Appointment of the Chair of the Office for Legal Complaints · 2017-03-23 · Appointment of the Chair of the Ofice for Legal Complaints . 5. In inancial year 2015–16, the LeO had

House of Commons

Justice Committee

Appointment of the Chair of the Office for Legal Complaints

Eleventh Report of Session 2016–17

Report, together with formal minutes relating to the report

Ordered by the House of Commons to be printed 22 March 2017

HC 1075 Published on 24 March 2017

by authority of the House of Commons

Justice Committee The Justice Committee is appointed by the House of Commons to examine the expenditure, administration and policy of the Ministry of Justice and its associated public bodies (including the work of staff provided for the administrative work of courts and tribunals, but excluding consideration of individual cases and appointments, and excluding the work of the Scotland and Wales Offices and of the Advocate General for Scotland); and administration and expenditure of the Attorney General’s Office, the Treasury Solicitor’s Department, the Crown Prosecution Service and the Serious Fraud Office (but excluding individual cases and appointments and advice given within government by Law Officers).

Current membership

Robert Neill MP (Conservative, Bromley and Chislehurst) (Chair)

Richard Arkless MP (Scottish National Party, Dumfries and Galloway)

Alex Chalk MP (Conservative, Cheltenham)

Alberto Costa MP (Conservative, South Leicestershire)

Philip Davies MP (Conservative, Shipley)

Kate Green MP (Labour, Stretford and Urmston)

Mr David Hanson MP (Labour, Delyn)

John Howell MP (Conservative, Henley)

Victoria Prentis MP (Conservative, Banbury)

Jo Stevens MP (Labour, Cardiff Central)

Keith Vaz MP (Labour, Leicester East)

The following Members were also members of the Committee during the Parliament:

Richard Burgon MP (Labour, Leeds East), Sue Hayman MP (Labour, Workington), Dr Rupa Huq MP (Labour, Ealing Central and Acton), Andy McDonald MP (Labour, Middlesbrough), Christina Rees MP (Labour, Neath), Marie Rimmer MP (Labour, St Helens South and Whiston), and Nick Thomas-Symonds MP (Labour, Torfaen).

Powers

The committee is one of the departmental select committees, the powers of which are set out in House of Commons Standing Orders, principally in SO No 152. These are available on the internet via www.parliament.uk.

Publication

Committee reports are published on the Committee’s website at www.parliament.uk/justicecttee and in print by Order of the House.

Evidence relating to this report is published on the inquiry page of the Committee’s website.

Committee staff

The current staff of the Committee are Nick Walker (Clerk), Gavin O’Leary (Second Clerk), Gemma Buckland (Senior Committee Specialist), Nony Ardill (Legal Specialist), Elise Uberoi (Committee Research Clerk), Christine Randall (Senior Committee Assistant), Anna Browning (Committee Assistant), and Liz Parratt (Committee Media Officer).

Contacts

All correspondence should be addressed to the Clerk of the Justice Committee, House of Commons, London SW1A 0AA. The telephone number for general enquiries is 020 7219 8196; the Committee’s email address is [email protected].

http://www.parliament.uk/biographies/commons/robert-neill/1601http://www.parliament.uk/biographies/commons/richard-arkless/4387http://www.parliament.uk/biographies/commons/alex-chalk/4481http://www.parliament.uk/biographies/commons/alberto-costa/4439http://www.parliament.uk/biographies/commons/philip-davies/1565https://www.parliament.uk/biographies/commons/kate-green/4120http://www.parliament.uk/biographies/commons/mr-david-hanson/533http://www.parliament.uk/biographies/commons/john-howell/1606http://www.parliament.uk/biographies/commons/victoria-prentis/4401http://www.parliament.uk/biographies/commons/jo-stevens/4425http://www.parliament.uk/biographies/commons/keith-vaz/338http://www.parliament.uk/biographies/commons/richard-burgon/4493http://www.parliament.uk/biographies/commons/sue-hayman/4395http://www.parliament.uk/biographies/commons/dr-rupa-huq/4511http://www.parliament.uk/biographies/commons/andy-mcdonald/4269http://www.parliament.uk/biographies/commons/christina-rees/4525http://www.parliament.uk/biographies/commons/marie-rimmer/4457http://www.parliament.uk/biographies/commons/nick-thomas-symonds/4479http://www.parliament.uk/http://www.parliament.uk/justicectteehttp://www.parliament.uk/business/committees/committees-a-z/commons-select/justice-committee/one-off-sessions/parliament-2015/chair-of-office-for-legal-complaints-16-17/mailto:[email protected]

1 Appointment of the Chair of the Office for Legal Complaints

Contents Report 3

Introduction 3

The Office for Legal Complaints 3

The Chair of the Office for Legal Complaints 4

The candidate 5

Conclusion 5

Appendix A: Posts which are subject to pre-appointment hearings before the

Justice Committee 6

Appendix B: Correspondence between Sir Mike Pitt, Chairman, Legal Services

Board, and Robert Neill MP, Chair, Justice Committee on the recruitment

process 7

Appendix C: Letter dated 14 March 2017 from Sir Mike Pitt, Chairman, Legal

Services Board, to Robert Neill MP, Chair, Justice Committee, notifying

the Committee of the outcome of the recruitment process 11

Appendix D: Candidate information pack 14

Appendix E: Advertisement for the Chair of the Office for Legal Complaints 28

Appendix F: Curriculum vitae – Wanda Goldwag 29

Appendix G: Conflicts of Interest and previous conduct – Wanda Goldwag 33

Appendix H: Letter dated 20 March 2017 from Wanda Goldwag to Robert

Neill MP, Chair, Justice Committee 34

Formal Minutes 35

Witnesses 36

List of Reports from the Committee during the current Parliament 37


Report

Introduction

1. This Report follows the third pre-appointment scrutiny hearing which the Justice Committee has held with a preferred candidate for Chair of the Office for Legal Complaints (OLC) since the post was established. After the first of those hearings, in 2008 Elizabeth France CBE was appointed as the first incumbent. She was succeeded by Stephen Green in 2014. We express our appreciation for the work Mr Green has undertaken in the role.

2. The Chair of the Office for Legal Complaints is one of six posts which are subject to pre-appointment scrutiny by the Justice Committee.1 The Chair is appointed by the Legal Services Board under Schedule 15 to the Legal Services Act 2007 (henceforth “the 2007 Act”). The Chair must be a lay person (i.e. not a lawyer) and appointment is subject to the approval of the Lord Chancellor. The Chairman of the Legal Services Board (LSB), Sir Mike Pitt, wrote to our Chair on 17 October 2016 to consult us in advance of the launch of the recruitment campaign to find a successor to Mr Green. On 14 March 2017 Sir Mike wrote again to inform us that the recruitment process had resulted in Wanda Goldwag being selected as the LSB’s preferred candidate, and that she had been approved by the Lord Chancellor. He also sent us copies of the candidate information pack, the job advertisement, and Ms Goldwag’s curriculum vitae and conflict of interests declaration form. In relation to the last of these, Ms Goldwag subsequently wrote to the Chair on 20 March, before the pre-appointment hearing, to say that through an oversight the declaration had omitted a small shareholding (less than £10,000) in Kings Court Trust, an estate administration business regulated by the Council for Licensed Conveyancers, as a consequence of her role with Smedvig Venture Capital. We publish all these documents with this Report.2

3. In accordance with the usual procedures, we held a pre-appointment scrutiny hearing with the preferred candidate on 22 March 2017, as soon as practicable after receiving information about her.3

The Office for Legal Complaints

4. The constitution and functions of the Office for Legal Complaints and the Ombudsman scheme which it is charged with administering and overseeing are set out in the 2007 Act. The OLC, with between six and eight members in addition to the Chair, and a majority of lay persons, is in effect the board of the Legal Ombudsman (LeO).4 The LeO consists of a team of Ombudsmen who deal with complaints made against English and Welsh lawyers by their clients. It began functioning in 2010. In January 2015 it became authorised to deal with complaints against claims management companies. The organisation is based in Birmingham. During 2015–16 it had a staff of over 230.5

1 The six posts are listed in Appendix A. 2 Appendices B to H 3 The transcript of the evidence session is on the Committee’s webpages. 4 When this competition was launched, the OLC had a membership of seven, the Chair, 4 lay members and 2 non-

lay members (see Appendix D). 5 See Appendix D.

http://www.parliament.uk/business/committees/committees-a-z/commons-select/justice-committee/one-off-sessions/parliament-2015/chair-of-office-for-legal-complaints-16-17/?type=Oral#pnlPublicationFilter


5. In financial year 2015–16, the LeO had staffing costs of £10,366,000 and other costs of £3,402,000. Its income, nearly all from its annual levy on approved regulators, came to £12,014,000.6 In relation to complaints against lawyers the LeO received 59,082 contacts, 18,088 if which were within its jurisdiction. It accepted 7,033 complaints for investigation and resolved 6,416 cases: 31.5% of these were resolved informally, 40% by ombudsman’s final decision, and 28.5% by other means. The most common areas of complaint were residential conveyancing, family law, wills and probate, personal injury and litigation.

