Access to information

Contents page

A Introduction 1

B Code of practice on access to information 2

1 Purpose 2

2 Reasons for confidentiality 4

C Code of practice on access to information:

Operating instructions 8

D Charging for documents 12

Appendices

Appendix 1: Report subscriptions 2003/2004

Appendix 2: Publications list & order form

Appendix 3: Leaflets order form

David Nice: December 1997

updated by Rob Rundle: March 2000

updated by Rob Rundle: December 2001

Note: Underlined words indicate where a hyperlink exists on the networked version of this document

A Introduction

1. Background

In a White Paper in 1993, the Government stated its intention to introduce a Code of Practice on Open Government which would apply to government departments and other bodies within the jurisdiction of the Parliamentary Ombudsman; said that the Parliamentary Ombudsman would be responsible for considering complaints about failure to abide by the Code; and expressed the hope that similar arrangements would be introduced in Local Government. The Government*s Code of Practice came into effect in April 1994 (second edition February 1997).

2. Arrangements for the Commission

The Government suggested that the Commission should consider adopting the Government*s Code of Practice. The Commission did not think that was appropriate but decided to have its own Code, modelled as closely as possible on the Government*s Code and styled a Code of Practice on Access to Information (that being a more appropriate title than *Open Government* in the light of the Commission*s activities).

The Commission*s Code of Practice is set out at Section B.

Operating instructions for the Commission*s Code of Practice are set out at Section C.

The Code of Practice and the operating instructions came into effect from 1 November 1995.

3. Arrangements in local government

The Local Authority Associations, in June 1995, published Open Government (a good practice note on access to information). This recommended that all authorities should draw up a policy on Access to Information; set out advice on drawing up a policy and procedures; referred to the role of the Local Government Ombudsman in considering complaints about access to information; and set out in an appendix an extensive list of examples of statutory entitlement to information.

A copy of this good practice note is available in each of the Commission*s office libraries.

4. Research

Research commissioned by the Department of the Environment and published in June 1995 evaluated the first 10 years of the Local Government (Access to Information) Act 1985. This showed that all local authorities were found to be fully complying with the Act's requirements; and four fifths were exceeding them.

The report, entitled Public Access to Information: An Evaluation of the Local Government (Access to Information) Act 1985, was published by the Policy Studies Institute. A summary paper is in the London library.

B Code of Practice on Access to Information

Part I

Purpose

1.1 This Code of Practice supports the Commission*s policy of making information available on its own initiative or in response to reasonable requests, except where disclosure would not be in the public interest as specified in Part II of this Code.

1.2 The aims of the Code are:

- to demonstrate the commitment of the Commission to operate openly and to meet all reasonable requests for information;

- to protect the interests of individuals and authorities within the jurisdiction of the Local Government Ombudsmen by ensuring that reasons are given for decisions;

- to support and extend the principles of public service established under the Citizen*s Charter.

These aims are balanced by the need:

- to maintain high standards of care in preserving the privacy of personal and confidential information; and

- to maintain confidentiality where disclosure would not be in the public interest or would breach personal privacy or the confidences of a third party, in accordance with statutory requirements and Part II of the Code.

Information the Commission will release

1.3 By law the Commission must not disclose information obtained in the course of or for the purposes of an investigation under the 1974 Local Government Act as amended except for the purposes of the investigation and of any report to be made and published in accordance with that Act. Subject to that, and to the other exemptions in Part II, the Code commits the Commission

(i) to publish or otherwise make available explanatory material on the Commission*s dealings with the public and with authorities within the jurisdiction of the Local Government Ombudsmen except where publication could prejudice any matter which should properly be kept confidential under Part II of the Code;

(ii) to give reasons for decisions to those affected;

(iii) to publish in accordance with the Citizen*s Charter:

- full information about how the Ombudsman service is run, how much the service costs, the names of the Ombudsmen and senior staff, and what complaints and redress procedures are available;

- full information about what services are being provided, what targets are set, what standards of service are expected and the results achieved;

(iv) to release, in response to specific requests, information relating to its policies, actions and decisions and any other matters related to its areas of responsibility.

1.4 There is no commitment that existing documents, as distinct from information, will be made available in response to requests. The Code does not require the Commission to acquire information it does not possess, to provide information which is already published, to provide material which the Commission does not consider to be reliable information, or to provide information which is provided as part of an existing charged service other than through that service.

Where appropriate the Commission may provide information by furnishing copies of relevant existing documents, or by making documents available for inspection under reasonable arrangements.

