Discern Discover Discourse Annual Report 2018 The Ombudsman, Hong Kong Annual Report 2018 Vision To ensure that Hong Kong is served by a fair and efficient public administration which is committed to accountability, openness and quality of service Mission Through independent, objective and impartial investigation, to redress grievances and address issues arising from maladministration in the public sector and bring about improvement in the quality and standard of and promote fairness in public administration Functions The Ombudsman should serve as the community’s watchdog to ensure that: Bureaucratic constraints do not interfere with administrative fairness Public authorities are readily accessible to the public Abuse of power is prevented Wrongs are righted Facts are pointed out when public officers are unjustly accused Human rights are protected The public sector continues to improve quality and efficiency Values Maintaining impartiality and objectivity in our investigations Making ourselves accessible and accountable to the public and organisations under our jurisdiction According the public and organisations courtesy and respect Upholding professionalism in the performance of our functions Performance Measures Speed of case work Complainants’ level of satisfaction with case handling Redress obtained Recommended improvement measures committed to and/or implemented Non-repetition of complaints Contents History in Brief 6 The Ombudsman’s Review 10 Chapter 1 Our Role, Powers and Obligations 16 Jurisdiction 16 Matters Not for Investigation 16 Restrictions 17 Powers of Investigation and Recommendation 17 Secrecy Requirement and Transparency 17 Chapter 2 Our Procedures 18 Complaint Handling 18 • Modes of Complaint • Assessment • Inquiry • Mediation • Full Investigation • Review Direct Investigation 20 • Preliminary Inquiry • Investigation Methodology Publication of Reports 21 Implementation of Recommendations 21 Contents Chapter 3 Performance and Results 22 Enquiries and Complaints Processing 22 • Topical Complaints • Mode of Lodging Complaints • Complaints Handled Major Causes for Complaint 23 Most Popular Targets of Complaint 24 Outcome of Investigations and Inquiries 24 Direct Investigation 24 Recommendations 25 Our Performance 25 Overview 25 Chapter 4 Reward and Challenge 26 Enhancing Quality Administration 26 Mediating Disputes 26 Apology in Complaint Resolution 28 Transparent Government and Access to Information 28 • Government Departments/Agencies Covered by the Code • Organisations Not Covered by the Code Issues Examined by Direct Investigations 29 • Regulation of Factory Canteens • Procurement and Withdrawal of Public Library Materials • Enforcement Action against a Village House with Irregularities • Safety Control for Imported Fruits and Vegetables • Mechanism for Handling Smoking Offences • Control over Fly-tipping of Construction Waste and Landfilling Activities on Private Land • Maintenance of Government Water Mains and Risk Management Challenges from Parties 31 • Re-assessment of Cases • Review of Cases • Judicial Review and Litigation • Challenging Complainant Behaviours • Response Time of Organisations Overview 33 Contents Chapter 5 Office Administration 34 Staffing 34 Training 34 Occupational Health and Safety 35 Complaints against the Office 35 Chapter 6 Publicity and External Relations 36 Public Education and Promotion 36 • TV Programme “The Ombudsman Special II” • Advertising Commercials • Press Conferences and Media Events • Talks for Departments and Organisations Working with Professionals, Community Leaders, etc. 38 • Advisers and JPs • Legislative Councillors • The Ombudsman’s Awards Overseas Liaison 40 Looking Ahead 40 One Year at a Glance 42 Contents Annexes Annex 1 List of Scheduled Organisations 48 Annex 2 Circumstances where Complaints are not Followed up or Investigated 52 Annex 3 Statistics 53 Annex 3.1 Caseload 54 Annex 3.2 Enquiries/Complaints Received 55 Annex 3.3 Nature of Complaints Processed 55 Annex 3.4 Distribution of Enquiries/Complaints Received 56 Annex 3.5 Distribution of Complaints Completed 59 Annex 3.6 Complaints Pursued and Concluded: Top Ten Organisations 59 Annex 3.7 Results of Complaints Concluded by Full Investigation 60 Annex 3.8 Forms of Maladministration Substantiated by Full Investigation 60 Annex 3.9 Results of Complaints Concluded by Inquiry 61 Annex 3.10 Achievement of Performance Pledges 64 Annex 4 Flow Chart on Handling of a Complaint 65 Annex 5 Index of Direct Investigations Completed 66 Annex 6 Summaries of Selected Reports of Direct Investigations 67 Annex 7 Index of Cases Concluded by Full Investigation 87 Annex 8 Summaries of Selected Cases Concluded by Full Investigation 103 Annex 9 Summaries of Selected Cases on Code on Access to Information 126 