6. During the year the LeO received 19,508 contacts in relation to claims management companies, accepting 2,438 cases for investigation and resolving 1,740 complaints, 32% of them informally, 32% by way of ombudsman’s final decision, and the remaining 36% by other means. The overwhelming majority of complaints against claims management companies (95%) concerned financial products and services, primarily personal protection insurance mis-selling cases.

7. The candidate information pack for the recruitment exercise lists the responsibilities of the OLC. In summary (see Appendix D for full details) those responsibilities include:

• administering the Legal Ombudsman scheme, and ensuring that the performance of the scheme meets statutory and other performance related objectives.

• appointing ombudsmen and employing other staff necessary to carry out the functions of the OLC and the ombudsman scheme.

• establishing any sub-committees.

• entering into appropriate arrangements with the LSB and MoJ to ensure coperation between the three organisations.

• reporting to the LSB on the performance of the ombudsman scheme, and submitting a projected budget at the start of each financial year to the LSB for approval.

• establishing reciprocal relationships with approved regulators with regard to information sharing.

The Chair of the Office for Legal Complaints

8. The Chair’s responsibilities are also set out in full in the candidate information pack (see Appendix D). They include setting the strategic direction of the OLC and ensuring that the organisation is fulfilling its statutory duty as an ombudsman scheme; leading liaison with the Chair of LSB and the Ministry of Justice; protecting the independence of the Ombudsman in relation to the decisions taken; maintaining trust and confidence in the OLC with key stakeholders; acting as an ambassador for the OLC and the ombudsman scheme; and ensuring compliance with the general guidelines laid down by government relating to public bodies and with statutory or administrative requirements relating to financial accountability. In addition the information pack details the criteria in relation to experience, knowledge, skills and abilities against which candidates were assessed.

Information in this part of the Report is taken from The Office for Legal Complaints/Legal Ombudsman Annual Report and Accounts 2015–16. In its legal jurisdiction the LeO also receives some funding from case fees charged to legal services providers; its claims management jurisdiction is funded by grant-in-aid from the Ministry of Justice and case fees to claims management companies.

6

http://www.legalombudsman.org.uk/wp-content/uploads/2016/11/Annual-Report-2015-16-web-161108.pdfhttp://www.legalombudsman.org.uk/wp-content/uploads/2016/11/Annual-Report-2015-16-web-161108.pdf


The candidate

9. Ms Goldwag’s c.v. sets out an impressive and eclectic portfolio of five main roles which she is carrying out:

• as a Civil Service Commissioner

• adviser to the private equity firm Smedvig Venture Capital

• Chair and Independent Standards Commissioner for the Senet Group (a self-regulatory body for the gambling industry)

• lay member of the QC Appointments Panel

• co-founder and non-executive Chair of the HR company True North Human Capital.

10. Her role as a Civil Service Commissioner comes to an end on 31 March 2017. At our pre-appointment scrutiny hearing we asked Ms Goldwag whether, if her appointment as Chair of the OLC is confirmed, she would continue with the other four positions. She said that they were non-executive roles which were not full-time, and did not indicate that she saw any need to relinquish or reduce her commitment to any of them.

11. We note Ms Goldwag’s inadvertent omission of a record of her small shareholding in Kings Court Trust when she completed her conflicts of interests form as part of the recruitment process. We received an indication from Sir Mike Pitt, in his capacity as Chair of the appointing panel, that he was satisfied that this was a genuine mistake and, had Ms Goldwag included the information in her declaration, it would not have made a material difference to the decision of the panel.

12. At the pre-appointment hearing we asked Ms Goldwag a range of questions bearing on her suitability for the post. These included questions about her past experience and its relevance to the role of Chair of the OLC, as well as questions intended to elicit her understanding of the legal services regulatory system and her views about the challenges and priorities facing the OLC and the LeO during her likely period in office.

Conclusion

13. We consider that Wanda Goldwag fully meets the criteria necessary to fulfil the role of Chair of the Office for Legal Complaints effectively, and we endorse her suitability for it. We are also grateful for her indication that she would be willing to return to the Committee for further discussion of the issues we covered with her at the pre-appointment hearing.


Appendix A: Posts which are subject to pre-appointment hearings before the Justice Committee

• Chair of the Judicial Appointments Commission

• Chair of the Office for Legal Complaints

• HM Chief Inspector of the Crown Prosecution Service

• HM Chief Inspector of Prisons

• HM Chief Inspector of Probation

• Prisons and Probation Ombudsman


Appendix B: Correspondence between Sir Mike Pitt, Chairman, Legal Services Board, and Robert Neill MP, Chair, Justice Committee on the recruitment process

Letter dated 17 October 2017 from Sir Mike Pitt, Chairman, Legal Services Board, to Robert Neill MP, Chair, Justice Committee

Recruitment of Chair of Office for Legal Complaints (OLC)

In accordance with Schedule 15 of the Legal Services Act 2007, the Legal Services Board (LSB) is responsible for appointing a chairman for the OLC, with the approval of the Lord Chancellor. This appointment is also subject to pre-appointment scrutiny by your Committee and so I am writing to you to inform you of the campaign and to seek your and the Committee’s views on the recruitment process before we advertise the role at the start of November.

The OLC is an independent body, established by the Legal Services Board and sponsored by the Ministry of Justice. Its role is to administer the Legal Ombudsman scheme, including to make its scheme rules, and to oversee that scheme’s performance.

A description of the role of OLC chairman is attached at Annex A and a proposed list of the essential criteria that we intend to look for in candidates is attached at Annex B.

Whilst the appointment is not covered by the Commissioner for Public Appointments, the LSB will adhere to best practice in public appointments and has appointed Gatenby Sanderson to support the appointment process.

The selection panel for the appointment will consist of:

• Sir Mike Pitt, Chairman of the Legal Services Board, who has significant experience at non-executive level;

• Marina Gibbs, lay member of the Legal Services Board, who has significant private and public sector experience;

• an independent panel member with experience of public appointments sourced via Gatenby Sanderson.

We also anticipate that a senior Ministry of Justice official will also form part of the panel.

The timetable for the campaign is being prepared and is provisionally scheduled as follows:

Ȥ w/c 31 October - Advertising plus executive search by recruitment consultants

Ȥ 30 November - Advertisement closes

Ȥ Early December - Long list meeting


Ȥ Mid December - Short list meeting

Ȥ Mid January - Interviews

Ȥ Mid January - Selection Panel recommendations to LSB

Ȥ Mid/late January - Lord Chancellor approval of LSB decision sought

Ȥ February/March - Select Committee pre-appointment scrutiny

Ȥ 1 April 2017 - OLC chairman to be in post

Diversity of opportunity is something I am passionate about and is a particular concern of my Board. Both the advertisement and candidate information packs for these campaigns will make clear that applications are particularly welcome from women and from those currently working in, or with experience of, the private sector. My Board does believe that this post does require previous Board level experience. The search consultants will also be briefed firmly to ensure that the widest possible pool of talent is sourced for this important appointment.

If you have any observations on the above plans I would welcome them. Also, if there is anyone you wish to be invited to apply for the role, could you please let me know in your response to this letter.

If you or your officials would like to discuss this appointment I would be happy to meet and to provide more information as required.

I would be grateful for your response by 28 October 2016.

Annex A – The role of the OLC chair

As Chair of the OLC, you will report to the Chair of the LSB and through the LSB to Parliament via an annual report laid before Parliament by the Lord Chancellor. The latest annual report, for the period 1 April 2014 to 31 March 2015 is available here. As an arm’s length body of the Ministry of Justice, the OLC also has its own Accounting Officer and its own direct relationship with the Department and Ministers.

