Report on Nursing Home Subventions
Chapter 8 - Some Reflections
Some Reflections
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This report is critical of the Department of Health and Children and of
the health boards. Is this criticism fair or does it amount to no more
than an academic analysis which reflects a failure to appreciate the
realities of how Ireland is actually governed? Does the analysis take
account of the problems "on the ground" of maintaining schemes or
programmes where the resources available are inadequate? Is it not the
case that the actions of the Department actually improved the real
level of support being provided to elderly long-stay patients and their
families? Were the Department's actions - in taking short-cuts, in
disregarding legal advice, in assuming powers which technically it did
not have, in resisting a growing weight of evidence and complaints that
its subvention scheme was seriously flawed - were these actions
understandable in that the alternative (amending the legislation) was
likely to be politically unacceptable? Is it fair to expect that the
health boards should have acted independently of the Department (their
paymaster) and have satisfied themselves that the Regulations were
valid?
In the long run, the exercise of non-existent authority, the
"surreptitious" (to quote one of the commentators) introduction of
family assessment, the disregard for clear principles of law, the
sustained proffering of incorrect advice, the reluctance to acknowledge
mistakes, the tardiness in the Department's dealings with the
Ombudsman's Office - all of these can only undermine public confidence
in government and in our democratic institutions and call into question
whether the present arrangements facilitate efficient, open and
accountable government. From the point of view of the Oireachtas, to
which this report is addressed, the issue is whether its intentions, as
expressed in legislation, were honoured as befits its constitutional
status.
The Ombudsman operates in the real world and recognises that
resources are limited. Sometimes people's needs can only be met on the
basis of a system of priorities. So long as these priorities are set by
reference to clear and transparent criteria (for example, as with
housing lists or orthodontic treatment waiting lists) the necessary
element of fairness is maintained; although, in the Ombudsman's view,
these criteria should properly be provided for on a statutory basis.
Furthermore, if economic and financial difficulties of a serious nature
arise, any diminution of entitlements should be effected by reference
to these criteria.
But in relation to the payment of subventions to patients in
private nursing homes, the Ombudsman is convinced that the actions of
the Department and of the health boards were fundamentally wrong. What
was done represented, in the eyes of the Department, a pragmatic
response to a difficult situation; one in which, in effect, the
Department (along with the health boards) was expected to achieve a
particular objective without being given the means so to do. The
Department always had the option to declare that what was expected,
viz. the creation of a nursing home subvention scheme, was simply not
achievable. But it appears that within the culture of Irish public
administration, in which the head of a Department of State is almost
invariably an elected member of the Oireachtas, this type of approach
is rarely seen as a real option.
In this concluding chapter, the Ombudsman wishes to move from the
particular case represented by the nursing home subvention scheme to
more general and, indeed, more fundamental considerations. |
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This report is concerned with a particular social policy
initiative, how it was conceived, provided for in legislation, funded
and implemented. The Ombudsman became involved because members of the
public complained about the manner of its implementation. The
Ombudsman's investigation of these complaints reveals serious
deficiencies and these are detailed in the earlier chapters of this
report. Stepping back from all the detail of the earlier chapters,
there is one overarching issue which may be put in the form of the
following questions: why did this project go so badly wrong? why did it
continue to operate so unsatisfactorily for so long? which systems,
which should have picked up on these problems, failed to function? In a
democratic society, where governmental arrangements are predicated on a
system of checks and balances, one is entitled to expect that oversight
and accountability mechanisms would have identified and dealt with
these problems. The fact that this did not happen has to be a cause for
concern.
The Ombudsman's Office - though not provided for
constitutionally - forms part of our system of checks and balances and
this report to the Houses of the Oireachtas is intended to draw
attention to one particular failure within the overall accountability
framework. However, the Ombudsman's jurisdiction relates to
administrative actions only and does not encompass all of the elements
which make up the wider governmental process. The present report has
identified serious issues in regard to the relationship, on the one
hand, between the Oireachtas and the Executive and, on the other, the
relationships within the Executive between the political and
administrative levels as well as between those controlling resources
and those in receipt of resources. The Ombudsman is drawing attention
to these issues in the hope of encouraging serious debate on them. In
this regard, the present report reinforces the concerns expressed by
the Ombudsman in his report Lost Pension Arrears which was presented to
the Oireachtas in June 1999.
A detailed analysis of the constitutional and legal framework of
government is beyond the scope of this report but a brief survey of the
issues, and of possible responses, is presented here. Because these
issues relate to accountability, to authority and to oversight
mechanisms generally, they are of central importance in a democratic
society.
