T2 ASSIGNMENT TOPIC:

THE OMBUDSMAN SYSTEM IN SWEDEN, UK & INDIA WITH

REFERENCE TO ISSUES AND CHALLENGES IN INDIAN CONTEXT

SUBJECT:- COMPARATIVE PUBLIC LAW

DATE OF SUBMISSION: 15/12/2024

SUBMITTED TO: SUBMITTED BY:

DR. NUMA LIMBU RAJARSHI CHAKRABORTY

1st SEMESTER

Course -LL.M.

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ABSTRACT
An ombudsman is a government-appointed official who helps resolve complaints from
citizens about maladministration, corruption or malpractices in government departments /
agencies, financial institutions or other organistations. They investigate issues, mediate
disputes, and make recommendations to fix problems. While their decisions might not always
be legally binding, they are usually influential. Ombudsmen can have different titles, like
public advocate or national defender, depending on the country. In this paper, attempt has been
made to discuss the ombudsman system in Sweden, United Kingdom & India and also, to
discuss about the issues and challenges in Indian context.
Keywords: Ombudsman, Ombudsman in Sweden, Ombudsman in U.K, Ombudsman in India,
Lokpal, Lokayukta.

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INTRODUCTION
A deep rooted menace, which is affecting the society and mankind through the ages &
generations, is the corruption in public affairs and maladministration. In Indian context, there
is clear reference of it in Kautilaya’s Arthashastra and the historical documents of other
countries also fortifies the same. But, these evils attained new dimensions with time as the
society became more & more organised. Therefore, there was an inherent quest for some
remedial measure to combat such evil and it became a demand of public at large as the
democracy flourished as a new political order through out the world. Hence, a legal equitable
just administrative system under the check & guarantee of dispassionate men of tested track
records and proven integrity was the call of hour. This age long search has found a hopeful
break through in the Scandinavian institution of Ombudsman. Ombudsman first came into
existence at Sweden. Etymologically, the word "Ombudsman' has been derived from the
Swedish word "ombud", which in the Swedish language commonly denotes a person who acts
as a spokesman or representative of another person or persons. The term Ombudsman in a
simple sense refer to a public officer entrusted with the power to investigate public grievances.
However, in its essence, the Ombudsman means an officer appointed to investigate and
address citizens' complaints against the government or its administration. Generally speaking,
it has responsibility to investigate into the complaints and report the findings to Parliament.
But, the Ombudsman typically has no direct legal powers but holds the power to inquire into
and investigate complaints. In other words, an Ombudsman is a parliamentary officer whose
primary role is to safeguard citizens by investigating allegations of misuse or abuse of
administrative power and therefore, referred as “ Watch Dog” for admistration. The institution
of ombudsman has gained significance & popularity as the most of the countries in the
twenty first century began to shift from laissez-faire to regulatory State, due to the proved
efficacy of the institution of Ombudsman in Sweden. Now, almost all the progressive nations
across the globe has embedded the institution as integral part of the State machinery in one or
another form and has become an important field of study for the students of public
administration and law.1

1 “Ombudsman as Watchdog of Administration in India”,available

at:https://www.ijsr.net/archive/v7i3/ART2018600.pdf (last visited on Dec.12, 2024).

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OBJECTIVES
To understand about ombudsman and its origin
To analyze Ombudsman System in Sweden, U.K. & India.
To find out the Challenges & Issues in Ombudsman System in India.
To suggest the measures to redress the challenges.
METHODOLOGY
For the purpose of this study, non-empirical research is used. This is a doctrinal study. This
paper depends on secondary data.
HISTORY & EVOLUTION OF OMBUDSMAN
As already discussed, the office of ombudsman has evolved in Sweden and it came it
existence as early as in 1713, when King Charles XII had been out of the country for war
with Russia and therefore, gave order for the appointment of a supreme representative of the
King known as “Hogste Ombudsman”. It had responsibility to ensure effective enforcement of
law and order and to observe the functioning of the public servants and also, to see that they
discharged their duties in the public interest. Since then, the institution of Ombudsman has
recorded its existence in one or another form in Sweden but in the same spirit in which it was
begotten. However, the institution had to see a period of struggle between King and the
elected representatives over the control of Ombudsman, until it came into rest in 1809 with
the adoption of a new Constitution. The new Constitution gave power to the Parliament to
appoint a Parliamentary Ombudsman, with duty to exercise Constitutional control over the
activities of the King, his subordinate staff and military officers. The Swedish Ombudsman
ensures that those who hold office must respect the law and properly fulfil their obligations.
The office of Ombudsman which exists in modem times, for all practical purposes owes its
existence to the Constitution of Sweden of 1809. Thereafter, in 1915, Milite Ombudsman was
established to exclusively to look into the various complaints and criticisms against the
Armed Services, but same was abolished subsequently. The institution of the Ombudsman in
Sweden was reorganised twice thereafter leading to the present system of four Ombudsman,
one being elected out of four by the Parliament to be the Chief Ombudsman. However, the
Swedish Ombudsmen is merely an independent advisory authority, which cannot quash
decision of administration nor enforce its own decision, but can only make investigation and
recommendations to Parliament against public official and Ministers on complaints made by
the aggrieved citizens. Still, nevertheless, the success of the institution of Ombudsman has
been so impressive that the countries like Finland, Denmark, Australia, UK & India as well,
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adopted and implemented the same with necessary modification/changes as per the peculiar
needs of their country. So, having understood the historical background, we shall now discuss
in detail the Ombudsman system in Sweden, United Kingdom and India.2
CHARACTERISTICS AND OBJECTIVES OF OMBUDSMAN INSTITUTION
Our understanding of the concept of Ombudsman would be incomplete without knowing the
characteristics, objectives and functions of Ombudsman and therefore, they are enumerated
below:
Characteristics
Professor Larry B Hill, who is much renowned for extensive research & study in this field,
has enumerated the following characteristics of the pure ombudsman: –

