Ombudsman Western Australia Serving Parliament - Serving Western Australians

Full-time permanent

42

53

Full-time contract

12

6

Part-time permanent

10 (6.43 FTEs)

9 (5.62 FTEs)

Part-time contract

0 (0 FTEs)

0 (0 FTEs)

TOTAL

64 (60.43 FTEs)

68 (64.62 FTEs)

This is not relevant as the Office is not a statutory authority and does not have shares.

This is not relevant as the Office does not have any subsidiary bodies.

The Office’s Code of Conduct and Conflict of Interest Policy define conflict of interest and appropriate action to take where a conflict arises between the employee’s public duty and their private interests, including during tender and purchasing processes.

Employees are aware through the Code of Conduct and Accountable and Ethical Decision Making training that they have an obligation to disclose interests that could reasonably create a perception of bias, or an actual conflict of interest, and members of the Executive Management Group and Corporate Executive are asked to declare any interests at each meeting of these Groups.

The Office’s policy on identifying and addressing conflict of interest includes any interest of a senior officer, or an organisation of which a senior officer is a member, or an entity in which the senior officer has a substantial financial interest, in any existing or proposed contract made with the Office.

There have been no declarations of an interest in any existing or proposed contracts by senior officers and, at the date of reporting, other than normal contracts of employment, no senior officers or firms of which a senior officer is a member, or entities in which a senior officer has any substantial interests, had any interests in existing or proposed contracts with the Office.

This is not applicable as no senior officers have received any benefits.

This is not applicable as the Office does not have any directors as defined in Part 3 of the Statutory Corporations (Liability of Directors) Act 1996.

Aggregate amount of personal use expenditure.

Nil

Aggregate amount of personal use expenditure settled by the due date (within 5 working days).

Not applicable

Aggregate amount of personal use expenditure settled after the due date (after 5 working days).

Not applicable

Aggregate amount of personal use expenditure outstanding at 30 June 2016.

Not applicable

Advertising agencies

Nil

Nil

Media advertising organisations

$22,123

Adcorp

$282

Budsoar Pty Ltd (Koori Mail)

$200

National Indigenous Times

Market research organisations

Nil

Nil

Polling organisations

Nil

Nil

Direct mail organisations

Nil

Nil

People can access the complaint handling services provided by the Office by lodging a complaint in various ways including by post, email, online and in person. The online option is available through the Office’s website, which meets the website accessibility requirements set out in the Public Sector Commissioner’s Circular 2011-03: Website Accessibility. The Office is accessible for people with a disability who attend in person, and enquiries can be made by telephone using the National Relay Service for people with voice or hearing impairments. Venues for events and meetings are assessed for suitable access for people with a disability. A notice regarding disclosure of ‘special access or dietary requirements’ is added to all invitations for events coordinated by the Office.

The Office’s accommodation, building and facilities provide access for people with a disability, including lifts that accommodate wheelchairs and feature braille on the access buttons. Accessible and ambulant toilets are located on all floors used by the Office (the Ground Floor, Level 2 and Level 3), and a low reception desk on Level 2 accommodates wheelchair access. The building also includes electronic doors at the entrance and through to the lifts, a ramp at the front of the building, and a disabled parking bay beneath the building.

All Office documents are in plain English and publications are available in alternative formats on request. The Office’s website meets the website accessibility requirements set out in the Public Sector Commissioner’s Circular 2011-03: Website Accessibility. Information published on the website can be viewed and printed in alternative sizes. Online documents are published in PDF format, and written correspondence can be scanned with Optical Character Recognition and sent electronically in PDF format, compatible with screen readers. Phone access is available through the National Relay Service for people with voice or hearing impairments calling the Office, and signs are provided in the reception area to assist visitors who have a hearing impairment. The Office also provides suitable equipment to enable employees with vision impairments to access electronic information.

The services provided by the Office have been adapted to reduce access barriers for people with a disability and information is available in various formats on request. The Office has an internal guideline for staff on Assisting complainants with vision, hearing or speech impairments. The document is part of the internal Complaint Handling Toolkit and provides useful information, contacts and procedures for all staff when dealing with a complainant with a disability. Information about the Office’s DAIP and a video on providing services to people with a disability, Make a Difference produced by the Disability Services Commission, is included in induction training for all new staff. In 2015-16, Managers received training on the Office’s disability access and inclusion strategies.

A key role of the Office is to handle complaints about public authorities and anyone with a disability has an equal opportunity to make a complaint. Where necessary, the complaint process is modified to meet the needs of a person with a disability. This includes meeting people outside the Office and modifying communication strategies, for example, by using a translator (such as the National Relay Service or Auslan interpreter) where required. Information on reviews of decisions in relation to complaints to the Ombudsman and making a complaint about the Ombudsman’s other services is accessible from the website and is available in alternative formats.

