34E Requirements: complaints made to the Ombudsman
(1) The requirements mentioned in section 34B(4)(c) are that the complaint must be made—
(a) in writing, and
(b) before the end of the permitted period.
(2) In subsection (1)(b) (and in section 34F(1)(a)(ii)) “the permitted period” means—
(a) where the person aggrieved has notice of the matter before the date on which section 34B comes into force, the period of 12 months beginning with the date on which that section comes into force, and
(b) in any other case, the period of 12 months beginning with the day on which the person aggrieved first has notice of the matter.
(3) It is for the Ombudsman to determine whether the requirements of subsection (1) are met in respect of a complaint.
34F Requirements: complaints referred to the Ombudsman
(1) The requirements mentioned in section 34B(5)(b) are that the complaint—
(a) must have been made to the provider to whom it relates—
(i) by a person who would have been entitled under section 34D to make the complaint to the Ombudsman, and
(ii) before the end of the permitted period (within the meaning given by section 34E(2)), and
(b) must be referred to the Ombudsman—
(i) in writing, and
(ii) before the end of the period of 12 months beginning with the day on which the complaint was made to the provider.
34G Decisions not to investigate complaints or to discontinue investigations
(1) If the Ombudsman decides under section 34B(8) not to begin an investigation into a complaint or to discontinue an investigation, the Ombudsman must prepare a statement of the reasons for that decision.
(2) The Ombudsman must send a copy of the statement to—
(a) the person who made the complaint, and
(b) the provider to whom the complaint relates.
(3) The Ombudsman may also send a copy of the statement to any other persons he or she thinks appropriate.
(4) The Ombudsman may publish a statement under this section if, after taking account of the interests of the person aggrieved and any other persons the Ombudsman thinks appropriate, he or she considers that it would be in the public interest to do so.
(5) The Ombudsman may supply a copy of the published statement, or part of that statement, to any person who requests it.
(6) The Ombudsman may charge a reasonable fee for supplying a copy of a statement, or part of a statement, under subsection (5).
(7) The following information must not be included in a version of a statement sent to a person under subsection (2)(b) or (3) or published under subsection (4)—
(a) the name of a person other than the provider to whom the complaint relates;
(b) information which, in the opinion of the Ombudsman, is likely to identify such a person and which, in the Ombudsman's opinion, can be omitted without impairing the effectiveness of the statement.
(8) Subsection (7) does not apply if, after taking account of the interests of the person aggrieved and any other persons the Ombudsman thinks appropriate, the Ombudsman considers that it would be in the public interest to include that information in that version of the statement.
(1) If the Ombudsman decides under section 34B(8) to conduct an investigation into a complaint, he or she must—
(a) give the provider to whom the complaint relates an opportunity to comment on the allegations contained in the complaint, and
(b) give any other person who is alleged in the complaint to have taken or authorised the action complained of an opportunity to comment on the allegations relating to that person.
(2) An investigation must be conducted in private.
(3) Subject to subsections (1) and (2), the procedure for conducting an investigation is that which the Ombudsman thinks appropriate in the circumstances of the case.
(4) The Ombudsman may, among other things—
(a) make any inquiries which he or she thinks appropriate, and
(b) determine whether any person may be represented in the investigation by an authorised person or another person.
(5) In subsection (4) “authorised person” means a person who, for the purposes of the Legal Services Act 2007, is an authorised person in relation to an activity which constitutes the exercise of a right of audience or the conduct of litigation (within the meaning of that Act).
(6) The Ombudsman may pay to the person who made the complaint and to any other person who attends or supplies information for the purposes of the investigation—
(a) sums in respect of the expenses properly incurred by them, and
(b) allowances to compensate for the loss of their time.
(7) The Ombudsman may attach conditions to those payments.
34I Information, documents, evidence and facilities
(1) This section applies for the purposes of an investigation under this Part.
(2) The Ombudsman may require a person he or she thinks is able to supply information or produce a document relevant to the investigation to do so.
(3) The Ombudsman has the same powers as the High Court in relation to—
(a) the attendance and examination of witnesses (including the administration of oaths and affirmations and the examination of witnesses abroad), and
(b) the production of documents.
(4) The Ombudsman may require a person he or she thinks is able to supply information or produce a document relevant to the investigation to provide any facility the Ombudsman may reasonably require.
(5) Subject to subsection (6), no person may be compelled to give any evidence or produce any document which the person could not be compelled to give or produce in civil proceedings before the High Court.
(6) The Crown is not entitled to any privilege in relation to the production of documents or the giving of evidence that would otherwise be allowed by law in legal proceedings.
(7) Where an obligation to maintain secrecy or other restriction on the disclosure of information obtained by or supplied to persons in Her Majesty's service has been imposed by an enactment or rule of law, the obligation or restriction does not to apply to the disclosure of information for the purposes of the investigation.
(1) If the Ombudsman is satisfied that the condition in subsection (2) is met in relation to a person, he or she may issue a certificate to that effect to the High Court.
(2) The condition is that the person—
(a) without lawful excuse, has obstructed the discharge of any of the Ombudsman's functions under this Part, or
(b) has done an act in relation to an investigation which, if the investigation were proceedings in the High Court, would constitute contempt of court.
(3) If the Ombudsman issues a certificate, the High Court may inquire into the matter.
(4) If the High Court is satisfied that the condition in subsection (2) is met in relation to the person, it may deal with that person in the same manner as it may deal with a person who has committed contempt in relation to the High Court.
(1) This section applies to investigations under this Part unless section 34N applies.
(2) The Ombudsman must, after conducting an investigation into a complaint about a matter to which this Part applies—
(a) prepare a report on the findings of the investigation (“an investigation report”), and
(b) send a copy of the report to the appropriate persons.
(3) The appropriate persons are—
(a) the person who made the complaint,
(b) the provider to whom it relates,
(c) any other person who is alleged in the complaint to have taken or authorised the action complained of, and
(d) the Welsh Ministers.
(4) The Ombudsman may also send a copy of the report to any other persons he or she thinks appropriate.
(5) The Ombudsman may publish the report if, after taking account of the interests of the person aggrieved and any other persons the Ombudsman thinks appropriate, he or she considers that it would be in the public interest to do so.
(6) The Ombudsman may supply a copy of the published report, or part of that report, to any person who requests it.
(7) The Ombudsman may charge a reasonable fee for supplying a copy of a report, or part of a report, under subsection (6).
(8) The following information must not be included in a version of a report sent to a person under subsection (3)(b) or (c) or (4) or published under subsection (5)—
(a) the name of a person other than the provider to whom the complaint relates;
(b) information which, in the opinion of the Ombudsman, is likely to identify such a person and which, in the Ombudsman's opinion, can be omitted without impairing the effectiveness of the report.
(9) Subsection (8) does not apply if, after taking account of the interests of the person aggrieved and any other persons the Ombudsman thinks appropriate, the Ombudsman considers that it would be in the public interest to include that information in that version of the report.
(1) The Ombudsman may arrange for a notice about an investigation report to be published—
(a) in one or more newspapers, or
(b) by means of broadcast or other electronic media.
(2) The notice may, for example—
(a) provide a summary of the Ombudsman's findings,
(b) specify an address or addresses at which a copy of the published report can be inspected during ordinary office hours and from which a copy of that report (or part of that report) may be obtained, and
(c) specify a website address at which a copy of the published report can be viewed.
(3) The provider to whom the report relates must, if required to do so by the Ombudsman, reimburse the Ombudsman for the reasonable costs of arranging the publication of the notice.
(4) In deciding whether it is appropriate to make arrangements under subsection (1), the Ombudsman must take into account—
(a) the public interest,
(b) the interests of the person aggrieved, and
(c) the interests of any other persons the Ombudsman thinks appropriate.
34M Action following receipt of investigation reports
(1) This section applies where the Ombudsman has concluded in an investigation report that the person aggrieved has sustained injustice or hardship as a result of the matter investigated.
(2) The provider to whom the matter relates must consider the report and notify the Ombudsman before the end of the permitted period of—
(a) the action the provider has taken or proposes to take in response to the report, and
(b) the period before the end of which the provider proposes to take that action (if that action has not already been taken).
(3) In subsection (2) “the permitted period”means—
(a) the period of one month beginning on the date on which the authority receives the report, or
(b) a longer period specified by the Ombudsman in writing (if any).