Overall objectives:

To lead the OLC Board in the effective administration of the ombudsman scheme for complaints about legal services and claims management providers in England and Wales. You will have a key role in developing approaches to ensure that complaints are dealt with efficiently and effectively.

On-going responsibilities:

As Chair of the OLC Board, you will have responsibility for:

• the strategic direction of the OLC and ensuring that the organisation is fulfilling its statutory duty as an ombudsman scheme against a background of good governance, evidence-based decision-making, proportionate interventions, cost-effective use of resources and the successful performance of the ombudsman scheme against agreed performance targets;

http://www.legalombudsman.org.uk/wp-content/uploads/2014/09/Annual-Report-2014-15.pdf


• leading liaison with the Chair of LSB and the Ministry of Justice with regard to setting performance standards, monitoring and reporting protocols, ensuring effectiveness and efficiency and agreeing on-going reporting arrangements as required;

• ensuring that new areas of jurisdiction are properly integrated and governed and that opportunities for further change are kept under review;

• protecting the independence of the Ombudsman in relation to the decisions taken;

• appointing the Chief Ombudsman and any other Ombudsman, as appropriate;

• keeping under review and proposing any changes to the rules and policy statements governing the way the ombudsman scheme operates;

• following the procedures governing the relationship between the OLC and the approved regulators and licensing authorities;

• maintaining trust and confidence in the OLC with key stakeholders;

• acting as an ambassador for the OLC and the ombudsman scheme, promoting and publicising its role by representing it externally in delivering speeches and contributing to debates at conferences and in committees;

• ensuring compliance with the general guidelines laid down by government relating to public bodies and ensuring that OLC fulfils any statutory or administrative requirements relating to financial accountability

• working effectively with the Chief Executive, Chief Ombudsman and non-executive members to provide strong leadership to the OLC to ensure it adheres to the principles of good governance and to ensure proper accounts are kept.

Annex B

Essential criteria

Collectively, the OLC Board needs to be able to cover a wide range of experience.

For the role as Chair, the selection panel will be looking for evidence of an outstanding track record of Board level leadership within a substantial organisation. This may have been gained in the private, public or third sectors and enabled experience to be acquired in the following areas:

• delivering improvements to customer facing operations;

• improving an organisation’s performance through the use and development of technology, such as sophisticated case management systems;

• setting an organisation’s strategy;

• challenging, guiding, supporting and holding to account an executive team for its performance;


• building constructive relationships and productive partnerships with a wide variety of key stakeholders;

• representing an organisation to a wide range of external audiences and being publicly accountable for its activities;

• working with Government, regulators and other influential institutions;

• demonstrating sound understanding of corporate governance, including experience of financial management (establishing budgets and monitoring and managing spend);

• expertise in a range of areas relevant to the OLC’s work, including consumer affairs, customer service, legal services provision, complaints handling and ombudsman schemes would also be valuable.

Skills and abilities

The following criteria will be explored further at interview. They need not be directly addressed in your written application:

• Excellent communication, influencing, and relationship management skills;

• Commitment to diversity and equality of opportunity;

• Willingness to take a stand;

• Strong intellect and sound judgment;

• Political ‘savvy’;

• High level of credibility, probity and integrity;

• Good understanding of the purposes of the OLC, its opportunities and challenges;

• Working style and suitability for non-executive work.

Letter dated 25 October 2016 from Robert Neill MP, Chair, Justice Committee, to Sir Mike Pitt, Chairman, Legal Services Board

Thank you for your letter of 17 October consulting us on the proposed arrangements for the forthcoming recruitment of a new Chair of the Office for Legal Complaints.

My Committee considered your proposals at its meeting today and it has no comments on them. We hope the recruitment runs smoothly and we look forward to holding a preappointment scrutiny hearing in February or March next year. Please get in touch with our staff nearer the time to make arrangements for that hearing, and if there is any significant change in your timetable, please let us know.


Appendix C: Letter dated 14 March 2017 from Sir Mike Pitt, Chairman, Legal Services Board, to Robert Neill MP, Chair, Justice Committee, notifying the Committee of the outcome of the recruitment process

Pre-appointment scrutiny for the appointment of Chair of the Office for Legal Complaints (OLC)

As you are aware, schedule 15 to the Legal Services Act 2007 requires the Legal Services Board (LSB) to appoint the Chair of the OLC, with the approval of the Lord Chancellor. Further to my letter dated 17 October 2016, the Lord Chancellor and the LSB are pleased to confirm that the process has concluded and that Wanda Goldwag is the preferred candidate.

This letter provides an overview of the process and Wanda Goldwag’s CV and declaration of interests in preparation for pre-appointment scrutiny by your Committee.

At Annex A, you will find the candidate information pack, which contains the role and person specification recruited to and information about the OLC. At Annex B you will find a copy of the advertisement for the role. Wanda Goldwag’s curriculum vitae and declarations of interest are at Annex C and D respectively.

The recruitment exercise commenced on Friday 11 November 2016, accompanied by a press release by the LSB announcing the opening of the competition. The following websites carried advertisements for the post:

Ȥ Cabinet Office public appointments

Ȥ Gatenby Sanderson

Ȥ womenonboards.com

Ȥ nedonboard.com

Ȥ nonexecutivedirectors.com

Ȥ non-execs.com.

The LSB engaged the services of recruitment consultants, GatenbySanderson, to assist with the process and to undertake search activity to supplement advertising. GatenbySanderson, were briefed to approach a wide range of individuals and to encourage applications from as able and diverse a field as possible.

It is a requirement of the Act that the OLC Chair be a lay person.

http:non-execs.comhttp:nonexecutivedirectors.comhttp:nedonboard.comhttp:womenonboards.com


A total of 16 applications were received by the time the advertisement closed on 9 December 2016. Nine of the applicants provided diversity monitoring information of which:

• 5 male and 4 female

• 7 White British, 1 Indian and 1 Other (European)

• 1 in age range 35–44, 3 in age range 45–54, 3 in age range 55–64, 2 in age range 65 and over

• 9 reported no disability

As a public appointment, albeit not a Ministerial one regulated by the Commissioner for Public Appointments, the process followed the principles of the Commissioner for Public Appointments Code of Practice. This included making sure that the recruitment followed the principles of openness and fairness, that appointments be made on merit; and that at least one independent person sat on the appointment panel. The panel comprised:

• Sir Mike Pitt (Chair), Chairman of the LS

• Marina Gibbs, LSB lay member

• Sheila Drew Smith (independent panel member)

• Scott McPherson (Director of Judicial, Rights and International Policy, Ministry of Justice)

Long listing took place on 15 December 2016, and the panel selected eight candidates to proceed to the next stage of the process. GatenbySanderson conducted preliminary interviews with all eight candidates and shortlisting from this field of eight took place on 24 January 2017. The panel selected four candidates for interview and these were held on 3 and 13 February 2017.

Interviews were competency based, focusing on the essential criteria for the role. The candidates started the interview with a short presentation on the topic:

“How would you describe the characteristics of a high performing ombudsman service? If you were Chair, what would be your priorities in the first 6 months of office?”

Questions then covered each area of the essential criteria and any conflicts of interest (political activity declarations and conflicts of interest declarations were completed by each candidate).

The panel’s unanimous conclusion was that one of the candidates, Wanda Goldwag, was well above the appointable standard. The preferred candidate gave a strong and impressive performance, getting straight to the point of answers and demonstrating an intuitive understanding of the challenges facing the OLC. Her performance was enhanced by the breadth of experience she was able to draw upon to illustrate her answers, with an emphasis on innovation.


The LSB considered the report of the appointment panel and confirmed that Ms Goldwag was their preferred candidate for the role of OLC Chair. This decision was conveyed to the Lord Chancellor for approval.

The Lord Chancellor has indicated her approval the appointment of Ms Goldwag, stating that she was pleased to note that the appointments process had followed the Commissioner for Public Appointments’ Code of Practice.

I hope that this is of assistance, but please do not hesitate to contact me if you require any further information.

