Dear Information Commissioner’s Office,

Walsall Council have signed an undertaking for failing to have a contract in place with a data processor that mishandled personal data.

Hounslow Council received a civil monetary penalty for failing to have a contract in place with a data processor that mishandled personal data.

My FOI request is:

1) Why was one fined and not the other? What criteria were used to decide that the failure to have an adequate contract in place should receive a CMP in only one of the two cases?

2) Who made the final decision about the decision not to fine Walsall? Please provide the name and job title of the relevant officer.

3) Who made the final decision to fine Hounslow? Please provide the name and job title of the relevant officer.

Yours faithfully,

Pete Grotowski

Information Commissioner’s Office

Link: [1]File-List

13 September 2011

 

Case Reference Number IRQ0415903

 

Dear Mr Grotowski

 

Request for Information

 

Thank you for your correspondence received earlier today.

 

Your request is being dealt with in accordance with the Freedom of
Information Act 2000.  We will respond by 11 October which is 20 working
days from the day after we received your request.

 

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

 

 

Andrew Rose

Lead Internal Compliance Officer

 

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/radC6263_files/filelist.xml

Information Commissioner’s Office

1 Attachment

Link: [1]File-List

19th September 2011

 

Case Reference Number IRQ0415903

 

Dear Mr Grotowski

 

Further to our acknowledgement of 13 September 2011we are now in a
position to provide you with a response to your request for information of
the same date.

 

As you know we have dealt with your request in accordance with your
‘right to know’ under section 1(1) of the Freedom of Information Act
2000 (FOIA), which entitles you to be provided with a copy of any
information ‘held’ by a public authority, unless an appropriate
exemption applies.

 

Request

 

Walsall Council have signed an undertaking for failing to have a
contract in place with a data processor that mishandled personal
data.

Hounslow Council received a civil monetary penalty for failing to
have a contract in place with a data processor that mishandled
personal data.

My FOI request is:

1) Why was one fined and not the other? What criteria were used to
decide that the failure to have an adequate contract in place
should receive a CMP in only one of the two cases?

2) Who made the final decision about the decision not to fine
Walsall? Please provide the name and job title of the relevant
officer.

3) Who made the final decision to fine Hounslow? Please provide the
name and job title of the relevant officer.

 

Information Held

 

All cases that are to be considered for a civil monetary penalty have to
meet the criteria set out in the statutory monetary penalty guidance. This
guidance is published on our website  

[2]http://www.ico.gov.uk/what_we_cover/prom...

 

Whilst we hold a copy of the guidelines, under section 21 of the FOIA we
are not required to provide information in response to a request if it is
already reasonably accessible to you from another source.   This is
applicable here and we do not propose to send you a further copy.

 

In the two cases that you mention there were significant differences,
including the sensitivity of the information. The breach concerning
Walsall Council did not meet the criteria referred to above and it was not
therefore considered for a civil monetary penalty. As a result there is no
recorded information in terms of your second request concerning the
decision not to fine Walsall Council. 

 

David Smith, Deputy Commissioner and Director of Data Protection made the
final decision to issue a civil monetary penalty London Borough of
Hounslow.

 

I hope this information is of help and assistance. If however 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 Department at the
address below or e-mail [3][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 First Contact 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

 

 

Charlotte Powell

Internal Compliance Manager

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/rad2CC7F_files/filelist.xml
2. http://www.ico.gov.uk/what_we_cover/prom...
3. mailto:[email address]

Dear Information Commissioner’s Office,

I would like to request an internal review.

Clearly, a decision was made in the Walsall case to opt for an undertaking. I do not believe that a person making a reasonable decision would not record the reasons for their decision, and would make no reference to why a CMP was not considered. In any case, the decision to opt for an undertaking would ultimately have been made by an ICO member of staff.

I would have expected to receive the name of the person who made the undertaking decision, and any recorded information that informed their decision.

If the outcome of the review is that I should not have received that information, please consider this to be a separate, subsequent FOI request.

Yours faithfully,

Pete Grotowski

new casework,

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 you have sent us a complaint we
may need specific information from you before we are able to consider it. 
You can find out the type of information we would need from the
[1]complaints section of our website.

