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Existing Schemes for Providing Access to Information

November 2002

Section 1 - Code of Practice on Access to Government Information

Section 2 - Code of Practice on Openness in the NHS

Section 3 - people's legal rights to obtain personal information held about them by both public and private sector organisations under the Data Protection Act 1998.

Section 4 - legal rights that govern access to environmental information held by public authorities under the 1992 Environmental Information Regulations.

Section 5 - rights that exist to local government information.

Return to the FoI Annual Report 2002

Introduction

This Annex sets out the main access regimes currently in operation which govern how authorities should make information available to the public.

Part 1 reproduces the Code of Practice on Access to Government Information which applies to all central government departments, as well as those non-departmental public bodies who fall within the remit of the Parliamentary Commissioner for Administration (the Parliamentary Ombudsman). A list of the bodies covered by this code of practice can be found on the Ombudsman's website. The code of practice has been in force since 1994 and was revised in 1997. Although it does not provide a statutory right to information it is regulated by the Parliamentary Ombudsman who has the power to investigate breaches of the Code brought to his attention by a Member of Parliament.
Part 2 reproduces the Code of Practice on Openness in the NHS which sets out the basic principles underlying public access to information about the NHS. Like the Code of Practice on Access to Government Information it does not confer a statutory right to information, although complaints can be investigated by the Health Service Ombudsman. More information about the Health Service Ombudsman can be found on the Ombudsman's website.

Part 3 summarises people's legal rights to obtain personal information held about them by both public and private sector organisations under the Data Protection Act 1998. It also explains how to make a subject access request under the Data Protection Act. The list of data controllers can be found online. Further information and guidance about the Data Protection Act can be found either on the LCD website or on the website of the Information Commissioner.

Part 4 summarises the legal rights that govern access to environmental information held by public authorities under the 1992 Environmental Information Regulations. More information about these can be found on the website of the Department for the Environment, Food and Rural Affairs.

Part 5 summarises the rights that exist to local government information. The Local Government Act 1972 and The Local Authorities (Executive Arrangements) (Access to Information) (England) Regulations 2000 set out the public's rights of access to the agendas, minutes and papers of meetings of principle councils (district, borough, and county councils) when these met in public, and to the background papers officers rely on when drawing up their reports. There are also rights of access to papers used in decision taking by some individuals. The public can also inspect the bills, receipts, and invoices issues and received by the council at the time of the annual audit under the Accounts and Audit Regulations 1996.

Section 1 Open Government Code of Practice on Access to Government Information Second Edition (1997)

Part 1

• Purpose

1 This code of practice supports the Government's policy under the Citizen's Charter of extending access to official information, and responding to reasonable requests for information. The approach to release of information should in all cases be based on the assumption that information should be released except where disclosure would not be in the public interest, as specified in Part II of this Code.

2 The aims of the Code are:

to improve policy-making and the democratic process by extending access to the facts and analyses which provide the basis for the consideration of proposed policy;
to protect the interests of individuals and companies by ensuring that reasons are given for administrative decisions, except where there is statutory authority or established convention to the contrary; and

to support and extend the principles of public service established under the Citizen's Charter.

These aims are balanced by the need:

to maintain high standards of care in ensuring the privacy of personal and commercially confidential information; and

to preserve confidentiality where disclosure would not be in the public interest or would breach personal privacy or the confidences of a third party, in accordance with statutory requirements and Part II of the Code.

• Information the Government will release

3 Subject to the exemptions in Part II, the Code commits departments and public bodies under the jurisdiction of the Parliamentary Commissioner for Administration (the Ombudsman):(1)

i. to publish the facts and analysis of the facts which the Government considers relevant and important in framing major policy proposals and decisions; such information will normally be made available when policies and decisions are announced;

ii. to publish or otherwise make available, as soon as practicable after the Code becomes operational, explanatory material on departments' dealings with the public (including such rules, procedures, internal guidance to officials, and similar administrative manuals as will assist better understanding of departmental action in dealing with the public) except where publication could prejudice any matter which should properly be kept confidential under Part II of the Code;

iii. to give reasons for administrative decisions to those affected;(2)

iv. to publish in accordance with the Citizen's Charter:

lifull information about how public services are run, how much they cost, who is in charge, and what complaints and redress procedures are available; and
full and, where possible, comparable information about what services are being provided, what targets are set, what standards of service are expected and the results achieved.

iv. to release, in response to specific requests, information relating to their policies, actions and decisions and other matters related to their areas of responsibility.

4 There is no commitment that pre-existing documents, as distinct from information, will be made available in response to requests. The Code does not require departments to acquire information they do not possess, to provide information which is already published, or to provide information which is provided as part of an existing charged service other than through that service.

