Office of Public Sector Information
(1) There is to be a Public Services Ombudsman for Wales or Ombwdsmon Gwasanaethau Cyhoeddus Cymru (in this Act referred to as “the Ombudsman”).
(2) Schedule 1 makes further provision about the Ombudsman.
(1) The Ombudsman may investigate a complaint in respect of a matter if—
(a) the complaint has been duly made or referred to him, and
(b) the matter is one which he is entitled to investigate under sections 7 to 11.
(2) A complaint is “duly made” to the Ombudsman if (but only if)—
(a) it is made by a person who is entitled under section 4 to make the complaint to the Ombudsman, and
(b) the requirements of section 5 are met in respect of it.
(3) A complaint is “duly referred” to the Ombudsman if (but only if)—
(a) it is referred to him by a listed authority, and
(b) the requirements of section 6 are met in respect of it.
(4) The Ombudsman may investigate a complaint in respect of a matter even if the requirements of section 5(1) or (as the case may be) section 6(1)(b) or (d) are not met in respect of the complaint, if—
(a) the matter is one which he is entitled to investigate under sections 7 to 11, and
(b) he thinks it reasonable to do so.
(5) It is for the Ombudsman to decide whether to begin, continue or discontinue an investigation.
(6) The Ombudsman may take any action which he thinks may assist in making a decision under subsection (5).
(7) The Ombudsman may begin or continue an investigation into a complaint even if the complaint, or the referral of the complaint, has been withdrawn.
(1) The Ombudsman may take any action he thinks appropriate with a view to resolving a complaint which he has power to investigate under section 2.
(2) The Ombudsman may take action under this section in addition to or instead of conducting an investigation into the complaint.
(3) Any action under this section must be taken in private.
(1) The persons entitled to make a complaint to the Ombudsman are—
(a) a member of the public (in this Act referred to as “the person aggrieved”) who claims or claimed to have sustained injustice or hardship in consequence of a matter which the Ombudsman is entitled to investigate under sections 7 to 11;
(b) a person authorised by the person aggrieved to act on his behalf;
(c) if the person aggrieved is not capable of authorising a person to act on his behalf (for example because he has died), a person who appears to the Ombudsman to be appropriate to act on behalf of the person aggrieved.
(2) “Member of the public” means any person other than a listed authority acting in its capacity as such.
(3) It is for the Ombudsman to determine any question of whether a person is entitled under this section to make a complaint to him.
(1) The requirements mentioned in section 2(2)(b) are that—
(a) the complaint must be made in writing;
(b) the complaint must be made to the Ombudsman before the end of the period of one year starting on the day on which the person aggrieved first has notice of the matters alleged in the complaint.
(2) It is for the Ombudsman to determine any question of whether the requirements of subsection (1) are met in respect of a complaint.
(1) The requirements mentioned in section 2(3)(b) are that—
(a) the complaint must have been made to the listed authority by a person who would have been entitled under section 4 to make the complaint to the Ombudsman;
(b) the complaint must have been made to the listed authority before the end of the period of one year starting on the day on which the person aggrieved first had notice of the matters alleged in the complaint;
(c) the complaint must be referred to the Ombudsman in writing;
(d) the complaint must be referred to the Ombudsman before the end of the period of one year starting on the day on which the complaint was made to the listed authority.
(2) It is for the Ombudsman to determine any question of whether the requirements of subsection (1) are met in respect of a complaint.
(1) The matters which the Ombudsman is entitled to investigate are—
(a) alleged maladministration by a listed authority in connection with relevant action;
(b) an alleged failure in a relevant service provided by a listed authority;
(c) an alleged failure by a listed authority to provide a relevant service.
(2) Subsection (1) is subject to sections 8 to 11.
(3) Relevant action is—
(a) in the case of a listed authority which is a family health service provider in Wales or an independent provider in Wales, action taken by the authority in connection with the provision of a relevant service;
(b) in the case of a listed authority which is a social landlord in Wales or a Welsh health service body other than the Assembly, action taken by the authority in the discharge of any of its functions;
(c) in the case of a listed authority which is 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), action taken by the authority in the discharge of any of those functions;
(d) in the case of a listed authority which is a listed authority by virtue of an order under section 28(2) adding it to Schedule 3, action taken by the authority in the discharge of any of its specified functions;
(e) in any other case, action taken by the authority in the discharge of any of its administrative functions.
