CHAPTER 3
AUSTRALIAN CONSULAR SERVICES
Introduction
3.1 In this Chapter, the Committee examines consular services provided
by the Department of Foreign Affairs and Trade, both in Australia and
overseas, and by Austrade.
DFAT Consular Services Canberra
3.2 When the Committee began this inquiry, consular matters were handled
in the Consular and Passports Branch in the Consular, Passports and
Security Division of DFAT. At the end of 1996, some restructuring of
functions within the Department resulted in the separation of consular
and passport matters and the consequential establishment of a separate
Consular Branch, which was placed in the new Public Affairs and Consular
Division.
3.3 The separation of consular and passport matters was recommended originally
by Price Waterhouse, consultants, who reviewed the passports operation
in 1993-94. In September 1995, consultant Mr Tim McDonald, who conducted
a review of consular services, also recommended the separation of the
two operations on the grounds that the 'consular function has so grown
in complexity, public importance and policy terms that it justifies the
undivided attention of an SES [Senior Executive Service] officer'. [1]
3.4 In evidence to the Committee, DFAT stated that the new division brings
together areas of the Department which deal with public affairs and with
the public generally as 'we found in our handling of consular matters
that public affairs matters [have] been probably the closest of all functions
in the Department that do relate to consular affairs. So it was decided
to bring the Consular Branch into this Public Affairs Division.' [2]
3.5 The Consular Branch comprises the Branch Head, the Consular Policy
Section, the Consular Operations Section and the new Consular Response
Group (CRG). The purpose of the CRG is 'to provide dedicated management
of particularly complex cases. As part of its charter, the Consular Response
Group has been charged with the ongoing review of the many facets of the
Department's consular emergency procedures.' [3]
It is a more limited version of Mr McDonald's recommendation for the establishment
of a 'Special Projects Section'. The CRG is currently staffed by three
officers.
3.6 The decision as to which consular case will be handled by the CRG
is made by the Assistant Secretary of the Consular Branch, in consultation
with the CRG, the Consular Operations Section and the Consular Policy
Section. Such cases are likely to be those of particular complexity, possibly
with policy implications and of long duration. [4]
Since its inception, the CRG has been formally allocated one case, that
of kidnapped pilot Justin Fraser, although officers of the CRG have assisted
with aspects of several other cases. The head of the CRG has also travelled
to Vila to assist in the handling of a difficult consular case in Vanuatu.
3.7 The CRG is funded from the resources of the Consular Branch. Branch
funding was used to deploy the Head of the CRG and an Australian Defence
Force (ADF) officer to Nairobi for four weeks in August-September 1996
to assist with the case of Justin Fraser. The CRG is discussed in more
detail in Chapter 7.
3.8 The Consular Operations Section comprises a Director, an Executive
Officer and four geographically-based project teams. According to Mr
Tim McDonald:
The organisation is flexible, fluid and designed to achieve a
high level of job satisfaction, in which it appears successful. Among
officers of the section there is evidence of a high level of dedication
and pride in their professionalism. [5]
DFAT Consular Operations Overseas
3.9 DFAT was managing 81 embassies, high commissions and consulates before
the 1997 Budget announcement that two posts, Copenhagen and Nauru, are
to be closed. Posts are staffed with both Australian-based (A-based) officers
and locally engaged staff (LES). The size of posts vary, the largest being
Washington with 286 staff and the smallest being the Holy See with two
staff. [6]
3.10 As at 31 March 1997, the total number of DFAT A-based staff at overseas
posts was an estimated 617 officers overseas. At 31 December 1996 there
were 1,587 LES, a decrease from 1,669 at 30 June 1996. [7]
In its performance audit report, the Australian National Audit Office
(ANAO) noted that DFAT had reduced the number of staff working overseas
by 111, or 13 per cent, in the period from June 1989 to June 1994. [8]
The Department provided the Committee with the following information on
staffing levels:
Table 3.1: DFAT staffing levels, 1994-95 to 31 Mach 1997
| As at |
Officers overseas |
Officers in
Australia
|
Total |
Percentage change from previous year
Officers overseas/Total
|
| 30.06.94 |
721 |
1,840 |
2,561 |
|
| 30.06.95 |
759 |
1,905 |
2,664 |
+5.3/+4 |
| 30.06.96 |
677 |
1,844 |
2,303 |
-11/-13.6 |
| 31.03.97# |
617 |
1,653 |
2,270 |
-8.9/-1.4 |
# Estimated figure
Source: DFAT answer to question on notice, 13 May 1997
3.11 According to Mr Tim McDonald, 'Each post has at least one designated
Australian-based officer responsible for consular matters. There are a
dozen major consular posts where there are one or more full-time positions.'
[9] Consular officers are supported by
LES and, where necessary, by other officers within the post. However,
Mr Fisher, First Assistant Secretary, Public Affairs and Consular Branch,
told the Committee that:
most of the Australian embassies and high commissions are pretty
small. They will perhaps have three Australian officers: an ambassador,
a support staff and one other in perhaps the majority of cases now.
So, by definition, your consular work is perhaps one-tenth, one-quarter,
one-half of the duty of somebody who is doing a wide range of things.
[10]
3.12 Mr Fisher told the Committee that, in any post, when the consular
workload cannot be handled by the officer responsible for consular matters,
other staff at the post assist with consular duties. [11]
Austrade Consular Operations Overseas
3.13 Austrade told the Committee in September 1996 that in October
1995 it provided consular assistance at 18 of its managed posts abroad.