(1) This section applies if, after the Ombudsman has conducted an investigation under this Part—
(a) the Ombudsman concludes that the person aggrieved has not sustained injustice or hardship as a result of the matter complained of, and
(b) the Ombudsman is satisfied that the public interest does not require sections 34K to 34M to apply.
(2) This section also applies if, after the Ombudsman has conducted an investigation under this Part—
(a) the Ombudsman concludes that the person aggrieved has sustained injustice or hardship as a result of the matter complained of,
(b) the provider to whom the complaint relates agrees to implement, before the end of the permitted period, any recommendations that the Ombudsman makes, and
(c) the Ombudsman is satisfied that the public interest does not require sections 34K to 34M to apply.
(3) In subsection (2)(b) “the permitted period”means—
(a) a period agreed between the Ombudsman, the provider and the person who made the complaint, or
(b) if the Ombudsman thinks that no such agreement can be reached, a period specified by him or her in writing.
(4) The Ombudsman may decide to prepare a report on his or her findings under this section, rather than under section 34K; and if the Ombudsman decides to do so, sections 34K to 34M do not apply.
(5) If a report is prepared under this section, the Ombudsman—
(a) must send a copy of the report to the person who made the complaint and the provider to whom the complaint relates, and
(b) may send a copy of the report to any other persons he or she thinks appropriate.
(6) The Ombudsman may publish the report if, after taking account of the interests of the persons aggrieved and any other persons the Ombudsman thinks appropriate, he or she considers it to be in the public interest to do so.
(7) The Ombudsman may supply a copy of a report published under subsection (6), or a part of that report, to any person who requests it.
(8) The Ombudsman may charge a reasonable fee for supplying a copy of a report, or part of a report, under subsection (7).
(9) The following information must not be included in a version of the report sent to a person under subsection (5) or published under subsection (6)—
(a) the name of a person other than the provider to whom the complaint relates;
(b) information which, in the opinion of the Ombudsman, is likely to identify such a person and which, in the Ombudsman's opinion, can be omitted without impairing the effectiveness of the report.
(10) Subsection (9) does not apply if, after taking account of the interests of the person aggrieved and any other persons the Ombudsman thinks appropriate, the Ombudsman considers that it would be in the public interest to include that information in that version of the report.
34O Circumstances in which special reports may be prepared
(1) The Ombudsman may prepare a special report under section 34P if case 1, 2 or 3 applies.
(2) Case 1 applies if—
(a) the Ombudsman has concluded in an investigation report that the person aggrieved has sustained injustice or hardship as a result of the matter investigated, and
(b) one of the circumstances in subsection (3) applies.
(3) The circumstances are that—
(a) the Ombudsman has not received the notification required under section 34M before the end of the period permitted under that section;
(b) the Ombudsman has received that notification but is not satisfied with—
(i) the action which the provider has taken or proposes to take, or
(ii) the period before the end of which the provider proposes to have taken that action;
(c) the Ombudsman has received that notification but is not satisfied that the provider has, before the end of the permitted period, taken the action that the provider proposed to take.
(4) In subsection (3)(c) “the permitted period” means—
(a) the period referred to in section 34M(2)(b), or
(b) a longer period specified by the Ombudsman in writing (if any).
(5) Case 2 applies if—
(a) the Ombudsman has prepared a report under section 34N by virtue of subsection (2) of that section, and
(b) he or she is not satisfied that the provider has implemented the Ombudsman's recommendations before the end of the permitted period.
(6) In subsection (5)(b) “the permitted period” means—
(a) the period referred to in section 34N(2)(b), or
(b) a longer period specified by the Ombudsman in writing (if any).
(7) Case 3 applies if—
(a) a complaint in respect of a provider has been resolved under section 34C,
(b) in resolving the complaint, the Ombudsman has concluded that the person aggrieved has sustained injustice or hardship as a result of the matter complained of,
(c) the provider has agreed to take particular action before the end of a particular period, and
(d) the Ombudsman is not satisfied that the provider has taken that action before the end of the permitted period.
(8) In subsection (7)(d) “the permitted period” means—
(a) the period referred to in subsection (7)(c), or
(b) a longer period specified by the Ombudsman in writing (if any).
(1) A special report must—
(a) set out the facts which entitle the Ombudsman to prepare the special report (that is, the facts on the basis of which case 1, 2 or 3 of section 34O applies), and
(b) make such recommendations as the Ombudsman thinks fit as to the action which, in his or her opinion, should be taken—
(i) to remedy the injustice or hardship to the person aggrieved, and
(ii) to prevent similar injustice or hardship being caused in the future.
(2) If the special report is prepared because case 1 of section 34O applies, the Ombudsman must send a copy of the report to each person to whom a copy of the section 34K report was sent under section 34K(2)(b).
(3) If the special report is prepared because case 2 or 3 of section 34O applies, the Ombudsman must send a copy of the report to the person who made the complaint and the provider to whom the complaint relates.
(4) The Ombudsman may send a copy of a special report to any other persons he or she thinks appropriate.
(5) The Ombudsman may publish a special report.
(6) The Ombudsman may supply a copy of a published special report, or a part of such a report, to any person who requests it.
(7) The Ombudsman may charge a reasonable fee for supplying a copy of a special report, or part of such a report, under subsection (6).
(8) The following information must not be included in a version of a special report sent to a person under subsection (2), (3) or (4) or published under subsection (5)—
(a) the name of any person other than the provider in respect of whom the complaint was made;
(b) information which, in the opinion of the Ombudsman, is likely to identify any such person and which, in the Ombudsman's opinion, can be omitted without impairing the effectiveness of the special report.
(9) Subsection (8) does not apply if, after taking account of the interests of the person aggrieved and any other persons the Ombudsman thinks appropriate, the Ombudsman considers that it would be in the public interest to include that information in that version of the special report.
(1) The Ombudsman may arrange for a notice about a special report to be published—
(a) in one or more newspapers, or
(b) by means of broadcast or other electronic media.
(2) The notice may, for example—
(a) provide a summary of the Ombudsman's findings,
(b) specify an address or addresses at which a copy of the published report can be inspected during ordinary office hours and from which a copy of that report (or part of that report) may be obtained, and
(c) specify a website address at which a copy of the published report can be viewed.
(3) The provider to whom the report relates must, if required to do so by the Ombudsman, reimburse the Ombudsman for the reasonable costs of arranging the publication of the notice.
(4) In deciding whether to make arrangements under subsection (1), the Ombudsman must take into account—
(a) the public interest,
(b) the interests of the person aggrieved, and
(c) the interests of any other person the Ombudsman thinks appropriate.
34R Meaning of “care home” and “care home provider”
(1) This section applies for the purposes of this Act.
(2) “Care home” means premises at which a care home service, within the meaning of Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016, is provided wholly or mainly to persons aged 18 or over;
(3) “Care home provider” means a person who is a service provider of a care home service within the meaning of Part 1 of that Act where the service is provided wholly or mainly to persons aged 18 or over .
(4) Action is to be treated as action taken by a care home provider if it is taken by—
(a) a person employed by that provider,
(b) a person acting on behalf of that provider, or
(c) a person to whom that provider has delegated any functions.
(5) Action is also to be treated as action taken by a care home provider if—
(a) that provider provides, by means of an arrangement with another person, accommodation, nursing or care in a care home in Wales for an individual because of the individual's vulnerability or need, and
(b) the action is taken by or on behalf of the other person in carrying out the arrangement.
(6) “Care” has the same meaning as in Part 1 of the Regulation and Inspection of Social Care (Wales) Act 2016.
34S Meaning of “domiciliary care” and “domiciliary care provider”
(1) This section applies for the purposes of this Act.
(2) “Domiciliary care” means personal care provided in their own homes for persons who by reason of illness, infirmity or disability are unable to provide it for themselves without assistance.
(3) “Domiciliary care provider” means a person who carries on an activity which involves the provision of domiciliary care, but it does not include an individual who—
(a) carries on the activity otherwise than in partnership with others,
(b) is not employed by a body corporate or unincorporated association to carry it on,
(c) does not employ any other person to carry out the activity, and
(d) provides or arranges the provision of domiciliary care to fewer than four persons.
(4) Action is to be treated as action taken by a domiciliary care provider if it is taken by—
(a) a person employed by that provider,
(b) a person acting on behalf of that provider, or
(c) a person to whom that provider has delegated any functions.
