Local Government Act 2000

Chapter IIIE+W Investigations etc: Wales

[F1Public Services Ombudsman for Wales]E+W

68 [F2Public Services Ombudsman for Wales .]E+W

(1)[F3The Public Services Ombudsman for Wales] is to have the functions conferred on him by this Part and such other functions as may be conferred on him by order made by the National Assembly for Wales under this subsection.

(2)[F4The Public Services Ombudsman for Wales]—

(a)may issue guidance to relevant authorities F5... on matters relating to the conduct of members and co-opted members of [F6those] authorities,

(b)may issue guidance to relevant authorities F7... in relation to the qualifications or experience which monitoring officers should possess, and

(c)may arrange for any such guidance to be made public.

[F8(3)The National Assembly for Wales may by regulations make provision which, for the purpose of any provisions of [F9the Public Services Ombudsman (Wales) Act 2019] specified in the regulations, treats—

(a)functions of the Public Services Ombudsman for Wales under that Act as including his functions under this Part, or

(b)expenses of the Public Services Ombudsman for Wales under that Act as including his expenses under this Part.]

(4)The provision which may be made by virtue of subsection (3) includes provision which modifies, or applies or reproduces (with or without modifications), any provisions of F10...that Act.

F11(5). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

InvestigationsE+W

69 [F12Investigations by the Public Services Ombudsman for Wales.]E+W

(1)[F13The Public Services Ombudsman for Wales] may investigate—

(a)cases in which a written allegation is made to him by any person that a member or co-opted member (or former member or co-opted member) of a relevant authority F14... has failed, or may have failed, to comply with the authority’s code of conduct, and

(b)other cases in which he considers that a member or co-opted member (or former member or co-opted member) of a relevant authority F14... has failed, or may have failed, to comply with the authority’s code of conduct and which have come to his attention as a result of an investigation under paragraph (a).

(2)If [F15the Public Services Ombudsman for Wales] considers that a written allegation under subsection (1)(a) should not be investigated, he must take reasonable steps to give written notification to the person who made the allegation of the decision and the reasons for the decision.

(3)The purpose of an investigation under this section is to determine which of the findings mentioned in subsection (4) is appropriate.

(4)Those findings are—

(a)that there is no evidence of any failure to comply with the code of conduct of the relevant authority concerned,

(b)that no action needs to be taken in respect of the matters which are the subject of the investigation,

(c)that the matters which are the subject of the investigation should be referred to the monitoring officer of the relevant authority concerned, or

(d)that the matters which are the subject of the investigation should be referred to the president of the Adjudication Panel for Wales for adjudication by a tribunal falling within section 76(1).

(5)Where a person is no longer a member or co-opted member of the relevant authority concerned but is a member or co-opted member of another relevant authority F16..., the reference in subsection (4)(c) to the monitoring officer of the relevant authority concerned is to be treated as a reference either to the monitoring officer of the relevant authority concerned or to the monitoring officer of that other relevant authority (and accordingly [F17if the Public Services Ombudsman for Wales reaches a finding under subsection (4)(c) he] must decide to which of those monitoring officers to refer the matters concerned).

[F18(6)Sections 69A to 69E apply in relation to the exercise of the functions of the Public Services Ombudsman for Wales under this section.]

[F1969APossible conflict of interest in an investigationE+W

(1)If subsection (2) or (4) applies in a case involving a member or co-opted member (or former member or co-opted member) of a relevant authority, the Public Services Ombudsman for Wales (“the Ombudsman”) must exercise the power in paragraph 14 of Schedule 1 to the Public Services Ombudsman (Wales) Act 2019 to delegate—

(a)the decision as to whether to investigate the case under section 69, and

(b)any investigation of the case.

(2)This subsection applies if at any time within the period of five years ending with the date mentioned in subsection (3) the Ombudsman was—

(a)a member,

(b)a member of a committee, sub-committee, joint committee or joint sub-committee, or

(c)an officer,

of the relevant authority concerned.