Annex A: OLC Chair candidate information pack

Annex B: OLC Chair advertisement

Annex C: Wanda Goldwag’s CV

Annex D: Conflict of interests’ declaration7

These annexes are included in this report as Appendices D to G 7


Appendix D: Candidate information pack

Chair, Office for Legal Complaints (OLC)

Reference number: GS 30242

Alternative format versions of this candidate information are available on request

Foreword from the Chairman of the Legal Services Board

(1) About the Office for Legal Complaints

(2) The role of the Chair

(3) Person specification and eligibility criteria

(4) Members of the Office for Legal Complaints

(5) Conditions of appointment

(6) Timetable and how to apply

1. Welcome from the Chairman of the Legal Services Board

Dear colleague,

A new Chair for the Office for Legal Complaints

I am delighted that you want to know more about being the next Chair of the Office for Legal Complaints (OLC) – the body responsible for ensuring that there is an independent ombudsman service to consider complaints about legal services and claims management companies in England and Wales. It plays an invaluable role in making sure consumers of legal services can have confidence in the sector.

The OLC is the board of the Legal Ombudsman and the Legal Services Board (LSB) appoints its Chair and Members. The LSB holds the OLC to account for its performance in administering the Legal Ombudsman scheme.

The Legal Ombudsman has made a firm impact on the legal services sector since it began operating on 6 October 2010. Its establishment was one of the three main priorities of Parliament’s legal services reform programme for England and Wales. Independent and impartial, its role is to resolve complaints from consumers of legal services and claims management companies, while at the same time drive improvements in the legal sector by providing feedback to the profession.

The OLC’s Chair, Steve Green, is stepping down after a successful term of office during

which the OLC were required to deal with highly complex legacy issues that saw the OLC’s accounts qualified by the Comptroller and Auditor General from 2013/14 to 2015/16. The OLC, and its new management team, has worked tirelessly to resolve these issues, strengthening its governance, to make sure they will not be repeated again.


In spite of these internal challenges, the Legal Ombudsman has continued to deliver an effective service while driving down its costs. This has included significant organisation changes: an office move; implementation of a new case management system; and the creation of a new jurisdiction, which saw access to redress to thousands of claims management customers.

The LSB now needs to identify an outstanding individual to successfully lead the OLC into the next stage of its development and to ensure that the requirements placed on it by the Legal Services Act 2007 are met.

As Chair of the OLC, you will lead the board in setting the strategic direction of the Legal Ombudsman, providing strong governance and protecting the independence of the Ombudsman in relation to decisions on complaints about legal services and claims management companies.

You will be keen to build on the reputation of the Legal Ombudsman and to helping it make the most of the valuable information it holds by feeding it back to regulators, consumers and legal services providers in ways they find most helpful. This reflects the valuable role that the Legal Ombudsman scheme plays in underpinning consumer confidence. You will want to ensure that the customer experience of the OLC is second to none, combining probity and rigour with dynamism and innovation. You will want also to help develop a cost-effective organisation that listens, learns, and shares best practice – which uses technology well and deploys excellent quality control. You will also need to be alive to the opportunities and challenges of the changing market for legal services and claims management companies – and the implications of the changing nature of regulation. This will require you to build strong and productive relationships with the LSB, the Ministry of Justice and others.

You will also be confident in working with the executive team to leading an organisation that continues to develop.

We want to identify an exceptional Chair who is able to reflect the diverse range of individuals and groups whose lives the Ombudsman service touches and who brings to

the organisation’s work a cross section of experience and expertise. Underlying all the

OLC’s work is a commitment to bringing about change and improvement in this important area of our national life.

This is a hugely exciting time to be leading the Office for Legal Complaints, and I very much hope you will consider applying to be Chair.

With best wishes, Sir Mike Pitt Chairman, Legal Services Board


2. About the Office for Legal Complaints

The context

The Legal Services Act 2007 required the Legal Services Board to establish the OLC to administer an independent ombudsman scheme to resolve complaints by consumers about legal services. The scheme is known as the Legal Ombudsman.

As at 1 April 2016, the legal profession in England and Wales comprised 145,059 solicitors, 15,288 barristers, 6,848 chartered legal executives and 5,697 other individuals operating in other areas of the legal profession such as conveyancing. The UK legal sector is valued at £32 billion per annum (2015) which is up 23% in cash terms since 2012. At the same date, the claims management sector had a last reported turnover of £751 million and comprised 1,610 firms.

The OLC is independent from government and the legal profession and is an arm’s length body of the Ministry of Justice (MoJ). The relationship between OLC, LSB and MoJ is a complex one in public sector governance terms. The Board of the OLC is appointed by and accountable to the LSB, which can set performance targets, and which approves its annual budget. There are further accountabilities to the MoJ. The relationship between the OLC, the MoJ and the LSB -and the financial relationship and accountabilities which exist between the MoJ and the OLC -are set out in the OLC’s framework document, and in a Memorandum of Understanding with the LSB. A tripartite operating protocol to clarify how the arrangements work in practice is being prepared.

The OLC’s costs are met by a combination of a levy paid by approved regulators and case fees charged to legal services providers. For the claims management jurisdiction, funding comes via grant-in-aid from the Ministry of Justice and case fees to claims management companies.

The LSB was also established under the Legal Services Act 2007. Working with the approved regulators -and with the OLC -the LSB is responsible for ensuring that the highest standards of competence, conduct and service in the legal profession are maintained for the benefit of individual consumers and the public generally.

Looking ahead, the LSB is keen to see the OLC build a distinct public profile based on the wealth of useful information that the organisation holds about users’ experiences of legal services. To do this well, OLC will need confidence that its technology is fully operational and supports the business, that its staff are well-motivated and that performance is evaluated by a robust balanced scorecard.

The appointment is made by the LSB with the agreement of the Lord Chancellor and is subject to a pre-appointment scrutiny hearing by the Justice Select Committee. The preferred candidate will be required to attend training in advance of the pre-appointment scrutiny hearing.

http://www.legalombudsman.org.uk/wp-content/uploads/2014/09/OLC-Framework-Document-Final-150302.pdfhttp://www.legalservicesboard.org.uk/about_us/our_relationships/pdf/20091217_lsb_and_olc_mou.pdf


Responsibilities of the OLC

These include:

• Administering the Legal Ombudsman scheme, which considers complaints about lawyers (including alternative business structures) and claims management companies. This includes: Developing Scheme Rules, which set out the detailed jurisdiction of the scheme, how complaints should be made, what will be considered in determining the complaint and when respondents will be charged a case fee, amongst many other things. Scheme Rules must be approved by the LSB and, for case fees, the Lord Chancellor also.

• Ensuring that the performance of the ombudsman scheme meets statutory and other performance related objectives.

• Appointing ombudsmen -the OLC appoints the Chief Ombudsman, and other ombudsmen, with the consent of the Chief Ombudsman; there is currently a team of 15 ombudsmen (including the Chief Ombudsman). The OLC determines the terms of appointment and remuneration of ombudsmen and staff of the service. The current Chief Ombudsman is Kathryn Stone OBE, a former Commissioner for Victims and Survivors in Northern Ireland and a former IPCC Commissioner. She took up post in January 2016.

• Employing other staff necessary to carry out the functions of the OLC and the ombudsman scheme. (In October 2015 Nick Hawkins, a former Chief Crown Prosecutor and Chief Operating Officer at IPCC, took up post as Chief Executive)

• Establishing any sub-committees deemed necessary to assist with the effective discharge of its functions.

• Entering into appropriate arrangements with the LSB and MoJ to ensure cooperation between the three organisations.

• Reporting to the LSB on the performance of the ombudsman scheme, including against any performance measures set by the LSB.

• Submitting a projected budget at the start of each financial year to the LSB for approval.

• Establishing reciprocal relationships with approved regulators with regard to information sharing.

Size

The OLC currently comprises four lay and two non-lay members and a lay Chair. The Legal Ombudsman service has over 230 staff and a budget of circa £13.3m for 2015/16.

Information about the Legal Ombudsman including its most recent annual report and statistics on performance and complaints resolved can be found on its website at www.legalombudsman.org.uk

http://www.legalombudsman.org.uk/


Location

The Legal Ombudsman is based in central Birmingham which is where the OLC holds its meetings. Whilst the role of Chair is classed as ‘home-based’ significant attendance at the Legal Ombudsman office and elsewhere as required

3. The Role of Chair

As Chair of the OLC, you will report to the Chair of the LSB and through the LSB to Parliament via an annual report laid before Parliament by the Lord Chancellor. The latest annual report, for the period 1 April 2015 to 31 March 2016 is available here. As an arm’s length body of the Ministry of Justice, the OLC also has its own Accounting Officer and its own direct relationship with the Department and Ministers.