Staff and members of the public with a disability have an equal opportunity to participate in any consultation process. Any public consultation conducted by the Office and promoted on the website meets disability access requirements. In
2015-16 the Office also conducted consultation in Albert Facey House, which is accessible to people with a disability. Documents released for public consultation can also be made available in alternative formats to meet the needs of people with a disability.

The Office’s accommodation, building and facilities provide access for people with a disability, including lifts and walkways that accommodate wheelchairs and feature braille on the access buttons. Accessible and ambulant toilets are located on all floors used by the Office. The Office also provides suitable equipment to enable employees with vision impairments to access electronic information. People with a disability are encouraged to apply for positions in the Office and recruitment processes are modified as required to enable people with a disability to have the same opportunity as other people to compete on merit for advertised positions. Appropriate modifications are made to the duties undertaken, hours of work and/or equipment required to enable employees with disabilities, or who acquire a disability, to maintain productive employment with the Office.

Managers and staff are aware of, and are required to comply with, the Public Sector Standards in Human Resource Management (the Standards). This is supported by policies and procedures relating to the Standards, regular professional development for managers and staff about the Standards and related policies, and the inclusion of the policies in the induction process. Monitoring provisions include:

• For recruitment, selection and appointment, an individual review of each process is undertaken prior to the final decision to ensure compliance with the Employment Standard;
• A review process to ensure that, for acting opportunities and secondments, a merit-based process is used and there are no inadvertent extensions that result in long-term opportunities without expressions of interest or a full merit selection process; 
• A monitoring process to ensure there are current performance management processes in place for all employees; and
• The continuous development of policies and procedures in accordance with the Standards to ensure compliance and relevancy.

Compliance issues: Internal reviews have shown compliance with the Standards is achieved before any final decision is made. There have been no breaches found of the public sector standards.

The Code of Ethics and the Office’s Code of Conduct (Ethical Codes) are available on the Office’s intranet and are part of the Online Induction for new staff. Guidelines for Accountable and Ethical Decision Making have been developed as a ready reference for staff when dealing with a difficult situation related to the Ethical Codes. The Guidelines are based on the Accountable and Ethical Decision Making in the WA Public Sector training materials provided by the Public Sector Commissioner. In 2015-16, staff completed Accountable and Ethical Decision Making training as part of the Office’s Continuous Professional Development Program.

The Office’s Code of Conduct supports the Code of Ethics and links the Office’s corporate values with expected standards of personal conduct. All staff, contractors and consultants who carry out work for, or on behalf of, the Office are required to comply with the spirit of the Code of Conduct. On appointment, all staff sign the Code of Conduct to confirm their understanding of its application in the workplace and swear an oath or make an affirmation about maintaining appropriate confidentiality.

Ethics and conduct related policies have been developed, including policies and procedures for declaring and managing conflicts of interest and gifts. The Ethical Codes and related policies are included in the induction process and there is regular professional development for managers and staff about the Ethical Codes and related policies.

The Office has procedures in place for reporting unethical behaviour and misconduct. The Office also has a policy and internal procedures relating to Public Interest Disclosures and strongly supports disclosures being made by staff.

Monitoring provisions for Ethical Codes include:

• High level review, and Ombudsman sign off, for management of conflicts of interest and gifts, benefits and hospitality; 
• High level consideration and sign off of requests for review of the Office’s handling of a complaint and any complaints about the conduct of staff;  and
• Seeking opportunities to improve current practices through internal audits and reviewing policies and procedures to ensure compliance and relevancy. Internal audits conducted each year are referred to the Office’s Internal Audit and Risk Management Committee.

Compliance issues: There has been no evidence of non-compliance with the Ethical Codes.

The Ombudsman is an independent officer appointed by the Governor of Western Australia. The Ombudsman is responsible directly to the Parliament rather than to the government of the day or a particular Minister. The Parliamentary Commissioner Act 1971 regulates the operations of the Office.

Delegations for communication and interaction between Ministers and other Parliamentary representatives are identified in the Office’s instruments of delegation, in particular those relating to external communications, and staff are aware of these delegations.

The Office’s Strategic Plan 2016-18 (Strategic Plan) provides a framework for the strategic direction of the Office with identifiable key measures of success. The Office’s operational planning identifies how the key strategies in the Strategic Plan will be achieved through a detailed list of key projects, measures and targets.

Chief Executive Officer delegations are set out in the Office’s Instrument of Delegation – Chief Executive Officer Functions. Statutory delegations under the Parliamentary Commissioner Act 1971 and administrative arrangements for statutory roles are set out in the Ombudsman Western Australia, Statutory Delegations and Administrative Arrangements document.

The Office has a strong organisational policy framework covering governance, conduct, communications, information technology, human resources, finance and procurement. Policies and guidelines are available to staff through the Office’s intranet and as part of the Online Induction.

