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Home > Publications > Special Reports - Access to Official Information > AOI: Monitoring of the non-statutory codes of practice 1994-2005 > Appendix 4 - Statistical information
Year |
Number of complaints investigated |
Complaints upheld |
Complaints partially upheld |
Complaints not upheld |
| 1994 |
5 |
2 |
2 |
1 |
| 1995 |
9 |
7 |
1 |
1 |
| 1996 |
12 |
3 |
2 |
7 |
| 1997-98 |
26 |
8 |
11 |
7 |
| 1998-99 |
20 |
11 |
6 |
3 |
| 1999-00 |
16 |
3 |
12 |
1 |
| 2000-01 |
17 |
7 |
8 |
2 |
| 2001-02 |
20 |
6 |
8 |
6 |
| 2002-03 |
16 |
7 |
8 |
1 |
| 2003-04 |
21 |
9 |
5 |
7 |
| 2004-05 |
46 |
9 |
17 |
20 |
| Totals |
208 |
72 |
80 |
56 |
Note:
(i) Ten investigations in this list concerned complaints about maladministration as well as a refusal to provide access to
government information.
(ii) Year 1997-98 covered the period from 1 January 1997 to 31 March 1998.
(iii) Outcome refers to the decision as to whether or not the Ombudsman upheld the complaint as referred to her.
Department |
Investigations |
| Home Office |
18 |
| Ministry of Defence |
17 |
| Department of Trade and Industry |
17 |
| Department of Health |
14 |
| Department of the Environment, Transport and the Regions |
13 |
| Inland Revenue |
10 |
| Foreign and Commonwealth Office |
10 |
| Department of Transport |
10 |
| Cabinet Office |
8 |
| Department of Social Security |
8 |
| HM Treasury |
5 |
| Department for Education and Employment |
5 |
| Charity Commission |
5 |
| Health and Safety Executive |
5 |
| Scottish Office |
5 |
| Department of the Environment |
4 |
| Ministry of Agriculture, Fisheries and Food |
3 |
| Legal Services Commission |
3 |
| Department for Work and Pensions |
3 |
| HM Customs and Excise |
3 |
| Welsh Office |
3 |
| Commission for Social Care Inspection |
3 |
| Lord Chancellor's Department |
2 |
| Northern Ireland Office |
2 |
| Department for Education and Skills |
2 |
| Office of the Deputy Prime Minister |
2 |
| Department for International Development |
2 |
| HM Land Registry |
2 |
| Arts Council for England |
2 |
| Office for Standards in Education |
2 |
| Export Credits Guarantee Department |
2 |
| Higher Education Funding Council for England |
2 |
| Data Protection Registrar |
1 |
| Department of Culture, Media and Sport |
1 |
| Legal Aid Board |
1 |
| Biotechnology and Biological Sciences Research Council |
1 |
| Housing Corporation |
1 |
| Commission for Racial equality |
1 |
| Commission for the New Towns |
1 |
| Department for Consitutional Affairs |
1 |
| Department for National Heritage |
1 |
| Department of the Registers for Scotland |
1 |
| Disability Rights Commission |
1 |
| Economic and Socail Research Council |
1 |
| National Endowment for Science, Technology and the Arts |
1 |
| Coal Authority |
1 |
| English Sports Council |
1 |
| Cardiff Bay Development Corporation |
1 |
| Total |
208 |
(i) Ten investigations in this list concerned complaints about maladministration as well as a refusal to provide access to
government information.
(ii) The table only includes the principal department complained against. Eight of the cases shown also involved
investigations against other departments. One each against the Foreign Office, the Home Office and HM Treasury, two
against the Department of Trade and Industry and three against the Department for Constitutional Affairs.
(iii)The departments were those in existence at the time of the complaint and several have now either ceased to exist or
evolved into new departments.
Code of Practice on Access to Government Information - exempt categories of information
A number of categories of information are exempt from the commitments to provide information
in the Code. In those categories which refer to harm or prejudice, there is a presumption that
information should be disclosed unless the harm likely to arise from disclosure would outweigh the
public interest in making the information available.