Since then:
- DFAT had taken over management of the post at Guangzhou; [12]
- Austrade officially closed its post at Houston on 31 December 1996
because 'in an environment of tight resources, it was assessed Houston's
trade promotion work could be covered by other Austrade posts, predominantly
from Atlanta and Los Angeles'; [13]
and
- Austrade now offers assistance at Hamburg and Johannesburg.
3.14 Austrade reported that it undertakes consular activities in two
circumstances: first, where Austrade has sought to be in a market and
it has taken on consular activities as part of the accreditation requirements
in that country; and, secondly, in situations where offices were formerly
run by DFAT and, 'for reasons of efficiency and redistribution of resources,
there has been agreement between the department and [Austrade] that there
be some resources provided to us to maintain the consular role and still
carry on our trade promotion and export promotion activities'. [14]
3.15 As at 20 September 1996, each Austrade sole post providing consular
services was staffed by at least one A-based officer. [15]
Two Austrade managed posts are not co-located with DFAT and do not provide
consular assistance - Detroit and Silicon Valley. Austrade has sole subposts
in 15 locations. One, Hamburg, is now providing consular assistance. At
three of the remaining 14 locations, DFAT has appointed Honorary Consuls.
At Vladivostok the Honorary Consul is an Australian trade official. Consular
services are not provided at the other 11 locations where there are Austrade
subposts. Locally engaged staff are used at these subposts and while Austrade
sees an advantage in appointing LES to undertake trade functions 'that
does not provide [them with] the opportunity ... to seek or take on consular
work because of the accreditation requirements'. [16]
3.16 Austrade stated 'the trade commissioner doubles as consul or consul
general, and is supported by dedicated consular staff in larger offices
and by trade staff in smaller offices'. [17]
The consulates provide:
the full range of consular assistance to Australian travellers,
including passport and notarial assistance, travel advice, short-term
loans and general inquiries. Consular staff regularly deal with complex
and sensitive cases such as medical emergencies and involvement in judicial
proceedings, and work closely with DFAT in these situations. [18]
Austrade stated that trade and consular functions are prioritised,
with consular activities representing approximately 20 per cent of the
workload. However, Austrade indicated that if a particularly onerous
or sensitive case arose, Austrade officers might seek assistance or
advice from DFAT or even ask DFAT to take over the case. [19]
3.17 Austrade also told the Committee that the workload in posts generated
by consular activities was kept under review as:
we do have to be mindful all the time that the trade promotion
work is the prime focus of our activity. That is what we are there for
and we certainly do not wish to have our trade resources diverted to
consular activity to an undue extent. In the main, when we open an office
for trade purposes and take on the consular role, we have to source
the funding for the consular activity from our own resources. So that
is something that we are conscious of and we do have a very close look
at all the time. [20]
Austrade opened its post in Guangzhou for trade promotion reasons
and at the same time DFAT saw a potential need for consular assistance
in the area. Austrade provided that consular support but the level
of consular activity reached a point where DFAT decided to manage
the post themselves.
3.18 Although Austrade pointed out the primacy of its trade promotion
function, it also drew attention to the advantages to Austrade of taking
on the consular role:
Austrade is keen to maintain its role in the provision of Australian
consular services. The universal recognition of the consul title and
its clear links with government and trade activities is unquestionably
an advantage. The consular title enhances Austrade's trade role by facilitating
high-level access which can be vital when establishing an Australian
commercial presence in developing markets. [21]
3.19 Austrade officials also raised the question of resources with
the Committee, noting that both the trade and consular function are
funded by Austrade. It was noted that consular activities associated
with accreditation vary significantly, depending on location. At the
present time, Austrade must meet the cost of consular activities by
diverting resources otherwise provided by the Government for export
promotion. Austrade also noted:
there is clear evidence of a growing number of travellers to
a broader range of destinations beyond the capital cities of countries
being visited and this undoubtedly increases the call on consular activities.
Were Austrade not to open independent offices in key commercial centres
it could be argued that much of the consular work would not flow through
to a more distant in-country posted operated by DFAT. [22]
Austrade concluded that in these circumstances 'it would be appropriate
for Government to increase Austrade's budget to cover consular activities
and thereby ensure that export promotion activities were not in any
way compromised'. [23]
3.20 The Committee did not attempt to examine the level of funding
for individual posts and is therefore not in a position to assess whether
or not Austrade posts are under funded for consular activities. However,
for reasons of transparency, funding for consular activities at Austrade
posts should be separately identified. Further, if it becomes apparent
that the consular activities at any particular post increase significantly
beyond the level anticipated originally by Austrade, then consideration
should be given to increasing the consular component of the funding
for the post.
3.21 The Committee recommends that funding for consular activities
at Austrade posts be separately identified.
3.22 In conducting a performance audit of small and medium-sized posts,
ANAO reported on two aspects of Austrade's performance of the consular
function. First, Austrade's use of non-accredited staff for the provision
of consular services was noted and the ANAO commented:
This is a particularly grey area in the Conventions and open
to varying interpretations. However, one local authority has queried
the use of non-accredited staff to handle consular work and has suggested
that this may be in breach of the Vienna Convention on Consular Relations.
If this claim is valid, then Austrade's work allocation policy will
need to be reviewed fundamentally. Austrade will also need to ensure
that consular work is performed only by properly accredited officers.
This is a matter requiring clarification and Austrade has initiated
action to address it. [24]
In response to the ANAO's findings, Austrade sought advice
from DFAT's Protocol Branch and were advised that the use of non-consular
staff to handle consular work is fully consistent with the Vienna
Convention, given that those staff work under the direction of properly
accredited consular officers.