Overall objectives:

To lead the OLC Board in the effective administration of the Ombudsman scheme for complaints about legal service and claims management providers in England and Wales. You will have a key role in developing approaches to ensure that complaints are dealt with efficiently and effectively.

On-going responsibilities:

As Chair of the OLC Board, you will have responsibility for:

• the strategic direction of the OLC and ensuring that the organisation is fulfilling its statutory duty as an ombudsman scheme against a background of good governance, evidence-based decision-making, proportionate interventions, cost-effective use of resources and the successful performance of the ombudsman scheme against agreed performance targets;

• leading liaison with the Chair of LSB and the Ministry of Justice with regard to setting performance standards, monitoring and reporting protocols, ensuring effectiveness and efficiency and agreeing on-going reporting arrangements as required;

• ensuring that new areas of jurisdiction are properly integrated and governed and that opportunities for further change are kept under review;

• protecting the independence of the Ombudsman in relation to the decisions taken;

• appointing the Chief Ombudsman and any other Ombudsman, as appropriate;

• keeping under review and proposing any changes to the rules and policy statements governing the way the ombudsman scheme operates;

• following the procedures governing the relationship between the OLC and the approved regulators and licensing authorities;

• maintaining trust and confidence in the OLC with key stakeholders;

http://www.legalombudsman.org.uk/?portfolio=annual-report-2015-16


• acting as an ambassador for the OLC and the ombudsman scheme, promoting and publicising its role by representing it externally in delivering speeches and contributing to debates at conferences and in committees;

• ensuring compliance with the general guidelines laid down by government relating to public bodies and ensuring that OLC fulfils any statutory or administrative requirements relating to financial accountability;

• working effectively with the Chief Executive, Chief Ombudsman and non-executive members to provide strong leadership to the OLC to ensure it adheres to the principles of good governance and to ensure proper accounts are kept.

4. Person Specification and Eligibility Criteria

Your application will be assessed on the basis of the evidence you provide. This evidence should include specific examples of proven experience against the selection criteria listed under Experience and knowledge. These responses will be further developed and discussed with those applicants invited for interview, together with the criteria listed under Skills and abilities.

Experience and knowledge

Collectively, the OLC Board needs to be able to cover a wide range of experience.

For the role as Chair, the appointment panel will be looking for evidence of an outstanding track record of transformational Board level leadership within a substantial organisation. This may have been gained in the private, public or third sectors and enabled experience to be acquired in the following areas:

• Delivering improvements to customer facing operations;

• Improving an organisation’s performance through the use and development of technology, such as sophisticated case management systems;

• Setting an organisation’s strategy;

• Challenging, guiding, supporting and holding to account an executive team for its performance

• Building constructive relationships and productive partnerships with a wide variety of key stakeholders;

• Representing an organisation to a wide range of external audiences and being publicly accountable for its activities;

• Working with Government, regulators and other influential institutions;

• Sound understanding of corporate governance, including experience of financial management (establishing budgets and monitoring and managing spend).


Expertise in a range of areas relevant to the OLC’s work, including consumer affairs, customer service, legal services provision, complaints handling and ombudsman schemes would also be valuable.

Skills and abilities

The following criteria will be explored further at interview. They need not be directly addressed in your written application:

• Excellent communication, influencing, and relationship management skills;

• Commitment to diversity and equality of opportunity;

• Willingness to take a stand;

• Strong intellect and sound judgment;

• Political ‘savvy’;

• High level of credibility, probity and integrity;

• Good understanding of the purposes of the OLC, its opportunities and challenges;

• Working style and suitability for non-executive work

Diversity and equality of opportunity

Diversity of opportunity is something both the LSB and OLC are passionate about. Applications are encouraged from all sections of the community and from people with diverse ages, experience and backgrounds, particularly from those currently working in, or with experience of, the private sector, and those that have not previously held public appointments. We want to explore the widest possible pool of talent for this important appointment.

Eligibility

The Chair of the OLC must be a lay person in accordance with the Legal Services Act 2007. As part of the application process, you will be asked to confirm that you meet the lay requirements.

A lay person is a person who is not and has never been:

(1) An authorised person in relation to an activity which is a reserved legal activity. For these purposes the following are authorised people:

Ȥ a barrister;

Ȥ a solicitor;

Ȥ a public notary;

Ȥ a licensed conveyancer;


Ȥ a person granted a certificate issued by the Institute of Legal Executives authorising the person to practise as a legal executive;

Ȥ a registered patent attorney, within the meaning given by section 275(1) of the Copyright, Designs and Patents Act 1988 (c. 48);

Ȥ a registered trade mark attorney, within the meaning of the Trade Marks Act 1994 (c. 26); or

Ȥ a person granted a right of audience or a right to conduct litigation in relation to any proceedings by virtue of section 27(2) (a) or section 28(2) (a) of the Courts and Legal Services Act 1990 (c.41) (rights of audience and rights of litigation);

(2) a person authorised, by a person designated under section 5(1) of the Compensation Act 2006, to provide services which are regulated claims management services (within the meaning of that Act);

(3) an advocate in Scotland;

(4) a solicitor in Scotland;

(5) a member of the Bar of Northern Ireland;

(6) a solicitor of the Court of Judicature of Northern Ireland.

Further advice about eligibility for appointment can be sought by contacting Gatenby Sanderson.

5. Members of the Office for Legal Complaints

The Board has seven members. Biographies of the seven members are as follows:

Steve Green, Chair (standing down 31 March 2017) Steve Green (Chair, lay) started off his professional life in the Armey before moving to the police and ultimately serving for eight years as Chief Constable of Nottinghamshire Police. Since leaving the police he has also undertaken a number of non-executive and voluntary roles. Steve was an inaugural member of the Legal Services Board where he in setting up the OLC and the Legal Ombudsman. He chaired the board’s Audit and Risk Committee and he was the lead member of the Board with responsibility for monitoring the performance of the OLC. Throughout this time Steve has been a passionate advocate for the legal services reform agenda and the need to improve the way the legal market works for consumers.

Caroline Coates Caroline Coates (non-lay member) is a litigation solicitor of over 20 years’ experience and a partner at DWF LLP. Based in Birmingham, she is head of the Birmingham office and national head of automotive. Her practice covers advice to public sector, insurance and corporate clients with specialism in product liability, construction and complex fire/ flood cases in addition to handling reputationally sensitive cases. A previous president of Birmingham Law Society, she has held numerous positions in professional and financial services organisations with an emphasis on access to the professions for everyone.


Michael Kaltz Michael Kaltz (lay member) has spent the major part of his career as a partner in Ernst & Young, holding a mix of UK and international management and client-facing roles. Currently, in addition to providing employment-related advice to businesses, he is a Public Appointments Assessor in the Office of the Commissioner for Public Appointments, a Non-Executive Director of Barndoc Healthcare Ltd, where he chairs both the Appointments & Remuneration and the Audit & Risk Committees, and a Lay Member of the North & West London Employment Tribunal. He is a Fellow of the Institute of Chartered Accountants and a Member of the Chartered Institute of Taxation and he holds a Masters Degree in Employment Law.

Tony King Tony King (lay member) was Pensions Ombudsman from September 2007 to May 2015. Prior to this he was the Lead Ombudsman for Pensions and Securities at the Financial Ombudsman Service. He has also been Chair of the Ombudsman Association – the membership body for ombudsmen and other complaint handling organisations in the UK and Ireland.

Dr Bernard Herdan CB Dr Bernard Herdan CB (lay member) began his career in aerospace engineering, including 12 years spent at the European Space Agency. Following this he moved into the UK public sector where his career highlights have periods in senior executive positions at the Met Office, the Driving Standards Agency, the UK Passport Agency, the Criminal Records Bureau, the Security Industry Authority and National Fraud Authority. He has pursued a portfolio career since 2011, which has included a range of non-executive director and charity trustee roles as well as membership of disciplinary tribunals and consultancy assignments.

Jane McCall Jane McCall (lay member) has worked in the social housing sector for almost 30 years, and has been in senior management for the last 19 years. She was previously Deputy Chief Executive at Trafford Housing Trust (THT), a housing business with a social purpose owning approximately 9,000 homes. Other previous posts include Managing Director of two business subsidiaries within the Regenda Group, and Divisional Technical Director for the Places for People Group.

