Transcript PRESENTATION ON DECISION MAKING

OPEN SOCIETY INSTITUTE
(INTERNATIONAL POLICY FELLOWSHIP)
A COMPARATIVE STUDY OF OMBUDSMAN OFFICES
IN AUSTRALIA, PAKISTAN AND UNITED KINGDOM:
EVOLUTION, EFFICACY AND CHALLENGES
SYED ANWAR-UL-HASAN BOKHARI
IPF FELLOW 2004-05
(PAKISTAN)
APRIL 7, 2005
PRESENTATION PLAN
• OBJECTIVES OF RESEARCH
• OUTLINE OF RESEARCH PAPER
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EVOLUTION OF OMBUDSMAN OFFICE
INDIVIDUAL COUNTRY STUDIES
COMPARATIVE ANALYSIS
EFFECTIVENESS OF OMBUDSMAN
OFFICE
– CHALLENGES
– RECOMMENDATIONS
OBJECTIVES OF RESEARCH
• ROLE OF OMBUDSMAN IN PROVIDING
REMEDIES AGAINST MAL-ADMINISTRATION.
• EFFECTIVENESS OF OMBUDSMAN IN
IMPROVING PUBLIC ADMINISTRATION
AND HOLDING IT ACCOUNTABLE.
NOTHING WRINKLES MORE
IN THE HUMAN HEART THAN
INJUSTICE
EVOLUTION OF OMBUDSMAN
WHAT IS AN OMBUDSMAN?
“SHOULD
BE
LEGALLY
ESTABLISHED,
FUNCTIONALLY AUTONOMOUS, EXTERNAL TO
THE
ADMINISTRATION,
OPERATIONALLY
INDEPENDENT OF BOTH THE EXECUTIVE AND
LEGISLATURE, SPECIALIST, EXPERT AND NONPARTISAN, NORMATIVELY UNIVERSALISTIC,
CLIENT
CENTRED
BUT
NOT
ANTIADMINISTRATION, AND BOTH POPULARLY
ACCESSIBLE AND VISIBLE”.
(PROFESSOR LERRY B HILL)
EVOLUTION OF OMBUDSMAN INSTITUTION
• MUSLIM ERA
(DR. PICKLE)
– EPISTLE TO MALIK ASHTAR, THE
GOVERNOR OF EGYPT BY HAZRAT ALI,
FORTH CALIPH OF ISLAM
– DEWAN -AL-MAZALIM
• SPARTA AND ATHENS, ROMANS ERA,
CHINA, PERSIAN EMPIRE, VENICE
CONTED
• MODREN FIGURE OF OMBUDSMAN
JUSTITIEOMBUDSMAN ESTABLISHED
IN SWEDEN - 1809
• TWO PRIMARY REASONS
–
NO CONCEPT OF MINISTERIAL RESPONSIBILITY LIKE
WESTMINISTER DEMOCRACY
–
THE JUDICIARY IS A CAREER SERVICE
SPREAD OF OMBUDSMAN CONCEPT
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FINLAND
1919
DENMARK
1955
NORWAY
1962
NEW ZEALAND
1962
AUSTRALIA
1976
UK
1967
PAKISTAN
1983
• APPROXIMATELY 120 COUNTRIES AROUND THE
WORLD HAVE OMBUDSMAN OFFICE AT DIFFERENT
LEVELS BY 2004.
WHY OMBUDSMAN?
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INCREASE IN EXECUTIVE POWER
WELFARE STATE MODEL - POST WW II
TRANSITION TO DEMOCRACY
CONCERNS FOR HUMAN RIGHTS
DEMAND FOR GREATER TRANSPARENCY
ROLE OF UN
PUBLIC AWARENESS
MEDIA
FASHION ???
