Powers and duties of the Ombudsman
1 The Ombudsman shall, in relation to any action taken by or on behalf of the Society, receive any complaint (which shall be in writing) from any member of the Society or from any -
(a) individual who was at any time after 30 November 2001 but is no longer a member of the Society;
(b) person or Scottish limited partnership which was at any time after 30 November 2001 but no longer is a quasi-individual member.
2. Any member or former member of the society referred to in [1. above] having a complaint of the nature referred to in [1. above] may approach the Ombudsman directly in relation to that complaint.
3. Subject to [Consolidated Requirements Part 2 > General Operational Matters > The Members’ Ombudsman > Powers and procedure > Limitation on power to investigate certain complaints], where the complainant alleges that he has suffered injustice in consequence of maladministration in connection with the action as mentioned in [1. above], the Ombudsman may at his discretion investigate the complaint.
4. Where the complainant makes no allegation that he has suffered injustice in consequence of maladministration, the Ombudsman shall not investigate the complaint but shall refer it to the Chairman and shall inform the complainant accordingly.
5. The Ombudsman may appoint (on such terms as to remuneration and otherwise as he shall think fit but which shall include a term as to confidentiality) any other person who in his view is suitably qualified to assist him in his investigation.
6. Where the Ombudsman conducts an investigation, he shall give notice of the complaint and his investigation to the Chairman and to any person to whom the complaint relates and shall afford to the and such other person an opportunity to comment on the complaint.
7. The Ombudsman shall conduct every investigation pursuant to this [The Members Ombudsman part of the Consolidated Requirements] in private and, subject to [8. below] or the order of any competent authority or court of competent jurisdiction, neither the Ombudsman nor any of his staff shall disclose (whether in any report to the Council pursuant to [9. below] or his annual report pursuant to [Consolidated Requirements Part 2 > General Operational Matters > The Members’ Ombudsman > The Ombudsman > Annual Report] or otherwise) to any person any information concerning a complaint investigated by him from which it would or might be possible to identify the complainant or any information of a confidential nature which he has obtained in the course of his investigation.
8. [7. above] shall not prohibit the disclosure of information on such terms as to confidentiality as the Ombudsman shall think fit to the complainant or the Society as the case may be; or to any employee, consultant, adviser or agent of the Ombudsman to the extent that such information is reasonably required by that person for the purpose of performing his duties to the Ombudsman.
9. The Ombudsman shall facilitate the satisfaction, settlement or withdrawal of any complaint by making recommendations (which may include a recommendation that ex gratia payments of money be made) or representations to any person named in the complaint or to the Society or by such other means as seem appropriate. The Ombudsman shall report to the Council and to the complainant the outcome of the complaint. The Ombudsman may also make to the Council such representations or recommendations on matters of general importance which come to his attention as he shall think fit.
Limitation on power to investigate certain complaints
1. The Ombudsman shall not investigate a complaint:
(a) if the complaint has previously been referred to him provided that he may investigate the complaint if he is satisfied that evidence is now available in relation to the complaint which was not available when he previously considered the complaint;
(b) unless he thinks there is good reason to do so, if the action complained of occurred more than two years before the complainant first made the complaint in writing to him;
(c) where any party to the complaint has instituted proceedings in any court of competent jurisdiction or has made reference to arbitration in relation to the complaint unless the proceedings have been discontinued or the reference to arbitration withdrawn prior to final judgment or award;
2. The Ombudsman shall not investigate a complaint about any action:–
(a) in respect of which the complainant has a right of appeal to the Appeal Tribunal provided that he may investigate a complaint where the complainant had (but no longer has) such a right of appeal if he is satisfied that in the particular circumstances it was reasonable for the complainant not to have exercised such a right of appeal, or
(b) which has been the subject of a decision by the Appeal Tribunal.
3. The Ombudsman shall not investigate any complaint about action taken by or on behalf of:
(a) a Lloyd’s disciplinary committee; or
(b) the Appeal Tribunal; or
(c) a Lloyd’s agent appointed pursuant to Byelaw No. 15 of 1983 (Miscellaneous Matters); or
(d) any subsidiary company of the Society listed in [Schedule 2 to The Members’ Ombudsman Byelaw]; or
(e) any officer, employee or agent of any subsidiary company of the Society listed in [Schedule 2 to The Members’ Ombudsman Byelaw].
The Council may from time to time by special resolution amend the list of the subsidiary companies of the Society in [Schedule 2 to The Members’ Ombudsman Byelaw] provided that any subsidiary company of the Society whose day to day management is subject to the Society’s supervision shall not be included in such list.
4. The Ombudsman shall not investigate any complaint about the institution or the conduct of any disciplinary proceedings before a Lloyd’s disciplinary committee or before the Appeal Tribunal.
Power to decline to investigate complaints
1. The Ombudsman may decline to investigate a complaint if he considers that by reason of the subject matter of the complaint it is more appropriate that such complaint should be determined by a court of competent jurisdiction or by arbitration.
2. The Ombudsman may, if he in his discretion thinks fit, decline to investigate a complaint which relates to action taken by a person other than the Society.
Procedure
1. Subject to the other provisions of [The Members Ombudsman part of the Consolidated Requirements] the Ombudsman shall in his discretion decide the procedure to be adopted in considering complaints, in conducting investigations, and in making recommendations or representations.
Evidence
3. The Ombudsman shall not be bound by any legal rule of evidence in considering complaints or conducting investigations and he shall not be bound by any previous decision made by him or any predecessor in office.
Powers to obtain information
3. The Ombudsman may require the Society to provide, within a reasonable period of time and upon such terms as to confidentiality as he shall think fit, any information or documents (including but not restricted to any minutes of the Council, the Committee, any committee or sub-committee appointed by the Council or the Committee) relating to the subject matter of a complaint.
