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(1) | The OLC must prepare a report (“the annual report”) for each financial year. |
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(2) | The annual report must deal with— |
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(a) | the discharge of the functions of the OLC, |
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(b) | the extent to which, in the OLC’s opinion, the OLC has met the |
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regulatory objectives, and |
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(c) | such other matters as the Board may from time to time direct. |
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(3) | The OLC must include in the annual report a copy of the report prepared by |
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the Chief Ombudsman under section 120 for the financial year in question. |
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(4) | As soon as reasonably practicable after the end of each financial year, the OLC |
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must give the Board a copy of the annual report prepared for that year. |
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(5) | The Board must give a copy of the annual report to the Secretary of State. |
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(6) | The Secretary of State must lay a copy of the annual report before Parliament. |
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(7) | In this section “financial year” means— |
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(a) | the period beginning with the day on which the OLC is established and |
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ending with the next following 31 March, and |
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(b) | each successive period of 12 months. |
| |
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The OLC may do anything calculated to facilitate, or incidental or conducive |
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to, the carrying out of any of its functions. |
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117 | Reporting to the Board |
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(1) | The Board may require the OLC to prepare and give the Board, within a |
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specified period, a report in respect of any specified matter relating to the |
| |
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(2) | In subsection (1) “specified” means specified in the requirement. |
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(3) | The Board must publish any report given to it under this section. |
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118 | Performance targets and monitoring |
| |
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(a) | set one or more performance targets relating to the performance by the |
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OLC of any of its functions, or |
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(b) | direct the OLC to set one or more performance targets relating to the |
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performance by the OLC of any of its functions. |
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(2) | A direction under subsection (1)(b) may impose conditions with which the |
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performance targets must conform. |
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(3) | The Board must publish any target set or direction given by it under this |
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(4) | The OLC must publish any target set by it pursuant to a direction under |
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|
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(5) | The Board may take such steps as it regards as appropriate to monitor the |
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extent to which any performance target set under this section is being, or has |
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119 | Appointment of the Chief Ombudsman and assistant ombudsmen |
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(a) | must appoint a person to act as Chief Ombudsman for the purposes of |
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the ombudsman scheme, and |
| |
(b) | may, with the consent of the Chief Ombudsman, appoint one or more |
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other persons to act as assistant ombudsmen for those purposes. |
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(2) | The person appointed under subsection (1)(a) must be a lay person. |
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(3) | It is a condition of an appointment under subsection (1)(b) that the person |
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appointed must not during the appointment carry on any activity which is a |
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reserved legal activity for or in expectation of any fee, gain or reward. |
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(4) | Each person appointed under subsection (1)(a) or (b) must be a person |
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appearing to the OLC to have appropriate qualifications and experience to act |
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as an ombudsman for the purposes of the ombudsman scheme. |
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(5) | In this Act a reference to an “ombudsman” (except in the expressions |
| |
“ombudsman scheme”, “Chief Ombudsman” and “assistant ombudsman”) is a |
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reference to the Chief Ombudsman or an assistant ombudsman. |
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(6) | A person’s appointment as Chief Ombudsman ceases if that person ceases to |
| |
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(7) | The terms and conditions on which a person is appointed as an assistant |
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ombudsman must specify the consequences of a breach of the condition |
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imposed by subsection (3). |
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(8) | Subject to that, a person’s appointment as an ombudsman is to be on such |
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terms and conditions (including terms as to the duration and termination of a |
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person’s appointment and as to remuneration) as the OLC considers— |
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(a) | consistent with ensuring the independence of the person appointed, |
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(b) | otherwise appropriate. |
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(9) | Appointment as an ombudsman does not confer the status of Crown servant. |
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(10) | In this section “lay person” has the same meaning as in Schedule 15. |
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120 | Annual report of Chief Ombudsman |
| |
(1) | The Chief Ombudsman must prepare a report for each financial year on the |