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"The sole and exclusive power of making laws for the State is
hereby vested in the Oireachtas: no other legislative authority has
power to make laws for the State."
Bunreacht na hÉireann, Article 15.2.1
The Government shall be responsible to Dáil Éireann.
The Government shall meet and act as a collective authority,
and shall be collectively responsible for the Departments of State
administered by the members of the Government.
Bunreacht na hÉireann, Article 28.4.
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Oireachtas and Executive
The model for government in Ireland is set out in the
Constitution (particularly Articles 6, 15 and 28) and in statute
(particularly the Ministers and Secretaries Act, 1924 as amended).
Ireland is a parliamentary democracy with a written Constitution
providing for the traditional division of powers between the
legislature, executive and judiciary. The executive power of the State
is exercisable by or on the authority of the Government, which acts
collectively and which is "responsible to Dáil Éireann". The Government
is collectively responsible for the "Departments of State administered
by the members of the Government", i.e. by Ministers. Each Department
of State is a "corporation sole" and all the acts of a Department are
the acts of its Minister for which she or he is responsible to the
Dáil.
This model of government is posited on notions of checks and
balances and accountability. Practice in recent decades suggests that,
increasingly, this model is more of a theoretical construct than a
reality. This may be particularly the case in terms of the actual
balance of power as between the executive and the legislature and in
terms of the capacity of the legislature to supervise the executive.
The notion that the Oireachtas sets policy, makes the laws and
then leaves it to the executive to implement the laws does not fit with
how government operates in practice. The reality, as attested by many
political scientists and commentators, is that the Government once
elected controls the Houses of the Oireachtas with a resulting
diminution in the capacity of the Houses to supervise the executive.
For all practical purposes, it is the Government which decides policy;
which proposes legislation and ensures its passage through the
Oireachtas and, subsequently, in its executive capacity ensures that
the laws are implemented.
In Administrative Law in Ireland (3rd edition, 1998), Hogan and
Morgan describe the Irish governmental system as a "fused
executive-legislature" rather than one in which the executive and the
legislature are separate. They write:
"... all the Dáil's powers over the Government are conditioned
by the basic fact of political life which is that a Government can
almost always command the support of a majority of deputies, because
deputies are elected principally on the basis of the party which they
have pledged themselves to support in the Dáil. Such is the strength of
the whip-system that the legislature cannot be regarded as speaking
with a voice independent of the executive and, so, it is realistic to
characterise the central element in the Irish governmental system as a
fused executive-legislature."
Writing almost 30 years earlier than Hogan and Morgan, the same issue was addressed by Basil Chubb in somewhat starker terms:
" A division of functions and powers along the lines suggested by the
literal meaning of the words of the Constitution does not obtain in
Ireland. It would be absurd to think of the Government as having only
'executive' functions. ... Again, it would be misleading to envisage
the Oireachtas as 'making laws' in the literal sense or to the extent
that American congressmen, for example, are 'legislators'. The
Oireachtas has the authority to declare law and thus to legitimize it.
Although it makes some contribution to its content by way of criticism
and amendment, the initiative in preparing and proposing bills rests
almost wholly with the government, and the origins and formulation of
legislation owe little to the Oireachtas as such."
Constitution and Constitutional Change (3rd edition, 1970) |
"In any democracy the role of Parliament is central in:
1.deciding on legislation
2.establishing departments and other agencies of the State to implement fully and fairly legislation,
3.ensuring that Ministers, Departments and State Agencies are fully accountable to it, and
4.holding the Government to account."
Committee of Public Accounts, Parliamentary Inquiry Into DIRT - First Report, December 1999
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If Chubb's analysis is accurate - and several more recent commentators
appear to take the same broad view1 - then it would make sense either
(a) to legitimise the actual practice by way of an appropriate
amendment to the Constitution (while taking care to provide for some
new system of checks and balances) or (b) change the practice in a
manner which allows the legislature to exercise its constitutional
functions of law making and of supervising the executive. It is
disappointing that the 1996 Report of the Constitution Review Group
makes no proposals in this area. However, it does seem to the Ombudsman
to be fundamentally unsatisfactory that the practice of government
should diverge so significantly from the theoretical model.
Whereas Dáil Éireann remains supreme in that it retains the
ultimate power of making or breaking a Government, power actually
resides with the Government rather than with the Oireachtas. Some
Oireachtas members, for their part, give the impression that
legislation is the property of the sponsoring Minister and his or her
Department rather than of the Oireachtas itself. This is particularly
the case with lengthy and highly technical Acts such as the annual
Finance and Social Welfare Acts. In terms of secondary legislation, as
this present report suggests, the Dáil and Seanad appear to have no
effective mechanism for vetting regulations. This means that the Dáil
and Seanad find it very difficult to exercise any legislative or
supervisory role other than what is permitted by the Government of the
day.