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 Code states that exemptions should 'not be interpreted in a way which causes injustice to
individuals'.
Separate tables are provided for each of the exemptions - excluding those where the Ombudsman
received no complaints of breaches of the Code. Each table shows on the left what part of the
exemption applies (a, b, c, etc. where applicable) and the numbers of the individual cases citing that
Code
| 1. Defence, security and international relations |
Number of times exemption cited |
| a) Information whose disclosure would harm national security or defence. |
8 |
| b) Information whose disclosure would harm the conduct of international relations or affairs. |
18 |
c) Information received in confidence from foreign governments, foreign courts or international organisations.
|
4 |
| |
|
| 2. Internal discussion and advice |
|
Information whose disclosure would harm the frankness and candour of internal discussion, including:
- proceedings of Cabinet and Cabinet 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 departments, public bodies and regulatory bodies.
|
80 |
| 3. Communications with the Royal Household |
|
| Information relating to confidential communications between Ministers and Her Majesty the Queen or other Members of the Royal Household, or relating to confidential proceedings of the Privy Council. |
0 |
| |
|
| 4. Law enforcement and legal proceedings |
|
| a) Information whose disclosure could prejudice the administration of justice (including fair trial), legal proceedings or the proceedings of any tribunal, public inquiry or other formal investigations (whether actual or likely) or whose disclosure is, has been, or is likely to be addressed in the context of such proceedings. |
8 |
b) Information whose disclosure could prejudice the enforcement or proper administration of the law, including the prevention, investigation or detection of crime, or the apprehension or prosecution of offenders.
|
12 |
c) Information relating to legal proceedings or the proceedings of any tribunal, public inquiry or other formal investigation which have been completed or terminated, or relating to investigations which have or might have resulted in proceedings.
|
11 |
| d) Information covered by legal professional privilege. |
11 |
e) Information whose disclosure would harm public safety or public order, or would prejudice the security of any building or penal institution.
|
4 |
f) Information whose disclosure could endanger the life or physical safety of any person, or identify the source of information or assistance given in confidence for law enforcement or security purposes.
|
1 |
g) Information whose disclosure would increase the likelihood of damage to the environment, or rare or endangered species and their habitats.
|
2 |
| |
|
| 5. Immigration and nationality |
|
Information relating to immigration, nationality, consular and entry clearance cases. However, information will be provided, though not through access to personal records, where there is no risk that disclosure would prejudice the effective administration of immigration controls or other statutory provisions.
|
1 |
| |
|
| 6. Effective management of the economy and collection of tax |
|
a) Information whose disclosure would harm the ability of the Government to manage the economy, prejudice the conduct of official market operations, or could lead to improper gain or advantage.
|
4 |
b) Information whose disclosure would prejudice the assessment or collection of tax, duties or National Insurance contributions, or assist tax avoidance or evasion.
|
3 |
| |
|
| 7. Effective management and operations of the public service |
|
a) Information whose disclosure could lead to improper gain or advantage or would prejudice: - the competitive position of a department or other public body or authority;
- negotiations or the effective conduct of personnel management, or commercial or contractual activities;
- the awarding of discretionary grants.
|
18 |
b) Information whose disclosure would harm the proper and efficient conduct of the operations of a department or other public body or authority, including NHS organisations, or of any regulatory body.
|
17 |
| |
|
| 8. Public employment, public appointments and honours |
|
a) Personnel records (relating to public appointments as well as employees of public authorities) including those relating to recruitment, promotion and security vetting.
|
5 |
b) Information, opinions and assessments given in confidence in relation to public employment and public appointments made by Ministers of the Crown, by the Crown on the advice of Ministers or by statutory office holders.
|
3 |
| |
|
| 9. Voluminous or vexatious requests |
|
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.
|
18 |
| |
|
| 10. Publication and prematurity in relation to publication |
|
Information which is or will soon be published, or whose disclosure, where the material relates to a planned or potential announcement or publication, could cause harm (for example, of a physical or financial nature).
|
14 |
| |
|
| 11. Research, statistics and analysis |
|
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.
