IPU PARLINE database: UNITED KINGDOM (House of Lords), Oversight

Parliament name

Parliament

Structure of parliament

Bicameral

Chamber name

House of Lords

Related chamber (for bicameral parliaments)

House of Commons

Type of political regime

parliamentary / constitutional monarchy

Notes

The Sovereign - Queen Elizabeth II - is the Head of State. The constitutional convention is that the Sovereign takes advice from or acts in accordance with the wishes of the Prime Minister.

Head of the executive

Prime Minister

Notes

The Prime Minister is the active Head of the executive. Officially the Sovereign summons Parliament, and causes writs to be issued for a general election to return members to the House of Commons.

Method for appointing the executive

The title of Sovereign is hereditary. The Sovereign is, by convention, expected to invite the leader of the party which gains the majority of seats in the House of Commons at a general election to take office as Prime Minister and to form a Government. Each party has its own internal arrangements for electing a leader. Government ministers are formally appointed by the Sovereign on the recommendation of the Prime Minister.

Term of office of the executive and coincidence with the term of the legislature

The Sovereign reigns for life. The Prime Minister must be re-elected by his/her constituency at each general election. A Prime Minister remains in office until the day following a general election. Depending on the election result, he/she either resigns office or is invited to form a new Government by the Sovereign. By statute, a general election must be held at least every five years. Subject to this limit, the exact timing of an election is at the Prime Minister's discretion. There is no limit on how many times a Prime Minister may be re-elected, but he/she can only normally continue to hold office with the support of the majority party in the House of Commons.

Incompatibility of the functions of member of the executive and member of Parliament

No

Convention dictates that the Prime Minister is an elected member of the House of Commons. Government ministers can be members of either House, although most secretaries of state (i.e. Heads of ministries) are drawn from the House of Commons. They remain members of Parliament. The party in Government chooses the majority of its ministers from among its members in the House of Commons, and a minority from the House of Lords. Very occasionally people who are not members of either House are appointed as ministers. Upon appointment they are created life peers, and are eligible for membership of the House of Lords, where they subsequently take their seats.

Dissolution of Parliament

Yes

Circumstances

This may be for a number of reasons, such as political reasons, the loss of a working majority in the House of Commons, or Parliament reaching the end of its five-year term. The Prime Minister determines when Parliament should be dissolved prior to a general election. If the Prime Minister refused to seek dissolution after a vote of no confidence, it would theoretically be open to the Sovereign to dissolve Parliament on his/her own account, or to dismiss the Government. This would, however, represent a major breach of constitutional convention unheard of in modem times.

Modalities

Having decided a date, the Prime Minister will ask the Sovereign to dissolve Parliament. It is the Sovereign who dissolves Parliament under his/her prerogative powers, by proclamation.

Accountability of Government to Parliament

Yes

It is a fundamental tenet of the Westminster system that the Government is accountable to Parliament. This is illustrated in a resolution that was passed by both Houses in 1997. It stated that ministers "have a duty to Parliament to account and to be held to account, for the policies, decisions and actions of their departments". Thus, the Government is collectively accountable to Parliament, and its ministers are also individually accountable for the actions of their departments.

Modalities of oversight

Oral and written questions of parliamentarians

In the House of Lords there are a range of mechanisms through which the Peers can question ministers on the actions and intentions of the Government. Ministers are obliged to give full, accurate and truthful information in response to Peers' questions. By questioning the Government, the House can get things on the record, raise concerns and ask the Government to think again. Peers have the right to table motions on any topic that they choose, and the House of Lords can theoretically vote on and pass a motion along the lines that this House no longer has confidence in the Government. If such a motion was agreed to, it would have no legal effect.

Government reports to Parliament

There is no requirement for the Government to produce an annual report in the House of Lords. However, many government reports are published as Command Papers and laid before the two Houses and many statutory bodies are required (under various acts of Parliament) to lay their annual reports before both Houses of Parliament. Peers and MPs are free to question the Government about the content of these reports.