1. Established as separate entity that is functionally autonomous.

2. Operationally independent of both the legislature and the executive.
3. Ombudsman is a legally established governmental official.
4. A monitoring specialist.
5. Administrative expert and professional.
6. Non-partisan.
7. Normatively universalistic.
8. Client-centered, but not anti-administration.
9. Popularly accessible and visible.
10. High status institutions
11.Have extensive resources to perform his mission.

Objectives:

Professor Larry Hill has also described the following six major objectives of the ombudsman
institution:

1. To right individual wrongs.

2. To make bureaucracy more humane.
3. To lessen popular alienation from government.
4. To prevent abuses by acting as a bureaucratic watchdog.
5. To vindicate civil servants when unjustly accused, and
6. To introduce administrative reform.

2 Dr. Pankaj Kumar; Dr. Vijaylaxmi Sharma, “ Ombudsman In Sweden and Denmark; A Comparative Study”13
JOURNAL OF ALGEBRAIC STATISTICS 537 (2022)
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Functions of Ombudsman

As already discussed, the basic function of public sector ombudsman is receiving,

investigation and redressal of citizen’s complaints related to mal-administration of government
agencies or their functionaries. To say it in more detailed manner, an Ombudsman has to
check:

1. Whether an action and decision suffers from any of the following infirmities:

i)If something is against the law or rules.

ii) Changes in usual procedures without a good reason.

iii) Unfair, biased, or discriminatory.

iv) Based on irrelevant reasons.

v) Corrupt practices like bribery or favoritism.

2. Whether is any administrative defects, lacunas or issues:

i)Neglect or lack of attention in duties.

ii)Delays and incompetence.

iii)Inefficiency and poor performance.

It is thus, how an office of Ombudsman ensures that the government's actions

are fair and legal, and that they serve the public's best interest.

In this context, let us go have a look on the authoritative observations and analysis made by
the experts in the field, which shall make our understanding more concrete & precise.

Chief Justice Milvain, commenting on the role of Ombudsman said:-

“… the basic purpose of an Ombudsman is provision of a ‘watchdog’ designed to look into the
entire workings of administrative cases. … [he] can bring the lamp of scrutiny to otherwise
dark places even over the resistance of those who would draw the blinds. If [his] scrutiny and
reservations are well founded, corrective measure can be taken in due democratic process, if
not no harm can be done in looking at that which is good”.

Stephen Owen, former Ombudsman of British Columbia and past President of the
International Ombudsman Institute, emphasizes that the ombudsman’s role should focus on
fostering mutually acceptable solutions rather than merely assigning blame or absolving
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responsibility. He advocates for offering informal mediation services whenever they can be
effective, arguing that this approach not only enhances satisfaction for all parties involved but
also often resolves issues more swiftly than formal investigations aimed at determining right
or wrong.

Similarly, Marten Oosting highlights the importance of recognizing that many public
complaints do not require exhaustive investigations. According to him, what people typically
seek is practical and immediate action to address the root of their grievances. While the
responsibility for implementing solutions ultimately rests with the appropriate government
agency, the ombudsman can play a vital role in facilitating and expediting the resolution
process.3

Let us now have a brief analysis and discussion on the Ombudsman system in Sweden, India
& U.K.

OMBUDSMAN IN SWEDEN
Sweden is not only the country to give birth to the institution of Ombudsman but it has been
successful in preserving the sanctity as well as the integrity of the institution. The institution
of Ombudsman in Sweden has proved itself to be most effective and efficient institution to
curb & prevent corrupt and malpractices in public affairs. In the Swedish process of law, the
protection of the rights of individuals in their contacts with authorities is fundamental. The
Swedish Ombudsman system is a guarantee against oppressive measures and misgovernment
in the judiciary and public administration and today, in Sweden, there is different Ombudsman
institutions in various fields. Let us have a bird’s eye view of the various Ombudsman
institution in the Sweden.