|
4 |
b) Information held only for preparing statistics or carrying out research, or for surveillance for health and safety purposes (including food safety), and which relates to individuals, companies or products which will not be identified in reports of that
|
0 |
| |
|
| 12. Privacy of an individual |
|
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.
|
29 |
| |
|
| 13. Third party's commercial confidences |
|
Information including commercial confidences, trade secrets or intellectual property whose unwarranted disclosure would harm the competitive position of a third party.
|
32 |
| 14. Information given in confidence |
|
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.
|
25 |
b) Information whose disclosure without the consent of the supplier would prejudice the future supply of such information.
|
16 |
c) Medical information provided in confidence if disclosure to the subject would harm their physical or mental health, or should only be made by a medical practitioner.
|
0 |
| |
|
| 15. Statutory and other restrictions |
|
a) Information whose disclosure is prohibited by or under any enactment, regulation, European Community law or international agreement.
|
14 |
| |
|
| None |
|
| None |
34 |
Notes:
(i) These are exemptions cited by departments, not necessarily those considered by the Ombudsman.
(ii) Departments often cited more than one exemption when refusing to provide access to information.
(iii) ‘None’ refers to cases where no exemptions were cited by the department, e.g. they failed to consider an information request under the Code but, following the Ombudsman's intervention, decided to release the information.
Code of Practice on Access to Government Information - exemption by case number
Exemption 1 |
Defence, Security and International Relations |
1(A) |
A0042_95
A0012_03
A0003_94
A0014_03
A0021_04
A0040_04
A0003_95
A0002_05 |
1(B) |
A0030_95
A0021_96
A0002_00
A0026_01
A0005_03
A0012_03
A0010_04
A0009_04
A0033_04
A0040_04
A0003_05
A0029_04
A0045_04
A0039_04
A0002_05
A0043_04
A0020_05
A0026_05 |
1(C) |
A0015_99
A0045_04
A0009_04
A0031_05 |
Total = 30 |
Exemption 2 |
Internal discussion and advice |
| A0001_94 |
A0013_99 |
A0015_02 |
A0029_04 |
| A0004_94 |
A0016_99 |
A0019_02 |
A0021_04 |
| A0012_95 |
A0021_99 |
A0021_02 |
A0012_04 |
| A0025_95 |
A0023_99 |
A0022_02 |
A0045_04 |
| A0029_95 |
A0031_99 |
A0029_02 |
A0032_04 |
| A0032_95 |
A0002_00 |
A0031_02 |
A0007_04 |
| A0036_95 |
A0008_00 |
A0032_02 |
A0031_04 |
| A0041_95 |
A0014_00 |
A0033_02 |
A0039_04 |
| A0003_96 |
A0029_00 |
A0002_03 |
A0036_04 |
| A0032_96 |
A0016_01 |
A0016_03 |
A0043_04 |
| A0041_96 |
A0020_01 |
A0019_03 |
A0042_04 |
| A0006_97 |
A0026_01 |
A0037_03 |
A0016_05 |
| A0013_97 |
A0028_01 |
A0025_03 |
A0001_05 |
| A0015_97 |
A0030_01 |
A0029_03 |
A0031_05 |
| A0026_97 |
A0032_01 |
A0003_04 |
A0028_05 |
| A0002_98 |
A0002_02 |
A0014_04 |
A0013_05 |
