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Legal Services Bill [HL]


THIRD
MARSHALLED
LIST OF AMENDMENTS
TO BE MOVED
ON REPORT

      The amendments have been marshalled in accordance with the Order of 29th March 2007, as follows—

Clauses 118 to 170
Schedule 16
Clauses 171 to 174
Schedule 17
Clauses 175 to 178
Schedule 18
Clause 179
Schedule 19
Clauses 180 to 186
Schedule 20
Clauses 187 to 204
Schedules 21 to 24

[Amendments marked * are new or have been altered]

Amendment
No.

 

After Clause 118

 

LORD MACLENNAN OF ROGART
LORD CARLILE OF BERRIEW

334Insert the following new Clause—
  "Board's functions in relation to complaints
(1)  If it appears to the Board that complaints about any authorised person are not being handled effectively and efficiently by the OLC, the Board may exercise in relation to the OLC such of the powers in subsection (2) as it considers necessary.
(2)  Those powers are—
(a)  to investigate the handling of complaints about authorised persons;
(b)  to make recommendations in relation to the handling of complaints about authorised persons; and
(c)  to require the OLC to submit to the Board a plan for the handling of complaints about authorised persons.
(3)  Where the Board requires the OLC to submit to it a plan for the handling of complaints about authorised persons but the OLC—
(a)  fails to submit to the Board a plan which it considers adequate for securing that such complaints are handled effectively and efficiently, or
(b)  submits to the Board such a plan but fails to handle complaints in accordance wth it,
  the Board may give directions to the OLC."
335Insert the following new Clause—
  "Directions
(1)  This section applies if the Board is satisfied—
(a)  that the OLC has failed to meet the requirement of section (Board's functions in relation to complaints) (3)(a) or (b), or
(b)  that the OLC has failed to comply with any requirement imposed on it by or under this Act (including this section) or any other enactment.
(2)  If, in all the circumstances of the case, the Board is satisfied that it is appropriate to do so, it may direct the OLC to take in a case within subsection (1)(a) or (b) such steps as the Board considers will remedy the failure, mitigate its effect or prevent its recurrence.
(3)  A direction under subsection (2) may only require the OLC to take steps which it has the power to take.
(4)  For the purpose of this section, a direction to take steps includes a direction which requires the OLC to refrain from taking a particular course of action.
(5)  The power to give a direction under this section is subject to any provision made by or under any other enactment.
(6)  The Board may take such steps as it regards as appropriate to monitor and investigate the extent to which a direction under this section is being, or has been, complied with.
(7)  Where the Board revokes a direction under this section, it must—
(a)  give the OLC notice of the revocation, and
(b)  publish that notice."
336Insert the following new Clause—
  "Intervention directions
(1)  The Board may give the OLC an intervention direction in relation to any of its functions if the Board is satisfied—
(a)  that despite notice it has failed to handle complaints about authorised persons effectively and efficiently, and
(b)  that, in the circumstances of the case, it is appropriate to give the intervention direction.
(2)  An intervention direction, in relation to the function of the OLC, is a direction that—
(a)  the function is to be exercised by the Board or a person nominated by it, and
(b)  the OLC must comply with any instrument of the Board or its nominee in relation to the exercise of the function.
(3)  The Board may not determine that it is appropriate to give an intervention direction unless it is satisfied that the matter cannot be adequately addressed by the Board exercising the powers available to it under section (Board's functions in relation to complaints).
(4)  The Board must make rules as to the persons it may nominate for the purposes of subsection (2)(a)."
 

Clause 122

 

LORD KINGSLAND

337Page 63, line 19, at end insert—
"(d)  the activity is, either wholly or partly, a legal activity."
 

Clause 125

 

LORD KINGSLAND

338Page 64, line 6, at end insert ", or was a person giving legal advice or assistance in the course of business but who is not otherwise covered by the provisions of this Act."
 

BARONESS ASHTON OF UPHOLLAND

339Page 64, line 13, leave out "Secretary of State" and insert "Lord Chancellor"
340Page 64, line 27, leave out "Secretary of State" and insert "Lord Chancellor"
341Page 64, line 36, leave out "Secretary of State" and insert "Lord Chancellor"
 

Clause 126

 

BARONESS ASHTON OF UPHOLLAND

342Page 65, line 9, after "mark" insert "attorney"
343Page 65, line 17, after "mark" insert "attorney"
 

Clause 127

 

BARONESS ASHTON OF UPHOLLAND

344Page 65, line 20, leave out "Secretary of State" and insert "Lord Chancellor"
345Page 65, line 21, leave out "Secretary of State" and insert "Lord Chancellor"
346Page 65, line 22, leave out "Secretary of State" and insert "Lord Chancellor"
347Page 65, line 30, leave out "Secretary of State" and insert "Lord Chancellor"
348Page 65, line 31, leave out "Secretary of State" and insert "Lord Chancellor"
349Page 65, line 32, leave out "Secretary of State" and insert "Lord Chancellor"
350Page 65, line 33, leave out "Secretary of State" and insert "Lord Chancellor"
351Page 65, line 34, leave out "Secretary of State's" and insert "Lord Chancellor's"
 

Clause 129

 

BARONESS ASHTON OF UPHOLLAND

352Page 66, line 21, leave out from "rules" to "specified" and insert "must make provision permitting such persons as may be"
353Page 66, line 23, at end insert "; and for that purpose may modify references to the complainant in this Part and in scheme rules."
 