• Responses to requests for information

5 Information will be provided as soon as practicable. The target for response to simple requests for information is 20 working days from the date of receipt. This target may need to be extended when significant search or collation of material is required. Where information cannot be provided under the terms of the Code, an explanation will normally be given.

• Scope

6 The Code applies to those government departments and other bodies within the jurisdiction of the Ombudsman (as listed in Schedule 2 to the Parliamentary Commissioner Act 1967). (3) The Code applies to agencies within departments and to functions carried out on behalf of a department or public body by contractors. The Security and Intelligence Services are not within the scope of the Code, nor is information obtained from or relating to them.

• Charges

7 Departments, agencies and public bodies will make their own arrangements for charging. Details of charges are available from departments on request. Schemes may include a standard charge for processing simple requests for information. Where a request is complex and would require extensive searches of records or processing or collation of information, an additional charge, reflecting reasonable costs may be notified.

• Relationship to statutory access rights

8 This Code is non-statutory and cannot override provisions contained in statutory rights of access to information or records (nor can it override statutory prohibitions on disclosure). Where the information could be sought under an existing statutory right, the terms of the right of access takes precedence over the Code. There are already certain access rights to health, medical and educational records, to personal files held by local authority housing and social services departments, and to personal data held on computer. There is also a right of access to environmental information. It is not envisaged that the Ombudsman will become involved in supervising these statutory rights.

The White Paper on Open Government (Cm 2290) proposed two new statutory rights to information:

an access right to personal records, proposed in Chapter 5; and

an access right to health and safety information, proposed in Chapter 6.

Where a statutory right is proposed but has yet to be implemented, access to relevant information may be sought under the Code, but the Code should not be regarded as a means of access to original documents or personal files.

• Public records

9 The Code is not intended to override statutory provisions on access to public records, whether over or under thirty years old. Under s12(3) of the Parliamentary Commissioner Act 1967, the Ombudsman is not required to question the merits of a decision if it is taken without maladministration by a government department or other body in the exercise of a discretion vested in it. Decisions on public records made in England and Wales by the Lord Chancellor, or in Scotland and Northern Ireland by the Secretary of State, are such discretionary decisions.

• Jurisdiction of courts, tribunals or inquiries

10 The Code only applies to Government-held information. It does not apply to or affect information held by courts or contained in court documents. ('Court' includes tribunals, inquiries and the Northern Ireland Enforcement of Judgements Office). The present practice covering disclosure of information before courts, tribunals and inquiries will continue to apply.

• Investigation of complaints

11 Complaints that information which should have been provided under the Code has not been provided, or that unreasonable charges have been demanded, should be made first to the department or body concerned. If the applicant remains dissatisfied, complaints may be made through a Member of Parliament to the Ombudsman. Complaints will be investigated at the Ombudsman's discretion in accordance with the procedures provided in the 1967 Act. (4)

1 In Northern Ireland, the Parliamentary Commissioner for Administration and the Commissioner for Complaints.

2 There will be a few areas where well-established convention or legal authority limits the commitment to give reasons, for example certain decisions on merger and monopoly cases or on whether to take enforcement action.

3 In Northern Ireland the Code applies to public bodies under the jurisdiction of the Northern Ireland Parliamentary Commissioner for Administration and the Commissioner for Complaints, with the exception of local government and health and personal social services bodies, for which separate arrangements are being developed as in Great Britain. Some Northern Ireland departments and bodies are expressly subject to the jurisdiction of the Parliamentary Commissioner under the 1967 Act.

Footnotes 1-4: Separate arrangements will apply in Northern Ireland.

Part 2

• Reasons for confidentiality

The following categories of information are exempt from the commitments to provide information in this Code. In those categories which refer to harm or prejudice, the presumption remains 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 exemptions will not be interpreted in a way which causes injustice to individuals.

1 Defence, security and international relations

a. Information whose disclosure would harm national security or defence.

b. Information whose disclosure would harm the conduct of international relations or affairs.

c. Information received in confidence from foreign governments, foreign courts or international organisations.

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;

confidential communications between departments, public bodies and regulatory bodies.

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.

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.

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.

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.

d. Information covered by legal professional privilege.

e. Information whose disclosure would harm public safety or public order, or would prejudice the security of any building or penal institution.

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.

g. Information whose disclosure would increase the likelihood of damage to the environment, or rare or endangered species and their habitats.

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.

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.

b Information whose disclosure would prejudice the assessment or collection of tax, duties or National Insurance contributions, or assist tax avoidance or evasion.

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; and
the awarding of discretionary grants.

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.

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.

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.

c. Information, opinions and assessments given in relation to recommendations for honours.