| A0004_98 |
A0005_02 |
A0010_04 |
A0034_05 |
| A0007_98 |
A0006_02 |
A0014_03 |
A0009_05 |
| A0011_99 |
A0011_02 |
A0035_04 |
A0035_05 |
Total = 80 |
Exemption 4 |
Law enforcement and legal proceedings |
4(A) |
A0043_96 |
|
A0023_01 |
|
A0008_99 |
|
A0001_04 |
|
A0027_99 |
|
A0036_04 |
|
A0020_01 |
|
A0042_04 |
|
A0033_01 |
|
A0043_04 |
|
A0010_02 |
|
A0028_05 |
|
A0032_02 |
4(D) |
A0004_96 |
|
A0036_04 |
|
A0013_97 |
4(B) |
A0001_94 |
|
A0002_98 |
|
A0008_94 |
|
A0027_99 |
|
A0034_94 |
|
A0015_02 |
|
A0035_95 |
|
A0024_03 |
|
A0023_99 |
|
A0020_04 |
|
A0027_99 |
|
A0032_04 |
|
A0036_99 |
|
A0035_04 |
|
A0003_00 |
|
A0045_04 |
|
A0023_01
|
|
A0016_05 |
|
A0036_04 |
4(E) |
A0017_94 |
|
A0042_04 |
|
A0027_97 |
|
A0010_05 |
|
A0031_03 |
4(C) |
A0001_94 |
|
A0029_05 |
|
A0004_94 |
4(F) |
A0029_05 |
|
A0032_96 |
4(G) |
A0041_95 |
|
A0013_97 |
|
A0021_99 |
|
A0008_99 |
|
Total = 49 |
Back to top
Exemption 5 |
Immigration and nationality |
A0036_99 |
Total = 1 |
Exemption 6 |
Effective management of the economy and collection of tax |
6(A) |
A0007_94 |
|
A0006_02 |
|
A0011_02 |
|
A0003_04 |
6(B) |
A0007_94 |
|
A0026_97 |
|
A0039_03 |
Total = 7 |
Exemption 7 |
Effective management and operations of the public service |
7(A) |
A0005_94 |
7(B) |
A0005_94 |
| |
A0009_94 |
|
A0040_95 |
| |
A0044_95 |
|
A0041_95 |
| |
A0005_96 |
|
A0006_97 |
| |
A0002_96 |
|
A0027_97 |
| |
A0001_97 |
|
A0008_00 |
| |
A0006_97 |
|
A0020_02 |
| |
A0002_01 |
|
A0014_03 |
| |
A0020_01 |
|
A0019_03 |
| |
A0025_01 |
|
A0021_03 |
| |
A0027_02 |
|
A0022_03 |
| |
A0031_03 |
|
A0022_03 |
| |
A0005_04 |
|
A0014_04 |
| |
A0006_04 |
|
A0015_04 |
| |
A0007_04 |
|
A0018_04 |
| |
A0002_05 |
|
A0034_04 |
| |
A0017_05 |
|
A0036_04 |
| |
A0031_05 |
Total = 32 |
Exemption 8 |
Public employment, public appointments and honours |
8(A) |
A0018_96 |
|
A0032_96 |
|
A0010_02 |
|
A0027_02 |
|
A0028_02 |
8(B) |
A0032_96 |
| |
A0011_05 |
| |
A0013_05 |
| Total = 8 |
Exemption 9 |
Voluminous or vexatious requests |
A0036_95 |
A0003_97 |
A0021_97 |
A0007_99 |
A0027_99 |
A0007_00 |
A0014_00 |
A0014_01 |
A0024_01 |
A0009_02 |
A0027_02 |
A0015_03 |
A0011_04 |
A0019_04 |
A0031_04 |
A0004_05 |
A0038_05 |
Total = 18 |
Back to top
Exemption 10 |
Publication and prematurity in relation to publication |
A0030_96 |
A0042_96 |
A0001_97 |
A0013_01 |
A0016_01 |
A0017_01 |
A0018_01 |
A0019_01 |
A0006_02 |
A0011_02 |
A0013_02 |
A0020_02 |
A0003_04 |
A0031_04 |
Total = 14 |
Exemption 11 |
Research, statistics and analysis |
A0025_95 |
A0035_95 |
A0041_96 |
A0023_99 |
Total = 4 |
Back to top
Exemption 12 |
Privacy of an individual |
A0007_94 |
A0005_95 |
A0028_95 |
A0044_95 |
A0032_96 |
A0026_97 |
A0014_00 |
A0025_00 |
A0004_01 |
A0013_01 |
A0025_01 |
A0028_01 |
A0032_01 |
A0010_02 |
A0015_02 |
A0021_02 |
A0027_02 |
A0028_02 |
A0007_03 |
A0015_03 |
A0016_03 |
A0007_04 |
A0042_04 |
A0004_05 |
|
A0028_05 |
A0029_05 |
A0034_05 |
A0035_05 |