3.23 Secondly, ANAO was concerned that while Austrade staff appeared
to handle basic consular matters efficiently and effectively, at two posts
visited by the ANAO 'the broader dimensions of consular work were not
regarded as the responsibility of post management. These related specifically
to the development and maintenance of contingency plans for managing civil
disasters. This is an important, if often unused and unrecognised, part
of consular work.' [25]
3.24 The ANAO recommended that Austrade ensure that the range of responsibilities
involved in consular work is defined in consultation with DFAT and that
appropriate service standards are developed and used to evaluate performance.
Austrade agreed to this recommendation and a review of the agreement
entered with DFAT in April 1992 was undertaken. As a result, a new Memorandum
of Understanding is being developed.
Consulates Managed by the Department of Immigration and Multicultural
Affairs
3.25 At present, three posts - Berne, Manchester and Vancouver - are
managed by the Department of Immigration and Multicultural Affairs (DIMA).
The Berne office will close to the public on 30 June 1997. Its consular
duties will then be taken over by the Consulate-General in Geneva, while
the Australian Embassy in Bonn will assume responsibility for all DIMA
matters, visas and citizenship.
3.26 The posts run by DIMA are expected to deliver consular services
on the same basis as other posts.
Honorary Consuls
3.27 DFAT submitted in October 1995 that:
Honorary Consuls provide representation for Australia in places
where our interests are not large enough to warrant full-time representation.
The Honorary Consul Program was first set up as a pilot program in 1989
and is being expanded as funds permit. There are currently 25 Honorary
Consuls operational, with 2 replacements and 6 new appointments in process.
[26]
Austrade supported the benefits arising from the appointment
of Honorary Consuls, stating that they 'have proved to be a highly effective
and relatively inexpensive way of protecting Australian interests'.
[27]
3.28 By September 1996 there were 29 Honorary Consuls but DFAT told the
Committee that it expected the appointment of about ten more later in
the financial year. At 1 May 1997 31 Honorary Counsels had been appointed.
DFAT was seeking to further expand the Honorary Consul network. Funds
were available for new appointments but difficulties were being experienced
in finding suitable people to be Honorary Consuls. In February 1997, Mr Fisher
told the Committee that he had recently written to all heads of mission
to encourage them to nominate people to act as Honorary Consuls. [28]
In some instances DFAT had been able to use local people who had been
engaged by other Australian agencies. For example, in Bucharest, Sofia
and Vladivostok, full-time local marketing officers appointed by Austrade
were appointed Honorary Consuls.
3.29 The criteria used by DFAT in selecting an Honorary Consul include:
long-term residency of the country; if possible, be an Australian citizen
or a person who has had some association with Australia; fluency in English
and the local language; and have access to, and the personal standing
to deal with, government, the bureaucracy, the media and the business
community. [29]
3.30 A prospective Honorary Consul has his or her duties explained
in detail prior to appointment. Nevertheless, DFAT indicated that some
difficulties had been encountered with a few Honorary Consuls whose
terms of appointment had not been renewed.
3.31 Honorary Consuls are supervised by the Australian mission responsible
for diplomatic/consular relations in the country or region. The supervising
mission provides initial training for the Honorary Consul and their
office staff. DFAT has conducted overseas meetings of Honorary Consuls
and, in 1995, initiated training seminars for Honorary Consuls and their
staff. Seminars have been held in Buenos Aires and Vienna and some Honorary
Consuls have attended courses in Canberra. However, DFAT noted that
Honorary Consuls are usually busy people with little time to attend
training courses run by the Department although a number had found the
time to do so.
3.32 The list of Honorary Consuls is included in the Department's publication
Hints for Australian Travellers. Local officials, as well as consular
officers of any local UK, Canadian or US mission would normally refer
any Australian traveller needing assistance to the Honorary Consul.
3.33 DFAT submitted that Honorary Consuls do not issue passports but
can conduct passport interviews and issue an emergency travel document
to enable a stranded Australian to reach an Australian post. They distribute
visa application forms but are not authorised to issue visas. Immigration
inquiries are referred to the closest Australian immigration office. One
of the main problems encountered by Honorary Consuls and their staff has
been the 'disproportionate amount of time spent answering inquiries about
visas'. [30]
3.34 DFAT told the Committee that the main criticism of Honorary Consuls
concerned the non-issuing of visas or passports. As some of their offices
may not open eight hours a day, this has been a source of complaint. However,
Mr Fisher explained that Honorary Consuls are businessmen or have another
profession and 'they are there to provide service in accordance with the
time which they are prepared to make available'. [31]
3.35 Mr Fisher acknowledged that some Honorary Consuls were appointed
to carry out mainly consular activities but others were appointed primarily
for their business attributes and contacts to meet the needs of the
Australian business community. Although business-oriented Honorary Consuls
still provide a consular service, they spend more of their available
time assisting Australian business. Mr Fisher said:
They are people with a very good political entree, who can ring
up the prime minister of a country and get an entree like that - somebody
who can service the needs of senior Australian business people. They
tend to be not the sort of people who are going to go and make prison
visits. It is not easy to get all the requirements in one person. [32]
3.36 The Committee understands the frustration of some Australian travellers
not able to gain access to the Honorary Consul during the same range
of hours that they would at an Australian post, but believes that this
is a small price to pay for having both an Australian consular presence
and business contact in the area.
3.37 Honorary Consuls receive an honorarium of $5,000 a year and reimbursement
of some administrative expenses. These administrative expenses vary
from country to country, although the average cost is $2,500 per year.
An additional amount of $1,500 for start-up costs is also allowed.