The main casualty in all of this is the integrity of the
governmental process. As currently operated, the system of checks and
balances envisaged in the Constitution appears not to be functioning.
If it were functioning, it is unlikely that the difficulties with the
nursing home subvention scheme (as described in this report) would ever
have arisen.
If the system had functioned properly in this case, the issue of
requiring adult sons and daughters to contribute to their parents'
nursing home costs would have been raised, debated and decided upon
within the Oireachtas. Similarly, if the Oireachtas had been made aware
at the outset that the State did not have the financial capacity to
meet its obligations to elderly patients in need of nursing home care,
then it could (had the system functioned properly) have debated
priorities and options and, perhaps, decided to target scarce resources
more effectively. For example, the Health Acts might have been amended
to confine hospital entitlement to a smaller proportion of the
population. The Ombudsman is not aware that any such analysis or
proposal was ever put to the Dáil and Seanad. The action actually taken
was at the executive level and was by way of secondary legislation
which the Dáil and Seanad had no real opportunity to debate or amend.
It is true that, within a restricted timeframe, a motion opposing the
coming into effect of a regulation may be put down in either of the two
Houses of the Oireachtas; but the volume of secondary legislation is
now so great that such motions seldom, if ever, occur. |
"Although the constitution implies that the government merely
carries out the policies decided by the Oireachtas, the reality is very
different ... The government's monopoly on legislative initiative, and
virtual immunity from informed review or criticism, has fostered a
distinctive style of rule in Ireland. Executive government is strong,
though not necessarily very effective."
Eunan O'Halpin, "Policy Making", in Politics in the Republic of Ireland (eds. John Coakley & Michael Gallagher), 1992
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Concerns Expressed
Within the Oireachtas itself, and among commentators on politics
and government, concerns are increasingly being expressed about the
manner in which the respective branches of government relate to one
another and, more specifically, as to whether the Houses of the
Oireachtas are in a position to exercise fully their functions. The
Ombudsman feels it is important to advert to these expressions of
concern and, without in any way wishing to be drawn into party
political debate, some recent examples are summarised below.
_ At a meeting of the Committee of Public Accounts (PAC) on 13
July 2000 the Committee Chairman, Deputy Jim Mitchell, made a series of
comments on the need for parliamentary reform as well as wider
governmental reform. Deputy Mitchell observed:
"Following the DIRT inquiry it was the conclusion of this
committee that all the recent scams, going back to the beef scandal,
were contributed to, in part at least, by the lack of performance by
the Oireachtas itself in obtaining accountability from the Government
and state agencies."
Deputy Mitchell went on to comment that insufficient attention
was being paid by the House itself to "the need for accountability,
proper processes, and checks and balances in the system".
_ In its report of December 1999, entitled Parliamentary Inquiry
Into DIRT - First Report, the PAC discussed the issue of Oireachtas
reform. The PAC identified a number of weaknesses in procedures and
practices and made a series of recommendations as to how matters might
be improved. Overall, it was the view of the PAC that "accountability
to the Oireachtas is weakened ... by a lack of clear boundaries between
Parliament and Government."2
_ The Fine Gael party published a policy document in September
2000 entitled A Democratic Revolution - A Plan for Institutional and
Public Service Reform. This document drew attention to a number of
concerns of relevance in the present context. These included:
- a concern that the "laws enacted by Parliament elected by the
people are often set aside or ignored by the very public servants hired
for the directly opposite purpose";
- a concern that legislation is increasingly framed "in a way
that allows political or administrative discretion to decide which
individuals should benefit from it, rather than the application of
clearly drafted rules";
- a concern that the Houses of the Oireachtas are ineffective
"in scrutinising the activities of Ministers so as to ensure that
Ministers are acting in the public interest in the discharge of their
duties..." and a related concern with what is termed the "subjugation,
possibly unconstitutional, of the Houses of the Oireachtas to the
Government which they are supposed to hold to account".
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" It is understandable that Governments in power are not anxious to
burden themselves with keen and effective critics, but what of the
members generally and the Oireachtas as a body? Members have, it seems,
accepted the comparatively passive role, so far as legislation and the
scrutiny of the conduct of business are concerned, which has become
such a feature of British parliamentary life in this age of disciplined
parties and large-scale governmental operations."
Basill Chubb (ed.), A Source Book of Irish Government, 1964
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_ Speaking in a personal capacity, the present Attorney General, Mr.
