Register

Stuart Hardwicke CARRUTHERS made this Freedom of Information request to The Local Government and Social Care Ombudsman

This request has been closed to new correspondence from the public body. Contact us if you think it ought be re-opened.

The request was partially successful.

Stuart Hardwicke CARRUTHERS

Dear Sir or Madam,

I would appreciate a copy of the risk register that accompanies the risk strategy.

Yours faithfully,

Stuart HARDWICKE CARRUTHERS

Hilary Pook, The Local Government and Social Care Ombudsman

Dear Mr Hardwicke Carruthers

Could you please clarify which risk register you are requesting? There
are three types referred to in the strategy.

Yours sincerely

Hilary Pook
Communications & Records Manager
Local Government Ombudsman's Office
Tel: 020 7217 4734
www.lgo.org.uk

NOTICE - This message contains information intended only for the use of
the addressee named above. If you have received this message in error
please advise us at once and do not make any use of the information.

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Stuart Hardwicke CARRUTHERS

Dear Hilary Pook,

Many thanks for your query. Ideally, I would like copies of all of the registers. There are possibly five registers in the current risk strategy (and possibly more).

However, it is anticipated that the operational risk register (is this the same as the corporate services operational risk register ?) might be quite large. If this should be the case could a copy of all entries related to Trafford, Basildon, Tynedale, and Sefton Council's be made available in the first instance (since 2005). These entries should only relate to complaints that relate to rejection of Ombudsman decisions by these Council's. I would additionally appreciate copies of the strategic risk register, supplementary register and project and programme risks register.

Could you additionally confirm if my understanding that the operational register is probably very large is correct. If this is not the case a full copy would be appreciated.

Yours sincerely,

Stuart Hardwicke Carruthers

Hilary Pook, The Local Government and Social Care Ombudsman

Dear Mr Hardwicke Carruthers

The operational risk register is quite large, but it does not have any
entries in relation to specific councils. I will respond to your request
as soon as possible.

Hilary Pook
Communications & Records Manager
Local Government Ombudsman's Office
Tel: 020 7217 4734
www.lgo.org.uk

NOTICE - This message contains information intended only for the use of
the addressee named above. If you have received this message in error
please advise us at once and do not make any use of the information.

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Stuart Hardwicke CARRUTHERS

Dear Hilary Pook,

Does the operational risk register contain details of complaints where Council's reject a finding of MI and also the LGO's recommendations (either in full or partially).. if this is the case copies of these entries would be fine...

Yours sincerely,

Stuart Hardwicke Carruthers

Hilary Pook, The Local Government and Social Care Ombudsman

Dear Mr Hardwicke Carruthers

As I said in my previous email, it doesn't include entries relating to
specific councils. It therefore follows that it doesn't contain entries
on specific Ombudsman's findings either.

Yours sincerely

Hilary Pook
Communications & Records Manager
Local Government Ombudsman's Office
Tel: 020 7217 4734
www.lgo.org.uk

NOTICE - This message contains information intended only for the use of
the addressee named above. If you have received this message in error
please advise us at once and do not make any use of the information.

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Stuart Hardwicke CARRUTHERS

Dear Hilary Pook,

Overdue. Review requested

Yours sincerely,

Stuart Hardwicke CARRUTHERS

Hilary Pook, The Local Government and Social Care Ombudsman

Dear Mr Hardwicke Carruthers

As you had asked for various specific entries, and implied that these
were all you were interested in - and I had assured you that these
entries did not exist - I was waiting to hear from you exactly what it
was you wanted. We had established that the operational risk register is
very large.

If you could clarify which register(s) it is you want, I will consider
your request again.

Yours sincerely

Hilary Pook
Communications & Records Manager
Local Government Ombudsman's Office
Tel: 020 7217 4734
www.lgo.org.uk

NOTICE - This message contains information intended only for the use of
the addressee named above. If you have received this message in error
please advise us at once and do not make any use of the information.

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Stuart Hardwicke CARRUTHERS

Dear Hilary Pook,

The other two registers were requested.. as well as bits of the operational register if they exist (it is probably easiest if an index of the operational register exists) for that to be forwarded.. ie. two registers and index to operational register.

Yours sincerely,

Stuart Hardwicke CARRUTHERS

Hilary Pook, The Local Government and Social Care Ombudsman

Dear Mr Hardwicke Carruthers

As mentioned before, the specific items you were requesting don't exist
on the operational risk register. I will look into the possibility of
providing an index.

There is also a strategic risk register and the third type is a project
or programme risk register. This isn't one register, but these are set
up for specific projects. I will find out what project registers exist
and let you know.

Yours sincerely

Hilary Pook
Communications & Records Manager
Local Government Ombudsman's Office
Tel: 020 7217 4734
www.lgo.org.uk

NOTICE - This message contains information intended only for the use of
the addressee named above. If you have received this message in error
please advise us at once and do not make any use of the information.