Annex 10 Index of Reviews by Full Investigation 132 Annex 11 Summary of Selected Review by Full Investigation 133 Annex 12 Examples of Improvement Measures Introduced by Organisations Following Our 135 Inquiry or Investigation Annex 13 Organisation Chart 140 Annex 14 Panel of Advisers 141 Annex 15 Visits to the Office of The Ombudsman 142 Financial Statements for the Year Ended 31 March 2018 146 Glossary of Terms Complainants Charter History in Brief 1988 1989 20 July 1 February The Commissioner for The COMAC Ordinance was Administrative Complaints enacted (“COMAC”) Bill was passed by the Legislative Council (“LegCo”) First Commissioner Mr Arthur Garcia, JP assumed offi ce 1 March 1993 The Offi ce of COMAC became 21 July operational with staff seconded First Commissioner Mr Arthur Garcia, JP from Government Legislative review completed, the COMAC (Amendment) Bill was 15 November introduced into LegCo COMAC became a member of the International Ombudsman Institute (“IOI”) 1994 1 February 24 June 30 June Second Commissioner Mr Andrew The COMAC Ordinance was Advisers were appointed to provide So, SBS, OBE, JP assumed offi ce amended: expert advice and professional opinion • to enable the public to lodge complaints directly, instead of by 1 July referral from LegCo Members Chinese title of the Commissioner • to extend the jurisdiction to was changed to 「申訴專員」 and some major statutory bodies the Offi ce to「申訴專員公署」 • to empower the Commissioner to publish anonymised investigation reports Second Commissioner • to empower the Commissioner Mr Andrew So, SBS, OBE, JP to initiate direct investigation 1995 1 March 23-25, 27 October Jurisdiction was extended to investigation into alleged The Commissioner hosted the 15th Australasian and breach of Code on Access to Information Pacifi c Ombudsman Region (“APOR”) Conference and the International Ombudsman Symposium 6 History in Brief 1996 1997 1 March 24 October 1 April Non-offi cial Justices of the Peace The Ombudsman was elected to Mediation service was launched as (“JPs”) were enlisted in a JPs the Board of Directors of the IOI an alternative dispute resolution Assistance Scheme method 27 December 15-16 April English titles were changed to 25 July The Ombudsman’s Offi ce “The Ombudsman” and “Offi ce of The Ombudsman’s Awards were participated in the establishment of The Ombudsman” introduced to acknowledge public the Asian Ombudsman Association organisations handling complaints (“AOA”) and became a founding positively member 1998 1999 2001 8 May 1 April 28 March The Ombudsman was elected Third Ombudsman Ms Alice Tai, Telephone complaint service was Secretary of the AOA GBS, OBE, JP assumed offi ce introduced 19 December The Ombudsman (Amendment) 2000 Ordinance 2001 came into 27 July operation: The Ombudsman’s Awards were • to establish The Ombudsman further extended to acknowledge as a corporation sole with full public offi cers handling complaints powers to conduct fi nancial and professionally administrative matters Third Ombudsman • to empower The Ombudsman 2 November Ms Alice Tai, GBS, OBE, JP to set terms and conditions of The Ombudsman was elected to 22 July appointment for staff the Board of Directors of the IOI The Ombudsman’s Awards were • to adopt systems and processes extended to acknowledge public separate from Government offi cers’ contribution towards better quality services 2002 6 September 16 October Offi ce moved to permanent accommodation at Shun Tak The Ombudsman was elected Secretary of the IOI Centre in Sheung Wan 7 History in Brief 2004 2005 1 April 24 October Ms Alice Tai, GBS, OBE, JP started A “Memorandum of Administrative her second term (2004 – 2009) as Arrangements” (“MAA”) was The Ombudsman signed between the Director of Administration and The 10 September Ombudsman to set out the general principles and guidelines governing The Ombudsman was re-elected as the administrative arrangements for Secretary of the IOI this Offi ce and working relationship 13 December with Government Signing of MAA With the departure of the last civil 28 November - 1 December service secondee, this Offi ce was The Ombudsman hosted the 9th AOA Conference staffed by a workforce entirely appointed by The Ombudsman under The Ombudsman Ordinance 2009 2008 1 April Fourth Ombudsman Mr Alan Lai 5-8 November Nin, GBS, JP assumed offi ce The Ombudsman hosted the Board of Directors Meeting of the IOI 11 June The Ombudsman was re-elected to the Board of Directors of the IOI 2010 Fourth Ombudsman 12 June Mr Alan Lai Nin, GBS, JP 19 October Ms Alice Tai, GBS, OBE, JP was awarded IOI Honorary Life Membership The Ombudsman was elected Treasurer of the IOI 2 November Ms Alice Tai, GBS, OBE, JP was awarded AOA Honorary Life Membership 2011 2012 8 December 5-10 May 22-24 May The Ombudsman was