(5) Action is also to be treated as action taken by a domiciliary care provider if—
(a) that provider provides domiciliary care by means of an arrangement with another person, and
(b) the action is taken by or on behalf of the other person in carrying out the arrangement.
34T Meaning of “palliative care service” and “independent palliative care provider”
(1) This section applies for the purposes of this Act.
(2) “Palliative care service” means a service the main purpose of which is to provide palliative care.
(3) “Independent palliative care provider” means a person who—
(a) provides a palliative care service, and
(b) is not a Welsh health service body.
(4) Action is to be treated as action taken by an independent palliative care provider if it is taken by—
(a) a person employed by that provider,
(b) a person acting on behalf of that provider, or
(c) a person to whom that provider has delegated any functions.
(5) Action is also to be treated as action taken by an independent palliative care provider if—
(a) that provider provides palliative care by means of an arrangement with another person, and
(b) the action is taken by or on behalf of the other person in carrying out the arrangement.
34U Consultation and co-operation with other ombudsmen
(1) This section applies if, in making a decision under section 2(5) or 34B(8) or conducting an investigation under Part 2 or 2A, the Ombudsman forms the opinion that a matter which is the subject of the complaint or investigation could be the subject of an investigation by an ombudsman mentioned in subsection (7).
(2) The Ombudsman must consult that ombudsman about the matter.
(3) The Ombudsman may co-operate with that ombudsman in relation to the matter.
(4) Consultation under subsection (2), and co-operation under subsection (3), may extend to anything relating to a matter which is the subject of the complaint or investigation, including (among other things)—
(a) the conduct of an investigation into the complaint, and
(b) the form, content and publication of a report of the investigation.
(5) If the Ombudsman consults an ombudsman about a matter under subsection (2), the Ombudsman and that ombudsman may—
(a) conduct a joint investigation into the matter,
(b) prepare a joint report in relation to the investigation, and
(c) publish the joint report.
(6) Subsection (5) does not apply if the ombudsman consulted under subsection (2) is the Scottish Public Services Ombudsman.
(7) The ombudsmen referred to in subsection (1) are—
(a) the Parliamentary Commissioner for Administration;
(b) the Health Service Commissioner for England;
(c) a Local Commissioner;
(d) the Scottish Public Services Ombudsman;
(e) a housing ombudsman appointed in accordance with a scheme approved under section 51 of the Housing Act 1996;
(f) the Children's Commissioner for Wales.
(8) The Welsh Ministers may by order amend subsection (7) by—
(a) adding a person,
(b) omitting a person, or
(c) changing the description of a person.
(9) An order under subsection (8) may add a person to subsection (7) only if the person appears to the Welsh Ministers to have functions relating to the investigation of complaints.
(10) No order is to be made under subsection (8) unless a draft of the statutory instrument containing it has been laid before and approved by a resolution of the Assembly.
(1) This section applies where it appears to the Ombudsman that—
(a) there is a complaint in respect of a matter which he or she is entitled to investigate, and
(b) the matter is one which could also be the subject of an examination by the Commissioner for Older People in Wales or the Welsh Language Commissioner.
(2) Where the Ombudsman considers it appropriate, he or she must (as respects the Commissioner for Older People in Wales) or may (as respects the Welsh Language Commissioner)—
(a) inform the Commissioner about the matter, and
(b) consult him or her in relation to it.
(3) Where the Ombudsman consults a Commissioner under this section, the Ombudsman and the Commissioner may—
(a) co-operate with each other in relation to the matter,
(b) conduct a joint investigation into the matter, and
(c) prepare and publish a joint report in relation to the investigation.
34W Working collaboratively with other Commissioners
(1) This section applies where it appears to the Ombudsman that a complaint relates to or raises a matter which could be the subject of an examination by the Commissioner for Older People in Wales or the Welsh Language Commissioner (“the connected matter”).
(2) Where the Ombudsman considers it appropriate, he or she must (as respects the Commissioner for Older People in Wales) or may (as respects the Welsh Language Commissioner) inform the Commissioner about the connected matter.
(3) Where the Ombudsman considers that the complaint also relates to or raises a matter into which he or she is entitled to conduct an investigation (“the Ombudsman matter”), the Ombudsman must (as respects the Commissioner for Older People in Wales) or may (as respects the Welsh Language Commissioner) also if he or she considers it appropriate—
(a) inform the Commissioner about the Ombudsman's proposals for conducting an investigation into the complaint, and
(b) consult the Commissioner about those proposals.
(4) Where the Ombudsman and the Commissioner consider that they are entitled to investigate, respectively, the Ombudsman matter and the connected matter, they may—
(a) co-operate with each other in the separate investigation of each of those matters,
(b) act together in the investigation of those matters, and
(c) prepare and publish a joint report containing their respective conclusions in relation to the matters they have each investigated.
(5) Where the Ombudsman considers—
(a) that the complaint does not relate to or raise a matter into which he or she is entitled to conduct an investigation, and
(b) that it is appropriate to do so,
the Ombudsman must (as respects the Commissioner for Older People in Wales) or may (as respects the Welsh Language Commissioner) inform the person who initiated the complaint about how to secure the referral of the connected matter to the Commissioner.
(1) The information to which this section applies is—
(a) information obtained by the Ombudsman, a member of the Ombudsman's staff or another person acting on the Ombudsman's behalf or assisting the Ombudsman in the discharge of his or her functions—
(i) in deciding whether to begin an investigation,
(ii) in the course of an investigation, or
(iii) in resolving a complaint under section 3 or 34C;
(b) information obtained from an ombudsman mentioned in section 34U(7) by virtue of any provision of section 34U or a corresponding provision in an enactment relating to any of those ombudsmen;
(c) information obtained from the Commissioner for Older People in Wales by virtue of section 34V or 34W of this Act or section 16 or 17 of the Commissioner for Older People (Wales) Act 2006 (working with other ombudsmen);
(d) information obtained from the Welsh Language Commissioner by virtue of section 34V or 34W of this Act or section 22 of the Welsh Language (Wales) Measure 2011 (power to disclose information);
(e) information obtained from the Information Commissioner by virtue of section 76 of the Freedom of Information Act 2000 (disclosure between Information Commissioner and ombudsmen).
(2) The information must not be disclosed except—
(a) for the purposes of deciding whether to begin an investigation;
(b) for the purposes of an investigation;
(c) for the purposes of resolving a complaint under section 3 or 34C;
(d) for the purposes of a statement or report made in relation to a complaint or investigation;
(e) for the purposes of any provision of section 34U, 34V or 34W;
(f) for the purposes of proceedings for—
(i) an offence under the Official Secrets Act 1911 to 1989 alleged to have been committed by the Ombudsman, a member of the Ombudsman's staff or other person acting on the Ombudsman's behalf or assisting the Ombudsman in the discharge of any of his of her functions;
(ii) an offence of perjury alleged to have been committed in the course of an investigation;
(g) for the purposes of an inquiry with a view to the taking of proceedings mentioned in paragraph (f);
(h) for the purpose of proceedings under section 15 or 34J;
(i) in the case of information to the effect that a person is likely to constitute a threat to the health or safety of one or more persons, to any person to whom the Ombudsman thinks it should be disclosed in the public interest;
(j) in the case of information to which subsection (3) applies, to the Information Commissioner.
(3) This subsection applies to information if it appears to the Ombudsman to relate to—
(a) a matter in respect of which the Information Commissioner could exercise a power conferred by an enactment mentioned in subsection (4), or
(b) the commission of an offence mentioned in subsection (5).
(4) The enactments are—
(a) sections 142 to 154, 160 to 164 or 174 to 176 of, or Schedule 15 to, the Data Protection Act 2018 (certain provisions relating to enforcement);
(b) section 48 of the Freedom of Information Act 2000 (practice recommendations);
(c) Part 4 of that Act.
(5) The offences are those under—
(a) a provision of the Data Protection Act 2018 other than paragraph 15 of Schedule 15 (obstruction of execution of warrant etc);
(b) section 77 of the Freedom of Information Act 2000 (offence of altering etc records with intent to prevent disclosure).
(6) No person may be called upon to give evidence in any proceedings (other than proceedings mentioned in subsection (2)) of information obtained by that person as mentioned in subsection (1)(a) or (b).
