Innovative Uses of the Freedom of Information Act (2000) for Research

A report update for the Research Information Network conducted by Andrew Booth, Reader in Evidence Based Information Practice, School of Health and Related Research, University of Sheffield.

Background

The Freedom of Information Act 2000 (FOIA 2000) came fully into force on 1 January 2005.In 2007, monitored central government bodies received a total of 32,978 non-routine FOI and EIR requests in 2007 – a 2% reduction on 2006. Requests were almost evenly split between Departments of State and other monitored bodies. The total percentage of requests that received a substantive response inside the 20 working-day limit was 84%, while 7% of requests were subject to a Public Interest Test extension. The proportion of resolvable requests that were granted in full in 2007 was 63%. One or more exemptions were applied to 6,715 requests in 2007. The most commonly applied exemptions were under sections 30 (“investigations and proceedings conducted by public authorities”), 40 (“relating to personal information”), and 41 (“information provided in confidence”), however, the profile of exemption usage differed between Departments of State and other monitored bodies. 222 appeals were made to the Information Commissioner’s Office (ICO) relating to the refusal of information requests by monitored bodies in 2007 – a reduction on the 384 made in 2006.Annual report on freedom of information in central government: 2007 ( )

How many requests for research purposes are we talking about?

Figures for the mid-1980s for Australia (3%) and Canada (6%) show academics making relatively little use of freedom of information legislation (Hazell, 1989, cited in Lee, 2005). A request to the FBI under the Freedom of Information Act revealed that 4.6% of requests were from scholars and historians compared with news media (3.3%) and freelance writers and authors (2.6%) Since 1995 the volume of requests from scholars and historians in the U.S. has declined to around 1%. In the UK the nearest source of baseline data is information about requests made for information under the open government code of practice which preceded introduction of the Freedom of Information Act. Figures must be treated with caution. The definition of a request is rather restricted and has not always been applied consistently by particular government departments. In 2002, only 5% of 5,212 requests for information under the Code of Practice on Access to Government Information were from academics (Department for Constitutional Affairs, 2003).

Lee (2005) provides some illustrative examples of how FOIA legislation might be used for research. However he provides the following caveat:

“What follows is a frankly speculative attempt to identify a number of areas where being able to obtain access to official information might create opportunities for social researchers in the United Kingdom. The aim is to sensitize researchers to possibilities provided by freedom of information legislation. There is no intention to provide an exhaustive catalogue of potential uses. Rather the examples given are meant to stimulate researchers to think more creatively about potential sources of data in a range of areas”.

Examples given by Lee fall under the following categories:

  • The SecretState
  • Social Science and Government
  • Science, Expertise and Regulation (e.g. Committee on Safety in Medicines)
  • The Social Construction of Social Problems
  • The Public Sector
  • Ethnography

Aim

The aim of this desk-based research is to identify published examples of research conducted using the provisions of the FOIA 2000 Act. This version of the document (April 2009) updates the first version (from November 2007)

Sources Used

In conducting this desk research the investigator interrogated Scirus, Scopus, Google Scholar, Copernic Professional Agent, Index to Theses and Web of Knowledge.

Inclusion criteria

For inclusion a study had to report data being requested under the Freedom of Information Act (2000) for the purpose of research, typically but not exclusively by a member of the UK academic community.

Analysis

Due to time constraints analysis was primarily based upon the abstracts of retrieved articles. However reference was made to full-text where available. Data was extracted on the domain of interest, the objective and findings of the study (particularly any difficulties in using the FOIA processes), the source of the data and identifiable data on authors, institution and bibliographic source.

Conclusion

A steady growth in researchers’ use of the Freedom of Information Act (2000) is identifiable from the peer-reviewed journal literature with both new applications and extensions of previous applications. Continuing issues:

  1. Immaturity of this particular route to data – experience in pursuing information under the FOIA (2000) remains limited. There is perhaps a need for greater publicity for successful contribution of data obtained under the FOIA to research endeavours.
  2. Methodological concerns – concerns relating to the agencies supplying information, particular appeals going to Information Commissioner, and their roles in acting as filters for requested information.
  3. Procedural ignorance – it may be that few researchers are aware of the procedures by which FOIA information may be obtained.
  4. Inadequate reporting of methodology – Many items identified tend to make FOIA data a feature of their methodology. Other items may report use of data in an Acknowledgement or Footnote or not mention this route at all. Increasing availability of electronic dissertations and theses is facilitating identification of relevant items.