(3)The date is—

(a)if the case is within section 69(1)(a), the date on which the Ombudsman received the written allegation, or

(b)if the case is within section 69(1)(b), the date on which the Ombudsman received the written allegation investigated under section 69(1)(a).

(4)This subsection applies if the Ombudsman considers that the Ombudsman has, or is likely to have, an interest in the matters which may be investigated or the outcome of any investigation.

(5)If subsection (4) applies the Ombudsman must disclose the nature of the interest to the person to whom any investigation under section 69 would or does relate, and to any person who has made an allegation as described in section 69(1)(a).

(6)If the Ombudsman makes a decision as to whether to investigate a case, or investigates a case, in contravention of subsection (1), that contravention does not affect the validity of anything done by the Ombudsman.

69BInvestigation procedureE+W

(1)If the Ombudsman conducts an investigation under section 69, the Ombudsman must give the person to whom the investigation relates an opportunity to comment on whether that person has failed to comply with the code of conduct of the relevant authority of which that person is or was a member or co-opted member.

(2)An investigation must be conducted in private.

(3)Subject to subsections (1) and (2), the procedure for conducting an investigation is that which the Ombudsman thinks appropriate in the circumstances of the case.

(4)The Ombudsman may, among other things—

(a)make any inquiries which the Ombudsman thinks appropriate;

(b)determine whether any person may be represented in the investigation by an authorised person or another person.

(5)In subsection (4) “authorised person” means a person who, for the purposes of the Legal Services Act 2007, is an authorised person in relation to an activity which constitutes the exercise of a right of audience or the conduct of litigation (within the meaning of that Act).

(6)The Ombudsman may pay to the person (if any) who made an allegation as described in section 69(1)(a) and to any other person who attends or supplies information for the purposes of the investigation—

(a)sums in respect of the expenses properly incurred by them, and

(b)allowances to compensate for the loss of their time.

(7)The Ombudsman may attach conditions to payments under subsection (6).

(8)The carrying out of an investigation under section 69 does not affect—

(a)the validity of any action taken by a relevant authority, or

(b)any power or duty of a relevant authority to take further action in respect of any matter under investigation.

69CInformation, documents, evidence and facilitiesE+W

(1)The Ombudsman may require a person the Ombudsman thinks is able to supply information or produce a document relevant to an investigation under section 69 to do so.

(2)The Ombudsman has the same powers as the High Court in relation to—

(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)The Ombudsman may require a person the Ombudsman thinks is able to supply information or produce a document relevant to an investigation to provide any facility the Ombudsman may reasonably require.

(4)The Ombudsman may require the relevant authority concerned to provide any facility the Ombudsman may reasonably require.

(5)Subject to subsection (6), no person may be compelled to give any evidence or produce any document which the person could not be compelled to give or produce in civil proceedings before the High Court.

(6)The Crown is not entitled to any privilege in relation to the production of documents or the giving of evidence that would otherwise be allowed by law in legal proceedings.

(7)Where an obligation to maintain secrecy or other restriction on the disclosure of information obtained by or supplied to persons in Her Majesty's service has been imposed by an enactment or a rule of law, the obligation or restriction does not apply to the disclosure of information for the purposes of the investigation.

69DObstruction and contemptE+W

(1)If the Ombudsman is satisfied that the condition in subsection (2) is met in relation to a person, the Ombudsman 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 under section 69 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 that person has taken action such as is mentioned in section 69B(8).

(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 that person in the same manner as it may deal with a person who has committed contempt in relation to the High Court.

69EDisclosure of informationE+W

(1)This section applies to information obtained in the exercise of the Ombudsman's functions under this Part by—

(a)the Ombudsman;

(b)a member of the Ombudsman's staff or other person acting on the Ombudsman's behalf;

(c)a person assisting the Ombudsman.