Measures

Vote of confidence on Government programs and/or legislative proposals

Not applicable

Motions of censure and votes of no confidence (sub-report)

Circumstances

There is no official mechanism for a vote of confidence to be taken in the House of Lords.

Modalites

Not applicable

Consequences

Not applicable

Dismissal and/or impeachment of Government and other public officials (sub-report)

Circumstances and persons concerned

The House of Lords has no formal procedure for dismissing the Prime Minister, ministers or senior officials. However it is the final Court of Appeal in the legal system. Its decisions bind all lower courts. Therefore the House of Lords can fulfil judicial functions in respect of members of the executive, just as it does for all other citizens. Although in theory it is the House of Lords which delivers judgements on cases bought up from the lower courts, in practice the judicial function of the House is completely separate from the legislative function. The Peers who hear appeals and give judgements are appointed under a separate act of Parliament to the other members of the House. They are senior Judges and they are not influenced by the House in their work, nor do members of the House ever interfere in their work.

Modalites and procedure

Not applicable

Consequences

Not applicable

Have these procedures been applied?

Oversight over the actions of the Government administration

Yes

Ministers are considered directly accountable to Parliament for the work of their departments.

Means and modalities of oversight

Hearings in Committees

The House of Lords has several select Committees that conduct inquiries into the activities of the Government. The Committees make recommendations to the Government and others, and usually call a minister or government officials to give evidence to them. The Government is obliged to supply these witnesses when they are requested.

Committees of inquiry and missions to Government departments

In the House of Lords, the main investigatory select Committees are (i) the European Union Committee which scrutinises European Union documents, sifts out those it considers need investigation, conducts inquiries into areas of EU policy and makes recommendation to the Government on how to take respond to proposals for EU documents coming out of Brussels. The Government has agreed not to agree to proposals for EU legislation until the EU Committee has either passed the document or responded to it. (ii) The science and technology Committee which conducts inquiries into issues associated with science and technology. (iii) The economic affairs select Committee, and (iv) the Constitution Committee which investigates the workings of the Constitution and scrutinises public bills which have constitutional implications. Other committees are appointed ad hoc. Select Committees take evidence from a range of people who are experts in, or are affected by, policy in the areas under investigation.

Although the Government does not have to implement any of the changes recommended by a select committee, it does have to respond to its reports both in writing and often during a debate on the report that takes place the floor of the House. The House of Lords also has two select committees that examine delegated legislation: the delegated powers and regulatory reform committee, which makes sure that no bill makes inappropriate use of secondary legislation; and the committee on the merits of statutory instruments, which identifies any item of delegated legislation which raises matters of policy.

Oral and written questions of parliamentarians

Each sitting day in the House of Lords (except Friday) begins with four starred questions. These are oral questions that are asked on the floor of the House. Starred questions are allocated to Peers on a first-come, first-served basis and can be booked up to one month in advance. They receive a government response, usually from a minister. Starred questions can be asked on any matter of government responsibility and each question is given eight minutes during which time other Peers can ask supplementary questions. Each week two starred questions are allocated by ballot two days before the question is to be asked. Entries into the ballot must be topical. Each Peer is allowed to table six written questions each sitting day. These can be on any subject of government responsibility. They are printed in the daily minutes of proceedings and the answer appears in Hansard. The Government is supposed to answer written questions within a fortnight.

Unstarred questions are questions that can be debated for between one hour and one and a half hours. Any Peer can table such a question on any matter of government responsibility and they consult the Government to agree a suitable date. On most sitting days there is one unstarred questions either taken for one hour during dinner or taken for one and half hours at the end of business. Private notice questions (PNQs) give any member of the House the opportunity to raise urgent matters on a sitting day. No notice is required on the order paper of a PNQ but the Peer asking the question must inform the leader of the House of its wording before noon on the day on which it is proposed it will be asked. The decision of whether the question is of sufficient urgency to justify a PNQ rests with the leader of the House. Proceedings on a PNQ should not take longer than 10 minutes.