Parliamentary Ombudsman:
The Parliamentary Ombudsman, also known as Ombudsman for Justice or the Justice
Ombudsman,
covers all central and local government agencies and bodies. It is not intend to supervise
Cabinet Ministers or members of Parliament. There are special Standing Constitutional
Committees dealing with that. There are four Parliamentary Ombudsmen elected for four-year
periods. The Parliament has empowered the Ombudsman (JO) with full discretion to decide

3 “Ombudsman: A Critical Appraisal” available at: https://www.lawctopus.com/academike/ombudsman-critical-

appraisal/, (last visited on Dec.13, 2024)
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which cases to investigate. It has also been authorized to refer to other agencies cases that can
be more appropriately dealt with there. The aggrieved citizens may lodge complaints with the
Ombudsman, but he can also proceed upon his own motion through any other means. It is the
JO's duty to inspect, from time to time, authorities under their supervision. Frequent
inspections have been made of central government agencies, courts, prisons, the police etc. JO
is not concerned with contents of the court's decision but rather with the question of whether a
judge has acted illegally and violated its mandate. When the JO find that an error has been
made which is so serious to entail punitive or disciplinary consequences, the JO may issue
critical statements of opinion. One of the duties is to present an annual report to the
Parliament. The report contains an account of the work done and the investigations carried
out. It is entitled to draw to the attention of the Parliament or the Government to
inconsistencies, gaps or other shortcomings in the regulatory and administrative system, which
can even result in an amendment of a law or ordinance. The report is examined by one of the
Standing Parliamentary Committees. After examining the contents on a spot-check basis, the
committee presents a statement of opinion to the Parliament.
OTHER OMBUDSMAN INSTITUTIONS IN SWEDEN
The Consumer Ombudsman has been established to ensure that "The Marketing Act" and
"The Unfair Contract Terms Act" are followed to protect the consumer.
The Swedish Children's Ombudsman watches over juvenile rights and interests. The basis
of this work is the UN Convention of the Rights of the Child and to ensure that Sweden fulfills
its obligations.
The Equal Opportunities Ombudsman was established in 1980 to promote equal rights and
opportunities for men and women with regard to work and terms of employment.
The Ombudsman against Ethnic Discrimination was established in 1986 to ensure that no
person or group of persons is treated unfairly, compared to others, because of race, skin,
colour, national or ethnic origin or religious faith.
The Office of the Disability Ombudsman aims to work for the rights and interests of persons
with functional disabilities & to promote their full participation in society.
The Press Ombudsman is entirely voluntary and wholly financed by the press organisations.
It is responsible for handling complaints about the editorial content of newspapers, magazines,
broadcast media, and their websites .The purpose is to establish a self-regulatory system. The
Swedish Press Council founded in 1916, is the oldest tribunal of its kind in the world.
Thus, Sweden has marked its place in the world history by introducing to the global
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community the institution of Ombudsman. It is now a mechanism to ensure Good Governance
by bringing transparency, accountability and efficiency in the administration.4
OMBUDSMAN IN U.K.
The Ombudsman system was formally introduced in the UK through the Parliamentary
Commissioner Act 1967, creating the Parliamentary Commissioner for Administration (PCA).
It marked the beginning of the UK's Ombudsman system, aimed at investigating complaints
about maladministration in the government departments by public officials. The PCA is often
referred to as the ‘Parliamentary Ombudsman’. The system was championed by Richard
Crossman, a prominent Labour politician, who saw it as a tool to enhance citizens' rights and
improve government accountability. Initially, the PCA could only investigate complaints
referred by Members of Parliament (MPs), a requirement known as the "MP filter." However,
subsequently it was done away. The scope was restricted to investigating administrative
failures such as delays, bias, or failure to follow proper procedures. Another corner stone in
the this field is the Health Service Commissioners Act 1973, which created an Ombudsman to
investigate complaints about the NHS ( National Health Services). However, in 1993, the
Parliamentary and Health Service Ombudsman (PHSO) was formed by merging the
Parliamentary Ombudsman and Health Service Ombudsman roles.5

Expansion of the Ombudsman System in UK

Over time, the Ombudsman system expanded to address specific areas of governance and
emerging societal needs. In 1974, Local Government Ombudsman was created to handle
complaints related to local councils and authorities in England. Over time, its limit has been
expanded to include complaints about social care providers and schools. Thereafter, in the
year 2002, Scottish Public Services Ombudsman (SPSO) was established to oversee
complaints against devolved public bodies in Scotland. Later, Public Services Ombudsman for
Wales (PSOW), was formed in 2005 to unify existing Welsh Ombudsman roles. Similarly,
Northern Ireland Public Services Ombudsman (NIPSO) was established in 2016 to consolidate
public complaints mechanisms in Northern Ireland. Further, private-sector Ombudsman
schemes has been introduced from time to time to address complaints in specific industries. It
is important to note that an important feature of the Ombudsman system in UK is that it is
sector specific. In this regard, it is mentionable that, while Financial Ombudsman Service,

4 Ibid
5 “The Ombudsman in England: A Critical Analysis and Appraisal of the Parliamentary Commission” available
at: https://legalvidhiya.com/the-ombudsman-in-england-a-critical-appraisal-and-analysis-of-the-parliamentary-
commission/, ( last visited on Dec. 12, 2024)
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created in the year 2001, handles disputes in financial services, Legal Ombudsman established
in the year 2010, focuses on grievances against legal professionals. Similarly, Energy
Ombudsman (2006), investigates complaints in the energy sector and Housing Ombudsman
(1996) deals with disputes between tenants and landlords.

