• You are here:
• Home /
• Publications /
• Internal

Internal

Statement of Strategy 1997-1999

Statement of Strategy 1997-1999

Introduction

by Kevin Murphy, Ombudsman

During the course of my tenure the Office of the Ombudsman, with the support of the Oireachtas, will aim to:

• strengthen its independence and powers;
• develop a comprehensive remit across the public service;
• achieve a high level of public awareness of the existence and function of the Office;
• continue to earn the respect and co-operation of the agencies within remit; and,
• by providing feedback to these agencies, contribute to the improvement of standards of public administration.

The Office of the Ombudsman cannot stand apart from the various changes occurring in the Irish public service and indeed must contribute to those changes. In my Annual Reports for 1994 and 1995, I welcomed the Strategic Management Initiative (SMI) and committed my Office to the process; while good work has been done, much remains to be achieved. This strategy statement is an effort by the Office to chart its development over the next 3 years; it was prepared in consultation with all staff and will be subject to regular review by the Office.

I am required by law to be independent in the exercise of my functions and this independence is the foundation stone of the Office of the Ombudsman. I must be able to operate without being influenced by Government action. Not alone must my Office be independent in fact, it must also be seen as such by those who use the service I provide. The Constitution Review Group recommended that a new Article be inserted in the Constitution confirming the establishment of the Office of Ombudsman and providing for the independent exercise of such investigative and other functions of the Office as may be determined by law. I welcome this recommendation and agree with the Group that such a constitutional guarantee of independence would reinforce freedom from conflict of interest, from deference to the executive, from influence by special interest groups, and that it would support the freedom to assemble facts and reach independent and impartial conclusions.

My Office is concerned with more than the quality of service delivered to the public. It is mandated by the Oireachtas to ensure fair and sound administration, concepts which are the heart of effective democracy. I want to stress that the principles of fairness and equity are most important when we come to examine the concept of quality in public administration. Of course efficiency and cost effectiveness are key elements but, unlike his/her counterpart in the private sector, the public service customer or client seldom has the choice of an alternative competitive supplier. Equality of treatment is, therefore, very important and should not be lost sight of when efficiency measures, including, for example, contracting out of public services, are being implemented. My Office can help to ensure that proper complaints procedures and appeals mechanisms become part and parcel of the developing relationships between public service providers and their clients.

As I have pointed out in my Annual Reports, the Office of the Ombudsman is concerned with holding the administration accountable to the citizen. There is an obvious overlap here with the functions of the courts; I see no contradiction in this. In the area of public administration, the Ombudsman represents an alternative means of dispute resolution to that offered by the courts. My services are freely available to every person and my Office will continue to strive to provide an informal, effective, impartial and non-adversarial means of investigating grievances. There is growing interest in all countries in freeing up the work of the courts. It is increasingly recognised that the Ombudsman's Office represents a significant alternative means of resolving certain disputes between the State and its citizens.

Sir Brian Elwood, the Chief Ombudsman of New Zealand commented elegantly on the relationship between the Ombudsman and the courts when he said:

"A matter of administration I define as a matter associated with the process of government which itself is not a matter of law or a matter of law making. My approach is to see the office of the ombudsman and the courts as complementary processes for ensuring that administrative decisions accord with the law, are fair, reasonable and not improperly discriminatory. This complementarity should not be seen as the creation of opposites but rather as a contrast between different methods of oversight, one determinative, the other recommendatory, one based significantly on precedent and the application of the law and the other on achieving an outcome reasonably acceptable to those affected."