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.

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).

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.

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 research or surveillance, or in published statistics.

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.

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.

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.

b. Information whose disclosure without the consent of the supplier would prejudice the future supply of such information.

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.

15 Statutory and other restriction

a. Information whose disclosure is prohibited by or under any enactment, regulation, European Community law or international agreement.

b. Information whose release would constitute a breach of Parliamentary Privilege.

Section 2

Code of Practice on Openness in the NHS (1995)

Part I: Basic Principles

1 Introduction

This code of practice sets out the basic principles underlying public access to information about the NHS. It reflects the Government's intention to ensure greater access by the public to information about public services and complements the Code of Access to Information which applies to the Department of Health, including the NHS Executive. It also builds on the progress already made by the Patient's Charter which sets out the rights of people to a range of information about the NHS.

Because the NHS is a public service, it should be open about its activities and plans. So, information about how it is run, who is in charge and how it performs should be widely available. Greater sharing of information will also help to foster mutual confidence between the NHS and the public. The basic principle of this Code is that the NHS should respond positively to requests for information, except in certain circumstances identified in the Code. For example, patients' records must be kept safe and confidential.

2 Scope

The code of practice covers the following NHS organisations in England: Regional Health Authorities, Family Health Services Authorities, District Health Authorities, Special Health Authorities, NHS Trusts, the Mental Health Act Commission and Community Health Councils. It also covers family doctors, dentists, optometrists (opticians) and community pharmacists. Specific requirements for most of these organisations are detailed in parts 2-5 below. Organisations not covered in these sections must apply the general principles of the Code in their dealings with the public.

3 Aims

The aims of the Code are to ensure that people:

have access to available information about the services provided by the NHS, the cost of those services, quality standards and performance against targets;
are provided with explanations about proposed service changes and have an opportunity to influence decisions on such changes;
are aware of the reasons for decisions and actions affecting their own treatment; and
know what information is available and where they can get it.

4 General Principles

In implementing the Code, the NHS must:

respond positively to requests for information (except in the circumstances identified in paragraph 9);
answer requests for information quickly and helpfully, and give reasons for not providing information where this is not possible;
help the public to know what information is available, so that they can decide what they wish to see, and whom they should ask; and
ensure that there are clear and effective arrangements to deal with complaints and concerns about local services and access to information, and that these arrangements are widely publicised and effectively monitored.

5 Information Which Must be Provided

Apart from the exemptions set out in paragraph 9 below, NHS trusts and authorities must publish or otherwise make available the following information:

information about what services are provided, the targets and standards set and results achieved, and the costs and effectiveness of the service;
details about important proposals on health policies or proposed changes in the way services are delivered, including the reasons for those proposals. This information will normally be made available when proposals are announced and before decisions are made;
details about important decisions on health policies and decisions on changes to the delivery of services. This information, and the reasons for the decisions, will normally be made when the decisions are announced;
information about the way in which health services are managed and provided and who is responsible;
information about how the NHS communicates with the public, such as details of public meetings, consultation procedures, suggestion and complaints systems;
information about how to contact Community Health Councils and the Health Service Commissioner (Ombudsman); and
information about how people can have access to their own personal health records.

6 Response to Requests for Information

Requests for information, whether made in person or in writing, must be answered promptly. An acknowledgement must be sent within 4 working days and, where possible, the information should follow within 20 working days. NHS organisations are not required to make available:

ii. information which the organisation does not possess (e.g. comparable data with other organisations); and

iii. individual copies of documents or other forms of information which are already widely publicly available.

If the information is not to be provided under the terms of the Code, an explanation must be provided within 20 working days of receipt of the request. Each NHS organisation must publish the name of an individual who has responsibility for the operation of this code of practice. This should be a senior officer directly accountable to the Chief Executive of the organisation. Details of how to request information through this individual must also be publicised locally.

7 Charging for Information

NHS Trusts and Authorities may make a charge for providing information but are not required to do so. It is recommended that charging should be exceptional but that where charges are made the following ground rules should be observed:

a. no charge for individuals enquiring about services or treatment available to them; press and other media; Community Health Councils; MPs; Local Authorities; Citizen's Advice Bureaux; and

b. for requests from people not listed above, no charge for the first hour and a charge not exceeding £20 per hour for each hour thereafter.

8 Personal Health Records

The NHS must keep patients' personal details confidential but people normally have a right to see their own health records. Depending on who made the records, patients can obtain access through the relevant Trust, Health Authority, family doctor or dentist. Access must be given within the timetable in the Access to Health Records Act 1990 (or, for records held on computer, the Data Protection Act 1984). Under these Acts, patients may be charged for access to their records.