However, inspite of extensive expansion and adoption of the Ombudsmen

system in UK , it may be pointed out that it suffers many lacunas and fallacies. It is mainly
criticised on the ground that it faces limitations in terms of jurisdiction, enforcement, resource
constraints and legal restrictions. It is therefore suggested that steps must be taken in a
direction to expand the Ombudsman’s scope, strengthen enforcement mechanisms, allocate
sufficient resources, address legal barriers, and raise public awareness. To sum up, it can be
said that the Ombudsman system in UK , from its inception in 1967 to its expansion across
public and private sectors, the system has adapted to the changing needs of society. Despite its
successes, continuous reforms are needed to address challenges for establishing a more
effective and robust Ombudsman system in UK.6

OMBUDSMAN SYSTEM IN INDIA

In context of India, the institution of ombudsman began to gain significance as the powers &
functions of the executive and administration is multiplying indefinitely, more particularly due
to the fact that the country is set as Welfare State. The law has conferred extensive discretion
to the executive and even it exercise limited power of legislation, what is called as delegated
legislation. There is a wise saying that power tends to corrupt and absolute power corrupts
absolutely. The scope for exercise of wide power and discretion has lead to corruption and
malpractices in administration and there was hard felt necessity to check those power and to
subject administrative exercises to close supervision & scrutiny. Though there is judiciary to
have a check and scrutiny by exercise of its power of judicial review but, there are also some
limitations having regard to doctrine of separation of power and constitutional provisions,
more particularly in matter of policy decisions and exercise of administrative jurisdiction. A
judge cannot substitute the administrative jurisdiction by his own discretion. It is in these
backdrop of facts and circumstances, there was inevitably demand for institution of
ombudsman. Let us have a quick look on the important events, developments and milestones
in establishing the institution of ombudsman in India.

It was in October 20, 1966, the Administrative Reforms Commission headed by Moraji Desai

6 Ibid
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submitted its report recommending for the adoption of Ombudsman system in India. The
Commission propounded a scheme for setting up an Ombudsman system in India, based on
the experiences of other countries, but included many features peculiar to the special
circumstances in India. The Government of India accepted the recommendations of the
Commission, which paved a way for the establishing of Ombudsman in India. However, it has
a long history to be materialized in reality. In India, the institution of Ombudsman came to be
recognised in its own linguistic pattern, called as “ Lokpal”.

The term Lokpal was coined in 1963 by L M Singhvi, a member of parliament during a
parliamentary debate about grievance mechanisms. The word Lokpal was derived from the
Sanskrit words “Lok”, which refers to people and “Pala” means protector/caretaker and thus it
would , mean “Caretaker of People”. The same institution in State level is referred as “
Lokayukta”

It is true that a few definitive steps were taken in that direction and in 1968, Lokpal bill was
passed in Lok Sabha but lapsed with the dissolution of Lok Sabha. Till 2011, eight attempts
were made to pass the Bill, but all met with failure. Later, in 2002, the National Commission
for Review of the Working of the Constitution (NCRWC) recommended the appointment of
the Lokpal and Lokayuktas. In 2005, the 2nd Administrative Reform Commission(ARC)
also recommended the same.
Judicial Pronouncements:
It is necessary to mention here that the insightful directions & valuable observations of the
Hon’ble Apex Court of the country from time to time gave strong reminder to the legislature
of its duty and contributed towards shaping the public opinion, which bears strongest force in
a democratic nation. In this connection, we may profitably refer here a few cases, which are
mentioned underneath.
The judgment of Hon’ble Supreme Court Of India in Pratap Singh V. State Of Punjab7 is
important in so far it has highlighted its limitations in exercising review & check upon the
administration or executive and thereby, it became evident that institution of ombudsman is of
utmost importance and necessity in the emerging society of new order. Hon’ble Court has
been pleased to observe that the courts cannot substitute their discretion for that of the official
who has been conferred with the powers under law.

7 AIR 1964 SC 72
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In case of Justice K.P. Mohapatra V. Ram Chandra Nayak 8, the Hon’ble Supreme Court
had occasion to deal with functions of Lokpal under s.7 of Orissa Lokpal and Lokayukta Act,
1995 and it was held that the functions of Lokayukta are of utmost importance in seeking that
unpolluted administration of State is maintained and maladministration as defined under s.2
(h) of the Act is exposed, so that appropriate action against such maladministration and
administrator can be taken. The investigation so carried out in this regard is quasi-judicial in
nature.
Most importantly, the Hon’ble Supreme Court in Dinesh Trivedi V. Union Of India 9
recommended that till the constitution of an Institution like Ombudsman, a High Level
Committee to be appointed by President of India in consultation with Prime Minister of India
and Speaker of India. The Committee can be directed to monitor the investigation with regard
to nexus between criminals and politicians, bureaucrats, media persons and some member of
judiciary as disclosed in Vohra Committee Report.
Thus, Indian judiciary has played proactive role in creating a environment conducive towards
establishing the institution of Ombudsman in India.
It is in this backdrop of facts and circumstances, a remarkable
development took place in 2011, when Gandhian activist Anna Hazare led an indefinite
hunger strike at Jantar Mantar in New Delhi to pressure the government to create an
Ombudsman. It was under slogan of ‘ India Fight Against Corruption’ there was massive
protest & demand throughout the country and representative of the Government of India
conceded to the demand for independent institution of Ombudsman. Finally, the matter came
to rest in the year 2013, when the Lokpal & Lokyukta Bill was passed under Article 252 of
the Constitution of India. It received presidential assent on 1 st January, 2014 and came into
force on 16th January, 2014 during the tenure of United Progressive Alliance.