 

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. Please note that further correspondence may not be viewed until
your case is allocated to a case officer.

 

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

 

ICO Customer Contact Department

 

Making a request for information held by the ICO?

For more information about the ICO’s handling of requests for
information please visit our [2]Information about us section of our
website.

 

Equality and Diversity

The Information Commissioner’s Office is committed to providing equality
for all and opposes all forms of unlawful or unfair discrimination. We
have produced a questionnaire to help us to produce a profile of our
customers. The questionnaire can be found on our [3]Equality and
Diversity webpage.

 

Our newsletter

Details of how to sign up for our quarterly newsletter can be found at
[4]Information Commissioner's Office enewsletter.

 

Twitter

Find us on Twitter at [5]http://www.twitter.com/ICOnews

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. http://www.ico.gov.uk/complaints.aspx
2. http://www.ico.gov.uk/about_us.aspx
3. http://www.ico.gov.uk/about_us/how_we_wo...
4. http://www.ico.gov.uk/tools_and_resource...
5. http://www.twitter.com/ICOnews

Information Commissioner’s Office

Link: [1]File-List

22nd September 2011

 

Case Reference Number RCC0417760

 

Dear Mr Grotowski

 

Thank you for your correspondence dated 21 September 2011.

 

This correspondence will now be treated as a request for review of your
recent request for information under the Freedom of Information Act 2000.

 

We will respond by 19 October 2011 which is 20 working days from the day
after we received your recent correspondence.  This is in accordance with
our internal review procedures.

 

If you wish to add further information to your request for internal review
please reply to this email, being careful not to amend the information in
the ‘subject’ field. This will ensure that the information is added
directly to your case.

 

Yours sincerely

 

Charlotte Powell

Internal Compliance Manager

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/rad64AC3_files/filelist.xml

Information Commissioner’s Office

Link: [1]File-List

11 October 2011

 

Dear Mr Grotowski

 

Case Reference Number RCC0417760

 

Your request for an internal review of the handling of your information
request (case reference number IRQ0415903) has been passed to me to
undertake.

 

I note your comment that should the outcome of the review be that ‘I
should not have received that information, please consider this to be a
separate, subsequent FOI request.Â’ I have considered this to be a
conditional information request. 

 

I will be responding to your request for an internal review within the 20
days which is considered to be best practice. However the outcome of that
review cannot be prejudged so that a response to any new request can be
sent to you within the 20 working days allowed by the Freedom of
Information Act 2000. 

 

Therefore, please could you confirm whether or not you wish to make a new
information request and if so confirm whether that request is for ‘the
name of the person who made the undertaking decision, and any recorded
information that informed their decision.Â’ This is in relation to the
undertaking signed by Walsall Council.  

 

 

Yours sincerely

 

 

 

Lesley Bett

Head of Internal Compliance  

 

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/rad40CC5_files/filelist.xml

Dear Information Commissioner’s Office,

Please consider the request as a separate FOI request in the terms that you have outlined, on the basis that I doubt you would be asking this question if the outcome of the your review was going to be to overturn your colleague's original decision and give me the information.

Yours faithfully,

Pete Grotowski

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

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

Information Commissioner’s Office

Link: [1]File-List

12th October 2011

 

Case Reference Number IRQ0420490

 

Dear Mr Grotowski

 

Request for Information

 

Thank you for todayÂ’s correspondence clarifying your new request.

 

Your request is being dealt with in accordance with the Freedom of
Information Act 2000.  We will respond by 9 November 2011 which is 20
working days from the day after we received your request.

 

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 new request. However, please be
aware that this is an automated process; the information will not be read
by a member of our staff until your request is allocated to a request
handler.

 

Yours sincerely

 

Charlotte Powell

Internal Compliance Manager

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/radB0C0E_files/filelist.xml

Information Commissioner’s Office

Link: [1]File-List

17th October 2011

 

Case Reference Number RCC0417760

 

Dear Mr Grotowski

 

Your request for an internal review of the handling of your information
request (case reference number IRQ0415903) has been passed to me to
undertake. I have considered the scope of your request, the response sent
to you and the specific points you have raised.