Michael McDowell SC recently alluded3 to a "democratic deficit" arising
from the non-involvement of the Oireachtas in relation to European
Union law making. Mr. McDowell made the point that, "unlike some other
European member state parliaments, the Oireachtas does not, to any
significant extent, claim for itself a right of input into forthcoming
directives or regulations". He went on:
"Indeed, the scheme of incorporation of directives into Irish law
envisaged by the European Communities Act, 1972 which allows for
incorporation by regulation subject to parliamentary veto has little
effect in reality. The theoretical supervisory role exercisable under
the 1972 Act remains just that - theoretical."
Mr. McDowell suggested that it is possible for a Minister at a
departmental level to negotiate the terms of a draft directive or
regulation without reference to his or her Government colleagues and to
make a regulation under the 1972 Act transposing it into Irish law
"without substantial governmental involvement and without any notice at
all to the Oireachtas."
_ The Government has recently published a discussion document, A
Dáil for the New Millennium, which "recommends the most radical
reappraisal of the workings of the Dáil parliamentary system since the
foundation of the State." These proposals are designed to "increase the
relevance and effectiveness of the Oireachtas by way of reform of some
of its undoubtedly outmoded procedures and practices." These proposals
appear to represent a response to some of the concerns identified
earlier in this chapter. |
"The nub of the matter is that the Houses of the Oireachtas have
failed to assert their proper role in the governance of our society.
The difference between the Legislative Branch and the Executive Branch
has been fudged and obscured resulting in essentially political
questions being frequently referred to the Judicial Branch in either
Courts or Tribunals for resolution."
A Democratic Revolution
_ A Plan for Institutional and
Public Service Reform
(Fine Gael, September 2000)
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Relationships within Executive
What is of interest here is the nature of the relationship
between a Minister and his or her senior civil servants. The legal
status of the Minister as a corporation sole generally precludes the
possibility of independent action by senior civil servants. All acts of
the Department and of its officials are the acts of the Minister. This
remains the case even after the enactment of the Public Service
Management Act, 1997. Of course, in practice, common sense has to apply
in relation to the extent to which a Minister should be held
accountable for the actions of each and every official. As a general
rule of thumb, accountability should apply to those actions of which
the Minister was aware, or of which the Minister as head of the
Department could reasonably be expected to have been aware, or to have
made himself or herself aware.
Clearly, the strict legal position could give rise to
considerable practical difficulty in a situation where the range of
activity of a typical Department is far beyond the compass of the
individual Minister. The particular modus operandi which evolved to
cope with this difficulty was succinctly described in the 1969 Report
of Public Services Organisation Review Group (Devlin Report) - see
opposite.
Within this model there was a clear division of functions as
between the political (Ministerial) side and the official side. Good
government, as Professor Séamus Ó Cinnéide put it, "depended on a
certain distance and balance between the two sides"4. The question is
whether this traditional modus operandi, as described in the Devlin
Report, continues to operate some 30 years later. The Ombudsman has
already commented on the cumulative effect of a series of recent
enactments - the Public Service Management Act, the Privilege and
Compellability Act and the Freedom of Information Act - on this
traditional model.5 The effect of these enactments, as
the Ombudsman sees it, is to move away from the traditional model
without having put anything specific in its place.
Other commentators are perhaps more forceful in contending that
the traditional, extra-statutory arrangement no longer exists. For
example, Professor Séamus Ó Cinnéide argues that there has been a
radical change amounting to an unspoken revolution in our system of
governance (see following page).
In the case of the nursing home subvention project, the subject
of this present report, it is not the Ombudsman's conclusion that the
officials failed to consult with the Minister, or that they failed to
act in accordance with his wishes. Ultimately, the Minister (and more
than one was involved over the period) signed the various regulations
and is, as a matter of constitutional law, responsible for them. Even
if the Minister had not been properly briefed, which is not contended
by the Ombudsman to have been the case, he would still be responsible.
What is perhaps cause for concern is the paucity of written evidence of
the Minister's involvement and of the Minister's own views on the
subject. This apparent reluctance to record the Minister's involvement
represents a departure from the traditional model in which senior civil
servants could expect to have a detailed record of the Minister's
thinking. The traditional model certainly existed up to the 1980s.