Total = 29 |
Exemption 13 |
Third party's commercial confidences |
A0022_94 |
A0032_01 |
A0001_95 |
A0028_02 |
A0009_95 |
A0014_03 |
A0025_95 |
A0021_03 |
A0029_95 |
A0040_03 |
A0030_95 |
A0041_03 |
A0005_96 |
A0014_04 |
A0021_96 |
A0015_04 |
A0025_97 |
A0016_04 |
A0011_99 |
A0023_04 |
A0013_99 |
A0029_04 |
A0016_99 |
A0036_04 |
A0039_99 |
A0001_05 |
A0031_00 |
A0002_05 |
A0002_01 |
A0029_05 |
A0004_01 |
A0035_05 |
Total = 32 |
Back to top
Exemption 14 |
Information given in confidence |
14(A) |
A0007_94 |
|
A0020_04 |
|
A0029_95 |
|
A0036_04 |
|
A0032_95 |
|
A0010_05 |
|
A0044_95 |
|
A0021_05 |
|
A0034_96 |
|
A0031_05 |
|
A0006_97 |
14(B) |
A0005_94 |
|
A0015_97 |
|
A0007_94 |
|
A0017_99 |
|
A0009_95 |
|
A0008_00 |
|
A0036_95 |
|
A0031_00 |
|
A0006_97 |
|
A0002_01 |
|
A0025_97 |
|
A0004_01 |
|
A0004_01 |
|
A0025_01 |
|
A0025_01 |
|
A0013_02 |
|
A0013_02 |
|
A0015_02 |
|
A0015_02 |
|
A0019_02 |
|
A0021_02 |
|
A0027_02 |
|
A0019_03 |
|
A0003_03 |
|
A0008_04 |
|
|
|
A0014_04 |
|
A0018_04 |
Total = 41 |
Exemption 15 |
Statutory and other restrictions |
A0032_95 |
A0034_96 |
A0037_96 |
A0007_99 |
A0018_99 |
A0004_01
|
A0014_01 |
A0025_01 |
A0019_02 |
A0015_03 |
A0010_04 |
A0018_04 |
A0002_05 |
A0029_05 |
Total = 14 |
None |
A0019_94 |
A0034_99 |
A0004_95 |
A0038_99 |
A0011_95 |
A0041_99 |
A0020_95 |
A0005_00 |
A0024_95 |
A0019_00 |
A0014_96 |
A0030_00 |
A0017_96 |
A0007_01 |
A0027_96 |
A0031_01 |
A0029_96 |
A0018_02 |
A0033_96 |
A0003_03 |
A0038_96 |
A0017_03 |
A0005_97 |
A0013_04 |
A0011_97 |
A0038_04 |
A0023_97 |
A0006_05 |
A0029_97 |
A0015_05 |
A0005_99 |
A0019_05 |
A0012_99 |
A0038_05 |
|
Total = 34 |
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Cases where departments have not complied with the Ombudsman's recommendations
Case
reference
|
Department |
Subject |
| A.28/01 |
Home Office |
Refusal to release the number of times Ministers made declarations of interest and sought advice in accordance with guidelines set out in the Ministerial Code of Conduct |
| A.7/03 |
Cabinet Office and Lord Chancellor's Department |
Refusal to release information relating to the acceptance of gifts by Ministers in accordance with the Ministerial Code of Conduct (the Ministerial Code) |
| A.14/03 |
Department of Health |
Refusal to provide information about the awarding of a contract to supply a stock of smallpox vaccine |
| A.16/03 |
Cabinet Office and Department for Constitutional Affairs |
Failure to provide information relating to potential Ministerial conflicts of interest under the Ministerial Code |
| A.16/05 |
Foreign and Commonwealth Office |
Refusal to provide the date on which the Government first sought legal advice about the legality of military intervention in Iraq |
| A.34/05 |
Cabinet Office |
Refusal to provide information about a business breakfast meeting hosted by the Prime Minister |
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