 

Your request was considered under Section 1(1) of the Freedom of
Information Act 2000(FOIA) which obliges us to consider the recorded
information held by ICO which falls within the scope of your request. 

 

In connection with the undertaking signed by Walsall Council and the civil
monetary penalty received by Hounslow Council you specifically requested
the following information:

 

1)    Why was one fined and not the other? What criteria were used to
decide that the failure to have an adequate contract in place should
receive a CMP in only one of the two cases?

 

2)    Who made the final decision about the decision not to fine Walsall?
Please provide the name and job title of the relevant officer.

 

3)    Who made the final decision to fine Hounslow? Please provide name
and job title of the relevant officer.

 

In response to question 1) it was explained that the recorded information
held in relation to this request was the statutory monetary penalty
guidance. Since this guidance is published on our website and since it is
reasonably accessible to you from another source Section 21 of FOIA
applies. I uphold that decision and confirm that no other recorded
information is held.

 

In response to question 2 it was explained that no recorded

information is held. A civil monetary penalty was

not considered in relation to Walsall Council since the criteria set

out in the statutory monetary guidance were not met. I uphold the

decision made and confirm that no recorded information is held. 

 

In response to question 3 you were provided with the name and job

title of the member of staff who made the final decision to fine

Hounslow Council. 

 

I am satisfied that you have been provided with all of the recorded
information which falls within the scope of your request.

 

In your email of 11 October 2011 you confirmed that you were making a new
information request for ‘the name of the person who made the undertaking
decision, and any recorded information that informed their decision.Â’
This is in relation to the undertaking signed by Walsall Council. This
request is being dealt with and a response will be sent to you by 9
November 2011. 

 

I should inform you that if you are unhappy with the outcome of this
internal review then you do have a right to appeal to ICO in our capacity
as the statutory regulator for the FOIA.

 

How to complain 

Information on how to complain is available on the ICO website at:

[2]http://www.ico.gov.uk/complaints/freedom...

By post: If all your supporting evidence is in hard copy you can fill in
the online Complaint Form, print it and post it to us with your supporting
evidence. Please send to:

First Contact Team

Information CommissionerÂ’s Office

Wycliffe House

Water Lane

Wilmslow

Cheshire

SK9 5AF

 

By email: if all your supporting evidence is available electronically, you
can fill in our online complaint form. Information included in the form
and any supporting evidence will be sent to us by email.

 

Yours sincerely

 

Lesley Bett

Head of Internal Compliance

 

 

 

 

 

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/rad50AAC_files/filelist.xml
2. http://www.ico.gov.uk/complaints/freedom...

Information Commissioner’s Office

2 Attachments

Link: [1]File-List

9th November 2011

 

Case Reference Number IRQ0420490

 

Dear Mr Grotowski

 

Further to our acknowledgement of 12 October 2011 we are now in a position
to provide you with a response to your request for information of the same
date.

 

As you know we have dealt with your request in accordance with your
‘right to know’ under section 1(1) of the Freedom of Information Act
2000 (FOIA), which entitles you to be provided with a copy of any
information ‘held’ by a public authority, unless an appropriate
exemption applies.

 

Request

 

Your request is for the name of the person who made the undertaking
decision, and any recorded information that informed their decision. This
is in relation to the undertaking signed by Walsall Council in September
of this year.  

 

Information Held

 

I can confirm that there is recorded information which falls within the
scope of your request.

 

The case officer handing this case was Aideen Oakes, Case Officer –
Enforcement. The case was taken forward with a steer from the Team Manger
after their assessment and when it was allocated. A note was recorded on
the case and this is provided below.  There is a further note recording a
further discussion, between the case officer and team manager about the
appropriate action in this particular case, this is also provided.

 

Created  ^ Username  Note 
  Hi. Obtain full details. Check contract
Richard Kerr with processor. Pos U/T. 4 weeks. RK  
28/04/2011 07:56
  Spoke with RK about DC responses. Draft UT
Aideen Oakes around the fact no contract existed  
11/07/2011 15:36 between the DC and Clockwork Removals.