She has also undertaken several non-executive roles within the health, housing and procurement sectors. She is a Non-Executive Director at the House of Commons Commission (the organisation which runs the House), and also at University Hospital South Manchester. Jane is Deputy Chair at Egerton High School in Trafford, a specialist mixed secondary school for pupils age 11 – 16 who have a range of social, emotional and behavioural difficulties.

Professor Philip Plowden (standing down 31 March 2017) Philip Plowden (non-lay member) is Deputy Vice Chancellor at the University of Derby where he has responsibility for all aspects of the university’s academic portfolio. His first degree is in English, and on graduation he worked for some years in the Citizens Advice Bureaux Service as an advice worker. He qualified as a solicitor, having undertaken his training contract at Christian Fisher, a leading London civil liberties practice. In 1993 he joined the Law School at the University of Northumbria as a lecturer, becoming Dean of

Appointment of the Chair of the Office for Legal Complaints 23

the School in 2008. In 2001 he was called to the Bar. He retains his practising certificate as a barrister, and is a door tenant at Park Lane Plowden Chambers in the North East, although his practice is currently dormant. He remains on the Roll of Solicitors but is not in practice. Philip was appointed as a National Teaching Fellow in 2005 in recognition of his work in legal education, and in particular his development of law clinics in the UK. His academic focus has been in criminal law, evidence and practice; in human rights law; and in legal education. He is currently a member of the Law Society’s Education and Training

6. Conditions of Appointment

Terms and conditions

The main terms and conditions of appointment are as follows:

Time commitment and remuneration

The time commitment for the Chair of the OLC is estimated at a minimum of 60 days’ work a year across the period of appointment. The annual remuneration will be £52,500.

Candidates should satisfy themselves, before applying, and be able to satisfy the panel, that they would be able to make the necessary time commitment. However, there is some flexibility how this time commitment will work in practice and it is recognised that this will be an area for discussion. The time commitment of the post will be kept under review.

The fee paid is taxable and it is the responsibility of the post holder to apply PAYE deductions in respect of income tax and National Insurance, unless instructed to the contrary by HMRC or the Contribution Agency.

Expenses and allowances

The appointee will be eligible for travel and subsistence costs necessarily incurred on OLC business at rates set centrally by the LSB. The LSB employs and pays the OLC Chair and members and its expenses policy applies to claims by the OLC Chair and members.

Pensions

The appointment is not pensionable.

Period of appointment

The appointment will be for a period of between three and five years. In considering reappointment, the Chair’s regular appraisal by the Chair of the Legal Services Board will be taken into account.

Resignation or dismissal

The Chair of the OLC may at any time resign his/her post by giving notice to the LSB. He/ she can be removed from office only with the consent of the Lord Chancellor. The LSB may not remove any member of the OLC, unless they are satisfied that the individual:


• has failed without reasonable excuse to discharge the functions of the office for a continuous period of at least 6 months;

• has been convicted of an offence;

• is an undischarged bankrupt;

• or is otherwise unfit to hold the office or unable to discharge its functions

Conflict of interest

The Chair of the OLC must ensure that during the period of his/her tenure he/she is committed to and conducts him/herself in accordance with the seven principles of public life – attached at Appendix 1.

The Chair of the OLC must not, in any capacity, engage in any activity that might undermine, or be reasonably thought to undermine his/her independence and impartiality.

The Chair must not undertake any tasks or activity that may in any way limit his/her ability to discharge his/her duties in full.

The Chair must conduct his/her private affairs in a way that minimises the possibility of conflict or embarrassment.

Political or other activities

The OLC is covered by the House of Commons Disqualification Act 1975, which disqualifies members of the OLC from being members of the House of Commons. A member of the OLC who is adopted as a prospective candidate or decides to stand, should resign from the OLC. He/she should be on his/her guard against circumstances arising in which his/her involvement in any outside activity might be seen to cast doubt on his/her impartiality or conflict with his/her statutory office.

Other information

For the successful candidate, final confirmation will be subject to full clearance checks, covering confirmation of identity and right to work in the UK plus a criminal records check.

The position is also subject to a pre-appointment scrutiny hearing in front of the Justice Select Committee and the preferred candidate will need to make themselves available for briefing for this hearing.

7. Timetable and how to apply

If you have questions

If after reading the material you have questions about the role or the appointment process itself, please call GatenbySanderson.


Timetable

Closing date Friday 9th December 2016

Longlist meeting 15–20th December 2016

Preliminary Interview From 2–13 January 2017 (London or Birmingham)

Shortlist meeting w/c 23 January 2017

Final Panel w/c 6 February 2017

Closing date Friday 9th December 2016

How you apply

To apply for this role, please upload an up to date copy of your CV (maximum of 4 pages), the diversity monitoring form, along with a supporting statement (maximum 2

pages) explaining how you meet each of the criteria set out under ‘Experience and knowledge’ in the person specification. Please provide specific and detailed examples to demonstrate how your knowledge and skills matches each of the criteria.

To upload your application please click on the ‘continue to full details’ tab below and follow the online instructions. You can register your details in advance of your application submission if you wish.

The information that you provide on the diversity form enables the LSB to follow the recommendations of the Equality and Human Rights Commission that employers should monitor selection decisions to assess whether equality of opportunity is being achieved. The information on the form will be treated as confidential and used for statistical purposes only. The form will not be treated as part of your application, and will be detached from your application.

Please include the names and contact details of two referees. Please note referees will be contacted if you are shortlisted for interview. We will seek your permission prior to approaching referees.

Please ensure you include preferred daytime, evening and mobile telephone numbers, as well as a preferred e-mail address, which will be used with discretion.

How we will handle your application

The selection panel will consist of four members:

Mike Pitt, Chairman of the Legal Services Board, who will chair the Panel Marina Gibbs, Board Member of the Legal Services Board Sheila Drew-Smith, Independent Panel Member A representative from the Ministry of Justice

We will deal with your application as quickly as possible. The timings below are indicative:

• Once you have submitted your application, its receipt will be acknowledged.

• Your application will be assessed against the criteria and your experience for the post.


• By the end of the week commencing 19 December, the panel will aim to have decided who will be invited to preliminary interview, taking account of the evidence provided in your application. You will be advised of the outcome of your application by email from GatenbySanderson during by Friday 23 December.

• Preliminary interviews will be undertaken by a GatenbySanderson senior

• consultant and held at GatenbySanderson’s offices in either Birmingham or London.

• The panel will meet to shortlist the final candidates to be called for final interview on 23 or 24 January 2017. You will be advised of the outcome and whether or not you have been shortlisted for final panel interview by Wednesday 25 January

• Shortlisted candidates will have the opportunity to visit the OLC’s offices in

• Birmingham the week commencing 30 January 2017.

• Final panel interviews will be held during week commencing 6 February at the LSB’s offices in central London. The panel will question you about your experience and expertise and ask specific questions to explore whether you meet the specified essential criteria.

• The preferred candidate for the post will be subject to pre-appointments scrutiny by the Justice Select Committee prior to appointment. The date of the hearing is to be confirmed, but is expected to take place in February or March 2017.

• Such hearings will be non-binding but the Justice Secretary will consider the committee’s conclusions before deciding whether to proceed with the appointment, in discussion with the Chairman of the Legal Services Board.

• Prior to the Select Committee hearing, the preferred candidate will be expected to undertake some preparatory work with Legal Services Board and Ministry of Justice officials.

• If you are successful, you will receive a letter formally appointing you. If you are unsuccessful, you will be notified.

• If your application is unsuccessful and you would like feedback, please contact GatenbySanderson.

Please note that travel expenses will not be payable for attending interviews.

Appendix 1

The seven principles of public life

All candidates for public appointments are expected to demonstrate a commitment to, and an understanding of, the value and importance of the principles of public service. The seven principles of public life are:


Selflessness Holders of public office should act solely in terms of the public interest. They should not do so in order to gain financial or other benefits for themselves, their family or their friends.

Integrity Holders of public office should not place themselves under any financial or other obligation to outside individuals or organisations that might seek to influence them in the performance of their official duties.

Objectivity In carrying out public business, including making public appointments, awarding contracts, or recommending individuals for rewards and benefits, holders of public office should make choices on merit.

Accountability Holders of public office are accountable for their decisions and actions to the public and must submit themselves to whatever scrutiny is appropriate to their office.

Openness Holders of public office should be as open as possible about all the decisions and actions that they take. They should give reasons for their decisions and restrict information only when the wider public interest clearly demands it.