(4) A relevant service is—
(a) in the case of a listed authority which is a family health service provider in Wales, any of the family health services which the authority had, at the time of the action which is the subject of the complaint, entered into a contract, undertaken, or made arrangements, to provide;
(b) in the case of a listed authority which is an independent provider in Wales, any service which the authority had, at that time, made arrangements with a Welsh health service body or a family health service provider in Wales to provide;
(c) in the case of a listed authority falling within subsection (3)(c), any service which it was, at that time, the authority’s function to provide in the discharge of any of the functions mentioned in that paragraph;
(d) in the case of a listed authority falling within subsection (3)(d), any service which it was, at that time, the authority’s function to provide in the discharge of any of its specified functions;
(e) in any other case, any service which it was, at that time, the authority’s function to provide.
(5) For the purposes of subsections (3)(d) and (4)(d), a listed authority’s specified functions are the functions specified in relation to the authority in an order under section 28(2) as falling within the Ombudsman’s remit.
(6) An administrative function which may be discharged by a person who is a member of the administrative staff of a relevant tribunal is to be treated as an administrative function of a listed authority for the purposes of subsection (3) if—
(a) the person was appointed by the authority, or
(b) the person was appointed with the consent of the authority (whether as to remuneration and other terms and conditions of service or otherwise).
(1) The Ombudsman may not investigate a matter arising in connection with the discharge by a listed authority of any of the authority’s functions otherwise than in relation to Wales.
(2) Subsection (1) does not apply in relation to the Assembly.
(3) To the extent that a function of a listed authority is discharged in relation to the Welsh language or any other aspect of Welsh culture, it is to be regarded for the purposes of subsection (1) as discharged in relation to Wales.
(1) The Ombudsman may not investigate a matter if the person aggrieved has or had—
(a) a right of appeal, reference or review to or before a tribunal constituted under an enactment or by virtue of Her Majesty’s prerogative,
(b) a right of appeal to a Minister of the Crown or the Assembly, or
(c) a remedy by way of proceedings in a court of law.
(2) But subsection (1) does not apply if the Ombudsman is satisfied that, in the particular circumstances, it is not reasonable to expect the person to resort, or to have resorted, to the right or remedy.
(3) The Ombudsman may investigate a matter only if he is satisfied that—
(a) the matter has been brought to the attention of the listed authority to which it relates by or on behalf of the person aggrieved, and
(b) the authority has been given a reasonable opportunity to investigate and respond to it.
(4) But subsection (3) does not prevent the Ombudsman from investigating a matter if he is satisfied that it is reasonable in the particular circumstances for him to investigate the matter despite the fact that the requirements of that subsection have not been met.
(1) The Ombudsman may not investigate a matter specified in Schedule 2.
(2) The Assembly may by order amend Schedule 2 by—
(a) adding an entry;
(b) removing an entry;
(c) changing an entry.
(3) Before making an order under subsection (2), the Assembly must consult the Ombudsman.
(4) Subsection (1) does not prevent the Ombudsman from investigating action of a listed authority in operating a procedure established to examine complaints or review decisions.
(1) The Ombudsman may not question the merits of a decision taken without maladministration by a listed authority in the exercise of a discretion.
(2) Subsection (1) does not apply to the merits of a decision to the extent that the decision was taken in consequence of the exercise of professional judgement which appears to the Ombudsman to be exercisable in connection with the provision of health or social care.
(1) If the Ombudsman decides under section 2(5)—
(a) not to begin an investigation into a complaint in respect of a listed authority, or
(b) to discontinue such an investigation,
he must prepare a statement of the reasons for his decision.
(2) The Ombudsman must send a copy of the statement to—
(a) the person who made the complaint, and
(b) the listed authority.
(3) The Ombudsman may send a copy of the statement to any other persons he 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 he thinks appropriate, he considers it to be in the public interest to do so.
(5) The Ombudsman may supply a copy of a statement published under subsection (4), or any part of such a 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) If a statement prepared under subsection (1)—
(a) mentions the name of any person other than the listed authority in respect of which the complaint was made, 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 statement,
that information must not be included in a version of the statement sent to a person under subsection (2) or (3) or published under subsection (4), subject to subsection (8).
(8) Subsection (7) does not apply in relation to a version of the statement if, after taking account of the interests of the person aggrieved and any other persons he thinks appropriate, the Ombudsman considers it to be in the public interest to include that information in that version of the statement.
(9) If the Ombudsman would otherwise send a copy of a statement (or part of a statement) to the Assembly under subsection (2), (3) or (5), he must send the copy to the Assembly First Secretary instead.
(1) If the Ombudsman conducts an investigation into a complaint in respect of a listed authority, he must—
(a) give the listed authority an opportunity to comment on any allegations contained in the complaint;
(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 any 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 to be such as the Ombudsman thinks appropriate in the circumstances of the case.