The Ombudsman has already7 raised the issue of what appears to
be a growing practice within Departments whereby Ministers tend not to
put their views or instructions explicitly in writing. For example, the
views of the Minister may be conveyed verbally, or conveyed via his or
her private secretary, or conveyed through such phrases as "as
directed" or "as discussed". While acknowledging the pressure of work
facing all Ministers, there are a number of difficulties with this type
of practice. In the immediate term, it may lead to a lack of clarity as
to a Minister's actual views and intentions. In the immediate and
medium terms, failure properly to record a Minster's views and
intentions may well undermine that sense of absolute trust between a
Minister and his or her senior officials which is vital to an effective
working relationship. Such a practice also has implications for
accountability; the absence of a clear, written record can lead to
uncertainty when the actions, or inactions, of a Minister (and his or
her Department) are being scrutinised by the Oireachtas. In the longer
term, and from an archival point of view, it means that public
administration records are going to be incomplete. |
"The modus operandi which has been adopted is to issue letters,
minutes and instructions, in the name of the Minister.... The official
does not sanction, he conveys the sanction of the Minister. He does not
describe himself as authorising, he speaks of the Minister authorising.
The personal and final responsibility of the Minister is in every
instance stressed. The whole system is extra-statutory but it
functions. That it does so is because of the special relationship of
trust between the Minister and his officials. The trust is and must be
mutual. The official knows that the Minister will stand over his action
vis-à-vis public and parliament if this action is in conformity with
his general views. The Minister knows that the official in taking any
action will always be conscious that the Minister may, in relation to
the official's action, be challenged: that it is his business to have a
convincing answer to such challenge. He knows furthermore that the
Minister must be personally consulted and a direction sought from him
where the subject matter may have serious public and political
implications."
Report of Public Services Organisation Review Group (Devlin Report) 1969
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There are two other elements which call for comment. First, it is
disappointing that there appears not to have been any detailed
discussion within the Department of Health on alternative courses of
action, including the option to amend the legislation, when it became
clear that the subvention scheme as originally envisaged could not be
realised within existing resources. (The issue of health service
funding, which is of relevance in this context, is discussed later in
this chapter.) One would expect that, in putting proposals before a
Minister, a range of alternatives should be proposed. While senior
civil servants, in putting alternatives, may be expected to be attuned
to political realities, it is surely their role sometimes to put
unpalatable options to their Ministers so long as the "pros" and "cons"
of the various options are clearly outlined. The Ombudsman has not seen
any records which suggest that serious discussion on such alternatives
took place.
Second, the dialogue between the Department of Health and the
Department of Finance, on the one hand, and between the Department of
Health and the health boards, on the other, clearly falls in to the
category of the "controllers" talking to the "controlled". As often
happens, this dialogue was concerned largely with post hoc "damage
limitation" so far as financial costs were concerned. It is
self-evident that the Department of Finance has a crucially important
role to play in controlling public expenditure, especially in a demand
led sector such as health. It is equally self-evident that the
Department of Health must ensure that maximum effectiveness is achieved
by the health boards in using the resources given to them. But
dissatisfaction on the part of the general public also gives rise to
considerable costs which are not taken into account when schemes and
programmes are being costed. What seems to have been lacking from the
dialogue is an acceptance that, increasingly, human rights, including
economic and social rights, have to be addressed. In a number of areas
recently this has given rise to criticism of the executive by the
judiciary.8 This aspect is further discussed later in this chapter.
Relationship between Department and Health Boards
The question has been posed in this report as to why the health
boards did not rely on their status as independent, statutory bodies
and refuse to operate a scheme about whose validity they had real
doubts. To a large extent, health boards appear to act in relation to
the Department as if they are satellites rather than independent
bodies; though this is not the case in every circumstance for every
board. For example, several of the health boards received clear legal
advice that aspects of the Regulations were invalid and that aspects of
their practice were not defensible. With some exceptions, the health
boards did not act on the advice though they did bring it to the
attention of the Department. The majority of the health boards were
prepared to continue with a scheme, about which they increasingly had
doubts, for as long as the Department told them they should. |
"... both sides still have power, but otherwise the position has
completely changed in regard to both ministers and civil servants.
These changes represent an unspoken revolution in our system of
governance, all involving greater power with the executive and less
accountability. ... The problem is that we do not know what exactly has
replaced the old system. This very uncertainty is yet another challenge
to democratic values."
Séamus Ó Cinnéide
Democracy and the Constitution, Administration, Vol. 46, No. 4.
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It is not possible in this report to deal in any detail with the
complex relationship between the Department and health boards. However,
it does appear to the Ombudsman that the most significant factor
determining this relationship is the fact that the health boards have
no financial independence; for all practical purposes, they are
entirely dependent on the Department for their finances. The
Department, for its part, is dependent on the Department of Finance for
its allocation. Accordingly, it seems to the Ombudsman that health
service funding - both the manner and the amount - is a critical
consideration.
The issue of health service funding was a live issue in the
1980s and a Commission on Health Funding, which was set up in 1987,
reported in September 1989. The Commission's terms of reference are
given opposite.