SALIENT FEATURES OF THE LOKPAL AND LOKAYUKTA ACT, 2013

A discussion on the salient features of the Lokpal and Lokayukta Act, 2013 would give
substantial understanding of the Ombudsman system in India and therefore, these are outlined
below:

1) Provision for Establishment of Lokpal at the Union & Lokayukta at State:

8 (2002) 8 SCC 1
9 (1997) 4 SCC 306
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 The Lokpal and Lokayukta Act, 2013 provides for the establishment of Lokpal for the
Union and Lokayukta for States. The Act provides that all states should set up the office of the
Lokayukta within one year from the commencement of the Act. But, these are only statutory
bodies without any constitutional status. It has to perform the function of an "ombudsman”
and inquire into allegations of corruption against certain public functionaries and for related
matters. Later, in July 2016, one Bill was passed by Parliament amending the Lokpal and
Lokayukta Act, 2013. It enables the leader of the single largest opposition party in the Lok
Sabha to be a member of the selection committee in the absence of a recognized Leader of
Opposition. It also amended section 44 of the Act which provided for furnishing of details of
assets and liabilities of public servants within 30 days of joining the government service. Now,
the public servants has to make a declaration of their assets and liabilities in the form and
manner as prescribed by the government.

It also extended the time given to trustees and board members to declare their
assets and those of their spouses in case of these are receiving government funds of more than
Rs. 1 crore or foreign funding of more than Rs. 10 lakh.

2) Organisational Structure:
In so far as the structure is concerned, Lokpal is a multi-member body consisting of one
chairperson and a maximum of 8 members. Chairperson of the Lokpal should be either the
former Chief Justice of India or the former Judge of Supreme Court or an eminent person with
impeccable integrity and outstanding ability, having special knowledge and expertise of
minimum 25 years in the matters relating to anti-corruption policy, public administration,
vigilance, finance including insurance and banking, law and management.
The Act further laid down that, out of the maximum eight members, half will
be judicial members and minimum 50% of the Members will be from SC/ ST/ OBC/
Minorities and women. It is also mandated that the judicial member of the Lokpal either a
former Judge of the Supreme Court or a former Chief Justice of a High Court and the non-
judicial member should be an eminent person with impeccable integrity and outstanding
ability, having special knowledge and expertise of minimum 25 years in the matters relating to
anti-corruption policy, public administration, vigilance, finance including insurance and
banking, law and management.

3) Appointment & term:

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The term of office for Lokpal Chairman and Members is 5 years or till the age of 70 years.
The members are appointed by the President on the recommendation of a Selection
Committee, comprising of the Prime Minister, as the Chairperson; Speaker of Lok Sabha,
Leader of Opposition in Lok Sabha, Chief Justice of India or a Judge nominated by him/her
and one eminent jurist. For selecting the chairperson and the members, the selection
committee constitutes a search panel of at least eight persons.

Under the Lokpal Act of 2013, the Department of Personnel and Training is
supposed to put together a list of candidates interested to be the chairperson or members of the
Lokpal. This list would then go to the proposed eight-member search committee, which would
shortlist names and place them before the selection panel headed by the Prime Minister. The
selection panel may or may not pick names suggested by the search committee.

4)Lokpal’s Jurisdiction :

The Lokpal has jurisdiction to inquire into allegations of corruption against anyone who is or
has been Prime Minister, or a Minister in the Union government, or a Member of Parliament,
as well as officials of the Union Government under Groups A, B, C and D. It covers under its
sweep chairpersons, members, officers and directors of any board, corporation, society, trust
or autonomous body either established by an Act of Parliament or wholly or partly funded by
the Union or State government. It also covers any society or trust or body that receives foreign
contribution above Rs10 lakh (approx).
Exclusions: The Act has, however, excluded the jurisdiction of Lokpal-
a) Where allegations against the Prime Minister is of corruption relating to international
relations, security, the public order, atomic energy and space.
b) Where the allegation against the Ministers and MPs is with regard to anything said in
Parliament or a vote given there.
5) Procedure relating to filing of complaint, inquiry/investigation:
A complaint under the Lokpal Act should be in the prescribed form and must pertain to an
offence under the Prevention of Corruption Act, 1988 against a public servant. There is no
restriction on who can make such a complaint. When a complaint is received, the Lokpal may
order a preliminary inquiry by its Inquiry Wing or any other agency, or refer it for
investigation by any agency, including the CBI, if there is a prima facie case. Before ordering
of an investigation by an agency, the Lokpal shall call for an explanation from the public
servant to determine whether a prima facie case exists. This provision it will not interfere with