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discharge of the functions of the ombudsmen. |
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(2) | A report under this section must comply with any requirements specified by |
| |
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(3) | The OLC must publish any requirements specified for the purposes of |
| |
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| |
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|
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(4) | As soon as reasonably practicable after the end of each financial year, the Chief |
| |
Ombudsman must give the OLC a copy of the report prepared under this |
| |
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(5) | In this section “financial year” has the meaning given by section 115(7). |
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121 | Additional reports of Chief Ombudsman |
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(1) | The OLC may require the Chief Ombudsman to prepare and give the OLC, |
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within a specified period, a report in respect of any specified matter relating to |
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the functions of the ombudsmen. |
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(2) | In subsection (1) “specified” means specified in the requirement. |
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Jurisdiction and operation of the ombudsman scheme |
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122 | Jurisdiction of the ombudsman scheme |
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(1) | A complaint which relates to an act or omission of a person (“the respondent”) |
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in carrying on an activity is within the jurisdiction of the ombudsman scheme |
| |
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(a) | the complaint is not excluded from the jurisdiction of the scheme by |
| 15 |
section 123, or by scheme rules made under section 124, |
| |
(b) | the respondent is within section 125, and |
| |
(c) | the complainant is within section 125 and wishes to have the complaint |
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dealt with under the scheme. |
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(2) | In subsection (1) references to an act or omission include an act or omission |
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which occurs before the coming into force of this section. |
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(3) | The right of a person to make a complaint under the ombudsman scheme, and |
| |
the jurisdiction of an ombudsman to investigate, consider and determine a |
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complaint, may not be limited or excluded by any contract term or by notice. |
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123 | Complaints excluded because respondent’s complaints procedures not used |
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(1) | A complaint is excluded from the jurisdiction of the ombudsman scheme if the |
| |
complainant has not first used the respondent’s complaints procedures in |
| |
relation to the complaint. |
| |
(2) | The respondent’s complaints procedures are the procedures established by the |
| |
respondent, or which the respondent participates in or is subject to, in |
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accordance with regulatory arrangements (or licensing rules of the Board) |
| |
made in accordance with section 109. |
| |
(3) | Scheme rules may provide that subsection (1) does not apply in specified |
| |
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124 | Complaints excluded by scheme rules |
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(1) | Scheme rules may make provision excluding complaints of a description |
| |
specified in the rules from the jurisdiction of the ombudsman scheme. |
| |
(2) | But they may not make provision excluding a complaint from the jurisdiction |
| |
of the ombudsman scheme on the ground that it relates to a matter which has |
| |
| |
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|
| |
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been or could be dealt with under the disciplinary arrangements of the |
| |
respondent’s relevant authorising body. |
| |
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(1) | The respondent is within this section if, at the relevant time, the respondent |
| |
was an authorised person in relation to an activity which was a reserved legal |
| 5 |
activity (whether or not the act or omission relates to a reserved legal activity). |
| |
(2) | The complainant (“C”) is within this section if C— |
| |
(a) | meets the first and second conditions, and |
| |
(b) | is not excluded by subsection (5). |
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(3) | The first condition is that C is— |
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(b) | a person (other than an individual) of a description prescribed by order |
| |
made by the Secretary of State in accordance with a recommendation |
| |
| |
(4) | The second condition is that— |
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(a) | the services to which the complaint relates were provided by the |
| |
| |
(b) | the services to which the complaint relates were provided by the |
| |
respondent to an authorised person who procured them on C’s behalf; |
| |
(c) | the services to which the complaint relates were provided by the |
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| |
(i) | in the respondent’s capacity as a personal representative or |
| |
| |
(ii) | to a person acting as a personal representative or trustee, |
| |
| and C is a beneficiary of the estate or trust in question; or |
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(d) | C satisfies such other conditions, in relation to the services to which the |
| |
complaint relates, as may be prescribed by order made by the Secretary |
| |
of State in accordance with a recommendation made under section 127. |
| |
(5) | C is excluded if, at the relevant time— |
| |
(a) | C was an authorised person in relation to an activity which was a |
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reserved legal activity and the services to which the complaint relates |
| |
were procured by C on behalf of another person, |
| |
(b) | C was a public body or was acting on behalf of such a body in relation |
| |
to the services to which the complaint relates, or |
| |
(c) | C was a person prescribed, or of a description prescribed, as excluded |
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by order made by the Secretary of State in accordance with a |
| |
recommendation made under section 127. |
| |
(6) | In subsection (4)(b) “authorised person” means an authorised person in |
| |
relation to any activity which is a reserved legal activity. |
| |
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“public body” means any government department, local authority or |
| |
other body constituted for purposes of the public services, local |
| |
government or the administration of justice; |
| |
“relevant time”, in relation to a complaint, means the time when the act or |
| |
omission to which the complaint relates took place. |
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