34Y Disclosure prejudicial to safety of State or contrary to public interest
(1) A Minister of the Crown may give notice to the Ombudsman with respect to—
(a) any document or information specified in the notice, or
(b) any class of document or information so specified,
that, in the opinion of the Minister, the disclosure of that document or information, or of documents or information of that class, would be prejudicial to the safety of the State or otherwise contrary to the public interest.
(2) If a notice is given under subsection (1), nothing in this Act is to be construed as authorising or requiring the Ombudsman, a member of the Ombudsman's staff or another person acting on the Ombudsman's behalf or assisting the Ombudsman in the discharge of his or her functions to disclose to any person or for any purpose any document or information, or class of document or information, specified in the notice.
(1) For the purposes of the law of defamation, the following are absolutely privileged—
(a) the publication of a matter, in the discharge of any of the Ombudsman's functions under this Act, by the Ombudsman, a member of the Ombudsman's staff or another person acting on the Ombudsman's behalf or assisting the Ombudsman in the discharge of any of his or her functions;
(b) the publication of a matter by a person in the discharge of functions under section 17;
(c) the publication of a matter in connection with a complaint made or referred to the Ombudsman under this Act, in communications between—
(i) a listed authority, a member or co-opted member of a listed authority, an officer or member of the staff of a listed authority or another person acting on behalf of a listed authority or assisting it in the discharge of any of its functions, and
(ii) the Ombudsman, a member of the Ombudsman's staff or another person acting on the Ombudsman's behalf or assisting the Ombudsman in the discharge of any of his or her functions;
(d) the publication of a matter in connection with a complaint made or referred to the Ombudsman under this Act, in communications between—
(i) a care home provider, domiciliary care provider or independent palliative care provider, an officer or member of staff of such a provider or another person acting on behalf of such a provider or assisting it in the discharge of any of its functions, and
(ii) the Ombudsman, a member of the Ombudsman's staff or another person acting on the Ombudsman's behalf or assisting the Ombudsman in the discharge of any of his or her functions;
(e) the publication of a matter in connection with a complaint made or referred (or to be made or referred) by or on behalf of a person to the Ombudsman under this Act, in communications between a person and an Assembly member;
(f) the publication of a matter in connection with a complaint made or referred (or to be made or referred) by or on behalf of a person to the Ombudsman under this Act, in communications between—
(i) the person, and
(ii) the Ombudsman, a member of the Ombudsman's staff or another person acting on the Ombudsman's behalf or assisting the Ombudsman in the discharge of any of his or her functions.
(2) For the purposes of subsection (1)(d)(i) a person is an officer of a provider if he or she has control or management of a provider which is not an individual or the affairs of such a provider.
(1) The Commission for Local Administration in Wales is abolished.
(2) The office of Welsh Administration Ombudsman is abolished.
(3) The office of Health Service Commissioner for Wales is abolished.
(4) The office of Social Housing Ombudsman for Wales is abolished.
(1) Subsection (2) applies if—
(a) a complaint has been made or referred to an existing Welsh ombudsman before the commencement date, and
(b) the complaint has not been determined by that ombudsman before that date.
(2) On and after the commencement date, the relevant existing enactment continues to apply for the purposes of the complaint despite the other provisions of this Act.
(3) Subsection (4) applies if—
(a) a complaint could (but for the other provisions of this Act) have been made or referred to an existing Welsh ombudsman, and
(b) the complaint relates to action taken by a person before the commencement date.
(4) On and after the commencement date, the relevant existing enactment continues to apply for the purposes of enabling the complaint to be made or referred, and for the purposes of the complaint if made or referred, despite the other provisions of this Act.
(5) As applied by subsections (2) and (4), the relevant existing enactment has effect as if for references to the existing Welsh ombudsman in relation to which that enactment applies there were substituted references to the Ombudsman.
(6) In this section—
“the commencement date” means the date on which this section comes into force;
“existing Welsh ombudsman” means—
the Welsh Administration Ombudsman;
the Health Service Commissioner for Wales;
a Local Commissioner who is a member of the Commission for Local Administration in Wales;
the Social Housing Ombudsman for Wales;
“the relevant existing enactment”—
if the relevant existing Welsh ombudsman is the Welsh Administration Ombudsman, means Schedule 9 to the Government of Wales Act 1998 (c. 38);
if the relevant existing Welsh ombudsman is the Health Service Commissioner for Wales, means the Health Service Commissioners Act 1993 (c. 46);
if the relevant existing Welsh ombudsman is a Local Commissioner, means Part 3 of the Local Government Act 1974 (c. 7);
if the relevant existing Welsh ombudsman is the Social Housing Ombudsman for Wales, means Part 1 of the Housing Act 1996 (c. 52);
“the relevant existing Welsh ombudsman”—
in relation to a complaint within subsection (1), means the existing Welsh ombudsman to whom the complaint was made or referred;
in relation to a complaint within subsection (3), means the existing Welsh ombudsman to whom the complaint could have been made or referred.
(1) In this Act—
“act” and “action” include a failure to act (and related expressions must be construed accordingly);
“annual report” has the meaning given in paragraph 14 of Schedule 1;
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“the Assembly” means the National Assembly for Wales;
“care home” has the meaning given by section 34R(2);
“care home provider” has the meaning given by section 34R(3);
“co-opted member”, in relation to an authority, means a person who is not a member of the authority but who—
is a member of a committee or sub-committee of the authority, or
is a member of, and represents the authority on, a joint committee on which the authority is represented or a sub-committee of such a committee,
and who is entitled to vote on any question which falls to be decided at a meeting of the committee or sub-committee;
“domiciliary care” has the meaning given by section 34S(2);
“domiciliary care provider” has the meaning given by section 34S(3);
“extraordinary report” has the meaning given in paragraph 14 of Schedule 1;
“family health service provider in Wales” means—
a person who, at the time of action which is the subject of a complaint under this Act, provided services under a contract entered into by that person with a Local Health Board under section 42 or section 57 of the National Health Service (Wales) Act 2006;
a person who, at that time, had undertaken to provide in Wales general ophthalmic services or pharmaceutical services under . . . that Act;
an individual who, at that time, provided in Wales primary medical services or primary dental services in accordance with arrangements made under section 50 or 64 of that Act (except as an employee of, or otherwise on behalf of, a Welsh health service body or an independent provider in Wales);
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
“family health services” means services mentioned in any of paragraphs (a) to (d) of the definition of “family health service provider in Wales”;
“financial year” means the 12 months ending on 31 March;
“independent palliative care provider” has the meaning given by section 34T(3);
“independent provider in Wales” means a person who, at the time of action which is the subject of a complaint under this Act—
provided services of any kind in Wales under arrangements with a Welsh health service body or a family health service provider in Wales, and
was not a Welsh health service body or a family health service provider in Wales;
“investigation”—
in relation to the Ombudsman, means an investigation under section 2 or 34B (and cognate expressions must be construed accordingly);
in relation to another ombudsman or commissioner, includes an examination (and cognate expressions must be construed accordingly;)
“listed authority” has the meaning given in section 28;
“local authority in Wales” means a county council, county borough council or community council in Wales;
“Local Commissioner” has the meaning given in section 23(3) of the Local Government Act 1974 (c. 7);
“NHS trust” has the same meaning as in the National Health Service (Wales) Act 2006;
“the Ombudsman” has the meaning given in section 1;
“palliative care service” has the meaning given by section 34T(2);
“the person aggrieved” in Part 2 has the meaning given in section 4(1)(a) and in Part 2A has the meaning given in section 34D(1)(a) ;
“publicly-funded dwelling” means—
a dwelling which was provided by means of a grant under—
section 18 of the Housing Act 1996 (c. 52) (social housing grant), or
section 50 of the Housing Act 1988 (c. 50), section 41 of the Housing Associations Act 1985 (c. 69), or section 29 or 29A of the Housing Act 1974 (c. 44) (housing association grant);
a dwelling which was acquired on a disposal by a public sector landlord (within the meaning of Part 1 of the Housing Act 1996);
“relevant tribunal” means a tribunal (including a tribunal consisting of only one person) specified by order made by the Welsh Ministers;
“social landlord in Wales” means—
a body which was at the time of action which is the subject of a complaint under this Act registered as a social landlord in the register maintained by the Welsh Ministers under section 1 of the Housing Act 1996 (or in the register previously maintained under that section by the Assembly constituted by the Government of Wales Act 1998, the Secretary of State or Housing for Wales);
any other body which at the time of action which is the subject of a complaint under this Act was registered with Housing for Wales, the Secretary of State , the Assembly constituted by the Government of Wales Act 1998 or the Welsh Ministers and owned or managed publicly-funded dwellings;
“special report” in Part 2 has the meaning given in section 22 and in Part 2A has the meaning given in section 34P;
“Wales” has the meaning given in section 155(1) of the Government of Wales Act 1998 (c. 38);
“Welsh health service body” means—
the Welsh Ministers;
a Local Health Board;
an NHS trust managing a hospital or other establishment or facility in Wales;
a Special Health Authority not discharging functions only or mainly in England.