Finally Peers can table motions for debate on any area of government responsibility. The Peer who has tabled the motion has a right to reply after the minister responds to the debate. Some motions are not time-limited. The first 30 minutes of each day (except Fridays) is allocated for starred questions. Usually there is one unstarred question each day either for one hour during dinner break or for one and a half hours at the end of business. Most Thursdays during the first half of the parliamentary year are given over as debate days, and sometimes debates are held on other days. Some Fridays are dedicated debate days. The timing of debates is usually agreed through the usual channels.

Role of Parliament in the appointment of senior Government officials

Parliament has no formal role in approving the appointment of government officials.

Activity reports of the Government administration and of public services or establishments

Many government-funded bodies are required (under various acts of Parliament) to lay their annual reports and accounts before Parliament. Parliamentarians are free to question the Government about the content of these reports.

Representation of Parliament in governing bodies of the Government administration

Many of the members of the House of Lords are appointed to public boards and bodies. However there is no requirement for them to do so. If they are speaking in the Chamber about an area in which they have other commitments they must declare this to the Chamber.

Existence of an ombudsman

Yes

Method for appointing the executive

The Parliamentary Commissioner for Administration is independent of the Government. He or she is appointed by the Sovereign, but may be dismissed on resolution of both Houses of Parliament. He or she is an officer of the House of Commons.

Relationship to Parliament

The Parliamentary Commissioner for Administration investigates allegations of maladministration by government departments. He or she has a role in the Westminster Parliament as well as the devolved assemblies of Scotland and Wales (Northern Ireland has a separate Ombudsman). Complaints to the Ombudsman must be referred by a Member of Parliament, although he or she may also investigate allegations of maladministration in government departments on his or her own account. He or she may also investigate complaints regarding failure to disclose information under various codes of practice. He or she makes an annual report to Parliament on the performance of his or her functions, and may make special reports as appropriate. Reports are examined by the House of Commons select Committee on public administration.

Consultation of Parliament in the preparation of the national budget

No

There is no formal provision for Parliament to be consulted in the preparation of the budget.

Modalities of oversight

Examination of the budget / finance act by Parliament

The House of Commons is responsible for scrutiny of the finance bill, which gives legislative effect to the Government's fiscal strategy as set out in the budget. Under resolutions dating back to the 17th Century, the House asserts its sole right to initiate and amend `bills of aids and supplies', i.e. bills which confer upon the executive the right to raise taxation and make expenditure out of public revenue. The House of Lords by convention has respected this privilege and makes no attempt to amend the finance bill.

Reports on the budget / finance act by Committees

Each year the Economic Affairs Committee appoints a subcommittee to consider certain policy aspects of the Finance Bill and to make recommendations.

Fields overseen

Defence budget

Not applicable

Budget of special departments

It has in the past been customary for the estimates and accounts relating to the security and intelligence services to be published in abbreviated form, leaving out details that might be expected to compromise national security. The disclosure of financial information relating to these services is now somewhat fuller, though the full estimates and accounts are not published. The intelligence and security Committee was established by the Security Services Act 1993. Its membership is drawn from both Houses of Parliament, though it is not a parliamentary Committee - what powers it has derive from statute and not from the authority of Parliament - and its secretariat is located in the Cabinet Office. Its task is to examine the functioning and expenditure of the security services and to make confidential reports to the Prime Minister. The latter will publish and lay before Parliament as much of the report as he or she sees fit.

Role of Parliament in national development plans

Parliament has no set remit for the consideration of national development plans; but any such plan may be scrutinised at its introduction insofar as legislation is required to give it effect.

Parliament's deadline for the examination and adoption of the budget / finance act

Not applicable

Consequences of failure by Parliament to adopt the budget / finance act

Not applicable

Budgetary autonomy of Parliament

Yes

Members of the House of Lords are not salaried. Responsibility for the budget of the House lies with the House Committee.