Honesty Holders of public office have a duty to declare any private interests relating to their public duties and to take steps to resolve any conflicts arising in a way that protects the public interest.

Leadership Holders of public office should promote and support these principles by leadership and example.


Appendix E: Advertisement for the Chair of the Office for Legal Complaints

Chair of the Office for Legal Complaints, Birmingham

Minimum 60 days a year, £52,500 per annum

The Office for Legal Complaints (OLC) administers the independent Legal Ombudsman to resolve complaints about lawyers and claims management companies in England and Wales. As an independent body, the role of the OLC is to make sure consumers have access to a service that is modern, efficient and that responds to and builds confidence across the changing legal services sector.

As Chair of the OLC, you will lead the board in setting the strategic direction of the Legal Ombudsman, providing strong governance and protecting the independence of the Ombudsman in relation to decisions on complaints. You will be keen to build on the reputation of the Legal Ombudsman and to helping it make the most of the valuable information it holds by feeding it back to regulators, consumers and providers. You will want to develop a cost-effective organisation, which uses technology well and which demonstrates the highest standards of probity and rigour.

This role requires an exceptional candidate who is able to reflect the diverse range of individuals and groups whose lives the Legal Ombudsman touches. Whatever your experience, you must have sound judgement, credibility and integrity.

Please note that this appointment is made by the Legal Services Board with the approval of the Lord Chancellor and is subject to a pre-appointment hearing by the Justice Select Committee.

For further information about this role and to apply, please visit www.gatenbysanderson.com/job/GSe30242 for a confidential discussion call our advising consultants.

Closing date: Friday 9th December 2016

http://www.gatenbysanderson.com/job/GSe30242


Appendix F: Curriculum vitae – Wanda Goldwag Name: Wanda Goldwag

Experienced Non-Executive Director, with over 30 years of senior management and commercial experience and a current portfolio of non-executive, founder director and advisory roles. I provide strategic direction, merger and acquisition advice, risk and audit management, and hire the senior team. I am known as an inspirational leader, a creative problem solver and an astute negotiator. I am in demand as a Chair of difficult meetings where there are many conflicts of interest and competing priorities. I am therefore persuasive, and skilled at creating an environment of calm where logical discussion can take place.

Current Portfolio

Smedvig Venture Capital and their Investments (May 2000 to present)

Advisor to this private equity firm, which specialises in high-risk, early stage investments in the £2-£10 million range. Entrepreneurs submit their business plans and ideas, I and my colleagues make complex investment decisions, based on sound risk analysis of the plan, a review of the team bringing the idea to us and rapid research into the market place. Successful businesses backed have included Streetcar, Ocean Outdoor advertising and fleet leasing company Tusker

The Senet Group (Feb 2015 to present)

Chair and Independent Standards Commissioner of the self-regulatory body for the gambling industry. The Senet Group is an independent body set up to promote responsible gambling standards and ensure that the marketing of gambling is socially responsible. The organisation has launched a high impact multi-million pound TV and advertising campaign for 2015 to educate people about the risks of gambling and how to stay in control. My responsibilities include chairing the board, setting the budget, shareholder management and monitoring and enforcing compliance with the commitments made by member companies on advertising and other measures aimed at protecting the vulnerable. I also adjudicate complaints from the public that the members have breached responsible gambling codes

Civil Service Commissioner (April 2017 to present)

One of 10 people who have been appointed by HM the Queen to chair the recruitment process for the top 300 Civil Servants in the United Kingdom, I chair panels of very senior civil servants, business people and Non-Executive Directors appointing to some of the highest profile and complex jobs in government. As well as providing absolute assurance that the process of recruitment has been fair and open I am responsible for refereeing what can be complex and competing views of very senior stakeholders.


Lay Member of the QC Appointments Panel (Jan 2016 to present)

I have been appointed by the Bar Council and the Law Society as a lay member of the Selection Panel which recommends advocates for appointment as Queen’s Counsel (QC). The QC rank identifies excellence in advocacy in the higher courts. It is the most significant award available to an advocate, whether solicitor or barrister.

True North Human Capital Ltd (January 2008 to present)

I co-founded and am Non-Executive Chair of this Human Resources Company that manages both the recruitment of senior management for blue chip and fast growth companies and provides human capital consultancy. I took the business from start up to a turnover of £2.5 million in one of the worst recruitment climates possible, by identifying niche opportunities and by fostering a culture of absolute customer focus

Past Employment and Non-Executive Roles

PRS for Music Ltd. (Sept 2001 to May 2015)

Chair and previously Non-Executive Director of one of the UK’s leading music organisation’s operating and processing company, which has a turnover of £665.75 million and 900 staff. I sat on the Executive Board, which drove the strategic direction of the company in conjunction with the Executive team. The board was responsible for setting the budget, hiring of the senior executives and every aspect of the operational management of the company. I was also Chair of the Distribution Committee, which is the forum that makes decisions about the way in which royalties are split between the publishers and writers who are the shareholders in the company, all of whom are represented on the committee. This has given me excellent experience of understanding international agreements and an ability to referee between shareholders in almost impossible circumstances. I have also been Chair of the Audit Committee.

International Copyright Enterprise Services AB (January 2010 to November 2015)

I was Non-Executive Chair of ICE which is a back-office music royalty processing business headquartered in Sweden, with offices in Berlin and London. The company is a joint venture between PRS for Music (where I was a board director for 12 years) and its Swedish and German equivalents. The ICF database contains approximately 19 million musical works. ICF processes 2.8 million new work registrations from publishers and writer members each year and updated 4.6 million musical works last year to make them ready for licensing and distribution

You at Work Holdings Ltd (2007 to December 2011)

Non-Executive Chair of this Employee Benefit and Lifestyle Company, which was funded by Barclays Ventures. You at Work managed the communication and provision of employee benefits on behalf of over 190 businesses. Clients included Nestle and Glaxo Smith Kline. You At Work were ranked amongst the top 100 fastest growing technology companies in the UK, according to the Sunday Times Microsoft Tech Track 100 league table published in September 2007. My role to turn a loss making company into one that was efficiently sold to a 3rd party when Barclay’s Ventures wished to withdraw from that sort of investment.


Postcomm – the Postal Services Commission (April 2005 to September 2011)

Commissioner appointed by the Secretary of State for Trade and Industry on 3 separate occasions to sit as an independent regulator for the postal industry. Postcomm’s main tasks were to ensure a universal postal service; further the interests of users, wherever appropriate through competition, license postal operators and control Royal Mail’s prices and quality of service. I successfully chaired the Pay & Staff Development Committee during a turbulent period of transition to OFCOM ensuring a timely, legal, thoughtful handover of staff to them

Challenge Consultancy (1995 to August 2010)

Executive Director and Finance Director of the UK’s leading provider of Equal Opportunities training to over 8000 individuals a year in some 70 organisations. Clients included Unilever, Scottish Enterprise, the BBC and Housing Associations and Charities.

REAL Digital International Ltd (February 2008 TO July 2008)

Non-Executive Director of this digital communication and full colour digital printing company with a turnover of over £10 million and a client list including Tesco, NatWest bank and the Central Office of Information

PDV Ltd. (May 2000 to Jan 2008)

Non-Executive Chair of this Smedvig funded Database Company, which was at the time the number 1 entertainment site in the UK

Goldwag Empson and Otitoju Ltd (Sept. 2004 to Sept. 2007)

Executive Chair of this Loyalty and Marketing services agency which I founded to manage a project for Boots the Chemist to find 3rd parties who would be willing to issue Boots Advantage points as part of their own loyalty programmes

Learning Resources International Ltd (July 2004 to Sept 2006)

Non-Executive Director of one of the UK’s major e-learning and knowledge solutions providers. I created a strategic change of direction to what had been a small owner run business and prepared the company for a sale.

Queercompany.com – Internet Portal & Magazine (May 2000 to 2002)

Managing Director of this Smedvig funded Internet Company. Over 300,000 users of the site, and in Campaign magazine’s top 3 magazine launches of the year.