CHARACTERISTICS OF OMBUDSMAN
INSTITUTION
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SEPARATE ENTITY - FUNCTIONALLY AUTONOMOUS
OPERATIONALLY INDEPENDENT
ESTABLISHED BY LEGISLATION
A MONITORING SPECIALIST
ADMINISTRATIVE EXPERT AND PROFESSIONAL.
NON-PARTISAN
NORMATIVELY UNIVERSALISTIC
CLIENT-CENTERED, BUT NOT ANTI-ADMINISTRATION
POPULARLY ACCESSIBLE AND VISIBLE
HIGH STATUS INSTITUTIONS
HAVE EXTENSIVE RESOURCES
WHAT AN OMBUDSMAN DO?
• TO RIGHT INDIVIDUAL WRONGS
• TO MAKE BUREAUCRACY MORE HUMANE
• TO LESSEN POPULAR ALIENATION FROM
GOVERNMENT
• TO PREVENT ABUSES BY ACTING AS A
BUREAUCRATIC WATCHDOG
• TO VINDICATE CIVIL SERVANTS WHEN
UNJUSTLY ACCUSED, AND
• TO INTRODUCE ADMINISTRATIVE REFORM
MAL-ADMINISTRATION
•
A DECISION, PROCESS, RECOMMENDATION, ACT OF
OMISSION OR COMMISSION WHICH IS CONTRARY TO LAW,
RULES OR REGULATIONS, OR IS A DEPARTURE FROM
ESTABLISHED PRACTICE OR PROCEDURE, UNLESS IT IS BONA
FIDE AND HAS VALID REASON;
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IS PERVERSE, ARBITRARY OR UNREASONABLE, UNJUST,
BIASED, OPPRESSIVE OR DISCRIMINATORY;
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BASED ON IRRELEVANT GROUNDS; OR, INVOLVES THE
EXERCISE OF POWERS OR THE FAILURE OR REFUSAL TO DO
SO FOR REASONS OF CORRUPT OR IMPROPER MOTIVES
SUCH AS BRIBERY, JOBBERY, FAVOURITISM, NEPOTISM, AND
ADMINISTRATIVE EXCESSES; AND,
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NEGLECT,
INATTENTION,
DELAY,
INCOMPETENCE,
INEFFICIENCY AND INEPTITUDE IN THE ADMINISTRATION
OR DISCHARGE OF DUTIES AND RESPONSIBILITIES.
DIFFERENT TITLES OF OMBUDSMAN
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DEFENSOR DEL PUEBLO
PARLIAMENTARY COMMISSIONER FOR
ADMINISTRATION
MÉDIATEUR DE LA RÉPUBLIQUE
PUBLIC PROTECTOR
PROTECTEUR DU CITOYEN
VOLKSANWALTSCHAFT
PUBLIC COMPLAINTS COMMISSION
PROVEDOR DE DIFENSORE CIVICO
INVESTIGATOR-GENERAL
CITIZEN'S AIDE
WAFAQI MOHTASIB
LOK AYUKTA
JURISDICTION OF THE OMBUDSMAN
• REACTIVE OMBUDSMAN
• PROACTIVE OMBUDSMAN
• NORMALLY EXTENDS TO ALL
GOVERNMENT ORGANIZATIONS /
DEPARTMENTS
• EXEMPTIONS TO JURISDICTION
CATEGORIES OF OMBUDSMAN
• PURE OR PUBLIC SECTOR OMBUDSMAN - HAVING
GLOBAL JURISDICTION
–CENTRAL GOVERNMENT OMBUDSMAN
–STATE GOVERNMENT OMBUDSMAN
–LOCAL GOVERNMENT OMBUDSMAN
• PRIVATE SECTOR OMBUDSMAN OR INDUSTRY
OMBUDSMAN HAVING LIMITED JURISDICTION
• INTERNATIONAL OMBUDSMAN
• FUTURE GENERATION OMBUDSMAN
COMPARATIVE ANALYSIS
COMPARATIVE ANALYSIS OF OMBUDSMAN OFFICES
IN AUSTRALIA, PAKISTAN AND UK