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any search and seizure that may be undertaken by the investigating agency. The Lokpal, with
respect to Central government servants, shall refer the complaints to the Central Vigilance
Commission (CVC). The CVC will send a report to the Lokpal regarding officials falling
under Groups A and B, but proceed as per the CVC Act against those in Groups C and D.
The Inquiry Wing or any other agency will have to complete its preliminary inquiry and
submit a report to the Lokpal within 60 days. It has to seek comments from both the public
servant and "the competent authority",before submitting its report. There will be a "competent
authority" for each category of public servant as defined under the Act.
A Lokpal Bench shall consider the preliminary inquiry report, and after giving an opportunity
to the public servant accused of corruption for his/her defence, decide whether it should
proceed with the investigation. It can order a full investigation, or direct to start departmental
proceedings or close the proceedings. It may also proceed against the complainant if the
allegation is false. The preliminary inquiry should normally be completed within 90 days of
receipt of the complaint. After the investigation, the agency ordered to conduct the probe has
to file its investigation report in the court of appropriate jurisdiction, and a copy of the report
has to be filed before the Lokpal. A Bench of at least three members will consider the report
and may grant sanction to the Prosecution Wing to proceed against the public servant based on
the agency’s charge-sheet. It may also ask the competent authority to take departmental action
or direct the closure of the report. Previously, the authority vested with the power to appoint or
dismiss a public servant was the one to grant sanction under Section 197 of the Code of
Criminal Procedure and Section 19 of the Prevention of Corruption Act. Now this power is
exercised by the Lokpal.
6) Set Timelines & Special Courts
The Act lays down clear timelines. For preliminary enquiry, it is three months extendable by
three months. For investigation, it is six months which may be extended by six months at a
time. For trial it is one year extendable by one year and to achieve this, special courts are to be
set up.
7) Lokpal’s Power:
The Act has conferred wide power upon the Lokpal to function independently. The various
powers of the Lokpal are as follows:
a) It has the powers to superintendence over and to give direction to CBI. If Lokpal has
referred a case to CBI, the investigating officer in such case cannot be transferred without the
approval of Lokpal.

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b)The Inquiry Wing of the Lokpal has been vested with the powers of a civil court.

c) Lokpal has powers of confiscation of assets, proceeds, receipts and benefits arisen or
procured by means of corruption in special circumstances.

d) Lokpal has the power to recommend transfer or suspension of public servant connected
with allegation of corruption.

e) Lokpal has the power to give directions to prevent the destruction of records during the
preliminary inquiry.10

BRIEF OVERVIEW ABOUT LOKAYUKTAS

Section 63 of the Lokpal and Lokayukta Act, 2013 provides for the establishment of
Lokayukta in State level. It says that every State shall establish a body to be known as the
Lokayukta for the State, if not so established, constituted or appointed, by a law made by the
State Legislature, to deal with complaints relating to corruption against certain public
functionaries, within a period of one year from the date of commencement of this Act.

In this context, it is mentionable that even much before the enactment of the Lokpal and
Lokayukta Act 2013 itself, many states had already set up the institution of lokayuktas. The
institution of Lokayukta was first established in Maharashtra in 1971 and thereafter, Odisha
had passed an Act in this regard in 1970, but, it came into force only in 1983. The same suit
has been followed by the other States, establishing the institution of Ombudsman at State
level.

CHALLENGES & ISSUES IN IMPLEMENTATION OF OMBUDSMAN IN INDIA

The foregoing discussion has made it clear that the Lokpal is the Ombudsman existing at
central/union and the ombudsman functioning at the State level is the Lokayukta . Though
the Ombudsman system in India is progressive in many ways but nevertheless, it suffers from
many drawbacks , putting forth some challenges & issues in working of the system. Let us
have brief analysis on the challenges & issues in working of the Lokpal & Lokayukta in India.

i) Lack of uniformity: Corruption and maladministration is a deep rooted menace at every

level of governance, right from the central to state and also, at the level of local self

10 “Lokpal and Lokayukta” available at:https://www.drishtiias.com/important-institutions/drishti-specials-

important-institutions-national-institutions/lokpal-lokayukta-ombudsman-upsc-governance-transparency ( last
visited on Dec.08, 2024)
16
government. But, there is no uniformity in the institution of Lokayuktas in various States and
state laws enacting the Lokayukta, in many of the States, are not in the line of the Lokpal and
Lokayukta Act, 2013 and thus, the Act seems to have merely a persuasive values for the
States. Situated so, it can be said without any hesitation that the object of strong Ombudsman
has been achieved in piece meal only.

ii) Lack of independence: The Act allows the government to have a significant influence over
the appointment and functioning of the Lokpal, which may compromise its independence.
Therefore, there is fair chance of bias in case of complaint against the MPs & Minster, more
particularly, when belonging to ruling party. It is not free from political influence as the
appointing committee itself consist of members from political parties. Further, the
appointment of Lokpal can be manipulated in a way as there is no criterion to decide who is an
eminent jurist or a person of integrity.

iii)Anonymous complaints not allowed: The Act does not permit anonymous complaints,
which may deter potential whistleblowers from coming forward.