3.38 At present, DFAT does not provide staff for Honorary Consuls with
the exception of the Honorary Consul in Zagreb. Mr Fisher said that
DFAT expects Honorary Consuls to request DFAT to provide staff more frequently
in the future. [33] Indeed, DFAT indicated
that in several places (eg Chicago and Edinburgh) where Honorary Consuls
had replaced an Australian post, they had been subjected to an excessively
heavy consular workload. DFAT also noted that the new Honorary Consul
in Chiang Mai would probably have a heavy workload. [34]
3.39 The Committee believes that the Honorary Consul system is a valuable
addition to the network of Australian posts around the world, providing
consular and business assistance to Australians in areas which cannot
be served adequately by Australian posts. It is a cheap but effective
means of extending the reach of consular assistance to Australian travellers.
3.40 The Committee recommends that funding be provided to continue
to expand the Honorary Consul system.
3.41 The Committee noted that in some areas Honorary Consuls were subjected
to a heavy consular workload but, except in one case, no staff assistance
has been provided to help alleviate that burden. Their current remuneration
provides little compensation for the contribution they make to the promotion
and protection of Australian consular and business interests.
3.42 The provision of staff assistance for Honorary Consuls who have
a heavy consular workload would not add significantly to the cost of
the Honorary Consul program but would provide some relief for those
Honorary Consuls who justifiably have some call on such assistance.
3.43 The Committee therefore recommends that DFAT provide staff assistance
for Honorary Consuls who have a heavy consular workload.
Locally Engaged Staff
3.44 Locally engaged staff are employed at both DFAT and Austrade posts.
Mr Fisher stated that DFAT tries to employ Australian nationals as LES.
A further requirement is familiarity with the local language 'enough to
go and deal with the prison, the hospital, the airline, et cetera'. [35]
However, in some places it was difficult to recruit suitable staff as
the post may be competing in a very limited employment market.
3.45 Mr Fisher told the Committee that LES are used as much as possible
in consular work but it was not always appropriate to use LES in some
consular cases. [36]
3.46 DFAT also submitted that LES are not able to undertake routine notarial
acts such as the witnessing and certifying of signatures, which constitute
a major part of consular work. Under both State and Commonwealth legislation
only A-based consular staff, who are 'officers' not 'employees', are authorised
to undertake these duties. Possible changes to Commonwealth public service
legislation may create more difficulties in this area. In addition, the
Vienna Convention restricts notarial acts to Australian nationals within
Australian posts. A post would have to obtain the permission of the government
of the country in which it is located in order to use a citizen of that
country to undertake notarial acts within the post. DFAT submitted that
restricting notarial acts to A-based officers was not an efficient use
of their time, particularly at posts with few A-based officers. [37]
3.47 The Committee believes that it would be desirable to authorise
suitable LES to undertake notarial acts to free A-based staff from such
duties. With the contraction of A-based staff posted overseas, more
effective use should be made of their skills and time than the routine
undertaking of notarial acts. The Committee understands, however, that
there are complicated international and domestic legal and technical
issues involved in changing the system to allow LES to undertake notarial
acts. Nevertheless, this is a matter that DFAT should pursue, even to
the point of amending legislation to effect necessary change.
3.48 The Committee recommends that the Department of Foreign Affairs
and Trade examine options to enable locally engaged staff in Australian
posts overseas to undertake notarial acts.
3.49 Austrade indicated that at 16 posts which provide consular services,
there were 23 A-based officers and about 114 LES. Austrade submitted
that LES may be required to process passport applications, liaise with
local law enforcement and immigration authorities, accompany A-based
personnel on prison visits and represent the Consulate at low profile
cultural events.
Consular Statistics
3.50 DFAT submitted that posts and its Canberra office combined receive
as many as 400,000 consular contacts in a year, ranging from simple telephone
requests for information to complicated consular cases. The Department
informed the Committee that although consular statistics have been kept
for many years, 'their format has changed from time to time to minimise
the burden on posts of collecting those statistics. Attempts to gather
detailed, comprehensive data proved time-consuming and effectively unworkable.'
[38] Austrade also submitted that the
current method of recording consular requests did not include the time
involved in handling consular cases. Austrade suggested that a volume
indicator would be useful to record the number of contacts with the public
by consular staff and would give some indication of the extent and resource
implications of consular workload in posts. [39]
3.51 Nevertheless, DFAT provided the following statistics of defined
areas of consular work. These statistics include consular activities
undertaken by Austrade and DIMA managed posts.
Table 3.2: Consular statistics - 1993-94 to 1995-96
| 1993-94 |
1994-95 |
1995-96 |
| Australians given general welfare guidance and assistance |
11,476 |
15,000 |
14,350 |
| Australian in financial difficulties who were lent
public funds to cover immediate needs |
771 |
689 |
600 |
| Australians given guidance and assistance in arranging
their return to Australia |
78 |
211 |
130 |
| Inquiries made about Australians overseas who could
not be contacted by their next of kin |
969 |
2,487 |
2,530 |
| Australians hospitalised who have been given guidance
and assistance |
503 |
875 |
640 |
| Australians evacuated to another location for medical
purposes who were assisted |
173 |
184 |
120 |
| Australians arrested overseas and given consular support |
298 |
579 |
391 |
| Australians in prisons overseas (at 30 June) who are
visited regularly and provided with support and assistance |
176 |
146 |
148 |
| Next of kin given guidance or assistance with disposal
of remains in relation to a death overseas |
500 |
643 |
485 |
| Notarial acts overseas |
|
47,000 |
39,900 |
Source: DFAT submission, p. 17; answers to questions on notice,
24 January 1997.
3.52 While the above figures represent a substantial workload, the
Department drew the Committee's attention to the fact that many Australians
who get themselves into difficulties overseas do not seek the help of
an Australian post as they manage to overcome the difficulties through
their own efforts or with the assistance of family or friends. For example,
some Australians in gaol overseas choose not to request consular assistance
or even to have their presence in gaol recorded or notified to family
or friends in Australia. DFAT also estimated that as many as 1,400 Australians
die overseas each year without the Department being asked to provide
assistance to the next of kin or with the return of remains.