I am also anxious to promote and develop the relationship which my Office has with the Oireachtas. It should be noted that although the Ombudsman reports to the Oireachtas, he is not an officer of the Oireachtas. The Ombudsman depends in the end on persuasion, criticism and publicity to get his recommendations accepted and, for this reason, the support and interest of the Oireachtas in his work is very desirable. Equally, the Ombudsman can be of service to the Oireachtas by drawing its attention in his Annual Reports to deficiencies in the area of fair and sound administration. A particular area of concern is the huge amount of secondary legislation arising directly at national level or as a result of European Union membership. Most of this legislation is not subject to any parliamentary scrutiny and can give rise to the so-called democratic deficit. The Ombudsman could perhaps be of service to the Oireachtas in drawing attention to the not infrequent instances where delegated legislation seems to go further than intended by the primary legislation. In this context, I have noted the recommendation of the Constitution Review Group that consideration should be given to an amendment to Article 15.2.1 of the Constitution so that the Oireachtas should have the power to authorise by law the delegation of power to either the Government or a Minister to legislate using the mechanism of a statutory instrument. I have suggested to the All Party Oireachtas Committee on the Constitution that the Ombudsman should be granted specific powers in cases where delegated legislation could have an adverse effect.

One of the recognised ways of improving service to the public is by "benchmarking" exercises and learning from other organisations and practitioners. Our contacts with other Ombudsman Offices are very important. Aside from the wealth of experience we have to share with one another, we can also learn from the continuing debate on what constitutes best practices for Ombudsmen and indeed make a valuable contribution to that debate.

At the heart of many of the complaints I receive is the question of access to information. The growing complexity of the administrative and legislative system places the public at a disadvantage in seeking information and even in knowing what information to look for. There is a clear onus on public bodies to work actively to disseminate information and the emerging information and communications technologies are making this a simpler task. This growing complexity of the administrative and legislative system also places particular demands on the Office of the Ombudsman. In order to examine each complaint properly, staff must have ready access to all the relevant legislation, schemes and circulars; it is becoming increasingly apparent that we need a centralised research function in the Office in order to facilitate timely access to such material.

I could not function as Ombudsman without the team of expert, committed and enthusiastic people who staff the Office. It has become commonplace for strategy statements to declare that staff are an organisation's most important resource; the fact that it is so frequently stated should not in any way detract from its essential truth.

Strategic Management in the Office of the Ombudsman

by Pat Whelan, Director

The Office of the Ombudsman is one of the newer institutions in the public service. It has a unique role in that it makes available an alternative method of dispute resolution to that provided by the courts. It is the bridge between the citizen and the administration and a source of feedback to the Oireachtas on the performance of the administration.

Since its inception in 1984, the Office has received over 46,000 complaints and in successive debates on the Ombudsman's Annual Reports, the Oireachtas has commented favourably on the work of the Office. The Government's policy document "A Government of Renewal" proposes to widen the remit and powers of the Ombudsman in a manner which is outlined in this document.

As the Ombudsman points out, the major challenge facing the Office is to build on past achievements and to consolidate its position as a trusted and credible institution on the Irish public administration landscape. The more immediate challenge is to prepare for the proposed additions to the remit and powers of the Office. We recognise that none of these goals is attainable without staff involvement and commitment and a keen appreciation by staff of the importance of the work they undertake on behalf of the Ombudsman.

The Strategic Management Initiative has given us a framework within which to address these challenges. Our first SMI action plan was prepared in 1994 and in this Statement of Strategy we have set out our strategies for the coming 3 years and how we propose to attain them. From the outset we have recognised the benefits which the SMI process can bring to the Office and we now have systems in place to ensure full staff involvement in planning the future development of the Office.

It is essential for an Ombudsman's Office to maintain a fresh and innovative approach to its work. It is important that front line staff, in particular, are seen to be valued for the difficult job they do as the first point of contact with complainants who feel they have suffered injustice and come to the Ombudsman as their last resort. The Office needs to ensure that it meets the highest standards of equity in its dealings with the citizen and with the public bodies within its remit and that it seeks to promote such standards within the public service generally. The Office must have the capacity to advise and support the Ombudsman of the day and to implement his or her plans and policies.

This Statement of Strategy attempts to address these priorities. It has evolved from a critical assessment of the Office by staff at all levels and provides a positive plan of action for the next 3 years.