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SYSTEM OF GOVERNMENT
INSTRUEMENT OF ESTABLISHMENT
SINGLE OR MULTIPLE
MODE OF APPOINTMENT
TERM OF OFFICE
PRESENCE AT VARIOUS LEVELS
JURISDICTION
(CONTED)
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POWERS
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RELATIONSHIP WITH COURTS
PROCEDURE
ADMINISTRATIVE AUTONOMY
RELATIONSHIP WITH THE
PARLIAMENT
RELATIONSHIP WITH MEDIA
ACCOUNTABILITY
QUALIFICATION OF OMBUDSMAN
EFFICACY OF OMBUDSMAN
EFFICACY OF OMBUDSMAN
• HARD TO ASSESS THE SERVICE MADE TO
STAKEHOLDERS
• OMBUDSMAN IS PART OF A SYSTEM,
WHICH MAY AS A WHOLE BE RESPONSIBLE
FOR ANYTHING THAT GOES WELL
• IT WORKS INFORMALLY, SO THE VALUEADDED MAY BE HARD TO CAPTURE, AND
THE
VALUE
ADDED
IS
SOMETIMES
UNDERSTOOD ONLY IN SUBJECTIVE TERMS
(CONTED)
• PART OF THE VALUE ADDED BY AN
OMBUDSMAN COMES FROM HELPING
PEOPLE TO DEAL ON THEIR OWN
WITH THEIR PROBLEMS, WITHIN THE
SYSTEM
• IN ADDITION THE OMBUDSMAN DOES
NOT MAKE DECISIONS AS A PUBLIC
SERVANT WOULD - MUCH OF THE
WORK IS TO HELP OTHER PARTS OF
THE
SYSTEM
WORK
WELL
IN
SERVING STAKEHOLDERS
CRITERIA OF SATISFACTION
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AN OMBUDSMAN IS DESIGNATED AS A NEUTRAL WHO
MAINLY SEEKS TO FOSTER A FAIR PROCESS, RATHER THAN
DELIVERING A SPECIFIC OUTCOME.
AN OMBUDSMAN MAY SOMETIMES WORK AS COMPETENTLY
AND HONORABLY AS IS POSSIBLE, WITHOUT ALL
STAKEHOLDERS IN A GIVEN COMPLAINT BEING “SATISFIED”
BY THE OUTCOME.
IT SOMETIMES IS NOT POSSIBLE TO SATISFY ALL
STAKEHOLDERS EVEN WITH RESPECT TO THE PROCESS,
ESPECIALLY SINCE ONE ROLE OF AN OMBUDSMAN IS TO ASK
TOUGH QUESTIONS.
ONE THEORETICAL DEFINITION OF EFFECTIVE CONFLICT
MANAGEMENT,
WHICH
ATTEMPTS
TO
DEAL
WITH
DISPUTANTS, HAVING VERY DIFFERENT INTERESTS, IS THAT
“EVERYONE ATTACHED TO THE CASE COMES TO THINK THAT
“THE PROCESS AND THE SETTLEMENT WERE THE BEST
POSSIBLE UNDER THE CIRCUMSTANCES.”
WHO ARE THE STAKEHOLDERS?
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PARLIAMENT
GOVERNMENT AND THE MINISTERS
COURTS
AGENCIES
CIVIL SERVANTS
SOCIETY AND
THE COMMON PEOPLE
INDICATORS OF EFFECTIVENESS
• STATISTICAL INFORMATION
• IDENTIFICATION OF NEW PROBLEMS
• SPECIFIC NOTES ABOUT CHANGES IN POLICIES,
PROCEDURES AND STRUCTURES IN RESPONSE TO
CONCERNS THAT HAVE COME TO THE
OMBUDSMAN OFFICE
• ASSESSMENT OF THE EXTENT TO WHICH THE
OMBUDSMAN OFFICE APPROPRIATELY HELPS THE
ORGANIZATION IN MEETING THE REQUIREMENTS
OF THE SERVICE STANDARDS AND PERFORMANCE
TARGETS.