3.53 DFAT further noted that although the number of departures of Australian
citizens and residents from Australia almost doubled between 1981 and
1993 (from 1.2 million to 2.3 million), there has been no commensurate
increase in the consular workload. [40]
This is attributed to developments in technology and communication (eg
travellers can obtain money quickly through ATMs and other financial electronic
transfer means), more travellers with travel insurance and more seasoned
travellers.
3.54 DFAT indicated to the Committee that a high proportion of consular
cases are routine. However, 'routine' in consular work means that the
type of case is handled on a regular basis, in accordance with the guidelines
set down in the Department's Consular Instructions, for example, a medical
evacuation, a death or an arrest. DFAT submitted that 'routine' did not
mean it was necessarily quickly or easily managed. For example, Austrade
provided details of a medical evacuation arranged by an Austrade consulate.
The case took 20 days from the initial contact by hospital representatives
to the return of the injured traveller to Australia. The consular officer
was involved in visits to the traveller, contacts with family members,
negotiations with Qantas and local carriers to arrange a medivac, negotiations
with the traveller's airline to have traveller's ticket credited to bring
down the cost of the medivac, negotiations with the local hospital to
obtain the necessary medical certificates, obtaining quotes and finalising
arrangements. This case also involved Consular Operations, the travellers
local Member of Parliament, local solicitors setting up a trust fund for
the traveller, Qantas and an Australian hospital. [41]
3.55 DFAT submitted that the proportion of non-routine cases is small
but:
by their nature they generate a high public profile. They could
involve violence or disaster, human rights breaches, significant humanitarian
concerns or the laying of criminal charges.
The handling of such cases is characterised by involvement at
more senior levels in the Department and by considerable flexibility
in the application of existing guidelines. Representations may be made
to other governments, both by Australian missions and, where necessary,
by Australian Ministers. Other Australian Government agencies might
also become involved. [42]
Public Response to Consular Service
3.56 DFAT informed the Committee that the only way it could judge public
opinion of its consular service was through the letters received from
people who had sought consular assistance. During 1994-95, the Minister
for Foreign Affairs received 16 letters of thanks and 18 letters of complaint,
as well as 100 expressions of concern. [43]
During the same year, the Department, regional offices and posts received
about 350 letters of thanks and 22 letters of complaint. Consultant Tim
McDonald provided more detailed information on written responses to consular
services. These are tabulated below from his report.
Table 3.3: Ministerial correspondence
| Year |
General inquires |
Expressions of concern |
Complaints |
Thanks |
| 1993 |
115 |
154 |
17 |
2 |
| 1994 |
156 |
141 |
11 |
12 |
| 1995 to 20/9 |
137 |
106 |
19 |
15 |
Table 3.4: Commonwealth Ombudsman, 1994-95, complaints received
about DFAT
| Complaints received |
35 (written 4, oral 31) |
| Relating to exercise of discretion |
11 |
| Resolved substantially in complainant's favour |
12 |
| Partially resolved in complainant's favour |
5 |
| Resolved in agency's favour |
8 |
3.57 DFAT noted that many expressions of thanks to posts are conveyed
by telephone rather than by letter.
3.58 The complaints to the Ombudsman refer to the Department and not
particularly to consular activities. In that year, only 35 complaints
were received about DFAT of a total of 17,101 complaints received. [44]
3.59 The Department did not provide any evaluation of whether the complaints
were valid or were made as a result of misconceptions about the role
of a consular service. As 400,000 consular contacts in 1994-95 gave
rise to only 40 letters of complaint in that year, the Committee came
to the same conclusion as the Department that it appears the public
is satisfied generally with the performance of the Department's consular
service.
DFAT Career Structure and Destreaming
3.60 Until 1989, DFAT officers were recruited into a particular stream
of activity within the Department, such as 'consular and administrative'
or 'political', and there was little opportunity to change streams during
their careers. Officers in the consular and administrative stream would
specialise in areas of that stream and build up considerable knowledge
and expertise as well as corporate memory.
3.61 During the 1980s the Commonwealth Public Service staffing policies
underwent considerable reform. Mr Fisher of DFAT told the Committee
that:
With the reforms in the Public Service and reforms in administration
generally, we moved in the department some years ago to the concept
of multiskilling and the concept of positions not being limited to officers
of various streams, and to encouraging officers at all levels to apply
for and carry out duties for which they will be properly trained. I
suppose the emphasis then shifted from one of limiting officers to particular
jobs, away from that and towards the concept of training officers to
be competent and capable to take up whatever jobs were available for
them. [45]
3.62 In implementing these Public Service reforms, DFAT decided in
1989 to abolish streaming, thus opening up all areas of the Department
to all officers, provided they had the requisite personal attributes
and skills to fulfil the duties of a position. This has led to a number
of officers with a 'political' background in the Department filling
consular positions. It is now on the basis of personal choice that an
officer specialises in consular work.