A majority of the Commission favoured a public funding system
with funds coming from general taxation. A minority favoured a
compulsory health insurance, or ear-marked tax, system which would link
clearly the services provided with their cost and provide a secure
source of funding for healthcare. However, the kernel of the
Commission's conclusions was that the solution to the problems facing
the Irish health service did not lie primarily in the system of
funding; rather, it lay in the way in which services are planned,
organised and delivered.
Since the Commission's report there have been significant
changes in the attitude to compulsory insurance, as epitomised by the
PRSI system, as well as to ear-marked taxation. The PRSI system, in
particular, is seen as an essential element in protecting citizens
against loss of income on retirement or because of unemployment or
illness. Local authority financing is now moving in the direction of
greater reliance on ear-marked taxation and funds in support of the
view that local government should enjoy greater autonomy from central
government.
It is clear that the population of Ireland is an ageing one.
Already, special provision is being made from budget surpluses to meet
future pension costs. Similarly, it is clear that demand for health
services will grow and it may be that the question of health funding
should be revisited. Any revisiting of the issue might pay particular
attention to the desirability of ensuring health boards are not
hindered, in exercising their statutory role, by the nature of the
funding mechanism itself. This is not to suggest that the Department
does not have a significant role to play in relation to the health
boards; rather, it is to say that the Department's relationship with
the health boards will be more transparent and effective where the
lines of demarcation are more clearly drawn.
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"To examine the financing of the health services and to make
recommendations on the extent and sources of the future funding
required to provide an equitable, comprehensive and cost-effective
public health service and on any changes in administration which seem
desirable for that purpose."
Report of the Commission on Health Funding, 1989
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What Next?
It may be that if the Committee system, which exists at present
in the Houses of the Oireachtas, had been in operation when the Health
(Nursing Homes) Bill was being considered that some of the problems
identified in this report might have been avoided. In particular, the
gulf which occurred between policy and implementation might have been
avoided, or at least narrowed. The present system now seems flexible
enough to enable the Committee dealing with a particular piece of
legislation to explore its "mechanics" with the officials of the
sponsoring Department. It may be also that, if the Freedom of
Information Act, 1997 had been in operation in the early 1990s, the
pressure on the Department to get to grips with the defects and
illegalities of the nursing home subvention scheme might have been much
greater.
Nevertheless, there is no certainty that the failures in
accountability highlighted in this report could not occur in the case
of other schemes and programmes. This is because of certain basic
features of the system:
- the difficulties that the Houses of the Oireachtas face in
attempting to monitor the growing mountain of regulations and other
secondary legislation by which policy is implemented;
- the weakness in the links between two separate legislative
processes, the process whereby the Houses of the Oireachtas create new
entitlements or benefits for the public and the process by which Dáil
Éireann allocates resources annually to facilitate the actual provision
of these entitlements or benefits;
- the difficulties faced by members of the Houses of the
Oireachtas in feeding into the Administration, in a formal and
transparent way, their concerns and those which are brought to their
attention by their constituents, or indeed by the Ombudsman's Annual
Report, in a way which ensures an effective response.
Secondary Legislation
In the shorter term, establishing a mechanism for monitoring secondary
legislation is an obvious step worth taking. Such monitoring might have
to be done, initially at least, on a selective basis. This could be
done by ensuring that, in the case of certain Bills, the section
dealing with the making of regulations by the relevant Minister would
provide that an affirmative resolution from each of the Houses of the
Oireachtas would be needed before any such regulations would come into
effect. This would be particularly the case where the regulations in
question confer entitlements, require payments by, or otherwise impose
penalties on members of the public. There is something to be said for
having the Committee, which dealt with the passage of the legislation,
also deal with monitoring the making of the regulations. In this
context, what was done in the case of the Ombudsman Act, 1980 may be of
interest. When the Ombudsman Act was passed it contained, at Section
4(10), the "standard" provision in relation to the making of
regulations whereby public bodies could be added to, or deleted from,
the list of public bodies subject to investigation by the Ombudsman.
When the Act was implemented in 1984 with the appointment of the first
Ombudsman, the then Minister introduced the Ombudsman (Amendment) Bill.
This, when enacted, provided that any regulation under Section 4(10)
required an affirmative resolution by each of the Houses of the
Oireachtas. It was considered that any proposed amendments to the
Ombudsman's jurisdiction were worthy of consideration by the two
Houses.