9 Information Which May be Withheld

NHS Trusts and Authorities must provide the information requested unless it falls within one of the following exempt categories:

i. Personal information. People have a right of access to their own health records but not normally to information about other people.

ii. Requests for information which are manifestly unreasonable, far too general, or would require unreasonable resources to answer.

iii. Information about internal discussion and advice, where disclosure would harm frank internal debate, except where this disclosure would be outweighed by the public interest.

iv. Management information, where disclosure would harm the proper and effective operation of the NHS organisation.

v. Information about legal matters and proceedings, where disclosure would prejudice the administration of justice and the law.

vi. Information which could prejudice negotiations or the effective conduct of personnel management or commercial or contractual activities. This does not cover information about internal NHS contracts.

vii. Information given in confidence. The NHS has a common law duty to respect confidences except when it is clearly outweighed by the public interest.

viii. Information which will soon be published or where disclosure would be premature in relation to a planned announcement or publication.

ix. Information relating to incomplete analysis, research or statistics where disclosure could be misleading or prevent the holder from publishing it first.

10 Complaining About the Provision of Information

People may wish to complain about a decision to refuse to provide information, a delay in providing information or levels of charges. In the first instance, complaints should be made within 3 months to the local individual responsible for the operation of the Code (see paragraph 6 above). If the complainant remains dissatisfied, a complaint should be made to the Chief Executive of the organisation, or the Chief Executive of the Family Health Services Authority in the case of family doctors, dentists, pharmacists and optometrists (opticians). Community Health Councils may be able to help people to pursue their complaint. NHS Trusts and Authorities must acknowledge complaints within 4 working days and reply within 20 working days.

The NHS Trust or Authority will provide people with information about how to take their complaint further to the Health Service Ombudsman if they remain dissatisfied.

11 Implementation of the Code of Practice

The NHS organisations described in paragraph 2 above must implement the code of practice from 1 June 1995. Detailed guidance notes, to help them respond to requests for information in accordance with the code, will be available by the implementation date.

Part 2: NHS Trusts

1 Introduction

This section describes the information which NHS Trusts must publish or make available. It also lists examples of information which it is recommended should be made available as a matter of good practice, either through publication or on request.

2 Information Which Must be Published

The following are the documents which Trusts must publish by given dates:

an annual report describing the Trust's performance over the previous financial year, and including details of board members' remuneration; the report should be written and presented in a way that can be readily understood by the general public;
an annual summary of the Trust's business plan, describing the Trust's planned activity for the coming year;

a summary strategic direction document (not published annually), setting out the Trust's longer term plans for the delivery of health care services over a five year period; and

audited accounts published annually.

In addition to the documents described above, NHS Trusts must also make available, on request:

the register of board members' private interests required under the Code of Accountability for NHS boards; and
such information as is required by the Patient's Charter and NHS performance tables.

2.1 Public Meetings

NHS Trusts must hold at least one public meeting a year. An agenda, papers, the accounts and the annual report must be publicly available at least 7 days in advance of the meeting. Provision must be made for questions and comments to be put by the public. Public meetings must be held in readily accessible venues and at times when the public are able to attend. Providing the public with access to more frequent general meetings or to board meetings is good practice already followed by an increasing number of Trusts.

3 Good Practice in Providing Information

3.1 Examples of Additional Information Which May be Published

quarterly board reports (financial, activity, quality and contract information);

Patient's Charter

local performance against national targets;

local performance against local targets;

information on service changes;

agenda and papers relating to other meetings held in public in addition to the Annual Public Meeting.

3.2 Examples of Information Which May be Available on Request

The following list is a guide to some of the information which is routinely held by most NHS Trusts. Much of the information will be detailed in the previous year's annual report. Where more up-to-date information is available, this may be given:

patient information leaflets;

description of facilities (numbers of beds, operating theatres etc);

performance against Patient's Charter national and local standards and targets;

waiting times by specialty;

detailed information on activity;

broad conclusions of clinical audit;

number and percentage of operations cancelled, by specialty;

price lists for extra-contractual referrals;

information about clinicians (including qualifications, areas of special interest, waiting times for appointment);

areas which have been market-tested, with details of decisions reached;

tenders received by value, but not by name of tenderer;
information on manpower and staffing levels and staff salaries by broad bandings;

policies for Trust staff, e.g. equal opportunities, standards of conduct;

environmental items, e.g. fuel usage;

volume and categories of complaints and letters of appreciation (without identifying individuals), and performance in handling complaints;

results of user surveys and action to be taken;

standing orders and waivers of standing orders;

standing financial instructions;

external audit management letter, and Trust response, at the time when response is made;

details of administrative costs;

funds held on trust, such as bequests and donations;

performance against quality standards in contracts;

clinical performance, by specialty, e.g. proportion of surgery done on day surgery basis, by condition;

performance against national and local targets for inpatient and day case waiting times;
names and contact (office) numbers of board members and senior officers;

basic salaries, i.e. excluding PRP and distinction awards, of staff, by bandings and in anonymised form;

response times for ambulances; and

information about the use of outside management consultants, including expenditure.

