Accuracy of reports by Social Services on Service Users - Data Protection Act 1998

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24th October 2011

 

Case Reference Number IRQ0421401

 

Dear Ms Hersom

 

Request for Information

 

Thank you for your correspondence dated 19 October 2011.

 

Your request is being dealt with in accordance with the Freedom of
Information Act 2000.  We will respond by 16 November 2011 which is 20
working days from the day after we received your request.

 

To clarify, we will only be treating part 4 of your request as an
information request:

 

‘4. Please can you supply me number all complaints of inaccurate

     reports made against each LA for last 5 years and outcomes.’

 

The remainder of your request will be handled as an enquiry by our First
Contact team. This will be separate to this request and as such will have
a separate reference and caseworker.

 

Should you wish to reply to this email, please be careful not to amend the
information in the ‘subject’ field. This will ensure that the
information is added directly to your case. However, please be aware that
this is an automated process; the information will not be read by a member
of our staff until your case is allocated to a request handler.

 

Yours sincerely

 

 

Richard Sisson

Lead Internal Compliance Officer

Information CommissionerÂ’s Office

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Information Commissioner's Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire, SK9 5AF
Tel: 0303 123 1113 Fax: 01625 524 510 Web: www.ico.gov.uk

References

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Ms S Hersom

[2][FOI #90272 email]

 

31 October 2011.

 

Case reference number: ENQ0421686.

 

Dear Ms Hersom,

 

Thank you for your emailed correspondence to the Information
CommissionerÂ’s Office (ICO), dated 19 October 2011, regarding the Data
Protection Act 1998 (DPA98).

 

I write further to correspondence from my colleague, Richard Sisson, Lead
Internal Compliance Officer, who explained in his email of 24 October
2011, that only part 4 of your email dated 19 October will be treated as a
request under the Freedom of Information Act 2000 (FOIA). The remaining
aspects of your enquiry have been passed to the ICOÂ’s First Contact
(Advice Team), as enquiries of this nature fall within our remit.

 

Your correspondence asks for the ICOÂ’s view on a number of scenarios
relating to the processing of personal data contained within social
services records. You have asked the ICO to provide its view on the
application of the DPA98 to each scenario and “provide a bench mark on
what should happen” in respect of each scenario; that is, what the ICO
would expect the data controller to do in each situation to address data
protection concerns arising from the local authorityÂ’s processing of
personal data.

 

If an individual is concerned that their information has been processed in
a manner giving rise to concern under the DPA98 in a particular instance
they can provide us with details and we will consider carefully, on the
balance of probabilities, whether it is likely or unlikely processing has
been or is being carried out in compliance with the provisions of the
DPA98 (i.e. make an assessment under section 42). Our enquiry service is
intended to provide our general view on legislation regulated by the ICO,
but is not intended to (and cannot) cover every scenario that may arise.

 

The majority of the points in your enquiry relate to scenarios where you
clearly have concerns about the manner in which social service usersÂ’
personal data has been processed. The information requested in your
enquiry appears to be the CommissionerÂ’s view on whether what has
happened in each scenario complies with the law (an assessment). Your
enquiry also requests, in effect, our view on the measures organisations
should take in each scenario to ensure their processing is brought into
likely compliance with the DPA98. Following a “compliance unlikely”
assessment, we may make recommendations to the data controller as to how
best ensure processing is brought into likely compliance with the DPA98.
We have a clear process/procedure for providing our view on whether the
legislation we are responsible for has been complied with in a particular
case. Further information about our data protection complaints process is
available using the following link:

 

[3]Data Protection – When and How to Complain

 

In addition, your correspondence indicates that the scenario based
questions you have posed:

 

“… are taken from actual cases where SW or LA have misled professionals
and have  failed or refused to correct their errors, even after official
complaints have been made.”

 

Providing an indication as to whether a data controller is likely to have
breached the DPA98 when responding to an enquiry would also prejudice our
position as an independent regulator and complaint handler if we were to
subsequently receive a complaint about processing referred to in a
particular enquiry.

 

I appreciate you may be disappointed by this response, but trust it
clarifies our position. If you require any further assistance, please
contact me at: [4][email address]. In the subject field of your
email please include the following text (including the square brackets)
[Ref. XXXXXXXXXX], replacing the ‘X’ characters with your case reference
number, including its three character prefix. This will add your email to
the other information you have already sent to us about your case, and
should occur automatically if you click the ‘reply’ button.

                     

Yours sincerely,           

 

                      

 

Tim Clarke

 

Case Officer – First Contact Group (Advice Team)

Information CommissionerÂ’s Office

Tel: 0303 123 1113. Ext 5686.

 

Would you like to provide anonymous feedback about your experience as an
ICO customer?

We are committed to learning from the experiences of our customers. If you
would like to provide some anonymous feedback about your experience as an
ICO customer please [5]click here. We use all feedback to help us
continuously improve our service, focussing on the things that are most
important to our customers. The survey contains three questions and we
expect that it takes no more than one minute to complete. No personal data
will be collected as part of completing this survey.