(2)The information may be disclosed only—

(a)for the purposes of the Ombudsman's functions under—

(i)Chapter 3 or 4 of this Part;

(ii)Part 3 or 5 of the Public Services Ombudsman (Wales) Act 2019;

(b)for the purposes of the functions of the Adjudication Panel for Wales, including the functions of its President, Deputy President and tribunals, under Chapter 4 of this Part;

(c)for the purposes of criminal proceedings or the investigation of a criminal offence;

(d)if the disclosure is made to the Auditor General for Wales for the purposes of the Auditor General's functions under Part 2 of the Public Audit (Wales) Act 2004;

(e)if the disclosure is made to the Electoral Commission for the purposes of any of its functions.

69FPower of the Welsh Ministers to amend this ChapterE+W

The Welsh Ministers may by regulations amend this Chapter to make further or different provision about the exercise of the functions of the Public Services Ombudsman for Wales under section 69.]

70 [F20Ceasing investigations etc.]E+W

F21(1). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

F22(2). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(3)[F23The Public Services Ombudsman for Wales] may cease an investigation under section 69 at any stage before its completion.

(4)Where [F24the Public Services Ombudsman for Wales ] ceases an investigation under section 69 before its completion, he may refer the matters which are the subject of the investigation to the monitoring officer of the relevant authority concerned.

(5)Where a person is no longer a member or co-opted member of the relevant authority concerned but is a member or co-opted member of another relevant authority F25..., [F24the Public Services Ombudsman for Wales ] may, if he thinks it more appropriate than making such a reference as is mentioned in subsection (4), refer the matters which are the subject of the investigation to the monitoring officer of that other relevant authority.

Reports etc.E+W

71 Reports etc.E+W

(1)Where [F26the Public Services Ombudsman for Wales] determines in relation to any case that a finding under section 69(4)(a) or (b) is appropriate—

(a)he may produce a report on the outcome of his investigation,

(b)he may provide a summary of any such report to any newspapers circulating in the area of the relevant authority concerned,

(c)he must send to the monitoring officer of the relevant authority concerned a copy of any such report, F27...

[F28(ca)where the relevant authority concerned is a corporate joint committee, in the case of a member or co-opted member of the corporate joint committee who is also a member or co-opted member of—

(i)a constituent council of the corporate joint committee;

(ii)a National Park authority which is required by regulations under Part 5 of the Local Government and Elections (Wales) Act 2021 to appoint a member of the corporate joint committee,

the Ombudsman must send a copy of any such report to the monitoring officer of that constituent council or National Park authority (in addition to sending a copy of the report to the monitoring officer of the corporate joint committee in accordance with paragraph (c)),]

(d)where he does not produce any such report, he must inform the monitoring officer of the relevant authority concerned of the outcome of the investigation[F29, and

(da)where the relevant authority concerned is a corporate joint committee, in the case of a member or co-opted member of the corporate joint committee who is also a member or co-opted member of—

(i)a constituent council of the corporate joint committee;

(ii)a National Park authority which is required by regulations under Part 5 of the Local Government and Elections (Wales) Act 2021 to appoint a member of the corporate joint committee,

where the Ombudsman does not produce any such report the Ombudsman must inform the monitoring officer of that constituent council or National Park authority of the outcome of the investigation (in addition to informing the monitoring officer of the corporate joint committee in accordance with paragraph (d)).]

(2)Where [F26the Public Services Ombudsman for Wales] determines in relation to any case that a finding under section 69(4)(c) is appropriate he must—

(a)produce a report on the outcome of his investigation,

(b)subject to subsection (4)(b), refer the matters which are the subject of the investigation to the monitoring officer of the relevant authority concerned, and

(c)send a copy of the report to the monitoring officer, and the standards committee, of the relevant authority concerned.