4 Procedures for Obtaining Information

Trusts must ensure that people know whom to ask for information. They must publish the name of the person responsible, along with full details of how to go about obtaining information and how to complain if the information is not provided. The person responsible should be a senior officer who is directly accountable to the Chief Executive of the Trust.

Part 3: Purchasers of Healthcare: District Health Authorities and Family Health Services Authority

1 Introduction

Purchasers have an essential role in the successful development of local services and achieving a strategic balance of care. The purchasers covered by this section are District Health Authorities, Family Health Services Authorities and District Health Authorities and Family Health Services Authorities acting jointly. (parts 4 and 5 give complementary advice for General Practitioner Fundholders).

This section describes the information which they must publish or make available. It also lists examples of information which it is recommended is made available as a matter of good practice, either through publication or on request.

2 Information Which Must be Published

2.1 District Health Authorities/Family Health Services Authorities

The following are the documents which Authorities must publish by given dates:

an annual report, describing the performance over the previous financial year, and including details of board members' remuneration; the report should be in a form that can be readily understood by the general public;

an annual report by the Director of Public Health;

an annual report on performance against Patient's Charter rights and standards;

a full list of General Medical Practitioners, General Dental Practitioners, pharmacists and optometrists in their locality;

papers, agendas and minutes of board meetings held in public;

audited accounts published annually; and

a strategy document (not published annually) setting out the health authority's plans over a five year period. They must consult with the public before and after developing the strategy.

In addition to the documents described above, authorities must also make available, on request:

annual purchasing plans;

contracts with providers, both NHS and non-NHS;

the register of board members' private interests required under the Code of Accountability for NHS boards; and

such information as is required by the Patient's Charter.

2.2 Public Meetings

District Health Authorities and Family Health Services Authorities must hold all their board meetings in public, though there is provision for certain issues (e.g. personnel and commercial matters) to be taken in a private part of the meeting. The agenda for these meetings must always be provided to the press and on request to members of the public. Public meetings must be held in easily accessible venues, and at times when the public are able to attend.

2.3 Consultation

District Health Authorities must consult with the Community Health Council and other interested parties on any plans to change the service which they purchase or plan for their residents.

They must publish well in advance a timetable to enable the public to know when and how they can influence the commissioning process.

3 Good Practice in Providing Information

3.1 Examples of Additional Information Which May be Published

information on services purchased by the Authority;

information about consultation exercises undertaken and outcomes;

full reports of any user or attitude surveys and action to be taken;

total available financial resources;

District Health Authority allocation;

Family Health Services Authority allocation;

proposed and actual expenditure on services, analysed by:

- providers;

- contracts (including by specialty, if available);

- treatments purchased separately from contracts (extra contractual referrals);

changes in providers and contracts from previous years;

performance against quality standards in contracts;

clinical performance, by specialty, of providers contracted with, e.g. proportion of surgery done on day surgery basis, by condition;

performance against national and local targets for in-patient and day case waiting times;

numbers of complaints dealt with and response times;

names and contact (office) numbers of Authority board members and senior officers;

basic salaries i.e. excluding PRP and distinction awards, of staff, by bandings and in anonymised form; and

information about the use of outside management consultants, including expenditure.

3.2 Examples of Information Which May be Available on Request

future year resource plans;

information about expenditure on different types of healthcare, such as primary, secondary or community care;

price comparisons of all providers used by the purchaser;

total expenditure per head of population;

costs of authority administration;

standing orders and waivers of standing orders;

standing financial instructions; and

external audit management letter, and response, at the time when the response is made.

4 Procedures for Obtaining Information

Authorities must ensure that people know whom to ask for information. They must publish the name of the person responsible, along with full details of how to go about obtaining information and how to complain if the information is not provided. The person responsible should be a senior officer who is directly accountable to the Chief Executive of the Authority.

Part 4: General Medical Practitioners; General Dental Practitioners, Community Pharmacists and Optometrists

1 Introduction

This section describes the information which General Medical Practitioners, General Dental Practitioners, Community Pharmacists and Optometrists must publish or make available. It also describes the information about these services which Family Health Services Authorities must provide. In addition, the section lists examples of information which it is recommended Family Health Services Authorities should publish or make available on request as a matter of good practice.