(CONTED)
• ESTIMATES ABOUT AGENCIES AND OFFICERS TIME
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SAVED
ESTIMATES ABOUT BEING ABLE TO SETTLE
PROBLEMS
STATISTICS ABOUT APPROPRIATE SERVICE TO
DIFFERENT DEMOGRAPHIC GROUPS WITH THE
ORGANIZATION
INFORMATION GATHERED BY COMPLAINANT AND
RESPONDENT
SATISFACTION
EVALUATIONS,
COMMITTEE REVIEW, UNSOLICITED FEEDBACK
AND/OR GENERAL ATTITUDE SURVEYS WHICH
INDICATE HOW PEOPLE FEEL ABOUT USING THE
OMBUDSMAN OFFICE
INFORMATION ABOUT GRANTS, NEW RECRUITS TO
THE
ORGANIZATION
OR
EXPANSION
IN
JURISDICTION OR DONORS ATTRACTED BY WORK
(CONTED)
• PUBLIC RECOGNITION - AWARDS, NEWS
ARTICLES ETC.
• INFORMATION ABOUT TEACHING AND TRAINING
BY THE OMBUDSMAN WITHIN THE
ORGANIZATION, INCLUDING, INTERNAL
COMPLAINT HANDLING, SERVICE CHARTER, GOOD
BEHAVIOUR GUIDE, TRAINING OF OTHER
OMBUDSMAN
• SELF SCRUTINY AND SELF-EVALUATION BY THE
OMBUDSMAN
• MEMBERSHIP OF THE REGIONAL AND
INTERNATIONAL ORGANIZATIONS AND ROLE
PLAYED IN THAT
COST-EFFECTIVENESS ESTIMATES
OF OMBUDSMAN
VALUE ADDED + COST CONTROL – OMBUDSMAN MISTAKES
----------------------------------------------COSTS OF THE OMBUDSMAN FUNCTION
FIVE BENEFITS TO THE
OMBUDSMAN FUNCTION
• PRODUCTIVITY
• MANAGEMENT TIME AND OTHER
PERSONNEL SAVINGS
• LEGAL STAFF SALARY SAVINGS
• MISCELLANEOUS SAVINGS - DATA
COLLECTION
FACTORS IMPORTANT TO OMBUDSMAN
EFFECTIVENESS
• INTERNAL FACTORS
– FINANCIAL, ADMINISTRATIVE AND
OPERATIONAL AUTONOMY
– TRAINED AND EFFICIENT STAFF
• EXTERNAL FACTORS
– RULE OF LAW
– INSTITUTIONAL STABILITY
– PEOPLE’S AWARENESS TO THEIR RIGHTS
– POLITICAL COMMITMENT
– ATTITUDE OF MEDIA
– SOCIAL ACTIVISIM
CHALLENGES
CHALLENGES
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PRIVATIZATION
OUTSOURCING
GLOBALIZATION
DISTANCE BETWEEN DECISION
MAKING AND DECISION MAKING
PROCESS
• FINANCIAL RESOURCES
• HUMAN RESOURCES/TRAINING
• MOTIVATION
RECOMMENDATIONS
RECOMMENDATIONS
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LINKAGE WITH THE PARLIAMENT
FUNDAMENTAL RIGHTS
CREATING THE POSTS OF DEPUTY MOHTASIB
CREATING THE OFFICE OF SERVICE OMBUDSMAN
OMBUDSMEN IN OTHER SECTORS OF THE ECONOMY
ESTABLISHMENT OF LOCAL GOVERNMENT OMBUDSMAN
MOHTASIB ROLE IN COMBATING CORRUPTION AND
DEALING WITH HUMAN RIGHT
