role and functions | 2-3 |
| Organisational structure | 4 |
| Outcome and program structure | 5 |
| Variation of outcome and output structure from Portfolio Budget Statements | N/A |
| Title | Page in printed version |
|---|---|
| Review of performance in relation to outputs and contribution to outcomes | 8-18 |
| Actual performance in relation to deliverables and KPIs set out in PBS/PAES or other portfolio statements | 8-18 |
| Performance of purchaser/provider arrangements | 36-37 |
| Changes in performance targets, and reasons for the change | N/A |
| Discussion and analysis of performance | 34, 35 |
| Trend information | 40-43 |
| Significant changes in nature of principal functions/services | N/A |
| Factors, events or trends influencing organisational performance | N/A |
| Contribution of risk management in achieving objectives | 24-26 |
| Social inclusion outcomes | 15, 200 |
| Performance against service charter customers service standards, complaint data and response to complaints | 10-11 |
| Discussion and analysis of the organisation’s financial performance | 34 |
| Discussion of any significant changes from the prior year or from budget | 22, 34-35 |
| Resource statement and summary resource tables by outcomes | 153-4 |
| Developments since the end of the financial year | 34-35 |
| Title | Page in printed version |
|---|---|
| Corporate governance practices in place | 25 |
| Senior executive and their responsibilities | 22-24 |
| Senior management committees and their roles | 24-25 |
| Corporate and operational planning and associated performance reporting and review | 24-25 |
| Approach adopted to identifying areas of significant financial or operational risk | 24-26 |
| Compliance with Commonwealth Fraud Control guidelines | 26 |
| Policy and practices on the establishment and maintenance of appropriate ethical standards | 26 |
| Determination of remuneration for SES officers | 30-32, 185-188 |
| Title | Page in printed version |
|---|---|
| Significant developments in external scrutiny | 27-28 |
| Judicial decisions and decisions of administrative tribunals | 28 |
| Reports by Auditor-General or Parliamentary Committees | N/A |
| Title | Page in printed version |
|---|---|
| Assessment of effectiveness in managing and developing human resources to achieve departmental objectives | 29–34 |
| Workforce planning, staff turnover and retention | 29–34 |
| Impact and features of collective agreements, determinations and AWAs | 29 |
| Training and development undertaken and its impact | 32–33 |
| Occupational health and safety performance | 33–34 |
| Productivity gains | 37 |
| Statistics on staffing | 30–32 |
| Collective agreements, determinations and AWAs | 29 |
| Performance pay | 29 |
| Title | Page in printed version |
|---|---|
| Assets management | 35 |
| Assessment of purchasing against core policies and principles | 36, 37 |
| Consultants | 36 |
| Absence of provisions in contracts allowing access by the Auditor-General | 36 |
| Contracts exempt from the AusTender | 36 |
| Financial statements | 155-199 |
| Title | Page in printed version |
|---|---|
| Occupational health and safety | 33 |
| Freedom of information statements | 144 |
| Advertising and market research | 37 |
| Ecologically sustainable development and environmental performance 27 | 27 |
| Grant programs | 36 |
| Disability reporting—explicit and transparent reference to agency-level information available through other reporting mechanisms | 34, 200 |
Correction of material errors in previous annual report
No material errors have been identified in the
Commonwealth Ombudsman Annual Report 2010–2011