(4) In particular, the Ombudsman may—
(a) make such inquiries as he thinks appropriate;
(b) determine whether any person may be represented in the investigation by counsel, solicitor or otherwise.
(5) 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) such sums as he may determine in respect of expenses properly incurred by them, and
(b) such allowances as he may determine by way of compensation for the loss of their time,
subject to such conditions as he may determine.
(6) The conduct of an investigation in respect of a listed authority does not affect—
(a) the validity of any action taken by the listed authority, or
(b) any power or duty of the listed authority to take further action with respect to any matter under investigation.
(1) For the purposes of an investigation the Ombudsman may require a person he thinks is able to supply information or produce a document relevant to the investigation to do so.
(2) For the purposes of an investigation the Ombudsman has the same powers as the High Court in respect of—
(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.
(3) For the purposes of an investigation the Ombudsman may require a person he thinks is able to supply information or produce a document relevant to the investigation to provide any facility he may reasonably require.
(4) Subject to subsection (6), no person is to be compelled for the purposes of an investigation to give any evidence or produce any document which he could not be compelled to give or produce in civil proceedings before the High Court.
(5) No obligation to maintain secrecy or other restriction on the disclosure of information obtained by or supplied to persons in Her Majesty’s service, whether imposed by any enactment or rule of law, is to apply to the disclosure of information for the purposes of an investigation.
(6) The Crown is not entitled in relation to an investigation to any privilege in respect of the production of documents or the giving of evidence that would otherwise be allowed by law in legal proceedings.
(1) If the Ombudsman is satisfied that the condition in subsection (2) is met in relation to a person, he 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) But the condition in subsection (2) is not met in relation to a person merely because he has taken action such as is mentioned in section 13(6).
(4) If the Ombudsman issues a certificate under subsection (1), the High Court may inquire into the matter.
(5) If the High Court is satisfied that the condition in subsection (2) is met in relation to the person, it may deal with him in any manner in which it could have dealt with him if he had committed contempt in relation to the High Court.
(1) The Ombudsman must, after conducting an investigation into a complaint in respect of a listed authority—
(a) prepare a report on his findings, and
(b) send a copy of the report to all the appropriate persons.
This is subject to section 21.
(2) The appropriate persons are—
(a) the person who made the complaint;
(b) the listed authority;
(c) any other person who is alleged in the complaint to have taken or authorised the action complained of;
(d) if the listed authority is a family health service provider in Wales—
(i) any Local Health Board with whom the authority had, at the time of the action which is the subject of the complaint, entered into a contract to provide the family health services which are under investigation;
(ii) any person to whom the authority had, at that time, undertaken to provide those services;
(iii) any person with whom the authority had, at that time, made arrangements for the provision of those services;
(e) if the listed authority is an independent provider in Wales—
(i) any Welsh health service body with whom the authority had, at the time of the action which is the subject of the complaint, made arrangements for the provision of the services under investigation;
(ii) any family health service provider in Wales with whom the authority had, at that time, made arrangements for the provision of those services;
(f) the Assembly First Secretary (unless the listed authority is itself the Assembly or is a local authority in Wales).
(3) The Ombudsman may send a copy of the report to any other persons he thinks appropriate.
(4) The Ombudsman may publish a report prepared under this section if, after taking account of the interests of the person aggrieved and any other persons he thinks appropriate, he considers it to be in the public interest to do so.
(5) The Ombudsman may supply a copy of a report published under subsection (4), or any part of such a report, to any person who requests it.
(6) The Ombudsman may charge a reasonable fee for supplying a copy of a report, or part of a report, under subsection (5).
(7) If a report prepared under this section—
(a) mentions the name of any person other than the listed authority in respect of which the complaint was made, 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 sent to a person under subsection (1)(b) or (3) or published under subsection (4), subject to subsection (8).
(8) Subsection (7) does not apply in relation to a version of the report if, after taking account of the interests of the person aggrieved and any other persons he thinks appropriate, the Ombudsman considers it to be in the public interest to include that information in that version of the report.
(9) If the Ombudsman would otherwise send a copy of a report (or part of a report) to the Assembly under subsection (1)(b), (3) or (5), he must send the copy to the Assembly First Secretary instead.
(1) If an investigation is conducted in respect of a listed authority and the authority receives a copy of a report under section 16(1)(b), the authority must make copies of that version of the report available for a period of at least three weeks—
(a) at one or more of the authority’s offices, and
(b) if the authority has a website, on the website.