 

There is also information which has been provided to us by Walsall Council
during the course of our investigation into this matter which will have
informed the decision concerning the undertaking.  For clarity we
consider that any information that has been provided to us by Walsall with
their detailed arguments would fall within the scope of your request
rather than any administrative correspondence or correspondence from the
ICO seeking further details.

 

Attached are three documents from Walsall Council to the ICO concerning
this incident.  The dates of receipt of this correspondence have been
added on the top of each document.

 

There are two further documents concerning this matter provided to the ICO
during this investigation.  However, this information is exempt under
Section 44(1)(a)of FOIA. 

 

This information has been provided to this office in confidence in order
for us to carry out a full investigation. As you are aware organisations
report breaches of this nature voluntarily and therefore there is no
expectation that this information would be released under the provisions
of FOIA or indeed to a third party.

 

We are therefore unable to provide you with a copy due to the exemption at
section 44(1) of the FOIA.  This states:

 

“Information is exempt information if its disclosure (otherwise than
under this Act) by the public authority holding it –

 

a)      is prohibited by or under any enactment,

b)    Â  is incompatible with any community obligation, or

c)     would constitute or be punishable as a contempt of court.”

 

Sub paragraph (a) is applicable to the ICO in this instance as there is a
statutory prohibition under section 59 of the DPA.  This provision imposes
a criminal liability on the Information Commissioner and his staff for any
disclosure of information, without lawful authority, relating to living
individuals or businesses obtained or provided to the Information
Commissioner for the purposes of the Data Protection Act 1998 or the
Freedom of Information Act 2000. 

 

Section 59(2) of the DPA lists five sets of circumstances where
information may be released “with lawful authority”. The first
of these is consent. We have released the information given to us by
Walsall Council where we have had their consent to do so, as this provided
us with the required ‘lawful authority’. However, we have withheld the
information where consent to disclose was not provided.

 

Having considered all others provision of Section 59 of the DPA we
consider that we do not have lawful authority in this case to release
these two documents under FOIA.

 

I hope this information is of interest and 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 Department 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 First Contact 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

 

Charlotte Powell

Internal Compliance Manager

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/rad62C89_files/filelist.xml
2. mailto:[email address]

Dear Information Commissioner’s Office,

Thank you for this response. However, I do not believe that one element is clear.

I asked who made the final decision. Am I to take it that this was Aideen Oakes, Richard Kerr (both mentioned in your email), or some other person? As you have not said that this information is not held, I assume that it is, and I am to infer it from your email. However, I believe that if the information is held, it should be possible for you to tell me what that information is.

Yours faithfully,

Pete Grotowski

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

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

Information Commissioner’s Office

Link: [1]File-List

14th November 2011

 

Case Reference Number IRQ0420490

 

Dear Mr Grotowski

 

I write with reference to your recent email concerning the response you
received to an information request.

 

You have asked that we clarify one point of the response concerning the
decision making on a particular undertaking.  I can confirm that you were
provided with all the recorded information concerning that aspect of your
request plus additional information to provide some context.

 

I hope this clarifies your further query.

 

Yours sincerely

 

Charlotte Powell

Internal Compliance Manager

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/radFEF24_files/filelist.xml

Dear Information Commissioner’s Office,

I think that deliberately ignoring the issue on which I provided clarification is an eccentric way of providing clarification.

I will try again - does the information held by the Information Commissioner's Office indicate who made the final decision to ask Walsall to sign an undertaking? If it does, please explain to me who this person was. If your records are incomplete and do not show who made the final decision, please confirm this.

Yours faithfully,

Pete Grotowski

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

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

Information Commissioner’s Office

Link: [1]File-List

15th November 2011

 

Case Reference Number IRQ0420490

 

Dear Mr Grotowski

 

With reference to your recent email I can confirm that you have been
provided with all the recorded information concerning the decision to
issue an undertaking to Walsall Borough Council.  There is no further
recorded information about decisions made in this particular case.

 

Yours sincerely

 

Charlotte Powell

Internal Compliance Manager

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/rad70BBE_files/filelist.xml

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