Evaluation of Government spending

Parliament approves Government expenditures annually

Yes

Following the end of the financial year, appropriation accounts for each department, providing cash accounts of the expenditure of sums voted by Parliament, are presented. The Comptroller and Auditor General (C&AG), an officer of the House of Commons, audits the accounts and reports to Parliament on them. Since the financial year 1999-2000, departments have also prepared and presented resource accounts to Parliament, presenting government accounts on a resource (rather than a cash) basis. As of the financial year 2001-02, appropriation accounts ceased to be presented and departments account to Parliament solely on a resource basis. The statutory deadline for resource accounts presented to Parliament is 31 January following the end of the relevant financial year.

Parliamentary oversight of public companies

No

Public corporations established by statute are generally required to present their annual reports and accounts to Parliament. They may also be obliged to submit their accounts to the Comptroller and Auditor General (C&AG), who will audit the accounts and submit his or her report on them to Parliament.

Modalities of oversight

Body for auditing the Government's books and method for appointing

The National Audit Office (NAO) is established under the National Audit Act 1983 to scrutinise the accounts of the Government. It is headed by the Comptroller and Auditor General, who is independent of the Government. He or she is appointed by a resolution of the House of Commons, which is moved jointly by the Prime Minister and the Chairman of the Public Accounts Commission, the statutory body that oversees the work of the NAO. The Chairman of the Public Accounts Commission is invariably a senior backbench member of the House of Commons.

Reports of the public auditor's office

The C&AG has a statutory duty to report to Parliament on accounts of government departments and non-departmental public bodies in receipt of public funds and undertaking central government functions. These accounts are generally presented annually, and include his or her report. In addition, the C&AG is empowered to report to the House of Commons on the "economy, efficiency and effectiveness'" of public bodies, although he or she may not express an opinion on the merits of government policy. These reports are colloquially known as "value for money'" reports. On average 50 such reports are presented to Parliament each session. The Chairman of the Public Accounts Commission is answerable to the House of Commons for the work of the NAO. He or she may be questioned in writing, and also answers questions on the floor of the House once a month.

The C&AG assists the House of Commons Public Accounts Committee (PAC) in its inquiries. The PAC, which is by convention chaired by a senior member of the main opposition party, is charged by the House with examining the appropriation and resource accounts laid before the House by the Government, and with examining such other accounts of public bodies as it sees fit. It also conducts detailed examination of the NAO's 'value for money reports', taking evidence from government accounting officers as appropriate and reporting its conclusions to the House. Departmental select Committees are also able to call upon the expertise of the NAO as appropriate in pursuit of their inquiries into departmental expenditure. The NAO has occasionally seconded staff to work full-time for select Committees.

Specialised committee

Not applicable

Foreign Relations Committee (sub-report)

Functions of the Committee

The Select Committee on the European Union considers many foreign policy issues. But this is not a Foreign Affairs Committee.

Powers of the Committee

Not applicable

Composition of the Committee

Not applicable

Bilateral visits of Parliament, inter-parliamentary conferences and information missions abroad

The Lord Chancellor, his or her appointed representative, and members of appropriate parliamentary Committees are all accustomed to representing the House in bilateral meetings and at inter-parliamentary conferences. These visits are supported by the House of Lords Overseas Office and Committee Office, as appropriate. The Prime Minister appoints members of both Houses to the delegations to several major international parliamentary or inter-parliamentary Assemblies. These delegations are supported by staff of the House of Commons, and receive additional briefing as appropriate from the Foreign and Commonwealth Office.

Plenary debates on foreign policy issues

Government schedules debates on foreign policy issues from time to time. These debates do not normally arise on substantive motions, although it is procedurally possible for a vote to be held at the end of a debate that is not on a substantive motion.

Involvement of Parliament

Participation of Parliament in inter-governmental meetings

It is rare that Parliament will send a delegation to an intergovernmental conference on its own initiative, without intervention by the executive. The Government retains the right to nominate parliamentary representatives to attend intergovernmental conferences, although it may go through the formality of inviting both Houses to pass non-binding, advisory resolutions approving the nomination of representatives.

