Office of Public Sector Information
PART 6 continued
(3) For the purposes of subsection (2)(b) “the permitted requirements” are—
(a) that the whole or part of any amount already paid by or on behalf of the complainant in respect of the fees be refunded;
(b) that the whole or part of the fees be remitted;
(c) that the right to recover the fees be waived, whether wholly or to any specified extent.
(4) Where—
(a) a direction is made under subsection (2)(b) which requires that the whole or part of any amount already paid by or on behalf of the complainant in respect of the fees be refunded, or
(b) a direction is made under subsection (2)(c),
the direction may also provide for the amount payable under the direction to carry interest from a time specified in or determined in accordance with the direction, at the rate specified in or determined in accordance with scheme rules.
(5) The power of the ombudsman to make a direction under subsection (2) is not confined to cases where the complainant may have a cause of action against the respondent for negligence.
(1) Where a determination is made under the ombudsman scheme in respect of a complaint, the total value of directions under section 137(2)(c) to (e) contained in the determination must not exceed £30,000.
(2) For this purpose the total value of such directions is the aggregate of—
(a) the amount of any compensation specified in a direction under subsection (2)(c) of section 137, and
(b) the amount of any expenses reasonably incurred by the respondent when complying with a direction under subsection (2)(d) or (e) of that section.
(3) For the purposes of determining that total value, any interest payable on an amount within subsection (2)(a) of this section, by virtue of section 137(4), is to be ignored.
(1) The Lord Chancellor may by order amend section 138(1) in accordance with a recommendation made by an interested body under subsection (2).
(2) An interested body may, at any time, recommend to the Lord Chancellor that section 138(1) should be amended so as to substitute the amount specified in the recommendation for the amount for the time being specified in that provision.
(3) An interested body must, if requested to do so by the Lord Chancellor, consider whether or not it is appropriate to make a recommendation under subsection (2).
(4) An interested body must, before making a recommendation under subsection (2)—
(a) publish a draft of the proposed recommendation,
(b) invite representations regarding the proposed recommendation, and
(c) consider any such representations which are made.
(5) Where the Lord Chancellor receives a recommendation under subsection (2), the Lord Chancellor must consider whether to follow the recommendation.
(6) If the Lord Chancellor decides not to follow the recommendation, the Lord Chancellor must publish a notice to that effect which includes the Lord Chancellor’s reasons for the decision.
(7) In this section “interested body” means—
(a) the OLC,
(b) the Board, or
(c) the Consumer Panel.
(1) When an ombudsman has determined a complaint the ombudsman must prepare a written statement of the determination.
(2) The statement must—
(a) give the ombudsman’s reasons for the determination,
(b) be signed by the ombudsman, and
(c) require the complainant to notify the ombudsman, before a time specified in the statement (“the specified time”), whether the complainant accepts or rejects the determination.
(3) The ombudsman must give a copy of the statement to—
(a) the complainant,
(b) the respondent, and
(c) any relevant authorising body in relation to the respondent.
(4) If the complainant notifies the ombudsman that the determination is accepted by the complainant, it is binding on the respondent and the complainant and is final.
(5) If, by the specified time, the complainant has not notified the ombudsman of the complainant’s acceptance or rejection of the determination, the complainant is to be treated as having rejected it.
(6) But if—
(a) the complainant notifies the ombudsman after the specified time that the determination is accepted by the complainant,
(b) the complainant has not previously notified the ombudsman of the complainant’s rejection of the determination, and
(c) the ombudsman is satisfied that such conditions as may be prescribed by the scheme rules for the purposes of this subsection are satisfied,
the determination is treated as if it had never been rejected by virtue of subsection (5).
(7) The ombudsman must give notice of the outcome to—
(a) the complainant,
(b) the respondent, and
(c) any relevant authorising body in relation to the respondent.
(8) Where a determination is rejected by virtue of subsection (5), that notice must contain a general description of the effect of subsection (6).
(9) A copy of the determination on which appears a certificate signed by an ombudsman is evidence that the determination was made under the scheme.
(10) Such a certificate purporting to be signed by an ombudsman is to be taken to have been duly signed unless the contrary is shown.