General Medical Practitioners, General Dental Practitioners, Community Pharmacists and Optometrists provide services to the public which are paid for by the NHS. The public should therefore have access to information about services they provide. Although they are self-employed independent contractors, and cannot therefore be required to publish sensitive information about their businesses, their contracts for services specify information that is important to patients and which must be made available.

2 Information Which Must be Published

The following are the statutorily required documents which must be published.

2.1 General Medical Practitioners

Practice Leaflets - Essential information for patients about individual doctor's practices is published in practice leaflets which can be obtained from the practice or the Family Health Services Authority. These must contain the following information:

details of availability (including arrangements for cover when the General Practitioner is not available), appointments system and how to obtain an urgent appointment or home visit;

arrangements for obtaining repeat prescriptions and dispensing arrangements;

frequency, duration and purpose of clinics;

numbers and roles of other staff employed by the practice, and information about whether the General Practitioner works alone, part-time or in partnership;

details of services available - for example, child health surveillance, contraception, maternity, medical, minor surgery, counselling and physiotherapy;

details of arrangements for receiving and responding to patient's comments and complaints;

geographical boundary of the practice area; and

details of access for the disabled.

In addition, some leaflets also:

contain information about Patient's Charter standards;

contain information detailing any other professional staff employed by the practice, including their registration status; and

are available in languages other than English which are commonly used locally.

2.2 General Dental Practitioners

Practice Leaflets - Essential information for patients about individual dental practices is published in practice leaflets which can be obtained from the practice or the Family Health Services Authority. These contain:

name, sex and date of registration as a dental practitioner;

address, opening hours and details of partners/associates;

whether a dental hygienist is employed;

details of access to the premises;

whether only orthodontic treatment is available;

with consent, whether the dentist speaks any languages in addition to English; and

General Dental Practitioners are required to inform patients of any emergency arrangements in place.

Charges

General Dental Practitioners must provide patients with individual costed treatment plans. They must display a notice of the scale of NHS charges and information about entitlement to exemption from or remission of charges.

It is good practice:

to provide information about their cross-infection control procedures, giving examples as appropriate.

2.3 Community Pharmacists

Practice Leaflets - Pharmacists are not obliged to produce practice leaflets but those dispensing more than 1500 prescriptions a month normally do so. These leaflets detail the range of services available to the public and, if produced, must contain the following information:

a list of services provided by the pharmacist;

name, address and telephone number of the pharmacy;

normal opening hours and arrangements for out of hours services and emergencies; and

procedures for receiving comments on services provided.

As good practice:

an increasing number of Community Pharmacists make health promotion leaflets available to the public.

2.4 Optometrists

Optometrists are not currently required to produce practice leaflets, but many do so as a matter of good practice.

Results of Eye-Tests

Optometrists must provide patients with a copy of the results of their eye-tests (i.e. their prescription) or a statement that no prescription is required.

2.5 Family Health Services Authorities

Directory of Local Services - A list of all General Medical Practitioners, General Dental Practitioners, Community Pharmacists and Optometrists must be published by Family Health Services Authorities. This contains details of all Practitioners in the area and includes information about out of hours services by pharmacists. Local General Practitioner Practice Charters are also available from Family Health Services Authorities.

Changing family doctors

Information must be provided to help people wishing to change their family doctor. It is good practice to publish this information in a leaflet.

2.6 Personal Records

All Family Health Services Authority contractors must allow a patient access to their own health records under the Data Protection Act 1984 and the Access to Health Records Act 1990.

3 Information from Family Health Services Authorities

A Family Health Services Authority is well placed to take an overview of primary care services in its area and the following indicates additional information which may be provided.

3.1 Information about General Medical Practitioners

Within the restriction outlined in paragraph 1.2 about confidential contractual information, Family Health Services Authorities (or Health Commissions) may make available aggregate information about General Medical Practitioners in respect of:

• Spend:

expenditure on General Medical Services; and

prescribing.

• Numbers:

average list size of General Medical Practitioners;

primary health care teams;

aggregated numbers of district nurses, health visitors and midwives attached to practices; and

aggregated number of practice nurses.

• Service Information:

aggregated numbers of fundholding practices;

aggregated levels of immunisation;

aggregated levels of screening for cervical cytology;

percentage of practices achieving top targets for smears and vaccinations;

achievement of health promotion targets (percentage achieving band 3);

information about type of premises (e.g. main surgeries, branch surgeries); and

percentage of practices with General Practitioner Practice Charters in place.

Initiatives:

initiatives to promote the work of primary care teams; and

involvement of General Practitioners in purchasing.

Complaints:

numbers;

response times;

people's rights as patients; and

how people can make complaints.