iv) Lack of Suo-moto power: The Lokpal do not have power to lodge a suo-motto complaint
based on his own information or knowledge about corruption. In a country like India, where
a vast majority of population is struggling with poverty and are poorly educated, the power to
suo-motto lodge a complaint is a must for the success of the institution. The absence of such
power would seriously impact the purpose of the Act & the institution of Ombudsman, as
well. It has to be mentioned here that such power has been conferred upon the Ombudsman in
Sweden.

v) Limitation of 7 years: The Act sets a 7-year limitation period to file a complaint, which
may not be sufficient for some cases. There must be scope for condonation of delay in case of
sufficient ground is shown or extraordinary case is made out.

vi) Heavy punishment for false complaints: There is not adequate safeguard for whistle
blower. The Act provides severe punishment for false or frivolous complaints, which may
deter people from coming forward with valid complaints. Even a genuine complaint may fail
due to lack of evidence and may get a tag of false complaint.

vii) Lack of transparency: The mechanism provided under the Act for appointment of
Lokpal is non-transparent .

viii) Stressed more on the formality : Under the Act, the form of the complaint is given
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unnecessary importance than the content of it.

viii) Exclusion of judiciary from the ambit of the Lokpal: One of the biggest shortcoming
is the exclusion of judiciary from the ambit of the Lokpal. Judges are also human beings and
there are occasions when strong allegations of corruptions have been raised against the judges.
But, Ombudsman in Sweden has such power.

ix) Lack of adequate provisions of Appeal : Last but not least, there is no adequate provision
of appeal against the Lokpal. The right of appeal is one of most vital right and it must be given
due recognition by providing a suitable mechanism for appeal.

x) Probability of abuse of process : Under the Act, Lokpal has been conferred with authority
to deal with the complaint against its official and in such a case, suspicion is very much likely
to arise about fairness and impartiality of the process11.

SUGGESTIONS

Having understood the challenges in the Ombudsman system in India, it is logically necessary
to suggest remedial measures to tackle with the same. A few remedial measures is mentioned
below for the improvement of the system:

a) Constitutional Status must be given to the institution of Lokpal & Lokayukta for bring
uniformity throughout the country and for creating a fool proof ecosystem free from
corruption and maladministration.

b) The appointment procedure of the Lokpal & Lokayukta must be more transparent
minimizing the exercise of discretion and bringing more precision.

c) It must be ensured that the institution has functional autonomy including the availability of
manpower.

d) The effectiveness of the Lokpal in high profile white collar crime is questionable as because
it has depend for investigation on CBI or other outer agencies. But, now a days, the
independence of CBI itself is in question. It is therefore necessary to strengthen up the
investigating wing , independent & insulated from any influence.

e) It is also necessary to establish a strong mechanism ensuring the accountability &

11“Lokpal and Lokayukta, Powers, Functions, Jurisdiction”, available at: https://vajiramandravi.com/quest-upsc-

notes/lokpal-and-lokayukta/, ( last visited on Dec.12, 2024)

18
transparency within the institution.

f) It must be ensured that bonafide complainant do not face any legal consequences if the
allegation is not proved. There is fine distinction between the false allegation and allegation
not proved.

g) Financial and administrative independence is another factor which must not be overlooked,
else the independence & efficiency of the institution may be at stake.
h) There must be provision for condoning the delay in case the complaint is filed after expiry
of the period of limitation, provided the complainant has advanced satisfactory explanation for
the delay.
i) The issue of witness protection must be addressed by incorporating in the Act suitable
scheme relating to same.
j) Judiciary must be brought within the ambit of the Lokpal & Lokayukta, but with adequate
safeguards to protect the independence of Judiciary. It is suggested that authority to grant
sanction to initiate investigation and prosecution must lie with the Hon’ble Chief Justice,
before whom all materials has to be placed so as to enable him to decide about the grant of
sanction.
k) Public awareness must be created regarding the existence as well as the object, purpose &
procedure relating to the Ombudsman. Necessary information must be displayed in the front
of public offices & institutions.
OTHER INSTITUTIONS OF OMBUDSMAN IN INDIA:
Apart from the Lokpal & Lokayukta, there are also other institutions of Ombudsman in India .
Among them, Ombudsman in the field of banking , insurance & cooperative services are of
worth mentioning. Let us have a brief discussions on such institutions of Ombudsman:
Banking Ombudsman:
The Reserve Bank - Integrated Ombudsman Scheme, 2021 (the Scheme) was inaugurated
virtually on November 12, 2021, by Hon’ble Prime Minister Shri Narendra Modi. This
Scheme consolidates three pre-existing RBI Ombudsman schemes:
1. The Banking Ombudsman Scheme, 2006,
2. The Ombudsman Scheme for Non-Banking Financial Companies, 2018, and
3. The Ombudsman Scheme for Digital Transactions, 2019.

The Scheme, formulated under the Reserve Bank’s powers as per Section 35A of the Banking
Regulation Act, 1949, Section 45L of the RBI Act, 1934, and Section 18 of the Payment and

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Settlement Systems Act, 2007, aims to provide a cost-free mechanism for resolving customer
complaints related to service deficiencies by RBI-regulated entities. It applies when
grievances remain unresolved or unanswered within 30 days by the concerned entity.

