JUDGMENT
1 HIS HONOUR: Gerard McGuirk filed a summons on 4 January 2007 seeking relief against the NSW Ombudsman. The relief Mr McGuirk sought was an order of the Court in the nature of mandamus requiring the Ombudsman to report into allegations relating to certain current and former officers of the University of New South Wales. The Ombudsman had terminated the investigation into these reports on 7 December 2006.
2 The Ombudsman moves the Court (notice of which was filed on 7 February 2007) for orders dismissing the proceedings. After some initial skirmishes the matter was listed for hearing on 2 July 2007 and thereafter by some further written submissions and affidavits, because Mr McGuirk was unaware, despite some notice earlier given, that at least one major issue in the proceedings was his standing to bring the proceedings, to be dealt with on a preliminary basis together with his application for leave. One such notice of that issue was a facsimile from the Court of 5 July 2007. The matter was listed on two further occasions.
The Complaints to the Ombudsman
3 Mr McGuirk's complaints relate to a failure of the Ombudsman to report on certain allegations relating to the alleged maladministration and corrupt conduct at the University of New South Wales. Mr McGuirk, having worked for a significant period of time in the private sector, commenced employment with the University in February 1998.
4 Mr McGuirk raised issues of maladministration with the Director of Internal Audit at the University on 30 May 2001. Mr McGuirk then raised these issues with the Vice-Chancellor and the Chancellor on 3 December 2001, and, because he did not receive a response, with the members of the University Council on 18 December 2001. Further complaints were made to various officers of the University in the following period from 2002 to at least 2003.
5 After 2003, Mr McGuirk made complaint to various members of State Parliament including the Chair of the Committee on the Office of the Ombudsman and Police Integrity Commission. These complaints were made during 2004, 2005 and 2006. Mostly the focus of the complaints was the delay in the report of the Ombudsman into certain complaints. Mr McGuirk describes it in the following terms (paragraph 47 of his affidavit of 22 June 2007):
"I have monitored the conduct by the NSW Ombudsman of his investigation of complaints made in regard to the UNSW for almost five years. During that time I have gathered many thousands of pages of documents related to this investigation, other incidences (sic) of financial mismanagement at the UNSW and at other Australian Universities."
6 It is necessary to detail the complaints to the Ombudsman in issue in these proceedings. The first relevant complaint to the Ombudsman was in December 2000. It was lodged by a staff member, other than Mr McGuirk, and related to allegations of maladministration. The staff member was not, on the evidence, acting on behalf of Mr McGuirk. Nor did the complaint relate to Mr McGuirk, his position at the University, or the University's treatment of Mr McGuirk. The complaint did not affect Mr McGuirk in any direct or indirect manner.
7 The Ombudsman reported on this complaint in February 2002 and found that two officers of the University were involved in wrongdoing. The report, like the complaint that gave rise to it, did not relate to Mr McGuirk. He was not one of the officers said to have been involved in any wrongdoing, nor were there any findings adverse to Mr McGuirk, that related to his conduct or that, on their face, affected him in any way.
8 The second set of relevant complaints were lodged in 2002. In May and June 2002 a staff member, again not Mr McGuirk, filed four complaints alleging that the University had mishandled internal complaints about staff members, which internal complaints had been made by other staff.
9 Two further complaints were made about the same general subject matter, namely, the handling of internal staff complaints by the University and the treatment by the University of the complaints and complainants. These two further complaints were lodged with the Ombudsman in August 2003. Once more the complainant to the Ombudsman was not Mr McGuirk.
10 Further, as with the first complaint, none of the six that comprise the second set of relevant complaints involve or relate to Mr McGuirk. He is not the complainant; he is not adversely affected by the complaint; his conduct is not impugned; he neither benefits nor suffers as a direct result of the conduct about which complaint is made, nor as a result of its correction or reversal by the Ombudsman or the University.
11 In relation to the second set of complaints, no report has issued from the Ombudsman, it is the issue of that report that Mr McGuirk seeks to have this Court require by an order in the nature of mandamus.
12 Further to the above, Mr McGuirk, on 26 March 2002, rang the Ombudsman to discuss his situation with the University. His employment with the University had been terminated by the University effective from 31 March 2002. The discussion with the Ombudsman's Office centred on the allegations of maladministration by Mr McGuirk and whether such allegations fell within the Protected Disclosures Act 1994 (NSW). Mr McGuirk wrote, following that discussion, to the then Vice-Chancellor of the University. The letter is dated 28 March 2002.
13 On 14 May 2002 Mr McGuirk lodged a formal complaint to the Ombudsman alleging that he (Mr McGuirk) had been the subject of detrimental action following the making of protected disclosures (i.e. victimisation). I shall refer to this as the Victimisation Complaint.
14 The allegation of maladministration by Mr McGuirk was, in essence, an objection to the transfer by the University, of the Master of Business and Technology Program (MBT) from the Faculty of Engineering to the Faculty of Commerce and Economics, and "the integrity of the decision-making process".
Closure of File
15 On 15 November 2002, the Ombudsman's Office wrote to Mr McGuirk notifying that his file was closed. Although written in an indirect style, the letter informed Mr McGuirk "formally" that the investigation officer was "closing your file". It referred to a previous meeting with Mr McGuirk and a meeting with the Vice-Chancellor, and stated that the Ombudsman's Office "has decided that in view of our efforts in two related UNSW cases we currently have on foot, our resources would be best concentrated in those cases rather than in pursuing your complaint as a separate case".
16 Mr McGuirk did not seek to review the decision to close the file opened as a result of his complaint; the effect of which was to terminate any inquiry or investigation in relation thereto.