3.63 Not all officers within DFAT were enamoured with the change of
policy. Mr Fisher told the Committee:
We had a situation where the consular function was almost always
performed by officers who came from what used to be called the consular
and administrative stream. We had a lot of officers in that stream who
were particularly qualified and particularly competent. They felt that
the new public service system, whereby positions which previously had
been there for their stream were now opened up to a wider variety of
candidates, was not appropriate. The department did not and does not
agree with that feeling. The department, consistent with the public
service wide commitment to multiskilling, believes that all officers
should be considered for all jobs for which they can be assessed as
competent and properly trained. [46]
3.64 The removal of staff streams has the advantage of opening up consular
work to officers with a much wider range of skills and experience than
under the system of streaming. This should bring new perspectives and
approaches to handling consular cases. However, a potential disadvantage
of destreaming is having a smaller core of experienced consular officers
within the Department to conduct consular work, both in Canberra and
overseas. Tim McDonald addressed this issue in his September 1995 report:
Reference has been made above to the need for the Department
to ensure that professional standards are seen to be maintained and
fostered among consular staff. It is now a matter of personal choice
if an officer wishes to specialise in consular work. Nevertheless Departmental
personnel policy should encourage the development of such specialist
skills and ensure that positions designated as requiring appropriate
skills and experience be filled accordingly. Greater awareness among
Heads of Mission of the importance of the consular function should result
in great care in selection or acceptance of nominees to fill specialist
positions at posts. [47]
3.65 DFAT has acknowledged that it has lost a number of experienced consular
officers in the recent program of voluntary redundancies. Nevertheless,
Mr Fisher expressed confidence in the younger people coming through who
may not have the depth of consular experience of those who have left but,
with appropriate training, have shown that they are competent consular
officers. He drew attention to the officer in charge of the newly formed
CRG who had a four-week stint in Nairobi working on the Fraser case. This
officer did not have a consular background but 'I do not think any of
his colleagues in the consular branch would say anything but that he has
been an enormous success on consular work'. [48]
Consular Training of A-based Officers
DFAT officers
3.66 The change to multi-skilling and destreaming in DFAT has resulted
in more officers becoming involved in consular work at posts, even though
it may only account for a small part of their duties. Consequently,
more staff have been required to undertake consular courses before posting.
3.67 DFAT provides a one-week consular training course which has to
meet 'a set of heterogeneous objectives' in terms of the range of officers
who need consular training. The course has to meet the needs of those
who:
- are going on posting to an exclusively or predominantly
consular position;
- are going on posting and may have to be 'consular duty officer'
from time to time;
- are Heads of Mission who will be responsible for the performance
at the post of the consular officers;
- are joining the consular areas of the Department in Canberra
or in the Regional Offices.
Officers from other Agencies or Departments, particularly Austrade
and [DIMA], as well as locally engaged staff from some of our overseas
posts may also participate in the courses. [49]
3.68 About 150 officers are trained in six consular courses each year.
However, the Department acknowledged that there are officers overseas
who, for a variety of reasons, have not done the course. DFAT is taking
steps to ensure that all relevant officers are trained in consular work.
DFAT is also considering whether to make the course mandatory.
3.69 DFAT consultant, Mr Tim McDonald, recommended that 'all positions
at posts on which consular duties fall or are likely to fall, including
as duty officer, be identified and persons posted to these positions be
obliged to take the Consular Course'. [50]
The Committee agrees with this recommendation.
3.70 Regional training seminars for consular officers were held in
Washington, Los Angles, Manila, New Delhi and Jakarta in 1995-96. These
seminars were conducted by officers from Canberra and involved both
A-based and LES. DFAT indicated that during 1996-97 training seminars
will be conducted in Europe. Canberra-based officers, when visiting
posts, will usually conduct informal consular training sessions with
staff.
3.71 At the present time, the only training course available is the
one-week Consular Training Course. No refresher courses are offered
in Canberra. As consular practice is dynamic and as officers may move
from a post where there is a low level of consular activity to a post
where there is a high level of activity, a refresher course would provide
the necessary training for officers to maintain their level of expertise
and to keep abreast of new issues.
3.72 DFAT submitted that all aspects of consular training are to be reviewed
during the next financial year. [51]
The Committee believes that consideration should be given to developing
refresher courses for consular officers. The Committee also notes that
DFAT's consultant also recommended that the feasibility of producing computer
based training programs for consular officers, Honorary Consuls and locally
engaged staff overseas by studies. Such a program may provide useful additional
training for overseas officers and should be considered by DFAT in their
review of consular training.
Austrade officers
3.73 All Austrade A-based officers undertaking consular duties are required
to undertake training by DFAT before being posted. Austrade consular officers
also attend regional-based training programs run by DFAT. [52]
3.74 DFAT also noted that there had been a concerted effort in the
last two years to include Austrade personnel, both Austrade Honorary
Consuls and staff in Austrade consulates, in consular training programs.
3.75 The costs of training Austrade staff is met by DFAT, however the
cost of Austrade staff travelling to participate in training programs
is met by Austrade. [53]
Consular Training for Locally Engaged Staff
3.76 DFAT acknowledged the need to train, retrain and update skills
of LES in overseas posts. Mr Fisher told the Committee that:
Some of our locally engaged staff have been working in embassies
for more than 20 years and have what I suppose I could call entrenched
attitudes to various tasks, and to have them retrained in some of the
new concepts, particularly concepts of customer service, has been a
very important step. [54]
3.77 In further evidence, Mr Fisher hoped that training had overcome
an attitude to service held by some LES that was not acceptable in the
general Australian community in the 1990s. He told the Committee that:
It has been important to bring these sorts of improvements of
servicing that we have come to regard as normal and desirable in Australia
over the last few years and to make sure that those attitudes are reflected
in our posts overseas as well. That is the point of these seminars that
we have been undertaking. [55]
3.78 In evidence, the Committee was told that LES work directly to the
Australian consul and/or vice consul in the post. Their immediate training
is provided at the post by example and instruction. LES also take part
in the regional-based seminars being conducted by Canberra-based officers.