British Airways – Air Miles – Loyalty Programme (April 1996 to May 2000)

Joint Chief Executive of this BA subsidiary. Responsible for 1200 staff, sales of over £200 million and all major Clients and Partners. We added over 100 new programmes including Sainsbury’s, Vodafone, Mercedes Benz and BUPA. I also sat as an Executive Director on the BA controlled Board of Air Miles and as a Director of MKM promotions

Smith Bundy 7 Partners - Direct Marketing Agency’(November 1994 to April 1996)

http:Queercompany.com


Managing Director of a full service direct marketing agency. New business gains included Wang Europe, Boots Optician and Mercury Communications. I was tasked with preparing the company for a successful sale which I delivered

Thomas Cook Group – Travel and Financial Products (1988 to 1994)

Head of Foreign Exchange Development (January 1992 to October 1994), Group Business Systems Manager (May 1990 to

Dec 1991, Group Database Marketing Manager (Oct. 1988 to April 1990)

Thorn EMI (September 1986 to September 1988)

Direct Marketing Manager for Rumbelows the high street chain and Trinity House Finance.

Watson and Albert and Varndell (Nov 1984 to August 1986)

Account Director, clients included Automobile Association and Cornhill. Total billing of my team £1.000.000

Fidelity International Management – Unit Trust (June 1983 to November 1984)

Direct Mail and Marketing Administration Manager, planned, implemented and controlled all Direct Mail Activities.

Yves Rocher (London) Ltd – multinational cosmetic company (June 1979 to June 1983)

In control of all direct mail activities, including 30 mailings a year to over 2,000,000 people.

Education

B.SC. (Econ) London University L.S.E.


Appendix G: Conflicts of Interest and previous conduct – Wanda Goldwag Please give details of any business or other interests or any personal connections which, if you are appointed, could be misconstrued or cause embarrassment.

Any particular conflicts of interest detailed here will not prevent you going forward to interview but may, if appropriate, be explored with you during your interview to establish how you would address the issue(s) should you be successful in your application.

Please also confirm if you have ever been convicted of, or cautioned for, any criminal offence or have been found guilty of professional misconduct, or if any such proceedings are pending (Please give details, including dates and amount of any fine or other penalty imposed) (NB successful candidates’ final confirmation will be subject to basic clearance checks, covering confirmation of identity and right to work in the UK plus a criminal record check)

I confirm I have read and understood the sections in the candidate pack on ‘Standards in public life’ and ‘Political Activity’.

X

(Please tick the above box)

I sit on the Queens Council Appointments Panel

I am a very small shareholder (less than £10,000) via my work as an advisor to Smedvig Venture Capital in a conveyancing business trading as myhomemove.com

Public appointments currently held

Please say below if you currently hold any other public appointment posts:

Body Period of Appointment Government Department

Civil Service Commissioner Ending in March 2017 Cabinet Office

http:myhomemove.com


Appendix H: Letter dated 20 March 2017 from Wanda Goldwag to Robert Neill MP, Chair, Justice Committee Declaration of interests relevant to appointment as Chair of the Office for Legal Complaints (OLC)

I am writing to alert you to an omission from the declaration of conflicts of interest form provided to you by the Legal Services Board in respect of my application for the role of Chair of the OLC.

This omission came to light over the weekend when I realised that I have another small share-holding in a business regulated by virtue of the Legal Services Act 2007.

My original form included reference to a small holding (less than £10,000) via my work as an advisor to Smedvig Venture Capital in a conveyancing business trading as myhomemove.com.

I should also have included a similar holding (less than £10,000) in Kings Court Trust, an estate administration business regulated by the Council for Licensed Conveyancers, also as a consequence of my role with Smedvig Venture Capital.

This was a genuine oversight. I understand the seriousness of these matters and I am acutely aware of the need for absolute transparency. I alerted the Legal Services Board as soon as I became aware and have offered my apologies.

If appointed, I will of course ensure that any risk of conflict of interest is properly mitigated.

This letter is copied to Sir Michael Pitt at the Legal Services Board and I have also asked him to share this letter with the Lord Chancellor.

20 March 2017

http://myhomemove.com


Formal Minutes Wednesday 22 March 2017

Members present:

Robert Neill, in the Chair

Alberto Costa Victoria Prentis Kate Green Jo Stevens Mr David Hanson Keith Vaz

Draft Report (Appointment of the Chair of the Office for Legal Complaints), proposed by

the Chair, brought up and read.

Ordered, That the draft Report be read a second time, paragraph by paragraph.

Paragraphs 1 to 13 read and agreed to.

Several papers were ordered to be appended to the Report.

Resolved, That the Report be the Eleventh Report of the Committee to the House.

Ordered, That the Chair make the Report to the House.

Ordered, That embargoed copies of the Report be made available, in accordance with the

provisions of Standing Order No. 134.

[Adjourned till Tuesday 28 March at 9.15am


Witnesses The following witnesses gave evidence. Transcripts can be viewed on the inquiry publications page of the Committee’s website.

Wednesday 22 March 2017 Question number

Wanda Goldwag Q1–79

http://www.parliament.uk/business/committees/committees-a-z/commons-select/justice-committee/one-off-sessions/parliament-2015/chair-of-office-for-legal-complaints-16-17/http://www.parliament.uk/business/committees/committees-a-z/commons-select/justice-committee/one-off-sessions/parliament-2015/chair-of-office-for-legal-complaints-16-17/http://data.parliament.uk/writtenevidence/committeeevidence.svc/evidencedocument/justice-committee/preappointment-scrutiny-of-the-chair-of-the-office-for-legal-complaints/oral/49221.html


List of Reports from the Committee during the current Parliament All publications from the Committee are available on the publications page of the Committee’s website.

The reference number of the Government’s response to each Report is printed in brackets after the HC printing number.

Session 2015–16

First Report Draft Allocation Guideline HC 404

Second Report Criminal courts charge HC 586 (HC 667)

Third Report Appointment of HM Chief Inspector of Prisons HC 624 and HM Chief Inspector of Probation

Fourth Report Criminal Justice inspectorates HC 724 (HC 1000)

Fifth Report Draft sentencing guideline on community and HC 876 custodial sentences

Sixth Report Prison Safety HC 625 (HC 647)

First Special Report Women offenders: follow-up: Government HC 374 response to the Committee’s Thirteenth Report of Session 2014–15

Session 2016–17

First Report Reduction in sentence for a guilty plea HC 168 guideline

Second Report Courts and tribunals fees HC 167 (Cm 9300)

Third Report Pre-appointment scrutiny of the Chair of the HC 416 Judicial Appointments Commission

Fourth Report Restorative Justice HC 164 (Cm 9343)

Fifth Report Sentencing Council draft guidelines on HC 646 sentencing of youths and magistrates’ court sentencing

Sixth Report The role of the magistracy HC 165 (Cm 9368)

Seventh Report The treatment of young adults in the criminal HC 169 justice (Cm 9388)

Eighth Report Draft Sentencing Guidelines on bladed articles HC 1028 and offensive weapons

Ninth Report Implications of Brexit for the justice system HC 750

http://www.parliament.uk/business/committees/committees-a-z/commons-select/justice-committee/publications/


Tenth Report Implications of Brexit for the Crown HC 752 Dependencies

First Special Report Prison safety: Government Response to the HC 647 Committee’s Sixth Report of Session 2015–16

FrontCoverContentsLinkTitlePageInsertSOPage_GoBack_GoBackconStartxCon1conEnd_GoBackReportIntroductionThe Office for Legal ComplaintsThe Chair of the Office for Legal ComplaintsThe candidateConclusion

Appendix A: Posts which are subject to pre-appointment hearings before the Justice CommitteeAppendix B: Correspondence between Sir Mike Pitt, Chairman, Legal Services Board, and Robert Neill MP, Chair, Justice Committee on the recruitment processAppendix C: Letter dated 14 March 2017 from Sir Mike Pitt, Chairman, Legal Services Board, to Robert Neill MP, Chair, Justice Committee, notifying the Committee of the outcome of the recruitment processAppendix D: Candidate information pack Appendix E: Advertisement for the Chair of the Office for Legal ComplaintsAppendix F: Curriculum vitae – Wanda Goldwag Appendix G: Conflicts of Interest and previous conduct – Wanda GoldwagAppendix H: Letter dated 20 March 2017 from Wanda Goldwag to Robert Neill MP, Chair, Justice CommitteeFormal MinutesWitnessesList of Reports from the Committee during the current Parliament

Documents

Appointment of the Chair of the Office for Legal Complaints · 2017-03-23 · Appointment of the Chair of the Ofice for Legal Complaints . 5. In inancial year 2015–16, the LeO had