The Office has an Internal Audit and Risk Management Charter and Committee. An external quality assurance review of the Office’s internal audit function has been undertaken to ensure the Office conforms with the Institute of Internal Auditors international standards for the professional practice of internal auditing.

Decision making responsibilities for the Office lie with the Executive Management Group, comprising the Ombudsman, Deputy Ombudsman and the Principal Assistant Ombudsman Investigations and Legal Services. The Office’s Corporate Executive also includes the leaders of the Complaint Resolution, Investigations, Reviews, Administrative Improvement and Monitoring teams.

The Office’s organisational structure has been created in line with its operations and reflects its key strategic direction. The Office undertakes continuous improvement to the structure to ensure it remains relevant and effective with changes linked to the Strategic Plan and redirection of resources within the structure to respond to workload priorities. A detailed organisational chart provides a reference for staff on the intranet.

The organisational structure, operational planning, business processes and key performance indicators are linked to the strategic goals and outcomes in the Strategic Plan. Progress toward key performance indicators and major strategic projects is monitored through reports to the Executive Management Group and the Corporate Executive and is reported in the annual report each year.

Effective achievement of goals is supported by an Online Complaint Handling Toolkit, available to all enquiry and investigating staff for the purpose of achieving consistent, efficient and effective complaint handling. In addition, a Panel provides independent advice to the Ombudsman on matters relevant to child deaths and family and domestic violence fatalities. For the role of Energy and Water Ombudsman, the Office prepares a Business Plan and Budget for approval by the Board of the governing body each year.

The Office’s values are to be fair, independent and accountable (including being rigorous, responsible and efficient). In line with these values, the Ombudsman observes an independent and impartial approach to the conduct of investigations as well as observing procedural fairness at all times. Ethics and integrity are contained within the Code of Conduct and Guidelines for Accountable and Ethical Decision Making. Staff are required to sign a Conduct Agreement to confirm their understanding of the application of the Code.

Staff are made aware of the Public Interest Disclosure Act 2003, the Office’s Public Interest Disclosure Officers and the protections that apply, during induction and through the Office’s intranet and noticeboards. Staff are also made aware of the Office’s Conflict of Interest Policy and Gifts, Benefits and Hospitality Policy and registers and how they should be declared. When declarations are made, the Ombudsman assesses the appropriate action to be taken.

It is a strategic direction of the Office to attract, develop and retain a skilled and valued workforce with a culture that supports high quality, responsive and efficient service; and to treat people professionally, courteously and with appropriate sensitivity.

The Office continues to implement human resource strategies which focus on the recruitment, retention and engagement of high quality staff; accounting for individual performance and development; and continual learning. The Workforce and Diversity Plan 2015-2020 provides a strong workforce planning framework to support the achievement of these strategies.

The Office has a strong human resources policy framework covering employment of staff, conditions of employment, flexible work arrangements, staff development, study assistance, employee relations (including grievance resolution) and occupational safety and health.

The Office produces an annual budget which is approved by the Ombudsman. The monitoring of actual versus budget along with financial integrity and accountability is secured through reporting to the Executive Management Group. The Office also has a Financial Management Manual (the Manual), designed to assist employees to perform their tasks efficiently and effectively. The processes in the Manual are consistent with relevant Treasurer’s Instructions and State Supply Commission policies.

An Internal Audit and Risk Management Committee reviews an audit of financial management, including procurement, each year against the policies and procedures in the Manual. The 2015-16 audit concluded that good controls exist to ensure compliance with relevant legislation and policy requirements.

To ensure services are accessible, open and responsive, the Office communicates with its key stakeholders using a range of communication channels, adapted to suit the audience. Further information is included in the Collaboration and Access to Services section of the report. The Office also provides guidance for dealing with people with a disability and people from culturally and linguistically diverse backgrounds. Policies covering recordkeeping, records management and communications ensure the Office safeguards the confidentiality and integrity of information, preventing unauthorised or false disclosure.

Staff meetings and separate team meetings provide a forum for sharing information internally and the Staff Consultative Committee has input into Office policies and procedures that affect staff. The Committee is made up of management and staff representatives from all teams in the Office, the Occupational Safety and Health representatives, the union representative and the Principal Aboriginal Liaison Officer.

The Office identifies and manages its risk through a Risk Management Plan that is considered by the Office’s Internal Audit and Risk Management Committee as part of the Committee’s regular meetings. The Risk Management Plan continues to be relevant and consistent with the Office’s Strategic Plan. The Office also has a Business Continuity Plan to ensure it can respond to, and recover from, any business disruption.

Under the Risk Management Plan, controls have been identified for significant risks and any action required is assigned to a relevant member of Corporate Executive. The internal Strategic Audit Plan is based on the areas of risk identified in the Risk Management Plan and the Internal Audit and Risk Management Committee oversees the audit plan and audits for each year.