Responses to requests for information

1.5 Information will be provided as soon as practicable. The target for response to simple requests for information is 20 working days from the date of receipt. This target may need to be extended when significant search or collation of material is required. Where information cannot be provided under the terms of the Code, an explanation will be given.

Charges

1.6 Information will be provided free of charge as far as is reasonable.

However, where a request is complex or would require extensive searches of records or processing or collation of information, a charge reflecting reasonable costs may be made. In those circumstances, notice of the level of charge will be given to the person making the request, who will be asked to confirm that the charge is acceptable, before work on complying with the request is started.

Relationship to statutory access rights

1.7 There is a statutory right of access to personal data. Anyone receiving a request from an individual asking to see any personal information relating to him or her held in the Commission*s electronic or manual files should refer to the separate guidance note on the Data Protection Act 1998. Nothing in this code should be taken to affect individual rights under this legislation or the guidance set out in the separate note.

Relevant information

1.8 The Code applies only to information held by the Commission. It does not apply to or affect information held by authorities within the jurisdiction of the Local Government Ombudsmen or any other body.

Complaints

1.9 Complaints that information that should have been provided under the Code has not been provided, or that unreasonable charges have been proposed, should be made to the Secretary of the Commission.

Part II

Reasons for confidentiality

2.1 The following categories of information are exempt from the commitments to provide information under Part I of this Code.

References to harm or prejudice include both actual harm or prejudice and risk or reasonable expectation of harm or prejudice. In such cases, it should be considered whether any harm or prejudice arising from disclosure is outweighed by the public interest in making information available.

The exemptions will not be interpreted in a way which causes injustice to individuals.

International relations

2.2 Information received in confidence from foreign governments, foreign courts or international organisations.

Internal discussion and advice

2.3 Information, the disclosure of which would hamper the frankness and candour of discussion within the Commission, including:

- proceedings of the Commission and its committees;

- internal opinion, advice, recommendation, consultation and deliberation;

- projections and assumptions relating to internal policy analysis; analysis of alternative policy options and information relating to rejected policy options;

- confidential communications between the Commission, public bodies and regulatory bodies.

Law enforcement and legal proceedings

2.4 (a) Information, the disclosure of which would prejudice the administration of justice, including fair trial and the enforcement or proper administration of the law.

(b) Information, the disclosure of which would prejudice legal proceedings or the proceedings of any tribunal, public inquiry or other formal investigation (whether actual or likely) or the disclosure of which is, has been or is likely to be addressed in the context of such proceedings.

(c) Information covered by legal professional privilege.

(d) Information, the disclosure of which would prejudice the prevention, investigation or detection of crime, the apprehension or prosecution of offenders, or the security of any building or penal institution.

(e) Information, the disclosure of which would harm public safety or public order.

(f) Information, the disclosure of which could endanger the life or physical safety of any person.

(g) Information, the disclosure of which would increase the likelihood of damage to the environment, or rare or endangered species and their habitats.

Effective management and operations of the public service

2.5 (a) Information, the disclosure of which could prejudice negotiations or the effective conduct of personnel management, or commercial or contractual activities.

(b) Information, the disclosure of which would harm the proper and efficient conduct of the operations of the Commission or any other public body or authority, or of any regulatory body.

Public employment, public appointments and honours

2.6 (a) Personnel records (relating to public appointments as well as employment) including those relating to recruitment and promotion.

(b) Information, opinions and assessments given in confidence in relation to public employment and public appointments.

(c) Information, opinions and assessments given in relation to recommendations for honours.

Voluminous or vexatious requests

2.7 Requests for information which are vexatious or manifestly unreasonable or are formulated in too general a manner or which (because of the amount of information to be processed or the need to retrieve information from files not in current use) would require unreasonable diversion of resources.

Publication and prematurity in relation to publication

2.8 Information which is or will soon be published, or the disclosure of which would be premature in relation to a planned announcement or publication.

Research, statistics and analysis

2.9 (a) Information relating to incomplete analysis, research or statistics, where disclosure could be misleading or deprive the holder of priority of publication or commercial value.

(b) Information held only for preparing statistics or carrying out research and which relates to individuals or organisations which will not be identified in reports of that research or in published statistics

Privacy of an individual

2.10 Unwarranted disclosure to a third party of personal information about any person (including a deceased person) or any other disclosure which would constitute or could facilitate an unwarranted invasion of privacy.

Third party*s commercial confidences

2.11 Information including commercial confidences, trade secrets or intellectual property, the unwarranted disclosure of which would harm the competitive position of a third party.