3.2 Information about Dentists

Numbers and location of NHS dentists, including details of late opening and specialist services offered.

3.3 Information about Community Pharmacists

Numbers and location of pharmacists, and those offering:

late opening;

oxygen supplies;

supplies to residential homes;

health promotion information;

out of hours services for urgent prescriptions; and

needle exchange facilities.

3.4 Information about Optometrists

Numbers and location of optometrists, and those offering:

late opening; and

domiciliary visits to carry out sight tests.

4 Information Which Must Not be Disclosed Without the Agreement of Individual Family Health Service Contractors

Commercially sensitive data relating to the operation of a practice as a business, e.g. salaries, buildings; and
• information on specific practices, where the disclosure has not been agreed with the practices concerned.

5 Procedures for Obtaining Information

Information about individual General Medical Practitioners, General Dental Practitioners, Pharmacists and Optometrists and their practice leaflets must be available from the practice. Family Health Services Authorities must ensure that people know whom to ask for additional information. The Authority should publish the name of the person responsible. This should be a senior officer who is directly accountable to the Chief Executive of the Authority.

Complaints about failure to obtain information should be dealt with as far as possible by the practice. If the complainant remains dissatisfied he/she should be directed to the Family Health Services Authority. The assistance of the Community Health Council may also be sought.

Part 5: General Practitioner Fundfolders

1 Introduction

This section extends Part 4 and describes the additional information which General Practitioner Fundholders, as purchasers of services, must publish or make available. The requirements of Part 4 relating to General Medical Practitioners also apply to General Practitioner Fundholders, in their role as providers of General Medical Services (GMS).

2 Information Which Should be Published

The following are the documents which General Practitioner Fundholders should publish or make available by given dates:

plans for major shifts in purchasing;

annual practice plan describing how the practice intends to use its fund and management allowances over the coming year and demonstrating the practice's contribution to national targets and priorities as well as any locally-agreed objectives. The plan should include an outline longer term view and may optionally include the practice's primary health care team charter (Practice Charter) and plans for the practice's general medical services (GMS) activity;

Practice Charter (if available and not included above);

annual performance report; and

audited annual accounts.

• Consultation

General Practitioner Fundholders must ensure that a copy (or a summary) of their major shifts in purchasing intentions, annual plans, Practice Charter (if separate) and performance reports is available at their practice for consultation by patients. A copy of the above documents should be sent to the Family Health Services Authority and a copy (or a summary) to the local Community Health Council.

In addition, General Practitioner Fundholders are required to produce annual accounts for audit. Once audited, these are public documents and are available for inspection at the Family Health Services Authority. General Practitioner Fundholders are developing a range of models for involving patients in service planning. The NHS Executive will be publishing examples of best practice in this area later in 1995. General Practitioner Fundholders should ensure that they have effective complaints procedures in place.

3 Procedures for Obtaining Information

Information about individual practices should be requested direct from the practice. Complaints about failure to provide information should be dealt with as far as possible by the practice.

If the complainant remains dissatisfied he/she should be directed to the Family Health Services Authority.

The assistance of the Community Health Council may also be sought.

Requests for information which is not about an individual practice should be directed to the Family Health Services Authority. They must ensure that they publicise the name of the officer within the Family Health Services Authority who is responsible for providing this information and for the operation of the code of practice. This should be a senior officer who is directly accountable to the Chief Executive of the Authority.

Section 3

Individuals' Right of Access to their Personal Data under the Data Protection Act 1998

The Data Protection Act 1998, which covers both the public and the private sector throughout the United Kingdom, sets the rules with which organisations holding information about living individuals on computer or in structured manual records must comply. This information is called 'personal data' and the organisations are known as 'data controllers'. At the core of the rules are the Act's data protection principles (a form of statutory code of good data handling practice). The principles require personal data to be:

processed fairly and lawfully;

processed only for limited purposes;

adequate, relevant and not excessive;

accurate;

not kept longer than necessary ;

processed in accordance with individuals' rights;

kept secure; and

not transferred to non-EEA countries without adequate protection.

Central among the rights which the Act provides is that for individuals to find out what information is held about them and to obtain a copy of that information. This is known as the right of subject access. There is also a right to have inaccurate data corrected, blocked, erased or destroyed, and to seek compensation through the courts for damage and associated distress caused by such inaccuracy, or by any other contravention of the Act. There are a number of exemptions to the right of subject access.

Subject to some exemptions, data controllers are required to notify the Information Commissioner of the processing of personal data that they do. The Information Commissioner is the independent data protection supervisory authority who has responsibility for administering and enforcing the Act; provides advice and publishes guidance about the Act, deals with complaints about possible breaches of the Act and manages the notification scheme.