(2) For the purposes of the definition of “independent provider in Wales”, arrangements with the Welsh Ministers are arrangements with a Welsh health service body only to the extent that they are made in the discharge of a function of the Welsh Ministers relating to the National Health Service.
(2A) A statutory instrument containing an order under subsection (1) is subject to annulment in pursuance of a resolution of the Assembly.
(3) The Welsh Ministers may by order amend the definitions of “family health service provider in Wales”, “independent provider in Wales” and “social landlord in Wales”.
(4) Before making an order under subsection (3), the Welsh Ministers must consult such persons as they think appropriate.
(4A) No order is to be made under subsection (3) unless a draft of the statutory instrument containing it has been laid before, and approved by a resolution of, the Assembly.
(5) Section 13 of the National Audit Act 1983 (c. 44) (interpretation of references to the Committee of Public Accounts) applies for the purposes of this Act as it applies for the purposes of that Act.
(6) For the purposes of this Act, references to action taken by a listed authority include action taken by—
(a) a member, co-opted member, committee or sub-committee of the authority acting in the discharge of functions of the authority;
(b) an officer or member of staff of the authority, whether acting in the discharge of his own functions or the functions of the authority;
(c) any other person acting on behalf of the authority.
42 Former health care providers social landlords, social care providers and palliative care providers : modifications
(1) The Welsh Ministers may by regulations provide for this Act to apply with the modifications specified in the regulations to persons who are—
(a) former family health service providers in Wales;
(b) former independent providers in Wales;
(c) former social landlords in Wales.
(d) former care home providers in Wales;
(e) former domiciliary care providers in Wales;
(f) former independent palliative care providers in Wales.
(2) “Former family health service provider in Wales” means a person who—
(a) at the relevant time, provided family health services of a particular description, and
(b) subsequently ceased to provide services of that description (whether or not he has later started to provide them again).
(3) “Former independent provider in Wales” means a person who—
(a) at the relevant time, provided services of a particular description in Wales under arrangements with a Welsh health service body or a family health service provider in Wales,
(b) was not a Welsh health service body or a family health service provider in Wales at that time, and
(c) subsequently ceased to provide services of that description (whether or not he has later started to provide them again).
(4) “Former social landlord in Wales” means a person who—
(a) at the relevant time—
(i) was registered as a social landlord in the register maintained by the Welsh Ministers under section 1 of the Housing Act 1996 (c. 52) (or in the register previously maintained under that section by the Secretary of State or Housing for Wales), or
(ii) was registered with Housing for Wales, the Secretary of State , the Assembly constituted by the Government of Wales Act 1998 or the Welsh Ministers and owned or managed publicly-funded dwellings, and
(b) subsequently—
(i) ceased to be registered as mentioned in paragraph (a)(i) or (ii) (whether or not he later became so registered again), or
(ii) ceased to own or manage publicly-funded dwellings (whether or not he later did so again).
(4A) “Former care home provider in Wales” means a person who—
(a) at the relevant time, provided accommodation, nursing or care of a particular description at a care home in Wales (see section 32R), and
(b) subsequently ceased to do so (whether or not the person has later started to do so again).
(4B) “Former domiciliary care provider in Wales” means a person who—
(a) at the relevant time, provided domiciliary care services of a particular description in Wales, and
(b) subsequently ceased to do so (whether or not the person has later started to provide those services again).
(4C) “Former independent palliative care provider in Wales” means a person who—
(a) at the relevant time, provided a palliative care service of a particular description in Wales, and
(b) subsequently ceased to do so (whether or not the person has later started to do so again).
(5) “The relevant time” is the time of action which is the subject of a complaint under this Act.
(6) No regulations are to be made under this section unless a draft of the statutory instrument containing them has been laid before, and approved by a resolution of, the Assembly.
(1) The Welsh Ministers may by order make—
(a) such consequential, incidental or supplemental provision, and
(b) such transitory, transitional or saving provision,
as they think necessary or expedient for the purposes of, in consequence of, or for giving full effect to, any provision of this Act.
(2) An order under subsection (1) may in particular amend, repeal or revoke any enactment other than one contained in an Act passed in a Session after that in which this Act is passed.
(3) The amendments that may be made by virtue of subsection (2) are in addition to those made by or under any other provision of this Act.
(4) No order is to be made under subsection (1) unless a draft of the statutory instrument containing it has been laid before, and approved by a resolution of, the Assembly.
(1) A power of the Welsh Ministers to make an order or regulations under this Act is exercisable by statutory instrument.
(2) An order or regulations made by the Welsh Ministers under this Act may—
(a) make different provision for different purposes;
(b) make consequential, incidental, supplemental, transitory, transitional or saving provision.
(3) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(4) A direction given under this Act—
(a) may be amended or revoked by the person who gave it;
(b) may make different provision for different purposes.
(1) Subject to subsection (2), this Act extends to England and Wales only.
(2) An amendment or repeal made by this Act has the same extent as the provision amended or repealed.
SCHEDULE 1 Public Services Ombudsman for Wales: appointment etc.
Section 1
Appointment
1 The Ombudsman is to be appointed by Her Majesty on the nomination of the Assembly.
Status
2 (1) The Ombudsman is a corporation sole.
(2) The Ombudsman holds office under Her Majesty and discharges his functions on behalf of the Crown.
(3) The Ombudsman is a Crown servant for the purposes of the Official Secrets Act 1989 (c. 6).
(4) But service as the Ombudsman is not service in the civil service of the Crown.
Term of office
3 (1) A person's term of office as the Ombudsman is seven years (subject to sub-paragraphs (3) and (4) and paragraph 5).
(2) A person appointed as the Ombudsman is not eligible for re-appointment.
(3) Her Majesty may relieve a person of office as the Ombudsman—
(a) at his request, or
(b) on Her Majesty being satisfied that the person is incapable for medical reasons of performing the duties of the office.
(4) Her Majesty may remove a person from office as the Ombudsman on the making of a recommendation, on the ground of the person's misbehaviour, that Her Majesty should do so.
(5) A recommendation for the removal of a person from office as the Ombudsman may not be made unless—
(a) the Assembly has resolved that the recommendation should be made, and
(b) the resolution of the Assembly is passed on a vote in which the number of Assembly members voting in favour of it is not less than two-thirds of the total number of Assembly seats.
Acting Public Services Ombudsman for Wales
4 (1) If the office of the Ombudsman becomes vacant, Her Majesty may, on the nomination of the Assembly, appoint a person to act as the Ombudsman.
(3) A person appointed to act as the Ombudsman (“an acting Ombudsman”) may have held office as the Ombudsman.
(4) A person appointed as an acting Ombudsman is eligible for appointment as the Ombudsman (unless he has already held office as the Ombudsman).
(5) The power to appoint a person as an acting Ombudsman is not exercisable after the end of the period of two years starting with the date on which the vacancy arose.
(6) An acting Ombudsman holds office in accordance with the terms of his appointment, subject to sub-paragraph (7) (and paragraph 2, as applied by sub-paragraph (8)).
(7) An acting Ombudsman must not hold office after—
(a) the appointment of a person as the Ombudsman, or
(b) if sooner, the end of the period of two years starting with the date on which the vacancy arose.
(8) While an acting Ombudsman holds office he is to be regarded (except for the purposes of paragraphs 1, 3, 5 to 9 and this paragraph) as the Ombudsman.
Disqualification
5 (1) A person is disqualified from being the Ombudsman or an acting Ombudsman if any of the following applies—
(a) he is a member of the House of Commons;
(b) he is a listed authority;
(c) he is a member, co-opted member, officer or member of staff of a listed authority;
(d) he is disqualified from being a member of the Assembly (other than by virtue of paragraph 6 of this Schedule or section 16(1)(d) of the Government of Wales Act 2006);
(e) he is disqualified from being a member of a local authority in Wales (other than by virtue of paragraph 6 of this Schedule).