Another potential route to examining the usefulness of FOIA data would be to analyse data requests received from reports on government department Web sites (e.g. Department of Health). While the majority of these requests are likely to have come from individuals an experienced researcher might be able to assess the potential contribution of these to research investigations and analyses.

Research Domain / Brief Description of Research / Data Source / Methodology / Author [Institution] / Reference
Access to Private Households / Aim to examine “powers of entry” by which government agencies achieve access to private households / Used Freedom of Information Act to ask Her Majesty’s Revenue and Customs for statistics on use of Writ of Assistance. / Requested figures on number of times during last full year on which an officer holding a Writ of Assistance had exercised his right to effect entry by force without obtaining a magistrates’ warrant. HMRC wrote: Unfortunately, HMRC does not routinely record the number of times that the power […] is used, and consequently does not hold the information in the form that you requested.HMRC did divulge results of “statistical exercise” from 2004/05, which showed that during that year, entry had been effected under a Writ of Assistance on 102 occasions, with 75% “success rate”, although no details given on definition of “success”.
HMRC pointed out that 102 searches of private property without a JP’s supervision was lower than found by previous “statistical exercise” (1978/9), when 537 searches under Writ were counted.
Further request under Freedom of Information Act revealed number of Writs of Assistance in force has grown rapidly over last two years. / Harry Snook
Centre for Policy Studies,London / Crossing the Threshold: 266 ways the State can enter your home
Centre For Policy Studies, 57 Tufton Street, LondonSW1P 3QL April 2007

Climate Change / Wei-Chyung Wang is respected researcher in global warming studies. Formally alleged that he committed fraud in some of his research, including research cited by Fourth Assessment Report of IPCC (2007) on “urban heat islands” (a critical issue). Allegation is reviewed, andimplications explicated. / ResearchdataUniversity of East Anglia / Collaborator, Jones is professor at a public university in U.K. (University of East Anglia). In early 2007, McIntyre and Keenan separately filed formal requests for data under U.K. Freedom of Information Act. University initially refused to release data. Keenan then drafted letter to U.K. Information Commissioner’s Office, alleging that university was in violation of statute, and sent draft to the university, asking them to let Keenan know if they believed letter was inaccurate. Data then released. Obtaining data only possible because Jones is in U.K.(In U.S.A., data for publicly-funded research does not have to be disclosed). Available at / Douglas J. Keenan
The Limehouse Cut, London E14 6N, UK; / The Fraud Allegation Against Some Climatic Research Of Wei-Chyung Wang

