Public Services Ombudsman (Wales) Bill [HL]

House of Commons

Session 2004 - 05
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Other Bills before Parliament

Public Services Ombudsman (Wales) Bill [HL]

Public Services Ombudsman (Wales) Bill [HL]
Schedule 1 — Public Services Ombudsman for Wales: appointment etc.
27

Schedules
Schedule 1
Section 1

Public Services Ombudsman for Wales: appointment etc.
Appointment
1     (1)
The Ombudsman is to be appointed by Her Majesty on the recommendation
5
of the Secretary of State.
      (2)
The Secretary of State may recommend that a person be appointed as the
Ombudsman only after consulting the Assembly.
Status
2     (1)
The Ombudsman is a corporation sole.
10
      (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
15
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.
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      (3)
Her Majesty may relieve a person of office as the Ombudsman—
(a)
at his request, or
(b)
if the Secretary of State recommends that Her Majesty should do so
on the ground that he is incapable for medical reasons of performing
the duties of the office.
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      (4)
Her Majesty may remove a person from office as the Ombudsman if the
Secretary of State recommends that Her Majesty should do so on the ground
of misbehaviour.
      (5)
The Secretary of State may recommend that a person should be relieved of,
or removed from, office as the Ombudsman only after consulting the
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Assembly.

Public Services Ombudsman (Wales) Bill [HL]
Schedule 1 — Public Services Ombudsman for Wales: appointment etc.
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Acting Public Services Ombudsman for Wales
4     (1)
If the office of the Ombudsman becomes vacant, Her Majesty may, on the
recommendation of the Secretary of State, appoint a person to act as the
Ombudsman.
      (2)
The Secretary of State may recommend that a person be appointed to act as
5
the Ombudsman only after consulting the Assembly.
      (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).
10
      (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
15
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.
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      (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—
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(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
30
by virtue of paragraph 6 of this Schedule or section 12(1)(ca) of the
Government of Wales Act 1998 (c. 38));
(e)
he is disqualified from being a member of a local authority in Wales
(other than by virtue of paragraph 6 of this Schedule).
      (2)
The appointment of a person as the Ombudsman or an acting Ombudsman
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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
40
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—

Public Services Ombudsman (Wales) Bill [HL]
Schedule 1 — Public Services Ombudsman for Wales: appointment etc.
29

(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
5
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
10
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.
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      (3)
But sub-paragraph (1) does not disqualify a person from—
(a)
being a member of the Assembly;
(b)
holding the office of presiding officer or deputy presiding officer of
the Assembly or of Assembly First Secretary or Assembly Secretary;
(c)
being a member or co-opted member of a local authority in Wales;
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(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.
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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,
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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,
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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.
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      (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”.
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Public Services Ombudsman (Wales) Bill [HL]
Schedule 1 — Public Services Ombudsman for Wales: appointment etc.
30

      (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).
Expenses
5
10    (1)
The expenses of the Ombudsman, so far as they cannot be met out of income
received by him, are to be met by the Assembly.
      (2)
The expenses that fall within sub-paragraph (1) include any sums payable
by the Ombudsman in consequence of a breach, in the course of the
discharge of any of his functions, of any contractual or other duty.
10
      (3)
Sub-paragraph (2) applies whether that breach occurs by reason of action of
the Ombudsman or a member of his staff or other person acting on his behalf
or assisting him in the discharge of any of his functions.
Staff
11    (1)
The Ombudsman may appoint such staff as he thinks necessary for assisting
15
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
20
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
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Ombudsman for Wales.”
      (5)
The Assembly must pay to the Minister for the Civil Service, at such times as
he may direct, such sum 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.
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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.
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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
40
the discharge of any such function.

Public Services Ombudsman (Wales) Bill [HL]
Schedule 1 — Public Services Ombudsman for Wales: appointment etc.
31

      (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—
(a)
for any of the functions of the Ombudsman or of the Assembly to be
5
discharged by the other or by a member of the other’s staff;
(b)
for the provision of administrative, professional or technical services
by the Ombudsman or the Assembly for the other.
      (5)
Sub-paragraph (4) applies despite any provision that would otherwise
permit such arrangements to be made.
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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
15
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
20
paragraph before the Assembly and at the same time (if the report is an
extraordinary report) must send a copy of it to any listed authorities (other
than the Assembly) 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.
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      (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—
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(a)
mentions the name of any person other than a listed authority 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
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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).
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      (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.

Public Services Ombudsman (Wales) Bill [HL]
Schedule 1 — Public Services Ombudsman for Wales: appointment etc.
32

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 to the Assembly Cabinet at least
five months before the beginning of the financial year to which it relates.
5
      (3)
The Assembly Cabinet must examine an estimate submitted to it in
accordance with sub-paragraph (2) and must then lay the estimate before the
Assembly with any modifications it thinks appropriate.
      (4)
If the Assembly Cabinet proposes to lay an estimate before the Assembly
with modifications, it must first consult the Secretary of State.
10
      (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
15
(b)
for each financial year, prepare accounts in accordance with
directions given to him by the Treasury.
      (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
20
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
25
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
30
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
35
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.
40

Public Services Ombudsman (Wales) Bill [HL]
Schedule 1 — Public Services Ombudsman for Wales: appointment etc.
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      (2)
If the Ombudsman is incapable of discharging his responsibilities as
accounting officer, the Treasury 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 Treasury may designate a member of the Ombudsman’s staff to be the
5
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 Treasury.
10
      (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
15
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 Assembly Cabinet or the Audit Committee, or
(b)
the House of Commons or its Committee of Public Accounts.
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      (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
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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.
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      (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.
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      (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    (1)
For the purposes of enabling him to carry out examinations into, and report
to Parliament on, the finances of the Ombudsman, the Comptroller and
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Auditor General—
(a)
has a right of access at all reasonable times to all such documents in
the custody or under the control of the Ombudsman, or of the