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Stuart Hardwicke CARRUTHERS

Dear Hilary Pook,

Yes.. the strategic risk register was requested.. as was the projects register.. and bits of the operational register..

Yours sincerely,

Stuart Hardwicke CARRUTHERS

Hilary Pook, The Local Government and Social Care Ombudsman

3 Attachments

Dear Mr Hardwicke Carruthers

I attach redacted copies of the strategic risk register and the
operational risk register.
There is only one project risk register at the moment - in relation to
our replacement complaint management system (COIN). The reason why I am
not sending this register, and why the registers I am sending are
redacted, are given in the accompanying S.36 certificate from Nigel
Karney.

I trust this now completes our response to your request, but if you feel
I have not dealt properly with your request, you have the right to
appeal and, should you wish to do so, I can supply a copy our internal
complaints procedure. You also have the right to apply to the
Information Commissioner to determine whether your request has been
properly dealt with. You should note however that the Commissioner will
not consider any complaint where you have not first exhausted our
internal complaints process or where there has been undue delay in
contacting him. You will be able to obtain further details of the
Information Commissioner's role from the website on www.ico.gov.uk.

Yours sincerely

Hilary Pook
Communications & Records Manager
Local Government Ombudsman's Office
Tel: 020 7217 4734
www.lgo.org.uk

NOTICE - This message contains information intended only for the use of
the addressee named above. If you have received this message in error
please advise us at once and do not make any use of the information.

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Stuart Hardwicke CARRUTHERS

Dear Hilary Pook,

many thanks for the incomplete information. I'm going to consider the other issues and seek some advice - and will come back to you on these after reflection.

Yours sincerely,

Stuart Hardwicke CARRUTHERS

Stuart Hardwicke CARRUTHERS

Dear Sir or Madam,

Following conversations.. I would like to request review of the s36 decision of KARNEY this is on the following grounds... the information is needed to allow full and frank examination of the role and effectiveness of the Local Government Ombudsmen and their discretionery decisions. There is identifiable consumer disatisfaction, and Council's habitually reject their recommendations.

There is nothing to stop frank deliberation and provision of advice - there are perceived failures in the service... the registers should identify how the CLAE intend to correct these.

Review of the s43 refusal is also requested. The IT system will seek to address identifiable failures in the LGO service, and the architecture including views will identify how these are to be addressed. Complainants are a valid user group who should be involved in any design of an IT&T system - otherwise the system is merely used to meet organisational needs.

I am unable to understand how Nigel KARNEY can be authorised by a government department to make decisions on what information to release.. when the CLAE and the LGO have no links with a government department (apart from budgetry). My understanding is that KARNEY is an employee of the CLAE.. Could you provide clarification on this point.

Yours sincerely,

Stuart Hardwicke CARRUTHERS

Hilary Pook, The Local Government and Social Care Ombudsman

1 Attachment

Dear Mr Hardwicke Carruthers

This is to confirm receipt of your request for a review. I have passed
your request to Mr Karney. I attach a copy of our complaints leaflet for
information.

Yours sincerely

Hilary Pook
Communications & Records Manager
Local Government Ombudsman's Office
Tel: 020 7217 4734
www.lgo.org.uk

NOTICE - This message contains information intended only for the use of
the addressee named above. If you have received this message in error
please advise us at once and do not make any use of the information.

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Stuart Hardwicke CARRUTHERS

Dear Hilary Pook & Mr Karney,

The request for internal review and required determination is overdue. Would you please identify why this is the case. If substantive response should not be made before 13 December 2008 and the information requested released - there will be a need for the Information Commissioner to become involved.

Yours sincerely,

Stuart Hardwicke CARRUTHERS

Stuart Hardwicke CARRUTHERS left an annotation ()

With the ICO

Hilary Pook, The Local Government and Social Care Ombudsman

1 Attachment

Dear Mr Hardwicke Carruthers

Mr J R White has carried out a review of the response to your request
about the risk registers. I attach his letter.

Yours sincerely

Hilary Pook
Communications & Records Manager
Local Government Ombudsman's Office
Tel: 020 7217 4734
www.lgo.org.uk

NOTICE - This message contains information intended only for the use of
the addressee named above. If you have received this message in error
please advise us at once and do not make any use of the information.

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Stuart Hardwicke CARRUTHERS

Dear Hilary Pook,

The failure of the LGO to respond to the Internal Review was made on 13 December 2008 and copied to the LGO.

There is a substantive point - the CLAE identifies that it is an Independent statutory body, as such its activities (and information holdings) are not covered by the FoI act (this includes the LGO's). There is no right to invoke the Public Interest test under FoI.

The LGO is able to withhold information related to a complaint. The reasons why Karney should wish to identify that he was authorised by the Secretary of State to apply the Public Interest test is not a separate issue. The additional information requested was merely to have copies of the documents identifying that the LGO is not independent as it would appear to be asserted by Karney.