Clinical Recordings / CHERRI PROJECT (Common Healthcare Educational Recordings Reusability Infrastructure - Practice, Interoperability and Ethics) funded by JISC (Joint Information Systems Committee to investigate and advise on the use of clinical photographs, x-rays, images, videos and audio recordings etc for non-clinical academic purposes such as teaching and training, research, and academic publishing. / Guidelines, protocols and consent forms / Wrote to all Caldicott Guardians with requests for information and feedback involving two specific types of information:
a) Any guidelines, protocols and consent forms that guide staff members when acquiring clinical images and recordings (and associated consent) for non-clinical academic purposes
b) Guidelines, protocols and forms that guide staff members on how to store, track and use clinical recordings for non-clinical academic purposes / Rachel Ellaway, Helen Cameron and Michael Ross
with contributions from Graeme Laurie, Margaret Maxwell and Rebekah Pratt / Clinical Recordings for Academic Non-clinical Settings (CHERRI Project Report)
Clinical Trials / In March, 2006, six healthy volunteers in a first-in-man trial of monoclonal antibody TGN1412 developed multiorgan failure, necessitating intensive care.
Access initially denied. On appeal it became clear that although Medicines and Healthcare products Regulatory Agency (MHRA) had databases on phase I studies and on suspected unexpected serious adverse reactions, these databases could not be connected to retrieve relevant information. MHRA then compiled data manually. In 30 months preceding October, 2006, TGN1412 study was only one of 17 first-in-man studies of biologicals in healthy volunteers in which serious adverse events occurred. / Databases on Phase I studies held by UK MHRA. / Royal Statistical Society lodged FOIA request for up-to-date accurate information on designs and serious adverse events in previous phase I studies, particularly first-in-man studies in healthy volunteers. / Joris Hemelaar
MagdalenCollege, OxfordUniversity, OxfordOX1 4AU, UK / Comment:Minimising risk in first-in-man trials The Lancet Volume 369, Issue 9572, 5 May 2007-11 May 2007, 1496-1497
Crime Data / To establish whether crime rates predict outcomes from a parenting intervention, the Webster-Stratton Incredible Years (IY) BASIC Parenting Programme, delivered in 11 Sure Start areas across north and mid-Wales.
Parent participation in the programme demonstrated significant improvements in both child and parent behaviour. / Crime data provided under FOIA 2000 by North Wales Police, West Mercia Police, Dyfed-Powys Police. / Reports on analysis of effect of community crime levels on outcome. Regression analyses showed that crime rates were not predictive of outcome: the BASIC programme is effective in areas with both higher and lower crime levels. / Judy Hutchings, Tracey Bywater, Claire Davies
& Chris Whitaker / Do crime rates predict the outcome of parenting programmes for parents of ‘high-risk’ preschool children?Educational & Child Psychology 23 (2)
Devolution of Government / Main aim is to develop explanatory model for creation, operation, impact and transformation of CPSC in the UK as a resource for the PM or FM post devolution and to explain differences or similarities of approach found across UK. / Much documentationpublicly available via governmental websites. Other material, (e.g. extracts fromgovernment intranets, obtained at interviews. Freedom of Information Act 2000 and Freedom of Information (Scotland) Act 2002 led to public release of documentation previously considered confidential / Researcher able to obtain internal document previously refused when subsequently became subject of FOI request (not by researcher). / Audrey Mary MacDougall
University of Edinburgh. / Strategic capacity in post devolution government in the UK: A comparative analysis of the lifecycle of central strategy units(PhD) University of Edinburgh, 2006
MacDougall+AM+thesis+07.pdf
Elections / Elections held during May 2007 in England and Scotland for first time allowed accredited observers access to polling stationsand counts. Provided opportunity for detailed scrutinyof useofe-voting and e-counting equipment in elections. Inadequate timeavailable during procurement process for cross-partyconsensus to be built around English e-voting trials orfor systems to be fully tested. Design errors meant a very large number of Scottish ballots were spoiled, while problems with ballot papers required large number of votes to be counted manually. Votes initially missed due to over-wide Excel spreadsheet changed result in Highlands and Islands and handed control of Scottish Parliament from Labour party to ScottishNational Party. / Assesses use of e-voting technologies using observations from 10 constituencies and data obtained using Freedom of Information Act requests, interviews with officials, candidates and partiesand reports on previous trials. / Not stated / Jason Kitcat and Ian Brown / Parliamentary Affairs Advance Access published online on March 5, 2008. Parliamentary Affairs, doi:10.1093/pa/gsn003 Observing the English and Scottish 2007 e-elections
Food Hygiene / To obtain information on hygiene standards of food premises using FOI Act 2000.
