Action Log

Enforcement Action Log

Severity ratings:

Investigation underway

Structured intervention

Total

** 56

Serious concerns / further action possible

Regulatory intervention

Authority / CMEH Reference

Enforcement Issues

Contact Initiated

Action Taken

Current Status

Further Notes

Lead Officer

Severity

Avon and Somerset Police ENF0209656

S46 - information apparently deleted without regard to active disposal schedule.

8-5-08

Informal letter sent. Assurances given that records management policy was in place and information destroyed accordingly.

Closed

Barnet (London Borough of) ENF0206800

s10/piecemeal disclosure, engagement with ICO.

8-6-08

Informal letter sent drawing their attention to these matters. Update - case reopened. Evidence of repeated failures in relation to piecemeal disclosure and engagement. Letter sent 28 May 2009.

Closed

Assurances given that further training will be given and that performance in these areas will improve. PA confirmed that it has adopted 2009 model publication scheme.

Bedfordshire County Council ENF0202075

s45 (IR), possible misunderstanding as to scope of the Act (i.e. relates to information, not documentation)

5-20-08

Informal warning letter sent.

Closed

Assurances given, no further action taken.

Birmingham City Council ENF0174018

s10, s17, s45 (IR)

1-10-08

Warning letter re failures and potential enforcement action. Monitoring continuing

Closed

Quarterly updates on compliance with s10, and conformity to IR timescales. Case closed as s10 compliance has now improved

Bishops Waltham Parish Council ENF0168936

s19 (1)(b)

10-17-07

Importance of publishing in accordance with the scheme informally explained by telephone

Closed

Bradford Metropolitan District Council FS50171264

s10, s17, s45 (IR)

11-28-06

Letter warning of PR

Closed

JPL

Brockhampton Parish Council ENF0172755

s19 (1)(b) & related s17 issues

3-29-07

DN found in breach of s19 & OM dealt with s17

Closed

JPL

Buckinghamshire County Council ENF0205433

s10/Reg 5(2), s45(IR)/Reg 11, FOI/EIR confusion, engagement with ICO.

7-30-08

Letter sent seeking assurances that future requests would be handled within deadlines and that their responses to the ICO would be on time.

Closed

Assurances given.

Bury Metropolitan Borough Council ENF0183728

s45 (IR), s46

20/112007

Attended a meeting with PA in November 2007 to discuss good practice issues. S46 issues arising from complaint 152755

Closed

Canterbury City Council FS50092946

s46

0702/2007

DN (OM) - advised PA to contact TNA for further RM advice & guidance. TNA have visited the PA in person

Closed

JPL

Corby Borough Council ENF018383

s45 (IR)

11-9-07

Warning letter re failures and potential enforcement action. Monitoring continuing

Closed

Documented FOI procedure now in place

Cornwall County Council (now Cornwall Council) ENF0192822

s10, s45 (IR)

19/02/2008 & 16/12/2008

Informal warning letter sent. Matter of multiple stage IR addressed. Further issues raised at later date including s10 and s45 delays. Another informal letter sent.

Closed

Wrote to PA and received encouraging response. PA merged with others to become Unitary Council so wrote again to find out impact this has had. PA responded July 09. Too early to assess impact of new structure on FOI performance/practice. Case closed.

Coventry City Council FPR0165821

s46 RM (no RM or rentention & disposal policies)

4-30-07

Warning letter re PR suggested review of policies, procedures and training

Closed

JPL

Department for Media, Culture and Sport (DCMS) ENF0204030

s10, s45(time taken for IR)

6-18-08

Letter sent asking them to address poor performance with regard to s10 breaches and time taken for IR. Assurances given.

Closed

Department for Work and Pensions (DWP) ENF0212424

s10, s17(PIT extensions), piecemeal disclosure.

9-8-08

Informal letter seeking details of procedures in place/training provided and seeking assurances about performance.

Closed

Response received. Assurances given.

Department of Environment (NI) (DOE) ENF0189611

s10, s17, s45 (IR), s46

1-21-08

Meeting held. Advised of ongoing monitoring. Six months to demonstrate improvement

Closed

Letter sent seeking update 07/10/08. Response received (06/11/08) and evidence of improved practice provided. In view of the few complaints received since initial contact, further action not necessary at this time.

JPL

Derry City Council FS50113779

s17 & s45 IR

11-20-06

General warning re potential enforcement action

Closed

JPL

Doncaster Metropolitan Borough Council ENF0215327

s10, s17, piecemeal disclosure

9-30-08

Warning letter re potential enforcement action

Closed

6 month monitoring period (from 24/10/08). Stats relation to s10 and sample refusal notices to be provided on monthly basis. At end of monitoring period: much improved s10 peformance (average 94%); better quality RNs. Case closed, no further action taken (20090513)

Export Credits Guarantee Department (ECGD) ENF0217772

s10, s45(IR)

10-22-08

Letter sent asking them to explain/address poor performance with regard to s10 breaches and time taken for IR.

Closed

Response received. Six month month monitoring period initiated. Update June 2009 - greatly improved performance at end of monitoring period (100% s10 compliance, IR responses issued within 10 w/days). No further action required.