[F30(2A)Where the Ombudsman determines in the case of a member or co-opted member of a corporate joint committee who is also a member or co-opted member of—

(a)a constituent council of the corporate joint committee;

(b)a National Park authority which is required by regulations under Part 5 of the Local Government and Elections (Wales) Act 2021 to appoint a member of the corporate joint committee,

that a finding under section 69(4)(c) is appropriate, in addition to taking the steps set out in subsection (2) the Ombudsman must send a copy of the report to the monitoring officer and standards committee of that constituent council or National Park authority.]

(3)Where [F26the Public Services Ombudsman for Wales] determines in relation to any case that a finding under section 69(4)(d) is appropriate he must—

(a)produce a report on the outcome of his investigation,

(b)refer the matters which are the subject of the investigation to the president of the Adjudication Panel for Wales for adjudication by a tribunal falling within section 76(1), and

(c)send a copy of the report to the monitoring officer of the relevant authority concerned and to the president of the Adjudication Panel for Wales.

[F31(3A)Where the Ombudsman determines in the case of a member or co-opted member of a corporate joint committee who is also a member or co-opted member of—

(a)a constituent council of the corporate joint committee;

(b)a National Park authority which is required by regulations under Part 5 of the Local Government and Elections (Wales) Act 2021 to appoint a member of the corporate joint committee,

that a finding under section 69(4)(d) is appropriate, in addition to taking the steps set out in subsection (3) the Ombudsman must send a copy of the report to the monitoring officer of that constituent council or National Park authority.]

(4)Where a person is no longer a member or co-opted member of the relevant authority concerned but is a member or co-opted member of another relevant authority F32...—

(a)the references in subsections (1)(b), (c) and (d), (2)(c) and (3)(c) to the relevant authority concerned are to be treated as including references to that other relevant authority, and

(b)[F33if the Public Services Ombudsman for Wales reaches a finding under section 69(4)(c) he] must refer the matters concerned either to the monitoring officer of the relevant authority concerned or to the monitoring officer of that other relevant authority.

(5)A report under this section may cover more than one investigation under section 69 in relation to any members or co-opted members (or former members or co-opted members) of the same relevant authority.

(6)[F34The Public Services Ombudsman for Wales] must—

(a)inform any person who is the subject of an investigation under section 69, and

(b)take reasonable steps to inform any person who made any allegation which gave rise to the investigation,

of the outcome of the investigation.

[F35(7)In this Part a reference to a constituent council of a corporate joint committee means a constituent council as set out in the regulations under Part 5 of the Local Government and Elections (Wales) Act 2021 establishing the corporate joint committee.]

72 Interim reports.E+W

(1)Where he considers it necessary in the public interest, [F36the Public Services Ombudsman for Wales] may, before the completion of an investigation under section 69, produce an interim report on that investigation.

(2)An interim report under this section may cover more than one investigation under section 69 in relation to any members or co-opted members (or former members or co-opted members) of the same relevant authority.

(3)Where the prima facie evidence is such that it appears to [F36the Public Services Ombudsman for Wales]—

(a)that the person who is the subject of the interim report has failed to comply with the code of conduct of the relevant authority concerned,

(b)that the nature of that failure is such as to be likely to lead to disqualification under section 79(4)(b), and

(c)that it is in the public interest to suspend or partially suspend that person immediately,

the interim report may include a recommendation that that person should be suspended or partially suspended from being a member or co-opted member of the relevant authority concerned for a period which does not exceed six months or (if shorter) the remainder of the person’s term of office.

(4)Where [F36the Public Services Ombudsman for Wales] produces an interim report under this section which contains such a recommendation as is mentioned in subsection (3), he must refer the matters which are the subject of the report to the president of the Adjudication Panel for Wales for adjudication by a tribunal falling within section 76(2).