Present Position of the Office

The Ombudsman's mandate is derived from the Ombudsman Act, 1980. His primary role is to examine complaints from members of the public about the actions of public servants. While the number of people who complain to him represent a small fraction of the client base of the agencies within remit, it is undoubtedly the case that the Ombudsman is in a unique position to highlight systemic defects in public administration and to suggest changes to address these defects.

In his Annual Report for 1994, the Ombudsman enumerated a number of Principles of Good Administration and a Charter of Citizen's Rights which he uses to guide him in deciding on cases. In his 1995 Annual Report, he illustrated these principles with detailed references to the complaints he had encountered, and explicitly identified what he saw as the administrative failings of the agencies concerned. It is to be hoped that this explicit feedback to the agencies within remit will assist them in working to avoid the recurrence of such complaints and to improve the service offered to the public.

The Oireachtas has also conferred certain other functions on the Ombudsman. He is a member of the five-person Public Offices Commission which was established under the Ethics in Public Office Act, 1995. The Commission secretariat is provided by the Ombudsman's Office. In addition, he acted as a member of the Ad Hoc Commissions on the Divorce and Bail referenda and as a member of the Dáil Constituency Commission.

The recognised essential characteristics of an Ombudsman are:

Independence and Impartiality

Impartiality requires independence. Independence, in turn, requires statutory or legal underpinning, security against arbitrary removal, the power to issue and publish reports with the protection of legal privilege and, finally, adequate resources to do the job.

Effectiveness

There are four aspects to this. First, public awareness and access to the Office of the Ombudsman. Second, adequate powers of investigation and third, power to propose remedies. The final aspect is effectiveness in securing compliance with findings or recommendations.

Not surprisingly, the key objectives identified in the strategy statement are closely related to these essential characteristics of an Ombudsman.

Public access and awareness of the Office are crucial if the Ombudsman is to perform his functions effectively. Equally important is the education of the staff of the agencies within remit as to the nature and powers of the Ombudsman.

Far-reaching changes in the Ombudsman's role and mandate are being proposed by Government. The impending Ombudsman (Amendment) Bill will significantly extend his remit and powers. The proposed Freedom of Information legislation envisages an Information Commissioner role for the Ombudsman which will be pivotal in the move towards a more open and accountable culture in the Irish public service. In addition, the suggested Administrative Procedures legislation will promote a public service which will be more responsive to its clients and customers and will confer a monitoring and regulatory role on the Ombudsman in relation to standards of service offered to the public.

Strategic Challenges

The Irish public service is facing radical change. The Freedom of Information Bill and other planned legislative changes mentioned in the preceding section, together with the proposed amendments to the Ministers and Secretaries Act, 1924, are part of a programme to promote a more open and transparent administration. The clarification of the allocation of authority, accountability and responsibility within the public service should work to improve services to the public and so directly affect the nature of the work we do in the Office of the Ombudsman.

A statutory obligation to give reasons for decisions as envisaged in the Freedom of Information Bill, coupled with readily available information on services, schemes and guidelines should go a long way towards meeting the demand for a more customer oriented public service. In addition, published standards of service as envisaged in the proposed Administrative Procedures legislation and accessible internal complaints mechanisms should add to the momentum for change. The development and promotion of these initiatives within each public body will be complemented by the role of the Office of the Ombudsman in examining complaints and promoting fair and sound administration.

In reviewing the Office's operations, and taking into account our experience to date with SMI, the Office of the Ombudsman has identified the following key strategic challenges:

Independence

The Office must act as the protector of the rights of the public in their dealings with the public service. It should be perceived as a distinctive, vigorous, proactive force promoting administrative accountability and working towards the continued improvement of standards of public administration. It requires the necessary resources to do this job. By providing an alternative means of dispute resolution to litigation, the Office can work to the benefit of all parties. The concept of an independent Ombudsman can be promoted by co-operation with Ombudsman Offices in other countries.

Public Access and Awareness

All members of the public who believe themselves to be adversely affected by defective administration must have ready access to the Ombudsman regardless of socio-economic background, ethnic origin, geographical location, sex, language differences or disability. Easy access to the Office implies a high level of public awareness of the Ombudsman.