17 As earlier stated, Mr McGuirk continued to write to the Ombudsman and provides the Ombudsman with details of the action Mr McGuirk was taking in relation to the University. The Ombudsman's Office, more fully than previously, explained the reasons for terminating his complaint file. In the letter dated 9 September 2003, the Ombudsman's Office explained its jurisdiction and policy to Mr McGuirk. It explained to Mr McGuirk that its jurisdictional limits did not allow it to investigate or to report on matters relating to the appointment or employment of a person or affecting a person on account of his/her position as an officer or employee.
18 Further, the Ombudsman's Office explained, as to the transfer of the MBT Program from the Faculty of Engineering to Commerce/Economics, that the Ombudsman's Office did not involve itself in the exercise of a discretion that was reasonably open to it.
19 Mr McGuirk continued to write to the Ombudsman's Office. On gaining no satisfaction he wrote to the Chair of the Parliamentary Committee on the Office of the Ombudsman and the Police Integrity Commission. He also agitated with them the finalisation of the complaints by others, as he did with the Ombudsman. Further, Mr McGuirk wrote to members of the NSW Parliament seeking to agitate the issue of the report into the relevant complaints. Questions were asked in Parliament on these issues, presumably at the behest of Mr McGuirk.
Legislative Scheme
20 The Office of Ombudsman is established under section 6 of the Ombudsman Act 1974 (NSW). Other officers are created to assist the Ombudsman in performing functions. Each of those officers are appointed by the Ombudsman. Section 12 of the Act allows any person to complain to the Ombudsman about the conduct of a public authority.
21 An investigation is entitled to be undertaken when it appears to the Ombudsman, on complaint or otherwise, that corrupt, unreasonable or invalid acts have occurred: see section 13(1) and section 26 of the Act. The Ombudsman is entitled to discontinue an investigation: section 13(3) of the Act. The precise terms of section 26 of the Act, about which the Ombudsman must be satisfied before the jurisdiction to investigate under section 12 is enlivened, are not presently relevant.
22 If the Ombudsman were to find, in an investigation, that the conduct is of the kind referred to in section 26 of the Act, the Ombudsman is to report accordingly, giving reasons. The report is given to the responsible Minister (section 26(3)(a) of the Act); the head of the public authority whose conduct was investigated (section 26(3)(b) of the Act); in the case of the public service, to the Premier (section 26(3)(c) of the Act); and, where the investigation arises out of a complaint, the Ombudsman may give a copy to the complainant (section 26(4) of the Act). It follows that the Ombudsman may elect not to provide a copy to the complainant.
23 Where the Ombudsman investigates a complaint, under section 12 of the Act, the Ombudsman may give progress reports to the complainant and must give a final report to said complainant: see section 29(1)(a) and (b) of the Act.
24 Lastly it is relevant, in examining the legislative scheme governing the functioning of the Ombudsman, to note that investigations by the Ombudsman are not public investigations and are required to be made in the absence of the public: section 17 of the Act.
The Jurisdiction of the Court
25 As earlier stated, Mr McGuirk moves the Court for prerogative relief. The Ombudsman moves the Court for summary dismissal.
26 The provisions of section 35A of the Ombudsman Act grants to the Ombudsman an immunity from suit or prosecution and provides that the Ombudsman "shall not … be liable, whether on the ground of want of jurisdiction or on any other ground, to any civil or criminal proceedings" in respect of acts performed in that capacity unless performed "in bad faith".
27 The terms of section 35A of the Ombudsman Act should be repeated:
"(1) The Ombudsman shall not, nor shall an officer of the Ombudsman, be liable, whether on the ground of want of jurisdiction or on any other ground, to any civil or criminal proceedings in respect of any act, matter or thing done or omitted to be done for the purpose of executing this or any other Act unless the act, matter or thing was done, or omitted to be done, in bad faith.
(2) Civil or criminal proceedings in respect of any act or omission referred to in subsection (1) shall not be brought against the Ombudsman or an officer of the Ombudsman without the leave of the Supreme Court.
(3) The Supreme Court shall not grant leave under subsection (2) unless it is satisfied that there is substantial ground for the contention that the person to be proceeded against has acted, or omitted to act, in bad faith."
28 The legislature, in enacting section 35A of the Act, has promulgated a privative clause of some width. While leave is capable of being obtained from the Supreme Court, such leave may be granted only if the Court is satisfied that there is a "substantial ground for the contention" of bad faith. Sub-section (3) of section 35A of the Act supports the construction that leave is required under section 35A(2) for proceedings alleging bad faith and that, otherwise, no proceedings of the kind may be commenced, nor may leave be granted in relation to them.
29 The courts generally read privative clauses very strictly and in a way that narrows the restrictions on the jurisdiction of the courts. This is an example of the approach taken to any diminution of fundamental rights: see Coco v The Queen (1994) 179 CLR 427; Electrolux v AWU (2004) 221 CLR 309.
30 On one view the privative clause restricts only those cases where the Ombudsman is acting outside the permitted area:
"Judicial review on the ground of excess or want of jurisdiction is available when a body purportedly acting in exercise of jurisdiction has no jurisdiction to act in the particular way. Judicial review on that ground stands in contrast with judicial review on the ground of a wrongful failure or refusal to exercise jurisdiction. In the former case, there is no jurisdiction to exercise; in the latter, there is jurisdiction but no exercise of it." ( P.S.A v F.C.U (1991) 173 CLR 132 at 142, per Brennan J).
The joint judgment of Dawson and Gaudron JJ made the point succinctly: