Maintaining Impartiality Without Fear or Favour The Ombudsman, Hong Kong Annual Report 2017 Maintaining Impartiality Without Fear or Favour The Ombudsman, Hong Kong Annual Report 2017 The gyroscope symbolises the neutral and impartial stance maintained by the Office of The Ombudsman in its dealings with citizens on one side and Government departments/public bodies on the other; the Office operates independently without fear or favour, always seeking to find the truth and to The Ombudsman, Hong Kong make fair conclusions based on objective evidence. The green line represents Annual Report 2017 the Office’s professional manner in conducting investigations and clearing up grey areas in public administration. 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 • Complainants’ Representation • Topical Complaints • Assessment • Inquiry • Mediation • Full Investigation • Review Direct Investigation 20 • Preliminary Inquiry • Investigation Methodology Implementation of Recommendations 21 Publication of Reports 21 2 Annual Report of The Ombudsman, Hong Kong 2017 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 25 Recommendations 25 Our Performance 25 Overview 26 Chapter 4 Reward and Challenge 28 Enhancing Quality Administration 28 Mediating Disputes 28 Apology in Complaint Resolution 29 Transparent Government and Access to Information 30 • Government departments/agencies covered by the Code • Organisations not covered by the Code Issues Examined by Direct Investigations 31 • Government’s tree management regime and practices • Government’s handling of four stonewall trees • Marine Department’s follow-up mechanism on marine incident investigation reports • Lands Department’s system of regularization of illegal occupation of Government land and breach of lease conditions • Temporary closure of public swimming pools/beaches due to shortage of lifeguards • Education Bureau’s regulation of kindergarten application fees • Government regulation of special transport services for persons with mobility difficulties • Education Bureau’s regulation of institutions offering non-local higher and professional education courses • Housing Department’s mechanism for action against unauthorised alternations by public housing tenants Challenges from Parties 35 • Re-assessment of Cases • Review of Cases • Judicial Review and Litigation • Challenging Complainant Behaviours • Response Time of Organisations Overview 37 Annual Report of The Ombudsman, Hong Kong 2017 3 Contents Chapter 5 Office Administration 38 Staffing 38 Training 38 Occupational Health and Safety 39 Complaints against the Office 39 Chapter 6 Publicity and External Relations 40 Public Education and Promotion 40 • TV Programme • Advertising Commercials • Press Conferences and Media Events • Talks for Departments and Organisations Working with Professionals, Community Leaders, etc. 42 • Advisers and JPs • Legislative Councillors • The Ombudsman’s Awards Overseas and Mainland Liaison 43 Looking Ahead 44 One Year at a Glance 46 4 Annual Report of The Ombudsman, Hong Kong 2017 Contents Annexes Annex 1 List of Scheduled Organisations 52 Annex 2 Circumstances where Complaints are not Followed up or Investigated 57 Annex 3 Statistics 58 Annex 3.1 Caseload 59 Annex 3.2 Enquiries/Complaints Received 60 Annex 3.3 Nature of Complaints Processed 60 Annex 3.4 Distribution of Enquiries/Complaints Received 61 Annex 3.5 Distribution of Complaints Completed 64 Annex 3.6 Complaints Pursued and Concluded: Top Ten Organisations 64 Annex 3.7 Results of Complaints Concluded by Full Investigation 65 Annex 3.8 Forms of Maladministration Substantiated by Full Investigation 65 Annex 3.9 Results of Complaints Concluded by Inquiry 66 Annex 3.10 Achievement of Performance Pledges 69 Annex 4 Flow Chart on Handling of a Complaint 70 Annex 5 Index of Direct Investigations Completed 71 Annex 6 Summaries of Selected Reports of Direct Investigations 72 Annex 7 Index of Cases Concluded by Full Investigation 107 Annex 8 Summaries of Selected Cases Concluded by Full Investigation 127 Annex 9 Summaries of Selected Cases on Code on Access to Information 169 Annex 10 Examples of Improvement Measures Introduced by Organisations Following 187 Our Inquiry or Investigation Annex 11 Organisation Chart 193 Annex 12 Panel of Advisers 194 Annex 13 Visits to the Office of The Ombudsman 195 Financial Statements for the Year Ended 31 March 2017 198 Glossary of Terms Complainants Charter Annual Report of The Ombudsman, Hong Kong 2017 5 History in Brief 1988 1989 20 July 1 February The Commissioner for Administrative The COMAC Ordinance was Complaints (“COMAC”) Bill was enacted passed by the Legislative Council First Commissioner Mr Arthur (“LegCo”) Garcia, JP assumed office 1 March The Office of COMAC became 1993 operational with staff seconded First Commissioner Mr Arthur Garcia, JP from Government 21 July Legislative review completed, 15 November the COMAC (Amendment) Bill COMAC became a member of the International Ombudsman was introduced into LegCo Institute (“IOI”) 1994 1 February 24 June 30 June Second Commissioner Mr Andrew The COMAC Ordinance was Advisers were appointed to So, SBS, OBE, JP assumed office amended: provide expert advice and • to enable the public to lodge professional opinion complaints directly, instead of by referral from LegCo Members 1 July • to extend the jurisdiction to Chinese title of the Commissioner some major statutory bodies was changed to「申訴專員」 and the Office to「申訴專員公署」 • to empower the Commissioner to publish anonymised investigation reports • to empower the Commissioner Second Commissioner to initiate direct investigation Mr Andrew So, SBS, OBE, JP 1995 1 March 23-25, 27 October Jurisdiction was extended to investigation into The Commissioner hosted the 15th Australasia alleged breach of Code on Access to Information and Pacific Ombudsman Conference and the International Ombudsman Symposium 6 Annual Report of The Ombudsman, Hong Kong 2017 History in Brief 1996 1997 1 March 15-16 April 1 April Non-official Justices of the Peace The Ombudsman’s Office Mediation service was (“JPs”) were enlisted in a JPs participated in the establishment of launched as an alternative Assistance Scheme the Asian Ombudsman Association dispute resolution method (“AOA”) and became a founding 24 October member 25 July The Ombudsman was elected to The Ombudsman’s Awards were the Board of Directors of the IOI 27 December introduced to acknowledge English titles were changed to public organisations handling “The Ombudsman” and “Office of complaints positively The Ombudsman” 1998 1999 2001 8 May 28 March The Ombudsman was elected Telephone complaint service Secretary of the AOA was introduced 19 December The Ombudsman (Amendment) Ordinance 2001 came into 2000 operation: Third Ombudsman • to establish The Ombudsman 27 July Ms Alice Tai, GBS, OBE, JP as a corporation sole with full The Ombudsman’s Awards were powers to conduct financial further extended to acknowledge 1 April and administrative matters public officers handling Third Ombudsman Ms Alice Tai, • to empower The Ombudsman complaints professionally GBS, OBE, JP assumed office to set terms and conditions of appointment for staff 2 November 22 July • to adopt systems and The Ombudsman was elected The Ombudsman’s Awards were processes separate from to the Board of Directors of extended to acknowledge public Government the IOI officers’ contribution towards better quality services 2002 6 September 16 October Office moved to permanent accommodation at The Ombudsman was elected Secretary of the IOI Shun Tak Centre in Sheung Wan Annual Report of The Ombudsman, Hong Kong 2017 7 History in Brief 2004 2005 1 April 24 October Ms Alice Tai, GBS, OBE,