Clause 130

 

LORD KINGSLAND
LORD HUNT OF WIRRAL

354Page 67, line 12, at end insert—
"(ha)  for an ombudsman to award costs against the respondent in favour of the OLC for the purpose of providing a contribution to resources deployed in dealing with the complaint if—
(i)  the complaint against the respondent is determined or otherwise resolved substantially in favour of the complainant, or
(ii)  in the ombudsman's opinion the respondent failed to deal with the complaint in accordance with the regulatory arrangements which the relevant approved regulator has made under section 109."
 

BARONESS ASHTON OF UPHOLLAND

355Page 67, line 16, leave out from "opinion" to end of line 19 and insert "that person acted so unreasonably in relation to the complaint that it is appropriate in all the circumstances of the case to make such an award;"
 

LORD KINGSLAND
LORD HUNT OF WIRRAL

356Page 67, line 47, after "(3)(h)" insert ", (ha)"
 

Clause 131

 

BARONESS ASHTON OF UPHOLLAND

357Page 68, line 15, leave out "(but not determination)"
358Page 68, line 17, leave out from "Part" to end of line 18
359Page 68, leave out line 19 and insert—
"(2)  Nothing in subsection (1) applies to the following functions—
(   )  the function of determining a complaint;
(   )  the function of deciding that a complaint should be dismissed by virtue of rules under section 130(3)(a));"
360Page 68, line 21, leave out "and"
 

Clause 133

 

LORD KINGSLAND
LORD HUNT OF WIRRAL
LORD MACLENNAN OF ROGART
LORD CARLILE OF BERRIEW

361Page 68, line 41, at end insert—
"(1A)  The rules must provide for the OLC to reduce or waive a charge in circumstances where—
(a)  the complaint relates to activity undertaken otherwise than for reward, or
(b)  it appears to the OLC that the amount of a charge, unless reduced or waived, would be disproportionate having regard to the gravity or nature of the complaint, the value (if any) of the subject matter of the activity to which it relates, or the consideration payable for the services used by the complainant which consist of or include that activity, or
(c)  it appears to the OLC that the amount of a charge, unless reduced or waived, would cause the respondent undue hardship.
(1B)  The rules must also provide for the refund of the whole or part of a charge where circumstances coming to the OLC's attention since the charge was paid are such that it appears to the OLC that the amount of the charge, unless wholly or partly refunded—
(a)  is disproportionate having regard to the gravity or nature of the complaint, the value (if any) of the subject matter of the activity to which it relates, or the consideration payable for the services used by the complainant which consist of or include that activity, or
(b)  causes the respondent undue hardship."
 

LORD KINGSLAND
LORD HUNT OF WIRRAL

362Page 68, line 41, at end insert—
"(   )  Scheme rules must provide that any charge in relation to a complaint shall not become payable by a respondent unless the complaint is determined or otherwise resolved substantially in favour of the complainant."
 

LORD KINGSLAND
LORD HUNT OF WIRRAL
LORD MACLENNAN OF ROGART
LORD CARLILE OF BERRIEW

363Page 68, line 43, at end insert "(other than one to which rules pursuant to subsection (1A) apply)"
364Page 69, line 3, at end insert "(other than circumstances in which rules pursuant to subsection (1B) apply)"
 

Clause 134

 

LORD KINGSLAND

365Page 69, line 14, at end insert—
"(   )  In considering what is fair and reasonable in the circumstances, the Ombudsman shall take into account the relevant law (including levels of damages awarded by courts in similar circumstances) and relevant codes of practice, professional rules, standards and guidance."
366Page 70, line 5, at end insert—
"(   )  For the purposes of subsection (2)(d) and (e), in the event of a respondent's failure to act on a determination within a reasonable period, the ombudsman may order, at the expense of the respondent, the necessary rectification to be secured or action to be taken by an alternative authorised person."
 

Clause 136

 

BARONESS ASHTON OF UPHOLLAND

367Page 70, line 23, leave out "Secretary of State" and insert "Lord Chancellor"
 

LORD HUNT OF WIRRAL
LORD KINGSLAND

368Page 70, line 24, at end insert—
"(   )  Two years after this Part of this Act takes effect, and at regular intervals thereafter, the OLC must consult with such persons as it considers appropriate and consider whether to make a recommendation under subsection (2)."
 

BARONESS ASHTON OF UPHOLLAND

369Page 70, line 25, leave out "Secretary of State" and insert "Lord Chancellor"
370Page 70, line 29, leave out "Secretary of State" and insert "Lord Chancellor"
371Page 70, line 37, leave out "Secretary of State" and insert "Lord Chancellor"
372Page 70, line 38, leave out "Secretary of State" and insert "Lord Chancellor"
373Page 70, line 39, leave out "Secretary of State" and insert "Lord Chancellor"
374Page 70, line 40, leave out "Secretary of State" and insert "Lord Chancellor"
375Page 70, line 41, leave out "Secretary of State's" and insert "Lord Chancellor's"
 

Clause 137

 

LORD KINGSLAND
LORD HUNT OF WIRRAL

376Page 71, line 40, at end insert—
"(10A)  Where a determination has become final and binding in accordance with this section, the respondent may appeal to the High Court against the determination or any direction made under section 134(2)."
377Page 71, line 40, at end insert—
"(10B)  Where a determination has become final and binding in accordance with this section, the complainant may appeal to the High Court against the determination, the terms of any direction made under section 134(2), or any omission to make such a direction."
378Page 71, line 41, at beginning insert "Subject to subsections (10A) and (10B),"

 
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4 May 2007