To apply for a copy of the information held about you, write to the 'data protection officer' of the organisation you are interested in. Although there is no statutory requirement for you to do so, it would be helpful to say that you are applying under section 7 of the Data Protection Act 1998 for access to any personal data about yourself. If the organisation has different offices or branches and you're not sure which to write to, telephone first and ask. Alternatively, contact the Information Commissioner's office or look at the organisation's entry on the register of data controllers held by the Information Commissioner. This can be found on the Internet. Except for certain medical, education and credit reference records, data controllers may charge a maximum fee of £10 for providing subject access.

Further information and guidance about the Data Protection Act can be obtained from either the LCD website or from the Office of the Information Commissioner at the address below:

The Office of the Information Commissioner
Wycliffe House
Water Lane
Wilmslow
Cheshire SK9 5AF
Tel: 01625-545745

The Commissioner also has a website containing information and guidance:

Section 4 Access to Information under the Environmental Information Regulations

There has been a legal right of access to environmental information since the current Environmental Information Regulations (EIRs) were issued in 1992 in accordance with the EC Directive on Public Access to Environmental Information (90/313/EEC). For the purposes of the regulations environmental information is defined as information relating to:

'the state of any water or air, the state of any flora or fauna, the state of any soil, or the state of any natural site or other land'

'any activities or measures (including activities giving rise to noise or any other nuisance) which adversely affect anything mentioned in sub-paragraph (a) above or are likely adversely to affect anything so mentioned

'any activities or administrative or other measures (including any environmental management programmes) which are designed to protect anything so mentioned'.

The scope of the EIRs is wide and applies to all government ministers, government departments, local authorities, and any person or organisation carrying out functions of public administration with responsibilities in relation to the environment. It also includes any body with public responsibilities for the environment which is under the control of a such a person or organisation.

The regulations apply to information held in written, visual, aural or data base form. It includes information contained in documents, pictures, maps and records where records are taken to include registers, reports, returns, computer records (e.g. data bases) and other non-documentary records. To make an application, write to the authority concerned, citing the Regulations. Authorities have up to two months to respond to your request.

The Regulations state that any body which holds any information to which the Regulations apply shall make that information available to every person who requests it. A body may refuse to supply information in certain instances, e.g. if it does not consider that the information requested is 'environmental' as defined by the Regulations, or because they believe it is exempt from disclosure in accordance with Regulations. The body must however give reasons for refusal to the applicant in writing.

Any applicant dissatisfied with a refusal by a body to make information available, or who considers that a request for information has been inadequately answered or delayed may seek a remedy in a number of ways. Where the request for information is made of local government, the applicant may already apply to the local government ombudsman on grounds of maladministration giving rise to injustice. If all else fails, an action to enforce the duty provided for in Regulation 3(6) may be taken in the Courts.

Further information on the Environmental Information Regulations, including guidance notes which reflect policy on how the Regulations should be interpreted can be found on line.

Section 5 Access to Local Government Information

Under existing rules the public already have access to the minutes and reports from council meetings and the reasons why councils have made decisions.

The Local Government Act 1972 applies to all principle councils (i.e. district, borough, and county councils). It provide the public and press with access to meetings and connected papers of the full council and its committees and sub-committees, five clear days before the meeting takes place unless 'confidential' or 'exempt' information, as defined in the Act, is likely to be disclosed. It also gives a right to see the background papers relied upon by the officer drawing up the report for the meeting.

Parish and town councils are covered by the Public Bodies (Admission to Meetings) Act 1960 and Part 2, section 228 of the Local Government Act 1972 relating to the inspection of documents. The 1960 Act provides the public with a right to be admitted to meetings unless confidential business is being discussed. The 1972 Act provides that the minutes of a meeting be open to inspection to the public.

Supplementary regulations were issued under Part II of the Local Government Act 2000 in the light of new executive decision making structures created under this Act. The Local Authorities (Executive Arrangements) (Access to Information) (England ) Regulations apply the regime created by Part VA of the 1972 Act (described above) to the executive decision making process and give the public a right of access to meetings, documents and reasons for decisions should have access to meetings documents and decisions where the decision to be taken

is a 'key decision'.

Key decisions are defined as executive decisions which are likely to have significant financial implications with regard to the local authority's budget for the services or function to which the decision relates, or a decision which is significant in its effect on communities 'within two or more wards in the area of the local authority or electoral divisions in Counties.'

The consultation paper Access to Information in Local Government issued by the Office of the Deputy Prime Minister on 2 September 2002 sets out in more detail both the current and future framework governing access to information in Local Authorities. It can be found online.

Local Authorities will also be aware of the Good Practice Note on Access to Information produced by the local authority associations in June 1995.