Some LES are brought to Australia for training where this can be afforded
by their respective posts. These are usually long-standing LES who are
here for some other reason, including holidays. [56]
Training of Austrade LES
3.79 Austrade indicated that training of LES is usually undertaken by
DFAT in regional centres. As these staff often perform counter duties,
they receive training to handle difficult and emotionally-stressed people.
[57]
Cost of the Consular Service
3.80 The exact cost of providing consular services overseas is difficult
to estimate. In its 1996 Performance Audit Report on small and medium-sized
overseas posts, ANAO reported that the overall cost associated with maintaining
overseas posts is difficult to identify as most agencies do not differentiate
between domestic and overseas costs or between individual posts. The costs
are fragmented among a number of agencies and programs. [58]
In the case of consular services, the cost of common services supporting
the program (eg personnel services, staff development, legal services,
audits, communications, security, telephones, furniture, etc) are provided
through other departmental programs. In addition, the cost of the provision
of support services is borne by other Government agencies, eg Defence,
Australian Quarantine Service and the Australian Federal Police (AFP).
In the case of consular services, outlays on major consular crises involving
Australians abroad vary significantly and cannot be predicted.
3.81 In October 1995, DFAT submitted that:
The cost of consular services is difficult to separate from
other DFAT costs. An attempt to assess accurately the costs of the
consular service has not been made since the Harris report of the
mid-eighties. An extrapolation from the figures developed at that
time would give a cost of the consular service of some $12-$17 million
per annum. The Department currently estimates that the consular service
takes some 4% of total running and salary costs, which gives a figure
of $9.29 million per annum. To this must be added the costs of the
service that are met by the Overseas Property Group. Using this same
4% figure, this would add some $3.75 million to the DFAT costs, giving
a total cost for the consular service of some $13 million per annum.
However, there are other costs that cannot be readily quantified.
These include a proportion of the costs of the 18 Austrade-managed posts
that provide consular services, of the [DIMA] managed posts and of the
costs borne by other Departments, including the Attorney-General's Department,
the AFP, and the Defence Department in supporting the work of the consular
service. [59]
3.82 DFAT consultant, Mr Tim McDonald, while noting that it is not
a simple matter to determine the total cost of consular services, put
forward his own estimate of costs. Taking the DFAT estimate of $13.04
million, Mr McDonald estimated that additional costs at $1.3-1.95 million
in 1994-95 representing unquantified costs of other agencies - Austrade,
DIMA, AFP, the Attorney-General's Department. Allowing an extra five
per cent for contingencies ($0.65 million), he arrived at an estimated
total cost of the consular service of $15-15.6 million.
3.83 A further indication of costs of overseas personnel was provided
by the ANAO. Although the ANAO audit did not attempt to identify costs
of specific functions at overseas posts, it did establish an estimate
of the average cost to the Commonwealth of A-based officers per annum
at small and medium-sized posts. The ANAO estimated that this was approximately
$536,000. This estimate includes direct costs, indicative indirect costs
and capital costs. The ANAO's report stated that DFAT, for budgeting purposes,
uses a figure of $250,000 per A-based officer per year. [60]
3.84 DFAT submitted that it had not attempted to use ANAO figures to
estimate the cost of consular services. However, it did state:
Until recently we relied on the same figures as used by Mr McDonald.
We have recently done some preliminary work on an alternate way of establishing
the cost of the consular service by using Post Evaluation Report (PER)
figures. The preliminary figures suggest that the cost of the consular
service is considerably larger than that previously estimated by both
us and Mr McDonald. The figure may be as much as three times larger.
[61]
3.85 With regard to the funding of consular services, Mr McDonald drew
attention in his report to the policy of the then Government that 'passport
fees are set by the government in the Budget process as a fee for service'.
He went on to say that:
Following a 1986 review of passport fees and the extension of
the validity period from five to ten years the Government indicated
the desirability of setting fees at a level which covered the cost of
providing Consular Services for which a separate charge is not made
as well as the cost of providing passports. [62]
3.86 Passports funding is received according to a formula based on
the number of passports issued. This formula has been agreed with the
Department of Finance. The revenue raised by passport fees is returned
to consolidated revenue. The following table shows the costs of passport
services for 1993-94 to 1995-96 and the revenue raised.
Table 3.5: Passport Services
| 1993-94
Actual
$'000
|
1994-95
Actual
$'000
|
1995-96
Actual
$'000
|
| Total Outlays |
24,780 |
37,494 |
34,800 |
| Revenue |
59,183 |
57,790 |
61,860 |
| Surplus |
34,403 |
20,296 |
27,060 |
| Number of Travel Documents Issued |
683,392 |
678,043 |
699,360 |
Source: Department of Foreign Affairs and Trade.
3.87 In the Budget papers for 1996-97, the number of passports issued
during the year is expected to be 852 000, or a 20.4 per cent increase
over the previous year. [63] DFAT expects
to collect $87.869 million in passport revenue, compared with revenue
collected in 1995-96 of $61.860 million, an increase of 42 per cent on
the previous year. This increase reflects both an increase in fees and
renewals of the 10-year passport which were first introduced in 1986.