 

show quoted sections

Information Commissioner's Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire, SK9 5AF
Tel: 0303 123 1113 Fax: 01625 524 510 Web: www.ico.gov.uk

References

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1. file:///tmp/radCC20A_files/filelist.xml
2. mailto:[FOI #90272 email]
3. http://www.ico.gov.uk/complaints/data_pr...
4. mailto:[email address]
5. blocked::http://www.snapsurveys.com/swh/surveylog...
http://www.snapsurveys.com/swh/surveylog...

Thank you for emailing the Information Commissioner’s Office (ICO).  This
is an automatic acknowledgement to tell you we have received your email
safely.  Please do not reply to this email.

 

If your email was about a new complaint or request for advice it will be
considered by our Customer Contact Department.  One of our case officers
will be in touch as soon as possible. 

 

If your email was about an ongoing case we are dealing with it will be
allocated to the person handling your case.

 

If your email was about a case you have already submitted, but is yet to
be allocated to one of our case officers your email will be added to your
original correspondence and will be considered when your case is
allocated.

 

If you require any further assistance please contact our Helpline on 0303
123 1133 or 01625 545745 if you prefer to use a national rate number.

 

Thank you for contacting the Information Commissioner’s Office

 

Yours sincerely

 

ICO Customer Contact Department

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Information Commissioner's Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire, SK9 5AF
Tel: 0303 123 1113 Fax: 01625 524 510 Web: www.ico.gov.uk

Link: [1]File-List

Ms S Hersom

[2][FOI #90272 email]

 

8 November 2011.

 

Case reference number: ENQ0421686.

 

Dear Ms Hersom,

 

Thank you for your further emailed correspondence to the Information
CommissionerÂ’s Office (ICO), dated 2 November 2011, regarding the above
case.

 

Your correspondence expresses concerns about the way we have addressed
your original email dated 19 October 2011. It should be noted the Freedom
of Information Act 2000 (FOIA) gives individuals the right to request and
receive copies of recorded information held by public authorities (subject
to exemptions). It does not require public authorities to generate new
information, or to provide opinions on specific scenarios or circumstances
presented to us by individuals in correspondence. For further information,
please use the following link:

 

[3]How can I access official information?

 

Accordingly, only part 4 of your original email is being dealt with as a
request under the FOIA. Our Internal Compliance Department will respond to
this request in due course.

 

I have dealt with your additional enquiry below:

“Imagine that the scenarios in the FOI has happened to person "A".

Person "A" has gone through all the complaints process and showed clear
evidence that the LA are blatantly breaching the DPA 1998. The LA have
refused to amend / correct reports.

Person "A" have come to you with the concerns that the authorities have
breached the DPA, what action would you take.

Would their be any ramifications against the LA for purposely
breaching the DPA.

 

If you do not deal with LA acting [il]legally please can you supply me
with the agency that ensures LA act within the law.”

 

Under section 42 of the DPA98 an individual can ask the Commissioner to
conduct an “assessment”; that is, give a view as to whether it is likely
or unlikely that an organisation has complied with the DPA98 in the
situation that has been described to us. 

 

If we consider it is unlikely that an organisation has complied with the
DPA98, our aim is to ensure that the organisation understands its
obligations and takes any steps necessary to help ensure compliance with
the principles either in that particular case or in the future.

 

The ICO has a number of enforcement powers at its disposal. The
circumstances in which we will are likely to use our enforcement powers
are detailed in the following document:

 

[4]A STRATEGY FOR DATA PROTECTION REGULATORY ACTION

 

However, as I am sure you understand, the appropriateness of enforcement
action can only be determined on a case by case basis with reference to
the particular factual circumstances involved. We would therefore be
unable to provide an indication as to the likelihood of enforcement action
based upon the hypothetical scenario you have provided.

 

If individuals have concerns about the way in which local authorities have
processed their personal data under the DPA98, the ICO would be the only
organisation with the specific remit to consider complaints about these
matters. If individuals have wider concerns about the conduct of social
workers, they will need to contact the General Social Care Council (GSCC):

 

[5]http://www.gscc.org.uk/

 

It should be noted that most individual rights established within the
DPA98 also make provision for an individual to pursue the matter in the
civil courts if they seek a more final determination regardless of the
CommissionerÂ’s assessment. 

 

I trust this response has been helpful. If you require any further
assistance, please contact me at: [6][email address]. In the
subject field of your email please include the following text (including
the square brackets) [Ref. XXXXXXXXXX], replacing the ‘X’ characters
with your case reference number, including its three character prefix.
This will add your email to the other information you have already sent to
us about your case, and should occur automatically if you click the
‘reply’ button.