(5)A copy of any report under this section must be given—

(a)to any person who is the subject of the report,

(b)to the monitoring officer of the relevant authority concerned,

[F37(ba)where the relevant authority concerned is a corporate joint committee, in the case of a member or co-opted member of the corporate joint committee who is also a member or co-opted member of—

(i)a constituent council of the corporate joint committee;

(ii)a National Park authority which is required by regulations under Part 5 of the Local Government and Elections (Wales) Act 2021 to appoint a member of the corporate joint committee,

to the monitoring officer of that constituent council or National Park authority (in addition to being given to the monitoring officer of the corporate joint committee in accordance with paragraph (b)),] and

(c)to the president of the Adjudication Panel for Wales.

(6)Where a person is no longer a member or co-opted member of the relevant authority concerned but is a member or co-opted member of another relevant authority F38...—

(a)the second reference in subsection (3) to the relevant authority concerned is to be treated as a reference to that other relevant authority, and

(b)the reference in subsection (5)(b) to the relevant authority concerned is to be treated as including a reference to that other relevant authority.

References to monitoring officersE+W

73 Matters referred to monitoring officers.E+W

(1)The National Assembly for Wales may by regulations make provision in relation to the way in which any matters referred to the monitoring officer of a relevant authority under section [F3970(4) or (5) or 71(2) or (4)] are to be dealt with.

(2)The provision which may be made by regulations under subsection (1) includes provision for or in connection with—

(a)enabling a monitoring officer of a relevant authority to conduct an investigation in respect of any matters referred to him,

(b)enabling a monitoring officer of a relevant authority to make a report, or recommendations, to the standards committee of the authority[F40, or to the standards committee of another relevant authority,] in respect of any matters referred to him,

[F41(ba)enabling a standards committee of a relevant authority to refer a report or recommendations made by its monitoring officer to the standards committee of another relevant authority,]

[F42(c)enabling a standards committee of a relevant authority to consider any report or recommendations made or, as the case may be, referred to it by—

(i)a monitoring officer of a relevant authority, or

(ii)the standards committee of another relevant authority.

(ca)the procedure to be followed by a standards committee as respects a report or recommendation made or referred to it,]

(d)enabling a standards committee of a relevant authority, following its consideration of any such report or recommendations, to take any action prescribed by the regulations (including action against any member or co-opted member (or former member or co-opted member) of [F43a relevant authority] who is the subject of any such report or recommendation),

(e)the publicity to be given to any such reports, recommendations or action.

(3)The provision which may be made by virtue of subsection (2)(a) includes provision for or in connection with—

(a)conferring powers on a monitoring officer of a relevant authority to enable him to conduct an investigation in respect of any matters referred to him,

(b)conferring rights (including the right to make representations) on any member or co-opted member (or former member or co-opted member) of a relevant authority who is the subject of any such investigation.

(4)The provision which may be made by virtue of subsection (2)(d) includes provision for or in connection with—

(a)enabling a standards committee of a relevant authority to censure a member or co-opted member (or former member or co-opted member)F44...,

(b)enabling a standards committee of a relevant authority to suspend or partially suspend a person from being a member or co-opted member of the authority [F45of which they are a member] for a limited period,

(c)conferring a right of appeal on a member or co-opted member (or former member or co-opted member) of a relevant authority in respect of any action taken against him.

(5)Nothing in subsection (2), (3) or (4) affects the generality of the power under subsection (1).

F46(6). . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .

(7)Where [F47the Public Services Ombudsman for Wales] refers any matters to the monitoring officer of a relevant authority under section [F48 70(4) or (5) or 71(2) or (4) ] he may give directions to the monitoring officer as to the way in which those matters are to be dealt with.

[F49Law of defamationE+W

74Law of defamation: absolute privilegeE+W

For the purposes of the law of defamation a publication of a matter is absolutely privileged if—

(a)the publication is made in the exercise of the functions of the Ombudsman under Chapters 3 and 4 of this Part;

(b)the publication—

(i)is made in communications with the Ombudsman or a person exercising a function of the Ombudsman, and

(ii)is made for the purposes of, or in connection with, the Ombudsman's functions under Chapters 3 and 4 of this Part.]