6. Written evidence from Ann Abraham
UK Parliamentary Ombudsman and Health Service Ombudsman for England
1. INTRODUCTION
In November 2002, when I was appointed to my
current offices of UK Parliamentary Ombudsman and Health Service
Ombudsman for England, I was also asked to take on the responsibilities
of Welsh Administration Ombudsman and Health Service Commissioner
for Wales. Adam Peat, the Public Service Ombudsman for Wales,
became Health Service Commissioner for Wales when he was appointed
in September 2003, and Welsh Administration Ombudsman on 4 November
2004.
The offices of Welsh Administration Ombudsman
and Health Service Commissioner for Wales are to be abolished
along with the Commission for Local Administration in Wales and
the Social Housing Ombudsman for Wales. The responsibilities for
all four offices will be combined in the body of the new Public
Services Ombudsman as established by the Bill.
The new unified Ombudsman service will have
responsibility for investigating maladministration and service
failure by the Assembly, its sponsored public bodies and a number
of other publicly funded bodies; the Welsh Health Service bodies
(primarily NHS Trusts and Local Health Boards in Wales) and certain
health service providers in Wales; all local government bodies
and all social landlords in Wales. This follows the recommendation
made by the National Assembly Advisory Group in 1998 and reflects
the results of the 2002-03 Wales Office consultation on the principle
of bringing these offices together into a unified service led
by one person to provide a modern, flexible and accessible service
for complainants.
As the elements and powers of the unified role
are currently based in a number of different pieces of legislation
it has been necessary to produce a new and sound legislative framework
to create a coherent and unified jurisdiction. This has also created
a valuable opportunity to modernise the legislation to reflect
the demands and pressures of the work of today's Ombudsmen.
2. MAIN RESPONSIBILITIES
The unified Ombudsman's office will provide
a single route for receipt and investigation of complaints about
public bodies in Wales.
The Ombudsman will deal with complaints relating
to functions devolved to the Welsh Assembly including Health and
the NHS in Wales, Local Government, Social Housing, Agriculture,
Forestry, Fisheries and Food, Planning, Culture, Industrial and
Economic Development, Transport and Roads, and Sport, Recreation
and Tourism.
Certain functions are reserved to my office
of UK Parliamentary Ombudsman, as they remain the responsibility
of the UK government. These matters include Social Security and
Pensions, Immigration and Nationality, Income Tax and Tax Credits,
Defence, Foreign Affairs and National Security and Customs and
Excise.
Of course, there will be some issues that are
shared between the two legislatures—for example Public Health
and Civil Defence—and these "cross-border" issues
will require co-operation and joint working between Ombudsmen.
3. THE BILL
The Bill is divided into three parts
Part One establishes the office of the Ombudsman.
Part Two covers the Ombudsman's powers of investigation, including
the identification of bodies in remit, and establishes the process
for dealing with complaints, including the reporting arrangements.
Part Three deals with the Ombudsman's functions as they relate
to the conduct of local government members and employees. This
part also formally abolishes the offices of Welsh Administration
Ombudsman and the Health Service Commissioner for Wales, the Social
Housing Ombudsman for Wales and the Commission for Local Administration
in Wales.
The Ombudsman's powers of investigation are
similar to the powers I hold as UK Parliamentary Ombudsman and
Health Service Ombudsman for England; the Welsh Ombudsman is entitled
to investigate maladministration by an organisation within his
(or her) remit; an alleged failure in a service provided by an
organisation within remit or an alleged failure by such organisations
to provide certain services. The Ombudsman will be directly accessible
to the people of Wales on all matters, as there is no equivalent
of the UK requirement to have complaints against governmental
bodies referred by a Member of Parliament.
The definitions of actions and services contained
in the Bill ensure that only the public functions of the listed
authorities can be investigated. The Ombudsman may investigate
alleged maladministration in the exercise of the Assembly's administrative
functions but may not investigate the exercise of the Assembly's
legislative, judicial or quasi-judicial functions.
The Ombudsman cannot investigate a complaint
relating to the discharge by a listed organisation of its functions
otherwise than in relation to Wales, except in relation to the
Assembly as, of course, the Assembly may exercise cross-border
functions on occasion. Any function of a body in remit which relates
to the Welsh language or any other aspect of Welsh culture is
automatically regarded as being discharged in relation to Wales
and is therefore included within the Ombudsman's jurisdiction.
The Ombudsman is entitled to take reasonable
steps to resolve complaints without having to proceed with a formal
investigation in every case. This power of alternative resolution
is available to the Ombudsman to use instead of or in addition
to the power of investigation as he thinks fit, and allows for
greater local dispute resolution where appropriate. The Scottish
Ombudsman already has this useful power and the Local Government
Ombudsman and I anticipate receiving it by means of a Regulatory
Reform Order later this year.
An additional power given to the Welsh Ombudsman
is the power to issue guidance to bodies within remit about the
exercise of their functions and about good administrative practice.
The Bill makes it clear that this guidance should be followed
by listed bodies unless there is good reason not to. This valuable
power will enable the Ombudsman to assist organisations in improving
their services by offering clear advice based on issues of concern
emerging from investigations and by setting clear bench markers
for the authorities concerned.
4. JOINT WORKING
There is an increasing need for joint working,
information sharing and close co-operation between Ombudsmen,
and this is reflected in all new legislation in this area, including
the current Bill. It is clearly essential that investigative bodies
are able to share information and work together to achieve common
ends where this will allow more effective investigation and improve
the service for customers.
The Bill requires the Welsh Ombudsman to consult
other specified Ombudsmen, including myself, whenever he (or she
thinks that a complaint could be the subject of investigation
by that other Ombudsman. When such consultation takes place, the
Ombudsmen may co-operate and agree on any aspect of the investigation;
for example, on how it should be conducted and the form and content
of any report produced as a result of the investigation. There
is also a specific power to carry out joint investigations and
publish joint reports. To supplement this, information that would
normally have to be kept confidential may be disclosed by the
Ombudsman for the purposes of consulting, co-operating, working
and reporting jointly with other Ombudsmen.
These powers will be particularly useful where,
for example, an issue under investigation is a cross-border or
a national one where combined investigation would be an obvious
and sensible use of resources. The use of these powers will also
work towards ensuring a "joined up" service for complainants
where joint investigation proves to be necessary or expedient.
As regards my own jurisdiction, it is anticipated
that a reciprocal power to consult, investigate collaboratively
and share information will be specified in the proposed Regulatory
Reform Order, to supplement the implied power that exists currently.
5. CONCLUSION
I greatly welcome the Bill and the creation
of the new Public Services Ombudsman for Wales, as a modern, practical
and pragmatic reorganisation of the Ombudsman's service which
will ensure that all investigations into public service complaints
in Wales will be dealt with in light of the same principles and
the same standards.
The reinforced powers of consultation and joint
working will ensure an efficiency of investigation and the provision
of a seamless service to complainants as well as reducing any
problems presented by cross-border issues.
6 January 2005
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