(11) Neither the complainant nor the respondent, in relation to a complaint, may institute or continue legal proceedings in respect of a matter which was the subject of a complaint, after the time when a determination by an ombudsman of the complaint becomes binding and final in accordance with this section.
(1) This section applies where—
(a) a determination is made in respect of a complaint under the ombudsman scheme,
(b) one or more directions are made under section 137(2), and
(c) the determination is final by virtue of section 140(4).
(2) An amount payable in accordance with—
(a) a direction under subsection (2)(b) of section 137 which requires that the whole or part of any amount already paid by or on behalf of the complainant in respect of the fees be refunded, or
(b) a direction under subsection (2)(c) of that section,
including any interest payable by virtue of subsection (4) of that section, is recoverable, if a court so orders on the application of the complainant or an ombudsman, as if it were payable under an order of that court.
(3) If the respondent fails to comply with any other direction under section 137(2), the complainant or an ombudsman may make an application to the court under this subsection.
(4) If, on an application under subsection (3), the court decides that the respondent has failed to comply with the direction in question, it may order the respondent to take such steps as the court directs for securing that the direction is complied with.
(5) An ombudsman may make an application under subsection (2) or (3) only in such circumstances as may be specified in scheme rules, and with the complainant’s consent.
(6) If the court makes an order under subsection (2) on the application of an ombudsman, the ombudsman may in such circumstances as may be specified in scheme rules and with the complainant’s consent recover the amount mentioned in that subsection on behalf of the complainant.
(7) In this section “court” means the High Court or a county court.
(1) Where a court makes an order under section 141, it must give the OLC notice to that effect.
(2) Where the order is made against a person who is an authorised person in relation to any activity which is a reserved legal activity, the OLC must make arrangements to ensure that an ombudsman gives to each relevant authorising body, in relation to that person, a report which states that the order has been made.
(3) A report under subsection (2) may require the relevant authorising body to report to the ombudsman the action which has been or is to be taken by it in response to the report under subsection (2) and the reasons for that action being taken.
(4) If an ombudsman, having regard to any report produced by the relevant authorising body in compliance with a requirement imposed under subsection (3), or any failure to comply with such a requirement, considers—
(a) that there has been a serious failure by the relevant authorising body to discharge its regulatory functions, or
(b) if such a requirement has been imposed on the body on more than one occasion, that the relevant authorising body has persistently failed adequately to discharge its regulatory functions,
the ombudsman may make a report to that effect to the Board.
(1) This section applies where—
(a) an ombudsman is dealing, or has dealt, with a complaint under the ombudsman scheme, and
(b) the ombudsman is of the opinion that the conduct of the respondent or any other person in relation to any matter connected with the complaint is such that a relevant authorising body in relation to that person should consider whether to take action against that person.
(2) The ombudsman must give the relevant authorising body a report which—
(a) states that the ombudsman is of that opinion, and
(b) gives details of that conduct.
(3) The ombudsman must give the complainant a notice stating that a report under subsection (2) has been given to the relevant authorising body.
(4) A report under subsection (2) may require the relevant authorising body to report to the ombudsman the action which has been or is to be taken by it in response to the report and the reasons for that action being taken.
(5) The duty imposed by subsection (2) is not affected by the withdrawal or abandonment of the complaint.
(6) If an ombudsman, having regard to any report produced by the relevant authorising body in compliance with a requirement imposed under subsection (4), or any failure to comply with such a requirement, considers—
(a) that there has been a serious failure by the relevant authorising body to discharge its regulatory functions, or
(b) if such a requirement has been imposed on the body on more than one occasion, that the relevant authorising body has persistently failed adequately to discharge its regulatory functions,
the ombudsman may make a report to that effect to the Board.
(1) Scheme rules must make provision requiring persons within subsection (3) to disclose to an approved regulator information of such description as may be specified in the rules, in such circumstances as may be so specified.
(2) The regulatory arrangements of an approved regulator must make provision requiring the approved regulator to disclose to persons within subsection (3) information of such description as may be specified in the arrangements, in such circumstances as may be so specified.
(3) The persons are—
(a) the OLC;
(b) an ombudsman;
(c) a member of the OLC’s staff appointed under paragraph 13 of Schedule 15.
