Information for Agencies — Ombudsman Inquiries

What we do

The NSW Ombudsman is an independent watchdog with responsibility for investigating complaints from members of the public about the administrative processes of public sector agencies. We may also initiate inquiries into matters of public interest of our own motion.

The role of the Ombudsman is not to replace decision-making by agencies. Our job is to make sure that the agencies we watch over perform their administrative functions properly and improve their delivery of services to the public. We help agencies act reasonably and develop best practice in administration.

We are not obliged to take up every complaint that is made  to us. We can decline to act on a complaint for a number of reasons, including if it is not in our jurisdiction or has no merit.

As a general rule, the Ombudsman gives preference to matters identifying:

• systemic deficiencies in administration;
• cases of serious abuse of power;
• significant public interest issues;
• issues which, if investigated, are likely to lead to recommendations resulting in significant changes or amendments to law or policies; and
• issues concerning the treatment of whistleblowers.

The Ombudsman focuses on complaints that can be resolved by making recommendations that result in practical and measurable changes.

Our powers

Our powers in our general jurisdiction are contained in the Ombudsman Act 1974. These powers include the right to:

• make preliminary inquiries with an agency for the purposes of identifying whether a complaint raises issues that we might choose to investigate;
• formally investigate a public authority’s conduct;
• require a public authority to give the Ombudsman a statement of information or to produce documents and information;
• summon and question witnesses using our Royal Commission powers; and
• enter and inspect any premises occupied or used by a public authority as a public authority, and inspect any document or thing in or on the premises.

How we conduct our work

Preliminary inquiries

When we are making preliminary inquiries we usually contact the agency involved by telephone, fax or email. We try to make these inquiries as informal as possible and usually ask to speak to officers who have been involved in the issue or to the manager of the area. We may then ask those officers to send us documents detailing their handling of the matter along with copies of relevant policies and procedures. If we need more detailed information from an agency we may put a request in writing.

Sometimes we organise an informal meeting with the agency to discuss the matters raised by a complaint. In that meeting we may also discuss possible ways to resolve the complaint. This means attendees should be officers of the agency who have the power to make or change the agency’s decisions.

Investigations

A relatively small proportion of complaints to the Ombudsman are formally investigated. The agency will be formally notified of the investigation and may be required to produce documents or information to the Ombudsman by a certain date. In addition the Ombudsman may conduct hearings and summons witnesses to appear at those hearings and give evidence.

The Ombudsman will then write a report detailing his preliminary findings and recommendations. This report is sent to the head of the agency to allow the agency to respond to any of the provisional findings. These comments will be considered by the Ombudsman and may be incorporated into his final report which will be sent to the head of the agency and relevant Minister.

An Ombudsman investigation is conducted in the absence of the public. A copy of the final report may be provided to the complainant.

Conciliation

The Ombudsman Act 1974 also makes provision for the Ombudsman to seek to resolve complaints by conciliation. This is a free service for all participants. An officer of the Ombudsman who is trained in conducting conciliations will conciliate between the agency and the complainants with a view to assisting to resolve the complaint. Evidence of anything said during the conciliation and any documents prepared for the conciliation are not admissible in any subsequent investigation of the complaint or in any court proceedings.

How you can assist us with our inquiries

It is important to remember that in most cases we are seeking to resolve complaints in an informal fashion and move on.
Following the procedures listed below will assist us to expedite our inquiries:

1. Appoint a contact officer to handle Ombudsman inquiries. If your agency does not receive enough contact from the Ombudsman to warrant appointing a contact officer, make sure you have a policy or protocol for responding to our inquiries including identifying at the outset the person within the agency who is the most appropriate contact point for officers of the Ombudsman.
2. Respond to our inquiries as soon as possible. If you cannot respond promptly to a telephone message left by our officers please arrange for someone else in the office to contact us and explain the reason for the delay. It is worth remembering that if we initiate contact over the telephone we simply expect to have an informal discussion with you about the issues that the complainant has raised.
3. If we request a response in writing to our inquiries please respond as fully as you can and attach relevant documentation to support your responses. If you are not clear about any questions please contact the designated Ombudsman officer for clarification.
4. Be open to resolving matters informally or discussing possible solutions to the issues raised by complaints. This means that officers who are designated as the contact points for Ombudsman inquiries should have the power
   to make and change decisions made by the agency.

Contact us for more information

Level 24,
580 George Street
Sydney NSW 2000
Toll free (outside Sydney metro) 1800 451 524
Email info@ombo.nsw.gov.au

National Relay Service 133 677
Telephone Interpreter Service (TIS): 131 450
We can arrange an interpreter through TIS or you can contact TIS yourself before speaking to us.

© State of New South Wales, March 2012
This publication is released under a Creative Commons license CC BY 4.0.