There are different types of own initiative investigation with some involving the investigation of individual or narrowly drawn issues and some requiring wider processes of research into whole systems and widespread issues. There was discussion around the methodology for own initiative investigations. Depending on the particular investigation, this may require more of a social science methodology than the traditional legal methodology that might be more suitable to individual complaint investigation. Own initiative staff and teams may require a slightly different mindset and set of skills. At the same time, there needs to be a distinction between research and investigation processes – the robustness and unique value of ombudsperson findings lie in the detailed investigative process and exploring how particular issues have affected individuals in practice. Own initiative investigations can involve significant work in terms of preparing for them and conducting them. There was less clarity in relation to own initiative methodologies than those relating to complaint investigation. Ombudsperson institutions tended to have well developed manuals on how to investigate complaints, but not so much in relation to own initiatives. There was a suggestion that own initiative investigations would only be conducted where an ombudsperson institution was fairly sure that there were issues to highlight, otherwise this might waste resources. For example, in 2017, the Danish Parliamentary Ombudsman initiated a working group to strengthen its own initiative work. The recommendations included taking a more structured approach to pre-investigation work and consultation with stakeholders prior to launching an own initiative investigation. This is because to make the best use of a limited resource, own initiative investigations should normally only be launched when there is a strong likelihood of problems being uncovered. On the other hand, it was suggested there could be value in own initiatives that did not result in criticism – this could demonstrate a balanced approach and also sometimes highlight good practice. Preparatory work in own initiative investigations could also have an impact in itself, in highlighting to public bodies that the ombudsperson is monitoring issues closely and is alive to the possibility of intervening and making use of own initiative powers. The Greek Ombudsman has used own investigations both to look at particular issues facing asylum seekers and refugees and also to look more widely at cross cutting issues. The office’s first report in 2017 considered the whole process of asylum seeking from start to finish. A follow up conducted in 2024 focused particularly on reception issues. Similarly, in 2018, an investigation was conducted to evaluate an EU relocation pilot that had the aim of relieving pressure on Greece and Italy by relocating certain asylum seekers to other EU states.
The success of own initiative investigations should not be measured in relation to whether recommendations are accepted. Generally, there is a danger for ombudsperson institutions if acceptance of recommendations is made the yardstick for success, as this can lead to recommendations being weakened in order to make them more acceptable to government. Some recommendations may be more effective in the long run if they are rejected. In one case in Ireland, recommendations were finally implemented after 8 years. There is scope for ombudspersons to think more broadly about the suite of options that are available to them – particularly in relation to raising awareness, promoting rights, and getting issues onto the agenda, ombudsperson institutions can use a range of means to prompt change that need not involve the use of formal own initiative powers. Bringing stakeholders together, mapping concerns and issues, commissioning research, drafting thematic reports based on a wider evidence base (rather than only investigation findings) could all be used to good effect by ombudsperson institutions. Prof Marc Hertogh’s analysis of the work of the Dutch National Ombudsman noted the need for creativity in using an ombudsperson’s legal and unofficial toolbox: this could involve local site visits, well timed press releases, or using a single prominent example repeatedly in the media. All of these can be impactful strategies, particularly when they are combined. For example, an investigation of a single individual complaint can be combined with a media campaign.
Final report of the of Ombudspersons and the Protection of Refugees and Asylum Seekers (OPRAS) project | 57
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