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Funding of Entitlements
Dáil Éireann might also wish to give consideration to the way in which,
at present, it deals with the Annual Estimates. It might be useful if
expenditures which are effectively non-discretionary (i.e. which arise
from entitlements which must be met, for example, public service
pensions) were identified. The Departments responsible for these
expenditures would be asked to confirm that these were the best
estimates of what was required to meet these entitlements; if this
proved not to be the case, they would face questioning by the Public
Accounts Committee in due course. If, because of a general need to
reduce public expenditure, it became necessary to reduce the estimate
for a non-discretionary service below the realistic amount, then the
Department concerned would have to indicate the actions required to
"square the circle". It would then be a matter for Dáil Éireann to
decide how this might be achieved.
Oireachtas-Executive Interaction
There may also be a case for particular Oireachtas Committees, from
time to time, pursuing with specific Departments areas which have been
identified as giving rise to a significant number of justifiable
complaints.
Human Rights Issues
The Ombudsman has already observed that, in relation to the particular
scheme the subject of this report, there is little evidence that
notions of the rights of applicants were paramount. Whereas it may be
easier to recognise and meet basic rights in times of economic success,
it is more important that those same rights are provided for when times
are hard.
With the passing of the Human Rights Commission Act, 2000 and
the intention that the European Convention on Human Rights will become
part of Irish law, it is clear that international human rights
instruments will increasingly represent a significant influence in the
State's approach to service provision. This is likely to be
particularly so in the case of entitlements for groups such as
children, the disabled, the homeless, travellers and other minority
groups, the elderly, immigrants and persons in custody and detention. A
human rights approach may not, in fact, be all that different to what
our Constitution already provides; but it may well be the catalyst to
unlocking what is already contained in the Constitution.
This approach will pose fresh challenges for our institutions of
government. It will underline the importance of an open and accountable
parliament, an executive which is accountable to that parliament, an
independent and impartial judiciary and a free and responsible media.
These institutions will have to develop an awareness of the relevance
of human rights protection not only to existing international
instruments but also to domestic law and, indeed, to administrative
schemes and programmes which are not part of domestic law. Citizens too
will need assistance, on the one hand to develop their awareness of
these rights and how they impact on their daily lives and, on the
other, to develop new responsibilities which tolerate and encourage
support for individual difference.
Viewed in the broadest sense, a government's task is to serve the
interests of its citizens and it derives its legitimacy from the way in
which it does so. The function of serving its citizens is most clearly
seen in areas in which the government protects or cares for individuals
and their interests, or provides public services. Although it may seem
paradoxical, the public also needs to be assured of protection against
the government when it fails to fulfil its responsibilities in relation
to the public. For example, doing justice to social, economic and
cultural human rights and the right to development may pose serious
problems if a country's finances do not permit the government to honour
justifiable claims. In that situation it is important that the model of
government in place permits the allocation of scarce resources to be
administered under a system of priorities in an equitable and
transparent manner. In cases where a government has not adequately
protected these and other human rights, it is important that the
citizen is enabled to pursue the matter further either to the courts or
to the appropriate "national human rights institution" in the form of a
National Ombudsman or a Human Rights Commission. |
" In this Act ... 'human rights' means -
(a) the rights, liberties and freedom conferred on, or guaranteed to,
persons by the Constitution, and
(b) the rights, liberties or freedom conferred on, or guaranteed to,
persons by any agreement, treaty or convention to which the state is a
party."
Human Rights Commission Act, 2000
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The growing importance of the human rights dimension is evident from
the increasing extent to which the case law of the European Court of
Human Rights (ECHR) is penetrating national legislation. The European
Convention on Human Rights celebrated its 50th anniversary last year.
Of all the judgements handed down by the ECHR over that period, some
80% have been given in the past ten years.
It should be clear from the above that the subject matter of
this report - the elderly and the manner in which they were treated in
relation to nursing home subventions - can be analysed at two distinct
levels. The first level is quite specific and involves a consideration
of the actions of the Department and the health boards by reference to
Section 4 of the Ombudsman Act. As already indicated, there is no doubt
that on this basis significant maladministration has occurred. The
second level is more general but equally important in that it involves
a consideration of the extent to which the human rights of elderly
patients in nursing homes have been infringed. Admittedly, awareness of
the human rights dimension of these issues was not well developed in
the early nineties. However, one of the central messages of this report
is that the human rights dimension of issues of this type need to be
carefully considered by the Oireachtas and the Executive from now on.
***
The Ombudsman is not convinced that the various measures
mentioned above can, by themselves, deal adequately with what is
fundamentally a constitutional matter. In the longer term, the
relationship between the Oireachtas and the Executive, as well as the
relationships within the Executive, may need to be thought through
afresh in the context of a wider programme of constitutional reform.
There is already a momentum in support of such reform and the Ombudsman
hopes that this report will make a contribution to the debate.