Information given in confidence

2.12 (a) Information held in consequence of having been supplied in confidence by a person who:

- gave the information under a statutory guarantee, that its confidentiality would be protected; or

- was not under any legal obligation, whether actual or implied, to supply it, and has not consented to its disclosure.

(b) Information, the disclosure of which without the consent of the supplier would prejudice the future supply of such information.

(c) Medical information provided in confidence if disclosure to the subject would harm his or her physical or mental health, or should be made only by a medical practitioner.

Statutory and other restrictions

2.13 (a) Information, the disclosure of which is prohibited by or under the 1974 Local Government Act, as amended, or any other enactment or any subordinate legislation, European Community law or international agreement.

(b) Information, the release of which would constitute a breach of Parliamentary Privilege.

(c) Information, the publication of which could be construed as defamatory.

Commission for Local Administration in England

(the Local Government Ombudsman)

November 1995

C Code of Practice on Access to Information

Operating instructions

1. Introduction

The Commission has a Code of Practice on Access to Information. This came into effect from 1 November 1995 and is set out in section 10 of the Staff handbook: general (Q:\07gen\10access).

These operating instructions give guidance to staff on how issues arising under the Code of Practice should be handled.

2. General approach

The Commission receives many requests for information. The general approach should be to respond positively and helpfully. It may however be necessary to refuse to provide information if the information comes within the exceptions set out in Part II of the Code of Practice.

In most cases the member of staff receiving the request for information will be readily able to recognise how the request should be dealt with and by whom. This note includes guidance on what to do when that is not the case.

3. Who should deal with a request

3.1 The member of staff who receives a request for information should normally deal with it if:

a) it is within the scope of that person*s normal work or knowledge; and

b) the request is reasonably straightforward, and does not present any significant difficulties or potential for controversy; and

c) such difficulties as there may be can be readily resolved in consultation with the member of staff*s line manager and/or other appropriate colleague if necessary.

3.2 If those criteria are not met, then the member of staff receiving the request should proceed in one of two ways:

a) ask an appropriate colleague to deal with the request, if the request falls within the normal area of work of that colleague (who would then deal with it if the three criteria above are met); or

b) pass the request to the team co-ordinator for action. The team co-ordinator in each of the investigating teams is the Research Assistant (in London the Senior Administrator) and in Corporate Services is the Assistant Secretary.

3.3 If the request comes to the team co-ordinator, the co-ordinator will

a) deal with the request if possible, as necessary in consultation with the Deputy Ombudsman/Deputy Chief Executive and/or any other appropriate colleague; or

b) pass it to the team co-ordinator of a different team for action.

3.4 If appropriate, the Deputy Ombudsman/Deputy Chief Executive will arrange for the request to be considered by the Deputies Group (and if need be, the request will be further referred to the Commission). This is only likely to be necessary in exceptional circumstances, for example:

- if the matter is controversial to a degree sufficient to require a decision at that level; or

- if the matter raises significant points of principle or interpretation of the Code of Practice.

4. Time targets

4.1 Most requests for information can be dealt with quickly, and normally within at most five working days. The aim should be to achieve that for nearly all requests.

4.2 But more time may be needed sometimes because for example the request requires research or consultation with a colleague.

4.3 If more than ten working days is taken that should be exceptional.

4.4 The maximum time allowed under the Code is 20 working days and that should be exceeded only very rarely.

4.5 If the maximum time of 20 working days is reached, or it is known in advance that the time needed is likely to exceed 20 working days, the member of staff responsible for dealing with the request should provide to the enquirer an explanation (in writing if appropriate) of why that is, and an indication of the time expected to be needed.

4.6 Requests by letter will be date stamped in the usual way. Where requests are made by telephone or in person, a record of the date received should be made by the member of staff taking the request (unless the matter is being dealt with immediately): that record should be kept until the request is dealt with (if no more than 20 days are taken). If more than 20 days are taken, the record should be kept until a report is made to the team co-ordinator for entering on the register (see 10.3).

5. Refusal of information

If the request for information is refused, the member of staff making the response to the enquirer should explain the reasons for refusal by reference to the Code of Practice; and should ensure that a record of the refusal, and the reasons, is kept and is available for consideration if there is a complaint.

6. Complaints about refusal of information

Any complaint about a refusal of information should be considered under the Commission*s normal complaints procedure.

The Deputy Chief Executive/Deputy Ombudsman will review the decision in consultation with the relevant member of staff, as necessary. The Deputy Chief Executive/Deputy Ombudsman may confirm the refusal; agree that there is a clear case to provide the information and arrange for that to be done; or as appropriate refer the complaint to the Deputies Group for resolution.