An Effective Complaints Examination Service

The Office must investigate complaints fairly and efficiently and each complaint must receive the examination appropriate to that complaint. We will seek to ensure systemic change in the bodies within remit and so avoid recurring patterns of complaints. Through comparisons with other similarly constituted Ombudsman Offices, we will promote best practice in our Office.

Human Resources

The people who are the Office of the Ombudsman must be committed, informed and enthusiastic. It is the responsibility of management to provide the environment and resources to facilitate this.

Concrete strategies in relation to each of these challenges are defined later in this statement appropriate performance indicators for each strategy are identified.

Mission

We provide an independent, accessible, fair and effective complaints examination service.

This broad statement covers the core areas of the Office's activity and focuses on the key strategic issues which we believe the Office faces over the next 3 years. It emphasises that our primary role is the examination of complaints and it will assist us in defining how we should carry out that role.

A number of strategic objectives are derived from this mission statement and these are outlined within this document.

Objectives

This section outlines the key objectives of the Office, enumerates strategies designed to attain those objectives and lists the measures or performance indicators by which we will gauge our progress.

Objective	Strategy	Performance Indicator
Independence	Ensure that the Office is dedicated to serving the needs of the citizen	Trust and confidence among public and among bodies within remit as measured by periodic surveys.
	Seek to promote co-operation with the courts	References in speeches and papers and feedback from courts and legal profession.
	Continue to promote and develop good working relations with the Oireachtas Ensure adequate resources both in terms of staff and finance	Feedback on Annual and other Reports submitted to the Oireachtas. Performance management indicators, including case numbers and complexity.
	Co-operation with other Ombudsman Offices and other sister institutions internationally	"Benchmarking" exercise with other Ombudsmen.
	Continue to develop "Ombudsman jurisprudence" as a means of alternative dispute resolution	Feedback on Annual and other Reports of the Ombudsman.
Accessibility	Increase public awareness	Press and other media coverage. Number of regional visits and visits to Citizens Information Centres. Number of enquiries to the Office. Percentage of "invalid" complaints. Periodic market research.
	Improve access to Office, physically and electronically	Free phone and free post usage. Number of electronic contacts.
Fairness	Ensure each complaint is handled effectively	Client survey measure. Fair complaints examination procedures, including procedures for internal review of decisions on appeal.
	Be open and courteous with complainants	Ensure relevant points in a complaint addressed and explain decisions clearly - measure by periodic client survey.
	Nurture co-operative working arrangements with agencies within remit and with community organisations	Number of meetings and contacts with agency liaison personnel. Number of visits to Citizens Information Centres.
Effectiveness	Provide an efficient complaints examination service	Cost per case. Percentage of complaints finalised where complainants received assistance. Age profile of complaints.
	Contribute to improving standards of public administration	Number of improvements to practices and procedures within public bodies. Number of talks to staff of bodies within remit.
	Continue to improve the quality of the complaints examination process	Management and peer review. Number of case-related issues which could be progressed by the establishment of a research function in the Office.
	Ensure high standards of customer service	Ensure performance management system in place. Publish customer satisfaction levels.
	Well trained and motivated staff	Establish fair performance standards, including a consistent system of performance assessment. Number of training days per year.

Implementation and Next Steps

Implementation of this plan is a major challenge for the staff and management of the Office of the Ombudsman. Adaptation of the Office's information systems is already underway to ensure that timely and accurate information on performance indicators is available and this project should be completed by in 1997.

The responsibility for the implementation of the plan rests with management but the full and active co-operation of staff will be required. Ad hoc teams may be established to work on specific projects as required by the plan.

Review

Progress in the implementation of this plan will be reviewed on a regular basis by the management of the Office of the Ombudsman. An annual review will take place which will involve all staff. In addition staff will be involved in, and consulted on, the plan's implementation and kept informed of progress.

Back to contents