OMBUDSMAN ROLE TO PROMOTE OPEN GOVERNMENT
IMPROVING THE VISIBILITY OF THE OFFICE
TEACHING THE CONCEPT OF MOHTASIB FROM PRIMARY
LEVEL OF EDUCATION
TRAINING OF OFFICIAL
INTRODUCTION OF INFORMATION TECHNOLOGY
APPOINTMENT OF ACTING OMBUDSMAN SHOULD BE RARE
THANK YOU
CONTACT:
CIVIL SERVICE REFORMS UNIT
(ESTABLISHMENT DIVISION), GOVT. OF PAKISTAN
Block-B, II Floor, Benevolent Fund Building,
Islamabad. (Pakistan)
Tele: 92-51-9217152
EMAIL: [email protected] / [email protected]
WEB: www.policy.hu/bokhari
“INSTITUTION TO INVESTIGATE COMPLAINTS CAN ONLY BE SEEN
IN THE CONTEXT OF PUBLIC ADMINISTRATION; HENCE THEIR
HISTORY IS ALSO THE HISTORY OF PUBLIC ADMINISTRATION AS
A WHOLE. IT GOES BACK TO THE KORAN. IN THE KORAN ITSELF
THE TERM ‘ADMINISTRATION’ IS NOT USED, BUT IN MANY OF ITS
VERSES THE PRINCIPLES OF POLITICAL AND ADMINISTRATIVE
SYSTEM ARE EXPOUNDED. JUSTICE IS ONE OF THE BASIC
PRINCIPLES OF ISLAMIC IDEOLOGY.
BEFORE THE TIMES OF PROPHET MUHAMMAD (PBUH) THERE WAS
NO ADMINISTRATION IN THE PROPER SENSE OF THE WORD. IT
WAS THE PROPHET WHO FIRST INTRODUCED ADMINISTRATIVE
AUTHORITIES. HE APPOINTED GOVERNORS OF THE PROVINCES,
JUDGES AND TAX COLLECTORS. THEY WERE ALL ACCOUNTABLE TO
THE PROPHET. WE HAVE NO REPORT OF COMPLAINTS ABOUT
THESE
INSTITUTIONS.
AS
ESSENTIAL
PRINCIPLES
OF
GOVERNMENT
AND
ADMINISTRATION,
THE
PROPHET
BEQUEATHED TRUST, JUSTICE AND EFFECTIVENESS AS WELL THE
COMBINATION OF AUTHORITY WITH RESPONSIBILITY.
(BACK)
“OUT OF YOUR HOURS OF WORK FIX A TIME FOR COMPLAINTS
AND FOR THOSE WHO WANT TO APPROACH YOU WITH THEIR
GRIEVANCES. FOR THIS PURPOSE YOU MUST ARRANGE PUBLIC
AUDIENCE FOR THEM, AND DURING THIS AUDIENCE, FOR THE
SAKE OF GOD, TREAT THEM WITH KINDNESS, COURTESY AND
RESPECT. DO NOT LET YOUR ARMY AND POLICE BE IN THE
AUDIENCE HALL AT SUCH A TIME SO THAT THOSE WHO HAVE
GRIEVANCES AGAINST YOUR GOVERNMENT MAY SPEAK TO YOU
FREELY, UNRESERVEDLY AND WITHOUT FEAR. ALL THIS IS A
NECESSARY FACTOR FOR YOUR RULE BECAUSE I HAVE OFTEN
HEARD THE PROPHET (PEACE OF GOD BE UPON HIM) SAYING:
“THAT NATION OR GOVERNMENT CANNOT ACHIEVE SALVATION
WHERE THE RIGHTS OF THE DEPRESSED, DESTITUTE AND
SUPPRESSED ARE NOT GUARDED, AND WHERE MIGHTY AND
POWERFUL PERSONS ARE NOT FORCED TO ACCEDE TO THESE
RIGHTS”.
(BACK)