Yours sincerely,

Stuart Hardwicke CARRUTHERS

Hilary Pook, The Local Government and Social Care Ombudsman

Dear Mr Hardwicke Carruthers

We have never identified the CLAE as not being covered by the Freedom of
Information Act. If you refer to Schedule 1, Part IV, you will see the
Commission listed as a body covered by the Act.

Applying the public interest test is a requirement if certain exemptions
under the Act are applied - s.36 being one of them.

The question of Mr Karney's authority to apply s.36 is a separate issue.
In your request for a review you said: "I am unable to understand how
Nigel KARNEY can be authorised by a government department to make
decisions on what information to
release.. when the CLAE and the LGO have no links with a government
department (apart from budgetry). My understanding is that KARNEY
is an employee of the CLAE.. Could you provide clarification on
this point."

As this question had not been asked before, Mr White has not considered
it as part his review of Mr Karney's decision. You have asked for the
same information separately. In your request CS/08/0115 you've asked:
"In a letter of about 28 October Nigel Karney, Deputy Chief Executive
and Secretary to the CLAE identified that he had been authorised by
Department of communities and Local government ['DCLG'] to apply a
public interest test to an FoI request please provide a copy of his
authorisation.

Please additionally identify if KARNEY is employed by the CLAE or
DCLG. It is my understanding that the CLAE is independent of
government, and is responsible for its own decisions. Please
confirm if my understanding is correct."

And in your request CS/08/0117 you've asked: " Under Information
Commissioner Notice FS50086128 related to a claim of a s36 exemption by
the Cabinet Office.. the qualified person for the internal review was
identified as having to be a Minister.

As KARNEY claims he is acting under the authorisation of the
Department of Communities and Local Government please provide
copies of all correspondence with the Minister related to the claim
for internal review...

Please additionally provide copies of all correspondence with the
LGO's related to this issue - particularly related to what appears
to be identification that they are not independent and have been
identified as not being independent by a member of their senior
staff."

So, we will deal with this point in our responses to your requests
CS/08/0115 and CS/08/0117.

Yours sincerely

Hilary Pook
Communications & Records Manager
Local Government Ombudsman's Office
Tel: 020 7217 4734
www.lgo.org.uk

NOTICE - This message contains information intended only for the use of
the addressee named above. If you have received this message in error
please advise us at once and do not make any use of the information.

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Stuart Hardwicke CARRUTHERS

Dear Hilary Pook,

There is agreement that the CLAE is covered by the FoI Act. There is dispute that the CLAE is able to rely on any of the provisions related to refusing information based on a public interest test. The issues related to refusal are covered by the CLAE's primary legislation.

Yours sincerely,

Stuart Hardwicke CARRUTHERS

Stuart Hardwicke CARRUTHERS

Dear Sir or Madam,

You will note that it is also thought to be questionable that an LGO can claim to rely on the Public Interest Test..

Mr White as an Local Government Ombudsman if he was independent and impartial would have no view on the issue... he merely determines on the facts in each case if there has been maladministration, and can make recommendations.

If the decisions of an LGO should be inconsistent.. as would be identified through the CLAE registers.. and analysis of risk.. it is in the public interest for this information to be made available...

Additionally, based on the assertions of Mr KARNEY I thought the Minister was making the decision... not an Ombudsman as KARNEY quite clearly stated that he was acting for the Department of Communities and Local Government.

The issues are already with the ICO.

Yours sincerely,

Stuart Hardwicke CARRUTHERS

T Thomas left an annotation ()

If Karney is authorised by a government minister to carry out public interest tests on all FOI requests to the LGO (as he has already asserted).Then any review of Karney' decisions regarding the public interest test should be carried out by the Government minister in question and not the LGO. Why on earth has White got involved when it has damn all to do with him? Unless of course Karney didn't tell you the truth in the first place. Either way there is something seriously wrong here!

Stuart Hardwicke CARRUTHERS left an annotation ()

The issue is partially discussed here..

http://www.amv3.com/forum/viewtopic.php?...

Stuart Hardwicke CARRUTHERS left an annotation ()

DCLG are looking into the authorization:

http://www.whatdotheyknow.com/request/fo...

The Local Government and Social Care Ombudsman

4 Attachments

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From: Hilary Pook
Sent: 29 January 2010 16:47
To: 'Stuart Hardwicke CARRUTHERS'
Subject: RE: Freedom of Information request - Register

Dear Mr Carruthers

I attach a letter and further information relating to the request below.

Yours sincerely

Hilary Pook
Communications & Records Manager | DL: 020 7217 4734 | Local
Government Ombudsman's offfice | 10th Floor | Millbank Tower |
Millbank | London | SW1P 4QP | www.lgo.org.uk |
|

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Richard Taylor left an annotation ()

The above response was sent to the requestor personally; he passed it to the WhatDoTheyKnow team for us to add to this thread.

--

Richard - WhatDoTheyKnow.com volunteer

Trevor R Nunn left an annotation ()

Every time the ICO forces the LGO to supply the information requested the LGO always look for an excuse rather than admit they were wrong in refusing to supply the information in the first place.