Decision The ombudsquadrant
Linking lawfulness and proper conduct
Used alongside the standards of proper conduct, the ‘ombudsquadrant’ is an important tool for assessing the actions of an authority that is the subject of a complaint from a member of the public. The ombudsquadrant shows proper conduct and lawfulness in relationship to each other. The diagram derives from what is known as the ‘dual concern model’, itself based on research by sociologists. This model relates to interpersonal communication (for example, between an official and an individual citizen) and reveals how concern about a participant’s own outcomes relates to concern about those of the other party. It is used as a basis for the analysis of styles of negotiation and conflict. The horizontal axis shows concern for own outcomes, as opposed to concern for those of other parties, shown on the vertical axis.
The dual concern model recognises four basic positions. A party that attaches little value to achieving either its own outcomes or those of the other side will tend to avoid conflict. One that attaches a lot of value to achieving its own outcomes and little to achieving those of the other side will adopt an aggressive, competitive attitude. This is conflict-seeking behaviour. One that attaches a lot of value to achieving the outcomes of the other party but little to its own will tend to be accommodating. And one that attaches equal value to achieving both sets of outcomes makes it possible to achieve cooperation on integrating the two. If each side gives some ground, a compromise can be found somewhere in the middle.
Translated to the work of the National Ombudsman, the message of this dual concern model can be expressed in the form of the ombudsquadrant. This is a diagram showing the concepts of ‘proper conduct’ and ‘lawfulness’ in relation to each other. The first party’s outcomes stand for the desired outcomes of a government institution, while the outcomes of the other side are those of the individual citizen with whom that institution is involved in a transaction. At this institutional level, lawfulness (the desired outcome of the institution) is opposed to proper conduct (primarily the concern of the citizen). This can also be viewed as the interaction between a concern for objective outcomes on the one hand
The horizontal axis represents lawfulness or concern for objective outcomes, while the vertical axis represents proper conduct, in which the relationship with the other party is a vital factor. An authority which attaches little importance either to lawfulness or to proper conduct will fail to take decisions and simply turn a blind eye to unsatisfactory situations. An authority which strives to achieve lawfulness but disregards proper conduct (the bottom right-hand position) may, for example, deliver a decision that is lawful in itself, but is not accompanied by reasons and is therefore liable to be perceived by the citizen as not proper. Such a decision is likely to be seen as high-handed and may well give rise to conflict (and complaints). Situations can also occur in which authorities act in a more than usually proper manner, which is nevertheless not lawful.
From the point of view of good governance, the ideal situation is one in which the authority acts both properly and lawfully, for example by producing a decision that is not only lawful, but is also delivered on time, with reasons and in accordance with standards of proper conduct. Such a decision is likely to be perceived by the recipient as both just and fair.