7. Information to be released

The Code of Practice specifies information which may be released. This includes information contained in the Commission*s Documentation scheme.

8. Charging policy

8.1 As far as is reasonable there should be no charge for providing information (as opposed to documents: see Section D)

8.2 However, a charge for providing information may be made where that is warranted because of the cost to the Commission of meeting the request because the request is complex or would require extensive searches of records or processing or collation of information.

8.3 A charge should not normally be considered unless the amount of work involved exceeds one hour.

8.4 Where a charge is to be made, this will be based usually on an hourly rate equivalent to the cost of a research assistant*s time; or if the work is carried out solely or virtually solely by one person, on an hourly rate related to that person*s job. The charge should be set at a level intended broadly to cover the costs (staff time and other costs) of the work or to make some contribution towards those costs; but should not be set at a level beyond that.

8.5 No charge should be made to the media or to charities, within reason.

8.6 The decision to make a charge in other cases must be cleared with the team co-ordinator up to an amount of *200; or with the Deputy Chief Executive/Deputy Ombudsman above that level. The Finance and Estates Manager will advise as necessary.

8.7 On occasion it may be necessary and feasible to pay for outside help to meet the request for information where a charge is being made. Such arrangements must be approved by the Deputy Chief Executive/Deputy Ombudsman.

8.8 A firm quotation of costs should be supplied to the enquirer before work begins. The enquirer should be asked at that stage to confirm willingness to meet the cost. Oral confirmation is sufficient for small amounts but written confirmation is necessary if the amount exceeds *50.

8.9 If, when the work is completed, it is clear that the actual cost is less than anticipated, the charge may be reduced. But the converse does not apply - if the work involved is more than what was expected, the cost agreed with the enquirer must still stand.

8.10 An invoice must be sent with the completed work or shortly thereafter. Details for the invoice must be supplied to the Accounts Department; and the invoice will be sent by them.

8.11 The Commission has standard arrangements to charge for certain documents (as opposed to information). These arrangements are set out in Section D.

9. Monitoring

9.1 The arrangements will be subject to monitoring in two ways: the number of complaints and the compliance with the 20 day time limit.

9.2 Deputy Ombudsmen should send the Deputy Chief Executive a quarterly return about complaints. The Deputy Chief Executive will maintain a register of complaints about refusal to supply information and the outcome of the complaints. The Deputy Chief Executive will periodically review the register in order to consider whether there are any trends or any other factors which call for consideration.

9.3 Team co-ordinators will maintain a register of failures to meet the 20 day time limit and the reasons. In any case where the time limit is exceeded therefore the member of staff making the response to the enquirer should inform the team co-ordinator of the nature of the request, the date received, the time taken and the reasons for it.

The Deputy Chief Executive/Deputy Ombudsman will review this register periodically in order to consider whether there are any trends or any other factors which call for consideration. Such a review may be undertaken quarterly for the purposes of the quarterly report to the Commission.

10. Questions

Any question about the operating instructions, or about the Code of Practice, may be put to the Assistant Secretary (or the Research and Publications Manager).

D Charging for documents

1. Copies of investigation reports

Ad hoc requests

* Requests should normally be sent to the Clerical Assistant to be dealt with except where either the Coventry or York office receives a request for not more than five reports, all of which are reports from that office. Such requests should be fulfilled at no charge by the person responsible in each office.

* Copies of up to five reports are provided free.

* Copies of six or more reports are charged for at a rate which covers costs (*1 per report); but no charge is made to the media.

* We will not provide more than one copy of the same report, but when such a request is made, one copy should be sent and the enquirer informed that there is no objection to him/her making his/her own copies.

Subscriptions

* Subscriptions for copies of the LGOs* published investigation reports are available for the Commission*s financial year 1 April to 31 March, or for part of such year.

* Requests for subscriptions to be backdated will not be accepted. Instead they will be treated as ad hoc requests for copies of reports and charged accordingly.

* Subscriptions are available either for copies of all reports, or for reports in certain categories which are decided by the Commission.

* Charges for subscriptions are based on a rate to cover costs.

* Part-year subscriptions are charged on a pro rata basis.

* Subscription copies of reports will normally be sent out monthly at the cheapest postage rate available.

* Requests for subscriptions or information about subscriptions will normally be dealt with by the Publicity & Information Assistant;

* Overseas subscriptions will be charged at the UK rate plus estimated postage and packing costs in full.

* Paying subscribers will be advised annually during February or March of the subscription charges for the following year, and invited to re-subscribe.