                     

Yours sincerely,           

 

                      

 

Tim Clarke

 

Case Officer – First Contact Group

Information CommissionerÂ’s Office

Tel: 0303 123 1113. Ext 5686.

 

Would you like to provide anonymous feedback about your experience as an
ICO customer?

We are committed to learning from the experiences of our customers. If you
would like to provide some anonymous feedback about your experience as an
ICO customer please [7]click here. We use all feedback to help us
continuously improve our service, focussing on the things that are most
important to our customers. The survey contains three questions and we
expect that it takes no more than one minute to complete. No personal data
will be collected as part of completing this survey.

 

show quoted sections

Information Commissioner's Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire, SK9 5AF
Tel: 0303 123 1113 Fax: 01625 524 510 Web: www.ico.gov.uk

References

Visible links
1. file:///tmp/radBD64F_files/filelist.xml
2. mailto:[FOI #90272 email]
3. http://www.ico.gov.uk/for_the_public/off...
4. http://www.google.co.uk/url?q=http://www...
5. http://www.gscc.org.uk/
6. mailto:[email address]
7. blocked::http://www.snapsurveys.com/swh/surveylog...
http://www.snapsurveys.com/swh/surveylog...

Link: [1]File-List

15th November 2011

 

Case Reference Number IRQ0421401

 

Dear Ms Hersom

 

Further to our acknowledgement dated 24 October 2011 we are now in a
position to respond to your request for information under the Freedom of
Information Act (FOI).

 

In our acknowledgment we informed you that only part 4 will be handled as
a request for information under the FOI Act.

 

Under part 4 you asked for the following:

 

‘4. Please can you supply me number all complaints of
inaccurate      reports made against each LA for last 5 years and
outcomes.”

 

Please find below our response to your request.

 

The Information CommissionerÂ’s Office (ICO) uses an electronic casework
management system since 2003 which allows certain information and
attributes about the casework handled by the ICO to be recorded.

 

In 2007 a restructure took place which resulted in significant changes to
the way casework details were recorded on our casework management system.
Due to the differences in the data held prior to and after this date the
reporting software is only configured to extract a complete set of data
from April 2007 onwards.

 

We searched our electronic case management system for the Data Protection
Complaints that we handled about Local Authorities under the nature
“inaccurate data” from April 2007 onwards. Please find attached a table
showing all the complaints we closed about each Local Authority under the
Data Protection Act broken down by nature “inaccurate Data” and outcome
as requested.

 

Explanation of outcomes

 

“Closed – Insufficient information provided”

This is used where we have received a complaint but have been unable to
progress it without further information from the complainant. 

 

“Closed – Assessment criteria not met”

This outcome is no longer used but it was used where the complaint did not
meet the assessment criteria set out in Section 42 of the DPA.

 

“Closed - Compliance likely”

This is used when it is our assessment that the data controller is likely
to be in compliance with the DPA.

 

“Closed – Compliance unlikely, voluntary compliance achieved”

This is used for “compliance requests” where we have considered the
matter, and it is our assessment that compliance with the DPA is unlikely
to have been achieved and where the data controller has taken action to
put things right (either of their own volition or following advice from
ICO).

 

“Compliance Unlikely, remedial action taken”

This is used where we have considered the matter, and it is our assessment
that compliance with the DPA is unlikely to have been achieved and where
the data controller has taken action to put things right.

 

“Closed – Compliance unlikely, no remedial action taken”

This is used where we have considered the matter, and it is our assessment
that compliance with the DPA is unlikely to have been achieved and where
the data controller has not taken action to put things right.

 

Closed – advice given

This is used where a customer has not made a direct complaint, but has
asked how to complain or whether a particular scenario would benefit from
the ICO conducting an assessment.

 

I hope you find the attached of assistance.

 

If you are dissatisfied with the response you have received and wish to
request a review of our decision or make a complaint about how your
request has been handled you should write to the Internal Compliance Team
at the address below or e-mail [2][email address]

 

Your request for internal review should be submitted to us within 40
working days of receipt by you of this response.  Any such request
received after this time will only be considered at the discretion of the
Commissioner.

 

If having exhausted the review process you are not content that your
request or review has been dealt with correctly, you have a further right
of appeal to this office in our capacity as the statutory complaint
handler under the legislation.  To make such an application, please write
to the Case Reception Team, at the address below or visit the
‘Complaints’ section of our website to make a Freedom of Information Act
or Environmental Information Regulations complaint online.

 

A copy of our review procedure is attached.

 

Yours sincerely,

 

Iman Elmehdawy

Lead Internal Compliance Officer

Information CommissionerÂ’s Office

 

 

 

 

 

show quoted sections

Information Commissioner's Office, Wycliffe House, Water Lane, Wilmslow,
Cheshire, SK9 5AF
Tel: 0303 123 1113 Fax: 01625 524 510 Web: www.ico.gov.uk

References

Visible links
1. file:///tmp/rad6E650_files/filelist.xml
2. mailto:[email address]