(4) Provision made under subsection (1) or (2) must satisfy such requirements as the Board may, from time to time, specify.
(5) In specifying requirements under subsection (4) the Board must have regard to the need to ensure that, so far as reasonably practicable—
(a) duplication of investigations is avoided;
(b) the OLC assists approved regulators to carry out their regulatory functions, and approved regulators assist with the investigation, consideration and determination of complaints under the ombudsman scheme.
(6) The Board must publish any requirements specified by it under subsection (4).
(7) The OLC must—
(a) before publishing under section 205(2) a draft of rules it proposes to make under subsection (1), consult each approved regulator to which the proposed rules apply, and
(b) when seeking the Board’s consent to such rules under section 155, identify any objections made by an approved regulator to the rules and not withdrawn.
(8) An approved regulator must—
(a) consult the OLC before making provisions in its regulatory arrangements of the kind mentioned in subsection (2), and
(b) where an application is made for the Board’s approval of such provisions, identify any objections made by the OLC to the provisions and not withdrawn.
(9) This section applies to the Board in its capacity as a licensing authority and licensing rules made by the Board as it applies to an approved regulator and its regulatory arrangements; and for this purpose the reference in subsection (5)(b) to “regulatory functions” is to be read as a reference to the Board’s functions under its licensing rules.
(1) The regulatory arrangements of an approved regulator, and licensing rules made by the Board in its capacity as a licensing authority, must make—
(a) provision requiring each relevant authorised person to give ombudsmen all such assistance requested by them, in connection with the investigation, consideration or determination of complaints under the ombudsman scheme, as that person is reasonably able to give, and
(b) provision for the enforcement of that requirement.
(2) The provision made for the purposes of subsection (1) must satisfy such requirements as the Board may, from time to time, specify for the purposes of that subsection.
(3) The Board must publish any requirements specified by it under subsection (2).
(4) In this section “relevant authorised person”—
(a) in relation to an approved regulator, has the same meaning as in section 112, and
(b) in relation to the Board in its capacity as a licensing authority, means a person licensed by the Board under Part 5.
(1) This section applies where an ombudsman is of the opinion that an authorised person has failed to give an ombudsman all such assistance requested by the ombudsman, in connection with the investigation, consideration or determination of a complaint under the ombudsman scheme, as that person is reasonably able to give.
(2) The ombudsman must give each relevant authorising body, in relation to that person, a report which—
(a) states that the ombudsman is of that opinion, and
(b) gives details of the failure.
(3) A report under subsection (2) may require the relevant authorising body to report to the ombudsman the action which has been or is to be taken by it in response to the report under that subsection and the reasons for that action being taken.
(4) The duty imposed by subsection (2) is not affected by the withdrawal or abandonment of the complaint.
(5) If an ombudsman, having regard to any report produced by the relevant authorising body in compliance with a requirement imposed under subsection (3), or any failure to comply with such a requirement, considers—
(a) that there has been a serious failure by the relevant authorising body to discharge its regulatory functions, or
(b) if such a requirement has been imposed on the body on more than one occasion, that the relevant authorising body has persistently failed adequately to discharge its regulatory functions,
the ombudsman may make a report to that effect to the Board.
(6) In this section “authorised person” means an authorised person in relation to any activity which is a reserved legal activity.
(1) An ombudsman may, by notice, require a party to a complaint under the ombudsman scheme—
(a) to produce documents, or documents of a description, specified in the notice, or
(b) to provide information, or information of a description, specified in the notice.
(2) A notice under subsection (1) may require the information or documents to be provided or produced—
(a) before the end of such reasonable period as may be specified in the notice, and
(b) in the case of information, in such manner or form as may be so specified.
(3) This section applies only to information and documents the provision or production of which the ombudsman considers necessary for the determination of the complaint.
(4) An ombudsman may—
(a) take copies of or extracts from a document produced under this section, and
(b) require the person producing the document to provide an explanation of it.
(5) If a person who is required under this section to produce a document fails to do so, an ombudsman may require that person to state, to the best of that person’s knowledge and belief, where the document is.