5/8 LAs provided full information. Most supplied a risk grading for the premises. Reports ranged from completed comprehensive inspection protocols with full post-inspection letters to a hand written, barely legible report that failed to adequately differentiate between legal requirements and recommendations. Without training in food law and food hygiene it is difficult for most consumers to interpret reports. Case study increases confidence that LAs are complying with FOI Act. / Hygiene inspection reports from 8 LAs in South Wales / LAs asked to provide most recent food hygiene inspection of a named food premise. Disclosed reports assessed to see whether they conformed to the Food Standards Agency (FSA) Food Law Code of Practice and how useful they would be to the consumer seeking information on hygiene standards of a food premise / Denise Worsfold
[University of Wales, Institute Cardiff, Cardiff, United Kingdom] / The Freedom of Information Act and hygiene inspection reports. British Food Journal108, (11), 2006, 904-915
Food Hygiene / To find out how easy it is to access information onhygiene standards of eating places open to the public.
Relatively easy to obtain information from 2 LAs. Difficult if not impossible with others. One LA refused to release information despite intervention of FOI Commissioner. Quality of information released was variable. Ranged from completed comprehensive inspection protocol to hand-written, illegible, incomplete report that failed to adequately differentiate between requirements and recommendations. Without training it would be difficult to interpret reports. No evidence of inspection scoring. Case study raises concerns about effectiveness of FOI Act for consumers who wish to obtain information about hygiene standards of food premises. Inspection reports may be useful to businesses but not helpful for lay public. Consumers must exercise patience and tenacity if they want this information. Concerns about consistency of inspection process and willingness of some LAs to be transparent about inspection and enforcement. / Hygiene inspection reports from 4 LAs in South Wales / Using FOIA (2000), four LAs asked to provide the last food hygiene report of an eating place in their area. Disclosed reports assessed to determine how useful they would be to an individual seeking more information on a food premise. / Denise Worsfold
Food Research and Consultancy Unit, University of Wales, Institute Cardiff, Western Avenue, CardiffCF5 2YB, United Kingdom / Freedom of information: A case study. Journal of The Royal Society for the Promotion of Health Volume 126, Issue 5, September 2006, Pages 228-232
Food Hygiene / To determine utility to consumers of hygiene disclosure schemes for eating places.
Survey revealed schemes differed in interpretation of scores, extent of information disclosed, communication channels used to disclose information and amount of publicity provided for businesses and public. Majority of schemes provide certificates which businesses are encouraged to display prominently. Hygiene inspection information is posted on web sites of all local authorities. Number of schemes in study was limited. A comprehensive evaluation of current UK “Scores on Doors” schemes should take into account large number and variability of schemes, making feasibility questionable.Such schemes will only be successful if public are fully aware of them and schemes are well respected. They will have to be well publicised, to operate in an open, transparent manner and be consistent and fair. Although schemes have some common features, considerable lack of consistency, particularly in representation of scores as symbols. / Not Stated / Sample of hygiene disclosure schemes operated by local authorities in the UK examined for features that might be expected to influence consumer awareness and behaviour. / Denise Worsfold, Philip Mark Worsfold.
Food Research and Consultancy Unit, University of Wales, Institute Cardiff, Western Avenue, CardiffCF5 2YB, United Kingdom / “Scores on Doors”: hygiene disclosure schemes for consumers Nutrition & Food Science2008 38 (1): 22 - 31
Health services contracting / Volume of alternative types of provider in primary care remains small and the use of APMS contracts limited. / PCTs in England / Kings Fund sent self-completion questionnaire to all Primary Care Trusts in England under FOIA 2000. / Nicola Walsh / So where are the alternative providers in primary care? British Journal of Healthcare Management, 13(2) 2007, 43 - 46
Health services financing / To determine extent to which differences in funding and contract status affect quality in primary care.
Contract status has an impact on practice funding. Quality and Outcomes Framework (QOF) scores also vary according to contract status. Funding and contract status are important factors in determining achievement in the QOF. / Practice data on income and contract status from 164 practices from six primary care trusts in England were collated. / Cross-sectional observational study using practice data obtained under FOIA 2000. Outcome measure was QOF score for the year 2004-2005. All data were analysed statistically. / Morgan, C.L, Beerstecher, H.J.
[Canterbury RoadSurgery, 111 Canterbury Road, Sittingbourne, KentME10 4JA, United Kingdom] / Primary care funding, contract status, and outcomes: An observational study British Journal of General Practice 56 (532), November 2006, 825-829
Health Services Quality / To determine whether larger general practices produce a higher volume and greater diversity of enhanced services. / Practice data for 384 practices in 14 English primary care trusts / Practice data for 384 practices in 14 English primary care trusts collated for enhanced services, practice size, and deprivation. Diversity and volume of enhanced services used as dependent variables in multiple regression models to ascertain effect of practice size, and any relationship with deprivation. / Morgan, C.L, Beerstecher, H.J.