Total outlays on consular and passport services in 1996-97 is estimated
to be $46.935 million, compared to outlays in 1995-96 of $44.734 million
an increase of five per cent. [64] On
these estimates, there will be a surplus of $40.934 million of revenue
over outlays.
3.88 In his consultant's report to the Department, Mr McDonald, using
estimates for 1994-96, estimated that the passport service generated a
surplus of $20.3 million. When the estimated cost of the consular service
($15-15.6 million) is subtracted from this amount, he derived an estimated
surplus of $4.7-5.3 million of passport revenue over passport and consular
costs. [65] Given the recent work done
by DFAT on using PER figures to establish the cost of consular activities,
there may no longer be a surplus of revenue. As the Committee received
this new information on the cost of consular services on 13 May 1997,
it was not practicable for the Committee to pursue this matter at such
a late stage in the inquiry. With the possibility of consular costs being
three times the previous estimate, it is important that DFAT examine the
cost structure of the consular sub-program as soon as possible.
Footnotes
[1] Mr Tim McDonald, Measures which the
Australian Government Might Take to Improve the Handling of Consular
Matters, September 1995, included in the DFAT submission, p. 104.
[2] Committee Hansard, p. 461.
[3] Letter dated 25 November 1996 from the
Minister for Foreign Affairs and Trade.
[4] Foreign Affairs, Defence and Trade Legislation
Committee, Examination of Budget Estimates 1996-97, Additional Information
Received, Vol 3, p. 210.
[5] Mr Tim McDonald, op cit, p. 92.
[6] Australian National Audit Office, Performance
Audit, the Management of Small and medium-sized Overseas Posts,
p. 4.
[7] Department of Foreign Affairs and Trade,
Annual Report 1995-96, pp 362-3. The actual figure used was '1669.81';
DFAT answers to questions on notice, 13 May 1997.
[8] ANAO, Performance Audit, op cit,
p. 17.
[9] Mr Tim McDonald, op cit, p. 96.
[10] Committee Hansard, pp 25-6.
[11] Committee Hansard, p. 26.
[12] Austrade provides consular assistance
in Osaka, Sapporo, Fukuoka, Nagoya, Sendai, Dubai, Istanbul, Johannesburg,
Bombay, Milan, Frankfurt, Hamburg, Auckland, Atlanta, Los Angeles, San
Francisco, Toronto and San Paulo.
[13] Austrade answers to questions on notice,
9 May 1997.
[14] Committee Hansard, p. 52.
[15] A sole post has at least one Austrade
Trade Commissioner but is not co-located with DFAT personnel; a subpost
is a trade office managed by Austrade and reporting to an Austrade joint
or sole post in the region (subposts may be co-located with DFAT in
some instances); a Trade Consultant is a locally-based individual employed
by Austrade on a contract basis to look after Australian trade interests
(Austrade does not supply an office or pay for support staff).
[16] Committee Hansard, p. 50.
[17] Committee Hansard, p. 46.
[18] Committee Hansard, pp 45-6.
[19] Committee Hansard, p. 47.
[20] Committee Hansard, p. 49.
[21] Committee Hansard, p. 46.
[22] Austrade answers to questions on notice,
9 May 1997.
[23] Austrade answers to questions on notice,
9 May 1997.
[24] ANAO, Performance Audit, op cit,
p. 59.
[25] ANAO, Performance Audit, op cit,
p. 60.
[26] DFAT submission, p. 9.
[27] Committee Hansard, p. 46.
[28] Committee Hansard, p. 484.
[29] DFAT submission, p. 10.
[30] DFAT submission, p. 10.
[31] Committee Hansard, p. 13.
[32] Committee Hansard, p. 12.
[33] Committee Hansard, p. 482.
[34] Committee Hansard, p. 484.
[35] Committee Hansard, p. 488.
[36] Committee Hansard, p. 12.
[37] DFAT submission, p. 71.
[38] DFAT submission, p. 17.
[39] Austrade submission, p. 5.
[40] DFAT submission, p. 18. DFAT used statistics
from Year Book of Australia 1995, published by the Australian
Bureau of Statistics.
[41] Austrade submission, pp 10-2.
[42] DFAT submission, p. 18.
[43] DFAT submission, p. 19. DFAT footnoted
that an expression of concern is a letter from a person concerning an
issue in which he or she is not personally involved, nearly always resulting
from media coverage of a consular matter.
[44] Mr Tim McDonald, op cit, pp 97-8.
[45] Committee Hansard, p. 7.
[46] Committee Hansard, p. 24.
[47] Mr Tim McDonald, op cit, p. 98.
[48] Committee Hansard, p. 25.
[49] DFAT submission, pp 12-3.
[50] DFAT submission, p. 99.
[51] DFAT answers to questions on notice,
13 May 1997.
[52] Committee Hansard, p. 62.
[53] Austrade answers to questions on notice,
9 May 1997.
[54] Committee Hansard, p. 8.
[55] Committee Hansard, p. 488.
[56] Committee Hansard, p. 489.
[57] Committee Hansard, p. 64.
[58] ANAO, Performance Audit, op cit,
p. xiv.
[59] DFAT submission, p. 13.
[60] ANAO Report, op cit, p. 13.
[61] DFAT answers to questions on notice,
13 May 1997.
[62] Mr Tim McDonald, op cit, p. 105.
[63] Foreign Affairs and Trade Portfolio,
Portfolio Budget Statements 1996-97, p. 50.
[64] Foreign Affairs and Trade Portfolio,
Portfolio Budget Statements 1996-97, pp 48-9.
[65] Mr Tim McDonald, op cit, pp 106-7.