(6) No person may be required under this section—
(a) to provide any information which that person could not be compelled to provide or give in evidence in civil proceedings before the High Court, or
(b) to produce any document which that person could not be compelled to produce in such proceedings.
(7) In this section “party”, in relation to a complaint, means—
(a) the complainant;
(b) the respondent;
(c) any other person who in accordance with the scheme rules is to be regarded as a party to the complaint.
(1) This section applies where an ombudsman is of the opinion that an authorised person has failed to comply with a requirement imposed under section 147(1).
(2) The ombudsman must give each relevant authorising body, in relation to that person, a report which—
(a) states that the ombudsman is of that opinion, and
(b) gives details of the failure.
(3) A report under subsection (2) may require the relevant authorising body to report to the ombudsman the action which has been or is to be taken by it in response to the report under that subsection and the reasons for that action being taken.
(4) The duty imposed by subsection (2) is not affected by the withdrawal or abandonment of the complaint in relation to which the requirement was imposed under section 147(1).
(5) If an ombudsman, having regard to any report produced by the relevant authorising body in compliance with a requirement imposed under subsection (3), or any failure to comply with such a requirement, considers—
(a) that there has been a serious failure by the relevant authorising body to discharge its regulatory functions, or
(b) if such a requirement has been imposed on the body on more than one occasion, that the relevant authorising body has persistently failed adequately to discharge its regulatory functions,
the ombudsman may make a report to that effect to the Board.
(6) In this section “authorised person” means an authorised person in relation to any activity which is a reserved legal activity.
(1) This section applies where an ombudsman is of the opinion that a person (“the defaulter”) has failed to comply with a requirement imposed under section 147(1).
(2) The ombudsman may certify the defaulter’s failure to comply with the requirement to the court.
(3) Where an ombudsman certifies a failure to the court under subsection (2), the court may enquire into the case.
(4) If the court is satisfied that the defaulter has failed without reasonable excuse to comply with the requirement, it may deal with—
(a) the defaulter, and
(b) in the case of a body, any manager of the body,
as if that person were in contempt.
(5) Subsection (6) applies in a case where the defaulter is an authorised person in relation to any activity which is a reserved legal activity.
(6) The ombudsman (“the enforcing ombudsman”) may not certify the defaulter’s failure to the court until a report by that or another ombudsman has been made as required by section 148(2) and the enforcing ombudsman is satisfied—
(a) that each relevant authorising body to whom such a report was made has been given a reasonable opportunity to take action in respect of the defaulter’s failure, and
(b) that the defaulter has continued to fail to provide the information or produce the documents to which the requirement under section 147 related.
(7) In this section “court” means the High Court.
(1) The OLC may, if it considers it appropriate to do so in any particular case, publish a report of the investigation, consideration and determination of a complaint made under the ombudsman scheme.
(2) A report under subsection (1) must not (unless the complainant consents)—
(a) mention the name of the complainant, or
(b) include any particulars which, in the opinion of the OLC, are likely to identify the complainant.
(1) Except as provided by section 152, restricted information must not be disclosed—
(a) by a restricted person, or
(b) by any person who receives the information directly or indirectly from a restricted person.
(2) In this section and section 152—
“restricted information” means information (other than excluded information) which is obtained by a restricted person in the course of, or for the purposes of, an investigation into a complaint made under the ombudsman scheme (including information obtained for the purposes of deciding whether to begin such an investigation or in connection with the settlement of a complaint);
“restricted person” means—
the OLC,
an ombudsman, or
a person who exercises functions delegated under paragraph 22 of Schedule 15.
(3) For the purposes of subsection (2) “excluded information” means—
(a) information which is in the form of a summary or collection of information so framed as not to enable information relating to any particular person to be ascertained from it;
(b) information which at the time of the disclosure is or has already been made available to the public from other sources;
(c) information which was obtained more than 70 years before the date of the disclosure.
(1) A restricted person may disclose restricted information to another restricted person.
(2) Restricted information may be disclosed for the purposes of the investigation in the course of which, or for the purposes of which, it was obtained.