Expanding its scope, the Scheme also covers Non-Scheduled Primary Co-operative Banks
with deposits of ₹50 crore or more. It embodies the principle of ‘One Nation, One
Ombudsman’ by eliminating jurisdictional barriers, streamlining the redressal process for
enhanced efficiency and accessibility.12

Insurance Ombudsman

The Offices of Insurance Ombudsman operate under the administrative oversight of the
Council for Insurance Ombudsmen (CIO), established under the Insurance Ombudsman Rules,
2017. These offices serve as an alternative grievance redressal mechanism designed to address
complaints from policyholders regarding personal insurance, group insurance policies, and
policies issued to sole proprietorships and micro-enterprises. The aim is to resolve disputes in
a cost-effective, impartial, and efficient manner. The Insurance Ombudsmen, appointed by the
CIO as per the Insurance Ombudsman Rules, 2017 (and subsequent amendments), are
authorized to handle complaints against insurers, agents, intermediaries, or brokers
concerning:

1. Delays in claim settlements.

2. Partial or total repudiation of claims by life, general, or health insurers.
3. Disputes over premiums paid or payable under an insurance policy.
4. Misrepresentation of policy terms in the policy document or contract.
5. Legal interpretations of policies relating to claim disputes.
6. Grievances concerning policy servicing by insurers, agents, or intermediaries.
7. Issuance of policies not aligned with the proposal form submitted.
8. Non-issuance of policies after receiving premiums for life, general, or health insurance.
9. Any other issues arising from non-compliance with IRDAI regulations or policy terms
concerning the protection of policyholders’ interests.

Thus, the Insurance Ombudsman provides a platform for resolving such disputes without
resorting to litigation, ensuring the protection of policyholders’ rights in accordance with
IRDAI’s guidelines and regulations.13
12 “Banking Ombudsman” available at:https://financialservices.gov.in/beta/en/banking-ombudsman, (last
visited on Dec.13, 2024)
13 “Insurance Ombudsman” available at:https://financialservices.gov.in/beta/en/insurance-ombudsman, (last
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Cooperative Ombudsman:

The institution of Cooperative Ombudsman operates under the Multi-State Cooperative

Societies (MSCS) Act, 2002, as amended in 2023. It addresses grievances from members of
multi-state cooperative societies, ensuring their complaints about issues like deposits, benefits,
and operational fairness are addressed efficiently.14

CONCLUSION
To conclude, it can be said that institution of the Ombudsman has emerged as one of the
powerful institution in all progressive democracies throughout the world. It went out of his
native land, which is Sweden and became very popular to the world community. However, to
suit the variable needs of different countries, it has undergone suitable changes. It is also
evident from the foregoing discussion that Ombudsman plays a key role in making sure that
government actions are transparent, fair, and accountable. This independent figure helps
people and organizations who face problems with government administration, making sure
their complaints are heard and resolved fairly. The Ombudsman does many things, like
mediating disputes and investigating issues thoroughly. They identify problems within the
government's processes and provide recommendations to fix them. By doing this, the
Ombudsman helps improve government operations and reduce the chances of future conflicts.
In the context of India, it can be stated with firm conviction that the Lokpal and Lokayukta
Act, 2013 has undoubtedly introduced a very strong institution of Ombudsman in India and
has strengthened our fight against the corruption. It is expected to tackle with corruption of
public money and facilitate in securing the economic justice, enshrined in the Preamble of the
Constitution But, nevertheless, we should be mindful to address the shortcomings and
drawbacks, so that it came to be reckoned as one of the most powerful Ombudsman in the
world.

visited on Dec.13, 2024)

14 “Grievances Redressal by Cooperative Societies” available at:https://pib.gov.in/PressReleasePage.aspx?

PRID=1982669, (last visited on Dec.13, 2024)

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BIBLIOGRAPHY
1) “Grievances Redressal by Cooperative Societies” available
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2) “Banking Ombudsman” available at:https://financialservices.gov.in/beta/en/banking-

ombudsman.

3) “Insurance Ombudsman” available at: https://financialservices.gov.in/beta/en/insurance-

ombudsman.

4)“Lokpal and Lokayukta, Powers, Functions, Jurisdiction”, available at:

https://vajiramandravi.com/quest-upsc-notes/lokpal-and-lokayukta/.

5) “The Ombudsman in England: A Critical Analysis and Appraisal of the Parliamentary

Commission” available at: https://legalvidhiya.com/the-ombudsman-in-england-a-critical-
appraisal-and-analysis-of-the-parliamentary-commission/

6) “Ombudsman: A Critical Appraisal” available at:

https://www.lawctopus.com/academike/ombudsman-critical-appraisal/

7) Dr. Pankaj Kumar; Dr. Vijaylaxmi Sharma, “ Ombudsman In Sweden and Denmark; A
Comparative Study”13 JOURNAL OF ALGEBRAIC STATISTICS 537 (2022)

8) “Ombudsman as Watchdog of Administration in India”,available

at:https://www.ijsr.net/archive/v7i3/ART2018600.pdf .

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