(f) he is a care home provider, domiciliary care provider or independent palliative care provider;
(g) he is an officer or member of staff of a provider of that kind.
(1A) For the purposes of sub-paragraph (1)(g) a person is an officer of a provider if he or she has control or management of a provider which is not an individual or the affairs of such a provider.
(2) The appointment of a person as the Ombudsman or an acting Ombudsman is not valid if the person is disqualified under sub-paragraph (1).
(3) If a person who has been appointed as the Ombudsman or an acting Ombudsman becomes disqualified under sub-paragraph (1), he ceases to hold office on becoming so disqualified.
(4) But the validity of anything done by a person appointed as the Ombudsman or an acting Ombudsman is not affected by the fact that he is or becomes disqualified under sub-paragraph (1).
6 (1) A person who holds office as the Ombudsman or an acting Ombudsman is disqualified from—
(a) being a listed authority;
(b) being a member, co-opted member, officer or member of staff of a listed authority;
(c) holding a paid office to which appointment is by a listed authority.
(2) A person is not disqualified under sub-paragraph (1) from being a member of the Assembly.
7 (1) A person who has ceased to hold office as the Ombudsman or as an acting Ombudsman is disqualified for the relevant period from—
(a) holding an office which is a listed authority;
(b) being a member, co-opted member, officer or member of staff of a listed authority;
(c) holding a paid office to which appointment is by a listed authority.
(2) The relevant period is the period of three years starting on the date on which the person ceased to hold office as the Ombudsman or (as the case may be) as an acting Ombudsman.
(3) But sub-paragraph (1) does not disqualify a person from—
(a) being a member of the Assembly or the National Assembly for Wales Commission;
(b) holding the office of presiding officer or deputy presiding officer of the Assembly or of First Minister for Wales, Welsh Minister appointed under section 48 of the Government of Wales Act 2006, Counsel General to the Welsh Assembly Government or Deputy Welsh Minister;
(c) being a member or co-opted member of a local authority in Wales;
(d) holding the office of chairman, vice-chairman or elected mayor of a local authority in Wales.
8 The references in paragraphs 6 and 7 to a paid office include an office the holder of which is entitled only to the reimbursement of expenses.
Remuneration etc.
9 (1) The Assembly must —
(a) pay a person who is the Ombudsman or an acting Ombudsman such salary and allowances, and
(b) make such payments towards the provision of superannuation benefits for or in respect of him,
as may be provided for by or under the terms of his appointment.
(2) The Assembly must pay to or in respect of a person who has ceased to hold office as the Ombudsman or an acting Ombudsman—
(a) such amounts by way of pensions and gratuities, and
(b) such amounts by way of provision for those benefits,
as may have been provided for by or under the terms of his appointment.
(3) If a person ceases to be the Ombudsman or an acting Ombudsman and it appears to the Assembly that there are special circumstances which make it right that the person should receive compensation, the Assembly may pay to that person a sum of such amount as it thinks appropriate.
(4) In Schedule 1 to the Superannuation Act 1972 (c. 11) (offices etc. to which section 1 of that Act applies) in the list of “Offices” at the appropriate places insert—
Public Services Ombudsman for Wales
Acting Public Services Ombudsman for Wales.
(5) The Assembly must pay to the Minister for the Civil Service, at such times as he may direct, such sums as he may determine in respect of any increase attributable to sub-paragraph (4) in the sums payable out of money provided by Parliament under the Superannuation Act 1972 (c. 11).
(6) Sums required for the making of payments under sub-paragraphs (1), (2) and (5) are to be charged on the Welsh Consolidated Fund.
Special financial provisions
(1) Any sums payable by the Ombudsman in consequence of a breach, in the performance of any of the Ombudsman's functions, of any contractual or other duty are to be charged on the Welsh Consolidated Fund.
(2) And sub-paragraph (1) applies whether the breach occurs by reason of an act or omission of—
(a) the Ombudsman,
(b) a member of the Ombudsman's staff, or
(c) any other person acting on the Ombudsman's behalf or assisting the Ombudsman in the exercise of functions.
(3) The Ombudsman may retain income derived from fees charged by virtue of sections 12(6), 16(6), 21(8) and 23(2) (rather than pay it into the Welsh Consolidated Fund) for use in connection with the exercise of the functions conferred or imposed by this Act.
Staff
11 (1) The Ombudsman may appoint such staff as he thinks necessary for assisting him in the discharge of his functions, on such terms and conditions as he may determine.
(2) No member of staff of the Ombudsman is to be regarded as holding office under Her Majesty or as discharging any functions on behalf of the Crown.
(3) But each member of his staff is to be treated as being a Crown servant for the purposes of the Official Secrets Act 1989 (c. 6).
(4) In Schedule 1 to the Superannuation Act 1972 (offices etc. to which section 1 of that Act applies) in the list of “other bodies” at the appropriate place insert—
Employment as a member of the staff of the Public Services Ombudsman for Wales.
(5) The Ombudsman must pay to the Minister for the Civil Service, at such times as the Minister may direct, such sum as the Minister may determine in respect of any increase attributable to sub-paragraph (4) in the sums payable out of money provided by Parliament under the Superannuation Act 1972.
Advisers
12 (1) The Ombudsman may obtain advice from any person who, in his opinion, is qualified to give it, to assist him in the discharge of his functions.
(2) The Ombudsman may pay to any person from whom he obtains advice under sub-paragraph (1) such fees or allowances as he may determine.
Delegation
13 (1) Any function of the Ombudsman may be discharged on his behalf—
(a) by any person authorised by the Ombudsman to do so, and
(b) to the extent so authorised.
(2) Sub-paragraph (1) does not affect the responsibility of the Ombudsman for the discharge of any such function.
(3) A person authorised by the Ombudsman under sub-paragraph (1) is to be treated as being a Crown servant for the purposes of the Official Secrets Act 1989 (c. 6).
(4) No arrangements may be made between the Ombudsman, on the one hand, and the Welsh Ministers (or the First Minister for Wales or the Counsel General to the Welsh Assembly Government), on the other, for—
(a) any functions of one of them to be exercised by the other,
(b) any functions of the Welsh Ministers (or the First Minister for Wales or the Counsel General to the Welsh Assembly Government) to be exercised by members of staff of the Ombudsman,
(c) any functions of the Ombudsman to be exercised by members of the staff of the Welsh Assembly Government, or
(d) the provision of administrative, professional or technical services by one of them for the other.
(5) Sub-paragraph (4) applies despite any provision that would otherwise permit such arrangements to be made.
Annual and extraordinary reports
14 (1) The Ombudsman—
(a) must annually prepare a general report on the discharge of his functions (an “annual report”);
(b) may prepare any other report with respect to his functions that he thinks appropriate (an “extraordinary report”).
(2) A report prepared under this paragraph may include any general recommendations which the Ombudsman may have arising from the discharge of his functions.
(3) The Ombudsman must lay a copy of each report prepared under this paragraph before the Assembly and at the same time send a copy to the Welsh Assembly Government and(if the report is an extraordinary report) must send a copy of it to any listed authorities (other than the Welsh Assembly Government) he thinks appropriate.
(4) The Ombudsman may also send a copy of any report prepared under this paragraph to any other persons he thinks appropriate.
(5) The Ombudsman must, and the Assembly may, publish any report laid before the Assembly under this paragraph.
(6) The Ombudsman must comply with any directions given by the Assembly with respect to an annual report.
(7) If a report prepared under this paragraph—
(a) mentions the name of any person other than a listed authority , care home provider, domiciliary care provider or independent palliative care provider in respect of which a complaint has been made or referred under this Act, or
(b) includes any particulars which, in the opinion of the Ombudsman, are likely to identify any such person and which, in his opinion, can be omitted without impairing the effectiveness of the report,
that information must not be included in a version of the report laid before the Assembly under sub-paragraph (3), sent to a person under sub-paragraph (3) or (4) or published by the Ombudsman under sub-paragraph (5), subject to sub-paragraph (8).