2. Other publications

2.1 Leaflets

* Copies of the Commission*s leaflet will be provided free of charge up to a maximum number considered reasonable (currently 300 English, 100 other languages, 5 large print).

2.2 Posters

* Copies of the Commission*s poster will be provided free of charge up to a maximum number considered reasonable.

2.3 Annual report

* The annual report is provided free of charge normally, but if more than 10 copies are required, the order is charged at *2 a copy.

2.4 Good practice guidance notes

* Guidance notes are provided free of charge normally, but if more than five copies are required the order is charged at *2 a copy (except for Guidance Note 3, which is *1). Local authorities which have received a number of copies free on publication may be charged for all extra copies.

2.5 LGO bulletin

* Copies of the bulletin will be provided free of charge up to a maximum number considered reasonable.

2.6 Digest of cases

* Copies of the Digest of Cases are provided free of charge normally, but if more than five copies are required they are charged at *2 a copy. Local authorities which have received a number of copies free on publication may be charged for all extra copies.

3. Other documents

* If documents have to be copied, and this involves a substantial amount of copying, a charge in accordance with the Commission*s photocopying charge may be made.

4. General

* Orders will be accepted in writing or by telephone. Telephone enquirers should be informed of the charge applicable, and asked for verbal confirmation that this will be paid. They will be told that an invoice will be sent. Orders will not be fulfilled until payment has been received.

* Details for invoices should be sent to the Accounts Department to send.

Appendix 1

Subscriptions available for the Local Government Ombudsmen*s published investigation reports

for the year 2003/2004

Category of report Cost *

A All reports 120.00

B All housing 36.00

B1 Housing: management (inc register/allocations/transfers/rent accounts/other) 11.25

B2 Housing: homelessness 4.50

B3 Housing: neighbour nuisance 4.50

B4 Housing: council housing repairs (inc regeneration/improvement) 6.00

B5 Housing: housing benefit 15.75

B6 Housing: housing grants 4.50

B7 Housing: private housing (inc private housing notices & harassment/unlawful eviction) 4.50

C All planning 28.50

C1 Planning consideration (inc publicity for planning applications/ 18.75

consideration/neighbour amenity/development plans)

C2 Planning: enforcement 12.00

D All education 15.75

D1 Education: special educational needs 6.75

D2 Education: admissions 8.25

D3 Education: exclusions 4.50

E Land 4.50

F Highways 6.00

G Environmental health (inc refuse collection/waste disposal) 8.25

H Local taxation 8.25

J Social services 14.25

K Drainage 4.50

L Leisure & recreation (inc death) 4.50

M Building control 4.50

N Commercial 4.50

P Consumer protection 4.50

Additional subjects (may occur in any category)

R Children (excluding education) (free if social services sub is paid for) 11.25

S Disabled people 12.75

T Footpaths & bridleways (free if highways sub is paid for) 4.50

U Gypsies & travellers (free if land sub is paid for) 4.50

V Members* & officers* interests (free if all planning sub is paid for) 4.50

W Racial issues 4.50

Ad-hoc requests

1-5 reports FREE

6 or more reports *1 each

for LGO report subscription enquiries call Rob Rundle on 020 7217 4686.

for ad hoc requests call Teresa Lane on 020 7217 4683

Appendix 2

Publications order form

To order any of the publications listed, please fill how many

you want and your details at the bottom of the sheet and send it

to the address below. We will invoice you if a payment is due.

Your name

Your address

You can order copies of publications through our website:

www.lgo.org.uk/pubsorder.htm or send this order form to:

Local Government Ombudsman, Millbank Tower, Millbank

London SW1P 4QP Tel 020 7217 4683/4620 Fax 020 7217 4621

We also have a free leaflet outlining the Local Government Ombudsman service, including a complaint form: Complaint about the council? How to complain to the Local Government Ombudsman. Please use the separate order form to order copies of these and our poster, or use the website order form as above.

Appendix 3

Leaflets order form

Complaint about the council?

How to complain to the Local Government Ombudsman

FREE leaflet outlining the Local Government Ombudsman service, including a complaint form

Maximum orders: English 300; other languages 100, Large print English 10

You can order copies of our leaflets through our website: www.lgo.org.uk/pubsorder.htm

or send this order form to: Local Government Ombudsman

Millbank Tower

Millbank

LONDON SW1P 4QP

Please allow two weeks for delivery

but is currently out of print

Gen man/access: Doc release 65: August 2002

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Gen man/access: Doc release 65: August 2002