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Delays, confusion in NAU application process

Investigation | 03 August 2023
Needs Assessment Unit (NAU)

The Office of the Ombudsman (OMB) received a complaint alleging considerable delays and maladministration from an applicant seeking financial assistance from the Needs Assessment Unit (NAU). The complainant alleged it had taken eight months for NAU to process the application, that the NAU did not provide sufficient reasons for why the application had been refused, that NAU staff members had actually reached different decisions at different times regarding the assistance application – one had awarded the assistance and the other then refused it - and finally that NAU had unfairly restricted the applicant to a brief period of aid when other applicants had not been so restricted.

OMB attempted to resolve these matters informally with the NAU, but those discussions were not successful and later opened a formal investigation into the four separate areas of the complaint.  

The OMB supported the complainant in the first three areas including that the delay in the application was unreasonable, that NAU did not provide sufficient reasons for the refusal and that administrative unfairness in the decision-making process had occurred. However, the OMB did not support the final complaint, that the applicant had been unfairly restricted in receiving assistance.

Due to some staffing issues which occurred at the OMB between late 2021 and during 2022, the investigation into this complaint was delayed. The OMB reflected this in her recommendations to the NAU, noting that changes to financial assistance legislation and guidelines may have already addressed the issues raised in the complaint: 

Based on the findings of the investigation the following recommendations were made:

  • If the NAU has not already done so, issue a formal, written apology to the complainant for its handling of this application and invite him to reapply for financial assistance if he remains in need. This should be done within 30 days.
  • If not already in place, the NAU should have a written policy detailing the role of the Compliance and Operations Manager and the general internal process for complaints resolution if it does not have one already.
  • If not already in place, the NAU should use a list of standard questions for all applicants to reduce the need to go back and forth with clients to reduce delays in processing claims.
  • If it has not already done so, the NAU should consider conducting a comprehensive review or audit of recent NAU decisions to identify if there are systemic issues in the decision-making process. Such an investigation would aim to ensure fair and proper treatment for all clients.

Later in the year, the Needs Assessment Unit provided documentation showing that all policy recommendations had been followed to the satisfaction of the Ombudsman and noted an apology letter was issued to the complainant.