In 2015-16, internal audits were conducted of the Office’s information technology security and recordkeeping, and financial management and procurement practices. The audits showed internal controls are being maintained to ensure compliance with relevant legislation and policies.

The Office is committed to understanding the needs of Aboriginal people and people from culturally and linguistically diverse backgrounds and setting objectives to overcome barriers in service delivery for these groups. The Office regularly assesses the impact of our service delivery practices on Aboriginal people and people from culturally and linguistically diverse backgrounds. In 2015-16 the Principal Aboriginal Liaison Officer position was filled and further promotes high levels of awareness and accessibility to the Office for Aboriginal people as well as providing expert advice and support relating to the needs of Aboriginal people for staff undertaking the Office’s functions.

In particular, the Office recognised a historical under-representation of Aboriginal people accessing our services and established a Regional Awareness and Accessibility Program which focuses on access for Aboriginal and regional Western Australians.  This Program is an important way for the Office to:

• Ensure awareness of, and accessibility to, its services for Aboriginal Western Australians in regional and remote locations; and
• Provide a valuable opportunity for the Office to strengthen its understanding of the issues affecting Aboriginal people.

The Office has also identified a range of other strategies to overcome barriers to service delivery, including:

• Involvement in outreach activities in metropolitan areas to raise community awareness of, and access to, the Office’s services, such as Homeless Connect in November 2015;
• Attending adult prisons and Banksia Hill Detention Centre to meet with prisoners and juvenile detainees, and prisoner representative groups, to understand their specific needs and be available to take complaints. An Aboriginal consultant or the Principal Aboriginal Liaison Officer attends these meetings to assist staff to understand the issues involved and to facilitate cross cultural communication;
• Providing information on our services in 15 languages on our website. All publications are available in alternative formats and can be translated into other languages on request;
• Promoting details for Translating and Interpreting Services on the website and in publications for people with English as a second language. Interpreters and translators are regularly used when resolving complaints;
• Complaints can be written in the person’s first language and the Office arranges translators for the incoming complaint and outgoing response and staff use interpreters, either face to face or by telephone, when discussing complaints;
• Involving the Principal Aboriginal Liaison Officer and Aboriginal consultants in relevant own motion investigations and as part of the Ombudsman’s Advisory Panel to provide independent advice on issues and trends and contemporary professional practice within the scope of the child death and family and domestic violence fatality review functions; and
• Consultation activities specifically targeted to Aboriginal and culturally and linguistically diverse communities.

The Office monitors whether services respond to the different needs of Aboriginal people and people from culturally and linguistically diverse backgrounds, including:

• Seeking demographic information from people who make complaints to enable the Office to monitor whether its services are used by all of the Western Australian community, particularly those who may find it difficult to access services;
• Collecting demographic data relating to reviews of child deaths and family and domestic violence fatalities to identify patterns and trends in relation to these deaths; and
• Seeking advice of specialist consultants in relation to the relevance and appropriateness of reports relating to own motion investigations.

The Office undertakes ongoing performance appraisal of access to services and appropriate service delivery for Aboriginal people and people from culturally and linguistically diverse backgrounds.
In 2015-16, the Office’s complaint resolution services were accessed by people from a diverse range of backgrounds, comparable to the Western Australian population. In particular, for people whose complaints were received in 2015-16:

• 7.8% of people identified as Aboriginal, compared to 3.6% of the population;
• 33.8% of people were born overseas compared to 31% of the population; and
• 17.7% of people were born in a country where English is not the main language, compared to 15% of the population.

The Office promotes learning and development to ensure that its employees are equipped with the skills and knowledge necessary to understand and meet the needs of Aboriginal people and people from culturally and linguistically diverse backgrounds, including:

• Training staff in identifying language related barriers to communication, including utilising the Office of Multicultural Interests’ Diverse WA online cultural competency training module;
• Appropriately engaging with interpreters and telephone translators to ensure equitable access to our services; and
• Aboriginal cross-cultural awareness training, including utilising the Public Sector Commission’s Sharing Culture online Aboriginal cultural awareness training module.

Number of fatalities

0

0

0

Target achieved

Lost time injury/disease (LTI/D) incidence rate

3.3

1.5

0

The Office had one lost time injury which increased the incidence rate slightly above target

Lost time injury/disease severity rate

0

0

0

Target achieved

Percentage of injured workers returned to work within

• 13 weeks; and
• 26 weeks.

(i) 100%
(ii) 100%

i) 100%
ii) 100%

Greater than or equal to 80% return to work within 26 weeks

Target exceeded

Percentage of managers and supervisors trained in occupational safety, health and injury management responsibilities.

100%

100%

>80%

Target exceeded