Flax Bourton Parish Council ENF0196267

s17, s19 (1), s45 (IR), s46 (& DPA notification)

4-11-08

Warning letter re failures and potential enforcement action.

Closed

Foreign and Commonwealth Office (FCO) ENF0203231

s17 - generic/blanket refusals with poor PIT arguments, s45(IR) - long reviews, MOJ stats indicate low disclosure figures.

8-11-08

Informal letter sent seeking explanations/further details of processes.

Closed

Assurances provided

Forestry Commission ENF0172623

s17

8-15-07

Informal good practice advice letter

Closed

GSS

Forestry Commission Wales (FCW) ENF0242703

Reg 11 : IR took 74 w/days and was conducted by FC GB. IR recommended further info should have been disclosed but appears to have been overruled by FCW. S46/piecemeal disclosure: Some confusion over extent of info held and apparent difficulty in identifying relevant info.

4-20-09

Letter sent 20 April 2009.

Closed

Response received 5 May 2009. Assurances provided that this was an isolated incident and that steps have been taken to prevent recurrance. Closure letter reminds PA that we will continue to monitor s50 complaints.

Hammersmith & Fulham (London Borough of) ENF0216569

Reg 5(2), failure to provide proper response despite repeated promptings. Dealys in engagement with ICO.

10-2-08

Informal letter sent re failings seeking details of request handling procedures and assurances re engagement with ICO.

Closed

Response provided assurances in relation to delays but highlighted 3 stage IR. Letter sent advising amendment (31/10/08). Confirmation received that new IR procedure will be one stage.

Haringey (London Borough of ) ENF0165720

s10, s16, s17 & s46 (piecemeal disclosure)

6-8-07

Warning letter re failures and potential enforcement action. Monitoring continuing

Closed

Monthly updates on s10 performance provided - suggest an improvement overall. Monitoring concluded May 2009. Brief update requested in six months time (Nov 09)

Her Majesty's Revenue and Customs (HMRC) ENF0201106

s1 / s8 (recognition of requests), s10, s45 (IR)

6-9-08

Warning letter re failures and potential enforcement action

Closed

Hounslow Primary Care Trust FS50133893

s1, s10, s45 (IR), s46 (significant piecemeal disclosure)

3-17-08

DN cites breaches. OM mentions two Ins and advised PA to contact TNA. OM also severely critical of handling

Closed

JPL

Invest Northern Ireland FS50073979

Multiple s17 issues & s45 (advice & assistance)

8-9-07

Warning letter re failures inc. request for details of proposed remedial action

Closed

JPL

Kent County Council ENF0238892

s10, s45 (IR) delays, s12/s16, engagement with ICO

4-24-09

Informal letter sent re failings seeking details of request handling procedures, and assurances re delays and engagement with ICO.

Closed

Response received detailing procedures, improvements and staffing increases. Closed informally.

JPL

Lancashire County Council FS50137757

s10

11-1-06

Requested explanation. Formally warned re potential investigation

Closed

JPL

Leeds City Council ENF0163938

s10, s12, s17, s45 (IR), deviate from standard request handling procedure where applicant is known

6-1-07

Informal warning letter sent. 2nd informal warning letter sent 06 Oct 08

Closed

Response to second letter (Oct 08) contains comprehensive policies and procedures. 3rd audit of cases to be carried out in new year to measure progress against these. Meeting held on 1 April 2009. Very poisitive. Case now closed

JPL / JS

Leicester City Council ENF0204187

s45(IR) - review appeared to be multi-stage.

6-16-08

Letter sent querying IR procedure/re-use of information standard paragraph.

Closed

Assured us that IR is one-stage.

Long Preston Parish Council ENF0221140

s19 - possible non-adoption of publication scheme

11-6-08

Letter explaining requirements of s19 sent. Information on new model scheme also enclosed

Closed

Model scheme adopted

AS / JS

Matching Parish Council FS50139935

s1, s10, s17, s45 (IR)

5-30-07

Informal good practice advice letter sent. Advised on various aspects of Act and Code

Closed

Newcastle City Council ENF0203489

s45(IR) - review procedure is corporate 3 stage process.

5-28-08

Informal contact with Council recommending they amend their IR procedure. Assurances given that this will be done.

Closed

North Somerset Council ENF0219265

s45(IR) - Multi-stage IR procedure.

10-23-08

Letter sent requesting IR procedure be amended in line with ICO guidance. Awaiting response.

Closed

PA responded (11/12/08) - IR will be revised to 1 stage process.

Northern Ireland Legal Services Commission (NILSC) ENF0225636

s10 (2-year delay), awareness of Act

3-3-09

Informal letter sent. Assurances given in relation to time for compliance. Project underway to implement publication scheme. No other outstanding issues.

Closed

Recommend for PS monitoring.

Nursing & Midwifery Council ENF0238653

s1 - (Piecemeal dislosure); s46 (unable to account for premature disposal of information); s17 (inadequate RNs); blanket use of s14; maintainance of inccorect approach (post DN) in relation to requests relating to 3rd party personal data.