(8) Sub-paragraph (7) does not apply in relation to a version of the report if, after taking account of the interests of any persons he thinks appropriate, the Ombudsman considers it to be in the public interest to include that information in that version of the report.
Estimates
15 (1) For each financial year other than the first financial year, the Ombudsman must prepare an estimate of the income and expenses of his office.
(2) The Ombudsman must submit the estimate at least five months before the beginning of the financial year to which it relates to the committee or committees of the Assembly specified in the standing orders of the Assembly.
(3) The committee or committees must examine an estimate submitted . . . in accordance with sub-paragraph (2) and must then lay the estimate before the Assembly with any modifications thought appropriate.
(4) Before laying before the Assembly with modifications an estimate submitted in accordance with sub-paragraph (2), the committee or committees must—
(a) consult the Ombudsman, and
(b) take into account any representations which the Ombudsman may make.
(5) The first financial year is the financial year during which the first person to be appointed as the Ombudsman is appointed.
Accounts
16 (1) The Ombudsman must—
(a) keep proper accounting records; and
(b) for each financial year, prepare accounts in accordance with directions given to him by the Treasury.
(1A) The directions which the Treasury may give under sub-paragraph (1)(b) include directions to prepare accounts relating to financial affairs and transactions of persons other than the Ombudsman.
(2) The directions which the Treasury may give under sub-paragraph (1)(b) include, in particular, directions as to—
(a) the information to be contained in the accounts and the manner in which it is to be presented;
(b) the methods and principles in accordance with which the accounts are to be prepared;
(c) the additional information (if any) that is to accompany the accounts.
Audit
17 (1) The accounts prepared by the Ombudsman for a financial year must be submitted by him to the Auditor General for Wales no later than 30 November in the following financial year.
(2) The Auditor General for Wales must—
(a) examine, certify and report on each set of accounts submitted to him under this paragraph, and
(b) no later than four months after the accounts are so submitted, lay before the Assembly a copy of them as certified by him together with his report on them.
(3) In examining accounts submitted to him under this paragraph the Auditor General for Wales must, in particular, satisfy himself that the expenditure to which the accounts relate has been incurred lawfully and in accordance with the authority which governs it.
Accounting officer
18 (1) The Ombudsman is the accounting officer for the office of the Ombudsman.
(2) If the Ombudsman is incapable of discharging his responsibilities as accounting officer, the Audit Committee may designate a member of his staff to be the accounting officer for as long as he is so incapable.
(3) If the office of the Ombudsman is vacant and there is no acting Ombudsman, the Audit Committee may designate a member of the Ombudsman's staff to be the accounting officer for as long as the office of the Ombudsman is vacant and there is no acting Ombudsman.
(4) The accounting officer has, in relation to the accounts and the finances of the Ombudsman, the responsibilities which are from time to time specified by the Audit Committee.
(5) In this paragraph references to responsibilities include in particular—
(a) responsibilities in relation to the signing of accounts,
(b) responsibilities for the propriety and regularity of the finances of the Ombudsman, and
(c) responsibilities for the economy, efficiency and effectiveness with which the resources of the Ombudsman are used.
(6) The responsibilities which may be specified under this paragraph include responsibilities owed to—
(a) the Assembly, the Welsh Ministers or the Audit Committee, or
(b) the House of Commons or its Committee of Public Accounts.
(7) If requested to do so by the House of Commons Committee of Public Accounts, the Audit Committee may—
(a) on behalf of the Committee of Public Accounts take evidence from the accounting officer, and
(b) report to the Committee of Public Accounts and transmit to that Committee any evidence so taken.
Examinations into the use of resources
19 (1) The Auditor General for Wales may carry out examinations into the economy, efficiency and effectiveness with which the Ombudsman has used his resources in discharging his functions.
(2) Sub-paragraph (1) is not to be construed as entitling the Auditor General for Wales to question the merits of the policy objectives of the Ombudsman.
(3) In determining how to discharge his functions under this paragraph, the Auditor General for Wales must take into account the views of the Audit Committee as to the examinations which he should carry out.
(4) The Auditor General for Wales may lay before the Assembly a report of the results of any examination carried out by him under this paragraph.
Examinations by the Comptroller and Auditor General
20 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Supplementary powers
21 The Ombudsman may do anything (including acquire or dispose of any property or rights) which is calculated to facilitate, or is conducive or incidental to, the discharge of any of his functions.
Section 10
1 Action taken by or with the authority of the Welsh Ministers, the First Minister for Wales, the Counsel General to the Welsh Assembly Government or a police and crime commissioner for a police area in Wales for the purpose of—
(a) the investigation or prevention of crime, or
(b) the protection of the security of the State.
2 The commencement or conduct of proceedings before a court of competent jurisdiction.
3 Action taken by a member of the administrative staff of a relevant tribunal so far as taken at the direction, or on the authority (whether express or implied), of a person acting in his capacity as a member of the tribunal.
4 Action taken in respect of appointments, removals, pay, discipline, superannuation or other personnel matters (apart from procedures for recruitment and appointment) in relation to—
(a) service in an office or employment under the Crown or under a listed authority;
(b) service in an office or employment, or under a contract for services, in respect of which power to take action in personnel matters, or to determine or approve action to be taken in personnel matters, is vested in Her Majesty or a listed authority.
5 Action relating to the determination of the amount of rent.
6 (1) Action taken by an authority specified in sub-paragraph (2) and relating to—
(a) the giving of instruction, or
(b) conduct, curriculum, internal organisation, management or discipline,
in a school or other educational establishment maintained by a local authority in Wales.
(2) The authorities are—
(a) a local authority in Wales;
(b) an admission appeal panel;
(c) the governing body of a community, foundation or voluntary school;
(d) an exclusion appeal panel.
7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8 Action under—
(a) the National Health Service Act 1977,
(b) Part 1 of the National Health Service and Community Care Act 1990,
(c) Part 1 of the Health Act 1999 (with the exception of sections 33 to 38), or
(d) Part 1 of the Health and Social Care (Community Health and Standards) Act 2003,
where the action is or has been the subject of an inquiry under the Inquiries Act 2005 .
9 Action taken by a Local Health Board in the discharge of its functions under—
(a) the National Health Service (Service Committees and Tribunal) Regulations 1992 or any instrument replacing those regulations;
(b) regulations made under section 38, 39, 41 or 42 of the National Health Service Act 1977 by virtue of section 17 of the Health and Medicines Act 1988 (c. 49) (investigations of matters relating to services).
10 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Section 28
Government of Wales
The Welsh Assembly Government.
The National Assembly for Wales Commission.
Taxation
Welsh Revenue Authority
Local government, fire and police
A local authority in Wales.
A joint board the constituent authorities of which are all local authorities in Wales.
A fire and rescue authority in Wales constituted by a scheme under section 2 of the Fire and Rescue Services Act 2004 (c. 21) or a scheme to which section 4 of that Act applies.
A police and crime commissioner for a police area in Wales.
A strategic planning panel.
Environment
The Committee on Climate Change.
A National Park authority for a National Park in Wales.
The Natural Resources Body for Wales .
The Environment Agency.
The Forestry Commissioners.
The Flood and Coastal Erosion Committee.
An internal drainage board for an internal drainage district wholly or partly in Wales.
Health and social care
Social Care Wales
The Board of Community Health Councils in Wales
A Local Health Board.
An NHS trust managing a hospital or other establishment or facility in Wales.
A Special Health Authority not discharging functions only or mainly in England.
The Wales Centre for Health.
A Community Health Council.
An independent provider in Wales.
A family health service provider in Wales.
A person with functions conferred by regulations made under section 113(2) of the Health and Social Care (Community Health and Standards) Act 2003 (c. 43).
Housing
A social landlord in Wales.
Education and training
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
The Office of Her Majesty's Chief Inspector of Education and Training in Wales or Prif Arolygydd Ei Mawrhydi dros Addysg a Hyfforddiant yng Nghymru.
The Higher Education Funding Council for Wales.
An admission appeal panel constituted in accordance with regulations under section 94(5) or 95(3) of the School Standards and Framework Act 1998 (c. 31).
The governing body of any community, foundation or voluntary school so far as acting in connection with the admission of pupils to the school or otherwise discharging any of their functions under Chapter 1 of Part 3 of the School Standards and Framework Act 1998.
An exclusion appeal panel constituted in accordance with regulations under section 52 of the Education Act 2002 (c. 32).
Qualifications Wales.