(3) Section 151 also does not preclude the disclosure of restricted information—
(a) in a report made under—
(i) section 143(2) (report of possible misconduct to approved regulators),
(ii) section 146(2) (report of failure to co-operate with investigation),
(iii) section 148 (reporting failures to provide information or produce documents), or
(iv) section 150 (reports of investigations),
(b) for the purposes of enabling or assisting the Board to exercise any of its functions,
(c) to an approved regulator for the purposes of enabling or assisting the approved regulator to exercise any of its regulatory functions,
(d) with the consent of the person to whom it relates and (if different) the person from whom the restricted person obtained it,
(e) for the purposes of an inquiry with a view to the taking of any criminal proceedings or for the purposes of any such proceedings,
(f) where the disclosure is required by or by virtue of any provision made by or under this Act or any other enactment or other rule of law,
(g) to such persons (other than approved regulators) who exercise regulatory functions as may be prescribed by order made by the Lord Chancellor, for such purposes as may be so prescribed.
(4) Subsections (2) and (3) are subject to subsection (5).
(5) The Lord Chancellor may by order prevent the disclosure of restricted information by virtue of subsection (2) or (3) in such circumstances, or for such purposes, as may be prescribed in the order.
In section 31 of the Data Protection Act 1998 (c. 29) (regulatory activity), after subsection (4B) (inserted by section 170) insert—
“(4C) Personal data processed for the purposes of the function of considering a complaint under the scheme established under Part 6 of the Legal Services Act 2007 (legal complaints) are exempt from the subject information provisions in any case to the extent to which the application of those provisions to the data would be likely to prejudice the proper discharge of the function.”
For the purposes of the law of defamation—
(a) proceedings in relation to a complaint under the ombudsman scheme are to be treated as if they were proceedings before a court, and
(b) the publication of any matter by the OLC under this Part is absolutely privileged.
(1) Before making scheme rules under any provision of this Part, the OLC must obtain—
(a) the consent of the Board, and
(b) in the case of rules under section 136 (charges payable by respondents), the consent of the Lord Chancellor.
(2) In subsection (1) the reference to making rules includes a reference to modifying rules.
(1) The Board may direct the OLC to take such steps as are necessary—
(a) to modify its scheme rules in accordance with such general requirements as are specified in the direction, or
(b) to make a specified modification to its scheme rules.
(2) Before giving a direction under subsection (1)(b), the Board must—
(a) give the OLC a notice giving details of the proposed modification and containing a statement that representations about the proposal may be made to the Board within a period specified in the notice,
(b) publish a copy of that notice, and
(c) have regard to any representations duly made.
(3) The following provisions do not apply in relation to any modification made by the OLC to its rules in compliance with a direction under subsection (1)(b)—
(a) section 155(1)(a) (requirement to obtain the Board’s consent to rules);
(b) section 205 (requirement to consult before making rules).
(4) Where the Board revokes a direction, it must—
(a) give the OLC notice of the revocation, and
(b) publish that notice.
(1) The regulatory arrangements of an approved regulator must not include any provision relating to redress.
(2) If at the time this subsection comes into force the regulatory arrangements of an approved regulator contravene subsection (1), any provision relating to redress included in those regulatory arrangements ceases to have effect at that time, subject to subsection (3).
(3) An order under section 211 which appoints a day for the coming into force of subsection (2) may include transitional provision in respect of any proceedings which, immediately before that day are awaiting determination under any provision relating to redress made by an approved regulator.
This subsection is without prejudice to any other transitional provision which may be made by or under this Act.
(4) For the purposes of this section “provision relating to redress” means any provision made in regulatory arrangements (whether it is statutory or non-statutory) for redress in respect of acts or omissions of authorised persons and any provision connected with such provision.
(5) Nothing in this section prevents an approved regulator making—
(a) provision in its regulatory arrangements of the kind required by section 112 (requirement for authorised persons to have complaints procedures etc),
(b) indemnification arrangements or compensation arrangements, or
(c) provision which by virtue of section 158 is not prohibited by this section.
(6) In subsection (4) “authorised person” means an authorised person in relation to any activity which is a reserved legal activity.
(7) This section applies to licensing rules made by the Board in its capacity as a licensing authority as it applies in relation to the regulatory arrangements of an approved regulator.
Legal Services Act 2007