3-27-09

Letter sent 27 March 2009.

Closed

Positive response received confirming that s46 issues have been addressed and guidance provided to staff in relation to RNs. Case closed informally.

Office for National Statistics (ONS) FS50147944

s10, s17, s45 IR

10-23-07

DN (OM) advised review of complaints procedure and staff training

Closed

JPL

Parliamentary and Health Service Ombudsman (PHSO) ENF0168261

s10

6-28-07

Informal letter asking for explanation of why PA's own figures suggest that only 66% of requests are dealt with in 20 working days

Closed

JPL

Peterborough City Council ENF0202833

s17 (inadequate refusal notices), s45 - no IR, Engagement with ICO, s46.

7-4-08

Informal request for Council FOI procedures with recommendations for amendments to RM policy.

Closed

Further suggestions for improvement made. Confirmation that advice will be adopted has been received and the case has been closed.

Rochdale Metropolitan Borough Council ENF0192994

s45 (advice and assistance (separate response sent from various departments) and transferral of requests)

2-21-08

Informal warning letter sent. Details on status of Rochdale Development Agency sought (unresolved)

Closed

Rother District Council ENF0209655

s1 - requests with email address for correspondence labelled invalid.

8-4-08

Informal letter sent directing them to the ICO/MOJ guidance.

Closed

Assurances given that future responses will conform to ICO guidance.

Shotteswell Parish Council FS50143753

s1, s10, s17, s19 s45 (advice & assistance and IR), s46, lack of engagement with ICO

1-22-07

Numerous attempts at informal resolution made with limited success

Closed

Several s50 cases await investigation, which may reignite previous compliance issues

Slough Borough Council ENF0206335

s17, engagement with ICO, possible lack of understanding about the Act

7-8-08

Informal warning letter sent, advising of concerns

Closed

Pub scheme adopted - case now closed

South Essex Partnership NHS Trust FS50082764

s45 IR (senior officer) & s46 RM (piecemeal disclosure)

8-8-07

DN (OM) advised of failures and ongoing monitoring

Closed

JPL

Stockton - on - Tees Borough Council FS50121882

s46 RM (rentention & disposal policy)

1-3-07

DN (OM) advised policy to be applied correctly

Closed

JPL

Swansea (City and County of) ENF0239319

s1: Piecemeal disclosure; s16: advice and assistance; s17: poor RN and suggestion of blanket use of s14 against specific complainant; s19: publication scheme appears out of date; s46: confusion around info destroyed outside disposal schedule.

Letter sent 20/03/09.

Closed

Received confirmation that 2009 model scheme has been adopted. Response to other issues to follow.

Tower Hamlets (London Borough of ) FS50126228

s10

8-24-06

Requested explanation. Formally warned re potential investigation

Closed

JPL

Tunbridge Wells Borough Council ENF0166181

s12, s16, s17, s46, s45 (IR & advice), FOI/EIR confusion

7-12-07

Warning letter re PR suggested review of policies, procedures and training

Closed

JPL

Valuation Office Agency (VOA) [Exec Agency of HMRC] FS50214724

s1, s10 - multiple requests appear to have been ignored or dealt with out of time

12-2-08

GPE have intervened early in an attempt to avoid submittal of multiple section 10 complaints. VOA have been asked to explain their approach

Closed

VoA have co-operated, and some progress has been made. Majority of requested information does not appear to be held. Case referred back to CRU

Vehicle and Operator Services Agency (VOSA) [Exec Agency of DfT] ENF0216651

s12, s16, s17, s45 (IR)

28/10/2008 (DN 146033)

DN 146033 (OM) critical of request handling. Some minor s12 / s16 issues arising in other cases

Closed

Note added to case 11881, as potential for informal good practice advice to be provided. Some issues briefly referenced as part of [redacted - open ENF case]

Warwick District Council ENF0214446

s17 (inadequate refusal notices), s45 (IR) - apparently multi-stage/overlong reviews.

9-18-08

Informal letter sent seeking clarification of processes in place and seeking assurances that IR process will be amended/performance in identified areas will improve.

Closed

Response from PA received. Committed to improvements.

Warwickshire County Council ENF0212055

s45(IR) - review appears to be multi-stage.

8-29-08

Informal letter sent seeking clarification/directing Council to ICO guidance.

Closed

Assurances given that IR procedure will be amended to single stage.

Waveney District Council ENF0202674

s10/Reg 5(2), s45(IR)/Reg 11, FOI/EIR confusion, transfer of request, engagement with ICO.

6-9-08

Prompted by one complaint. Letter sought assurances that this was not evidence of systematic approach.

Closed

Response received - further letter sent seeking clarification of IR procedure (14/10/08). Update - response received (31/10/08) and assurances given. Case closed, no further action.

Welsh Assembly ENF0218622

s46

10-30-08

Letter sent seeking explanation for approach/assurances that steps taken to bring into conformity with s46 Code.

Closed

Response received and evidence of sound records management policies and procedures provided.

Spreadsheet's Author: lambj
Last Updated with Excel 97

** This cell's data may not be accurate.

Created with xlhtml 0.5.1