(2) Throughout that period of three weeks, any person may—
(a) inspect the copy of the report at the office or offices concerned at any reasonable time without payment;
(b) make a copy of the report or any part of it at any reasonable time without payment;
(c) require the authority to supply him with a copy of the report or any part of it, on payment of a reasonable sum if requested;
(d) if the authority has a website, view the copy of the report on the website without payment.
(3) Not later than two weeks after the copy of the report is received by the listed authority it must ensure that a notice is published in a newspaper circulating in the part of Wales in which the matter which is the subject of the report arose.
(4) The notice must specify—
(a) the date on which the period of three weeks referred to in subsection (1) will begin,
(b) the office or offices at which a copy of the report can be inspected, and
(c) the address of the authority’s website (if any).
(5) The Ombudsman may give directions to listed authorities with regard to the discharge of their functions under this section.
(6) Directions under subsection (5) may relate—
(a) to a particular listed authority in respect of a particular report, or
(b) generally to the discharge of functions under this section by all or any listed authorities.
(7) A person commits an offence if—
(a) he wilfully obstructs a person in the exercise of a right conferred by subsection (2)(a), (b) or (d), or
(b) he refuses to comply with a requirement under subsection (2)(c).
(8) A person guilty of an offence under subsection (7) is liable on summary conviction to a fine not exceeding level 3 on the standard scale.
(9) The Ombudsman may direct that subsections (1) to (4) are not to apply in relation to a particular report.
(10) In deciding whether to give a direction under subsection (9), 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 he thinks appropriate.
(1) If an investigation is conducted in respect of a listed authority which is a family health service provider in Wales, section 17 has effect with the modifications specified in subsections (2) to (4).
(2) For subsection (1) substitute—
“(1) A person who has received a copy of a report under section 16 by virtue of section 16(2)(d) must make copies of the report available for a period of at least three weeks—
(a) at one or more of the person’s offices, and
(b) if the person has a website, on the website.”
(3) The references to the listed authority are to be taken to be references to that person.
(4) The references to listed authorities, or to a particular listed authority, are to be taken to be references to persons, or a particular person, of the same description as that person.
(5) If an investigation is conducted in respect of a listed authority which is an independent provider in Wales, section 17 has effect with the modifications specified in subsections (6) to (8).
(6) For subsection (1) substitute—
“(1) A person who has received a copy of a report under section 16 by virtue of section 16(2)(e) must make copies of the report available for a period of at least three weeks—
(a) at one or more of the person’s offices, and
(b) if the person has a website, on the website.”
(7) The references to the listed authority are to be taken to be references to that person.
(8) The references to listed authorities, or to a particular listed authority, are to be taken to be references to persons, or a particular person, of the same description as that person.
(1) This section applies if, in a report under section 16 of an investigation in respect of a listed authority, the Ombudsman concludes that the person aggrieved has sustained injustice or hardship in consequence of the matter investigated.
(2) The listed authority must consider the report and notify the Ombudsman before the end of the permitted period of—
(a) the action it has taken or proposes to take in response to it, and
(b) the period before the end of which it proposes to have taken that action (if it has not already done so).
(3) The permitted period is—
(a) the period of one month beginning on the date on which the authority receives the report, or
(b) any longer period specified by the Ombudsman in writing.
(1) If the Ombudsman is satisfied that the condition in subsection (2) is met in relation to a listed authority, he may issue a certificate to that effect to the High Court.
(2) The condition is that the listed authority has wilfully disregarded his report without lawful excuse.
(1) This section applies if, after the Ombudsman has conducted an investigation into a complaint in respect of a listed authority—
(a) he concludes that the person aggrieved has not sustained injustice or hardship in consequence of the matter investigated, and
(b) he is satisfied that the public interest does not require sections 16 to 19 to apply.
(2) This section also applies if, after the Ombudsman has conducted an investigation into a complaint in respect of a listed authority—
(a) he concludes that the person aggrieved has sustained injustice or hardship in consequence of the matter investigated,
(b) the listed authority agrees to implement, before the end of the permitted period, any recommendations he makes, and
(c) he is satisfied that the public interest does not require sections 16 to 19 to apply.
(3) The permitted period is—
(a) a period agreed between the Ombudsman, the listed authority and the person who made the complaint, or
(b) if the Ombudsman thinks that no such agreement can be reached, the period specified by him in writing.
(4) The Ombudsman may decide to prepare a report on his findings under this section instead of under section 16.
(5) If the Ombudsman decides to prepare a report under this section—
(a) sections 16 to 19 do not apply;
(b) he must send a copy of the report to—
(i) the person who made the complaint;
(ii) the listed authority;
(c) he may send a copy of the report to any other persons he thinks appropriate.
Public Services Ombudsman (Wales) Act 2005