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Notes
(1) See, for example, Alan J. Ward The Constitution Review Group
and the 'Executive State in Ireland, Administration, Vol. 44, No. 4.
Professor Ward characterises government in Ireland as that of an
"executive state", one in which the Executive takes practical
precedence over the Legislature, where the government is "permitted to
govern, free of unnecessary distractions from the Oireachtas". In this
context, Professor Ward cites the following statement made in the Dáil
in 1983 by the late Brian Lenihan TD:
"Whatever we do ... as parliamentarians must be
regarded essentially as a kind of subsidiary or advisory function ...
Fundamentally, what we are all concerned about in a representative
democracy is electing people who will come here and elect a government
..."
See also Séamus Ó Cinnéide, Democracy and the Constitution,
Administration, Vol. 46, No. 4. Professor Ó Cinnéide argues that
democracy in Ireland is under threat because the checks and balances of
a parliamentary democracy no longer function properly:
"There are three main things wrong with the system.
Firstly, the executive, that is the government and the civil service,
has gradually become more and more powerful, while the Dáil and the
Seanad have become less important. Secondly, political consensualism is
made worse by the creeping corporatism of the last twenty years ...
Thirdly, the bureaucracies have become more powerful and,
notwithstanding information booklets and better telephone etiquette,
have become less accountable and at the same time less independent of
the politicians."
(2) To illustrate this point, the PAC pointed out that in conducting
its DIRT Inquiry it had "to repeatedly seek sanction from the
Department of Finance for staffing and resources and for other, even
minor, expenditure". The fact that such requests were always met in
this instance does not, according to the PAC, take from the fact that
it was dependent for resources on the good will of the Executive (in
the form of the Department of Finance).
(3) Speech by the Attorney General, Michael McDowell SC to the Association of European Journalists, 22 November 2000.
(4) Ó Cinnéide, ibid.
(5) Paper delivered by the Ombudsman/Information Commissioner,
Kevin Murphy, at the Management of Government in the New Millennium,
Conference organised by the Departments of Government and of Law,
University College Cork , 1 October 1999. (Text of paper available on
Ombudsman website - http://www.irlgov.ie/ombudsman/)
"What comes over very strongly to me is that the
attempt by means of these various Acts to move away from the
traditional model of accountability to a new model seems to lack
completion and that as a result there is scope for a great deal of
confusion. The traditional model - which I would call the Collaborative
Model - is at its best exemplified by the Seán Lemass/John Leydon
relationship in the Department of Industry and Commerce . ... The model
to which we seem to be moving is what I would call the Contractual
Model exemplified by the new relationships in the New Zealand public
service. Here the Minister with the advice of special advisors
determines what he/she wishes to achieve during a term of office and
enters into a short-term contract with the Secretary General. The
Secretary General undertakes to deliver a range of outputs to realise
the Minister's desired outcomes and is assessed on the success or
otherwise of that delivery. ....The Collaborative Model is by
definition less open and much less defined than the Contractual Model
and respective responsibilities are much less clear cut. To operate
successfully it requires a high degree of co-operation and common
ground as well as mutual trust - some would say loyalty. It may also
require a high degree of official secrecy, particularly in relation to
the Minister/Secretary General relationship. The Contractual Model
needs very precise definition especially in relation to
responsibilities and accountabilities. It is a more professional
relationship but by its nature may develop an adversarial aspect. It
may be that holding someone accountable necessarily requires an
adversarial aspect. It is clear that, while we have moved somewhat in
the direction of the second model, we have stopped well short of it."
(6) Ó Cinnéide, ibid
(7) Management of Government in the New Millennium, Conference organised by the Departments of Government and of Law, University College Cork, 1 October 1999.
(8) See, for example, the High Court judgement of Mr. Justice Barr in Jamie Sinnott and Minister for Education, Ireland and the Attorney General
(4 October 2000). This case involved the failure of the State to make
adequate provision for Jamie Sinnott's constitutional right to primary
education in a situation where Mr. Sinnott had special educational
needs because of autism. Mr. Justice Barr commented on
"the administrators in the Department of Finance, who
play a major role in advising on the dispositioning of the financial
resources of the State, [and] who appear to be insufficiently informed
regarding the constitutional obligations of the State to the weak and
deprived in society to enable them to assess realistically the degree
of priority which should be attached to each such claim ... the
ultimate financial decision-makers and officials who devise annual
revenue/exchequer budgets and administer state funds must have a real
awareness and appreciation of the constitutional obligations of the
State to all sectors of the community and in particular to the rights
of the grievously deprived in society ..."
It would seem that the broad thrust of Mr. Justice Barr's comments may
also be relevant in relation to the State's funding of statute-based
services for the elderly.
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