Arts and leisure
The Arts Council of Wales.
The Sports Council for Wales.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Miscellaneous
The Building Regulations Advisory Committee for Wales.
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
Comisiynydd y Gymraeg (The Welsh Language Commissioner).
The Local Democracy and Boundary Commission for Wales.
1 The commencement or conduct of proceedings before a court of competent jurisdiction.
2 Action taken in respect of appointments or removals, pay, discipline, superannuation or other personnel matters.
SCHEDULE 4 Conduct of local government members and employees
Section 35
1 The Local Government Act 2000 (c. 22) is amended as follows.
2 In section 49 (principles governing conduct of members of relevant authorities)—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) in subsection (5)(c), for “the Commission for Local Administration in Wales” substitute “ the Public Services Ombudsman for Wales ”.
3 In section 51 (duty of relevant authorities to adopt codes of conduct) in subsection (6)(c)(ii), for “Commission for Local Administration in Wales” substitute “ Public Services Ombudsman for Wales ”.
4 In section 53 (standards committees), in subsection (11)(k), for “the Commission for Local Administration in Wales” substitute “ the Public Services Ombudsman for Wales ”.
5 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
6 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
7 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
8 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
9 For the italic heading immediately preceding section 68 substitute “ Public Services Ombudsman for Wales ”.
10 For the heading to section 68 substitute “ Public Services Ombudsman for Wales ”.
11 In section 68—
(a) in subsection (1), for “A Local Commissioner in Wales” substitute “ The Public Services Ombudsman for Wales ”;
(b) in subsection (2), for “The Commission for Local Administration in Wales” substitute “ The Public Services Ombudsman for Wales ”;
(c) for subsection (3) substitute—
(3) The National Assembly for Wales may by regulations make provision which, for the purpose of any provisions of the Public Services Ombudsman (Wales) Act 2005 specified in the regulations, treats—
(a) functions of the Public Services Ombudsman for Wales under that Act as including his functions under this Part, or
(b) expenses of the Public Services Ombudsman for Wales under that Act as including his expenses under this Part.
;
(d) in subsection (4), omit “Part 3 of”;
(e) omit subsection (5).
12 For the heading to section 69 substitute “ Investigations by the Public Services Ombudsman for Wales ”.
13 In section 69—
(a) in subsection (1), for “A Local Commissioner in Wales” substitute “ The Public Services Ombudsman for Wales ”;
(b) in subsection (2), for “a Local Commissioner in Wales” substitute “ the Public Services Ombudsman for Wales ”;
(c) in subsection (5), for “a Local Commissioner in Wales who reaches a finding under subsection (4)(c)” substitute “ if the Public Services Ombudsman for Wales reaches a finding under subsection (4)(c) he ”.
14 In section 70 (investigations: further provisions)—
(a) in subsection (2), for paragraph (b) substitute—
(b) any provisions of sections 13 to 15, 25 to 27 and 32 of the Public Services Ombudsman (Wales) Act 2005.
;
(b) in subsection (3), for “A Local Commissioner in Wales” substitute “ The Public Services Ombudsman for Wales ”;
(c) in subsections (4) and (5), for “a Local Commissioner in Wales” substitute “ the Public Services Ombudsman for Wales ”.
15 In section 71 (reports etc.)—
(a) in subsections (1) to (3), for “a Local Commissioner in Wales” substitute “ the Public Services Ombudsman for Wales ”;
(b) in subsection (4)(b), for “a Local Commissioner in Wales who reaches a finding under section 69(4)(c)” substitute “ if the Public Services Ombudsman for Wales reaches a finding under section 69(4)(c) he ”;
(c) in subsection (6), for “A Local Commissioner in Wales” substitute “ The Public Services Ombudsman for Wales ”.
16 In section 72 (interim reports), in subsections (1), (3) and (4), for “a Local Commissioner in Wales” substitute “ the Public Services Ombudsman for Wales ”.
17 In section 73 (matters referred to monitoring officers) in subsection (7), for “a Local Commissioner in Wales” substitute “ the Public Services Ombudsman for Wales ”.
18 In section 74 (law of defamation), for “a Local Commissioner in Wales” substitute “ the Public Services Ombudsman for Wales ”.
19 In section 78 (decisions of interim case tribunals) in subsection (5), for “a Local Commissioner in Wales” substitute “ the Public Services Ombudsman for Wales ”.
20 In section 79 (decisions of case tribunals) in subsection (12)(a)(ii), for “the Commission for Local Administration in Wales” substitute “ the Public Services Ombudsman for Wales ”.
21 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
22 In section 81 (disclosure and registration of members' interests etc.) in subsection (7)—
(a) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
(b) at the end insert—
(c) if it is a relevant authority in Wales, inform the Public Services Ombudsman for Wales that copies of the register are so available.
.
23 In section 82 (code of conduct for local government employees) in subsections ... (6)(c), for “the Commission for Local Administration in Wales” substitute “ the Public Services Ombudsman for Wales ”.
24 In section 83 (interpretation of Part 3) in subsection (1)—
(a) omit the definition of “Local Commissioner in Wales”;
(b) in the definition of “the relevant Adjudication Panel” in paragraph (b), for “a Local Commissioner in Wales” substitute “ the Public Services Ombudsman for Wales ”.
Section 37
Interpretation
1 In this Schedule—
“the commencement date” means the date on which this Schedule comes into force;
“existing authority” means each of—
the Welsh Administration Ombudsman;
the Health Service Commissioner for Wales;
the Commission for Local Administration in Wales;
a Local Commissioner who is a member of the Commission for Local Administration in Wales;
the Social Housing Ombudsman for Wales;
“relevant employee” means a person who, immediately before the commencement date, was an officer or member of staff of an existing authority;
“the relevant existing authority”, in relation to a relevant employee, means the existing authority of which he was an officer or member of staff immediately before the commencement date.
Transfer of staff
2 On the commencement date each relevant employee transfers to and becomes a member of the staff of the Ombudsman.
3 The contract of employment of a relevant employee transferred under paragraph 2—
(a) is not terminated by the transfer;
(b) has effect on and after the commencement date as if originally made between the employee and the Ombudsman.
4 Accordingly—
(a) all rights, powers, duties and liabilities of the relevant existing authority under or in connection with the contract of employment are transferred to the Ombudsman on the commencement date;
(b) anything done before that date by or in relation to the relevant existing authority in respect of that contract or the relevant employee is to be treated on and after that date as having been done by or in relation to the Ombudsman.
5 But if a relevant employee informs the relevant existing authority or the Ombudsman before the commencement date that he objects to the transfer—
(a) paragraphs 2 to 4 do not apply; and
(b) the contract of employment is terminated immediately before the commencement date but the relevant employee is not to be treated, for any purpose, as having been dismissed by the relevant existing authority.
6 Paragraph 5 does not affect any right of a relevant employee to terminate his contract of employment if (apart from the change of employer) a substantial change is made to his detriment in his working conditions.
Transfer of property, rights and liabilities
7 On the commencement date all property, rights and liabilities to which each existing authority was entitled or subject immediately before that date transfer to and vest in the Ombudsman.
8 The reference in paragraph 7 to rights and liabilities does not include any rights and liabilities under a contract of employment transferred to the Ombudsman under paragraph 2.
9 Paragraph 7 has effect in relation to any property, rights and liabilities to which it applies despite any provision (of whatever nature) which would otherwise prevent, penalise or restrict their transfer.
10 Anything (including legal proceedings) which is in the process of being done by or in relation to an existing authority immediately before the commencement date and which relates to—
(a) any function of that existing authority, or
(b) any property, rights or liabilities of that existing authority transferred to the Ombudsman under paragraph 7,
may, on and after the commencement date, be continued by or in relation to the Ombudsman.
11 Anything done by an existing authority for the purpose of, or in connection with—
(a) any function of that existing authority, or
(b) any property, rights or liabilities of that existing authority transferred to the Ombudsman under paragraph 7,
and which is in effect immediately before the commencement date is to have effect on and after the commencement date as if done by the Ombudsman.
12 On and after the commencement date, the Ombudsman is to be substituted for each existing authority in any instruments, contracts or legal proceedings which relate to—
(a) any function of that existing authority, or
(b) any property, rights or liabilities of that existing authority transferred to the Ombudsman under paragraph 7,
and which are made or commenced before the commencement date.