Modalities and procedures for ratifying international treaties and agreements (sub-report)

The Government enters into treaties under the royal prerogative. There is no requirement for parliamentary ratification or authorisation, save where the treaty requires that its provisions be incorporated into domestic law. Under a convention known as the "Ponsonby rule", the Government undertakes to lay copies of most treaties which do not come into force on signature, and which it proposes to ratify, before both Houses of Parliament for 21 sitting days before ratification, acceptance, approval or accession. Such treaties are accompanied by an explanatory memorandum setting out the Government's position.

Other mechanisms for participation in foreign policy by Parliament

There are no other parliamentary oversight mechanisms in addition to the above.

National Defence Committee (sub-report)

Functions of the Committee

There is no national defence Committee.

Powers of the Committee

Not applicable

Composition of the Committee

Not applicable

Parliamentary oversight of public arms manufacturing companies

The Government makes an annual report to Parliament on the grant of arms export licences. Since 1997 four of the departmental select Committees have met together as a quadripartite Committee to examine the reports. The Government has refused requests by select Committees for parliamentary scrutiny of arms export licences prior to approval.

Circumstances and involvement

Modalities and procedures in case of war, an armed attack or a state of emergency

Not applicable

Role of Parliament in sending troops abroad

Not applicable, there are specific mechanisms. The secretary of state for defence has a statutory duty to report to Parliament on the call-out of members of the reserve forces.

Other mechanisms for participation in national defence policy by Parliament

The House of Lords has a European Union sub-Committee that scrutinises proposals for European Union legislation concerned with defence. Other than that, there are no specific mechanisms for scrutinising defence policy. However members of both Houses may table questions to the minister of defence and table motions on defence issues.

Circumstances

Under the Emergency Powers Act 1920 the Sovereign may proclaim a state of emergency if events have occurred that may interfere with the supply and distribution of food, water, fuel or light, or with the means of locomotion, to deprive a substantial proportion of the community of the essentials of life. A state of emergency is declared by proclamation of the Crown. In practice this will only be made on the advice of the Prime Minister.

Can parliament take the initiative to declare a state of emergency

No

Consequences of a state of emergency for Parliament

Parliament is immediately informed of any proclamation of a state of emergency. If it is adjourned or prorogued for more than five days, a proclamation is issued requiring Parliament to meet within five days. Parliament functions as normal during a state of emergency. If there is a need to extend the term of Parliament beyond five years, then a bill extending the life of the Parliament must be passed by both Houses. This was done, for example, during the Second World War, when the Parliament summoned in November 1935 was not dissolved until June 1945. Under the Parliament Acts of 1911 and 1949, the House of Lords can only delay bills, not veto them. However, any bill extending the life of a Parliament is excluded from the Parliament Act and must be passed by both Houses.

Modalities of oversight

Body ruling on the constitutionality of laws

Parliament or one of the Chambers

Parliament is sovereign, and its acts are by definition constitutional. Decisions by public authorities are increasingly subject to judicial review (an examination of their compatibility with statute and customary law).

Means and procedures

Where the courts have ruled that legislative provision is defective or insufficient, Parliament may pass an act rectifying the situation. The introduction of such legislation is generally on the Government's initiative. The Human Rights Act 1998 incorporated the provisions of the European Convention on Human Rights into UK law. The minister in charge of each government bill presented to Parliament must, before the second reading of the bill in each House, state whether he/she believes the provisions of the bill are compatible with the convention. The joint Committee on human rights also scrutinises bills for these implications and make reports to both Houses on bills involving human rights issues.

The House of Lords has established a Constitution Committee with the remit to `keep under review the operation of the Constitution'. The Committee examines legislation which has a clear constitutional significance and reports to the Houses prior to the second reading of the said bill. The joint Committee on statutory instruments scrutinises legislative instruments made, or proposed to be made, under delegated powers (secondary legislation). It may draw the special attention of the Houses to any instrument it considers is defectively drafted, is made ultra vires or is an unusual use of delegated powers, or is excluded from challenge in the courts, but it may not take into account the merits of the policy decisions behind the instruments.

Evaluation of laws

No

Not applicable

Measures

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